Part I Overview Information


Department of Health and Human Services

Participating Organizations
National Institutes of Health (NIH) (http://www.nih.gov)

Components of Participating Organizations
National Center on Minority Health and Health Disparities (NCMHD) http://ncmhd.nih.gov

Title: NCMHD Endowment Program for Increasing Research and Training Capacity in Section 736 Health Professions Schools (NCMHD Research Endowment Fund) (S21 and S22)

Announcement Type

This is a reissue of RFA-MD-06-003 which was released previously on December 22, 2005.

Update: The following update relating to this announcement has been issued:

Request For Applications (RFA) Number: RFA-MD-07-001

Catalog of Federal Domestic Assistance Number(s)
93.307


Key Dates
Release Date: February 9, 2007
Letters of Intent Receipt Date(s): March 10, 2007
Application Receipt Dates(s): April 10, 2007
Peer Review Date(s): May 2007
Council Review Date(s): August 2007
Earliest Anticipated Start Date: September, 2007
Expiration Date: April 11, 2007

Due Dates for E.O. 12372

Not Applicable

Additional Overview Content

Executive Summary

Background

Summary

This Invitation to Apply reflects changes in content and explanation, so please read over its entirety.  Note, particularly, Section II, 1. Mechanisms of Support; Section III, 3. Definitions and Other Information; and Section IV, Application and Submission Information, 2. Content and Form of Application Submission.

Table of Contents


Part I Overview Information

Part II Full Text of Announcement

Section I. Funding Opportunity Description
  1. Research and Training Capacity Building Objectives

Section II. Award Information
  1. Mechanism(s) of Support
  2. Funds Available

Section III. Eligibility Information
  1. Eligible Applicants
    A. Eligible Institutions
    B. Eligible Individuals
  2.Cost Sharing or Matching
  3. Other – Definitions and Other Information

Section IV. Application and Submission Information
  1. Address to Request Application Information
  2. Content and Form of Application Submission
  3. Submission Dates and Times
    A. Receipt and Review and Anticipated Start Dates
      1. Letter of Intent
    B. Sending an Application to the NIH
    C. Application Processing
  4. Intergovernmental Review
  5. Funding Restrictions
  6. Other Submission Requirements

Section V. Application Review Information
  1. Criteria
  2. Review and Selection Process
    A. Additional Review Criteria
    B. Additional Review Considerations
    C. Sharing Research Data
    D. Sharing Research Resources
  3. Anticipated Announcement and Award Dates

Section VI. Award Administration Information
  1. Award Notices
  2. Administrative and National Policy Requirements
    A. Cooperative Agreement Terms and Conditions of Award
  3. Reporting

Section VII. Agency Contact(s)
  1. Scientific/Research Contact(s)
  2. Peer Review Contact(s)
  3. Financial/ Grants Management Contact(s)

Section VIII. Other Information - Required Federal Citations

Part II - Full Text of Announcement


Section I. Funding Opportunity Description


1. Research and Training Capacity Building Objectives

The Endowment Program is part of a strategy to address the specific concerns of Congress as outlined in Public Law 106-525 that include, but are not limited to:

See Section VIII, Other Information - Required Federal Citations, for policies related to this announcement.

Section II. Award Information


1. Mechanism(s) of Support

This funding opportunity will use the S21 Capacity Building and S22 Educational award mechanisms described below.  All eligible applicants can participate in either activity, but not both.  As an applicant, you will be solely responsible for planning, directing, and executing the fiscal management of the endowment award and the proposed project (s) that will be supported by endowment income.   An institution can apply for only one mechanism, as described below.

S21 Capacity Building Awards

Section 736 institutions are eligible to use income generated from the endowment fund to build research infrastructure, support students from health disparity populations – which includes students from racial and ethnic groups, and socio-economically disadvantaged students - and enhance educational programs.  For example, under this mechanism, endowment income may be used to strengthen teaching programs in the biomedical and behavioral sciences and related disciplines, improve physical plants, acquire equipment for instruction and research, improve student recruitment and retention, improve faculty recruitment and retention, establish endowed chairs and programs, improve instruction delivery systems and information technology.  When planning to implement any activities using income from the endowment fund, the institution must demonstrate that the activities will enhance minority health and/or health disparities research activities.

S22 Educational Awards

Section 736 institutions are eligible to use income from the endowment fund to enhance educational programs and provide support for students from health disparity populations, which includes students from racial and ethnic groups, and socio-economically disadvantaged students.  For example, under this mechanism, endowment income may be used to support individuals from health disparity populations that matriculate at such institutions.  This may include activities that increase student recruitment and retention, create merit-based and need-based scholarships, establish or enhance tutoring, provide counseling, and design student service programs to improve academic success.  Funds also may be used for faculty recruitment and retention.  When planning to implement any activities using income from the endowment fund, the institution must demonstrate that such activities will enhance minority health and/or health disparities research activities.

Competing Renewal Applications

A currently funded institution in the last year of its NCMHD Research Endowment Fund period that applies for an award under a different mechanism must explain its decision to be considered under a new funding mechanism in the application.  Be certain to check “competing renewal” on the checklist form of the application.

Determination of Award Amount

The maximum award that an institution can request is contingent upon a formula which considers the size of its institutional corporate or system-wide endowment and the extent to which it serves students from health disparity populations, particularly with respect to the percentage of such students that graduate from its health professions and graduate science degree programs.  The three most important factors that determine the size of the request for an endowment grant award are:

The applicant’s requested endowment award amount calculations, formula, and data comprising the formula elements (e.g., system-wide health professions and graduate science programs graduate statistics, system-wide endowment, etc.) are required as part of the full application.  NCMHD encourages applicants, when calculating requested endowment awards, to contact the program official listed on page 17 of the RFA if further guidance is needed.  Please refer to Attachment #2 for further explanation and a sample calculation. 

2. Funds Available

The National Center on Minority Health and Health Disparities intends to commit approximately $16 million in FY 2007 to fund approximately 4-6 new and/or competitive renewal awards in response to this Invitation to Apply.   An applicant institution may request a project period of up to three years and a budget for direct costs of up to $5 million per year that is determined by the use of a formula.  See Attachment # 2.  Applicant institutions may only request direct costs.  Indirect costs will not be provided.  Because of the differences in an institution’s Health Disparity Student Index (a data element of the formula) and its institutional corporate or system-wide endowment, the size of each award will vary as per the formula mentioned above.  Although the financial plans of the NCMHD provide for the support of this program, awards pursuant to this Invitation to Apply are contingent upon the availability of funds and the receipt of a sufficient number of meritorious applications.  The earliest anticipated start date of the grant will be July 1, 2007.  The duration of the NCMHD award may vary and will be in accordance with the total number of years remaining on the section 736, Programs of Excellence in Health Professions Education for Underrepresented Minority Individuals grant award from the Health Resources and Services Administration (HRSA).

Section III. Eligibility Information


1. Eligible Applicants

Any Section 736 institution with a currently funded Program of Excellence in Health Professions Education for Underrepresented Minority Individuals, and a corporate/system-wide endowment that is less than/or equal to 50 percent ($837,543,095) of the national endowment average of Section 736 institutions is an eligible applicant.  See Section II, Award Information.  The endowment award supports the institutional component that manages the eligible section 736 program.

1. A. Eligible Institutions

Eligibility for participation in the NCMHD Research Endowment Fund Program is based on the applicant ’s existing system-wide endowment assets.  Section 736 institutions with endowment assets that are less than/or equal to 50 percent ($837,543,095) of the national average are eligible to apply for an NCMHD endowment award.  Collaborating health professions schools (HPSs) that meet these eligibility criteria may independently apply for endowment support.  See Attachment #3.

Only one application per institution system-wide will be accepted for review and only one award will be made to an institution based on the merit of its application and the availability of funds.  Institutions cannot use the value of the endowment of one campus or component of a campus of the institution to qualify for an award.  For example, if an eligible section 736 entity, as identified in the HRSA Notice of Grant Award, is a health science program at one campus of a multi-campus institution, which includes a school of medicine, a school of pharmacy and other components, the institution may not use the value of the school of pharmacy’s or campus’s endowment but must use the system-wide endowment when submitting data to be applied by NCMHD to determine the endowment funds to award under this Invitation to Apply.  Because this is an institutional award, the value of the institutional corporate or system-wide endowment of the Section 736 institution must meet the program eligibility criteria.

Institutions currently holding an NCMHD Research Endowment Award from the FY 2005 and FY 2006 competitions that still have out-year funding on their HRSA awards are excluded from competing for FY 2007 funding.  Applications received in response to this RFA from these grantees will be returned without review.

1. B. Eligible Individuals: Principal Investigators

The Principal Investigator must be a senior administrative official such as the President, Chancellor or Dean of the applicant institution.  This is a special requirement of the NCMHD Research Endowment program.

2. Cost Sharing or Matching

Not Applicable.  

The most current Grants Policy Statement can be found at: http://grants.nih.gov/archive/grants/policy/nihgps_2003/index.htm#matching_or_cost_sharing

3. Other-Definitions and Other Information

Institutional Endowment Assets of Section 736 Institutions

For the purpose of determining the eligibility thresholds for this limited Invitation to Apply, only the endowment assets of Section 736 Institutions (including state university systems and university foundations and its associations) were assessed.  The data for this assessment were taken from two sources: a December 2005 annual report, entitled “The Top American Research Universities”, issued by TheCenter at the University of Florida (http://thecenter.ufl.edu/) and the results of the National Association of College and University Business Officials (NACUBO) 2005 Endowment Study (http://www.nacubo.org).  TheCenter report uses the 2005 institutional endowment assets as one of the qualifying factors in ranking the top research institutions in the United States.  The NACUBO Endowment Study is widely recognized as the industry standard for tracking the performance and management of college and university endowment assets (2005 endowment assets of more than 753 college and universities examined).  All except four (Florida A&M University, Tuskegee University, Xavier University, and the University of Puerto Rico Medical Sciences Campus) of the Section 736 Institutions with Programs of Excellence in Health Professions Training were included in either report.  Information on the value of these three institutions was collected from various self-reported sources, including independent audit statements.  A table with the 2005 institutional endowment assets of the Section 736 institutions is provided in Attachment # 3

The endowment assets contained in Attachment #3 are provided for informational purposes only, in order to establish eligibility thresholds for this year’s competition. 

Based on the NCMHD analysis, system-wide endowment assets with an estimated average value of $1,675,086,190 will be considered the “national average”; and $837,543,095 is 50 percent of that amount.  Pursuant to section 485E (h) (2) (A) of Public Law 106-525 the corporate or system-wide endowment must be less than/or equal to one-half of the national average of endowment funds at institutions that conduct similar biomedical research or training of health professionals.  Therefore, institutions with corporate or system-wide endowments that exceed $837,543,095 may not compete for an endowment grant award during this period.

Definitions

Section 736 Institutions:

Institutions with funded Programs of Excellence in Health Professions Education for underrepresented Minority Individuals, a program authorized under section 736 of the Public Health Service Act (42 U.S.C. 293).

Minority Health Disparities Research:

Basic, clinical, and behavioral research on minority health conditions, including research to prevent, diagnose, and treat such conditions.

Health Disparities Research:

Basic, clinical, and behavioral research on health disparity populations (including individual members and communities of such populations) that relates to health disparities, including the causes of such disparities and methods to prevent, diagnose, and treat such disparities.

Minority health conditions:

The term minority health conditions, with respect to individuals who are members of minority groups, means all diseases, disorders, and such other conditions (including with respect to mental health and substance abuse): that are unique to, more serious, or more prevalent in such individuals; for which the factors of medical risk or types of medical intervention may be different for such individuals, or for which it is unknown whether such factors or types are different for such individuals; or with respect to which there has been insufficient research involving such individuals as subjects or insufficient  data on such individuals.

Institutional Endowment:

Institutional endowment refers to corporate or system-wide endowment fund that is the sum total of the endowment assets of all campuses and their components.  This includes, but is not limited to, endowments managed by an institution’s foundations/associations as well as state university systems. The corporate or system-wide endowment for the entire institution, including multi-campuses, is the correct required value.

Institutional Component Endowment:

An institutional component endowment refers to the endowment assets of a single component of an institution, for example, the component of the institution where the HRSA Center of Excellence resides.  An institution may have multiple components, for example: a school of medicine, a school of dentistry, a school of engineering, a school of law, etc.  For some multi-campus systems, there may be components at each campus.

Health Disparity Population:

A health disparity population means a population that, as determined by the NCMHD Director after consultation with the Director of the Agency for Healthcare Research and Quality, has a significant disparity in the overall rate of disease incidence, prevalence, morbidity, mortality, or survival rates in the population as compared to the health status of the general population. 

Health Disparity Students:

Health disparity students include students from racial and ethnic minority and health disparities populations.  For purposes of the endowment, the term socio-economically disadvantaged student is used interchangeably with health disparity student.  The NCHMD Director and the Director of the Agency for Research on Healthcare Quality are responsible for validating the consideration of any other a group as a health disparity group.  See Public Law 106-525. Foreign students are not included.

Racial and Ethnic Minorities (or Minority Groups):

American Indians (including Alaska Natives, Eskimos, and Aleuts), Asian Americans, Blacks, Hispanics, Native Hawaiians and other Pacific Islanders.  Hispanic means individuals whose origin is Mexican, Puerto Rican, Cuban, Central or South American, or other Spanish-speaking country. 

Socio-economically disadvantaged student:

For the purpose of the endowment program, the term “socio-economically disadvantaged” student may be used interchangeably with health disparity students.  An individual from a socio-economically disadvantaged background is defined as an individual who comes from an environment that has inhibited the individual from obtaining the knowledge, skills, and abilities required to enroll in and graduate from a health professions school, or from a program providing undergraduate or graduate education or training in an allied health profession, or from a graduate sciences program; or comes from a family with an annual income at/below a level based on low-income thresholds according to family size published by the U.S. Bureau of the Census, adjusted annually for changes in the Consumer Price Index, and adjusted by the Secretary for use in all health professions programs.  (The Secretary periodically publishes these income levels in the Federal Register).  

Section IV. Application and Submission Information


1. Address to Request Application Information

The PHS 398 application instructions are available at http://grants.nih.gov/grants/funding/phs398/phs398.html in an interactive format. Applicants must use the currently approved version of the PHS 398. For further assistance contact GrantsInfo, Telephone (301) 435-0714, Email: GrantsInfo@nih.gov.

Telecommunications for the hearing impaired: TTY 301-451-5936.

2. Content and Form of Application Submission

Applications must be prepared using the most current PHS 398 research grant application instructions and forms. Applications must have a D&B Data Universal Numbering System (DUNS) number as the universal identifier when applying for Federal grants or cooperative agreements. The D&B number can be obtained by calling (866) 705-5711 or through the web site at http://www.dnb.com/us/. The D&B number should be entered on line 11 of the face page of the PHS 398 form.

The title and number of this funding opportunity must be typed on line 2 of the face page of the application form and the YES box must be checked.

Supplemental Instructions:

As noted above, follow all of the instructions for Standard Form PHS 398 (Revised. 9/2004), in addition to the special instructions below.  These instructions are to be followed for new and competing renewal applications.

Cover Letter

A Cover Letter is optional. If included, it must be signed by the University President, Chancellor, or Dean.

Face Page

In Item 1, indicate the title of the institution’s Endowment Fund Program.  In Item 2, indicate the RFA number as RFA MD-07-001 and indicate the Title of the RFA as “NCMHD Endowment Program for Increasing Research and Training Capacity in Section 736 Health Professions Schools.”  Institutions also must indicate the mechanism under which they are applying for funding (S21 or S22), along with the RFA title and number in Item 2.  The Principal Investigator for the endowment award must be the University President, Chancellor or Dean of the relevant School or Division.

Budget

This RFA calls for the budget to be itemized in multiple sections.  Each budget section addresses a specific aspect of the grant.  With regard to the initial budget period, use budget Form pages 4 and 5 to spell out and justify the actual budget request (which is the same as the requested endowment corpus).  This justification must explain, using the formula in Attachment #2, how the requested endowment award amount was calculated and the formula must be entered at the bottom of Form page 5.  All data used to determine the award amount (Health Disparity Student Index/HDSI, Corporate or System-wide Institutional Endowment) must be easily identifiable within the body of the application.  The direct costs requested for each year of the project period should reflect only the endowment corpus – not projected income.  For example, if you receive $1 million each year for three years, the 1st year direct costs budget will be $1 million, year 2 will be $1 million, and year 3 will be $1 million.  These yearly requested direct costs are entered under the appropriate year on the total direct costs line on Form pages 4 and 5.  The maximum direct costs are $5 million per year.

The budget must be described again in the application within the required 5-year Strategic Plan for the endowment grant project.  This detailed budget specifies how projected endowment income, at a given level, will be spent to support programmatic activities and achieve program objectives.  The detailed budget in the 5-year Strategic Plan should relate project expenses to grant objectives and describe what objectives and program purposes are being supported by the grant and/or the institution and to what extent. 

Institutional Profile

The institutional profile must include:  a financial profile of the institution that includes justification of eligibility as a HRSA Section 736 institution; an explanation of the institution’s commitment to the programmatic aspects of the proposed endowment fund program contained in the 5-Year Strategic Plan; an investment policy statement; a rationale for proposed use of endowment income; a student and faculty profile; a short description of the various disciplines; and a description of the physical plant. 

Guidance in addressing the above-mentioned areas included in the institutional profile is provided below.

Financial Profile

The financial profile must include:

5-Year Strategic Plan

Applicants must develop a 5-Year Strategic Plan that establishes priorities for the use and growth of endowment fund income.  The required elements of this Strategic Plan are:

Investment Policy Statement

Present a plan for investing the proposed endowment corpus.  Indicate long-term and short-term investment goals expected rate of return.  The investment plan should be balanced and take into consideration the volatility of markets.  Given the high significance placed on retaining the market value of the endowment corpus, at a minimum, care should be taken to develop an investment and spending plan to ensure that the market value of the corpus is not invaded.  Institutions with limited experience in establishing and managing endowment funds are encouraged to consult with institutions and/or other entities that have expertise in establishing and managing such funds. 

It is permissible to pool the NCMHD endowment corpus with other endowment assets held by the institution for investment purposes.  In these cases, the proportionate income (or units) of the NCMHD research endowment fund should be separately accounted for and used only for the purposes specified within this Invitation to Apply.  Additions to the fund from any successive NCHMD Endowment award should be administered in accordance with this practice.

Use of Endowment Income

Provide details on the expected impact of the endowment upon the institution, in accordance with the 5-Year Strategic Plan. 

Student Profile

The student profile must include:

Faculty Profile

The faculty profile must include:

Competing Renewals

Competing renewal applications must include in the application a section that summarizes the annual progress reports (PHS 2590) of the currently funded project submitted to the NCMHD.  Include a section (no more than four pages) that summarizes annually the progress reports (PHS 2590) on the currently funded project submitted to the NCMHD.  The summary should provide – relative to the endowment program: the beginning and ending dates for the period(s) covered; a recap of the specific priority objectives during that time period, attainment of these aims, and challenges or obstacles encountered in reaching these aims; actual versus projected endowment interest income and specifically how, if applicable, not meeting earnings goals impacted attainment of priority objectives;  significant unexpected outcomes (positive or negative); significant accomplishments; and the overall impact of the award on your institution.

3. Submission Dates and Times

Applications must be received on or before the receipt date described below (Section IV.3.A). Submission times N/A.

3.A. Receipt, Review and Anticipated Start Dates
Letter of Intent Receipt Date: March 10, 2007
Application Receipt Date(s): April 10 2007
Peer Review Date: May 2007
Council Review Date: August 2007
Earliest Anticipated Start Date: September, 2007

3.A.1. Letter of Intent

Prospective applicants are asked to submit a letter of intent that includes the following information:

The letter of intent should be sent to:

Leslie L. Atkinson
Director, NCMHD Research Endowment Program
National Center on Minority Health and Health Disparities
National Institutes of Health
6707 Democracy Boulevard, Suite 800, MSC 5465
Bethesda, Maryland 20892-5465
Telephone: (301) 402-1366
FAX: (301) 480-4049
Email: atkinsonl@mail.nih.gov

3.B. Sending an Application to the NIH

Applications must be prepared using the PHS 398 research grant application instructions and forms as well as the supplementary instructions described above.  Submit a signed, typewritten original of the application, including the checklist, and three signed photocopies in one package to:

Center for Scientific Review
National Institutes of Health
6701 Rockledge Drive, Room 1040, MSC 7710
Bethesda, MD 20892-7710 (U.S. Postal Service Express or regular mail)
Bethesda, MD 20817 (for express/courier service; non-USPS service)

Personal deliveries of applications are no longer permitted (see http://grants.nih.gov/grants/guide/notice-files/NOT-OD-03-040.html).

At the time of submission, two additional copies of the application and all copies of the appendix material must be sent to:

Lorrita Watson, Ph.D.
Director, Office of Extramural Activities
National Center on Minority Health and Health Disparities
National Institutes of Health
6707 Democracy Boulevard, Suite 800 MSC 5465
Bethesda, MD 20892-5465
Telephone: (301) 402-1366
FAX: (301) 480-4049
Email:
watsonl@mail.nih.gov    

Using the RFA Label: The RFA label available in the PHS 398 application instructions must be affixed to the bottom of the face page of the application. Type the RFA number on the label. Failure to use this label could result in delayed processing of the application such that it may not reach the review committee in time for review. In addition, the RFA title and number must be typed on line 2 of the face page of the application form and the YES box must be marked. The RFA label is also available at: http://grants.nih.gov/grants/funding/phs398/labels.pdf.

3.C. Application Processing

Applications must be received on or before the application receipt date(s) described above (Section IV.3.A.). If an application is received after that date, it will be returned to the applicant without review. Upon receipt, applications will be evaluated for completeness by the CSR and responsiveness by the National Center on Minority Health and Health Disparities.  Applications judged as incomplete and unresponsive may be returned without review.

The NIH will not accept any application in response to this funding opportunity that is essentially the same as one currently pending initial review, unless the applicant withdraws the pending application. However, when a previously unfunded application, originally submitted as an investigator-initiated application, is to be submitted in response to a funding opportunity, it is to be prepared as a NEW application. That is, the application for the funding opportunity must not include an Introduction describing the changes and improvements made, and the text must not be marked to indicate the changes from the previous unfunded version of the application.

Information on the status of an application should be checked by the Principal Investigator in the eRA Commons at: https://commons.era.nih.gov/commons/.

4. Intergovernmental Review

This initiative is not subject to intergovernmental review.

5. Funding Restrictions

All NIH awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement. The Grants Policy Statement can be found at http://grants.nih.gov/grants/policy/policy.htm (see also Section VI.3. Reporting).

Pre-award costs are not applicable to this award.

6. Other Submission Requirements

Not applicable.

Plan for Sharing Research Data

All applicants must include a plan for sharing research data in their application. The data sharing policy is available at http://grants.nih.gov/grants/policy/data_sharing. All investigators responding to this funding opportunity should include a description of how final research data will be shared, or explain why data sharing is not possible.

The reasonableness of the data sharing plan or the rationale for not sharing research data will be assessed by the reviewers. However, reviewers will not factor the proposed data sharing plan into the determination of scientific merit or the priority score.

Sharing Research Resources

NIH policy expects that grant recipients make unique research resources readily available for research purposes to qualified individuals within the scientific community after publication (NIH Grants Policy Statement http://grants.nih.gov/archive/archive/grants/policy/nihgps_2003/index.htm and http://grants.nih.gov/archive/grants/policy/nihgps_2003/index.htm#_Toc54600131). Investigators responding to this funding opportunity should include a plan for sharing research resources addressing how unique research resources will be shared or explain why sharing is not possible.

The adequacy of the resources sharing plan and any related data sharing plans will be considered by Program staff of the funding organization when making recommendations about funding applications. The effectiveness of the resource sharing will be evaluated as part of the administrative review of each non-competing Grant Progress Report (PHS 2590, http://grants.nih.gov/grants/funding/2590/2590.htm). See Section VI.3. Reporting.

Section V. Application Review Information


1. Criteria

The following will be considered in making funding decisions:

2. Review and Selection Process

Upon receipt, applications will be reviewed for completeness by the CSR and responsiveness by the National Center on Minority Health and Health Disparities.  

Applications that are complete and responsive to the RFA will be evaluated for the 5-Year Strategic Plan, endowment management, and scientific and technical merit by an appropriate peer review group convened by the National Center on Minority Health and Health Disparities in accordance with the review criteria stated below.

As part of the initial merit review, all applications will:

The goals of NIH supported research are to advance our understanding of biological systems, to improve the control of disease, and to enhance health. In their written critiques, reviewers will be asked to comment on each of the following criteria in order to judge the likelihood that the proposed research and/or training will have a substantial impact on the pursuit of these goals. Each of these criteria will be addressed and considered in assigning the overall score, weighting them as appropriate for each application. Note that an application does not need to be strong in all categories to be judged likely to have major scientific impact and thus deserve a high priority score. For example, an investigator may propose to carry out important work that by its nature is not innovative but is essential to move a field forward.

Significance: Does the 5-Year Strategic Plan enhance and expand research and/or training capacity in minority health and/or health disparities research and in other areas of focus?  If the aims of the application are achieved, how will scientific knowledge or clinical practice be advanced? What will be the effect of these studies on the concepts, methods, technologies, treatments, services, or preventative interventions that drive this field?

Approach: Are the conceptual or clinical framework, design, methods, and analyses adequately developed, well integrated, well reasoned, and appropriate to the aims of the project? Does the applicant acknowledge potential problem areas and consider alternative tactics?

Will the institution’s activities as identified in the 5-Year Strategic Plan further the institution’s minority health and/or health disparities research agenda?

Will the activities identified in the plan expand or develop programs that address and/or mitigate educational and financial resource barriers; thus promoting a diverse and strong biomedical and bio-behavioral workforce for the 21st Century?

Will the activities identified in the plan enhance and expand research capacity in minority health and/or health disparities research and in other areas of focus (i.e., research training opportunities, improvements in physical plant, support of health disparities and other types of research)?

Will the activities identified in the plan facilitate the recruitment of more scientists from health disparity populations in the fields of biomedical, behavioral, and social sciences research (if applicable)?

Are the proposed uses of the endowment fund appropriate to the goals of the program?

Use of the endowment fund for proposed programmatic activities must be effectively demonstrated (e.g., establishing priorities for the use of the endowment fund relative to biomedical, behavioral and health disparities research).

Is the proposed management of the endowment fund and effectiveness of investment strategy appropriate for the goals of the proposed program?

Adequacy of the plan for managing the endowment fund.  The Investment Strategy must be sound; for example, does the plan provide for appropriate growth potential while taking into consideration the volatility of the markets? 

Innovation: Is the project original and innovative? For example: Does the project challenge existing paradigms or clinical practice; address an innovative hypothesis or critical barrier to progress in the field? Does the project develop or employ novel concepts, approaches, methodologies, tools, or technologies for this area?

Investigators: Are the investigators appropriately trained and well suited to carry out the objectives in the 5-year strategic plan? Is the work proposed appropriate to the experience level of the principal investigator and other researchers? Does the investigative team bring complementary and integrated expertise to the project (if applicable)?

Environment: Does the scientific environment in which the work will be done contribute to the probability of success? Do the proposed studies benefit from unique features of the scientific and training environment, or subject populations, or employ useful collaborative arrangements? Is there evidence of institutional support?

2.A. Additional Review Criteria:

In addition to the above criteria, the following items will continue to be considered in the determination of scientific merit and the priority score:

Protection of Human Subjects from Research Risk: The involvement of human subjects and protections from research risk relating to their participation in the proposed research will be assessed (see the Research Plan, Section E on Human Subjects in the PHS Form 398).

Inclusion of Women, Minorities and Children in Research: The adequacy of plans to include subjects from both genders, all racial and ethnic groups (and subgroups), and children as appropriate for the scientific goals of the research will be assessed. Plans for the recruitment and retention of subjects will also be evaluated (see the Research Plan, Section E on Human Subjects in the PHS Form 398).

Care and Use of Vertebrate Animals in Research: If vertebrate animals are to be used in the project, the five items described under Section F of the PHS Form 398 research grant application instructions will be assessed.

Biohazards: If materials or procedures are proposed that are potentially hazardous to research personnel and/or the environment, determine if the proposed protection is adequate.

2.B. Additional Review Considerations

Budget: The reasonableness of the proposed budget and the requested period of support in relation to the proposed research. The priority score should not be affected by the evaluation of the budget.

2.C. Sharing Research Data

Data Sharing Plan: The reasonableness of the data sharing plan or the rationale for not sharing research data may be assessed by the reviewers. However, reviewers will not factor the proposed data sharing plan into the determination of scientific merit or the priority score. The funding organization will be responsible for monitoring the data sharing policy. http://grants.nih.gov/grants/policy/data_sharing.

2.D. Sharing Research Resources

NIH policy expects that grant recipients make unique research resources readily available for research purposes to qualified individuals within the scientific community after publication (See the NIH Grants Policy Statement http://grants.nih.gov/archive/grants/policy/nihgps/part_ii_5.htm#availofrr and http://www.ott.nih.gov/policy/rt_guide_final.html). Investigators responding to this funding opportunity should include a sharing research resources plan addressing how unique research resources will be shared or explain why sharing is not possible.

Program staff will be responsible for the administrative review of the plan for sharing research resources.

The adequacy of the resources sharing plan will be considered by Program staff of the funding organization when making recommendations about funding applications. Program staff may negotiate modifications of the data and resource sharing plans with the awardee before recommending funding of an application. The final version of the data and resource sharing plans negotiated by both will become a condition of the award of the grant. The effectiveness of the resource sharing will be evaluated as part of the administrative review of each non-competing Grant Progress Report (PHS 2590). See Section VI.3. Reporting.

3. Anticipated Announcement and Award Dates

Section VI. Award Administration Information


1. Award Notices

After the peer review of the application is completed, the Program Director/Principal Investigator will be able to access his or her Summary Statement (written critique) via the eRA Commons.

If the application is under consideration for funding, NIH will request "just-in-time" information from the applicant. For details, applicants may refer to the NIH Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards, Subpart A: General (http://grants.nih.gov/archive/grants/policy/nihgps_2003/index.htm).

A formal notification in the form of a Notice of Award (NoA) will be provided to the applicant organization. The NoA signed by the grants management officer is the authorizing document. Once all administrative and programmatic issues have been resolved, the NoA will be generated via email notification from the awarding component to the grantee business official (designated in item 12 on the Application Face Page). If a grantee is not email enabled, a hard copy of the NoA will be mailed to the business official.

Selection of an application for award is not an authorization to begin performance. Any costs incurred before receipt of the NoA are at the recipient's risk. These costs may be reimbursed only to the extent considered allowable pre-award costs. See Also Section IV.5. Funding Restrictions.  In addition to these mechanisms, no costs may be incurred for one year, as previously mentioned.

2. Administrative and National Policy Requirements

All NIH grant and cooperative agreement awards include the NIH Grants Policy Statement as part of the NoA . For these terms of award, see the NIH Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards, Subpart A: General (http://grants.nih.gov/archive/grants/policy/nihgps_2003/index.htm) and Part II Terms and Conditions of NIH Grant Awards, Subpart B: Terms and Conditions for Specific Types of Grants, Grantees, and Activities (http://grants.nih.gov/archive/grants/policy/nihgps_2003/index.htm).

Guidelines for Implementation

NCMHD Research Endowment grants are made to create a permanent endowment fund to support research and training capacity building specified in Section 1 (pages 3-4) of this RFA.  Amounts which may be expended each year are to be determined pursuant to spending rules under the law of the State in which the institution is located, subject to the special limitation on expenditures during the first year following the Notice of Grant Award, which is set forth below.

To ensure maximum growth of the endowment fund, the following guidelines govern how a NCMHD Research Endowment is to be implemented.  The following Terms and Conditions will be incorporated into the Notice of Grant Award statement and will be provided to the Principal Investigator as well as to the appropriate institutional official, at the time of award.

3. Reporting

Awardees will be required to submit the PHS Non-Competing Grant Progress Report, Form 2590 annually (http://grants.nih.gov/grants/funding/2590/2590.htm) and financial statements as required in the NIH Grants Policy Statement.  In addition to the PHS 2590, NCMHD-specific annual grant progress report supplemental information is required (http://ncmhd.nih.gov/test/test.html).

Section VII. Agency Contacts


We encourage your inquiries concerning this funding opportunity and welcome the opportunity to answer questions from potential applicants. Inquiries may fall into three areas: scientific/research, peer review, and financial or grants management issues:

1. Scientific/Research Contacts:

Leslie L. Atkinson
Research Endowment Program Director
National Center on Minority Health and Health Disparities
National Institutes of Health
6707 Democracy Boulevard, Suite 800 MSC 5465
Bethesda, Maryland 20892-5465
Telephone: (301) 402-1366
FAX: (301) 480-4049
Email: atkinsonl@mail.nih.gov

2. Peer Review Contacts:

Lorrita Watson, Ph.D.
Director, Office of Extramural Activities
National Center on Minority Health and Health Disparities
National Institutes of Health
6707 Democracy Boulevard, Suite 800 MSC 5465
Bethesda, Maryland 20892-5465
Telephone: (301) 402-1366
FAX: (301) 480-4049
Email: watsonl@mail.nih.gov    

3. Financial or Grants Management Contacts:

Monica Shaw-Cortez
Grants Management Specialist
Grants Management Branch
Office of Extramural Activities
National Center on Minority Health and Health Disparities
National Institutes of Health
6707 Democracy Boulevard, Suite 800 MSC 5465
Bethesda, Maryland 20892-5465
Telephone: (301) 402-1366
FAX: (301) 480-4049
Email: cortezms@mail.nih.gov

Section VIII. Other Information


Required Federal Citations

Use of Animals in Research:
Recipients of PHS support for activities involving live, vertebrate animals must comply with PHS Policy on Humane Care and Use of Laboratory Animals (http://grants.nih.gov/grants/olaw/references/PHSPolicyLabAnimals.pdf) as mandated by the Health Research Extension Act of 1985 (http://grants.nih.gov/grants/olaw/references/hrea1985.htm), and the USDA Animal Welfare Regulations (http://www.nal.usda.gov/awic/legislat/usdaleg1.htm) as applicable.

Human Subjects Protection:
Federal regulations (45CFR46) require that applications and proposals involving human subjects must be evaluated with reference to the risks to the subjects, the adequacy of protection against these risks, the potential benefits of the research to the subjects and others, and the importance of the knowledge gained or to be gained (http://www.hhs.gov/ohrp/humansubjects/guidance/45cfr46.htm).

Data and Safety Monitoring Plan:
Data and safety monitoring is required for all types of clinical trials, including physiologic toxicity and dose-finding studies (phase I); efficacy studies (Phase II); efficacy, effectiveness and comparative trials (Phase III). Monitoring should be commensurate with risk. The establishment of data and safety monitoring boards (DSMBs) is required for multi-site clinical trials involving interventions that entail potential risks to the participants (NIH Policy for Data and Safety Monitoring, NIH Guide for Grants and Contracts, http://grants.nih.gov/grants/guide/notice-files/not98-084.html).

Sharing Research Data:
Investigators submitting an NIH application seeking $500,000 or more in direct costs in any single year are expected to include a plan for data sharing or state why this is not possible (http://grants.nih.gov/grants/policy/data_sharing).

Investigators should seek guidance from their institutions, on issues related to institutional policies and local IRB rules, as well as local, State and Federal laws and regulations, including the Privacy Rule. Reviewers will consider the data sharing plan but will not factor the plan into the determination of the scientific merit or the priority score.

Access to Research Data through the Freedom of Information Act:
The Office of Management and Budget (OMB) Circular A-110 has been revised to provide access to research data through the Freedom of Information Act (FOIA) under some circumstances. Data that are (1) first produced in a project that is supported in whole or in part with Federal funds and (2) cited publicly and officially by a Federal agency in support of an action that has the force and effect of law (i.e., a regulation) may be accessed through FOIA. It is important for applicants to understand the basic scope of this amendment. NIH has provided guidance at http://grants.nih.gov/grants/policy/a110/a110_guidance_dec1999.htm. Applicants may wish to place data collected under this funding opportunity in a public archive, which can provide protections for the data and manage the distribution for an indefinite period of time. If so, the application should include a description of the archiving plan in the study design and include information about this in the budget justification section of the application. In addition, applicants should think about how to structure informed consent statements and other human subjects procedures given the potential for wider use of data collected under this award.

Sharing of Model Organisms:
NIH is committed to support efforts that encourage sharing of important research resources including the sharing of model organisms for biomedical research (see http://grants.nih.gov/grants/policy/model_organism/index.htm). At the same time the NIH recognizes the rights of grantees and contractors to elect and retain title to subject inventions developed with Federal funding pursuant to the Bayh Dole Act (see the NIH Grants Policy Statement http://grants.nih.gov/archive/archive/grants/policy/nihgps_2003/index.htm). All investigators submitting an NIH application or contract proposal, beginning with the October 1, 2004 receipt date, are expected to include in the application/proposal a description of a specific plan for sharing and distributing unique model organism research resources generated using NIH funding or state why such sharing is restricted or not possible. This will permit other researchers to benefit from the resources developed with public funding. The inclusion of a model organism sharing plan is not subject to a cost threshold in any year and is expected to be included in all applications where the development of model organisms is anticipated.

Inclusion of Women And Minorities in Clinical Research:
It is the policy of the NIH that women and members of minority groups and their sub-populations must be included in all NIH-supported clinical research projects unless a clear and compelling justification is provided indicating that inclusion is inappropriate with respect to the health of the subjects or the purpose of the research. This policy results from the NIH Revitalization Act of 1993 (Section 492B of Public Law 103-43). All investigators proposing clinical research should read the "NIH Guidelines for Inclusion of Women and Minorities as Subjects in Clinical Research (http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-001.html); a complete copy of the updated Guidelines is available at http://grants.nih.gov/grants/funding/women_min/guidelines_amended_10_2001.htm. The amended policy incorporates: the use of an NIH definition of clinical research; updated racial and ethnic categories in compliance with the new OMB standards; clarification of language governing NIH-defined Phase III clinical trials consistent with the new PHS Form 398; and updated roles and responsibilities of NIH staff and the extramural community. The policy continues to require for all NIH-defined Phase III clinical trials that: a) all applications or proposals and/or protocols must provide a description of plans to conduct analyses, as appropriate, to address differences by sex/gender and/or racial/ethnic groups, including subgroups if applicable; and b) investigators must report annual accrual and progress in conducting analyses, as appropriate, by sex/gender and/or racial/ethnic group differences.

Inclusion of Children as Participants in Clinical Research:
The NIH maintains a policy that children (i.e., individuals under the age of 21) must be included in all clinical research, conducted or supported by the NIH, unless there are scientific and ethical reasons not to include them.

All investigators proposing research involving human subjects should read the "NIH Policy and Guidelines" on the inclusion of children as participants in research involving human subjects (http://grants.nih.gov/grants/funding/children/children.htm).

Required Education on the Protection of Human Subject Participants:
NIH policy requires education on the protection of human subject participants for all investigators submitting NIH applications for research involving human subjects and individuals designated as key personnel. The policy is available at http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html.

Human Embryonic Stem Cells (hESC):
Criteria for federal funding of research on hESCs can be found at http://stemcells.nih.gov/index.asp and at http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-005.html. Only research using hESC lines that are registered in the NIH Human Embryonic Stem Cell Registry will be eligible for Federal funding (http://escr.nih.gov). It is the responsibility of the applicant to provide in the project description and elsewhere in the application as appropriate, the official NIH identifier(s) for the hESC line(s)to be used in the proposed research. Applications that do not provide this information will be returned without review.

NIH Public Access Policy:
NIH-funded investigators are requested to submit to the NIH manuscript submission (NIHMS) system (http://www.nihms.nih.gov) at PubMed Central (PMC) an electronic version of the author's final manuscript upon acceptance for publication, resulting from research supported in whole or in part with direct costs from NIH. The author's final manuscript is defined as the final version accepted for journal publication, and includes all modifications from the publishing peer review process.

NIH is requesting that authors submit manuscripts resulting from 1) currently funded NIH research projects or 2) previously supported NIH research projects if they are accepted for publication on or after May 2, 2005. The NIH Public Access Policy applies to all research grant and career development award mechanisms, cooperative agreements, contracts, Institutional and Individual Ruth L. Kirschstein National Research Service Awards, as well as NIH intramural research studies. The Policy applies to peer-reviewed, original research publications that have been supported in whole or in part with direct costs from NIH, but it does not apply to book chapters, editorials, reviews, or conference proceedings. Publications resulting from non-NIH-supported research projects should not be submitted.

For more information about the Policy or the submission process please visit the NIH Public Access Policy Web site at http://publicaccess.nih.gov/ and view the Policy or other Resources and Tools including the Authors' Manual (http://publicaccess.nih.gov/publicaccess_Manual.htm).

Standards for Privacy of Individually Identifiable Health Information:
The Department of Health and Human Services (DHHS) issued final modification to the "Standards for Privacy of Individually Identifiable Health Information", the "Privacy Rule", on August 14, 2002 . The Privacy Rule is a federal regulation under the Health Insurance Portability and Accountability Act (HIPAA) of 1996 that governs the protection of individually identifiable health information, and is administered and enforced by the DHHS Office for Civil Rights (OCR).

Decisions about applicability and implementation of the Privacy Rule reside with the researcher and his/her institution. The OCR website (http://www.hhs.gov/ocr/) provides information on the Privacy Rule, including a complete Regulation Text and a set of decision tools on "Am I a covered entity?" Information on the impact of the HIPAA Privacy Rule on NIH processes involving the review, funding, and progress monitoring of grants, cooperative agreements, and research contracts can be found at http://grants.nih.gov/grants/guide/notice-files/NOT-OD-03-025.html.

URLs in NIH Grant Applications or Appendices:
All applications and proposals for NIH funding must be self-contained within specified page limitations. For publications listed in the appendix and/or Progress report, internet addresses (URLs) must be used for publicly accessible on-line journal articles.  Unless otherwise specified in this solicitation, Internet addresses (URLs) should not be used to provide any other information necessary for the review because reviewers are under no obligation to view the Internet sites. Furthermore, we caution reviewers that their anonymity may be compromised when they directly access an Internet site.

Healthy People 2010:
The Public Health Service (PHS) is committed to achieving the health promotion and disease prevention objectives of "Healthy People 2010," a PHS-led national activity for setting priority areas. This RFA is related to one or more of the priority areas. Potential applicants may obtain a copy of "Healthy People 2010" at http://www.health.gov/healthypeople.

Authority and Regulations:
This program is described in the Catalog of Federal Domestic Assistance at http://www.cfda.gov/ and is not subject to the intergovernmental review requirements of Executive Order 12372 or Health Systems Agency review. Awards are made under the authorization of Sections 301 and 405 of the Public Health Service Act as amended (42 USC 241 and 284) and under Federal Regulations 42 CFR 52 and 45 CFR Parts 74 and 92. All awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement. The NIH Grants Policy Statement can be found at http://grants.nih.gov/grants/policy/policy.htm.

The PHS strongly encourages all grant recipients to provide a smoke-free workplace and discourage the use of all tobacco products. In addition, Public Law 103-227, the Pro-Children Act of 1994, prohibits smoking in certain facilities (or in some cases, any portion of a facility) in which regular or routine education, library, day care, health care, or early childhood development services are provided to children. This is consistent with the PHS mission to protect and advance the physical and mental health of the American people.

Loan Repayment Programs:
NIH encourages applications for educational loan repayment from qualified health professionals who have made a commitment to pursue a research career involving clinical, pediatric, contraception, infertility, and health disparities related areas. The LRP is an important component of NIH's efforts to recruit and retain the next generation of researchers by providing the means for developing a research career unfettered by the burden of student loan debt. Note that an NIH grant is not required for eligibility and concurrent career award and LRP applications are encouraged. The periods of career award and LRP award may overlap providing the LRP recipient with the required commitment of time and effort, as LRP awardees must commit at least 50% of their time (at least 20 hours per week based on a 40 hour week) for two years to the research. For further information, please see: http://www.lrp.nih.gov.

Attachments
1.  Listing of Section 736 Institutions
2.  Sample Calculation of Endowment Awards
3.  Institutional Endowment Assets of Section 736 Institutions
4.  Sample Form of Endowment Spending Rule


Attachment #1
RFA MD-07-001

HRSA CENTERS OF EXCELLENCE

Section 736 Health Professional Schools

Type of HRSA COE

Institution/Principal Investigator

Address

HCOE

ALBERT EINSTEIN COLLEGE OF MEDICINE
(YESHIVA UNIVERSITY)
Alvin H. Streinick M.D.

1300 Morris  Park Avenue
Bronx, NY 10461
TEL : (718) 920-4678
FAX (718) 515-5416

OTHER COE
(URM)                    

CREIGHTON UNIVERSITY
Omofolasade Kosoko-Lasaki, MD

College of Medicine
2500 California Plaza
Omaha, NE 68178-0001
TEL: (402) 280-2332
FAX: (402) 280-4030

OTHER COE
(AA)

HOWARD UNIVERSITY
Beatrice Adderley-Kelly, PhD

College of Pharmacy, Nursing and Allied
Health Science
Sixth and W Street, NW, Annex 2, Rm. 203
Washington. DC 20059
TEL: (202) 806-5431
FAX: (202) 234-1375

HBCU

MEHARRY MEDICAL COLLEGE
William B. Butler, D.D.S., M.S.
Dean

School of Dentistry
1005 D.B. Todd Boulevard
Nashville, TN 37208-3599
TEL: (615) 327-6207
FAX: (615) 327-6213

HBCU

MEHARRY MEDICAL COLLEGE
Billy Ballard, D.D.S., M.D.
Associate Dean of Graduate Medical Education

School of Medicine
1005 D.B. Todd Boulevard
Nashville, TN 37208
TEL: (615) 327-6663
FAX: (615) 327-6409

OTHER COE
(URM)

MICHIGAN STATE UNIVERSITY
Wanda D. Lipscomb, Ph.D.

College of Human Medicine
A234 Life Sciences Building
East Lansing, MI 48824
TEL: (517) 353-7140
FAX: (517) 432-1051

OTHER
(AA)

MOREHOUSE SCHOOL OF MEDICINE
Angela L. Franklin, Ph.D.
Vice Dean and Associate Vice President for Academic and Student Affairs

720 Westview Drive, SW
Atlanta, GA 30310
TEL: (404) 752-1651
FAX:(404) 752-1824

OTHER COE
(URM)

OHIO UNIVERSITY
Harold C. Thompson III, DO

College of Osteopathic Medicine
030 Grosvenor Hall
Athens, OH 45701
TEL: (740) 593-2249
FAX: (740) 593-2399

HCOE

STANFORD UNIVERSITY
Fernando S. Mendoza, MD., M.P.H.

Center of Excellence
School of Medicine
251 Campus Drive MSOB Rm. 355
Stanford, CA 94305
TEL: (650) 725-0385
FAX: (650) 725-7855

HCOE

TEXAS TECH UNIVERSITY HEALTH SCIENCE CENTER
Jose Manuel De La Rosa, MD
Associate Academic Dean

School of Medicine
4800 Alberta Avenue
El Paso TX 79905
TEL:(915) 545-6510
Fax :(915) 545-6521

HBCU

TUSKEGEE UNIVERSITY
Barbara C. Diffay, DVM

College of Veterinary Medicine, Nursing
and Allied Health
Office of the Dean
42 Tuskegee University
Tuskegee, AL 36088
TEL: (334) 727-4178
FAX: (334) 727-8177

HCOE

UNIVERSITY OF ARIZONA
Francisco Garcia, M.D.

College of Medicine
Department of Obstetrics and Gynecology
P.O. Box 245078
Tucson, AZ 85724
TEL: (520) 626-8539
FAX: (520) 626-8339

HCOE

REGENTS OF THE UNIVERSITY OF CALIFORNIA-SAN DIEGO/LA JOLLA
Sandra P. Daley, MD
Assistant Dean, School of Medicine

Hispanic Center of Excellence
School of Medicine
9500 Gilman Drive, #0927
La Jolla, CA 92093-0927
TEL: 619-681-0675
FAX: 619-681-0666

OTHER COE
(URM)

REGENTS OF THE UNIVERSITY OF
CALIFORNIA — LOS ANGELES
(UCLA/CHARLES R. DREW UNIVERSITY SCHOOL OF MEDICINE)
Gerald S. Levey, M.D.

UCLA School of Medicine
10833 LeConte Avenue, Room 12-138CHS
P.O. Box 951722
Los Angeles, CA 90095-1722
TEL: (310) 825-5687
FAX: (310) 825-4955

HCOE

UNIVERSITY OF CALIFORNIA SAN FRANCISCO
Alma Martinez, MD

Department of Pediatrics
School of Medicine
1001 Potrero Avenue
Mail Stop 6E
San Francisco CA 94110
TEL: (415)-206-3084
Fax: (415)-502-1680

NHCOE
(NH/NA/PI)

UNIVERSITY OF HAWAII, MANOA
Benjamin Young, MD

John A. Burns School of Medicine
1960 East West Road
Honolulu, HI 96822
TEL: (808) 956-6435
FAX: (808) 343-0987

HCOE

UNIVERSITY OF ILLINOIS, CHICAGO
Jorge A. Girotti, Ph.D.

College of Medicine East
808 Southwood Street, Room 990
Chicago, IL 60612-7333
TEL: (312) 996-4493
FAX: (312) 996-9922

OTHER COE
(URM)

UNIVERSITY OF KANSAS MEDICAL CENTER
Patricia A. Thomas, MD

3901 Rainbow Boulevard
Office of Cultural Enhancement & Diversity
Kansas City, KS 68160
TEL: (913) 588-3691
FAX: (913) 588-7073

NACOE

UNIVERSITY OF MINNESOTA
Jocelyn Dorscher, MD

School of Medicine
1035 University Drive, Room 182
Duluth, MN 55812
TEL: (218) 726-7235
FAX: (218) 726-8948

NACOE

UNIVERSITY OF MONTANA
Lori Morin

Skaggs School of Pharmacy, 5B320
32 Campus Drive, MS 1542
Missoula, MT 59812
TEL: (406) 243-4080
FAX: (406) 243-4209

HCOE

UMDNJ-NEW JERSEY MEDICAL SCHOOL
Maria Soto-Greene, M.D.

Office of Special Programs
Hispanic Center of Excellence
UMDNJ — New Jersey Medical School
185 South Orange Avenue, MSB B624
Newark, NJ 07101-1709
TEL: (973) 972-9074
FAX: (973) 972-3768

OTHER COE
(NA/HA)

UNIVERSITY OF NEW MEXICO HEALTH SCIENCE CENTER
R. Steven Padilla, MD

School of Medicine
1021 Medical Arts Avenue, NE
MSC 074240
Albuquerque, NM 87102
TEL: (505) 272-6000
FAX: (505) 272-6003

NACOE

UNIVERSITY OF OKLAHOMA HEALTH SCIENCES CENTER
Phillip A. McHale, PhD

PO Box 26901
Oklahoma City, OK 73126
TEL: (405) 271-8000 ext. 46199
FAX: (405) 271-7382

HCOE

UMDNJ-NEW JERSEY MEDICAL SCHOOL
Maria Soto-Greene, M.D.

Office of Special Programs
Hispanic Center of Excellence
UMDNJ — New Jersey Medical School
185 South Orange Avenue, MSB B624
Newark, NJ 07101-1709
TEL: (973) 972-9074
FAX: (973) 972-3768

OTHER COE
(URM)

UNIVERSITY OF PENNSYLVANIA
Jerry C. Johnson, MD

School of Medicine
3508 Market Street
Suite 234
Philadelphia, PA 19104-3357
TEL: (215) 898-3892
FAX: (215) 573-2793

HCOE

UNIVERSITY OF PUERTO RICO DENTAL
Kathleen Crespo, DDS

School of Dentistry
Medical Science Campus Office #BB37
P.O. Box 365067
San Juan PR 00936
TEL: (787) 758-2525 ext 1010
FAX: (787) 751-5279

OTHER COE

UNIVERSITY OF TENNESSEE
James C. Eoff, Pharm.D.

College of Pharmacy
847 Monroe Avenue, Suite 226
Memphis, TN 38163
TEL: (901) 448-6120
FAX: (901) 448-7053

HCOE

UNIVERSITY OF TEXAS AT AUSTIN
Louis C. Littlefield, Pharm.D.

College of Pharmacy
1 University Station A1900
Austin, TX 78712-0120
TEL: (512) 475-9746
FAX: (512) 232-1893

HCOE

UNIVERSITY OF TEXAS MEDICAL
BRANCH AT GALVESTON
Lauree Thomas, M.D.

School of Medicine
301 University Boulevard, Ste. 1208
Ashbel Smith Building
Galveston, TX 77555-1307
TEL: (409) 772-1442
FAX: (409) 772-5148

HCOE

UNIVERSITY OF TEXAS
HEALTH SCIENCE CENTER, AT HOUSTON
Paula O’Neill, M.Ed., Ed.D.

Dental Branch
6516 MD Anderson Boulevard
Houston TX 77030
TEL: (713) 500-4292
FAX: (713)500-4436

HCOE

UNIVERSITY OF TEXAS
HEALTH SCIENCE CENTER, SAN
ANTONIO
Ramon Baez, D.D.S., M.P.H.

School of Dentistry
7703 Floyd Curl Drive, MC 7914
San Antonio, TX 78229-3900
TEL: (210) 567-3420
FAX: (210) 567-0602

HCOE

UNIVERSITY OF TEXAS
HEALTH SCIENCE CENTER, SAN
ANTONIO
Martha A. Medrano, M.D., M.P.H.

School of Medicine, Medical Hispanic COE
7703 Floyd Curl Drive, MC 7745
San Antonio, TX 78229-3900
TEL: (210) 567-0963
FAX: (210) 567-0974

NACOE
(AN/Al)

UNIVERSITY OF WASHINGTON, SEATTLE
Daniel Acosta, MD

School of Medicine
Office of Multicultural Affairs (OMCA)
1959 NE Pacific Street
Box 357430, Room T-545
Seattle, WA 98195
TEL: (206) 685-2489
FAX: (206) 543-9063

HBCU

XAVIER UNIVERSITY
Wayne Harris, Ph.D.

College of Pharmacy
1 Drexel Drive
New Orleans, LA 70125
TEL: (504) 520-7421
FAX: (504) 520-7930


Attachment #2
RFA MD-07-001

SAMPLE CALCULATIONS:
ENDOWMENT GRANT AWARDS FOR ELIGIBLE INSTITUTIONS

The purpose of this document is to describe the methodology that eligible institutions should use in calculating the amount of endowment funds to request.

ELIGIBILITY CRITERIA:

Pursuant to PL 106-525 institutions that have total/system-wide endowments less than/or equal to 50 percent of the national average of endowments for institutions that conduct similar biomedical research or training of health professionals are eligible to participate in the NCMHD Endowment Program.

Collaborating health professions schools (HPSs) that meet these eligibility criteria may independently apply for endowment support.

ASSUMPTIONS:

1)    The maximum amount that an institution can request in endowment funds in an application depends on the extent to which they serve racial and ethnic minority and socio-economically students, particularly with respect to the percent of such students that graduate from their health professions and graduate science degree programs.

2)    Since FY2002, the Endowment Program has followed a variation of the NIH modular grant concept for making endowment grant awards. One endowment grant funding unit is equal to $312,500.00.

3)    The three most important factors that determine the size of the request for an endowment grant are:

  1. The Institution’s Health Disparity Student Index (HDSI)

HDSI = System-wide total of racial and ethnic minority graduates from health professions and graduate science degree programs on all campuses + system-wide graduates from other health disparity groups in health professions and graduate science degree programs on all campuses over 5 years (i.e. socio-economically disadvantaged students)] divided by (the total graduates system-wide from all campuses over five years] x 100.   

Sample Calculation of the Health Disparity Student Index (HDSI)

5 year total graduation numbers for racial/ethnic minority and socio-economically disadvantaged health professions/graduate science programs = 1428
                                                                                                                                                  
5 year institutional system-wide total graduation numbers = 19,550

HDSI = (1428/19,550) x 100 = 7.3

  1. The System-wide Endowment Index

Endowment Index  =  HDSI / (Institutional Endowment/l0,000,000)

To ensure that the Endowment Index is a number with a value near or above 1, the value of the institution endowment is divided by a factor of 10,000,000.

                      HDSI                         
Corporate/system-wide Endowment              =              Endowment Index (EI)
                    10,000,000

See the sample calculation below.

     University of XYZ’s HDSI = 7.3
     University of XYZ’s corporate/system-wide endowment = $123,500,000

EI = 7.3/ (123,500,000/10,000,000) = 7.3/12.35 = 0.59 (rounded up to 1.0 since value less than 1)

  1. The size of a FUNIDING UNIT for an Endowment Grant Award

4.   Institutions may request one funding unit of endowment funds for each EI value of 1 and above, up to a maximum of 16 funding units.

a.    Institutions with El values of less than 1 may assume an EI value of 1.

b.    Institutions with EI values greater than 16 may assume an EI value of 16.

c.     The maximum number of funding units that can be requested is 16 (e.g., 16 x $312,500).

Sample Calculations (EI rounded up or down to the nearest tenth)

Institution

Estimated
Health
Disparity
Student Index*

Endowment
Amount
(x 1,000)

Estimated
Endowment
Index §
(EI)

Maximum Endowment
Request:
(EI x $312,500)

Institution XYZ (above)

7.3

123,500

1

$312,000

Institution A

85

63,000

13.5

$4,218,750.00

Institution B

90

424,000

2.1

$656,250.00

Institution C

75

248,000

3.0

$937,500.00

Institution D

100

4,885

205 (16)

$5,000,000.00

Institution E

85

2,542

334 (16)

$5,000,000.00

SPECIAL CONSIDERATIONS:

A currently funded institution in the last year of its NCMHD Research Endowment project period (that is eligible to apply for a subsequent award) that applies for an award under a different mechanism must explain its decision to be considered under a new funding mechanism.

The national average for endowments at Section 736 institutions is $2,102,370,205 and $1,051,185,103 is 50 percent of that value.


DEFINITIONS:

Health Disparity Students:
Health disparity students include students from racial and ethnic minority and health disparities populations.  For purposes of the endowment, the term socio-economically disadvantaged student is used interchangeably with health disparity student.  The NCHMD Director and the Director of the Agency for Research on Healthcare Quality are responsible for validating the consideration of any other a group as a health disparity group.  See Public Law 106-525. Foreign students are not included.

Racial and Ethnic Minority:
American Indians (including Alaska Natives, Eskimos, and Aleuts), Asian Americans, Blacks, Hispanics, Native Hawaiians and other Pacific Islanders.  Hispanic means individuals whose origin is Mexican, Puerto Rican, Cuban, Central or South American, or other Spanish-speaking country. 

Socio-economically disadvantaged student:
For the purpose of the endowment program, the term “socio-economically disadvantaged” student may be used interchangeably with health disparity students.  An individual from a socio-economically disadvantaged background is defined as an individual who comes from an environment that has inhibited the individual from obtaining the knowledge, skills, and abilities required to enroll in and graduate from a health professions school, or from a program providing undergraduate or graduate education or training in an allied health profession, or from a graduate sciences program; or comes from a family with an annual income at/below a level based on low-income thresholds according to family size published by the U.S. Bureau of the Census, adjusted annually for changes in the Consumer Price Index, and adjusted by the Secretary for use in all health professions programs.  (The Secretary periodically publishes these income levels in the Federal Register).  

Socio-economically disadvantaged students are those that have Health Professions Student Loans (HPSL); Loans for Disadvantaged Student Programs; Scholarships for Individuals with Exceptional Financial Need; Federal Perkins Loans or other specific loans or scholarships designated for disadvantaged students.

Attachment #3                                                                                                                                                                  
RFA MD-07-001

ENDOWMENT DATA ON CURRENTLY FUNDED SECTION 736 INSTITUTIONS
(based on institutional corporate/system-wide endowments)
Programs of Excellence in Health Professions Education for Underrepresented Minority Individuals in italics

Institution

State

Endowment Assets*

Stanford University
Stanford University School of Medicine

CA

12,205,000,000

University of Texas (UT) System
UT Austin College of Pharmacy
UT Health Science Center (HSC) - Houston
UT HSC - San Antonio School of Dentistry
UT HSC-  San Antonio School of Medicine
UT Medical Branch at Galveston

TX

11,610,997,000

University of California (UC) System 
UC San Diego/LaJolla (Regents of the University of California)
UC San Francisco School of Medicine

CA

5,221,916,000

University of Pennsylvania
University of Pennsylvania School of Medicine

PA

4,369,782,000

University of Washington System
UWA – Seattle School of Medicine

WA

1,489,924,000

Yeshiva University
Albert Einstein College of Medicine

NY

1,148,687,000

Michigan State University (MSU)
MSU College of Human Medicine

MI

906,342,000

University of Tennessee (UT) System
UT Health Science Center  College of Pharmacy Memphis

TN

714,968,000

Texas Tech University
Texas Tech University Health Science Center

TX

461,903,000

Howard University (HU)
HU College of Pharmacy, Nursing and Allied Health

DC

397,657,000

University of Arizona (UA) and Foundation
UA College of Medicine Tucson

AZ

393,400,000**

Creighton University
Creighton University College of Medicine

NE

239,517,000

University of Medicine & Dentistry of New Jersey (UMDNJ)
UMDNJ Medical School

NJ

224,620,000

Ohio University
Ohio University College of Osteopathic Medicine

OH

195,726,000

Tuskegee University (TU)§
TU College of Veterinary Medicine, Nursing and Allied Health

AL

71,192,358

Xavier University §
Xavier University College of Pharmacy

LA

57,359,547

Meharry Medical College
Meharry School of Medicine
Meharry School of Dentistry

TN

55,390,000

University of Puerto Rico System§
UPR Medical Sciences Campus  School of Dentistry

PR

38,777,214

Morehouse School of Medicine

GA

38,491,000

Charles R. Drew University of Medicine and Science
(Regents of the University of California, Los Angeles)

CA

26,000,000

Total Sec 736 Corporate /system-wide Endowment)                                                       $45,227,327,119
National Endowment Average (divided by 27 Institutions)                                                 $1,675,086,190 50% of National Endowment Avg.                                                                                 $837,543,095

______________________________________

* Sources: “The Top American Research Universities” December 2005 Report by TheCenter at the University of Florida; 2006 National Association of College and University Business Officers (NACUBO) Endowment Study (Released
January, 2006).
** Corporate/system-wide endowment managed by private non-profit foundations and/or public entities established by or for the benefit of the institution.
§ Self-Reported data.


Attachment #4                                                                                                                                                                     
RFA MD-07-001

SAMPLE FORM OF ENDOWMENT SPENDING RULE

            Amounts allocated for current spending will be determined by applying a rate of 5 percent to the three-year moving average of the fiscal year-end fair market value of each endowment fund in the university’s endowment pool.

            Beginning with the first year in which the spending rule is implemented for a particular fund, the spending amount is to be determined as follows:

      1. The average fair value of the fund will be determined as of the last day of the most recent three fiscal years.  If the fund was not in existence as of the last day of the university’s most recent three fiscal years, the values will be determined as for the average of the last two years or on the basis of the most recent single year, as appropriate given the time at which the fund was endowed.
      2. The amount to be allocated for spending during the current year is then calculated by applying 5 percent to the average fair market value of the fund as so determined.
      3. Notwithstanding the foregoing, amounts to be allocated for spending may only be generated by gains in a fund.  If the value of a fund is below that of its historic dollar value, distributions pursuant to the foregoing formula may not be made in amounts which exceed such realized and unrealized gains.  In such circumstances, however, ordinary income which the fund receives from dividends and interest may nonetheless be expended.

            In subsequent years, the amount determined in the foregoing manner will be divided by four and applied to the fund on March 31, June 30, September 30, and December 31, to provide for quarterly distributions.

            Any cash or cash-equivalent donations received by the university will be invested in the university’s cash management pool until the last day of the first calendar quarter after receipt.  Appropriate interest earnings for the time the donation was invested in the cash management pool will be allocated for spending.


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Research (OER)
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9000 Rockville Pike
Bethesda, Maryland 20892
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