Release Date:  May 16, 2002

Expiration Date:  May 10, 2006

PA NUMBER:  PA-02-109 

-June 16, 2006 (PA-06-468) - This PA has been reissued, see PA-06-468
-Change to NCCAM’S NRSA (T32) Policy, see NOT-AT-06-004
-Expiration date extended, see NOT-OD-06-049
-Expiration date extended, see NOT-OD-06-024
-Expiration date extended, see NOT-OD-05-047
-See also, NOT-EB-03-010

National Institutes of Health

NOTE:  This program announcement supercedes the notice that appeared in 
the NIH Guide on June 1, 2000 as PA-00-103.  Application receipt dates 
vary by Institute and Center


o Purpose
o Program Objectives
o Mechanism of Support
o Eligible Institutions
o Eligible Program Directors
o Eligible Trainees
o Special Program Considerations
o Allowable Costs
o Service Payback
o Leave
o Where to Send Inquiries
o Application Submission Instructions
o Application Processing
o Peer Review Process
o Review Criteria
o Additional Review Considerations
o Award Criteria
o Required Federal Citations


The National Institutes of Health (NIH) will award National Research 
Service Award (NRSA) Institutional Training Grants (T32) to eligible 
institutions to develop or enhance research training opportunities for 
individuals, selected by the institution, who are training for careers in 
specified areas of biomedical, behavioral, and clinical research.  The purpose
of the NRSA program is to help ensure that a diverse and highly trained 
workforce is available to assume leadership roles related to the Nation"s 
biomedical and behavioral research agenda.  Accordingly, the NRSA program 
supports predoctoral, postdoctoral, and short-term research training experiences.

The NIH institutes and centers may have special policies and requirements 
for their Institutional Research Training Grants (T32).  Therefore, in the early
stages of application preparation, applicants should contact the prospective 
NIH awarding component listed at the end of this announcement to discuss their 
specific policies.  


The NRSA program has been used by the NIH as the primary means of 
supporting graduate and postdoctoral research training since enactment 
of the NRSA Legislation in 1974.  This program uses a combination of 
institutional training grants and individual fellowships to ensure a 
continuing supply of well-trained scientists prepared to conduct 
cutting-edge health-related research.  More information about NRSA 
programs is available at 
Information on the career outcomes of predoctoral NRSA recipients is 
available at 

The institutional research training grants described in this 
announcement provide support to training programs at institutions of 
higher education.  Institutional NRSA training grants are designed to 
allow the director of the program to select the trainees and to develop 
a curriculum of study and research experiences necessary to provide 
high quality research training.  The grant offsets the cost of stipends 
and tuition support for the appointed trainees. The following types of 
training can be supported by this grant: 

Predoctoral Training.  Predoctoral research training must lead to the 
Ph.D. degree or a comparable research doctoral degree.  Students 
enrolled in health-professional training programs that wish to postpone 
their professional studies in order to engage in full-time research 
training may also be appointed to an Institutional Research Training 
Grant.  Predoctoral research training must emphasize fundamental 
training in areas of biomedical and behavioral sciences.

Postdoctoral Training.  Postdoctoral research training is for 
individuals who have received a Ph.D., D.V.M, D.D.S., M.D., or a 
comparable doctoral degree from an accredited domestic or foreign 
institution. Research training at the postdoctoral level must emphasize 
specialized 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 degree program.  
In all cases, postdoctoral trainees should agree to engage in at least 
2 years of research, research training, or comparable activities 
beginning at the time of appointment.  It has been shown that the 
duration of training has been shown to be strongly correlated with 
retention in post-training research activity.

Short-Term Research Training for Health-Professional Students. 
Applications for Institutional Research Training Grants may include a 
request for short-term predoctoral positions reserved specifically to 
provide full-time, health-related research training experiences during 
the summer or other "off-quarter" periods.  Such positions are limited 
to medical students, dental students, students in other health-
professional programs, and graduate students in the physical or  
quantitative sciences.  Short-term appointments are intended to provide 
such students with opportunities to participate in biomedical and/or 
behavioral research in an effort to attract them into health-related 
research careers.  Short-term positions should be requested in the 
application and approved at the time of award. Normally, short-term 
positions are not to be used for individuals who have already earned a 
doctoral degree.    Short-term research training positions should last 
at least 8 but no more than 12 weeks.  Individual health-professional 
students or students in the quantitative sciences selected for 
appointment should be encouraged to obtain multiple periods of short-
term, health-related research training during the years leading to 
their degree.  Such appointments may be consecutive or may be reserved 
for summers or other "off-quarter" periods. It should be noted that not 
all NIH Institutes and Centers permit short-term positions.  Applicants 
interested in such positions should contact the awarding institute or 
center prior to completing their application.

Short-term appointments on regular NRSA Institutional Research Training 
Grants (T32), as described in this announcement, should not be confused 
with NRSA Short-Term Institutional Research Training Grants (T35), 
which are exclusively reserved for short-term research training 
appointments.  Information about Short-Term Institutional Research 
Training Grants can be found at 


Institutional NRSA research training grants (T32) may be made for 
periods up to 5 years and are renewable.  Awards within an approved 
competitive segment are normally made in 12-month increments with 
support for additional years based on satisfactory progress and the 
continued availability of funds.

Trainee appointments are normally made in 12-month increments.  No 
trainee may be appointed for less than 9 months during the initial 
period of appointment, except with the prior approval of the NIH 
awarding unit or when health-professional students are appointed to 
approved, short-term research training positions.

No individual trainee may receive more than 5 years of aggregate NRSA 
support at the predoctoral level or 3 years of support at the 
postdoctoral level, including any combination of support from 
institutional training grants and individual fellowship awards.  Any 
extension of the total duration of trainee support at either the 
predoctoral or the postdoctoral level requires approval by the director 
of the NIH Institute or Center that supports the award.  Requests for 
extension must be made in writing by the trainee, endorsed by the 
director of the training program and the appropriate institutional 
official, and addressed to the director of the awarding component. The 
request must include a compelling justification for an extension of the 
statutory limits on the period of support.  


Only domestic, non-profit, private or public institutions may apply for 
grants to support research training programs.  The applicant 
institution must have a strong research program in the area(s) proposed 
for research training and must have the requisite staff and facilities 
to carry out the proposed program.  


Any individual with the skills, knowledge, and resources necessary to 
organize and implement a high quality research training program is 
invited to work with their institution as the director of the research 
training program in order 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.  The research training program director at the institution 
will be responsible for the selection and appointment of trainees to 
the NRSA research training grant and for the overall direction, 
management, and administration of the program.

Trainees appointed to the training program must have the opportunity to 
carry out supervised biomedical or behavioral research with the primary 
objective of developing or extending their research skills and 
knowledge in preparation for a research career.

A trainee must be a citizen or non-citizen national of the United 
States or must have been lawfully admitted for permanent residence 
(i.e., in possession of a currently valid Alien Registration Receipt 
Card I-551, or some other legal verification of such status).  Non-
citizen nationals are generally persons born in outlying possessions of 
the United States (e.g., American Samoa and Swains Island).  
Individuals on temporary or student visas are not eligible. 

Trainees can fall into one of the following categories:

Predoctoral Trainees.  Predoctoral trainees must have received a 
baccalaureate degree by the beginning date of their NRSA appointment, 
and must be training at the postbaccalaureate level and enrolled in a 
program leading to a Ph.D. in science or in an equivalent research 
doctoral degree program.  Health-professional students, graduate 
students in the quantitative sciences, or individuals in postgraduate 
clinical training who wish to interrupt their studies for a year or 
more to engage in full-time research training before completing their 
formal training programs are also eligible.
Postdoctoral Trainees.  Postdoctoral trainees must have received, as of 
the beginning date of the NRSA appointment, a Ph.D., M.D., D.D.S., or 
comparable doctoral degree from an accredited domestic or foreign 
institution.  Eligible doctoral degrees include, but are not limited 
to, the following: D.M.D., D.C., D.O., D.V.M., O.D., D.P.M., Sc.D., 
Eng.D., Dr. P.H., D.N.Sc., Pharm.D., N.D. (Doctor of Naturopathy), 
D.S.W., and Psy.D. Documentation by an authorized official of the 
degree-granting institution certifying all degree requirements have 
been met prior to the beginning date of training is acceptable.
Short-Term Health-Professional Trainees.  To be eligible for short-term 
predoctoral research training positions, students must be enrolled and 
in good standing and must have completed at least one quarter in a 
program leading to a clinical doctorate or a masters or doctorate in a 
quantitative science such as physics, mathematics, or engineering prior 
to participating in the program.  Individuals already matriculated in a 
formal research degree program in the health sciences, or those holding 
a research doctorate or master"s degree or a combined health-
professional/research doctorate normally are not eligible for short-
term training positions.  Within schools of pharmacy, only individuals 
who are candidates for the Pharm.D. degree are eligible for short-term 

Positions on NRSA institutional grants may not be used for study 
leading to the M.D., D.D.S., or other clinical, health-professional 
training except when those studies are a part of a formal combined 
research degree program, such as the M.D./Ph.D.  Similarly, trainees 
may not accept NRSA support for clinical training that is a part of 
residency training leading to clinical certification in a medical or 
dental specialty or subspecialty.  It is permissible and encouraged, 
however, for clinicians to engage in NRSA supported full-time, 
postdoctoral research training even when that experience is creditable 
toward certification by a clinical specialty or subspecialty board.
Trainees are required to pursue their research training on a full-time 
basis, devoting at least 40 hours per week to the program. Within the 
40 hours per week training period, research trainees who are also 
training as clinicians must devote their time to the proposed research 
training and must confine clinical duties to those that are an integral 
part of the research training experience.


The primary objective of the NRSA program is to prepare qualified 
individuals for careers that have a significant impact on the Nation"s 
research agenda.  Within the framework of the program"s longstanding 
commitment to excellence and projected need for investigators in 
particular areas of research, attention must be given to recruiting 
individuals from racial or ethnic groups underrepresented in the 
biomedical and behavioral sciences.  The following groups have been 
identified as underrepresented in biomedical and behavioral research 
nationally: African Americans, Hispanic Americans, Native Americans, 
Alaskan Natives, and Pacific Islanders. Use of the term "minority" in 
this announcement will refer to these groups.

Other considerations relate to the duration of training and the 
transition of trainees to individual support mechanisms.  Studies have 
shown that the length of the appointment to a training grant for 
postdoctoral trainees with health-professional degrees strongly 
correlates with subsequent application for and receipt of independent 
NIH research support.  Training grant program directors, therefore, 
should limit appointments to individuals who are committed to a career 
in research and plan to remain on the training grant or in a non-NRSA 
research experience for a cumulative minimum of 2 years.  It has also 
been shown that transition to independent support is related to career 
success.  Therefore, program directors should encourage postdoctoral 
trainees to apply for the individual postdoctoral fellowships (F32) or 
mentored career development awards (K awards).  During the review of 
training grant applications, peer reviewers will examine the training 
record to determine the average duration of training appointments for 
health-professional postdoctoral trainees and whether there is a record 
of transition to individual support mechanisms.

Past studies have shown that health professional trainees, who train in 
combined programs with postdoctoral researchers with an intensive 
research background, are more likely to apply for and receive research 
grant support.  Programs located in clinical departments that focus on 
research training for individuals with the M.D. or other health-
professional degrees should consider developing ties to basic science 
departments or modifying their program to include individuals with 
research doctorates when this approach is consistent with the goals of 
the program.  Applications should describe the basic science 
department"s contribution to the research training experience and also 
indicate whether both health professional trainees and trainees with 
research doctorates will be included in the training program.

Finally, Program Directors are encouraged to develop methods for 
ongoing evaluation of the quality of the training program.  Although, 
the T32 application process requires extensive career tracking 
information, it is often useful to obtain more proximal feedback from 
trainees.  For example, Training Program Directors are encouraged to 
develop plans to obtain feedback from current and former trainees to 
help identify weaknesses in the training program and to provide 
suggestions for program improvements.  Applicants are encouraged to 
include a description of these plans in their competing applications.


Stipends:  National Research Service Awards provide funds, in the form 
of stipends, to graduate students and postdoctoral trainees.  A stipend 
is provided as a subsistence allowance to help trainees defray living 
expenses during the research training experience.  It is not provided 
as a condition of employment with either the Federal Government or the 
awardee institution.  Stipends must be paid to all trainees at the 
levels approved by the Secretary of the Department of Health and Human 
Services.  Stipend levels are adjusted nearly every year and current 
stipend levels are available on the NIH website at:  

The training institution may not alter established stipend levels.  
Further, stipend amounts are not to be changed in the middle of an 
appointment period.  Stipends may be adjusted only at the time of 
appointment or reappointment.  Finally, stipends must be based on the 
levels established for the current fiscal year of the grant.  

For appointments of less than a full year, the stipend will be based on 
a monthly or daily pro-ration.  The monthly stipend amount is 
calculated by dividing the current annual stipend by 12.  The daily 
stipend is calculated by dividing the current annual stipend by 365.  

For postdoctoral trainees the appropriate stipend level is based on the 
number of FULL years of relevant postdoctoral experience at the time of 
appointment.  Relevant experience may include research experience 
(including industrial), teaching, internship, residency, clinical 
duties, or other time spent in full-time studies in a health-related 
field following the date of the qualifying doctoral degree. 

Tuition, Fees, and Health Insurance:  The NIH will offset the combined 
cost of tuition, fees, and health insurance (either self-only or family 
as appropriate) at the following rate: 100 percent of all costs up to 
$3,000 and 60 percent of costs above $3,000.  Costs associated with 
tuition, fees, and health insurance are allowable only if they are 
applied consistently to all persons in a similar research training 
status at the institution regardless of the source of support.  A full 
description of the tuition policy is contained within the Grants Policy 
Statement at 

Other Trainee Costs: Trainee travel, including attendance at scientific 
meetings that the institution determines to be necessary to the 
individual"s research training, is an allowable trainee expense.  In 
addition, support for travel to a research training experience away 
from the institution may be permitted. Research training experiences 
away from the parent institution must be justified considering the type 
of opportunities for training available, the manner in which these 
opportunities differ from and compliment those offered at the parent 
institution, and the relationship of the proposed experience to the 
trainee"s career stage and goals.  This type of research training 
requires prior approval from the NIH.  Letters requesting such training 
may be submitted to the NIH awarding component at any time during the 
award period.  Under exceptional circumstances, which can include 
providing accommodations for a trainee with disabilities, it is 
possible to request institutional costs above the standard rate.  
Requests for additional trainee costs must be explained in detail and 
carefully justified in the application.  Consultation with NIH program 
staff in advance of such requests is strongly advised.

The institution may receive up to one twelfth of the annual amount 
designated for training related expenses (see below) each month to 
offset the cost of tuition, fees, health insurance, travel, supplies, 
and other expenses for each short-term, health-professional research 
training position.

Training Related Expenses: Institutional costs of $2,200 a year per 
predoctoral trainee and $3,850 a year per postdoctoral trainee may be 
requested to defray the costs of other research training related 
expenses, such as staff salaries, consultant costs, equipment, research 
supplies, and travel expenses for the training faculty.  Training 
related expenses may be adjusted in future fiscal years. 

Facilities and Administrative Costs:  A facilities and administrative 
allowance (indirect cost allowance) based on 8 percent of total 
allowable direct costs (this excludes amounts for tuition, fees, health 
insurance, and equipment) may be requested.  Applications from state 
and local government agencies may request full indirect cost 
reimbursement. Information on Facilities and Administrative Costs is 
available in the Grants Policy Statement at

The grantee institution is allowed to provide funds to an individual in 
addition to the stipends paid by the NIH.  Such additional amounts 
either may be in the form of augmented stipends (supplementation) or in 
the form of compensation, such as salary or tuition remission for 
services such as teaching or serving as a laboratory assistant, 
provided the conditions described below are met.  Under no 
circumstances may the conditions of stipend supplementation or the 
services provided for compensation interfere with, detract from, or 
prolong the trainee"s approved NRSA training program.

Stipend Supplementation: Supplementation or additional support to 
offset the cost of living may be provided by the grantee institution. 
Supplementation does not require additional effort from the trainee.  
DHHS funds may not be used for supplementation under any circumstances.    
Additionally, no funds from other Federal agencies may be used for 
supplementation unless specifically authorized by the NIH and the other 
Federal Agency.    

Compensation:  An institution may provide additional funds to a trainee 
in the form of compensation (as salary and/or tuition remission) for 
services such as teaching or serving as a research assistant.  A 
trainee may receive compensation for services as a research assistant 
or in some other position on a Federal research grant, including a DHHS 
research grant.  However, compensated services should occur on a 
limited, part-time basis apart from the normal research training 
activities, which require a minimum of 40 hours per week. In addition, 
compensation may not be paid from a research grant supporting the 
research training experience. 

Educational Loans or G.I. Bill:  An individual may make use of Federal 
educational loan funds and assistance under the Veterans Readjustment 
Benefits Act (G.I. Bill).  Such funds are not considered 
supplementation or compensation. Postdoctoral trainees in their first 
and third years of training may also be eligible to participate in the 
NIH Extramural Loan Repayment Program

Concurrent Awards:  An NRSA may not be held concurrently with another 
federally sponsored fellowship or similar Federal award that provides a 
stipend or otherwise duplicates provisions of the NRSA.

Tax Liability: Section 117 of the Internal Revenue Code applies to the 
tax treatment of all scholarships and fellowships.  Under that section, 
non-degree candidates are required to report as gross income any monies 
paid on their behalf for stipends, or any course tuition and fees 
required for attendance.  Degree candidates may exclude from gross 
income (for tax purposes) any amount used for tuition and related 
expenses such as fees, books, supplies, and equipment required for 
courses of instruction at a qualified educational organization. The 
taxability of stipends, however, in no way alters the relationship 
between NRSA trainees and institutions.  NRSA stipends are not 
considered salaries.  In addition, trainees supported under the NRSA 
are not considered to be in an employee-employer relationship with the 
NIH or the awardee institution. It is therefore, inappropriate and 
unallowable for institutions to charge costs associated with employment 
(such as FICA, workman"s compensation, or unemployment insurance) to 
the training grant.  It must be emphasized that the interpretation and 
implementation of the tax laws are the domain of the Internal Revenue 
Service (IRS) and the courts.  The NIH takes no position on the status 
of a particular taxpayer, and it does not have the authority to 
dispense tax advice.  Individuals should consult their local IRS office 
about the applicability of the law to their situation and for 
information on their tax obligations.


As specified in the NIH Revitalization Act of 1993, NRSA recipients 
incur a service payback obligation only during their first 12 months of 
postdoctoral support.  Additionally, the Act specifies that the second 
and subsequent years of postdoctoral NRSA training will serve to pay 
back a postdoctoral service payback obligation.  Accordingly, the 
following guidelines apply:

o Predoctoral trainees are not required to sign the payback agreement 
and do not incur a service payback obligation.

o Postdoctoral trainees in the first 12 months of postdoctoral NRSA 
support must sign the payback agreement form (PHS form 6031) before 
initiating an appointment.  Postdoctoral trainees in their first 12 
months of support will incur a period of service payback obligation 
equal to the period of support.

o Postdoctoral trainees in the 13th and subsequent months of NRSA 
postdoctoral support are not required to sign the payback agreement 
form and will not incur a service payback obligation for this period of 
support.  In addition, the 13th and subsequent months of postdoctoral 
NRSA support are considered acceptable payback service for prior 
postdoctoral support. For example, postdoctoral trainees who continue 
under that award for 2 years have fulfilled the obligation incurred 
during the first 12 months of support by the end of the second year.  

o Service payback obligations can also be paid back after termination 
of NRSA support by conducting health-related research or teaching 
averaging more than 20 hours per week of a full work year.

o Recipients with service obligations must begin to provide acceptable 
payback service on a continuous basis within two years of termination 
of NRSA support.  The period for undertaking payback service may be 
delayed for such reasons as temporary disability, completion of 
residency requirements, or completion of the requirements for a 
graduate degree.  Requests for an extension must be made in writing to 
the NIH specifying the need for additional time and the length of the 
required extension.

o Recipients of NRSA support are responsible for informing the NIH of 
changes in status or address.

o For individuals who fail to fulfill their obligation through service, 
the United States is entitled to recover the total amount of NRSA funds 
paid to the individual for the obligated period plus interest at a rate 
determined by the Secretary of the Treasury. Financial payback must be 
completed within 3 years beginning on the date the United States 
becomes entitled to recover such amount.

o Under certain conditions, the Secretary, U.S. Department of Health 
and Human Services (or those delegated this authority) may extend the 
period for starting service or repayment, permit breaks in service, or 
in rare cases in which service or financial repayment would constitute 
an extreme hardship, may waive or suspend the payback obligation of an 
individual.  Detailed information on the accrual and repayment of the 
NRSA service payback obligation and waivers is available at 

o Officials at the awardee institution have the responsibility of 
explaining the terms of the payback requirements to all prospective 
training candidates before appointment to the training grant. 
Additionally, all trainees recruited into the training program must be 
provided with information related to the career options that might be 
available when they complete the program.  The suitability of such 
career options as methods to satisfy the NRSA service payback 
obligation must be discussed.


The institution must submit a completed Statement of Appointment (PHS 
Form 2271) for each trainee appointed or reappointed to the training 
grant.  This Form must be completed at the beginning of the initial 
appointment and annually thereafter.  Additionally, a completed Payback 
Agreement (PHS Form 6031) must be submitted for each postdoctoral 
trainee in their first twelve months of support. Within 30 days of the 
end of the total support period for each trainee, the institution must 
submit a Termination Notice (PHS Form 416-7).  Failure to submit the 
required forms in a timely, complete, and accurate manner may result in 
an expenditure disallowance or a delay in any continuation funding for 
the award.  All of these forms are available on the NIH website at


In general, trainees may receive stipends during the normal periods of 
vacation and holidays observed by individuals in comparable training 
positions at the grantee institution. For the purpose of these awards, 
however, the period between the spring and fall semesters is considered 
to be an active time of research and research training and is not 
considered to be a vacation or holiday.  Trainees may receive stipends 
for up to 15 calendar days of sick leave per year.  Sick leave may be 
used for the medical conditions related to pregnancy and childbirth.  
Trainees may also receive stipends for up to 30 calendar days of 
parental leave per year for the adoption or the birth of a child when 
those in comparable training positions at the grantee institution have 
access to paid leave for this purpose and the use of parental leave is 
approved by the program director.

A period of terminal leave is not permitted and payment may not be made 
from grant funds for leave not taken. Individuals requiring periods of 
time away from their research training experience longer than specified 
here must seek approval from the NIH awarding component for an unpaid 
leave of absence.  At the beginning of a leave of absence, the trainee 
must submit a Termination Notice (PHS Form 416-7) and upon return from 
the leave of absence, the trainee must be formally reappointed to the 
grant by submitting an updated Statement of Appointment (PHS Form 
2271).  Trainees within the first twelve months of postdoctoral support 
must also submit a Payback Agreement (PHS Form 6031) upon return from a 
leave of absence.


Under unusual and pressing personal circumstances, a Program Director 
may submit a written request to the awarding component to change a 
trainee appointment to less than full-time.  Such requests will be 
considered on a case-by-case basis and must be approved by the awarding 
NIH Institute or Center in advance for each budget period.  The nature 
of the circumstances requiring the part-time training might include 
medical conditions, disability, or pressing personal or family 
situations such as child or elder care.  Permission for part-time 
training will not be approved to accommodate other sources of funding, 
job opportunities, clinical practice, clinical training, or for other 
responsibilities associated with the trainee"s position at the 
institution.  In each case, the Program Director must submit a written 
request countersigned by the trainee and an appropriate institutional 
business official that includes documentation supporting the need for 
part-time training.  The written request also must include an estimate 
of the expected duration of the period of part-time training, an 
assurance that the trainee intends to return to full-time training when 
that becomes possible, and an assurance that the trainee intends to 
complete the research training program. In no case will it be 
permissible for the trainee to be engaged in NRSA supported research 
training for less than 50 percent effort.  Individuals who must reduce 
their commitment to less than 50 percent effort must take a leave-of-
absence from NRSA training grant support.  The stipend will be pro-
rated in the grant award during the period of any approved part-time 
training. Part-time training may affect the rate of accrual or 
repayment of the service obligation for postdoctoral trainees.  


We encourage your inquiries concerning this Program Announcement and 
welcome the opportunity answer questions from potential applicants.  
Applicants are encouraged to call, email, or write the appropriate 
contact listed at the end of this announcement.


Applications must be prepared using the Institutional NRSA Section of 
the PHS 398 research grant application instructions and forms (rev. 
5/2001).  The PHS 398 is available at in an 
interactive format.  For further assistance contact GrantsInfo, 
Telephone (301) 710-0267, Email:

Applications Requesting Short-term Training for Health Professional 
Students:  Applicants who wish to include a request for short-term 
research training positions must identify short-term positions 
separately within the "stipends" and "training related expenses" 
categories on the budget page.  Under "stipends," short-term positions 
are to be listed in the "other" category.  Tuition, fees, health 
insurance, trainee travel, and other expenses are to be included in 
"training related expenses" category for short-term positions.  The 
description of the short-term research training program should be 
included in the application for the regular research training program, 
but should be separated from the description of the regular program 
within each section of the application.  In addition to the information 
requested in the "program plan" section, the applicant must address the 
relationship of the proposed short-term program to the regular research 
training program and provide assurance that the short-term program will 
not detract from the regular program. Applicants must observe the 25-
page limit on the narrative section.

NIBIB accepts all T32s types on all three T32 receipt dates. (See NOT-EB-03-010)


Application     Initial            Council            Earliest 
Receipt         Review             Review             Possible
Date            Date               Date               Start Date

Jan 10          Jun/Jul            Sep/Oct            Jan 1
May 10          Oct/Nov            Jan/Feb            Apr 1
Sep 10          Feb/Mar            May/Jun            Jul 1

The schedule of receipt dates for the individual NIH institutes and 
centers are listed below.  Please note that many institutes and centers 
have only a single receipt date.  Also, please be aware that start 
dates may vary.   Applicants are encouraged to contact the appropriate 
funding component to determine which dates are appropriate.  Applicants 
with programs that involve research training in AIDS are especially 
encouraged to contact the funding institute and center in advance to 
determine the appropriate receipt date.

Institute/Center                   Receipt Date(s)

NIA                                May 10
NIAAA                              May 10
NIAID                              Sep 10
NIAMS                              May 10
NIBIB (postdoc. training grants)   Jan 10
NIBIB (predoc. training grants)    Jan 10, May 10, Sep 10
NICHD                              May 10
NIDCD                              May 10
NIDDK                              Jan 10, May 10, Sep 10
NIDCR                              Sep 10 
NIDA                               May 10
NIEHS                              May 10
NIGMS (postdoc. training grants)   Jan 10 
NIGMS (predoc. training grants)    Jan 10, May 10, Sep 10 
NEI                                May 10
NHLBI                              May 10
NHGRI                              May 10
NIMH                               May 10    	
NINDS                              May 10
NINR                               May 10
NCI                                Jan 10, May 10, Sep 10
NCCAM                              May 10
NCRR                               Jan 10, May 10, Sep 10

Applicants are encouraged to contact appropriate institute/center staff 
before preparing and submitting an application.  (See the end of this 
announcement for a list of NIH contacts).


Applications (except those assigned to NIGMS for funding) requesting 
$500,000 or more in direct costs for any year must include a cover 
letter identifying the NIH staff member within one of NIH institutes or 
centers who has agreed to accept assignment of the application.   

Applicants requesting more than $500,000 must carry out the following 

1) Contact the IC program staff at least 6 weeks before submitting the 
application, i.e., as you are developing plans for the program, 

2) Obtain agreement from the IC staff that the IC will accept your 
application for consideration for award, and,
3) Identify, in a cover letter sent with the application, the staff 
member and IC who agreed to accept assignment of the application.  

With the exception of training grant applications assigned to NIGMS, 
NICHD, NEI, NIDCR, and NINR this policy applies to all investigator-
initiated new (type 1), competing continuation (type 2), competing 
supplement (type 3), or any amended or revised version of a training 
grant application. Training grant applications assigned to the NIGMS 
for funding are not required to include a cover letter when annual 
direct costs exceed $500,000.  Additional information on this policy is 
available in the NIH Guide for Grants and Contracts, October 19, 2001 


Submit a signed, typewritten original of the application, including the 
checklist, and five 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
Bethesda, MD  20817 (for express/courier service)

All grant applications submitted to CSR must come via United States 
Postal Service or a recognized delivery/courier service.  Individuals 
may not personally deliver packages to the building on Rockledge Drive.  
For further information please see 


Applications must be received by or mailed before the receipt dates 
described at above.  The CSR will not accept any application in 
response to this PA that is essentially the same as one currently 
pending initial review unless the applicant withdraws the pending 
application.  The CSR will not accept any application that is 
essentially the same as one already reviewed.  This does not preclude 
the submission of a substantial revision of an application already 
reviewed, but such application must include an Introduction addressing 
the previous critique.


Applications submitted for this PA will be assigned on the basis of 
established PHS referral guidelines.  An appropriate scientific review 
group convened in accordance with the standard NIH peer review 
procedures ( will evaluate 
applications for scientific and technical merit.  

As part of the initial merit review, all applications will:

o Receive a written critique
o Undergo a selection process in which only those applications deemed 
to have the highest scientific merit, generally the top half of 
applications under review, will be discussed and assigned a priority 
o Receive a second level review by the appropriate national advisory 
council or board


Although individual NIH Institutes and Centers may have specialized 
review criteria, most applications are evaluated using on the following 

o Past research training record of both the program and the designated 
preceptors as determined by the success of former trainees in seeking 
further career development and in establishing productive scientific 
careers.  Evidence of further career development can include receipt of 
fellowships, career awards, further training appointments, and similar 
accomplishments.  Evidence of a productive scientific career can 
include a record of successful competition for research grants, receipt 
of special honors or awards, a record of publications, receipt of 
patents, promotion to scientific positions, and any other measure of 
success consistent with the nature and duration of the training 

o Objectives, design, and direction of the research training program,

o Caliber of preceptors as researchers, including successful 
competition for research support in areas directly related to the 
proposed research training program,

o Quality of the institutional training environment for NRSA supported 
trainees and the relationship of the NRSA program to the broader 
training program (if appropriate). The level of institutional 
commitment, quality of the facilities, availability of appropriate 
courses, and the availability of research and research training 

o Quality of the applicant pool and the selection of individuals for 
appointment to the training program.  This assessment will include a 
consideration of the racial and ethnic diversity of the trainee pool, 
but will take into account the described recruitment and retention 
efforts as well as the availability of individuals from 
underrepresented groups within the relevant pool of applicants,

o Record of the research training program in retaining health-
professional postdoctoral trainees for at least 2 years in research 
training or other research activities,

o When appropriate, the concomitant research training of health-
professional postdoctorates (i.e., individuals with the M.D., D.O., 
D.D.S., etc.) with basic science postdoctorates (i.e., individuals with 
a Ph.D., etc.) or linkages with basic science departments.

Short-Term Research Training Positions: In addition to the above 
criteria, applications that request short-term research training 
positions will also be assessed using the following criteria: 

o Quality of the proposed short-term research training program 
including the commitment and availability of the participating faculty, 
program design, availability of research support, and training 

o Access to candidates for short-term research training and the ability 
to recruit high quality, short-term trainees from the applicant 
institution or some other health-professional school,

o Characteristics of the research training program that might be 
expected to persuade short-term trainees to consider careers in health-
related research,

o Success in attracting students back for multiple appointments 
(competing continuation applications),

o Effect of the short-term training program on the quality of the 
regular research training program or any existing, stand-alone short- 
term research training program, including the appropriateness of the 
number of short-term positions, and the plan to integrate the short-
term training program into the regular research training programs,

o Plan to follow the careers of short-term trainees and to assess the 
effect of the training program on subsequent career choices.


Minority Recruitment and Retention Plan: The NIH remains committed to 
increasing the participation of individuals from underrepresented 
minority groups in biomedical and behavioral research.  As first 
announced in 1989, all competing applications for institutional NRSA 
research training grants must include a specific plan to recruit and 
retain underrepresented minorities in the training program.  In 
addition, all competing continuation applications must include a report 
on the recruitment and retention of underrepresented minorities during 
the previous award period.  If an application is received without a 
plan or without a report on the previous award period, the application 
will be considered incomplete and will be returned to the applicant 
without review.  Additional information on this requirement was 
published in the NIH Guide for Grants and Contracts, Volume 22, Number 
25, July 16, 1993 (see

Competing continuation and non-competing applications must include a 
detailed account of experiences in recruiting individuals from 
underrepresented groups during the previous funding period. Information 
must be included on successful and unsuccessful recruitment strategies.  
The report should provide information on the racial/ethnic distribution 

o Students or postdoctorates who applied for admission or positions 
within the department(s) relative to the training grant,

o Students or postdoctorates who were offered admission to or a 
position within the department(s),

o Students actually enrolled in the academic program relevant to the 
training grant,

o Students or postdoctorates who were appointed to the research 
training grant.

For those trainees who were enrolled in the academic program, the 
report should include information about the duration of research 
training and whether those trainees finished their training in good 

The success of efforts to recruit and retain minority trainees is a 
factor in the assessment of the quality of the trainee pool and thus 
will be included within the priority score.  In addition, peer 
reviewers will separately evaluate the minority recruitment plan and 
report (for competing renewals) after the overall score has been 
determined.  Reviewers will examine the strategies to be used in the 
recruitment of minorities and whether the experience in recruitment 
during the previous award period has been incorporated into the 
formulation of the plan for the next award period.  The review panel"s 
evaluation will be included in an administrative note in the summary 
statement.  If the plan or the record of minority recruitment and 
retention is judged to be unacceptable, funding will be withheld until 
a revised plan (and report) that addresses the deficiencies is 
received.  Staff within the NIH awarding component, with guidance from 
the appropriate national advisory committee or council, will determine 
whether amended plans and reports submitted after the initial review 
are acceptable.

Training in the Responsible Conduct of Research: Every predoctoral and 
postdoctoral NRSA trainee supported by an institutional research 
training grant must receive instruction in the responsible conduct of 
research.  (For more information on this provision, see the NIH Guide 
for Grants and Contracts, Volume 21, Number 43, November 27, 1992, see 
Applications must include a description of a program to provide formal 
or informal instruction in scientific integrity or the responsible 
conduct of research.  Applications without plans for instruction in the 
responsible conduct of research will be considered incomplete and will 
be returned to the applicant without review. 

o 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 graduate students or postdoctorates appointed to 
the program.

o Plans must address the subject matter of the instruction, the format 
of the instruction, the degree of faculty participation, trainee 
attendance, and the frequency of instruction.

o The rationale for the proposed plan of instruction must be provided.

o 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 noncompeting applications. The NIH encourages 
institutions to provide instruction in the responsible 
conduct of research to all graduate students, postdoctorates, and 
research staff regardless of their source of support.

NIH initial review groups will assess the applicant"s plans on the 
basis of the appropriateness of topics, format, amount and nature of 
faculty participation, and the frequency and duration of instruction.

The plan will be discussed after the overall determination of merit, so 
that the review panel"s evaluation of the plan will not be a factor in 
the determination of the priority score.  Plans will be judged as 
acceptable or unacceptable.  The acceptability of the plan will be 
described in an administrative note on the summary statement. 
Regardless of the priority score, applications with unacceptable plans 
will not be funded until the applicant provides a revised, acceptable 
plan.  Staff within the NIH awarding component will judge the 
acceptability of the revised plan. 

Following initial review, the appropriate NIH institute or center 
council, board, or other advisory group also reviews applications.  
These advisory groups will consider the assessment of the scientific 
and educational merit of the research training grant application as 
well as the initial review group"s comments on the recruitment of 
individuals from underrepresented minority groups and the plan for 
instruction in the responsible conduct of research.


Applications are selected for funding primarily on the basis of 
scientific and educational merit, but other factors are considered, 
such as: availability of funds, research program priorities, the 
balance among types of research training supported by the awarding 
component, the acceptability of the plan for minority recruitment, and 
the acceptability of the proposal for instruction in the responsible 
conduct of research.  The awarding NIH institute will notify the 
applicant of the final action shortly after advisory council review.

For additional information, see the current Grants Policy Statement at: 


As indicated above, applicants are strongly encouraged to contact the 
individuals designated below, in advance of preparing an application, 
for additional information concerning the areas of research, receipt 
dates, and other types of pre-application instructions.

National Institute on Aging (NIA)
Dr. Robin Barr
Telephone: 301-496-9322

National Institute on Alcohol Abuse and Alcoholism (NIAAA)
Tina Vanderveen, Ph.D.
Office of Collaborative Research
Telephone:  301-443-2531

National Institute of Allergy and Infectious Diseases (NIAID)
Dr. Milton Hernandez
Telephone: 301-496-7291

National Institute of Arthritis and Musculoskeletal and Skin Diseases (NIAMS)
Dr. Richard Lymn
Telephone: 301-594-5128

National Institute of Biomedical Imaging and Bioengineering
Richard Swaja, Ph.D.
Telephone:  301-451-6771

National Cancer Institute (NCI)
Note:  The NCI has special policies and requirements for their T32 
Refer to the following URL for this information: 
Drs. Lester Gorelic and Cynthia Pond
Telephone: 301-496-8580
Email: and

National Institute of Child Health and Human Development (NICHD)
Dr. Steven Klein 
Telephone: 301-496-5541
National Institute on Deafness and Other Communication Disorders 
Dr. Daniel Sklare
Telephone: 301-496-1804

National Institute of Dental and Craniofacial Research (NIDCR)
Dr. James Lipton
Telephone: 301-594-2618

National Institute of Diabetes and Digestive and Kidney Diseases 
Division of Diabetes, Endocrinology, and Metabolic Diseases
Dr. James Hyde
Telephone: 301- 594-7692

Division of Digestive Diseases and Nutrition
Dr. Judith Podskalny
Telephone: 301-594-8876

Division of Kidney, Urologic, and Hematologic Diseases
Dr. Terry Rogers Bishop
Telephone: 301-594-7717

National Institute on Drug Abuse (NIDA)
Office of Science Policy and Communications
Lucinda L. Miner, Ph.D.
Telephone:  (301) 443-6071
Email: CM171W@NIH.GOV

Division of Neuroscience and Behavioral Research
Dr. Charles Sharp
Telephone: 301-443-1887

Division of Epidemiology, Services and Prevention Research
Dr. Kathy Etz
Telephone: 301-443-1514887

Division of Treatment Research and Development
Dr. Jamie Biswas
Telephone: 301-443-5280

National Institute of Environmental Health Sciences (NIEHS)
Dr. Carol Shreffler
Telephone:  919 - 541- 1445    
National Eye Institute (NEI)
Dr. Chyren Hunter
Telephone: 301-496-2020

National Institute of General Medical Sciences (NIGMS)
Dr. John Norvell 
Telephone: 301-594-0533

National Heart, Lung, and Blood Institute (NHLBI)
Note: The NHLBI has special policies and requirements for their T32 
grants.  Refer to the following URLs for this information:  and 

Dr. Michael Commarato
Telephone: 301-435-0530

National Human Genome Research Institute (NHGRI)
Bettie J. Graham, Ph.D.
Telephone: 301-496-7531

National Institute of Mental Health (NIMH)

Mark Chavez, Ph.D.
Division of Mental Disorders, Behavioral Research, and AIDS
Telephone: 301-443-8942

Walter L. Goldschmidts, Ph.D.
Division of Neuroscience and Basic Behavioral Science
Telephone: (301) 443-3563

Enid Light, Ph.D.
Division of Services and Intervention Research
Telephone: (301) 443-1185

National Institute of Neurological Disorders and Stroke (NINDS)
NINDS Training and Career Development Officer
Telephone: 301-496-4188

National Institute of Nursing Research (NINR) 
Dr. Nell Armstrong
Telephone:  (301) 594-5973

National Center for Complementary and Alternative Medicine (NCCAM)
Nancy J. Pearson, Ph.D.
Telephone: 301-594-0519

National Center for Research Resources (NCRR)
Franziska Grieder, D.V.M., Ph.D.
Telephone:  301-435-0744


components involving Phase I and II clinical trials must include 
provisions for assessment of patient eligibility and status, rigorous 
data management, quality assurance, and auditing procedures.  In 
addition, it is NIH policy that all clinical trials require data and 
safety monitoring, with the method and degree of monitoring being 
commensurate with the risks (NIH Policy for Data Safety and Monitoring, 
NIH Guide for Grants and Contracts, June 12, 1998:  

policy of the NIH that women and members of minority groups and their 
sub-populations must be included in all NIH-supported clinical research 
projects unless a clear and compelling justification is provided 
indicating that inclusion is inappropriate with respect to the health 
of the subjects or the purpose of the research. This policy results 
from the NIH Revitalization Act of 1993 (Section 492B of Public Law 

All investigators proposing clinical research should read the AMENDMENT 
"NIH Guidelines for Inclusion of Women and Minorities as Subjects in 
Clinical Research - Amended, October, 2001," published in the NIH Guide 
for Grants and Contracts on October 9, 2001 
(, a 
complete copy of the updated Guidelines are available at 
The amended policy incorporates: the use of an NIH definition 
of clinical research, updated racial and ethnic categories in 
compliance with the new OMB standards, clarification of language 
governing NIH-defined Phase III clinical trials consistent with the new 
PHS Form 398, and updated roles and responsibilities of NIH staff and 
the extramural community.  The policy continues to require for all NIH-
defined Phase III clinical trials that: a) all applications or 
proposals and/or protocols must provide a description of plans to 
conduct analyses, as appropriate, to address differences by sex/gender 
and/or racial/ethnic groups, including subgroups if applicable, and b) 
investigators must report annual accrual and progress in conducting 
analyses, as appropriate, by sex/gender and/or racial/ethnic group 

SUBJECTS: The NIH maintains a policy that children (i.e., individuals 
under the age of 21) must be included in all human subjects research, 
conducted or supported by the NIH, unless there are scientific and 
ethical reasons not to include them. This policy applies to all initial 
(Type 1) applications submitted for receipt dates after October 1, 

All investigators proposing research involving human subjects should 
read the "NIH Policy and Guidelines" on the inclusion of children as 
participants in research involving human subjects that is available at 

policy requires education on the protection of human subject 
participants for all investigators submitting NIH proposals for 
research involving human subjects.  You will find this policy 
announcement in the NIH Guide for Grants and Contracts Announcement, 
dated June 5, 2000, at

HUMAN EMBRYONIC STEM CELLS (hESC): Criteria for federal funding of 
research on hESCs can be found at and at  
Only research using hESC lines that are registered in the NIH Human 
Embryonic Stem 
Cell Registry will be eligible for Federal funding (see   It is the responsibility of the applicant to 
provide the official NIH identifier(s)for the hESC line(s)to be used in 
the proposed research.  Applications that do not provide this 
information will be returned without review. 

The Office of Management and Budget (OMB) Circular A-110 has been 
revised to provide public access to research data through the Freedom 
of Information Act (FOIA) under some circumstances.  Data that are (1) 
first produced in a project that is supported in whole or in part with 
Federal funds and (2) cited publicly and officially by a Federal agency 
in support of an action that has the force and effect of law (i.e., a 
regulation) may be accessed through FOIA.  It is important for 
applicants to understand the basic scope of this amendment.  NIH has 
provided guidance at

Applicants may wish to place data collected under this PA in a public 
archive, which can provide protections for the data and manage the 
distribution for an indefinite period of time.  If so, the application 
should include a description of the archiving plan in the study design 
and include information about this in the budget justification section 
of the application. In addition, applicants should think about how to 
structure informed consent statements and other human subjects 
procedures given the potential for wider use of data collected under 
this award.

proposals for NIH funding must be self-contained within specified page 
limitations. Unless otherwise specified in an NIH solicitation, 
Internet addresses (URLs) should not be used to provide information 
necessary to the review because reviewers are under no obligation to 
view the Internet sites.   Furthermore, we caution reviewers that their 
anonymity may be compromised when they directly access an Internet 

HEALTHY PEOPLE 2010: The Public Health Service (PHS) is committed to 
achieving the health promotion and disease prevention objectives of 
"Healthy People 2010," a PHS-led national activity for setting priority 
areas. This PA is related to one or more of the priority areas. 
Potential applicants may obtain a copy of "Healthy People 2010" at

AUTHORITY AND REGULATIONS:  NRSA Institutional Research Training Grants 
are made under the authority of Section 487 of the Public Health 
Service Act as amended (42 USC 288).  Title 42 of the Code of Federal 
Regulations, Part 66, is applicable to this program.  This program is 
also described under the following numbers in the Catalog of Federal 
Domestic Assistance: 93.121, 93.172, 93.173, 93.272, 93.278, 93.282, 
93.306, 93.361, 93.398, 93.821, 93.837-93.839, 93.846-93.849, 93.853-
93.856, 93.859, 93.862-93.868, 93.871, 93.880, 93.894, and 93.929.  For 
additional information, see the current Grants Policy Statement at: 

The PHS strongly encourages all grant recipients to provide a smoke-
free workplace and discourage the use of all tobacco products.  In 
addition, Public Law 103-227, the Pro-Children Act of 1994, prohibits 
smoking in certain facilities (or in some cases, any portion of a 
facility) in which regular or routine education, library, day care, 
health care, or early childhood development services are provided to 
children.  This is consistent with the PHS mission to protect and 
advance the physical and mental health of the American people. 

Weekly TOC for this Announcement
NIH Funding Opportunities and Notices

Office of Extramural Research (OER) - Home Page Office of Extramural
Research (OER)
  National Institutes of Health (NIH) - Home Page National Institutes of Health (NIH)
9000 Rockville Pike
Bethesda, Maryland 20892
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and Human Services (HHS) - Government Made Easy

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