Release Date:  August 16, 1999

RFA:  MH-00-001

National Institute of Mental Health

Letter of Intent Receipt Date:  October 1, 1999
Application Receipt Date:  December 10, 1999


This omnibus request for applications (RFA) updates the following Minority
Fellowship Programs in the areas of Neuroscience, Psychology, Nursing,
Sociology, and Social Work:

o  Minority Research Fellowship Program in Psychology (MH-90-21)
o  Minority Fellowships for Doctoral and/or Postdoctoral Training in
Neurosciences (MH-91-01)
o  Minority Research Fellowship Program in Sociology.  Minority Research
Fellowship Program in Social Work (MH-93-009)
o  Minority Research Fellowship Program in Mental Health Nursing (MH-98-001)

The National Institute of Mental Health (NIMH) invites applications for
Underrepresented Minority Fellowship Programs (UMFP) in areas relevant to the
mission of NIMH.  Although in the past national programs were supported in the
above-mentioned disciplines, both new (Type 1) and competitive renewal (Type
2) applications need not be restricted to these specific disciplines.  NIMH
encourages applications that propose cross-disciplinary training.  A separate
program announcement, "Underrepresented Minority Fellowship Program in
Psychiatry" (PAR-99-057; https://grants.nih.gov/grants/guide/pa-files/PAR-99-057.html) 
was published in the NIH Guide, January 29, 1999.

The NIMH has a long history of supporting nationwide specialized programs to
increase the participation of underrepresented minorities in research relevant
to the mission of the Institute.  Still, the underrepresentation of racial and
ethnic minority scientists in the above scientific fields continues to remain
a concern.  The purpose of this RFA is to encourage National Research Service
Award (NRSA) institutional training grant (T32) applications designed to
support the recruitment into, and training of individuals in doctoral programs
in areas relevant to the mission of the NIMH.

It should be emphasized that the main focus of these programs is in
predoctoral training.  However, applicant institutions may propose a small-
scale postdoctoral component if strongly justified.  Each Training grant will
support a national program with the capability of supporting trainees at
multiple institutions across the country (including the parent institution, if
applicable).  The goal is to enable minority investigators to undertake
active, productive careers in scientific investigations related to mental
health and mental illness.  Further, it is expected that the UMFP will help
train future scientists with state-of-the-art research skills in cutting-edge
science, and a commitment to research in their chosen mental health related
field.  Areas of research interest to the NIMH can be found in NIMH Website: 

The overall goal of NRSA training programs at the NIMH is to help educate the
leaders of the Nation's next generation of mental health researchers.  The
specific goal of the UMFP initiative is to increase the number of minority
scientists trained to conduct research in mental health and mental illness by
supporting national programs for the recruitment and training of scientists in
outstanding research programs across the nation.


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),
"Underrepresented Minority Fellowship Program in Mental Health," is related to
the priority area of Mental Health and Mental Disorders.  Potential applicants
may obtain a copy of "Healthy People 2000" at


Because UMFP awards have special eligibility requirements, application
formats, and review criteria, it is critical that prospective applicants
consult with the program staff listed under INQUIRIES (see also LETTER OF
INTENT section).

Applications may be submitted by domestic, non-profit organizations, public
and private, such as universities, colleges, professional and scientific
organizations, units of State and local governments, and eligible agencies of
the Federal government.  Collaborative arrangements are encouraged.  Foreign
institutions are not eligible for UMFP grants.  Racial/ethnic minority
individuals, women, and persons with disabilities are encouraged to apply as
Program Directors and as faculty mentors.

It is very important that prospective applicants consult the "National
Research Service Awards Guidelines," NIH Guide, Vol. 26, No. 21, June 20, 1997
Information about this and other policy and program aspects of NIMH Research
Training and Career Development Programs can be found at

Institutional Eligibility Requirements

Applicant institutions must have staff and facilities suitable for
implementing a national program to recruit, select, and place minority
trainees in departments or programs with environments appropriate for
performing high quality research training and with strong research programs in
one or more of the scientific disciplines relevant to the mission of the NIMH.

Trainee Eligibility Requirements

Individuals selected to participate in the UMFP must be citizens or non-
citizen nationals of the United States, or have been lawfully admitted to the
United States for permanent residence and have in their possession an Alien
Registration Receipt Card (I-151 or I-551) or other legal verification of
admission for permanent residence at the time of appointment to the UMFP. 
Non-citizen nationals are persons born in lands which are not States but which
are under U.S. sovereignty, jurisdiction, or administration (e.g., American
Samoa).  Individuals on temporary or student visas are not eligible.  Trainees
must be free of all Federal debt.

For the purpose of this RFA, underrepresented minorities 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.

Predoctoral individuals must have received, as of the trainee appointment
beginning date of their NRSA award, a baccalaureate degree and must be
enrolled in and training at the post-baccalaureate level in a program leading
to the award of a Doctor of Philosophy of Science (Ph.D. or Sc.D.).

Postdoctoral trainees must have received a Ph.D., M.D., D.O., D.V.M., O.D.,
D.P.M., Sc.D., D.Eng., D.N.S., or equivalent doctoral degree from an
accredited domestic or foreign institution.  Certification by an authorized
official of the degree granting institution that all degree requirements have
been met is also acceptable.

Individuals currently supported by other Federal funds are not eligible for
trainee support from these programs at the same time.  Further, NRSA
fellowships are not given for study leading to a M.D., D.O., D.D.S., or other
similar professional degrees, or for study that is part of residency training
leading to a medical specialty.  Additional information may be obtained in the
"National Research Service Award Guidelines," NIH Guide, Vol. 26, No. 21, June
20, 1997;


This RFA will use the NIH National Research Service Award Institutional
Research Training Grants (T32) mechanism, which was published in the NIH
Guide, Vol. 26, No. 16, May 16, 1997; URL:

Responsibility for the planning, direction, and execution of the proposed
research training program will be solely that of the Program Director.  In
addition, the establishment of an external advisory committee with appropriate
expertise is required (see below).  The total project period for an
application submitted in response to this RFA may not exceed five years.  This
RFA is a one-time solicitation.  NIMH may re-issue the RFA in the future, if
it is determined that the underrepresentation of racial and ethnic minority
scientists in mental health fields continues to remain a concern.  The
anticipated award date is July 1, 2000.


NIMH intends to commit approximately $2,700,000 (total cost) in fiscal year
2000 to fund up to five UMFPs in response to this RFA.  An application may
request a project period of up to five years and a budget for direct cost not
to exceed $500,000 per year.  Applications requesting more than $500,000
(direct costs) will not be accepted and will be returned to the applicant
without review.  Because the nature and scope of the research proposed may
vary, it is anticipated that the size of each award will also vary.  Awards
pursuant to this RFA are contingent upon the availability of funds and the
receipt of a sufficient number of applications of outstanding scientific and
technical merit.  Further, the duration of the award may be less than the
period of support recommended by the peer review group, based on programmatic
and budgetary considerations.  Funds for continuation beyond the initial year
are determined by the success as described in the annual progress report in
the continuation application, the timely submission of all required forms, and
the availability of funds.


This program is an important, ongoing initiative at the NIMH, intended to
provide support for a national program to recruit and train underrepresented
minorities in outstanding graduate and postdoctoral programs across the
nation.  For this reason, it is critically important that the applicant
organization have extensive contacts with institutions with substantial
minority enrollment (e.g., Historically Black Colleges and Universities
(HBCUs), Hispanic Serving Institutions (HSIs), etc.) in order to maximize the
potential to recruit outstanding trainees.  It is emphasized that HBCUs, HSIs,
and other predominantly minority institutions with outstanding research and
training resources are encouraged to apply under this RFA.  It is equally
important that the applicant organization have the ability to "recruit"
outstanding faculty from across the nation to serve as mentors for the
trainees.  Lastly, it should be emphasized that this program is not intended
to simply provide training for individuals already supported through other
NRSA programs; rather the intent is to attract new trainees into research
careers relevant to the mission of the NIMH.  In this regard, it would be
desirable to support trainees for a shorter period of time than allowed under
the NRSA regulations (for example, 2-3 years of predoctoral and 1-2 years of
postdoctoral support) and then "rotate-off" trainees from the UMFP to other
NRSA training programs, including both institutional grants and individual

The application must provide a detailed and comprehensive plan for the
proposed UMFP.  Considerable flexibility may be shown in designing options for
the UMFP, but each aspect must be clearly described in terms of its intent and
mechanism, and convincing justification must be provided for the approach
being taken.  The following components must be included:

Program Plan

The application must describe a program plan for an UMFP, including the
overall goals, specific objectives, and number and levels of trainees to be
supported.  The plan should clearly show how the program will recruit, select,
counsel and place underrepresented minority trainees in appropriate
departments or programs with strong mental health relevant research, and how
it will anticipate and deal with potential concerns which may be encountered
in program implementation.

The plan should also show how the applicant will provide ongoing monitoring,
career counseling and other support to help ensure that UMFP trainees complete
their doctoral training and enter productive research careers in areas
relevant to mental health and mental illness.  The plan should identify those
institutions with a track record in training mental health researchers where
the trainees will be placed.  The plan must include a sample agreement between
the grantee institution and the participating training sites.  Finally, the
plan should indicate how the program will establish networks and linkages with
other mental health researchers.  Special emphasis should be given to how the
training will prepare graduate students and postdoctoral trainees for careers
in mental health research.

The plan should provide documentation of the specific research training needs
to be addressed by the program, and make clear how it will ensure that the
number of underrepresented minorities conducting research in mental health
areas identified within this RFA will be increased.  Innovative approaches and
strategies are encouraged; however, the application must describe how the
proposed design will lead to the overall goal of providing an increased number
of underrepresented minority researchers who are actively engaged in research
careers in mental health.

In addition to the foregoing, the application must contain descriptions of how
the proposed fellowship program intends to carry out the following kinds of

o  Recruitment, selection, and placement, and training of trainees; 
counseling, potential applicants on the selection of training programs with
active mental health research programs.  The criteria to be used in the
selection of underrepresented minority trainees and in the selection of
training sites must be clearly indicated. Draft announcements and application
forms should be included.

o  Recruitment plans should include consideration of the best ways to recruit
promising students who have completed NIMH undergraduate programs, such as the
NIMH Career Opportunities in Research Education and Training (COR) Program and
other programs encouraging minority students to enter research careers. 
Individuals currently supported by other Federal funds are not eligible for
trainee support from these programs at the same time.o  Tracking and
monitoring of each trainee's research training progress, including the means
for monitoring their research involvement to insure that they obtain optimal
mental health training and career development opportunities.

o  Continuing contact, support, and supervision to be provided to individual
trainees by the Program Director (see Program Leadership below).o  Kinds of
evaluation and reports expected from the graduate students and postdoctoral
trainees and from their faculty mentors and department; availability of
special faculty mentors and communication with them.

o  Enrichment experiences, professional socialization, and networks beyond
those provided in the training setting.

o  Research workshops to meet special needs of the trainees in mental health
research (e.g., course work in research methods/statistical analysis,
workshops on current research on mental disorders among racial and ethnic
groups, seminar or lecture series, etc.).  Any expenses associated with such
attendance must be included in the detailed budget for this proposed program
in the competing application.

o  Assessment of training institutions' required research curricula, and
present faculty research programs.

o  Procedures built into the program to ensure that UMFP dissertations have
strong mental health relevance and to facilitate the completion of high
quality dissertations.  The activities to be used to help trainees develop
competitive Minority Dissertation Research Grant applications should be
described (see  https://grants.nih.gov/grants/guide/pa-files/PAR-99-139.html)

o  Evidence that the principles of ethical scientific conduct will be
incorporated in the research training experience of each trainee.

o  Discussions of methods to be used to facilitate the transition to research
careers, once training is completed, especially at the postdoctoral level. 
This should include a description of program activities that will be used to
help trainees make use of postdoctoral research training opportunities and
subsequently, the NIMH Research Career Development awards (K01, K08, and K23),
especially at the postdoctoral level.

o  Plans for evaluating the program including follow-up of trainees' supported
plans for evaluating the program; assurance that the UMFP award will not be
used to substitute for existing Federal funding for research training.

Program Leadership

The Program Director, with the assistance of an UMFP Advisory Committee (see
below), will be responsible for the recruitment and selection of
underrepresented minority trainees, and for their placement in appropriate
doctoral or postdoctoral training programs, as well as for the overall
direction of the training program.  These programs should have strong track
records of research and research training in mental health related fields, as
well as the fiscal and other support necessary for graduate and postdoctoral
training.  Equally important is the overall administration of the research
training program, including provisions for the on-time submission of all
required forms, and the maintenance of trainee records for future evaluation
of the success of the program.

It is imperative that all required trainee related forms are submitted when
required (at the beginning of each appointment) and that trainees are not
funded until the forms have been accepted by the NIMH.  Failure by the Program
Director to submit all required forms will delay future funding and possibly
be considered cause to terminate planned future support.

The Program Director will assist the prospective trainees in the selection of
training institutions with strong record of mental health relevant research
and provide counseling on research curricula offerings to assure that students
or trainees carry out research in mental health.  Importantly, the application
should describe the Program Director's qualifications, mental health research
experience, and knowledge of current mental health research, and should
include his/her curriculum vitae.  The application should detail the specific
duties of the Program Director, including the time to be devoted by the
Program Director to various tasks, as well as the total amount of time
committed solely to carrying out the UMFP program.  A range of 15-25 percent
of the Program Director's time must be committed to the program.

The Program Director will include in each annual report the names of all
trainees selected in the prior budget period as instructed.  The placement
sites, names of persons responsible at each site to oversee the specific
training program, and a description of each trainee's research training as
well as the research accomplishments made by the trainee during the previous
year of funding must be included.  In addition, a summary of the advisory
committee's activities and recommendations concerning impact as well as its
importance on the program during the previous award period must be provided.

Lastly, the Program Director must provide a signed letter of assurance
accepting responsibility for the professional and technical conduct of the
training program.  The letter should address the following points:

o  Adherence to the National Research Service Award (NRSA) Guidelines dated
June 20, 1997; and obtaining prior written approval from NIMH for any
deviation from these Guidelines;

o  Conducting the full-time research training program as approved and funded
by the NIMH;

o  Appointing only trainees who meet the eligibility requirements as stated in
the NRSA Guidelines;

o  Appointing no more than the numbers of trainees at the levels for which
funds were provided; and obtaining prior written approval from NIMH for any
revision to the trainee numbers;

o  Submitting the Statement of Appointment (PHS 2271) forms for each trainee
who is expected to receive support under this program; and "payback agreement"
(PHS 6031) for each postdoctoral trainee appointed;

o  Ensuring that postdoctoral trainees are informed of the payback
requirements associated with the NRSA program;

o  Submitting appointment forms and payback agreements in accordance with
instructions from NIMH at the time trainee appointments are made;

o  Returning the NRSA Appointment/Termination Resume verification document

o  Submitting a required Termination Notice for each trainee as soon as NIMH
support is no longer being provided from this grant; and

o  Submitting the required annual Financial Status Report within 90 days of
the termination date of each budget period.

Administrative Structure

The application must describe the administrative structure of the program,
showing the distribution of responsibilities and the relationship of the UMFP
to the overall training and research programs of the sponsoring organization
and other mental health research networks.  Other sources of fiscal or in-kind
support for the program from the sponsoring organization should also be

UMFP Advisory Committee

The application must present a plan for establishing an UMFP Advisory
Committee composed of outstanding mental health researchers, including
significant minority representation, to assist the Program Director in the
recruitment and selection of graduate students and postdoctoral trainees and
to advise each trainee concerning appropriate doctoral or postdoctoral
programs with strong mental health relevant research.  The functions, size,
and composition of the advisory committee should be clearly stated.  The
application should describe the range and types of mental health research to
be represented, the qualifications and selection criteria for members of the
proposed UMFP Advisory Committee, and explain the duties and responsibilities
of this committee.  The application should also contain a list of individuals
proposed for initial committee members, and provide the rationale for their
selection, including a description of their current mental health research,
and its source and amount of funding.  A Biographical Sketch and Other Support
form (see form PHS 398) must be included for each member.

Knowledge of Doctoral and Postdoctoral Programs in Mental Health

The Application should provide detailed information about appropriate
university programs (including within the applicant institution, if
applicable) for graduate students and postdoctoral trainees supported by the
proposed UMFP.  Such information must include details about current faculty
mental health research, mental health research-related curricula, and other
elements of the training programs and resources available to current graduate
students and postdoctoral trainees at these universities.  A copy of the
planned recruitment documents should be included as well as plans to
disseminate the recruitment information.  Further, the Application must
indicate how the proposed UMFP will obtain information about changes in these

A list of potential training institutions with current information on their
NIMH, or other, funded mental health research projects is required.  The
application must also describe resources and processes available for obtaining
up-to-date information and for sharing this information with potential
trainees, including full descriptions of the mechanisms that have been or will
be established to work with prospective trainees to help them in selecting
graduate or postdoctoral programs with strong mental health research.  For
each site, a plan detailing the training (level of training and anticipated
number of trainees) should be included in the application.

Program Faculty

The application must list proposed training faculty members, their primary
department and university affiliation, and their role and percent of effort in
the proposed program.  The applicant also must describe each faculty member's
research that is relevant to the program, indicating how trainees will
participate in this research.  The extent to which participating faculty
members cooperated, interacted, and collaborated in the past must be
described.  The application also must list past and current students for whom
each faculty member has served or is serving as thesis advisor or sponsor,
titles of the student's research project, and for past students, their current
positions and sources of support.  Each trainee must have a faculty advisor
who is actively engaged in mental health research.  A Biographical Sketch and
information about relevant research support (see form PHS 398) should be
included for each current or proposed faculty member.

Responsible Conduct of Research

The application must describe plans to give trainees instruction on scientific
integrity and ethical principles in research, and include a description of
both formal (courses, seminars, etc.) and informal training that will be


Trainee Requirements

Trainees are customarily appointed for full-time 12-month continuous periods. 
All trainees are required to pursue their research training on a full-time
basis, at a minimum of 40 hours per week.  The amount of the stipend, tuition
(defined for the purposes of NRSA as the cumulative amount of tuition, all
fees and self-only health insurance):
for each full appointment period must be obligated from funds available at the
time the individual begins training.

By law, an individual trainee may receive no more than five years of NRSA
support in the aggregate at the predoctoral level and no more than three years
of NRSA support in the aggregate at the postdoctoral level.  Exceptions to
this limitation require a waiver from the Director, NIMH, based on a review of
the justification provided by the awardee.

Payback Requirements

Pursuant to the NIH Revitalization Act of 1993, individuals who receive
support as NRSA predoctoral trainees under awards activated on or after June
10, 1993, do not incur a service payback obligation.  Postdoctoral trainees
receiving NRSA support incur a service payback obligation only during their
first 12 months of postdoctoral support.  The second and subsequent years of
postdoctoral NRSA training will serve to pay back a postdoctoral service
payback obligation.  Therefore, the payback agreement must be signed and
submitted with the appointment form for only the initial year of support.

Conditions of Award

Grants must be administered in accordance with the NIH Grants Policy Statement
(October 1, 1998).  The applicant organization must submit to NIMH a Statement
of Appointment form (PHS 2271) along with the signed Payback Agreement
(Postdoctoral level only), at the time a trainee is appointed.  No funds may
be provided until such  documents are submitted and accepted by the NIMH.  At
the end of the total support period for each individual trainee, the applicant
must submit a Termination Notice (PHS 416-7) to NIH.  Failure to submit the
required forms in a timely fashion may result in an expenditure disallowance
or a delay in any future funding of the grant.

Awardees may use some of their time in course studies and clinical duties if
such work is closely related to and necessary for the research training
experience.  No appointment for less than 12 months may be made without prior
approval of the NIMH.

An UMFP award may not be held concurrently with another federally sponsored
fellowship or similar Federal award that provides a stipend or otherwise
duplicates provisions of the UMFP award.  An awardee may, however, accept
concurrent educational remuneration from the Veterans Administration and loans
from Federal funds.

Trainees supported by academic institutions are not entitled to vacations as
such.  They are, however, entitled to the normal short student holidays
observed by their training institution.  The time between the spring and fall
semester is to be used as an active part of the training period.  Awardees
supported by nonacademic organizations are entitled to the holiday and
vacation schedule applicable to all trainees at the organization.

Annual Stipends

The annual stipend for predoctoral trainees will remain fixed for the period
of support, unless the stipend level is changed in the NIH annual
appropriation.  The annual stipend for postdoctoral trainees is dependent on
the number of full years of relevant experience at the time of the initial
appointment.  Applicants should consult with Institute Program Staff for the
latest stipend level.  Alternatively, applicants may obtain information about
current stipend levels and other policy documents from the URL for "NIH
Research Training Opportunities: National Research Service Award (NRSA)
Training Grants and Fellowships": https://grants.nih.gov/training/nrsa.htm

The stipend is provided as a subsistence allowance for trainees to help defray
living expenses during the research training experience.  The stipend is not a
payment for services performed.  Trainees are not considered to be employees
of the PHS or their sponsoring organization.  Therefore, it is inappropriate
and unallowable for institutions to seek funds for or to charge any costs
normally considered fringe benefit costs to the grant.

Supplementation of the UMFP stipend from non-Federal funds is permitted. 
Other Federal funds may be used for supplementation only if explicitly
authorized by the program from which such funds are derived.  No PHS grant
funds may be used for stipend supplementation.  This is not intended to
discourage in any way the use of Federal loan funds.  Student Compensation, as
described in the NRSA Guidelines, may be paid to trainees when there is an
employer-employee relationship, and meets the stated  criteria.  This
additional support may be provided to the trainee without obligation by the
sponsoring institution, or may be conditioned on his or her performance of
certain services such as teaching or serving as a laboratory assistant on a
limited part-time basis apart from the normal approved training program. 
Under no circumstances, however, may the service requirements detract from or
prolong the training, nor be for the same research as descried in the
individual's training program.

Taxability of Stipends

Internal Revenue Code Section 117 applies to the tax treatment of all
scholarships and fellowships.  The Tax Reform Act of 1986, Public Law 99-514,
impacts on the tax liability of all individuals supported under the NRSA
program.  Under that section, degree candidates (i.e., predocs) may exclude
from gross income (for tax purposes) any amount used for tuition and related
expenses such as fees, books, supplies, and equipment required for courses of
instruction at a qualified educational organization.  Non-degree candidates
(i.e., postdocs) are now required to report as gross income all stipends and
any monies paid on their behalf for course tuition and fees required for

The taxability of stipends, however, in no way alters the relationship between
NRSA trainees, and institutions.  NRSA stipends are not  considered salaries. 
In addition, trainees supported under the NRSA are not considered to be in an
employer-employee relationship with NIH or the institution in which they are
pursuing research training.  Therefore, it is inappropriate and unallowable
for institutions to seek funds for or to charge institutional training grant
awards for costs that would normally be associated with employee benefits
(e.g., FICA, workman's compensation, and unemployment insurance).

It must be emphasized that the interpretation and implementation of the tax
laws are the domain of the Internal Revenue Service (IRS) and the courts.  PHS
takes no position on what the status may be for a particular taxpayer, and it
does not have the authority to dispense advice to trainees or institutions
about their tax liability.  Individuals should consult their local IRS office
about the applicability of the law to their situation and for information on
their tax obligations.

Other Allowable Costs

In addition to stipends, the applicant organization may request funds for
tuition, which includes all fees and self-only health insurance.  Such costs
will be provided according to existing NIH policies which can be obtained from
the following Website:  "NIH Research Training Opportunities: National
Research Service Award (NRSA) Training Grants and Fellowships." URL:

Applicants may also request funds for certain types of training related travel
for trainees, (e.g., to attend professional meetings and other meetings
directly related to their training).  Facilities and administrative (F & A)
costs (formerly known as indirect costs) are limited to eight percent of
allowable direct costs (excludes all tuition and any equipment).  Applications
from State and local government agencies may request full F & A cost

The applicant organization may also request funds for other Training Related
Expenses (TRE) such as personnel directing the program, consultants, project
specific supplies, travel, reproduction and printing costs, rental equipment,
minor equipment items, and other items which are directly related to the
recruitment, selection, placement, and monitoring of training of the students. 
Funds for such "other training related expenses" are intended to provide the
applicant with only partial support for the costs of the proposed research
training and for meeting the costs of trainee research.  Ordinarily, under
NRSA Awards, up to $1,500 per predoctoral student, and up to $2,500 per
postdoctoral trainee is provided on an annual basis for the other training
related expenses which are deemed essential to carry out the training program
for the NRSA awardees appointed under the grant.  However, the applicant may
request funds exceeding this amount if they are essential for fulfilling the
purposes of the grant and the need for additional funds is clearly documented
and justified by the applicant.  Such requests must provide compelling
justification for the additional funds and will be considered by the peer
review committee and the National Advisory Mental Health Council.  While the
applicant may not request funds for any faculty mentoring services, funds may
be requested in the TRE category for partial administrative assistance
essential for the management of the UMFP.  In any case, the TRE may not exceed
30 percent of the total direct costs in any year for any one of these UMFP

All budget items within the TRE category must be explained in detail and be
fully justified at the level requested (e.g., Advisory Committee costs, the
Training Program Director's prorated salary, long-distance telephone and
printing costs).  The type and amount of fiscal or in-kind costs to be
contributed by the grantee organization is expected and should also be
detailed.  Grantees are expected to be familiar with and comply with
applicable cost policies, and the NRSA Guidelines.

Funds may be used only for those expenses which are directly related and
necessary to the research training not otherwise available and must be
expended in conformance with DHHS Cost Principles, NIH Grants Policy
Statement, the NRSA regulations and guidelines, and conditions set forth in
this document.

Other important information items regarding terms and conditions are located
in the NRSA Guidelines (June 20, 1997) and in the NIH Grants Policy Statement
(October 1, 1998).

Progress Reports (Competing Continuation Applications Only)

Competing continuation UMFP applications must submit a progress report
covering the development of the program to date and must submit complete
information on the placement and career development performance of all
trainees who were supported by the previous competing  award project period. 
A table should be provided listing each trainee, the time supported, the
trainee's minority status, the department and university attended, the
trainee's current educational status, date doctoral degree was awarded
(predoctoral), dissertation title (predoctoral), areas of mental health
research, current employment, postdoctoral training, applications for K01, K08
or K23 (mentored career development awards), research applications and funded
research (title, source and amount of funding), and publications.  The name,
department, and funded mental health research (title, source, and amount of
funding) of each trainee's major advisor should also be provided.

A brief description of the substantive mental health contributions of the
trainees who have completed their doctorates over the past 10 years should be
provided.  Copies of their "dissertation abstracts" should be included.

For the UMFP as a whole, an overall summary should be provided of: (a)
underrepresented minorities recruited, (b) placement in departments with
strong mental health research, (c) rates of retention and attrition, (d) rates
of completion of the doctorate/research training, (e) publications, and (f)
the total number of trainees engaged in mental health teaching and research,
including the number who applied for and/or were awarded K01/K08/K23, or
mental health research grants.  A "success rate" should be calculated by
dividing the total number of trainees appointed (minus those still in
training) into the total number actively engaged in mental health teaching and
research.  The progress report should also detail the actual expenditures of
the most recent complete grant year for Program Director, other essential 
personnel, travel, advisory committee, telephone, postage, stipends, tuition,
trainee travel, etc.  In addition, advisory committee report concerning the
activities and recommendations made over the past funding period as well as an
overall progress report endorse by the full committee must be included.

There must also be an explanation of any unfilled trainee slots, as well as
the reason for any trainees not completing the program as designed.

Human Subjects and Vertebrate Animals Requirements

While the UMFP Program Director may or may not provide research training, the
applicant organization must retain overall responsibility for compliance with
all the applicable regulations and must assure that all organizations which do
provide the training have complied with the following Human Subjects and
Vertebrate Animal regulations:

Human Subjects:  The DHHS regulations for the protection of human subjects
provide a systematic means, based on established internationally recognized
ethical principles, to safeguard the rights and welfare of individuals who
participate as subjects in research activities supported or conducted by the
DHHS.  The regulations require that the grantee organization and/or the
organizations where the UMFP trainees will receive their training establish
and maintain appropriate policies and procedures for the protection of human
subjects.  These regulations, 45 CFR 46, Protection of Human Subjects, are
available from the Office for Protection from Research Risks, National
Institutes of Health, Bethesda, Maryland 20892.

An organization proposing to provide research training to a student funded by
this UMFP must file with the Office for Protection from Research Risks (OPRR),
and OPRR must approve, an Assurance of  Compliance if the research training
program includes nonexempt research involving human subjects.  As part of this
Assurance, which commits the organization to comply with the DHHS regulations,
the organization must appoint an Institution Review Board (IRB) which is
required to review and approve all nonexempt research activities involving
human subjects.  Updated annual reviews are required to be documented and
submitted on or with  the non-competing continuation applications.

Vertebrate Animals:  The "PHS Policy on Humane Care and Use of Laboratory
Animals by Awardee Institutions" requires that grantee organizations and/or
the organizations where the UMFP trainees will receive their training
establish and maintain appropriate policies and procedures to ensure the
humane care and use of live vertebrate animals involved in research, research
training, and biological testing activities which are supported by the PHS. 
All institutions are required to comply, as applicable, with the Animal
Welfare Act as amended (7 USC 2131 et sec.), and other Federal statutes and
regulations relating to the care and use of laboratory animals.  These
documents are available from the Office for Protection from Research Risks,
National Institutes of Health, Bethesda, Maryland 20892.

An organization proposing to provide research training involving vertebrate
animals to the student funded by the UMFP must file with the Office for
Protection from Research Risks (OPRR), and OPRR must approve, an Animal
Welfare Assurance.  As part of this Assurance, which commits the organization
to comply with the PHS policy, the organization must appoint an Institutional
Animal Care and Use Committee (IACUC) which, among other responsibilities, is
required to review and approve all research activities involving vertebrate


Prospective applicants are encouraged to submit, by October 1, 1999, a letter
of intent that includes a descriptive title of the proposed training program,
the name, address, and telephone number of the Program Director, the
identities of other key faculty mentors and participating institutions, and
the number and title of the RFA in response to which the application may be
submitted.  Although a letter of intent is not required, is not binding, and
does not enter into the review of a subsequent application, the information
that it contains will allow NIMH staff to estimate the potential review
workload, avoid conflict of interest in the review.  The letter of intent is
to be sent to the appropriate NIMH staff listed under INQUIRIES.


The research grant application form PHS 398 (rev. 4/98) is to be used in
applying for these grants.  These forms are available at most institutional
offices of sponsored research 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; FAX: (301) 480-
0525; Email: GrantsInfo@nih.gov

Applicants must use and follow the instructions for the Institutional NRSA
section of the form PHS 398.  Applications must be complete, providing all
information called for by the instructions.

The RFA label available in the PHS 398 (rev. 4/98) application form must be
affixed to the bottom of the face page of the original copy of the
application.  Failure to use this label could result in delayed processing of
the application such that it may not reach the review committee in time for
review.  In addition, the RFA title and number must be typed in section 2 of
the face page of the application form and the YES box must be marked.

The RFA label and line 2 of the application should both indicate the RFA

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

Submit a signed, typewritten original of the application, including the
CHECKLIST, and three signed photocopies, in one package to:

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:

Henry J. Haigler, Ph.D.
Division of Extramural Activities
National Institute of Mental Health
6001 Executive Boulevard, Room 6154, MSC 9609
Bethesda, MD  20892-9663
Bethesda, MD  20817 (for courier/express service)

Applications must be received by December 10, 1999.  If an application is
received after that date, it may be returned to the applicant without review. 
The Center for Scientific Research (CSR), will not accept any application in
response to this RFA that is essentially the same as one already reviewed or
pending review, unless the applicant withdraws the pending application.  This
does not preclude the submission of substantial revisions of applications
previously reviewed, but such applications must include the introduction
required in PHS 398.

Note: Applications requesting more than the maximum $500,000 direct costs per
year will not be accepted and will be returned to the applicant without


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

Applications that are complete and responsive to the RFA will be evaluated for
scientific, technical, and educational merit by an appropriate peer review
group, convened by the NIMH, in accordance with the review criteria stated
below.  As part of the initial merit review, all applications will receive a
written critique and undergo a process in which only those applications deemed
to have the highest scientific merit, generally the top half of the
applications under review, will be discussed and assigned a priority score. 
Application will also receive a second level review by the National Advisory
Mental Health Council.

Applicants will receive a copy of the summary statement of the review of their
application and will be notified of final action on the application by an
award notice and/or by a letter.

Review Criteria

Major considerations in the review are the breadth, depth, and quality of the
plan for implementing the UMFP; qualifications, capability, and experience of
the program director and the organization to implement the plan;
qualifications of the UMFP Advisory Committee; plans for recruiting,
selecting, and placing trainees in appropriate graduate departments and
programs; and adequacy of the facilities and resources.  Detailed review
criteria are listed below:

Program Plan:

o  Adequacy, strength, and creativity of the plan to recruit underrepresented
minority trainees nationally, including written and personal contact with
potential applicants.

o  Establishment of an appropriate UMFP Advisory Committee to select and
advise trainees concerning predoctoral (or postdoctoral, if applicable) study
emphasizing emphasis on mental health research, including selection criteria
for the committee members.

o  Establishment of a plan to develop and refine appropriate criteria for
selection of students, including the development and testing of innovative
ways to recruit but may not select on basis of race or ethnicity successful
underrepresented minority trainees.

o  Demonstrated knowledge of predoctoral (and postdoctoral, if applicable)
programs that emphasize mental health research which can be used to provide
meaningful advice to trainees concerning the choice of graduate or
postdoctoral programs with strong mental health research, and a plan for the
dissemination of this information to applicants for UMFP award.

o  Development of a plan to appropriately place students in predoctoral (and
postdoctoral, if applicable) programs with strong mental health research

o  Assurance that all required trainee-related and financial status reporting
forms, including payback agreements for postdoctoral trainees, will be
submitted as required by the NRSA Guidelines.

o  Methods for facilitating and monitoring trainee progress, including early
identification and remedy of problems.

o  Effectiveness of plans to provide continuing contact, support, and
supervision to individual trainees by the UMFP Program Director, including
both the methods for doing so and the frequency of contact, as well as the
adequacy of the amount of time to be devoted to individual trainee support and
supervision by the UMFP Program Director.

o  Adequacy of plans to facilitate research in mental health related fields,
including  assistance in the development of strong research proposals for NIMH
support, and to assure the completion of the proposed research.

o  Provision of enrichment experiences, professional socialization, and
networks beyond those in the local setting.

o  Methods of monitoring and reporting on the quality of the training provided
by predoctoral (and postdoctoral, if applicable) programs, including research
involvement, mental health emphases, and ethical conduct in scientific

o  Plans for training in ethical conduct of science, including courses and

o  Adequacy of plans for evaluating the UMFP, including methods for assessing
the success of the program in increasing the number of minority students
seeking research careers in mental health fields.


Program Leadership and Personnel

o  Qualifications and experience of the Program Director in mental health
research mentoring and administration, including a description of current
research involvement.

o  Appropriateness, experience, and areas of substantive mental health
research of the UMFP Advisory Committee.

o  appropriate qualifications and experience of other staff for implementing
the program.

o  Appropriateness of the UMFP Program Director's time devoted to specific
tasks and to the total program; a range of 15-25 percent effort of the UMFP
Program Director's time must be committed to implementing the program.

Program Faculty

o  Adequacy and strength of the faculty's mental health research  (as
indicated by the source and amount of funding) that can provide a strong
context for research training.

o  Quality and appropriateness of the plans for trainee participation in
ongoing faculty mental health research.

o  Quality of training faculty (as evidenced, for example, by publication
record, scientific accomplishments, experience in doing funded mental health
research and providing research training, and success in placing former
trainees in research positions).

o  Quality of mentoring as indicated by the faculty training record in mental
health research.


o  Appropriateness and justification for all items in the proposed budget;
compelling justification for training related expenses in excess of $1,500 per
predoctoral trainee and $2,500 per postdoctoral trainee, per year, being
mindful that the maximum amount of Training Related Expenses may not exceed 30
percent of the total direct costs requested.

o  Contributions of the applicant institution or other institutions and
organizations to the program in kind or in funds.

Facilities and Resources

o  Availability of needed facilities and resources.  In addition, the
applicant institution must have the capability to administer, manage, and
account for grant fund expenditures.

o  Extent of institutional or organizational support, including assurances
that the participating training sites will comply with the required
regulations (e.g., all required forms will be submitted as required, and
postdoctoral trainees will be made aware of payback requirements).

Specific Criteria for Competing Continuation Applications

o  Effectiveness of the existing program as indicated by the progress report
on the development of the program and the past record of: (a) underrepresented
minority recruitment, (b) placement in departments with strong mental health
research, (c) rates of retention in graduate work, (d) rates of completion of
doctorates, (e) rates of success in pursuing postdoctoral training, (f)
subsequent careers in mental health teaching and research of the trainees, and
(g) research and research career development awards (K01, K08, and K23)
applied for or received by trainees.


An application will be selected for funding primarily on the basis of
responsiveness to the RFA, scientific merit review results, ability to meet
program priorities and balance, and the availability of funds.  For competing
renewal applications, the success of past support, including the placement of
trainees upon completion of training, will be also considered.


Inquiries are encouraged.  The opportunity to clarify any issues or questions
from potential applicants is welcome.  For overall NIMH policy with regard to
this initiative, contact:

Henry Khachaturian, Ph.D.
Office of Science Policy and Program Planning
National Institute of Mental Health
6001 Executive Boulevard, Room 8208, MSC 9667
Bethesda, MD  20892
Telephone:  (301) 443-4335
FAX:  (301) 443-3225
Email:  hkhachat@mail.nih.gov

For specific Division-level program interests, contact the following training
staff, to whom letters of intent should be addressed:

Della Hann, Ph.D.
Division of Mental Disorders, Behavioral Research and AIDS
National Institute of Mental Health
6001 Executive Boulevard, Room 6217, MSC 9621
Bethesda, MD  20892
Telephone:  (301) 443-9700
FAX:  (301) 480-6000
Email:  dhann@mail.nih.gov

Walter Goldschmidts, Ph.D.
Division of Neuroscience and Basic Behavioral Science
National Institute of Mental Health
6001 Executive Boulevard, Room 7196, MSC 9645
Bethesda, MD  20892
Telephone: (301) 443-3563
FAX: (301) 443-1731
Email:  wgoldsch@mail.nih.gov

Enid Light, Ph.D.
Division of Services and Intervention Research
National Institute of Mental Health
6001 Executive Boulevard, Room 7160, MSC 9635
Bethesda, MD  20892
Telephone: (301) 443-1185
FAX:  (301) 443-4045
Email:  elight@mail.nih.gov

Direct inquiries regarding fiscal matters to:

Diana S. Trunnell
Grants Management Branch
National Institute of Mental Health
6001 Executive Boulevard, Room 6115, MSC 9605
Bethesda, MD  20892
Telephone:  (301) 443-2805
FAX:  (301) 443-6885
Email:  dtrunnel@mail.nih.gov


This program is described in the Catalog of Federal Domestic Assistance No.
93.282.  Awards are made under authorization 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 grants policies and Federal
Regulations 42 CFR 66 and 45 CFR Part 74.  This program is not subject to the
intergovernmental review requirements of Executive Order 12372 or Health
Systems Agency review.  Awards will be administered under PHS grants policy as
stated in the NIH Grants Policy Statement (October 1, 1998).

PHS strongly encourages all grant and contract recipients to provide a smoke-
free workplace and promote the nonuse 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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