EXPIRED
NIDCR NATIONAL RESEARCH SERVICE AWARD INSTITUTIONAL RESEARCH TRAINING GRANTS Release Date: June 28, 2000 PA NUMBER: PAR-00-116 (This PA has been reissued, see PAR-05-101) (See addenda NOT-DE-02-002 and NOT-DE-03-005) National Institute of Dental and Craniofacial Research (http://www.nidcr.nih.gov) Application Receipt Date: December 12, 2000; September 10 of every year thereafter. PURPOSE The National Institute of Dental and Craniofacial Research (NIDCR) invites new and competing continuation applications proposing Institutional Research Training programs. The Institute issues this program announcement in recognition of the urgent need to develop a cadre of highly skilled, interactive scientists who can successfully address the expanding opportunities in dental, oral and craniofacial research. This expanding science base requires new research approaches which integrate various disciplines and levels of expertise in order to effectively address the increasing level of complexity in the interplay between genetic, environmental and socioeconomic factors in human disease. These factors are of special importance to address research needs in health promotion, disease prevention, diagnosis and treatment. Scientists must become familiar with the knowledge base and the methods of a wider variety of disciplines than is presently the case and investigators must develop a different and more diverse set of competencies, including the ability to interact in cross- disciplinary research teams. Training programs should provide the opportunity to develop these skills and to create environments which prompt life-long learning, successful research career transitions and pathways and strong collaborative and partnering skills. The award described in this announcement is designed to expand the training opportunities in dental, oral and craniofacial research by supporting integrated but flexible institutional programs. The awards are comprehensive training grants to fund pre-doctoral, post-doctoral and short-term trainees. In addition, these awards can support a Dental and Medical Scientist Training Program (DSTP and MSTP) that would fund trainees to obtain both the DDS/DMD and PhD or MD/PhD degrees in an integrated program. Comprehensive programs will have the flexibility to provide short-term and long-term training opportunities and a continuum of personal development that spans the research career stages of the trainees. Training activities can be in basic biomedical or clinical sciences, in behavioral or social sciences, in population-oriented or health services research, or in any other disciplines relevant to dental, craniofacial and oral health. The comprehensive programs should be able to integrate research training for individuals pursuing only a professional degree (i.e., through short-term research training programs), a combined DDS/MD-PhD degree (i.e., through a DSTP or MSTP), or only a PhD degree or postdoctoral training (i.e., through long-term training programs). In addition, the comprehensive programs should be able to provide retraining opportunities for junior and mid-career faculty who wish to initiate new research activities, gain new research skills in topics relevant to the NIDCR areas of emphasis, or update existing skills and knowledge. Trainees can pursue advanced degrees at the Master or Doctoral level or no degree at all, but the emphasis in all cases must be on cross- disciplinary and interprofessional research training opportunities through well-integrated core curricula. Grantees are strongly encouraged to develop ways for trainees who are at different levels of experience and are funded by various mechanisms of training (e.g., the F or T types of NRSAs) or career development (e.g., the K series of NIH research career awards) to collaborate and work together at some point during the NRSA training experience. 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 Program Announcement (PA), NRSA Institutional Research Training Grant, is related to one or more of the priority areas. Potential applicants may obtain a copy of "Healthy People 2010" at http://www.health.gov/healthypeople/. ELIGIBILITY REQUIREMENTS Domestic non-profit, public or private academic research institutions are eligible to apply. Applicant institutions should be part of a health science center or of a regional consortium that has a strong research program in the proposed areas of training. In addition, they must have the requisite staff and facilities to carry out the proposed program. Further, they must be able to provide cross-disciplinary training opportunities through local collaborations with other professional or graduate schools. Applicant institutions will be required to submit specific plans for core curricula, for the recruitment of underrepresented individuals, for the evaluation of the program and for networking (see below). Racial/ethnic minority individuals, women, and persons with disabilities are encouraged to apply as principal investigators. As of October 1, 2000, applications requesting only short-term research training positions through the T35 mechanism will not be accepted by the NIDCR without prior approval by the Institute. Instead, the applicant institution should attempt to integrate short-term training activities into a comprehensive NRSA program as described in this Program Announcement. The NIDCR will announce a new planning award in the near future to assist those institutions that presently may not be able to establish a comprehensive research training program but desire to phase-in various components. TRAINEE ELIGIBILITY REQUIREMENTS Predoctoral Trainees. Predoctoral trainees must have received a baccalaureate degree by the beginning date of their NRSA appointment, and must be training at the postbaccalaureate level and enrolled in a program leading to a Ph.D. in science or in an equivalent research doctoral degree program. Health professional students who wish to interrupt their studies to engage in full-time research training before completing their professional degrees are also eligible. For the DSTP or MSTP, all dental or medical scientist trainees must be enrolled in a formal, combined program that leads to the award of a D.D.S./D.M.D. or M.D. and a Ph.D. or an equivalent degree in one of the priority NIDCR research fields. Trainees must enter the program not later than their third year of professional school, although preference will be given to an appointment in the trainee's first or second year. In addition, all trainees must have received a baccalaureate degree by the beginning date of their appointment. Individuals currently enrolled in a joint D.D.S.-Ph.D. or M.D.-Ph.D. program are eligible for consideration as trainees. Individuals who obtained a Ph.D. prior to entering dental school and desire to pursue another research doctorate while in dental school are not eligible for the DSTP. Postdoctoral Trainees. Postdoctoral trainees must have received, as of the beginning date of the NRSA appointment, a D.D.S./D.M.D., MD, Ph.D., or comparable doctoral degree from an accredited domestic or foreign institution. Short-Term Health-Professional Trainees. Short-term research training positions can support individuals for a time period not greater than three months in a grant year. Positions must involve full-time research training (i.e., at least 40 hours per week) and may be used for health professional students, clinical faculty who wish to gain research experience or learn research methodologies and mid-career scientists who want to update their knowledge of new research techniques and findings. To be eligible for short- term predoctoral research training positions, health professional students should be enrolled and in good standing and have completed at least one quarter in a program leading to a clinical doctorate prior to participating in the program. However, individuals with a strong research interest and an outstanding science background who have been accepted by a professional school but have not yet enrolled may be allowed to participate in short-term research training during the summer prior to starting school. Highly motivated health professional students and clinical faculty wishing to pursue a research career can be supported for additional three-month appointments beyond the initial training period. Long-term positions (i.e., greater than three months) on NRSA institutional grants may not be used for study leading to the dental, medical, or other clinical, health-professional degrees except when those studies are part of a formal combined research degree program, such as the DDS-PhD. Similarly, trainees may not accept NRSA support for studies that are part of residency training leading to clinical certification in a medical or dental specialty or subspecialty where the majority of their time is spent in non-research clinical training. 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 if the trainee has shown a clear interest in a research career. Trainees are required to pursue their research training on a full-time basis, devoting at least 40 hours per week to the program. Within the 40 hours per week training period, research trainees who also are preparing for an advanced clinical specialty must devote their time to the proposed research training and must confine clinical duties to those that are an integral part of the research training experience. Individuals in a DSTP/MSTP must devote at least 40 hours per week to research training during those periods when in pursuit of the Ph.D. However, it is expected that at least some time will be devoted to research activities while in dental or medical school. Citizenship. To be appointed to a training position supported by an NRSA research training grant, an individual must be a citizen or noncitizen national of the United States or must have been lawfully admitted for permanent residence (i.e., in possession of a currently valid Alien Registration Receipt Card I-551, or some other legal verification of such status). Noncitizen nationals are generally persons born in outlying possessions of the United States (e.g., American Samoa and Swains Island). Individuals on temporary or student visas are not eligible. MECHANISM OF SUPPORT This PA will use the National Institutes of Health (NIH) Institutional National Research Service Award (T32) mechanism. Responsibility for the planning, direction, and execution of the proposed project will be solely that of the applicant institution. The total project period for an application submitted in response to this PA may not exceed five years. Awards may be renewable upon submission of a successful competing continuation application, depending on programmatic needs and the availability of funds. This program announcement is an on-going initiative and will remain operational for at least three years. The first receipt date for new and competing continuation applications will be December 12, 2000, with awards made in July 2001. In subsequent years, the receipt date for all applications will be September 10 with the earliest project start date being July of the following year. Trainee appointments are normally made in 12-month increments. No trainee may be appointed for less than 9 months during the initial period of appointment, except with the prior approval of the NIDCR or when appointments are made to approved, short- term research training positions. Trainees may receive up to five years of NRSA support at the predoctoral level and three years of support at the postdoctoral level, including any combination of support from institutional training awards and individual fellowship awards. Any extension of the total duration of trainee support at either the predoctoral or postdoctoral level requires approval by the NIDCR. Requests for extension must be made in writing by the trainee and by the director of the training program with countersignature by the appropriate institutional official. Letters should be addressed to the Assistant Director, Office of Training and Career Development, DER, NIDCR. The request must include a sound justification for an extension of the statutory limits on the period of support. No trainee extensions will be considered when the training program is in its final year of support. All applicants should include a plan for continuation of support for trainees, in particular other potential sources of support for an individual's additional years of study, if the grant is not renewed. This is especially important for the DSTP/MSTP component since a DSTP/MSTP trainee's course of study for the combined degrees may take longer than five years. It is expected that postdoctoral trainees with Ph.D., DDS/DMD, MD or equivalent degrees will engage in not less than two years training. The NIDCR intends to fund up to 10 new and/or competitive continuation grants in response to this PA. It is anticipated that the size of each award will vary because of the diverse nature and scope of proposed programs. Although the financial plans of the NIDCR provide support for this program, awards pursuant to this PA are contingent upon the availability of funds and the receipt of a sufficient number of applications of outstanding training opportunities and scientific and technical merit. RESEARCH OBJECTIVES Background The NIDCR has expanded considerably its research programs in recent years. The expansion was highlighted in the Institute's strategic plan, "Shaping the Future," that was issued in 1997. This document can be found on the internet at http://www.nidcr.nih.gov/news/strat-plan/index.html. The programmatic organization of the NIDCR reflects this expansion and provides support for research in areas such as molecular medicine, bacterial genetics, oropharyngeal cancer and other neoplastic diseases of the head and neck, chronic disorders, the link between oral and systemic health, craniofacial anomalies and injuries, infectious diseases and HIV/AIDS, biomaterials, biomimetics, tissue engineering, oral manifestations of systemic diseases, and management of the medically compromised patient. In addition, growing efforts are being devoted to clinical, behavioral and health promotion activities and to the study of the factors responsible for the existence of health disparities among various segments of the population. It is now recognized that, in most diseases, a number of diverse genetic, environmental and socioeconomic factors converge to disrupt health and that new interdisciplinary research approaches which integrate various fields are required to effectively address the multifactorial nature of human disease. These new approaches require a different and more diverse set of core competencies of investigators who can interact in cross-disciplinary research teams to take advantage of the expanding opportunities in dental, craniofacial and oral health research. The available literature suggests that there are four factors that are critical towards achieving diversity in the science/technology/health work force: (1) Knowledge and skills; (2) Motivation and support; (3) Monitoring and advising; and (4) Academic and social integration. Further, the literature also emphasizes that exemplary training programs are those that assume that every student selected has the ability to succeed in science given the appropriate opportunities and (financial, human and cultural) resources. One excellent example is the Meyerhoff Scholarship Program at the University of Maryland- Baltimore County which emphasizes undergraduate university preparations for MD/PhD, DDS/PhD and PhD careers for historically underrepresented minority students. The remarkable success of the Meyerhoff Program and other outstanding examples around the country (California, Washington, New Mexico, Texas, Massachusetts, Wisconsin, New York, North Carolina) reflect the integration of the components of this program: (1) Recruitment of top high school math and science students using an on-campus selection weekend that engages faculty, staff and peers; (2) A summer bridge program including math, science and humanities course work and training in analytic problem solving, group study and social and cultural events; (3) Scholarship support and required maintaining a B average or better; (4) Study groups; (5) Program values consistent with academic achievement, seeking help from peers, and preparing for health professional and graduate schools; (6) Program community that provides residential living experiences; (7) Personal advising and counseling; (8) Tutoring; (9) Summer research internships; (10) Faculty involvement; (11) Administration involvement and public support; (12) Mentors for each student from the external community; and (13) Family involvement. These components, taken together, are relevant to undergraduate, professional and graduate school, and postdoctoral levels of education and training, and they address the four critical factors that can improve success in creating a diverse biomedical research workforce for the 21st century. Cognizant of the various ideas and trends discussed above, the NIDCR recently initiated an in-depth review of its training and career development programs. A Blue Ribbon Panel was appointed in 1999 to examine the evolving scientific opportunities as we approach the 21st century and to identify the investigator competencies that will be required of those pursuing this area of biomedical research. The entire report can be accessed at the following internet address: http://www.nidcr.nih.gov/research/blueribbon/career_BRP.htm. The conclusions of the Blue Ribbon Panel were discussed by the National Advisory Dental and Craniofacial Research Council (NADCRC) at the September, 1999 and January, 2000 meetings. The NADCRC emphasized the need for multidisciplinary programs, partnering within the Academic Health Centers, multiple career paths and choices, flexibility in training and a life-long career development continuum. Based on the Blue Ribbon Panel report and NADCRC deliberations, an implementation plan was formulated. The plan can be accessed on the internet through the NIDCR Extramural Research Training and Career Development page at http://www.nidcr.nih.gov/research/blueribbon/impPlan_BRP.htm. Objectives The overall objectives of the training programs described in this PA are: o to expand the training opportunities in dental, craniofacial and oral research in order to address effectively the varied scientific opportunities which are emerging in these areas at the start of the 21st century; o to provide support for integrated training program programs that can enhance the competencies and the skills of future investigators in these areas of biomedical and behavioral science; and o to provide the training institutions and mentors with support mechanisms characterized by flexibility, by an emphasis on cross-disciplinary interactions, and by a diversity of entry points and of opportunities for sustained learning and for training choices and paths. General Requirements Applicant institutions are required to include the following elements in their proposal: o Structured set of training curricula The application should include a description of the training activities that will be incorporated into "curricula" for each of the mechanisms being used within the program. The Institutional training program must provide opportunities for individuals to carry out supervised biomedical, behavioral or clinical research and develop research skills in an area(s) related to dental, craniofacial and oral health and disease. Current areas of NIDCR research emphasis are found at the following internet address: http://www.nidcr.nih.gov/research/extramural/sciprog.htm. The proposed research training program should include: (A) an emphasis on opportunities for cross-disciplinary and interprofessional links and collaborations within and between the academic health professional sciences, and the integration of basic and clinical sciences in training activities; (B) use of community settings and public health programs and facilities, where possible; and (C) inquiry-based and experiential learning to "mine" the expanding and complex knowledge bases using such tools, where appropriate, as bioinformatics. The interaction among predoctoral, postdoctoral and short-term trainees in the program is strongly encouraged. Training programs in the basic sciences should give priority to developing curricula that provide competencies in one or more of such areas as: genomics, molecular biology and molecular epidemiology; gene-mediated diagnostics and therapeutics; cell biology; computational biology (i.e., modeling, development of algorithms), bioinformatics (e.g., storage and analysis of genomic data); biomaterials, biomimetics, nanotechnology, tissue engineering; and bioimaging technology. Training programs that focus on patient-oriented research should implement curricula that give priority to provide core competencies in one or more of such areas as: clinical research and clinical trials design; diagnosis and management of the medically compromised patient; evidence-based care; clinical epidemiology; biostatistics; health services, public health and outcomes research; health promotion and disease prevention; behavioral and social science research; and the ethics of research. Programs should integrate, wherever possible, both basic science and patient-oriented/clinical research curricula and training. The goal is for trainees to become knowledgeable about the cross-disciplinary approaches to research necessary to address most scientific opportunities, and to be aware of the processes that facilitate transfer of knowledge from the laboratory to clinical practice to community applications. To maximize success in a multidisciplinary research environment, all programs also should include in their curriculum didactics that provide competencies in such topics as: team/collaborative skills; oral and communication skills, including the preparation of research grants and reports; management skills; entrepreneurship in terms of knowledge of technology transfer; and international health. In addition, all DSTP programs must offer two distinct and integrated components to all trainees. First, a clinical component must ensure that the trainee acquires requisite clinical knowledge and technical expertise in order to meet the requirements for a D.D.S./D.M.D. degree and to obtain a license to practice dentistry. Second, a science field component must be a doctoral (Ph.D. or equivalent degree) level program that provides opportunities for individuals to carry out supervised research and obtain competencies in one of the areas listed above, depending on the trainee's particular interest. The DSTP Director and applicant institution(s) must develop clinical and graduate research training programs that are integrated and interdisciplinary. Applicant institutions must be able to provide programs tailored to meet the unique research and clinical development needs of each DSTP trainee and ensure that the individuals complete the dental and graduate research programs with requisite competencies. The sequence in which the two components are offered and their integration should be based on the specific circumstances and organization of the training institution and should represent what is deemed most desirable, feasible, and efficient by the program director and administration of the dental and graduate institutions. Institutions with existing joint D.D.S./D.M.D.-Ph.D. degree programs likely will be most competitive, but other dental institutions with appropriate resources are encouraged to apply. o Plan for the recruitment of underrepresented minorities and women The NIDCR remains committed to increasing the participation of women and individuals from racial or ethnic groups underrepresented in the biomedical, clinical and behavioral sciences. As first announced in 1989, all competing applications for institutional NRSA research training grants must include a specific, comprehensive plan to recruit and retain talent from all of our nation's population, especially to address the multiple dimensions of health disparities that particularly plague the underserved and historically underrepresented minorities. The following groups have been identified as underrepresented in biomedical and behavioral research nationally: African Americans, Hispanic Americans, Native Americans, Alaskan Natives, and Pacific Islanders. Use of the term "minority" in this announcement will refer to these groups. All competing continuation applications must include a report on the recruitment and retention of underrepresented minorities and women during the previous award period. Information should describe recruitment strategies. The report should provide information on the racial/ethnic and sex distribution of: students or postdoctorates who applied for admission or positions within the department(s) relative to the training grant; students or postdoctorates who were offered admission to or a position within the department(s); students actually enrolled in the academic program relevant to the training grant; and students or postdoctorates who were appointed to the research training grant. For those trainees who were appointed to the grant, the report should include information about the duration of research training and whether those trainees have finished their training in good standing. Where feasible women and minority mentors should be involved as role models. If an application is received without a plan, or without a report on the previous award period, the application will be considered incomplete and will be returned to the applicant without review. Additional information on this requirement was published in the NIH Guide for Grants and Contracts, Volume 22, Number 25, July 16, 1993 (see http://grants.nih.gov/grants/guide/notice-files/not93-188.html ). o Plan for on-going evaluation of the program The application should include a plan for program evaluation in terms of recruitment goals, completion success, overall outcome, the curriculum and program staff. For purposes of evaluating the impact of all NRSA training programs, awardees must agree to provide the NIDCR with information on career outcomes for graduates. This information will be supplied annually for 10 years subsequent to completion of the award. Program directors can satisfy this requirement by providing current curriculum vitae for each of their graduates, including information about current address and title, employment history, publications, and research grants and contracts received from government, academia, or private industry. Plans to track the careers of trainees should be included in the application. o Plan for an Advisory Oversight Board Plans must be provided for the appointment of an advisory body to act as an oversight committee for the training program. o Plan for instruction in bioethics, scientific integrity and the responsible conduct of research Every predoctoral and postdoctoral NRSA trainee supported by an institutional research training grant must receive instruction in the responsible conduct of research. (For more information on this provision, see the NIH Guide for Grants and Contracts, Volume 21, Number 43, November 27, 1992, see http://grants.nih.gov/grants/guide/notice-files/not92-236.html) Applications must include a description of a program to provide formal or informal instruction in bioethics, scientific integrity or the responsible conduct of research. Applications without plans for instruction in the responsible conduct of research will be considered incomplete and may be returned to the applicant without review. Although the NIDCR does not establish specific curricula or formal requirements, all programs are encouraged to consider instruction in the following areas: conflict of interest, responsible authorship, policies for handling misconduct, policies regarding the use of human and animal subjects, and data management. Within the context of training in bioethics and scientific integrity it is also beneficial to discuss the mutual responsibilities of the institution and the graduate students or postdoctorates appointed to the program. Plans must address the subject matter of the instruction, the format of the instruction, the degree of faculty participation, trainee attendance, and the frequency of instruction. The rationale for the proposed plan of instruction must be provided. Program reports on the type of instruction provided, topics covered, and other relevant information, such as attendance by trainees and faculty participation, must be included in future competing continuation and noncompeting applications. The NIDCR encourages institutions to provide instruction in the responsible conduct of research to all graduate students and postdoctorates in a training program or department, regardless of the source of support. Other Requirements o Program Director and co-Directors The NIDCR encourages multiple program co-directors, in keeping with the cross-disciplinary training to be provided. The co-directors will be responsible for the development of appropriate curriculum and selection and appointment of trainees to their component of the NRSA research training grant. However, one individual should be designated as institutional program director (PD) or coordinator with responsibility for overall supervision of the entire program. Racial/ethnic minority individuals, women, and persons with disabilities are encouraged to serve as PD or co-directors. The PD and co-directors are expected to participate in at least one annual meeting with the staff of the NIDCR. This meeting likely will be held in conjunction with the annual meeting of the American Association for Dental Research. For the DSTP, the PD must possess the scientific expertise, leadership, and administrative capabilities required to coordinate and supervise a multidisciplinary research and clinical training program of this scope. The PD must have the commitment and capability to provide guidance to DSTP trainees during their dental and research career development. The PD will be responsible for the selection and appointment of trainees to the DSTP and for the overall direction of the program. The PD will be required to submit to the NIDCR a detailed description of each DSTP trainee's planned supervised research experience as soon as feasible, but no later than at the midpoint of the individual's program. Annually, the PD and advisory committee will assess the progress of each trainee and submit a detailed report of each to the NIDCR. DSTP trainee support for the subsequent year in the program will be dependent on satisfactory performance. o Mentors The co-directors must identify a group of faculty in his/her own institution and in other participating units of the health science center to serve as mentors or preceptors for the various types of trainees. The NIDCR strongly encourages multiple mentors for each trainee, in keeping with the cross- disciplinary training to be provided. Whenever possible, mentors should have currently funded peer-reviewed grants from any component of the NIH, National Science Foundation, other Federal agencies, from private industry or from foundations. Trainees will be assigned to the appropriate number and types of mentors, depending on the core competencies to be pursued by the trainees. Mentors will supervise the training and insure completion of the proper curriculum. In the DSTP/MSTP, each trainee must have a mentor, an accomplished investigator active in the proposed area, to guide the person's development and research project. Usually, a mentor will be the doctoral thesis advisor. The mentor must be committed to continue this involvement throughout the individual's total period of development under the award. A co-mentor, representing the clinical component, also should be named. Where feasible, women and minority mentors should be involved as role models. o A plan for periodic research meetings and networking Plans should be included for periodic, or at least annual, meetings of all program trainees and mentors in which research projects/results/directions are discussed and evaluated. Each application also must include plans to network with one or more similar programs in the same or other institutions, whether through joint meetings, electronic links or telemedicine interactions. The NIDCR plans to hold an annual meeting for trainees and relevant program personnel at the NIH. o Number of Training Positions Applicants for competitive continuation applications can request a total of up to 20 short-term, predoctoral and postdoctoral positions in any grant year. Applicants for new T32 programs may request no more than a total of eight short-term, predoctoral and/or postdoctoral positions in the first year, increasing by up to three new positions per year during each of the remaining four years of the award. In all programs, the short-term positions can be used for either eligible health professional students or junior/mid- career/senior faculty wishing to be re-trained in a particular research area. The number of short-term training positions for health professional students (e.g., dental, medical) cannot exceed eight in any year. In order to address the need for clinical investigators, applicants must allocate not less than five postdoctoral positions during the five years of the program to individuals with a declared interest in receiving training to conduct patient-oriented research. The remaining postdoctoral positions may be used for basic, behavioral or clinical research trainees in any of the research areas relevant to the mission of the NIDCR. Several of these positions should be employed during the duration of the program for long-term re-training mid-career scientists. The actual number and types of positions awarded will be determined by the initial review group1s assessment of scientific and educational merit, NIDCR program needs, and the availability of funds. The NIDCR requires a plan for the active recruitment of minority trainees. Therefore, programs that identify outstanding individuals from underrepresented minority groups and have filled all approved positions in a given year may request support for up to two additional positions to accommodate the identified minority trainees. Applicants that include a DSTP as part of their comprehensive NRSA program may request training positions in addition to those described above. New DSTPs can request support for at least four but not more than eight trainees over the five-year project period. Existing DSTPs may request at least an appropriate number of positions in the first year of the competitive continuation award to maintain current trainees. Up to eight new trainee positions may be requested during the next four years. In planning all trainee appointments, the PD and the trainees should be aware that continued NIDCR support beyond the five-year project period is dependent upon the availability of appropriated funds and success in competition for renewed support. In the event that a competitive continuation application for the next five-year project period is unsuccessful, no phase-out funds will be provided. Thus the applicant institution must have plans in place to provide continued support to remaining trainees in the event that funding from the NIDCR is not available. ALLOWABLE COSTS Stipends National Research Service Awards provide funds, in the form of stipends, to graduate students and postdoctoral trainees. A stipend is provided as a subsistence allowance to help trainees defray living expenses during the research training experience. It is not provided as a condition of employment with either the Federal Government or the awardee institution. Stipends must be paid to all trainees at the levels approved by the Secretary of the Department of Health and Human Services. Stipend levels are adjusted from time-to-time and current stipend levels are available on the NIH website at: http://grants.nih.gov/training/nrsa.htm. o Predoctoral Trainees The annual stipend in fiscal year 2000 for predoctoral trainees is $15,060. For appointments of less than a year, the stipend will be based on a monthly pro-ration that is $1,255 per month in fiscal year 2000. o Postdoctoral Trainees The current annual stipend for postdoctoral trainees is determined by the number of FULL years of relevant postdoctoral experience at the time of appointment. Relevant experience may include research experience (including industrial), teaching, internship, residency, clinical duties, or other time spent in full-time studies in a health-related field following the date of the qualifying doctoral degree. Postdoctoral stipends in fiscal year 2000 are as follows: Years of Relevant Experience Annual Amount Less than 1 $26,916 Greater than or equal to 1 but less than 2 $28,416 Greater than or equal to 2 but less than 3 $33,516 Greater than or equal to 3 but less than 4 $35,232 Greater than or equal to 4 but less than 5 $36,936 Greater than or equal to 5 but less than 6 $38,628 Greater than or equal to 6 but less than 7 $40,332 Greater than or equal to 7 $42,300 Tuition, Fees, and Health Insurance The NIDCR will offset the combined cost of tuition, fees, and health insurance (either self-only or family as appropriate) at the following rate: 100 percent of all costs up to $3,000 and 60 percent of costs above $3,000. Costs associated with tuition and fees are allowable only if they are required for specific courses in support of the research training experience supported by the fellowship. A full description of the tuition policy is contained within the NRSA Policy Guidelines on the NIH website at: http://grants.nih.gov/training/nrsaguidelines/nrsa_toc.htm Training Related Expenses Institutional costs of $5,000 per full-time non-DSTP predoctoral trainee and $5,500 per full-time postdoctoral trainee may be requested to defray the costs of other expenses related to research training, such as equipment, research supplies, curriculum development, trainee and staff travel to NIDCR for annual conference, support staff salaries and consultant costs. If the fellow is not enrolled or engaged in training for more than 6 months of the award year, only one-half of that year's allowance may be charged to the grant. Expenses for short-term predoctoral student trainees will be $167 per trainee per month; for post-doctoral short-term trainees expenses will be $208 per trainee per month. Institutional costs of $10,000 per DSTP-trainee per year may be requested. Applicants may request compensation for up to a maximum of 35 percent of the direct salary and fringe benefits for the combined time of the program director and co-directors, based on their total effort spent performing activities specifically related to implementing and conducting the proposed training program. Allocation of the 35 percent is left to the applicant (e.g., 20 percent of the overall program director's salary & fringes, with the remaining 15 percent to be divided among the several co-directors as deemed appropriate). No other institutional faculty or professional employees can be reimbursed through this award. Other Training Costs Trainee travel to scientific meetings that the institution determines to be necessary for the individual's research training is an allowable trainee expense at $800 per trainee per year. In addition, support for travel to a research training experience away from the institution may be permitted. Research training experiences away from the parent institution must be justified considering the type of opportunities for training available, the manner in which these opportunities differ from and complement those offered at the parent institution, and the relationship of the proposed experience to the trainee's career stage and goals. This type of research training requires prior approval from the NIDCR. Letters requesting such training may be submitted to the NIDCR at any time during the award period. Under exceptional circumstances, which can include providing accommodations for a trainee with disabilities, it is possible to request institutional costs above the standard rate. Requests for additional trainee costs must be explained in detail and carefully justified in the application. Consultation with NIDCR program staff in advance of such requests is strongly advised. Facilities and Administrative Costs A facilities and administrative allowance (indirect cost allowance) based on 8 percent of total allowable direct costs (this excludes amounts for tuition, fees, health insurance, and equipment) may be requested. Applications from state and local government agencies may request full indirect cost reimbursement. See NRSA Policy Guidelines on the NIH Website at: http://grants.nih.gov/training/nrsaguidelines/nrsa_toc.htm . STIPEND SUPPLEMENTATION, COMPENSATION, AND OTHER INCOME No departure from the established stipend schedule may be negotiated by the institution with the trainee. For postdoctoral trainees, the stipend for each additional full year of research training support is the next level in the stipend structure and does not change in the middle of an appointment. The grantee institution is allowed to provide funds to an individual in addition to the stipends paid by the NIDCR. Such additional amounts may be either in the form of augmented stipends (supplementation) or in the form of compensation, such as salary or tuition remission for services such as teaching or serving as a laboratory assistant, provided the following conditions described below are met. Under no circumstances may the conditions of stipend supplementation or the services provided for compensation interfere with, detract from, or prolong the trainee's approved NRSA training program. Stipend supplementation, or additional support to offset the cost of living may be provided by the grantee institution. Supplementation does not require any additional effort from the trainee. Federal funds may not be used for supplementation unless specifically authorized under the terms of both the program from which such supplemental funds are to be received and the program whose funds are to be supplemented. Under no circumstances may DHHS funds be used for supplementation. An institution may provide additional funds to a trainee in the form of compensation (as salary and/or tuition remission) for services such as teaching or serving as a research assistant. A trainee may receive compensation for services as a research assistant or in some other position on a Federal research grant, including a DHHS research grant. However, compensated services should occur on a limited, part-time basis apart from the normal research training activities, which require a minimum of 40 hours per week. In addition, compensation may not be paid from a research grant supporting research that constitutes the research training experience. An individual may make use of Federal educational loan funds and assistance under the Veterans Readjustment Benefits Act (G.I. Bill). Such funds are not considered supplementation or compensation. An NRSA may not be held concurrently with another federally sponsored fellowship or similar Federal award that provides a stipend or otherwise duplicates provisions of the NRSA. Internal Revenue Code Section 117 applies to the tax treatment of all scholarships and fellowships. Under that section, non-degree candidates are required to report as gross income any monies paid on their behalf for stipends, or for any course tuition and fees required for attendance. Degree candidates 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. 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 employee-employer relationship with the NIDCR or the awardee institution. 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. The NIDCR takes no position on the status of a particular taxpayer, and it does not have the authority to dispense tax advice. Individuals should consult their local IRS office about the applicability of the law to their situation and for information on their tax obligations. PAYBACK PROVISIONS As specified in the NIH Revitalization Act of 1993, NRSA recipients incur a service payback obligation only during their first 12 months of postdoctoral support. Additionally, the NIH Revitalization Act of 1993 specifies that the second and subsequent years of postdoctoral NRSA training will serve to pay back a postdoctoral service payback obligation. Accordingly, the following guidelines apply: o Predoctoral trainees are not required to sign the payback agreement and do not incur a service payback obligation. o Postdoctoral trainees in the first 12 months of postdoctoral NRSA support must sign the payback agreement form (PHS form 6031) before initiating an appointment. Postdoctoral trainees in their first 12 months of support will incur a period of service payback obligation equal to the period of support. o Postdoctoral trainees in the 13th and subsequent months of NRSA postdoctoral support are not required to sign the payback agreement form and will not incur a service payback obligation. o The 13th and subsequent months of postdoctoral NRSA support are considered acceptable payback service for prior postdoctoral support. For example, postdoctoral trainees who continue under that award for 2 years have fulfilled the obligation incurred during the first 12 months of support by the end of the second year. Service payback obligations can also be paid back by conducting health-related research or teaching averaging more than 20 hours per week of a full work year after terminating NRSA support. o Recipients with service obligations must begin to provide service on a continuous basis within two years of termination of NRSA support. The period for undertaking payback service may be delayed for such reasons as temporary disability, completion of residency requirements, or completion of the requirements for a graduate degree. Requests for an extension must be made in writing to the NIDCR specifying the need for additional time and the length of the required extension. o Recipients of NRSA support are responsible for informing the NIDCR of changes in status or address. For individuals who fail to fulfill their obligation through service, the United States is entitled to recover the total amount of NRSA funds paid to the individual for the obligated period plus interest at a rate determined by the Secretary of the Treasury. Financial payback must be completed within 3 years beginning on the date the United States becomes entitled to recover such amount. o Under certain conditions, the Secretary, U.S. Department of Health and Human Services (or those delegated this authority) may extend the period for starting service or repayment, permit breaks in service, or in rare cases in which service or financial repayment would constitute an extreme hardship, may waive or suspend the payback obligation of an individual. o Officials at the awardee institution have the responsibility of explaining the terms of the payback requirements to all prospective training candidates before appointment to the training grant. Additionally, all trainees recruited into the training program must be provided with information related to the career options that might be available when they complete the program. The relationship of the positions available and the training provided must also be discussed along with the applicability of these positions to any outstanding service payback obligation. Trainee Reporting Requirements The institution must submit a completed Statement of Appointment (PHS Form 2271) for each trainee appointed or reappointed to the training grant at the beginning of the appointment period. Additionally, a completed Payback Agreement (PHS Form 6031) must be submitted for each trainee in their first twelve months of postdoctoral support. Within 30 days of the end of the total support period for each trainee, the institution must submit a Termination Notice (PHS Form 416-7). Failure to submit the required forms in a timely manner may result in an expenditure disallowance or a delay in any continuation funding for the award. LEAVE In general, trainees may receive stipends during the normal periods of vacation and holidays observed by individuals in comparable training positions at the grantee institution. For the purpose of these awards, however, the period between the spring and fall semesters is considered to be an active time of research and research training and is not considered to be a vacation or holiday. Trainees may receive stipends for up to 15 calendar days of sick leave per year. Sick leave may be used for the medical conditions related to pregnancy and childbirth. Trainees may also receive stipends for up to 30 calendar days of parental leave per year for the adoption or the birth of a child when those in comparable training positions at the grantee institution have access to paid leave for this purpose and the use of parental leave is approved by the program director. A period of terminal leave is not permitted and payment may not be made from grant funds for leave not taken. Individuals requiring periods of time away from their research training experience longer than specified here must seek approval from the NIDCR for an unpaid leave of absence. At the beginning of a leave of absence, the trainee must submit a Termination Notice (PHS Form 416-7) and upon return from the leave of absence, the trainee must be formally reappointed to the grant by submitting an updated Statement of Appointment (PHS Form 2271). Trainees within the first twelve months of postdoctoral support must also submit a Payback Agreement (PHS Form 6031) upon return from a leave of absence. INCLUSION OF WOMEN AND MINORITIES IN RESEARCH INVOLVING HUMAN SUBJECTS It is the policy of the NIDCR that women and members of minority groups and their subpopulations must be included in all NIDCR supported biomedical and behavioral research involving human subjects, unless a clear and compelling rationale and justification are provided 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 "NIH Guidelines For Inclusion of Women and Minorities as Subjects in Clinical Research," which have been published in the Federal Register of March 28, 1994 (FR 59 14508-14513), and in the NIH Guide for Grants and Contracts Vol. 23, No.11, March 18, 1994, and is available on the web at the following URL address: http://grants.nih.gov/grants/guide/notice-files/not94-100.html . INCLUSION OF CHILDREN AS PARTICIPANTS IN RESEARCH INVOLVING HUMAN SUBJECTS It is the policy of NIDCR that children (i.e., individuals under the age of 21) must be included in all human subjects research, conducted or supported by the NIDCR, 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 may also obtain copies of these policies from the program staff listed under INQUIRIES. Program staff may also provide additional relevant information concerning the policy. URLS IN NIH GRANT APPLICATIONS OR APPENDICES All applications and proposals for NIH funding must be self-contained within specified page limitations. Unless otherwise specified in an NIH solicitation, internet addresses (URLs) should not be used to provide information necessary to the review because reviewers are under no obligation to view the Internet sites. Reviewers are cautioned that their anonymity may be compromised when they directly access an Internet site. APPLICATION PROCEDURES Applicants must use the grant application form PHS 398 (rev. 4/98). It contains special instructions for Institutional National Research Service Awards (T32) in Section V. Applications Requesting Short-term Training for Health Professional Students. Applicants who wish to include a request for short-term research training positions should identify short-term positions separately within the "stipends" and "training related expenses" categories on the budget page. Under "stipends," short-term positions should be listed in the "other" category. Tuition, fees, health insurance, and trainee travel, and other expenses are to be included in "training related expenses." The description of the short-term research training program should be included in the application for the regular research training program, but should be separated from the description of the regular program within each section of the application. In addition to the information requested in the "program plan" section, the applicant should address the relationship of the proposed short-term program to the regular research training program and provide assurance that the short-term program will not detract from the regular program. Applicants should observe the 25-page limit on the narrative section. APPLICATION MATERIALS To obtain application kits with instructions and forms, please contact your institutional office of sponsored research. Application kits may also be downloaded from the NIH website at http://grants.nih.gov/grants/forms.htm#training or it may be requested from the: Division of Extramural Outreach and Information Resources, National Institutes of Health, 6701 Rockledge Drive, Room 6207, MSC 7910, Bethesda, Maryland 20892-7910, Telephone: (301) 480-0714, FAX: (301) 480-0525. For faster service, send E-mail requests to [email protected]. Please allow 2-4 weeks for U.S. mail requests. Applicants planning to submit an investigator-initiated new (type 1), competing continuation (type 2), competing supplement, or any amended/revised version of the preceding grant application types requesting $500,000 or more in direct costs for any year are advised that he or she must contact the NIDCR program staff before submitting the application, i.e, as plans for the study are being developed. Furthermore, the application must obtain agreement from the IC staff that the IC will accept the application for consideration for award. Finally, the applicant must identify, in a cover letter sent with the application, the staff member and Institute or Center who agreed to accept assignment of the application. This policy requires an applicant to obtain agreement for acceptance of both any such application and any such subsequent amendment. Refer to the NIH Guide for Grants and Contracts, March 20, 1998 at http://grants.nih.gov/grants/guide/notice-files/not98-030.html To identify the application as a response to this PA, check "YES" on item 2 of page 1 of the application and enter the number of this PA. Submit a signed, typewritten original of the application (including the Checklist and all other required materials) and five signed, single-sided photocopies of the signed application, in one package to: CENTER FOR SCIENTIFIC REVIEW NATIONAL INSTITUTES OF HEALTH 6701 ROCKLEDGE DRIVE, ROOM 1040, MSC 7710 BETHESDA, MARYLAND 20892-7710 BETHESDA, MARYLAND 20817 (for express.courier mail) Applications for the initial submission of this PA must be received by December 12, 2000. Applications received after that date will be returned without review. For the future duration of this PA, the receipt date will be September 10 of each year. REVIEW CONSIDERATIONS Applications will be assigned on the basis of established PHS referral guidelines. Applications will be evaluated for scientific and technical merit by an appropriate scientific review group convened in accordance with the standard NIH peer review procedures. 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 applications under review, will be discussed, assigned a priority score, and receive a second level review by the appropriate national advisory council or board. Review Criteria All applications are evaluated for merit based on the following criteria: o Training environment: Institutional commitment; evidence of ongoing fundamental and clinical research; availability of research support, equipment, facilities, and clinical resources. This also includes past research training record of both the program and the designated preceptors as determined by the success of former trainees in seeking further career development and in establishing productive scientific careers. Evidence of further career development can include receipt of fellowships, career awards, additional training appointments, and similar accomplishments. Evidence of a productive scientific career can include a record of successful competition for research grants, receipt of special honors, a record of publications, receipt of patents, promotion to scientific positions, and any other measure of success consistent with the nature and duration of the training received. Level of institutional commitment also will be considered. o Program Director and co-Directors: Scientific and administrative expertise; experience in or potential for managing research training programs and development of research skills; time commitment; other research support; the composition and role of an advisory committee in development of the program; assignment of mentors and projects; and evaluation of progress. o Mentors: Their roles and time commitment now and for the duration of the program; accomplishments in basic and/or clinical research; current and pending research grant holdings; and mentoring experience of graduate researchers and dental clinicians. o Methods for recruitment, selection and retention of trainees: well-defined recruitment procedures (including potential sources of high-quality candidates), trainee selection criteria and retention strategies. o Fulfillment of curriculum requirements: development and implementation of the didactic curriculum and research experience to provide core competencies; the degree, organization and quality of cross-disciplinary and interprofessional research training of all trainees; the interaction among predoctoral, post-doctoral and short-term trainees during didactic and/or research activities. Quality of the plan for evaluating the program. Short-Term Research Training Positions In addition to the above criteria, applications that request short-term research training positions will be assessed using the following criteria: o Quality of the proposed short-term research training program including the commitment and availability of the participating faculty, program design, availability of research support, and training environment; o Access to candidates for short-term research training and the ability to recruit high quality, short-term trainees from the applicant institution or some other health-professional school; o Characteristics of the research training program that might be expected to persuade short-term trainees to consider academic/research careers, particularly in clinical areas; o Effect of the short-term training program on the quality of the regular research training program or any existing, stand-alone short- term research training program (i.e., T35 award); the appropriateness of the number of short-term positions; and the plan to integrate the short-term training program into the regular research training programs; o Plan to follow former short-term trainees and to assess the effect of such research training on their subsequent careers. The following additional review criteria will be applied to applications for DSTP/MSTP awards: o The clinical and graduate research training program. The institutional commitment and ability to provide opportunities for an integrated training program, including (A) didactic, clinical, and research components, in dentistry and graduate education; (B) the relationships among clinical, basic, behavioral and other science, dental/medical departments and the graduate school in the design and conduct of research programs; (C) the organization and quality of interdisciplinary research training; (D) degree requirements; (E) the availability of prescribed and optional courses or seminars; the manner in which the trainee's guided research activities will be selected; (F) procedures for monitoring trainee's progress; (G) the unique and innovative aspects of the program; and (H) the plans to provide support for trainees in the event that a competitive renewal application is unsuccessful. o Applications from existing DSTP awardees will be assessed further using the following criteria: success of processes developed over past five years to deal with recruitment, admissions, retention, progress, monitoring procedures, and post-dental school activities of trainees; integration of dental and science curriculum. ADDITIONAL REVIEW CONSIDERATIONS FOR ALL APPLICATIONS Recruitment Plan for Underrepresented Minorities After the overall educational and technical merit of an application has been assessed, peer reviewers will examine and evaluate the minority recruitment plan. For competing continuation applications, the reviewers also will examine and evaluate the record of the program in recruiting and retaining underrepresented minority trainees during the previous award period. The panel will consider whether the experience in recruitment during the previous award period has been incorporated into the formulation of the recruitment plan for the next award period. The findings of the panel will be included in an administrative note in the summary statement. If the minority recruitment plan or if the record of recruitment and retention of minorities is judged to be unacceptable, funding will be withheld until a revised plan that addresses the deficiencies is received. Staff within the NIDCR, with guidance from the appropriate national advisory committee or council, will determine whether amended plans and reports submitted after the initial review are acceptable. Training in the Responsible Conduct of Research The applicant's plans for training in the responsible conduct of research will be assessed on the basis of the appropriateness of topics, format, amount and nature of faculty participation, and the frequency and duration of instruction. The plan will be discussed after the overall determination of merit, so that the quality of the plan will not be a factor in the determination of the priority score. Plans will be judged as acceptable or unacceptable. The acceptability of the plan will be described in an administrative note on the summary statement. Regardless of the priority score, applications with unacceptable plans will not be considered for funding until the applicant provides a revised, acceptable plan. NIDCR staff will judge the acceptability of the revised plan. Following initial review, the NADCRC also reviews applications. This advisory group will consider, in addition to the assessment of the scientific and educational merit of the research training grant application, the initial review group's comments on the recruitment of individuals from underrepresented minority groups into the research training program and the plan for instruction in the responsible conduct of research. Notification Shortly after the review meeting, each applicant will be sent notification of the Review Group's recommendation and the name and phone number of the NIDCR official responsible for the application. When the NIDCR official receives the written summary of the review, prepared by the SRA after the review meeting, a copy will be forwarded to the applicant. Following Council Review, the program official will notify each applicant of the final disposition of the application. AWARD CRITERIA Applications are selected for funding primarily on the basis of scientific and educational merit, but other factors are considered, such as: availability of funds, research program priorities, the balance among types of research training supported by the NIDCR, the acceptability of the plan for minority recruitment, and the acceptability of the proposal for instruction in the responsible conduct of research. The NIDCR will notify the applicant of the final action shortly after advisory council review. The earliest award date will be July 1, 2001. The NIDCR appreciates the value of complementary funding from other public and private sources, including foundations and industrial concerns, for activities that will complement and expand those supported by the NIDCR. ADDITIONAL INFORMATION For additional information, see the current document titled, Guidelines for National Research Service Awards, Individual Awards - Institutional Grants which is available on the NIH website at: http://grants.nih.gov/training/nrsa.htm INQUIRIES Inquiries concerning this PA are encouraged. The opportunity to clarify any issues or questions from potential applicants is welcome. Direct inquiries regarding programmatic issues to: Dr. James A. Lipton Assistant Director, Office of Training and Career Development Division of Extramural Research, NIDCR Natcher Building, Room 4AN-18J Bethesda, MD 20892-6402 Telephone: (301) 594-2618 FAX: 301-480-8318 Email: [email protected] Direct inquiries regarding fiscal matters to: Mr. Martin R. Rubinstein Grants Management Officer Division of Extramural Research, NIDCR Natcher Building, Room 4AS-55 Bethesda, MD 20892-6402 Telephone: (301) 594-4800 FAX: (301) 480-8301 Email: [email protected] AUTHORITY AND REGULATIONS NRSA Institutional Research Training Grants are made under the authority of Section 487 of the Public Health Service Act as amended (42 USC 288). Title 42 of the Code of Federal Regulations, Part 66, is applicable to this program. This program is also described under section 93.121 in the Catalog of Federal Domestic Assistance. The PHS strongly encourages all grant and contract recipients to provide a smoke-free workplace and promote the non-use of all tobacco products. In addition, Public Law 103-227, the Pro-Children Act of 1994, prohibits smoking in certain facilities (or in some cases, any portion of a facility) in which regular or routine education, library, day care, health care or early childhood development services are provided to children. This is consistent with the PHS mission to protect and advance the physical and mental health of the American people.
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