Release Date:  May 25, 1999

RFA:  HL-99-020

National Heart, Lung, and Blood Institute

Letter of Intent Receipt Date: July 1, 1999
Application Receipt Date: August 26, 1999


This program provides support to underrepresented minority faculty members
with varying levels of research experience to prepare them for research
careers as independent investigators.  The research development programs of
the candidates are based on scholastic background, previous research
experience, past achievements, and potential to develop into an independent
research investigator.  The objective of the award is to develop highly
trained minority investigators, whose basic or clinical research interests are
grounded in the advanced methods and experimental approaches needed to solve
problems related to cardiovascular, pulmonary, hematologic, and sleep


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 Request for Applications (RFA),
NHLBI Mentored Research Scientist Development Award for Minority Faculty, is
related to one or more of the priority areas.  Potential applicants may obtain
a copy of "Healthy People 2000" at the following URL address:


The Mentored Research Scientist Development Award for Minority Faculty (K01)
provides research development opportunities for underrepresented minority
faculty members with varying levels of research experience who are committed
to developing into independent biomedical or behavioral investigators.  This
award will enable suitable faculty candidates holding doctoral degrees, such
as the Ph.D., M.D., D.O., D.V.M., or an equivalent, to undertake three to five
years of special study and supervised research under a sponsor competent to
provide guidance in the area of research proposed.  The goal is to develop the
research skills of the minority faculty candidate.  The award is intended to
serve research career development needs of underrepresented minority faculty
members by providing them with research opportunities appropriate for their
scholastic background, previous research experience, and past achievements. 
Minority scientists and physicians with limited research experience needing
guided course work and supervised laboratory experiences, as well as minority
faculty needing only an intensive research experience under the guidance of an
established scientist, are eligible to apply.  It is envisioned that most
candidates for this award will hold non-tenured faculty appointments (such as
instructor or assistant professor), although in some instances other
individuals may be eligible to apply (such as individuals due to be appointed
to a faculty position or individuals with tenured faculty positions).

For the purpose of this program, underrepresented minority faculty members are
defined as individuals belonging to a particular ethnic or racial group that
has been determined by the grantee institution to be underrepresented in
biomedical or behavioral research.  In making grant awards under this program,
the NHLBI will give special attention to supporting individuals from minority
groups that are underrepresented nationally in the biomedical and behavioral
sciences, i.e., Blacks, Hispanics, American Indians, Alaska Natives, and
Pacific Islanders.

At the time of award, it is required that at least two years have elapsed
since the receipt of the doctoral degree and that the candidate have at least
one year of prior documented research experience.  Current or past principal
investigators of an NIH grant or its equivalent, including the Clinical
Investigator Award, Physician Scientist Award, Clinical Investigator
Development Award, or Mentored Clinical Scientist Development Award are not
eligible for the Mentored Research Scientist Development Award for Minority
Faculty.  Similarly, individuals serving as responsible investigators or
project leaders on large grants, such as a Program Project Grant, are not
eligible for the Mentored Research Scientist Development Award for Minority
Faculty.  An individual who has previously received support from the Minority
Access to Research Careers (MARC), Minority Biomedical Research Support
(MBRS), or Academic Research Enhancement Award (AREA) programs are eligible to


This RFA will use the NHLBI MENTORED Research Scientist Development Award for
Minority Faculty, (K01) mechanism of support.  However, specific application
instructions have been modified to reflect "JUST-IN-TIME" streamlining efforts
implemented by NIH and published in the NIH Guide for Grants and Contracts,
Vol. 25, No. 10, March 29, 1996.  This process allows applicants to submit
certain information only when there is a possibility for an award.  It is
anticipated that these changes will reduce the administrative burden for the
applicants, applicant institutions, reviewers, and Institute staff.

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.  Instructions
for completing the Biographical Sketch have also been modified.  In addition,
Other Support information for the applicant is not required as part of the
initial application.  However, Other Support information is required for the
mentor and co-mentor.  If there is a possibility for an award, necessary
budget, 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


The estimated funds (total costs) available for the first year of support for
the entire program is expected to be $1.2 million in Fiscal Year 2000.  The
actual amount may vary, depending on the response to the RFA and availability
of funds.  Ten to twelve new awards are anticipated.



The proportion of biomedical investigators who are members of underrepresented
minority groups is strikingly lower than the percentage of minority U.S.
citizens. In 1991, there were 1177 Blacks (1.7%) and 1113 Hispanics (1.6%) in
academic positions in the life sciences out of a total 69,122 individuals. 
Although the number of minority individuals graduating from medical school was
approximately 7.4% in 1993, only 5.1% of assistant professors on medical
school faculty are minority individuals.  One method of  increasing the number
of minority faculty members is to improve their research capabilities.  In so
doing, the pool of minority biomedical and biobehavioral investigators in
cardiovascular, pulmonary, and hematologic research, transfusion medicine, and
sleep disorders can be increased.  Furthermore, these minority individuals may
serve as role models for minority undergraduate and graduate students, and
stimulate these students to become more cognizant of research opportunities in
cardiovascular, pulmonary, hematologic and sleep disorders.

SPECIAL REQUIREMENTS -  Provisions of the Award

Applicant Institution

Applications will be accepted from domestic colleges or universities, medical
schools, or comparable institutions.  The application must include a plan that
identifies personnel and other resources to be devoted to the candidate.  In
addition, evidence of institutional commitment to the candidate's research
development and level of effort should be included in a statement from the
institution.  The statement should also address the institution's plans for
the candidate during and following the tenure of the award.  The statement
should be signed by an institutional official (e.g., a dean) and the
candidate's departmental chair.

Minority Candidate

To receive an award under this program, individuals must have been awarded a
doctoral degree (Ph.D., M.D., D.V.M. or D.O., degree or its equivalent) and
have a faculty appointment at an accredited college or university at the time
of award.  Applicants for this award must be either citizens or noncitizen
nationals of the United States or have been admitted lawfully to the United
States for permanent residence (i.e., in possession of the Alien Registration
Receipt Card, I-155).  Noncitizen nationals are generally persons born in
outlying possessions of the United States (i.e., American Samoa and Swains
Island).  An individual admitted lawfully for permanent residence must submit
with the application a notarized statement indicating possession of the Alien
Registration Receipt Card.  Individuals on temporary or student visas are not

Candidates must be nominated by an institution on the basis of qualifications,
interests, accomplishments, motivation, and potential for performing quality
research.  The candidate's academic background, previous experience, and
career goals should determine both the necessary length and the kind of
program that is appropriate.  The sponsoring institution should provide a
statement in the application that the candidate is a member of a minority
group, indicating the ethnic or racial background of the applicant.


Each candidate must identify a sponsor(s) who is an accomplished investigator
in the research area proposed and has experience in developing independent
investigators.  The sponsor is not required to be affiliated with the
applicant institution.  If the sponsor is affiliated with another institution,
appropriate documentation must be provided concerning the relationship of the
applicant institution and the sponsor's institution, as well as a clear
delineation of the arrangements proposed for the research development program
at a location distinct from the applicant institution.  The sponsor must
provide a written plan for the development of the candidate and provide
guidance during the preparation of the research project.  A secondary sponsor
may also be proposed, but the primary sponsor must continue to be involved
throughout the award period.  In some cases candidates may choose to have both
a basic research sponsor and a clinical research sponsor.  The sponsor must
provide a written plan for the development of the candidate, and the sponsor
and candidate should be jointly responsible for the preparation of the
research development plan.  The sponsor must submit a report each year on the
candidate's progress which should be included in the annual progress report.

Research Development Program

All research development programs should be carefully tailored to meet
individual needs and must include a sponsor(s) who is competent to provide
appropriate research guidance.  All candidates must provide a full description
of the research and career development plan for the period of the award.  The
proposed plan must include hands-on research experience, with either a
clinical or a basic science focus, for the entire three to five year period. 
Awardees, in conjunction with their sponsor(s), are required to submit a
detailed annual progress report.

For minority candidates with minimal research experience, the development
program may be designed to start with a creative and detailed scientific
learning experience and progress to an intensive research activity under the
guidance of an appropriate sponsor(s).  The first year or two of the program
may incorporate any needed course work, and seminars and other educational
experiences necessary to prepare the candidate for the subsequent research
program, but must include a hands-on research experience.  This initial phase
of the program may resemble a traditional postdoctoral research training
program.  The remainder of the development plan could include an intensive,
fully-described research program and research projects that can be reasonably
completed within the planned period.  During this latter phase, the program
should provide for progressive development of the individual into an
independent investigator. If the minority candidate has already acquired some
research experience, as might be obtained through a research fellowship, but
needs further development under the guidance of an appropriate sponsor(s), the
candidate may propose a three to five year program encompassing an advanced
research experience focusing on a specific research project.  Such a candidate
may take additional courses or engage in special instruction in research
techniques in other laboratories for a reasonable period of time if needed. 
During the latter phases of the award, the relationship of the sponsor and
candidate may more closely resemble that of collaborators.

Individuals with significant research experience in the proposed field of
study should not apply for this award but rather should consider applying for
independent research grant support.

Advisory Committee

A committee composed of the candidate's sponsor(s) and two or three other
senior faculty members must be identified.  This advisory committee should
meet with the candidate to review the research development plan and research
project, to evaluate the awardee's progress, and to provide guidance for
scientific career development.

Duration and Effort

The award is granted for three to five years depending on the needs of the
candidate and the evaluation of the initial review group and the National
Heart, Lung, and Blood Advisory Council.  It is non-renewable and all funds
must be used on behalf of the original candidate.  Substitution of another
sponsor and/or a change of institution may be permitted with the prior
approval of the NHLBI.  A minimum of 75 percent effort must be devoted to the
research program.  The remainder may be devoted to other clinical and teaching
pursuits that are consistent with the program goals, i.e., the candidate's
development into an independent biomedical scientist or the maintenance of the
teaching and/or clinical skills needed for an academic research career.

The candidate must have a "full-time" appointment at the applicant
institution.  In general, candidates who have Veteran's Administration (VA)
appointments may not consider part of the VA effort toward satisfying the
"full-time" requirement at the applicant institution.  However, it is
permissible for part or all of the research program to be conducted in a VA
laboratory, for example if the sponsor has a VA appointment, so long as the
above conditions are satisfied as they apply to the Mentored Research
Scientist Development Award for Minority Faculty candidate.

Allowable Costs

Salary.  Individual compensation is based on the institution's salary scale
for individuals at an equivalent experience level.  Funding from this award
for salary may not exceed $75,000 per year plus commensurate fringe benefits
with at least 75 percent effort devoted to the research program.  If 100
percent effort is to be devoted to the research program during the "summer
months," the percent effort for the remainder of the year may be reduced
provided that the effort over the course of the year is at least 75 percent. 
NIH policy permits supplementation of salary from non-Federal sources. 
Supplementation from other Federal funds is not allowed unless explicitly
authorized by the program from which the funds are derived and the NHLBI.  In
no case may other NIH funds be used for supplementary salary support.

Sponsor's Salary.  Salary support may be requested for the primary sponsor up
to a level commensurate with 5 percent effort.  If the sponsor is at a
different institution than the applicant institution, arrangements for the
transfer of funds for the sponsor's salary and, if necessary, for research
expenses should be formalized in a contract or written agreement with the
sponsor's institution and included as part of the application.  The sponsor's
salary support is considered as separate and distinct from funds requested for
the candidate's salary or research and development support.  The percent
effort may exceed 5 percent for selected periods of time, provided the total
effort for the budget period (12 months) does not exceed 5 percent.  If the
sponsor's salary is requested as a consortium cost, the subcontracting grantee
is only allowed to request Facilities and Administrative Costs based on 8
percent of total allowable direct costs.

Research and Development Costs.  A maximum of $30,000 per year may be
requested for research project requirements and related support, (e.g.,
technical personnel costs, supplies, equipment, candidate travel, telephone
charges, publication costs, and tuition for necessary courses).

Facilities and Administrative Costs.  Funds will be provided for the
reimbursement of facilities and administrative costs at a rate of 8 percent of
the total direct costs of each award, exclusive of tuition, fees, and
expenditures for equipment.

Concurrent Applications

Mentored Research Scientist Development Award for Minority Faculty
applications may not be submitted or awarded concurrently with other NIH
applications, such as the Independent Scientist Award, Mentored Clinical
Scientist Development Award, Academic Award, or Research Project Grant.

Subsequent Applications for NIH Research Support

During the later years of the Mentored Research Scientist Development Award
for Minority Faculty (K01), incumbents are encouraged to apply for independent
research support.  K01 recipients who are successful in obtaining NIH research
grant support may not receive salary support from the research grant for the
duration of the award.  After the conclusion or termination of the award,
salary support should transfer to the research grant.  K01 recipients who
apply for research grant support are encouraged to include salary and all
other research needs in the research grant application for the period
following completion of the K01.  Alternatively, recipients of research grant
awards may terminate the K01 prior to the start of the research grant.


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 was 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 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:


Prospective applicants are asked to submit, by July 1, 1999, a letter of
intent that includes the name, address, and telephone number of the Program
Director, 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 subsequent applications,
the information that it contains allows NHLBI staff to estimate the potential
review workload and to avoid conflict of interest in the review.  The letter
of intent is to be sent to Dr. C. James Scheirer, at the address listed under


The research grant application form PHS 398 (rev. 4/98) is to be used in
applying for these grants, with the modifications noted below.  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, Email: grantsinfo@nih.gov; and on the internet at:

The RFA label found in the PHS 398 (rev. 4/98) 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
FACULTY (K01)) and number (HL-99-020) must be typed on line 2 of the face page
of the application form and on the RFA label and the YES box must be marked.

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 and three signed,
photocopies, in one package to:

BETHESDA, MD  20892-7710
BETHESDA, MD  20817 (for express/courier service)

At the time of submission, send an additional two copies of the application

Dr. C. James Scheirer
Division of Extramural Affairs
National Heart, Lung, and Blood Institute
6701 Rockledge Drive, MSC 7924
Bethesda, MD  20892-7924
Telephone: (301 435-0266
FAX: (301) 480-3541
Email:  js110j@nih.gov

It is important to send these two copies at the same time as the original and
three copies are sent to the Center for Scientific Review (CSR).  These copies
are used to identify conflicts and help ensure the appropriate and timely
review of the application.

Applications must be received by August 26, 1999.  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 Center for
Scientific Review 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, a process may be
used by the initial review group in which applications 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 applications under
review, will be discussed assigned a priority score, and 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
Mentored Research Scientist Development Award for Minority Faculty program:

Candidate -- The candidate's overall competence as demonstrated by academic
record and research performance, potential for a career as an independent
researcher, and commitment toward pursuit of an academic research career.

Career Development Plan -- The adequacy of the research career development
plan, based on the candidate's past research experience, training, and career
goals as demonstrated by such things as maintenance of a research laboratory,
attendance at scientific meetings, and participation in journal clubs and
research seminars.

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

Mentor(s) -- The mentor's accomplishments in the scientific research area(s)
proposed, experience and record in training investigators, and commitment for
the duration of a candidate's research development.  A curriculum vitae with
relevant publications and a list of current and pending research support must
be included for all sponsors.  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.

Environment -- The applicant institution's ability to provide adequate
facilities, resources, and opportunities necessary for the candidate's
training, and the institutional commitment to the candidate.  If different
from the applicant institution, 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. Institutional
commitment -- The institution's commitment to the development of the candidate

Other Considerations -- The personnel category will be reviewed for
appropriate staffing based on the requested percent effort and justification

Because the research training environment provides a powerful context in which
to promote responsible research practices, all competing applications must
include a description of formal or informal activities or instruction related
to the responsible conduct of research that will be incorporated into the
proposed research training program.


The following will be considered in making funding decisions:

o Scientific, technical, and career development merit of the application as
determined by peer review;

o Availability of funds; and

o Program balance among the research areas of the RFA.


Written and telephone inquiries concerning this RFA are encouraged.  The
opportunity to clarify any issues or questions from potential applicants is

Direct inquiries regarding program guidelines, supplemental instructions, or
programmatic issues to:

Lorraine M. Silsbee, M.H.S.
Division of Epidemiology and Clinical Applications
National Heart, Lung, and Blood Institute
6701 Rockledge Drive, MSC 7934
Bethesda, MD  20892-7934
Telephone:  (301) 435-0709
FAX:  (301) 480-1667
Email: Lorraine_Silsbee@nih.gov

Direct inquiries regarding fiscal matters to:

Marie Willett
Grants Operations Branch
National Heart, Lung, and Blood Institute
6701 Rockledge Drive, MSC 7926
Bethesda, MD  20892-7926
Telephone:  (301) 435-0144
FAX:  (301) 480-3310
Email:  marie_willett@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 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 a Health Systems Agency Review.

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 PHS mission to protect and advance the physical and mental health of the
American people.

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