NHLBI MINORITY INSTITUTION RESEARCH SCIENTIST DEVELOPMENT AWARD (K01) Release Date: June 13, 2001 RFA: RFA-HL-01-019 National Heart, Lung, and Blood Institute (http://www.nhlbi.nih.gov) Letter of Intent Receipt Date: July 18, 2001 Application Receipt Date: August 15, 2001 PURPOSE This program provides research support to faculty members at minority institutions who have the potential to conduct high quality research in the areas of cardiovascular, pulmonary, hematologic, or sleep disorders. Important program goals are to enhance the institution's science infrastructure and to provide "hands on" research opportunities for underrepresented minority students at the applicant institutions. The NHLBI Minority Institution Research Scientist Development Award is renewable. HEALTHY PEOPLE 2010 The Public Health Service (PHS) is committed to achieving the health promotion and disease prevention objectives of Healthy People 2010, a PHS-led national activity for setting priority areas. This Request for Applications (RFA), NHLBI Minority Institution Research Scientist Development Award (K01), is related to one or more of the priority areas. Potential applicants may obtain a copy of AHealthy People 2010" at http://www.health.gov/healthypeople/. ELIGIBILITY REQUIREMENTS A. Minority School The Institution must be a domestic college or university with student enrollment drawn substantially from minority ethnic groups (including Blacks, Hispanics, American Indians, Alaska Natives, and Pacific Islanders). It must have the ongoing staff and facilities required for the proposed program. The candidate for the award (proposed program director at the minority school) will be responsible for the selection and appointment of students and the overall direction of the program. B. Research Scientist Development Award Candidate Candidates for this award are minority school faculty members who: 1) are citizens of the United States, non-citizen nationals or permanent residents at the time of application; 2) have a doctoral degree, such as the Ph.D., M.D., D.O., D.V.M., or an equivalent, in a biomedical or behavioral science; 3) wish to receive specialized training in cardiovascular, pulmonary, hematologic, or sleep disorders research; 4) have the background and potential to benefit from the training; and 5) are committed to providing research opportunities for underrepresented minority students at their institution. The candidate is responsible for tracking and reporting on the progress of the students for up to five years after they complete their undergraduate education. C. Mentor at Same or Collaborating Research Center Each candidate must also identify and complete arrangements with a mentor (at the same institution or at a collaborating research center) who is recognized as an accomplished investigator in the proposed research area and who will provide guidance for the candidate's development and research plan. Arrangements with mentors at institutions at some distance from the applicant institution will be considered, but approaches for ensuring close and active involvement of a distant mentor must be clearly outlined in the application. Plans for intensive training of the candidate and his/her student(s) during the summer period (2-3 months) and during the academic year should be developed with the mentor. The establishment of a viable mentoring plan is essential to the success of the candidate and the student. The commitment of the mentor and the mentor's department chair to both the summer and academic year training periods must be documented in the application. A mentoring plan that describes the candidate's interaction with the mentor and his/her staff, how it will enhance the candidate's research capabilities and teaching skills, and steps to assist the candidate and student(s) advance their career goals must be delineated in the application. The mentor must provide an annual evaluation of the candidate's career development. This evaluation is to be included as part of the annual progress report if an award is made. D. Student Research Assistants Student research assistants are underrepresented minority students enrolled at the applicant institution who: 1) are citizens of the United States, noncitizen nationals, or permanent residents (i.e. in possession of a currently valid alien registration receipt card) at the time of application; 2) have declared a major or concentration in a biomedical, mathematical, computer, or behavioral science; 3) have an overall B grade average; 4) have the potential and desire to pursue an advanced degree in the biomedical, mathematical, computer, or behavioral sciences; and 5) wish to receive research training in areas relevant to cardiovascular, pulmonary, hematologic, or sleep disorders research. At least one and a maximum of two students may participate on the project simultaneously as research assistants. Students are expected to participate in the program for a minimum of two years. The candidate should identify and list in the application the student(s) proposed for the first two-year period; provide a brief summary of their interest in biomedical, mathematical, computer or behavioral science; and describe any previous research or laboratory experience of the students. The candidate should describe how (s)he and the mentor will foster student interest in graduate school in behavioral or biomedical research and a career in scientific research in areas related to heart, lung, blood, or sleep disorders. For the purpose of this announcement, underrepresented minority students are defined as individuals belonging to a particular ethnic or racial group that has been determined by the applicant institution to be underrepresented in biomedical or behavioral research. Nationally, NHLBI considers Black, Hispanic, American Indian, Alaska Native, and Pacific Islander students to be underrepresented. MECHANISM OF SUPPORT This RFA will use the NHLBI Minority Institution Research Scientist Development Award (K01) mechanism of support. Responsibility for the planning, direction, and execution of the proposed training project will be solely that of the applicant. The total project period for an application submitted in response to this RFA must be at least three but not more than five years and the applicant may reapply for an additional five years of support. The anticipated award date is April 1, 2002. This solicitation has been announced every year for the past several years, and the receipt date has typically been in August or September. If the solicitation is announced again next year, the receipt date is expected to be in June. For this RFA, no detailed budget is required. However, total direct costs for all years must be provided in addition to the name, role on project, percent effort, and narrative justification for all project personnel, including the student(s). Other Support information for the candidate is not required as part of the initial application. Other Support information is required, however, for the mentor. If there is a possibility for an award, the necessary budget and Other Support information will be requested by NHLBI staff following the initial review. The Application Procedures section of this RFA provides specific details of modifications to standard PHS 398 application kit instructions. FUNDS AVAILABLE The estimated funds (total costs) available for the first year of support for the entire program is expected to be approximately $400,000 in Fiscal Year 2002 (October 1, 2001-September 30, 2002). The actual amount may vary, depending on the response to the RFA and availability of funds. Three new awards are anticipated. OBJECTIVES Background The NHLBI Minority Institution Research Scientist Development Award is designed to increase the research and academic capabilities of faculty members at minority schools. By developing these capabilities, the candidate will be better able to prepare and direct his/her students to pursue advanced degrees and, ultimately careers in biomedical and behavioral research, thereby increasing the pool of well-trained biomedical and behavioral investigators in cardiovascular, pulmonary, hematologic, and sleep disorders research. Because it is important to sustain the candidate's research program following the initial period, recipients may reapply for an additional five years of support. More than one candidate from each institution may apply. Former awardees within three years of the end of their award may also apply for an additional five years of support. At the end of the period of K01 support, it is anticipated that the awardee will be prepared to apply for other types of NIH support such as the Research Project Grant (R01), Academic Research Enhancement Award (AREA, R15), or Minority Biomedical Research Support Program (MBRS, S06.) PROVISIONS OF THE AWARD Salary The awardee (program director at the minority institution) will receive salary support up to a maximum of $75,000 per year plus fringe benefits for five years. These funds must be used to support the awardee. The level of support will be based upon the awardee's actual salary and must be consistent with the established salary structure of the minority institution for persons of equivalent qualifications, experience, and rank. The actual salary level will be determined by the amount of effort devoted to this program. Awardees must commit 100% effort during summer and/or off-quarter periods and at least 25% of effort during the academic year. Supplementation of the awardee's salary from non-Federal sources is permissible. Supplementation of the awardee's salary from other Federal funds is not allowed unless explicitly authorized by both the program from which funds are derived and the NHLBI. In no case may other NIH funds be used to supplement the salary of the awardee. In addition to salary support for the awardee, support for up to 5% of the mentor's salary plus fringe benefits during the summer experience may also be requested. If funds are to be transferred to the mentor's institution for the mentor's salary, arrangements for the transfer of funds and the conduct of activities should be formalized in a subcontract agreement with the mentor's institution. A letter of intent from each institution must be submitted with the application. The mentor's salary should not be included in the research and development costs. A maximum of $8.50 per hour plus fringe benefits may be requested for the student research assistant(s). Level of support and hours worked during the academic year should reflect the institution's policy for student work-study programs. Students must commit 100% effort during the summer and off-quarter periods and at least 25% effort during the academic year. Research and Development Costs Up to $36,000 per year beyond that requested for the awardee's, mentor's, and student(s)' salaries will be provided for research support. Details regarding the apportionment of these funds between the minority institution and the mentor's institution must be worked out with the mentor, agreed to by representatives of both institutions, and included as part of the subcontract agreement submitted as part of the application. See the PHS 398 for information on Consortium/Contractual Agreements. These research support funds may be used for: o Personnel: support for technical personnel. o Equipment: limited to specialized research equipment essential to the proposed program. In accordance with PHS policy, title to such equipment will vest with the grantee institution. o Supplies: consumable supplies essential to the proposed program. o Travel: essential to the proposed program. o Other: publication costs, computer costs, or other costs necessary for the research program. Student Housing and Travel The applicant institution is encouraged to provide no-cost housing and meals to the students during the summer or off-quarter periods if the training will be provided at a local institution, as a commitment to the student=s development and as an incentive to participate in the program. If training is not at a local institution, up to $500 per month per student during the summer only may be requested for subsistance. Funds to allow the student(s) to travel to a scientific meeting should also be requested. Facilities and Administrative (F & A) Costs F & A costs will be provided at a rate of 8% of the total direct costs of each award, exclusive of equipment. The F & A cost rate on a subcontract with the mentor's institution may not exceed 8%. Training in the Responsible Conduct of Research: Candidates must describe plans to receive instruction in the responsible conduct of research. These plans must detail the proposed subject matter, format, frequency and duration of instruction. No award will be made if an application lacks this component. In addition, before funds are awarded for competing applications involving human subjects, applicants must provide a description of education completed in the protection of human subjects for each individual identified as "key personnel" in the proposed research. Key personnel include all individuals responsible for the design and conduct of the study. Further information on this requirement is available in the June 5, 2000 NIH Guide for Grants and Contracts, available at: https://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html INCLUSION OF WOMEN AND MINORITIES IN RESEARCH INVOLVING HUMAN SUBJECTS It is the policy of the NIH that women and members of minority groups and their sub-populations must be included in all NIH-supported biomedical and behavioral research projects involving human subjects, unless a clear and compelling rationale and justification are provided indicating that inclusion is inappropriate with respect to the health of the subjects or the purpose of the research. This policy results from the NIH Revitalization Act of 1993 (Section 492B of Public Law 103-43). All investigators proposing research involving human subjects should read the UPDATED "NIH Guidelines for Inclusion of Women and Minorities as Subjects in Clinical Research," published in the NIH Guide for Grants and Contracts on August 2, 2000 (https://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-048.html); a complete copy of the updated Guidelines are available at https://grants.nih.gov/grants/funding/women_min/guidelines_update.htm: The revisions relate to NIH defined Phase III clinical trials and require: a) all applications or proposals and/or protocols to provide a description of plans to conduct analyses, as appropriate, to address differences by sex/gender and/or racial/ethnic groups, including subgroups if applicable; and b) all investigators to report accrual, and to conduct and report analyses, as appropriate, by sex/gender and/or racial/ethnic group differences. INCLUSION OF CHILDREN AS PARTICIPANTS IN RESEARCH INVOLVING HUMAN SUBJECTS It is the policy of NIH that children (i.e., individuals under the age of 21) must be included in all human subjects research, conducted or supported by the NIH, unless there are scientific and ethical reasons not to include them. This policy applies to all initial (Type 1) applications submitted for receipt dates after October 1, 1998. All investigators proposing research involving human subjects should read the "NIH Policy and Guidelines" on the Inclusion of Children as Participants in Research Involving Human Subjects that was published in the NIH Guide for Grants and Contracts, March 6, 1998, and is available at the following URL address: https://grants.nih.gov/grants/guide/notice-files/not98-024.html Investigators also may obtain copies of these policies from the program staff listed under INQUIRIES. Program staff may also provide additional relevant information concerning the policy. URLS IN NIH GRANT APPLICATIONS OR APPENDICES All applications and proposals for NIH funding must be self-contained within specified page limitations. Unless otherwise specified in an NIH solicitation, internet addresses (URLs) should not be used to provide information necessary to the review because reviewers are under no obligation to view the Internet sites. Reviewers are cautioned that their anonymity may be compromised when they directly access an Internet site. PUBLIC ACCESS TO RESEARCH DATA THROUGH THE FREEDOM OF INFORMATION ACT The Office of Management and Budget (OMB) Circular A-110 has been revised to provide public access to research data through the Freedom of Information Act (FOIA) under some circumstances. Data that are (1) first produced in a project that is supported in whole or in part with Federal funds and (2) cited publicly and officially by a Federal agency in support of an action that has the force and effect of law (i.e., a regulation) may be accessed through FOIA. It is important for applicants to understand the basic scope of this amendment. NIH has provided guidance at: https://grants.nih.gov/grants/policy/a110/a110_guidance_dec1999.htm Applicants may wish to place data collected under this RFA in a public archive, which can provide protections for the data and manage the distribution for an indefinite period of time. If so, the application should include a description of the archiving plan in the study design and include information about this in the budget justification section of the application. In addition, applicants should think about how to structure informed consent statements and other human subjects procedures given the potential for wider use of data collected under this award. LETTER OF INTENT Prospective applicants are asked to submit a letter of intent that includes a descriptive title of the proposed research, the name, address, and telephone number of the Principal Investigator, the identities of other key personnel and participating institutions, and the number and title of the RFA in response to which the application may be submitted. Although a letter of intent is not required, is not binding, and does not enter into the review of a subsequent application, the information that it contains allows NHLBI staff to estimate the potential review workload and plan for the review. The letter of intent is to be sent to Dr. Deborah Beebe at the address listed under INQUIRIES by July 18, 2001. 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 and from the Division of Extramural Outreach and Information Resources, National Institutes of Health, 6701 Rockledge Drive, MSC 7910, Bethesda, MD 20892-7910, telephone 301/435-0174, email: GrantsInfo@nih.gov 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 application. Type the RFA number on the label. Failure to use this label could result in delayed processing of the application such that it may not reach the review committee in time for review. In addition, the RFA title (NHLBI MINORITY INSTITUTION RESEARCH SCIENTIST DEVELOPMENT AWARD) and number (HL-01-019) must be typed on line 2 of the face page of the application form, and the YES box must be marked. The sample RFA label available at https://grants.nih.gov/grants/funding/phs398/label-bk.pdf has been modified to allow for this change. Please note this is in pdf format. Submit a signed, typewritten original of the application, including the Checklist, and three signed, photocopies, in one package to: CENTER FOR SCIENTIFIC REVIEW NATIONAL INSTITUTES OF HEALTH 6701 ROCKLEDGE DRIVE, ROOM 1040, MSC 7710 BETHESDA, MD 20892-7710 BETHESDA, MD 20817 (for express/courier service) At the time of submission, two additional copies of the application and all six copies of the appendix material must be sent to Dr. Deborah Beebe at the address listed under INQUIRIES. Applications must be received by August 15, 2001. If an application is received after that date, it will be returned to the applicant without review. The Center for Scientific Review (CSR) will not accept any application in response to this RFA that is essentially the same as one currently pending initial review, unless the applicant withdraws the pending application. The CSR will not accept any application that is essentially the same as one already reviewed. This does not preclude the submission of substantial revisions of applications already reviewed, but such applications must include an introduction addressing the previous critique. REVIEW CONSIDERATIONS Upon receipt, applications will be reviewed for completeness by the CSR and responsiveness by the NHLBI. Incomplete and/or non-responsive applications will be returned to the applicant without further consideration. Applications that are complete and responsive to the RFA will be evaluated for scientific and technical merit by a Special Emphasis Panel in the Division of Extramural Affairs, NHLBI, in accordance with the review criteria stated below. As part of the initial merit review, all applications will 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, assigned a priority score, and receive a second level review by the National Heart, Lung, and Blood Advisory Council. Review Criteria The following criteria will be considered in the evaluation of the proposed NHLBI Minority Institution Research Scientist Development Award program: o Candidate -- The candidate's overall qualification as demonstrated by academic record and research performance, potential for a career as an independent researcher, potential to mentor undergraduate and graduate students, commitment toward pursuit of an academic research career and toward the enhancement of the scientific program at the minority institution, and commitment to the career development of minority students. o Candidate's Career Development Plan -- The quality of the research career development plan, based on the candidate's past research experience, training, and career goals, as demonstrated by such things as relevance of the proposed didactic training, structure of interaction with mentor, attendance at scientific meetings, and participation in journal clubs and research seminars. OStudent's Development Plan B The quality of the student career development plan as demonstrated by such things as exposure to research opportunities to attend/present at scientific meetings, interaction with mentor, and participation in journal clubs and research seminars. o Research Project -- Scientific merit of the proposed research project and its appropriateness as a vehicle for developing the candidate's and student(s)' research skills. o Training Students -- The candidate's record and an outline of future plans for involving students in research and guiding them to science graduate programs and careers in academic biomedical and behavioral research, and plans for tracking students. o Mentor(s) -- The mentor's accomplishments in the scientific research area(s) proposed, plans for mentoring the candidate and students, experience and record in training investigators, and commitment for the duration of the project. A curriculum vitae with relevant publications and a list of current and pending research support must be included for all mentors. Mentors should also include a list of current and past research trainees (not more than the last 10 years) with information on their current positions. o Environment -- The applicant institution's ability to provide adequate facilities, resources, and opportunities necessary for the candidate's and student(s)' training, and the institutional commitment to the candidate and student(s). If the mentor(s)' institution is different from the applicant, the quality and extent of interaction of the faculty in the basic and clinical sciences, and the quality of the research and research training programs at the mentor's institution will be considered. o Institutional commitment -- The institution's commitment to the development of the candidate and student(s). In addition to the above criteria, in accordance with NIH policy, all applications will also be reviewed with respect to the following: o The adequacy of plans to include both genders, minorities and their subgroups, and children as research subjects as appropriate for the scientific goals of the research. Plans for the recruitment and retention of subjects will also be evaluated. o The reasonableness of the proposed budget and duration in relation to the proposed research. The personnel category will be reviewed for appropriate staffing based on the requested percent effort and justification provided. o The adequacy of the proposed protection for humans, animals or the environment, to the extent they may be adversely affected by the project proposed in the application. Schedule Letter of Intent Receipt Date: July 18, 2001 Application Receipt Date: August 15, 2001 Peer Review Date: October/November 2001 Council Review: February 2002 Earliest Anticipated Start Date: April 1, 2002 AWARD CRITERIA Award criteria that will be used to make award decisions include: o scientific merit (as determined by peer review) o availability of funds o programmatic priorities INQUIRIES Inquiries concerning this RFA are encouraged. The opportunity to clarify any issues or answer questions from potential applicants is welcome. Direct inquiries regarding programmatic issues to: Joyce I. Creamer, M.B.A. Division of Blood Diseases and Resources (responding for all NHLBI programmatic Divisions) National Heart, Lung, and Blood Institute National Institutes of Health 6701 Rockledge Drive, MSC 7952 Bethesda, Maryland 20892-7952 Telephone: (301) 435-0064 FAX: (301) 480-0867 Email: CreamerJ@nhlbi.nih.gov Direct inquiries regarding review issues to: Deborah Beebe, Ph.D. Chief, Review Branch Division of Extramural Affairs National Heart, Lung, and Blood Institute Two Rockledge Center, Room 7178 6701 Rockledge Drive, MSC 7924 Bethesda, MD 20892-7924 Bethesda, MD 20817 (for express mail) Telephone: (301) 435-0270 FAX: (301) 480-3541 Email: BeebeD@nhlbi.nih.gov Direct inquiries regarding fiscal matters to: Tanya McCoy Grants Operations Branch National Heart, Lung, and Blood Institute 6701 Rockledge Drive, MSC 7926 Bethesda, MD 20892-7926 Telephone: (301) 435-0171 FAX: (301) 480-3310 Email: mccoyt@nhlbi.nih.gov AUTHORITY AND REGULATIONS This program is described in the Catalog of Federal Domestic Assistance, numbers 93.233, 93.837, 93.838, and 93.839. Awards are made under authorization of Sections 301 and 405 of the Public Health Service Act as amended (42 USC 241 and 284) and administered under NIH grants policies and Federal Regulations 42 CFR 52 and 45 CFR Parts 74 and 92. This program is not subject to the intergovernmental review requirements of Executive Order 12372 or a Health Systems Agency Review. The PHS strongly encourages all grant recipients to provide a smoke-free workplace and promote the non-use of all tobacco products. In addition, Public Law 103-227, the Pro-Children Act of 1994, prohibits smoking in certain facilities (or in some cases, any portion of a facility) in which regular or routine education, library, day care, health care or early childhood development services are provided to children. This is consistent with the PHS mission to protect and advance the physical and mental health of the American people.
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