Full Text DC-97-001
NIH GUIDE, Volume 26, Number 10, March 28, 1997
RFA:  DC-97-001
P.T. 34

  Communicative Disorders, Hearing 
  Communicative Disorders, Speech 

National Institute on Deafness and Other Communication Disorders
Office of Research on Minority Health
Application Receipt Date: May 23, 1997
The National Institute on Deafness and Other Communication Disorders
(NIDCD) and the Office of Research on Minority Health (ORMH) invite
applications for grants to support the research career development of
faculty investigators at minority academic institutions in the
biomedical and behavioral scientific mission areas of the NIDCD,
hearing, balance, smell, taste, voice, speech and language.  The
purpose of this program initiative is to: (1) foster the development
of independent investigators in research in human communication on
the faculties of minority institutions; (2) stimulate research and
research training in human communication at these institutions; and
(3) encourage the entry of investigators from minority groups who
were trained in a variety of scientific areas and disciplines into
research in human communication.
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 RFA,
NIDCD/ORMH Mentored Research Scientist Development Award for Minority
School Faculty, is related to the priority area of human resource
development.  Potential applicants may obtain a copy of "Healthy
People 2000" (Full Report:  Stock No. 017-001-00474-0 or Summary
Report:  Stock No. 017-001-00473-1) through the Superintendent of
Documents, Government Printing Office, Washington, DC 20402-9325
(telephone 202-512-1800).
Applications may be submitted on behalf of candidates by domestic
non-Federal minority academic institutions, public and private.  For
the purposes of this RFA, a minority institution is defined as a
domestic college, university, or equivalent school of higher learning
in which students of minority ethnic/racial groups, which have been
found to be underrepresented in biomedical and behavioral research in
the United States, including African Americans, Hispanic Americans,
Native Americans and Alaskan Natives, and Pacific Islanders, comprise
a substantial proportion of the institution's enrollment.
Ethnic/racial  minority individuals underrepresented in biomedical
and behavioral research, women, and persons with disabilities are
particularly encouraged to apply as candidates. Applications from
foreign institutions will not be accepted.
Candidates for this award must be full-time faculty members of
minority academic institutions who:  (1) are citizens of the United
States, noncitizen nationals, or have been lawfully admitted for
permanent residency at the time of application; (2) have a research
or health-professional doctorate, or its equivalent; (3) have
demonstrated capacity or potential for productive independent
research; (4) have secured the commitment of an appropriate research
mentor actively involved in research in human communication and of
the minority (home) institution to the proposed research career
development program; and (5) agree to remain at the minority
institution for at least two years after completion of the award.
The candidate must identify an appropriate mentor either at the
applicant institution or at another institution within geographic
proximity of the home institution with extensive research experience
in the research area proposed in the application. The candidate must
be willing to spend a minimum of 50 percent professional effort
conducting research and career development activities for the period
of the award.
Candidates who have served as principal investigators on PHS research
grants or have been supported by a research career award in the past,
are eligible to apply, provided the proposed research career
development program is in a fundamentally new area of scientific
endeavor for the candidate or there has been a significant hiatus in
his/her research career because of family or other personal
obligations.  Current principal investigators on PHS research grants
are not eligible.
This RFA will use the National Institutes of Health (NIH) Mentored
Research Scientist Development Award (K01) mechanism.  This mechanism
is described in program announcement PA-95-049 (NIH Guide, Vol. 24,
No. 15, April 28, 1995).  Although all general guidelines of
PA-96-049 will apply, this RFA is written as a stand-alone document
and contains provisions that are unique to this initiative.
Planning, direction, and execution of the proposed career development
program are the responsibility of the candidate and his/her mentor on
behalf of the applicant institution.  The total project period for
grants awarded under this program must be three, four or five years,
and will depend on the number of years of prior research experience
and the need for additional career development to achieve research
independence in research in human communication.  These grants are
not eligible for renewal.
The estimated funds (total costs) available for the first year of
support for the program are expected to be $300,000 in Fiscal Year
1997 (FY 97).  Up to four awards are anticipated to be made in FY 97.
Funding beyond the first year of the award will be contingent on the
satisfactory progress of the awardee and the availability of funds.
The striking underrepresentation of racial/ethnic minority groups in
biomedical and behavioral research in the United States has been
underscored in many studies.  There are existing programs at the NIH
designed to improve this situation.  These include: the Minority
Biomedical Research Support Program, the Minority Access to Research
Careers (MARC) Program, the Individual Predoctoral Fellowship for
Minority Students Program, and the Research Supplements for
Underrepresented Minorities Program.  The NIDCD has been an active
participant in trans-NIH minority research training programs and has
implemented its own minority programs, including the Travel
Fellowships for Underrepresented Minority Students in Communication
Sciences Program, the NIDCD Partnership Program and the NIDCD/ORMH
Minority Dissertation Research Grants in Human Communication Program.
In the spring of 1994, NIDCD conducted a program planning workshop on
research training, Training Researchers for the Next Century in the
Communication Sciences. Among the recommendations of this workshop
were: (1) to expand partnership programs with professional and
voluntary organizations for minority research training initiatives,
and (2) to promote the research training of scientists from
underrepresented minority groups at the investigator level.
Although the aforementioned NIH grant programs have yielded a
measurable degree of success, it has been recognized that the paucity
of qualified minority investigators in academic research settings has
created a shortage of role models for minority students. This RFA
seeks to address this problem by enhancing the research capabilities
of  faculty members, especially minority faculty members, at minority
academic institutions so that these individuals may establish
research laboratories and research programs in human communication at
their institutions.  In this fashion they will serve as role models
for minority undergraduate and graduate students, stimulating them to
consider research career opportunities in human communication.
The purpose of this RFA is to:
o  foster the development of independent investigators in research in
human communication on the faculties of minority academic
o  stimulate research and research training in human communication at
these institutions; and
o  encourage the entry of investigators from underrepresented
minority groups who were trained in a variety of scientific areas and
disciplines into research in human communication.
Research Areas
The research career development plan must address a scientific area
of hearing, balance, smell, taste, voice, speech or language.  The
NIDCD particularly encourages minority school faculty to develop
their research careers in underserved and priority areas  of NIDCD's
scientific research mission.  These research areas are enumerated in
the National Strategic Research Plans published by the NIDCD.
The applicant minority institution must demonstrate in the
application a firm commitment to the development of the candidate as
a productive, independent investigator in human communication and to
the pursuit of the research career development plan described in the
application. The candidate should describe a career development
program that will maximize the use of relevant research and
educational resources available in the minority institution and in
the mentor's institution.
The award provides three, four or five consecutive 12-month
appointments to pursue a mentored research experience and specialized
study in the sciences applicable to human communication that are
tailored to the individual needs of the candidate.  At least 50
percent of the recipient's full-time professional effort over the
12-month appointment period must be devoted to the program, and the
remainder devoted to other research- related and/or teaching
activities consistent with the objectives of the award.  The
candidate must develop knowledge in the basic sciences and research
skills relevant to his or her career goals, and must arrange relevant
didactic and laboratory or field research experiences.
The candidate must identify and complete arrangements with a nearby
scientist at the host institution or at another institution within
approximately 100 miles who is an accomplished investigator in the
research area proposed in the application and an appropriate mentor.
There may be additional mentors, but the primary mentor should be in
geographic proximity to the candidate.  Arrangements with primary
mentors at institutions greater than 100 miles from the applicant
institution will be considered, but must be strongly justified and
clearly outlined in the application.  The candidate must receive
appropriate mentoring throughout the three- to five-year program.
Allowable Costs:
1.  Salary:  The NIDCD will provide salary  for the recipient of this
award, based on the institution's salary scale for faculty at an
equivalent experience level, up to a maximum of $50,000 per year
(plus commensurate fringe benefits).  The actual amount allowable for
salary will depend on the percentage of effort committed by the
candidate to the program.
The institution may supplement the NIDCD contribution up to a level
that is consistent with the institution's salary scale; however,
supplementation may not be from Federal funds unless specifically
authorized by the Federal program from which such funds are derived.
In no case may PHS funds be used for salary supplementation.
Institutional supplementation of salary must not require extra duties
or responsibilities that would interfere with the purpose and
provisions of this research career development award. Under expanded
authorities, however, institutions may rebudget funds within the
total costs awarded to cover salaries consistent with the
institution's salary scale.
The total salary requested must be based on a full-time, 12-month
staff appointment.  It must be consistent both with the established
salary structure at the institution and with salaries actually
provided by the institution from its own funds to other staff members
of equivalent qualifications, rank, and responsibilities in the
department concerned.  If full- time, 12-month salaries are not
currently paid to comparable staff members, the salary proposed must
be appropriately related to the existing salary structure.
2.  Research Development Support: The NIDCD will provide up to
$20,000 per year for the following expenses: (a) tuition, fees, and
books related to career development; (b) research expenses, such as
supplies, equipment, and technical personnel; (c) travel to research
meetings or training; (d) statistical services including personnel
and computer time. These funds must be expended  for the support of
the candidate's research career development plan.  The transfer of
funds for this purpose to the mentor's institution by subcontract or
other written agreement will be permitted only with appropriate
3.  Ancillary Personnel Support:  Salary for mentors, secretarial and
administrative assistance, etc., is not provided.
4. Facilities and Administrative Costs:  Facilities and
administrative costs will be reimbursed at eight percent of modified
total direct costs, or at the actual facilities and administrative
cost rate, whichever is less.
In carrying out its stewardship of human resource related programs,
the NIDCD, ORMH or NIH may request information essential to an
assessment of the effectiveness of this program.  Accordingly,
recipients are hereby notified that they may be contacted after the
completion of this award for periodic updates on various aspects of
their employment history, publications, support from research grants
or contracts, honors and awards, professional activities, and other
information helpful in evaluating the impact of the program.
It is the policy of 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, Volume 23, Number 11, March 18,
Applications are to be submitted on the grant application form PHS
398 (rev. 5/95). These forms are available at most institutional
offices of sponsored research, from the program administrator listed
under INQUIRIES, as well as from the Office 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: ASKNIH@ODROCKM1.OD.NIH.GOV.
The PHS 398 form is also available electronically on the NIH Home
Page at https://grants.nih.gov/grants/phs398.
The RFA label available in the PHS 398 (rev.5/95) application form
must be affixed to the bottom of the face page of the application.
Failure to use this label could result in delayed processing of the
application such that it may not reach the review committee in time
for review.  In addition, the RFA title and number (NIDCD/ORMH
Mentored Research Scientist Development Award for Minority School
Faculty, DC-97-001) must be typed on line 2 of the face page of the
application form and the YES box must be marked. Instructions for
completing the application are found in the PHS 398 form.
The application must address the following issues:
o  The candidate's commitment to a career in research in human
o  The candidate's potential to develop into a successful independent
o  The candidate's immediate and long-term career objectives, and how
the award will contribute to their attainment.
o  Letters of recommendation.  Three sealed letters of
recommendation, including a letter from the mentor, addressing the
candidate's potential for an independent research career in human
communication must be included as part of the application.
Career Development Plan
o  The career development plan, incorporating consideration of the
candidate's goals and prior experience.  It should describe a
systematic plan to obtain any necessary background and research
experience to launch or reinitiate an independent research career in
human communication.
o  Plans to receive instruction in the responsible conduct of
research.  These plans must detail the proposed subject matter,
format, frequency, and duration of instruction as well as the amount
and nature of faculty participation.  No award will be made if an
application lacks this component.
Research Plan
o  The candidate's and mentor's research plan, as outlined in form
PHS 398, including sections on the Specific Aims, Background and
Significance, Progress Report/Preliminary Studies, Research Design
and Methods.
Mentor's(s') Statement(s)
o  The application must include information on the mentor(s)
including information on research qualifications and previous
experience in research training and mentoring.  The application also
must include information that describes the nature and extent of
mentoring that will occur during the proposed award period.
Environment and Institutional Commitment
o  The applicant minority institution must describe the anticipated
impact of the candidate's career development program to the promotion
of research and research training in human communication at that
o  The applicant minority institution must also provide a statement
of commitment to the candidate's development into a productive,
independent investigator in research in human communication.  This
must include statements from the Dean and the Departmental Chair
indicating that the candidate will be provided with sufficient
release time from other duties to accomplish the research and career
development goals stated in the application.
o  The budget must be prepared in accordance with the instructions in
Form 398 and the Just-In-Time (JIT) procedures for FIRST and Career
(K) Awards.  The JIT procedures are described in two NIH Guide
notices (Volume 25, Number 10, March 29, 1996; Volume 25, Number 16,
May 17, 1996), available from the program administrator listed under
INQUIRIES and from the NIH Home Page at http://www.nih.gov.
Submit a signed, typewritten original of the application, including
the Checklist, and three signed photocopies, in one package to:
6701 ROCKLEDGE DRIVE, ROOM 1040 - MSC 7710
BETHESDA, MD  20892-7710
BETHESDA, MD  20817 (for courier service)
At the time of submission, two additional copies of the application
must be sent to:
Chief, Scientific Review Branch
Division of Extramural Activities
National Institute on Deafness and Other Communication Disorders
Executive Plaza South, Room 400-C
6120 Executive Boulevard - MSC 7180
Bethesda, MD  20892-7180
ATTN:  Minority Faculty MRSDA
Telephone:  (301) 496-8683
FAX:  (301) 402-6250
Applications must be received by May 23, 1997.  If an application is
received after that date, it will be returned to the applicant
without review.  The Division of Research Grants (DRG) will not
accept any application in response to this RFA that is essentially
the same as one currently pending initial review, unless the
applicant withdraws the pending application.  The DRG 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 already reviewed, but such applications must include an
introduction addressing the previous critique.
Applications that are complete and responsive to the RFA (as judged
by NIDCD Program Staff) will be evaluated for scientific and
technical merit by an appropriate peer review group convened by the
NIDCD in accordance with the standard NIH peer review procedures.  As
part of the initial merit review, all applications will receive a
written critique and may undergo a process in which only those
applications deemed to have the highest scientific merit, generally
the top half of applications under review, will be discussed and
assigned a priority score.
Review Criteria
The following criteria will be applied:
o  Commitment to an independent research career in human
o  Potential to develop (or evidence of the capacity to develop) as
an independent investigator; and
o  Quality and breadth of prior scientific training and experience,
including, where appropriate, the record of previous research support
and publications.
Career Development Plan
o  Likelihood that the plan will contribute substantially to the
scientific development of the candidate and the achievement of
research independence;
o  Appropriateness of the research plan to the career goals of the
o  Appropriateness of the plan to develop new knowledge in human
communication, and appropriateness of the proposed award duration;
o  Clarity of the goals and scope of the plan and the need for the
proposed research experience; and
o  Quality of the proposed training in the responsible conduct of
Research Plan
All candidates for this award will have had previous research
experience and in some cases will have been Principal Investigators
in other scientific fields.  A sound research plan that is consistent
with the career development plan and the candidate's level of
research development must be provided:
o  Usefulness of the research plan as a vehicle for enhancing
existing research skills as described in the career development plan;
o  Scientific and technical merit of the research question, design
and methodology;
o  Relevance of the proposed research to the candidate's career
objectives; and
o  When human subjects are involved, adequacy of plans to include
both genders and minorities and their subgroups as appropriate for
the scientific goals of the research. Plans for the recruitment and
retention of subjects will also be evaluated.
o  Appropriateness of mentor's(s')  research qualifications in human
communication and in the specific areas of the application;
o  Quality and commitment of the mentor(s) to supervising and guiding
the candidate throughout the award period;
o  Previous experience in fostering the development of independent
investigators; and
o  Record of research productivity and support.
Institutional Environment and Commitment
o  Applicant institution's commitment to the scientific development
of the candidate and assurances that the institution intends the
candidate to be an integral part of its research program;
o  Quality of the environment and facilities of the mentor(s) and of
the applicant institution for the candidate's scientific and
professional development; and
o  Willingness of the applicant institution to develop an appropriate
balance of research, teaching and administrative responsibilities for
the candidate.
o  Justification of budget requests in relation to career development
goals and research aims and plans.
The NIDCD anticipates awarding up to four K01 grants in response to
this RFA.  The anticipated date of award is September 30, 1997.  The
following criteria will be considered in making funding decisions:
o  Responsiveness to the purpose of this request;
o  Quality of the proposed research career development program, as
determined by peer review; and
o  Availability of funds.
Inquiries concerning this RFA are encouraged.  The opportunity to
clarify any issues or questions from potential applicants is welcome.
Consultation with NIDCD staff is strongly encouraged, especially
during the planning phase of the application process, in order to
ensure that the application is responsive to the scientific mission
and the research training and career development goals of the NIDCD.
Direct inquiries regarding programmatic issues to:
Daniel A. Sklare, Ph.D.
Division of Human Communication
National Institute on Deafness and Other Communication Disorders
Executive Plaza South, Room 400-C
6120 Executive Boulevard - MSC 7180
Bethesda, MD  20892-7180
Telephone:  (301) 496-1804
FAX:  (301) 402-6251
Email:  daniel_sklare@nih.gov
Direct inquiries regarding fiscal matters to:
Sharon Hunt
Division of Extramural Activities
National Institute on Deafness and Other Communication Disorders
Executive Plaza South, Room 400-B
6120 Executive Boulevard - MSC 7180
Bethesda, MD  20892-7180
Telephone:  (301) 402-0909
FAX:  (301) 402-1758
Email:  sh79f@nih.gov
This program is described in the Catalog of Federal Domestic
Assistance No. 93.173. Awards are made under the authority 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 grant policies and Federal Regulations at 42 CFR 52 and 45
CFR Part 74.  This program is not subject to the intergovernmental
review requirements of Executive Order 12372 or Health Systems Agency
The PHS strongly encourages all grant and contract recipients to
provide a smoke-free workplace and promote the non-use of all tobacco
products.  In addition, Public Law 103-227, the Pro-Children Act of
1994, prohibits smoking in certain facilities (or in some cases, any
portion of a facility) in which regular or routine education,
library, day care, health care or early childhood development
services are provided to children.  This is consistent with the PHS
mission to protect and advance the physical and mental health of the
American people.

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