RESEARCH SCIENTIST AWARD FOR MINORITY INSTITUTIONS

RELEASE DATE:  January 24, 2002 (see NOT-HL-04-118 and NOT-HL-03-015)

RFA:  RFA-HL-02-012

PARTICIPATING INSTITUTES AND CENTERS (ICs):

National Heart, Lung, and Blood Institute (NHLBI)
 (http://www.nhlbi.nih.gov)

LETTER OF INTENT RECEIPT DATE:  June 17, 2002

APPLICATION RECEIPT DATE:  July 15, 2002

THIS RFA CONTAINS THE FOLLOWING INFORMATION

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

PURPOSE OF THIS RFA

The National Heart, Lung, and Blood Institute (NHLBI) invites cooperative 
agreement grant applications from minority institutions that offer the M.S., 
Ph.D., or professional degree in the biomedical and/or behavioral sciences.  
The goals of the program are to augment and strengthen the research 
capabilities and resources of minority institutions for the conduct of 
biomedical and/or behavioral research by recruiting an established research 
scientist with expertise in areas related to cardiovascular, lung, or blood 
health and disease, transfusion medicine, or sleep disorders.  For the purpose 
of this award, the recruited research scientist must have received competitive 
and independent NIH, or its equivalent, research support.  The long-term 
objectives of this program are to ensure that traditionally minority 
institutions that have not had a strong research infrastructure will have an 
opportunity to strengthen their research capabilities, increase the number of 
minority individuals involved in biomedical and behavioral research, and 
reduce health disparities.

RESEARCH OBJECTIVES

Background

The NHLBI is dedicated to eliminating the health disparities experienced by 
minority Americans.  It is vitally important to this effort that the 
biomedical and behavioral research workforce have an adequate number of well-
trained minority investigators.  This goal is especially important to the 
elimination of health disparities because it has been demonstrated that 
participation of minority investigators in the biomedical and behavioral 
research enterprise: 

o  Improves recruitment and retention rates in population-based 
research studies. 

o  Encourages more minority students to pursue careers in the biomedical and 
behavioral sciences.

o  Improves access to health care in minority communities.

o  Adds to the body of knowledge about diseases that have a disproportionate 
impact on minorities.

The contributions that minority institutions can make to fulfilling the 
promise of the NIH research agenda to reduce health disparities and increase 
the diversity of investigators are unique and essential.  However, it is 
necessary to ensure that minority institutions can develop the infrastructure 
and obtain the resources required to conduct state-of-the-art biomedical and 
behavioral research and train the future cadre of scientists.  In so doing, 
the pool of minority biomedical and behavioral investigators conducting 
research on cardiovascular, pulmonary, and hematologic health and disease, 
transfusion medicine, and sleep disorders can be increased and research on 
diseases with a disproportionate prevalence in minority populations can be 
benefited.  Focused research programs, such as the Historically Black Colleges 
and Universities (HBCU) Research Scientist Award, have helped to achieve these 
objectives and foster the collaborative research affiliations needed to 
address heart, lung, blood, and sleep disorder research problems relevant to 
the communities and regions served by the minority institutions. 

Objectives and Scope

The objectives of this new program are to assist such minority institutions to 
strengthen the science faculty at such institutions; to augment undergraduate 
and graduate science education; to improve the research infrastructure at 
minority institutions; and to augment and strengthen the research capabilities 
and resources for the conduct of biomedical and/or behavioral research in 
areas related to cardiovascular, lung, or blood health and disease, 
transfusion medicine, or sleep disorders.  It is the intention of this award 
that an established scientist will be recruited to the minority institution.  
If the individual identified as the potential recruited research scientist is 
already at the minority institution and is likely to be considered for this 
award, the institution should contact the NHLBI staff listed in the Inquiries 
section of this RFA prior to preparation of the grant application.

Program Characteristics

Broad guidelines for this program are described below.  This award is intended 
to encompass two phases. Phase I (24 months) would be a recruitment phase with 
the minority medical school having responsibility, with assistance from the 
NHLBI and an External Advisory Committee, to identify and recruit a research 
scientist who has competitive, independent research support to serve as 
Program Director and to develop and implement plans to begin research 
operations in Phase II (up to 5 years).  The Principal Investigator during 
Phase I must be a senior institutional official of the Minority Medical 
School, e.g., the President or Dean and must devote a minimum of 5 percent 
effort to the program.  While institutions may be at different stages in their 
readiness to recruit a research scientist and to make available resources to 
support a new research enterprise, Phase I must be completed within the 2 year 
(24 month) time period allotted.  Only in rare circumstances, where a 
recruitment is in the final stages, but more time is required for the 
recruited scientist to relocate, will additional time be provided for Phase I 
activities. However, this additional time will not involve the commitment of 
additional funds beyond that awarded for Phase I.  For the purpose of this 
award, the recruited research scientist must be an established investigator 
who has received competitive and independent research support in areas of 
interest to the NHLBI.  Once Phase II is initiated, the recruited research 
scientist will assume the role of Principal Investigator and should devote a 
minimum of 50 percent effort.

The transition to Phase II will occur when the following criteria has been 
met: a recruited scientist has been identified and has agreed to join the 
minority institution, the individual has been reviewed by the External 
Advisory Committee, and the NHLBI staff has approved the appointment of the 
recruited research scientist as Principal Investigator of Phase II of the 
program.  Phase II (5 years) program operations will be the responsibility of 
the newly recruited research scientist.  That individual is expected to 
establish a research program at the minority institution that achieves the 
following:  supports research related to cardiovascular, lung, or blood health 
and disease, transfusion medicine, or sleep disorders; provides intensive 
laboratory training experiences to selected undergraduate and/or graduate 
students with the capability and interest to pursue research careers; forges 
collaborative research and educational arrangements with the academic 
community (minority and nonminority institutions) and the private sector; 
attracts other biomedical and/or behavioral science faculty to the 
institution; strengthens the science curriculum at the minority institution; 
and arranges for science seminars and collaborative exchange activities 
related to cardiovascular, lung, or blood health and disease, transfusion 
medicine, or sleep disorders research.  Although the primary interest of the 
NHLBI is in the areas identified, any research that is relevant to them will 
be accepted for consideration.  If an acceptable candidate is not recruited, 
Phase II will not be awarded and the grant will be phased out. 

Pilot projects may be utilized during Phase II as a flexible means to develop 
investigators and/or explore new research activities or directions and unique 
scientific opportunities that could evolve into independently funded research 
projects.  Pilot projects may provide faculty or junior investigators from the 
minority institution, who have not previously received independent research 
support, an opportunity to develop their research skills and/or to obtain 
preliminary research data needed for the submission of an independent research 
grant application.  Pilot projects may also be utilized by new or recruited 
faculty to develop new research directions. In all cases, pilot projects will 
covered under the costs of the award and be of short duration (up to a maximum 
of 30 months) and limited cost (a maximum of $100,000 per year direct costs). 
 
In order to assess the success of the pilot projects and to provide for the 
implementation of new pilot projects, the program should include a 
provision for:

o  The External Advisory Committee to review the scientific merit of 
pilot projects. 

o  Tracking the results of each pilot project (abstracts, publications, grant 
applications, etc.), ensuring that the results are made available to reviewers 
at program review meetings and including the results in non-competitive 
renewal applications.

External Advisory Committee

The External Advisory Committee will be composed of external scientists and 
will serve primarily as a review function.  Expenses for the External Advisory 
Committee will be the responsibility of the awardee and should be budgeted for 
in the application.  In Phase I, the External Advisory Committee is to assist 
in the recruitment process and review the qualifications and credentials of 
candidates for the position of recruited scientist.  During Phase II, the 
External Advisory Committee, possibly with additional ad hoc expertise, would 
provide scientific and administrative review of the research program and any 
pilot projects proposed during Phase II of the program.  It would also conduct 
a yearly program review once Phase II is initiated and advise the NHLBI and 
the minority medical institution as to program progress and direction and make 
recommendations concerning modifications, adjustments, or additions.  This may 
include making recommendations, as appropriate, to the awardee institution and 
NHLBI with respect to:

o  the performance of the individual programs (including possible 
recommendations on actions to be taken);

o  the review of new pilot projects;

o  the recruitment of new scientific and technical staff to the program, 
including an assessment of qualifications to conduct high quality research, 
potential for collaborations, and reasonableness of the research to be 
conducted by recruited staff;

o  possible modifications in the scope and focus of the research program;

o and, additional research endeavors within the approved research and 
negotiated budgets.

Thus, the External Advisory Committee must provide a multidisciplinary and 
objective perspective, expert attention to the many factors during the course 
of the research program, and considerable judgement.  Meetings of the External 
Advisory Committee will occur at least once a year, although meetings of the 
External Advisory Committee may occur more frequently, depending on program 
requirements and need.  In some cases, it may be possible to conduct business 
of the External Advisory Committee through conference calls.

The External Advisory Committee, to be established once an award is made, 
should consist of approximately six members.  Most members of the External 
Advisory Committee are expected to be scientists, although a member of the 
External Advisory Committee may be an individual with experience in 
administering sponsored programs in an academic setting.  The members of the 
External Advisory Committee must not be affiliated with the awardee 
institution or its collaborators and should have expertise in the area of 
science addressed by the program.  Half of the members of the External 
Advisory Committee will be appointed by NHLBI staff, while the remaining 
members may be appointed by the awardee institution with approval of NHLBI.  
Additional members with specific scientific expertise may be added during 
Phase II to ensure an adequate review of the scientific program relative to 
the research projects proposed. The chair of the Committee will be elected by 
and from the members of the External Advisory Committee.  A NHLBI staff member 
will participate in the External Advisory Committee meetings as an ex-officio 
member (see below).

The External Advisory Committee will also be comprised of non-voting (ex-
officio) members, including the NHLBI Program Scientist, who serves as the 
Executive Secretary.  The Executive Secretary will be responsible for 
preparing the minutes for each meeting.  Within 30 days after an External 
Advisory Committee meeting, the Executive Secretary will forward a copy of the 
final (signed/approved by both the Executive Secretary and the Chairperson) 
minutes to the other members of the External Advisory Committee.  Other ex-
officio members may include a representative of the investigators and other 
NHLBI representatives. The Executive Secretary, other ex-officio members, and 
ad hoc consultants and investigators may not vote.

Allowable Costs 

The Research Scientist Award for Minority Institutions will provide 
support for:

o  Administrative Costs for managing the recruitment and planning effort 
such as:

a. Salaries for key personnel
b. Travel for key personnel
c. Travel and per diem for outside advisors
d. Supplies and materials to support an administrative structure
o  Developmental Funds for:

a. Workshops, retreats, seminars and other forums to identify areas of 
greatest opportunity and highest priority and/or to merge existing programs 
and/or to create new minority institution programs.

b. Pilot research projects or pilot programs (see above under Program 
Characteristics).

c. Support for research assistants and research associates in various stages 
of their career development as independent scientists.

d. Start-up packages for newly recruited investigators in areas of 
development.
  
o  Research Support Funds for:

a. Research projects relevant to heart, lung, blood, and sleep disorders.
b. Core facilities to be shared among investigators at the minority 
medical school.
c. Administrative and infrastructure support for the program.

Funds may NOT be used to purchase equipment unless included as part of a 
start-up package for a faculty recruitment. (In this case, the maximum 
allowable costs for such equipment items cannot exceed $25,000 for research 
purposes without prior approval by the NHLBI.)

MECHANISM OF SUPPORT

This RFA will use the National Institutes of Health (NIH) Research Scientist 
(UH1) award mechanism.  The UH1 is a cooperative agreement award mechanism in 
which the Principal Investigator retains the primary responsibility and 
dominant role for planning, directing, and executing the proposed project, 
with NIH staff being substantially involved as a partner with the Principal 
Investigator, as described under the section "Cooperative Agreement Terms and 
Conditions of Award."

This RFA is a one-time solicitation.  Future unsolicited, competing-
continuation applications based on this project will compete with all 
investigator-initiated applications and will be reviewed according to the 
customary peer review procedures.  

Applications submitted in response to the RFA will consist of two phases.  
Phase I is a 24 month effort to identify and recruit a research scientist and 
to plan for the subsequent phase.  Phase II consists of an additional 5 years 
of support for research activities and the operation of other program 
activities.  Awardees are expected to continue support of the research 
programs after the initial seven years through regular competitive NIH 
research programs or from other sources.  At this time, it is not known if 
this RFA will be reissued.  In the event that an award is made, the project 
period may not exceed seven years and the anticipated start date of the award 
will be September 30, 2002 (changed to April 1, 2003 per NOT-HL-02-011).

FUNDS AVAILABLE

The NHLBI intends to commit approximately $300,000 in FY 2002 to fund up to 
four new grants in response to this RFA.  An applicant may request a project 
period of up to seven years and a budget for direct costs of up to $50,000 per 
year for Phase I (first two years) and for direct costs of up to $500,000 per 
year for Phase II (up to five additional years).  Although the financial plans 
of the NHLBI provide support for this program, awards pursuant to this RFA are 
contingent upon the availability of funds and the receipt of a sufficient 
number of meritorious applications.  Applicants for this program may request 
the full facilities and administrative (F & A) costs applicable to 
their institution.

ELIGIBLE INSTITUTIONS

You may submit an application if your institution is a minority institution 
that offers the M.S., Ph.D., or professional degree in the biomedical and/or 
behavioral sciences.  Minority institutions are defined as domestic, public or 
private, non-profit, academic institutions at which more than 50 percent of the 
students enrolled are from minority, racial or ethnic groups, including those 
underrepresented in biomedical research (e.g., African Americans, Hispanics, 
American Indians, Alaskan Natives, Native Hawaiians, and Pacific Islanders). 
Applications will not be accepted from institutions that do not meet this 
criteria.

INDIVIDUALS ELIGIBLE TO BECOME PRINCIPAL INVESTIGATORS   

The individual submitting the application should be a senior institutional 
official, e.g., the President or Dean, as the Principal Investigator.  In 
Phase II of the program, the recruited scientist is expected to become the 
Principal Investigator of the grant program.  Only investigators who are U.S. 
citizens, permanent residents, or non-citizen nationals and have received 
competitive and independent research support may be recruited to serve as the 
Principal Investigator for Phase II. 

SPECIAL REQUIREMENTS

Cooperative Agreement Terms and Conditions of Award

These special Terms of Award are in addition to, and not in lieu of, otherwise 
applicable Office of Management and Budget (OMB) administrative guidelines, 
HHS Grant Administration Regulations at 45 CFR Part 74, and other HHS, PHS, 
and NIH Grant Administration policy statements.  

The administrative and funding instrument used for this program is a 
cooperative agreement,  an "assistance" mechanism (rather than an 
"acquisition" mechanism).  Under the cooperative agreement, the NIH purpose is 
to support and/or stimulate the recipient's activities by involvement in and 
otherwise working jointly with the award recipient in a partner role.  
Consistent with this concept, the dominant role and prime responsibility for 
the activity resides with the awardee, although specific tasks and activities 
in carrying out the project will be shared between the awardee and the NHLBI 
Project Scientist.

1.  Awardee Rights and Responsibilities

Awardees have primary authorities and responsibilities to define objectives 
and approaches and to plan, conduct, analyze, and publish results, 
interpretations, and conclusions of supported studies, as applicable to the 
scientific research and other program activities.

Awardees retain custody of and have primary rights to data developed under 
these awards, subject to Government rights of access consistent with current 
HHS, PHS, and NIH policies.

Awardees have lead responsibilities for the project as a whole, and for all 
tasks and activities, with support from NIH for recruitment, identification of 
resources to support collaborative arrangement activities, and limited 
technical input into the research.  

The awardee with the assistance of the NHLBI will establish an External 
Advisory Committee composed of external scientists to assist in planning and 
identifying the recruited research scientist in Phase I, and in monitoring 
progress during Phase II.

2.  NHLBI Staff Responsibilities

The NHLBI Program Scientist will have substantial scientific/programmatic 
involvement in the award performance period through contributions to the 
planning and assessment activities, providing technical assistance, advice on 
future directions and ancillary support, and coordination beyond normal 
program stewardship for grants.  The NHLBI Program Scientist will also provide 
assistance to recipients of the award in developing collaborative research and 
funding arrangements, the institutional environment, resources and other 
infrastructure and administrative areas.

The NHLBI Program Scientist together with the External Advisory Committee will 
help the applicant institution and Principal Investigator establish reasonable 
time lines to achieve the developmental goals of the Research Scientist Award 
for Minority Institutions.

The NHLBI Program Scientist will actively participate as Executive Secretary 
and non-voting member in all meetings of the External Advisory Committee 
during the performance
period of the award.

The NHLBI Program Director will have primary responsibility for stewardship of 
the award and overall responsibility for monitoring the conduct, progress, and 
fiscal management of the research program, and will reserve the authority to 
recommend reductions in budget, withhold support, suspend and/or terminate the 
award if technical performance falls below acceptable standards for quality 
and timeliness.  The NHLBI Program Director may also be the designated NHLBI 
Program Scientist.

The NHLBI reserves the right to terminate the award in the event of failure to 
recruit a research scientist within the two year Phase I period; failure of 
the grantee institution to provide the research resources or administrative 
and technical support required to sustain the program; departure of the 
Principal Investigator from the minority institution and if no suitable 
replacement is appointed within a reasonable time (90 days); substantive 
changes in scope of work with which the NHLBI does not concur; or 
unacceptable progress.

3.  Arbitration

Any disagreement that may arise on scientific or programmatic matters (within 
the scope of the award) between award recipients and the NHLBI may be brought 
to arbitration.  An arbitration panel will be composed of three members--one 
selected by the Principal Investigator, a second member selected by the NHLBI, 
and a third member selected by the two prior selected members. This special 
arbitration procedure in no way affects the awardee's right to appeal an 
adverse action that is otherwise appealable in accordance with the PHS 
regulations at 42 CFR Part 50, Subpart D, and HHS regulation at 45 CFR Part 16.

WHERE TO SEND INQUIRIES

We encourage inquiries concerning this RFA and welcome the opportunity to 
answer questions from potential applicants.  Inquiries may fall into three 
areas:  scientific/research, peer review, and financial or grants 
management issues:

o Direct your questions about scientific/research issues to:

John Fakunding, Ph.D.
Heart Research Program
Division of Heart and Vascular Diseases
National Heart, Lung, and Blood Institute
6701 Rockledge Drive., MSC 7940
Bethesda, MD  20892-7940
Telephone:  301-435-0544
FAX:  301-480-1336
E-mail:  jf46f@nih.gov

Direct your questions about peer review issues, send letter of intent and two 
copies of the application to:

Anne Clark, Ph.D.
Chief, Review Branch
Division of Extramural Affairs
National Heart, Lung, and Blood Institute
6701 Rockledge Dr., Room 7178 (MSC 7924)
Bethesda, MD  20892-7924 (20817 for Courier)
Telephone:  (301) 435-0270
Fax:  (301) 480-0730
E-mail:  clarka@nhlbi.nih.gov

Direct your questions about financial or grants management matters to:

Robert Vinson
Grants Operations Branch
Division of Extramural Affairs
National Heart, Lung, and Blood Institute
6701 Rockledge Drive, MSC 7926
Bethesda, MD  20892-7926
Telephone:  (301) 435-0175
FAX:  (301) 480-3310
E-mail:  vinsonr@nhlbi.nih.gov

LETTER OF INTENT

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

o Descriptive title of the proposed program
o Name, address, and telephone number of the Principal Investigator
o Names of other key personnel
o Participating institutions
o Number and title of the RFA 

Although a letter of intent is not required, is not binding, and does not 
enter into the review of a subsequent application, the information that it 
contains allows NHLBI staff to estimate the potential review workload and plan 
the review.

The letter of intent is to be sent by the date listed at the beginning of this 
document.  The letter of intent should be sent to:

Anne Clark, Ph.D.
Chief, Review Branch
Division of Extramural Affairs
National Heart, Lung, and Blood Institute
6701 Rockledge Dr., Room 7178 (MSC 7924)
Bethesda, MD  20892-7924 (20817 for Courier)
Telephone:  (301) 435-0270
Fax:  (301) 480-0730
E-mail:  clarka@nhlbi.nih.gov

SUBMITTING AN APPLICATION

Applications must be prepared using the PHS 398 research grant application 
instructions and forms (rev. 5/2001).  The PHS 398 is available at 
http://grants.nih.gov/grants/funding/phs398/phs398.html in an interactive 
format.  For further assistance contact GrantsInfo, Telephone (301) 435-0714, 
Email:  GrantsInfo@nih.gov.

SUPPLEMENTAL INSTRUCTIONS

The conventional format for research grant applications should be used to 
ensure that points identified in the section on Review Considerations are 
fulfilled.  Page limitations described in the form PHS 398 are applicable to 
this RFA.  THE FOLLOWING DETAILED MODIFICATIONS MUST BE USED WHEN PREPARING 
APPLICATIONS IN RESPONSE TO THIS RFA:
 
Budget Information

Current and future year budgets or justifications (Form Pages 4 and 5) are 
required in the application.  However, a detailed budget with justification 
must only be submitted for Phase I (the first 24 months).  The budget for 
Phase II (Years 3-7) may be estimated with only general information as how the 
amount for the various budget categories were determined.  The anticipated 
level of effort in all years and a brief description of responsibilities for 
the Principal Investigator and all key personnel must be specifically stated 
at the beginning of the research plan. 

Research Plan Requirements

The research plan must include the following:

Institutional Environment and Resources.  Features of the institutional 
environment that are relevant to effective implementation of the overall 
program must be described.  As appropriate, available resources, e.g., 
clinical and laboratory facilities, patient populations, geographic 
distributions of space and personnel, and consultative resources, should 
be described. 

Infrastructure.  Any institution submitting a grant application in response to 
this announcement must show evidence of an existing research infrastructure 
that can support some aspect of the research program.  Research capabilities, 
i.e., previous (past 5 years) and current research support relevant to 
cardiovascular, lung, or blood health and disease, transfusion medicine, or 
sleep disorders, of the institution should be described in the application.  
The condition of the present research infrastructure and any changes needed to 
enhance support of the institution's research program must also be delineated. 
 Briefly describe how proposed activities will enhance the minority 
institution science faculty, improve the research infrastructure, and 
strengthen the science curriculum.

Organizational and Administrative Structure.  The chain of responsibility for 
decision making and administration, beginning at the level of the 
institution's President and including all key staff should be described, in 
detail and by diagram, if appropriate.  Individuals responsible for the 
day-to-day administrative details, program coordination, and planning and 
evaluation of the program should also be identified.  Describe the relation 
between the proposed program and other existing research, academic, and 
administrative units of the institution and the means by which the program 
will strengthen those activities and improve the research infrastructure.  In 
addition, changes that will occur in the structure during Phase II should be 
identified and described.

Research Program.  The existing research program that is the basis for the 
grant application should be described along with future plans and how this 
award will enhance them.  In addition, plans for the recruited research 
scientist should be delineated.

Institution Commitment.  The application must outline plans to create and 
sustain a supportive research environment after NHLBI funding has ended; 
describe opportunities for the individual recruited as the Phase II Principal 
Investigator to continue to grow and develop in research knowledge and skills; 
provide the position of the recruited research scientist in the organizational 
structure, including responsibilities, if applicable, beyond those associated 
with the grant; identify staff and other resources and support that will be 
made available to the recruited research scientist; outline research and 
publication responsibilities; and describe the institution's commitment to 
ensure that administrators, faculty, staff, and students understand that the 
recruited research scientist's primary responsibility to the institution is to 
increase its biomedical and/or behavioral research portfolio.  The 
institution's plan to obtain additional research support, e.g., private sector 
and/or NIH, should be described.

Recruitment Plan.  The skills of the individual to be recruited; the relative 
importance of those skills to the research program and the institution=s 
infrastructure needs; and the Institution's plan for identifying, recruiting, 
and retaining such an individual must be described.  The individuals to be 
involved in the recruitment activities, their specific responsibilities and a 
timetable outlining recruitment activities during Phase I should be included.

Collaborative Arrangements.  Plans for collaborative research arrangements 
should be submitted as part of the application.  Letters of support by 
participating institutions and a commitment to finalize collaborative 
arrangements soon after the award is made should be included.  Plans for 
obtaining additional research support from the private sector, NIH, and/or 
other sources should also be described. 

Face Page

Currently, the Center for Scientific Review requires that requested costs be 
reflected on the face page for computer system tracking purposes.  Since 
limited budgetary information is required, we are requesting that standard 
amounts be shown on the face page.  IT IS UNDERSTOOD THAT THESE LEVELS ARE 
STRICTLY FOR ADMINISTRATIVE PURPOSES AND THAT ACTUAL AWARD LEVELS ARE SUBJECT 
TO NEGOTIATION, PRIOR TO AWARD.  The following amounts should be reflected on 
the face page:  7a. Direct Costs for Initial Budget Period - $50,000; 7b. 
Total Costs for Initial Budget Period; 8a. Direct Costs for Proposed Period of 
Support - $2,600,000; 8b. Total Costs for Proposed Period of Support.

The applicant should provide the name and telephone number of the individual 
to contact concerning fiscal and administrative issues if additional 
information is necessary following the initial review.

The salary of the Principal Investigator must not exceed the actual 
institutional salary rates for the effort being devoted to the award.  In 
addition, salary rates must not exceed an annual salary level of $161,200 plus 
fringe benefits (a maximum of $80,600 for 50 percent effort).  In Phase I, the 
Principal Investigator must devote at least 5 percent effort to the award.  In 
Phase II, the Principal Investigator must devote at least 50 percent effort to 
the award.

A Principal Investigator may devote up to a total of 100 percent combined 
effort on this award and as an investigator on any other NIH-supported 
grant(s) or contract(s) and may receive remuneration from such 
sources accordingly.

USING THE RFA LABEL: The RFA label available in the PHS 398 (rev. 5/2001) 
application form must be affixed to the bottom of the face page of the 
application.  Type the RFA number on the label.  Failure to use this label 
could result in delayed processing of the application such that it may not 
reach the review committee in time for review.  In addition, the RFA title and 
number must be typed on line 2 of the face page of the application form and 
the YES box must be marked. The RFA label is also available at:  
http://grants.nih.gov/grants/funding/phs398/label-bk.pdf.

SENDING AN APPLICATION TO THE NIH: Submit a signed, typewritten original of 
the application, including the Checklist, and three signed, photocopies, in 
one package to:

Center For Scientific Review
National Institutes Of Health
6701 Rockledge Drive, Room 1040, MSC 7710
Bethesda, MD  20892-7710
Bethesda, MD  20817 (for express/courier service)

At the time of submission, two additional copies of the application as well as 
all five collated sets of Appendix material must be sent to Dr. Anne Clark at 
the address listed under Where to send Inquiries.

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

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.

Principal investigators should not sent supplementary material without first 
contacting the Scientific Review Administrator (SRA).  The SRA will be 
identified in the letter sent to you indicating that your application has been 
received.  If you have not received such a letter within three weeks after 
submitting the application, contact Dr. Anne Clark at the address listed under 
Where to send Inquiries.

PEER REVIEW PROCESS  

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 an appropriate peer review group convened by 
the NHLBI in accordance with the review criteria stated below.  As part of the 
initial merit review, all applications will:

o Receive a written critique
o 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
o Receive a second level review by the NHLBI National Advisory Council.

REVIEW CRITERIA

All applications will be judged on the basis of the review criteria 
listed below:

1.  Availability of resources to support the proposed research and other 
program activities.

2.  Prior institutional research experience relevant to cardiovascular, lung, 
or blood health and disease, transfusion medicine, or sleep disorders.

3.  Plans for identifying the recruited research scientist.

4.  Plans to create and sustain a supportive research environment and to 
obtain additional funding.

5.  Commitment of the minority institution to the success of the program and 
the recruited research scientist, including plans for recruitment of other 
faculty, and for training students, undergraduate and graduate) and 
postdoctoral individuals in biomedical and/or behavioral research.

6.  Strength of and desired outcome of collaborative arrangements.

7.  Qualifications and experience of the proposed staff.

The scientific review group will address and consider each of these criteria 
in assigning your application=s overall score, weighting them as appropriate 
for each application. 

ADDITIONAL REVIEW CRITERIA: In addition to the above criteria, your 
application will also be reviewed with respect to the following:

o PROTECTIONS:  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.

o INCLUSION:  The adequacy of plans to include subjects from both genders, all 
racial and ethnic groups (and subgroups), and children as appropriate for the 
scientific goals of the research.  Plans for the recruitment and retention of 
subjects will also be evaluated. (See Inclusion Criteria included in the 
section on Federal Citations, below)

o BUDGET:  The reasonableness of the proposed budget and the requested period 
of support in relation to the proposed research.

RECEIPT AND REVIEW SCHEDULE

Letter of Intent Receipt Date:    June 17, 2002
Application Receipt Date:         July 15, 2002
Peer Review Date:                 October/November, 2002
Council Review:                   February 6-7, 2003
Earliest Anticipated Start Date:  April 1, 2003

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.

REQUIRED FEDERAL CITATIONS 

INCLUSION OF WOMEN AND MINORITIES IN CLINICAL RESEARCH:  t is the policy of 
the NIH that women and members of minority groups and their sub-populations 
must be included in all NIH-supported clinical research projects unless a 
clear and compelling justification is provided indicating that inclusion is 
inappropriate with respect to the health of the subjects or the purpose of the 
research. This policy results from the NIH Revitalization Act of 1993 (Section 
492B of Public Law 103-43).

All investigators proposing clinical research should read the AMENDMENT "NIH 
Guidelines for Inclusion of Women and Minorities as Subjects in Clinical 
Research - Amended, October, 2001," published in the NIH Guide for Grants and 
Contracts on October 9, 2001 
(http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-001.html); 
a complete copy of the updated Guidelines are available at 
http://grants.nih.gov/grants/funding/women_min/guidelines_amended_10_2001.htm.  
The amended policy incorporates: the use of an NIH definition of clinical 
research; updated racial and ethnic categories in compliance with the new OMB 
standards; clarification of language governing NIH-defined Phase III clinical 
trials consistent with the new PHS Form 398; and updated roles and 
responsibilities of NIH staff and the extramural community.  The policy 
continues to require for all NIH-defined Phase III clinical trials that: a) 
all applications or proposals and/or protocols must provide a description of 
plans to conduct analyses, as appropriate, to address differences by 
sex/gender and/or racial/ethnic groups, including subgroups if applicable; and 
b) investigators must report annual accrual and progress in conducting 
analyses, as appropriate, by sex/gender and/or racial/ethnic group differences.

INCLUSION OF CHILDREN AS PARTICIPANTS IN RESEARCH INVOLVING HUMAN SUBJECTS: 
The NIH maintains a policy that children (i.e., individuals under the age of 
21) must be included in all human subjects research, conducted or supported by 
the NIH, unless there are scientific and ethical reasons not to include them. 
This policy applies to all initial (Type 1) applications submitted for receipt 
dates after October 1, 1998.

All investigators proposing research involving human subjects should read the 
"NIH Policy and Guidelines" on the inclusion of children as participants in 
research involving human subjects that is available at. 

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

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

PUBLIC ACCESS TO RESEARCH DATA THROUGH THE FREEDOM OF INFORMATION ACT: The 
Office of Management and Budget (OMB) Circular A-110 has been revised to 
provide public access to research data through the Freedom of Information Act 
(FOIA) under some circumstances.  Data that are (1) first produced in a 
project that is supported in whole or in part with Federal funds and (2) cited 
publicly and officially by a Federal agency in support of an action that has 
the force and effect of law (i.e., a regulation) may be accessed through FOIA. 
 It is important for applicants to understand the basic scope of this 
amendment.  NIH has provided guidance at 
http://grants.nih.gov/grants/policy/a110/a110_guidance_dec1999.htm.

Applicants may wish to place data collected under this PA 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.

URLs IN NIH GRANT APPLICATIONS OR APPENDICES: All applications and proposals 
for NIH funding must be self-contained within specified page limitations. 
Unless otherwise specified in an NIH solicitation, Internet addresses (URLs) 
should not be used to provide information necessary to the review because 
reviewers are under no obligation to view the Internet sites.   Furthermore, 
we caution reviewers that their anonymity may be compromised when they 
directly access an Internet site.

HEALTHY PEOPLE 2010:  The Public Health Service (PHS) is committed to 
achieving the health promotion and disease prevention objectives of "Healthy 
People 2010," a PHS-led national activity for setting priority areas. This 
RFA, Research Scientist Award Program for Minority Institutions, is related to 
one or more of the priority areas.  Potential applicants may obtain a copy of 
"Healthy People 2010" at http://www.health.gov/healthypeople/.

AUTHORITY AND REGULATIONS: This program is described in the Catalog of Federal 
Domestic Assistance No. 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 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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