NHLBI MENTORED MINORITY FACULTY DEVELOPMENT AWARD (K01) Release Date: May 25, 1999 RFA: HL-99-020 National Heart, Lung, and Blood Institute Letter of Intent Receipt Date: July 1, 1999 Application Receipt Date: August 26, 1999 PURPOSE This program provides support to underrepresented minority faculty members with varying levels of research experience to prepare them for research careers as independent investigators. The research development programs of the candidates are based on scholastic background, previous research experience, past achievements, and potential to develop into an independent research investigator. The objective of the award is to develop highly trained minority investigators, whose basic or clinical research interests are grounded in the advanced methods and experimental approaches needed to solve problems related to cardiovascular, pulmonary, hematologic, and sleep disorders. 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), NHLBI Mentored Research Scientist Development Award for Minority Faculty, is related to one or more of the priority areas. Potential applicants may obtain a copy of "Healthy People 2000" at the following URL address: http://www.crisny.org/health/us/health7.html ELIGIBILITY REQUIREMENTS The Mentored Research Scientist Development Award for Minority Faculty (K01) provides research development opportunities for underrepresented minority faculty members with varying levels of research experience who are committed to developing into independent biomedical or behavioral investigators. This award will enable suitable faculty candidates holding doctoral degrees, such as the Ph.D., M.D., D.O., D.V.M., or an equivalent, to undertake three to five years of special study and supervised research under a sponsor competent to provide guidance in the area of research proposed. The goal is to develop the research skills of the minority faculty candidate. The award is intended to serve research career development needs of underrepresented minority faculty members by providing them with research opportunities appropriate for their scholastic background, previous research experience, and past achievements. Minority scientists and physicians with limited research experience needing guided course work and supervised laboratory experiences, as well as minority faculty needing only an intensive research experience under the guidance of an established scientist, are eligible to apply. It is envisioned that most candidates for this award will hold non-tenured faculty appointments (such as instructor or assistant professor), although in some instances other individuals may be eligible to apply (such as individuals due to be appointed to a faculty position or individuals with tenured faculty positions). For the purpose of this program, underrepresented minority faculty members 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. In making grant awards under this program, the NHLBI will give special attention to supporting individuals from minority groups that are underrepresented nationally in the biomedical and behavioral sciences, i.e., Blacks, Hispanics, American Indians, Alaska Natives, and Pacific Islanders. At the time of award, it is required that at least two years have elapsed since the receipt of the doctoral degree and that the candidate have at least one year of prior documented research experience. Current or past principal investigators of an NIH grant or its equivalent, including the Clinical Investigator Award, Physician Scientist Award, Clinical Investigator Development Award, or Mentored Clinical Scientist Development Award are not eligible for the Mentored Research Scientist Development Award for Minority Faculty. Similarly, individuals serving as responsible investigators or project leaders on large grants, such as a Program Project Grant, are not eligible for the Mentored Research Scientist Development Award for Minority Faculty. An individual who has previously received support from the Minority Access to Research Careers (MARC), Minority Biomedical Research Support (MBRS), or Academic Research Enhancement Award (AREA) programs are eligible to apply. MECHANISM OF SUPPORT This RFA will use the NHLBI MENTORED Research Scientist Development Award for Minority Faculty, (K01) mechanism of support. However, specific application instructions have been modified to reflect "JUST-IN-TIME" streamlining efforts implemented by NIH and published in the NIH Guide for Grants and Contracts, Vol. 25, No. 10, March 29, 1996. This process allows applicants to submit certain information only when there is a possibility for an award. It is anticipated that these changes will reduce the administrative burden for the applicants, applicant institutions, reviewers, and Institute staff. 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. Instructions for completing the Biographical Sketch have also been modified. In addition, Other Support information for the applicant is not required as part of the initial application. However, Other Support information is required for the mentor and co-mentor. If there is a possibility for an award, necessary budget, 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 $1.2 million in Fiscal Year 2000. The actual amount may vary, depending on the response to the RFA and availability of funds. Ten to twelve new awards are anticipated. RESEARCH OBJECTIVES Background The proportion of biomedical investigators who are members of underrepresented minority groups is strikingly lower than the percentage of minority U.S. citizens. In 1991, there were 1177 Blacks (1.7%) and 1113 Hispanics (1.6%) in academic positions in the life sciences out of a total 69,122 individuals. Although the number of minority individuals graduating from medical school was approximately 7.4% in 1993, only 5.1% of assistant professors on medical school faculty are minority individuals. One method of increasing the number of minority faculty members is to improve their research capabilities. In so doing, the pool of minority biomedical and biobehavioral investigators in cardiovascular, pulmonary, and hematologic research, transfusion medicine, and sleep disorders can be increased. Furthermore, these minority individuals may serve as role models for minority undergraduate and graduate students, and stimulate these students to become more cognizant of research opportunities in cardiovascular, pulmonary, hematologic and sleep disorders. SPECIAL REQUIREMENTS - Provisions of the Award Applicant Institution Applications will be accepted from domestic colleges or universities, medical schools, or comparable institutions. The application must include a plan that identifies personnel and other resources to be devoted to the candidate. In addition, evidence of institutional commitment to the candidate's research development and level of effort should be included in a statement from the institution. The statement should also address the institution's plans for the candidate during and following the tenure of the award. The statement should be signed by an institutional official (e.g., a dean) and the candidate's departmental chair. Minority Candidate To receive an award under this program, individuals must have been awarded a doctoral degree (Ph.D., M.D., D.V.M. or D.O., degree or its equivalent) and have a faculty appointment at an accredited college or university at the time of award. Applicants for this award must be either citizens or noncitizen nationals of the United States or have been admitted lawfully to the United States for permanent residence (i.e., in possession of the Alien Registration Receipt Card, I-155). Noncitizen nationals are generally persons born in outlying possessions of the United States (i.e., American Samoa and Swains Island). An individual admitted lawfully for permanent residence must submit with the application a notarized statement indicating possession of the Alien Registration Receipt Card. Individuals on temporary or student visas are not eligible. Candidates must be nominated by an institution on the basis of qualifications, interests, accomplishments, motivation, and potential for performing quality research. The candidate's academic background, previous experience, and career goals should determine both the necessary length and the kind of program that is appropriate. The sponsoring institution should provide a statement in the application that the candidate is a member of a minority group, indicating the ethnic or racial background of the applicant. Sponsor Each candidate must identify a sponsor(s) who is an accomplished investigator in the research area proposed and has experience in developing independent investigators. The sponsor is not required to be affiliated with the applicant institution. If the sponsor is affiliated with another institution, appropriate documentation must be provided concerning the relationship of the applicant institution and the sponsor's institution, as well as a clear delineation of the arrangements proposed for the research development program at a location distinct from the applicant institution. The sponsor must provide a written plan for the development of the candidate and provide guidance during the preparation of the research project. A secondary sponsor may also be proposed, but the primary sponsor must continue to be involved throughout the award period. In some cases candidates may choose to have both a basic research sponsor and a clinical research sponsor. The sponsor must provide a written plan for the development of the candidate, and the sponsor and candidate should be jointly responsible for the preparation of the research development plan. The sponsor must submit a report each year on the candidate's progress which should be included in the annual progress report. Research Development Program All research development programs should be carefully tailored to meet individual needs and must include a sponsor(s) who is competent to provide appropriate research guidance. All candidates must provide a full description of the research and career development plan for the period of the award. The proposed plan must include hands-on research experience, with either a clinical or a basic science focus, for the entire three to five year period. Awardees, in conjunction with their sponsor(s), are required to submit a detailed annual progress report. For minority candidates with minimal research experience, the development program may be designed to start with a creative and detailed scientific learning experience and progress to an intensive research activity under the guidance of an appropriate sponsor(s). The first year or two of the program may incorporate any needed course work, and seminars and other educational experiences necessary to prepare the candidate for the subsequent research program, but must include a hands-on research experience. This initial phase of the program may resemble a traditional postdoctoral research training program. The remainder of the development plan could include an intensive, fully-described research program and research projects that can be reasonably completed within the planned period. During this latter phase, the program should provide for progressive development of the individual into an independent investigator. If the minority candidate has already acquired some research experience, as might be obtained through a research fellowship, but needs further development under the guidance of an appropriate sponsor(s), the candidate may propose a three to five year program encompassing an advanced research experience focusing on a specific research project. Such a candidate may take additional courses or engage in special instruction in research techniques in other laboratories for a reasonable period of time if needed. During the latter phases of the award, the relationship of the sponsor and candidate may more closely resemble that of collaborators. Individuals with significant research experience in the proposed field of study should not apply for this award but rather should consider applying for independent research grant support. Advisory Committee A committee composed of the candidate's sponsor(s) and two or three other senior faculty members must be identified. This advisory committee should meet with the candidate to review the research development plan and research project, to evaluate the awardee's progress, and to provide guidance for scientific career development. Duration and Effort The award is granted for three to five years depending on the needs of the candidate and the evaluation of the initial review group and the National Heart, Lung, and Blood Advisory Council. It is non-renewable and all funds must be used on behalf of the original candidate. Substitution of another sponsor and/or a change of institution may be permitted with the prior approval of the NHLBI. A minimum of 75 percent effort must be devoted to the research program. The remainder may be devoted to other clinical and teaching pursuits that are consistent with the program goals, i.e., the candidate's development into an independent biomedical scientist or the maintenance of the teaching and/or clinical skills needed for an academic research career. The candidate must have a "full-time" appointment at the applicant institution. In general, candidates who have Veteran's Administration (VA) appointments may not consider part of the VA effort toward satisfying the "full-time" requirement at the applicant institution. However, it is permissible for part or all of the research program to be conducted in a VA laboratory, for example if the sponsor has a VA appointment, so long as the above conditions are satisfied as they apply to the Mentored Research Scientist Development Award for Minority Faculty candidate. Allowable Costs Salary. Individual compensation is based on the institution's salary scale for individuals at an equivalent experience level. Funding from this award for salary may not exceed $75,000 per year plus commensurate fringe benefits with at least 75 percent effort devoted to the research program. If 100 percent effort is to be devoted to the research program during the "summer months," the percent effort for the remainder of the year may be reduced provided that the effort over the course of the year is at least 75 percent. NIH policy permits supplementation of salary from non-Federal sources. Supplementation from other Federal funds is not allowed unless explicitly authorized by the program from which the funds are derived and the NHLBI. In no case may other NIH funds be used for supplementary salary support. Sponsor's Salary. Salary support may be requested for the primary sponsor up to a level commensurate with 5 percent effort. If the sponsor is at a different institution than the applicant institution, arrangements for the transfer of funds for the sponsor's salary and, if necessary, for research expenses should be formalized in a contract or written agreement with the sponsor's institution and included as part of the application. The sponsor's salary support is considered as separate and distinct from funds requested for the candidate's salary or research and development support. The percent effort may exceed 5 percent for selected periods of time, provided the total effort for the budget period (12 months) does not exceed 5 percent. If the sponsor's salary is requested as a consortium cost, the subcontracting grantee is only allowed to request Facilities and Administrative Costs based on 8 percent of total allowable direct costs. Research and Development Costs. A maximum of $30,000 per year may be requested for research project requirements and related support, (e.g., technical personnel costs, supplies, equipment, candidate travel, telephone charges, publication costs, and tuition for necessary courses). Facilities and Administrative Costs. Funds will be provided for the reimbursement of facilities and administrative costs at a rate of 8 percent of the total direct costs of each award, exclusive of tuition, fees, and expenditures for equipment. Concurrent Applications Mentored Research Scientist Development Award for Minority Faculty applications may not be submitted or awarded concurrently with other NIH applications, such as the Independent Scientist Award, Mentored Clinical Scientist Development Award, Academic Award, or Research Project Grant. Subsequent Applications for NIH Research Support During the later years of the Mentored Research Scientist Development Award for Minority Faculty (K01), incumbents are encouraged to apply for independent research support. K01 recipients who are successful in obtaining NIH research grant support may not receive salary support from the research grant for the duration of the award. After the conclusion or termination of the award, salary support should transfer to the research grant. K01 recipients who apply for research grant support are encouraged to include salary and all other research needs in the research grant application for the period following completion of the K01. Alternatively, recipients of research grant awards may terminate the K01 prior to the start of the research grant. 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 subpopulations must be included in all NIH supported biomedical and behavioral research projects involving human subjects, unless a clear and compelling rationale and justification is provided 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 "NIH Guidelines for Inclusion of Women and Minorities as Subjects in Clinical Research," which was published in the Federal Register of March 28, 1994 (FR 59 14508-14513) and in the NIH Guide for Grants and Contracts, Vol. 23, No. 11, March 18, 1994, available at the following URL address: https://grants.nih.gov/grants/guide/notice-files/not94-100.html 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 LETTER OF INTENT Prospective applicants are asked to submit, by July 1, 1999, a letter of intent that includes the name, address, and telephone number of the Program Director, 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 subsequent applications, the information that it contains allows NHLBI staff to estimate the potential review workload and to avoid conflict of interest in the review. The letter of intent is to be sent to Dr. C. James Scheirer, at the address listed under APPLICATION PROCEDURES. APPLICATION PROCEDURES The research grant application form PHS 398 (rev. 4/98) is to be used in applying for these grants, with the modifications noted below. 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, Email: grantsinfo@nih.gov; and on the internet at: https://grants.nih.gov/grants/funding/phs398/phs398.html The RFA label found in the PHS 398 (rev. 4/98) application form must be affixed to the bottom of the face page 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 (NHLBI MENTORED RESEARCH SCIENTIST DEVELOPMENT AWARD FOR MINORITY FACULTY (K01)) and number (HL-99-020) must be typed on line 2 of the face page of the application form and on the RFA label 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 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, send an additional two copies of the application to: Dr. C. James Scheirer Division of Extramural Affairs National Heart, Lung, and Blood Institute 6701 Rockledge Drive, MSC 7924 Bethesda, MD 20892-7924 Telephone: (301 435-0266 FAX: (301) 480-3541 Email: js110j@nih.gov It is important to send these two copies at the same time as the original and three copies are sent to the Center for Scientific Review (CSR). These copies are used to identify conflicts and help ensure the appropriate and timely review of the application. Applications must be received by August 26, 1999. 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 Center for Scientific Review 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, a process may be used by the initial review group in which applications 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 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 Mentored Research Scientist Development Award for Minority Faculty program: Candidate -- The candidate's overall competence as demonstrated by academic record and research performance, potential for a career as an independent researcher, and commitment toward pursuit of an academic research career. Career Development Plan -- The adequacy of the research career development plan, based on the candidate's past research experience, training, and career goals as demonstrated by such things as maintenance of a research laboratory, attendance at scientific meetings, and participation in journal clubs and research seminars. Research Project -- Scientific merit of the proposed research project and its appropriateness as a vehicle for developing the candidate's research skills. Mentor(s) -- The mentor's accomplishments in the scientific research area(s) proposed, experience and record in training investigators, and commitment for the duration of a candidate's research development. A curriculum vitae with relevant publications and a list of current and pending research support must be included for all sponsors. 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. Environment -- The applicant institution's ability to provide adequate facilities, resources, and opportunities necessary for the candidate's training, and the institutional commitment to the candidate. If different from the applicant institution, 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. Institutional commitment -- The institution's commitment to the development of the candidate Other Considerations -- The personnel category will be reviewed for appropriate staffing based on the requested percent effort and justification provided. Because the research training environment provides a powerful context in which to promote responsible research practices, all competing applications must include a description of formal or informal activities or instruction related to the responsible conduct of research that will be incorporated into the proposed research training program. AWARD CRITERIA The following will be considered in making funding decisions: o Scientific, technical, and career development merit of the application as determined by peer review; o Availability of funds; and o Program balance among the research areas of the RFA. INQUIRIES Written and telephone inquiries concerning this RFA are encouraged. The opportunity to clarify any issues or questions from potential applicants is welcome. Direct inquiries regarding program guidelines, supplemental instructions, or programmatic issues to: Lorraine M. Silsbee, M.H.S. Division of Epidemiology and Clinical Applications National Heart, Lung, and Blood Institute 6701 Rockledge Drive, MSC 7934 Bethesda, MD 20892-7934 Telephone: (301) 435-0709 FAX: (301) 480-1667 Email: Lorraine_Silsbee@nih.gov Direct inquiries regarding fiscal matters to: Marie Willett Grants Operations Branch National Heart, Lung, and Blood Institute 6701 Rockledge Drive, MSC 7926 Bethesda, MD 20892-7926 Telephone: (301) 435-0144 FAX: (301) 480-3310 Email: marie_willett@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 the authority 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 grant policies and Federal Regulations at 42 CFR 52 and 45 CFR Part 74. 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 and contract 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 PHS mission to protect and advance the physical and mental health of the American people.
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