Part I Overview Information

Department of Health and Human Services

Participating Organizations
National Institutes of Health (NIH), (

Components of Participating Organizations
National Institute on Aging (NIA), ( )
National Institute of Mental Health (NIMH), ( )
National Institute on Neurological Disorders and Stroke (NINDS), ( )  
Office of Dietary Supplements (ODS), ( )

Title:  Paul B. Beeson Patient-Oriented Research Career Development Award in Aging (K23)

Announcement Type
This Funding Opportunity Announcement (FOA) is a reissue of RFA–AG-10-011. 

Update: The following update relating to this announcement has been issued:

Request for Applications (RFA) Number: RFA-AG-11-009

NOTICE: Applications submitted in response to this Funding Opportunity Announcement (FOA) for Federal assistance must be submitted electronically through ( using the SF424 Research and Related (R&R) forms and the SF424 (R&R) Application Guide. 


This FOA must be read in conjunction with the application guidelines included with this announcement in for Grants (hereafter called

A registration process is necessary before submission and applicants are highly encouraged to start the process at least four (4) weeks prior to the grant submission date. See Section IV.

Catalog of Federal Domestic Assistance Number(s)
93.866, 93.859, 93.853

Key Dates
Release/Posted Date: August 20, 2010
Opening Date:  October 9, 2010 (Earliest date an application may be submitted to
Letters of Intent Receipt Date(s): October 9, 2010  
NOTE: On-time submission requires that applications be successfully submitted to no later than 5:00 p.m. local time (of the applicant institution/organization). 
Application Due Date(s): November 9, 2010
Peer Review Date(s): February/March 2011
Council Review Date(s): May 2011
Earliest Anticipated Start Date(s): July 1, 2011
Additional Information To Be Available Date (Activation Date): Not Applicable.
Expiration Date: November 10, 2010

Due Dates for E.O. 12372
Not Applicable

Additional Overview Content

Executive Summary

Table of Contents

Part I Overview Information

Part II Full Text of Announcement

Section I. Funding Opportunity Description
1. Research Career Objectives

Section II. Award Information
1. Mechanism of Support
2. Funds Available

Section III. Eligibility Information
1. Eligible Applicants
    A. Eligible Institutions
    B. Eligible Individuals
2. Cost Sharing or Matching
3. Other-Special Eligibility Criteria

Section IV. Application and Submission Information
1. Request Application Information
2. Content and Form of Application Submission
3. Submission Dates and Times
    A. Submission, Review, and Anticipated Start Dates
          1. Letter of Intent
    B. Submitting an Application Electronically to the NIH
    C. Application Processing   

4. Intergovernmental Review
5. Funding Restrictions
6. Other Submission Requirements

Section V. Application Review Information
1. Criteria
2. Review and Selection Process
3. Anticipated Announcement and Award Dates

Section VI. Award Administration Information
1. Award Notices
2. Administrative and National Policy Requirements
3. Reporting

Section VII. Agency Contacts
1. Scientific/Research Contact(s)
2. Peer Review Contact(s)
3. Financial/Grants Management Contact(s)

Section VIII. Other Information - Required Federal Citations

Part II - Full Text of Announcement

Section I. Funding Opportunity Description

1. Research Career Objectives

The National Institute on Aging (NIA), the National Institute of Mental Health (NIMH) ,the National Institute of Neurological Disorders and Stroke (NINDS), and the NIH Office of Dietary Supplements (ODS), working in part with funds contributed by the John A. Hartford Foundation ( , and The American Federation for Aging Research ( ), are pursuing this initiative to sustain and promote the research careers of clinically trained individuals who are pursuing research careers in aging. The numbers of physicians and other clinically trained individuals who are committing to and sustaining independent research careers in the biomedical sciences remain inadequate to address the opportunities for translational research, interdisciplinary collaboration, and groundbreaking basic research being generated by advances in genetics, biomedical engineering, and other life sciences. Within the field of aging research the small numbers of individuals receiving training in geriatrics, and the smaller numbers pursuing research on aging remain inadequate to address the burgeoning needs of the rapidly growing older population. These needs require a substantial investment in current and future faculty who will devote their careers to advancing knowledge of effective prevention and management of illness and disabilities, and to inspire successive generations to do the same.

The program is named after Dr. Paul B. Beeson who profoundly influenced the career paths of many physicians, including several who now form the core leadership in geriatric medicine. Dr. Beeson was Chairman of Medicine at Emory and Yale Medical Schools, Nuffield Professor at Oxford University and Professor and distinguished VA Physician at the University of Washington. He chaired the first Institute of Medicine study on "Aging and Medical Education" in 1978. His leadership as an editor of the Cecil Textbook of Medicine greatly influenced medical education. From his research and patient care base, he grew increasingly interested in the process of aging, and this interest led to a commitment that included his editorship of the Journal of the American Geriatrics Society. Dr. Beeson died in August 2006 at the age of 97.

The aims of the Paul B. Beeson Career Development Awards in Aging (BCDA) program are:

To encourage and assist the development of future leaders in the field of aging by supporting clinically trained (primarily physician) faculty members early in their careers to gain additional research training and to establish independent programs in aging research.

To deepen the commitment of research institutions to academic research in aging and to translating research outcomes to geriatric medicine by involving mentor and recipient in establishing and advancing the recipient's career in aging research.

Clinically relevant research on aging, as broadly defined includes  work in the basic sciences, including animal models of aging where there is apparent clinical relevance; maintenance of health and independence in old age; diseases and disabilities of old age; and issues in clinical management and systems of care for the elderly. The BCDA program also includes additional support for clinically trained scientists who wish to pursue careers dedicated to research on Alzheimer’s disease and other neurodegenerative diseases, formerly supported by the Alzheimer’s Disease Clinical Scientist Development Award announcement. Up to three additional awards each year will be dedicated to investigators planning careers in neuroscience related to aging and neurodegenerative disease.

Overall the program will foster the independent research careers of clinically trained investigators whose research will enhance overall health and quality of life of Americans, particularly older people.


For the purposes of the K23 award, Patient-Oriented Research is defined as research conducted with human subjects (or on material of human origin such as tissues, specimens and cognitive phenomena) for which an investigator directly interacts with human subjects.  This area of research includes: 1) mechanisms of human disease; 2) therapeutic interventions; 3) clinical trials, and; 4) the development of new technologies.  Studies falling under Exemption 4 for human subjects research are not included in this definition.  See also:

K23 Candidates must hold a doctoral degree, and must commit a minimum of 9 person-months (75% of full-time professional effort) conducting research and relevant career development activities during the period of the award.  The sponsoring institution must demonstrate a commitment to provide the environment, resources and the protected time required for the candidate to perform the activities included in the proposed research and career development plans.  Each Research Career Development Award must be tailored to meet the individual needs of the candidate. 

The BCDA provides support to clinically trained faculty members in strong research environments to enable them to gain skills and experience in clinically relevant aging research and to establish an independent program of research in these fields. If you are such a faculty member and wish to apply for this program you must identify a mentor or mentors. These individuals should be senior researchers in aging, mental health and/or geriatrics or psychiatry who agree to commit time to supervising and guiding you during the period of the award.

The BCDA is intended to provide individual candidates with the resources and time to establish themselves as independent and funded investigators whose research focuses on clinically relevant topics in aging. It is targeted primarily at individuals who have had some prior training in research coursework, methods, and resources related to aging and who have received initial funding for research such as through Small Grant support from NIH, through similar support from other federal agencies, or through foundation funding. As a career development award it will allow the candidate time to expand his/her research training as well as pursue activities consistent with the expectation of future leadership in the candidate’s chosen field.  These activities may include symposia, workshops or other activities in which the candidate has played a leading role in enhancing her/his fields’ academic medical/health and research accomplishments and visibility. The candidates career development plan should reflect a detailed strategy to advance both the research training and leadership goals of the BCDA.

Relatively junior candidates (who have not yet received initial research support) may apply if they have shown clear evidence of early leadership potential through academic honors and awards and early research accomplishment. The career development plan should be tailored to the candidate’s particular career goals, current level of experience, and the environment (including mentors) in which the candidate’s career development will take place. Junior candidates with limited prior research training and research experience and more advanced candidates who are changing or expanding research areas will more likely need longer periods of support on the BCDA, and more didactic coursework and guided research experiences than those with more research training and experience in their proposed field of study. More advanced candidates who are now expanding their prior research efforts within their chosen field of study and transitioning to full independence should clearly state their specific career goals and how these goals will be realized through the proposed program of career development under this award. For all candidates, it is particularly important to show those career development activities that are essential to advance to independence, that complement the research planned, and that could not be accomplished through research support alone. Similarly it is important to show that the mentoring available through this award will clearly benefit the candidate’s emergence as a leading researcher in his/her chosen field.

To accommodate these differences in prior experience or intended direction the initial BCDA award may be from three to five years. In addition, clinically trained candidates with limited research experience are eligible for an up to two year renewal (formerly competing continuation) of the BCDA as described under Funds Available (Section II.2). Candidates who have a research doctorate earned prior to receiving the BCDA are not eligible for this renewal. The candidate’s  program must be tailored to his/her individual needs and ensure that the candidate  will gain the experience, knowledge and skills necessary to carry out high quality clinically relevant aging research. The candidate and the selected mentor(s) are jointly responsible for the preparation of the plan for this program.

The candidate must devote at least nine person-months (75%) of full-time professional effort to the goals of this award. The candidate may devote the remainder to activities that are consistent with the purpose of the award and which allow him/her to develop the necessary experience, knowledge and skills to become an independent researcher in a clinically relevant field of aging. The BCDA program allows support for the candidate’s salary, fringe benefits, and research/research development expenses to be used for research and training.

The proposed training and research must focus on clinically relevant research on aging, the aged or those aged with psychiatric needs. The full range of research methods appropriate to completing the proposed investigation is encouraged provided that the application makes clear the clinical relevance of the proposed work. NIMH is interested in supporting investigators who will pursue basic, clinical, or health services research in mental disorders of late life, especially studies aimed at hastening the translation of behavioral science and neuroscience advances into innovations in clinical care.  NIMH has particular interests in research on how the aging process interacts with the etiology and pathophysiology of mental illness in older adults, including studies of the mechanisms underlying psychiatric and behavioral disturbances in neurodegenerative disorders, in studies identifying risk and protective factors and their relationship to the development of various mental disorders in later life, and in research to better define the neurobiological trajectories of chronic mental illnesses across the lifespan.  NIMH also encourages outcome studies on innovative biomedical and psychosocial interventions for older persons with mental disorders, studies determining moderators and predictors of both intervention response and side effects and pursuing other avenues to personalizing the choice of treatment approaches for the individual older adult, and research on optimal methods of adapting mental health interventions for effective delivery to diverse populations and in typical geriatric care settings. ODS has particular interests in the roles of dietary supplements in preventing and reducing risk factors for disease and in enhancing physical and mental health and performance. The ODS is also interested in research exploring the biochemical and physiological effects of supplements and in improved scientific methods for the study of dietary supplements. Research on these interests as they relate to the health and performance of older adults is particularly encouraged. The BCDA program also now includes funding for up to three additional positions formerly allocated to the NIA Alzheimer’s Disease Clinical Scientist Development Award program and therefore encourages additional applications addressing innovative approaches to neuroscience research that would have relevance to brain aging, Alzheimer’s disease and other neurodegenerative diseases.

Mentor(s): The candidate must name a primary mentor, who together with the candidate is responsible for the planning, direction, and execution of the program. The mentor should be an accomplished investigator in the proposed research area and have a track record of success in training independent investigators. The candidate may also nominate co-mentors as appropriate to the goals of the program. It is important that research expertise in the fields of aging and an appropriate funding history of support for aging research be well-represented among the mentors. Where feasible, women, minority individuals and individuals with disabilities should be involved as mentors to serve as role models.

The sponsoring applicant institution must have a well-established research and clinical career development program with an emphasis or specialty in geriatrics, psychology, psychiatry or other topical areas within aging research. It must have faculty qualified in aging research to serve as mentors. The institution must demonstrate a commitment to the candidate’s development as a productive, independent investigator in aging-related research. Such commitment may be expressed in terms of the expected distribution of resources   (for example, an independent laboratory) as the candidate progresses through the BCDA.

See Section VIII, Other Information - Required Federal Citations, for policies related to this announcement.

Section II. Award Information

1. Mechanism of Support

This funding opportunity will use the NIH Research Career Development Award (K23) mechanism. The Project Director/Principal Investigator (PD/PI; also referred to as the Candidate), together with his/her mentor(s), are jointly responsible for planning, directing, and executing the proposed research career development program.

This FOA uses “Just-in-Time” information concepts (see SF424 (R&R) Application Guide). It also uses the non-modular budget format.

The candidate should follow the instructions for budget information described in Section IV as well as in PHS 398 Career Development Award Supplemental form Section 7.4.6 of the SF424 (R&R) instructions, and budget justification information.

The Research Career Development program must be tailored to meet the individual needs of the candidate.  Candidates may request 3 to 5 years of support. The actual duration of the award will depend upon the number of years of prior research experience, the demonstrated need for additional protected time devoted to research, and the program priorities of the NIA. Funding beyond the first year is contingent upon satisfactory progress during the preceding year, as documented in the required progress report (refer to Section VI).  Awards are not transferable from one PD/PI to another.

2. Funds Available

The National Institute on Aging, the National Institute of Neurological Disorders and Stroke, the National Institute of Mental Health, and the Office of Dietary Supplements intend to commit (in combination) approximately $1 million in FY 2011;

The John A. Hartford Foundation and the American Federation for Aging Research (AFAR) have agreed to contribute to this initiative by providing supplemental awards to increase the number of candidates funded and/or by making independent awards and by sponsoring an annual meeting of the funded investigators and primary mentors. NIA, NIMH and NINDS strongly encourage you to share your application with these foundations and to share the results of peer review with them. You may send your application to the American Federation for Aging Research (AFAR) at the address below. AFAR will share it with the other listed foundations:

American Federation for Aging Research
Attn: Paul B. Beeson Career Development Awards in Aging Program
55 West 39th Street, 16th Floor
New York, NY 10018

Because the nature and scope of the proposed research career development will vary from application to application, it is anticipated that the size and duration of each award will also vary. Although the financial plans of the NIA, NIMH, NINDS and ODS provide support for this program, awards pursuant to this funding opportunity are contingent upon the receipt of a sufficient number of meritorious applications, the program priorities of the participating ICs, and the availability of funds.

The estimated amount of funds available for support of the Paul B. Beeson Patient-Oriented Research Career Development Award in Aging (K23) projects awarded as a result of this announcement is $1 million for fiscal year 2011. Future year amounts will depend on annual appropriations.

Some awardees may be eligible for a renewal of the Beeson award. Clinically trained applicants with no prior NIH career development or similar award from other sources prior to the initial BCDA may seek support for one renewal of the BCDA. This renewal may not request support for more than two additional years. The two year direct costs are limited to $300,000 with no more than $200,000 allowed in any one year. However, if the awardee possesses a research doctorate he/she is not eligible for the two year renewal. 

Allowable Costs

Salary: The total salary requested must be based on a full-time, 12-month staff appointment.  The salary 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.  Confirmation of salary may be required prior to the issuance of an award.  Fringe benefits, based on the sponsoring institution’s rate and the percent of effort, are provided in addition to the salary.

The sponsoring institution may supplement the NIH salary 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 the career award.  Under expanded authorities, however, institutions may re-budget funds within the total costs awarded to cover salaries consistent with the institution's salary scale. The total salary, however, may not exceed the legislatively mandated salary cap.  See:

At least nine person-months (75%) of full-time effort must be devoted to the goals of this award. Because the salary amount provided by this award is based on the candidate’s full-time institutional salary, other PHS funds may not be used to supplement the salary.   The remaining effort may be devoted to clinical, teaching, or other research pursuits and activities consistent with the objectives of the award. 

K23 award recipients are encouraged to obtain funding from NIH or other Federal sources either as a named PD/PI on a competing research grant award or cooperative agreement or as sub-project director on a competing multi-project award (see NOT-OD-08-065).  At the time the research grant is awarded the effort required on the K23 award may be reduced to no less than 6 person-months (50% full-time professional effort) at the grantee organization and replaced by effort from the research award so that the total level of research commitment remains at 9 person-months (75% full-time professional effort) or more for the duration of the K23 award.  To be eligible for salary support from peer-reviewed research awards from any Federal agency:

Research Development Support:

Research development costs of the career award recipient may include: (a) tuition and fees related to career development (when applicable); (b) research expenses, such as supplies, equipment and technical personnel; c) travel to research meetings or training; and (d) statistical services including personnel and computer time.

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

Indirect Costs: These costs also known as Facilities and Administrative (F&A) costs will be reimbursed at eight percent (8%) of modified total direct costs.

NIH Grants Policy: NIH grants policies as described in the NOT-OD-04-056.

At the time of award, the candidate must have a “full-time” appointment at the academic institution that is the applicant institution.  Candidates who have VA appointments may not consider part of the VA effort toward satisfying the “full time” requirement at the applicant institution. Candidates with VA appointments should contact the staff person in the relevant Institute or Center prior to preparing an application to discuss their eligibility.

2. Cost Sharing or Matching

This program does not require cost sharing as defined in the current NIH Grants Policy Statement.

3. Other-Special Eligibility Criteria

Number of Applications: Applicants may only have one individual Research Career Development Award application pending peer review at any time.  A candidate for an NIH career award may not simultaneously submit or have an application pending review for any other PHS award that duplicates any of the provisions of the currently pending career award.

Resubmissions: Only BCDA applications submitted in response to the prior Beeson solicitations AG 09-012 and AG10-011, but unfunded, may be resubmitted to the current solicitation. Follow instructions in the PHS 398 form for preparing resubmissions. Other previously unfunded applications, originally submitted as investigator-initiated should be prepared as NEW applications for this funding opportunity. That is, the application for this funding opportunity must not include an Introduction describing the changes and improvements made, and the text must not be marked to indicate the changes from the previous unfunded version of the application.

Applicants may submit a resubmission application, but such application must include an Introduction addressing the previous peer review critique (Summary Statement). Beginning with applications intended for the January 25, 2009 official submission due date, all original new applications (i.e., never submitted) and renewal applications are permitted only a single amendment (A1).  See new NIH policy on resubmission (amended) applications (NOT-OD-09-003, NOT-OD-09-016). Original new and renewal applications that were submitted prior to January 25, 2009 are permitted two amendments (A1 and A2).  For these “grandfathered” applications, NIH expects that any A2 will be submitted no later than January 7, 2011, and NIH will not accept A2 applications after that date.

Renewals: Generally renewal awards are not allowed.  See Section II.2. where a special exception is described.  Also awards are not transferable from one PI/PD to another.

3. A. Special Requirements

A K23 awardee cannot hold the BCDA concurrently with another NIH career development award or similar award. The awardee must terminate that other award in order to receive the BCDA. Normally support from the prior career development award and support from the BCDA should  total  no more than five years. Requests for time beyond five years of total career award support (including requests for competing renewals of BCDAs) must be justified by indicating changes in circumstances, such as a change of institution, or a change in research direction that requires additional mentoring or initial appointment to an institutional career award (K12 or KL2) at a junior level.

Section IV. Application and Submission Information

To download a SF424 (R&R) Application Package and SF424 (R&R) Application Guide for completing the SF424 (R&R) forms for this FOA, use the “Apply for Grant Electronically” button in this FOA or link to and follow the directions provided on that Web site.


Appropriate registrations with and eRA Commons must be completed on or before the due date in order to successfully submit an applicationSeveral of the steps of the registration process could take four weeks or more. Therefore, applicants should immediately check with their business official to determine whether their organization/institution is already registered with both and the Commons. All registrations must be complete by the submission deadline for the application to be considered “on-time” (see 3.C.1 for more information about on-time submission).

A one-time registration is required for institutions/organizations at both:

The PD/PI (Career Award Candidate) should work with their institutions/organizations to make sure they are registered in the NIH eRA Commons.

Several additional separate actions are required before an applicant can submit an electronic application, as follows:  

1) Organizational/Institutional Registration in Registered  

2) Organizational/Institutional Registration in the eRA Commons

a.     To find out if an organization is already Commons-registered, see the "List of Grantee Organizations Registered in NIH eRA Commons.”
b.    Direct questions regarding the Commons registration to:
eRA Commons Help Desk
Phone: 301-402-7469 or 866-504-9552 (Toll Free)
TTY: 301-451-5939
Business hours M-F 7:00 a.m. – 8:00 p.m. Eastern Time

3) Project Director/Principal Investigator (PD/PI) Registration in the NIH eRA Commons: Refer to the NIH eRA Commons System (COM) Users Guide.

Both the PD/PI and AOR/SO need separate accounts in the NIH eRA Commons since both are authorized to view the application image.

Note: The registration process is not sequential.  Applicants should begin the registration processes for both and eRA Commons as soon as their organization has obtained a DUNS number.  Only one DUNS number is required and the same DUNS number must be referenced when completing registration, eRA Commons registration and the SF424 (R&R) forms.

1. Request Application Information

Applicants (Career Award Candidate) must download the SF424 (R&R) application forms and the SF424 (R&R) Application Guide for this FOA through

Note: Only the forms package directly attached to a specific FOA can be used. You will not be able to use any other SF424 (R&R) forms (e.g., sample forms, forms from another FOA), although some of the "Attachment" files may be useable for more than one FOA.

For further assistance, contact GrantsInfo -- Telephone 301-435-0714, Email:

Telecommunications for the hearing impaired: TTY: (301) 451-5936

2. Content and Form of Application Submission

Prepare all applications using the SF424 (R&R) application forms for this FOA through and in accordance with the SF424 (R&R) Application Guide (

The SF424 (R&R) Application Guide is critical to submitting a complete and accurate application to NIH. Some fields within the SF424 (R&R) application components, although not marked as mandatory, are required by NIH (e.g., the “Credential” log-in field of the “Research & Related Senior/Key Person Profile” component must contain the PD/PI’s assigned eRA Commons User ID). Agency-specific instructions for such fields are clearly identified in the Application Guide. For additional information, see “Frequently Asked Questions – Application Guide, Electronic Submission of Grant Applications.”

The SF424 (R&R) application has several components. Some components are required, others are optional. The forms package associated with this FOA in includes all applicable components, required and optional. A completed application in response to this FOA includes the data in the following components:

Required Components:

SF424 (R&R) (Cover component)
Research & Related Project/Performance Site Locations
Research & Related Other Project Information
Research & Related Senior/Key Person
PHS398 Cover Letter
PHS398 Cover Page Supplement
PHS398 Career Development Award Supplemental Form
PHS398 Checklist
SF424 (R&R) Detailed Budget

3. Submission Dates and Times
See Section IV.3.A for details.

3.A. Submission, Review, and Anticipated Start Dates

Opening Date:  October 9, 2010 (Earliest date an application may be submitted to
Letters of Intent Receipt Date(s): October 9, 2010 
Application Due Date(s): November 9, 2010
Peer Review Date(s): February/March 2011
Council Review Date(s): May 2011
Earliest Anticipated Start Date(s): July 1, 2011

3.A.1. Letter of Intent

Prospective applicants (Career Award Candidates) are asked to submit a letter of intent that includes the following information:

Although a letter of intent is not required, is not binding, and does not enter into the review of a subsequent application, the information that it contains allows IC staff to estimate the potential review workload and plan the review.

The letter of intent is to be sent by the date listed in Section IV.3.A.

The letter of intent should be sent to:

Chyren Hunter, Ph.D.
Division of Extramural Activities
National Institute on Aging
7201 Wisconsin Avenue, Room 2C218, MSC 9205
Bethesda, MD 20892-9205
Telephone: (301) 496-9322
FAX: (301) 402-2945

3.B. Submitting an Application Electronically to the NIH

To submit an application in response to this FOA, applicants (Career Award Candidates) should access this FOA via and follow Steps 1-4. Note:  Applications must only be submitted electronically.  PAPER APPLICATIONS WILL NOT BE ACCEPTED.  All attachments must be provided to NIH in PDF format, filenames must be included with no spaces or special characters, and a .pdf extension must be used.

3.C. Application Processing

3.C.1 Submitting On-Time

Applications may be submitted on or after the opening date and must be successfully received by no later than 5:00 p.m. local time (of the applicant institution/organization) on the application due date(s). (See Section IV.3.A for all dates.) If an application is not submitted by the due date(s) and time, the application may be delayed in the review process or not reviewed. All applications must meet the following criteria to be considered “on-time”:

Please visit for detailed information on what to do if or eRA system issues threaten your ability to submit on time.

Submission to is not the last step – applicants must follow their application through to the eRA Commons to check for errors and warnings and view their assembled application!

3.C.2 Two Day Window to Correct eRA Identified Errors/Warnings

IMPORTANT NOTE! NIH has eliminated the error correction window for due dates of January 25, 2011 and beyond. As of January 25, all corrections must be complete by the due date for an application to be considered on-time. See NOT-OD-10-123.

Once an application package has been successfully submitted through, NIH provides applicants a two day error correction window to correct any eRA identified errors or warnings before a final assembled application is created in the eRA Commons.  The standard error correction window is two (2) business days, beginning the day after the submission deadline and excluding weekends and standard federal holidays.  All errors must be corrected to successfully complete the submission process.  Warnings will not prevent the application from completing the submission process.

Please note that the following caveats apply:

3.C.3 Viewing an Application in the eRA Commons

Once any eRA identified errors have been addressed and the assembled application has been created in the eRA Commons, the PD/PI and the Authorized Organization Representative/Signing Official (AOR/SO) have two weekdays (Monday – Friday, excluding Federal holidays) to view the assembled application before it automatically moves forward to NIH for further processing.

Upon receipt, applications will be evaluated for completeness by the Center for Scientific Review, NIH and responsiveness by the IC. Incomplete and/or non-responsive applications will not be reviewed.

There will be an acknowledgement of receipt of applications from and the Commons. The submitting AOR/SO receives the acknowledgments. The AOR/SO and the PI receive Commons acknowledgments. Information related to the assignment of an application to a Scientific Review Group is also in the Commons. 

Note: Since email can be unreliable, it is the responsibility of the applicant (Career Award Candidate) to check periodically on their application status in the Commons.

The NIH will not accept any application in response to this FOA that is essentially the same as one currently pending initial merit review unless the applicant withdraws the pending application. The NIH will not accept any application that is essentially the same as one already reviewed. However, the NIH will accept a resubmission application, but such application must include an Introduction addressing the critique from the previous review.

Resubmissions.  Only BCDA applications submitted in response to the prior Beeson solicitations AG 09-012 and AG10-011, but unfunded, may be resubmitted to the current solicitation. Follow instructions in the PHS 398 form for preparing resubmissions. Other previously unfunded applications, originally submitted as investigator-initiated should be prepared as NEW applications for this funding opportunity. That is, the application for this funding opportunity must not include an Introduction describing the changes and improvements made, and the text must not be marked to indicate the changes from the previous unfunded version of the application.

4. Intergovernmental Review

This initiative is not subject to intergovernmental review.

5. Funding Restrictions

All NIH awards are subject to the terms and conditions, cost principles, and other considerations described in the

Citizenship: Applicants (Career Award Candidates) must meet the citizenship/residency requirements as described in the Eligibility section of this announcement (see Section III) at the time of award.

Concurrent Awards: Candidates must be aware of the NIH policies associated with other federally sponsored support (see: NOT-OD-08-065).

NIH policy allows NIH mentored career development award recipients in the final two years of their award to receive salary support from both their K award and a research grant from any Federal agency (see NOT-OD-08-065). The K-award recipient must be a named PD/PI of a competing research project grant (R01, R03, R15, R21, R34, etc.), or be the sub-project director on a competing multi-component research or center grant or cooperative agreement (P01, P50, U01, etc.).  See the Notice for full details.

Research Development Support:

The research development support costs allowed for this program must be justified and 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 ancillary personnel support, such as mentors, secretarial and administrative assistants is not allowed.

Pre-Award Costs: Pre-award costs are allowable. A grantee may, at its own risk and without NIH prior approval, incur obligations and expenditures to cover costs up to 90 days before the beginning date of the initial budget period if such costs: 1) are necessary to conduct the project, and 2) would be allowable under the grant, if awarded, without NIH prior approval. If specific expenditures would otherwise require prior approval, the grantee must obtain NIH approval before incurring the cost. NIH prior approval is required for any costs to be incurred more than 90 days before the beginning date of the initial budget period.

The incurrence of pre-award costs in anticipation of a competing or non-competing award imposes no obligation on NIH either to make the award or to increase the amount of the approved budget if an award is made for less than the amount anticipated and is inadequate to cover the pre-award costs incurred. NIH expects the grantee to be fully aware that pre-award costs result in borrowing against future support and that such borrowing must not impair the grantee's ability to accomplish the project objectives in the approved time frame or in any way adversely affect the conduct of the project. See NIH Grants Policy Statement NIH Grants Policy Statement.

6. Other Submission Requirements

PD/PI Credential (e.g., Agency Login)

The NIH requires the PD/PI to fill in his/her Commons User ID in the “PROFILE – Project Director/Principal Investigator” section, “Credential” log-in field of the “Research & Related Senior/Key Person Profile” component.

Organizational DUNS

The applicant organization must include its DUNS number in its Organization Profile in the eRA Commons. This DUNS number must match the DUNS number provided at CCR registration with For additional information, see “Frequently Asked Questions – Application Guide, Electronic Submission of Grant Applications.”

Budget Component (Section 4.7 of SF424 Application Guide): Use the SF424 (R&R) Detailed Budget component and review the instructions found in Part I.4.7 (R&R Budget Component) of the Application Guide.  However for “K” applications only limited budget information is required; therefore, candidates will also need to follow the special instructions in Part I.7.4 of the SF 424 (R&R) [Supplemental Instructions for Career Development Awards], noting the special instructions that modify Section 4.7.  In budget section A (Senior/Key Persons) include base salary, person months and requested salary and fringe benefit information for only the candidate.  Base salary, and requested salary and fringe benefits should reflect actual levels.  Any adjustments based on IC policy limits will be made at the time of the award.  Sections B-E should be left blank.  If a dollar amount is required, enter 0 (zero) in the appropriate box.  The total Research Development Support amount requested for each year will be entered in Section F, Materials and Supplies.  In Section H enter Modified Total Direct Costs under “Indirect Cost Type.”  The Indirect Cost rate is 8% of modified total direct cost.  The Indirect Cost amount should be entered under “Funds Requested.”  Totals for Sections F, G, and H will be calculated automatically for each year as well as for the Cumulative Budget.  Within the direct cost limitation for research development support, provide a detailed description with justification for all equipment, supplies and personnel that will be used to help achieve the career development and research objectives of this award. 

Cover Letter (Section 5.2 of SF424 Application Guide)

The PHS398 cover letter must include the list of referees (including name, department affiliation, and institution. See also Section 7.4.7 “Special Instructions for 5. Completing PHS398 Components.”

Supplemental Instructions to the SF 424(R&R) for Preparing an Individual Research Career Development Award (CDA) Application (“K” Series) (Section 7 of SF424 Application Guide)

Section 7.1. Introduction

See SF424 Application Guide.

Section 7.2. Individual Career Development Award Programs

See SF424 Application Guide.

Section 7.3. Letters of Reference (must be submitted electronically through the eRA Commons)

Electronic submission of reference letters is a separate process from submitting an application electronically. Reference letters are submitted directly through the eRA Commons and do not use  Therefore, candidates must follow the Supplemental Instructions in the SF424 R&R Application Guide for Research Career Awards (Instructions, Part 7.3) (see

Letters of reference are an important component of the application for the mentored career award.  Candidates for this career award must arrange to have at least three (but no more than five) letters of reference submitted on their behalf to the NIH eRA Commons Web site at  The letters should be from well-established scientists (referees) addressing the qualities of the candidate as well as their potential for becoming an independent investigator.  These letters should be from individuals not directly involved in the application, but who are familiar with the candidate’s qualifications, training, and interests, including advisory committee members (if applicable).

The mentor/co-mentor(s) may also submit letters of reference, but these letters will be considered independently of the three required reference letters.  Resubmission applications must include new letters of reference. 

Applications that are missing the required letters of reference may be delayed in the review process or not accepted. 

Section 7.4. K- Specific Instructions for K Applications using the SF424 (R&R) Application

See SF424 Application Guide for Sections 7.4.1 (Special Instructions for 4.2 Cover Component), Section 7.4.2 (Special Instructions for 4.3 Research & Related Project/Performance Site Locations Component), Section 7.4.3 (Special Instructions for 4.4 Other Project Information Component), Section 7.4.4 (Special Instructions for 4.5 Senior/Key Person Profile(s) Component), Section 7.4.5 (Special Instructions for 4.6 Selecting the Appropriate Budget Component), Section 7.4.6 (Special Instructions for 4.7 R&R Budget Component), and Section 7.4.7 (Special Instructions for 5. Completing PHS398 Components).

Section 7.5. PHS398 Career Development Award Supplemental Form

All application instructions outlined in the SF424 (R&R) Application Guide (See Supplementary Instructions for Research Career Awards, Part I.7.5) are to be followed, incorporating "Just-in-Time" information concepts, and with the following additional requirements:


Item 1. Introduction to Application (for resubmission applications only):

Candidate Information

Item 2. Candidate’s Background:

Item 3. Career Goals and Objectives:

Item 4. Career Development/Training Activities During Award Period:

Item 5. Training in the Responsible Conduct of Research:

Statements of Support

Item 7. Statement by Mentor, Co-Mentors, Consultants, Contributors (All statements/letters should be appended to each other and uploaded as a single pdf document):

Environment and Institutional Commitment to Candidate

Item 8. Description of Institutional Environment:

Item 9. Institutional Commitment to Candidate’s Research Career Development:

Research Plan

The research plan should follow instructions outlined in PHS 398 Career Development Award Supplemental form, including sections on Specific Aims and Research Strategy. 

The candidate should consult with the mentor(s) regarding the development of this section.

Item 10. Specific Aims:

Item 11. Research Strategy:

Item 12. Inclusion Enrollment Report (for renewal applications only):

Item 13. Progress Report Publication List (for renewal applications only):

Human Subjects Section

Follow instructions in SF424 Application Guide for Item 14 (Protection of Human Subjects), Item 15 (Inclusion of Women and Minorities), Item 16 (Targeted/Planned Enrollment), and Item 17 (Inclusion of Children).

Other Research Plan Sections

Follow instructions in SF424 Application Guide for Item 18 (Vertebrate Animals), Item 19 (Select Agent Research), and Item 20 (Consortium/Contractual Arrangements).

Item 21. Resource Sharing Plan(s):


Applicants must follow the specific instructions on Appendix materials as described in the SF424 (R&R) Application Guide (See

Do not use the Appendix to circumvent the page limitations. An application that does not comply with the required page limitations may be delayed in the review process.

Section V. Application Review Information

1. Criteria 

Only the review criteria described below will be considered in the review process.

2. Review and Selection Process

Review Process

Applications submitted for this funding opportunity will be assigned on the basis of established PHS referral guidelines to NIA for funding consideration.

Applications that are complete and responsive to this FOA will be evaluated for scientific and technical merit by a peer review group convened by NIA, NINDS or NIMH in accordance with NIH peer review procedures ( using the review criteria stated below.  

As part of the scientific peer review, all applications will:

The mission of the NIH is to support science in pursuit of knowledge about the biology and behavior of living systems and to apply that knowledge to extend healthy life and reduce the burdens of illness and disability.  As part of this mission, applications submitted to the NIH for grants or cooperative agreements to support biomedical and behavioral research are evaluated for scientific and technical merit through the NIH peer review system. 

Overall Impact/Merit

Reviewers will provide an overall impact/priority score to reflect their assessment of the likelihood that the Research Career Development Award will enhance the candidate’s potential for, and commitment to, a productive independent scientific research career in a health-related field, in consideration of the scored and additional review criteria.

Scored Review Criteria

Reviewers will consider each of the five review criteria below in the determination of scientific and technical merit, and give a separate score for each.  An application does not need to be strong in all categories to be judged likely to have major scientific impact. 


Career Development Plan. 

Research Plan.

Mentor(s), Consultant(s), Collaborator(s).  

Environment and Institutional Commitment to the Candidate.

Additional Review Criteria 

As applicable for the project proposed, reviewers will consider the following additional items in the determination of scientific and technical merit, but will not give separate scores for these items.

Protections for Human Subjects.  For research that involves human subjects but does not involve one of the six categories of research that are exempt under 45 CFR Part 46, the committee will evaluate the justification for involvement of human subjects and the proposed protections from research risk relating to their participation according to the following five review criteria: 1) risk to subjects, 2) adequacy of protection against risks, 3) potential benefits to the subjects and others, 4) importance of the knowledge to be gained, and 5) data and safety monitoring for clinical trials.

For research that involves human subjects  and meets the criteria for one or more of the six categories of research that are exempt under 45 CFR Part 46, the committee will evaluate: 1) the justification for the exemption, 2) human subjects involvement and characteristics, and 3) sources of materials.

Inclusion of Women, Minorities, and Children.  When the proposed project involves clinical research, the committee will evaluate the proposed plans for inclusion of minorities and members of both genders, as well as the inclusion of children.

Vertebrate Animals.  The committee will evaluate the involvement of live vertebrate animals as part of the scientific assessment according to the following five points: 1) proposed use of the animals, and species, strains, ages, sex, and numbers to be used; 2) justifications for the use of animals and for the appropriateness of the species and numbers proposed; 3) adequacy of veterinary care; 4) procedures for limiting discomfort, distress, pain and injury to that which is unavoidable in the conduct of scientifically sound research including the use of analgesic, anesthetic, and tranquilizing drugs and/or comfortable restraining devices; and 5) methods of euthanasia and reason for selection if not consistent with the AVMA Guidelines on Euthanasia.  For additional information, see

Biohazards.  Reviewers will assess whether materials or procedures proposed are potentially hazardous to research personnel and/or the environment, and if needed, determine whether adequate protection is proposed.

Resubmission.  When reviewing a Resubmission application (formerly called an amended application), the committee will evaluate the application as now presented, taking into consideration the responses to comments from the previous scientific review group and changes made to the project.

Renewal.   Generally renewal awards are not allowed.  See Section II.2.where a special exception is described.  Also awards are not transferable from one PI/PD to another.

Revision. Revision applications are not accepted for this FOA.

Additional Review Considerations

As applicable for the project proposed, reviewers will address each of the following items, but will not give scores for these items and should not consider them in providing an overall impact/priority score.

Training in the Responsible Conduct of Research.

Reviewers will evaluate plans for instruction in responsible conduct of research as well as the past record of instruction in responsible conduct of research, where applicable.  Reviewers will specifically address the five Instructional Components (Format, Subject Matter, Faculty Participation, Duration of Instruction, and Frequency of Instruction). Plans and past record will be rated as ACCEPTABLE or UNACCEPTABLE.  Applications with unacceptable plans will not be funded until the applicant provides an acceptable, revised plan.

Select Agents. Reviewers will assess the information provided in this section of the application, including; 1) the Select Agent(s) to be used in the proposed research, 2) the registration status of all entities where Select Agent(s) will be used, 3) the procedures that will be used to monitor possession use and transfer of Select Agent(s), and 4) plans for appropriate biosafety, biocontainment, and security of the Select Agent(s).

Resource Sharing Plans.  Reviewers will comment on whether the following Resource Sharing Plans, or the rationale for not sharing the following types of resources, are reasonable:  1) Data Sharing Plan (Not Applicable); 2) Sharing Model Organisms (; and 3) Genome Wide Association Studies (GWAS) (

Budget and Period of Support.  Reviewers will consider whether the budget and the requested period of support are fully justified and reasonable in relation to the proposed research.

Selection Process

Applications submitted in response to this funding opportunity will compete for available funds with all other recommended applications submitted in response to this FOA. The following will be considered in making funding decisions:

3. Anticipated Announcement and Award Dates
Not Applicable

Section VI. Award Administration Information

1. Award Notices

After the peer review of the application is completed, the PD/PI will be able to access his or her Summary Statement (written critique) via the NIH eRA Commons

If the application is under consideration for funding, NIH may request additional information from the applicant. For details, applicants may refer to the NIH Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards, Subpart A: General.

A formal notification in the form of a Notice of Award (NoA) will be provided to the applicant organization. The NoA signed by the grants management officer is the authorizing document. Once all administrative and programmatic issues have been resolved, the NoA will be generated via email notification from the awarding component to the grantee business official.

Selection of an application for award is not an authorization to begin performance. Any costs incurred before receipt of the NoA are at the recipient's risk.

2. Administrative and National Policy Requirements

All NIH grant and cooperative agreement awards include the NIH Grants Policy Statement as part of the NoA. For these terms of award, see the NIH Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards, Subpart A: General  and Part II: Terms and Conditions of NIH Grant Awards, Subpart B: Terms and Conditions for Specific Types of Grants, Grantees, and Activities.

The following related administrative policies apply to NIH Research Career Award (“K”) programs:

A. Evaluation: In carrying out its stewardship of human resource-related programs, the NIH may request 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.

B. Other Income: Awardees may retain royalties and fees for activities such as scholarly writing, service on advisory groups, honoraria from other institutions for lectures or seminars, fees resulting from clinical practice, professional consultation or other comparable activities, provided these activities remain incidental, are not required by the research and research-related activities of this award, and provided that the retention of such pay is consistent with the policies and practices of the grantee institution.

All other income and fees, not included in the preceding paragraph as retainable, 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:

Usually, funds budgeted in an NIH supported research grant for the salaries or fringe benefits of individuals, but freed as a result of a career award, may not be rebudgeted.  The awarding component will give consideration to 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 the NIH awarding component.

C. Leave Policies: Leave to another institution, including a foreign laboratory, may be permitted if the proposed experience is 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 the NIH funding component is required.   Details on the process for submission of prior approval requests can be found in the NIHGPS, Requests for Prior Approval, at

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 the NIH component Institute or Center and will be granted only in unusual situations.

Leave without award support may not exceed 12 months. Such leave requires the prior written approval of the NIH component Institute or Center and will be granted only in unusual situations.

Support from other sources is permissible during the period of leave without award support.  Such leave does not reduce the total number of months of program support for which an individual is eligible.

D. Percent Effort Policies: Under certain circumstances, an awardee may submit a written request to the awarding component requesting a reduction in minimum required percent effort.  Such requests will be considered on a case-by-case basis during the award period.  The nature of the circumstances requiring a change in the appointment status or percent effort might include personal or family situations such as parental leave, child care, elder care, medical conditions, or a disability.  Permission to reduce the level of effort will not be approved to accommodate job opportunities, clinical practice, or clinical training.  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.  In addition, the awardee must submit assurance of his/her intention to return to the minimum required percent effort as soon as possible.  During the period of reduced effort, the salary and other costs supported by the award will be reduced accordingly. See: NOT-OD-09-036.

E. Changes in Research or Career Development Program: Consultation with the applicable NIH funding Institute or Center Program staff is strongly encouraged when a change in the approved career development program and/or research plan is being considered.

Individual career awards are made for career development in a specific research program.  A change in the specified scientific area of the research component of the career development program requires prior approval of the awarding NIH Institute or Center.  A scientific rationale must be provided for any proposed changes in the aims of the original peer-reviewed research plan.  The new research plan will be evaluated by staff of the awarding IC to ensure that the plan remains within the scope of the original peer-reviewed research program.  If the new plan does not satisfy this requirement, staff could recommend that the award be terminated.

In rare cases where a mentor must be replaced, the institution must submit a letter from the proposed mentor and awardee documenting the need for substitution, the new mentor's qualifications for supervising the program, and the level of support for the PD/PI’s continued career development.  The letter must also document that the specific aims of the research program will remain within the scope of the original peer reviewed research program.  Staff within the NIH funding component will review the request and will notify the institution of the results of the evaluation.

F. Change of Institution or Termination: Consultation with the applicable NIH funding Institute or Center program and/or grants management staff is strongly encouraged when either termination or a change of institution is being considered.

A change of grantee institution normally will be permitted only when all of the benefits attributable to the original grant can be transferred, including equipment purchased in whole or in part with grant funds.  In reviewing a request to transfer a grant, NIH will consider whether there is a continued need for the grant-supported project or activity and the impact of any proposed changes in the scope of the project.  A change may be made without peer review, provided the PD/PI plans no significant change in research and career development objectives and the facilities and resources at the new organization will allow for successful performance of the project.  If these conditions or other programmatic or administrative requirements are not met, the NIH awarding office may require peer review or may disapprove the request and, if appropriate, terminate the award.

If the K awardee is moving to another eligible institution, career award support may be continued provided:

When a grantee institution plans to terminate an award, the Grants Management Specialist listed on the Notice of Award (NoA) must be notified in writing at the earliest possible time so that appropriate instructions can be given for termination.  The Director of the NIH awarding component may terminate an award upon determination that the purpose or terms of the award are not being fulfilled.  In the event an award is terminated, NIH shall notify the grantee institution in writing of this determination, the reasons, the effective date, and the right to appeal the decision.

3. Reporting

When multiple years are involved, awardees will be required to submit the Non-Competing Continuation Grant Progress Report (PHS 2590) annually and financial statements as required in the NIH Grants Policy Statement. (Note that the instructions for Research Career Development applications must be followed for this program).

The Progress Report must include Sections (A) through (F) as described in Section 2.2.6 (Progress Report Summary) in the general PHS form 2590 instructions, as well as sections “G” through “J” as described in Section 5 of the 2590 instructions. Evaluation of the awardee’s progress will encompass the following:

A final progress report, invention statement, and Financial Status Report are required when an award is relinquished when a recipient changes institutions or when an award is terminated.

Section VII. Agency Contacts

We encourage your inquiries concerning this funding opportunity and welcome the opportunity to answer questions from potential applicants. Inquiries may fall into three areas: scientific/research (program), peer review, and financial or grants management issues:

1. Scientific/Research Contact(s):

Chyren Hunter, Ph.D.
Division of Extramural Activities
National Institute on Aging
7201 Wisconsin Avenue, Room 2C218
Bethesda, MD 20892-9205
Phone (301) 496-9322

National Institute of Mental Health:
Mark Chavez, Ph.D.
Division of Adult Translational Research & Treatment Development
6001 Executive Blvd., Room 7101
Bethesda, MD 20892-9632
Phone: (301) 443-8942

National Institute on Neurological Disorders and Stroke:
Stephen Korn, Ph.D.
Director of Training and Career Development
6001 Executive Blvd, Room 2186
Bethesda, MD 20892
Phone: (301) 496-4188

Office of Dietary Supplements:
Mary Frances Picciano, Ph.D.
Senior Nutrition Research Scientist
Office of Dietary Supplements
National Institutes of Health
6100 Executive Blvd, 3B01
Bethesda, MD 20892-7517
Telephone: (301) 435-3608
FAX: (301) 480-1845

2. Peer Review Contact(s):

Ramesh Vemuri, Ph.D., Chief
Scientific Review Branch
National Institute on Aging
7201 Wisconsin Avenue, Room 2C212
Bethesda, MD 20892-9205
Telephone: (301) 496-9666
FAX: (301) 402-0066

3. Financial/Grants Management Contact(s):

National Institutes on Aging:
Lesa McQueen
Grants Management Branch
7201 Wisconsin Avenue, Suite 2N212
Bethesda, MD  20892-9205
Phone: (301) 496-1472

National Institute of Mental Health:
Rita Sisco
6001 Executive Blvd.
Room 6120, MSC 9605
Bethesda, MD 20892-9605
Phone: (301) 443-2805

National Institute on Neurological Disorders and Stroke:
Mutema Nyankale
Grants Management Branch
6001 Executive Blvd., NSC/Rm. 3250
Bethesda, MD 20892-9537
Phone: (301) 496-6506

Section VIII. Other Information

Required Federal Citations

Use of Animals in Research:
Recipients of PHS support for activities involving live, vertebrate animals must comply with PHS Policy on Humane Care and Use of Laboratory Animals ( as mandated by the Health Research Extension Act of 1985 (, and the USDA Animal Welfare Regulations ( as applicable.

Human Subjects Protection:
Federal regulations (45 CFR 46) require that applications and proposals involving human subjects must be evaluated with reference to the risks to the subjects, the adequacy of protection against these risks, the potential benefits of the research to the subjects and others, and the importance of the knowledge gained or to be gained (

Data and Safety Monitoring Plan:
Data and safety monitoring is required for all types of clinical trials, including physiologic toxicity and dose-finding studies (Phase I); efficacy studies (Phase II); efficacy, effectiveness and comparative trials (Phase III). Monitoring should be commensurate with risk. The establishment of data and safety monitoring boards (DSMBs) is required for multi-site clinical trials involving interventions that entail potential risks to the participants (“NIH Policy for Data and Safety Monitoring,” NIH Guide for Grants and Contracts,

Sharing Research Data:
Investigators submitting an NIH application seeking $500,000 or more in direct costs in any single year are expected to include a plan for data sharing or state why this is not possible ( Investigators should seek guidance from their institutions, on issues related to institutional policies and local institutional review board (IRB) rules, as well as local, State and Federal laws and regulations, including the Privacy Rule.

Policy for Genome-Wide Association Studies (GWAS):
NIH is interested in advancing genome-wide association studies (GWAS) to identify common genetic factors that influence health and disease through a centralized GWAS data repository. For the purposes of this policy, a genome-wide association study is defined as any study of genetic variation across the entire human genome that is designed to identify genetic associations with observable traits (such as blood pressure or weight), or the presence or absence of a disease or condition. All applications, regardless of the amount requested, proposing a genome-wide association study are expected to provide a plan for submission of GWAS data to the NIH-designated GWAS data repository, or provide an appropriate explanation why submission to the repository is not possible. Data repository management (submission and access) is governed by the Policy for Sharing of Data Obtained in NIH Supported or Conducted Genome-Wide Association Studies, NIH Guide NOT-OD-07-088. For additional information, see

Sharing of Model Organisms:
NIH is committed to support efforts that encourage sharing of important research resources including the sharing of model organisms for biomedical research (see At the same time the NIH recognizes the rights of grantees and contractors to elect and retain title to subject inventions developed with Federal funding pursuant to the Bayh-Dole Act (see the NIH Grants Policy Statement. Beginning October 1, 2004, all investigators submitting an NIH application or contract proposal are expected to include in the application/proposal a description of a specific plan for sharing and distributing unique model organism research resources generated using NIH funding or state why such sharing is restricted or not possible. This will permit other researchers to benefit from the resources developed with public funding. The inclusion of a model organism sharing plan is not subject to a cost threshold in any year and is expected to be included in all applications where the development of model organisms is anticipated.

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 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 Applicants may wish to place data collected under this funding opportunity 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.

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 "NIH Guidelines for Inclusion of Women and Minorities as Subjects in Clinical Research” (; a complete copy of the updated Guidelines is available at 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 SF424 (R&R) application; 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.

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 applications for research involving human subjects and individuals designated as key personnel. The policy is available at

Human Embryonic Stem Cells (hESC):
Criteria for Federal funding of research on hESCs can be found at and at Only research using hESC lines that are registered in the NIH Human Embryonic Stem Cell Registry will be eligible for Federal funding ( It is the responsibility of the applicant to provide in the project description and elsewhere in the application as appropriate, the official NIH identifier(s) for the hESC line(s) to be used in the proposed research.

NIH Public Access Policy Requirement:
In accordance with the NIH Public Access Policy, investigators funded by the NIH must submit or have submitted for them to the National Library of Medicine’s PubMed Central (see, an electronic version of their final, peer-reviewed manuscripts upon acceptance for publication, to be made publicly available no later than 12 months after the official date of publication. The NIH Public Access Policy is available at ( For more information, see the Public Access webpage at

Standards for Privacy of Individually Identifiable Health Information:
The Department of Health and Human Services (HHS) issued final modification to the "Standards for Privacy of Individually Identifiable Health Information", the "Privacy Rule", on August 14, 2002. The Privacy Rule is a federal regulation under the Health Insurance Portability and Accountability Act (HIPAA) of 1996 that governs the protection of individually identifiable health information, and is administered and enforced by the HHS Office for Civil Rights (OCR).

Decisions about applicability and implementation of the Privacy Rule reside with the researcher and his/her institution. The OCR website ( provides information on the Privacy Rule, including a complete Regulation Text and a set of decision tools on "Am I a covered entity?" Information on the impact of the HIPAA Privacy Rule on NIH processes involving the review, funding, and progress monitoring of grants, cooperative agreements, and research contracts can be found at

URLs in NIH Grant Applications or Appendices:
All applications and proposals for NIH funding must be self-contained within specified page limitations. For publications listed in the appendix and/or Progress report, Internet addresses (URLs) or PubMed Central (PMC) submission identification numbers must be used for publicly accessible on-line journal articles. Publicly accessible on-line journal articles or PMC articles/manuscripts accepted for publication that are directly relevant to the project may be included only as URLs or PMC submission identification numbers accompanying the full reference in either the Bibliography & References Cited section, the Progress Report Publication List section, or the Biographical Sketch section of the NIH grant application. A URL or PMC submission identification number citation may be repeated in each of these sections as appropriate. There is no limit to the number of URLs or PMC submission identification numbers that can be cited.

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 FOA is related to one or more of the priority areas. Potential applicants may obtain a copy of "Healthy People 2010" at

Authority and Regulations:
This program is described in the Catalog of Federal Domestic Assistance at and is not subject to the intergovernmental review requirements of Executive Order 12372. Awards are made under the authorization of Sections 301 and 405 of the Public Health Service Act as amended (42 USC 241 and 284) and under Federal Regulations 42 CFR Part 52 and 45 CFR Parts 74 and 92. All awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement.

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.

Loan Repayment Programs:
NIH encourages applications for educational loan repayment from qualified health professionals who have made a commitment to pursue a research career involving clinical, pediatric, contraception, infertility, and health disparities related areas. The LRP is an important component of NIH's efforts to recruit and retain the next generation of researchers by providing the means for developing a research career unfettered by the burden of student loan debt. Note that an NIH grant is not required for eligibility and concurrent career award and LRP applications are encouraged. The periods of career award and LRP award may overlap providing the LRP recipient with the required commitment of time and effort, as LRP awardees must commit at least 50% of their time (at least 20 hours per week based on a 40 hour week) for two years to the research. For further information, please see:

Weekly TOC for this Announcement
NIH Funding Opportunities and Notices

Office of Extramural Research (OER) - Home Page Office of Extramural
Research (OER)
  National Institutes of Health (NIH) - Home Page National Institutes of Health (NIH)
9000 Rockville Pike
Bethesda, Maryland 20892
  Department of Health and Human Services (HHS) - Home Page Department of Health
and Human Services (HHS) - Government Made Easy

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