Release Date:  June 13, 2001

RFA:  RFA-HL-01-019

National Heart, Lung, and Blood Institute

Letter of Intent Receipt Date:  July 18, 2001
Application Receipt Date:       August 15, 2001


This program provides research support to faculty members at minority 
institutions who have the potential to conduct high quality research in the 
areas of cardiovascular, pulmonary, hematologic, or sleep disorders.  
Important program goals are to enhance the institution's science 
infrastructure and to provide "hands on" research opportunities for 
underrepresented minority students at the applicant institutions.  The NHLBI 
Minority Institution Research Scientist Development Award is renewable.


The Public Health Service (PHS) is committed to achieving the health promotion 
and disease prevention objectives of Healthy People 2010, a PHS-led national 
activity for setting priority areas. This Request for Applications (RFA), 
NHLBI Minority Institution Research Scientist Development Award (K01), is 
related to one or more of the priority areas.  Potential applicants may obtain 
a copy of AHealthy People 2010" at http://www.health.gov/healthypeople/.    


A. Minority School

The Institution must be a domestic college or university with student 
enrollment drawn substantially from minority ethnic groups (including Blacks, 
Hispanics, American Indians, Alaska Natives, and Pacific Islanders).  It must 
have the ongoing staff and facilities required for the proposed program.  The 
candidate for the award (proposed program director at the minority school) 
will be responsible for the selection and appointment of students and the 
overall direction of the program.

B. Research Scientist Development Award Candidate

Candidates for this award are minority school faculty members who: 1) are 
citizens of the United States, non-citizen nationals or permanent residents at 
the time of application; 2) have a doctoral degree, such as the Ph.D., M.D., 
D.O., D.V.M., or an equivalent, in a biomedical or behavioral science; 3) wish 
to receive specialized training in cardiovascular, pulmonary, hematologic, or 
sleep disorders research; 4) have the background and potential to benefit from 
the training; and 5) are committed to providing research opportunities for 
underrepresented minority students at their institution.  The candidate is 
responsible for tracking and reporting on the progress of the students for up 
to five years after they complete their undergraduate education.

C. Mentor at Same or Collaborating Research Center

Each candidate must also identify and complete arrangements with a mentor (at 
the same institution or at a collaborating research center) who is recognized 
as an accomplished investigator in the proposed research area and who will 
provide guidance for the candidate's development and research plan.  
Arrangements with mentors at institutions at some distance from the applicant 
institution will be considered, but approaches for ensuring close and active 
involvement of a distant mentor must be clearly outlined in the application.  
Plans for intensive training of the candidate and his/her student(s) during 
the summer period (2-3 months) and during the academic year should be 
developed with the mentor.  The establishment of a viable mentoring plan is 
essential to the success of the candidate and the student. 

The commitment of the mentor and the mentor's department chair to both the 
summer and academic year training periods must be documented in the 
application.  A mentoring plan that describes the candidate's interaction with 
the mentor and his/her staff, how it will enhance the candidate's research 
capabilities and teaching skills, and steps to assist the candidate and 
student(s) advance their career goals must be delineated in the application.  
The mentor must provide an annual evaluation of the candidate's career 
development.  This evaluation is to be included as part of the annual progress 
report if an award is made.

D. Student Research Assistants

Student research assistants are underrepresented minority students enrolled at 
the applicant institution who: 1) are citizens of the United States, 
noncitizen nationals, or permanent residents (i.e. in possession of a 
currently valid alien registration receipt card) at the time of application; 
2) have declared a major or concentration in a biomedical, mathematical, 
computer, or behavioral science; 3) have an overall B grade average; 4) have 
the potential and desire to pursue an advanced degree in the biomedical, 
mathematical, computer, or behavioral sciences; and 5) wish to receive 
research training in areas relevant to cardiovascular, pulmonary, hematologic, 
or sleep disorders research.  At least one and a maximum of two students may 
participate on the project simultaneously as research assistants.  Students 
are expected to participate in the program for a minimum of two years.  

The candidate should identify and list in the application the student(s) 
proposed for the first two-year period; provide a brief summary of their 
interest in biomedical, mathematical, computer or behavioral science; and 
describe any previous research or laboratory experience of the students.  The 
candidate should describe how (s)he and the mentor will foster student 
interest in graduate school in behavioral or biomedical research and a career 
in scientific research in areas related to heart, lung, blood, or sleep 

For the purpose of this announcement, underrepresented minority students are 
defined as individuals belonging to a particular ethnic or racial group that 
has been determined by the applicant institution to be underrepresented in 
biomedical or behavioral research.  Nationally, NHLBI considers Black, 
Hispanic, American Indian, Alaska Native, and Pacific Islander students to be 


This RFA will use the NHLBI Minority Institution Research Scientist 
Development Award (K01) mechanism of support. Responsibility for the planning, 
direction, and execution of the proposed training project will be solely that 
of the applicant.  The total project period for an application submitted in 
response to this RFA must be at least three but not more than five years and 
the applicant may reapply for an additional five years of support.  The 
anticipated award date is April 1, 2002.

This solicitation has been announced every year for the past several years, 
and the receipt date has typically been in August or September.  If the 
solicitation is announced again next year, the receipt date is expected to be 
in June.
For this RFA, no detailed budget is required.  However, total direct costs for 
all years must be provided in addition to the name, role on project, percent 
effort, and narrative justification for all project personnel, including the 
student(s).  Other Support information for the candidate is not required as 
part of the initial application.  Other Support information is required, 
however, for the mentor.  If there is a possibility for an award, the 
necessary budget and Other Support information will be requested by NHLBI 
staff following the initial review.  The Application Procedures section of 
this RFA provides specific details of modifications to standard PHS 398 
application kit instructions.


The estimated funds (total costs) available for the first year of support for 
the entire program is expected to be approximately $400,000 in Fiscal Year 
2002 (October 1, 2001-September 30, 2002).  The actual amount may vary, 
depending on the response to the RFA and availability of funds.  Three new 
awards are anticipated.



The NHLBI Minority Institution Research Scientist Development Award is 
designed to increase the research and academic capabilities of faculty members 
at minority schools.  By developing these capabilities, the candidate will be 
better able to prepare and direct his/her students to pursue advanced degrees 
and, ultimately careers in biomedical and behavioral research, thereby 
increasing the pool of well-trained biomedical and behavioral investigators in 
cardiovascular, pulmonary, hematologic, and sleep disorders research.  Because 
it is important to sustain the candidate's research program following the 
initial period, recipients may reapply for an additional five years of 
support.  More than one candidate from each institution may apply.  Former 
awardees within three years of the end of their award may also apply for an 
additional five years of support.  At the end of the period of K01 support, it 
is anticipated that the awardee will be prepared to apply for other types of 
NIH support such as the Research Project Grant (R01), Academic Research 
Enhancement Award (AREA, R15), or Minority Biomedical Research Support Program 
(MBRS, S06.)



The awardee (program director at the minority institution) will receive salary 
support up to a maximum of $75,000 per year plus fringe benefits for five 
years.  These funds must be used to support the awardee.  The level of support 
will be based upon the awardee's actual salary and must be consistent with the 
established salary structure of the minority institution for persons of 
equivalent qualifications, experience, and rank.  The actual salary level will 
be determined by the amount of effort devoted to this program.  Awardees must 
commit 100% effort during summer and/or off-quarter periods and at least 25% 
of effort during the academic year.  Supplementation of the awardee's salary 
from non-Federal sources is permissible.  Supplementation of the awardee's 
salary from other Federal funds is not allowed unless explicitly authorized by 
both the program from which funds are derived and the NHLBI.  In no case may 
other NIH funds be used to supplement the salary of the awardee.

In addition to salary support for the awardee, support for up to 5% of the 
mentor's salary plus fringe benefits during the summer experience may also be 
requested.  If funds are to be transferred to the mentor's institution for the 
mentor's salary, arrangements for the transfer of funds and the conduct of 
activities should be formalized in a subcontract agreement with the mentor's 
institution.  A letter of intent from each institution must be submitted with 
the application.  The mentor's salary should not be included in the research 
and development costs.

A maximum of $8.50 per hour plus fringe benefits may be requested for the 
student research assistant(s).  Level of support and hours worked during the 
academic year should reflect the institution's policy for student work-study 
programs.  Students must commit 100% effort during the summer and off-quarter 
periods and at least 25% effort during the academic year. 

Research and Development Costs

Up to $36,000 per year beyond that requested for the awardee's, mentor's, and 
student(s)' salaries will be provided for research support.  Details regarding 
the apportionment of these funds between the minority institution and the 
mentor's institution must be worked out with the mentor, agreed to by 
representatives of both institutions, and included as part of the subcontract 
agreement submitted as part of the application.  See the PHS 398 for 
information on Consortium/Contractual Agreements.  

These research support funds may be used for:

o Personnel:  support for technical personnel.

o Equipment:  limited to specialized research equipment essential to the 
proposed program.  In accordance with PHS policy, title to such equipment will 
vest with the grantee institution.

o Supplies:  consumable supplies essential to the proposed program.

o Travel:  essential to the proposed program.

o Other:  publication costs, computer costs, or other costs necessary for the 
research program.

Student Housing and Travel

The applicant institution is encouraged to provide no-cost housing and meals 
to the students during the summer or off-quarter periods if the training will 
be provided at a local institution, as a commitment to the student=s 
development and as an incentive to participate in the program.  If training is 
not at a local institution, up to $500 per month per student during the summer 
only may be requested for subsistance.  Funds to allow the student(s) to 
travel to a scientific meeting should also be requested.

Facilities and Administrative (F & A) Costs

F & A costs will be provided at a rate of 8% of the total direct costs of each 
award, exclusive of equipment.  The F & A cost rate on a subcontract with the 
mentor's institution may not exceed 8%.

Training in the Responsible Conduct of Research:  Candidates must describe 
plans to receive instruction in the responsible conduct of research.   These 
plans must detail the proposed subject matter, format, frequency and duration 
of instruction.  No award will be made if an application lacks this component. 
 In addition, before funds are awarded for competing applications involving 
human subjects, applicants must provide a description of education completed 
in the protection of human subjects for each individual identified as "key 
personnel" in the proposed research.  Key personnel include all individuals 
responsible for the design and conduct of the study. Further information on 
this requirement is available in the June 5, 2000 NIH Guide for Grants and 
Contracts, available at:


It is the policy of the NIH that women and members of minority groups and 
their sub-populations must be included in all NIH-supported biomedical and 
behavioral research projects involving human subjects, unless a clear and 
compelling rationale and justification are provided indicating that inclusion 
is inappropriate with respect to the health of the subjects or the purpose of 
the research.  This policy results from the NIH Revitalization Act of 1993 
(Section 492B of Public Law 103-43).  

All investigators proposing research involving human subjects should read the 
UPDATED "NIH Guidelines for Inclusion of Women and Minorities as Subjects in 
Clinical Research," published in the NIH Guide for Grants and Contracts on 
August 2, 2000 
a complete copy of the updated Guidelines are available at 
https://grants.nih.gov/grants/funding/women_min/guidelines_update.htm:  The 
revisions relate to NIH defined Phase III clinical trials and require:  a) all 
applications or proposals and/or protocols to provide a description of plans 
to conduct analyses, as appropriate, to address differences by sex/gender 
and/or racial/ethnic groups, including subgroups if applicable; and b) all 
investigators to report accrual, and to conduct and report analyses, as 
appropriate, by sex/gender and/or racial/ethnic group differences. 


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: https://grants.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.


All applications and proposals for NIH funding must be self-contained within 
specified page limitations.  Unless otherwise specified in an NIH 
solicitation, internet addresses (URLs) should not be used to provide 
information necessary to the review because reviewers are under no obligation 
to view the Internet sites.  Reviewers are cautioned that their anonymity may 
be compromised when they directly access an Internet site.


The Office of Management and Budget (OMB) Circular A-110 has been revised to 
provide public access to research data through the Freedom of Information Act 
(FOIA) under some circumstances. Data that are (1) first produced in a project 
that is supported in whole or in part with Federal funds and (2) cited 
publicly and officially by a Federal agency in support of an action that has 
the force and effect of law (i.e., a regulation) may be accessed through FOIA. 
It is important for applicants to understand the basic scope of this 
amendment. NIH has provided guidance at:                    

Applicants may wish to place data collected under this RFA in a public 
archive, which can provide protections for the data and manage the 
distribution for an indefinite period of time. If so, the application should 
include a description of the archiving plan in the study design and include 
information about this in the budget justification section of the application. 
In addition, applicants should think about how to structure informed consent 
statements and other human subjects procedures given the potential for wider 
use of data collected under this award.


Prospective applicants are asked to submit a letter of intent that includes a 
descriptive title of the proposed research, the name, address, and telephone 
number of the Principal Investigator, the identities of other key personnel 
and participating institutions, and the number and title of the RFA in 
response to which the application may be submitted. Although a letter of 
intent is not required, is not binding, and does not enter into the review of 
a subsequent application, the information that it contains allows NHLBI staff 
to estimate the potential review workload and plan for the review.

The letter of intent is to be sent to Dr. Deborah Beebe at the address listed 
under INQUIRIES by July 18, 2001.


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 and from the Division of Extramural Outreach and 
Information Resources, National Institutes of Health, 6701 Rockledge Drive, 
MSC 7910, Bethesda, MD 20892-7910, telephone 301/435-0174, email: 

The RFA label available in the PHS 398 (rev. 4/98) application form must be 
affixed to the bottom of the face page of the application.  Type the RFA 
number on the label.  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 (NHLBI MINORITY INSTITUTION 
RESEARCH SCIENTIST DEVELOPMENT AWARD) and number (HL-01-019) must be typed on 
line 2 of the face page of the application form, and the YES box must be 

The sample RFA label available at 
https://grants.nih.gov/grants/funding/phs398/label-bk.pdf has been modified to 
allow for this change.  Please note this is in pdf format.

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 express/courier service)

At the time of submission, two additional copies of the application and all 
six copies of the appendix material must be sent to Dr. Deborah Beebe at the 
address listed under INQUIRIES.                  

Applications must be received by August 15, 2001.  If an application is 
received after that date, it will be returned to the applicant without review. 

The Center for Scientific Review (CSR) 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 
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 already reviewed, but such applications must include 
an introduction addressing the previous critique.


Upon receipt, applications will be reviewed for completeness by the CSR and 
responsiveness by the NHLBI.  Incomplete and/or non-responsive applications 
will be returned to the applicant without further consideration. 

Applications that are complete and responsive to the RFA will be evaluated for 
scientific and technical merit by a Special Emphasis Panel in the Division of 
Extramural Affairs, NHLBI, in accordance with the review criteria stated 
below.  As part of the initial merit review, all applications will receive a 
written critique and undergo a process in which only those applications deemed 
to have the highest scientific merit, generally the top half of the 
applications under review, will be discussed, assigned a priority score, and 
receive a second level review by the National Heart, Lung, and Blood Advisory 

Review Criteria

The following criteria will be considered in the evaluation of the proposed 
NHLBI Minority Institution Research Scientist Development Award program:

o Candidate -- The candidate's overall qualification as demonstrated by 
academic record and research performance, potential for a career as an 
independent researcher, potential to mentor undergraduate and graduate 
students, commitment toward pursuit of an academic research career and toward 
the enhancement of the scientific program at the minority institution, and 
commitment to the career development of minority students.

o Candidate's Career Development Plan -- The quality of the research career 
development plan, based on the candidate's past research experience, training, 
and career goals, as demonstrated by such things as relevance of the proposed 
didactic training, structure of interaction with mentor, attendance at 
scientific meetings, and participation in journal clubs and research seminars. 

OStudent's Development Plan B The quality of the student career development 
plan as demonstrated by such things as exposure to research opportunities to 
attend/present at scientific meetings, interaction with mentor, and 
participation in journal clubs and research seminars.

o Research Project -- Scientific merit of the proposed research project and 
its appropriateness as a vehicle for developing the candidate's and 
student(s)' research skills.

o Training Students -- The candidate's record and an outline of future plans 
for involving students in research and guiding them to science graduate 
programs and careers in academic biomedical and behavioral research, and plans 
for tracking students.

o Mentor(s) -- The mentor's accomplishments in the scientific research area(s) 
proposed, plans for mentoring the candidate and students, experience and 
record in training investigators, and commitment for the duration of the 
project.  A curriculum vitae with relevant publications and a list of current 
and pending research support must be included for all mentors.  Mentors should 
also include a list of current and past research trainees (not more than the 
last 10 years) with information on their current positions.

o Environment -- The applicant institution's ability to provide adequate 
facilities, resources, and opportunities necessary for the candidate's and 
student(s)' training, and the institutional commitment to the candidate and 
student(s).  If the mentor(s)' institution is different from the applicant, 
the quality and extent of interaction of the faculty in the basic and clinical 
sciences, and the quality of the research and research training programs at 
the mentor's institution will be considered.

o Institutional commitment -- The institution's commitment to the development 
of the candidate and student(s).

In addition to the above criteria, in accordance with NIH policy, all 
applications will also be reviewed with respect to the following:

o The adequacy of plans to include both genders, minorities and their 
subgroups, and children as research subjects as appropriate for the scientific 
goals of the research.  Plans for the recruitment and retention of subjects 
will also be evaluated.

o The reasonableness of the proposed budget and duration in relation to the 
proposed research.  The personnel category will be reviewed for appropriate 
staffing based on the requested percent effort and justification provided.

o The adequacy of the proposed protection for humans, animals or the 
environment, to the extent they may be adversely affected by the project 
proposed in the application.


Letter of Intent Receipt Date:    July 18, 2001
Application Receipt Date:         August 15, 2001
Peer Review Date:                 October/November 2001
Council Review:                   February 2002
Earliest Anticipated Start Date:  April 1, 2002


Award criteria that will be used to make award decisions include:

o scientific merit (as determined by peer review)

o availability of funds

o programmatic priorities


Inquiries concerning this RFA are encouraged.  The opportunity to clarify any 
issues or answer questions from potential applicants is welcome.

Direct inquiries regarding programmatic issues to:

Joyce I. Creamer, M.B.A.
Division of Blood Diseases and Resources (responding for all NHLBI 
programmatic Divisions)
National Heart, Lung, and Blood Institute
National Institutes of Health
6701 Rockledge Drive, MSC 7952
Bethesda, Maryland  20892-7952
Telephone:  (301) 435-0064
FAX: (301) 480-0867
Email:  CreamerJ@nhlbi.nih.gov   

Direct inquiries regarding review issues to:

Deborah Beebe, Ph.D.
Chief, Review Branch
Division of Extramural Affairs
National Heart, Lung, and Blood Institute
Two Rockledge Center, Room 7178
6701 Rockledge Drive, MSC 7924
Bethesda, MD  20892-7924
Bethesda, MD 20817 (for express mail)
Telephone:  (301) 435-0270
FAX:  (301) 480-3541
Email:  BeebeD@nhlbi.nih.gov 

Direct inquiries regarding fiscal matters to:   

Tanya McCoy
Grants Operations Branch
National Heart, Lung, and Blood Institute
6701 Rockledge Drive, MSC 7926
Bethesda, MD  20892-7926
Telephone:  (301) 435-0171
FAX:  (301) 480-3310
Email:  mccoyt@nhlbi.nih.gov 

This program is described in the Catalog of Federal Domestic Assistance, 
numbers 93.233, 93.837, 93.838, and 93.839.  Awards are made under 
authorization of Sections 301 and 405 of the Public Health Service Act as 
amended (42 USC 241 and 284) and administered under NIH grants policies and 
Federal Regulations 42 CFR 52 and 45 CFR Parts 74 and 92.  This program is not 
subject to the intergovernmental review requirements of Executive Order 12372 
or a Health Systems Agency Review.

The PHS strongly encourages all grant 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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