NIH GUIDE, Volume 23, Number 15, April 15, 1994

PA NUMBER:  PA-94-055



National Institutes of Health

Application Receipt Dates:  August 5, December 5, and April 5



This is an updated and expanded program announcement for the National

Institutes of Health (NIH), National Research Service Award,

Individual Postdoctoral Fellowship.  It applies to all NIH funding

Institutes and Centers, including the National Institute on Alcohol

Abuse and Alcoholism, the National Institute on Drug Abuse, and the

National Institute of Mental Health.  A complete list of NIH

institutes and centers (hereafter referred to as Institutes) can be

found under INQUIRIES.

The main changes in this program announcement are the new application

receipt and review dates, effective April 1, 1993, the revised

payback provisions, effective June 10, 1993, and the revised stipend

levels, effective with Fiscal Year 1994 awards.

The Congress of the United States established the National Research

Service Award (NRSA) Program in 1974 to help ensure that highly

trained scientists are available in adequate numbers and in

appropriate research areas to carry out the Nation's biomedical and

behavioral research agenda.  Under this congressional authority, NIH

awards NRSA individual postdoctoral fellowships (F32s) to qualified

applicants, selected as a result of a national competition, to

support full-time research training related to the missions of its

constituent Institutes.

o  The criteria for evaluating applications focus on the candidate,

the research training project, and the training resources and

environment, including the sponsor.

o  Awards provide a stipend plus a small allowance to defray some

training expenses.

o  The initial 12 months of NRSA postdoctoral support carries a

service payback requirement, which can be fulfilled by continued

training under the award or by engaging in other health-related

research training, health-related research, or health-related



Citizenship.  At time of application, individuals must be  citizens

or noncitizen nationals of the United States, or have been lawfully

admitted to the United States for permanent residence (i.e., in

possession of a currently valid Alien Registration Receipt Card I-

551, or other legal verification of such status).  Noncitizen

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.

Degree Requirements.  As of the activation date of the NRSA award,

individuals must have received a Ph.D., M.D., D.O., D.D.S., D.V.M.,

O.D., D.P.M., Sc.D., Eng.D., Dr.P.H., D.N.S.,  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.

Sponsorship.  Before submitting a fellowship application, the

applicant must arrange for appointment to an appropriate institution

and acceptance by a sponsor who will supervise the training and

research experience.  The institution may be  private (nonprofit or

for-profit) or public, including a Federal laboratory.

Applicants requesting foreign training must show in the application

that the foreign institution and sponsor offer special opportunities

that are not currently available in the United States.  Only in cases

where there are clear scientific advantages will foreign training be

supported.  Applicants proposing training at their doctorate

institution or at the institution where they have been training for

more than a year must document thoroughly the opportunity for new

training experiences that would broaden their scientific background.

The applicant's sponsor should be a competent, active investigator in

the area of the proposed research, who will personally supervise the

candidate's research.  The sponsor must document, in the application,

the availability of staff, research support, and facilities to

provide a suitable environment for performing high-quality research



Period of Support.  Individuals may receive up to three years of

aggregate NRSA support at the postdoctoral level, including any

combination of support from institutional training grants and

individual fellowship awards.  Exceptions to the three-year limit

require a waiver from the NIH.  Individuals interested in a waiver

should consult with staff of the relevant NIH Institute.

Characteristics of Programs

The proposed NRSA training must encompass biomedical or behavioral

research and offer an opportunity for individuals to broaden their

scientific background or to extend their potential for research in

health-related areas.  For those who have attained a health

professional degree, the proposed training may be a part of a

research degree program.

Individuals 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 confine clinical duties within their full-

time training to those that are part of the research training


The Secretary of the Department of Health and Human Services (DHHS)

is required by law, in taking into account the Nation's overall needs

for biomedical personnel, to give special consideration to physicians

who agree to undertake a minimum of two years of biomedical or

behavioral research.  The NIH recognizes the critical importance of

training clinicians to become researchers and encourages them to

apply.  Women, minorities, and individuals with disabilities are also

encouraged to apply.

An NRSA 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 NIH Revitalization Act of 1993 substantially modified the service

payback requirements for individuals supported by the NRSA program.

For fellowship awards beginning on or after June 10, 1993, only

fellows in the first 12 months of postdoctoral NRSA support will

incur a service obligation of one month for each month of support.

Postdoctoral fellows in the 13th and subsequent months of NRSA

support will incur no further obligation, and such support will be

considered acceptable postdoctoral payback service.  Thus,

individuals who begin their initial NRSA postdoctoral fellowship on

or after June 10, 1993 and continue under that award for two years

would have paid off their first year obligation by the end of the

second year.

Postdoctoral fellows accepting an award covering their first 12

months of NRSA postdoctoral support must sign a payback agreement to

engage in health-related research training, health-related research,

or health-related teaching for a period equal to their initial 12

months of NRSA postdoctoral support.

Those who do not pay back their obligation through continued NRSA

training or other full-time health-related research training may

satisfy their obligation by serving in a full-time position in which

health-related research and/or teaching constitute the primary

activity or, if not serving in a full-time position of this kind,

engaging in such research or teaching in a position(s) for periods

that average more than 20 hours per week of a full work year.

Full-time academic appointments in a biomedical or behavioral field

normally meet the payback requirement.  Payback service may also be

conducted in a governmental, commercial, or other nonacademic

environment, and 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 teachers.  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 funding NIH Institute 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 two years after

termination of 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 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.

Under certain conditions, the Secretary of DHHS may extend the period

for starting service, permit breaks in service, extend the period of

repayment, or otherwise waive, in whole or in part, the payback

obligation of an individual.  Questions on payback should be directed

to the appropriate Institute contact.


NRSAs provide stipends to postdoctoral researchers 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 NRSA support is determined by

the number of years of relevant postdoctoral experience at the time

the award is issued.  Relevant experience may include research

experience (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.  Current postdoctoral stipends, effective with Fiscal Year

1994 awards, are as follows:

Full Years of Relevant Experience        Annual Amount

               Less than 1                $ 19,608

               1                            20,700

               2                            25,600

               3                            26,900

               4                            28,200

               5                            29,500

               6                            30,800

               7 or more                    32,300

The stipend for each subsequent year of NRSA support is the next

level in the stipend structure and begins on the anniversary date of

the original activation.  No departure from the standard 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 direct deposited in the fellow's U.S. bank account or

paid directly to the fellow by U.S. Treasury check.

An institution is allowed to provide funds to a fellow in addition to

the stipend paid by the NIH.  Such additional amounts may be in the

form of augmented stipends (supplementation) or compensation for


Stipend Supplementation.  Supplementation, when provided, must not

obligate the fellow in any way.  Additionally, no Federal funds may

be used for supplementation unless specifically authorized under the

terms of both the program from which such supplemental funds are to

be received and the program whose funds are to be supplemented.

Under no circumstances may Public Health Service (PHS) grant funds be

used for supplementation.

Compensation.   An 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 laboratory

assistant.  Compensation for services is not considered stipend

supplementation.  A fellow may receive compensation for services as a

research assistant or some other position on a Federal research

grant, including a PHS research grant.  However, it is expected that

compensated services will occur on a limited, part-time basis apart

from the normal training activities, which require a minimum of 40

hours per week, and compensation may not be paid from a research

grant that supports the same research that is part of the F32

training experience.

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 NRSA training program.

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.

Concurrent Awards.  An NRSA may not be held concurrently with another

federally sponsored fellowship or similar award that provides a

stipend or otherwise duplicates provisions of the NRSA.  However, an

individual may accept concurrent educational benefits from the

Department of Veteran's Affairs (e.g., G.I. Bill) and from Federal

loan funds.

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, all stipends and

any monies paid on their behalf for course tuition and fees required

for attendance.  Degree candidates may exclude from gross income

reported 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 fellows and institutions.  NRSA stipends

are not considered salaries.  NRSA fellows are not considered to be

in an employee-employer relationship with the NIH or the institution

in which they are pursing research training.

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 what the status may be for 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 situations and for information on the proper steps to be

taken regarding their tax obligations.

The business office of the sponsoring institution is responsible for

the annual preparation and issuance of the IRS form 1099 (Statement

of Miscellaneous Income) for fellows paid through the institution

(fellows training at domestic non-Federal institutions).  The NIH

will issue the form for all fellows paid directly by them (fellows

training at Federal or foreign laboratories).

Other Training Costs

NIH will provide an institutional allowance of $3,000 per 12-month

period to non-Federal, nonprofit sponsoring institutions to help

defray such awardee expenses as tuition and fees, self-only health

insurance, research supplies, equipment, travel to scientific

meetings, and related items.  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 not enrolled or engaged in training for more

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

the NIH.

The NIH will provide up to $2,000 for fellows sponsored by Federal

laboratories or for-profit institutions for the following specified

expenses for the fellow: scientific meeting travel expenses, self-

only health insurance, tuition and fees, and books.  For fellows at

for-profit institutions, the $2,000 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.

Additional funds may be requested by the institution if the training

of a fellow involves extraordinary costs for (1) travel to field

sites remote from the sponsoring institution or (2) accommodations

for fellows who are disabled, as defined by the Americans With

Disabilities Act.  The funds requested for extraordinary cost must be

reasonable in relationship to the total dollars awarded under an F32

and must be directly related to the approved research training

project.  Such additional funds shall be provided only in exceptional

circumstances that are fully justified and explained by the


Travel Expenses.  Awards for training at a foreign site 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 the

means of 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.


Individuals must submit the Application for Public Health Service

Individual National Research Service Award (PHS 416-1, rev. 10/91),

including with the application at least three letters of reference.

If the applicant has been lawfully admitted to the United States for

permanent residence, a notarized statement documenting this status

must be submitted with the application.

Applicants and sponsoring institutions must comply with policies and

procedures governing the protection of human subjects, the humane

care and use of live vertebrate animals, and the inclusion of women

and minorities in study populations.

Applicants should indicate in Item 3 (Program Announcement or Request

for Applications) on the face page of the application the initials of

the NIH Institute (e.g., NIA, NIGMS) most appropriate to the research

area of the application.  The list of Institutes under INQUIRIES at

the end of this announcement will be helpful in selecting the

appropriate initials.  If the application is submitted in response to

a published specific Program Announcement (PA) or Request for

Applications (RFA) from a particular NIH Institute, the applicant

should identify the number of the PA or RFA in Item 3.  This

information will be used as a guide in the assignment process.

Application kits and the brochure Helpful Hints on Preparing a

Fellowship Application to the National Institutes of Health are

available by writing the Grants Information Office, Division of

Research Grants, National Institutes of Health, Westwood Building,

Room 449, Bethesda, Maryland 20892, or by calling (301) 710-0267.  A

self-addressed mailing label will expedite written requests.

Concurrent Applications.  An individual may not have more than one

competing NRSA individual fellowship application pending concurrently

with the NIH or the PHS.

Application Receipt and Review Schedule

F32 applications undergo an expedited review that takes approximately

5 months.  The three annual review cycles are as follows:

Application Receipt Dates:           Aug 5       Dec 5     Apr 5

Initial Review Dates:                Oct/Nov     Feb/Mar   Jun/Jul

Secondary Review Dates:              Dec/Jan     Apr/May   Aug/Sep

Earliest Possible Start Dates:       Jan 1       May 1     Sep 1


Applications receive two sequential levels of review.  Initial review

groups (IRGs), composed primarily of nongovernment scientists

selected for their competence in particular scientific areas,

evaluate applications for merit.  The Scientific Review Administrator

(SRA), a designated Federal official, coordinates the review of

applications for each IRG.

After the initial review meeting, the SRA prepares a written summary

of the review of each application and forwards it to the appropriate

NIH Institute.  There, a second level of review is provided by a

committee of Institute staff members and a funding decision is made.

Review Criteria

The review criteria focus on three main components:

o  the applicant;

o  the research proposed (both its scientific merit and training

potential); and

o the training resources and environment, including the sponsor.

It is important to remember that the F32 program is a training

mechanism and not a research mechanism.  Major considerations in the

review are the applicant's potential for a productive scientific

career, the applicant's need for the proposed training, and the

degree to which the research training proposal, the sponsor, and the

environment will meet the needed training.  For more details, see

Review Criteria on page 4 of the instructions for application form

PHS 416-1.


Shortly after the initial review meeting, each candidate will be sent

a mailer that includes the IRG recommendation, where appropriate the

priority score and percentile rank (except in those cases where the

Institute does not percentile fellowships), and information regarding

the Institute program official.  The Institute automatically forwards

a copy of the summary statement to the applicant as soon as possible

after receipt from the IRG.  Following the second-level review, the

Institute will notify each applicant of the final disposition of the

application.  Any questions on initial review recommendations and

funding possibilities should be directed to the appropriate Institute

program official, not the scientific review administrator of the IRG.

Award Criteria

The staff of the NIH Institutes use the following criteria in making

awards: (1) the IRG recommendation of the overall merit of the

application; (2) the relevance of the application to the Institute's

research priorities and program balance; and (3) the availability of


Activation.  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 form the fellow.

Success Rate

In fiscal year 1993, NIH reviewed 2,075 NRSA F32 applications and

made 793 awards, for an applicant success rate of 38.2 percent.  The

average success rate over the last 5 fiscal years was 38.5 percent.

(These data, for all years, include the National Institute on Alcohol

Abuse and Alcoholism, the National Institute on Drug Abuse, and the

National Institute of Mental Health.)  Because awards are made by

individual Institutes, applicant success rates by Institute may vary.

The availability of funds for future awards is contingent upon annual



NRSAs 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.  The following Catalog of Federal

Domestic Assistance numbers are applicable to these awards: 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.

Fellowships must be administered in accordance with the current

National Research Service Award Guidelines for Individual Awards and

Institutional Grants, the current PHS Grants Policy Statement, and

any terms and conditions specified on the award notice.  The

following policies are noted.

Certification and Reporting Procedures.  No application will be

accepted without the applicant signing the certification block which

indicates, among other things, intent to meet the payback provisions

required under law.  No funds may be disbursed until the fellow has

started training under the award and an Activation Notice (PHS 416-5)

has been submitted to NIH, accompanied by a Payback Agreement (PHS

6031) when the award is for the individual's initial 12 months of

NRSA postdoctoral support.

When support ends, the fellow must submit a Termination Notice (PHS

416-7) to the NIH, and 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.

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.

PHS policy is to make available to the public the results and

accomplishments of the activities that it funds.  Therefore, it is

incumbent upon fellows to make results and accomplishments of their

F32 activities available to the public.  There should be no

restrictions on the publication of results in a timely manner.

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.

Nondiscrimination.  The NIH research training and career development

programs are conducted in compliance with applicable public laws

enacted by the Congress since 1964, which provide that no person

shall, on the grounds of race, color, national origin, handicap, or

age, be excluded from participating in, be denied the benefits of, or

be subjected to discrimination under any program or activity (or, on

the basis of sex, with respect to any education program or activity)

receiving Federal assistance.

This program is not subject to the intergovernmental review

requirements of Executive Order 12372 or Health Systems Agency



For additional information contact the appropriate individual listed



Dr. Robin Barr  (301) 496-9322


Division of Basic Research

Dr. Ernestine Vanderveen  (301) 443-1273

Division of Biometry and Epidemiology

Dr. Mary Dufour  (301) 443-4897

Division of Clinical and Prevention Research

Ms. Frances Cotter  (301) 443-1206


Dr. Milton Hernandez  (301) 496-7291



Dr. Richard Lymn  (301) 594-9959


Dr. John Schneider or Dr. Andrew Vargosko  (301) 496-8580


Ms. Hildegard Topper  (301) 496-0104



Dr. Daniel Sklare  (301) 496-1804


Dr. Thomas Valega  (301) 594-7617



Division of Diabetes, Endocrinology, and Metabolic Diseases

Dr. Ronald Margolis  (301) 594-7549

Division of Digestive Diseases and Nutrition

Dr. Judith Podskalny  (301) 594-7539

Division of Kidney, Urologic and Hematologic Diseases

Dr. Charles Rodgers  (301) 594-7555


Division of Basic Research

Dr. Charles Sharp  (301) 443-1887

Division of Clinical Research

Dr. Arthur Horton  (301) 443-4060

Division of Epidemiology and Prevention Research

Dr. Mario de la Rosa  (301) 443-6543

Medications Development Division

Dr. Heinz Sorer  (301) 443-6270


Dr. Michael Galvin, Jr.  (919) 541-7825


Dr. Maria Giovanni  (301) 496-0484


Dr. Michael Martin  (301) 594-7753


Division of Blood Diseases and Resources

Dr. Fann Harding  (301) 496-1817

Division of Heart and Vascular Diseases

Dr. John Fakunding  (301) 496-1724

Division of Lung Diseases

Ms. Mary Reilly  (301) 594-7466


Division of Clinical and Treatment Research

Dr. Harry Gwirtsman (301) 443-3264

Division of Epidemiology and Services Research

Dr. Kenneth Lutterman  (301) 443-3373

Division of Neuroscience and Behavioral Science

Ms. Mary Curvey  (301) 443-3107

Office of AIDS

Dr. Leonard Mitnick  (301) 443-6100


Mr. Edward Donohue  (301) 496-4188


Dr. Teresa Radebaugh  (301) 594-7590


Dr. Bettie Graham  (301) 496-7531


Dr. Cynthia Pond  (301) 594-7933

NOTE: The Office of Alternative Medicine at NIH, as announced in the

NIH Guide for Grants and Contracts, Volume 23, Number 1, January 7,

1994, will provide funds for approximately six postdoctoral

fellowships in fiscal year 1994.  The funds will be provided to the

appropriate Institute identified above which will award and

administer the fellowship.  Interested applicants should consult the

above program announcement (PA-94-025) and if applicable, indicate

the PA number in item 3 on the face page of the application.  For

further information, contact Dr. John Spencer (301) 402-4333



Ms. Donna Rae Castillo  (301) 594-1362


NIH provides other postdoctoral opportunities for training and career

development for individuals interested in biomedical and behavioral

careers.  Among these are:

o  NRSA Institutional Training Grants

o  NRSA Senior Fellowships

o  International Research Fellowships and Minority International

Institutional Training Grants (FIC)

o  Medical Informatics Post-Doctoral Fellowships and Fellowships in

Applied Informatics (NLM)

o  Minority Access to Research Careers Faculty Fellowships (NIGMS)

o  Minority Faculty Development Awards and Minority NRSA

Institutional Training Grants (NHLBI)

o  Career Opportunities in Research Faculty Fellowship Program (NIMH)

o  Research Supplements for Under-represented Minorities

o  Research Supplements to Promote the Recruitment of Individuals

with Disabilities into Biomedical Research Careers

o  Research Supplements to Promote Reentry into Biomedical and

Behavioral Research Careers

Individuals interested in the above programs are encouraged to

contact the relevant F32 Institute contact listed under INQUIRIES in

this announcement.  The contact for the Fogarty International Center

is Ms. Eileen Trevisan, (301) 496-1653, and the contact for the

National Library of Medicine is Dr. Roger Dahlen, (301) 496-4221.

For a complete description of programs that provide scientific

training support at levels from high school to the senior

investigator level, and for training at research institutions,

colleges, and universities around the United States, in other

countries, and at the NIH facilities, please refer to Research

Training and Career Development Programs Supported by the National

Institutes of Health. (NIH Publication No. 92-2273).  This booklet

can be obtained from the Office of Grants Information, Division of

Research Grants, National Institutes of Health, Westwood Building,

Room 449, Bethesda, MD 20892, telephone (301) 710-0267.  A self-

addressed mailing label will expedite written requests.


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