PAR-02-145: MARC FACULTY SENIOR FELLOWSHIP (F33)

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MARC FACULTY SENIOR FELLOWSHIP (F33) RELEASE DATE: August 8, 2002 PA NUMBER: PAR-02-145 Application Receipt Dates: April 5 and December 5 EXPIRATION DATE: December 6, 2005, unless reissued National Institute of General Medical Sciences (NIGMS) (http://www.nigms.nih.gov) This Program Announcement replaces PAR-94-032, which was published in the NIH Guide, February 18, 1994. THIS PA CONTAINS THE FOLLOWING INFORMATION o Purpose of the PA o Training Objectives o Mechanism(s) of Support o Eligible Institutions o Individuals Eligible to Apply o Where to Send Inquiries o Special Instructions o Submitting an Application o Peer Review Process o Review Criteria o Review Considerations o Award Criteria o Terms and Conditions of Support o Required Federal Citations PURPOSE OF THIS PA The Minority Access to Research Careers (MARC) Branch of the Division of Minority Opportunities in Research (MORE) of the National Institute of General Medical Sciences (NIGMS) provides research training opportunities for faculty at minority and/or minority serving institutions to enhance their research skills. This program announcement describes a revised MARC Faculty Fellowship for senior faculty. The purpose of this program is to allow eligible faculty at minority/minority serving institutions the opportunity to update their research skills and/or move into new areas of research through a one- year period of intensive research training/experience in a state-of- the-art research environment. TRAINING OBJECTIVES The goals of the MARC Branch are to increase the number and capabilities of minorities engaged in biomedical research and to strengthen science course curricula and research training environments at minority/minority serving institutions. As part of its ongoing commitment to the development of research training faculty, minority/minority serving institutions and underrepresented minority biomedical researchers, the MARC Branch will provide funds to allow eligible faculty from these institutions to spend a year updating their research skills at a research-intensive institution. The institutions that host these faculty members must be able to provide high-quality research training. During this one-year period of training, the faculty member participating in this training should have only minimal responsibilities at his/her home institution. The expectation is that the faculty member"s newly acquired skills will enhance the research and training environment at the home institution. MECHANISM OF SUPPORT This Program Announcement (PA) will use the National Institutes of Health NRSA Senior Fellowship (F33) award mechanism. Note that although this mechanism is widely used throughout NIH, applicants for the MARC Faculty Senior Fellowship should be aware of different eligibility requirements and review criteria. Applicants may NOT request less than one academic year (9 months) or more than 12 months of support. Fellowship awards are administered as described in the NIH Grants Policy Statement found at http://grants.nih.gov/grants/policy/policy.htm and the NRSA Guidelines for Individual Awards and Institutional Grants, available on the NIH Website at http://grants.nih.gov/training/nrsaguidelines/nrsa_toc.htm. The proposed training under the F33 award must be within the scope of biomedical or behavioral research and must offer an opportunity for applicant to update his/her research skills and/or move into new areas of research. Applicants are required to pursue their research training on a full-time basis, devoting at least 40 hours per week to the training program. Awards are not made for study leading to any of the professional degrees (M.D., D.O., D.D.S., etc.). ELIGIBLE INSTITUTIONS HOME INSTITUTION: You may submit an application if your home institution is a domestic, non-profit, private or public minority/minority serving institution that offers at least the baccalaureate degree in the biomedical/behavioral sciences, including mathematics. The exception to this requirement is the tribal colleges. The home institution is the college or university where the applicant is employed at the time of the application. For the purposes of this Program Announcement, institutions such as Historically Black Colleges and Universities (HBCU), Hispanic Serving Institutions (HSI), and other institutions that have substantial enrollments of students from minority groups underrepresented in the biomedical sciences are considered to be minority or minority serving institutions. In addition, the home institution must support the applicant"s plans, and guarantee and provide release time for faculty research training. TRAINING INSTITUTION: The training institution is the research university or research institution or center at which the training takes place. It may be a public or private, domestic, or with strong justification, a foreign institution. The training institution must offer a solid research environment as evidenced by a high level of faculty involvement in biomedical research and a high level of research support through competitive research grants. However, the training institution may NOT be the applicant"s home institution. SPONSOR: Before submitting an application, an individual must arrange for acceptance by a training institution and sponsor. The sponsor is the individual who will directly supervise the candidate"s research during the period of the fellowship. The applicant"s sponsor should be an active investigator in the area of the proposed research and have a distinguished record of achievement as documented by high-quality research publications and/or competitive grant support. The sponsor must document the availability of staff, research support, and facilities for high-quality research training. FOREIGN SPONSORSHIP: Individuals requesting foreign-site training rather than a domestic site must show in the application that the foreign institution and sponsor offer unique opportunities that are not currently available in the United States. Foreign training will NOT be supported without a clear scientific advantage. INDIVIDUALS ELIGIBLE TO APPLY CITIZENSHIP: At the time of the earliest possible start date , individuals must be citizens or noncitizen nationals of the United States or have been lawfully admitted to the United States for permanent residence (i.e., possess a currently valid Alien Registration Receipt Card 1-551, or other legal verification of such status). Noncitizen nationals are generally persons born in outlying possessions of the United States (i.e., American Samoa and Swains Island). Individuals on temporary or student visas are not eligible. APPLICANT REQUIREMENTS: Applicants for the Senior Faculty Fellowship must have received the Ph.D. or equivalent at least seven years before the date of the application and have demonstrated a commitment to research and teaching in a minority or minority serving institution. The applicant must be a full-time, permanent faculty in a biomedically or behaviorally relevant science or mathematics at the home institution for at least three years at the time of submission of the application. In this case, permanent is not limited to tenured or tenure-track but implies the expectation of continued employment in the normal course of events. Adjunct or part-time faculty are not eligible. The applicant must be seeking training in a science, including mathematics, related to biomedical or behavioral research and must intend to return to the home institution at the end of the training period. Since the intent of this fellowship is to provide faculty at minority/minority serving institutions the opportunity to upgrade their research skills or move into new areas of research, this program is not intended for established independent investigators to receive training to increase their scientific capabilities, nor postdoctoral level investigators seeking to improve their research potential prior to becoming independent investigators WHERE TO SEND INQUIRIES We encourage your inquiries concerning this PA and welcome the opportunity to answer questions from potential applicants. Inquiries may fall into two areas: programmatic and financial or grants management issues: o Direct your questions about programmatic issues to: Adolphus P. Toliver, Ph.D. Minority Access to Research Careers Branch National Institute of General Medical Sciences 45 Center Drive, Room 2AS.37, MSC 6200 Bethesda, MD 20892-6200 Telephone: (301) 594-3900 FAX: (301) 480-2753 E-mail: tolivera@nigms.nih.gov Hinda Zlotnik, Ph.D. Minority Access to Research Careers Branch National Institute of General Medical Sciences 45 Center Drive, Room 2AS.37, MSC 6200 Bethesda, MD 20892-6200 Telephone: (301) 594-3900 E-mail: zlotnikh@nigms.nih.gov o Direct your questions about financial or grants management matters to: Ms. Antoinette Holland Grants Management Officer National Institute of General Medical Sciences 45 Center Drive, Room 2AN.50B, MSC 6200 Bethesda, MD 20892-6200 Telephone: (301) 594-5132 FAX: (301) 480-2554 E-mail: hollanda@nigms.nih.gov SPECIFIC INSTRUCTIONS FOR APPLICANTS ALLOWABLE COSTS: The Faculty Senior Fellowship Award provides an annual stipend to help meet the fellow"s living expenses and an annual institutional allowance. STIPEND: A MARC Faculty Senior Fellowship applicant may request a stipend equal to his/her actual annual salary, but in no case can the stipend exceed the stipend of a level 7 postdoctoral fellowship ($48,852/yr.). The actual amount of stipend will be prorated by the length of the award if the award is less than 12 months. The stipend is not provided as a condition of employment with either the Federal Government or the institution. INSTITUTIONAL ALLOWANCE: NIH will provide an institutional allowance of $4,000 per 12-month period to nonfederal, nonprofit, or foreign sponsoring institutions to be used for expenses directly related to the applicant"s research training. Examples of such training related expenses might be research supplies, small equipment, and travel to scientific meetings. The allowance is not available until the fellow officially activates the award. OTHER TRAINING COSTS: Additional funds may be requested by the institution when the training of a fellow involves extraordinary costs for travel to field sites remote from the sponsoring institution or accommodations for fellows who are disabled, as defined by the Americans With Disabilities Act. The funds requested for extraordinary costs must be reasonable in relationship to the total dollars awarded under the fellowship and must be directly related to the approved research training experience. Such additional funds shall be provided only in exceptional circumstances that are fully justified and explained by the institution. FACILITIES AND ADMINISTRATIVE COSTS: F&A (indirect) costs are not allowed on individual fellowship awards. STIPEND SUPPLEMENTATION, COMPENSATION, AND OTHER INCOME: An institution is permitted to provide funds to a fellow in addition to the stipend paid by the NIH. Such additional amounts may be in the form of augmented stipends (supplementation) or compensation for services. SUPPLEMENTATION: Supplementation or additional support to offset the cost of living may be provided by the sponsoring institution, but must not require any additional effort from the fellow. Federal funds may not be used for supplementation unless specifically authorized under the terms of both the program from which such supplemental funds are to be received and the program whose funds are to be supplemented. Under no circumstances may PHS grant funds be used for supplementation. COMPENSATION: An institution may provide additional funds to a fellow in the form of compensation (as salary and/or tuition remission) for services, such as teaching or research. Compensation for services is not considered stipend supplementation. A fellow may receive compensation for services as a research assistant or in some other capacity on a Federal research grant, including a PHS research grant. However, compensated services must occur on a limited, part-time basis apart from the normal training activities, which require a minimum of 40 hours per week. In addition, compensation may not be paid from a research grant supporting research that is part of the F33 research training experience. Under no circumstances may the conditions of stipend supplementation or the services provided for compensation interfere with, detract from, or prolong the fellow"s approved NRSA training program. Additionally, compensation must be in accordance with institutional policies applied consistently to both Federally and non-Federally supported activities and supported by acceptable accounting records determined by the employer-employee relationship agreement. EDUCATIONAL LOANS OR THE GI BILL: An individual may make use of Federal educational loan funds and assistance under the Veteran"s Readjustment Benefits Act (GI Bill). Such funds are not considered supplementation or compensation. CONCURRENT AWARDS: An F33 may not be held concurrently with another federally sponsored fellowship or similar Federal award that provides a stipend or otherwise duplicates provisions of the NRSA. TAX LIABILITY: The Internal Revenue Code, Section 117, applies to the tax treatment of all scholarships and fellowships. Under that section, non-degree candidates are required to report gross income, all stipends and any monies paid on their behalf for course tuition and fees required for attendance. The taxability of stipends, however, in no way alters the relationship between NRSA fellows and institutions. NRSA stipends are not considered salaries. NRSA fellows are not considered to be in an employee-employer relationship with the NIH or with the institution at which they are receiving their training. The interpretation and implementation of the tax laws is the domain of the Internal Revenue Service (IRS) and the courts. The NIH takes no position on the status of a particular taxpayer, and it does not have the authority to dispense tax advice. Individuals should consult their local IRS office about the applicability of the law to their situation and for information on the proper steps to be taken regarding their tax obligations. PAYBACK: As required by the NIH Revitalization Act of 1993, postdoctoral fellows in their first year of NRSA support incur a service obligation of one (1) month for each month of support. Thus, MARC Senior Faculty Fellows will incur a payback obligation during the nine to 12 months of training, which can be satisfied by resuming a career in research and teaching at a minority/minority serving institution. Specific questions concerning payback appear in a list of Frequently Asked Questions, which appears on the Web at http://grants.nih.gov/training/faq_fellowships.htm. Other questions on payback should be directed to the NIGMS institute contact. LEAVE: Fellows may continue to receive stipends during periods of vacation and holidays available to individuals in comparable training positions at the training institution. Also, fellows may continue to receive stipends for up to 15 calendar days of sick leave per year. Sick leave may be used for the medical conditions related to pregnancy and childbirth. Fellows may continue to receive stipends for up to 30 calendar days of parental leave per year for the adoption or the birth of a child when those in comparable training positions at the grantee or sponsoring institution have access to paid leave for this purpose and the use of parental leave is approved by the sponsor. A period of terminal leave is not permitted and payment may not be made from grant funds for leave not taken. Individuals requiring extended periods of time away from their research training experience must seek approval from NIGMS for an unpaid leave of absence. SUBMITTING AN APPLICATION Individuals must submit the application form, PHS Individual National Research Service Award (PHS 416-1, rev. 12/98). An application for a MARC Faculty Senior Fellowship must contain a letter signed by the appropriate officials of the applicant"s home institution, including the applicant"s department head, (1) supporting the applicant"s training plans, (2) guaranteeing the necessary release time for the applicant, (3) certifying the applicant"s eligibility for the program, and (4) establishing the home institution"s eligibility as a minority/minority serving institution. In Item 3, of the PHS 416-1, applicants must give the Program Announcement number, PAR-02-145. In Item 2, applicants should type "MARC Faculty Senior Faculty Fellowship Program". APPLICATION MATERIALS: To obtain application kits with instructions and forms, please contact your institutional office of sponsored research. If application kits are not available at the institution, they may be downloaded from the NIH website at http://grants.nih.gov/grants/forms.htm or it may be requested from the following e-mail address: grantsinfo@nih.gov APPLICATION RECEIPT DATES: MARC F33 applications undergo a review process that takes between 5-8 months. The receipt dates and the two annual review cycles are as follows: Application Receipt Dates: April 5 Dec 5 Initial Review Dates: Jun/Jul Feb/Mar Secondary Review Dates: Aug/Sep Apr/May Range of Likely Start Dates: Sep 1-Dec 1* May 1-Jul 1 *Fellowships may not be activated between October 1 and November 15 SENDING AN APPLICATION TO THE NIH: Submit a signed, typewritten original of the application (including the Checklist, Personal Data form, at least three sealed reference letters, and all other required materials) and two exact, clear, single-sided photocopies of the signed applications, 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) APPLICATION PROCESSING: Applications must be received by or mailed before the receipt dates listed in this PA. The Center for Scientific Review (CSR) will not accept any application in response to this PA 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 a substantial revision of an application already reviewed, but such application must include an Introduction addressing the previous critique. PEER REVIEW PROCESS Complete applications for this PA will be assigned to NIGMS in accordance with the standard NIH peer review procedures (http://www.csr.nih.gov/refrev.htm) will evaluate applications for scientific and technical merit. Applicants will be notified about their application"s SRG assignment. As part of the initial merit review, all applications will: o Receive a written critique o Receive a second level review by the NIGMS Fellowship Oversight Group (FOG), comprised of NIGMS professional staff. REVIEW CRITERIA In the written comments, the reviewers will be asked to discuss the following aspects of your application in order to judge the likelihood that the proposed research training will have a substantial impact on the likelihood that the training received will accomplish the purpose of this PA. The review criteria focus on four main components: o Candidate o Sponsor and training environment o Research Proposal o Training Potential The Scientific Review Group (SRG) 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 an important training impact and thus, deserve a high priority score. (1) CANDIDATE: An assessment of the applicant"s qualifications and potential for a career as a researcher and teacher. Assessment will include research and teaching experience, training and career goals, scientific publications and/or presentations, professional honors and awards and letters of recommendation. (2) SPONSOR AND TRAINING ENVIRONMENT: An assessment of the quality of the training environment and the qualifications of the sponsor as a mentor for the proposed research training experience. (3) RESEARCH PROPOSAL: The quality and appropriateness of the proposed training, including the merit of the scientific proposal and its relationship to the candidate"s career plans. (4) TRAINING POTENTIAL: An assessment of the value of the proposed fellowship experience as it relates to using this research training to enhance research and teaching at the home institution. REVIEW CONSIDERATIONS INSTRUCTION IN THE RESPONSIBLE CONDUCT OF RESEARCH: Applications must include the candidate"s plans for obtaining instruction in the responsible conduct of research, including the rationale, subject matter, appropriateness, format, frequency and duration of instruction. The amount and nature of the Fellow"s participation must be described. No award will be made if an application lacks this component. AWARD CRITERIA Applications submitted in response to this PA will compete for available funds with all other recommended applications for the Faculty Senior Fellowship Award. The following will be considered in making funding decisions: o Scientific and technical merit of the application as determined by peer review o Availability of funds o Relevance to program priorities. For example, among the highly qualified applicants, the MARC professional staff may give preference to those who demonstrate a strong commitment to research and teaching at a minority/minority serving institution and who present evidence of strong support from the home and training institutions, including the research training sponsor. TERMS AND CONDITIONS OF SUPPORT Fellowships must be administered in accordance with the current NRSA Policy Guidelines for Individual Awards and Institutional Grants (see the NIH Website at http://grants.nih.gov/training/nrsaguidelines/nrsa_toc.htm), the current NIH Grants Policy Statement (see the NIH Website at http://grants.nih.gov/grants/policy/policy.htm), and any terms and conditions specified on the Notice of Research Fellowship Award. Certification and Reporting Procedures No application will be accepted without the applicant signing the certification block. Individuals admitted to the United States, as Permanent Residents must submit notarized evidence of legal admission prior to the award. The Activation Notice must be accompanied by a Payback Agreement Form (PHS 6031) when the award is for the individual"s initial 12 months of NRSA postdoctoral support. When support ends, the fellow must submit a Termination Notice (PHS 416-7) to the NIH. And, if the fellow has a payback obligation, he or she must notify the NIH of any change in address and submit Annual Payback Activities Certification Forms (PHS 6031-1) until the payback service obligation is satisfied. Forms will be provided to awardees by the NIH awarding component. Forms may also be found on the NIH Website at http://grants.nih.gov/grants/forms.htm. INVENTIONS AND DATA COLLECTION: Fellowships made primarily for educational purposes are exempted from the NIH invention requirements. F33 awards will not contain any provision giving PHS rights to inventions made by the awardee. DATA SHARING: NIH policy is to make available to the public the results and accomplishments of the activities that it funds. Therefore, it is incumbent upon fellows to make results and accomplishments of their F33 activities available to the public. There should be no restrictions on the publication of results in a timely manner. COPYRIGHTS: Except as otherwise provided in the terms and conditions of the award, the recipient is free to arrange for copying without approval when publications, data, or other copyrightable works are developed in the course of work under a NIH grant-supported project or activity. Any such copyrighted or copyrightable works shall be subject to a royalty-free, nonexclusive, and irrevocable license to the Government to reproduce, publish, or otherwise use them, and to authorize others to do so for Federal Government purposes. REQUIRED FEDERAL CITATIONS INCLUSION OF WOMEN AND MINORITIES IN RESEARCH INVOLVING HUMAN SUBJECTS: It is the policy of the NIH that women and members of minority groups and their sub-populations must be included in all NIH-supported biomedical and behavioral research projects involving human subjects, unless a clear and compelling rationale and justification are 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 research involving human subjects 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 is 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: a) all applications or proposals and/or protocols to 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) all investigators to report accrual, and to conduct and report 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. HUMAN EMBRYONIC STEM CELLS (hESC): Criteria for federal funding of research on hESCs can be found at http://grants.nih.gov/grants/stem_cells.htm and at http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-005.html. Only research using hESC lines that are registered in the NIH Human Embryonic Stem Cell Registry will be eligible for Federal funding (see http://escr.nih.gov). It is the responsibility of the applicant to provide the official NIH identifier for the hESC line(s) to be used in the proposed research. Applications that do not provide this information will be returned without review. 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 PA 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 a 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 PA 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. 93.121, 93.172, 93.173, 93.233, 39.272,03.278.93.282, 93.306, 93.361, 93.398, 93.821, 93.837-93.839, 93.846-93.849, 93.853-93.856, 93.859, 93.862-93.867, 93.880, 93.894, and 93.929, and is not subject to the intergovernmental review requirements of Executive Order 12372 or Health Systems Agency review. NRSA awards are made under the authority of Section 487 of the Public Health Service Act as amended (42 USC 288) and Title 42 of the Code of Federal Regulations, Part 66. Fellowships must be administered in accordance with the current NRSA Guidelines for Individual Awards and Institutional Grants, the current NIH Grants Policy Statement, and any terms and conditions specified on the Notice of Research Fellowship Award. 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 and mental health of the American People.

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