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) 435-0714, 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.



Weekly TOC for this Announcement
NIH Funding Opportunities and Notices


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