Full Text PA-95-050


NIH GUIDE, Volume 24, Number 15, April 28, 1995

PA NUMBER:  PA-95-050

P.T. 34

  Biomedical Research, Multidiscipl 

National Institute on Aging
National Institute on Alcohol Abuse and Alcoholism
National Institute of Allergy and Infectious Diseases
National Institute of Arthritis and Musculoskeletal and Skin Diseases
National Institute of Child Health and Human Development
National Institute on Deafness and Other Communication Disorders
National Institute of Dental Research
National Institute of Diabetes and Digestive and Kidney Diseases
National Institute on Drug Abuse
National Institute of Environmental Health Sciences
National Heart, Lung, and Blood Institute
National Institute of Mental Health

Application Receipt Dates:  February 1, June 1, and October 1


The Independent Scientist Award (ISA) (K02) provides support for
newly independent scientists who can demonstrate the need for a
period of intensive research focus as a means of enhancing their
research careers.  This award is intended to foster the development
of outstanding scientists and enable them to expand their potential
to make significant contributions to their field of research.  This
award replaces two existing career development awards, the Research
Scientist Development Award (K02) and the Research Career Development
Award (K04).  Individuals who were eligible to apply for either of
these awards are now directed to apply for a K02 award.  Therefore,
this Program Announcement (PA) supersedes all previous K02 and K04
program announcements.

The NIH recently reviewed its career awards (K-series) used to
develop the research capabilities of clinicians and other scientists
needed to carry out the nation's research mission in the biomedical
and behavioral sciences.  This evaluation resulted in several
changes:  (1) the total number of K mechanisms were reduced from 19
to six; (2) the review criteria were refined to clarify the career
development goals of the K award; and (3) K award applications will
be assigned to initial review groups managed by the prospective
funding institute or center to which the application has been


The Public Health Service (PHS) is committed to achieving the health
promotion and disease prevention objectives of "Healthy People 2000,"
a PHS-led national activity for setting priority areas.  This PA,
Independent Scientist Award, is related to the priority area of human
resource development.  Potential applicants may obtain a copy of
"Healthy People 2000" (Full Report:  Stock No. 017-001-00474-0 or
Summary Report:  Stock No. 017-001-00473-1) from the Superintendent
of Documents, Government Printing Office, Washington, DC 20402-9325
(telephone 202/783-3238).


The candidate must have a doctoral degree and peer-reviewed,
independent, research support at the time the award is made.  The
candidate must also be willing to spend a minimum of 75 percent
effort conducting research and research career development during the
period of the award.  In addition, the candidate must demonstrate
that the requested period of research focus will foster his/her
career as highly productive scientist in the indicated field of
research.  Scientists whose work is primarily theoretical may apply
for this award in the absence of external research grant support.

Applications may be submitted on behalf of candidates by domestic,
non-Federal organizations, public or private, such as medical,
dental, or nursing schools or other institutions of higher education.
Minorities and women are encouraged to apply.  Candidates must be
U.S. citizens or noncitizen nationals, or must have been lawfully
admitted for permanent residence and possess an Alien Registration
Receipt Card (I-151 or I-551) or some other verification of legal
admission as a permanent resident.  Noncitizen nationals, although
not U.S. citizens, owe permanent allegiance to the U.S.  They are
usually born in lands that are not states, but are under U.S.
sovereignty, jurisdiction, or administration.  Individuals on
temporary or student visas are not eligible.


Awards in response to this program announcement will use the K02
mechanism.  Planning, direction, and execution of the program will be
the responsibility of the candidate.  However, the institution must
demonstrate a commitment to the candidate and the candidate's goals
for career development.  The project period for the K02 award is five
years.  Awards may be renewed once at the discretion of the NIH
awarding unit.  Not all of the NIH awarding components allow renewal
of this award.  Prospective candidates are advised to discuss this
issue withe the appropriate contact listed under INQUIRIES.


A.  Environment:  The institution should have a demonstrated
commitment to research and a commitment to the continuing development
of the candidate as an independent scientist.  The institution must
provide assurance that the candidate is an integral part of its
research and academic program.

B.  Program: The award provides five consecutive, 12 month
appointments.  At least 75 percent of the recipient's full-time
professional effort must be devoted to the program and the remainder
devoted to other research-related and/or teaching pursuits consistent
with the objectives of the award.

C.  Allowable Costs:

1.  Salary:  The NIH will provide salary and fringe benefits for the
K recipient.  The salary limits are not uniform throughout the NIH
and are determined independently by each component of the NIH.
Therefore, prospective candidates should contact the NIH component to
which the application is targeted to ascertain the maximum
contribution to the candidate's salary.

The institution may supplement the NIH contribution up to a level
that is consistent with the institution's salary scale; however,
supplementation may not be from Federal funds unless specifically
authorized by the Federal program from which such funds are derived.
In no case, may PHS funds be used for salary supplementation.
Institutional supplementation of salary must not require extra duties
or responsibilities that would interfere with the purpose of the ISA.
Under expanded authorities, however, institutions may rebudget funds
within the total costs awarded to cover salaries consistent with the
institution's salary scale.

The total salary requested must be based on a full-time, 12-month
staff appointment.  It must be consistent both with the established
salary structure at the institution and with salaries actually
provided by the institution from its own funds to other staff members
of equivalent qualifications, rank, and responsibilities in the
department concerned.  If full-time, 12-month salaries are not
currently paid to comparable staff members, the salary proposed must
be appropriately related to the existing salary structure.

2.  Research Development Support:  It is expected that candidates for
a K02 award will have research support at the time of the award.
However, there are some research specialties in which only minimal
research support is needed, i.e., theoreticians and computer
scientists.  In such cases, incidental research expenses may be
provided at the discretion of the individual institute or center.
Candidates may request funds to offset the cost of tuition, fees, and
books related to career development.  Applicants should request
additional information from the relevant NIH institute or center
listed under INQUIRIES.

3.  Ancillary Personnel Support: Salary for secretarial, technical,
and/or administrative assistance, etc., is not allowed.

4.  Indirect costs:  Indirect costs will be reimbursed at eight
percent of modified total direct costs, or at the actual indirect
cost rate, whichever is less.

D.  Evaluation:  In carrying out its stewardship of human resource
related programs, the NIH, at some point in the future, may begin
requesting information essential to an assessment of the
effectiveness of this program.  Accordingly, recipients are hereby
notified, that they may be contacted after the completion of this
award for periodic updates on various aspects of their employment
history, publications, support from research grants or contracts,
honors and awards, professional activities, and other information
helpful in evaluating the impact of the program.

E.  Other Income: Fees resulting from clinical practice, professional
consultation, or other comparable activities required by the research
and research-related activities of this award may not be retained by
the career award recipient.  Such fees must be assigned to the
grantee institution for disposition by any of the following methods:

The funds may be expended by the grantee institution in accordance
with the NIH policy on supplementation of career award salaries and
to provide fringe benefits in proportion to such supplementation.
Such salary supplementation and fringe benefit payments must be
within the established policies of the grantee institution.

The funds may be used for health-related research purposes.

The funds may be paid to miscellaneous receipts of the U.S. Treasury.
Checks should be made payable to the Department of Health and Human
Services, NIH and forwarded to the Director, Division of Financial
Management, NIH, Bethesda, Maryland 20892.  Checks must identify the
relevant award account and reason for the payment.

Awardees may retain royalties and fees for activities such as
scholarly writing, service on advisory groups, or honoraria from
other institutions for lectures or seminars, provided these
activities remain incidental and provided that the retention of such
pay is consistent with the policies and practices of the grantee

Usually, funds budgeted in and institute-supported research or
training grant for the salaries or fringe benefits of individuals,
but freed as a result of a career award, may not be rebudgeted.  An
institute will give consideration to approval for use of released
funds only under unusual circumstances.  Any proposed retention of
funds released as a result of an NIH career award must receive prior
written approval of the institute awarding component.

F.  Special Leave: Leave to another institution, including a foreign
laboratory, may be permitted if directly related to the purpose of
the award.  Only local, institutional approval is required if such
leave does not exceed 3 months.  For longer periods, prior written
approval of the NIH funding component is required.  To obtain prior
approval, the award recipient must submit a letter to the NIH
describing the plan, countersigned by his or her department head and
the appropriate institutional official.  A copy of a letter or other
evidence from the institution where the leave is to be taken must be
submitted to assure that satisfactory arrangements have been made.
Support from the career award will continue during such leave.

Leave without award support may not exceed 12 months.  Such leave
requires the prior written approval of the NIH funding component and
will be granted only in unusual situations.  Support from other
sources is permissible during the period of leave.  Such leave does
not reduce the total number of months of program support for which an
individual is eligible.  Parental leave will be granted consistent
with the policies of the NIH and the grantee institution.

G.  Termination or Change of Institution: When a grantee institution
plans to terminate an award, the NIH funding component must be
notified in writing at the earliest possible time so that appropriate
instructions can be given for termination.  If the individual is
moving to another eligible institution, career award support may be
continued provided:

A new career award application is submitted by the new institution;

The period of support requested is no more than the time remaining
within the existing award period; and

The new application is submitted far enough in advance of the
requested effective date to allow the necessary time for review.

The funding component may require a new review by an initial review
group and/or the appropriate national advisory council or board.
Alternatively, review may be carried out by staff within the NIH
funding component depending upon the circumstances.

The Director of the NIH may discontinue an award upon determination
that the purpose or terms of the award are not being fulfilled.  In
the event an award is terminated, the Director of the NIH shall
notify the grantee institution and career award recipient in writing
of this determination, the reasons therefor, the effective date, and
the right to appeal the decision.

A final progress report, invention statement, and Financial Status
Report are required upon either termination of an award or
relinquishment of an award in a change of institution situation.


It is the policy of the NIH that women and members of minority groups
and their subpopulations must be included in all NIH supported
biomedical and behavioral research projects involving human subjects,
unless a clear and compelling rationale and justification is provided
that inclusion is inappropriate with respect to the health of the
subjects or the purpose of the research.  This new policy results
from the NIH Revitalization Act of 1993 (Section 492B of Public Law
103-43) and supersedes and strengthens the previous policies
(Concerning the Inclusion of Women in Study Populations, and
Concerning the Inclusion of Minorities in Study Populations) which
have been in effect since 1990.  The new policy contains some new
provisions that are substantially different from the 1990 policies.
All investigators proposing research involving human subjects should
read the "NIH Guidelines For Inclusion of Women and Minorities as
Subjects in Clinical Research," which have been published in the
Federal Register of March 28, 1994 (FR 59 14508-14513), and reprinted
in the NIH GUIDE FOR GRANTS AND CONTRACTS of March 18, 1994, Volume
23, Number 11.

Investigators may obtain copies from these sources or from the
program staff or contact person listed under INQUIRIES.  Program
staff may also provide additional relevant information concerning the


This is a generic program announcement for the NIH Independent
Scientist Award (ISA).  Since some of the NIH institutes and centers
may not participate in this program or may have different award
provisions, it is strongly recommended that prospective applicants
contact the staff person in the relevant institute or center listed
under "INQUIRIES" early in the planning phase of application
preparation.  Such contact will help ensure that applications are
responsive to the career development goals of individual institutes
and centers.

Applications are to be submitted on form PHS 398 (rev. 9/91) and will
be accepted on or before the receipt deadlines indicated in the
application kit (February 1, June 1 and October 1).  Forms are
available at most institutional offices of sponsored research and
from the Office of Grants Information, Division of Research Grants,
NIH, 5333 Westbard Avenue, Room 449, Bethesda, MD 20892, telephone

The application must address the following issues:


o  Describe the candidate's commitment to a career in biomedical or
behavioral research

o  Document the candidate's success as an independent investigator
and his/her potential to make future contributions to the chosen
field of research.

o  Describe immediate and long-term career objectives.  Explain how
this award will contribute to these goals.

o  Describe how the Independent Scientist Award will further the
candidate's research career and ultimate impact on science.

Career Development Plan

o  Describe the career development plan, incorporating consideration
of the candidate's goals and prior experience.

o  The candidate must describe plans to participate in courses
related to instruction in the responsible conduct of research.  These
plans must detail the proposed subject matter, format, frequency, and
duration of instruction as well as the amount and nature of the
candidate's participation.  No award will be made if an application
lacks this component;

Research Plan

o  Describe the research plan as outlined in form PHS 398 including
sections on the  Specific Aims, Background and Significance, Progress
Report/ Preliminary Studies, Research Design and Methods.

Environment and Institutional Commitment

o  The application must contain evidence of the applicant
institution's commitment to the career enhancement of the candidate.
Indicate the types of facilities, supplies, equipment, and human
resources that will be made available to the applicant.  Provide
assurance that the candidate will be able to devote 75 percent of
his/her full-time professional effort to research related activities.


o  Budget requests must be provided according to the instructions in
form PHS 398.  The request for tuition and fees, books, travel, etc.,
must be justified and specified by category.

To identify the application as a response to this program
announcement, check "yes" on item 2a of page 1 of the application and
enter "PA-95-050, Independent Scientist Award" and the name of the
NIH institute or center that you would like your application to be
assigned for funding.

Submit a signed, typewritten original of the application with
Checklist, and five signed photocopies, in one package to:

Division of Research Grants
National Institutes of Health
6701 Rockledge Drive, Room 1040  MSC 7710
Bethesda, MD  20892-7710
Bethesda, MD  20817 (for express/courier service)


Applications will be reviewed for completeness by the Division of
Research Grants and responsiveness to the program announcement by the
appropriate institute or center staff.  Incomplete or nonresponsive
applications will be returned to the applicant without further
consideration.  Applications that are complete and responsive to the
program announcement will be evaluated for scientific and technical
merit by an appropriate peer review group convened in accordance with
the standard NIH peer review procedures.  As part of the initial
merit review, all applications will receive a written critique and
undergo a process in which only those applications deemed to have the
highest scientific merit, generally the top half of applications
under review, will be discussed, assigned a priority score, and
receive a second level review by he appropriate national advisory
council or board.

The following review criteria will be applied:


o  Capacity to carry out independent research;

o  Potential to become an outstanding scientist who will make
significant contributions to the field;

o  Past and present research productivity as evidenced by
contributions to the scientific literature, and success in obtaining
independent funding;

o  Ability to conceptualize and organize a long-term research
approach; and

o  Level of training, experience, and competence commensurate with
the purposes of the award.

Career Development Plan

o  Likelihood that the award will contribute substantially to the
continued scientific development and productivity of the candidate;

o  The extent to which the award will enable a candidate to devote
full time to research and related duties by release from teaching,
administration, clinical work, and other responsibilities;

o  Consistency of the career development plan with the candidate's
career goals; and

o  Collaboration with other active investigators and opportunities
for professional growth.

Research Plan

o  Quality of research plan and significance for contributing to the
scientific literature;

o  Scientific and technical merit of the proposed research plan; and

o  adequancy of plans to include both genders and minorities and
their subgroups as appropriate for the scientific goals of the
research.  Plans for the recruitment and retention of subjects will
also be evaluated.

Environment and Institutional Commitment

o  Institutional commitment to the development of the candidate as an
independent scientist and assurances that the institution intends the
candidate to be an integral part of its research and academic
program; and

o  Strength of the institution's commitment to scientific research.


o  Justification of budget requests in relation to career development
goals and research aims and plans.


The institute or center will notify the applicant of the board or
council's action shortly after its meeting.  Funding decisions will
be made based on the recommendations of the initial review group and
council/board, the need for research personnel in specific program
areas, and the availability of funds.


Written and telephone inquiries concerning this PA are encouraged
especially during the planning phase of the application.  Below is a
listing of each institute's or center's program or grants management

Dr. Robin A. Barr
Office of Extramural Affairs
National Institute on Aging
Gateway Building, Room 2C218, MSC 9205
7201 Wisconsin Avenue
Bethesda, MD  20892-9205
Telephone:  (301) 496-9322
FAX:  (301) 402-9245
Email:  Barr@nihniagw.bitnet

Dr. Ernestine D. Vanderveen, Ph.D.
Division of Basic Research
National Institute on Alcohol Abuse and Alcoholism
6000 Executive Boulevard, Suite 402 MSC 7003
Bethesda, MD  20892-7003
Telephone:  (301) 443-1273
FAX:  (301) 594-0673
Email:  tvanderv@willco.niaaa.nih.gov

Ms. Frances Cotter
Division of Clinical and Prevention Research
National Institute on Alcohol Abuse and Alcoholism
6000 Executive Boulevard, Suite 505 MSC 7003
Bethesda, MD  20892-7003
Telephone:  (301) 443-1207
FAX:  (301) 443-8744
Email:  fcotter@willco.niaaa.nih.gov

Dr. Mary C. Dufour
Division of Biometry and Epidemiology
National Institute on Alcohol Abuse and Alcoholism
6000 Executive Boulevard, Suite 514 MSC 7003
Bethesda, MD  20892-7003
Telephone:  (301) 443-4897
FAX:  (301) 443-8614
Email:  m.dufour@willco.niaaa.nih.gov

Dr. Milton Hernandez
Office of Scientific Training and Manpower Development
National Institute of Allergy and Infectious Diseases
Solar Building, Room 3C21
Bethesda, MD  20892
Telephone:  (301) 496-7291
FAX:  (301) 402-0369
Email:  mh35c@nih.gov

Richard Lymn, Ph.D.
Extramural Programs
National Institute on Arthritis and Musculoskeletal and Skin Diseases
Natcher Building, Room 5AS-49E
45 Center Drive, MSC 6500
Bethesda, MD  20892-6500
Telephone:  (301) 594-5128
FAX:  (301) 480-4543
Email:  rl28b@nih.gov

Hildegard Topper
Special Assistant to the Deputy Director
National Institute of Child Health and Human Development Building 31,
Room 2A-03
Bethesda, MD  20892
Telephone:  (301) 496-0104
FAX:  (301) 402-1104
Email: topperh@hd03.nichd.nih.gov

Daniel Sklare, Ph.D.
National Institute on Deafness and Other Communication Disorders
Executive Plaza South, Room 400B-13
Bethesda, MD  20892
Telephone:  (301) 496-1804
FAX:  (301) 402-6251
Email:  Daniel_Sklare@nih.gov

Dr. James A. Lipton
Special Assistant for Training and Career Development
National Institute of Dental Research
Natcher Building, Room 4AN.18J
Bethesda, MD  20892
Telephone:  (301) 594-2618
FAX:  (301) 480-8319
Email:  liptonj@de45.nidr.nih.gov

Ronald Margolis, Ph.D.
Division of Diabetes, Endocrinology, and Metabolic Diseases National
Institute of Diabetes and Digestive and Kidney Diseases Natcher
Building, Room 5AN-12J  MSC 6600
Bethesda, MD  20892-6600
Telephone:  (301) 594-8819
FAX:  (301) 480-3503
Email:  margolis@ep.niddk.nih.gov

Charles Rodgers, Ph.D.
Division of Kidney, Urologic, and Hematologic Diseases
National Institute of Diabetes and Digestive and Kidney Diseases
Natcher Building, Room 6AS-19J  MSC 6600
Bethesda, MD  20892-6600
Telephone:  (301) 594-7717
FAX:  (301) 480-3510
Email:  rodgersc@ep.niddk.nih.gov

Timothy P. Condon, Ph.D.
National Institute on Drug Abuse
Parklawn Building, Room 10A-55
Telephone: (301) 443-6072
FAX:  (301) 443-6277
Email:  tc52x@nih.gov

Charles W. Sharp, Ph.D.
Division of Basic Research
National Institute on Drug Abuse
Parklawn Building, Room 10A-31
Telephone:  (301) 443-1887
FAX:  (301) 594-6043
Email:  cs107m@nih.gov

Arthur Horton, Ed.D.
Division of Clinical Research
National Institute on Drug Abuse
Parklawn Building, Room 10A-30
Telephone:  (301) 443-4060
FAX:  (301) 443-2317
Email:  ah61x@nih.gov

Ann Blanken
Division of Epidemiology and Prevention Research
National Institute on Drug Abuse
Parklawn Building, Room 9A-55
Telephone:  (301) 443-6543
FAX:  (301) 443-9847
Email:  ab108v@nih.gov

Jamie Biswas, Ph.D.
Medications Development Division
National Institute on Drug Abuse
Parklawn Building, Room 11A-55
Telephone:  (301) 443-5280
FAX:  (301) 443-2599
Email:  jb168r@nih.gov

Dr. Michael Galvin
Division of Extramural Research and Training
National Institute of Environmental Health Sciences
P.O. Box 12233, MD 3-02
Research Triangle Park, NC  27709
Telephone:  (919) 541-7825
FAX:  (919) 541-2843
Email:  galvin@niehs.nih.gov

Thomas Blaszkowski, Ph.D.
Division of Epidemiology and Clinical Applications
National Heart, Lung, and Blood Institute
Federal Building, Room 208A
7550 Wisconsin Avenue
Bethesda, MD  20892
Telephone:  (301) 496-1841
FAX:  (301) 480-1455
Email:  tb33i@nih.gov

Michael Commarato, Ph.D.
Division of Heart and Vascular diseases
National Heart, Lung, and Blood Institute
Federal Building, Room 3C04
7550 Wisconsin Avenue
Bethesda, MD  20892
Telephone:  (301) 496-1724
FAX:  (301) 402-2043
Email:  mc63a@nih.gov

Joyce Creamer
Division of Blood diseases and Resources
National Heart, Lung, and Blood Institute
Federal Building, Room 5C02
7550 Wisconsin Avenue
Bethesda, MD  20892
Telephone:  (301) 496-8388
FAX:  (301) 480-0867
Email:  jc85n@nih.gov

James Kiley, Ph.D.
National Center for Sleep Disorders Research
National Heart, Lung, and Blood Institute
Building 31, Room 4A11
Bethesda, MD  20892
Telephone:  (301) 496-7443
FAX:  (301) 496-7508
Email:  jk52a@nih.gov

Mary Reilly
Division of Lung Diseases
National Heart, Lung, and Blood Institute
Westwood Building, Room 640
5333 Westbard Avenue
Bethesda, MD  20892
Telephone:  (301) 594-7466
FAX:  (301) 594-7487
Email:  mr50w@nih.gov

George T. Niederehe, Ph.D.
Division of Clinical and Treatment Research
National Institute of Mental Health
5600 Fishers Lane, Room 18-105
Rockville, MD  20857
Telephone:  (301) 443-3264
FAX:  (301) 594-6784
Email:  gniedere@aoamh4.ssw.dhhs.gov

Kenneth G. Lutterman, Ph.D.
Division of Epidemiology and Services Research
National Institute of Mental Health
5600 Fishers Lane, Room 10-95
Rockville, MD  20857
Telephone:  (301) 443-3373
FAX:  (301) 443-4045
Email:  klutterm@aoamh2.ssw.dhhs.gov

Henry Khachaturian, Ph.D.
Division of Neuroscience and Behavioral Science
National Institute of Mental Health
5600 Fishers Lane, Room 11-103
Rockville, MD  20857
Telephone:  (301) 443-8033
FAX:  (301) 443-1731
Email:  hkhach@helix.nih.gov

Leonard Mitnick, Ph.D.
Office of AIDS Programs
National Institute of Mental Health
5600 Fishers Lane, Room 10-75
Rockville, MD  20857
Telephone:  (301) 443-9719
FAX:  (301) 443-9719
Email:  lmitnick@aoamh2.ssw.dhhs.gov


The Independent Scientist Awards are made under the authority of
Title III, Section 301 of the Public Health Service (PHS) Act as
amended (Public Law 78-410, as amended, 42 USC 241).  The Code of
Federal Regulations, Title 42 Part 52, and Title 45 part 74, are
applicable to this program.  This program is described in the Catalog
of Federal Domestic Assistance No. 93.121.  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 and contract recipients to
provide a smoke-free workplace and promote the non-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 routing 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.


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