Project EXPORT Technical Assistance Workshop

Frequently Asked Questions

1.  **Why did the NIH/NCMHD release three Project EXPORT Request for
    Applications (RFAs)/funding mechanisms?**

> We released three RFAs to encourage broad participation of eligible
> institutions. Our intent in implementing Public Law 106-525 that
> authorizes the Centers of Excellence Program is to provide research
> opportunities to qualified institutions that have varying levels of
> research capability, relevant and diverse programs, and differing
> levels of research infrastructure.[^1]

2.  **How are the RFAs/funding mechanisms different?**

> The R24 funding mechanism is for resource-related research projects.
> There will be 10 to 12 awards of up to \$350,000 for three years. We
> encourage four-year institutions with bachelor or master degree
> programs that are developing research programs relating to minority
> health and health disparity issues to apply. The R24 funding mechanism
> provides support for the following:

-   Research projects that will enhance the capability of resources to
    serve biomedical research

-   Support developmental activities designed to develop or enhance the
    infrastructure for conducting scientifically meritorious research

-   Design and conduct feasibility studies, development of innovative
    partnership models, acquisition of data and analyses necessary to
    clarify/refine research questions

-   Develop testable hypotheses and theories.

> The P20 funding mechanism is for establishment of Exploratory Centers.
> There will be 5 to 6 awards of up to \$1.5 million (total costs) for
> up to five years. We encourage institutions that have not had a
> Comprehensive (P60) or Specialized Center (P50) grant funded by other
> NIH institutes and centers as well as institutions that are eligible
> for support by the National Center for Research Resources Centers of
> Biomedical Research Excellence (COBRE) Program to apply.[^2] The
> applicant institutions should be focused on developing an
> interdisciplinary program offering potential solutions to problems of
> special significant to the NCMHD. The P20 funding mechanism provides
> support for the following:

-   Expansion or modification of existing resources, development of
    interdisciplinary programs that offer potential solutions to
    problems of special significance

-   Flexible support to expand faculty research capability in
    complementary disciplines as well as enhance research infrastructure

-   Basic, clinical, behavioral and/or social sciences research
    approaches to attain the goals of the proposed center.

> The P60 funding mechanism is for the establishment of Project EXPORT
> Comprehensive Centers. There will be 5 to 6 Five-Year Awards of up to
> \$1.2 million (total costs) for up to five years. Designated
> institutions that have had NIH support through either the P60 or P50
> mechanisms or that have substantial research infrastructure as judged
> by the level of federal and private research support are encouraged to
> apply using the P60 mechanism (RFA-MD-02-003).[^3] The P60 funding
> mechanism provides support for the following:

-   A multipurpose unit designed to bring together into a common focus
    divergent but related facilities within a given community

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-   Basic, clinical, behavioral and/or social sciences research
    approaches to attain the goals of the proposed center.

-   Expansion or modification of existing resources, development of
    interdisciplinary programs that offer potential solutions to
    problems of special significance

> ![](media/image1.wmf)
>
> Additionally, the slide presentations provide a detailed comparison of
> the RFAs. We encourage you to review them, paying particular attention
> to the Fiscal Year 2002 Competition presentation that discusses each
> mechanism including institutional eligibility, center components, and
> special requirements. In addition, the "Selecting the Funding
> Mechanism" slides that are part of the Application Process
> presentation, provides guidance to assist institutions in identifying
> the appropriate mechanism for which to apply.

3.  **Because there are three RFAs/funding mechanisms, can an
    institution apply for more than one of them?**

> An institution can only serve as the lead on one application. For
> example, if a minority serving institution or other designated
> institution with developmental research programs serve as a partner on
> a P20 or P60, that institution may also submit an R24. The funding
> mechanisms were designed to solicit broad participation based on the
> existing status of an institution's research activity and
> infrastructure. We recommend that you review the eligibility criteria
> as well as the research and training requirements of each funding
> mechanism to identify the mechanism that best fits your institution.

4.  **Can a non degree-granting institution apply for a Project EXPORT
    award?**

The intent of Public Law 106-525, the NCMHD's enabling legislation, is
that the Centers of Excellence be established at degree-granting
institutions involved in training minorities and other health disparity
populations. Therefore, applicant institutions should be a degree
granting institution. However, degree-granting institutions may partner
and subcontract with non degree-granting institutions to accomplish the
research and training objectives under Project EXPORT.

5.  **How do I know if my institution is a "designated" institution?**

> For the purpose of the Project EXPORT RFAs, pursuant Public Law
> 106-525, designated biomedical and behavioral institutions have:

-   A significant number of members of minority health disparity
    populations or other health disparity populations enrolled as
    students in the institution

-   Been effective in assisting such students of the institution to
    complete the program of education or training and receive the degree
    involved

-   Made significant efforts to recruit minority students to enroll in
    and graduate from the institution

-   Made significant recruitment efforts to increase the number of
    minority or other members of health disparity populations serving in
    faculty or administrative positions at the institutions

The term "designated institution" is derived from Section 736 of the
Public Health Service Act and refers to health professions institutions
and graduate programs with enrollments of underrepresented minorities
(URM) that exceed the national average for such institutions. In
addition to predominantly minority serving institutions, "other"
institutions generally qualify for "designated institution" status based
on the criteria identified in the following table:

+-----------------------+---------------+---------------+-------------+
| > Types of Health     | > Total       | > Total       | > Total     |
| > Professions Schools | > Number of   | > Number of   | > Percent   |
|                       | > Hispanic    | > Native      | > of        |
|                       | > Students    | > American    | > URM[^5]   |
|                       | >             | > Students    | > Enrolled  |
|                       |  Enrolled[^4] | > Enrolled    |             |
+-----------------------+---------------+---------------+-------------+
| > Schools of          | > 20          | > 6           | > 11%       |
| > Dentistry           |               |               |             |
+-----------------------+---------------+---------------+-------------+
| > Allopathic Schools  | > 20          | > 8           | > 12%       |
| > of Medicine         |               |               |             |
+-----------------------+---------------+---------------+-------------+
| > Osteopathic Schools | > 20          | > 5           | > 9%        |
| > of Medicine         |               |               |             |
+-----------------------+---------------+---------------+-------------+
| > Schools of Pharmacy | > 20          | > 5           | > 14%       |
+-----------------------+---------------+---------------+-------------+
| > Clinical Psychology | > 20          | > NA          | > 12%       |
+-----------------------+---------------+---------------+-------------+
| > Clinical/Medical    | > 30          | > NA          | > 22%       |
| > Social Work         |               |               |             |
+-----------------------+---------------+---------------+-------------+

> Non-designated institutions may apply in partnerships with designated
> institutions to participate in the project.

6.  **If my institution is not a Historically Black College or
    University, Tribal College, or Hispanic- or Asian-serving
    institution, are we eligible to apply for a Project EXPORT award
    under any of the funding mechanisms?**

Yes. For further clarification, however, please refer to the discussion
on "designated institutions" in Question 5.

7.  **If my institution is not located in a Health Professional Shortage
    Area or within an officially designated area of underservice, but we
    can document that there are significant health disparities, are we
    eligible to apply for a Project EXPORT award?**

As long as you can demonstrate a spirit of adherence to one of the three
demographic goals you are eligible to apply. These goals are:

-   The Applicant Institution or Collaborating Institution must be
    located within a metropolitan statistical area where the density of
    racial and ethnic minorities within the general population is equal
    to or exceeds either of the following:

    -   19% for Hispanic or African Americans, respectively

    -   10% for Asian Americans and Pacific Islanders

    -   2% for Native Americans and Alaska Natives

> Additionally, the overall poverty rate within the geographic region to
> be served must equal or exceed the national average of 11.3%
>
> ***OR***

-   Applicant Institution or collaborating partner must be located
    within a Department of Health and Human Services Region where the
    density of Native Americans and Alaskan Natives in the general
    population equals to or exceeds 200,000

> ***OR***

-   Applicant Institution or collaborating partner must be located
    within or near a\
    Health Professional Shortage Area or within an officially designated
    area of underservice.[^6]

8.  **If my institution is not within a metropolitan statistical area
    where the density of racial and ethnic minorities is equal to, or
    exceeds the national average, are we eligible to receive a Project
    EXPORT award?**

Please refer to the Question 7. Additionally, an institution does not
have to meet the threshold for each of the percentages of health
disparity groups outlined in the RFAs. However, to be eligible for a
Project EXPORT award, the institution should minimally meet the
threshold for the primary group or groups on which the research is
focused.

9.  **Can research intensive institutions not currently doing minority
    health or health disparity research apply under the R24 funding
    mechanism?**

> No. Research-intensive institutions are encouraged to apply for
> Project EXPORT support using the P60 funding mechanism
> (RFA-MD-02-003). The use of the three different mechanisms ensures
> that similar institutions compete against each other for funding
> support under Project EXPORT. This encourages broad institutional
> participation in the initiative.

10. **Why are the P20 awards higher than the P60 awards?**

One of the objectives of Project EXPORT is to build research
infrastructure at eligible institutions. Institutions that receive P60
awards are more likely to have the necessary infrastructure in place,
and need focused funding support to develop and conduct research and
training programs. However, institutions that receive P20 awards are
more likely to need enhancements to their existing research and training
infrastructure as well as funding to support the development and conduct
of sustainable research and training programs.

11. **When will funds be available for the institutions to use (i.e.,
    what is the funding timeframe)?**

> The awards will be made in September 2002.

12. **Should Investigators included in the Research Component Core have
    RO1 support or support through another NIH award mechanism or
    funding from another agency?**

> We require that Investigators have the skills, knowledge, and
> resources necessary to carry out the proposed research; and
> accordingly, applicants are encouraged to carefully document the
> proposed Investigators' credentials. Evidence of supported research is
> an indicator that established investigators are participating in
> Project EXPORT. While new investigators can receive limited support
> through the pilot project/feasibility study core, the majority of the
> participating investigators are expected to be independent researchers
> with sustainable research programs.

13. **Is a partnership required for all Project EXPORT RFAs?**

> Partnerships and consortium arrangements are encouraged, but not
> required. The partnerships may be between minority-serving and other
> "designated institutions" or between designated and non-designated
> institutions with substantial existing Federal research support and/or
> research infrastructure as reflected in the University of Florida
> report on research institutions (See Footnote 3). It is imperative
> that the applications are prepared to fully explain the programmatic,
> fiscal, and administrative considerations applicable to the
> partnership or consortium agreement.

14. **How are you defining "applicant institutions," "collaborating
    institutions," "partnering institutions," "subcontractors" and
    "consortium"?**

> "Applicant Institutions" are defined as the entity at which the EXPORT
> Center will be physically and/or integrated into its administrative
> structure. The Director must have his/her primary appointment at the
> applicant institution.
>
> "Collaborating Institutions" and "Partnering Institutions" are used
> interchangeably. They are the institution with which the applicant
> institution has entered into a partnership agreement for the purposes
> of the Project EXPORT application efforts.
>
> A "consortium" refers to partnerships that consist of three or more
> institutions or organizations. In such a case the lead or applicant
> institution and one other member in the partnership may submit
> complementary applications. The remaining institution(s) would receive
> support for activities conducted on site through a subcontract with
> the lead or applicant institution. F&A costs for subcontracts are not
> counted against the cap on total costs.

15. **Can a university's medical school and nursing school be considered
    separate institutions for the purpose of these RFAs? Can they be
    partners or subcontractors to one another?**

> We recognize that institutions have varied organizational structures
> and arrangements. In the case of intra-institutional partnerships we
> encourage the submission of a single application. In addition, in an
> intra-institutional partnering arrangements the use of different
> indirect costs rates is allowable if such an agreement has already
> been negotiated.

16. **Should all collaborating (applicants, partnering, and
    subcontracting) institutions submit letters of intent?**

> Only a single letter of intent from the applicant or lead institution
> is requested. While these letters are not binding, they help us to
> gauge the type and numbers of applications that we will receive in
> May. This will assist us in planning resources to support the review
> process.

17. **Do you expect a description of the proposed Center, including its
    Projects and Components in the letters of intent?**

> A detailed description of the proposed Project EXPORT Center activity
> is not required in the letter of intent. The letter should include the
> following:

-   Descriptive title of the proposed research

-   Name, address and telephone number of Principal Investigator

-   Names of other key personnel

-   Participating institutions

-   Number and title of the RFA.

> The letter of intent is requested by April 24, 2000. It should be sent
> to:
>
> Project EXPORT
>
> Attn. Dr. Jean Flagg-Newton, Deputy Director, NCMHD
>
> 6707 Democracy Blvd., Suite 800, MSC 5465
>
> Bethesda, Maryland 20892-5465

18. **If we partner with, or subcontract to, a community-based
    organization, are there limitations on the role of that
    organization, and are there specific eligibility requirements?**

> All organizations applying for funds under Project EXPORT should be
> prepared to meet Federal financial and grants management requirements.
> If your institution is a first time applicant or has questions about
> the requirements associated with managing an NIH grant we encourage
> you to review NIH's Grant Policy Statement that was updated in March
> 2001.[^7]

19. **What are your expectations regarding the development and
    documentation of relationships and/or agreements with
    community-based organizations?**

> The mission of Project EXPORT includes integrating the Centers of
> Excellence into local communities as a disease prevention and health
> and science education resource. We encourage you to work with your
> communities to define the most appropriate ways to achieve this
> mission.
>
> A letter from the community organization documenting its support for
> the Center of Excellence and any agreements on its role can be
> included in the grant application. Additionally, information about the
> organization that identifies its mission, goals, accomplishments, as
> well as planned activities related to research and training can also
> be submitted in the grants application package.

20. **Do you expect a comprehensive assessment of community needs for
    this application?**

> Applicant Institutions should demonstrate a thorough understanding of
> the health issues affecting its community. We encourage institutions
> to gather and examine data about its community from public sources and
> previous research. We realize that for the purposes of this
> application effort, institutions will not be able to collect new
> primary source data.

21. **Must our proposal include a K-12 science education component?**

> No, a K-12 science education component is not required. However, one
> of the foci of the Community Outreach and Information Dissemination
> Core is science education outreach activities. We have identified the
> need to improve K-12 science education and encourage applicants that
> have this capability to consider developing and implementing such an
> activity.

22. **Should we identify (by name) the proposed Center's Advisory
    Council members in the application?**

Providing the names of the Center's Program Advisory Committee is
discouraged. We encourage applicants to describe Committee members'
professional/scientific backgrounds and credentials as well as describe
their potential contribution as a committee member. We discourage the
identification of committee members by name in order to increase the
pool of available reviewers that do not have conflicts of interest.

23. **Can the Center Director be different from the Principal
    Investigator?**

> Yes. Decisions about the Center's leadership, administration, and
> organization are left up to the Applicant and Partnering Institutions.
> We encourage potential applicants to develop organizational structures
> that are best suited to the environments at the participating
> institutions.

24. **Can the Center Director also be a Project or Component Director or
    Principal Director?**

> Yes, the proposed Center Director can also serve as the principal
> investigator on a Project EXPORT application. The Center Director
> could also conceivable serve as the director of one of the core
> activities. However, the allocated time designated for each role must
> be appropriate for the proposed responsibilities.

25. **Can an individual lead more than one Project or Component?**

> Yes. See the response to Question 24.

26. **What are the expectations regarding the development of strategic
    plans for the proposed Center of Excellence in the grant application
    and following award?**

> The Federal government is moving to performance-based budgeting,
> requiring each agency and agency component to plan how appropriated
> funds will be used. Under this budgeting process, each agency must
> also identify measures that will be used to monitor results (or the
> effective use of funds). As a result, the NCMHD has developed a
> strategic plan with defined performance measures, which is pending
> approval. When approved, it will be published. As the NIH and NCMHD
> fund the Centers of Excellence activities, this strategic plan will
> provide a framework and context upon which the Centers of Excellence
> can develop their own plans.
>
> Furthermore, we expect that a strategic plan will be needed for each
> Center of Excellence to plan its research and training activities as
> well as ensure that its funds are most effectively used to implement
> planned activities. If your institution has a strategic plan relevant
> to the requirements of the RFAs, we recommend discussing it in your
> grant application. If your institution intends to develop a plan, this
> should also be discussed in your application.

27. **What is your definition of "shared resources?"**

> Shared resources are technologies, personnel, and other institutional
> resources that can be used by multiple components of a Project EXPORT
> Center or developmental activity to facilitate research and training
> activities. Shared resources are intended to enhance opportunities for
> investigators at the Center to take advantage of new technologies that
> could enhance and broaden their research initiatives. Examples
> include, medical equipment, information technology, patient
> coordination, and statistical services.
>
> In a partnership or consortia arrangements, priority must be given to
> locating newly developed shared resource core activities at
> predominantly minority-serving institutions.

28. **Please explain the application page limitations for the pilot
    project/feasibility studies core component?**

> For the pilot project/feasibility core component, the grant
> application should include no more that 15 pages to discuss the
> administrative issues associated with the pilot project/feasibility
> core. In these 15 pages, your institution should discuss the
> following:

-   Objectives, functions, organizational infrastructure, including
    lines of authority

-   Administrative procedures

-   Any committee structure and qualifications for membership

-   Proposed resources of this core

-   Activities designed to facilitate development/completion of
    pilot/feasibility studies.

Additionally, you have 5 pages for each proposed pilot
project/feasibility study. In these pages your institution should
discuss the following:

-   An abstract and listing of key personnel and performance site (Form
    Page 2)

-   Detailed budget

-   Justification of eligibility of Principal Investigator

-   Justification of study as a pilot study, including how it fits into
    the Center's area of inquiry

-   Scientific proposal as outlined in PHS 398.

> Each pilot/feasibility study proposed should:

-   Be on a topic related to the objectives of an area of emphasis for
    the Center

-   Present a testable hypotheses

-   Clearly delineate the question being asked

-   Detail procedures to be followed

-   Discuss how the data will be analyzed

Remember, the application must provide sufficient information about each
propose pilot/feasibility study to enable adequate scientific evaluation
by a peer review committee. The descriptions of all proposed pilot
research projects must be limited to 5 pages each. This is in addition
to the recommended 15-page limited for describing each research core
component.

29. **If we have ongoing research, can Project EXPORT funds be used to
    supplement existing project funds through all mechanisms?**

As a policy statement, we cannot support an activity that is already
funded. As indicated earlier, the major source of support for biomedical
research projects that comprise the research component core should be
derived from separately other resources (e.g., other programs within the
NCMHD or from the other NIH institutes and centers, or from other
agencies -- private or public, etc.). However, support will be provided
for ancillary activities that improve, enhance, or facilitate the
research that comprise the research component core(s).

30. **Because these are multi-year grants, if an institution does not
    fully utilize funds in one fiscal year, can it carry the remaining
    funds forward to the next year?**

You are permitted to make an end-of-year request, but an affirmative
decision is not assured in all situations.

31. **What if our institution's annual escalation rate is higher or
    lower than NIH's 3% standard?**

> We must implement NIH's 3% annual escalation standard. If applications
> have an escalation rate greater than 3%, we will adjust the
> applicant's budget to reflect the NIH standard. We recommend that each
> institution inform their leadership of this standard.

32. **Do you have recommendations on the percentage of the Center's
    budget that should be devoted to each Component or Project?**

######### 

No. We are not making such recommendations. However, the proposed budget
for each core component must be well justified.

33. **With the exception of the face pages and budgets, can the content
    of the complimentary applications be identical?**

> The narrative of complementary applications should be identical; only
> the face and budget pages should differ. In addition, they should be
> sent in the same package so that they can be given consecutive
> application numbers to the extent possible.

34. **Can we hand deliver applications?**

> No. Because of the increased security following the events of
> September 11, NIH does not allow hand delivery of applications. We
> recommend overnight mail delivery through vendors that offer mail
> tracking and confirmation services. Additionally, we recommend that
> you closely review the application delivery instructions outlined in
> the RFAs.

[^1]: You can obtain a copy of Public Law 106-525 at
    [*http://thomas.loc.gov/bss/d106/d106laws.html*](http://thomas.loc.gov/bss/d106/d106laws.html).

[^2]: You can obtain more information on the COBRE Program at
    [*http://www.ncrr.nih.gov/resinfra/cobre.htm*](http://www.ncrr.nih.gov/resinfra/cobre.htm).

[^3]: The 1998 report on research institutions
    ([*http://thecenter.ufl.edu/research_data.html*](http://thecenter.ufl.edu/research_data.html))
    identifies designated institutions with substantial existing federal
    research support and/or research infrastructure.

[^4]: These numbers are derived from a comparison of health professions
    schools and are determined based on Hispanic enrollment of the upper
    20% at such schools (Taken from Application and Instructions, Health
    Professions Education Partnership ACT of 1998, Section 736, Health
    Resources and Services Administration, Bureau of Health Professions,
    Division of Health Professions Diversity, Revised July 6, 2001).

[^5]: Underrepresented Minority is defined as racial and ethnic
    populations who are underrepresented in the designated health
    profession discipline relative to the number of individuals who are
    members of the population involved. This definition would include
    Black or African American, American Indian or Alaska Native, Native
    Hawaiian or other Pacific Islander, Hispanic or Latino, and any
    Asian [other than]{.underline} Chinese, Filipino, Japanese, Korean,
    Asian Indian or Tahi-PHS Act Section 799B.

[^6]: The Health Professional Shortage Area designation criterion
    includes primary medical care, mental health, and dental care. You
    can obtain more information regarding the Health Professional
    Shortage Area designation at <http://bphc.hrsa.gov/dsd/default.htm>.

[^7]: The NIH Grants Policy Statement can be found at
    [*http://grants1.nih.gov/grants/policy/nihgps_2001/intro.htm*](http://grants1.nih.gov/grants/policy/nihgps_2001/intro.htm)