NIH GUIDE,Volume 26, Number 15, May 9, 1997
P.T. 34

  Grants Administration/Policy+ 
National Institute of Mental Health
This notice is intended to provide current National Institute of
Mental Health (NIMH) career award (K-series) holders with the latest
policy clarification regarding change of institution. This policy
applies to all existing individual career development awards,
including those awarded under previous program announcements (such as
the K20 and K21 awards), prior to the issuance of the new NIH-wide
career award program announcements (see below), but does not apply to
programmatic career development awards (K12).  This notice
supplements the two previous notices, which appeared in the NIH
Guide:  (1) NIMH Supplemental Information to the NIH Career
Development Announcements (K Awards) (NIH Guide, Vol. 24, No. 18, May
19, 1995); and (2) NIMH Policy Changes for Career Awards (K-Series)
and Supplemental Instructions to the NIH K Award Program
Announcements (NIH GUIDE, Vol. 25, No. 31, Sept. 20, 1996).
The 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)
PAR-95-040:  Mentored Scientist Development Award for New Minority
Faculty (K01)
Effective immediately, this notice applies to the "Termination or
Change of Institution" section of the above listed Program
Announcements.  More specifically, however, this policy applies to
Change of Institution: If the individual is moving to another
eligible institution, and wishes to transfer the K Award to the new
institution, the following steps should be carried out:
o  An abbreviated (see below) application must be submitted by the
new institution.
o  The period of support requested can be no more than the time
remaining within the existing original award project period.
o  The request must be submitted at least three months in advance of
the desired effective date to allow the necessary time for staff
review.  No transfer will be allowed for awards with less than six
months remaining in the project period.
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 Program Official (Project Officer).
However, no transfer will be allowed during a period of
administrative extension or after the project has terminated.
The abbreviated application (use Form PHS 398, 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 (AA) should provide information on all items and
include all appropriate signatures.  The "abstract" page (BB) 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 (LL)
should be used to indicate the page numbers for appropriate sections
(see ahead).  The budget pages (DD and EE) 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, other
expenses).  The biographical sketch and other support pages (FF and
GG) should include only information relevant to the transfer.  The
resources page (HH) and continuations, as necessary, should provide
detailed information about the new institution.  A completed
checklist (page II) is required, and the personnel effort report page
(JJ) should be included if new collaborators have been added.  The
personal data page (KK) 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 sponsor(s), consultant(s) and/or
collaborator(s) 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, K07, K08,
K20, K21), especially indicating the scientific credentials of the
new sponsor.
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.  Applicants should carefully read and follow not
only the guidelines in form PHS 398, but should pay particular
attention to the section on Institutional Environment and Commitment
in the "NIMH Policy Changes for Career Awards (K-Series) and
Supplemental Instructions to the NIH K Award Program Announcements"
(NIH GUIDE, Vol. 25, No. 31, Sept. 20, 1996).
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.
K02 and K05 awardees should give examples of potential new
collaborations (provide letters of commitment under #2 above) which
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 individuals identified below 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 from the new
institution which will be peer reviewed in the next review cycle.
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.

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