PAR-99-057: UNDERREPRESENTED MINORITY FELLOWSHIP PROGRAM IN PSYCHIATRY

Department of Health
and Human Services (HHS)

NIH... Turning Discovery Into Health^®

UNDERREPRESENTED MINORITY FELLOWSHIP PROGRAM IN PSYCHIATRY Release Date: January 29, 1999 PA NUMBER: PAR-99-057 P.T. National Institute of Mental Health Application Receipt Date: April 19, 1999 PURPOSE The goal of research training programs at the National Institute of Mental Health (NIMH) is to help educate the leaders of the Nation"s next generation of mental health researchers. The specific purpose of the Underrepresented Minority Fellowship Program (UMFP) is to increase the number of minority scientists trained to perform research in mental health, particularly in the areas of patient oriented research, by supporting a national program of recruitment and training in outstanding research programs across the nation. This announcement of an UMFP in psychiatry is to encourage applications designed to support the development and training of underrepresented minority psychiatrists,INCLUDING THE RECRUITMENT OF MEDICAL STUDENT AND RESIDENTS,to undertake active, productive careers in scientific investigation related to mental health and mental illness. While it is expected that these future researchers will also become prominent within their professions at large, the UMFP is not designed simply to support postdoctoral training for its own sake. Outcomes of successful UMFP training include the mastery of research skills, commitment to future research activity and the promise of future achievement in research endeavors in the mental health field. Areas of research interest to NIMH are indicated in the NIMH Extramural Research Support Programs Announcement, located at: http://www.nimh.nih.gov/grants/grantgen.htm HEALTHY PEOPLE 2000 The Public Health Service (PHS) is committed to achieving the health promotion and disease prevention objectives of "Healthy People 2000," a PHS-led national activity for setting priority areas. This PA, Underrepresented Minority Fellowship Program In Psychiatry, is related to the priority areas of objectives 6 and 8. Potential applicants may obtain a copy of "Healthy People 2000" at http://www.crisny.org/health/us/health7.html ELIGIBILITY REQUIREMENTS It is important that prospective applicants consult "National Research Service Awards Guidelines," published in the NIH GUIDE, Volume 26, Number 21, June 20, 1997. It can be found at the following URL: http://grants.nih.gov/grants/guide/notice-files/not97-009.html Applications may be submitted by domestic, non-profit, public or private organizations, such as universities, colleges, and professional and scientific organizations and associations. Universities and consortia are encouraged to apply. Foreign institutions and organizations are not eligible for Institutional National Service Awards (NRSAs). Applications from international organizations must pertain only to the organization"s domestic component(s). Applicants must have staff and facilities suitable for implementing a national program to recruit, select, place, and maintain underrepresented minority medical or psychiatric trainees in graduate departments or programs (e.g., NIH intramural) with high quality research training and with strong research programs. Racial/ethnic minority individuals, women, and persons with disabilities are encouraged to apply as UMRFP Program Directors. Trainee Eligibility Requirements Individuals selected by the Program Director to participate in the UMRFP program must be citizens or noncitizen 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 UMFP. Noncitizen nationals are persons born in lands which are not States but which are under U.S. sovereignty, jurisdiction, or administration (e.g., American Samoa). Individuals on temporary or student visas are not eligible. For the purpose of this PA, "underrepresented minorities" are defined as individuals who belong to a group who are determined by the grantee institution to be underrepresented in biomedical or behavioral research (this might include, but is not be limited to, American Indian or Alaskan Natives, Asian or Pacific Islanders, Blacks, and Hispanics). Trainees must be free of all Federal debt. Psychiatrists, psychiatric residents, medical doctors, and medical students interested in research careers in mental health and mental illness are eligible trainees. Predoctoral trainees must have received a domestic or equivalent foreign baccalaureate degree from an accredited institution and be enrolled in a doctoral program leading to a research doctorate such as the Ph.D. or D.Sc., or a combined clinical and research degree such as M.D./Ph.D., as of the date of appointment to the UMFP. These National Research Service Award (NRSA) fellowships are not given for study leading to an M.D., D.O., D.D.S., or other similar professional degrees, or for study that is part of residency training leading to a medical specialty. However, this fellowship may support a specified short-term period of full-time research training for a medical student or for a psychiatric trainee who intends to pursue a research career. As defined the NRSA Guidelines (updated June 20, 1997) the T32 application may include a request for short-term positions reserved specifically to train medical or other health- professional students on a full-time basis during the summer or other "off- quarter" periods. These short-term appointments are intended to provide opportunities to participate in biomedical and/or behavioral research in an effort to attract these individuals into research careers. To be eligible, students must have completed at least one quarter at an accredited health- professional school leading to a clinical doctorate prior to participation in the program. Short-term positions must be full time and should be longer than 2 months but may not last longer than 3 months. Additional information may be obtained in the NRSA Guidelines. Post M.D. trainees supported by this program should have no more than 10 years of postdoctoral experience prior to the initial appointment to the program. MECHANISM OF SUPPORT This PA will use the Institutional National Research Service Award (T32) mechanism. Responsibility for the planning, direction, and execution of the proposed research training program will be solely that of the applicant. The total project period for an application submitted in response to this PA may not exceed five years. The anticipated award date is July 1, 1999. Because of the nature and scope of the research training program proposed in response to this PA may vary, the size of an award may vary also. This award will be limited to $700,000 direct costs per year. This PA is a one-time solicitation. Applications may be submitted for either a new or competing continuation award, and are renewable. All applications will be reviewed according to the customary peer review procedures. By law, an individual trainee may receive no more than five years of NRSA support in the aggregate at the predoctoral level and no more that three years of NRSA support in the aggregate at the postdoctoral level. Any exceptions to this limitation requires a waiver from the Director, NIMH, based on a review of the justification provided by the awardee as described in the NRSA Guidelines. Because UMRFP awards have special eligibility requirements, application formats, and review criteria, applicants are strongly encouraged to consult with the program staff listed under INQUIRIES. FUNDS AVAILABLE Funds requested under this mechanism are limited to $700,000 per year in direct costs. Indirect costs are payable at the rate of eight percent of modified total direct costs. In fiscal year 1999, pending the availability of funds, it is expected that $700,000 will be available for support of one Underrepresented Minority Research Fellowship Program in Psychiatry. Selection for funding will be made after competitive peer review. RESEARCH OBJECTIVES Background Specialized research training for underrepresented minority psychiatrists is especially important to ensure the availability of skilled investigators on mental disorders and related fields. However, there are unique problems in designing an UMFP for Psychiatry that require special consideration by applicants for this award. Unlike other disciplines in which an UMFP appropriately supports predoctoral research training, it may be more difficult to determine a single best career point for targeting UMFP support for future psychiatric researchers. The particular demands that are made of psychiatric researchers to become experts in medicine, clinical psychiatry, and scientific research require such extensive training that competing opportunities, e.g., private practice, become increasingly important as barriers to successful entry into research. These demands are even greater for those entering specialties such as child psychiatry or geriatric psychiatry, where specialized clinical training is usually required in addition to the general psychiatry residency. Such considerations as these may be especially potent as barriers for promising underrepresented minority psychiatrists to undertake research training. Applicants are encouraged to identify additional potential problems and to discuss ways to address them in their applications. For example, holding a yearly meeting for fellows would provide a useful network and support system and give fellows the opportunity to meet with appropriate NIMH staff and get "hands on experience regarding funding opportunities and the grant process. For many fellows, particularly those interested in pursuing a career in patient-oriented research, participation in this training program is part of a logical progression towards an individual career training award (e.g., K08, K23, K01 etc.). The possibility of research training experiences for residents (not residency training) or post-resident fellows should be considered in the development of a proposed program as should short-term research training for medical students. This announcement encourages innovative applications from applicants who can demonstrate appropriate flexibility in designing proposed fellowship experiences and who can provide convincing training justification for the concept and for its feasibility. Special Requirements Applicants should provide a plan for the proposed UMFP. Considerable flexibility may be demonstrated in designing options for the UMFP, but each aspect must be carefully 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 Applicants should present a program plan for the proposed UMFP in Psychiatry, including the overall goals, specific objectives, and number of trainees to be supported. The plan should clearly indicate how the program will recruit underrepresented minority psychiatric trainees and place trainees in appropriate research training programs emphasizing mental health research, and how it will anticipate and deal with potential problems which may be encountered in program implementation. The plan should also indicate how underrepresented minority medical students will be recruited, selected and placed in short-term research training experiences and how continuing research mentorship will be undertaken to further strengthen trainees commitment to research careers. The plan should also indicate how the applicant will provide ongoing monitoring, career counseling, or other support to help ensure that UMFP fellows complete their research training and enter productive research careers in areas relevant to mental health. Finally, the plan should indicate how the program will establish networks and linkages with other mental health researchers. Special emphasis should be given to how the training will prepare the fellows for mental health research careers. The plan should provide documentation of the specific research training needs to be addressed by the program. The plan should make clear how the program will ensure that the number of underrepresented minority persons trained in mental health areas will be increased. Documentation of previous successful efforts should be provided. Considerable latitude is allowed to applicants in order to consider the best strategy for an UMFP. For example, a program may emphasize additional predoctoral research training for medical students or post-residency fellowships for board-eligible psychiatrists, or formal study leading to a second degree (e.g., Master of Public Health). While innovation is encouraged, the applicant must describe how the proposed design will lead to the overall goal of providing an increased number of underrepresented minority psychiatrists who are actively engaged in research careers. NIMH does not support residency training or persons pursing masters level degrees only, in any mental health field. The application should describe how the applicant proposes to implement the following kinds of activities: o Recruitment (with special emphasis on medical students who may be interested in choosing psychiatry as a clinical specialty, or psychiatric residents who want to enter research careers), selection, and training of fellows in the program (note that short-term training must meet the NRSA requirements as described in the NRSA Guidelines, dated June 20,1997.) o Counseling to potential applicants to assist them in selection of training institutions or programs o Applicants must clearly indicate the criteria to be used in the selection of UMFP fellows, including a draft announcement and application forms which would be used to recruit and select individual UMFP fellow, consideration of the best ways to recruit promising trainees o Tracking and monitoring of the trainees" research training progress, including the means for monitoring their research involvement to insure that they obtain optimal mental health training and career development opportunities o Assessment of training institutions" required research curricula and current faculty research o Support and supervision to be provided to the fellows, kinds of evaluation and reports expected from the fellows and from their faculty and research sponsors, availability of special faculty mentors and communication with them o Continuing contact, support, and supervision to be provided to individual fellows by the Training Program Director (TPD) o Enrichment experiences, professional socialization, and networks beyond those provided in the training setting o Specialized training to meet special needs of the trainees in mental health research, e.g., graduate academic study in research methods/statistical analysis, workshops on current research on prevalence of mental disorders among racial and ethnic groups, social support systems, behavioral genetics, etc. and research grant writing o Procedures built into the program to ensure that training experiences maximize the opportunity for both publishing and presenting research results at professional research meetings or in research journals o Evidence that the principles of ethical scientific conduct will be incorporated in the research training experience of each trainee o Discussions of methods to be used to facilitate the subsequent transition to research careers after the completion of training o Plans for tracking and monitoring post-training activities with annual reports to the grantee organization o Plans for evaluating the program including follow-up of trainees, assurance that the UMFP award will not be used to substitute for existing Federal funding for research training o Plans to describe payback requirements to all post-doctoral trainees and to submit all appropriate appointment forms to NIMH in a timely fashion (all trainee appointment forms are to be submitted as soon as the appointments begin, termination forms are to be submitted as soon as the support from the grant terminates, failure to submit required forms may cause a delay in funding or a disallowance of expenditures.) Program Leadership The program director of the applicant organization will be responsible, with the assistance of an UMFP Advisory Committee, for the recruitment and selection of underrepresented minority trainees and for their placement in appropriate training experiences which have strong research and research training in mental health, for the provision of needed fiscal and other support during their fellowship experience, and for the overall administration of the research training program. He/she will assist the prospective fellows in the selection of training institutions or programs and provide counseling on research curricula offerings which will ensure that fellows carry out research in mental health with the primary objective of extending their skills and knowledge in preparation for a research career. The program director should have sufficient research qualifications and experience to provide genuine leadership. The applicant should list the qualifications, mental health research experiences and knowledge of current mental health research, and include his/her curriculum vita. The proposed UMFP Director"s research qualifications and experiences are to be emphasized. The duties of the Program Director, including the time to be devoted by the Program Director to various tasks must be described, as well as the total amount of time committed solely to carrying out the program. A minimum of 20% of the Program Director"s time must be committed to implementing the UMFP in Psychiatry. Program Requirements The applicant should describe the administrative structure of the program, indicating the distribution of responsibilities and the relationship of the UMFP to the overall program of the sponsoring organization. Other sources of fiscal or in-kind support for the program from the sponsoring organization must also be described in the application. Advisory Committee The applicant must present a plan for establishing an UMFP Advisory Committee of at least five outstanding researchers in psychiatry, which will include minority and female representation, to assist the program director in the recruitment and selection of fellows and to advise fellows concerning appropriate placement opportunities in programs with mental health research. The functions, size, and composition of the Advisory Committee, as well as the substantive areas of competence to be included, should be clearly stated in the application. Applicants should describe the research background, qualifications, and selection criteria for members of the proposed UMFP Advisory Committee, explaining the duties and responsibilities of this committee and the UMFP Advisory Committee"s role in the overall program. The application should contain a list of proposed committee members, the rationale for their selection, and copies of their curricula vitae (including their current research support). Knowledge of Graduate Departments or Programs in Mental Health Applicants should indicate how they will acquire, maintain, and make use of important information about appropriate research programs for fellows supported by the award. Departments of psychology neuroscience, molecular biology, etc., of relevance should be listed with names and addresses of appropriate senior faculty. Such information might include, for example, information about the extent of relevant graduate-level methodology courses, and the nature and quality of ongoing faculty research and resources available to fellows at specific Institutions. Applicants should provide detailed information about appropriate programs, if available, and include a description of resources and processes they have for obtaining information and the mechanisms they will establish to work with prospective fellows to help them in selecting locations for their research training. Program Faculty The applicant must list proposed training faculty members, their primary department and university affiliation, and their role and percent effort in the proposed program. The applicant must also 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 applicant must list past and current students for whom each faculty member has served or is serving as their advisor/mentor, the titles of the student"s research project, and for past students their current positions/sources of support. Each trainee must have a faculty advisor who is actively engaged in mental health research. A Biographical Sketch and information about relevant current research support such be included for each current or proposed faculty member. Research Recruitment Young scholars are often hesitant to enter into a full year of research training in order to determine whether or not they have a genuine interest and aptitude for a mental health research career. Support is available for up to 3 months of research involvement for clinicians and medical students interested in exploring mental health research careers. Research recruitment candidates at the predoctoral level are not subject to the NRSA payback requirement. Postdoctoral trainees are subject to the Payback requirements (refer to the NIH Guide dated June 20, 1997 which completely described the NRSA Guidelines, including the changes in the payback regulations effective June 10, 1993). NIH-supported NRSA research training grants may request up to four research recruitment positions in addition to their regular predoctoral or postdoctoral positions. These proposals should include a plan for research recruitment and a research training program design that includes research involvement. The research recruitment design should be separated from the description of the regular program within each section of the application, however, the applicant should also address the relationship of this proposed program to the regular research training program. Successful recruits may be reappointed for no more than 2 additional 3-month periods or, when appropriate, be appointed as regular trainees. See the NRSA Guidelines regarding requirement associated with short-term training. Stipends will be on a prorated basis and may be supplemented by the institution from non-Federal funds. Payback Requirements Postdoctoral recipients of stipends under the UMFP must agree to engage in health-related research, and must sign a payback agreement at the time of the initial appointment. Predoctoral trainees whose initial appointments began after June 10, 1993 have no payback obligation. Conditions of Award Only U.S. citizen, noncitizen nationals, and those foreign nationals who possess a visa permitting permanent residence in the United States may be appointed as trainees on training grants. Individuals on temporary or student visas are not eligible to receive PHS fellowships or training grant support. Grants must be administered in accordance with the NIH Grants Policy Statement (10/1/98). Title 42 of the Code of Federal Regulations, Part 66, is applicable to these awards. Before a postdoctoral level trainee can be appointed to an UMFP award and receive an UMFP Award under the grants, he or she must meet UMFP eligibility requirements and sign a Payback Agreement indicating his or her intent to meet the payback provision required under the law. Organizations must notify prospective trainees of this provision prior to or at the same an appointment is offered. The applicant organization must submit to NIH 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 NIMH. 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 fashion may result in an expenditure disallowance or a delay in any future funding of the grant. All grants awarded under UMFP are made for full-time (no less than 40 hours/week) research training. 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 NIMH. An UMFP award may not be held concurrently with another federally sponsored fellowship or similar Federal award which provides a stipend or otherwise duplicates provisions of the UMFP award. An awardee may, however, accept concurrent educational remuneration from the Veterans Administration and loans from Federal funds. Trainees supported by academic institutions are not entitled to vacations as such. They are, however, entitled to the normal short student holidays observed by their training institution. The time between the spring and fall semester is to be used as an active part of the training period. Awardees supported by nonacademic organizations are entitled to the holiday and vacation schedule applicable to all trainees at the organization. Annual Stipends The annual stipend for predoctoral individuals at all levels is $14,685 for 12 months of training. Postdoctoral stipends range from $26,250 to $41,265 per year, depending upon level of relevant experience at the time of appointment beginning date: Full Years of Relevant Experience Stipend 0 $26,250 1 $27,720 2 $32,700 3 $34,365 4 $36,030 5 $37,680 6 $39,345 7 or more $41,265 For purpose of determining the appropriate stipend levels for subsequent years, prior years under an NIMH Clinical Grant will count as "years of relevant experience." Relevant experience is considered to be activities beyond the doctoral degree such as internship, residency, teaching, or providing services in the specific area of training, etc. The stipend is intended to help provide for the underrepresented minority trainee"s living expenses during the period of training. The stipend is not a payment for services performed. Trainees are not considered to be employees of the PHS or their sponsoring organization. Therefore, it is inappropriate and unallowable for institutions to seek funds for or to charge fringe benefit costs to the grant. Supplementation of the UMFP stipend 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 supplementation. This is not intended to discourage in any way the use of Federal loan funds. Additional support may be provided to the trainee without obligation by the sponsoring institution or may be conditioned on his or 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 the same research as in the research 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 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 employer-employee relationship with NIH or the institution in which they are pursuing research training. 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 fees, and self-only insurance). Such costs will be provided according to the policy published in the NIH Guide, Vol. 25, No. 2, February 2, 1996. Applicants may also request funds for certain types of travel for trainees, (e.g., to attend professional meetings and other meetings directly related to their training). The award will cover actual indirect costs or eight percent of allowable direct costs (whichever is less). Applications from State and local government agencies may request full indirect cost reimbursement. The applicant organization may also request funds for other Training Related Costs such as personnel, consultants, supplies, travel, reproduction and printing costs, rental equipment, minor equipment items, and other items which are directly related to the recruitment, selection, placement, and monitoring of training of the students. Funds for such "other related costs" are intended to provide the applicant with only partial support for the costs of the proposed research training and for meeting the costs of trainee research. Ordinarily, under National Research Service Research Awards, up to $1,500 per predoctoral and $2,500 per postdoctoral individual is provided for the other related costs 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. Training Related Costs may not exceed 25% of the total direct costs. 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. Funds may be used only for those expenses which are directly related and necessary to the research training and must be expended in conformance with DHHS Cost Principles, NIH Grants Policy Statement, the NRSA regulations and guidelines, and conditions set forth in this document. All budget items must be fully justified at the level requested (e.g., Advisory Committee costs, the Training Program Director"s salary, telephone and printing costs). The type and amount of fiscal or in-kind costs to be contributed by the grantee organization should also be detailed. Grantees are expected to be familiar with and comply with applicable cost policies. Progress Reports (Competing Continuation Applications Only) General directions are on pages V-6 and V-7 of the form PHS 398 application kit. A Biographical Sketch and Other Support form (Form Pages six and seven) must be provided for each faculty member/mentor. Competing continuation 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 by the previous award. 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, date doctoral degree was awarded, dissertation title, areas of mental health research, current employment, applications for K23/K08 awards, funded research (title, source and amount of funding), and publications. The name, department, and funded mental health research (title, source, and amount of funding) of each trainee"s major advisor should also be provided. For the program as a whole, an overall summary should be provided of: (a) underrepresented minorities recruited, (b) placement in departments with strong mental health research, (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 teaching and research, including the number who applied for and/or were awarded K01/K23/K08, or R grants. 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 teaching and research. The progress report should also detail the actual expenditures of the most recent complete grant year for the Program Director, secretarial personnel, travel, advisory committee, telephone, postage, stipends, tuition, trainee travel, etc. Human Subjects and Vertebrate Animals Requirements While the UMRFP applicant may or may not itself provide research training, the applicant organization must retain overall responsibility for compliance with all the applicable regulations and must assure that all organizations which do provide the training 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 UMRFP trainees will receive their training 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 Protection from Research Risks, National Institutes of Health, Bethesda, Maryland 20892. An organization proposing to provide research training to a student funded by this UMRFP must file with the Office for Protection from Research Risks (OPRR), and OPRR 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 Institution Review Board (IRB) which is required to review and approve all nonexempt research activities involving human subjects. 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 UMRFP 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 the UMRFP 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 subpopulations must be included in all NIH supported biomedical and behavioral research projects involving human subjects, unless a clear and compelling rationale and justification is 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 available on the web at the following URL address: http://www.nih.gov/grants/guide/notice-files/not94-105.html 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://www.nih.gov/grants/guide/notice-files/not98-024.html Investigators also may obtain copies of these policies from the program staff listed under INQUIRIES. Program staff may also provide additional relevant information concerning the policy. 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 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 Institute or Center (IC) 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://www.nih.gov/grants/guide/notice-files/not98-030.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 PA number and title and must be typed in section 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 three signed photocopies, in one package to: CENTER FOR SCIENTIFIC REVIEW NATIONAL INSTITUTES OF HEALTH 6701 ROCKLEDGE DRIVE, ROOM 1040-MSC 7710 BETHESDA, MD 20892-7710 BETHESDA, MD 20817 (for express/courier service) At the time of submission, two additional copies of the application must be sent to: Henry J. Haigler, Ph.D. Division of Extramural Activities National Institute of Mental Health 6001 Executive Boulevard, Room 6154 MSC 9609 Bethesda, MD 20892-9609 Applications must be received by April 19, 1999. 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 PA that is essentially the same as one currently pending initial review, unless the applicant withdraws the pending application. The CSR will not accept any application that is essentially the same as one already reviewed. 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 by NIMH staff. Incomplete and/or non-responsive applications will be returned to the applicant without further consideration. Applications that are complete and responsive to the PA will be evaluated for scientific, technical, and educational merit by an appropriate peer review group, convened by the NIMH, 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 and assigned a priority score. Application will also receive a second level review by the National Advisory Mental Health Council. Review Criteria Major considerations in the review are the breadth, depth, and the quality of the plan for carrying out the UMRFP, qualifications, capability, and experience of the Program Director and the organization to implement the plan, qualifications of the UMFRP 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 psychiatrists and medical students nationally, including written and personal contact with potential applicants, and justification for the strategy (or strategies) to be used in designing and implementing the fellowship o Establishment of an appropriate UMFP Advisory Committee to select, advise, and work with the fellows concerning graduate work in mental health research, including selection criteria for the committee members o Demonstrated knowledge of research training programs in psychiatry and related disciplines which can be used to provide meaningful advice to fellows concerning the choice of appropriate training programs, and a plan to disseminate this information to potential applicants for the UMFP award o Establishment of a plan to develop and refine appropriate criteria for selection of underrepresented minority psychiatrists and medical students, including the development and testing of innovative ways to recruit and select successful fellows o Development of a plan to appropriately place fellows in research programs or institutions appropriate to their research interests and career goals o Methods of monitoring the progress of fellows, early identification and remedy of problems encountered by fellows, provision of support and mentoring o Methods of monitoring the quality of the training provided by the training faculty and its research staff, including research involvement, and ethical conduct of scientific investigation o Quality of the plans to include training in ethical scientific conduct o Provision of enriching experiences, professional socialization, and networks beyond those in the local setting o Adequacy for evaluating the UMFP, including methods for assessing the success of the program in increasing the number of underrepresented minority students seeking research careers in psychiatry o Past research training record in terms of the success of former trainees in applying for and obtaining individual awards such as fellowships, career awards (K01/K23/K08), and research grants for further development, o Past research training record for both the program and the designated preceptors in terms of the rate at which former trainees establish independent and productive research careers, o Training environment including the institutional commitment (including financial or in-kind support), the quality of the facilities, and the availability of research support, o Recruitment and selection plans for appointees and the availability of high quality candidates, (note citizenship requirements) o Record of the research training program in retaining health-professional postdoctoral trainees for at least two years in research training or other research activities, o When appropriate, the concomitant training of health-professional postdoctorates (e.g., individuals with the M.D., D.O., D.D.S.) with basic science postdoctorates (e.g., individuals with a Ph.D., Sc.D.) will receive special consideration. o Documentation regarding other contributions to the proposed program Program Leadership and Personnel o Qualifications and experience of the Program Director in Mental Health research mentoring and administration of a national research training program o Appropriateness of qualifications and leadership experiences of proposed Advisory Committee including areas of substantive mental health research and mentorship o Appropriateness of the Program Director"s time devoted to specific tasks and to the total program o Appropriate qualifications and experience of other applicant organization staff or faculty for carrying out the program Program Faculty Applicant Institution: o Adequacy and strength of the faculty"s mental health research and teaching (as indicated, for example, by peer reviewed research publications and amount of research 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 research o Quality of training faculty (as evidenced, for example, by publication record, scientific accomplishments, experience in providing research training, and success in placing former trainees in research positions) o Quality of mentoring as indicated by the faculty training record in mental health research and students" accomplishment Budget o Appropriateness of the proposed budget, compelling justification for training related expenses in excess of $1,500 for predoctoral and $2,500 for postdoctoral trainees o Contribution of the organization or others to the program in kind or in funds Facilities and Resources o Availability of and access to facilities and resources needed to implement the plan o Extent of institutional or organizational support for the program, including assurances that the participating training sites will comply with the required regulations and program policies/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 record of: (a) minority recruitment, (b) placement in departments with strong mental health research, (c) rates of retention in research careers, (d) submission of applications for research and research career awards (K01/K08/K23), (e) research publications and presentations of fellows, (f) subsequent careers in mental health teaching and research of the fellows, and (g) research and research career development grants received by fellows. AWARD CRITERIA An application will be selected for funding primarily based on scientific merit as determined by peer review, programmatic priorities and balance, and the availability of funds. INQUIRIES Inquiries are encouraged. The opportunity to clarify any issues or questions from potential applicants is welcome. Direct inquiries regarding programmatic issues to: Kenneth Lutterman, Ph.D. Division of Services and Intervention Research National Institute of Mental Health 6001 Executive Boulevard, Room 7117, MSC 9629 Bethesda, MD 20892-9629 Telephone: (301) 443-3373 FAX: (301) 443-4045 Email: klutterm@nih.gov 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 20892-9605 Telephone: (301) 443-3065 FAX: (301) 443-6885 Email: Diana_Trunnell@nih.gov AUTHORITY AND REGULATIONS This program is described in the Catalog of Federal Domestic Assistance No. 93.282. 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 (Oct 1, 1998). PHS strongly encourages all grant and contract recipients to provide a smoke-free workplace and promote the nonuse of all tobacco products. In addition, Public Law 103-227, the Pro-Children Act of 1994, prohibits smoking in certain facilities (or in some cases, any portion of a facility) in which regular or routine education, library, day care, health care or early childhood development services are provided to children. This is consistent with the PHS mission to protect and advance the physical and mental health of the American people.

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