Department of Health and Human Services
Participating Organizations
National Institutes of Health http://www.nih.gov
Components of Participating Organizations
This RFA is developed as a Roadmap initiative. All NIH Institutes and Centers participate in Roadmap initiatives. This RFA will be administered by the National Center for Research Resources on behalf of the NIH. http://www.ncrr.nih.gov
Title: Interdisciplinary Research Consortium (U54)
Announcement Type
New
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 Objectives
Section II. Award Information
1. Mechanism(s) 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. Address to Request Application Information
2. Content and Form of Application Submission
3. Submission Dates and Times
A. Receipt and Review and Anticipated Start Dates
B. Sending an Application 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
A. Additional Review Criteria
B. Additional Review Considerations
C. Sharing Research Data
D. Sharing Research Resources
3. Anticipated Announcement and Award Dates
Section VI. Award Administration Information
1. Award Notices
2. Administrative and National Policy Requirements
A. Cooperative Agreement Terms and Conditions of Award
1. Principal Investigator Rights and Responsibilities
2. NIH Responsibilities
3. Collaborative Responsibilities
4. Arbitration Process
3. Reporting
Section VII. Agency Contact(s)
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 Objectives
In addition to the biological sciences, biomedical research often involves participation by other scientific disciplines, including the behavioral, quantitative, social, computational/information, engineering, and physical sciences. Distinct disciplinary perspectives represent significant sources of strength to the overall research enterprise because each discipline has its own intellectual history, experimental and analytic approaches, and theoretical context that produce a unique way of thinking about a problem. Nevertheless, as scientific capabilities move forward, increasingly sophisticated questions arise, and these often require the convergence of perspectives from multiple disciplines. Over the years, the Institutes and Centers (ICs) of the National Institutes of Health (NIH) have developed many initiatives, mechanisms and programs to support either disciplinary or multidisciplinary research (where multidisciplinary research is defined as bringing together different disciplines to focus on a circumscribed problem, but keeping the disciplines distinct).
It is becoming apparent that, in some cases, multidisciplinary research is not sufficient to address, in a comprehensive and effective way, challenging and complex problems in biomedical and behavioral research. Rather, interdisciplinary research may be required to tackle these more complex problems. Like multidisciplinary research, interdisciplinary research brings together different disciplines to address a particular issue. But unlike multidisciplinary research, interdisciplinary research takes bits and pieces from the contributing disciplines and integrates them in ways that produce a new conceptual framework. Integrating different disciplines in this way holds the promise of opening up currently unimagined scientific avenues of inquiry, and in the process, may form whole new disciplines. Historical examples include the development of genomics, which was formed from genetics, molecular biology, analytical chemistry, and informatics. Another example in which multiple disciplines have, in a less directed way, blended and evolved into a new discipline is neuroscience. Thirty years ago, students of the brain might have identified themselves as anatomists, physiologists, or psychologists, but today most would consider themselves neuroscientists. Importantly, interdisciplinary research does not merely result in new technical approaches, but new intellectual approaches; that is, new ways to conceptualize and think about a research problem.
This RFA invites applicants selected under PAR-06-122 to submit an interdisciplinary consortium application. The purpose of this program is to support interdisciplinary approaches to solving significant and complex biomedical problems, particularly those that have been resistant to traditional approaches. These applications must hold the promise of leading to new research approaches to improving human health. Interdisciplinary consortia are expected to identify an important biomedically relevant problem, evaluate why previous approaches have not worked, justify why the proposed interdisciplinary approach will work, identify the methods that will keep the interdisciplinary team focused and coordinated, and propose a timeline. The review criteria will involve both the significance of the problem as well as the interdisciplinary nature of the approach to solving the problem. Applications will have to be strong in both of these areas. A successful interdisciplinary approach is defined as combining aspects of individual disciplines to provide a new conceptual approach to solving a problem that is likely to yield insights that could not have been achieved by an isolated laboratory or using a multi-disciplinary approach.
Each interdisciplinary research consortium will be submitted as a single unified grant application. However, applicants will separate this application into component parts described below. At the time of an award decision, the application will be disaggregated into its components. Each of these components will receive separate yet administratively linked awards. Each of these components will have a principal investigator. Any changes between the components proposed in the X02 application and those in the full consortium application must be discussed with and approved by program staff.
Because of the diverse needs required for interdisciplinary research, a consortium application will allow: research grants (R01, R21 mechanisms), research training/mentored career development/research education awards (T90/R90, K01, and R25), and core support for other components (P30). In addition, each consortium will be required to have a central cooperative agreement that will use the U54 mechanism with elements that are described below. Applicants are free to choose the best set of mechanisms to fit the needs of the consortium, but they should be parsimonious in the number of mechanisms they choose. Applicants should not feel compelled to use all of the available mechanisms. An application may include multiple components that use the same mechanism. However, in such submissions, each component using the same mechanism must describe in detail the distinctions that require separate funding.
The sum of all of the direct costs for the entire consortium may not exceed $3M in any year, and is restricted to $2.8M in year 1. Facilities and Administrative costs (also known as F&A or as indirect costs) for subcontracts in individual applications are not to be counted in this total. The linkage between the parts of the consortium will be acknowledged in the notice of grant award, and special terms will be included in these awards to provide a means to reallocate resources between awards in future years.
All of the linked applications that are part of the consortium will be evaluated by the same special emphasis panel. That panel will score each component of the application as well as the entire application.
2. Central Cooperative Agreement
The central component of each Consortium will use the NIH U54 cooperative agreement award mechanism, which is intended to support scientific cohesion and operational coordination of the consortium. The Principal Investigator of the central component will serve as the scientific spokesperson for the consortium, and is the principal contact between the consortium and NIH. In the cooperative agreement mechanism, the Principal Investigator retains the primary responsibility and dominant role for planning, directing, and executing the proposed project, with NIH staff being substantially involved as a partner with the Principal Investigator, as described under the "Cooperative Agreement Terms and Conditions of Award”.
3. Non-Research Components of an Interdisciplinary Research Consortium Award
It is important to emphasize two points regarding the use of multiple and separate, linked, components in consortia. First, the various components comprising each consortium must be highly integrated with each other so that synergy is produced by the collection of components that would not be possible through the award of separate, non-linked, grants. Second, while these consortia allow for activities beyond research, the focus and predominant activity of each consortium must be research; other activities are meant to complement the research efforts and should not overshadow them.
Applicants for these components must identify any potential budgetary or programmatic overlap and/or synergism with existing NIH supported training and education programs so that reviewers and program staff will have a clear understanding of how the programs relate to one another.
Research Career Development Component (K01):
K01 Mentored Research Scientist Development Award – This award is based on the NIH K01 program (see PA-06-001), located at: http://grants.nih.gov/grants/guide/pa-files/PA-06-001.html) and, for this Interdisciplinary Research Consortium (IRC) program, is specifically interested in eligible individuals who wish to pursue career development activities involving interdisciplinary approaches to solving significant and complex biomedical problems. Individuals must have a research or a health-professional doctorate or its equivalent at the time of application. Candidates must devote a minimum of 75% of full-time professional effort conducting research and research career development activities associated with interdisciplinary research during the award period of three to five years.
See Section III Eligibility for additional information, Section IV for information to be submitted in the application, Section V for review criteria, and Section VI. 3. Reporting.
Research Training Component (T90/R90)
T90/R90 National Research Service Award (NRSA) Training Grant – This award is based on the NIH NRSA Institutional Research Training Award Program (RFA-RM-06-006) located at: http://grants.nih.gov/grants/guide/rfa-files/RFA-RM-06-006.html, and, for this IRC program, is specifically interested in applications to support both predoctoral and postdoctoral research training programs for trainees who wish to pursue interdisciplinary research approaches to resolving significant and complex biomedical problems. Such programs are for full-time research training, normally defined as 40 hours per week, or as specified by the sponsoring institution in accordance with its own policies, and must be unique and distinctly related to interdisciplinary research, in conjunction with the overall goals of the IRC U54 program. This IRC will support programs that include non-NRSA eligible trainees, however, programs that include only non-NRSA eligible individuals will not be allowed. This component may not be from for-profit institutions/organizations, and, if awarded, may not be transferred to another institution/organization. The application must include a Diversity Recruitment and Retention Plan, a plan for Training in the Responsible Conduct of Research, and an Evaluation Plan.
See Section III Eligibility for additional information, Section IV for information to be submitted in the application, Section V for review criteria, and Section VI.3. Reporting.
Research Education Component (R25)
R25 Research Education Program – This award provide support for short courses, seminars, workshops, etc. to allow opportunities for those involved in the consortium to become informed of and present recent findings and new developments for consideration and dissemination to a larger community, as well as the development of web-based or distance learning approaches for information dissemination. This component can also be used to support innovative educational training programs to support the needs of the consortium members or potential members. The application should focus on how the proposed research education component benefits the interdisciplinary approach proposed by the consortium. The R25 component, if awarded, may not be transferred to another institution/organization. The application for the R25 component must include an Evaluation Plan.
4. Technical Assistance Workshop
A technical assistance workshop will be held in conjunction with a meeting on Interdisciplinary Research (http://www.niddk.nih.gov/fund/other/roadmap2006/index.htm) that will occur on February 9 and 10 in the Lister Hill Auditorium on the NIH Campus. The technical assistance workshop will begin at 1 pm EST on Friday, February 10, 2006. Potential applicants will be able to participate in the technical assistance workshop either in person on by viewing the workshop online at http://videocast.nih.gov/. In either case, potential applicants will be able to ask questions of program staff involved in managing this program.
5. Additional Information
A web page with information about the interdisciplinary consortium program will be available at http://www.ncrr.nih.gov soon after this RFA is released. This Web site will include a frequently asked questions section as well as other material that an applicant might find useful. Applicants are urged to check this Web site frequently as they develop both their pre-applications and their full applications.
Because several different components are included in this RFA, additional information unique to each component is provided throughout the announcement. Specific information is located in Sections III, IV, V, and VI.
See Section VIII, Other Information - Required Federal Citations, for policies related to this announcement.
Section II. Award Information
1. Mechanism(s) of Support
This funding opportunity will use the U54, R01, R21, competitive supplements, T90/R90, K01, R25, and P30 award mechanisms.
As an applicant, you will be solely responsible for planning, directing, and executing the proposed project.
This funding opportunity uses just-in-time concepts. It also uses the modular as well as the non-modular budget formats (see http://grants.nih.gov/grants/funding/modular/modular.htm). Specifically, if you are submitting a component (other than a T, K, or R25) with direct costs in each year of $250,000 or less, use the modular budget format described in the PHS 398 application instructions. Otherwise follow the instructions for non-modular research grant applications.
Note that the K01, T90/R90, and R25 components are required to use the non-modular concepts submitting budgets, without regard to the amount of total direct costs being requested.
The NIH U54 is a cooperative agreement award mechanism. In the cooperative agreement mechanism, the Principal Investigator retains the primary responsibility and dominant role for planning, directing, and executing the proposed project, with NIH staff being substantially involved as a partner with the Principal Investigator, as described under the Section VI. 2. Administrative Requirements, "Cooperative Agreement Terms and Conditions of Award".
2. Funds Available
The NIH Roadmap expects to award $40 million to Consortia in the first year of this program to fund eight consortia. Each Consortium application can request direct costs of up to $2.8M in the first year and up to $3.0M in years 2-5. Each Consortium will be awarded for five years although the components that make up Consortium need not all be five years in length with the exception of the U54 component. Depending on the availability of funds and the priorities of the NIH Roadmap funds may be available to extend the program in FY2012.
Facilities and administrative costs requested by consortium participants are not included in the direct cost limitation, see NOT-OD-05-004.
Section III. Eligibility Information
1. Eligible Applicants
1.A. Eligible Institutions
The Interdisciplinary Research Implementation Group (http://nihroadmap.nih.gov/interdisciplinary/) will invite applications for Interdisciplinary Research Consortia from among those that submit a pre-application in response to PAR-06-122. Only those selected through a peer review of their pre-application are eligible to apply for a full Interdisciplinary Research Consortium.
You may submit an application if your organization has any of the following characteristics:
While foreign institutions are not permitted to submit a U54 application, they are allowed to submit R01, R21, P30, or competitive supplement components of a proposed consortium.
The applicant institution/organization must be the primary site for the program, and the application must include a Resources Format (PHS 398) page for each participating institution/organization.
1.B. Eligible Individuals
Any individual with the skills, knowledge, and resources necessary to carry out the proposed research is invited to work with their institution to develop an application for support. Individuals from underrepresented racial and ethnic groups as well as individuals with disabilities are always encouraged to apply for NIH programs.
1.B.1 Eligibility for the K01 Component
A candidate for the K01 component must have a research or a health-professional doctorate or its equivalent at the time of application, and must have demonstrated the capacity or potential for highly productive research. The candidate must identify a mentor with extensive research experience in a new discipline. A candidate must be willing to spend a minimum of 75 percent of full-time professional effort conducting research and research career development during the entire award period. The candidate must clearly describe the need for intensive research supervision that will lead to mastery in a new discipline. Candidates for the K01 may have been principal investigators on NIH research or career development awards, provided the research experience proposed in this application is in a fundamentally new field of study.
Applications may be submitted, on behalf of candidates, by domestic, non-Federal organizations, public or private, such as medical, dental, or nursing schools or other institutions of higher education. Individuals from underrepresented racial and ethnic groups, women, and individuals with disabilities are encouraged to apply. Candidates must be U.S. citizens or non-citizen nationals, or must have been lawfully admitted for permanent residence by the time of award. Individuals admitted for permanent residence must be able to produce documentation of their immigration status such as an Alien Registration Receipt Card (I-551) or 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 for this award.
Candidates for this component must identify a mentor(s) with extensive and appropriate research experience for the proposed research career development plan. The mentor should be recognized as an accomplished investigator and have a track record of success in training independent investigators. The mentor should have sufficient independent research support to cover the costs of the proposed research project in excess of the allowable costs of this award.
The applicant institution must have a well-established record of research career development activities and qualified research faculty to serve as mentors. The institution must demonstrate a commitment to the development of the candidate as a productive, independent investigator and be willing to allow the protected time needed by the candidate. The candidate, mentor, and sponsoring institution must describe a career development program that maximized the use of relevant research and educational resources.
l.B.2. T90/R90 Eligibility for the T90/R90 research training component
Only domestic, non-profit, public or private institutions/organizations are eligible to submit applications for this component. The Program Director will be responsible for planning, directing and executing the proposed research training program, as well as for the selection of trainees and the submission of all required forms. The Program Director must be a funded investigator and evidence of ongoing research funding during the requested award period must be provided.
The proposed component must be distinct from those research training programs currently receiving federal support. Individuals supported by other federal programs may not receive concurrent support from this program.
Program Director: The program director will be responsible for the planning, directing, and executing the proposed research training program. This individual should be an established researcher with acknowledged accomplishments in interdisciplinary research and in training, and should be capable of providing both administrative and scientific leadership to the development and implementation of the proposed program. The program director will be responsible for the selection of trainees and the submission of all required forms.
For the T90 (NRSA) - At the time of appointment, individuals selected to participate in the training program must be citizens or non-citizen nationals of the United States, or have been lawfully admitted to the United States for permanent residence and have in their possession an Alien Registration Receipt Card (I-151 or I-551) or other legal verification of admission for permanent residence. Individuals on temporary or student visas are not eligible for NRSA support. In addition, trainees must be able to commit full-time effort to the program at the time of appointment.
For the R90 (non-NRSA) – Individuals select as non-NRSA trainees in the T90/R90 component should satisfy all of the conditions for NRSA trainees, except for those pertaining to citizenship.
Predoctoral trainees must have received a baccalaureate degree by the beginning date of their research training appointment, and must be training at a post-baccalaureate level and enroll in a program leading to a Ph.D. in a research doctoral degree program, or a combined clinical degree program, such as M.D./Ph.D. NRSA traineeships are not provided for study leading to a M.D., D.O., D.D.S, or other similar professional clinical degree, or master’s degree. Individuals currently supported by other Federal funds are not eligible for concurrent trainee support from this program. An individual trainee may receive no more than five years of NRSA support in the aggregate at the predoctoral level, including any combination of support from institutional training grants and individual fellowship awards.
Postdoctoral research training is for individuals who have received, at the time of appointment to the program, a Ph.D., D.N.Sc., D.V.M., M.D., D.M.D., D.C., D.O., O.D., D.P.M., Sc.D., Eng.D., Dr.P.H., D.N.Sc, D.Pharm., N.D., D.S.W., Psy.D., D.D.Ss, allied health doctoral degrees such as the D.P.T., or a comparable doctoral degree with a significant research component from an accredited domestic or foreign institution. Individuals currently supported by other Federal funds are not eligible for concurrent trainee support from this program. An individual may receive no more then three years of NRSA support in the aggregate at the postdoctoral level, including any combination of support from institutional training grants and individual fellowship swards.
Additional information may be obtaining in the NRSA Guidelines at: http://grants.nih.gov/grants/policy/nihgps_2003/NIHGPS_Part10.htm#_Toc54600187.
1.B.3. Eligibility for the R25 Research Education Component
The Program Director of the research education program should be actively engaged in research and/or teaching in the area of interdisciplinary research, and can organize and administer the research education program. The senior investigator must have greater than 5 years postdoctoral experience.
2. Cost Sharing or Matching
Cost sharing is not required.
The most current Grants Policy Statement can be found at: http://grants.nih.gov/grants/policy/nihgps_2003/nihgps_Part2.htm#matching_or_cost_sharing
3. Other-Special Eligibility Criteria
Not applicable
Section IV. Application and Submission Information
1. Address to Request Application Information
The PHS 398 application instructions are available at http://grants.nih.gov/grants/funding/phs398/phs398.html in an interactive format. Applicants must use the currently approved version of the PHS 398. For further assistance contact GrantsInfo, Telephone (301) 435-0714, Email: GrantsInfo@nih.gov.
Telecommunications for the hearing impaired: TTY 301-451-0088.
2. Content and Form of Application Submission
Applications must be prepared using the most current PHS 398 research grant application instructions and forms. Applications must have a D&B Data Universal Numbering System (DUNS) number as the universal identifier when applying for Federal grants or cooperative agreements. The D&B number can be obtained by calling (866) 705-5711 or through the Web site at http://www.dnb.com/us/. The D&B number should be entered on line 11 of the Face Page of the PHS 398 form.
The title and number of this funding opportunity must be typed on line 2 of the Face Page of the application form, and the YES box must be checked.
The central U54 component of the application should be the first component presented. Following that the applicant should present the other components of the application. Each component should begin with a separate cover page (see specific instructions below) followed by the description, performance sites and personal page, then a table of contents, then a detailed budget for the initial budget period, then a budget for the entire proposed period of support, then a budget justification, then biographical sketches, then a resources page, and then the research plan. Specific instructions for the appropriate sections of all of the components can be found in the Other Submission Requirements section. Individual components, with the exception of the U54, should not have a checklist. Individual components should not have an appendix. Only one appendix is allowed for the entire application.
Instructions for Individual Components
Use the PHS 398 continuation page (MS Word PDF) to create a cover page to introduce each project; do not include a PHS 398 Face Page for each project.
Give each research project a unique title. State the name and title of the project leader and participating investigators. For easy cross-referencing, type the research project's number and title on the upper left-hand margin of all relevant pages.
The cover page should contain the following items only:
Note that PHS 398 Section III application instructions must be followed for a K01 component, and PHS 398 Section IV application instructions must be followed for a T90/R90 component.
Note also that K01 applicants must include three sealed letters of reference with the application, in accordance with the “K” instructions.
Foreign Organizations
Several special provisions apply to components submitted by foreign organizations. Foreign organizations may not submit the T90/R90, K01, or R25 components.
Proposed research should provide a unique research opportunity not available in the U.S.
3. Submission Dates and Times
Applications must be received on or before the receipt date described below (Section IV.3.A). Submission times N/A.
3.A. Receipt, Review and Anticipated Start Dates
Letter of Intent Receipt Date: Not applicable
Application Receipt Date(s): December 19, 2006
Peer Review Date: May-June, 2007
Council Review Date: September, 2007
Earliest Anticipated Start Date: September 30, 2007
3.B. Sending an Application to the NIH
Applications must be prepared using the research grant applications found in the PHS 398 instructions for preparing a research grant application. Submit a signed, typewritten original of the application, including the checklist, and three signed photocopies in one package to:
Center for Scientific Review
National Institutes of Health
6701 Rockledge Drive, Room 1040, MSC 7710
Bethesda, MD 20892-7710 (U.S. Postal Service Express or regular mail)
Bethesda, MD 20817 (for express/courier service; non-USPS service)
Personal deliveries of applications are no longer permitted (see http://grants.nih.gov/grants/guide/notice-files/NOT-OD-03-040.html).
At the time of submission, two additional copies of the application and all copies of the appendix material must be sent to:
Interdisciplinary Consortia
Office of Review
National Center for Research Resources
6701 Democracy Boulevard, MSC 4874
Bethesda, MD 20892-4874 (U.S. Postal Service Express or regular mail)
Bethesda, MD 20817 (for express/courier service; non-USPS service)
Telephone: (301) 435-0811
Using the RFA Label: The RFA label available in the PHS 398 application instructions 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/labels.pdf.
3.C. Application Processing
Applications must be received on or before the application receipt date described above (Section IV.3.A.). If an application is received after that date, it will be returned to the applicant without review. Upon receipt, applications will be evaluated for completeness by the CSR and responsiveness by the NCRR. Incomplete and non-responsive applications will not be reviewed.
The NIH will not accept any application in response to this funding opportunity that is essentially the same as one currently pending initial review, unless the applicant withdraws the pending application. However, when a previously unfunded application, originally submitted as an investigator-initiated application, is to be submitted in response to a funding opportunity, it is to be prepared as a NEW application. That is, the application for the 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.
Although there is no immediate acknowledgement of the receipt of an application, applicants are generally notified of the review and funding assignment within eight (8) weeks.
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 NIH Grants Policy Statement. The Grants Policy Statement can be found at http://grants.nih.gov/grants/policy/policy.htm.
Pre-Award Costs are allowable, except for the T90/R90 component. 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 of a new or competing continuation award if such costs: are necessary to conduct the project, and 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 of a new or competing continuation award.
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 http://grants.nih.gov/grants/policy/nihgps_2003/NIHGPS_Part6.htm.
T90/R90 research training component:
6. Other Submission Requirements
The interdisciplinary consortium application will be submitted as a single application that is broken up into components. Each component will start with a cover page. The entire application must be prepared using the PHS 398 forms. None of the components of the application may be submitted electronically through Grants.gov. Follow the instructions in the PHS 398 form for the appendix. Only one appendix is allowed for the entire application. Each component must not have a separate appendix.
1. U54 Component
The U54 component allows the applicant to present a summary of the overall goal of the consortium and the workings of the interdisciplinary team. The U54 component is a required in all consortium applications and must be the first of the components of the consortium to be presented in the application. The U54 does not have the same format as the typical application described in the PHS 398, and the headings described in those instructions should not be followed. Instead, the applicant must have the Overview and Team sections described below. The applicant can also have an Other Projects section following these two sections.
1.1. U54 Face Page
On the Face Page of the application, the Title (line 1) must end with “(1 of %) where % indicates the number of components that make up the consortium. All of the titles of the parts of the consortium must have a similar phrase at the end of their titles. The PI of the U54 should assign these numbers.
On line 2, the yes box must be checked. The title of this program should be listed as Interdisciplinary Research Consortia and the number of this RFA (from above) should be included.
In line 7, report the direct and total costs for all of the components of the consortium in the first year. The direct cost number should match the number in the “Composite Budget” described below.
In line 8, report the direct and total costs for all of the components of the consortium over the full five year period. The direct cost number should match the number in the “Composite Budget” described below.
If the Other Projects section proposes experiments that involve human subjects or vertebrate animals, lines 4 or 5 should be completed. If human subjects or vertebrate animals may be part of pilot projects in future years that are not described in this application, lines 4 and 5 should be checked yes, following instructions in the PHS 398. If human subjects or animal studies are parts of the component projects but are not part of any of the work proposed in the U54 component, lines 4 and 5 should be checked no.
1.2. U54 Table of Contents
On Form Page 3, the Research Plan should include the divisions specified below rather than the normal A-D sections discussed in the PHS 398 instructions.
1.3. U54 Budget
On the budget pages, the PI for the consortium must devote at least 35% effort to the U54. An appropriate salary should be requested. The salary for the project manager and any administrative personnel for effort distinctly associated with the U54 also may be requested. Salaries requested for this U54 must be consistent both with the established salary structure at the sponsoring institution/organization and salaries provided from its own funds to other staff members of equivalent qualifications, rank, and responsibilities in the department concerned. The direct costs for the Other Projects cannot exceed $150,000 in the first year and cannot exceed $300,000 in years 2-5. The budget for the Other Projects should use a separate Form Page 4 and Form Page 5. The modular budget format must not be used.
In addition to the budget for the U54, the applicant should prepare a composite budget for all of the components that are part of the consortium. This budget should be labeled “Composite Budget” and should be placed after Form Page 5. The format for this budget is different from the usual budget format for either Form Pages 4 or 5. In the composite budget, the applicant should list the direct costs (not including F&A costs for subcontracts) for each component for each year of support. The applicant should also list the total costs (which would include the F&A costs for both subcontracts and for the parent institution) for each year of support. This page should be useful to the applicant to ensure that the direct costs for the consortium as a whole do not exceed the overall annual limits.
1.4. U54 Biographical Sketches and Resource Section
The instructions in the PHS 398 should be followed for the biographical sketches and the resources section. The biographical sketch for the PI of the U54 component should be first. The biographical sketches for all of the other members of the consortium should follow this in alphabetical order.
The resources section of the U54 application should only include information about the U54 component and should not include information about all of the other components.
1.5. U54 Research Plan
The research plan should follow the resources section and should have the format described below. The overview section is limited to 20 pages, the team section is limited to 20 pages, and other projects section, if present, is limited to 15 pages.
1.5.1 U54 Overview Section
The U54 component must begin with an Overview section. The Overview section is limited to 20 pages. This section should be subdivided into:
A) an Introduction describing the problem that the consortium is going to address,
B) a Background section describing the previous disciplinary and multidisciplinary approaches to the problem, and explaining why these approaches have not solved the problem,
C) an Interdisciplinarity section describing the proposed interdisciplinary approach. This section must contain a table with a listing of disciplines involved and the members of the research team that represent each discipline.
1.5.2 U54 Team Section
Following the Overview, the U54 must have a section entitled Team that will describe the membership and workings of the proposed interdisciplinary research team. The Team section is limited to 20 pages. The Team section should be broken down into two parts: Membership and Management.
A) The Membership part of this Team section must describe the role to be played by each of the key personnel involved in the consortium application (which includes all of the components of the consortium). At a minimum, all of the principal investigators of all of the components of the consortium must be included in this section. Applicants are reminded that key personnel are defined as individuals who contribute to the scientific development or execution of the project in a substantive, measurable way. The inclusion of a professional project manager is expected in these consortia, and should be supported in the U54 component; the project manager is considered one of the key personnel. Biographical sketches must be included for all key personnel. This portion of the application should be used to justify the choice of particular representatives of disciplines as members of the team.
B) The Management part of the Team section must discuss the management of the consortium. In this section, a very brief summary of each of the components should be made. The relationship and interactions among these components, as well as the synergies and the value added by these interactions should be summarized. Applicants will have the ability to describe the interactions between components of the application in more detail in a later section entitled “Interactions” in each of the components. In addition to describing the research interactions among the various components, this section should address the management of the team. How often will team members get together? What steps will be taken to continue to build a common language among the existing members of the team and any new team members? How will disagreements be managed? Since independent awards will be made, how will the team ensure that all members will continue to work together toward the objectives of the consortium? The Cooperative Agreement Terms and Conditions of Award require that an Interdisciplinary Research Consortium (IRC) Steering Committee be established. The composition of this IRC Steering Committee must be described in this section. The IRC Steering Committee will monitor progress of the Consortium, will encourage improvements, and will coordinate the interdisciplinary research of the Consortium. In addition, the applicant should describe whether there will also be an External Advisory Board and how will that board interact with the team. If an External Advisory Board is going to be proposed, applicants must not include the names of people who would serve on that board in the application although they may indicate the sorts of expertise that they will recruit for the advisory board. Applicants should not contact potential board members until after awards have been made.
The management section should also describe the process for identifying and reviewing the projects that will be supported under the “Other Projects” section. The quality of the “Other Projects” included for first year funding will be evaluated during NIH peer review as an indication of the quality of the U54 process for choosing these “Other Projects.”
1.5.3 U54 Other Projects
Finally, the U54 component may have an Other Projects section. The Other Projects section is limited to 15 pages. This part of the application will describe other activities that are necessary for successful operation of the interdisciplinary team that do not have a logical home elsewhere in the set of consortium applications. Examples could include pilot projects; travel for members of the external advisory committee; travel and support for seminar speakers; evaluation efforts; support required to obtain access to information in national, state, or local government offices; or efforts to continue to develop a common language among both existing and new team members from different disciplines. This list is not exhaustive, but applicants should contact program staff if they are considering projects not on this list. The applicant should explain why these other projects are necessary for a successful interdisciplinary consortium. If more than one type of project is proposed, the budget allocations among these various projects could change from year to year. For that reason, a timeline may be useful in the Other Projects section. The budget for the Other Projects is restricted to $150,000 direct costs in year 1 and $300,000 in years 2-5. Applicants should take care not to request funds for similar items in the Other Projects section and in any of the other components of the consortium.
In summary, the body of the U54 application must have the following parts:
Overview Section (required section limited to 20 pages)
A) Introduction
B) Background
C) Interdisciplinarity
Table of disciplines
Team Section (required section limited to 20 pages)
A) Team Members
B) Team Management
Composition of the IRC Steering Committee
Other Projects (optional section limited to 15 pages)
Timeline (if appropriate)
If appropriate, sections E trough J (human subjects, vertebrate animals, literature cited, consortium arrangements, resource sharing, and letters) should follow the body of the U54 application. The PHS 398 instructions must be followed for each of these sections.
The Checklist should be the final page of this part of the application.
1.6 Other Components
The next component of the consortium should follow the checklist for the U54. With the exception of the P30 component, there is no limit to the number or type of components that are chosen. An applicant can choose to use several different components that have the same mechanism. However, when several different components with the same mechanism are included in the application, the application must describe in detail the distinctions identifying unique characteristics that differ to the degree that separate funding is being requested. Any real or apparent overlap with existing sources of support or with the components for which funds are being requested for research training or research education must be thoroughly explained. The only limit is imposed by the overall budget limits for the consortium.
2. R01 Component
It is anticipated that the R01 component will be used in a variety of ways depending on the needs of the consortium. Traditional, hypothesis based science that has commonly been supported using this mechanism will be welcome. However, discovery based or non-hypothesis based science is also welcome. Such applications might involve tool and technique development, could focus on public policy issues, or could focus on social, legal, and ethical issues. In cases where the R01 is being used to support “non-traditional” approaches, reviewers must not penalize the application for the lack of a hypothesis.
The R01 component can also be used to build bridges to existing awards from non-NIH agencies as part of the interdisciplinary research consortium. Examples of non-NIH parent awards could be those from another federal agency such as NSF or DOE, or those from private foundations like the Howard Hughes Medical Institute. The direct costs for the parent award must be at least $250,000 per year. If the ending date of the non-NIH parent award does not correspond to the end date of the interdisciplinary consortium, the applicant should follow one of three options:
1) The R01 could terminate when the parent award terminates.
2) The R01 could have a significant reduction in effort that would allow for a phase out of the proposed project.
3) If the parent award has provided all of the items needed to continue the proposed activities, the award could continue with no reduction in effort. An example of this situation would be the case where the parent award was used to build instrumentation that could be used by this R01. The applicant would be expected to provide strong justification for this option.
2.1 R01 Cover Page
See instructions for individual components: #IndividComponentsInstructions.
2.2 R01 Budget
Applicants do not need special permission to have a budget larger than $500,000 direct costs. If the direct costs for the budget are $250,000 or less, the modular budget format should be used.
2.3. R01 Biographical Sketches and Resource Section
The biographical sketches for key personnel involved in the R01 should be included in the U54 component of the application and should be duplicated in this component. The resources section should be completed for this component.
2.4 R01 Interactions Section
Following the Research Designs and Methods section (part D of the Research Plan), the applicant must prepare a section with the title “Interactions.” In this section, the applicant should discuss how this application relates to the others that are part of the consortium. Applicants should discuss how the results of the various specific aims will be used by other applications that are part of the consortium. They should also discuss what other components of the consortium will provide to this application. This section provides a way for the applicant to explain how the consortium is going to work and how this component fits into the rest of the consortium. The Interactions section is limited to three pages, and does not count toward the 25 page limit of the Research Plan.
3. R21 Component
The goal of the R21 component is to encourage exploratory and developmental research projects by providing support for the early and conceptual stages of these projects.
3.1 R21 Cover Page
See instructions for individual components: #IndividComponentsInstructions.
3.2 R21 Budget
Applicants can request a budget of up to $275,000 for two years. No more than $200,000 can be requested in any one year. The modular budget format should be used.
3.3. R21 Biographical Sketches and Resource Section
The biographical sketches for key personnel involved in the R21 should be included in the U54 component of the application and should be duplicated in this component. The resources section should be completed for this component.
3.4 R21 Research Plan
The Research Designs and Methods section is limited to 15 pages. No preliminary data is required, but it may be included if it is available.
3.5 R21 Interactions Section
Following the Research Designs and Methods section (part D of the Research Plan), the applicant must prepare a section with the title Interactions. In this section, the applicant should discuss how this application relates to the others that are part of the consortium. Applicants should discuss how the results of the various specific aims will be used by other applications that are part of the consortium. They should also discuss what other components of the consortium will provide to this application. This section provides a way for the applicant to explain how the consortium is going to work and how this component fits into the rest of the consortium. The Interactions section is limited to three pages, and does not count toward the 15 page limit of the Research Plan.
4. Competitive Supplements to Existing NIH Awards
A competitive supplement allows the interdisciplinary consortium to form links to existing research programs and research training and to bring a new interdisciplinary approach to those programs. Competitive supplements to existing R01, R24, R37, T32, T90/R90, all P awards and all U awards will be accepted.
4.1 Competitive Supplement Cover Page
See instructions for individual components: #IndividComponentsInstructions.
The competitive supplement must have the same Principal Investigator as the currently funded award.
4.2 Competitive Supplement Budget
The budget period can only last as long as the funding period of the parent award. The budget format (modular or non-modular) used in the parent grant should also be used for this component.
4.3. Competitive Supplement Biographical Sketches and Resource Section
The biographical sketches for key personnel involved in the competitive supplement should be included in the U54 component of the application and should be duplicated in this component. The resources section should be completed for this component.
4.4. Competitive Supplement Research or Research Training Plan
The research plan can be no longer than 15 pages and must include the specific aims of the currently funded award and a description of how the competitive supplement will be used to bring an interdisciplinary approach to the funded award. The body of the application should contain sufficient information from the original grant application to allow evaluation of the proposed supplement in relation to the goals of the original application.
4.5 Competitive Supplement Interactions Section
Following the Research Designs and Methods section (part D of the Research Plan), the applicant must prepare a section with the title Interactions. In this section, the applicant should discuss how this application relates to the others that are part of the consortium. Applicants should discuss how the results of the various specific aims will be used by other applications that are part of the consortium. They should also discuss what other components of the consortium will provide to this application. This section provides a way for the applicant to explain how the consortium is going to work and how this component fits into the rest of the consortium. The Interactions section is limited to three pages, and does not count toward the 15 page limit of the Research Plan.
5. T90/R90 Components
The goal of the T90/R90 component is to develop and implement novel training programs focused on interdisciplinary science. This component will use the T90/R90 award mechanisms. This component of the consortium is based on RFA-RM-06-006 (http://grants.nih.gov/grants/guide/rfa-files/RFA-RM-06-006.html) with some small modifications. Awardees will be expected to participate in the annual meetings referred to in RFA-RM-06-006.
5.1 T90/R90 Cover Page
See instructions for individual components: #IndividComponentsInstructions.
5.2 T90/R90 Budget Guidelines
Applicants can request funds for up to five years rather than the four-year limit specified in RFA-RM-06-006. There is no limit on the direct costs for the T90/R90 component of the consortium although these direct costs do count toward the overall direct costs for the consortium. There is no limit on the number of non-NRSA eligible individuals that can be supported in any year, but programs to train only non-NRSA eligible individuals are not allowed. Detailed information must be provided that document the distinction from current research training programs currently receiving federal support at the sponsoring institution/organization. Individuals currently being supported by other federal funds may not receive concurrent trainee support from this U54 program.
Funds may be requested in accordance with FY 2006 NRSA budgetary allowances. See the NIH Notice dated August 2, 2005 (http://grants.nih.gov/grants/guide/notice-files/NOT-OD-05-059.html which states the tuition policy, and the NIH Notice dated January 9, 2006 (http://grants.nih.gov/grants/guide/notice-files/NOT-OD-06-026.html for stipend and training related expense amounts that may be requested.
A facilities and administrative allowance based on 8% of total modified direct costs (excludes tuition, fees, health insurance, and equipment) may be requested.
5.3 T90/R90 External Advisory Committee
This component should not have a separate external advisory committee.
5.4. T90/R90 Biographical Sketches and Resource Section
The biographical sketches for key personnel involved in the T90/R90 should be included in the U54 component of the application and should be duplicated in this component. The resources section should be completed for this component.
5.5 T90/R90 Research Training Program Plan
5.5.1 All Program Components (T90 and R90)
Scientific Environment: The scientific environment is expected to be strongly collaborative and with many opportunities to engage in interdisciplinary research, such as journal clubs, seminar series and other activities. There should also be adequate infrastructure which may be evidenced by co-authored publications, collaborative research projects, joint service on dissertation committees, team teaching of courses, etc.
Institutional Environment and Commitment to the Program: It is expected that a rich institutional environment will be present, and evidence of interdepartmental interaction/collaboration, adequate coursework, research support, equipment, facilities, etc. should be provided. The program should take advantage of all opportunities present in the overall institutional environment, and should be an integral component of the institution’s overall research program/mission. The institutional environment should make itself available and accessible to the faculty, staff, and students participating in the program. Institutional commitment may be indicated by providing funds, space, materials, and protected time to the Program Director, etc. Documentation of commitment may include letters from the institution, such as Department Chairs, Deans, or other appropriate institutional administrators.
Evaluation and Tracking Plan: The program evaluation and tracking plan should include measures to evaluate the effectiveness of each training and education component, and should build on strengths and correct weaker areas. Should specific weaker areas be identified, the program should be able to specifically address them. The evaluation and tracking report should be included annually as part of the Progress Report and as part of the Final Report.
Applicant Recruitment, Selection and Retention Plans: Applicants must describe how they will recruit appropriate trainees/participants from both inside and outside their sponsoring institution to the program. A selection plan outlining how they will select from the pool of potential trainees/participants must be presented.
Diversity Recruitment and Retention Plan
The NIH recognizes a unique and compelling need to promote diversity in the biomedical, behavioral, clinical and social sciences research workforce. The NIH expects efforts to diversify the workforce to lead to the recruitment of the most talented researchers from all groups; to improve the quality of the educational and training environment; to balance and broaden the perspective in setting research priorities; to improve the ability to recruit subjects from diverse backgrounds into clinical research protocols; and to improve the Nation's capacity to address and eliminate health disparities.
Accordingly, the NIH continues to encourage institutions to diversify their student and faculty populations and thus to increase the participation of individuals currently underrepresented in the biomedical, clinical, behavioral, and social sciences such as; individuals from underrepresented racial and ethnic groups; individuals with disabilities; and individuals from socially, culturally, economically, or educationally disadvantaged backgrounds that have inhibited their ability to pursue a career in health-related research. Institutions are encouraged to identify candidates who will increase diversity on a national or institutional basis. The NIH is particularly interested in encouraging the recruitment and retention of the following classes of candidates:
A. Individuals from racial and ethnic groups that have been shown by the National Science Foundation to be underrepresented in health-related sciences on a national basis (see http://www.nsf.gov/sbe/srs/women/start.htm). In addition, it is recognized that underrepresentation can vary from setting to setting and individuals from racial or ethnic groups that can be convincingly demonstrated to be underrepresented by the grantee institution should be encouraged to participate in this program.
B. Individuals with disabilities, which are defined as those with a physical or mental impairment that substantially limits one or more major life activities.
C. Individuals from disadvantaged backgrounds which are defined as:
1. Individuals who come from a family with an annual income below established low-income thresholds. These thresholds are based on family size; published by the U.S. Bureau of the Census; adjusted annually for changes in the Consumer Price Index; and adjusted by the Secretary for use in all health professions programs. The Secretary periodically publishes these income levels at http://aspe.hhs.gov/poverty/index.shtml. For individuals from low income backgrounds, the institution must be able to demonstrate that such candidates have qualified for Federal disadvantaged assistance or they have received any of the following student loans: Health Professions Student Loans (HPSL), Loans for Disadvantaged Student Program, or they have received scholarships from the U.S. Department of Health and Human Services under the Scholarship for Individuals with Exceptional Financial Need.
2. Come from a social, cultural, or educational environment such as that found in certain rural or inner-city environments that have demonstrably and recently directly inhibited the individual from obtaining the knowledge, skills, and abilities necessary to develop and participate in a research career. Recruitment and retention plans related to a disadvantaged background are most applicable to high school and perhaps to undergraduate candidates, but would be more difficult to justify for individuals beyond that level of academic achievement.
This RFA requires all applicants to submit a diversity recruitment and retention plan.
Training in the Responsible Conduct of Research: Formal or informal instruction in scientific integrity and ethical principles in research is a required component of the training program and must be present in every year of trainee participation. Applications without plans for instruction in the responsible conduct of research will be considered incomplete and will not be reviewed. The plan should provide specific information with respect to seminars, courses and other training opportunities, the degree of faculty participation, trainee attendance and the frequency of instruction.
Although the NIH does not establish specific curricula or formal requirements, all programs are encouraged to consider instruction in the following areas: conflict of interest, responsible authorship, policies for handling misconduct, data management, data sharing, and policies regarding the use of human and animal subjects. Within the context of training in scientific integrity, it is also beneficial to discuss the relationship and the specific responsibilities of the institution and the trainees appointed to the program.
The rationale for the proposed plan of instruction must be provided.
Program reports on the type of instruction provided, topics covered, and other relevant information, such as attendance by trainees and faculty participation, must be included in future competing continuation and non-competing applications. The NIH encourages institutions to provide instruction in the responsible conduct of research to all undergraduate students, graduate students, postdoctorates, and research staff regardless of their source of support.
Budget pages: Each application may submit two budget pages. If the training program consists of only NRSA-qualified individuals (i.e., predoctoral candidates or postdoctoral trainees, who are U.S. citizens or U.S. permanent residents), then only one budget page (NRSA SUBSTITUTE FORM PAGE 4) is required. If awarded, funds will be issued under a T90 grant mechanism. Programs may not be designed to only support non-NRSA predoctoral or postdoctoral trainees.
If trainees who are not U.S. citizens or U.S. permanent residents are included in the overall training program, then PHS 398, FORM PAGE 4 must be submitted. In addition, if the Program Director requests any salary support, include PHS 398 FORM PAGE 4. Awarded grant funds will be issued under an R90 grant mechanism for these requested training costs.
If the T90 application requests support for both NRSA-qualified and non-NRSA qualified trainees or salary support for the Program Director, then both budget pages must be submitted.
Statement of Appointment forms:
Statement of Appointment forms: PHS 2271 (Statement of Appointment) must be submitted to initiate each trainee enrolled in either the predoctoral or postdoctoral T90/R90 programs. A Payback Obligation must be signed by postdoctoral NRSA/T90 trainees. The Termination Notice, PHS416-7, must used for all trainees supported by the T90/R90 grants.
5.5.2 Full-time NRSA Institutional Predoctoral Training Component (T90)
The NRSA component will support research training experiences for up to four years for U.S. citizens or permanent residents who are interested in pursuing research careers in interdisciplinary research. Trainees are selected by a Program Director normally for 12-month appointment periods with support for additional years based on satisfactory progress and the continued availability of funds. Appointments for less than 9 months are not allowed.
An individual trainee may receive no more than five years of NRSA support in the aggregate at the predoctoral level, including any combination of support from institutional training grants and individual fellowship awards. Exceptions to this limitation require a waiver from the director of the funding Institute based on a review of the justification provided by the awardee, and must be submitted for prior written approval.
All regulations and policies governing NRSA awards must be followed. Detailed information regarding NRSA policies and procedures can be found in the NIH Grants Policy Statement at: http://grants.nih.gov/grants/policy/policy.htm.
5.5.3. Full-time non-NRSA Institutional Predoctoral Education Component (R90)
The non-NRSA component will support research training experiences for up to four years for students who are neither U.S. citizens nor U.S. permanent residents. The funding authority directs that the funding be considered as part of the Research Education Program (R90). See Section III for eligibility. Appointments for less than 9 months are not allowed.
5.5.4 Postdoctoral Research Training and Education Program (T90 and R90)
Postdoctoral research training and education components are for individuals who have received a Ph.D., D.N.Sc., D.V.M, D.D.S., M.D., D.M.D., D.C., D.O., O.D., D.P.M., Sc.D., Eng.D., Dr. P.H., D.N.Sc., D. Pharm., N.D., D.S.W., Psy.D., D.D.Ss, allied health doctoral degrees such as the D.P.T., or a comparable doctoral degree with a significant research component from an accredited domestic or foreign institution. Research training at the postdoctoral level must emphasize interdisciplinary research training to meet national research priorities in the biomedical, behavioral, or clinical sciences.
Research training grants are a desirable mechanism for the postdoctoral training of physicians and other health professionals who may have extensive clinical training but limited research experience. For such individuals, the training may be a part of a research doctoral level degree program. In all cases, since the duration of training has been shown to be strongly correlated with post-training research activity, postdoctoral trainees should agree to engage in at least 2 years of research, research training, or comparable activities beginning at the time of appointment. NRSA (T90) and non-NRSA (R90) components may be proposed.
A major goal of this funding opportunity is to foster the development and implementation of an interdisciplinary research training program that trains students from multiple disciplines in an integrated program. Trainees are expected to participate in a formal, integrated, multi-year curriculum that provides integrated, cohesive and novel approaches to interdisciplinary research, including theories, techniques, and applications of that research. The product of the postdoctoral research training program should be independent interdisciplinary scientists who are adept in not just combining, but integrating multiple approaches, theories and principles as part of their research interests, goals, and career paths.
Program components should include:
Training program: The training program should provide broad-based, integrated training in interdisciplinary science.
Program Director: The Program Director should have the scientific background and experience to run the training program, and should be committed to its coordination and supervision. The Program Director must be a funded investigator and include evidence of ongoing research funding during the requested award period must be provided.
Mentors: Trainees’ research projects must be supervised by appropriate faculty mentors. Each trainee is expected to have a mentoring team that includes at least two co-mentors, from different disciplines, that combine to form the backbone of the interdisciplinary research training team. Mentors should be funded investigators in an appropriate research area and evidence of ongoing research funding during the requested ward period must be provided. Trainees’ input into decisions regarding the direction of the science, research protocol, interpretation, etc. is expected.
Research Training and Education Record: It is expected that the Program Director and mentors will demonstrate a history of successfully mentoring graduate students.
The number of trainee slots requested must be justified in terms of the available pool of NRSA-eligible and non-NRSA eligible trainees, the training track record of the mentors, and the design of the training program. The number of trainees recommended by the RFA review panel is considered the ceiling and may be decreased by NIH program staff based on availability of funds and the track record for filling positions as assessed by annual progress reports and statements of appointments.
5.5.5 Full-time NRSA Institutional Postdoctoral Training Component (T90)
The NRSA component will support research training experiences for up to three years for U.S. citizens or permanent residents who are interested in pursuing research careers in interdisciplinary research. Trainees are normally selected by a Program Director for 12-month appointment periods with support for additional years based on satisfactory progress and the continued availability of funds. Appointments for less than 9 months are not allowed. An individual trainee may receive no more than three years of NRSA support in the aggregate at the postdoctoral level, including any combination of support from institutional training grants and individual fellowship awards. Exceptions to this limitation require a waiver from the director of the funding Institute based on a review of the justification provided by the awardee, and must be submitted for prior written approval.
All regulations and policies governing NRSA awards must be followed. This includes a payback obligation for every month of training up to the first 12 months. Detailed information regarding NRSA policies and procedures can be found in the NIH Grants Policy Statement at: http://grants.nih.gov/grants/policy/policy.htm.
5.5.6 Full-time non-NRSA Institutional Postdoctoral Training Component (R90)
The non-NRSA component will support research education experiences for up to three years for trainees who are neither U.S. citizens nor U.S. permanent residents. The funding authority directs that the funding be considered as part of the Research Education Program (R90). Appointments for less than 9 months are not allowed.
5.6 T90/R90 Interactions Section of the Research Training Program Plan
Following the Research Training Program Plan, the applicant must prepare a section with the title Interactions. In this section, the applicant should discuss how this component relates to the others that are part of the consortium. Applicants should discuss how the trainees participating in this T90/R90 will be made part of the rest of the consortium. They should also discuss what other components of the consortium will provide to this component. This section provides a way for the applicant to explain how the consortium is going to work and how this component fits into the rest of the consortium. The Interactions section is limited to three pages, and does not count toward the page limit of the Research Training Program Plan.
6. K01 Component
The goal of a K01 component is to support interdisciplinary career development. Candidates for this award must have a research or health-professional doctorate and postdoctoral research experience at the time of application. The candidate must be able to demonstrate the need for a period of additional supervised research as well as the capacity and/or the potential for highly productive research. The length of the research experience can vary. For many candidates, a 3-5 year application is likely to be appropriate. The proposed career development experience must be in a research area new to the applicant and/or one in which an additional supervised research experience will substantially add to the research capabilities of the applicant, which should be well supported in the application.
The award provides up to five consecutive 12-month awards. At least 75 percent of the recipient's full-time professional effort must be devoted to the goals of this award. The remainder may be devoted to clinical, teaching, or other research pursuits consistent with the objectives of the award. Both the didactic and the research phases of an award period must be designed to develop the necessary knowledge and research skills in a new scientific area that will enhance the ability of the researcher to conduct interdisciplinary research.
Candidates for the K01 should propose a period of study and career development consistent with her or his previous research experience. For example, a candidate with limited experience in the proposed field of research may find a two phase approach that begins with a period of didactic training followed by a period of closely supervised research experience the most efficient means of becoming part of the interdisciplinary team. A candidate with previous research experience in a related field may not require extensive additional didactic preparation and may propose a program that focuses on an intensive, supervised research experience. All programs must be tailored to meet the individual needs of the candidate ensuring that he/she will gain the skills and knowledge necessary to carry out high quality health-related research. The candidate and the mentor are jointly responsible for the preparation of the plan for this program. The sponsor may form an advisory committee to assist with the development of a program of study or to monitor the candidate's progress through the career development program.
Candidates must name a primary sponsor (or mentor), who together with the applicant is responsible for the planning, direction, and execution of the program. The mentor should be recognized as an accomplished investigator in the proposed research area and have a record of success in training independent investigators. The mentor should have sufficient independent research support to cover the costs of the proposed research project in excess of the allowable costs of this award. The mentor should be involved in one of the other Interdisciplinary Consortium components and may request the laboratory and non-salary costs associated with the candidate as part of that component. Candidates also may nominate co-mentors as appropriate to the goals of the program. Where feasible, women, individuals from underrepresented racial and ethnic groups, and individuals with disabilities should be involved as mentors to serve as role models.
6.1 K01 Salary
The NIH will provide salary and fringe benefits for the career award recipient. The total salary requested is normally based on a full-time, 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. In no case will the award provide salary in excess of the current legislated maximum salary (in fiscal year 2006 the maximum salary provided by a federal grant is $183,500).
The 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. Because the salary amount provided by this award is based on the full-time institutional salary, no other NIH funds may be used for salary supplementation. Institutional supplementation of salary must not require extra duties or responsibilities that would interfere with the purpose of the K01. Under expanded authorities, however, institutions may rebudget funds within the total costs awarded to cover salaries consistent with the institution's salary scale up to the current legislated maximum salary.
6.2. K01 Research Development Support
Research development support may be used for the following expenses: (a) tuition, and fees, related to career development; (b) research expenses, such as supplies, equipment and technical personnel; (c) travel to research meetings or training; (d) statistical and computational services including personnel and computer time. All expenses must be directly related to the proposed research career development program.
6.3. K01 Ancillary Personnel Support
Salary for mentors, secretarial and administrative assistance, etc., is not allowed.
6.4. K01 Facilities and Administrative Costs
These costs will be reimbursed at 8 percent of modified total direct costs for this component.
6.5. K01 Other Income
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:
6.6 K01 Evaluation
In carrying out its stewardship of human resource related programs, the NIH is likely to 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.
6.7 K01 Forms and General Instructions
K01 applications must use Section III of the PHS 398 form and should follow the instructions for preparing an Individual career development award application.
6.8 K01 Cover Page
See instructions for individual components: #IndividComponentsInstructions.
6.9 K01 Candidate
Describe the candidate's commitment to a career in biomedical or behavioral research. Establish the candidate's potential to develop into an investigator who is able to obtain independent research funding and work in an interdisciplinary team. Describe immediate and long-term career objectives, explaining how the award will contribute to their attainment.
6.10 K01 Career Development Plan
Describe the career development plan incorporating consideration of the candidate's goals and prior experience. A systematic plan should be presented for obtaining the necessary basic biomedical or behavioral science background and research experience to launch an interdisciplinary research career. The career development plan must be specifically tailored to the needs of the candidate and the ultimate goal of achieving independence as a researcher.
Candidates must justify the need for the requested period of mentored research experience and must be able to provide a convincing case that the proposed period of support will substantially enhance his/her career and/or will allow the pursuit of a novel or promising approach to a particular research problem.
6.11 K01 Training in the Responsible Conduct of Research
Candidates must describe plans to receive instruction in the responsible conduct of research. These plans must detail the proposed subject matter, format, frequency, and duration of instruction. No award will be made if an application lacks this component.
6.12 K01 Research Plan
Describe the research plan and the use of an interdisciplinary approach to a biomedical or behavioral problem. The research plan must be described as outlined in form PHS 398 including sections on the Specific Aims, Background and Significance, Progress Report/Preliminary Studies, Research Design and Methods. The candidate should consult with the mentor regarding the development of this section.
6.13 K01 Mentor's Statement
The application must include a statement from the mentor including information on the mentor’s research qualifications and previous experience as a research supervisor. The applications also must include information to describe the mentor's research support related to the candidate's research plan and nature of the supervision that will occur during the proposed award period. Similar information must be provided by any co-mentor. If more than one mentor is proposed, the respective areas of expertise and responsibility should be described.
6.14 K01 Environment and Institutional Commitment
The sponsoring institution must document a strong, well- established research program related to the candidate's area of interest including a high-quality research environment with staff capable of productive collaboration with the candidate. The sponsoring institution also must provide a statement to document the level of commitment to the candidate's development into a productive, investigator capable of interdisciplinary research. This must include an indication of support for candidate's proposed level of effort, commitment to the necessary release time, as well as the availability of support and supervision during the award period.
Interactions
6.15 K01 Interactions
In addition to the usual sections in a CDA application, the applicant must prepare a section with the title Interactions. In this section, the applicant should discuss how this application relates to the others that are part of the consortium. This section provides a way for the applicant to explain how the consortium is going to work and how this component fits into the rest of the consortium. The Interactions section is limited to three pages.
6.16 K01 Letters of Reference
Follow the instructions in Section III, “Preparing an Individual CDA Application” in the PHS 398 concerning letters of reference. Three letters are required for this program. Since this K01 program announcement is a little different from other K01 announcements, it would be a good idea for the candidate to provide those writing a letter with a copy of this program announcement.
7. R25 Component
This component can be used to support:
(1) innovative educational or training programs to support the needs of the consortium members or potential members. This would include up to one year specialized educational experience for senior investigators (with greater than 5 years postdoctoral experience) to learn a new discipline. No more than 3 individuals will be supported per year and such individuals could be supported up to a maximum of 45% effort for a 12-month period. If needed, research support costs should be derived from research projects supported by the consortium.
(2) short courses or seminars to update members of the consortium about recent developments or to present new findings by members of the consortium to the larger community
(3) web based or distance learning approaches to disseminate information to members of the consortium and others. The proposed program must be distinct from those research education programs at the sponsoring institution/organization currently receiving other federal support. The R25 component is required to include evaluation plans.
The audience for these proposals may focus on members of the consortium or on members of a broader community. If aimed at a broader community, the members of that community can be principally an academic audience or at can be a lay audience. No matter which audience is targeted, the application should focus on how the proposed educational components benefit the interdisciplinary approach proposed by the consortium.
7.1 R25 Cover Page
See instructions for individual components: #IndividComponentsInstructions.
7.2 R25 Budget
The non- modular budget format should be used. Note that funds requested for the R25 component may not duplicate items for which funds are being requested for “Other Projects” such as funds for travel and support for seminar speakers and evaluation efforts (see Section IV. 6. 1.1.3. U54 Other Projects).
Facilities and administrative costs are limited to 8% of total modified direct costs for the R25 research education component.
7.3. R25 Biographical Sketches and Resource Section
The biographical sketches for key personnel involved in the R25 should be included in the U54 component of the application and should be duplicated in this component. The resources section should be completed for this component.
7.4 R25 Research Plan
The research plan for most R25 applications should use the normal subheadings (specific aims, background and significance, preliminary studies, and research design and methods). An evaluation plan is required for each application. This plan should follow the research design section. The evaluation plan should clearly describe how the proposed activity will be evaluated for success or failure based on its purposes and objectives. The evaluation plan must be contained within the 25 page limit of the overall research plan.
For applications involving a one year specialized educational experience for senior investigators, the normal headings (specific aims, background and significance, preliminary studies, and research design and methods) should also be used.
7.5 R25 Interactions Section
Following the evaluation plan, the applicant must prepare a section with the title Interactions. In this section, the applicant should discuss how this application relates to the others that are part of the consortium. Applicants should discuss how the results of the various specific aims will be used by other parts of the consortium. They also should discuss what other parts of the consortium will provide to this application. This section provides a way for the applicant to explain how the consortium is going to work and how this activity fits into the consortium. The Interactions section is limited to three pages, and does not count toward the 25 page limit of the Research Plan. The Interactions Section is not necessary if the R25 is being used for only a one year specialized research experience since this information will already be contained in the Research Plan.
8. P30 Compone