RESEARCH INFRASTRUCTURE IN MINORITY INSTITUTIONS (RIMI)
 
RELEASE DATE:  March 14, 2003
 
RFA:  MD-03-005
 
National Center on Minority Health and Health Disparities (NCMHD)
 (http://www.ncmhd.nih.gov)

CATALOG OF FEDERAL DOMESTIC ASSISTANCE NUMBER (S): 93.389
 
LETTER OF INTENT RECEIPT DATE:  May 9, 2003

APPLICATION RECEIPT DATE:  June 11, 2003
 
THIS RFA CONTAINS THE FOLLOWING INFORMATION

o Purpose of this RFA
o Capacity Building and Research Objectives
o Mechanism(s) of Support 
o Funds Available
o Eligible Institutions
o Individuals Eligible to Become Principal Investigators
o Special Requirements 
o Where to Send Inquiries
o Letter of Intent
o Submitting an Application
o Supplemental Instructions
o Peer Review Process
o Review Criteria
o Receipt and Review Schedule
o Award Criteria
o Required Federal Citations

PURPOSE OF THIS RFA 

Predominately minority-serving colleges and universities, institutions 
with a racial and ethnic minority student enrollment of 50 percent or 
greater, play an important role in the early training of minority 
scientists.  Accordingly, the current RFA represents a National Center 
on Minority Health and Health Disparities (NCMHD) effort to enable such 
institutions to continue their participation in the training of 
underrepresented racial/ethnic minority scientists in the 21st century.  
The mission of NCMHD is to promote minority health and to support 
programs that aim to reduce and ultimately eliminate health 
disparities. In this effort NCMHD supports basic, clinical, social, and 
behavioral research, promote research infrastructure and training, 
foster emerging programs, disseminate information, and reach out to 
minority and other health disparity communities.

The Research Infrastructure in Minority Institutions (RIMI) Program 
focuses on building research capacity in predominantly minority-serving 
academic institutions that offer one or more baccalaureate and/or 
master's degrees in the life sciences and other areas related to 
health.  The RIMI program seeks to facilitate the integration of 
teaching and research at predominantly minority-serving institutions 
with the ultimate aims of: 1) developing sustainable research programs 
and 2) enhancing the overall quality of the educational experience for 
the students in the life sciences and related areas. The application 
receipt date is May 16, 2003.

This announcement (RFA-MD-03-005) solicits only Phase II RIMI 
applications; solicitations for Phase I applications have been 
discontinued. The overarching objectives of the Phase II RIMI 
initiative are to: 1) establish an activity that will enhance the 
institution's biomedical research infrastructure, and (2) utilize 
collaborative agreements with institutions granting doctoral degrees in 
the health sciences to encourage and facilitate research and mentoring 
interactions between the biomedical research faculty in grantee and 
collaborating institutions. Increased participation of students from 
the grantee institution in these doctoral programs is expected to be an 
additional benefit of these collaborations.  Such collaborations must 
be clearly described and documented in the application.

CAPACITY BUILDING AND RESEARCH OBJECTIVES

Background

Historically, the RIMI Program was developed and implemented in 
response to recommendations resulting from the proceedings of three 
regional conferences that were convened by the former NIH Office of 
Research on Minority Health (ORMH). The need for RIMI and similar 
programs that focus on building and/or enhancing research 
infrastructure at predominantly minority institutions was reiterated in 
Public Law 106-525. The statute recognized that the inclusion of 
underrepresented minorities and women in the scientific, technological 
and engineering workforce enabled society to better address its diverse 
needs. The law also gave notice of a national need for minority 
scientists in the fields of biomedical, clinical, behavioral, and 
health services research. RIMI-eligible and other predominantly 
minority-serving institutions play an important role in the early 
training of minority scientists.

The development of sustainable research programs at predominantly 
minority institutions is expected to have a two-fold impact--the 
discovery of new knowledge in science and technology and the 
development of a knowledge infrastructure that contributes to the 
intellectual underpinnings of racial and ethnic minority researchers 
and health professionals that are trained at such institutions, many of 
which often live and serve in minority communities. (Public Law 106-
525; Allocating Federal Funds for Science and Technology, Supplement 4, 
http://bob.nap.edu/html/fedfunds/)  Accordingly, the 
RIMI Program encourages and facilitates the participation of 
predominately minority serving institutions in the research enterprise 
through the support of activities that build and/or expand research 
infrastructure, expand the range of research expertise at such 
institutions, as well as contribute to the competitiveness of 
individual faculty members.

Capacity Building Objectives

o To encourage the use of entrepreneurial methods in building research 
infrastructure, including but is not limited to: developing and 
implementing innovations for increasing time commitment to research 
related activities, developing thematic approaches to or building 
marketable institutional niches in research; developing innovations in 
addressing shortfalls in Research Infrastructure in Minority 
Institutions; technical assistance in research programs, and decreasing 
the digital divide with respect to computer technology;

o   To identify/address barriers to effective research administration; and 

o   To encourage the creation of supportive research environments by 
modeling institutions that have demonstrated successful approaches to 
procurement processes, development/use/support of core resources, 
innovative offices of sponsored research, research grants 
administration, etc. 

Research Objectives 

o   Basic and applied biomedical/biobehavioral research

o   Health disparities research, including but not limited to:
-   Health promotion and prevention research
-   Health services research
-   Translational research- How to successfully incorporate research into 
health promotion, and disease prevention
-   Epidemiologic studies- Assess and understand health disparities in 
local communities
-   Communications research-How to reach racial/ethnic minority, and other 
medically underserved populations with messages that will lead to 
positive behavioral and health changes
-   Research that advances knowledge of the biological mechanisms by which 
the broader environment (social capital, access, risk factors, etc.), 
coping styles, micronutrient/gene interactions, experiences across the 
life span, etc. contribute to the differential susceptibility to 
disease and disease progression.

Career Development Objectives

o   To learn state of the art research methodologies and their application

o   To enhance research related skills, including the development of grant 
proposals, writing peer reviewed research papers for publication, 
management research programs, etc.

o   To facilitate investigator networking through research interest or 
working groups aimed at facilitating collaborative research project 
development and raising awareness of emerging technologies and areas of 
emphasis in research.

MECHANISM OF SUPPORT
 
This RFA will use the NIH Exploratory Grant (P20) award mechanism. As 
an applicant you will be solely responsible for planning, directing, 
and executing the proposed project.  This RFA is a one-time 
solicitation.  Future unsolicited, competing-continuation applications 
based on this project will compete with all investigator-initiated 
applications and will be reviewed according to the customary peer 
review procedures. Awards will be made prior to September 30, 2003. 

This RFA uses just-in-time concepts.  However, because it is 
anticipated that direct costs for each year will exceed $250,000, 
applicants are advised to follow the instructions for non-modular 
research grant applications.  This program does not require cost 
sharing as defined in the current NIH Grants Policy Statement at 
http://grants.nih.gov/grants/policy/nihgps_2001/part_i_1.htm.  

FUNDS AVAILABLE 
 
The NCMHD intends to make four to five new awards in FY 2003 in 
response to this RFA. An applicant may request a project period of up 
to five years and a budget for direct costs of up to $650,000 per year. 
Because the nature and scope of the proposed research and related 
capacity building activities will vary from application to application, 
it is anticipated that the size and duration of each award will also 
vary. In the first year of support for the new 5-year project period a 
one-time allocation of $150,000 for renovations may be added to the 
$650,000 maximum. Indirect costs will be provided. Although the 
financial plans of the NCMHD provide support for this program, awards 
pursuant to this RFA are contingent upon the availability of funds and 
the receipt of a sufficient number of meritorious applications. At this 
time, it is not known if this RFA will be reissued. 
 
ELIGIBLE INSTITUTIONS
 
Domestic academic institutions with a greater than 50 percent minority 
enrollment that offer one or more baccalaureate and/or master's degrees 
in the life and related sciences are eligible to compete for support 
under this initiative. Health professions schools that award the M.D., 
D.D.S., Pharm. D., D.V.M. or equivalent degrees and other institutions 
or programs that award the Ph.D. or other equivalent degrees are 
ineligible to apply. However, such institutions may serve as 
collaborating research institutions. 

An institution may apply for and receive a maximum of two RIMI awards, 
providing the following conditions are met:

o   Only one application is submitted in response to this announcement
o   At least one of the RIMI programs has a health disparities focus
o   Infrastructure initiatives supported by the RIMI awards are 
synergistic and not duplicative

Foreign institutions are not eligible to apply.

INDIVIDUALS ELIGIBLE TO BECOME PRINCIPAL INVESTIGATORS   

The President of the applicant institution or a designated 
representative with the skills and knowledge to provide leadership and 
authority to make high-level decisions regarding faculty time 
commitment and research administration related decisions must serve as 
the Principal Investigator.  This is a special requirement of the RIMI 
program. Such a policy is intended to ensure that the capacity building 
activities proposed in the application are consistent with the vision 
and mission of the applicant institution.

SPECIAL REQUIREMENTS

Program Governance

The governance structure must include a Principal Investigator (PI), 
Program Director (PD), and a RIMI Advisory Committee.

Program Director

The PD must be nominated by and be responsible to the PI. Moreover, the 
PD must be willing and able to devote the time and effort necessary for 
effective implementation and management of the RIMI program. He/she 
should be a knowledgeable and experienced biomedical, biobehavioral, or 
social scientist and an effective administrator.

RIMI Advisory Committee

The Advisory Committee should consist of eight to twelve members and 
must include a cross-section of qualified faculty and appropriate 
members external to the institution; its role is to advise the PI and 
PD. One or more of the external members should represent the 
collaborating institution(s). It is essential that the Committee be 
knowledgeable about the applicant institution's strengths and 
weaknesses in biomedical and related research, capabilities and needs, 
and overall goals. The Committee should possess, among its members, the 
experience and knowledge to provide appropriate guidance for the 
program and identify and recommend expert consultation from other 
sources, including the Research Infrastructure in Minority Institutions 
leaders in relevant scientific disciplines and other fields as needed. 
Guidance from such a group ensures the critical input necessary to 
develop and maintain a competitive RIMI program. The Committee should 
oversee progress toward the full implementation of the institution's 
plan for developing research infrastructure and for developing and 
enhancing collaborative relationships among institutions and faculty 
members. Competing or conflicting interests must be carefully 
considered when developing the operational procedures for the 
Committee. The Committee should meet at least twice annually.

Institutional Research Infrastructure

The plans for enhancing research infrastructure must be consistent with 
the long-range goals of the applicant institution. The application must 
describe how requested resources will be used to implement the 
institutional plan as well as discuss what role the collaborative 
partnerships will play in creating and maintaining an environment and 
framework suitable to achieve the objectives of the RIMI program. The 
NCMHD recognizes that the nature and scope of applications from the 
various institutions will vary widely, depending on individual 
institutional settings. Note that funds may be used for faculty 
expansion (i.e., recruitment of additional faculty who complement the 
scope of the proposed program) -- up to $100,000 per year for each 
position. Such funds may be used for salary, supplies, and equipment 
costs.

Developmental/Collaborative Research

The purpose of the research core is to facilitate the development of 
independent investigators and/or sustainable research programs. 
Institutions may provide up to 50 percent release time for subproject 
investigators, thus permitting a significant time commitment to the 
research enterprise. The requested support for a developmental/ 
collaborative research core must not exceed 50 percent of the total 
direct costs of the RIMI grant award.

A plan describing the long-term goals for transitioning RIMI research 
support to competitive grant support through applications submitted by 
faculty members to relevant NIH Institutes and Centers is strongly 
encouraged. The plan should include measures of success with specific 
milestones.

Sub-project Investigators

Prospective subproject investigators must have a full-time faculty 
appointment at the applicant institution; and, the proposed research 
plan for each subproject should address the following:
 
o   The candidate
o   Career development plan, including plans for developing a sustainable 
research program
o   Research plan
o   Mentor/collaborator
o   Research environment
o   Institutional commitment
o   Technical Support
o   Budget

Shared Resources

A shared resource core activity or facility is intended to enhance 
opportunities for investigators at the applicant institution to take 
advantage of new technologies that could enhance and broaden their 
research initiatives. While, research per se is not conducted as part 
of the shared resource core, quality assurance activities that evaluate 
the operation, resources, quality and utilization of the core and that 
are directed at problem identification and improvement of core 
functioning are appropriate. Some examples of support that shared 
resource cores typically provide are: a) technology that implements 
automation of large batch preparations; b) tissue and/or cell culture 
facilities; c) complex instrumentation, e.g., electron microscopy, mass 
spectrometry, electrophysiology; d) animal care and preparation; e) 
information processing, data management, and statistical services, 
networking activities such as the establishment of scientific working 
groups, etc.

The rationale for the establishment of shared resource cores is 
projected use by RIMI and/or non-RIMI investigators (e.g., MBRS Score 
(Support of Continuous Research Excellence)) at the grantee 
institution.  Accordingly, the minimum requirement for establishing a 
shared resource core is significant usage by two or more investigators 
with RIMI and/or independently supported, peer-reviewed projects. 

New Opportunities

A number of recommendations for consideration were provided in the Mid-
Term Evaluation of previously established RIMI Programs. The activities 
described below represent efforts to convert those recommendations to 
potential RIMI program components for consideration.

1.  Institutional Role Modeling: One possible approach to alleviating 
barriers to success in key areas is to identify a role model 
institution to emulate, particularly as related to best practices for 
addressing such barriers (i.e. release time for research, procurement 
challenges, grants administration and enhancing and developing 
effective offices of sponsored research, etc.). In particular, RIMI 
institutions may benefit from developing a mentoring relationship 
between its Office of Sponsored Program and such an entity at a 
collaborating institution. Support for institutional role modeling and 
related training activities are allowable costs.

2.  Renovations: The Mid-Term Evaluation noted that the quality of 
research facilities was linked to the ability to recruit new faculty 
members and to the ability to carry out good research. Accordingly, 
this RFA will provide up to $150,000 in year one of the award as a one-
time cost expenditure for renovations and alterations, providing the 
alterations and renovation projects are relevant to the scope of the 
proposed research and at the applicant institution. Research equipment/ 
instrumentation for laboratories may be requested but must be justified 
on the basis of the proposed scientific projects.  This RFA will not 
provide support for the completion of shell space, or for equipment 
intended for teaching or non-research related purposes. Additional 
opportunities for the renovation and modernization of facilities will 
likely be made available through competitive supplements to funded RIMI 
programs. 

3.  Entrepreneurial Opportunities: One of the objectives of the RIMI 
Program is to increase the capacity of undergraduate institutions to 
compete successfully for research and related support from public and 
private agencies. One model for facilitating such activities is to 
provide incentives for granting writing activities and/or encourage 
collaborations among programs. Further, to maximize collaborations and 
minimize duplication of effort among NIH sponsored program, the NCMHD 
encourages RIMI Programs to use a combination of initiatives to support 
the development of research infrastructure at their institutions. 
Programs may select to pilot a variety new opportunities that are 
designed to enhance research infrastructure. Keep in mind, however, 
that an institution is encouraged to pursue only those approaches that 
best suit its vision and needs. Below are examples of activities that 
can strengthen research and related infrastructure programs at RIMI 
institutions.

a.  Scientific Working Group(s): The concept of a scientific working 
group as a shared resource is taken from the Mid-Term Evaluation of 
established RIMI Programs. Such a resource could address two areas 
highlighted in the Mid-Term Evaluation: 1) the need for increased 
interactions with other research scientists and 2) keeping abreast of 
emerging opportunities for research support. There was concern that the 
research topics/fields at teaching institutions tend not to be current. 
The purpose of Working Groups is to increase interactions of RIMI 
investigators with other investigators with similar or complementary 
research interests. Such groups can explore opportunities for 
collaborative research in related areas as well as serve as a forum for 
obtaining research perspectives from key individuals in the 
researchers' field(s) of interest. Planned annual or biannual meetings 
could focus on the status of the field in the participant's area of 
interest, new research methodologies that can enhance the participant's 
research, NIH guide announcements as areas for proposed collaborations 
between members of the group, etc. 

b.  Student Mentoring Activities: RIMI programs are encouraged to 
develop mentoring activities designed to increase the number and 
quality of graduate program applications submitted by students in the 
life and related sciences. Such activities could include sponsorship of 
graduate school workshops and networking activities, career counseling, 
oversight for GRE training, sponsorship of tutoring activities for 
"gateway" courses, etc. Gateway courses include those such as organic 
chemistry and others that are essential for ensuring competitiveness 
for consideration for acceptance in graduate degree programs.

c.  Student Support for Participation in RIMI-Supported Research 
Projects: The Mid-Term Evaluation addressed the issue of inadequate 
laboratory support and the lack of significant student involvement in 
RIMI related activities. These concerns may be addressed by finding 
innovative means of garnering student support for limited technical 
assistance. For example, RIMI Programs are encouraged to work 
collaboratively with programs such as the Minority Biomedical Research 
Support (MBRS) RISE Program that provides support for student 
participation research projects: 
http://grants.nih.gov/grants/guide/pa-files/PAR-99-151.html.  For 
example, institutions that already have MBRS RISE grant awards, may 
conceivable submit supplemental applications during the first 18-month 
period of these four-year awards for the purpose of expanding the 
program to include student support for RIMI projects. Institutions that 
do not have MBRS RISE awards may consider applying for such support. 
The advantage of such a strategy is that it lessens duplications among 
the programs sponsored by the NIH Centers and Institutes and it 
encourages collaborative synergy between the various programs at RIMI 
institutions.

d.  Collaborative Intra- and Inter-Departmental Activities: Allowable 
costs for technical support on research subprojects can be used to 
encourage intra- and/or inter-departmental collaborations. In such 
cases, the total level of faculty support on a project may not exceed 
75 percent effort. For example, if the PI of a project requests 50 
percent effort, a co-investigator on the project may request up to 25 
percent effort. In such cases, no technical support may be provided 
beyond that obtained through the potential use of shared resources or 
through student assistance on the project.

e.  An Institutional Research Advocate: The concept of an institutional 
research advocate was introduced in the Mid-Term Evaluation of 
established RIMI Programs. Such an individual may be recruited or 
appointed by the PI to serve as a research leader for the institution. 
The research advocate's primary responsibilities would include 
developing a strategic plan for the institution's biomedical and 
related research, including health disparities research, as well as 
identifying areas for intra- and inter-departmental collaborations. 
Identifying the range of research expertise among the faculty might 
present opportunities for developing niches for institutional research. 
An institutional niche is an area of research in which a significant 
number of faculty members have the requisite expertise to develop 
synergistic and productive collaborations. Support for this activity, 
if applicable, may be included in the administrative core of a RIMI 
Program.

f.  Support for Proposal Development: The Mid-Term Evaluation also 
addressed the issue editorial assistance for manuscript preparation. 
One model for securing editorial assistance is to develop an inter-
departmental collaborative arrangement with the English Department at 
RIMI institutions. Teachers and advanced students may be an invaluable 
asset in such an activity. Such a model would also encourage cross-
institutional participation in the research enterprise. The NCMHD 
encourages the use of the latter or any other pilot innovative models 
for providing editorial assistance in developing research proposals and 
the preparation of manuscripts. Support for this activity, if 
applicable, may be included as an area of emphasis.

g.  Productivity Incentives: Pending the availability of funds, RIMI 
supported faculty members that publish papers in a peer reviewed 
journal (or minimally have manuscripts approved for publication in 
peer-reviewed journals) during a given budget period may request 
support for travel to a scientific meeting in the annual non-competing 
renewal application. If there is more than one author, support may be 
requested for at least two authors on the publication. For each new 
peer-reviewed research project funded by a public or private agency, 
the RIMI program may request support for attendance at a domestic 
scientific meeting for the PI and Co-PI.

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:  scientific/research, peer review, and financial or grants 
management issues:

o Direct your questions about scientific/research issues to:

Jean Flagg-Newton, Ph.D.
Chief, Office of Research
National Center on Minority Health and Health Disparities
National Institutes of Health
6707 Democracy Blvd., Suite 800 MSC 5465
Bethesda, MD 20892-5465
Telephone:  (301) 402-1366
FAX:  (301) 480-4049
Email:  [email protected]

o Direct your questions about peer review issues to:

Tommy Broadwater, Ph.D.
Chief of Review 
National Center on Minority Health and Health Disparities
National Institutes of Health
6707 Democracy Blvd., Suite 800 MSC 5465
Bethesda, MD 20892-5465
Telephone: (301) 594-8950
FAX: (301) 451-4049
Email:  [email protected]

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

Bryan Clark, MBA
Grants Management Officer
National Center on Minority Health and Health Disparities
National Institutes of Health 
6707 Democracy Blvd., Suite 800 MSC 5465
Bethesda, MD 20892-5465
Telephone:  301.402.1366
Email:  [email protected]

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

o Descriptive title of the proposed capacity building/research activities
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 IC staff to estimate the potential review 
workload and plan the review.
 
The letter of intent is to be sent by the date listed at the beginning 
of this document.  The letter of intent should be sent to:

Tommy Broadwater, Ph.D.
Chief of Review 
National Center on Minority Health and Health Disparities
National Institutes of Health
6707 Democracy Blvd., Suite 800 MSC 5465
Bethesda, MD 20892-5465
Telephone:  (301) 594-8950
FAX:  (301) 451-4049
Email:  [email protected]

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].
 
SUPPLEMENTAL INSTRUCTIONS 

Applicants should thoroughly review and follow the instructions 
accompanying form PHS 398 and the following:

Face Page

Item 1. Title of Project. The title should reflect the overall research 
emphasis of the RIMI Program.

Item 2. Response to a Specific RFA. Check "YES" and type in the number 
and title of this announcement.

Item 6. Dates of Proposed Period of Support. Up to five years of 
support may be requested. The start date should be September 30, 2003.

Form Page 2 -- Description, Performance Site(s) and Key Personnel.

Program Overview. Provide an overview of your proposed program, 
including the objectives and specific aims and areas of emphasis. 
Summarize your approach for enhancing the proposed areas of emphasis.

Performance Sites. Include all locations, whether at the applicant or 
the collaborating institution(s)

Key Personnel. Under key personnel, include the Principal Investigator, 
the Program Director, and any other individuals with a significant role 
in carrying out the RIMI action plan. This should also include 
personnel at the collaborating institution.

Form Page 3 -- Table of Contents.

Modify the table of contents to reflect the content and sequence 
outlined in the modified instructions in the RFA.

Form Page 4 -- Detailed Budget for Initial Budget Period, and Form Page 
5 -- Budget for Entire Period.

Consolidated RIMI Budget. The consolidated budget should consist of a 
compilation of the individual budgets for the administrative core and 
each area of emphasis. Except in the first year of the project, direct 
costs may not exceed $650,000 per year. (See the section on 
Renovations -- Use form pages 4 and 5).

Budgets for Areas of Emphasis. Use form pages 4 and 5 to develop 
separate budgets for the administrative core and each area of emphasis. 
For each area of emphasis (e.g., facility improvement, 
developmental/collaborative research, etc.), include the salary support 
for its director as well as the costs of the activities (i.e., 
laboratory renovation, research subprojects, etc.) that support that 
area of emphasis. Support for staff from the applicant institution, if 
applicable, should be listed as personnel and support for other 
personnel should be listed under consultants (including consulting fees 
and travel expenses, or under consortium/contractual costs). Include in 
the following in the administrative budget: the Principal Investigator, 
the Program Director, administrative support personnel and other 
budgetary items needed for central coordination of the program.

The need for each budget item requested and its cost must be thoroughly 
documented in the section labeled: Justification.

Form Page 6 -- Biographical Sketch.

Include for the Principal Investigator and the Program Director in this 
section. Biographical sketches for other key personnel, including 
specific activity or project leaders, should be included in the section 
describing that activity. The biographical sketch should list the most 
recent or significant publications, and overall, must not exceed four  
pages per person.

Page Limitations. DO NOT EXCEED 35 PAGES FOR ITEMS 1-3 OF THE CAPACITY 
BUILDING PLAN.

All tables, graphs, charts, figures and diagrams must be included in 
the 35-page limit. 

Applicants are encouraged to be succinct and are reminded that there is 
no requirement to use the 35 pages allotted to items 1-3 of the 
Capacity Building Plan. In addition to the 35-page limit, applicants 
may use up to 10 pages (excluding the biographical sketches, budget 
pages, and references) to describe EACH of the research sub-projects 
under item 3, Research Infrastructure in Minority Institutions.

Institutional Setting and Overview of General Plan -- Limit the 
narrative for items 1 and 2 to a total of 15 pages.

1. Capacity Building Plan -- Do not follow the outline in Form PHS 398.   
Develop according to the following format. Maximum of eight pages for 
items 1a-1c.

a. Description of Applicant Institution:

o Provide a brief history of the institution and its mission, including 
developmental milestones over the last 10 years. 

o Summarize the major resources (physical, human and financial) for 
biomedical and related research. Include the number of faculty involved 
and number of students in the health and related sciences. 

o Discuss the role that research is intended to play in enabling your 
institution to accomplish its mission. 

o Describe your institution's long-term objectives and specific aims in 
enhancing its research infrastructure; and indicate any changes in such 
that may be different in the current RIMI program cycle.

b. Description of the Collaborating Institution:

o Provide a brief summary of the resources of the collaborating 
institution (research, core laboratories, and other research 
facilities) and discuss how the proposed partnership facilitates the 
achievement of your institution's research agenda. In particular, 
indicate the area of emphasis to which the partnership contributes most 
significantly.

c. Plan for Expanding the Capacity for Biomedical and Related Research. 
Discuss briefly EACH area of emphasis for the current project period 
(e.g., faculty development, physical plant improvement, research 
administration, procurement, student entry into graduate programs, 
etc.), indicate the specific objectives associated with each goal area 
(area of emphasis), and describe briefly the action plan for 
accomplishing these objectives. For example, for EACH area of emphasis 
identified, provide the following:

o Description of the area of emphasis 

o Objectives under the area of emphasis 

o Action plan(s) for accomplishing the objectives (i.e., describe the 
proposed activities or program components for achieving the indicated 
objectives) and a timetable for implementing the proposed activities. 

o Measures of success for tracking progress toward accomplishing your 
institution's objectives in the relevant area of emphasis. 

o The percent of your overall budget that will be allocated to 
achieving the objectives in the indicated goal area (area of emphasis). 

2. Progress From the Previous Project Period  - Maximum of Seven Pages 
(COMPETITIVE RENEWAL APPLICATIONS ONLY)

Describe the accomplishments during the previous project period within 
the context indicated below. Where appropriate, information may be 
presented in tabular format. 

o Areas of Emphasis. For each area of emphasis supported (e.g., faculty 
recruitment, developmental/collaborative research, etc.) describe the 
objectives and the action plans for accomplishing the objectives. 
Indicate measures of success and describe the progress made in 
accomplishing the objectives in terms of the measures of success. For 
example, an important measure of success for an institution's research 
capacity is the amount of research dollars garnered by the institution 
during a given period. An important measure of faculty productivity may 
include the number of publications in peer-reviewed journals, 
presentations at scientific meetings, and/or the overall number of 
student contact hours per semester during a given period.

Note that if "student pursuit of doctoral programs" was considered as 
an area of emphasis, the following section also applies. 

2a. Although the RIMI program provides no direct support for student 
participation in research, the RIMI program may have sponsored 
mentoring activities (e.g., graduate school workshops, GRE training, 
counseling activities, networking, etc.) designed to facilitate the 
minority students' pursuit of doctoral programs. Is there an 
identifiable linkage between the availability of RIMI support and the 
number of students that pursue doctoral programs, in particular in the 
departments that are directly supported by RIMI funding?

o Effectiveness of your partnership in terms of its impact on your 
research agenda. Be sure to discuss its strengths and indicate areas 
where improvements can be made.

o Impact of RIMI support on the institution's capacity to compete 
successfully for research support. How many of the RIMI supported 
investigators have submitted grant proposals for research and related 
support? Has the institution's overall success rate for numbers of 
applications funded changed since the onset of funding support through 
the RIMI program? Can such increases, if any, be directly linked to 
activities supported through RIMI support?

o Barriers to success and needed program adjustments. Please identify 
any barriers to the successful implementation of the institution's plan 
for enhancing research infrastructure. Also identify areas of concern 
that the institution plans to address in the competitive renewal 
application.

o Institutional incentives for research that may have been developed 
and implemented during the previous RIMI project period. And how has 
research at the institution impacted the academic experience of its 
students, in particular those in the RIMI supported departments.

3. Proposed RIMI Program -- Maximum of 20 pages.

a. Organizational Structure and Administrative Core Activities. (Limit 
narrative to 5 pages.)

o Outline the organizational structure of the institution, showing how 
the RIMI PD interfaces with the administrative structure. Describe the 
lines of authority and indicate how the proposed structure will allow 
the PD to best accomplish the goals and objectives identified for the 
RIMI program.

o Describe the qualifications of the faculty member selected for this 
PD, including his/her scientific training, biomedical research 
experience, administrative leadership skills, and commitment to the 
RIMI initiative.

o Describe how the Advisory Committee functions, in particular its 
roles and responsibilities, available resources, its frequency of 
meetings and reporting requirements. Also describe the composition the 
Committee. In a tabular format, list the names and titles of the 
members, including their institutional affiliations. Identify the 
expertise that each member contributes to this commit.

o Institutional Commitment. Provide evidence of the applicant 
institution's commitment to biomedical and related research and to 
enhancing its research environment. Examples might include the 
availability of research space, cost sharing, promotion and tenure 
policies emphasizing the importance of research, an institutional 
strategic plan that complements the RIMI initiative, sponsorship of an 
office of sponsored programs, ongoing collaborations with research-
intensive institutions, participation in PHS research and training 
activities, and any other activity that encourages faculty and student 
involvement in biomedical research.

o Evaluation Plan. Describe the plan for evaluation of the RIMI 
Program. One way of evaluating the program is to develop a performance 
plan based on the strategic plan for the RIMI Program. Describe the 
measures of success that would be key in your performance plan.

o Collaborative Agreement(s). Describe the essential elements of the 
collaborative agreements between the applicant institution and its 
partner(s). When there is only one partner, the collaborator MUST be a 
doctoral degree-granting institution. In cases where there is more than 
one partner, only one of the collaborators must meet the aforementioned 
criterion.

If modifications, improvements, or expansion of these agreements are 
planned, describe these in detail. Address any anticipated or potential 
problems and describe proposed alternative plans to resolve them. 
Include a copy of the current MUA(s) in this section of your 
application. 

b. Areas of Emphasis  - Limit narrative to 15 pages.

Provide a separate detailed plan for EACH AREA OF EMPHASIS. In 
describing each area of emphasis, follow the PHS 398 instructions (pp. 
17 -20) for the Research Plan and use form page 2 and forms 4 through 
8. Be sure to address the important items noted below:

o Narrative. Clearly describe the objectives, needs, and rationale for 
the approach selected, implementation timetable in the context of 
available resources, alternatives considered, and overall program 
goals. Explain the management structure, and outline the corporate plan 
to achieve non-RIMI institutionalize support over time.

o Shared resources/facilities. Shared resources/facilities may comprise 
an independent area of emphasis or activity component within an area of 
emphasis.  Identify the user community and explain in detail the nature 
and extent of utilization by each participant, current and proposed.

o Developmental/Collaborative Research. Whether an independent area of 
emphasis or an activity component within an area of emphasis, IN 
ADDITION TO THE ABOVE, clearly describe the importance and relevance of 
the proposed collaborative projects to the institution's RIMI program 
goals. Also for each research subproject supported, address the 
following: 
-   Candidate
-   Career development plan
-   Research plan
-   Mentor/collaborator
-   Environment
-   Institutional commitment
-   Technical Support (up to 50% support for a technician) 
-   Budget (up to 50% effort for the PI and support for supplies, small 
instrumentation, etc.)

Limit the description of EACH research project to be supported to 10 
pages, excluding the biographical sketches, references, and budget 
pages. This is in addition to the 20-page maximum allotted to 
describing the plans for and management of the Areas of Emphasis.

4. Appendix. List in the Table of Contents any items included in the 
Appendix. 

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 and number 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/label-bk.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 
must be sent to:

Tommy Broadwater, Ph.D.
Chief of Review 
National Center on Minority Health and Health Disparities
National Institutes of Health
6707 Democracy Blvd., Suite 800 MSC 5465
Bethesda, MD 20892-5465
Telephone:  (301) 594-8950
FAX:  (301) 451-4049
Email:  [email protected]

APPLICATION PROCESSING: Applications must be received on or before the 
application receipt date listed in the heading of this RFA.  If an 
application is received after that date, it will be returned to the 
applicant without review. 

Although there is no immediate acknowledgement of the receipt of an 
application, applicants are generally notified of the review and 
funding assignment within 8 weeks.

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.  However, when a previously unfunded application, 
originally submitted as an investigator-initiated application, is to be 
submitted in response to an RFA, it is to be prepared as a NEW 
application.  That is the application for the RFA must not include an 
Introduction describing the changes and improvements made, and the text 
must not be marked to indicate the changes.  While the investigator may 
still benefit from the previous review, the RFA application is not to 
state explicitly how.

PEER REVIEW PROCESS  
 
Upon receipt, applications will be reviewed for completeness by the CSR 
and for responsiveness by the NCMHD.  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 an appropriate peer 
review group convened by the NCMHD in accordance with the review 
criteria stated below.  As part of the initial merit review, all 
applications will:

o Receive a written critique
o Receive a second level review by the NCMHD National Advisory Council. 
 
REVIEW CRITERIA

Areas of Emphasis: Assessments of EACH AREA OF EMPHASIS will be based 
the specific evaluations of the proposed core action plans (i.e., 
planned core activities) for that area and the feasibility of Research 
Infrastructure in Minority Institutions achieving what is proposed for 
the overall area with the resources requested. Accordingly, the 
criteria for review of the proposed plan for each area of emphasis 
include:

o Appropriateness of the plan for developing the area of emphasis, 
including objectives, proposed core activities or action plan, 
implementation strategy and timetable, and involvement of the advisory 
committee in the planning process.

o Adequacy of proposed mechanisms or activities proposed for addressing 
the expressed needs in the area of emphasis.

o Adequacy and appropriateness of administrative and/or scientific 
leadership for implementing and managing the resources, including 
collaborative and consultative arrangements.

Note that the above assessments should be made for each area of 
emphasis in the proposed continuing RIMI Program.

Also if applicable, the review of the individual research projects 
proposed in the "Developmental/ Collaborative Research" area of 
emphasis will not be based entirely on the traditional considerations 
for peer evaluation of scientific merit, but will also take into 
consideration the preliminary nature of the proposed studies and, in a 
broader sense, the extent to which the research activity will 
contribute to the goals of the RIMI program. Accordingly, the following 
are additional considerations for each of the research projects 
proposed.

o Significance: Does the proposed project address current areas of 
emphasis in the relevant field? If the proposed aims are achieved, how 
will scientific knowledge be advanced? What will be the effect of these 
studies on the concepts or methods that drive this field?

o Approach: Are the conceptual framework, design, methods, and analyses 
adequately developed, well integrated, and appropriate to the aims of 
each of the research components? Does the PI acknowledge potential 
problem areas and consider alternative approaches?

o Innovation: Does the research employ novel concepts, approaches or 
methods? Are the aims original and innovative? Do the concepts 
challenge existing paradigms or propose to develop new methodologies or 
technologies?

o Investigators: Is the investigator appropriately trained and well 
suited to carry out this work?

o Environment: Does the scientific environment in which the work will 
be done contribute to the probability of success of the project? Does 
the proposed research take advantage of unique features of the 
scientific environment or employ useful collaborative arrangements? Is 
there evidence of institutional support?

Note that a research project does not need to be strong in all 
categories to be judged likely to have a major scientific impact. For 
example, an investigator may propose to carry out important work that 
by its nature is not innovative, but is essential to move a field 
forward.

o The appropriateness of the proposed budget and duration, including 
the justification for requested items in terms of the aims and methods 
of the proposed research studies will be evaluated.

Overall RIMI Program

Major factors to be considered in the overall assessment of the plans 
for the proposed continuing RIMI Programs include:
 
o Adequacy of the planning process, including the assessment of current 
biomedical research capabilities, concept development and involvement 
of advisory resources in the planning process. 

o Appropriateness of the organization and administrative structure 
established to accomplish RIMI program goals 

o Qualifications, experience and commitment of the PD, and his/her 
ability to provide effective leadership in implementing the 
institutional RIMI plan. 

o Appropriateness of the RIMI Advisory Committee and other consultative 
resources for guiding the implementation of the institutional research 
infrastructure development plan 

o Adequacy of institutional commitment to biomedical research 

o Appropriateness and adequacy of the institution=s evaluation plan, 
including availability of expertise, and time and resource allocation. 

o Appropriateness of requested budget and proposed project period. 

ADDITIONAL REVIEW CRITERIA: In addition to the above criteria, the 
following items will be considered in the determination of scientific 
merit and the priority score:

PROTECTION OF HUMAN SUBJECTS FROM RESEARCH RISK: The involvement of 
human subjects and protections from research risk relating to their 
participation in the proposed research will be assessed. (See criteria 
included in the section on Federal Citations, below).
 
INCLUSION OF WOMEN, MINORITIES AND CHILDREN IN RESEARCH: 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 in the 
sections on Federal Citations, below).

CARE AND USE OF VERTEBRATE ANIMALS IN RESEARCH: If vertebrate animals 
are to be used in the project, the five items described under Section f 
of the PHS 398 research grant application instructions (rev. 5/2001) 
will be assessed.  

ADDITIONAL CONSIDERATIONS 

DATA SHARING:  The adequacy of the proposed plan to share data. (If 
Applicable)

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 9, 2003
Application Receipt Date:  June 11, 2003 
Peer Review Date:  July/August 2003
Council Review:  September 2003
Earliest Anticipated Start Date:  September 30, 2003

AWARD CRITERIA

Award decisions will be based on the scientific merit of the 
application as determined by peer review and availability of funds.
 
REQUIRED FEDERAL CITATIONS 

HUMAN SUBJECTS PROTECTION: Federal regulations (45CFR46) require that 
applications and proposals involving human subjects must be evaluated 
with reference to the risks to the subjects, the adequacy of protection 
against these risks, the potential benefits of the research to the 
subjects and others, and the importance of the knowledge gained or to 
be gained.

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 "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.

REQUIRED EDUCATION ON THE PROTECTION OF HUMAN SUBJECT PARTICIPANTS: (if 
applicable) NIH policy requires education on the protection of human 
subject participants for all investigators submitting NIH proposals for 
research involving human subjects.  You will find this policy 
announcement in the NIH Guide for Grants and Contracts Announcement, 
dated June 5, 2000, at
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html.

HUMAN EMBRYONIC STEM CELLS (hESC): Criteria for federal funding of 
research on hESCs can be found at 
http://grants.nih.gov/grants/stem_cells.htm and at 
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-005.html.  
Only research using hESC lines that are registered in the NIH Human 
Embryonic Stem Cell Registry will be eligible for Federal funding (see 
http://escr.nih.gov).   It is the responsibility of the applicant to 
provide the official NIH identifier(s)for the hESC line(s)to be used in 
the proposed research.  Applications that do not provide this 
information will be returned without review. 

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.

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 at http://www.cfda.gov/ and is not subject 
to the intergovernmental review requirements of Executive Order 12372 
or Health Systems Agency review.  Awards are made under the 
authorization of the Public Health Service act, Title III, Part A 
(Public Law 99-158, 42 USC 241 and 285) and administered under PHS 
grants policies and Federal Regulations 42 CFR 52 and 45 CFR, Part 74.  
All awards are subject to the terms and conditions, cost principles, 
and other considerations described in the NIH Grants Policy Statement.  
The NIH Grants Policy Statement can be found at 
http://grants.nih.gov/grants/policy/policy.htm. 

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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