and Human Services (HHS)
NIMH POLICY UPDATE FOR CAREER AWARDS (K-SERIES) Release Date: February 8, 2002 NOTICE: NOT-MH-02-001 National Institute of Mental Health http://www.nimh.nih.gov/ This notice provides a revision and update of the most recent NIMH POLICY UPDATE FOR CAREER AWARDS (K-SERIES) that was published in the NIH Guide on June 12, 2000. This document is intended to complement the policies of the Trans-NIH K-Series program announcements (see below). Prospective applicants must follow all the instructions covered under each program announcement as well as the Research Career Award section of PHS 398 when preparing an application. The purpose of this notice is to address NIMH-specific issues regarding the following program announcements: PA-00-019: Mentored Research Scientist Development Award (K01) PA-00-020: Independent Scientist Award (K02) PA-00-021: Senior Scientist Award (K05) PA-00-003: Mentored Clinical Scientist Development Award (K08) PA-00-004: Mentored Patient-Oriented Research Career Development Award (K23) PA-00-005: Mid-Career Investigator Award in Patient-Oriented Research (K24) PA-99-087: Mentored Quantitative Research Career Development Award (K25) PAR-99-169: Scientist Development Award for New Minority Faculty (K01) PA-01-065: NIMH Research Career Award for Transition to Independence (K22) Relevant career award announcements can be found at: http://www.nimh.nih.gov/grants/training.cfm. NIMH GENERAL POLICY ON CAREER AWARDS K01, K08, K22, K23 and K25 Awards: NIMH mentored career development award mechanisms (K01, K08, K22, K23 and K25) are intended to assist new investigators at stages beyond postdoctoral training to gain additional supervised experience in order to become an independent scientist. Support for the K01, K08, K22, K23 and K25 awards are limited to one three to five year term, and are usually restricted to one mentored career award per individual. Applicants are expected to pursue research and career development activities directly relevant to the mission of the NIMH. Applications with marginal or no mental health relevance will be considered unresponsive to these programs. These applications will not be considered further and will be returned to the applicant. Therefore, it is very important that prospective applicants contact the appropriate Institute office, listed under INQUIRES, prior to preparing an application. NIMH mentored career award recipients are encouraged to apply for independent research grant support (e.g., R03, R01 or R21) during the period of the award. However, in general, NIMH discourages awardees from applying for an NIH research grant during the initial stages of the mentored K award (corresponding approximately to the first two years of the award). Regardless of the timing, when a research grant application is subsequently submitted to the NIMH requesting support that overlaps the period of mentored K award support, the awardee must include a statement in the application which outlines how the career development and research supported through the K award will be impacted or modified should the new research application be supported. The applicant should identify how these applications (career award and research grant) relate to one another, highlighting any areas of scientific overlap. Since R01 and several other research grant applications now follow "modular" guidelines, any budgetary overlap issues will need to be resolved with NIMH staff prior to award. It should be noted that no salary for the principal investigator will be provided in the research grant during the period of career development support. Therefore, applicants are strongly encouraged to discuss these issues with the NIMH program staff prior to submitting a new grant application. K02, K05, and K24 Awards: The early to mid-career awards, K02 and K24, are available for two five-year terms (including one competitive renewal). Investigators with peer-reviewed, independent research support may receive an initial K02 or K24 award from NIMH. However, an individual who previously has held an NIMH K01, K08, or K23 award must have NIMH research support at the time of his/her first K02 or K24 award. Eligibility for renewal of K02 or K24 awards is limited to those who are NIMH grantees at the time of award. Support from either K02 or K24 or any combination of these awards is limited to two five-year terms. The senior scientist award, K05, is restricted to one five year term only, and is available only to those researchers who are NIMH grantees at the time of award. For the purpose of these policies, NIMH grantees are PIs on active R01, R24, R37, P01, P20, P30, P50, U01 and U10 grants. It should be noted that investigators whose only NIMH support has been to direct subprojects on P or U series grants, or are PIs on a subcontract on any other grant mechanism, are not eligible. Scientists who hold a position with committed salary support for research or whose primary responsibility is administrative, must demonstrate a compelling need for a K02, K05, or K24 award. NIMH POLICY ON ALLOWABLE COSTS The unique aspects of NIMH allowable costs, specifically in the categories of salary and research support are listed below. Salary for K01, K02, K05, K08, K23 and the Extramural period of the K22 Award: The NIMH will contribute up to 100% of the Principal Investigator"s institutional base annual salary, up to a maximum of $90,000. Note that the salary allowance will be commensurate with the actual level of effort up to $90,000. The salary must be based on a full-time 12 month position and must be consistent both with the established salary structure at the institution and with salaries actually provided by the grantee institution from its own funds and or non-federal funds to other staff members of equivalent qualifications, rank, and responsibilities in the applicable department. The NIMH Career Award programs (except the K24) require the recipients to devote a minimum of 75% of full-time professional effort to research and career development activities for the period of the award. Fringe benefits are requested separately from the salary and must be based on the salary requested in the application. Following peer review, detailed budget information will be requested for selected applications. When this information is submitted to NIMH, it is important to note that the amount requested must reflect the actual salary effective at the start date of the potential award and will not be modified mid-year. Beginning with competing awards made in fiscal year 2003, the NIMH will limit salary increases on career awards, to no greater than 3% per year, up to the maximum allowed, in order to comply with the NIH total cost commitment policy. It is important to note that NIMH funded salary limitations for non-competing applications that began prior to fiscal year 2003 continue to be governed by the NIMH policies in place at the time the competing application was funded. Salary and Research Related Expenses for K22, K24, and K25 Awards: Please note that the K24, K25 and the Intramural phase of the K22 awards are somewhat different from the other career development mechanisms covered under this policy announcement. Therefore, the applicant is referred to the K22, K24, and K25 program announcements for additional information about salary and research related expenses. Research Development Support for K01, K08, K23 and the Extramural phase of the K22 Awards: The NIMH allows for funds up to $50,000 per year for research-related expenses outlined in each program announcement (note that $50,000 is the upper limit allowed for the first year and each subsequent year). Applicants must justify requested costs. Research Support for K02, K05: Only K02 and K05 awardees who are engaged in predominantly theoretical work, such as modeling or computer simulation, will be eligible to receive NIMH funds up to $25,000 for expenses as outlined in each program announcement. Applicants must justify requested costs. (Note that $25,000 is the upper limit allowed for each year of the proposed project period.) NIMH POLICY ON CHANGE OF INSTITUTION Institutions are encouraged to use these awards to help transition the awardee from mentored research to independence. NIMH realizes that new investigators often need to obtain external support and/or move to another institution in order ultimately to secure a more independent position (e.g., faculty). Therefore, it is the policy of NIMH to be flexible with regard to transfer to another institution. Instructions for Change of Institution An abbreviated (see below) application must be submitted by the new institution. The transfer request must be submitted at least three months in advance of the desired effective date to allow the necessary time for staff review. Note: NIMH will continue to allow an awardee to transfer from one institution to another for the last year of the award, with prior approval of the responsible Project Officer. The period of support requested can be no more than the time remaining within the existing original award project period. No transfer will be allowed for awards with less than six months remaining in the project period, during a period of administrative extension or after a project has terminated. The abbreviated application (use Form PHS 398, revised 05/01, Research Career Award Section), which will initially be evaluated by the Project Officer, should provide detailed information in the areas outlined below: Section I Basic Administrative Data: A complete face page (form page 1) should provide information on all items and include all appropriate signatures. The "abstract" page (form page 2) should include a brief summary of the goals of the research and career plans, as well as the reason(s) for the transfer of institution, and identify key personnel. The table of contents substitute page (form page 3) should be used to indicate the page numbers for appropriate sections (see ahead). The budget pages (form pages 4 and 5) should provide information for the period of support remaining within the existing award project period. Budgets in the new application cannot exceed the amounts previously approved for the same project periods. Justifications are required for any costs that differ significantly from previously approved budget items (e.g., personnel costs, equipment, and other expenses). The biographical sketch format page should include only information relevant to the transfer. The resources format page and continuations, as necessary, should provide detailed information about the new institution. A completed checklist form page and updated Other Support format page is required, and the personnel report format page should be included if new collaborators have been added. The personal data form page should be omitted. Section II Specialized Information: 1. The Candidate Part (a). Letters of Reference (for mentored awards): New letters of reference are not required. Parts (b, c, d). Candidate"s background, Career Goals, and Career Development: since this is an important aspect of a career development award, provide (where pertinent) detailed information on these topics. Give examples of how the career goals and development might be enhanced by the move to the new institution. 2. Statement by Sponsor(s), Consultant(s), and Collaborator(s) Provide detailed information, if any of these will change from the original application, or the applicant"s modes of interaction with these individuals will differ. It is critically important to provide a detailed statement by any new sponsor(s) for mentored career development awards (K01, K08, K23, K25 and K22), especially indicating the scientific credentials of the new sponsor. If the current sponsor(s) plan to continue to mentor the applicant after the grant is transferred to the new institution describe the new working relationship. 3. Environment and Institutional Commitment to Candidate Parts (a, b). This section is perhaps the most important in terms of evaluation of the merit of the request to transfer the grant to another institution. Particular attention should be paid to NIMH policies articulated in this notice. 4. Research Plan Describe any changes to the original research plan, and explain how the research plan may be enhanced by the move to the new institution. Please note that the originally proposed research plan should continue to serve as the basis for the research that will be conducted at the new institution. K02, K05, and K24 awardees should give examples of potential new collaborations (provide letters of commitment under #2 above) that might improve the overall plan. NIMH Staff Review: Prior to the final year of awards, transfer of career grants to another institution may be approved, without peer review, under the circumstances stipulated below. Therefore, early consultation with NIMH Program staff is critical for transfer of the grant to a new institution. It is strongly recommended that potential applicants contact the NIMH program staff listed under INQUIRIES for consultation and guidance, prior to contacting the responsible Project Officer, to whom the abbreviated application should be sent. The Project Officer"s review will be based on the degree to which the goals of the original peer reviewed application (as evidenced in the most recent summary statement) will be met in the new institution. Critical among these considerations will be the continued capacity to carry out full-time research, potential to contribute significantly to the scientific field of study as evidenced by research productivity, clear and high likelihood that the new environment will contribute to scientific development and productivity, scientific and technical merit of the research plan and its consistency with the career development plan, the new mentor"s research and mentoring qualifications in the scientific area of study, and strong institutional environment and commitment. After consideration, the Project Officer will recommend, to the Director of the funding Division, either approval or disapproval of the requested transfer. In the event of disapproval (which will not be subject to request for reconsideration), the grantee has the option of submitting a new, complete application that encompasses the remaining period of time of the award from the new institution, which will be peer reviewed in the next review cycle. INQUIRIES Consultation with NIMH staff is encouraged especially during the planning phase of the application. Prospective applicants may visit the NIMH Research Training and Career Development Website: http://www.nimh.nih.gov/grants/training.cfm to obtain additional information. Walter Goldschmidts, Ph.D. Division of Neuroscience and Basic Behavioral Science National Institute of Mental Health 6001 Executive Boulevard, Room 7200, MSC 9645 Bethesda, MD 20892 Telephone: (301) 443-3563 FAX: (301) 443-1731 Email: [email protected] Mark Chavez, Ph.D. Division of Mental Disorders, Behavioral Research and AIDS National Institute of Mental Health 6001 Executive Boulevard, Room 6217, MSC 9621 Bethesda, MD 20892 Telephone: (301) 443-9700 FAX: (301) 480-6000 Email: [email protected] Enid Light, Ph.D. Division of Services and Intervention Research National Institute of Mental Health 6001 Executive Boulevard, Room 7160, MSC 9635 Bethesda, MD 20892 Telephone: (301) 443-1185 FAX: (301) 443-4045 Email: [email protected] Direct inquiries regarding fiscal matters to: Diana S. Trunnell Grants Management Branch National Institute of Mental Health 6001 Executive Boulevard, Room 6115, MSC 9605 Bethesda, MD 20892 Telephone: (301) 443-2805 FAX: (301) 443-6885 Email: [email protected]
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