NIMH POLICY UPDATE FOR CAREER AWARDS (K-SERIES) Release Date: July 29, 1998 P.T. National Institute of Mental Health This notice provides an update to the recent National Institute of Mental Health (NIMH) career award (K-series) policy notices. As such, this document is intended to complement the policies of the trans-NIH K-Series program announcements. Prospective applicants must follow all the instructions covered under each program as well as in Form PHS 398 when preparing an application. Note: This document points to additional NIMH policy especially where they differ from those articulated in the program announcements. Specifically, changes in policy on mentored K awards, and NIMH contribution to the investigator"s salary. This notice consolidates, replaces, and supersedes all previous NIMH notices, including: (1) NIMH Supplemental Information to the NIH Career Development Program Announcements (K Awards) NIH Guide, Vol. 24, No. 18, May 19, 1995 (2) NIMH Policy Changes for Career Awards (K-Series) and Supplemental Instructions to the NIMH K Award Program Announcements NIH Guide, Vol. 25, No. 31, September 20, 1996 (3) NIMH Policy for Career Awards (K-SERIES): Change of Institution NIH Guide, Vol. 26, No. 15, May 9, 1997 This Notice addresses the following NIH program announcements, which may be obtained from the NIMH Research Training and Career Development web site: http://www.nimh.nih.gov/grants/rtcd.htm 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) � discontinued (see K08 award) PA-95-053: Mentored Clinical Scientist Development Award (K08) PA-98-052: Mentored Patient-Oriented Research Career Development Award (K23) PA-98-053: Midcareer Investigator Award in Patient-Oriented Research (K24) NIMH GENERAL POLICY ON CAREER AWARDS K01, K08, and K23 Awards: It is the policy of NIMH that the K01, K08, and K23 career award mechanisms are intended to help new investigators at various stages of postdoctoral training to gain additional experience in order to become an independent scientist. These awards are not intended to be used to maintain a promising person in postdoctoral status. Institutions are encouraged to use these awards to help transition the awardee from mentored research to independence. Support for the K01, K08, and K23 awards are limited to one five year term, and are further restricted to one mentored career award per individual. 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 institutional commitment as well as transfer to another institution (see below for more on transfer). 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 research support from other NIH Institutes 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 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 to those investigators who are NIMH grantees at the time of award. Current K05 awardees are NOT eligible to submit a competing renewal (type 2) application. 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, K05, or K24 award. For the purpose of these policies, NIMH grantees are Principal Investigators 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). 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 (K01, K02, K05, K08, K23, K24): Effective October 1, 1998 (i.e., applications submitted on or after June 1, 1998 deadline for Fiscal Year 1999 support), this policy applies to all new (type 1), and competitive renewal (type 2) applications. However, it does NOT apply to non-competitive renewal (type 5) applications. The NIMH contribution to the Principal Investigator"s salary is geared to the institutional base salary as follows: Institutional Base Salary NIMH Contribution Up to $48,000 100% of institutional base salary $48,001 to $64,000 $48,000 (i.e., 75% of $64,000) $64,001 and over 75% of institutional base salary, up to $90,000 Research Development Support (K01, K08, K23): The NIMH allows for funds up to $50,000 per year for expenses outlined in each program announcement. Applicants must clearly justify any requested costs. Research Support (K02, K05, K24): For the K02 and K05 awards, the NIMH allows for funds up to $25,000 per year for those applications from individuals who are engaged in predominantly theoretical work, such as modeling or computer simulation, as outlined in each program announcement. For the K24 award, the NIMH will provide up to $25,000 per year for research expenses, such as supplies, equipment, technical personnel, travel, and statistical services. NIMH POLICY ON CHANGE OF INSTITUTION If the grantee is moving to another eligible institution, and wishes to transfer his or her career 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 Project Officer. 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, and 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 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, and K23), 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. 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. 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 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/rtcd.htm to obtain additional information. For Institute-level training and career development policy, contact: Henry Khachaturian, Ph.D. Office of Science Policy and Program Planning Room 17C-26 Telephone: (301) 443-4335 FAX: (301) 443-4225 Email: hk11b@nih.gov For specific programmatic information and Division/Office-level policy, contact the following: Walter Goldschmidts, Ph.D. Division of Basic and Clinical Neuroscience Research Room 11-103 Telephone: (301) 443-3563 FAX: (301) 443-1731 Email: wgoldsch@nih.gov Fred Altman, Ph.D. Division of Mental Disorders, Behavioral Research and AIDS Room 18-105 Telephone: (301) 443-8962 FAX: (301) 443-9719 Email: faltman@nih.gov Kenneth G. Lutterman, Ph.D. Division of Services and Intervention Research Room 10-95 Telephone: (301) 443-3373 FAX: (301) 443-4045 Email: klutterm@nih.gov The mailing address for NIMH personnel is: 5600 Fishers Lane Rockville, MD 20857
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