Release Date:  September 30, 1999

PA NUMBER:  PAR-99-169 (See update, NOT-MH-05-008)

National Institute of Mental Health

This program announcement is a revision and update of PAR-95-040, which was
published in the NIH Guide, Vol. 24, No. 13, April 7, 1995.


A paucity of minority scientists have been participating as principal
investigators in the research programs of the National Institute of Mental
Health.  The purpose of this program announcement is to enable new minority
faculty members to have the necessary time and assistance early in their
academic careers to initiate a program of research and to help them to become
outstanding independent investigators in mental health research.  As with any
new faculty members, it is expected that they will begin a program of research
that will lead to refereed publications, promotion, and perhaps tenure.  For
new minority faculty members, who are often the first or only members of an
underrepresented minority group in a department or program, there are also
other expectations.  They quickly become focal advisors for ethnic/minority
students, they are eagerly solicited for inclusion on departmental,
university, community, professional, and governmental committees, and they are
expected to carry the usual teaching load, perhaps with the addition of some
special cultural-difference seminars.  The many demands on the time of a new
ethnic/minority faculty member may make the orderly initiation of a research
program so difficult that it becomes a casualty of other activities, to the
detriment of career development and advancement.  It is hoped that this award,
geared for a specific time in career development, will assist in enhancing the
research capability and progress of its beneficiaries.


The Public Health Service is committed to achieving the health promotion and
disease prevention objectives of "Healthy People 2000," a PHS-led national
activity for setting priority areas.  This program announcement, Scientist
Development Award for New Minority Faculty, is related to the priority area of
human resource development.  Potential candidates may obtain a copy of
"Healthy People 2000" (Full Report: Stock No. 017-001-00474-0 or Summary
Report: Stock No. 017-001-00473-1) from the Superintendent of Documents,
Government Printing Office, Washington, DC 20402-9325 (telephone 202/783-3238)
or electronically (


Applications may be submitted on behalf of the proposed candidate by domestic,
non-profit, public and private universities, colleges, and professional
schools that are engaged in mental health research.  The applicant institution
must provide evidence that a commitment of a full-time faculty position has
been made to the candidate, and that the candidate can commit a minimum of 75
percent professional effort (of a full-time position) to the career
development plan.

The candidate must be a citizen or non-citizen national of the United States
or hold a permanent residence visa.  For the purpose of this PA, minorities
are defined as individuals belonging to a particular ethnic or racial group
that has been determined by the grantee institution to be underrepresented in
biomedical or behavioral research.

Candidates for this award must be new, non-tenured minority faculty in their
first or second faculty position who have earned a doctoral degree (Ph.D.,
M.D., D.Sc., etc.) by the time the award is made.  An award activated shortly
after appointment to a faculty position is encouraged, since it would allow
for a period of independent and possibly funded research prior to a tenure
review.  Candidates who have a commitment of a faculty appointment may apply
for this award prior to the receipt of the doctorate, by providing
certification by an authorized official of their degree-granting institution
that all degree requirements have been met prior to the award issuance
beginning date.  More experienced candidates with such a commitment are
encouraged to apply prior to the completion of a postdoctoral research
experience, postdoctoral training, or residency training.  A person who has
been principal investigator on a Public Health Service (PHS) research grant or
who has had equivalent research support is not eligible for this award. 
Recipients of NIMH Dissertation Research Grants or NIH Small Grant Awards are
exceptions to this restriction and are eligible to apply.  Individuals who are
in training status and are being supported by National Research Service Awards
(NRSA) are eligible to apply, however, they may not activate the Scientist
Development Award until the NRSA research training program has been completed
or terminated.

This award is intended for persons who plan to pursue careers in mental health
research and applies to all areas of research supported by NIMH.


The Scientist Development Award for New Minority Faculty is a mentored career
development award and will use the NIH K01 mechanism.  It represents a special
use of that mechanism.  Planning, direction, and execution of the program will
be the responsibility of the candidate and her/his mentor on behalf of the
applicant institution.  The project period may be for three, four, or five
years and will depend upon the number of years of prior research experience,
the need for additional experiences to achieve independence.  Awards are not


The essential elements of the Scientist Development Award for New Minority
Faculty are an individualized, well-thought-out career development and
research plan, a committed, capable mentor, and a commitment on the part of
the applicant institution to the development of the candidate.  Documentation
concerning each of these essential elements must be included in the
application.  The narrative comprises four sections: (1) Candidate, (2)
Mentor"s Statement, (3) Career Development and Research Plan, and (4)
Institutional Environment and Commitment to the Candidate.  The candidate
prepares part 1 and the career development plan of part 3 of this narrative. 
The candidate and mentor prepare the research plan of part 3, the mentor
prepares part 2, and the sponsoring program or department prepares part 4.


The candidate"s biographical sketch should elucidate the factors motivating an
interest in a mental health research career, including those ideas, theories,
and concepts that have been important in the candidate"s scientific
development to date and how these relate to what needs to be learned during
the course of this award.  The candidate should provide an overview of his or
her prior research training and experience and prior clinical training and
experience, if any.  Detailed justification must be provided of the need for a
mentor and for a 3-5 year award of this kind.  In addition, this section
should contain a statement of short-term and long-term mental health relevant
research and career goals.  The candidate also should discuss briefly planned
participation in activities other than research.  Three letters of
recommendation are required of each candidate.  Letters from previous research
mentors or supervisors are especially helpful.  These letters must be attached
to the application in sealed envelopes.

Mentor"s Statement

The Scientist Development Award for New Minority Faculty is a mentored award. 
Dependence upon a mentor early in the award period will be related to the
extent of the candidate"s previous research experience, increased independence
is expected during the course of the award.  The candidate should choose a
mentor who has not served in this role during the candidate"s pre- or
postdoctoral training.  The mentor must be a recognized, well-established,
active investigator in the candidate"s proposed research area.  In addition to
providing a biographical sketch in the format contained in the application
kit, the mentor must document successful experience in the guidance of
inexperienced investigators.  The mentor must also document that he or she is
prepared to personally supervise the candidate"s research.  The mentor"s role
involves a substantial commitment of time on behalf of the candidate,
therefore, persons with extensive administrative responsibilities (e.g.,
chairpersons, deans) should not be selected as mentors.  The mentor should
possess adequate knowledge and authority within the institution to assist the
candidate in taking full advantage of available resources.  The application
must describe the specific role of the mentor and identify the proposed
commitment of effort to assist the candidate carry out his or her development
plan.  Candidates may choose more than one mentor, additional mentors may be
at the candidate"s institution or elsewhere within the United States, if a
strong case is made for their contribution to the research career development
of the candidate.  The principal mentor should be in the candidate"s home
institution or be available locally.  The typed name and signature of the
principal mentor should appear at the end of the mentor"s statement.  "Per"
signatures are not acceptable.  Mentors are not funded for their role on the

Career Development and Research Plan

The candidate must provide evidence of serious intent and commitment to enter
upon a mental health research career by submitting a two-part plan: (1) The
Career Development Plan must contain a description of specific career
development activities.  It should include a statement of the knowledge and
skills that the candidate proposes to acquire or enhance during the period of
the award and the proposed activities and arrangements for accomplishing these
goals.  The career development plan should describe what will be learned, how
and where this will take place, and why it is important for the candidate"s
development.  The plan should contain a realistic time frame for achieving
scientific independence, taking into account the research experiences and
career goals of the candidate.

(2) The Research Plan should contain a specific statement of research career
interests in the area of mental health.  It must include a description of the
research areas to be investigated, the research aims, a summary of current
knowledge in the area, and methods to be employed.

The candidate should use the format cited in the application form PHS 398
(rev. 4/98) "Specialized Information: Research Plan" in the presentation. 
Although it is understood that the Scientist Development Award for New
Minority Faculty does not require the extensiveness or detail necessary in
regular research grant applications, a fundamentally sound research plan must
be provided.  In general, less detail will be expected with regard to research
planned in the later years of the award, but the candidate should outline the
general plans for these years.  The candidate should make certain that the
relationship between the career development plan and the research plan is
clearly described.  The proposed research should complement the career
development plan and provide a vehicle for the applicant"s development as a

Candidates must describe plans to receive instruction in the responsible
conduct of research.  These plans must detail the proposed subject matter,
format, frequency, and duration of instruction as well as the amount and
nature of faculty participation.  No award will be made if an application
lacks this component.

Institutional Environment and Commitment to the Candidate

Evidence must be provided that the candidate will have a full-time regular
faculty appointment at the time an MSDA/NMF award is activated.  The level
(e.g., assistant professor) and effective date of this appointment must be
provided.  This appointment must not be contingent on the receipt of an award.

The sponsoring institution should document a strong, well-established research
program related to the candidate"s area of interest, including names of
experienced faculty members in departments relevant to the candidate"s
proposed training and career development.  Evidence also must be provided to
insure the feasibility of the proposed research development plan, including
the availability of office and laboratory space, equipment, and other
resources, and access to clinical and/or other research populations.  This
section should contain a description of the candidate"s teaching load,
committee and administrative assignments, and clinical or other professional
activities, if applicable, for the current academic year.  It should also
indicate plans for use of released funds if the candidate receives an award.

These statements should bear the typed name and signature of the head of the
department, program or comparable organizational unit in which the candidate
will be working.  "Per" signatures are not acceptable.  In those instances in
which a candidate will be working away from the home institution, the head of
the host department, program, or laboratory should also attest, by signature,
to the agreement to accept the candidate and provide the necessary resources
for his or her development.


Duration of Award

This is a non-renewable award of 3-5 years in duration.  During the term of
this award, as awardees become increasingly capable as independent
investigators, they are strongly encouraged to apply for support under a
regular research grant (e.g., R03 or R01), or other appropriate award,
providing that eligibility criteria for the other award and terms and
conditions of this award are met.  Salary may not be claimed on another PHS
grant while this award is active.

If an awardee plans to terminate the award before the scheduled termination
date, NIMH must be notified as soon as possible by the awardee, with the
notice countersigned by a representative of the grantee institution.

Individuals receiving the Scientist Development Award for New Minority Faculty
may not apply for another mentored award at the conclusion of their support,
however, it is appropriate to apply for the K02 award (Independent Scientist

Time and Effort

Recipients of this award must devote full time (at least 75 percent of a full
time 12 month position) to career development activities, research, or other
research-related activates relevant to their career goals.  Activities such as
participation in workshops, scientific meetings, or academic activities are
encouraged if they contribute to the purpose of the award.  Providing health
care is acceptable only when it is necessary to maintain and enhance skills
required for the conduct of research.

Salary Support:

Individuals receiving salary support under the Scientist Development Award for
New Minority Faculty are employees of the grantee institution and are subject
to its established personnel policies dealing with professional status, title,
salary, and related staff privileges and obligations.

The salary proposed must be consistent with the established salary structure
for full-time, 12-month staff appointments at the grantee institution.  The
institution must provide in the application information specifying how the
proposed salary was derived, including information on salaries of staff
members with similar qualifications, rank, and responsibilities.  The NIMH
contribution to the Principal Investigator"s salary is geared to the
institutional base salary of a full-time 12 month position as follows:

Institutional Base Salary     NIMH Contribution
Up to $48,000                 100% of institutional base salary
$48,001 to $64,000            $48,000 (i.e., 75% of $64,000)
$64,001 and over              75% of institutional base salary, up to $90,000

The grantee institution may supplement the NIMH salary contribution up to a
level that is consistent with the institution"s salary scale.  However,
supplementation may not be provided from Federal funds unless specifically
authorized by the Federal program from which such funds would be derived.  In
no case may other funds from the National Institutes of Health (NIH) be used
to supplement the salary.  Institutional supplementation of salary must not
require extra duties or responsibilities which would interfere with the
purpose of the award, i.e., full-time commitment to supervised research and
related activities.

Fringe Benefits

Fringe Benefits are paid out of grant funds in proportion to the salary
contribution.  Practices related to payments of fringe benefits shall be
consistent with grantee institution policies and not be altered for these

Allowance for Research and Career Development Costs

In addition to salary support, funds up to $50,000 in the aggregate may be
requested for each year to support research and/or career development
activities.  The support for research activities is intended to enable the
awardee to conduct research until regular research support can be obtained. 
Research costs include equipment, laboratory supplies, research assistants,
and travel to scientific meetings and research workshops.

Career development costs may include travel, per diem, tuition, or fees for
study at centers other than the grantee institution.  Funds requested must be
carefully justified for each year and must be consistent with the stage of
development of the candidate and the proportion of time to be spent in
research or career development activities.  Salary for mentors, secretaries
and administrative assistants is not allowed.

Facilities and Administrative Costs

Applicants may request up to 8% of direct costs for Facilities and
Administrative Costs (F&A).  F&A costs are not provided on tuition and related
fees or on equipment expenditures.

Professional Income Other Than Salary

Fees resulting from clinical practice, professional consultation, or other
comparable activities required by the research and research-related activities
of this career development award may not be retained by the career award
recipient.  Such fees must be assigned to the grantee institution for
disposition by any of the following methods:  (1) The funds may be used to
supplement the NIMH contribution up to a level that is consistent with the
institution"s salary scale, (2) the funds may be used for other health-related
research purposes, or (3) the funds may be paid to the miscellaneous receipts
of the U.S. treasury.  Thorough records of disposition of such income must be
maintained and summarized as requested in progress reports.

Awardees may retain royalties and fees for activities, such as scholarly
writing, or honoraria from other institutions, provided these activities
remain incidental and provided that the retention of such pay is consistent
with the policies and practices of the grantee institution.

Concurrent Application

A candidate for the Scientist Development Award for New Minority Faculty may
not concurrently apply for any other PHS grant, nor may there be another
application pending funding.

Special Leave and Reduction in Percent Effort

Subject to institutional policy applicable to all employees regardless of the
source of funds, a leave of absence may be arranged (with continued salary
support from the award) for purposes of engaging in research or career
enhancement activities related to the award.  Prior written approval of the
NIMH awarding component is required for leave in excess of three months. 
Leave without award salary support may be taken for a period not to exceed 12
months, subject to prior approval by the NIMH awarding component and the
awardee"s institution.  The award termination date will be adjusted to allow a
full five years of support.

Under unusual and pressing personal circumstances, an awardee may submit a
written request to the awarding component requesting a reduction in
professional effort below 75 percent.  Such requests will be considered on a
case-by-case basis during the award period.  In no case, will it be
permissible to work at a rate of less than 50 percent effort.  The nature of
the circumstances requiring reduced effort might include medical conditions,
disability, or pressing personal or family situations such as child or elder
care.  Permission to reduce the level of effort will not be approved to
accommodate other sources of funding, job opportunities, clinical practice,
clinical training, or to adapt to any assigned duties associated with the
employment role at the grantee institution.  In each situation, the grantee
institution must submit documentation supporting the need for reduced effort
along with assurance of a continuing commitment to the scientific development
of the awardee.  Further, the awardee must submit assurance of his or her
intention to return to full-time professional effort (at least 75 percent) as
soon as possible.  During the period of reduced effort, the salary and other
costs supported by the award will be reduced accordingly.

Termination or Change of Institution

When a grantee institution plans to terminate an award, the NIMH funding
component must be notified in writing at the earliest possible time so that
appropriate instructions can be given for termination. The Director of the
NIMH may discontinue an award upon determination that the purpose or terms of
the award are not being fulfilled.  In the event an award is terminated, the
Director of the NIH shall notify the grantee institution and career award
recipient in writing of this determination, the reasons, the effective date,
and the right to appeal the decision.

Scientist Development Award for New Minority Faculty grants are not
transferable to another individual but may be transferred to another
institution.  In the latter case, the awardee must contact the responsible
NIMH project officer to fully discuss the circumstances of the transfer, and
must subsequently provide a written justification and rationale for the
transfer.  The period of support requested can be no more than the time
remaining within the existing original award project period.  Further, no
transfer will be allowed for awards with less than six months remaining in the
project period.


It is the policy of the NIH that women and members of underrepresented
minority groups and their subpopulations must be included in all NIH supported
biomedical and behavioral research projects involving human subjects, unless a
clear and compelling rationale and justification is provided 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
"NIH Guidelines For Inclusion of Women and Minorities as Subjects in Clinical
Research," which have been published in the Federal Register of March 28, 1994
(FR 59 14508-14513) and in the NIH Guide for Grants and Contracts, Vol. 23,
No. 11, March 18, 1994 available on the web at the following URL address:


It is the policy of NIH 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 was published in the NIH Guide for
Grants and Contracts, March 6, 1998, and is available at the following URL

Investigators also may obtain copies of these policies from the program staff
listed under INQUIRIES.  Program staff may also provide additional relevant
information concerning the policy.


Applications are to be prepared using Section IV of the grant application form
PHS 398 (rev. 4/98).  Applications will be accepted on the standard receipt
dates (October 1, February 1, June 1) indicated in the application kit.  Forms
are available at most institutional offices of sponsored research and from the
Division of Extramural Outreach and Information Resources, National Institutes
of Health 6701 Rockledge Drive, MSC 7910, Bethesda, MD 20892-7910, telephone
(301) 435-0714, FAX (301) 480-0525, Email:

Forms are also available on the NIH Website at

To identify the application as a response to this program announcement, check
"YES" on item 2 of page 1 of the application and enter "PAR-99-169 SCIENTIST

Submit a signed, typewritten original of the application with Checklist, and
five signed photocopies, in one package to:

6701 ROCKLEDGE DRIVE, ROOM 1040 - MSC 7710
BETHESDA, MD  20892-7710
BETHESDA, MD  20817-7710 (for express/courier service)


Applications that are complete and responsive to the program announcement will
be evaluated for scientific and technical merit by an appropriate peer review
group convened by the NIMH in accordance with the standard NIH peer review
procedures.  As part of the initial merit review, all applications will
receive a written critique and undergo a process in which only those
applications deemed to have the highest scientific merit, generally the top
half of applications under review, will be discussed, assigned a priority
score, and receive a second level review by the National Advisory Mental
Health Council.

Applications will be reviewed for the candidate"s potential to develop into a
productive mental health researcher.  Reviewers will consider: (1) the
qualifications of the candidate, including the suitability of the candidate
relative to the eligibility criteria and purposes of this program, (2) the
soundness of the proposed career development plan, (3) the nature and
scientific/technical merit of the research plan, (4) the mentor and the
institutional environment, including the commitment of the institution to the
candidate"s career, and (5) the appropriateness of the budget.  The following
review criteria apply to all applicants:

Qualifications of the Candidate

Generally, it is understood that candidates for this award will differ from
one another in the extent of their prior research training and/or experience. 
Thus, the potential of the candidate to become a highly skilled and productive
mental health researcher is of paramount importance.  This potential must be
judged in the context of the nature and extent of the candidate"s training and
experience.  The candidate must give evidence of the following:

o  Potential as a researcher, and/or evidence of research productivity,
appropriate to the academic and/or professional degree(s) and level of

o  Commitment to a research career in the mental health field

o  Suitability of this program as the mechanism for accomplishing
career development goals

o  Quality and breadth of prior scientific training and experience.

Documentation of the candidate"s qualifications may include, but is not
limited to, transcripts, required letters of recommendation, supervisory
evaluations, awards, publications, etc.

Career Development Plan

o  Likelihood that the plan will contribute substantially to the scientific
development of the candidate

o  Clarity of the goals and scope of the plan, explanation of the need for

o  Appropriateness of specific developmental, individualized supervised
research experiences and of any proposed advisors other than the principal

o  Appropriateness of the proposed time frame for achieving scientific

o  Quality of training in responsible conduct of research

Research Plan

Reviewers recognize that an individual with limited research experience is
less likely to be able to prepare an application with the breadth and depth of
that submitted by a more experienced investigator.  However, a fundamentally
sound research plan must be provided.  In general, less detail is expected
with regard to research planned for the later years of the grant, but the
applicant should outline the general plans for these years.  The following
criteria will be used in evaluating the research plan:

o  Usefulness of the research plan as a vehicle for developing the research
skills as described in the career development plan

o  Scientific and technical merit of the research question, design, and
methodology, judged in the context of the candidate"s training and experience

o  Potential contribution of the research to knowledge in mental
health fields

o  Relevance of the proposed research to the candidate"s career objectives in
mental health fields.

o  Appropriateness of the inclusion of women and minorities if research
involving human subjects is proposed


o  Appropriateness of mentor"s research qualifications in the area of this

o  Quality and extent of mentor"s proposed role in providing guidance and
advice to the candidate

o  Previous experience in fostering the development of researchers

o  History of research productivity and support

Institutional Environment and Commitment

o  Applicant institution"s commitment to the scientific development of the
candidate and assurances that the institution intends the candidate to be an
integral part of its research program

o  Adequacy of research facilities and training opportunities

o  Quality of environment for scientific and professional development

o  Applicant institution"s commitment to the appropriate weighting of
research, teaching, and administrative responsibilities.


o  Justification of budget requests in relation to career development goals
and research aims and plans

The initial review group will also examine the provisions for the
protection of human and animal subjects and the safety of the
research environment.


Applications will compete for available funds with all other approved
applications assigned to the NIMH.  The following will be considered in making
funding decisions: quality of the proposed project as determined by peer
review, availability of funds, and program priority.


Inquiries concerning this program announcement are encouraged.  The
opportunity to clarify any issues or questions from potential applicants is
welcome.  For overall NIMH policy with regard to this initiative, contact:

Henry Khachaturian, Ph.D.
Office of Science Policy and Program Planning
National Institute of Mental Health
6001 Executive Boulevard, Room 8208, MSC 9667
Bethesda, MD  20892
Telephone:  (301) 443-4335
Fax:  (301) 443-3225

For specific Division-level program interests, contact the following training

Della Hann, Ph.D.
Division of Mental Disorders, Behavioral Research and AIDS
National Institute of Mental Health
6001 Executive Boulevard, Room 6217, MSC 9621
Bethesda, MD  20892
Telephone:  (301) 443-9700
Fax:  (301) 480-6000

Walter Goldschmidts, Ph.D.
Division of Neuroscience and Basic Behavioral Science
National Institute of Mental Health
6001 Executive Boulevard, Room 7196, MSC 9645
Bethesda, MD  20892
Telephone: (301) 443-3563
Fax: (301) 443-1731

Enid Light, Ph.D.
Division of Services and Intervention Research
National Institute of Mental Health
6001 Executive Boulevard, Room 7160, MSC 9635
Bethesda, MD  20892
Telephone: (301) 443-1185
Fax: (301) 443-4045

Direct inquiries regarding fiscal matters to:

Diana S. Trunnell
Grants Management Branch
National Institute of Mental Health
6001 Executive Boulevard, Room 6115, MSC 9605
Bethesda, MD  20892
Telephone:  (301) 443-2805
Fax:  (301) 443-6885


This program is described in the Catalog of Federal Domestic Assistance No.
93.281.  Awards are made under authorization of the Public Health Service Act,
Title IV, Part A (Public Law 78-410, as amended by Public Law 99-158, 42 USC
241 and 285) and administered under PHS grants policies and Federal
Regulations 42 CFR 66 and 45 CFR Part 74.  This program is not subject to the
intergovernmental review requirements of Executive Order 12372 or Health
Systems Agency review.  Awards will be administered under PHS grants policy as
stated in the NIH Grants Policy Statement (October 1, 1998).

PHS strongly encourages all grant and contract recipients to provide a smoke-
free workplace and promote the nonuse 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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