Full Text PA-95-051 SENIOR SCIENTIST AWARD NIH GUIDE, Volume 24, Number 15, April 28, 1995 PA NUMBER: PA-95-051 P.T. 34 Keywords: Biomedical Research, Multidiscipl National Institute on Alcoholism and Alcohol Abuse National Institute on Drug Abuse National Institute of Mental Health Receipt Dates: February 1, June 1, and October 1 PURPOSE The Senior Scientist Award (K05) provides stability of support to outstanding scientists who have demonstrated a sustained, high level of productivity and whose expertise, research accomplishments, and contributions to the field have been and will continue to be critical to the mission of the particular NIH center or institute. The award provides salary support for award periods of five years as a means of enhancing the individual recipient's skills and dedication to his/her area of research. The Senior Scientist Award (K05) permits NIH institutes and centers to identify and support exceptionally talented investigators who are well established in their field of research. Since not all of the NIH centers and institutes support this award, potential applicants should contact the appropriate NIH program staff listed under INQUIRIES, prior to preparing an application. The NIH recently reviewed its career awards (K) used to develop the research capabilities of clinicians and other scientists needed to carry out the nation's research mission in the biomedical and behavioral sciences. This evaluation resulted in several changes: (1) the total number of K mechanisms were reduced from 19 to six; (2) the review criteria were refined to clarify the career development goals of the K award; and (3) K award applications will be assigned to initial review groups managed by the prospective funding institute or center to which the application has been assigned. HEALTHY PEOPLE 2000 The Public Health Service (PHS) is committed to achieving the health promotion and disease prevention objectives of "Healthy People 2000," a PHS-led national activity for setting priority areas. This PA, Senior Scientist Award, is related to the priority area of human resource development. Potential applicants may obtain a copy of "Healthy People 2000" (Full Report: Stock No. 017-001-00474-0 or Summary Report: Stock No. 017-001-00473-1) from the Superintendent of Documents, Government Printing Office, Washington, DC 20402-9325 (telephone 202/783-3238). ELIGIBILITY REQUIREMENTS The candidate must be a senior scientist and a recognized leader in the field with a distinguished record of original contributions; must have long-term support from a funding institute or center; and must have peer-reviewed grant support at the time of the award. Scientists whose work is primarily theoretical may, depending on the policy of the institute or center, apply for this award in the absence of research grant support. Applications may be submitted on behalf of candidates by domestic, non-Federal organizations, public or private, such as medical, dental, or nursing schools or other institutions of higher education. Minorities and women are encouraged to apply. Candidates must be U.S. citizens or noncitizen nationals, or must have been lawfully admitted for permanent residence and possess an Alien Registration Receipt Card (I-151 or I-551) or some other verification of legal admission as a permanent resident. Noncitizen nationals, although not U.S. citizens, owe permanent allegiance to the U.S. They are usually born in lands that are not states but are under U.S. sovereignty, jurisdiction, or administration. Individuals on temporary or student visas are not eligible. MECHANISM OF SUPPORT Awards in response to this PA will use the K05 mechanism. Planning, direction, and execution of the program will be the responsibility of the candidate. The institution must demonstrate a commitment to the candidate and the candidate's goals for continued career development. The project period for the K05 award is five years. Awards are renewable at the discretion of the NIH awarding unit. RESEARCH OBJECTIVES A. Environment: The institution must have a demonstrated commitment to the continued support and development of the candidate. The institution must also provide assurance that the candidate will continue to be an integral part of its research and academic programs. B. Program: The award provides five 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 research-related and/or teaching pursuits consonant with the objectives of the award. C. Allowable Costs: 1. Salary: The NIH will provide salary and fringe benefits for the K recipient. The salary limits are not uniform throughout the NIH and are determined independently by each component of the NIH. Therefore, prospective candidates should contact the NIH component to which the application is targeted to ascertain the maximum contribution to the candidate's salary. The institution may supplement the NIH 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 Senior Scientist Award. 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 full-time, 12-month staff appointment. It must be consistent both with the established salary structure at the institution and with salaries actually provided by the institutions 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: It is expected that candidates for a K05 award will have research support at the time of the award. However, there are some research specialties in which only minimal research support is needed, i.e., theoreticians and computer scientists. In such cases, incidental research expenses may be provided at the discretion of the individual institute or center. Candidates may request funds to offset the cost of tuition, fees, and books related to career development. Applicants should contact the relevant NIH institute or center program staff for additional information. 3. Ancillary Personnel Support: Salary for secretarial, technical, and/or administrative assistance, etc., is not allowed. 4. Indirect costs: Indirect costs will be reimbursed at eight percent of modified total direct costs, or at the actual indirect cost rate, whichever is less. F. Evaluation: In carrying out its stewardship of human resource related programs, the NIH 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. G. 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 must 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 training grant for the salaries or fringe benefits of individuals, but freed as a result of a career award, may not be rebudgeted. The funding component will give consideration to approval for 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 the funding component. H. Special Leave: Leave to another institution, including a foreign laboratory, may be permitted if directly related to the purpose of the award. Only local, institutional approval is required if such leave does not exceed 3 months. For longer periods, prior written approval of the NIH funding component is required. To obtain prior approval, the award recipient must submit a letter to the NIH describing the plan, countersigned by his or her department head and the appropriate institutional official. A copy of a letter or other evidence from the institution where the leave is to be taken must be submitted to assure that satisfactory arrangements have been made. Support from the career award will continue during such leave. Leave without award support may not exceed 12 months. Such leave requires the prior written approval of the NIH funding component 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. I. Termination or Change of Institution: When a grantee institution plans to terminate an award, the NIH funding component 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: A new career award application is submitted by the new institution; The period of support requested is no more than the time remaining within the existing award period; and The new application is submitted far enough in advance of the requested effective date to allow the necessary time for review. The funding component may require a new review by an initial review group and/or the appropriate national advisory council or board. Alternatively, review may be carried out by staff within the NIH funding component depending upon the circumstances. 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 therefor, 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. 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 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 new 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 of March 18, 1994, Volume 23, Number 11. Investigators may obtain copies from these sources or from the program staff or contact person listed INQUIRIES. Program staff may also provide additional relevant information concerning the policy. APPLICATION PROCEDURES This is a generic program announcement for the NIH Senior Scientist Award (SSA). Since not all NIH institutes and centers support the SSA and the features of the award may vary, prospective applicants are strongly advised to contact the staff person in the relevant institute or center listed under "INQUIRIES" early in the planning phase of application preparation. Such contact will help ensure that applications are responsive to the career development goals of individual institutes and centers. Applications are to be submitted on form PHS 398 (rev. 9/91) and will be accepted on or before the receipt deadlines indicated in the application kit (February 1, June 1 and October 1). Forms are available at most institutional offices of sponsored research and from the Office of Grants Information, Division of Research Grants, NIH, 5333 Westbard Avenue, Room 449, Bethesda, MD 20892, telephone 301/435-0714. Applicants are strongly advised to follow the instructions in the form PHS 398. The narrative for this award should be divided into three sections: (1) Candidate, (2) Career and Research Plan; and (3) Institutional Environment. (1) Candidate: Include information on background, training and experience. In addition to completing the biographical sketch requested in the application kit, the candidate should provide an overview of the clinical and/or research experience to date, including a list of scientific accomplishments and the record of research funding. Candidates should also describe their current involvement in science education including training/mentoring future researchers and other activities that could be considered science advocacy, scientific integrity training, or education. Finally, there should be a summary of future career goals, a statement of short-term and long-term research goals, and a statement of how the award will benefit the candidate by release from duties unrelated to research. (2) The candidate must provide evidence of a continuing and productive commitment to a research career that is relevant to the mission of the funding institute or center by submitting a statement of research career interests and a three-part plan: (a) a description of specific activities that will sustain the candidate's outstanding performance and the capacity to address relevant research problems; (b) a description of the research that the candidate proposes to pursue during the period of support, including fully developed, high- quality career and research plans that demonstrate a commitment to the research goals of the awarding institute. Provide plans for obtaining research support for such activities. (c) a description of science education activities in which the applicant intends to participate. Candidates are expected to engage in mentoring and where possible, other science education activities that will enhance training or public understanding of science. (3) The awardee institution must document a strong, well-established research program related to the candidate's area of research interest including a high-quality research environment with staff capable of productive collaboration with the candidate. The sponsoring institution also must provide a statement of commitment to the candidate's research career. Specifically, evidence must be provided to assure the applicant is on a full-time faculty appointment and that the appointment is not contingent upon receipt of this award and to ensure the feasibility of the proposed research plan, including availability of and access to clinical populations, laboratory space, and other resources. The sponsoring institutions should also describe actions it will take to ensure that the candidate will be able to devote at least 75 percent of his/her full-time professional effort to research. A description of the department's overall research program and details of relevant research are required. The department chairperson or research director is to submit information on the institution's research programs; plans for development of these programs; and specific plans for the candidate. The institution should provide plans for use of any institutional funds that will be released as a result of the award. It is expected that such funds will revert to the individual recipient's department and will be used in a manner which will further the spirit of the award. Budget requests must be provided according to the instructions in form PHS 398. The request for tuition and fees, books, travel, etc., must be justified and specified by category. To identify the application as a response to this PA, check "YES" on item 2a of page 1 of the application and enter "PA-95-051, Senior Scientist Award" and the name of the NIH institute or center that you would like your application to be assigned. Submit a signed, typewritten original of the application with Checklist, and five signed photocopies, in one package to: Division of Research Grants National Institutes of Health 6701 Rockledge Drive, Room 1040 MSC 7710 Bethesda, MD 20892-7710 Bethesda, MD 20817 (for express/courier service) REVIEW CONSIDERATIONS Applications will be reviewed for completeness by the Division of Research Grants and responsiveness to the PA by the appropriate institute or center staff. Incomplete or nonresponsive applications will be returned to the applicant without further consideration. 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 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 he appropriate national advisory council or board. The following review criteria will be applied: Candidate o The extent to which the award will enable the candidate to devote full-time to research and research-related activities and will permit release from teaching, administrative, clinical, and other non- research related responsibilities; o A consistent record of outstanding research productivity including program research funding and record of publication of scientific reports, including publication of influential research papers or seminal theoretical papers; o Likelihood of continuing and significant contributions to scientific knowledge; o Recognition as a leading senior scientist as judged by peers; o Leadership of a productive research program; and o Ability to develop and maintain an environment for training high- quality investigators. Career Development and Research Plan o Long-term substantive plan for future research; o Consistency of the career development plans with the candidates' career goals; and o Quality of plans for mentoring and science education activities. o Scientific and technical merit of the research plan; o Significance of the research plan and the probability of significant contributions to scientific knowledge; o adequancy of plans to include both genders and minorities and their subgroups as appropriate for the scientific goals of the research. Plans for the recruitment and retention of subjects will also be evaluated. Institutional Environment and Commitment to the Candidate o Adequacy of facilities and general environment to conduct the research program; o Availability of collaborative opportunities with other investigators; o Reputation of the applicant institution and the candidate's department as a center of active, high-quality research; and o Institutional support of the candidate's commitment to research and research training. AWARD CRITERIA The institute or center will notify the applicant of the board or council's action shortly after its meeting. Funding decisions will be made based on the recommendations of the initial review group and council/board, the need for research personnel in specific program areas, and the availability of funds. INQUIRIES Written and telephone inquiries concerning this PA are encouraged especially during the planning phase of the application. Below is a listing of each institution's or center's program and grants management contacts. Dr. Ernestine D. Vanderveen, Ph.D. Division of Basic Research National Institute on Alcohol Abuse and Alcoholism 6000 Executive Boulevard, Suite 402 MSC 7003 Bethesda, MD 20892-7003 Telephone: (301) 443-1273 FAX: (301) 594-0673 Email: tvanderv@willco.niaaa.nih.gov Ms. Frances Cotter Division of Clinical and Prevention Research National Institute on Alcohol Abuse and Alcoholism 6000 Executive Boulevard, Suite 505 MSC 7003 Bethesda, MD 20892-7003 Telephone: (301) 443-1207 FAX: (301) 443-8744 Email: fcotter@willco.niaaa.nih.gov Dr. Mary C. Dufour Division of Biometry and Epidemiology National Institute on Alcohol Abuse and Alcoholism 6000 Executive Boulevard, Suite 514 MSC 7003 Bethesda, MD 20892-7003 Telephone: (301) 443-4897 FAX: (301) 443-8614 Email: m.dufour@willco.niaaa.nih.gov Timothy P. Condon, Ph.D. Office of Science Policy, Education, and Legislation National Institute on Drug Abuse Parklawn Building, Room 10A-55 Rockville, MD 20857 Telephone: (301) 443-6072 FAX: (301) 443-6277 Email: tc52x@nih.gov Charles W. Sharp, Ph.D. Division of Basic Research National Institute on Drug Abuse Parklawn Building, Room 10A-31 Rockville, MD 20857 Telephone: (301) 443-1887 FAX: (301) 594-6043 Email: cs107m@nih.gov Arthur Horton, Ed.D. Division of Clinical Research National Institute on Drug Abuse Parklawn Building, Room 10A-30 Rockville, MD 20857 Telephone: (301) 443-4060 FAX: (301) 443-2317 Email: ah61x@nih.gov Ann Blanken Division of Epidemiology and Prevention Research National Institute on Drug Abuse Parklawn Building, Room 9A-55 Rockville, MD 20857 Telephone: (301) 443-6543 FAX: (301) 443-9847 Email: ab108v@nih.gov Jamie Biswas, Ph.D. Medications Development Division National Institute on Drug Abuse Parklawn Building, Room 11A-55 Rockville, MD 20857 Telephone: (301) 443-5280 FAX: (301) 443-2599 Email: jb168r@nih.gov George T. Niederehe, Ph.D. Division of Clinical and Treatment Research National Institute of Mental Health 5600 Fishers Lane, Room 18-105 Rockville, MD 20857 Telephone: (301) 443-3264 FAX: (301) 594-6784 Email: gniedere@aoamh4.ssw.dhhs.gov Kenneth G. Lutterman, Ph.D. Division of Epidemiology and Services Research National Institute of Mental Health 5600 Fishers Lane, Room 10-95 Rockville, MD 20857 Telephone: (301) 443-3373 FAX: (301) 443-4045 Email: klutterm@nih.gov Henry Khachaturian, Ph.D. Division of Neuroscience and Behavioral Science National Institute of Mental Health 5600 Fishers Lane, Room 11-103 Rockville, MD 20857 Telephone: (301) 443-8033 FAX: (301) 443-1731 Email: hkhach@helix.nih.gov Leonard Mitnick, Ph.D. Office of AIDS Programs National Institute of Mental Health 5600 Fishers Lane, Room 10-75 Rockville, MD 20857 Telephone: (301) 443-9719 FAX: (301) 443-9719 Email: lmitnick@aoamh2.ssw.dhhs.gov AUTHORITY AND REGULATIONS The Senior Scientist Awards are made under the authority of Title III, Section 301 of the Public Health Service (PHS) Act as amended (Public Law 78-410, as amended, 42 USC 241). The Code of Federal Regulations, Title 42 Part 52, and Title 45 part 74, are applicable to this program. This program is described in the Catalog of Federal Domestic Assistance No. 93.121. This program is not subject to the intergovernmental review requirements of Executive Order 12372 or Health Systems Agency review. The PHS strongly encourages all grant and contract recipients to provide a smoke-free workplace and promote the non-use of all tobacco products. In addition, Public Law 103-227, the Pro-Children Act of 1994, prohibits smoking in certain facilities (or in some cases, any portion of a facility) in which regular or 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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