and Human Services (HHS)
EXPIRED
RUTH L. KIRSCHSTEIN NATIONAL RESEARCH SERVICE AWARDS FOR INDIVIDUAL
POSTDOCTORAL FELLOWS (F32)
RELEASE DATE: February 6, 2003
PA NUMBER: PA-03-067 (This PA has been reissued as PA-06-373)
(Expiration date extended, see NOT-OD-06-045)
EXPIRATION DATE: April 5, 2006, unless reissued.
National Institutes of Health (NIH)
(http://grants.nih.gov/training/extramural.htm)
CATALOG OF FEDERAL DOMESTIC ASSISTANCE NUMBERS: 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, 93.862-93.867, 93.880,
93.894, and 93.929
This program announcement supersedes PA-00-104, which appeared in the
NIH Guide on June 1, 2000.
THIS PA CONTAINS THE FOLLOWING INFORMATION
o Purpose
o Mechanism of Support
o Eligibility Requirements
o Eligible Sponsoring Institutions
o Allowable Costs
o Supplementation of Stipends and Compensation
o Tax Liability
o Service Payback Requirements
o Leave Policies
o Part-Time Training
o Other Special Requirements
o Where to send Inquiries
o Submitting an Application
o Peer Review Process
o Review Criteria
o Award Criteria
o Required Federal Citations
PURPOSE
The Congress of the United States enacted the National Research Service
Act (NRSA) Program in 1974 to help ensure that a diverse pool of highly
trained scientists will be available in adequate numbers and in
appropriate research areas to carry out the Nation's biomedical and
behavioral research agenda. In 2002, the National Research Service
Award Program was renamed the Ruth L. Kirschstein National Research
Service Award Program as a tribute to Dr. Kirschstein's years of
exceptional service to the Nation. Additional details related to this
legislative change are available at
http://grants.nih.gov/training/news.htm. Under this congressional
authority, the National Institutes of Health (NIH) awards individual
postdoctoral fellowships (F32) to promising applicants with the
potential to become productive, independent investigators in fields
related to the mission of the NIH constituent institutes and centers.
MECHANISM OF SUPPORT
This program announcement for the individual Postdoctoral Fellowship
Award (F32) is issued under the auspices of the Kirschstein-NRSA Act.
The proposed postdoctoral training must be within the broad scope of
biomedical, behavioral, or clinical research and must offer an
opportunity to enhance the fellow's understanding of the health-related
sciences and extend his/her potential for a productive research career.
Fellowship awardees are required to pursue their research training on a
full-time basis, devoting at least 40 hours per week to the training
program. Research clinicians must devote full-time to their proposed
research training and must restrict clinical duties within their full-
time research training experience to activities that are directly
related to the research training experience. A Kirschstein-NRSA
fellowship (F32) may not be used to support studies leading to the
M.D., D.O., D.D.S., D.V.M., or other similar health-professional
degrees. Neither may these awards be used to support the clinical years
of residency training.
The Secretary, U.S. Department of Health and Human Services (DHHS), is
required by law, to consider the Nation's overall needs for biomedical
personnel and to give special consideration to physicians and other
health professionals who agree to undertake a minimum of 2 years of
biomedical, behavioral or clinical research. NIH recognizes the
critical importance of training clinicians to become researchers and
encourages them to apply. For those who have a health professional
degree, the proposed training may be used to satisfy a portion of the
degree requirements for a master's degree, a doctoral degree or any
other advanced research degree program. Women, minorities, and
individuals with disabilities are encouraged to apply.
ELIGIBILITY REQUIREMENTS
Citizenship. By the time of award, candidates for the postdoctoral
fellowship award must be citizens or non-citizen nationals of the
United States, or must have been lawfully admitted to the United
States for Permanent Residence (i.e., possess a currently valid Alien
Registration Receipt Card I-551, or other legal verification of such
status). Non-citizen nationals are generally persons born in outlying
possessions of the United States (i.e., American Samoa and Swains
Island). Individuals on temporary or student visas are not eligible.
Individuals may apply for the F32 in advance of admission to the United
States as a Permanent Resident recognizing that no award will be made
until legal verification of Permanent Resident status is provided.
Degree Requirements. Before a Kirschstein-NRSA postdoctoral fellowship
award can be activated, the individual must have received a Ph.D.,
M.D., D.O., D.C., D.D.S., D.V.M., O.D., D.P.M., Sc.D., Eng.D., Dr.
P.H., D.N.S., N.D., Pharm.D., D.S.W., Psy.D., or equivalent doctoral
degree from an accredited domestic or foreign institution.
Certification by an authorized official of the degree-granting
institution that all degree requirements have been met is also
acceptable.
Duration of Support. Individuals may receive up to 3 years of
aggregate Kirschstein-NRSA support at the postdoctoral level, including
any combination of support from institutional training grants (T32) and
individual fellowship awards (F32). Applicants must consider any prior
Kirschstein-NRSA postdoctoral research training in determining the
duration of fellowship support requested. Training beyond the 3-year
aggregate limit may be possible under certain exceptional
circumstances, but a waiver from the NIH awarding component is
required. Individuals seeking additional Kirschstein-NRSA support
beyond the third year are strongly advised to consult with relevant NIH
staff before preparing a justification. Any waiver will require a
detailed justification of the need for additional research training.
Sponsor. Before submitting a fellowship application, the applicant must
identify a sponsoring institution and an individual who will serve as a
sponsor (also called mentor or supervisor) and will supervise the
training and research experience.
The applicant's sponsor should be an active investigator in the area of
the proposed research who will directly supervise the candidate's
research. The sponsor must document the availability of research
support and facilities for high-quality research training. In most
cases, the F32 supports research training experiences in new settings
in order to maximize the acquisition of new skills and knowledge.
However, in unusual circumstances, applicants may propose postdoctoral
training experiences at their doctorate institution or at the
institution where they have been training for more than a year. In
such cases, the applicant must carefully document the opportunities for
new research training experiences specifically designed to broaden
their scientific background.
Foreign Sponsorship. Applicants requesting fellowship support for
foreign research training must show in the application that the foreign
institution and sponsor offer unique opportunities and clear scientific
advantages over positions currently available in the United States.
ELIGIBLE SPONSORING INSTITUTIONS
The sponsoring institution may be any of the following:
o For-profit or non-profit organizations
o Public or private institutions, such as universities, colleges,
hospitals, and laboratories
o Units of State and local governments
o Eligible agencies and labs of the Federal government including NIH
intramural labs
o Domestic or foreign
ALLOWABLE COSTS
Stipends. Kirschstein-NRSA awards provide stipends to postdoctoral
fellows as a subsistence allowance to help defray living expenses
during the research training experience. The awards are not provided as
a condition of employment with either the Federal government or the
sponsoring institution. The stipend level for the first year of
Kirschstein-NRSA support is determined by the number of full years of
relevant postdoctoral experience at the time the award is issued (not
at the time of activation, see below). Fellows with less than one full
year of postdoctoral experience at the time of award will receive
initial support at the zero level. Relevant experience may include
research (including research in industry), teaching, internship,
residency, clinical duties, or other time spent in full-time studies in
a health-related field beyond that of the qualifying doctoral degree.
The stipend schedule is updated nearly every year and applicants are
advised to check for the posting of the current stipend schedule on the
NIH website at http://grants.nih.gov/training/nrsa.htm. The awarding
NIH institute or center will adjust awards on the anniversary date of
the fellowship award to ensure consistency with the stipend schedule in
effect at that time.
The stipend for each subsequent year of Kirschstein-NRSA support is the
next level of experience using the stipend schedule in effect at that
time. Stipends will be adjusted on the anniversary date of the award
and will not be changed mid-year to accommodate an increase in the
level of experience. No departure from the published Kirschstein-NRSA
stipend schedule may be negotiated between the institution and the
fellow.
For fellows sponsored by domestic non-federal institutions, the stipend
will be paid through the sponsoring institution. For fellows sponsored
by Federal or foreign institutions, the monthly stipend payment will be
deposited in the fellow's U.S. bank account or paid directly to the
fellow by U. S. Department of Treasury check.
Tuition and Fees. The NIH will offset the combined cost of tuition and
fees 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 and
fees are allowable only if they are required for specific courses in
support of the research training experience supported by the
fellowship. A full description of the tuition policy is contained
within the NRSA section of the Grants Policy Statement at
http://grants.nih.gov/grants/policy/policy.htm.
Institutional Allowance. At the time of publication, fellows receive
an institutional allowance of $5,500 per 12-month period to nonfederal,
nonprofit, or foreign sponsoring institutions to help defray such
awardee expenses as research supplies, equipment, health insurance
(either self-only or family as appropriate), and travel to scientific
meetings. Support for health insurance is allowable only if it is
applied consistently for all individuals in a similar research training
status regardless of the source of support. This allowance is intended
to cover training related expenses for the individual awardee. The
allowance is not available until the fellow officially activates the
award. If an individual fellow is enrolled or engaged in training for
less than 6 months of the award year, only one-half of that year's
allowance may be charged to the grant. The Notice of Research
Fellowship Award will be revised and the balance must be refunded to
NIH.
NIH will provide an institutional allowance of up to $4,400 for fellows
sponsored by Federal laboratories or for-profit institutions for
expenses associated with travel to scientific meetings, health
insurance, and books. For fellows at for-profit institutions, the
$4,400 will be paid to the institution for disbursement to the fellow.
Funds for fellows at Federal laboratories will be disbursed from the
NIH awarding institute.
The Institutional Allowance is adjusted from time-to-time. Prospective
applicants are advised to check for the current Institutional Allowance
in the most recent documentation related to Kirschstein-NRSA stipends
at http://grants.nih.gov/training/nrsa.htm.
Other Training Costs. Additional funds may be requested by the
institution when the training of a fellow involves extraordinary costs
for travel to field sites remote from the sponsoring institution; or,
accommodations for fellows who are disabled, as defined by the
Americans With Disabilities Act. The funds requested for costs of this
nature must be reasonable in relationship to the total dollars awarded
under the fellowship and must be directly related to the approved
research training experience. Such additional funds shall be provided
only in exceptional circumstances that are fully justified and
explained by the sponsoring institution.
Awards for training at a foreign site may include a single economy or
coach round-trip travel fare. No allowance is provided for dependents.
U.S. flag air carriers must be used to the maximum extent possible when
commercial air transportation is available for travel between the
United States and a foreign country or between foreign countries.
Funds are not provided to cover the cost of travel between the fellow's
place of residence and a domestic training institution. However, in
cases of extreme need or hardship, a one-way travel allowance may be
authorized by the sponsoring institution. Such travel must be paid from
the institutional allowance.
Facilities and Administrative Costs. F&A (indirect) costs are not
allowed on individual fellowship awards.
SUPPLEMENTATION OF STIPENDS, COMPENSATION, AND OTHER INCOME
The sponsoring institution is allowed to provide funds to the fellow 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 fellow's approved Kirschstein-NRSA training program.
Stipend Supplementation: Supplementation or additional support to
offset the cost of living may be provided by the sponsoring
institution. Supplementation does not require additional effort from
the fellow. 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: The sponsoring institution may provide additional funds
to a fellow in the form of compensation (as salary and/or tuition
remission) for services such as teaching or serving as a research
assistant. A fellow 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 fellow's 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 fellows may also be
eligible to participate in the NIH Extramural Loan Repayment Program.
Information on this program is available at http://www.lrp.nih.gov/.
Concurrent Awards: A Kirschstein-NRSA fellowship may not be held
concurrently with another federally sponsored fellowship or similar
Federal award that provides a stipend or otherwise duplicates
provisions of this award.
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
Kirschstein-NRSA trainees or fellows and their institutions.
Kirschstein-NRSA stipends are not considered salaries. In addition,
trainees supported under the Kirschstein-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 fellowship
award. 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.
SERVICE PAYBACK
As required by the NIH Revitalization Act of 1993, postdoctoral fellows
incur a service obligation of 1 month for each month of support during
the first 12 months of the Kirschstein-NRSA postdoctoral support. The
13th and subsequent months of Kirschstein-NRSA support are acceptable
postdoctoral payback service. Thus, individuals who continue under the
award for 2 years will have paid off their first year obligation by the
end of the second year.
Applicants accepting an award for the first 12 months of Kirschstein-
NRSA postdoctoral support must sign a payback agreement (PHS Form
6031) in which they agree to engage in health-related research
training, research, and/or teaching for 12 months.
Those who do not pay back their obligation through continued
Kirschstein-NRSA supported training may satisfy their obligation by
serving in a position in which health- related research, research
training, or teaching are the primary activities. Such individuals
must engage in research, research training, or teaching at a rate of 20
or more hours per week averaged over a full work-year. Payback service
may be conducted in an academic, governmental, commercial, or
nonacademic environment, in the United States or in a foreign country.
Examples of acceptable payback service include research
associateships/assistantships, postdoctoral research fellowships, and
college or high school science teaching positions. Examples of
unacceptable payback service include clinical practice and
administrative responsibilities not directly related to scientific
research.
Payback service positions are arranged by the individual, not by the
NIH. The NIH will review and approve the activity at the end of the
year in which it occurs. Service to satisfy any outstanding obligation
must be initiated within 2 years after termination of Kirschstein-NRSA
support, and must be performed on a continuous basis. For individuals
who fail to fulfill their service obligation, the United States is
entitled to recover the total amount of Kirschstein-NRSA funds paid to
the individual for the obligated period plus interest at a rate
determined by the Secretary of the U.S. Department of Treasury.
Financial payback must be completed within 3 years, beginning on the
date the United States becomes entitled to recover such amount.
Under certain conditions, the Secretary, DHHS, may extend the period
for starting service, permit breaks in service, extend the period of
repayment, or otherwise waive the payback obligation when compliance
would constitute a substantial hardship against equity and good
conscience. Policies regarding the Kirschstein-NRSA payback obligation
are explained in the Kirschstein-NRSA Section of the NIH Grants Policy
Statement available at http://grants.nih.gov/grants/policy/policy.htm.
Specific questions may appear in a list of Frequently Asked Questions
that appears on the Web at
http://grants.nih.gov/training/faq_fellowships.htm. Other questions on
payback should be directed to the appropriate NIH institute contact.
LEAVE POLICIES
In general, fellows may receive stipends during the normal periods of
vacation and holidays observed by individuals in comparable training
positions at the sponsoring 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. Fellows 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. Fellows 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 fellowship funds for leave not taken. Fellows 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.
PART-TIME TRAINING
Under unusual and pressing personal circumstances, a fellow may submit
a written request to the awarding component to permit less than full-
time training. Such requests will be considered on a case-by-case
basis. They 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 fellow's position at the institution. In each case, the
fellow must submit a written request countersigned by the sponsor 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 fellow intends to
return to full-time training when that becomes possible, and an
assurance that the trainee intends to complete the proposed research
training program. In no case will it be permissible for the fellow to
be engaged in Kirschstein-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
Kirschstein-NRSA fellowship support. The fellowship notice of award
will be reissued and the stipend will be pro-rated 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
fellows.
OTHER SPECIAL REQUIREMENTS
Fellowships must be administered in accordance with the current NRSA
section of the Grants Policy Statement at
http://grants.nih.gov/grants/policy/policy.htm), and any terms and
conditions specified on the award notice.
Certification and Reporting Procedures. No application will be accepted
without the applicant signing the certification block on the face page
of the application. Individuals admitted to the United States as
Permanent Residents must submit notarized evidence of legal admission
prior to the award. A Payback Agreement Form (PHS 6031) must accompany
the Activation Notice for any award that occurs during the individual's
initial 12 months of Kirschstein-NRSA postdoctoral support. When
support ends, the fellow must submit a Termination Notice (PHS 416-7)
to the NIH. If the fellow has a payback obligation, he or she must
notify the NIH of any change in address and submit Annual Payback
Activities Certification Forms (PHS 6031-1) until the payback service
obligation is satisfied. Forms will be provided to awardees by the NIH
awarding component. Forms may also be found on the NIH Website at
http://grants.nih.gov/grants/forms.htm.
Inventions and Publications. Fellowships made primarily for educational
purposes are exempted from the PHS invention requirements. F32 awards
will not contain any provision giving PHS rights to inventions made by
the awardee.
Data Sharing. It is the policy of the DHHS that the results and
accomplishments of all funded activities should be made available to
the public. This policy also applies to individuals supported by
individual Kirschstein-NRSA postdoctoral fellowships. The sponsoring
institution should place no restrictions on the publication of results
in a timely manner.
Copyrights. Except as otherwise provided in the terms and conditions of
the award, the recipient is free to arrange for copyright without
approval when publications, data, or other copyrightable works are
developed in the course of work under a PHS grant-supported project or
activity. Any such copyrighted or copyrightable works shall be subject
to a royalty-free, nonexclusive, and irrevocable license to the
Government to reproduce, publish, or otherwise use them, and to
authorize others to do so for Federal Government purposes.
WHERE TO SEND INQUIRIES
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)
Robin Barr, Ph.D.
Telephone: 301-496-9322
Email: [email protected]
National Institute on Alcohol Abuse and Alcoholism (NIAAA)
Tina Vanderveen, Ph.D.
Office of Collaborative Research
Telephone: 301-443-2531
E-mail: [email protected]
National Institute of Allergy and Infectious Diseases (NIAID)
Milton Hernandez, Ph.D.
Telephone: 301-496-3775
Email: [email protected]
National Institute of Arthritis and Musculoskeletal and Skin Diseases
(NIAMS)
Richard Lymn, Ph.D.
Telephone: 301-594-5128
Email: [email protected]
National Institute of Biomedical Imaging and Bioengineering (NIBIB)
Richard Swaja, Ph.D.
Telephone: 301-451-6771
E-mail: [email protected]
National Cancer Institute (NCI)
Lester Gorelic, Ph.D. and Cynthia Pond, Ph.D.
Telephone: 301-496-8580
Email: [email protected] and [email protected]
National Institute of Child Health and Human Development (NICHD)
Steven Klein, Ph.D.
Telephone: 301-496-5541
Email: [email protected]
National Institute on Deafness and Other Communication Disorders
(NIDCD)
Daniel Sklare, Ph.D.
Telephone: 301-496-1804
Email: [email protected]
National Institute of Dental and Craniofacial Research (NIDCR)
James Lipton, Ph.D.
Telephone: 301-594-2618
Email: [email protected]
National Institute of Diabetes and Digestive and Kidney Diseases
(NIDDK)
Division of Diabetes, Endocrinology, and Metabolic Diseases
James Hyde, Ph.D.
Telephone: 301- 594-7692
Email: [email protected]
Division of Digestive Diseases and Nutrition
Judith Podskalny, Ph.D.
Telephone: 301-594-8876
Email: [email protected]
Division of Kidney, Urologic, and Hematologic Diseases
Terry Rogers Bishop, Ph.D.
Telephone: 301-594-7717
Email: [email protected]
National Institute on Drug Abuse (NIDA)
Office of Science Policy and Communications
Lucinda L. Miner, Ph.D.
Telephone: (301) 443-6071
Email: [email protected]
Center on AIDS and Other Medical Consequences of Drug Abuse
Helen Cesari, M.Sc.
Telephone: 301-402-1918
Email: [email protected]
Division of Neuroscience and Behavioral Research
Charles Sharp, Ph.D.
Telephone: 301-443-1887
Email: [email protected]
Division of Epidemiology, Services and Prevention Research
Kathy Etz, Ph.D.
Telephone: 301-443-1514887
Email: [email protected]
Division of Treatment Research and Development
Jamie Biswas, Ph.D.
Telephone: 301-443-5280
Email: [email protected]
National Institute of Environmental Health Sciences (NIEHS)
Carol Shreffler, Ph.D.
Telephone: 919 - 541- 1445
Email: [email protected]
National Eye Institute (NEI)
Chyren Hunter, Ph.D.
Telephone: 301-496-2020
Email: [email protected]
http://www.nei.nih.gov/funding/t32.htm
National Institute of General Medical Sciences (NIGMS)
John Norvell, Ph.D.
Telephone: 301-594-0533
Email: [email protected]
National Heart, Lung, and Blood Institute (NHLBI)
Sandra Colombini Hatch, M.D.
Telephone: 301-435-0220
Email: [email protected]
National Human Genome Research Institute (NHGRI)
Bettie J. Graham, Ph.D.
Telephone: 301-496-7531
Email: [email protected]
National Institute of Mental Health (NIMH)
Mark Chavez, Ph.D.
Division of Mental Disorders, Behavioral Research, and AIDS
Telephone: 301-443-8942
Email: [email protected]
Walter L. Goldschmidts, Ph.D.
Division of Neuroscience and Basic Behavioral Science
Telephone: (301) 443-3563
Email: [email protected]
Enid Light, Ph.D.
Division of Services and Intervention Research
Telephone: (301) 443-1185
Email: [email protected]
National Institute of Neurological Disorders and Stroke (NINDS)
NINDS Training and Career Development Officer
Telephone: 301-496-4188
Email: [email protected]
National Institute of Nursing Research (NINR)
Nell Armstrong, Ph.D., R.N.
Telephone: (301) 594-5973
Email: [email protected]
National Center for Complementary and Alternative Medicine (NCCAM)
Nancy J. Pearson, Ph.D.
Telephone: 301-594-0519
Email: [email protected]
National Center for Research Resources (NCRR)
Franziska Grieder, D.V.M., Ph.D.
Telephone: 301-435-0744
Email: [email protected]
NIH Office of Dietary Supplements (ODS)
Mary Frances Picciano, Ph.D.
Telephone: 301-435-2920
Email: [email protected]
If you are not sure whom to contact about this program, please call:
Walter T. Schaffer, Ph.D.
Research Training Officer
National Institutes of Health
6705 Rockledge Drive, Room 3537
Bethesda, Maryland 20892-7963
Phone: 301-435-2687
FAX: 301-480-0146
Email: [email protected]
SUBMITTING AN APPLICATION
Individuals must submit the application using the Ruth L. Kirschstein
National Research Service Award Individual Fellowship Form (PHS 416-1,
rev. 06/02) available at http://grants.nih.gov/grants/forms.htm.
APPLICATIONS MUST INCLUDE AT LEAST THREE SEALED LETTERS OF REFERENCE.
APPLICATIONS WITHOUT AT LEAST THREE LETTERS OF REFERENCE MAY BE
RETURNED OR DELAYED IN REVIEW. If the applicant has been lawfully
admitted to the United States for permanent residence, the appropriate
item should be checked on the Face Page of the application. Applicants
who have applied for and have not yet been granted admission as a
permanent resident should check the Permanent Resident block on the
Face Page of the PHS 416-1 application, and also write in the word
"pending." A notarized statement documenting legal admission for
permanent residence must be submitted prior to the issuance of an
award.
If the fellowship application is submitted in response to a Program
Announcement (PA) or Request for Application (RFA) from a particular
NIH institute, the applicant should identify the number of the PA or
RFA in Item 3.
Instructions in the Responsible Conduct of Research.
Applications must include the candidate's plans for obtaining
instruction in the responsible conduct of research, including the
rationale, subject matter, appropriateness, format, frequency and
duration of instruction. The amount and nature of faculty
participation must be described. No award will be made if an
application lacks this component.
Application Materials.
Applications must be prepared using the PHS 416-1 application form and
instructions for Individual National Research Service Award Fellowships
(rev. 06/02). The PHS 416-1 is available at
http://grants.nih.gov/grants/forms.htm in an interactive format. For
further assistance contact GrantsInfo, Telephone (301) 710-0267, Email:
[email protected].
APPLICATION PROCESSING: Applications must be mailed on or before the
receipt dates for individual NRSA Fellowships described at
http://grants.nih.gov/grants/funding/submissionschedule.htm. The
Center for Scientific Review (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.
Although there is no immediate acknowledgement of the receipt of an
application, applicants are generally notified of the review and
funding assignment within 8 weeks. Normally the complete review
process takes between 5 and 8 months.
INCOMPLETE APPLICATIONS WILL NOT BE REVIEWED
Submit a signed, typewritten original of the application (including the
Checklist, Personal Data form, AT LEAST THREE SEALED REFERENCE LETTERS,
and all other required materials) and two (2) exact, clear, single-
sided photocopies of the signed application, 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 applications submitted to the Center for Scientific Review 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
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-012.html.
PEER REVIEW PROCESS
Complete applications will be assigned to the appropriate participating
Institute and a suitable Scientific Review Group (SRG) in the Center
for Scientific Review (CSR) or in the assigned NIH Institute or Center.
Applicants will be notified by mail of their application's Institute
and SRG assignment.
Applications receive two sequential levels of review. The first level
is an assessment of the merit of the research training by an SRG,
composed primarily of non-government scientists selected for their
competence in research and research training in a scientific area
related to the application. After the SRG meeting, the Scientific
Review Administrator (SRA), a designated Federal official, who
coordinates the review of applications for the SRG, prepares a written
summary of the review of each application and forwards it to the
appropriate NIH Institute. Staff within the assigned funding Institute
or Center provides a second level of review.
REVIEW CRITERIA
The review criteria focus on four main components:
o Candidate: An assessment of the candidate's previous academic and
research performance and the potential to become an important
contributor to biomedical, behavioral, or clinical science.
o Sponsor and Training Environment: An assessment of the quality of the
training environment and the qualifications of the sponsor as a mentor
for the proposed research training experience.
o Research Proposal: The merit of the scientific proposal and its
relationship to the candidate's career plans.
o Training Potential: An assessment of the value of the proposed
fellowship experience as it relates to the candidate's needs in
preparation for a career as an independent researcher.
ADDITIONAL REVIEW CRITERIA: In addition to the above criteria, the
following items may be considered in the determination of scientific
merit and the priority score:
PROTECTION OF HUMAN SUBJECTS FROM RESEARCH RISK: The involvement of
human subjects and protections from research risk relating to their
participation in the proposed research will be assessed. (See criteria
included in the section on Federal Citations, below).
INCLUSION OF WOMEN, MINORITIES AND CHILDREN IN RESEARCH: The adequacy
of plans to include subjects from both genders, all racial and ethnic
groups (and subgroups), and children as appropriate for the scientific
goals of the research will be assessed. Plans for the recruitment and
retention of subjects will also be evaluated. (See Inclusion Criteria
in the sections on Federal Citations, below).
CARE AND USE OF VERTEBRATE ANIMALS IN RESEARCH: If vertebrate animals
are to be used in the project, the five items described on page 21 of
the PHS 416-1 fellowship application instructions (rev. 6/2002) will be
assessed (see http://grants.nih.gov/grants/forms.htm).
Notification. Shortly after the SRG meeting, applicants will be
notified by mail of the SRG recommendation and the name and phone
number of the Institute program official responsible for the
application. When the program official representing the Institute
receives the written summary of the review, prepared by the SRA after
the review meeting, a copy will be forwarded to the applicant.
Following the second-level review, the program official will notify
applicants within the funding range of the final disposition of the
application. Any questions on SRG recommendations and funding
possibilities should be directed to the appropriate Institute program
official, not the Scientific Review Administrator of the SRG.
AWARD CRITERIA
NIH staff use the following criteria in making awards: (1)
eligibility of the applicant; (2) the SRG recommendation of the overall
merit of the application; (3) the relevance of the application to the
Institute's research training priorities and program balance; and (4)
the availability of funds.
Activation. No funds may be disbursed until the fellow has started
training under the award and an Activation Notice (PHS 416-5) and (when
appropriate) a Payback Agreement (PHS 6031) has been submitted to the
NIH. An awardee has up to 6 months from the issue date on the award
notice to activate the award. Under unusual circumstances, an NIH
institute may grant an extension of the activation period upon receipt
of a specific request from the fellow.
REQUIRED FEDERAL CITATIONS
HUMAN SUBJECTS PROTECTION: Federal regulations (45CFR46) require that
applications and proposals involving human subjects must be evaluated
with reference to the risks to the subjects, the adequacy of protection
against these risks, the potential benefits of the research to the
subjects and others, and the importance of the knowledge gained or to
be gained.
MONITORING PLAN AND DATA SAFETY AND MONITORING BOARD: Research
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:
http://grants.nih.gov/grants/guide/notice-files/not98-084.html).
INCLUSION OF WOMEN AND MINORITIES IN CLINICAL RESEARCH: It is the
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 103-43).
All investigators proposing clinical research should read the "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
(http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-001.html); a
complete copy of the updated Guidelines are available at
http://grants.nih.gov/grants/funding/women_min/guidelines_amended_10_
2001.htm. 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
differences.
INCLUSION OF CHILDREN AS PARTICIPANTS IN RESEARCH INVOLVING HUMAN
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,
1998.
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
http://grants.nih.gov/grants/funding/children/children.htm.
REQUIRED EDUCATION ON THE PROTECTION OF HUMAN SUBJECT PARTICIPANTS:
NIH 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
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html.
HUMAN EMBRYONIC STEM CELLS (hESC): Criteria for federal funding of
research on hESCs can be found at
http://grants.nih.gov/grants/stem_cells.htm and at
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-005.html.
Only research using hESC lines that are registered in the NIH Human
Embryonic Stem Cell Registry will be eligible for Federal funding (see
http://escr.nih.gov). 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.
PUBLIC ACCESS TO RESEARCH DATA THROUGH THE FREEDOM OF INFORMATION ACT:
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
http://grants.nih.gov/grants/policy/a110/a110_guidance_dec1999.htm.
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.
URLs IN NIH GRANT APPLICATIONS OR APPENDICES: All applications and
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
site.
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
http://www.health.gov/healthypeople.
AUTHORITY AND REGULATIONS
Kirschstein-NRSA awards are made under the authority of Section 487 of
the Public Health Service Act as amended (42 USC 288), and Title 42 of
the Code of Federal Regulations, Part 66. All awards are subject to the
terms and conditions, cost principles, and other considerations
described in the NIH Grants Policy Statement. The NIH Grants Policy
Statement can be found at
http://grants.nih.gov/grants/policy/policy.htm. This program is not
subject to the intergovernmental review requirements of Executive Order
12372 or Health Systems Agency review.
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
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