Release Date:  May 2, 2001


National Institute on Aging

Letter of Intent Receipt Date:  June 1, 2001
Application Receipt Date:       July 12, 2001


The National Institute on Aging (NIA) will accept applications for the 
Mentored Clinical Scientist Development Award (K08) or Mentored 
Research Scientist Award (K01) in the area of Alzheimer’s disease and 
related dementias research. NIA will offer the K08 or K01 award to 
support the development of outstanding academic physician scientists.  
These mechanisms provide support for a period of supervised research 
and study for either clinically trained professionals with little 
research experience but who have the commitment and the potential to 
develop into productive, independent investigators (K08) or for 
clinically trained professionals with substantial research experience 
who wish to redirect their career to concentrate on Alzheimer’s 
research (K01).  The award period is three years and must include a 
plan to obtain and integrate a fundamental and theoretical 
understanding of dementia with a period of intensive clinically 
oriented and/or laboratory research.  The proposed research should have 
both intrinsic importance and be a suitable vehicle for learning the 
skills necessary to become an independent physician-scientist 
concentrating on dementia research and practice.  The scope and nature 
of the proposed research should also be suitable for potential 
development into an independently funded research endeavor. Whenever 
possible the research program should be designed to elicit results that 
can be translated into clinical practice.

This award will support developmental experiences in either clinical or 
laboratory research. Because of the focus on a progression to 
independence as a researcher, the prospective candidate for the K08 or 
K01 award should propose a period of development consistent with this 
goal and his or her previous research and clinical experience.  For 
example, a candidate with limited experience in dementia research may 
need a designated period of didactic training and closely supervised 
research experience for a longer period as the most efficient means of 
attaining independence.  A candidate with substantial previous research 
experience, such as an investigator in another field redirecting 
his/her career focus into dementia research, may require a shorter 
didactic training period appropriate for the transition to 
independence.  In all cases, the candidate must provide evidence of 
having attained a broad understanding of theoretical aspects of the 
relevant clinical or basic science related to Alzheimer’s disease and 
related dementias, or that s/he will attain the same during the course 
of this award.

All applicants are strongly encouraged to contact NIA staff listed 
below to discuss issues of eligibility and the specific provisions of 
this award as it pertains to NIA programmatic interests. While NINDS is 
not a sponsor of this RFA, the Institute has strong interest in 
research in Alzheimer's disease and related dementias (see:


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 Request for 
Applications (RFA), Alzheimer’s Disease Clinical Research and Training 
Program, is related to one or more of the priority areas.  Potential 
applicants may obtain a copy of "Healthy People 2010" at


The candidate must have an M.D. degree or its equivalent, must have 
completed postgraduate clinical training in a clinical area pertinent 
to the goals of this RFA such as Geriatric Medicine, Neurology, 
Psychiatry or Neuropathology and have secured a faculty appointment in 
an appropriate research-intensive environment with established 
facilities for Alzheimer’s disease research comparable to an NIA-
sponsored Alzheimer’s Disease Center, must identify a mentor with 
extensive Alzheimer’s disease research experience, and must be willing 
to spend a minimum of 75 percent of full-time professional effort 
conducting research and research career development related to 
Alzheimer’s disease and related dementias.

Applications may be submitted, on behalf of candidates, by domestic
organizations, public or private, such as medical schools. 
Minorities and women 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 Receipt Card 
(I-551) or some other verification of legal admission as a permanent 
resident.  Non-citizen 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 

Former or current principal investigators on NIH research project(R01), 
FIRST Awards(R29), sub-projects of program project(P01) or center 
grants (P50), or the equivalent, are not eligible for the K08 award but 
may apply for the K01 award.  Candidates for these K awards may not 
concurrently apply for any other PHS award that duplicates the 
provisions of this award. Both K08 and K01 recipients are encouraged to 
apply for independent research grant support during the period of this 
award.  Recipients would be allowed to maintain the award if other PHS 
support is procured, as long as the new support does not interfere with 
the ability to meet the K08 or K01 requirements.


Awards in response to this Request for Applications will use the K08 or 
K01 mechanism. Planning, direction, and execution of the program will 
be the responsibility of the candidate and his/her mentor on behalf of 
the applicant institution. The project period is limited to three 
years. Awards are not renewable.


The NIA has set aside funds sufficient to make five awards in the first 
year of the program and an additional five awards beginning in the 
second year. Awards are contingent upon availability of funds and 
receipt of a sufficient number of applications of outstanding 
scientific and technical merit. It is anticipated that this RFA will be 
reissued in 2002. 


A.  Environment: The institution must have well-established research 
programs in Alzheimer’s disease research including clinical facilities 
and basic laboratories similar to those of an NIA-sponsored Alzheimer’s 
Disease Center.  The institution must have experience with clinical 
career development programs and qualified faculty in clinical and basic 
research related to Alzheimer’s disease and other neurodegenerative 
diseases to serve as mentors.  The institution must be able to 
demonstrate a commitment to the development of the candidate as a 
productive, independent investigator.  The candidate, mentor and 
institution must be able to describe an in-depth, broadly based career 
development program that will maximize the use of relevant research and 
educational resources.

B.  Program: The goal of this program is to train junior and mid level 
physicians to focus their careers on Alzheimer’s disease research and 
to apply basic knowledge of the disease process to clinical care of 
patients. There is a critical need to build better bridges between 
Alzheimer’s laboratory research and cutting edge new methods of 
diagnosis, treatment and prevention of the disease. Well-trained 
physician scientists are needed to provide the next generation of 
leadership for research and treatment of Alzheimer’s disease and the 
related dementias.

The award provides for three consecutive 12 month
appointments.  At least 75 percent of the recipient's full-time 
professional effort must be devoted to the program and the remainder 
devoted to other clinical and teaching pursuits consonant with the 
objectives of the award. Both the didactic and basic science components 
must be designed to develop the necessary knowledge and research skills 
in scientific areas relevant to the career goals of the candidate.

C.  Mentor(s):  The recipient must receive appropriate mentoring 
throughout the three-year program. The mentor(s) must have expertise in 
Alzheimer’s disease and related dementias and have a funded research 
program. Where feasible, women and minority mentors should be involved 
as role models.

D.  Allowable Costs:

1.  Salary:  NIA will provide salary for the K08 or K01 recipient at a 
maximum of $ 100,000 per year.

The institution may supplement the NIA contribution up to a level that 
is consistent with the institution's salary scale; however, 
supplementation may not be from Federal funds unless specifically 
authorized by the Federal program from which such funds are derived.  
In no case may PHS funds be used for salary supplementation.  
Institutional supplementation of salary must not require extra duties 
or responsibilities that would interfere with the purpose
of the K08.  Under expanded authorities, however, institutions may 
rebudget funds within the total costs awarded to cover salaries 
consistent with the institution's salary scale.

The total salary requested must be based on a 100%, 12-month staff
appointment.  It must be consistent both with the established salary 
structure at the institution and with salaries actually provided by the 
institution from its own funds to other staff members of equivalent 
qualifications, rank, and responsibilities in the department concerned.  
If full-time, 12-month salaries are not currently paid to comparable 
staff members, the salary proposed must be appropriately related to the 
existing salary structure.

2.  Research Development Support: NIA will provide up to $50,000 per 
year for:  (a) research expenses such as supplies, equipment and 
technical personnel; (b) statistical services including personnel and 
computer time;(c) travel to research meetings or training; (d) tuition, 
fees, and books related to career development.

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

4.  Facilities and Administrative (F&A) costs: F&A 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 various aspects of 
their employment history, publications, support from research grants or 
contracts, honors and awards, professional activities, and other 
information helpful in evaluating the impact of the program.

F.  Other Income: Fees resulting from clinical practice, professional
consultation, or other comparable activities required by the research 
and research-related activities of this award may not be retained by 
the career award recipient.  Such fees must be assigned to the grantee 
institution for disposition by any of the following 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 institution.

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. NIA will 
consider approval for the use of released funds only under unusual 
circumstances.  Any proposed retention of funds released as a result of 
a career award must receive prior written approval of 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 NIA is required.  To obtain prior approval, the award recipient must 
submit a letter to 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 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 or Change of Institution: When a grantee institution 
plans to terminate an award, NIA must be notified in writing at the 
earliest possible time so that appropriate instructions can be given 
for termination.  If the individual is moving to another eligible 
institution, career award support may be continued provided:

The new institution submits an application to transfer the award, 
complete with the requisite information concerning all aspects of the 
career development plan, mentoring, and institutional support (as 
described elsewhere in this RFA);

The period of support requested is no more than the time remaining 
within the existing project period; and

The application to transfer an award is submitted at least 60 days 
prior to the requested start date at the new institution to allow time 
for review by NIA staff.

The Director of the NIH may discontinue an award upon determination 
that the purpose or terms of the award are not being fulfilled.  In the 
event an award is terminated, the Director of the NIH shall notify the 
grantee institution and career award recipient in writing of this 
determination, the reasons therefore, the effective date, and the right 
to appeal the decision.

A final progress report, invention statement, and Financial Status 
Report are required upon either termination of an award or 
relinquishment of an award in a change of institution situation.


It is the policy of the NIH that women and members of minority groups 
and their sub-populations must be included in all NIH-supported 
biomedical and behavioral research projects involving human subjects, 
unless a clear and compelling rationale and justification are provided 
indicating 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 

All investigators proposing research involving human subjects should 
read the UPDATED "NIH Guidelines for Inclusion of Women and Minorities 
as Subjects in Clinical Research," published in the NIH Guide for 
Grants and Contracts on August 2, 2000 
(; a 
complete copy of the updated Guidelines are available at  
The revisions relate 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.


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.


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 
identities of other key personnel and participating institutions, and 
the number and title of the RFA in response to which the application 
may be submitted. Although a letter of intent is not required, is not 
binding, and does not enter into the review of a subsequent 
application, the information that it contains allows IC staff to 
estimate the potential review workload and to plan the review.

The letter of intent is to be sent to the program staff listed under 
INQUIRIES by the letter of intent receipt date listed in the heading of 
this RFA.


All candidates are strongly encouraged to contact the program staff 
person listed below under INQUIRIES.  Such contact should occur early 
in the planning phase of application preparation and will help ensure 
that applications are responsive to the career development goals and 
policies of NIA. 

The research grant application form PHS 398 (rev. 4/98) is to be used 
in applying for these grants.  These 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, email: Applications are 
also available on the Internet at

The RFA label available in the PHS 398 (rev. 4/98) application form 
must be affixed to the bottom of the face page of the application.  
Type the RFA number on the label.  Failure to use this label could 
result in delayed processing of the application such that it may not 
reach the review committee in time for review.  In addition, the RFA 
title and number must be typed online 2 of the face page of the 
application form and the YES box must be marked.

A sample RFA label is available at:  Please note 
this is in pdf format.

Submit a signed, original of the application, including the Checklist, 
and three signed photocopies of the application in one package to: 

6701 ROCKLEDGE DRIVE, ROOM 1040 - MSC 7710
BETHESDA, MD  20892-7710
BETHESDA, MD  20817 (for express/courier service)

At the time of submission, send two additional copies of the 
application to:

Mary Nekola, Ph.D.
Chief, Scientific Review
Scientific Review Office
National Institute on Aging
7201 Wisconsin Avenue, Room 2C212
Bethesda, MD  20892-9205

It is important to send these copies at the same time as the original 
and three copies are sent to the Center for Scientific Review. These 
copies are used to identify conflicts and to help ensure the 
appropriate and timely review of the application.

Applications must be received by the application receipt date listed in 
the heading of this RFA.  If an application is received after that 
date, it will be returned to the applicant without review.

The application must address the following issues:

1.  Candidate

Describe the candidate's commitment to a career in clinical or
laboratory-based biomedical research related to Alzheimer’s disease and 
related dementias.

Establish the candidate's potential to develop into an independent

Describe immediate and long-term career objectives, explaining how the 
award will contribute to their attainment. For K01 applicants, outline 
previous research experience and the rationale for redirecting research 
interests to Alzheimer’s disease.

A commitment of at least 75 percent effort to research career 
development activities.

Letters of recommendation.  Three sealed letters of recommendation 
addressing the candidate's potential for a research career must be 
included as part of the application.

2.  Career Development Plan

Describe the career development plan incorporating consideration of the
candidate's goals and prior experience.  Where necessary, it must 
describe a systematic plan to obtain both the necessary didactic 
training and research experience to launch an independent research 
career related to Alzheimer’s disease and other dementias of aging.  
Candidates interested in clinical research must describe the 
availability of courses such as research design, biostatistics, 
epidemiology, and ethical and regulatory issues at their institution 
and the integration of these studies into their career
development plan.

Candidates with limited research training may require a phased 
developmental period including didactic training during the first year 
of the award while gradually phasing in a period of intense, supervised 
research experience. Candidates with more experience at the time of 
application may need a shorter developmental period and may already 
have an adequate theoretical background. In any case, the career 
development plan must be tailored to the needs of the individual 
candidate and the ultimate goal of achieving independence as a 

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.

3.  Research Plan

Describe the research plan and the use of a clinical science or 
laboratory approach to a research project that will likely lead to 
increased knowledge or better treatment of Alzheimer’s disease and/or 
related dementias.  The research plan must be described as outlined in 
form PHS 398 including sections on the Specific Aims, Background and 
Significance, Progress Report/ Preliminary Studies, Research Design and 
Methods.  The candidate should consult with the mentor regarding the 
development of this section, but the proposed research should derive 
from the candidate's own background, research interests, and career 
goals.  The proposed research should also be suitable for development 
into a project capable of generating independent funding.

4.  Mentor's Statement

The application must include information on the mentor(s) including
information on research qualifications and previous experience as a 
research supervisor for training scientists in Alzheimer’s disease, 
related dementias, or other neurodegenerative diseases. The 
applications must also include information describing the nature and 
extent of supervision that will occur during the proposed award period.

5.  Environment and Institutional Commitment

The sponsoring institution must document a strong, well-established 
research and training program related to Alzheimer’s disease and other 
neurogenerative disease including a high-quality research environment 
comparable to an NIA-sponsored Alzheimer’s Disease Center with staff 
capable of productive collaboration with the candidate.  The sponsoring 
institution also must provide a statement of commitment to the 
candidate's development into a productive, independent investigator.  
The statement should indicate that the institution sponsoring the 
investigator must treat the individual as a faculty member.

6.  Budget

Budget requests must be provided according to the instructions in form 
PHS 398.  The request for tuition and fees, books, travel, research 
development support, etc., must be justified and specified by category.


Upon receipt, applications will be reviewed for completeness by CSR and 
responsiveness by NIA. Incomplete and/or nonresponsive applications 
will be returned to the applicant.  

Applications that are complete and responsive to the RFA will be 
evaluated for scientific merit and training potential by an appropriate 
peer review group convened by NIA in accordance with the review 
criteria stated below.  As part of the initial merit review, a process 
may be used by the initial review group in which applications 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 second level review by the National Advisory 
Council on Aging.

The following review criteria will be applied:

1.  Candidate

Quality of the candidate's academic and clinical record,

Potential to develop as an independent clinical or laboratory based
researcher in the field of Alzheimer’s disease; and

Commitment to a career in Alzheimer’s research and clinical practice.

2.  Career Development Plan

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

Probability of development of a competitive independent research 

Documentation of local expertise in Alzheimer’s disease and other 
neurodegenerative diseases and appropriateness of the content and 
duration of the proposed didactic and research phases of the award;

Consistency of the career development plan with the candidate's career 
goals and prior research experience; and,

Quality of the proposed training in responsible conduct of research.

3.  Research Plan

Reviewers recognize that applicants will have variable amounts of 
previous research experience and that an individual with limited 
research experience is less likely to be able to prepare a research 
plan with the breadth and depth of that submitted by a more experienced 
investigator.  Although it is understood that K08 and K01 applications 
do not require the level of detail necessary in regular research grant 
proposals, a fundamentally sound research plan must be provided.  In 
general the plan for the first year should be spelled out in detail 
while less detail is expected with regard to research planned for the 
later years of the award. The application should outline the general 
goals for years two and three.  The following details should be 

The significance of the area of dementia research in which the 
candidate proposes to establish independence;

Appropriateness of the research plan to the stage of research 
development and as a vehicle for developing the research skills as 
described in the career development plan;

Scientific and technical merit of the research question, design and
methodology and its likelihood to advance dementia research;

Relevance of the proposed research to the candidate's career 
objectives; and

Adequacy of the plan's attention to gender and minority issues 
associated with projects involving human subjects.

4.  Mentor

Appropriateness of mentor's statement of support and research 
qualifications in Alzheimer’s disease and related dementias;

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

Previous experience in fostering the development of Alzheimer’s 
researchers; and

History of research productivity and support and

Adequacy of support for the proposed research.

5.  Environment and Institutional Commitment

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;

Adequacy of research facilities (comparable to those of an NIA-
sponsored Alzheimer’s Disease Center) and the availability of 
appropriate educational opportunities;

Quality and relevance of the environment for scientific and 
professional development of the candidate; and

Applicant institution's commitment to an appropriate balance of 
research and clinical responsibilities including the level of 75 
percent effort proposed by the candidate.

6.  Budget

Justification of the requested budget in relation to career development 
goals and research aims.


Letter of Intent Receipt Date:  June 1, 2001
Application Receipt Date:       July 12, 2001
Date of Initial Review:         November  2001
Review by Advisory Council:     January 2002
Anticipated Award Date:         March 2002


Funding decisions will be made based on the merit of the proposal, the 
research environment of the applicant institution, the need for 
research personnel in specific program areas, and the availability of 


Written and telephone inquiries concerning this Request for 
Applications are strongly encouraged especially during the planning 
phase of the application.

Direct inquiries regarding programmatic issues to:

Creighton H. Phelps, Ph.D.
Neuroscience and Neuropsychology of Aging Program
National Institute on Aging
7201 Wisconsin Ave., Suite 3C307
Bethesda, MD  20892-9205
Telephone:  (301) 496-9350
FAX:  (301) 496-1494

For questions about grants management, contact:

Deborah Stauffer
Grants Management Specialist
National Institute on Aging
7201 Wisconsin Ave., Suite 2N212
Bethesda, MD  20892-9205
Telephone:  (301) 496-1472
FAX:  (301) 492-3672
Email:  ds63p@NIH.GOV


This program is described in the Catalog of Federal Domestic Assistance 
No. 93.866.  Awards are made under authorization of Sections 301 and 
405 of the Public Health Service Act as amended (42 USC 241 and 284) 
and administered under NIH grants policies and Federal Regulations 42 
CFR 52 and 45 CFR Parts 74 and 92.  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 

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