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Full Text PAR-95-040


NIH GUIDE, Volume 24, Number 13, April 7, 1995


P.T. 34, FF

  Mental Disorders 
  Biomedical Research Training 
  Biomedical Research, Multidiscipl 

National Institute of Mental Health

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


A paucity of minority scientists have been participating as principal
investigators in the research programs of the National Institute of
Mental Health.  The purpose of this program announcement is to enable
new minority faculty members to have the necessary time and
assistance early in their academic careers to initiate a program of
research and to help them to become outstanding independent
investigators in mental health research.  As with any new faculty
members, it is expected that they will begin a program of research
that will lead to refereed publications, promotion, and perhaps
tenure.  For new minority faculty members, who are often the first or
only members of an underrepresented minority group in a department or
program, there are also other expectations.  They quickly become
focal advisors for ethnic/minority students; they are eagerly
solicited for inclusion on departmental, university, community,
professional, and governmental committees; and they are expected to
carry the usual teaching load, perhaps with the addition of some
special cultural-difference seminars.  The many demands on the time
of a new ethnic/minority faculty member may make the orderly
initiation of a research program so difficult that it becomes a
casualty of other activities, to the detriment of career development
and advancement.  It is hoped that this award, geared for a specific
time in career development, will assist in enhancing the research
capability and progress of its beneficiaries.


The Public Health Service (PHS) is committed to achieving the health
promotion and disease prevention objectives of "Healthy People 2000",
a PHS-led activity for setting priority areas.  This program
announcement, Scientist Development Award for New Minority Faculty,
is related to the priority area of mental health and mental
disorders.  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) through the Superintendent of Documents,
Government Printing Office, Washington, DC 20402-9325 (telephone


Applications may be submitted on behalf of the proposed candidate by
domestic, non-profit, public and private universities, colleges, and
professional schools that are engaged in mental health research.  The
applicant institution must provide evidence that a commitment of a
full-time faculty position has been made to the candidate.

The candidate must be a citizen or noncitizen national of the United
States or hold a permanent residence visa.  Minority groups
qualifying for support under this program announcement include
American Indians/Alaskan Natives; Asian/Pacific Islanders; Blacks not
of Hispanic origin; and Hispanics.

Candidates for this award must be new, non-tenured minority faculty
in their first faculty position who have earned a doctoral degree
(Ph.D., M.D., D.Sc., etc.) by the time the award is made.  An award
activated shortly after appointment to a faculty position is
encouraged, since it would allow for a period of independent and
possibly funded research prior to a tenure review.  Candidates who
have a commitment of a faculty appointment may apply for this award
prior to the receipt of the doctorate, by providing certification by
an authorized official of their degree-granting institution that all
degree requirements have been met.  More experienced candidates with
such a commitment are encouraged to apply prior to the completion of
a postdoctoral research experience, postdoctoral training, or
residency training.  A person who has been principal investigator on
a Public Health Service (PHS) research grant or who has had
equivalent research support is not eligible for this award.
Recipients of NIMH Dissertation Research Grants or PHS Small Grant
Awards are exceptions to this restriction and are eligible to apply.
Persons supported as PHS fellows or trainees are also eligible to
apply.  This award is intended for persons who plan to pursue careers
in mental health research and applies to all areas of research
supported by NIMH.


The MSDA/NMF is a mentored career development award and will use the
NIH revised K01 mechanism.  It represents a special use of that

Terms and Conditions

Duration of Award

This is a five-year, non-renewable award.  During the term of the
MSDA/NMF, as awardees become increasingly capable as independent
investigators, they are strongly encouraged to apply for support
under a FIRST award, regular research grant, or other appropriate
award, providing that eligibility criteria for the other award and
terms and conditions of the MSDA/NMF are met. Salary may not be
claimed on another PHS grant while the MSDA/NMF award is active.

If an awardee plans to terminate the MSDA/NMF before the scheduled
termination date, NIMH must be notified as soon as possible by the
awardee, with the notice countersigned by a representative of the
grantee institution.

Individuals receiving the MSDA/NMF may not apply for another mentored
award at the conclusion of their support; however, it is appropriate
to apply for the K02 (Independent Scientist Award).

Time and Effort

Recipients of this award must devote full time (at least 75 percent)
to career development activities, research, or other research-related
activates relevant to their career goals.  Activities such as
participation in workshops, scientific meetings, or academic
activities are encouraged if they contribute to the purpose of the
award.  Providing health care is acceptable only when it is necessary
to maintain and enhance skills required for the conduct of research.

Salary Support

Individuals receiving salary support under the MSDA/NMF are employees
of the grantee institution and are subject to its established
personnel policies dealing with professional status, title, salary,
and related staff privileges and obligations.

The salary proposed must be consistent with the established salary
structure for full-time, 12-month staff appointments at the grantee
institution.  The institution must provide in the application
information specifying how the proposed salary was derived, including
information on salaries of staff members with similar qualifications,
rank, and responsibilities. The NIMH contribution to salary support
is geared to the institution's base as follows:  100 percent of base
for salaries up to $45,000; $45,000 for base salaries of $45,001 to
$60,000; 75 percent of base for salaries over $60,001, with a maximum
of $75,000.

The grantee institution may supplement the NIMH salary contribution
up to a level that is consistent with the institution's salary scale.
However, supplementation may not be provided from Federal funds
unless specifically authorized by the Federal program from which such
funds would be derived.  In no case may other funds from the National
Institutes of Health (NIH) be used to supplement the salary.
Institutional supplementation of salary must not require extra duties
or responsibilities which would interfere with the purpose of the
award, i.e., full-time commitment to supervised research and related

Fringe Benefits

Fringe Benefits are paid out of grant funds in proportion to the
salary contribution.  Practices related to payments of fringe
benefits shall be consistent with grantee institution policies and
not be altered for MSDA/NMF awards.

Indirect Costs

Applicants may request up to 8 percent of direct costs for indirect
costs.  Indirect costs are not provided on tuition and related fees
or on equipment expenditures.

Allowance for Support Costs

In addition to salary support, funds up to $50,000 in the aggregate
may be requested for each year to support research and/or career
development activities.  The support for research activities is
intended to enable the awardee to conduct research until regular
research support can be obtained.  Research costs include equipment,
laboratory supplies, research assistants, and travel to scientific
meetings and research workshops.  Awardees should make certain that
costs for these research activities are requested in subsequent
applications for regular research support.  Upon receipt of regular
research grant support, the MSDA/NMF funds for research expenses will
be terminated.

Career development costs may include travel, per diem, tuition, or
fees for study at centers other than the grantee institution.  Funds
requested must be carefully justified for each year and must be
consistent with the stage of development of the candidate and the
proportion of time to be spent in research or career development

Requests for research and for career development funds should be
carefully specified and well justified.  The allowance for these
purposes is subject to scientific review and the availability of

Professional Income Other Than Salary

Remuneration for clinical practice, consultation, or work related to
the awardee's research program must be assigned to the grantee
institution and may not be retained by the awardee.  This income must
be used in one of the following ways: (1) The funds may be used to
supplement the NIMH contribution up to a level that is consistent
with the institution's salary scale; (2) the funds may be used for
other health-related research purposes; or (3) the funds may be paid
to the miscellaneous receipts of the U.S. treasury.  Thorough records
of disposition of such income must be maintained and summarized as
requested in progress reports.

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

Concurrent Application

A candidate for the MSDA/NMF may not concurrently apply
for any other PHS grant, nor may there be another
application pending funding.

Leaves of Absence

Subject to institutional policy applicable to all employees
regardless of the source of funds, a leave of absence may be arranged
(with continued salary support from the award) for purposes of
engaging in research or career enhancement activities related to the
award.  Prior approval of the NIMH awarding component is required for
leave in excess of three months.  Leave without award salary support
may be taken for a period not to exceed 12 months, subject to prior
approval by the NIMH awarding component and the awardee's
institution.  The award termination date will be adjusted to allow a
full five years of support.


MSDA/NMF grants are not transferable to another individual or to
another applicant institution.


The essential elements of the MSDA/NMF are an individualized,
well-thought-out career development and research plan, a committed,
capable mentor, and a commitment on the part of the applicant
institution to the development of the candidate.  Documentation
concerning each of these essential elements must be included in the
application.  The narrative comprises four sections: (1) Candidate;
(2) Mentor's Statement; (3) Career Development and Research Plan; and
(4) Institutional Environment and Commitment to the Candidate.  The
candidate prepares part 1 and the career development plan of part 3
of this narrative. The candidate and mentor prepare the research plan
of part 3, the mentor prepares part 2, and the sponsoring program or
department part 4.


The candidate's biographical sketch should elucidate the factors
motivating an interest in a mental health research career, including
those ideas, theories, and concepts that have been important in the
candidate's scientific development to date and how these relate to
what needs to be learned during the course of this award.  The
candidate should provide an overview of his or her prior research
training and experience and prior clinical training and experience,
if any.  Detailed justification must be provided of the need for a
mentor and for a five-year award of this kind.  In addition, this
section should contain a statement of short-term and long-term mental
health relevant research and career goals.  The candidate also should
discuss briefly planned participation in activities other than
research.  Three letters of recommendation are required of each
candidate.  Letters from previous research mentors or supervisors are
especially helpful.  These letters must be attached to the
application in sealed envelopes.

Mentor's Statement

The MSDA/NMF is a mentored award.  Dependence upon a mentor will be
related to the extent of previous research experience of the
candidate early in the award period, and the candidate's increasing
independence is an expectation during the course of the award.  The
candidate should choose a mentor who has not served in this role
during the candidate's pre- or postdoctoral training.  The mentor
must be a recognized, well- established, active investigator in the
candidate's proposed research area.  In addition to providing a
biographical sketch in the format contained in the application kit,
the mentor must document successful experience in the guidance of
inexperienced investigators.  The mentor must also document that he
or she is prepared personally to provide the candidate's research
supervision.  The mentor's role involves a substantial commitment of
time on behalf of the candidate; therefore, persons with extensive
administrative responsibilities (e.g., chairpersons, deans) should
not be selected as mentors.  The mentor should possess adequate
knowledge and authority within the institution to assist the
candidate in taking full advantage of available resources.  The
application must describe the specific role of the mentor and
identify the proposed commitment of effort to assist the candidate
carry out his or her development plan. Candidates may choose more
than one mentor; additional mentors may be at the candidate's
institution or elsewhere within the United States, if a strong case
is made for their contribution to the research career development of
the candidate.  The principal mentor should be in the candidate's
home institution or be available locally.  The typed name and
signature of the principal mentor should appear at the end of the
mentor's statement.  "Per" signatures are not acceptable.

Career Development and Research Plan

The candidate must provide evidence of serious intent and commitment
to enter upon a research career by submitting a two-part plan:

(1) The Career Development Plan must contain a description of
specific career development activities.  It should include a
statement of the knowledge and skills that the candidate proposes to
acquire or enhance during the period of the award and the proposed
activities and arrangements for accomplishing these goals.  The
career development plan should describe what will be learned, how and
where this will take place, and why it is important for the
candidate's development.  The plan should contain a realistic time
frame for achieving scientific independence, taking into account the
research experiences and career goals of the candidate.

(2) The Research Plan should contain a specific statement of research
career interests.  It must include a description of the research
areas to be investigated, the research aims, a summary of current
knowledge in the area, and methods to be employed.

The candidate should use the format cited in the application form PHS
398 (rev.9/91) Specific Instructions: Research Plan in the
presentation. Although it is understood that the MSDA/NMF does not
require the extensiveness or detail necessary in regular research
grant applications, a fundamentally sound research plan should be
provided.  In general, less detail will be expected with regard to
research planned in the later years of the MSDA/NMF, but the
candidate should outline the general plans for these years.  The
candidate should make certain that the relationship between the
career development plan and the research plan is clearly described.
The proposed research should complement the career development plan
and provide a vehicle for the applicant's development as a scientist.

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 as well as the amount and nature of faculty
participation.  No award will be made if an application lacks this

Institutional Environment and Commitment to The Candidate

Evidence must be provided that the candidate will have a full-time
regular faculty appointment at the time an MSDA/NMF award is
activated.  The level (e.g., assistant professor) and effective date
of this appointment must be provided.  This appointment must not be
contingent on the receipt of an award.

The sponsoring institution should document a strong, well-established
research program related to the candidate's area of interest,
including names of experienced faculty members in departments
relevant to the candidate's proposed training.  Evidence also must be
provided to insure the feasibility of the proposed research
development plan, including the availability of office and laboratory
space, equipment, and other resources, and access to clinical and/or
other research populations.  This section should contain a
description of the candidate's teaching load, committee and
administrative assignments, and clinical or other professional
activities, if applicable, for the current academic year.  It should
also indicate plans for use of released funds if the candidate
receives an award.

These statements should bear the typed name and signature of the head
of the department, program or comparable organizational unit in which
the candidate will be working.  "Per" signatures are not acceptable.
In those instances in which a candidate will be working away from the
home institution, the head of the host department, program, or
laboratory should also attest, by signature, to the agreement to
accept the candidate and provide the necessary resources for his or
her development.


It is the policy of 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 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, Volume 23, Number 11,
March 18, 1994.

Investigators also may obtain copies of the policy from the program
staff listed under INQUIRIES.  Program staff may also provide
additional relevant information concerning the policy.


Applications are to be submitted on the grant application form PHS
398 (rev. 9/91) and will be accepted at the standard application
deadlines as indicated in the application kit (February 1, June 1,
October 1).  Application kits are available at most institutional
offices of sponsored research and may be obtained from the Office of
Grants Information, Division of Research Grants, National Institutes
of Health, Westwood Building, Room 449, Bethesda, MD 20892, telephone
301/710-0267.  The title and number of the program announcement must
be typed in Section 2a on the face page of the application (PAR-
95-040 NIMH Mentored Scientist Development Award, New Minority

The completed original application and five legible copies must be
sent or delivered to:

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


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 by the NIMH 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 National Advisory Mental Health

Applications will be reviewed for the candidate's potential to
develop into a productive mental health researcher.  Reviewers will
consider:  (1) the qualifications of the candidate, including the
suitability of the candidate relative to the eligibility criteria and
purposes of the MSDA/NMF; (2) the soundness of the proposed career
development plan; (3) the nature and scientific/technical merit of
the research plan; (4) the mentor and the institutional environment,
including the commitment of the institution to the candidate's
career; and (5) the appropriateness of the budget.  The following
review criteria apply to all applicants.

Qualifications of the Candidate

Generally, it is understood that candidates for this award will
differ from one another in the extent of their prior research
training and/or experience.  Thus, the potential of the candidate to
become a highly skilled and productive mental health researcher is of
paramount importance.  This potential must be judged in the context
of the nature and extent of the candidate's training and experience.
The candidate must give evidence of the following:

o  Potential as a researcher, and/or evidence of research
productivity, appropriate to the academic and/or professional
degree(s) and level of experience

o  Commitment to a research career in the mental health field

o  Suitability of the MSDA/NMF as the mechanism for accomplishing
career development goals

o  Quality and breadth of prior scientific training and experience.

Documentation of the candidate's qualifications may include, but is
not limited to, transcripts, required letters of recommendation,
supervisory evaluations, awards, publications, etc.

Career Development Plan

o  Likelihood that the plan will contribute substantially to the
scientific development of the candidate

o  Clarity of the goals and scope of the plan, explanation of the
need for experience

o  Appropriateness of specific developmental, individualized
supervised research experiences and of any proposed advisors other
than the principal mentor

o  Appropriateness of the proposed time frame for achieving
scientific independence

o  Quality of training in responsible conduct of research

Research Plan

Reviewers recognize that an individual with limited research
experience is less likely to be able to prepare an application with
the breadth and depth of that submitted by a more experienced
investigator. However, a fundamentally sound research plan must be
provided.  In general, less detail is expected with regard to
research planned for the later years of the grant, but the applicant
should outline the general plans for these years.  The following
criteria will be used in evaluating the research plan:

o  Usefulness of the research plan as a vehicle for developing the
research skills as described in the career development plan

o  Scientific and technical merit of the research question, design,
and methodology, judged in the context of the candidate's training
and experience

o  Potential contribution of the research to knowledge in mental
health fields

o  Relevance of the proposed research to the candidate's career
objectives in mental health fields.

o  Appropriateness of the inclusion of women and minorities if
research involving human subjects is proposed


o  Appropriateness of mentor's research qualifications in the area of
this application

o  Quality and extent of mentor's proposed role in providing guidance
and advice to the candidate

o  Previous experience in fostering the development of researchers

o  History of research productivity and support

Institutional Environment and Commitment

o  Applicant institution's commitment to the scientific development
of the candidate and assurances that the institution intends the
candidate to be an integral part of its research program

o  Adequacy of research facilities and training opportunities

o  Quality of environment for scientific and professional development

o  Applicant institution's commitment to the appropriate weighting of
research, teaching, and administrative responsibilities.


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

The initial review group will also examine the provisions for the
protection of human and animal subjects and the safety of the
research environment.


Applications will compete for available funds with all other approved
applications assigned to the NIMH.  The following will be considered
in making funding decisions:  quality of the proposed project as
determined by peer review, availability of funds, and program


Inquiries concerning this program announcement are encouraged.  The
opportunity to clarify any issues or questions from potential
applicants is welcome.

Direct inquiries regarding programmatic issues to:

Rodney R. Cocking, Ph.D.
Office for Special Populations
National Institute of Mental Health
5600 Fishers Lane, Room 17-C-14
Rockville, MD  20857
Telephone:  (301) 443-3641
FAX:  (301) 443-8552
Email:  RC4@CU.NIH.GOV

Direct inquiries regarding fiscal matters to:

Diana S. Trunnell
Grants Management Branch
National Institute of Mental Health
5600 Fishers Lane, Room 7C-08
Rockville, MD  20857
Telephone:  (301) 443-3065
Email:  DT21A@NIH.GOV


This program is described in the Catalog of Federal Domestic
Assistance No. 93.281.  Awards are made under the 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 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

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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