EXPIRED
NIMH RESEARCH CAREER AWARD FOR TRANSITION TO INDEPENDENCE
Release Date: March 7, 2001
PA NUMBER: PAR-01-065 (This PA has been reissued, see PAR-05-109)
(See update, NOT-MH-05-008)
(See addendum NOT-MH-03-001)
National Institute of Mental Health
(http://www.nimh.nih.gov)
Letter of Intent Receipt Date: June 18
Application Receipt Date: July 18
PURPOSE
The National Institute of Mental Health (NIMH) invites applications from
intramural and extramural scientists for the NIMH Research Career Award for
Transition to Independence program. This initiative is designed to attract
and train outstanding physician scientists and senior postdoctoral
investigators (with at least 2-3 years of postgraduate research experience),
who wish to further their basic or clinical career development experience by
initially training within the NIMH Division of Intramural Research Programs
(intramural phase), and then transitioning to an independent research program
at a domestic U.S. extramural institution (extramural phase). As such, the
program is intended to provide support for highly motivated and qualified
candidates to focus on gaining significant experience in interdisciplinary
mental health research fields in an NIMH intramural laboratory for a period
of up to 3 years, followed by continued research support for up to 2 years
for an independent research project at an extramural institution. The
aggregate period of NIMH support under this award cannot exceed 5 years.
During the extramural phase of this award, the NIMH expects K22 awardees to
apply for investigator initiated research grants (e.g., R01, R03, or R21).
HEALTHY PEOPLE 2010
The Public Health Service (PHS) is committed to achieving the health
promotion and disease prevention objectives of "Healthy People 2010," a PHS-
led national activity for setting priority areas. This Program Announcement
(PA), NIMH Career Award for Transition to Independence is related to numerous
priority areas in this initiative. Potential applicants may obtain a copy of
"Healthy People 2010" at http://www.health.gov/healthypeople/.
ELGIBILITY REQUIREMENTS
The candidate must have a (normally limited to health professionals) doctoral
degree such as Ph.D., M.D., or equivalent, and at least 2, but no more than 5
years of postdoctoral training (exclusive of clinical training) at the time
of application. Individuals who have been principal investigators on NIH
research project grants, program projects and center grants, or career
development (K) awards are NOT eligible. Former principal investigators of
an NIMH Small Grant (R03), Academic Research Enhancement Awards (AREA)(R15),
or Exploratory/Developmental Grants (R21) remain eligible. Physician
scientists and postdoctoral candidates for the NIMH K22 may not have pending
Federal career development or research awards or concurrently apply for any
other of these types of awards, and must terminate or transfer any active
extramural support prior to activation of the K22 award. A candidate for the
NIMH Research Career Award for Transition to Independence may neither
concurrently apply for any other PHS award that duplicates the provisions of
this award, nor have another application pending award by the PHS. Fellows
who meet the requirements and are currently working at the NIMH Division of
Intramural Research Programs are eligible to apply, provided that the
research experience proposed promotes new areas of professional growth and
development. Physician scientists and postdoctoral fellows supported by an
NIMH Institutional NRSA training grant (T32) or an NIMH Individual NRSA
postdoctoral fellowship (F32) are encouraged to apply; however, applicants
should request start dates that allow for the completion of the NRSA training
experience.
The candidate must be an outstanding clinical or basic science investigator,
with demonstrated potential for a highly productive research career. During
the intramural phase of the award, the candidate will devote 100 percent
effort to research activities. During the extramural phase, the candidate
must spend a minimum of 75 percent effort on research and career development
activities. (See section on Mechanism of Support for more on the 2 phases
of the award.)
Minorities, women, and individuals with disabilities are encouraged to apply.
Candidates must be U.S. citizens or non-citizen nationals, or must have been
lawfully admitted for permanent residence and possess an Alien Registration
Card (I-151 or I-551) or some other verification of legal admission as a
permanent U.S. resident, at the time of the award.
MECHANISM OF SUPPORT
The NIMH Career Award for Transition to Independence will use the career
transition award (K22) mechanism. The entire project period for this award
is five years, and consists of an intramural phase and an extramural phase.
The intramural phase will provide support for 3 years, and upon
recommendation for continued funding based on a formal NIMH progress review,
the extramural phase will provide support for up to an additional two years.
K22 awards are not renewable and NIMH general policy on career awards limits
one mentored career award per individual. Further information about NIMH
career awards can be found at: http://www.nimh.nih.gov/grants/training.cfm.
PROGRAM OBJECTIVES
The NIMH Division of Intramural Research Programs provides a unique and rich
environment for research training and career development for senior
postdoctoral fellows and beginning investigators. Intramural basic and
clinical scientists are among the leaders in the mental health research
fields. The NIMH Research Career Award for Transition to Independence is
intended to provide an opportunity for the most promising and exceptionally
talented new investigators, early in their career; to develop an independent
research career, with funds available for both salary and research expenses.
Each awardee, along with their intramural mentor, will be responsible for all
aspects of their research program, including the design and execution of the
research and the management of research funds. In addition to working in
his/her mentor’s laboratory, the investigator has ample opportunity to
interact with and seek guidance from other intramural and extramural
scientists during his/her tenure at the NIMH.
Transition from the intramural phase of support to the extramural phase is
NOT automatic and is subject to review of the success of the awardees
research accomplishments and the evaluation of a research plan to be carried
out at the extramural institution. The review will be conducted by a formal
NIMH scientific progress review committee, and will take place during the
last (normally the third) year of the intramural phase. Individuals approved
for the extramural phase will receive support through the K22 award
mechanism. It is essential to document the extramural institution’s
commitment to the retention, development, and advancement of the candidate
during the period of the award. The extramural institution must be a
domestic U.S. institution that demonstrates a commitment to the candidate by
providing protected research time (minimum of 75% effort), space and other
support needed to perform the proposed research. The extramural institution
must describe the candidate’s academic appointment, bearing in mind that it
must be tenure-track or equivalent, and that the appointment not be
contingent on the transfer of the award to the institution. K22 awardees are
expected to apply for an investigator-initiated research grant (R01, R03,
and/or R21), in a research area relevant to the mission of the NIMH, during
their tenure as a K22 awardee. It is expected that such an application will
be submitted at the early stages of the final year of the K22 award in order
to ensure continued support and a smooth transition to independence.
Important Note: Acceptance into the NIMH Career Award for Transition to
Independence Program does not imply a commitment on the part of the Institute
to consider the awardee for a tenure-track position at the NIMH Division of
Intramural Research Programs. The primary intent of this program is to
develop outstanding mental health researchers who will pursue extramural
research careers. However, awardees may wish to apply for available tenure-
track position at the NIMH or another NIH Institute. The K22 award will be
terminated if the candidate is offered and accepts such a position.
NIMH DIVISION OF INTRAMURAL RESEARCH
The Division of Intramural Research Programs at NIMH conducts a broad array
of research activities that range from basic neuroscience and behavioral
investigations conducted at the systems, cellular and molecular levels, to
clinical investigations conducted into the diagnosis, treatment and
prevention of mental illness. Major disease entities studied throughout the
lifespan include mood disorders and anxiety, schizophrenia, obsessive-
compulsive disorder, attention deficit hyperactivity disorder, and pediatric
autoimmune neuropsychiatric disorders. Detailed information about these
program investigators and their research projects can be obtained at:
http://intramural.nimh.nih.gov.
ALLOWABLE COSTS
Intramural Phase:
Funds for this phase of the award will be derived from the NIMH Division of
Intramural Research Programs, and will include a full-time salary (12 month
employment), technical support and research expenses (supplies, travel,
equipment, and health care). There are no indirect costs associated with
this phase, and total costs will not exceed $140,000 per year.
Extramural Phase:
Funds for the extramural phase will be provided through the non-competing
K22, awarded to the domestic extramural institution to which the awardee is
recruited. The NIMH will contribute up to 100 percent of the awardee's
annual institutional base salary (based on a full time 12-month appointment)
up to a maximum of $90,000. Note that these awards require a commitment of a
minimum of 75 percent of full time professional effort, and the salary
allowance will be commensurate with the actual level of effort directed to
research and career development activities up to $90,000, plus applicable
fringe benefits. This salary 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. In
addition, NIMH will provide up to $50,000 for research costs including
technical personnel, equipment, supplies, travel to research meetings or
training, statistical services, including personnel and computer time, and
other expenses. Salary for ancillary personnel support (secretarial and/or
administrative assistance) is NOT allowed. Facilities and administrative
costs (formerly called indirect costs) will be reimbursed at 8 percent of
modified total direct costs. The 2 years of extramural support are NOT
transferable to another institution. Salary supplementation using Federal
funds is NOT allowed, and any institutional salary supplementation using non-
Federal funds must NOT require responsibilities that may interfere with the
awardees research and career development activities.
INCLUSION OF WOMEN AND MINORITIES IN RESEARCH INVOLVING HUMAN SUBJECTS
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
UPDATED NIH Policy and Guidelines on the Inclusion of Women and Minorities
as Subjects in Clinical Research published in the NIH Guide for Grants and
Contracts on August 2, 2000
(http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-048.html;
a complete copy of the updated Guidelines are
available at:
http://grants.nih.gov/grants/funding/women_min/guidelines_update.htm. The
revisions relates to NIH defined Phase III clinical trials and require: a)
all applications or proposals and/or protocols to provide a description of
plans to conduct analyses, as appropriate, to address differences by
sex/gender and/or racial/ethnic groups, including subgroups if applicable;
and b) all investigators to report accrual, and to conduct and report
analyses, as appropriate, by sex/gender and/or racial/ethnic group
differences.
INCLUSION OF CHILDREN AS PARTICIPANTS IN RESEARCH INVOLVING HUMAN SUBJECTS
It is the policy of NIH that children (i.e., individuals under the age of 21)
must be included in all human subjects research, conducted or supported by
the NIH, unless there are scientific and ethical reasons not to include them.
This policy applies to all initial (Type 1) applications submitted for
receipt dates after October 1, 1998.
All investigators proposing research involving human subjects should read the
NIH Policy and Guidelines on the Inclusion of Children as Participants in
Research Involving Human Subjects that was published in the NIH Guide for
Grants and Contracts, March 6, 1998, and is available at the following URL
address: http://grants.nih.gov/grants/guide/notice-files/not98-024.html.
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 policy.
URLS IN NIH GRANT APPLICATIONS OR APPENDICES
All applications and proposals for NIH funding must be self-contained within
specified page limitations. Unless otherwise specified in an NIH
solicitation, Internet addresses (URLs) should not be used to provide
information necessary to the review because reviewers are under no obligation
to view the Internet sites. Reviewers are cautioned that their anonymity may
be compromised when they directly access an Internet site.
LETTER OF INTENT
Prospective applicants are asked to submit a letter of intent that includes a
descriptive title of the proposed research, the name, address, and telephone
number of the Principal Investigator, the identity of the proposed mentor, as
well as other key personnel (if applicable), and the number and title of the
PA in response to which this application may be submitted. Although a letter
of intent is not required, is not binding, and does not enter into the review
of the subsequent application, the information that it contains allows NIMH
staff to estimate the potential review workload and plan the review.
The letter of intent should be sent to Barry B. Kaplan, Ph.D., at the address
listed under INQUIRIES, by the letter of intent receipt date shown in the
heading of this PA.
APPLICATION PROCEDURES
Prospective applicants should contact Barry B. Kaplan, Ph.D. at the NIMH
Division of Intramural Research Programs at the address indicted under the
INQUIRIES section, in order to initiate the process of identifying a mentor
(if one has not already been selected), with whom the candidate can consult
in preparing and submitting an application for the intramural phase of the
award. Candidates from outside institutions or other NIH Institutes may
obtain information about the NIMH Intramural Research Programs from the
following Website: http://intramural.nimh.nih.gov. Fellows working at an
NIMH laboratory may work with their current mentor, or with another
intramural investigator, provided the research experience proposed in this
application is in a fundamentally new area of research that will enhance the
candidate’s scientific career. In any case, both the candidate and mentor
must collaborate closely in completing the application and follow the
appropriate instructions for current NIMH fellows.
Applications for the intramural phase of the program must be submitted using
form PHS 398 (rev. 4/98). Application kits are available at most
institutional offices of sponsored research and 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; FAX (301) 480-0525, Email: [email protected]. Forms are also
available on the NIH Website at:
http://grants.nih.gov/grants/funding/phs398/phs398.html.
Identify the application as a response to this PAR. The title and number of
the program announcement PAR-01-065, NIMH Research Career Award for
Transition to Independence must be typed on line 2 of the face page of the
application form and the YES box must be marked.
Submit a signed, typewritten original of the application and 3 signed
photocopies in one package to:
CENTER FOR SCIENTIFIC REVIEW
NATIONAL INSTITUTES OF HEALTH
6701 ROCKLEDGE DRIVE, ROOM 1040 MSC 7710
BETHESDA, MD 20892-7710
BETHESDA, MD 20817 (for express/courier service)
Receipt, Review, and Funding Schedule for K22 Awards:
Letter of Intent Receipt Date: June 18
Application Receipt Date: July 18
Initial Scientific Review: October/November
Second Level of Review by NIH Council: January
Approximate Start Date: April 1
At the time of submission of the PHS 398 for the intramural phase of this
program, 2 additional copies of the application should be sent to Jean G.
Noronha, Ph.D., NIMH Referral Officer, at the following address. (These
copies are used in planning the review process.)
Jean G. Noronha, Ph.D.
NIMH Referral Officer
Division of Extramural Activities
National Institute of Mental Health
6001 Executive Boulevard, Room 6154, MSC 9609
Bethesda, MD 20892-9609
Telephone: (301) 443-3367
FAX: (301) 443-4720
E-Mail: [email protected]
APPLICATION CONTENTS
Candidate
o Describe the candidate’s commitment to a career in biomedical or
behavioral research field relevant to the mission of NIMH.
o Describe the candidate’s potential to develop into a successful
independent investigator.
o Describe the candidate’s current as well as long-term research and career
objectives.
o Include 3 sealed letters of recommendation detailing the candidate’s
potential for a productive research career.
Career Development Plan
o Describe the career development plan incorporating consideration of the
candidate’s goals and prior experience. A systematic plan should be
presented for obtaining the necessary basic biomedical or behavioral science
background and research experience to launch an independent research career.
The career development plan must be specifically tailored to the needs of the
candidate and the ultimate goal of achieving independence as a researcher.
o Candidates must justify the need for a 3-year period of mentored research
experience and must be able to provide a convincing case that the proposed
period of support will substantially enhance his/her career and/or will allow
the pursuit of a novel or promising approach to a particular research
problem.
o Plans for research training activities including any course work that will
promote the candidate’s scientific independence.
Training in the Responsible Conduct of Research
o Candidates 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. No award will be made if an
application lacks this component.
Research Plan
o The research plan should follow instructions outlined in form PHS 398
including sections on Specific Aim, Background and Significance, Progress
Report/Preliminary Studies, Research Design and Methods.
Mentor’s Statement (Intramural Phase)
o The mentor must describe the elements of research training planned for the
candidate, including any formal course-work, and specify how the candidate’s
scientific and professional independence will be promoted.
o The application must also include information describing the mentor’s
research as it relates to the candidate’s research plan.
o The mentor’s statement must include information regarding his or her
research qualifications and previous experience as a research supervisor and
mentor.
o If more than one mentor is proposed, the respective areas of expertise and
responsibility should be described.
Budget
o The applicant should work with the potential NIMH mentor to devise a
budget for the Intramural Phase. Budget information for TOTAL DIRECT COST
and cost justifications should be developed in accordance with the Budget
instructions in form PHS 398. For candidates who receive approval for
transition to the extramural phase, a budget will be submitted at that time
as part of the form PHS 2590 non-competing application - see EVALUATION
PROCEDURES, Extramural Phase (below).
REVIEW CONSIDERATIONS
Upon receipt, applications will be reviewed for completeness by the Center
for Scientific Review (CSR) and responsiveness to the PAR by the appropriate
NIMH staff. Incomplete and/or non-responsive applications will be returned
to the applicant without further consideration. Applications that are
complete and responsiveness to the PAR will be evaluated for scientific and
technical merit by an appropriate peer review group convened by the NIMH in
accordance with the review criteria stated below. As part of the initial
merit review, all applicants 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 the applications under review,
will be discussed, assigned a priority score, and receive a secondary review
by the National Advisory Mental Health Council.
Review Criteria
Candidate
o Potential for carrying out independent research, based on experience level
and training received leading up to the current application.
o Potential to become an outstanding scientist who will contribute
significantly to a mental health research field.
o Evidence of research productivity, including quality of peer-reviewed
scientific publications.
o Ability to propose and carry out a significant, hypothesis-driven research
project.
o Ability to work within the highly interactive scientific environment of
the NIMH Division of Intramural Research Programs, and to collaborate with
other scientists.
Career Development Plan
o Appropriateness of the career development plan, and the likelihood that
the award will enhance the scientific development of the candidate.
o Appropriateness of the content and duration of the proposed didactic and
research phases of the award.
o Consistency of the career development plan with the candidate’s career
goals and prior research experience.
o Quality of the proposed training in responsible conduct of research.
Research Plan
o Significance and innovativeness of the hypothesis-driven research plan,
and appropriateness and rigor of the experimental design and methodology.
o Appropriateness of the proposed specific aims for the intramural phase of
research, and evidence of long-term viability of the proposed research for
the extramural phase.
o Clear potential of the proposed research to contribute significantly to
the mental health scientific literature.
o Where appropriate, adequacy of plans for the inclusion (recruitment and
retention) of both genders, minorities, and children in the research plan.
Mentor
o Research qualifications, scientific stature, experience and track record
as a research mentor.
o Adequacy and extent of proposed supervision that will occur during the
intramural award period, and the commitment of the mentor to the applicant’s
continued career development.
o Appropriateness of the mentor’s research interests and qualifications to
the career development needs of the applicant.
o Previous experience in fostering the development of new investigators.
Budget
o Appropriateness and adequacy of the justification for the requested budget
in relation to the research plan and career development goals.
SELECTION PROCEDURES
Intramural Phase
Following peer review, a NIMH selection committee, comprised of senior
intramural scientists and extramural program staff, will be convened by the
NIMH Division of Neuroscience and Basic Behavioral Science to evaluate the
applications, taking into account the priority score and recommendation of
the IRG, the program priorities of the Institute, and availability of funds.
Funding decisions will be made based on the recommendations of the selection
committee and secondary review by the National Advisory Mental Health
Council.
EVALUATION PROCEDURES
Intramural Phase
The awardee is expected to prepare an annual progress report, which will be
evaluated by the mentor and the laboratory or branch chief (if not the same
person), as well as the Scientific and Training Directors, NIMH Division of
Intramural Research Programs.
Extramural Phase
During the last (normally the third) year of the intramural phase, the
candidate must submit a non-competing application (PHS 2590) for the K22
award, through the institution in which he/she is (or will be) employed as an
independent researcher. The NIMH selection committee will determine whether
or not the candidate will be recommended for the extramural phase of support.
The application must include a progress report with specific aims achieved to
date, resultant publications, current research grant support, and any pending
grant applications. In addition, the application must include a research
plan for the extramural phase, including new specific aims, significance,
research plan, continued career development plan, and available resources.
Further, both the awardee and the new mentor must submit a statement of
research and career development plans for the extramural phase. There should
also be a description of the extramural institution’s commitment to the
development of the awardee’s career. Candidates able to successfully enter
the extramural phase of the award at the end of their second year will
forfeit their third year of intramural support.
Following are general criteria for selection into the extramural phase:
o Successful completion of the intramural phase of career development as
evidenced by specific aims achieved to date, resultant publications, etc.
o Continued qualifications and clear potential of the awardee to make a
significant contribution to the NIMH mission.
o Quality of the proposed research project, and its scientific merit as
determined by formal review.
o NIMH Program priorities, and availability of funds.
INQUIRIES
Prospective applicants are strongly encouraged to contact the NIMH staff
listed below for consultation throughout the application process. These
consultations are critical, especially during the initial planning phase of
the application, and after initiating negotiations with the prospective NIMH
scientific mentor.
Inquiries regarding the Intramural Phase should be directed to:
Barry B. Kaplan, Ph.D.
Division of Intramural Research
National Institute of Mental Health
Building 10, Room 4N-222, MSC 1381
Bethesda, MD 20892-1381
Telephone: (301) 496-4183
FAX: (301) 480-8438
E-Mail: [email protected]
Inquiries regarding the Extramural Phase of this initiative should be
directed to:
Mark Chavez, Ph.D.
Division of Neuroscience and Basic Behavioral Science
National Institute of Mental Health
6001 Executive Boulevard, Room 7197, MSC 9645
Bethesda, MD 20892-9645
Telephone: (301) 443-3563
FAX: (301) 443-1731
E-mail: [email protected]
Fred Altman, Ph.D.
Division of Mental Disorders, Behavioral Research and AIDS
National Institute of Mental Health
6001 Executive Boulevard, Room 6217, MSC 9621
Bethesda, MD 20892-9621
Telephone: (301) 443-9700
FAX: (301) 480-6000
E-Mail: [email protected]
Enid Light, Ph.D.
Division of Services and Intervention Research
National Institute of Mental Health
6001 Executive Boulevard, Room 7160, MSC 9635
Bethesda, MD 20892-9635
Telephone: (301) 443-3599
FAX: (301) 594-6784
E-Mail: [email protected]
Direct inquiries regarding fiscal matters to:
Diana S. Trunnell
Grants Management Branch
National Institute of Mental Health
6001 Executive Boulevard, Room 6115, MSC 9605
Bethesda, MD 20892-9605
Telephone: (301) 443-2805
FAX: (301) 443-6885
E-Mail: [email protected]
AUTHORITY AND REGULATIONS
This program is described in the Catalog of Federal Domestic Assistance No.
93.281. Awards are made under authorization of the Public Health Service
Act, Title IV, Part A (Public Law 78-410, as amended by Public Law 99-158, 42
USC 241 and 285) and administered under PHS grants policies and Federal
Regulations 42 CFR 52 and 45 CFR Part 74. This program is not subject to the
intergovernmental review requirements of Executive Order 12372 or Health
Systems Agency review. Awards will be administered under PHS grants policy
as stated in the NIH Grants Policy Statement (October 1, 1998).
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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