Full Text PA-95-052


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

PA NUMBER:  PA-95-052

P.T. 34

  Biomedical Research, Multidiscipl 

National Institute on Aging
National Institute on Alcohol Abuse and Alcoholism
National Institute of Arthritis and Musculoskeletal and Skin Diseases
National Cancer Institute
National Institute of Environmental Health Sciences
National Institute of Mental Health

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


The Academic Career Award (K07) is used by the NIH Institutes and
Centers to support individuals interested in introducing or improving
curriculum in a particular scientific field as a means of enhancing
the educational or research capacity at the grantee institution.
Since not all of the NIH Institutes and Centers offer this award,
potential applicants should contact the appropriate NIH program staff
listed at the end of this program announcement, prior to preparing an

This Academic Career Award (K07) supports two types of activities:

Development.  The K07 provides support for more junior candidates who
are interested in developing an academic and research expertise in a
particular field, as a way to increase the overall pool of
individuals capable of research or teaching in the identified area.
During the period of the award, the candidate will become a
successful academician in the chosen area.  Teaching, curriculum
building, research, and leadership skills are to be learned during
the tenure of the award.  For junior candidates, a mentor is

Leadership.  The K07 also supports more senior individuals with
acknowledged scientific expertise and leadership skills who are
interested in improving the curricula and enhancing the research
capacity within an academic institution.  It is expected that support
under this award will increase the visibility and the overall
research support or academic capacity for the given field of research
within the academic medical/health and research community.  Not all
of the NIH awarding components support the K07 or both componets of
this award.  For example, the National Institute of Mental Health
does not support the leadership component of this award.  Applicants
are strongly encouraged to contact the prospective NIH awarding
component prior to preparing an application.

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,
Academic Career 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).


Candidates for this award must have a clinical or research doctoral
degree.  Candidates for the development award must demonstrate the
potential to develop into an excellent academician, in the fields of
interest to the NIH awarding institute or center.  Candidates must be
able to identify a mentor who is an expert in the research field of
interest and has a record of providing the type of supervision
required by this award.  Candidates must also be able to devote at
least 75 percent of full-time professional effort to the research and
developmental programs required for academic development.

Candidates for the leadership award must have sufficient clinical
training, research, or teaching experience in the academic area of
interest to the NIH to implement a program of curriculum development
within the applicant institution; must have an academic appointment
at a level sufficient to enable her/him to exert an influence on the
coordination of research, teaching, and clinical practice in an
emerging field; and must be in a position to devote at least 25
percent effort to the program, a portion of which may include

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 PA will use the K07 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 is five years for the development
award and two to five years for the leadership award.  Awards are
renewable at the discretion of the NIH awarding unit.


A.  Environment:  The institution must be able to demonstrate a
commitment to research in the area of interest to the NIH and must
remain committed to the career development of the candidate.  The
institution must provide assurance that the candidate is an integral
part of its research and academic programs.

B.  Program:  The award supports up to five consecutive 12 month
appointments for the duration of the grant.  For the development
award, applicants are expected to commit at least 75 percent of full-
time professional effort to the career development program.  The
remainder may be devoted to other research-related and/or teaching
pursuits consonant with the objectives of the award.  For the
leadership award, applicants are expected to commit at least 25
percent effort.

C.  Mentor:  For the development award, the recipient must receive
appropriate mentoring throughout the award.  Where feasible, women
and minority mentors should be involved as role models.

D.  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
Academic Award.  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 Support:  Research expenses and career development costs
may be provided at the discretion of the NIH institute or center.
Applicants should contact the relevant NIH institute or center
program staff for additional information.

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

4.  Indirect costs: Indirect costs will be reimbursed at 8 percent of
modified total direct costs, or at the actual indirect cost rate,
whichever is less.

E.  Evaluation:  In carrying out its stewardship of human resource
related programs the NIH 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.

F.  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

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

G.  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.

H.  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 Academic Career
Award (K07).  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 to discuss research areas of interest and award
provisions, which differ across NIH funding components.  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

Applicants are strongly advised to follow the instructions in the PHS
form 398.  The application should include:


o  Describe the candidate's commitment to an academic research career
in the area of interest to the NIH.

o  Provide evidence that the candidate has the capacity to provide
leadership as a teacher or researcher.

o  Describe the immediate and long-term career objectives and how
those objectives will meet the needs for expansion or enhancement of
the academic or research capacity in a field of research of interest
to the NIH funding component.

o  Letters of recommendation.  Candidates for the development
Academic Award must provide three sealed letters of recommendation
addressing the applicant's potential for a research career must be
included as part of the application.

Career Development Plan

o  Describe the career development plan incorporating consideration
of the candidate's goals and prior experience.  Describe the plan to
obtain the necessary research and pedagogical experience to
facilitate further development as an academician.  The career
development plan must be tailored to the career goals of the
candidate and the intent of the award.

o  Candidates for the development award must describe plans to
receive 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 faculty
participation.  Candidates at the leadership stage must include
information about his/her participation in courses designed to
provide instruction in the responsible conduct of research.

Research Plan

o  Describe the research plan.  The applicant should describe the
research plan necessary to initiate academic and research development
in the area of interest to the NIH funding component.  The plan
should be described as outlined in form PHS 398, Specific Aims,
Background and Significance, Progress Report/Preliminary Studies,
Research Design and Methods.  Candidates for the development award
should coordinate the development of the research plan with their
prospective mentor.

Environment and Institutional Commitment

o  The institution must provide evidence of commitment and support
for the proposed experience.  There must be evidence of support for
the candidate and his/her career development plan and for the further
enhancement of the academic area of interest to the NIH funding

Mentor's Statement

o  Candidates for the development Academic Award must include
information on the mentor(s) including his/her research
qualifications and previous experience as a research supervisor.  The
application must also include information describing the nature and
extent of supervision that will occur during the proposed award


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 PA, check "YES" on
item 2a of page 1 of the application and enter "PA-95-052, Academic
Career Award" and the name of the NIH institute or center that you
would like the application to be assigned.

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 PA 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

The following review criteria will be applied:


o  Evidence of excellence in academic, research, and (where
appropriate) clinical activities;

o  Potential to become an outstanding investigator, teacher, resource
person, and leader in research, educational and (where appropriate)
clinical programs related to the mission of the NIH award component;

o  Potential to become or to continue as an independent researcher;

o  Quality and breadth of prior scientific training and experience;

o  Degree and extent of previous research support and publications
considering academic level of candidate.

Career Development Plan

o  Quality and feasibility of the candidate's career development
plan, including, in broad terms, plans after termination of award.

O  Quality of the proposed plan to enhance pedagogical and leadership

Research Plan

o  Quality and feasibility of research and teaching plan;

o  Relationship of the research plan to the career development goals
and the candidate's previous experience; 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.


o  Commitment of the institution to strengthening research and
education activities in the area of interest to the NIH institute or

o  Merit of the institution plan to strengthen research and training
activities beyond the current status of activities and capacities;

o  Scope and nature of collaboration among participating schools and


o  For the development academic award, the mentor's prior experience
and record in fostering academic growth and productivity.


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

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

Dr. John Schneider or Dr. Andrew Vargosko
Division of Cancer Biology, Diagnosis, and Centers
National Cancer Institute
Executive Plaza North, Room 520
Bethesda, MD  20892
Telephone:  (301) 496-8580
FAX:  (301) 402-4472
Email:  schneidj@dcbdcep.nci.nih.gov
Email:  vargoska@dcbdcep.nci.nih.gov

Dr. Annette Kirshner
Division of Extramural Research and Training
National Institute of Environmental Health Sciences
P.O. Box 12233, MD 3-03
Research Triangle Park, NC  27709
Telephone:  (919) 541-0488
FAX:  (919) 541-2843
Email:  kirshner@niehs.nih.gov

National Heart, Lung, and Blood Institute
(The NHLBI does not accept applications for the Academic Career Award
on a regular basis.  It does, however, issue Requests for
Applications (RFAs) using this award as programmatic needs arise.)

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


The Academic Career 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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