NIH GUIDE, Volume 25, Number 31, September 20, 1996





National Institute of Mental Health


This Notice is intended to provide current National Institute of

Mental Health (NIMH) career award (K series) holders and prospective

applicants with the latest policy changes regarding these awards.

This Notice supplements (with the exceptions noted below) the

previous Notice, which appeared in the NIH Guide, Vol. 24, No. 18,

May 19, 1995.  The NIH program announcements addressed in this Notice

are the following:


PA-95-049:  Mentored Research Scientist Development Award (K01)

PA-95-050:  Independent Scientist Award (K02)

PA-95-051:  Senior Scientist Award (K05)

PA-95-052:  Academic Career Award (K07)

PA-95-053:  Mentored Clinical Scientist Development Award (K08)




Senior Scientist Award (K05)

Independent Scientist Award (K02)


Effective January 1, 1997, NIMH will restrict the K05 awards to one

five year term only, and make these awards only to investigators who

are NIMH grantees at the time of award.  To implement this policy,

competing K05 renewal applications (type 2) will not be accepted, by

the NIMH after January 1, 1997.


K02 awards will continue to be available for two five year terms

(which includes one renewal).  Investigators with research support

from other NIH Institutes may receive an initial K02 award from NIMH.

However, those individuals who previously have held an NIMH K01 or

K08 award must have NIMH research support at the time of their first

K02 award.  Eligibility for renewal of K02 awards will be limited to

NIMH grantees at the time of award.


Scientists who hold a position with firm salary support for research

or whose primary responsibility is administrative, must demonstrate a

compelling need for a K02 or K05 award.  For the purpose of these

policies, NIMH grantees are Principal Investigators (PIs) on R01,

R10, R18, R21, R24, R29, R37, P01, P20, P30, P50, and U01 grants

(investigators who direct subprojects on P series grants are not

eligible).  These policies will govern all K02 and K05 applications

submitted after January 1, 1997.  The NIMH expects that these policy

changes will result in distributing limited career award funds to

greater numbers of junior investigators seeking careers in mental

health research.


The NIMH recognizes that these policy changes may have a significant

impact on the research programs and plans of current holders of K02

and K05 awards, especially those currently in the last year of their

award.  Current K02 and K05 awardees who would be affected adversely

by this policy should contact an NIMH program official, listed under

INQUIRIES, for further assistance.


Academic Career Award (K07)


After January 1, 1997, NIMH will no longer accept new or revised

applications for grant support via the K07 mechanism.  Prospective

candidates for K07 awards are advised to consider applying instead

for the K08 award, which has similar eligibility criteria and

provides comparable forms of support for scientific career

development.  Any K07 applications submitted after January 1, 1997

receipt deadlines will be administratively re-coded and reviewed as

K08 applications.  Individuals submitting K07 applications will be

allowed to submit supplemental information addressing issues

pertinent to the K08 mechanism before their application is reviewed.

These changes do not apply to current K07 awardees or to K07

applications submitted on or before January 1, 1997.


Institutional Environment and Commitment


All of the following conditions apply to K01, K02, and K08

applicants, unless otherwise specified:


The sponsoring institution must document the availability of a

strong, well-established research program related to the candidate's

area of interest, including a high-quality research environment with

senior staff competent to collaborate with the candidate (K02

applicants), or the names of experienced faculty members in

departments relevant to the candidate's proposed training (K01 and

K08 applicants).  The sponsoring institution must also provide a

statement of commitment to the candidate's research career

development (K01 and K08) or research career enhancement (K02).

Specifically, evidence must be provided to ensure that the

applicant's salary is not contingent upon the receipt of this award.

Further, the K01 and K08 are not intended to be used in order to

maintain a promising person in postdoctoral status.  The most

appropriate evidence of the sponsoring institution's commitment to

K01 or K08 candidates is a full-time faculty appointment.  Evidence

must also be provided to ensure the feasibility of the proposed

research development (K01 and K08) or research enhancement (K02)

plan, including availability of office and laboratory space,

equipment and other resources, as well as access to clinical and/or

other research populations.  The sponsoring institution should also

describe actions it will take to ensure that the candidate will be

able to devote essentially full time (at least 75 percent) to



A description of the department's overall research programs and

details of relevant research are required.  The department

chairperson or research director is to submit information on the

institution's research programs in mental health; plans to develop

these programs; and specific plans for the candidate.


The institution should provide plans for the use of institutional

(non-PHS) funds that would be released as a result of the award.  It

is expected that such funds will revert to the individual awardee's

department and be used in a manner which will further the spirit of

the award, i.e., to expand mental health research programs.

Consequently, when the award relieves a staff member of major

teaching or clinical duties, it is expected that the salary funds

released will be used to bring in another person to resume these

duties, thus enhancing the general capability of the department in

the awardee's specialty area.  Some departments use these funds to

hire persons of lower rank and apply the remaining excess funds to

related research needs, e.g., equipment or research assistance.




Consultation with NIMH staff is encouraged especially during the

planning phase of the application.  Below are the names of the NIMH

staff who can provide further information:


Henry Khachaturian, Ph.D.

Division of Neuroscience and Behavioral Science

5600 Fishers Lane, Room 11-103

Rockville, MD  20857

Telephone:  (301) 443-8033

FAX:  (301) 443-1731



Kenneth G. Lutterman, Ph.D.

Division of Epidemiology and Services Research

5600 Fishers Lane, Room 10-95

Rockville, MD  20857

Telephone:  (301) 443-3373

FAX:  (301) 443-4045



Leonard L. Mitnick, Ph.D.

Office on AIDS

5600 Fishers Lane, Room 10-75

Rockville, MD  20857

Telephone:  (301) 443-6100

FAX:  (301) 443-9719



George Niederehe, Ph.D.

Division of Clinical and Treatment Research

5600 Fishers Lane, Room 18-101

Rockville, MD  20857

Telephone:  (301) 443-3264

FAX:  (301) 443-6784




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