HEALTH, ENVIRONMENT AND ECONOMIC DEVELOPMENT
 
RELEASE DATE:  October 15, 2002 (see addendum NOT-TW-03-004)
 
RFA:  TW 03-005

Fogarty International Center (FIC) 
 (http://www.nih.gov/fic)
National Institute of Environmental Health Sciences (NIEHS) 
 (http://www.niehs.nih.gov)
National Institute of Child Health and Human Development (NICHD) 
 (http://www.nichd.nih.gov)
National Institute on Drug Abuse (NIDA) 
 (http://www.nida.nih.gov/)
Office of Behavior and Social Science Research (OBSSR) 
 (http://obssr.od.nih.gov/)
 
OTHER PARTNER:
 
United States Geological Survey (USGS)
 (http://www.usgs.gov/)
 
LETTER OF INTENT RECEIPT DATE:  November 30,2002
 
APPLICATION RECEIPT DATE:  December 30, 2002 
 
THIS RFA CONTAINS THE FOLLOWING INFORMATION
 
o Purpose of this RFA
o Research Objectives
o Mechanism of Support 
o Funds Available
o Eligible Institutions
o Individuals Eligible to Become Principal Investigators
o Special Requirements 
o Where to Send Inquiries
o Letter of Intent
o Submitting an Application
o Peer Review Process
o Review Criteria
o Receipt and Review Schedule
o Award Criteria
o Required Federal Citations
 
PURPOSE OF THIS RFA 
 
This RFA is intended to encourage developmental and exploratory 
research and research capacity-building in developing countries on 
topics that combine the issues of health, environment and economic 
development in order to improve scientific understanding of the 
relationships among those factors, and suggest guidance for policy.  
This announcement invites applications for funding of 
interdisciplinary, international research collaborations to examine the 
health effects of major economic development trends that affect the 
natural environment.  It particularly seeks research that, among other 
things, focuses on developing a better understanding of the economic 
behavior and incentives of individuals and groups that affect health 
outcomes through changes in environmental conditions. 
 
The following Institutes and Centers of the National Institutes of 
Health (NIH), U.S. Department of Health and Human Services (DHHS) 
intend to jointly fund applications from U.S. and international 
applicants:  the Fogarty International Center (FIC), the National 
Institute of Environmental Health Sciences (NIEHS), the National 
Institute for Child and Human Development (NICHD), the National 
Institute on Drug Abuse (NIDA), and the Office of Behavioral and Social 
Science Research (OBSSR).  The National Institute of Child Health and 
Human Development (NICHD) has an interest in demographic aspects of the 
links between HIV/AIDS and related health issues, environment and 
economic development, including population settlement and movement and 
urbanization.  
 
The U.S. Geological Survey (USGS) will provide, by agreement among 
investigators, support through collaboration with USGS scientists for 
research needs addressing the linkages between health, the environment, 
and economic development through research projects as noted below.  If 
collaborative support from the USGS is of interest, applicants should 
prearrange this collaboration with the appropriate USGS representative 
listed in this announcement and document this support in their 
applications. 
 
The USGS studies, assesses, and develops and maintains National Data 
Bases on the Nation's water (quantity and quality) resources, flora, 
fauna, land characteristics, and mineral and energy resources; and 
determines past ecological and climate histories.  The USGS is also 
developing expertise in better understanding and improving the linkages 
between natural science information and the use of that information in 
societal decisions. Information on potential collaborators and 
resources within the USGS can be found on the World Wide Web at 
http://www.usgs.gov. 
 
Note that unconfirmed support from USGS or any other collaborator will 
not be considered during initial peer review of an application.  While 
such collaborations could be added to a project after it has been 
funded, investigators are encouraged to develop these collaborations 
for the initial application. 
 
The research supported by this proposed program will complement the NIH 
program, International Studies on Health and Economic Development 
(ISHED), at the NIH Fogarty International Center, and is intended to 
pursue observational, intervention and policy research that:
 
1.  Evaluates human health impacts of macroeconomic development trends 
that alter the environment; 
2.  Encourages application and development of economic tools that 
measure the impact of environmental change on human health; 
3.  Expands the collection and use of data to analyze links between 
human health and the physical and biological environment, and their 
mediation by socio-economic conditions; 
4.  Applies economic and risk analysis to the integration of ecosystem 
and human health information; 
5.  Improves understanding of the economic, political and social 
behaviors and incentives at the micro level that alter health outcomes 
through environmental change in developing countries; 
6.  Identifies, tests, and evaluates policy alternatives to improve 
health through economic and environmental strategies; 
7.  Communicates research results to international and national health, 
economic development, and/or environmental policy-makers and the 
public; and 
8.  Strengthens interdisciplinary research capacity to conduct analyses 
of environment and health outcomes in developing countries and 
countries in transition. 
 
Definitions
 For the purposes of this RFA, the following definitions should be 
applied:
Economic Development:  a sustained increase in average per capita 
income on a national basis.
Developing Countries:  low- and middle-income countries as listed at: 
http://www.worldbank.org/data/countryclass/classgroups.htm
Countries in Transition:  market economies that were formerly planned 
economies, also listed at the above website among developing countries.
Economic Tools:  Instruments used in conducting economic analysis, 
including surveys, observations, econometric, published and unpublished 
data sources. 
Ecosystem:  natural and human resources with emphasis on inter-
relationships among and between human and natural resource services
Environment:  resources provided by nature, distinct from human beings, 
with emphasis on human use and values of natural resources (e.g. water, 
air, soil, etc.)
Externality: impacts (negative or positive) imposed on third parties by 
an activity that is not accounted for in the decisions of the agent 
creating the impact
Non-linear processes: relationships among variables that do not exhibit 
a 1-to-1 progression, and that may exhibit unpredictable perturbations
Policy-maker:  person or organization in a decision-making role used to 
alter health, environment, or economic outcomes
Policy-relevance and dissemination:  potential for practical 
application by converting findings of the research from basic, 
clinical, or epidemiological or environmental science into information, 
tools, or resources that can be used and are made available for use to 
policy-makers at local, national, and/or global levels. 
 
Scientific Objectives 
 
The goal of this RFA is to solicit applications for research studies 
that generate and/or test hypotheses examining the interactions among 
health, environment, and economic development, as well as the impact on 
health status of development projects or policies that affect the 
ecosystem.  The research must be interdisciplinary and must include 
plans for research capacity-strengthening and policy dissemination. 
 
Such studies are not limited to, but may include:
 
o  Microeconomic studies that examine health and environment 
relationships at the individual, household, or business level using 
epidemiological and surveillance data. 
 
o  Cross-sectional and longitudinal studies that examine health and 
environment relationships across countries, regions or populations or 
within the same population across time. 
 
o  Experimental approaches to examine the effects of alternative 
policies and interventions (either health or environmental) on health 
outcomes.
 
o  Studies that analyze health and environmental relationships across 
economic sectors. 
 
o  Studies that analyze the interplay between genetics and the 
environment (gene-environment interactions) for susceptibility factors 
and other non-therapeutic research, including etiological studies of 
environmental exposure.
 
It is expected that some proposals may rely upon existing research 
efforts in one or more fields by adding a component to become eligible 
for Health, Environment, and Economic Development (HEED) consideration.  
For instance, studies of environmental impacts may add a component on 
health by gathering additional data and broadening the analytical 
framework and methods.  To utilize this incremental approach to HEED 
research, however, it will be necessary to demonstrate that the 
proposed new study is analytically sound, the new component is well 
integrated with ongoing work, and that the research team is truly 
international and inter-disciplinary. 
 
RESEARCH OBJECTIVES
 
An important role of the FIC is to foster discovery and reduce global 
health disparities by supporting international research collaborations 
in basic, clinical and applied biomedical, behavioral and health 
sciences.  The opportunity to collaborate internationally provides 
access to new information and perspectives, innovative concepts and 
methods, emerging research technologies, and unique populations and 
environments necessary to address global health problems.  Research 
performed under these conditions provides opportunities to change 
behaviors and develop appropriate policies.  Behavioral change is 
favored when context-specific causes and motivations are understood.  
Policy change is favored when committed individuals in leadership 
positions have relevant information available to them, especially 
information showing economic, health, or environmental gain from policy 
changes. 
 
The immediate objectives of this initiative are to encourage research 
that:  simultaneously applies the knowledge, tools, and results of a 
variety of scientific disciplines including the natural, biomedical, 
social and behavioral sciences; collects or enhances data that reflect 
the interactions between human health and ecosystem health; and/or 
informs, tests, or evaluates policy options to improve health outcomes 
directly or indirectly affected by the natural environment or human 
influences upon it.  The ultimate objectives are to:  (1) increase 
understanding of the linkages among human behavior, environmental 
responses, and epidemiological and clinical health outcomes; and (2) 
develop and test clinical and policy interventions intended to mitigate 
the negative effects of environmental and economic change on health 
outcomes.  Applicants must be prepared to undertake an interdisciplinary 
research approach, incorporating to the maximum extent practical, tools 
and approaches from the behavioral, social, environmental and biomedical 
sciences.  Applicants must also be prepared to carry out an explicit 
research capacity-building effort as part of the research project, 
disseminate information to a policy audience, and evaluate the 
effectiveness of those activities.
 
This initiative is designed to attract investigative teams that include 
a range of biomedical and non-biomedical fields, including, but not 
limited to anthropology, epidemiology, toxicology, ecology, infectious 
and non-infectious diseases, geography, geology, hydrology, sociology, 
psychology, genetics, ethics, economics, political science, law, public 
policy, environmental and process engineering, biostatistics, and 
others.  At least one person from each of the following disciplinary 
areas must have an active and meaningful role in the application and 
conduct of the proposed project:  a social scientist, a health or 
biomedical scientist, and an ecological or environmental scientist. 
 
Background and Significance:
 
Most developing countries and countries in transition suffer from 
contamination of air, land, and water; exposure of their populations to 
industrial toxins; natural resource depletion; and ecosystem 
deterioration.  These conditions all exacerbate the spread of disease, 
place stress on poorly functioning and overburdened health systems, 
complicate disease etiology, and lead to depletion of human and 
economic resources.  This combination of environmental and health 
problems in some developing countries is often exacerbated by natural 
disasters, civil strife, and economic crises.  Economic factors play a 
crucial role in people's choices and decisions about both health and 
the environment, and ultimately determine whether development will be 
sustainable.  Applied to issues involving both health and the 
environment, the tools of economics and other social sciences will 
provide insights into the causal relationships, assessment of impacts, 
and policy options for ameliorating the costs and enhancing the 
benefits of those choices.  For example, the decision to construct a 
dam to provide energy to a growing economy may be supported by cost-
benefit analysis on the basis of energy needs and environmental 
impacts, but be questioned when the health impacts of the environmental 
change are considered in the analysis.
 
The process of economic development has increased global 
interdependence in numerous ways, leading to potential vulnerabilities 
across countries arising from shocks or trends in economic, 
environmental and health conditions.  Further, economic development 
alters ecosystem processes in ways that have direct health 
implications.  For example, greater exposure to environmental insults 
through air, water, and food from industrialization, and increased 
prevalence of non-communicable diseases from changing agricultural and 
food systems are affecting health of developing country populations 
around the world.  Health risks to developing country populations from 
environmental factors are believed to exceed  the risk levels of 
developed countries, but at a lower income threshold.
 
Long-standing premises about the relationship between health and 
economic development, and environment and economic development are 
being revisited and revised.  In the first instance, the NIH program 
ISHED, (see http://www.nih.gov/fic/programs/econ.html) aims to strengthen the 
growing body of evidence that demonstrates how health affects economic 
development through a variety of pathways, rather than solely being 
determined by economic development.  In the second instance, recent 
literature in economics has refuted the assertion of the "environmental 
Kuznets curve" that environmental conditions worsen up to a threshold 
of income and then improve at income levels above that threshold.  The 
implied trade-off between the environment and income at low levels of 
development may often be false.  Similarly, while the relationship of 
human health to environmental quality is generally thought to be 
important, the linkages are complex and poorly understood, particularly 
in developing countries.  Nonetheless, presumed human health impacts 
are routinely and frequently used to justify environmental policy laws, 
decisions and programs, often with insufficient grounding in empirical 
evidence. 
 
Thus, while health, environment and human behavior interact intimately 
in developing countries to hasten or impede development, there are many 
situations in which we do not fully understand their interactions.  
These complex links will only be understood and ultimately addressed 
through rigorous, inter-disciplinary research.  This research 
initiative envisions partnerships between developed and developing 
country scientists and is intended to create the evidence base for 
policy-makers and citizens to address the critical environment-health 
issues they face in their countries, and in the process to inform U.S. 
and international policy makers in the formulation of environment, 
development, and health policies.
 
Program Priorities
 
Health status is a key indicator of human well being, and increasing 
attention is being devoted internationally and domestically to how 
health interacts with other major trends affecting populations.  These 
include globalization, urbanization, environmental degradation, and 
financial integration.  The agenda for the September 2002 World Summit 
on Sustainable Development identified health as an integral component 
of sustainable development, and called for more efficient, equitable, 
accessible and appropriate health care systems for the populations that 
rely on them. 
 
The health sciences have increasingly sought a better understanding of 
their links to social and economic contexts.  Substantial progress has 
been made independently in the disciplinary fields of environmental 
science, environmental economics, development studies and behavioral 
sciences.  This RFA seeks to create opportunities for integration of 
research approaches and objectives across those and other relevant 
disciplines.
 
While not an exhaustive list, among the issues that would be considered 
responsive to this RFA are:
 
1.  Environmental Health Risk Factors
 
There is growing awareness that environmental pollution affects human 
health in myriad ways and contributes to a wide variety of diseases 
with unknown etiology.  Scientific methods for the assessment and 
management of related risks to human health and the environment are 
also improving rapidly, but scientific methods and the policies derived 
from them are most often applied in developed countries where the 
exposure levels and variability are relatively low.  Insight can be 
gained by studying environmental health risks and responses across 
diverse populations across a range of socio-economic settings.  The 
results will inform all human-environment interactions, as well as 
suggest opportunities to improve global health.  Topics to explore in 
this category include, but are not limited to: 
 
o  How environmental health risks are affected by structural changes in 
developing country economies, such as shifts from rural to urban 
lifestyles, changing modes of transportation, and openness to 
international trade; 
o  The role of socio-economic status in determining vulnerability to 
environmental health risks within sub-populations in developing 
countries; 
o  Health impacts of major development projects, such as dams, mines, 
and waterways, and how inclusion of those impacts would affect the 
cost-benefit ratio of the projects; 
o  Health and environmental risks and benefits to producers and 
consumers from agricultural chemical use.  More broadly, evaluation of 
how food production decisions (including land use, technology choice, 
exposure to chemicals) affect environmental quality and population 
health and nutrition, as well as farm income and food prices; 
o  The predicted impacts of global climate change on weather patterns 
and agriculture in developing countries, such as changes in disease 
transmission, vector ranges, food security, and nutrition, as well as  
analysis of potential mitigation alternatives addressing these impacts.  
 
2.  Analysis of Decision-making and Risk
 
Advances in several fields in recent years point to the need to explore 
how individuals and societies make decisions about matters that may 
involve collective choices, externalities, non-linear processes, and 
cultural, moral and other values.  Issues involving health - individual 
or public - and the environment are prime candidates for such complex 
decision-making processes and also introduce uncertainty and temporal 
variation.  The simple logic of economic "marginal benefit-marginal 
cost" analysis has limited application in these circumstances.  Yet 
economic methods, combined with the tools of other behavioral sciences, 
provide the constrained choice framework needed to make predictions 
about human behavior in the face of changing health and environmental 
conditions.  Topics to explore in this category include, but are not 
limited to: 
 
o  Analysis of information use and information gaps for households and 
individuals in making choices about health and environmental conditions 
(both short- and long-term) and the consequences of critical 
information gaps.  For example, a model of the health and environmental 
consequences of natural disasters that would demonstrate the effects of 
discounting and uncertainty, and the conditions under which prevention 
becomes cost-effective. 
o  Identification and analysis of market and policy failures that 
create ways in which major land use changes, including deforestation, 
affect risks of disease prevalence through changes in social and 
biological processes. 
o  The role of social, versus private or government, decision-making in 
health and environmental outcomes.  Both health and the environment are 
recognized as imposing externalities, and this "market failure" forms 
the justification for government involvement in both sectors.  Yet 
"policy or institutional failures" are common problems in some 
developing countries where governments may be weak, corrupt and/or 
under-funded.  Alternative social or institutional arrangements for 
managing health and environmental needs devised by households or 
communities can be identified and evaluated in terms of their 
effectiveness.  Examples include community-driven malaria control 
through drainage of standing water pools and households making choices 
about which member receives treatment for HIV/AIDS based on human 
capital needs. 
o  Rural-urban and interregional population migration and the role of 
health-seeking behavior.  Health status varies greatly between rural 
and urban areas in developing countries, as well as across regions and 
countries.  Yet, it is unclear how information and perceptions about 
potential change in health status influence decisions about migration, 
compared to information and perceptions about other factors, especially 
economic ones. 
 
3.  Economic Measurement of Disease - Environment Interactions. 
 
Tools for valuing non-market costs and benefits have been applied and 
tested in increasing numbers of settings, providing crucial information 
to policy-makers in setting of regulatory targets and in design of 
intervention programs.  Most of these applications have occurred in 
developed country settings, and concerned environmental issues.  Yet 
the tools can also yield great insights for developing country policy-
makers and in the field of health policy and intervention design.  
Better methods are needed for the valuation of morbidity, mortality and 
latent risk reductions, including application of stated and revealed 
preference methods, benefits transfer, and decision-based methods.  
Most ambitiously, with appropriate data collection and analysis, the 
methods could be applied in cases where health and environmental 
impacts interact, leading to the ability to evaluate policy choices 
more comprehensively and holistically.  Topics to explore in this 
category include, but are not limited to:
 
o  Valuation of environmental health risk reduction, with particular 
attention to health disparities within a population, including immuno-
compromised segments of the population.  For example, apparent 
increases in childhood asthma from indoor and ambient air pollution may 
impose large costs in terms of cognitive development and eventually 
reduce productivity levels. 
o  Assessment of the full costs and benefits (including productivity 
impacts) of environmental technology choices that affect human health 
at the individual or household level, e.g. cooking and fuel, transport, 
etc.
o  Assessment of the full costs and benefits (including productivity 
impacts) of policy choices that have environmental and health impacts 
at the population level, e.g. inadequate water and wastewater delivery 
systems.
o  How cultural and social factors and individual socio-economic status 
affect the discounting of future health and environmental costs and 
benefits. 
 
MECHANISM OF SUPPORT
 
This RFA will use the National Institutes of Health (NIH) research 
developmental/ exploratory grant (R21) award mechanism.  The R21 
mechanism is specifically intended to support innovative ideas where 
preliminary data, as evidence of feasibility, are sparse or do not 
exist.  R21 grants are not intended for large-scale undertakings or to 
support or supplement ongoing research.  Rather, R21-supported projects 
are intended to serve as a basis for planning and strengthening future 
research project grant applications (R01).  FIC anticipates re-competing 
this program in fiscal year 2005, using a research project (R01) 
mechanism, contingent on availability of funds.  Successful responses to 
this solicitation must clearly outline how the work conducted during the 
two-year period of this award would inform, enhance, and lead to a 
longer-term (up to five-year) research project.  They must also clearly 
explain why the two-year award is necessary to the successful 
implementation of the envisioned research project.
 
This RFA uses just-in-time concepts and the modular grant format (see 
http://grants.nih.gov/grants/funding/modular/modular.htm).  Applications 
submitted by foreign institutions can request facilities and 
administrative (F&A;) costs up to a maximum of eight percent. 
Applications submitted by domestic institutions can request facilities 
and administrative (F&A;) costs based on prior negotiated rates. Please 
see the web site 
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-01-028.html for more 
information on allowable F&A; costs for foreign grants and domestic grants with 
foreign components. 
 
This RFA is issued for fiscal year (FY) 2003 and the anticipated award 
start date is July 2003.  Applications submitted in response to this RFA 
may have a project period of two years.  As an applicant, you will be 
solely responsible for planning, directing, and executing the proposed 
project.
 
FUNDS AVAILABLE
 
It is expected that approximately $1.5 million per year from all 
supporting partners will be available beginning in FY 2003.  Applicants 
may request a project period of up to two years and a budget of up to 
$100,000 per year in direct costs or four modules of $25,000.  Because 
the nature and scope of the proposed research will vary from application 
to application, it is anticipated that the size of awards will also 
vary.  It is expected that approximately 12 new grants will be funded in 
response to this RFA in FY 2003.  This support is dependent upon the 
receipt of a sufficient number of applications of high scientific merit, 
the geographic pool of meritorious applications, and the availability of 
funds.  Although the financial plans of the ICs provide support for this 
program, awards pursuant to this RFA are contingent upon the 
availability of funds at FIC and the collaborating partners.  Awards 
will be administered by the FIC in cooperation with participating NIH 
ICs and other participating agencies, although several may participate 
in the funding of any given application. 
 
ELIGIBLE INSTITUTIONS 

You may submit (an) application(s) if your institution has any of the 
following characteristics:

o  For-profit and non-profit
o  Public and private institutions, such as universities and colleges, 
hospitals, and laboratories
o  Units of state and local governmental
o  Domestic and foreign 
o  Faith-based or community-based organizations

Foreign collaborators should be from Africa, Russia and Eastern Europe, 
Asia (except Japan, Singapore, South Korea and Taiwan,) the Pacific 
Island region (except Australia and New Zealand,) the Middle East 
(except Israel,) Latin America or the Caribbean.  The primary foreign 
collaborator must either hold a full-time faculty research position or 
should have a full-time faculty position with a strong research 
commitment. 
 
Note:  Applicants should check 
http://www.nih.gov/fic/regional/CountryInstructions.html for special 
considerations relative to some potential collaborating countries.
 
INDIVIDUALS ELIGIBLE TO BECOME PRINCIPAL INVESTIGATORS
 
Any individual with the skills, knowledge and resources needed to carry 
out the proposed research is invited to work with their institution to 
develop an application for support.  Individuals from underrepresented 
racial and ethnic groups, as well as individuals with disabilities, are 
especially encouraged to apply.  
 
SPECIAL REQUIREMENTS
 
This program is intended to generate useful scientific information and 
policy implications.  It is also intended to promote collaboration 
among scientists in developed and developing countries, and in 
different fields of expertise.  Advances from this program are most 
likely to be achieved by interdisciplinary efforts.  For example, 
collaboration among biomedical, behavioral, environmental, and social 
scientists is expected to result in a greater degree of refinement and 
insight in the selection and design of instrumental variables, 
analytical tools, interpretation of results, and implications for 
policy and programs.  Toward this end, eligible proposals must be able 
to demonstrate that the research plan has been developed cooperatively 
by the international team and will be carried out cooperatively.  
Research teams must include a social or behavioral scientist, health or 
biomedical scientist, and a natural or environmental scientist. 
 
The budget must include funds for up to two networking meeting or 
workshop per year of all the grantees for the purpose of sharing 
information and methods.  The meeting(s) will be organized by the 
program sponsors in collaboration with the grantees (at least two 
grantees per award not from the same country should plan to attend).  
The meeting(s) may be held outside the U.S. if deemed desirable to 
advance the objectives of the program and if cost-effective. 
 
The research plan must also include a section titled "Research Capacity-
building Plan" that addresses the need to integrate health, environment 
and economic expertise in the developing country(ies), the contribution 
of the project toward doing so, and how that contribution will be 
evaluated.  A long-term outcome of capacity strengthening is the 
augmentation of scientific competence and skills nationally and 
internationally and development of a cadre of researchers with proper 
research training and support who can continue to carry out research.  
The plan should specifically identify foreign members of the research 
team whose capacity to undertake interdisciplinary research in their 
country will be enhanced, identify specific professional goals (e.g., 
publications, training, progress toward a degree, broadening of research 
scope, etc.) and a timetable for achieving them, and demonstrate how the 
contributions of these team members are integral to the overall 
objectives and conduct of the research.  The plan should identify those 
capacity-building procedures and plans for the two-year life of the 
proposed R21 project, as well as a brief concept for the longer-term 
full research project award. 
 
The plan must also identify the relevance of the research to health, 
environment, and/or development policy and programs in the developing 
country(ies) and include a plan for dissemination of policy implications 
to national and, as appropriate, international policy-makers.  The 
proposal must identify how the policy relevance and policy dissemination 
requirements will be met by both the two-year R21 development/planning 
award, as well as a prospective longer-term full research project award. 
The program sponsors will work with the awardees during the grant period 
to further develop the research translation and communication aspects of 
their projects. 
 
WHERE TO SEND INQUIRIES
 
We encourage inquiries concerning this RFA and welcome the opportunity 
to answer questions from potential applicants.  Inquiries may fall into 
three areas:  scientific/research, peer review, and financial or grants 
management issues.
 
o Direct your questions about overall administration, eligibility, and 
scientific/research issues to:
 
Rachel A. Nugent, Ph.D.
Division of International Training and Research
Fogarty International Center
National Institutes of Health
31 Center Drive, Room B2C39, MSC 2220
Bethesda, MD  20892
Telephone:  (301) 496-8733
Fax:  (301) 402-0779
Email:  nugentra@mail.nih.gov
 
Additional scientific/research questions may be addressed to: 
 
Shobha Srinivasan, Ph.D.
Scientific Program Administrator
Chemical Exposures and Molecular Biology Branch
Division of Extramural Research and Training
National Institute of Environmental Health Sciences
National Institutes of Health
P.O. Box 12233, MD EC-21
111 T.W. Alexander Drive
Research Triangle Park, NC  27709
Telephone:  (919) 541-2506
Fax:  (919) 316-4606
Email:  srinica2@niehs.nih.gov
 
Jerry Flanzer, Ph.D.
National Institute on Drug Abuse
National Institutes of Health
6001 Executive Blvd., Room 5274
Bethesda, MD  20892
Telephone:  (301) 443-4060
Fax:  (301) 443-9127
Email:  jflanzer@mail.nih.gov
 
Rebecca L. Clark, Ph.D.
Demographic and Behavioral Sciences Branch 
Center for Population Research 
National Institute of Child Health and Human Development 
6100 Executive Boulevard, Room 8B07, MSC 7510
Bethesda, MD  20892-7510
Telephone: (301) 496-1175
Fax: (301) 496-0962
E-mail:  rclark@mail.nih.gov
 
Virginia S. Cain, Ph.D. 
Deputy Director 
Office of Behavioral and Social Sciences Research 
National Institutes of Health 
1 Center Drive Room 256 
Bethesda, MD  20892 
Phone:  301-402-1146 
Fax:  301-402-1150 
E-mail:  Virginia_Cain@nih.gov 
 
Carl D. Shapiro, Ph.D. 
Office of the Director 
U.S. Geological Survey 
104 National Center 
Reston, VA 20192 
Phone: (703) 648-4446 (Voice) 
Fax: (703) 648-5470 (Fax) 
Email: cshapiro@usgs.gov
 
o Direct your questions about peer review issues to:
 
Leroy Worth, Jr., Ph.D.
Scientific Review Branch
Division of Extramural Research and Training
National Institute of Environmental Health Sciences
National Institutes of Health
P.O. Box 12233, MD EC-24
111 T.W. Alexander Drive
Research Triangle Park, NC  27709
Telephone:  (919) 541-0670
Fax:  (919) 541-2503
Email:  worth@niehs.nih.gov
 
o Direct your questions about overall financial or grants management 
matters to:
 
Bruce Butrum
Grants Management Officer
Fogarty International Center
31 Center Drive, Room B2, C39, MSC 2220
Bethesda, MD  20892
Telephone:  (301) 496-1670
Fax:  (301) 594-1211
E-mail:  butrumb@mail.nih.gov
 
Additional questions about financial or grants management may be 
directed to:
 
Jackie Russell
Grants Management Branch
Division of Extramural Research and Training
National Institute of Environmental Health Sciences
National Institutes of Health
P.O. Box 12233, MD EC-24
111 T.W. Alexander Drive
Research Triangle Park, NC  27709
Telephone:  (919) 541-0751
Fax:  (919) 541-2860
Email:  russell@niehs.nih.gov
 
Ms. Kathy Hancock
Grants Management Branch
National Institute of Child Health and Human Development
6100 Executive Boulevard, Room 8A17G, MSC 7510
Bethesda, MD  20892-7510
Telephone:  (301) 496-5482
Fax:  (301) 402-0915
Email:  kh47d@nih.gov
 
LETTER OF INTENT
 
Prospective applicants are asked to submit a letter of intent that 
includes the following information:
 
o Descriptive title of the proposed research
o Name, address, and telephone number of the Principal Investigator
o Names of other key personnel 
o Participating institutions
o Number and title of this RFA 
 
Although a letter of intent is not required, is not binding, and does 
not enter into the review of a subsequent application, the information 
that it contains allows IC staff to estimate the potential review 
workload and plan the review.
 
The letter of intent is to be sent by the date listed at the beginning 
of this document.  The letter of intent should be sent to:
 
Leroy Worth, Jr., Ph.D.
Scientific Review Branch
Division of Extramural Research and Training
National Institute of Environmental Health Sciences
National Institutes of Health
P.O. Box 12233, MD EC-24
111 T.W. Alexander Drive
Research Triangle Park, NC 27709
Telephone: (919) 541-0670
Fax: (919) 541-2503
Email: worth@niehs.nih.gov
 
SUBMITTING AN APPLICATION 
 
Applications must be prepared using the PHS 398 research grant 
application instructions and forms (rev. 5/2001).  The PHS 398 is 
available at http://grants.nih.gov/grants/funding/phs398/phs398.html in 
an interactive format.  For further assistance contact Grants Info, 
Telephone (301) 435-0714, Email: GrantsInfo@nih.gov. SPECIFIC 
INSTRUCTIONS FOR MODULAR GRANT APPLICATIONS:  Applications requesting 
up to $250,000 per year in direct costs must be submitted in a modular 
grant format.  The modular grant format simplifies the preparation of 
the budget in these applications by limiting the level of budgetary 
detail.  Applicants request direct costs in $25,000 modules.  Section C 
of the research grant application instructions for the PHS 398 (rev. 
5/2001) at http://grants.nih.gov/grants/funding/phs398/phs398.html 
includes step-by-step guidance for preparing modular grants.  
Additional information on modular grants is available at 
http://grants.nih.gov/grants/funding/modular/modular.htm.
 
USING THE RFA LABEL:  The RFA label available in the PHS 398 (rev. 
5/2001) application form must be affixed to the bottom of the face page 
of the application.  Type the RFA number on the label.  Failure to use 
this label could result in delayed processing of the application such 
that it may not reach the review committee in time for review.  In 
addition, the RFA title and number must be typed on line 2 of the face 
page of the application form and the YES box must be marked.  The RFA 
label is also available at: 
http://grants.nih.gov/grants/funding/phs398/label-bk.pdf.
 
SENDING AN APPLICATION TO THE NIH:  Submit a signed, typewritten 
original of the application, including the Checklist, and three signed, 
photocopies, in one package to:
 
Center For Scientific Review
National Institutes Of Health
6701 Rockledge Drive, Room 1040, MSC 7710
Bethesda, MD  20892-7710
Bethesda, MD  20817 (for express/courier service)
 
At the time of submission, one additional copy of the application must 
be sent to each of the following persons:
 
Leroy Worth, Jr., Ph.D.
Scientific Review Branch
Division of Extramural Research and Training
National Institute of Environmental Health Sciences
National Institutes of Health
P.O. Box 12233, MD EC-24
111 T.W. Alexander Drive
Research Triangle Park, NC  27709
Telephone:  (919) 541-0670
Fax:  (919) 541-2503
Email:  worth@niehs.nih.gov
 
Rachel A. Nugent, Ph.D.
Division of International Training and Research
Fogarty International Center
National Institutes of Health
31 Center Drive, Room B2, C39, MSC 2220
Bethesda, MD  20892
Telephone:  (301) 496-8733
Fax:  (301) 402-0779
Email:  nugentra@mail.nih.gov
 
APPLICATION PROCESSING:  Applications must be received by the 
application receipt date listed in the heading of this RFA.  If an 
application is received after that date, it will be returned to the 
applicant without review.
 
The Center for Scientific Review (CSR) will not accept any application 
in response to this RFA that is essentially the same as one currently 
pending initial review, unless the applicant withdraws the pending 
application.  The CSR will not accept any application that is 
essentially the same as one already reviewed. This does not preclude 
the submission of substantial revisions of applications already 
reviewed, but such applications must include an Introduction addressing 
the previous critique.
 
PEER REVIEW PROCESS  
 
Upon receipt, applications will be reviewed for completeness by the CSR 
and responsiveness by FIC, NIEHS and cosponsors.  Incomplete and/or 
non-responsive applications will be returned to the applicant without 
further consideration.
 
Applications that are complete and responsive to the RFA will be 
evaluated for scientific and technical merit by an appropriate peer 
review group convened by the NIEHS in accordance with the review 
criteria stated below.  As part of the initial merit review, all 
applications will:
 
o Receive a written critique
o Undergo a process in which only those applications deemed to have the 
highest scientific merit, generally the top half of the applications 
under review, will be discussed and assigned a priority score
o Receive a second level review by the Fogarty International Center 
Advisory Council and/or Advisory Boards of the cosponsors. 
 
REVIEW CRITERIA
 
The goals of NIH-supported research are to advance our understanding of 
biological systems, improve the control of disease, and enhance health.  
In the written comments, reviewers will be asked to discuss the 
following aspects of your application in order to judge the likelihood 
that the proposed research will have a substantial impact on the 
pursuit of these goals:  
 
o Significance 
o Approach 
o Innovation 
o Investigator 
o Environment 
 
The scientific review group will address and consider each of these 
criteria in assigning your application's overall score, weighting them 
as appropriate for each application.  Your application does not need to 
be strong in all categories to be judged likely to have major 
scientific impact and thus deserve a high priority score.  For example, 
you may propose to carry out important work that by its nature is not 
innovative but is essential to move a field forward.
 
(1) SIGNIFICANCE:  Does your study address an important development 
problem affecting health and the environment?  If the aims of your 
application are achieved, how do they advance scientific knowledge of 
development, environment and health interactions?  What will be the 
effect of these studies on the concepts or methods that drive this 
field?  Will the study demonstrate methods that can be applied to 
similar problems elsewhere? 
 
(2) APPROACH:  Are the conceptual framework, design, methods, and 
analyses adequately developed, well integrated, and appropriate to the 
aims of the project?  Do you acknowledge potential problem areas and 
consider alternative tactics?
 
(3) INNOVATION:  Does your project employ novel concepts, approaches or 
methods?  Are the aims original and innovative?  Does your project 
challenge existing paradigms or develop new methodologies or 
technologies?
 
(4) INVESTIGATORS:  Are you appropriately trained and well suited to 
carry out this work?  Is the work proposed appropriate to your 
experience level as the principal investigator and to that of other 
researchers (if any)?  Do you include personnel who can address 
economic, health and environmental problems in an interdisciplinary 
manner?
 
(5) ENVIRONMENT:  Does the scientific environment in which your work 
will be done contribute to the probability of success?  Do the proposed 
experiments take advantage of unique features of the scientific 
environment or employ useful collaborative arrangements?  Is there 
evidence of institutional support?
 
ADDITIONAL SCIENTIFIC REVIEW CRITERIA:
 
Your application will be reviewed for satisfactory compliance with each 
of the special requirements described above.  You must meet all of 
those requirements to be considered fully responsive to this RFA. In 
addition, the following criteria will also be used to evaluate the 
responsiveness of your proposal to the objectives of the program:
 
a) Capacity-Strengthening:  Does your proposed program contribute to 
the capacity of scientists in low- and middle-income nations to perform 
research related to health, environment, and economic development?  How 
will your project enhance the ability of scientists in a developing 
country to carry out interdisciplinary research?  Does your proposed 
program contain explicit strategies or plans to strengthen this 
capacity through research training, career development, mentoring and 
other modes?  Will collaborating foreign scientists develop the 
capacity to become independent investigators in health and environment 
and development research?  How will this occur?  How will it assist 
their ability to publish results in local or international scientific 
journals? 
 
b) Policy-Relevance:  How does your project address important health 
and environmental issues in a developing country?  Does it address 
priority concerns of policy-makers and the public in that country?  How 
will the results of your project provide information of importance to 
decision-makers, and how will your project results be disseminated to 
policy-makers and the public?
 
c) Evaluation:  Do you provide a clear and concise plan or method for 
assessment of the policy-relevance and research capacity-strengthening 
components of your aims?  How will you evaluate both the research 
capacity building and policy-relevance, and dissemination 
accomplishments of your project?  What indicators, measures, and/or 
milestones will you use and how will you report them to the intended 
audience for your research beyond the funding agencies?  Will your 
evaluation plan address the method and effectiveness of policy-relevant 
dissemination of your results?  
 
d) Specific R21 review criteria: innovation of the project and 
potential significance of the proposed research will be the major 
considerations in the evaluation of the R21 exploratory grant 
mechanism. Because the R21 is designed to support innovative ideas, 
preliminary data as evidence of feasibility of the project are not 
required. However, the applicant is responsible for presenting the 
background literature that provides some basis for the approach and for 
developing a rigorous research plan. Relevant pilot data should be 
cited when available.  
 
ADDITIONAL REVIEW CRITERIA:  In addition to the above criteria, your 
application will also be reviewed with respect to the following:
 
o PROTECTIONS:  The adequacy of the proposed protection for humans, 
animals, or the environment, to the extent they may be adversely 
affected by the project proposed in the application.
 
o INCLUSION:  The adequacy of plans to include subjects from both 
genders, all racial and ethnic groups (and subgroups), and children as 
appropriate for the scientific goals of the research.  Plans for the 
recruitment and retention of subjects will also be evaluated.  (See 
Inclusion Criteria included in the section on Federal Citations, below)
 
o BUDGET:  The reasonableness of the proposed budget and the requested 
period of support in relation to the proposed research.
 
RECEIPT AND REVIEW SCHEDULE
 
Letter of Intent Receipt Date:  November 30, 2002
Application Receipt Date:  December 30,2002
Peer Review Date:  March 2003
Council Review:  May 2003
Earliest Anticipated Start Date:  July 1, 2003
 
AWARD CRITERIA
 
Award criteria that will be used to make award decisions include:
 
o Scientific merit (as determined by peer review)
o Responsiveness to special requirements
o Availability of funds
o Programmatic priorities, including geographic balance and interests 
of cofunders 
 
REQUIRED FEDERAL CITATIONS 
 
INCLUSION OF WOMEN AND MINORITIES IN CLINICAL RESEARCH:  It is the 
policy of the NIH that women and members of minority groups and their 
sub-populations must be included in all NIH-supported clinical research 
projects unless a clear and compelling justification is provided 
indicating that inclusion is inappropriate with respect to the health of 
the subjects or the purpose of the research.  This policy results from 
the NIH Revitalization Act of 1993 (Section 492B of Public Law 103-43).
 
All investigators proposing clinical research should read the AMENDMENT 
"NIH Guidelines for Inclusion of Women and Minorities as Subjects in 
Clinical Research - Amended, October, 2001," published in the NIH Guide 
for Grants and Contracts on October 9, 2001 
(http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-001.html); a 
complete copy of the updated Guidelines are available at 
http://grants.nih.gov/grants/funding/women_min/guidelines_amended_10_2001.htm.  
The amended policy incorporates:  the use of an NIH definition of clinical 
research; updated racial and ethnic categories in compliance with the new OMB 
standards; clarification of language governing NIH-defined Phase III clinical 
trials consistent with the new PHS Form 398; and updated roles and 
responsibilities of NIH staff and the extramural community.  The policy 
continues to require for all NIH-defined Phase III clinical trials that:  
a) all applications or proposals and/or protocols must provide a description 
of plans to conduct analyses, as appropriate, to address differences by 
sex/gender and/or racial/ethnic groups, including subgroups if applicable; 
and b) investigators must report annual accrual and progress in conducting 
analyses, as appropriate, by sex/gender and/or racial/ethnic group 
differences.
 
INCLUSION OF CHILDREN AS PARTICIPANTS IN RESEARCH INVOLVING HUMAN 
SUBJECTS:  The NIH maintains a policy that children (i.e., individuals 
under the age of 21) must be included in all human subjects research, 
conducted or supported by the NIH, unless there are scientific and 
ethical reasons not to include them.  This policy applies to all 
initial (Type 1) applications submitted for receipt dates after October 
1, 1998.
 
All investigators proposing research involving human subjects should 
read the "NIH Policy and Guidelines" on the inclusion of children as 
participants in research involving human subjects that is available at 
http://grants.nih.gov/grants/funding/children/children.htm. 
 
REQUIRED EDUCATION ON THE PROTECTION OF HUMAN SUBJECT PARTICIPANTS:  NIH 
policy requires education on the protection of human subject 
participants for all investigators submitting NIH proposals for research 
involving human subjects.  You will find this policy announcement in the 
NIH Guide for Grants and Contracts Announcement, dated June 5, 2000, at 
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html.
 
PUBLIC ACCESS TO RESEARCH DATA THROUGH THE FREEDOM OF INFORMATION ACT:  
The Office of Management and Budget (OMB) Circular A-110 has been 
revised to provide public access to research data through the Freedom of 
Information Act (FOIA) under some circumstances.  Data that are (1) 
first produced in a project that is supported in whole or in part with 
Federal funds and (2) cited publicly and officially by a Federal agency 
in support of an action that has the force and effect of law (i.e., a 
regulation) may be accessed through FOIA.  It is important for 
applicants to understand the basic scope of this amendment.  NIH has 
provided guidance at 
http://grants.nih.gov/grants/policy/a110/a110_guidance_dec1999.htm.
 
Applicants may wish to place data collected under this RFA in a public 
archive, which can provide protections for the data and manage the 
distribution for an indefinite period of time.  If so, the application 
should include a description of the archiving plan in the study design 
and include information about this in the budget justification section 
of the application.  In addition, applicants should think about how to 
structure informed consent statements and other human subjects 
procedures given the potential for wider use of data collected under 
this award.
 
URLs IN NIH GRANT APPLICATIONS OR APPENDICES:  All applications and 
proposals for NIH funding must be self-contained within specified page 
limitations.  Unless otherwise specified in an NIH solicitation, 
Internet addresses (URLs) should not be used to provide information 
necessary to the review because reviewers are under no obligation to 
view the Internet sites.  Furthermore, we caution reviewers that their 
anonymity may be compromised when they directly access an Internet site.
 
HEALTHY PEOPLE 2010:  The Public Health Service (PHS) is committed to 
achieving the health promotion and disease prevention objectives of 
"Healthy People 2010," a PHS-led national activity for setting priority 
areas.  This RFA is related to one or more of the priority areas.  
Potential applicants may obtain a copy of "Healthy People 2010" at 
http://www.health.gov/healthypeople/.
 
AUTHORITY AND REGULATIONS:  This program is described in the Catalog of 
Federal Domestic Assistance No. 93.989, and is not subject to the 
intergovernmental review requirements of Executive Order 12372 or 
Health Systems Agency review.  Awards are made under authorization of 
the Public Health Service Act, as amended (42 USC 241 and 287b) and 
administered under Public Health Service (PHS) grants policies 
described at http://grants.nih.gov/grants/policy/policy.htm and under 
Federal Regulations 42 CFR 52 and 45 CFR Parts 74 and 92. 
 
The PHS strongly encourages all grant recipients to provide a smoke-
free workplace and discourage the 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 Sand mental health of the American people. 

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