Full Text PA-97-096
NIH GUIDE, Volume 26, Number 28, August 22, 1997
PA NUMBER: PA-97-096
P.T. 00


National Institute on Aging
Application Receipt Dates: February 1, June 1, and October 1
The National Institute on Aging (NIA) invites academic institutions
and other health professional schools to submit applications to
support leadership activities in the development of research and
research training programs in aging. As used in this announcement,
~aging~ refers to all aspects of gerontology and geriatrics within
the mission of the National Institute on Aging. These fields include
basic biological research on aging, research on clinical pathologies
of aging, including Alzheimer's disease, research on the aging brain
and nervous system, and behavioral and social research on aging and
on the special problems of older people. This award is aimed at
encouraging and assisting more institutions to increase their efforts
in research and training in these fields.
Priority is given to those academic centers or schools with limited
activities in aging but which have a strong interest in, and
commitment to, expanding their research and training efforts in
aging. Priority is also given to academic centers or schools with a
track record of funding in aging but who seek to integrate disparate
foci of aging research or to develop substantially new research areas
in aging. However, the program does not require that an application
develop a comprehensive plan for integrating all ongoing areas of
aging research at an institution.
The Academic Career Leadership Award (K07) is used by the NIA to help
strengthen capacities of academic and other health professional
institutions to promote research and research training activities
relevant to aging. NIA does not support the Academic Career
(Development) award. Information on other initiatives supported by
NIA may be found at the following Internet address:
This Leadership award supports senior individuals with acknowledged
scientific expertise and leadership skills who are interested in
improving the capacity of their institution to promote research and
research training on aging within an institution.  It is expected
that support under this award will increase research potential and
academic capacity for the study of aging within the academic
medical/health and research community.
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 Program
Announcement (PA), NIA Academic Career Leadership 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 named faculty leader (the candidate) for the award must have
sufficient clinical training, research, or teaching experience in an
academic area of interest to the NIA to implement a program of
curriculum development and research relevant to programs 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 aging;
and must be in a position to devote at least 25 percent effort to the
program, a portion of which may include research.
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, women and individuals with disabilities are encouraged to
apply. Candidates must be U.S. citizens or noncitizen nationals, or,
by the time of award, 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
Institutions that have received a prior Leadership K07 award from NIA
are eligible to apply for this program. However, the new application
must be substantially different in content from any prior funded K07
grant. If an application seeks to continue or expand a prior or
existing K07 award from the National Institute on Aging it will be
returned without review by NIA.
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 to the candidate's program for
advancing aging research.  The project period is three to five years,
not renewable beyond five years of support.  Up to $100,000 per year
in direct costs may be requested.
A. Candidate: The named faculty leader must have an appropriate
academic appointment at the institution at the time the award is
activated.  He/she must have sufficient research experience and
background in aging to be effective in developing and actively
implementing a quality research and education program in aging.
He/she must present a program for developing or improving aging
research and education in the grantee institution and for evaluating
the outcome of the effort.
B.  Environment:  The institution must be able to demonstrate a
commitment to research in an area or areas of interest to the NIA.
The institution must name and sponsor a faculty leader who is a
senior faculty member with competence and a major career interest in
aging research and related training programs.  The applicant
institution must have available resources (populations, patients,
manpower, materials, equipment, laboratory facilities, etc.)
necessary to implement the proposed program in addition to providing
access to facilities for rigorous aging research.  Evidence of
commitment from the administration and from the sponsoring
departmental chair to implement the proposed program so that the
aging program is coordinated with other relevant research and
training programs must be documented.  The mechanism(s) for continued
institutional support of the aging program, beyond the term of the
award, must be stated.
C.  Program: The program may include curriculum development
activities, initiation of seminar series, bringing in outside faculty
for short-term assignments, sponsoring of travel for junior faculty,
development of internal communication networks, support for pilot
studies, and other similar development activities. Applicants should
choose activities appropriate to the goal of fostering research
capacity at their institution. Applicants should describe plans in
sufficient detail so that reviewers may assess the likely quality of
the resulting activities and should describe plans for evaluating the
success of the various activities in promoting aging research.
D.  Allowable Costs
1. Salary:  The NIA will provide a portion of the salary and fringe
benefits for the faculty leader for that portion of total effort
devoted to this award. The NIA-provided amount will not be greater
than $50,000. The institution may supplement the NIA-provided amount
up to a level that is consistent with the institution's salary scale.
Under expanded authorities institutions may rebudget funds within the
total costs awarded for this grant to cover salaries consistent with
the institution's salary scale. However, on that portion of the
faculty leader's effort that is devoted to this award no other
federal funds may be used to supplement the salary, nor may
supplementation from non-federal funds require extra duties or
responsibilities that would interfere with the purpose of the
Academic award.
The portion of 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
2. Research and development expenses may be requested. These expenses
may include salary for a coordinator of development activities. Such
a coordinator must have a substantive role in the planned activities,
and have the background to be able to add to, or complement, the
skills of the principal investigator. The salary for the research
coordinator is not included in the $50,000 cap on salary for the
principal investigator.
3.  Ancillary Personnel Support: Salary for secretaries, technical,
or other administrative assistance 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 NIA 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 the extent and kind
of continuing commitment to aging research at the institution, 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 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 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 an NIA Academic Career
Leadership award must receive prior written approval of the NIA.
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 NIA is required.  To obtain prior approval, the award
recipient must submit a letter to the NIA 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 NIA 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: When a grantee institution plans to terminate an
award, the NIA must be notified in writing at the earliest possible
time so that appropriate instructions can be given for termination.
The Director of the NIA 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 NIA 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 termination of an award.
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 policy results from
the NIH Revitalization Act of 1993 (Section 492B of Public Law 103-
43). 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.  The
information is also available from the Internet via the NIH Home Page
(http://www.nih.gov). Program staff may also provide additional
relevant information concerning the policy.
It is strongly recommended that prospective applicants contact the
appropriate NIA staff person listed under INQUIRIES early in the
planning phase of application preparation to discuss research areas
of interest and award provisions.  Such contact will help ensure that
applications are responsive to the aims expressed in this
Applications are to be submitted on the grant application form PHS
398 (rev.  5/95) and will be accepted at the standard application
deadlines as indicated in the application kit. Applications kits are
available at most institutional offices of sponsored research and may
be obtained from the Division of Extramural Outreach and Information
Resources, National Institutes of Health, 6701 Rockledge Drive, MSC
7910, Bethesda, MD 20892-7910, telephone 301/710-0267, email:
ASKNIH@odrockm1.od.nih.gov.  The title and number of this program
announcement must be typed in Item 2 on the face page of the
Applicants are strongly advised to follow the instructions in the PHS
form 398 (rev. 5/95),  Appendix IV, as modified by instructions to
follow ~just-in-time~ procedures (NIH Guide, Volume 25, Number 10,
March 29, 1996) as described below.
Detailed Budget for Initial Budget Period - Do not complete form page
4 of the PHS 398 (rev. 5/95).  It is not required nor will it be
accepted at the time of application.  In some cases it may be
requested prior to award.
Budget for Entire Proposed Period of Support - Do not complete the
categorical budget table on form page 5 in the PHS 398 (rev. 5/95).
Only the requested total direct costs for each year and total direct
costs for the entire proposed period of support should be shown.
Begin the budget justification in the space provided, using
continuation pages as needed.
Budget Justification
o  List the name, role on project and percent effort for all project
personnel (salaried or unsalaried) and provide a narrative
justification for each person based on his/her role on the project
and proposed level of effort.
o  Identify all consultants by name and organizational affiliation
and describe the services to be performed.
o  Provide a narrative justification for any major budget items,
other than personnel, that are requested for the conduct of the
project that would be considered unusual for the scope of research.
No specific costs for items or categories should be shown.
o  Indirect costs will be calculated at the time of the award at an
8% rate or at the institution~s actual rate, whichever is lower.
Applicants will be asked to identify the indirect cost exclusions
prior to award.
o  If consortium/contractual costs are requested, provide the
percentage of the subcontract total costs (direct and indirect)
relative to the total direct costs of the overall project. The
subcontract budget justification should be prepared following the
instructions provided above.
Biographical sketch
A biographical sketch is required for all key personnel, following
the modified instructions below.  Do not exceed the two-page limit
for each person.
o  Complete the education block at the top of the form page.
o  List current position(s) and those previous positions directly
relevant to the application.
o  List selected peer-reviewed publications directly relevant to the
proposed activities, with full citation.
o  Provide information on research projects completed and/or research
grants participated in during the last five years that are relevant
to the proposed activities. Title, principal investigator, funding
source, and role on project must be provided.
Other Support
Do not complete the other support page (format page 7 of the PHS 398
(rev. 5/95)).  Information on active support for key personnel will
be requested prior to award.
Do not submit the checklist page.  For amended and competing
continuation applications, applicants must complete the block in the
upper right corner of the face page to indicate the previous grant
number. A completed checklist will be required prior to award.
o  Describe the candidate's commitment to development of aging
research at the institution.
o  Provide evidence that the candidate has the capacity to provide
leadership as a teacher or researcher.
o  Describe how the immediate and long-term career objectives of the
candidate will meet the needs for expansion or enhancement of the
academic or research capacity in aging research.
Statement by Sponsor(s), Consultant(s) and Collaborator(s)
This section should include any letters from consultants and/or
collaborators confirming their participation in the project and
describing their specific roles.
Environment and Institutional Commitment to Candidate
o  Provide evidence of commitment and support from the institution
for the proposed application.  There must be evidence of support for
further enhancement of the academic area of interest to the NIA.
o  Document the institution~s support of the candidate and indicate
the resources that the institution will provide to him/her.
Research Plan
a.  Statement of Hypothesis and Specific Aims
o  State the goals of the award.
o  Identify any anticipated changes in the state of teaching and
research on aging that are likely to continue after the award ends.
b. Background, Significance and Rationale
o  Describe the current state of teaching and research on those
aspects of aging proposed for development in the award.
o  Describe the significance for furthering research on aging of the
proposed activities.
o  If applicable, describe any current or prior Academic Career
Leadership Awards (K07) supported at the institution and describe how
the proposed project adds to aging research at the institution beyond
the activities supported by the prior award. NIA will not accept an
application for review unless it is clear that the proposed work is
substantially different from any prior award to the same institution
and does not seek to continue or expand it.
Preliminary Studies and Any Results.
o  Show any development activities already initiated at the
institution in the proposed field or in similar fields.
Research Design and Methods
o  Describe the research and organizational plan proposed to initiate
or continue academic and research development in the area of interest
to the NIA.
o  Describe any internal pre-award review or post-award procedures to
evaluate pilot grants, sponsored travel awards and other specific
development activities.
o  Describe plans for collaboration among departments and other steps
to promote integrating curricula on aging and aging research in the
fields being developed.
Submit a signed, typewritten original of the application, 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 assigned on the basis of established Public
Health Service referral guidelines. Applications will be reviewed for
completeness by the Division of Research Grants and responsiveness to
the PA by the relevant Institute staff.  Incomplete or nonresponsive
applications will be returned to the applicant without further
consideration.  Applications that are complete and responsive to the
PA 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 the NIA National Advisory Council.
The following review criteria will be applied:
o  Is the candidate appropriately trained and well suited to carry
out this work?  Is the work proposed appropriate to the experience
level of the candidate and other collaborators (if any)?
Plan to Enhance Scientific and Academic Capacity
o  Significance:  Does the proposed activity address an important
problem?  If the aims of the application are achieved, how will
scientific capacity for aging research at the institution be
o  Approach:  Are the methods adequately developed, well-integrated,
and appropriate to enhance the institution's capacity to conduct
research on aging?  Does the applicant acknowledge potential problem
areas and consider alternative tactics?
o  Is the institution's commitment sufficient to increase the
probability of success?  Is there appropriate collaboration among
departments and units within the institution? Are there unique
features in the institutional environment that can increase the
chances of success?
o  If applicable, what is the added value to aging research at the
Institution of this award over prior and existing academic leadership
(K07) awards?
In addition to the above criteria, in accordance with NIH policy,
all applications will also be reviewed with respect to the following
criteria where they are applicable:
o  The adequacy of plans to include both genders, 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  The reasonableness of the proposed budget and duration in relation
to the proposed research
o  The adequacy of the proposed protection for humans, animals or the
environment, to the extent they may be adversely affected by the
activities proposed in the application.
Funding decisions will be made based on the recommendations of the
initial review group and council, the need for expanded research
resources in different program areas, and the availability of funds.
Written and telephone inquiries concerning this PA are encouraged
especially during the planning phase of the application.  Please
For inquiries related to program issues:
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: 301-402-2945
Email: rb42h@nih.gov
For inquiries related to fiscal matters:
Mr. Joseph Ellis
Grants and Contracts Management Office
National Institute on Aging
Gateway Building, Suite 2N212
7201 Wisconsin Avenue, MSC 9205
Bethesda, MD  20892-9205
Telephone:  301-496-1472
FAX:  301-402-3672
Email: je14j@nih.gov
The Academic Career Leadership 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 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.

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