INSTITUTIONAL RESEARCH TRAINING PROGRAMS: INCREASING DIVERSITY Release Date: April 19, 2001 RFA: RFA-MH-01-009 (Limited competition for competing renewal applications, see RFA-MH-07-030) National Institute of Mental Health (http://www.nimh.nih.gov) National Institute on Drug Abuse (http://www.nida.nih.gov) National Institute of Neurological Disorders and Stroke (http://www.ninds.nih.gov) Letter of Intent Receipt Date: July 10, 2001 Application Receipt Date: August 10, 2001 PURPOSE The National Institute of Mental Health (NIMH), the National Institute on Drug Abuse (NIDA) and the National Institute of Neurological Disorders and Stroke (NINDS) invite applications for the Institutional Research Training Programs: Increasing Diversity, that are expected to significantly enhance the number of minority scientists trained to conduct research in mental health, mental illness, drug abuse and neurological sciences. The NIMH, NIDA and NINDS have a long history of supporting nationwide, specialized programs to increase the participation of underrepresented minorities in research relevant to the missions of the Institutes. Still, the underrepresentation of racial and ethnic minority scientists in these scientific fields continues to represent a substantial concern. The purpose of this Request for Applications (RFA) is to encourage National Research Service Award (NRSA) institutional research training grant (T32) applications designed to recruit, train, and retain minority individuals in doctoral and/or postdoctoral programs in research areas encompassed by the missions of one or more of the three sponsoring Institutes. Each training grant will support a national or regional program with the capability of supporting trainees at multiple institutions across the country or region (including the parent institution, if applicable). For the purposes of this RFA, regional programs are defined as networks of multiple programs involving a minimum of 3 institutions. The overall goal of NRSA training programs at the NIMH, NIDA and NINDS is to help educate leaders of the Nation"s next generation of mental health, drug addiction, and basic and clinical neurological sciences researchers. The specific goal of this program is to increase the number of future minority scientists trained to conduct research relevant to the missions of each Institute by supporting national or regional programs for the recruitment, training, and retention of scientists in outstanding research programs across the nation. Further, it is expected that the training program will help train future scientists with state-of-the-art research skills in cutting-edge science, and a commitment to research in their chosen field. Areas of research of interest to each Institute can be found at the following websites: NIMH: http://www.nimh.nih.gov/grants/grantinfo.cfm NIDA: http://www.nida.nih.gov/AboutNIDA.html NINDS: http://www.ninds.nih.gov/funding/funding_announcements/funding_opps.htm 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, Institutional Research Training Programs: Increasing Diversity, is related to numerous priority areas in this initiative. Potential applicants may obtain a copy of "Healthy People 2010" at: http://www.health.gov/healthypeople/. ELIGIBILITY REQUIREMENTS Applications may be submitted by domestic, non-profit organizations, public and private, such as universities, colleges, professional and scientific organizations, units of State and local governments, and eligible agencies of the Federal government. Collaborative arrangements are encouraged. Foreign institutions are not eligible for NRSA institutional research training grants. Racial/ethnic minority individuals, women, and persons with disabilities are encouraged to apply as Program Directors and as faculty mentors. Because training program applications in response to this RFA have special eligibility requirements, application formats, and review criteria, it is critical that prospective applicants consult with the program staff listed under INQUIRIES. Prospective applicants should also consult the National Research Service Awards Guidelines (http://grants.nih.gov/training/nrsaguidelines/nrsa_toc.htm) and the omnibus NIH National Research Service Award Institutional Research Training Grants Program announcement (http://grants.nih.gov/grants/guide/pa-files/PA-00-103.html). Institutional Eligibility Requirements Applicant institutions must have staff, facilities, and financial monitoring/ accounting capability suitable for implementing a national or regional program to recruit, select, place, and retain minority trainees in departments or programs with environments appropriate for performing high quality research training and with strong research programs in one or more of the scientific disciplines relevant to the missions of one or more of the participating Institutes. Information regarding the various research programs supported by the three Institutes can be found at: NIMH: http://www.nimh.nih.gov/grants/grantinfo.cfm NIDA: http://www.nida.nih.gov/AboutNIDA.html NINDS: http://www.ninds.nih.gov/about_ninds/plans/ninds_plans.htm Trainee Eligibility Requirements Individuals selected to participate in these training programs must be citizens or non-citizen nationals of the United States, or have been lawfully admitted to the United States for permanent residence and have in their possession an Alien Registration Receipt Card (I-151 or I-551) or other legal verification of admission for permanent residence at the time of appointment to the training program. Non-citizen nationals are persons born in lands that are not States but are under U.S. sovereignty, jurisdiction, or administration (e.g., American Samoa). Individuals on temporary or student visas are not eligible. Trainees must be free of all Federal debt. For the purpose of this RFA, underrepresented minorities are defined as individuals belonging to a particular ethnic or racial group that has been determined by the grantee institution or organization to be underrepresented in biomedical or behavioral research. Predoctoral individuals must have received, as of the trainee appointment beginning date of their NRSA award, a baccalaureate degree and must be enrolled in and training at the post-baccalaureate level in a program leading to the award of a Doctor of Philosophy or Science (Ph.D. or Sc.D.). Postdoctoral trainees must have received a Ph.D., M.D., D.O., D.V.M., O.D., D.S.W., D.P.M., Sc.D., D.Eng., D.N.S., or equivalent doctoral degree from an accredited domestic or foreign institution. Certification by an authorized official of the degree granting institution that all degree requirements have been met is also acceptable. Individuals currently supported by other Federal funds are not eligible for trainee support from these programs at the same time. Further, NRSA fellowships are not given for study leading to a M.D., D.O., D.D.S., or other similar professional degree, or master’s degree. Similarly, trainees may not accept NRSA support for studies that are part of residency training leading to clinical certification in a medical specialty or subspecialty. It is permissible and encouraged, however, for clinicians to engage in NRSA supported full-time, postdoctoral research training even when that experience is creditable toward certification by a clinical specialty or subspecialty board. Additional information may be obtained in the National Research Service Award Guidelines at: http://grants.nih.gov/training/nrsaguidelines/nrsa_toc.htm. MECHANISM OF SUPPORT This RFA will use the NIH National Research Service Award Institutional Research Training Grants (T32) mechanism. Responsibility for the planning, direction, execution, and financial and accounting responsibilities of the proposed research training program will be solely that of the Program Director and sponsoring organization. In addition, the establishment of an external advisory committee with appropriate expertise is required (see below). The total project period for an application submitted in response to this RFA may not exceed 5 years. This RFA is a one-time solicitation. NIMH, NIDA and NINDS may re-issue the RFA in the future if it is determined that underrepresentation of racial and ethnic minority scientists in research fields relevant to the mission of each Institute continues to remain a concern. The earliest anticipated date for award of grants under this RFA is July 2002. FUNDS AVAILABLE NIMH, NIDA and NINDS, in combination, intend to commit approximately $2,500,000 (total cost) in fiscal year 2002 to fund approximately 8 to 9 training programs in response to this RFA. Because the nature and scope of the research proposed may vary, it is anticipated that the size of each award will vary. Awards pursuant to this RFA are contingent upon the availability of funds and the receipt of a sufficient number of applications of outstanding scientific and technical merit. Further, the duration of the award and the number of funded training positions may be less than the levels recommended by the peer review group, based on programmatic and budgetary considerations. Funds for continuation beyond the initial year are determined by the success as described in the annual progress report in the continuation application, the timely submission of all required forms, and the availability of funds. RESEARCH TRAINING OBJECTIVES This program is an important initiative at the NIMH, NIDA and NINDS, and is intended to provide support for national or regional programs to recruit, train, and retain underrepresented minorities in outstanding graduate and postdoctoral programs across the nation. For this reason, it is critically important that the applicant organization have extensive contacts with institutions with substantial minority enrollment (e.g., Historically Black Colleges and Universities (HBCUs), Hispanic Serving Institutions (HSIs), tribally affiliated institutions (etc.) in order to maximize the potential to recruit outstanding trainees. HBCUs, HSIs, and other predominantly minority institutions with outstanding research and training resources are encouraged to apply under this RFA. It is important that the applicant organization have the ability to recruit outstanding faculty to serve as mentors for the trainees. This program is not intended simply to provide training for individuals already supported or who have an available position through other NRSA programs. Rather, the intent is to attract, train, and retain new trainees into research careers relevant to the missions of one or more of the participating Institutes. The application must provide a detailed and comprehensive plan for the proposed training program. Considerable flexibility may be shown in designing options for the training program, but each aspect must be clearly described in terms of its intent and mechanism, and convincing justification must be provided for the approach being taken. The following components must be included. Program Plan The application must describe a program plan for the training program, including the overall goals, specific objectives, and number and levels of trainees to be supported. The plan should clearly indicate how the program will recruit, select, and place underrepresented minority trainees in appropriate departments or programs with strong mental health, and/or drug abuse and/or neurological sciences relevant research, and how it will anticipate and deal with potential concerns which may be encountered in program implementation. Recruitment plans should include consideration of the best ways to recruit promising students who have completed NIMH and/or NIDA and/or NINDS supported undergraduate programs. For a description of these programs please see the appropriate Institute website below: NIMH: http://www.nimh.nih.gov/grants/special.htm NIDA: http://www.drugabuse.gov/about/organization/SPO/SPOHome.html NINDS: http://www.ninds.nih.gov/funding/minorities_and_disabilities.htm Individuals currently supported by other Federal funds are not eligible for simultaneous trainee support from these programs. The program plan should also demonstrate how the applicant will provide ongoing monitoring, career counseling, and other support to help ensure that the trainees complete their predoctoral and/or postdoctoral training and enter productive research careers in areas relevant to the missions of one or more of the participating Institutes. The plan should identify those institutions with a track record in training mental health, and/or drug abuse and/or neurological sciences researchers where the trainees will be placed, and must include a sample agreement between the grantee institution and the participating training sites. The plan should also indicate how the program will establish networks and linkages with other mental health, and/or drug abuse and/or neurological sciences researchers. Special emphasis should be given to how the training will prepare graduate students and postdoctoral trainees for careers in research mission areas of one or more of the participating Institutes. In addition, the plan should provide documentation of the specific research training needs to be addressed by the program, and how these needs relate to the mission of one or more of the participating Institutes. The application must describe how the proposed program design will lead to the overall goal of providing an increased number of underrepresented minority researchers who are actively engaged in research careers in mental health, and/or drug abuse and/or neurological sciences. Innovative approaches and strategies designed to meet these objectives are encouraged. In addition to the foregoing, the application must contain descriptions of how the proposed program intends to carry out the following kinds of activities: o Continuing contact, support, and supervision to be provided to individual trainees by the Program Director and faculty (see Program Leadership below) including strategies for increasing retention in the mental health, and/or drug abuse and/or neurological sciences research arenas o Examples of evaluation and reports expected from the graduate students and postdoctoral trainees and from their faculty mentors and department, plans for taking action to enhance the training experiences, and, availability of special faculty mentors and communication with them o Enrichment experiences, professional socialization, and networks beyond those provided in the training setting o Research workshops to meet special needs of the trainees in the mental health, and/or drug abuse and/or neurological sciences research (e.g., course work in research methods/statistical analysis, workshops on current research in mental health, and/or drug abuse and/or neurological disorders among racial and ethnic groups, seminar or lecture series, etc.) -- any expenses associated with such attendance must be included in the detailed budget section of the application o Assessment of training institutions" required research curricula and present faculty research programs o Adequacy of plans for the protection of human subjects, animals, or the environment, to the extent they may be adversely affected by the research proposed o Discussions of methods to be used to facilitate the retention, graduation, and transition to research careers, once training is completed, especially at the postdoctoral level -- this should include a description of program activities that will be used to help trainees complete their doctoral training (F31, R03 Dissertation, and other T32 opportunities), make use of postdoctoral research training opportunities (F32 and other T32 opportunities), and subsequently, the Mentored Research Career Development awards (K01, K08, and K23) o Plans for evaluating the trainees progress while in the training program, follow-up of trainees supported upon completion of the program, assurance that both qualitative and quantitative approaches will be used in the evaluation, and, annual assessment of the training program and need the for change Program Leadership The Program Director, with the assistance of a Training Advisory Committee (see below), will be responsible for the recruitment, selection and retention of underrepresented minority trainees, and for their placement in appropriate doctoral or postdoctoral training programs, as well as for the overall direction of the training program. These programs should have strong track records of research and research training in the mental health, and/or drug abuse and/or neurological sciences, as well as the fiscal and other support necessary for graduate and postdoctoral training. Equally important is the overall administration of the research training program, including provisions for the on-time submission of all required forms, and the maintenance of trainee records for future evaluation of the success of the program. The Program Director and advisory committee will assist the prospective trainees in the selection of training institutions with a strong record of mental health, and/or drug abuse and/or neurological sciences relevant research, and provide counseling on research curricula offerings to assure that students or trainees move forward in these research areas. Importantly, the application should describe the Program Director"s qualifications, research experience, and knowledge of current research in the field, and should include his/her curriculum vitae. The application should detail the specific duties of the Program Director, including the time to be devoted by the Program Director to various tasks, as well as the total amount of time committed solely to carrying out the training program. A range of 15-25 percent of the Program Director"s time must be committed to the program. Training Advisory Committee The application must present a plan for establishing a Training Advisory Committee composed of outstanding mental health, and/or drug abuse and/or neurological sciences researchers, including significant minority representation, to assist the Program Director in the recruitment, selection and retention of graduate students and postdoctoral trainees and to advise each trainee concerning appropriate doctoral or postdoctoral programs with strong NIMH, and/or NIDA and/or NINDS Institute relevant research. The functions, size, and composition of the advisory committee should be clearly stated. The application should describe the range and types of research to be represented, the qualifications and selection criteria for members of the proposed Training Advisory Committee, and explain the duties and responsibilities of this committee. The application should also contain a list of individuals who have agreed to serve as initial committee members, and provide the rationale for their selection, including a description of their current research, and its source and amount of funding. A Biographical Sketch and Other Support form (see form PHS 398) and letter of support must be included for each member. Knowledge of Doctoral and Postdoctoral Programs in Mental Health, and/or Drug Abuse and/or Neurological Sciences The application should provide detailed information about appropriate university programs (including within the applicant institution, if applicable) for graduate students and postdoctoral trainees supported by the proposed training program. Such information must include details about current and relevant faculty research, research-related curricula, and other elements of the training programs and resources available to current graduate students and postdoctoral trainees at these universities. A copy of the planned recruitment documents should be included, as well as plans to disseminate the recruitment information. Further, the application must indicate how the proposed training program will obtain information about changes in these programs. A list of potential training institutions with current information on their NIMH, and/or NIDA and/or NINDS funded research projects is required. The application must also describe resources and processes available for obtaining up-to-date information and for sharing this information with potential trainees, including full descriptions of the plans that have been or will be established to work with prospective trainees to help them in selecting research-intensive graduate or postdoctoral programs with strong mental health, and/or drug abuse and/or neurological sciences research. For each site, a plan detailing the training (level of training and anticipated number of trainees) should be included in the application. Program Faculty The application must list proposed training faculty members, their primary department and university affiliation, and their role and percent of effort in the proposed program. The applicant also must describe each faculty member"s research that is relevant to the program, indicating how trainees will participate in this research. The extent to which participating faculty members cooperated, interacted, and collaborated in the past must be described. The application also must list past and current students for whom each faculty member has served or is serving as thesis advisor or sponsor, titles of the student"s research project, and, for past students, their current positions and sources of support. Each trainee must have a faculty advisor who is actively engaged in funded mental health, and/or drug abuse and/or neurological sciences research. A biographical sketch and information about relevant research support (see form PHS 398) should be included for each current or proposed faculty member. Responsible Conduct of Research The application must describe plans to give trainees instruction on scientific integrity and ethical principles in research, and include a description of both formal (courses, seminars, etc.) and informal training that will be provided. SPECIAL REQUIREMENTS Trainee Requirements Trainees are customarily appointed for full-time 12-month continuous periods. All trainees are required to pursue their research training on a full-time basis, at a minimum of 40 hours per week. The amount of the stipend and tuition (defined for the purposes of NRSA as the cumulative amount of tuition, all fees, and health insurance) for each full appointment period must be obligated from funds available at the time the individual begins training. See http://grants.nih.gov/grants/guide/notice-files/not96-020.html for additional details on allowable stipend/tuition fees. By law, an individual trainee may receive no more than 5 years of NRSA support in the aggregate at the predoctoral level, and no more than 3 years of NRSA support in the aggregate at the postdoctoral level. Exceptions to this limitation require a waiver from the director of the funding institute based on a review of the justification provided by the awardee, and must be submitted for prior written approval. Payback Requirements Pursuant to the NIH Revitalization Act of 1993, individuals who receive support as NRSA predoctoral trainees under awards activated on or after June 10, 1993, do not incur a service payback obligation. Postdoctoral trainees receiving NRSA support incur a service payback obligation only during their first 12 months of postdoctoral support. The second and subsequent years of postdoctoral NRSA training will serve to pay back a postdoctoral service payback obligation. Therefore, the payback agreement must be signed and submitted with the appointment form for only the initial year of support. Conditions of Award Grants must be administered in accordance with the revised NIH Grants Policy Statement (NIHGPS). The provisions of the revised NIHGPS are effective for all funded NIH grants and cooperative agreements with budget periods beginning on or after March 1, 2001. The revised NIHGPS is available at: http://grants.nih.gov/grants/policy/nihgps_2001. The applicant organization must submit to The Institute a Statement of Appointment form (PHS 2271) along with the signed Payback Agreement (postdoctoral level only), at the time a trainee is appointed. No funds may be provided until such documents are submitted and accepted by the funding institute. At the end of the total support period for each individual trainee, the applicant must submit a Termination Notice (PHS 416-7) to NIH. Failure to submit the required forms in a timely manner may result in an expenditure disallowance or a delay in any future funding of the grant. Awardees may use some of their time in course studies and clinical duties if such work is closely related to and necessary for the research training experience. No appointment for less than 12 months may be made without prior approval of the institute. An NRSA traineeship may not be held concurrently with another federally sponsored fellowship or similar Federal award that provides a stipend or otherwise duplicates provisions of the training program award. An awardee may, however, accept concurrent educational remuneration from the Veterans Administration and loans from Federal funds. Trainees supported by academic institutions should refer to the NIH NRSA guidelines at: http://grants.nih.gov/grants/guide/pa-files/PA-00-103.html for guidance regarding vacations and requested leave. Annual Stipends The annual stipend for predoctoral trainees will remain fixed for the period of support, unless the stipend level is changed. The annual stipend for postdoctoral trainees is dependent on the number of full years of relevant experience at the time of the initial appointment. Applicants should consult with institute program staff for the latest stipend level. Alternatively, applicants may obtain information about current stipend levels and other policy documents from the URL for "NIH Research Training Opportunities: National Research Service Award (NRSA) Training Grants and Fellowships" at: http://grants.nih.gov/training/nrsa.htm. The stipend is provided as a subsistence allowance for trainees to help defray living expenses during the research training experience. The stipend is not a payment for services performed. Trainees are not considered to be employees of the PHS or their sponsoring organization. Supplementation of NRSA stipends from non-Federal funds is permitted. Other Federal funds may be used for supplementation only if explicitly authorized by the program from which such funds are derived. No PHS grant funds may be used for stipend supplementation. This is not intended to discourage in any way the use of Federal loan funds. Student Compensation, as described in the NRSA Guidelines, may be paid to trainees when there is an employer-employee relationship, and meets the stated criteria. This additional support may be provided to the trainee without obligation by the sponsoring institution(s), or may be conditioned on his/her performance of certain services such as teaching or serving as a laboratory assistant on a limited, part-time basis apart from the normal approved training program. Under no circumstances, however, may the service requirements detract from or prolong the training, nor be for the same research as described in the individual"s training program. Taxability of Stipends Internal Revenue Code Section 117 applies to the tax treatment of all scholarships and fellowships. The Tax Reform Act of 1986, Public Law 99-514, impacts on the tax liability of all individuals supported under the NRSA program. Under that section, degree candidates (e.g., predocs) may exclude from gross income (for tax purposes) any amount used for tuition and related expenses such as fees, books, supplies, and equipment required for courses of instruction at a qualified educational organization. Non-degree candidates (e.g., postdocs) are now required to report as gross income all stipends and any monies paid on their behalf for course tuition and fees required for attendance. The taxability of stipends, however, in no way alters the relationship between NRSA trainees, and institutions. NRSA stipends are not considered salaries. In addition, trainees supported under the NRSA are not considered to be in an employer-employee relationship with NIH or the institution in which they are pursuing research training. Therefore, it is inappropriate and unallowable for institutions to seek funds for or to charge institutional research training grant awards for costs that would normally be associated with employee benefits (e.g., FICA, workman"s compensation, and unemployment insurance). It must be emphasized that the interpretation and implementation of the tax laws are the domain of the Internal Revenue Service (IRS) and the courts. PHS takes no position on what the status may be for a particular taxpayer, and it does not have the authority to dispense advice to trainees or institutions about their tax liability. Individuals should consult their local IRS office about the applicability of the law to their situation and for information on their tax obligations. Other Allowable Costs In addition to stipends, the applicant organization may request funds for tuition, which includes all fees and health insurance. Such costs will be provided according to existing NIH policies on NIH Research Training Opportunities - National Research Service Award (NRSA) Training Grants and Fellowships, at the following website: http://grants.nih.gov/training/nrsa.htm. Applicants may also request funds for certain types of training-related travel for trainees, (e.g., to attend professional meetings and other meetings directly related to their training). Annual levels are anticipated to be up to $500 per predoctoral student and up to $1,000 per postdoctoral fellow. The applicant organization may also request funds for other Training-Related Expenses (TRE) such as personnel directing the program, consultants, project specific supplies, travel, reproduction and printing costs, rental equipment, minor equipment items, and other items that are directly related to the recruitment, selection, placement, monitoring and retention of the students. Funds for such other training-related expenses are intended to provide the applicant with only partial support for the costs of the proposed research training and for meeting the costs of the trainees research project. Ordinarily, under NRSA Awards, up to $2,000 per predoctoral student, and up to $3,500 per postdoctoral trainee is provided on an annual basis for the other training-related expenses which are deemed essential to carry out the training program for the NRSA awardees appointed under the grant. However, the applicant may request funds exceeding this amount if they are essential for fulfilling the purposes of the grant and the need for additional funds is clearly documented and justified by the applicant. Such requests must provide compelling justification for the additional funds and will be considered by the peer review committee and the National Advisory Mental Health Council, the National Advisory Council on Drug Abuse, or the National Advisory Neurological Disorders and Stroke Council. While the applicant may not request funds for any faculty mentoring services, funds may be requested in the TRE category for partial administrative assistance (one position, 30- 40 percent effort) essential for the administrative management of the training program. In any case, the TRE may not exceed 30 percent of the total direct costs in any year. All budget items within the TRE category must be explained in detail and be fully justified at the level requested (e.g., advisory committee costs, the training program director"s prorated salary, long-distance telephone, and printing costs). The type and amount of fiscal or in-kind costs to be contributed by the grantee organization should be identified and discussed in detail. Grantees are expected to be familiar with and comply with applicable cost policies, and the NRSA Guidelines. Funds may be used only for those expenses that are directly related and necessary to the research training not otherwise available and must be expended in conformance with DHHS Cost Principles, the NIH Grants Policy Statement (rev. 03/01/01), the NRSA regulations and guidelines, and conditions set forth in this document. Facilities and administrative (F&A) costs (formerly known as indirect costs) are limited to 8 percent of allowable direct costs (excludes all tuition costs, health fees, and equipment). Applications from State and local government agencies may request full F&A cost reimbursement. Other important information items regarding terms and conditions are located in the NRSA Guidelines (http://grants.nih.gov/training/nrsaguidelines/nrsa_toc.htm) and in the revised NIH Grants Policy Statement (http://grants.nih.gov/grants/policy/nihgps_2001/index.htm). Progress Reports (Competing Continuation Applications Only) Competing continuation training program applications must submit a progress report covering the development of the program to date and must submit complete information on the placement and career development performance of all trainees who were supported during the previous competing award project period. A table should be provided listing each trainee, the time supported, the trainee"s minority status, the department and university attended, the trainee"s current educational status, the date the doctoral degree was awarded, dissertation title (predoctoral), areas of mental health, and/or drug abuse and/or neurological sciences research, current employment, postdoctoral training, applications for K01, K08 or K23 (mentored career development awards), research applications and funded research (title, source and amount of funding), and publications. The name, department, and funded NIH research (title, source, and amount of funding) of each trainee"s major advisor should also be provided. A brief description of the substantive research contributions of the trainees who have completed their doctorates over the past 10 years should be provided. Citations of their recent publications (past 3 years) should be included. For the training program as a whole, an overall summary should be provided of: (a) underrepresented minorities recruited, (b) placement in departments with strong mental health, and/or drug abuse and/or neurological sciences research programs, (c) rates of retention and attrition, (d) rates of completion of the doctorate/research training, (e) publications, and (f) the total number of trainees engaged in mental health, and/or drug abuse and/or neurological sciences teaching and research, including the number who applied for and/or received a mentored career development award (e.g., K01,K08, K23), or a mental health, drug abuse or neurological sciences research grant. A "success rate" should be calculated by dividing the total number of trainees appointed (minus those still in training) into the total number actively engaged in mental health, and/or drug abuse and/or neurological sciences teaching and research. The progress report should also detail the actual expenditures of the most recent complete grant year for the Program Director, other essential personnel, travel, advisory committee, stipends, tuition, trainee travel, etc. In addition, advisory committee report concerning the activities and recommendations made over the past funding period as well as an overall progress report endorsed by the full committee must be included. There must also be an explanation of any unfilled trainee slots, slots prematurely terminated, as well as the reason for any trainees not completing the program as designed. Competing continuation applications submitted without this information will be considered incomplete and will be returned to the applicant without review. Human Subjects and Vertebrate Animals Requirements The applicant organization must retain overall responsibility for compliance with all applicable regulations and must assure that all organizations which provide the training of students supported by this initiative have complied with the following Human Subjects and Vertebrate Animal regulations: Human Subjects: The DHHS regulations for the protection of human subjects provide a systematic means, based on established internationally recognized ethical principles, to safeguard the rights and welfare of individuals who participate as subjects in research activities supported or conducted by the DHHS. The regulations require that the grantee organization and/or the organizations where the NRSA trainees will receive their training and establish and maintain appropriate policies and procedures for the protection of human subjects. These regulations, 45 CFR 46, Protection of Human Subjects, are available from the Office for Human Subjects Protections, National Institutes of Health, Bethesda, Maryland 20892. An organization proposing to provide research training to a student funded by this training program must file with the Office for Human Research Protections from (OHRP), and OHRP must approve, an Assurance of Compliance if the research training program includes nonexempt research involving human subjects. As part of this Assurance, which commits the organization to comply with the DHHS regulations, the organization must appoint an Institutional Review Board (IRB) which is required to review and approve all nonexempt research activities involving human subjects. Updated annual reviews are required to be documented and submitted on or with the non- competing continuation applications. Please note that before individuals serving as training program faculty or preceptors engage in training activities associated with grants that involve human participants, or before any trainee supported by this training grant engages in research that involves humans, the institutions or organizations involved must provide the NIH with plans for data safety monitoring, certifications of education in human subjects protection (for faculty and preceptors), and IRB approvals for the training related project. Further information on research involving human subjects can be found at: www.grants.nih.gov/grants/oer.htm. Vertebrate Animals: The "PHS Policy on Humane Care and Use of Laboratory Animals by Awardee Institutions" requires that grantee organizations and/or the organizations where the NRSA trainees will receive their training establish and maintain appropriate policies and procedures to ensure the humane care and use of live vertebrate animals involved in research, research training, and biological testing activities which are supported by the PHS. All institutions are required to comply, as applicable, with the Animal Welfare Act as amended (7 USC 2131 et sec.), and other Federal statutes and regulations relating to the care and use of laboratory animals. These documents are available from the Office for Protection from Research Risks, National Institutes of Health, Bethesda, Maryland 20892. An organization proposing to provide research training involving vertebrate animals to the student funded by this training program must file with the Office for Protection from Research Risks (OPRR), and OPRR must approve, an Animal Welfare Assurance. As part of this Assurance, which commits the organization to comply with the PHS policy, the organization must appoint an Institutional Animal Care and Use Committee (IACUC), which among other responsibilities, is required to review and approve all research activities involving vertebrate animals. INCLUSION OF WOMEN AND MINORITIES IN RESEARCH INVOLVING HUMAN SUBJECTS 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 biomedical and behavioral research projects involving human subjects, unless a clear and compelling rationale and justification are 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 research involving human subjects should read the UPDATED "NIH Guidelines for Inclusion of Women and Minorities as Subjects in Clinical Research," published in the NIH Guide for Grants and Contracts on August 2, 2000 (http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-048.html), a complete copy of the updated Guidelines are available at: http://grants.nih.gov/grants/funding/women_min/guidelines_update.htm. The revisions relate to NIH defined Phase III clinical trials and require: a) all applications or proposals and/or protocols to 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) all investigators to report accrual, and to conduct and report analyses, as appropriate, by sex/gender and/or racial/ethnic group differences. INCLUSION OF CHILDREN AS PARTICIPANTS IN RESEARCH INVOLVING HUMAN SUBJECTS It is the policy of NIH that children (i.e., individuals under the age of 21) must be included in all human subjects research, conducted or supported by the NIH, unless there are scientific and ethical reasons not to include them. This policy applies to all initial (Type 1) applications submitted for receipt dates after October 1, 1998. 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" that was published in the NIH Guide for Grants and Contracts, March 6, 1998, and is available at the following URL address: http://grants.nih.gov/grants/guide/notice-files/not98-024.html. Investigators also may obtain copies of the policy from the program staff listed under INQUIRIES. Program staff may also provide additional relevant information concerning the policy. NIH GRANTS POLICY STATEMENT The NIH Grants Policy Statement (NIHGPS) has been revised and reissued. The provisions of the revised NIHGPS are effective for all funded NIH grants and cooperative agreements with budget periods beginning on or after March 1, 2001. The revised NIHGPS is available at: http://grants.nih.gov/grants/policy/nihgps_2001. LETTER OF INTENT Prospective applicants are encouraged to submit, by July 10, 2001, a letter of intent that includes a descriptive title of the proposed training program, the name, address, and telephone number of the Program Director, of other key faculty mentors and participating institutions, and the number and title of the RFA in response to which the application may be submitted. Although a letter of intent is not required, is not binding, and does not enter into the review of a subsequent application, the information that it contains will allow institute staff to estimate the potential review workload and plan the review. The letter of intent is to be sent to the appropriate NIH staff listed under INQUIRIES. APPLICATION PROCEDURES The research grant application form PHS 398 (rev. 4/98) is to be used in applying for these grants. These forms are available at most institutional offices of sponsored research or from the Division of Extramural Outreach and Information Resources, National Institutes of Health, 6701 Rockledge Drive, MSC 7910, Bethesda, MD 20892-7910, Telephone: (301) 710-0267, FAX: (301) 480- 0525, Email: GrantsInfo@nih.gov. The application is also available at: http://grants.nih.gov/grants/funding/phs398/phs398.html. Applicants must use and follow the instructions for the Institutional NRSA section of the form PHS 398. Applications must be complete, providing all information called for by the instructions. The RFA label available in the PHS 398 (rev. 4/98) application form must be affixed to the bottom of the face page of the application and must display the RFA number MH-01-009. A sample modified mailing label is available at: http://grants.nih.gov/grants/funding/phs398/label-bk.pdf. Please note this is in pdf format. 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, MH-01-009, Institutional Research Training Programs: Increasing Diversity, must be typed on line 2 of the face page of the application form and the YES box must be marked. Submit a signed, typewritten original of the application, including the Checklist, and 3 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 BETHESDA, MD 20817 (for express/courier service) At the time of submission, 2 additional copies of the application must be sent to: Jean Noronha, Ph.D. Division of Extramural Activities National Institute of Mental Health 6001 Executive Boulevard, Room 6154, MSC 9609 Bethesda, MD 20892-9663 Bethesda, MD 20817 (for courier/express service) Applications must be received by the application receipt date listed in the heading of this RFA. If an application is received after that date, it will be returned to the applicant without review. The Center for Scientific Research (CSR), will not accept any application in response to this RFA that is essentially the same as one already reviewed or pending review, unless the applicant withdraws the pending application. This does not preclude the submission of substantial revisions of applications previously reviewed, but such applications must include the introduction required in PHS 398. REVIEW CONSIDERATIONS Upon receipt, applications will be reviewed for completeness by the CSR and for responsiveness to the RFA by the respective Institute staff. Incomplete and/or non-responsive applications will be returned to the applicant without further consideration. Applications that are complete and responsive to the RFA will be evaluated for scientific, technical, and educational merit by an appropriate peer review group convened by the respective Institute in accordance with the review criteria stated below. As part of the initial merit review, all applications will receive a written critique and undergo a process in which only those applications deemed to have the highest scientific merit, generally the top half of the applications under review, will be discussed, assigned a priority score, and receive a second level review by the National Advisory Mental Health Council, or the National Advisory Council on Drug Abuse, or the National Advisory Neurological Disorders and Stroke Council. Review Criteria Major considerations in the review are the breadth, depth, and quality of the plan for implementing the training program, qualifications, capability, and experience of the program director and the organization to implement the plan, qualifications of the Training Advisory Committee, plans for recruiting, selecting, and placing trainees in appropriate graduate departments and programs, and adequacy of the facilities and resources. Detailed review criteria are listed below: Program Plan o Adequacy, strength, and creativity of the plan to recruit underrepresented minority trainees nationally, including written and personal contact with potential applicants o Establishment of an appropriate Training Advisory Committee to select and advise trainees concerning predoctoral (or postdoctoral, if applicable) study emphasizing mental health, or drug abuse or neurological sciences research, including selection criteria for the committee members o Establishment of a plan to develop and refine appropriate criteria for selection of students, including the development and testing of innovative recruitment strategies o Demonstrated knowledge of predoctoral and postdoctoral programs that emphasize mental health, or drug abuse or neurological sciences research, which can be used to provide meaningful advice to trainees concerning the choice of graduate or postdoctoral programs, and a plan for the dissemination of this information to applicants for training program award o Development of a plan to appropriately place students in predoctoral (and postdoctoral, if applicable) programs with strong mental health, or drug abuse or neurological sciences research o Assurance that all required trainee-related and financial status reporting forms, including payback agreements for postdoctoral trainees, will be submitted as required by the NRSA Guidelines o Methods for facilitating and monitoring trainee progress, including early identification and remedy of problems o Effectiveness of plans to provide continuing contact, support, and supervision to individual trainees by the training Program Director, including both the methods for doing so and the frequency of contact, as well as the adequacy of the amount of time to be devoted to individual trainee support and supervision by the training Program Director o Adequacy of plans to facilitate research, in mental health, or drug abuse or neurological sciences research related fields, including assistance in the development of strong research proposals for Institute support, and to assure the completion of the proposed research o Provision of enrichment experiences, professional socialization, and networks beyond those in the local setting o Methods of monitoring and reporting on the quality of the training provided by predoctoral (and postdoctoral, if applicable) programs, including research involvement in mental health, and/or drug abuse and/or neurological science, and ethical conduct in scientific investigations o Adequacy of plans for evaluating, monitoring, and implementing the training program, including methods for assessing the success of the program in increasing the number of minority students seeking research careers in mental health, and/or drug abuse and/or neurological science related fields Evaluation Program Leadership and Personnel o Qualifications and experience of the Program Director in mental health, and/or drug abuse and/or neurological science research, mentoring and administration, including a description of current research involvement o Appropriateness, experience, and areas of substantive mental health, and/or drug abuse and/or neurological science research of the Training Advisory Committee o Appropriate qualifications and experience of other staff for implementing the program o Appropriateness of the training Program Director"s time devoted to specific tasks and to the total program, a range of 15-25 percent effort of the training Program Director"s time must be committed to implementing the program Program Faculty o Adequacy and strength of the faculty"s mental health, and/or drug abuse and/or neurological science research (as indicated by the source and amount of funding) that can provide a strong context for research training o Quality and appropriateness of the plans for trainee participation in ongoing faculty mental health, and/or drug abuse and/or neurological sciences research o Quality of training faculty (as evidenced, for example, by publication record, scientific accomplishments, experience in doing funded mental health, and/or drug abuse and/or neurological sciences research and providing research training, and success in placing former trainees in research positions) o Quality of mentoring as indicated by the faculty training record mental health, and/or drug abuse and/or neurological sciences research Budget o Appropriateness and justification for all items in the proposed budget, compelling justification for training related expenses in excess of $2,000 per predoctoral trainee and $3,500 per postdoctoral trainee, per year, being mindful that the maximum amount of Training Related Expenses may not exceed 30 percent of the total direct costs requested in any year of the project period o Contributions of the applicant institution or other institutions and organizations to the program in kind or in funds Facilities and Resources o Availability of needed facilities and resources, in addition, the applicant institution must have the capability to administer, manage, and account for grant fund expenditures o Extent of institutional or organizational support, including assurances that the participating training sites will comply with the required regulations (e.g., all required forms will be submitted as required, and postdoctoral trainees will be made aware of payback requirements) Specific Criteria for Competing Continuation Applications o Effectiveness of the existing program as indicated by the progress report on the development of the program and the past record of: (a) underrepresented minority recruitment, (b) placement in departments with strong mental health, and/or drug abuse and/or neurological sciences research, (c) rates of retention in graduate work, (d) rates of completion of doctorates, (e) rates of success in pursuing postdoctoral training, (f) subsequent careers in mental health, and/or drug abuse and/or neurological sciences teaching and research of the trainees, and (g) research and mentored research career development awards (K01, K08, and K23) applied for or received by trainees AWARD CRITERIA Applications will be selected for funding primarily on the basis of responsiveness to the RFA, scientific merit review results, ability to meet program priorities and balance, and the availability of funds. For competing renewal applications, the success of past support, including the placement of trainees upon completion of training, will be also considered. INQUIRIES Inquiries are encouraged. The opportunity to clarify any issues or questions from potential applicants is welcome. For overall Institute policy with regard to this initiative, contact: Walter Goldschmidts, Ph.D. Division of Neuroscience and Basic Behavioral Science National Institute of Mental Health 6001 Executive Boulevard, Room 7200, MSC 9645 Bethesda, MD 20892 Telephone: (301) 443-3563 FAX: (301) 443-1731 Email: wgoldsch@mail.nih.gov http://www.nimh.nih.gov/grants/training.cfm For specific Division-level program interests, contact the following training staff, to whom letters of intent should be addressed: Della Hann, Ph.D. Division of Mental Disorders, Behavioral Research and AIDS National Institute of Mental Health 6001 Executive Boulevard, Room 6217, MSC 9621 Bethesda, MD 20892 Telephone: (301) 443-9700 FAX: (301) 480-6000 Email: dhann@mail.nih.gov http://www.nimh.nih.gov/grants/training.cfm Mark Chavez, Ph.D. Division of Neuroscience and Basic Behavioral Science National Institute of Mental Health 6001 Executive Boulevard, Room 7197, MSC 9645 Bethesda, MD 20892 Telephone: (301) 443-3563 FAX: (301) 443-1731 Email: mchavez1@mail.nih.gov http://www.nimh.nih.gov/grants/training.cfm Enid Light, Ph.D. Division of Services and Intervention Research National Institute of Mental Health 6001 Executive Boulevard, Room 7160, MSC 9635 Bethesda, MD 20892 Telephone: (301) 443-1185 FAX: (301) 443-4045 Email: elight@mail.nih.gov http://www.nimh.nih.gov/grants/training.cfm Lula Beatty, Ph.D. Special Populations Office NIDA Office of the Director National Institute on Drug Abuse 6001 Executive Blvd, Room 4205, MSC 9195 Bethesda, Maryland 20892 Telephone: (301) 443-0441 FAX: (301) 480-8179 Email: lb75x@nih,gov http://www.nida.nih.gov/researchtraining/traininghome.html Lucinda Miner, Ph.D. Chief, Office of Science Policy National Institute on Drug Abuse 6001 Executive Blvd., Room 5231, MSC 9195 Bethesda, Maryland 20892 Telephone: (301) 443-6071 FAX: (301) 443-6277 Email: cm171w@nih.gov http://www.nida.nih.gov/researchtraining/traininghome.html Angela Martinelli, DNSc, RN Deputy Training Director Office of Science Policy National Institute on Drug Abuse 6001 Executive Boulevard, Room 5232, MSC 9195 Bethesda, Maryland 20892 Telephone: (301) 443-6071 FAX: (301) 443-6277 Email: amartine@mail.nih.gov http://www.nida.nih.gov/researchtraining/traininghome.html Henry Khachaturian, Ph.D. Training, Career Development, and Referral Officer National Institute of Neurological Disorders and Stroke 6001 Executive Boulevard, Room 2154, MSC 9531 Bethesda, MD 20892 (for courier: Rockville, MD 20852) Telephone: (301) 496-4188 FAX: (301) 594-5929 Email: hk11b@nih.gov http://www.ninds.nih.gov/funding/research_training.htm Direct inquiries regarding fiscal matters to: Diana S. Trunnell Grants Management Branch National Institute of Mental Health 6001 Executive Boulevard, Room 6115, MSC 9605 Bethesda, MD 20892 Telephone: (301) 443-2805 FAX: (301) 443-6885 Email: dtrunnel@mail.nih.gov Gary Fleming, J.D., M.A. Grants Management Branch Office of Planning and Resource Management National Institute on Drug Abuse 6001 Executive Boulevard, Room 3131, MSC 9541 Bethesda, MD 20892-9541 Telephone: (301) 443-6710 FAX: (301) 594-6849 Email: gf6@nih.gov Joellen M. Harper Chief, Grants Management Branch National Institute of Neurological Disorders and Stroke 6001 Executive Blvd, Room 3290 Bethesda, MD 20892-9537 Telephone: (301) 496-9231 FAX: (301) 402-0219 Email: jh41m@nih.gov AUTHORITY AND REGULATIONS This program is described in the Catalog of Federal Domestic Assistance No. 93.282 (NIMH), 93.278 (NIDA) and 93.853 (NINDS). Awards are made under authorization of the Public Health Service Act, Title IV, Part A (Public Law 78-410, as amended by Public Law 99-158, 42 USC 241 and 285) and administered under PHS grants policies and Federal Regulations 42 CFR 66 and 45 CFR Part 74. This program is not subject to the intergovernmental review requirements of Executive Order 12372 or Health Systems Agency review. Awards will be administered under PHS grants policy as stated in the NIH Grants Policy Statement. PHS strongly encourages all grant and contract recipients to provide a smoke- free workplace and promote the nonuse 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.


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