UNDERREPRESENTED MINORITY FELLOWSHIP PROGRAMS IN MENTAL HEALTH 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 PURPOSE 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: http://www.nimh.nih.gov/grants/grantgen2.htm 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. HEALTHY PEOPLE 2000 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 http://odphp.osophs.dhhs.gov/pubs/hp2000/ ELIGIBILITY REQUIREMENTS 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 (https://grants.nih.gov/grants/guide/notice-files/not97-009.html). Information about this and other policy and program aspects of NIMH Research Training and Career Development Programs can be found at http://www.nimh.nih.gov/grants/rtcd.htm 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; https://grants.nih.gov/grants/guide/notice-files/not97-009.html MECHANISM OF SUPPORT 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: https://grants.nih.gov/grants/guide/notice-files/not97-007.html 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. FUNDS AVAILABLE 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. RESEARCH TRAINING OBJECTIVES 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 fellowships. 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 activities: 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 annually; 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 described. 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 programs. 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 provided. SPECIAL REQUIREMENTS 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): https://grants.nih.gov/grants/guide/notice-files/not96-020.html) 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 attendance. 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: https://grants.nih.gov/training/nrsa.htm 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 reimbursement. 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 programs. 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 animals. LETTER OF INTENT 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. APPLICATION PROCEDURES 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 number. 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: 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: 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 review. REVIEW CONSIDERATIONS 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 consideration. 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 programs. 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 investigation. o Plans for training in ethical conduct of science, including courses and workshops. 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. Evaluation 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. Budget 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. AWARD CRITERIA 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 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 AUTHORITY AND REGULATIONS 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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Department of Health and Human Services (HHS) |
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