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EXPIRED


ALZHEIMER'S DISEASE CLINICAL RESEARCH AND TRAINING PROGRAM:
MENTORED SCIENTIST DEVELOPMENT AWARDS (K08 and K01)
 
RELEASE DATE: April 17, 2002
 
RFA:   AG-02-006
 
National Institute on Aging (NIA)
  (http://www.nih.gov/nia/)

LETTER OF INTENT RECEIPT DATE:  June 17, 2002 

APPLICATION RECEIPT DATE:  July 16, 2002
 
THIS RFA CONTAINS THE FOLLOWING INFORMATION

o  Purpose of this RFA
o  Research Objectives
o  Mechanisms of Support 
o  Funds Available
o  Eligible Institutions
o  Individuals Eligible to Become Principal Investigators
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 

The National Institute on Aging (NIA) will accept applications for the 
Mentored Clinical Scientist Development Award (K08) or Mentored 
Research Scientist Award (K01) in the area of Alzheimer"s disease and 
related dementias research. NIA will offer the K08 or K01 award to 
support the development of outstanding academic physician scientists to 
continue or to focus their research effort in Alzheimer"s disease 
related to clinical practice.  These mechanisms provide support for a 
period of supervised research and study for either clinically trained 
professionals with little research experience but who have the 
commitment and the potential to develop into productive, independent 
Alzheimer"s disease investigators (K08) or for clinically trained 
professionals with substantial research experience who wish to redirect 
their career to concentrate on Alzheimer"s research (K01).  

The award period is three years and must include a plan to obtain 
didactic training and supervised training experience and integrate a 
fundamental and theoretical understanding of dementia with a period of 
intensive clinically oriented and/or laboratory research.  The proposed 
research should have both intrinsic importance and be a suitable 
vehicle for learning the skills necessary to become an independent 
physician-scientist concentrating on dementia research and practice.  
The scope and nature of the proposed research should also be suitable 
for potential development into an independently funded research 
endeavor. Whenever possible the research program should be designed to 
elicit results that can be translated into clinical practice.

These awards will support developmental experiences in either clinical 
or laboratory research. Because of the focus on progression to 
independence as a researcher, the prospective candidate for the K08 or 
K01 award should propose a period of training consistent with this goal 
and his or her previous research and clinical experience.  For example, 
a candidate with limited experience in dementia research may need a 
designated period of didactic training and closely supervised research 
experience for a longer period as the most efficient means of attaining 
independence.  A candidate with substantial previous research 
experience, such as an investigator in another field redirecting 
his/her career focus into dementia research, may require a shorter 
didactic training period appropriate for the transition to 
independence.  In all cases, the candidate must provide evidence of 
either having attained a broad understanding of theoretical aspects of 
the relevant clinical or basic science related to Alzheimer"s disease 
and related dementias, or that s/he will attain the same during the 
course of this award.

All applicants are strongly encouraged to contact NIA staff listed 
below to discuss issues of eligibility and the specific provisions of 
this award as it pertains to NIA programmatic interests. While NINDS is 
not a sponsor of this RFA, the Institute has strong interest in 
research in Alzheimer"s disease and related dementias (see: 
http://www.ninds.nih.gov/about_ninds/clusters/neurodegeneration.htm)

RESEARCH OBJECTIVES

A.  Environment: The institution must have well-established research 
programs in Alzheimer"s disease research including clinical facilities 
and basic laboratories similar to those of an NIA-sponsored Alzheimer"s 
Disease Center.  The institution must have experience with clinical 
career development programs and qualified faculty in clinical and basic 
research related to Alzheimer"s disease and other neurodegenerative 
diseases to serve as mentors.  The institution must be able to 
demonstrate a commitment to the development of the candidate as a 
productive, independent investigator.  The candidate, mentor and 
institution must be able to describe an in-depth, broadly based career 
development program that will maximize the use of relevant research and 
educational resources.

B.  Program: The goal of this program is to train junior and mid level 
physicians to focus their careers on Alzheimer"s disease research and 
to apply basic knowledge of the disease process to clinical care of 
patients. There is a critical need to build better bridges between 
Alzheimer"s laboratory research and cutting edge new methods of 
diagnosis, treatment and prevention of the disease. Well-trained 
physician scientists are needed to provide the next generation of 
leadership for research and treatment of Alzheimer"s disease and the 
related dementias.

The award provides for three consecutive 12 month appointments.  At 
least 75 percent of the recipient"s full-time professional effort must 
be devoted to the program. The remainder may be devoted to other 
clinical and teaching pursuits consonant with the objectives of the 
award. Both the didactic and basic science components must be designed 
to develop the necessary knowledge and research skills in scientific 
areas relevant to the career goals of the candidate.

C.  Mentor(s):  The recipient must receive appropriate mentoring 
throughout the three-year program. The mentor(s) must have expertise in 
Alzheimer"s disease and related dementias, have a funded research 
program, and demonstrate his/her availability and commitment to a 
clearly delineated training program. Where feasible, women and minority 
mentors should be involved as role models.

D.  Allowable Costs:

1.  Salary: NIA will provide salary for the K08 or K01 recipient at a 
maximum of $100,000 per year.

The institution may supplement the NIA contribution up to a level that 
is consistent with the institution"s salary scale, however, 
supplementation may not be from Federal funds unless specifically 
authorized by the Federal program from which such funds are derived.  
In no case may PHS funds be used for salary supplementation.  
Institutional supplementation of salary must not require extra duties 
or responsibilities that would interfere with the purpose of this 
award.  Under Institution authorities, however, institutions may 
rebudget funds within the total costs awarded to cover salaries 
consistent with the institution"s salary scale.

The total salary requested must be based on a 100%, 12-month staff 
appointment.  It must be consistent both with the established salary 
structure at the institution and with salaries actually provided by the 
institution from its own funds to other staff members of equivalent 
qualifications, rank, and responsibilities in the department concerned.  
If full-time, 12-month salaries are not currently paid to comparable 
staff members, the salary proposed must be appropriately related to the 
existing salary structure.

2.  Research Development Support: NIA will provide up to $50,000 per 
year for:  (a) research expenses such as supplies, equipment and 
technical personnel, (b) statistical services including personnel and 
computer time,(c) travel to research meetings or training, (d) tuition, 
fees, and books related to career development.

3.  Ancillary Personnel Support: Salary for mentors, secretarial and 
administrative assistance, etc., is not allowed.

4.  Indirect costs: Indirect costs will be reimbursed at 8 percent of 
modified total direct costs, or at the actual indirect cost rate, 
whichever is less.

E.  Evaluation:  In carrying out its stewardship of human resource 
related programs, the NIA may begin requesting information essential to 
an assessment of the effectiveness of this program.  Accordingly, 
recipients are hereby notified that they may be contacted after the 
completion of this award for periodic updates on various aspects of 
their employment history, publications, support from research grants or 
contracts, honors and awards, professional activities, and other 
information helpful in evaluating the impact of the program.

F.  Other Income: Fees resulting from clinical practice, professional 
consultation, or other comparable activities required by the research 
and research-related activities of this 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:

The funds may be expended by the grantee institution in accordance with 
the NIH policy on supplementation of career award salaries and to 
provide fringe benefits in proportion to such supplementation.  Such 
salary supplementation and fringe benefit payments must be within the 
established policies of the grantee institution.

The funds may be used for health-related research purposes.

The funds may be paid to miscellaneous receipts of the U.S. Treasury.  
Checks should be made payable to the Department of Health and Human 
Services, NIH and forwarded to the Director, Division of Financial 
Management, NIH, Bethesda, Maryland 20892.  Checks must identify the 
relevant award account and reason for the payment.

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

Usually, funds budgeted in an NIH supported research or research 
training grant for the salaries or fringe benefits of individuals, but 
freed as a result of a career award, may not be rebudgeted. NIA will 
consider approval for the use of released funds only under unusual 
circumstances.  Any proposed retention of funds released as a result of 
a career award must receive prior written approval of NIA.

G.  Special Leave: Leave to another institution, including a foreign 
laboratory, may be permitted if directly related to the purpose of the 
award. Only local, institutional approval is required if such leave 
does not exceed 3 months.  For longer periods, prior written approval 
of NIA is required.  To obtain prior approval, the award recipient must 
submit a letter to NIA describing the plan, countersigned by his or her 
department head and the appropriate institutional official.  A copy of 
a letter or other evidence from the institution where the leave is to 
be taken must be submitted to assure that satisfactory arrangements 
have been made.  Support from the career award will continue during 
such leave.

Leave without award support may not exceed 12 months.  Such leave 
requires the prior written approval of NIA and will be granted only in 
unusual situations.  Support from other sources is permissible during 
the period of leave.  Such leave does not reduce the total number of 
months of program support for which an individual is eligible.  
Parental leave will be granted consistent with the policies of the NIH 
and the grantee institution.

H.  Termination or Change of Institution: When a grantee institution 
plans to terminate an award, NIA must be notified in writing at the 
earliest possible time so that appropriate instructions can be given 
for termination.  If the individual is moving to another eligible 
institution, career award support may be continued provided:

The new institution submits an application to transfer the award, 
complete with the requisite information concerning all aspects of the 
career development plan, mentoring, and institutional support (as 
described elsewhere in this RFA),

The period of support requested is no more than the time remaining 
within the existing project period, and

The application to transfer an award is submitted at least 60 days 
prior to the requested start date at the new institution to allow time 
for review by NIA staff.

The Director of the NIH 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 therefore, the effective date, and the right 
to appeal the decision.

A final progress report, invention statement, and Financial Status 
Report are required upon either termination of an award or 
relinquishment of an award in a change of institution situation.

MECHANISMS OF SUPPORT

This RFA will use the NIH K01 and K08 award mechanisms.  Planning, 
direction, and execution of the program will be the responsibility of 
the candidate and his/her mentor on behalf of the applicant 
institution. The project period is limited to three years. Awards are 
not renewable.

FUNDS AVAILABLE

The NIA has set aside $1 million in order to fund at least five awards. 
Awards are contingent upon availability of funds and receipt of a 
sufficient number of applications of outstanding scientific and 
technical merit. 

ELIGIBLE INSTITUTIONS

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

o  For-profit or non-profit organizations 
o  Public or private institutions, such as universities, colleges, 
hospitals, and laboratories 
o  Domestic institutions only

INDIVIDUALS ELIGIBLE TO BECOME PRINCIPAL INVESTIGATORS

You must have an M.D. degree or its equivalent, must have completed 
postgraduate clinical training in a clinical area pertinent to the 
goals of this RFA such as Geriatric Medicine, Neurology, Psychiatry or 
Neuropathology and must have secured a faculty appointment in an 
appropriate research-intensive environment with established facilities 
for Alzheimer"s disease research comparable to an NIA-sponsored 
Alzheimer"s Disease Center.  You must identify a mentor with extensive 
Alzheimer"s disease research experience, and must be willing to spend a 
minimum of 75 percent of full-time professional effort conducting 
research and research career development related to Alzheimer"s disease 
and related dementias. Individuals from underrepresented racial and 
ethnic groups as well as individuals with disabilities are always 
encouraged to apply for NIH programs.

You must be a U.S. citizen or a non-citizen national, or must have been 
lawfully admitted for permanent residence and possess an Alien 
Registration Receipt Card (I-551) or have some other verification of 
legal admission as a permanent resident.  Non-citizen nationals, 
although not U.S. citizens, owe permanent allegiance to the U.S. They 
are usually born in lands that are not states but are under U.S. 
sovereignty, jurisdiction, or administration.  Individuals on temporary 
or student visas are not eligible.

Former principal investigators on NIH research project (R01), FIRST 
Awards (R29), sub-projects of program project (P01) or center grants 
(P50), or the equivalent, are not eligible for the K08 award but may 
apply for the K01 award. If you apply for these K awards, then you may 
not concurrently apply for any other PHS award that duplicates the 
provisions of this award nor have another application pending award.  
Both K08 and K01 recipients are encouraged to apply for independent 
research grant support during the period of this award.  Recipients 
would be allowed to maintain the award if other PHS support is 
procured, as long as the new support does not interfere with the 
ability to meet the K08 or K01 requirements.

WHERE TO SEND INQUIRIES

We strongly encourage inquiries concerning this RFA and welcome the 
opportunity to answer questions from potential applicants.  Such 
contact should occur early in the planning phase of the application 
preparation and will help ensure that the applications are responsive 
to the career development goals and policies of NIA. Inquiries may fall 
into three areas:  scientific/research, peer review, and financial or 
grants management issues:

o Direct your questions about scientific/research issues to:

Elisabeth Koss, Ph.D.
Neuroscience and Neuropsychology of Aging Program
National Institute on Aging
7201 Wisconsin Ave., Suite 3C307
Bethesda, MD  20892-9205
Telephone:  (301) 496-9350
FAX:  (301) 496-1494
Email:  [email protected]

o Direct your questions about peer review issues to: 

Mary Nekola, Ph.D.
Chief, Scientific Review
Scientific Review Office
National Institute on Aging
7201 Wisconsin Avenue, Room 2C212
Bethesda, MD  20892-9205
Email: [email protected]

o Direct your questions about financial or grants management matters 
to:

Deborah Stauffer
Grants Management Specialist
National Institute on Aging
7201 Wisconsin Ave., Suite 2N212
Bethesda, MD  20892-9205
Telephone:  (301) 496-1472
FAX:  (301) 492-3672
Email: [email protected]

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 NIA 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:

Elisabeth Koss, Ph.D.
Neuroscience and Neuropsychology of Aging Program
National Institute on Aging
7201 Wisconsin Ave., Suite 3C307
Bethesda, MD  20892-9205
Telephone:  (301) 496-9350
FAX:  (301) 496-1494
Email: [email protected]

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 GrantsInfo, 
Telephone (301) 710-0267, Email: [email protected].
 
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, three sealed 
letters of recommendation, 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, two additional copies of the application 
must be sent to:
 
Chief of Review
Scientific Review Office
National Institute on Aging
7201 Wisconsin Avenue, Suite 2C212, MSC 9205
Bethesda, MD 20892-9205
 
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 the NIA. 

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 NIA in accordance with the review criteria 
stated below.  As part of the initial merit review, all applications:

o  Will receive a written critique.
o  May 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  Will receive a second level review by the National Advisory Council 
on Aging.

The application must address the following issues:

1.  Candidate

Describe your commitment to a career in clinical or laboratory-based 
biomedical research related to Alzheimer"s disease and related 
dementias.

Establish your potential to develop into an independent investigator.

Describe your immediate and long-term career objectives, explaining how 
the award will contribute to their attainment. For K01 applicants, 
outline previous research experience and the rationale for redirecting 
research interests to Alzheimer"s disease.

Career awards are full-time awards. At least 75% effort must be on 
research and career development activities. The remainder of the effort 
should be on clinical, teaching duties, or other duties that are 
consistent with the award goals. You may receive compensation from 
other than PHS sources for the time on the career award that is not 
allocated to research.

Letters of recommendation. Three sealed letters of recommendation 
addressing your potential for a research career must be included as 
part of the application. 

2.  Career Development Plan

Describe your career development plan incorporating consideration of  
your goals and prior experience.  Where necessary, the application must 
describe a systematic plan to obtain both the necessary didactic 
training and research experience to launch an independent research 
career related to Alzheimer"s disease and other dementias of aging.  If 
you are interested in clinical research you must describe the 
availability of courses such as research design, biostatistics, 
epidemiology, and ethical and regulatory issues at your institution and 
the integration of these studies into your career development plan.
If you have limited research training you may require a phased 
developmental period including didactic training during the first year 
of the award while gradually phasing in a period of intense, supervised 
research experience. If you have more experience at the time of 
application you may need a shorter developmental period and may already 
have an adequate theoretical background. In any case, the career 
development plan must be tailored to your particular needs and your 
ultimate goal of achieving independence as a researcher.

You 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.  No award will 
be made if an application lacks this component.

3.  Research Plan

Describe the research plan and the use of a clinical science or 
laboratory approach to a research project that will likely lead to 
increased knowledge or better treatment of Alzheimer"s disease and/or 
related dementias. Describe the research plan as outlined in form PHS 
398 including sections on the Specific Aims, Background and 
Significance, Progress Report/ Preliminary Studies, Research Design and 
Methods.  You should consult with your mentor regarding the development 
of this section, but the proposed research should derive from your own 
background, research interests, and career goals. The proposed research 
should also be suitable for development into a project capable of 
generating independent funding.

4.  Mentor"s Statement

The application must include information on your mentor(s) including 
information on research qualifications and previous experience as (a) 
research supervisor(s) for training scientists in Alzheimer"s disease, 
related dementias, or other neurodegenerative diseases. The application 
must also include information describing the nature and extent of 
supervision that will occur during the proposed award period. There 
must be a clear statement of commitment from your mentor(s) describing 
the extent of his/her/their availability and effort to your training.

5.  Environment and Institutional Commitment

The sponsoring institution must document a strong, well-established 
research and training program related to Alzheimer"s disease and other 
neurodegenerative disease including a high quality research environment 
comparable to a NIA-sponsored Alzheimer"s Disease Center with staff 
capable of productive collaboration with you.  Your sponsoring 
institution also must provide a statement of commitment to your 
development into a productive, independent investigator.  The statement 
should indicate that the institution sponsoring you must treat you as a 
faculty member.

6.  Budget

Budget requests must be provided according to the instructions in form
PHS 398.  The request for tuition and fees, books, travel, research 
development support, etc., must be justified and specified by category.

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 Candidate 
o Career Development Plan
o Research Plan
o Mentor
o Environment and Institutional Commitment
o Budget

1.  Candidate

Quality of your academic and clinical record,

Potential to develop as an independent clinical or laboratory based
researcher in the field of Alzheimer"s disease, and

Commitment to a career in Alzheimer"s research and clinical practice.

2.  Career Development Plan

Likelihood that the career development plan will contribute 
substantially to your scientific development,

Probability of development of a competitive independent research 
program,

Documentation of local expertise in Alzheimer"s disease and other 
neurodegenerative diseases and appropriateness of the content and 
duration of the proposed didactic and research phases of the award,

Consistency of the career development plan with your career goals and 
prior research experience, and,

Quality of the proposed training in responsible conduct of research.

3.  Research Plan

Reviewers recognize that applicants will have variable amounts of 
previous research experience and that an individual with limited 
research experience is less likely to be able to prepare a research 
plan with the breadth and depth of that submitted by a more experienced 
investigator.  Although it is understood that K08 and K01 applications 
do not require the level of detail necessary in regular research grant 
proposals, a fundamentally sound research plan must be provided.  In 
general the plan for the first year should be spelled out in detail 
while less detail is expected with regard to research planned for the 
later years of the award. The application should outline the general 
goals for years two and three.  The following details should be 
provided:

The significance of the area of dementia research in which you propose 
to establish independence,

Appropriateness of the research plan to the stage of research 
development and as a vehicle for developing the research skills as 
described in the career development plan,

Scientific and technical merit of the research question, design and
methodology and its likelihood to advance dementia research,

Relevance of the proposed research to your career objectives, and

Adequacy of the plan"s attention to gender and minority issues 
associated with projects involving human subjects.

4.  Mentor

Appropriateness of mentor"s statement of support and research 
qualifications in Alzheimer"s disease and related dementias,

Quality and extent of commitment of your mentor"s proposed role in 
providing you with guidance and advice,

Previous experience in fostering the development of Alzheimer"s 
researchers, and

History of research productivity and support, and

Adequacy of support for the proposed research.

5.  Environment and Institutional Commitment

Your institution"s commitment to your scientific development and 
assurances that your institution intends you to be an integral part of 
its research program,

Adequacy of research facilities (comparable to those of an NIA-
sponsored Alzheimer"s Disease Center) and availability of appropriate 
educational opportunities,

Quality and relevance of the environment for your scientific and 
professional development, and 

Your institution"s commitment to an appropriate balance of research and 
clinical responsibilities including the level of 75 percent effort 
proposed by you. 

6.  Budget

Justification of the requested budget in relation to career development 
goals and research aims.

RECEIPT AND REVIEW SCHEDULE   

Letter of Intent Receipt Date: June 17, 2002
Application Receipt Date: July 16, 2002
Peer Review Date: Fall, 2002
Council Review: January 2003
Earliest Anticipated Start Date: April 1, 2003

AWARD CRITERIA

Award criteria that will be used to make award decisions include:

o Scientific merit (as determined by peer review)
o Availability of funds
o Programmatic priorities
o Research environment of the applicant institution.

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.

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(s)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 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 Request for Applications (RFA), Alzheimer"s Disease 
Clinical Research and Training Program, 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. 93.866, and is not subject to the 
intergovernmental review requirements of Executive Order 12372 or 
Health Systems Agency review.  Awards are made under authorization of 
Sections 301 and 405 of the Public Health Service Act as amended (42 
USC 241 and 284) and administered under NIH 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 to 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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