Supplemental Guidelines for the Ruth L. Kirschstein
Institutional National Research Service Award (T32)

National Heart, Lung, and Blood Institute
National Institutes of Health

Revised October 5, 2009

Update: The following update relating to this announcement/supplemental guidelines has been issued:

• September 22, 2009 - See Notice NOT-OD-09-150 Clarification of All Personnel Report in the Revised PHS 2590 (DHHS Public Health Service Noncompeting Continuation Progress Report)
• September 16, 2009 - See Notice NOT-OD-09-149 Restructured Application Forms and Instructions for Submissions for FY2011 Funding. This notice announces that new, restructured versions of the paper PHS 398 and electronic SF 424 (R&R) application packages and instructions will be available by December 2009.
• August 28, 2009 - See Notice NOT-OD-09-141 New Reporting and Assurance Requirements for Institutions Receiving Awards for Training of Graduate Students for Doctoral Degrees.
• August 28, 2009 - See Notice NOT-OD-09-140 New Requirement for eRA Commons User IDs for Individuals in a Postdoctoral Project Role with Measurable Effort on an NIH Annual Progress Report (PHS 2590).
• August 28, 2009 - See Notice NOT-OD-09-139 Revised PHS 2590 (DHHS Public Health Service Noncompeting Continuation Progress Report) Now Available-Policy Changes Implemented.
• August 21, 2009 - See Notice NOT-OD-09-135 Amendment to the Instructions for Ruth L. Kirschstein National Research Service Award (NRSA) Institutional Research Training Grant Applications and Other Research Training and Research Education Grant Applications Using Form PHS 398 Fillable Data Tables. This notice amends the instructions for reporting pre-enrollment data on individuals with disabilities and individuals from disadvantaged backgrounds.
• June 25, 2009 - See Notice NOT-OD-09-113 Announcing a Delay in Transition to Electronic Submission of Applications for Institutional Training and Institutional Career Development Programs.
• March 27, 2009 - See Notice NOT-OD-09-074 Enhancing Peer Review: The NIH Announces Consolidation of Review Criteria for Institutional Research Training Grant Applications (T32) Submitted for FY 2010 Funding.
• February 10, 2009 - See Notice NOT-OD-09-049 Notice of Re-issuance of Kirschstein-NRSA T32.
• December 2, 2008 - See Notice NOT-OD-09-024 Enhancing Peer Review: The NIH Announces New Scoring Procedures for Evaluation of Research Applications Received for Potential FY2010 Funding.
• November 7, 2008 - See Notice NOT-OD-09-016 Clarification on New NIH Policy on Resubmission (Amended) Applications.
• October 8, 2008 - See Notice NOT-OD-09-003 New NIH Policy on Resubmission (Amended) Applications.

This document contains instructions for preparing applications for the National Heart, Lung, and Blood Institute (NHLBI) Institutional National Research Service Awards (T32). These instructions must be used for all T32 applications submitted to the NHLBI effective with the January 25, 2009 receipt date for new, renewal (competing continuation) and resubmission (revised/amended) applications and the September 25, 2009 receipt date for resubmission (revised/amended) applications, and are to be used in conjunction with the National Institutes of Health (NIH) T32 Program Announcement (PA-08-226), the PHS 398, referenced under General Information, VI. Other Documents Required for Preparing Applications, and the NHLBI Notice of Change in Submission Dates, NOT-HL-07-109.

Receipt dates for competing applications:

• January 25 - The NHLBI will accept all types of competing T32 applications (new, renewal/competing continuation, resubmission/amended) on this date.
• September 25 - Only resubmission/amended T32 applications will be accepted on this date.

Also included in this document are:

• Frequently Asked Questions for T32 applications;
• Recruitment and Retention Plan to Enhance Diversity; and
• Policy on Applications with Direct Costs of $500,000 or More in any One Year

All potential applicants, whether applying for new or renewal awards, are encouraged to consult with NHLBI program staff listed under General Information, VII. Staff Contacts early in the preparation process.

Contents:

General Information

I.___Introduction

II. __Special Requirements and Provisions

III.__Application Procedures

IV.__Review Procedures and Criteria

V. __Award Criteria

VI.__Other Documents Required for Preparing Applications

VII.__Staff Contacts

Preparation Instructions

Frequently Asked Questions

Recruitment and Retention Plan to Enhance Diversity

General Information

I.      Introduction

Areas of training to receive increased emphasis by NHLBI include:

1. providing multidisciplinary training and exposure of trainees to collaborative research;
   
2. developing new investigators with the necessary competencies and breadth of expertise needed for the future of biomedical research;
   
3. ensuring that trainees receive adequate mentorship, and that mentorship is taught and evaluated;
   
4. recruiting and retaining such investigators in the scientific workforce and ensuring adequate representation of the nation’s diversity in that workforce; and
   
5. providing a continued flow of qualified physician-scientists able to translate findings freely between the basic and clinical spheres.

To ensure that T32 applications address these areas of emphasis, the NHLBI has set forth the following specific requirements and review criteria.

II.     Special Requirements and Provisions

A. Special NHLBI Programmatic Emphases:

1. Multidisciplinary training

a. At all stages of education and training, Program Directors should foster broad, multidisciplinary approaches to research, including encouragement of interaction and collaboration among trainees in related disciplines. This could include travel by trainees to other laboratories outside the applicant institution to receive training in specialized disciplines, methodologies, or technologies.

b. Program Directors should encourage new trainees to widen the scope of their interests and capabilities, to avoid too narrow a focus too early in their careers and to develop the flexibility needed for pursuing rapidly evolving scientific advances.

c. NHLBI encourages development of novel programs of research training, to emphasize multidisciplinary team approaches, networking, and collaboration, emphasizing the competencies needed for the future of biomedical research.

d. NHLBI encourages development of “virtual” research training centers, to link (electronically or through other means) multiple institutions with unique or specific expertise to address a common problem. Program Directors are encouraged to broaden training experiences beyond a single institution (in academia and industry) using both long and short-term training experiences. Such experiences might include exchanges of faculty and students. Plans should be described for how interactions among participants will take place.

2. Necessary competencies

a. Applicants are encouraged to identify scientific disciplines and evolving areas of scientific need which are currently under-represented and to design and implement training programs in such disciplines. Documentation of available opportunities in such fields and of the lack of qualified scientists to realize these opportunities should be included to justify emphasis on these evolving areas.

b. Programs in disciplines related to clinical research should also include training in bioethics, clinical trials and behavioral science. When possible and appropriate, training programs should include training in state-of-the-art technologies, integrative approaches, and such mathematically-based areas as bioinformatics, computational biology, and statistics.

c. Training at the pre- and postdoctoral levels should include “survival skills” such as grant and manuscript writing, public speaking, obtaining funding, mentorship (that is, providing skills that will enable current trainees to train subsequent “generations” of scientists), and establishing research collaborations in a multidisciplinary setting.

3. Mentorship

a. NHLBI encourages “group mentorship,” where multiple senior partners in team-based research lend their individual expertise to the trainee, as appropriate to the trainee's level of development and under the overall guidance of the Program Director.

b. Applications should have a detailed mentoring plan for the "typical" trainee and should describe the process by which such plans will be developed for future trainees. Items to be discussed in a mentoring plan may include: 1) a description of approaches to be used in mentoring; 2) experience and expertise of mentors and proposed time commitment; 3) training in oral and written communication and personal interactions; 4) career planning; and 5) methods for evaluating and reporting effectiveness of mentoring program in annual progress reports. Formal evaluation by trainees is encouraged. Formal evaluation of trainees by their mentors or advisory committees is also encouraged.

c. Applicant institutions should demonstrate their support of mentoring, in terms of institutional administrative support, protected time for mentoring, and departmental support for student activities. They should detail the steps taken to ensure that trainees are aware of what they may expect from their mentors and institutions and what in turn is expected of them.

d. Consideration should be given to including as mentors or co-mentors junior faculty who have established active, independent research programs early in their careers. The mentoring abilities of dynamic young investigators may need to be documented in ways other than a long track record of producing seasoned independent investigators, but the value of such individuals as role models should not be underestimated. Likewise effort should be made in mentoring junior faculty to provide a pipeline for program mentoring stability.

e. Where possible and practical, the training experience should be broadened by encouraging the active participation of scientists and laboratories in industry settings. This could include industry scientists acting as mentors on training grants or providing short-term experiences in industry settings for trainees. Cost sharing in such partnerships on the part of industry is encouraged.

4. Workforce diversity

a. NHLBI is strongly committed to ensuring diversity in its research training programs. Each application must include plans for active recruitment of individuals from diverse backgrounds such as individuals from underrepresented racial and ethnic groups, individuals with disabilities, and individuals from socially, culturally, economically, or educationally disadvantaged backgrounds that have inhibited their ability to pursue a career in health-related research. The definition of diversity recruitment groups and detailed instructions on preparing the diversity recruitment portion of the application can be found in Item 8.9.4 in the PHS-398, referenced under General Information, VI., Other Documents Required for Preparing Applications. The diversity recruitment plan must be specific for the program proposed and should not rely on the diversity recruitment efforts of the institution. Applicants should also describe their personal involvement in recruitment efforts for the specific application (visits to minority institutions, personal follow-up of potential applicants and interviewees, etc). Applications without adequate diversity recruitment plans will not be awarded until an adequate recruitment plan is received and approved. Additional information regarding recruitment strategies for underrepresented individuals from racial and ethnic groups, individuals with disabilities, and individuals from disadvantaged backgrounds can be found at the following link: http://www.nhlbi.nih.gov/funding/policies/t32/t32recruitment.htm.

Once all training positions are filled, including adequate representation of individuals from diverse backgrounds, institutional NRSA training grants funded by NHLBI may request an administrative increase to support training of an additional trainee from an underrepresented racial/ethnic group, a trainee with a disability, and/or an individual from a disadvantaged background. While NRSA pre- and postdoctoral trainees are usually at an advanced level of achievement, candidates who remain disadvantaged will be considered for an additional position on the training grant on a case-by-case basis. Procedures for requesting these administrative increases are available at: http://www.nhlbi.nih.gov/funding/policies/t32slotpros.htm.

b. The NRSA program has a program for limited part-time training for trainees beginning families and facing other unique pressures, which is described in the NIH T32 Program Announcement PA-08-226 (see General Information, VI. Other Documents Required for Preparing Applications).

5. Clinical research

a. NHLBI encourages development of physician-investigators with necessary skills to translate research findings from the laboratory and clinical research program into clinical practice.

b. Programs of clinical relevance should be established for PhD scientist-trainees, with an emphasis on postdoctoral training and course work in human biology and behavioral science, and population-based research to facilitate their subsequent engagement in human subjects research or clinical trials.

c. Applicants are encouraged to develop innovative approaches to training physicians and non-physicians in clinical research skills in the context of NHLBI clinical networks and multicenter studies. Such training can be facilitated by building on existing study infrastructure and ongoing activities. Programs that foster translational research skills bridging basic and clinical research, or clinical and population-based research are encouraged.

1. Support may be requested for predoctoral training, postdoctoral training, or a combination of both as defined under the NRSA guidelines. In addition, applicants may request support for short-term (that is, 2-3 months' duration) research training positions for students enrolled in a program leading to a clinical doctorate or a masters or doctorate in a physical or quantitative science such as physics, chemistry, mathematics, or engineering.
   
   
2. NHLBI will not award costs through the tuition and fees category for items such as malpractice insurance, computer fees, or radioactive waste disposal.
   
   
3. Trainee Travel: Up to $1,400 per trainee per year may be requested for trainee travel (for pre- and post-doctoral trainees only) and up to $500 per trainee per year may requested for short-term trainees.
   
   
4. Stipend increases are reviewed annually and will be incorporated into future year commitments. Actual funding levels for each budget period will be determined annually following NHLBI staff evaluation of the non-competing renewal application.
   
   
5. New strategies to manage the number of Full-Time Training Positions (FTTPs) will enable the NHLBI to support a greater number of meritorious training programs. During FY 2008 and thereafter, FTTP allocations will be held to the following limits:
   

New programs (Type 1) can request no more than 8 FTTPs.

Renewal/Competing Continuations (Type 2) that had 12 or fewer FTTPs during the previous period will be capped at 12.

Renewal/Competing Continuations that had more than 12 FTTPs during the prior award period will be capped at the previous number.

Renewal/Competing Continuations that entail a change of program director since the prior award period will be capped at 8 FTTPs.

III.   Application Procedures

A.    Application Receipt and Award Dates:

Receipt dates for competing applications:

• January 25 - The NHLBI will accept all types of competing T32 applications (new, renewal/competing continuation, resubmission/amended) on this date.
• September 25 - Only resubmission/amended T32 applications will be accepted on this date.

Award Date:

New competing awards for T32 grants will be issued as early as February. Competing Renewals will usually follow the dates of the last non-competing award end date.

B.    Applications with Direct Costs of $500,000 or More in any One Year:

Applications for NRSA Institutional Grants requesting $500,000 or more in direct costs for any year must obtain, prior to submission, NHLBI agreement to accept their applications for consideration. This policy applies to new competing, renewal/competing continuation, and resubmission/amended applications. Requests must be received by the NHLBI no later than 6 weeks prior to the application receipt dates (see A. above). Without this advance acceptance, applications will be returned by the Center for Scientific Review.

Amended Applications: NHLBI agreement to accept an application includes a statement that the Institute will automatically accept a single resubmission (amended) application (i.e., and "A1" application) provided that the proposed aims and total direct costs per year remain unchanged (excluding adjustments for changes in stipend levels or other allowable costs mandated by NRSA, or reductions in response to peer review).

The NHLBI will not accept a second resubmission application (i.e., an "A2" application) requesting $500,000 or more in direct costs in any year regardless of the direct costs requested in the previous submissions.

Procedures: The training director must send a written request to NHLBI at least 6 weeks in advance of the application receipt date. The letter, countersigned by an institutional business official, should be addressed to the Director of the appropriate NHLBI division as identified below, and include:

• Number of training positions that will be requested and what level (pre, post, short-term);
• For competing renewal applications, state whether that is the same number and type of positions as the last 5 years, or an increase; in the case of an increase, provide a brief justification;
• For competing renewals, are any substantial changes to the training program proposed, (e.g., the types and levels of students to be trained, or in the scientific areas of training);
• Include two budget pages - Kirschstein-NRSA-Substitute form pages 4 and 5 (http://grants.nih.gov/grants/funding/phs398/nrsafp4.pdf and http://grants.nih.gov/grants/funding/phs398/nrsafp5.pdf);
• Do not apply the NIH tuition formula to the dollars requested, list the actual costs of tuition.

Criteria for Acceptance: NHLBI considers the following criteria in determining whether to accept a proposed application:

• the proposed research training is relevant to the NHLBI mission;
• the proposed research training complements ongoing or new NHLBI programs;
• the proposed research training will provide a valuable addition to existing knowledge;
• the proposed annual costs are reasonable;
• the proposed plans for data sharing;
• the proposed annual costs are reasonable given the prior training record of the faculty involved and, for renewal (competing continuation) applications, on how many of the trainee slots for which funds have been provided have been used;
• and for all proposed research involving human subjects, the following additional criteria:
  • the proposed research is applicable to public health.

Acceptance: Within two to six weeks of receipt of the request letter, NHLBI staff will inform the applicant whether or not to proceed with submission of the proposed application. The acceptance letter from the NHLBI must be included with the cover letter of the application. The NIH Center for Scientific Review will not accept the application without documentation of NHLBI permission to submit an application.

NHLBI Extramural Program Division Directors: All written requests for NHLBI agreement to accept applications subject to this policy are to be submitted to one of the following Division Directors:

Division of Cardiovascular Diseases
Dr. Sonia Skarlatos (Acting)
NHLBI/DCVD
Two Rockledge Center, Room 8124
6701 Rockledge Drive, MSC 7940
Bethesda, MD 20892-7940
Phone: 301-435-0477
Fax: 301-480-7971
Email: skarlats@nhlbi.nih.gov

Division of Lung Diseases
Dr. James Kiley
NHLBI/DLD
Two Rockledge Center, Room 10042
6701 Rockledge Drive, MSC 7952
Bethesda, MD 20892-7952
Phone: 301-435-0233
Fax: 301-480-3547
Email: kileyj@nhlbi.nih.gov

Division of Blood Diseases and Resources
Dr. Keith Hoots
NHLBI/DBDR
Two Rockledge Center
6701 Rockledge Drive, MSC 7950
Bethesda, MD 20892-7950
Phone: 301-435-0080
Fax: 301-480-0867
Email: hootswk@nhlbi.nih.gov

Division of Prevention and Population Sciences
Dr. Michael Lauer
NHLBI/DPPS
Two Rockledge Center, Room 10122
6701 Rockledge Drive, MSC 7936
Bethesda, MD 20892-7936
Phone: 301-435-0422
Fax: 301-480-1864
Email: lauerm@nhlbi.nih.gov

C.    Where to Send the Application:

The signed original and five complete photocopies of the application; with full Appendix materials submitted on CD (see http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-031.html) should be submitted to the Center for Scientific Review (CSR), NIH, at the following address:

Center for Scientific Review
National Institutes of Health
6701 Rockledge Drive, Room 1040, MSC 7710
Bethesda, Maryland 20892-7710 (U.S. Postal Service Express or regular mail)
Bethesda, Maryland 20817 (for express/courier service; non-USPS service)

Personal deliveries of applications are no longer permitted (see http://grants.nih.gov/grants/guide/notice-files/NOT-OD-03-040.html.)

To expedite the review process conducted by NHLBI, one additional signed complete photocopy with full appendix materials submitted on CD of the application should be sent to:

Chief, Review Branch
Division of Extramural Research Activities
National Heart, Lung, and Blood Institute
Two Rockledge Center, Suite 7214
6701 Rockledge Drive, MSC 7924
Bethesda, MD 20892-7924
Bethesda, MD 20817 (express/courier service)

Prior to submission, applicants are strongly encouraged to contact the appropriate NHLBI program director to discuss preparation and review of the application (see General Information, VII. Staff Contacts).

IV.   Review Procedures and Criteria

A.    Review Procedures:

Applications judged to be complete and eligible will be evaluated for merit by a peer review group convened by the NHLBI Division of Extramural Research Activities. Applications will receive a second-level review by the National Heart, Lung, and Blood Advisory Council to ensure that they meet the broad programmatic needs and priorities of the NHLBI.

B.    Review Criteria: See Notice NOT-09-074 Enhancing Peer Review: The NIH Announces Consolidation of Peer Review Criteria for Institutional Research Training Grant Applications (T32) Submitted for FY 2010 Funding.

V. Award Criteria

Shortly after review of the competing application by the National Heart, Lung, and Blood Advisory Council, the NHLBI will notify the applicant of his/her funding status. Awards are made based on the availability of funds each fiscal year, the degree of merit as determined by peer reviewers and the program priorities of the NHLBI.

VI. Other Documents Required for Preparing Applications

In addition to this document, there are four other documents necessary for the preparation of the NHLBI T32 application:

1. Ruth L. Kirschstein National Research Service Award (NRSA) Institutional Research Training Grants (T32)” Program Announcement PA-08-226, issued in the NIH GUIDE FOR GRANTS AND CONTRACTS, August 1, 2008, available at: http://grants.nih.gov/grants/guide/pa-files/PA-08-226.html.

2. PHS 398 application kit with particular attention paid to Part I, 8., Instructions for Preparing an Institutional National Research Service Award Application, including Ruth L. Kirschstein - NRSA applications available at: http://grants.nih.gov/grants/funding/phs398/phs398.html.

3. Specific NHLBI funding guidelines for NRSA programs are described in “NHLBI Funding and Operating Guidelines: NRSA and Career Awards” (includes information on Limits on Full-Time Training Positions, Receipt Dates, and Stipend Levels) available at: http://www.nhlbi.nih.gov/funding/policies/nrsa.htm.

4. "Notice of New NIH Policy for Funding of Tuition, Fees, and Health Insurance on Ruth L. Kirschstein National Research Service Awards" available at: http://grants.nih.gov/grants/guide/notice-files/NOT-OD-06-093.html.

Additional Helpful Resources

Excellent guides to professional mentorship are available and prospective Program Directors are encouraged to use them in developing their training programs.

The NIH Intramural Program’s Guide to Training and Mentoring is available at: http://www1.od.nih.gov/oir/sourcebook/ethic-conduct/mentor-guide.htm.

The National Academy of Sciences has an extensive mentorship guide available at: http://www.nap.edu/openbook.php?record_id=5789.

VII. Staff Contacts

Programmatic or scientific issues: For more information and/or advice about the objectives and scope of this award, eligibility requirements, structure and organization of grant applications and peer review trends, please contact the scientific staff in the relevant Division as listed below. For applicants in the area of sleep disorders research, contact the Division most relevant to the training program being proposed.

For training in the program areas of the Division of Cardiovascular Diseases, contact:

Dr. Michael Commarato
Division of Cardiovascular Diseases
6701 Rockledge Drive
Bethesda, Maryland 20892-7940
Tel: 301-435-0535
Fax: 301-480-7971
Email: commaram@nhlbi.nih.gov

For training in the program areas of Division of Lung Diseases, contact:

Ms. Ann Rothgeb
Division of Lung Diseases
6701 Rockledge Drive
Bethesda, Maryland 20892-7952
Tel: 301-435-0202
Fax: 301-480-3557
Email: rothgeba@nhlbi.nih.gov

For training in the program areas of the Division of Blood Diseases and Resources, contact:

Dr. Henry Chang
Division of Blood Diseases and Resources
6701 Rockledge Drive
Bethesda, Maryland 20892-7950
Tel: 301-435-0067
Fax: 301-480-0867
Email: changh@nhlbi.nih.gov

For training in the program areas of the Division of Prevention and Population Sciences, contact:

Dr. Charlotte Pratt
Division of Prevention and Population Sciences
6701 Rockledge Drive
Bethesda, Maryland 20892-7936
Tel: 301-435-0382
Fax: 301-480-5158
Email: prattc@nhlbi.nih.gov

Fiscal Issues:

For more information about the appropriate procedures for dealing with issues that involve budget and period of support of the award or that involve any other issues requiring approval by the NHLBI or post award actions, please contact the Grants Management Specialist listed below:

Ms. Beckie Chamberlin
Division of Extramural Research Activities
6701 Rockledge Drive
Bethesda, Maryland 20892-7926
Tel: 301-435-0183
Fax: 301-451-5462
Email: chamberr@nhlbi.nih.gov

Preparation Instructions

Follow the instructions in the PHS 398, Part I, 8., Instructions for Preparing an Institutional National Research Service Award Application including Ruth L. Kirschstein NRSA applications. Please use the NIH tables located in PHS 398 Part I, 8., to complete your application. The NHLBI suggested tabular formats are no longer accessible.