NHLBI MINORITY INSTITUTIONAL RESEARCH TRAINING PROGRAM (T32)

RELEASE DATE: March 6, 2002

RFA:  HL-02-024

National Heart, Lung, and Blood Institute (NHLBI) 
 (http://www.nhlbi.nih.gov/)

LETTER OF INTENT RECEIPT DATE:  May 20, 2002

APPLICATION RECEIPT DATE:  June 19, 2002

THIS RFA CONTAINS THE FOLLOWING INFORMATION

o Purpose of this RFA
o Research Objectives
o Mechanism(s) of Support
o Funds Available
o Eligibility Requirements
o Special Requirements
o Where to Send Inquiries
o Letter of Intent
o Submitting an Application
o Peer Review Process
o Review Criteria
o Receipt and Review Schedule
o Award Criteria
o Required Federal Citations

PURPOSE OF THIS RFA

The NHLBI Minority Institutional Research Training Program is a National 
Research Service Award Program intended to support training of graduate and 
health professional students and individuals in postdoctoral training at 
minority schools having the potential to develop meritorious training programs 
in cardiovascular, pulmonary, hematologic, and sleep disorders.  Graduate and 
health professional students and individuals in postdoctoral training in 
minority schools need further opportunities to develop biomedical and 
behavioral research skills. The NHLBI Minority Institutional Research Training 
Program is designed to attract students in their developmental stages, to 
increase their awareness of cardiovascular, pulmonary, hematologic, and sleep 
disorders research, and to encourage them to pursue research career 
opportunities in these areas.

RESEARCH OBJECTIVES  

Although the number of underrepresented minority individuals  (Blacks, 
Hispanics, Native Americans) pursuing advanced degrees in the biomedical and 
behavioral sciences increased over the past 20 years, their representation in 
these fields remains below their representation in the U.S. population 
(National Research Council, Survey of Earned Doctorates, 2000).  There are 
existing programs at the NIH that are designed to increase the number of 
minorities in biomedical and behavioral research.  These include the Minority 
Biomedical Research Support Program, the Minority Access to Research Careers 
Program, and the Research Supplements for Underrepresented Minorities Program. 
Even though these programs appear successful in meeting their specific 
objectives and career development goals, more needs to be done to attract 
minorities to biomedical and behavioral research careers.
 
The NHLBI Minority Institutional Research Training Program makes research 
training grant awards in cardiovascular, pulmonary, hematologic, and sleep 
disorders research to minority schools to enable qualified graduate and health 
professional students and individuals in postdoctoral training to participate 
in research programs.  It is expected to attract students in their 
developmental stages, increase their awareness of these diseases, and to 
encourage them to pursue career opportunities in research related to the 
mission of the National Heart, Lung, and Blood Institute (NHLBI).

MECHANISM OF SUPPORT

This RFA will use the National Institutes of Health (NIH) Institutional 
National Research Service Award (NSRA) mechanism (T32).  Responsibility for 
the planning, direction, and execution of the proposed training program will 
be solely that of the applicant.  The total project period for an application 
submitted in response to this RFA may not exceed five years.  Funds will be 
provided on an annual basis to develop and maintain a stable research training 
experience for qualified students.  Successful applicants may compete for a 
second or subsequent awards of up to five years" duration upon completion of 
the initial grant period.

Funding beyond the first year of the grant is contingent upon satisfactory 
progress during the preceding year and availability of funds.  The anticipated 
award date is April 1, 2003.

FUNDS AVAILABLE

The estimated funds (total costs) available for the first year of support for 
the entire program is expected to be $250,000 in Fiscal Year 2003 (October 1, 
2002-September 30, 2003).  The actual amount may vary, depending on the 
response to the RFA and availability of funds.  Two new awards are 
anticipated. 

Facilities and Administrative Costs will be awarded based on 8% of total 
direct costs exclusive of tuition, and fees.

ELIGIBILITY REQUIREMENTS

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 
program director at the minority school will be responsible for the selection 
and appointment of students and the overall direction of the program. 
Racial/ethnic minority individuals, women, and persons with disabilities are 
encouraged to apply as program directors.

B. Research Center   

The minority institution must identify and collaborate with a research center 
(medical school or comparable institution) that has strong, well-established 
cardiovascular, pulmonary, hematologic, or sleep disorders research and 
research training programs.  Cooperation and collaboration between 
institutions is needed to provide each trainee with a mentor who is recognized 
as an accomplished investigator in cardiovascular, pulmonary, hematologic or 
sleep disorders research and who will assist the advisor at the minority 
institution with the trainee"s development and research plan.  Plans for 
summer training as well as academic year training should be developed by the 
student and advisor at the trainee"s home institution in collaboration with 
the mentor at the research center.  It is expected that both advisor and 
mentor will guide the trainee through the initial training period and continue 
this interaction throughout the award.  The development of strong mentoring 
relationships is essential to the success of the trainees and the program.

The minority institution will identify and complete arrangements with an 
established cardiovascular, pulmonary, hematologic, or sleep disorders 
research center(s) before submitting an application.  Arrangements between the 
participating institutions for the recruitment of trainees and joint selection 
of trainers for the provision of training, and for ongoing cooperation and 
collaboration between the institutions in the implementation of the program, 
should be clearly outlined in the application. 

C. Trainees 

Individuals appointed to the training grant must be citizens of the United 
States, non-citizen nationals, or lawfully admitted to the United States for 
permanent residence (i.e. in possession of a currently valid Alien 
Registration Receipt Card) at the time of appointment, and be enrolled at the 
minority institution.  Trainees must be training at the post-baccalaureate 
level (i.e., predoctoral or postdoctoral level) in a relevant biomedical or 
behavioral science and have made a strong commitment to complete a doctoral 
degree or equivalent in a biomedical or behavioral science. The NHLBI Minority 
Institutional Research Training Program may not support course work leading to 
a health professional degree.  Research trainees who have or are pursuing 
clinical degrees must confine clinical duties to those which are a part of the 
research training experience.

Students are expected to pursue their research training on a full-time basis 
devoting at least 40 hours per week as specified by the sponsoring institution 
in accordance with its own policies. Students are expected to meet the degree 
requirements at their home institution.
 
SPECIAL REQUIREMENTS

Provisions Of The Award

o The trainees may be appointed for 9 - 12 months at any time during the 
course of the budget period.  Students must be enrolled on a full-time basis. 
A strong interest in a cardiovascular, pulmonary, hematologic, or sleep 
disorder research career must be evident.  Short-term training positions for 
health professional students are allowed under this program.  Predoctoral 
trainees appointed to the grant may receive support for up to five years. 
Postdoctoral trainees appointed to the grant may receive support for up to 
three years.  

o A written commitment to the training plan signed by the intended faculty 
mentors at the research center, the department(s) involved and countersigned 
by both institutional officials, must be part of the application.  The trainee 
and his or her faculty advisor at the minority institution will jointly select 
a faculty mentor at the research center. 

o Procedures for annual evaluation of the program should include plans to 
measure the impact of the program on the individual students and plans to 
measure the trainees= progress.  The evaluation procedures should also 
describe plans to monitor the future career course of individual trainees, to 
evaluate the effectiveness of the overall program, and assess the impact of 
the training program on the institution.  It should also include plans for 
assessing the effectiveness of the mentoring relationship and the training 
plan.

Funds may be requested for:

A. Stipends - The current stipend level for graduate and health professional 
student trainees at all levels of experience is $18,156 per year. Current 
stipend levels for postdoctoral trainees are as follows:

Years of Experience            Per Annum Stipend
 
0                              $31,092
1                              $32,820
2                              $38,712
3                              $40,692
4                              $42,648
5                              $44,616
6                              $46,584
7 or more                      $48,852

B. Tuition, Fees, and Health Insurance - The combined cost of tuition, fees, 
and health insurance (either self-only or family as appropriate) will be 
offset at the following rate: 100% of all costs up to  $3,000 and 60% of costs 
above $3,000 per trainee.  Costs associated with tuition and fees are 
allowable only if they are required for specific courses in support of the 
research training experience supported by the training grant.  A full 
description of the tuition policy is contained within the NRSA Policy 
Guidelines on the NIH website at:  
http://grants.nih.gov/training/nrsaguidelines/nrsa_toc.htm

C. Trainee Travel Costs - The institution may request funds to cover the costs 
of trainees= travel, including attendance at scientific meetings, that are 
necessary to the individual"s training.  The maximum allowable per student per 
year is $1,400.  

D. Training-related Expenses - Institutional costs of $2,200 a year per 
predoctoral trainee and $3,850 a year per postdoctoral trainee may be 
requested to defray the costs of other research training related expenses, 
such as staff salaries, consultant costs, equipment, research supplies, and 
staff travel.  

E.  Facilities and Administrative Costs - The Notice of Grant Award will 
provide facilities and administrative costs based on 8% of total direct costs, 
exclusive of tuition, and fees.

F. Short-Term Training - Applicants who wish to include a request for short-
term research training positions should identify short-term positions 
separately within the "stipends" and "training related expenses" categories on 
the budget page.  Under "stipends," short-term positions should be listed in 
the "other" category.  Tuition, fees, health insurance, and trainee travel, 
and other expenses are to be included in "training related expenses."  Within 
each section of the program plan, a separate description of the short-term 
training should be included.  The applicant should address the relationship of 
the proposed short-term training to the regular research training and provide 
assurance that the short-term program will not detract from the regular 
program.  Applicants must observe the 25-page limit on the narrative section.

Payback Agreement - As specified in the NIH Revitalization Act of 1993, NRSA 
recipients incur a service payback obligation only during their first 12 
months of postdoctoral support.  Additionally, the NIH Revitalization Act of 
1993 specifies that the second and subsequent years of postdoctoral NRSA 
training will serve to pay back a postdoctoral service payback obligation.  
Accordingly, the following guidelines apply:

o Predoctoral trainees are not required to sign the payback agreement and do 
not incur a service payback obligation.

o Postdoctoral trainees in the first 12 months of postdoctoral NRSA support 
must sign the payback agreement form (PHS form 6031) before initiating an 
appointment.  Postdoctoral trainees in their first 12 months of support will 
incur a period of service payback obligation equal to the period of support.

o Postdoctoral trainees in the 13th and subsequent months of NRSA postdoctoral 
support are not required to sign the payback agreement form and will not incur 
a service payback obligation.

o The 13th and subsequent months of postdoctoral NRSA support are considered 
acceptable payback service for prior postdoctoral support. For example, 
postdoctoral trainees who continue under that award for 2 years have fulfilled 
the obligation incurred during the first 12 months of support by the end of 
the second year.  Simple guidelines for completing the payback requirement are 
available at http://www.nhlbi.nih.gov/funding/policies/t32/payback.htm.  
Service payback obligations can also be paid back by conducting health-related 
research or teaching averaging more than 20 hours per week of a full work year 
after terminating NRSA support.

o Recipients with service obligations must begin to provide service on a 
continuous basis within two years of termination of NRSA support.  The period 
for undertaking payback service may be delayed for such reasons as temporary 
disability, completion of residency requirements, or completion of the 
requirements for a graduate degree.  Requests for an extension must be made in 
writing to the NIH specifying the need for additional time and the length of 
the required extension.

o Recipients of NRSA support are responsible for informing the NIH of changes 
in status or address.

o For individuals who fail to fulfill their obligation through service, the 
United States is entitled to recover the total amount of NRSA funds paid to 
the individual for the obligated period plus interest at a rate determined by 
the Secretary of the Treasury. Financial payback must be completed within 
three years beginning on the date the United States becomes entitled to 
recover such amount.

o Under certain conditions,  the Secretary, U.S. Department of Health and 
Human Services (or those delegated this authority) may extend the period for 
starting service or repayment, permit breaks in service, or in rare cases in 
which service or financial repayment would constitute an extreme hardship, may 
waive or suspend the payback obligation of an individual.

o Officials at the awardee institution have the responsibility of explaining 
the terms of the payback requirements to all prospective training candidates 
before appointment to the training grant. Additionally, all trainees recruited 
into the training program must be provided with information related to the 
career options that might be available when they complete the program.  The 
relationship of the positions available and the training provided must also be 
discussed along with the applicability of these positions to any outstanding 
service payback obligation.

Training in the Responsible Conduct of Research:  The application must include 
a description of plans to provide instruction in the responsible conduct of 
research (RCR).  The Public Health Service policy on RCR 
(http://ori.hhs.gov/policies/RCR_Policy.shtml#rcr) describes nine core 
instructional areas that comprise RCR:  data acquisition, management, sharing, 
and ownership, mentor/trainee responsibilities, publication practices and 
responsible authorship, peer review, collaborative science, human subjects, 
research involving animals, research misconduct, and conflict of interest and 
commitment.  Plans for RCR training must describe the proposed subject matter, 
format, frequency and duration of instruction.  No award will be made if an 
application lacks this component. See the NIH website 
http://www.nih.gov/sigs/bioethics for resources and information on this topic.

WHERE TO SEND INQUIRIES

We encourage inquiries concerning this RFA and welcome the opportunity to 
answer questions from potential applicants.  Inquiries may fall into three 
areas:  programmatic, review and financial or grants management issues:

o Direct your questions about programmatic issues to:

Sandra Colombini Hatch, M.D.
Division of Lung Diseases (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) 435-0222
FAX: (301) 480-3557 
Email:  [email protected] 

o Direct your questions about review issues to:

Anne Clark, Ph.D.
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) 480-0730
Email: [email protected] 

o Direct your questions about financial or grants management matters to:

Beckie Chamberlin
Grants Management Specialist
National Heart, Lung, and Blood Institute
6701 Rockledge Drive, Room 7152, MSC 7926
Bethesda, Maryland 20892-7926
Telephone:  (301) 435-0172
FAX: (301) 480-3310
Email: [email protected]

LETTER OF INTENT

Prospective applicants are asked to submit a letter of intent that includes 
the following information:

o A descriptive title of the proposed research
o Name, address, and telephone number of the Principal Investigator
o Names of other key personnel
o Participating institutions
o Number and title of this RFA 

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. Anne Clark at the address listed 
under WHERE TO SEND INQUIRIES by May 20, 2002.

SUBMITTING AN APPLICATION

Applications must be prepared using the PHS 398 research grant application 
instructions and forms (rev. 5/2001).  The PHS 398 is available at 
http://grants.nih.gov/grants/funding/phs398/phs398.html in an interactive 
format.  For further assistance contact GrantsInfo, Telephone (301) 710-0267, 
Email:  [email protected].

USING THE RFA LABEL:  The RFA label available in the PHS 398 (rev. 5/2001) 
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 INSTITUTIONAL RESEARCH TRAINING PROGRAM) and number (HL-02-
024) must be typed on line 2 of the face page of the application form and the 
YES box must be marked.  The RFA label is also available at:  
http://grants.nih.gov/grants/funding/phs398/labels.pdf.

SENDING AN APPLICATION TO THE NIH:  Submit a signed, typewritten original of 
the application, including the Checklist, and three signed photocopies, in one 
package to:

Center For Scientific Review
National Institutes Of Health				
6701 Rockledge Drive, Room 1040, MSC 7710				
Bethesda, MD 20892-7710				
Bethesda, MD 20817 (for express/courier service)

At the time of submission, two additional copies of the application and all 
five collated sets of the appendix material must be sent to Dr. Anne Clark at 
the address listed under WHERE TO SEND INQUIRIES.  

APPLICATION PROCESSING:  Applications must be received by June 19, 2002.  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.

PEER REVIEW PROCESS

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:

o Receive a written critique 
o 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
o Receive a second level review by the National Heart, Lung, and Blood 
Advisory Council.

REVIEW CRITERIA

The following criteria will be considered in the evaluation of the proposed 
NHLBI Minority Institutional Research Training Program:

o Design of the proposed training program,

o Qualifications, dedication, and previous training record of the program 
director and all participating faculty, particularly with regard to prior 
experience with similar programs,

o Adequacy of facilities, environment, and resources for the proposed research 
training, both at the minority institution and the collaborating research 
center,

o Adequacy of the cooperative arrangements between the minority institution 
and the collaborating research center,

o Recruitment and selection plans for trainees, and the availability of high 
quality candidates,

o Methods for retaining promising students in the program and methods for 
tracking students,

o Commitment of the relevant faculty and the two institutions to the goals of 
the training program, and

o Procedures for evaluation of the effectiveness of the program and impact of 
the program on the trainees involved.

Training in the Responsible Conduct of Research

o Quality of the proposed training in responsible conduct of research.

ADDITIONAL REVIEW CRITERIA: In addition to the above criteria, your 
application will also be reviewed with respect to the following:

o PROTECTIONS:  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.

o INCLUSION:  The adequacy of plans to include subjects from both genders, all 
racial and ethnic groups (and subgroups), and children as appropriate for the 
scientific goals of the research.  Plans for the recruitment and retention of 
subjects will also be evaluated. (See Inclusion Criteria included in the 
section on Federal Citations, below)

o DATA SHARING:  The adequacy of the proposed plan to share data. 

o BUDGET:  The reasonableness of the proposed budget and the requested period 
of support in relation to the proposed research.

RECEIPT AND REVIEW SCHEDULE

Letter of Intent Receipt Date:  May 20, 2002
Application Receipt Date: June 19, 2002
Peer Review Date:  October/November 2002
Council Review:  February 2003
Earliest Anticipated Start Date:  April 1, 2003

AWARD CRITERIA

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

o Scientific and training merit (as determined by peer review)
o Availability of funds
o Programmatic priorities.

REQUIRED FEDERAL CITATIONS

INCLUSION OF WOMEN AND MINORITIES IN CLINICAL RESEARCH: 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 clinical research projects unless a 
clear and compelling justification is 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 clinical research should read the AMENDMENT "NIH 
Guidelines for Inclusion of Women and Minorities as Subjects in Clinical 
Research - Amended, October, 2001," published in the NIH Guide for Grants and 
Contracts on October 9, 2001 (http://grants.nih.gov/grants/guide/notice-
files/NOT-OD-02-001.html), a complete copy of the updated Guidelines are 
available at 
http://grants.nih.gov/grants/funding/women_min/guidelines_amended_10_2001.htm.   
The amended policy incorporates: the use of an NIH definition of clinical 
research, updated racial and ethnic categories in compliance with the new OMB 
standards, clarification of language governing NIH-defined Phase III clinical 
trials consistent with the new PHS Form 398, and updated roles and 
responsibilities of NIH staff and the extramural community.  The policy 
continues to require for all NIH-defined Phase III clinical trials that: a) 
all applications or proposals and/or protocols must 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) investigators must report annual accrual and progress in conducting 
analyses, as appropriate, by sex/gender and/or racial/ethnic group 
differences.

INCLUSION OF CHILDREN AS PARTICIPANTS IN RESEARCH INVOLVING HUMAN SUBJECTS: 
The NIH maintains a policy 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 is available at 
http://grants.nih.gov/grants/funding/children/children.htm. 

PUBLIC ACCESS TO RESEARCH DATA THROUGH THE FREEDOM OF INFORMATION ACT: 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 http://grants.nih.gov/grants/policy/a110/a110_guidance_dec1999.htm.

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.

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

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

AUTHORITY AND REGULATIONS: This program is described in the Catalog of Federal 
Domestic Assistance No. 93.233, 93.837, 93.838, and 93.839 and is not subject 
to the intergovernmental review requirements of Executive Order 12372 or 
Health Systems Agency review.  Awards are made under authorization of Section 
487 of the Public Health Service Act as amended (42 USC 288) and administered 
under NIH grants policies described at 
http://grants.nih.gov/grants/policy/policy.htm and under Federal Regulations 
42 CFR 66. 

The PHS strongly encourages all grant recipients to provide a smoke-free 
workplace and discourage the 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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