RISE Program Policy Statement

The Institution
Students
Faculty

Human Subjects
Animal Subjects
Biohazards

Information Required for the Overall Application
Development Plan: Information Required for the Faculty and/or Student Developmental Activity
Examples of Faculty and/or Student Developmental Activities
Information Required for Each Institutional Developmental Activity
Examples of Institutional Developmental Activities

Allowable Costs
Unallowable Costs

Review of the Overall Program
Review Criteria for Student and Faculty Developmental Activities
Review Criteria for Institutional Developmental Activities

The Program Director
Rebudgeting
Functions of the Institutional MBRS Advisory Committee

Noncompeting and Competing Continuation Applications
Progress Reports as Part of Noncompeting and Competing Continuation Applications
Financial Reports
Streamlined Noncompeting Award Process (SNAP)

I. Purpose

The purpose of the MBRS Research Initiative for Scientific Enhancement (RISE) Program is to enhance the research environment at minority-serving institutions. The overall goal is to increase the interest, skills, and competitiveness of students and faculty in pursuit of biomedical research careers. The RISE Program provides flexibility in faculty and student development activities, as well as provides an opportunity for development of the institution's research and research education capability. In addition, NIGMS recognizes that minority and minority-serving institutions are diverse in institutional environment and mission. Therefore, with respect to evaluation of the efficacy of program activities, the RISE Program requires that each institution set its own goals and measurable objectives that are based on its self assessment and that it identify anticipated milestones for achievement.

II. Eligibility Requirements

The Institution

To be eligible for a grant under this program, an applicant must be located in a State, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, Guam, American Samoa, or the successor States of the Trust Territory of the Pacific Islands (the Federated States of Micronesia, the Republic of the Marshall Islands, the Republic of Palau), and be one of the following:

• a public or private nonprofit university, 2-year or 4-year college, or other institution offering undergraduate, graduate, or health-professional degrees, with a traditionally high (more than 50 percent) underrepresented minority student enrollment;
• a public or private nonprofit university, 2-year or 4-year college, or other institution offering undergraduate, graduate, or health-professional degrees with a student enrollment, a significant proportion of which (but not necessarily more than 50 percent) is derived from underrepresented minorities, provided the Secretary of the Department of Health and Human Services determines that said institution has a demonstrated commitment to the special encouragement of, and assistance to, underrepresented minority faculty, students, and investigators; or
• a 2-year or 4-year college or health education entity associated with or run by an Indian tribe that has a recognized governing body and that performs substantial governmental functions, or an Alaska Regional Corporation (ARC), as defined in the Alaska Native Claims Settlement Act (43 U.S.C. 1601 et seq.).

Underrepresented minorities are 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. Historically, individuals who have been found to be underrepresented in biomedical or behavioral research include, but are not limited to, U.S. citizens who are Hispanic Americans, African Americans, Native Americans (including Alaska Natives), and natives of the U.S. Pacific Islands.

Eligibility of all new and competing renewal applicant institutions must be established prior to submitting an application. A written statement containing the following information should be sent to the Chief, MBRS Branch (see Inquiries) in order to establish eligibility:

• the total student enrollment at the institution and percentages of various underrepresented minorities in the total student population (i.e., Native American, African American, Hispanic American, natives of the U.S. Pacific Islands);
• the number of underrepresented minority students in science departments;
• evidence of the institution's commitment to the advancement of underrepresented minority faculty and investigators, including numbers of minority faculty in science departments; and number, rank, and percentage of minority faculty members in participating departments;
• number of minority students graduating from participating departments over the last 4 years;
• evidence that the institution's mission includes involvement of faculty and students in scholarly research activities; and
• evidence of the institution's commitment to establish, maintain, or improve the research environment and infrastructure supporting biomedical or health-related research.

Institutions supported by the Initiative for Maximizing Student Diversity are not eligible for the RISE Program. Each institution may have only one active RISE program grant.

Students

It is the responsibility of the grantee institution to monitor the qualifications of students prior to their MBRS participation. A student participating in the MBRS program must be a citizen or a non-citizen national of the United States or have been lawfully admitted for permanent residence. (A non-citizen national is a person who, although not a citizen of the Unites States, owes permanent allegiance to the U.S. They are generally persons born in lands that are not states, but are under U.S. sovereignty, jurisdiction, or administration, for example, American Samoa. An individual lawfully admitted for permanent residence must possess an alien registration receipt card (I-151) or (I-551) prior to appointment on the grant. Individuals on temporary visas are not eligible for support from the MBRS Program.)

In order to qualify for the MBRS Program, a student must be enrolled as a full-time student at the grantee institution.

Faculty

To be eligible to participate in the RISE Program, a faculty member must have a full time faculty appointment at the university.

III. Mechanism of Support

Awards under this program will use the institutional education project (R25) grant mechanism. Responsibility for the planning, direction, execution, and tracking for evaluation of the proposed project will be solely that of the applicant institutions. The total project period for an application submitted in response to this program announcement may not exceed 4 years and is renewable. A budget for each year must be provided. Facilities and Administration (F&A) costs will be paid at 8 percent of the direct costs for faculty and student development activities, minus appropriate exclusions.

IV. Objectives

In the NIH Revitalization Act of 1993, NIH was encouraged to increase the number of underrepresented minorities participating in biomedical and behavioral research. To bring about that increase, the RISE Program seeks to enhance the interest, skills, and competitiveness of students and faculty pursuing biomedical research careers at MBRS eligible institutions. The RISE Program supports faculty, student, and institutional development activities at both undergraduate and graduate institutions. With respect to evaluation of the efficacy of program activities, the RISE Program requires that each institution set its own goals and measurable objectives based on its self assessment and that it identify anticipated milestones for achievements.

V. Protection from Research Risks

Human Subjects

Prior to the employment of any individual (faculty or student) in a research project involving human subjects either at the applicant institution or at an off-campus laboratory, the applicant institution needs to assure compliance, designate an Institutional Review Board (IRB), and provide evidence of IRB approval prior to funding.

• Information on Assurance of Compliance, and other issues involving research using human subjects can be found in the Form PHS 398, pages 7-8, 16-18, as well as the Grants Policy Statement. In doubtful cases, including institutions that do not hold an Assurance of Compliance, please contact the Office for Human Research Protections, Department of Health and Human Services.
• For applicant institutions with Multiple Project Assurances, copies of the certification should be included in the application. If certification is completed after submission of the application, a copy must be sent to the Scientific Review Administrator within 60 days or the application will be deferred.

Animal Subjects

Prior to the employment of any individual (faculty or student) in a research project involving laboratory animals either at the applicant institution or at a host institution, the applicant institution (receiving the PHS funds) must have an approved Animal Welfare Assurance of Compliance from the Office of Laboratory Animal Welfare (OLAW), NIH.

• If the applicant institution does not have its own animal facility and program and plans to rely on performance sites for conduct of animal activity, then an Inter-Institutional Agreement/Assurance is negotiated with the applicant institution prior to award. All performance site institutions must have full Animal Welfare Assurances on file with OLAW.
• Information on Animal Welfare Assurance of Compliance, and other issues involving research using animal subjects can be found in the Form PHS 398, pages 8 and 18, as well as the Grants Policy Statement. In doubtful cases, including institutions that do not hold an Animal Welfare Assurance of Compliance, please contact the Office of Laboratory Animal Welfare, NIH.
• For institutions with Animal Welfare Assurances, copies of the certification should be included in the application. If certification is completed after submission of the application, a copy must be sent to the Scientific Review Administrator within 60 days or the application will be deferred.

Biohazards

Grantees are expected to safeguard against and provide appropriate training for use of research materials or research-related conditions which constitute a hazard to the health and safety of laboratory workers and others in the immediate environment where such research is being carried out. Examples of such hazards are physical agents such as noise and temperature, ionizing radiation, chemical agents such as carcinogens and toxic chemicals, and biological agents such as pathogens and human blood.

The MBRS RISE program director and advisory committee must be diligent in assuring that exposure of MBRS RISE participants to research hazards is minimized. In some cases, this may mean that a new institutional committee must be formed. At other institutions, the tasks may be as simple as assuring that safety and radiation officers (or committees) are active. Attention should be given to:

• pre-use training of personnel;
• storage or containment of the hazard;
• use of a log to record usage;
• monitoring exposure to the hazard;
• decontamination procedures, where applicable; and
• methods for disposal of hazardous substances.

Failure to provide the detailed procedure for elimination or containment of the hazard may result in denial or revocation of funding.

VI. Application Procedures

Applications are to be submitted using the grant application Form PHS 398. Applicants are strongly urged to contact MBRS program staff at an early stage to request the MBRS-specific supplemental instructions for Form PHS 398. Application kits and supplemental instructions may be obtained from the MBRS program contact listed under Inquiries. Application kits are also available at most institutional offices of sponsored research and may be obtained from the Division of Extramural Outreach and Information Resources, National Institutes of Health, 6701 Rockledge Drive, MSC 7910, Bethesda, MD 20892-7910, telephone (301) 435-0714, E-mail GrantsInfo@nih.gov. The application is also available at http://grants.nih.gov/grants/forms.htm.

An applicant planning to submit a new (Type 1) grant application requesting $750,000 or more in direct costs for any year must contact the Chief, MBRS Branch (see Inquiries) before submitting the application, i.e., as plans are being developed. Furthermore, the applicant must obtain agreement that NIGMS will accept the application for consideration for award. Finally, the applicant must identify, in the cover letter that is sent with the application, the staff member who agreed to accept assignment of the application.

Submit a signed, typewritten original of the application, including the Checklist, and three single-sided photocopies of the signed application in one package to:

Center for Scientific Review
National Institutes of Health
6701 Rockledge Drive, Room 1040 - MSC 7710
Bethesda, MD 20872-7710
or, Bethesda, MD 20817 (For Express/Courier Service)

Receipt dates for all MBRS RISE applications including supplemental and revised applications are February 1, June 1, and October 1. Applications must be postmarked by these dates. Supplemental applications may be submitted during the first 18-month period of a 4 year grant, and may not extend beyond the project period of the parent grant.

At the time of submission, two additional single-sided photocopies of the application must also be sent to the Chief, Office of Scientific Review at NIGMS listed under Inquiries.

Applicants are urged to contact MBRS program staff at an early stage for assistance and guidance in developing an application.

VII. Unified Plan

Institutions with active or pending Support for Continuous Research Excellence (SCORE), Minority Access to Research Careers (MARC) U*STAR, Bridges to the Doctorate, Bridges to the Baccalaureate Degree, Research Infrastructure in Minority Institutions (RIMI), Specialized Neuroscience Research Programs at Minority Institutions, and/or other minority student/faculty support programs from private or public funding agencies may also apply for the MBRS RISE Program grant. However, the institution must describe how the funds from the RISE Program will complement these other awards. Institutions must describe/explain any overlap in research aims/objectives. In particular, describe how the research and research-related activities (goals and objectives) supported by different programs will complement each other. Describe how administrative staff (secretarial assistance, administrative assistance) will be shared between RISE and other programs.

VIII. Evaluation

The purpose of the MBRS RISE Program is to enhance the research environment at minority-serving institutions. The goal is to increase the interest, skills, and competitiveness of students and faculty in pursuit of biomedical research careers. Applicants should note that evaluation of progress is a necessary component of every MBRS program; this program requires that annually (in a competitive or noncompeting renewal application), each institution assess progress made toward its own goals and measurable objectives including milestones for accomplishment. Institutions are expected to identify the goals, measurable objectives, and to set milestones appropriate to the institution's current research infrastructure and their current research education capability. The goals and objectives should relate to the overall goals of the MBRS program and to the institution's research development plans. Therefore, the emphasis of evaluation activities is on self-study and on continual improvement of the institution's research capabilities.

The applicant institution should assess the benefits of the RISE program's activities on specific, measurable outcomes identified by the applicant. Since the goal is to increase the interest, skills, and competitiveness of students and faculty in pursuit of biomedical research careers, it is expected that institutions will implement various strategies for determining the success of the initial and ongoing activities of their institution's developmental efforts. Such strategies might include a self-study, which focuses on fact-finding, program evaluation, and recommendations for improvement in key areas.

In the progress report presented in each competitive renewal and noncompeting renewal application (reported on Form PHS 2590), the institution will assess the overall progress realized as the result of the MBRS RISE award. A central aspect of the RISE grant application (that distinguishes it from previous MBRS programs) is that each successful application has specific, measurable objectives with anticipated milestones, and a plan to evaluate whether those objectives have been met.

IX. Application Content

The MBRS RISE Program is institutional in scope. Its purpose is to enhance the research environment at minority-serving institutions, with the overall goal of increasing the interest, skills, and competitiveness of all students and faculty in pursuit of biomedical research careers. Therefore, the application layout and organization should reflect the institutional nature of the proposed development plan and should be presented as an integrated set of developmental activities. In general, the overall goals and specific measurable objectives (including anticipated milestones) should reflect what the institution expects to accomplish as a result of implementing the developmental activities in the application. Secondly, the development plan should support the overall goals and specific measurable objectives of the institution. Developmental activities should give an indication of how they will support the institution's overall goals and specific measurable objectives.

Although the information that follows is presented as for separate activities, the application should not be a compilation of separate, independent activities working individually, but should reflect a development plan whose integrated components, the developmental activities, work together to support the overall goals and objectives of the proposed program.

Information Required for the Overall Application

• the institution's overall goal(s) and specific, measurable objectives including anticipated milestones for the MBRS RISE program;
• the institution's plan to provide opportunities for faculty and students to prepare for, and participate in, biomedical research and how these will support the institution's overall goals and measurable objectives;
• information on participating faculty, including off-campus research mentors, if any;
• information on the student pool including ethnic composition and distribution by participating departments;
• information on teaching and research education facilities and other resources; and
• overall evaluation plan.

Development Plan: Information Required for the Faculty and/or Student Developmental Activity

• description of the problem to be addressed by each proposed activity;
• goal and specific measurable objectives and anticipated milestones for each activity and how these will support the institution's overall plan;
• rationale for and feasibility of the approach chosen for each faculty and student development activity;
• detailed description of each component;
• information on participating instructors or research mentors;
• information on personnel and other resources;
• description, if applicable, of specific arrangements for providing faculty and students with on- or off-campus research experiences;
• letters of commitment and other expressions of interest by on-campus or off-campus scientists (laboratories and/or institutions), including the qualifications of the scientists to mentor and train students and faculty, and their current research support; and
• evaluation plan.

Examples of Faculty and/or Student Developmental Activities

As mentioned previously, the faculty and student developmental activities should be presented as an integrated program whose component parts, the developmental activities, work together to support the overall goals and objectives of the proposed program. In this context, applicants are encouraged to develop activities that address their own particular needs, strengths, and collaborative opportunities. Some examples of potential activities may include an interdisciplinary biomedical seminar series for faculty and students, on-campus or off-campus workshops, specialty courses, etc., for faculty and/or students on biomedical research techniques or methodologies (the objective of this activity is to provide an opportunity for faculty and/or students to enhance their research skills). Other possibilities are travel to scientific meetings for both faculty and students, off-campus research experiences for science faculty during the academic year and/or during the summer (this allows faculty to engage in biomedical research in established laboratories of research intensive universities, government, and industry). In addition, there is support available for students to engage in on-campus research experiences in established laboratories during the academic year, as well as off-campus laboratories of other research intensive universities, government, and industry; and support for students to engage in off-campus research experiences during the summer (these last two activities allow students to engage in biomedical research in established laboratories of research intensive universities).

Information Required for Each Institutional Developmental Activity

• goal(s) and specific measurable objectives in terms of added value of the renovation, remodeling, or equipment and how these support the overall goals and objectives of the institution;
• detailed description and justification of the renovation, remodeling activity, or equipment, including price quotations; and
• plan to evaluate progress towards achieving the goal(s), i.e., the impact of this activity on research education and opportunities at the institution.

Examples of Institutional Developmental Activities

An important objective of this program is the strengthening of the institution's capabilities to support research and research-related activities. Examples of the types of activities supported include remodeling or renovating an existing teaching or research education facility (up to $40,000) to provide space to carry out the proposed developmental activities. In addition, small pieces of equipment for classroom demonstration projects, or other justifiable uses are allowable.

X. Budget Preparation

Since the MBRS RISE Program is an integrated set of developmental activities, presentation of the budget should also reflect the integrated nature of the program. Presentation of the budget must use Form PHS 398, pages 4-5 and its instructions augmented by Supplemental Instructions for the RISE Program, a copy of which may be obtained from the Chief, MBRS Branch (see Inquiries).

Personnel: The personnel costs for the initial budget period should be presented as four categories: (1) the program director (principal investigator); (2) all personnel involved in the conduct/execution/delivery of the developmental activities. Each person should be listed and the duties identified; (3) graduate students; and (4) undergraduate students. Details for each category, including a thorough justification, should be included in the Justification section.

Consultant Costs: Consultant costs for the initial budget period should be entered. Details of the costs (e.g., costs for evaluation consultants, extramural trainers, etc.) should be presented and justified in the Justification section.

Supplies: Supply costs for the initial budget period should be entered. Details of the costs (e.g., supplies costs for administration of the grant, developmental activities, supply allotment for students in research projects, etc.) should be given and justified in the Justification section.

Travel: Travel (e.g., for the program director to attend the program directors' meeting, students and faculty to attend a scientific meeting, etc.) should be detailed and justified in the Justification section.

Alterations and Renovations (A&R): A&R costs (e.g., A&R costs when essential to carry out developmental activity, etc.) should be detailed and justified in the Justification section. A&R costs are limited to $40,000.

Other Expenses: Other expenses (e.g., tuition remission for graduate students) should be detailed and justified in the Justification section.

Allowable Costs

Allowable administrative costs of the program, provided that adequate justification is given, may include: salary support (up to 25 percent effort) for the program director for that portion of time or effort specifically employed in directing the MBRS RISE program; salary support for administrative assistance (e.g., secretarial, clerical, administrative assistant, student services, officer) when directly related to support of the MBRS program; and support for evaluation activities.

Allowable costs for developmental activities include salary support for associated technical assistance, consultant fees, equipment, travel (when benefits are provided to the program), supplies, alteration and renovation costs (up to $40,000) when justified as essential for the activity, animal maintenance, publication costs, computer charges, equipment maintenance, service contracts, consortium arrangements, and contractual costs for support services.

Support for faculty salaries as percent effort, with justification, is allowable. The MBRS RISE Program provides funds to cover that portion of the academic-year salary that is proportionate to the time spent on administering the MBRS developmental activities or involved in on- or off-campus research activities, and that is consistent with the institution's policy.

Summer salary support can be paid to the faculty engaged in research provided the institution's academic schedule permits such release and when the institution approves. When the investigator engages in research and research-related activities at the agreed-upon level of participation during the academic year, grant funds may not be used to increase or supplement faculty academic year salaries. The maximum summer-salary support provided by the program cannot exceed the equivalent of 2 months at 100 percent effort, or time specified by the institution as its policy.

Students matriculated full-time at the institution and participating in MBRS RISE student development activities are eligible to receive compensation. The maximum amount of MBRS funds to be paid as salary to a student should not exceed the salary levels normally paid to student employees doing comparable work at the same institution. Students who participate in research may also be compensated for work-related activities such as workshops and other on-campus developmental activities. Graduate students are allowed tuition remission as part of a compensation package. When requesting support for a graduate student, the applicant institution should provide in the budget justification section of the application the basis for the compensation level. NIGMS staff will review the requested compensation level and, if it is reasonable, will award the actual amount requested, up to a maximum of $26,000 (NIH Guide Notice Not-98-168, December 2, 1998 or see http://grants.nih.gov/grants/guide/index.html).

Unallowable Costs

Undergraduate tuition, housing, food, or recruitment expenses of any kind are not allowable costs under this program. Salary support for non-matriculated students is not allowable. Salary support solely for faculty mentoring is not allowable. Salary support for release time to write research applications is not allowable. Support for research projects is not allowable. Renovation costs to provide office space, gathering rooms, and meeting facilities are not allowable. Renovation costs above $40,000 are not allowable. Support for textbooks, incentives, memberships, and Internet subscriptions are not allowable.

Applicants are urged to contact program staff (see Inquiries) to resolve questions concerning unallowable costs.

XI. Qualifications of Program Director

As leader of the MBRS RISE program, the program director is expected to possess certain essential qualifications. One is strong leadership skills, including scientific leadership experience and a strong academic and scientific background, as exemplified, ideally, by scientific publications, a record of peer-reviewed scientific support, and teaching experience. In addition, the program director should have knowledge of NIH policies including those governing the use of human subjects, animals, and hazardous materials.

The MBRS Review Subcommittee reviews the qualifications of a proposed program director when the grant is initially submitted and at each competitive renewal. When a change in program director is proposed by the institution during the funding cycle, NIGMS staff perform the review and approve the substitution, as outlined in policy (see section on The Program Director below).

XII. Review Considerations (New, Competitive Renewal, and Supplemental Applications)

Upon receipt, NIH staff will administratively review applications. Applications that are incomplete and/or do not fall within the guidelines of the PHS Form 398, RISE policy, and/or supplemental instructions will be returned to the applicant without further consideration.

All revised applications, whether competitive renewal or supplemental applications, must include an introduction that summarizes the substantial additions, deletions, and changes, as well as responses to the criticisms and issues raised in the scientific review summary statement. The changes in the development plan must be clearly marked by appropriate bracketing, indenting, or changing of typography. If changes are so extensive that they include most of the text, explain this in the introduction.

Supplemental applications must include an introduction. The introduction to the supplemental application should contain an overall description of the nature of the supplement and how it will complement the current MBRS RISE Program.

After administrative review, applications will be evaluated in accordance with the criteria stated below for scientific and technical merit by appropriate peer review groups. The National Advisory General Medical Sciences Council will provide the second level of review.

Review of the Overall Program

In carrying out the scientific and technical merit review of the overall application, the initial review group will take into account:

• the feasibility and the likelihood of success of the proposal as defined by the stated goals, measurable objectives, anticipated milestones and/or outcomes, and the evaluation plan;
• the degree to which the institution's development plan may be expected to meet the goals to enhance the research environment and increase the interest, skills, and competitiveness of students and faculty in pursuit of biomedical research careers;
• how well the proposed student/faculty/institutional activities are integrated to meet the overall goals of the program plan;
• the appropriateness of the plan for evaluating the impact of the program on the institution and aptness of the criteria for evaluation of the individual activities to meet the goals of the overall plan;
• suitability of the program director and faculty to carry out the proposed program;
• availability of significant numbers of underrepresented minority students in the participating science departments interested in advanced studies in biomedical and health-related fields;
• evidence of institutional commitment to promote the development of underrepresented minority student graduates progressing to, and completing, higher education in the biomedical sciences;
• evidence of institutional commitment to promote development of underrepresented minority faculty to become potential, competitive participants in biomedical research; and
• appropriateness of the administrative plan for managing the proposed program, including availability of space for all the proposed activities, the budget and cost effectiveness of the program, including its appropriateness to the scope of the program, benefit to the students or faculty or both, and number of students or faculty involved; benefit to the institution; and reasonable personnel costs.

Although different faculty, student, and institutional development activities are viewed as component parts of the overall development plan, they will be reviewed using the following criteria.

Review Criteria for Student and Faculty Developmental Activities

• adequacy of the description of institutional deficiency to be addressed by the activity;
• how well the activity supports the institution's overall goals and objectives;
• adequacy of the rationale for and feasibility of the approach chosen for each faculty and student development activity;
• inclusion of goals and specific, measurable objectives derived from baseline data;
• adequacy of the plans to provide opportunities for faculty to upgrade their research skills and to initiate collaborative research with scientists at major biomedical research laboratories;
• adequacy of the plan(s) to provide opportunities for students to become prepared for, acquainted with, and engaged in biomedical research;
• inclusion of letters of commitment and other expressions of interest by on-campus or off-campus scientists and/or institutions, including the qualifications of the scientists to mentor and train students and their current research support; and
• adequacy of evaluation plans for faculty and student development activities.

Review Criteria for Institutional Developmental Activities

• adequacy of description of institutional deficiency to be addressed by the activity;
• how well the activity supports the institution's overall goals and objectives;
• the adequacy of plans to develop the institution's research capability;
• inclusion of a plan that manages access to, monitors use of, and provides for maintenance of any requested equipment; and
• inclusion of, and adequacy of a plan to evaluate the impact of the alteration, renovation, or equipment.

XIII. MBRS Program Management at Grantee Institutions

The Program Director

The program director, selected by the institution, has responsibility for overall execution of the MBRS RISE program at the institution and is substantially involved in all the operational aspects of the program. He/she ensures that the MBRS program, as an institutional grant, is administered in accordance with the NIH Grants Policy Statement, the guidelines in this document, and in a manner consistent with the institution's program of grant administration. The program director informs the chief institutional officials about the program, especially where institutional policies, procedures, and personnel would be affected.

The program director should be knowledgeable about MBRS goals and must have a broad perspective of institutional affairs in order to ensure that the MBRS program is coordinated and consistent with the objectives and mission of the institution. He or she will advise institutional officials of any major changes or problems that may affect institutional policies and procedures.

For policies and procedures regarding a change in status or leave of absence of the program director, grantees must refer to the NIH Grants Policy Statement. When a program director will be absent from his or her duties for 90 days or longer, MBRS/NIH staff must be notified in writing by a responsible institutional official and permission to appoint an interim program director requested. This information must be sent to NIGMS prior to the anticipated absence. NIGMS staff must also be notified in writing when there is a significant change in level of effort. To replace a program director during a funding cycle, a formal request must be submitted to and approved by NIGMS staff.

The advisory committee, when appointed by the institution, generally provides counsel to the program director and to the chief executive of the institution in meeting the goals of MBRS/NIH and those of the institution.

The following are examples of the responsibilities and functions of the program director:

• functions as the principal contact with MBRS/NIH at the institution;
• manages the MBRS program in a manner consistent with institutional and MBRS policies;
• establishes policies, in conjunction with the advisory committee when one is appointed, for efficient management of the program;
• monitors and assesses the progress of individual program elements and the overall progress and accomplishments of the program;
• communicates current NIH policies (i.e., on use of human subjects, animals, and hazardous materials) to research faculty;
• promotes scientific interchange between MBRS participants and collaborators;
• serves as ex officio member of the advisory committee, when one is appointed by the institution; and
• notifies MBRS Program staff at NIH of any anticipated changes which affect the overall scope of individual project elements or the program as a whole.

Rebudgeting

Funds may not be transferred from the student support category without prior approval by NIGMS, NIH.

Functions of the Institutional MBRS Advisory Committee

When established by the institution, the MBRS advisory committee may include among its members the program director (ex officio), one or more participating faculty members investigators, MBRS student participants, and a representative of the institution's business office (preferably the fiscal policy administrator assigned to handle the grant). Other representatives may be selected based on their ability to further the goals and objectives of the program.

The following are typical of (and not restricted to) the functions that might be assigned to an advisory committee:

• advise the program director and institutional administrators on program policies;
• establish criteria and procedures for the selection of future activities (new, supplemental, or competing renewal) to the program;
• establish criteria for admittance of students (undergraduate and graduate) to the program and facilitate their assignment to developmental activities;
• monitor progress of activities;
• advise on rebudgeting of funds;
• help to expand the present developmental activities by locating other sources of funds;
• monitor compliance with NIH policies and regulations regarding human subjects, animal experimentation, and research hazards;
• assist in selecting a new program director, when needed; and
• address faculty and student grievances as they relate to the MBRS program.

XIV. Reporting Requirements

As per the Grants Policy Statement, NIH requires that grantees submit annual financial and progress reports. The Grants Management Officer (GMO) at NIGMS is the receipt point for the required reports, including noncompeting continuation requests and final progress reports. Reports must be submitted in an original and two single-sided copies. Failure to submit complete, accurate, and timely reports may indicate the need for closer monitoring by NIH or may result in possible award delays or enforcement actions, including withholding, removal of expanded authorities, or conversion to a reimbursement payment method.

Noncompeting and Competing Continuation Applications

The "Application for Continuation of a Grant" (PHS 2590) must be submitted to, and be approved by, NIH to non-competitively fund each additional budget period within a previously approved project period. Except for awards subject to SNAP (see below), the application includes an updated budget, progress report, and other required information as directed by the PHS 2590 and the Supplemental Instructions for RISE applications.

Noncompeting continuation applications must be submitted directly to the NIGMS GMO 2 months before the beginning date of the next budget period, unless instructed otherwise. The Office of Policy for Extramural Research Administration (OPERA) will generally provide the grantee with a computer-generated face page and necessary mailing labels approximately 4 months before the end of the current budget period. Late submission or receipt of an incomplete noncompeting continuation application will result in delaying the issuance and funding of the noncompeting continuation award and may result in a reduced award amount.

Progress Reports as Part of Noncompeting and Competing Continuation Applications

All competing continuation applications must include a progress report summarizing the progress of the overall program. The overall summary progress report should be included in the Institutional and General Plan (see RISE Supplemental Instructions for Form PHS 398). All progress reports in competing applications should summarize the progress made since the last competing award.

For the overall RISE program progress report, provide in narrative and/or tabular form or graphical form, an analysis of the accomplishments of the RISE program. State your original goals and objectives, and your anticipated milestones and outcomes. Describe and/or demonstrate what you learned and accomplished during the project period. The content for your progress report, may include, but should not be limited to, a description of the effect of the MBRS RISE Program on the institution and, if applicable, the community; and a discussion of the impact the RISE grant has had on the professional development of students and faculty.

Also in the Form PHS 2590 application instructions are the alternate instructions for awards under the Streamlined Noncompeting Award Process (SNAP). Noncompeting continuation applications for any of the MBRS programs may be submitted using the SNAP process.

Financial Reports

Reports of expenditures are required as documentation of the financial status of grants according to the official accounting records of the grantee organization. Financial or expenditure reporting is accomplished using the Financial Status Report (FSR) (SF 269 or SF-269 A; the latter format is the "long form" and is required when a grantee is accountable for the use of program income). The FSR is required on an annual basis. When required on an annual basis, the report must be submitted for each budget period no later than 90 days after the close of the budget period. The report must also cover any authorized extension in time of the budget period. If more frequent reporting is required, the Notice of Grant Award (NGA) will specify both the frequency and due date.

FSRs may be transmitted electronically to Office of Financial Management (OFM), NIH, which, for this purpose, is equivalent to submission to the GMO. Prior to submitting FSRs to NIH, grantees must ensure that the information submitted is accurate, complete, and consistent with the grantee's accounting system. The signature of the authorized institutional official on the FSR certifies that the information in the FSR is correct and complete and that all outlays and obligations are for the purposes set forth in grant documents, and represents a claim to the Federal Government. Filing a false claim may result in the imposition of civil or criminal penalties.

Streamlined Noncompeting Award Process (SNAP)

Although the MBRS programs are not fully included in expanded authorities, MBRS grantees are expected to follow the Streamlined Noncompeting Award Process (SNAP) for submitting noncompeting applications.

Under SNAP, the GMO negotiates the direct costs for the entire competitive segment at the time of the competing award. This eliminates the need for annual budget submissions and negotiations and reduces the information NIH requires to review and approve noncompeting continuation applications and to monitor these awards. As a result, for awards under SNAP, grantees are required to submit only limited portions of the PHS-2590, including an annual progress report. For further information or clarification, please refer to the NIH Grants Policy Statement and/or the Grants Management Officer listed under Inquiries.

XV. Award Criteria

The purpose of the MBRS RISE Program is to enhance the research environment at minority-serving institutions. The overall goal is to increase the interest, skills, and competitiveness of students and faculty in pursuit of biomedical research careers. Towards this end, the goal of the MBRS Program is to strengthen the biomedical research capability of institutions with significant underrepresented minority enrollments. Priorities for funding will be based on the technical merit of the application, and the likelihood that the applicant institution can further the goals of the MBRS Program. Awards will be made only to institutions with financial management systems and management capabilities that are acceptable under PHS policy. Awards will be administered under the PHS Grants Policy Statement.

XVI. Inquiries

Written and telephone inquiries are encouraged. The opportunity to clarify any issues or questions from potential applicants is welcome.

Questions on the program and its policies should be directed to:

Chief, MBRS Branch
National Institute of General Medical Sciences, NIH
Building 45, Room 2AS.37
45 Center Drive, MSC 6200
Bethesda, MD 20892-6200
Telephone: 301-594-3900
FAX: 301-480-2753

Questions on the review of applications should be directed to:

Helen R. Sunshine, Ph.D.
Chief, Office of Scientific Review
National Institute of General Medical Sciences, NIH
Building 45, Room 1AS.13
45 Center Drive, MSC 6200
Bethesda, MD 20892-6200
Telephone: 301-594-3663
Fax: 301-480-8506
E-mail: sunshinh@nigms.nih.gov

Questions on grants management and fiscal matters should be directed to:

Antoinette Holland
Grants Management Officer
MBRS Program
National Institute of General Medical Sciences, NIH
Building 45, Room 2AN.50
45 Center Drive, MSC 6200
Bethesda, MD 20892-6200
Telephone: 301-594-5132
Fax: 301-480-2554
E-mail: hollanda@nigms.nih.gov

XVII. Authority and Regulations

This program is described in the Catalog of Federal Domestic Assistance No. 93-375. Awards are authorized by sections 301 and 405 of the Public Health Service Act, as amended, and administered under PHS grants policies and Federal Regulations 42 CFR part 52c, 45 CFR part 74, and 45 CFR part 92. See also Senate Appropriations Committee Report, No. 92-316, July 29, 1971; Executive Order 12900, Educational Excellence for Hispanic Americans, February 22, 1994; and Executive Order 12876, Historically Black Colleges and Universities, November 1, 1993; and Executive Order 13021, October 21, 1996; and Outline of Work Plan, August 18, 1998, White House Initiative on Tribal Colleges and Universities. Applications are not subject to the intergovernmental review requirements of Executive Order 12372 or 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 the PHS mission to protect and advance the physical and mental health of the American people.