SCIENTIST DEVELOPMENT AWARD FOR NEW MINORITY FACULTY Release Date: September 30, 1999 PA NUMBER: PAR-99-169 (See update, NOT-MH-05-008) National Institute of Mental Health This program announcement is a revision and update of PAR-95-040, which was published in the NIH Guide, Vol. 24, No. 13, April 7, 1995. PURPOSE 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. HEALTHY PEOPLE 2000 The Public Health Service 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, Scientist Development Award for New Minority Faculty, is related to the priority area of human resource development. Potential candidates 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) or electronically (http://odphp.osophs.dhhs.gov/pubs/hp2000). ELIGIBILITY REQUIREMENTS 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, and that the candidate can commit a minimum of 75 percent professional effort (of a full-time position) to the career development plan. The candidate must be a citizen or non-citizen national of the United States or hold a permanent residence visa. For the purpose of this PA, minorities are defined as individuals belonging to a particular ethnic or racial group that has been determined by the grantee institution to be underrepresented in biomedical or behavioral research. Candidates for this award must be new, non-tenured minority faculty in their first or second 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 prior to the award issuance beginning date. 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 NIH Small Grant Awards are exceptions to this restriction and are eligible to apply. Individuals who are in training status and are being supported by National Research Service Awards (NRSA) are eligible to apply, however, they may not activate the Scientist Development Award until the NRSA research training program has been completed or terminated. 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. MECHANISM OF SUPPORT The Scientist Development Award for New Minority Faculty is a mentored career development award and will use the NIH K01 mechanism. It represents a special use of that mechanism. Planning, direction, and execution of the program will be the responsibility of the candidate and her/his mentor on behalf of the applicant institution. The project period may be for three, four, or five years and will depend upon the number of years of prior research experience, the need for additional experiences to achieve independence. Awards are not renewable. RESEARCH OBJECTIVES The essential elements of the Scientist Development Award for New Minority Faculty 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 prepares part 4. Candidate 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 3-5 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 Scientist Development Award for New Minority Faculty is a mentored award. Dependence upon a mentor early in the award period will be related to the extent of the candidate"s previous research experience, increased independence is expected 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 to personally supervise the candidate"s research. 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. Mentors are not funded for their role on the award. Career Development and Research Plan The candidate must provide evidence of serious intent and commitment to enter upon a mental health 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 in the area of mental health. 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. 4/98) "Specialized Information: Research Plan" in the presentation. Although it is understood that the Scientist Development Award for New Minority Faculty does not require the extensiveness or detail necessary in regular research grant applications, a fundamentally sound research plan must be provided. In general, less detail will be expected with regard to research planned in the later years of the award, 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 component. 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 and career development. 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. TERMS AND CONDITIONS Duration of Award This is a non-renewable award of 3-5 years in duration. During the term of this award, as awardees become increasingly capable as independent investigators, they are strongly encouraged to apply for support under a regular research grant (e.g., R03 or R01), or other appropriate award, providing that eligibility criteria for the other award and terms and conditions of this award are met. Salary may not be claimed on another PHS grant while this award is active. If an awardee plans to terminate the award 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 Scientist Development Award for New Minority Faculty may not apply for another mentored award at the conclusion of their support, however, it is appropriate to apply for the K02 award (Independent Scientist Award). Time and Effort Recipients of this award must devote full time (at least 75 percent of a full time 12 month position) 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 Scientist Development Award for New Minority Faculty 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 the Principal Investigator"s salary is geared to the institutional base salary of a full-time 12 month position as follows: Institutional Base Salary NIMH Contribution Up to $48,000 100% of institutional base salary $48,001 to $64,000 $48,000 (i.e., 75% of $64,000) $64,001 and over 75% of institutional base salary, up to $90,000 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 activities. 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 these awards. Allowance for Research and Career Development 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. 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 activities. Salary for mentors, secretaries and administrative assistants is not allowed. Facilities and Administrative Costs Applicants may request up to 8% of direct costs for Facilities and Administrative Costs (F&A). F&A costs are not provided on tuition and related fees or on equipment expenditures. Professional Income Other Than Salary Fees resulting from clinical practice, professional consultation, or other comparable activities required by the research and research-related activities of this career development 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: (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 institution. Concurrent Application A candidate for the Scientist Development Award for New Minority Faculty may not concurrently apply for any other PHS grant, nor may there be another application pending funding. Special Leave and Reduction in Percent Effort 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 written 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. Under unusual and pressing personal circumstances, an awardee may submit a written request to the awarding component requesting a reduction in professional effort below 75 percent. Such requests will be considered on a case-by-case basis during the award period. In no case, will it be permissible to work at a rate of less than 50 percent effort. The nature of the circumstances requiring reduced effort might include medical conditions, disability, or pressing personal or family situations such as child or elder care. Permission to reduce the level of effort will not be approved to accommodate other sources of funding, job opportunities, clinical practice, clinical training, or to adapt to any assigned duties associated with the employment role at the grantee institution. In each situation, the grantee institution must submit documentation supporting the need for reduced effort along with assurance of a continuing commitment to the scientific development of the awardee. Further, the awardee must submit assurance of his or her intention to return to full-time professional effort (at least 75 percent) as soon as possible. During the period of reduced effort, the salary and other costs supported by the award will be reduced accordingly. Termination or Change of Institution When a grantee institution plans to terminate an award, the NIMH funding component must be notified in writing at the earliest possible time so that appropriate instructions can be given for termination. The Director of the NIMH 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, the effective date, and the right to appeal the decision. Scientist Development Award for New Minority Faculty grants are not transferable to another individual but may be transferred to another institution. In the latter case, the awardee must contact the responsible NIMH project officer to fully discuss the circumstances of the transfer, and must subsequently provide a written justification and rationale for the transfer. The period of support requested can be no more than the time remaining within the existing original award project period. Further, no transfer will be allowed for awards with less than six months remaining in the project period. INCLUSION OF WOMEN AND MINORITIES IN RESEARCH INVOLVING HUMAN SUBJECTS It is the policy of the NIH that women and members of underrepresented 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 in the NIH Guide for Grants and Contracts, Vol. 23, No. 11, March 18, 1994 available on the web at the following URL address: https://grants.nih.gov/grants/guide/notice-files/not94-100.html 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: https://grants.nih.gov/grants/guide/notice-files/not98-024.html Investigators also may obtain copies of these policies from the program staff listed under INQUIRIES. Program staff may also provide additional relevant information concerning the policy. APPLICATION PROCEDURES Applications are to be prepared using Section IV of the grant application form PHS 398 (rev. 4/98). Applications will be accepted on the standard receipt dates (October 1, February 1, June 1) indicated in the application kit. Forms 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 https://grants.nih.gov/grants/funding/phs398/phs398.html To identify the application as a response to this program announcement, check "YES" on item 2 of page 1 of the application and enter "PAR-99-169 SCIENTIST DEVELOPMENT AWARD FOR NEW MINORITY FACULTY." Submit a signed, typewritten original of the application with Checklist, and five 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 20817-7710 (for express/courier service) REVIEW CONSIDERATIONS 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 Council. 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 this program, (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 this program 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 Mentor 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. Budget 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. AWARD CRITERIA 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 priority. INQUIRIES Inquiries concerning this program announcement are encouraged. The opportunity to clarify any issues or questions from potential applicants is welcome. For overall NIMH policy with regard to this initiative, contact: Henry Khachaturian, Ph.D. Office of Science Policy and Program Planning National Institute of Mental Health 6001 Executive Boulevard, Room 8208, MSC 9667 Bethesda, MD 20892 Telephone: (301) 443-4335 Fax: (301) 443-3225 Email: [email protected] For specific Division-level program interests, contact the following training staff: Della Hann, 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 Telephone: (301) 443-9700 Fax: (301) 480-6000 Email: [email protected] Walter Goldschmidts, Ph.D. Division of Neuroscience and Basic Behavioral Science National Institute of Mental Health 6001 Executive Boulevard, Room 7196, MSC 9645 Bethesda, MD 20892 Telephone: (301) 443-3563 Fax: (301) 443-1731 Email: [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 Telephone: (301) 443-1185 Fax: (301) 443-4045 Email: [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 Telephone: (301) 443-2805 Fax: (301) 443-6885 Email: [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 66 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 nonuse 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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National Institutes of Health (NIH) 9000 Rockville Pike Bethesda, Maryland 20892 |
Department of Health and Human Services (HHS) |
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