Release Date:  January 29, 1999

PA NUMBER:  PAR-99-057


National Institute of Mental Health

Application Receipt Date:  April 19, 1999


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
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


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


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:

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.


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 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.



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

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

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

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

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

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

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

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.


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: 


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:

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.


The research grant application form PHS 398 (rev. 4/98) is to be used in applying
for these grants.  These forms are available at most institutional offices of
sponsored research or from the Division of Extramural Outreach and Information
Resources, National Institutes of Health, 6701 Rockledge Drive, MSC 7910,
Bethesda, MD 20892-7910; telephone (301) 710-0267; fax (301) 480-0525; Email:

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

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

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:

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

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


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

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

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 FacultyĆ¾Applicant 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


o  Appropriateness of the proposed budget; compelling justification for training
related expenses in excess of $1,500 for predoctoral and $2,500 for postdoctoral

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

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


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 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


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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