Part I Overview Information


Department of Health and Human Services

Participating Organizations
National Institutes of Health (NIH) (http://www.nih.gov)

Components of Participating Organizations
National Institute of Neurological Disorders and Stroke (NINDS) (http://www.ninds.nih.gov)

Title: Neurological Sciences Academic Development Award (NSADA) (K12)

Announcement Type
This is a reissue of PAR-03-103.

Update: The following update relating to this announcement has been issued:

Looking ahead: As part of the Department of Health and Human Services' implementation of e-Government the NIH will gradually transition each grant mechanism to electronic submission through Grants.gov and the use of the SF 424 Research and Related (R&R) forms. For more information and an initial timeline, seehttp://grants.nih.gov/grants/guide/notice-files/NOT-OD-06-035.html. NIH will announce each grant mechanism change in the NIH Guide to Grants and Contracts (http://grants.nih.gov/grants/guide/index.html).

Program Announcement (PA) Number: PAR-08-197

Catalog of Federal Domestic Assistance Number(s)
93.853

Key Dates
Release Date: July 11, 2008
Letters of Intent Receipt Date: Not applicable  
Application Submission Date(s): October 12, 2008; October 12, 2009; October 12, 2010 for new applications
November 12, 2008; November 12, 2009; November 12, 2010 for resubmission and renewal applications
Peer Review Date(s): February 2009, February 2010, February 2011
Council Review Date(s): May 2009, May 2010, May 2011
Earliest Anticipated Start Date: July 2009, July 2010, July 2011
Additional Information To Be Available Date (Url Activation Date): Not applicable
Expiration Date: (Now Expired March 24, 2010 per NOT-OD-10-069), November 13, 2010

Due Dates for E.O. 12372

Not Applicable

Additional Overview Content

Executive Summary

Table of Contents


Part I Overview Information

Part II Full Text of Announcement

Section I. Funding Opportunity Description
    1. Research Career Objectives

Section II. Award Information
    1. Mechanism of Support
    2. Funds Available

Section III. Eligibility Information
    1. Eligible Applicants
          A. Eligible Institutions
          B. Eligible Individuals
    2.Cost Sharing or Matching
    3. Other - Special Eligibility Criteria

Section IV. Application and Submission Information
1. Address to Request Application Information
2. Content and Form of Application Submission
3. Submission Dates and Times
    A. Receipt and Review and Anticipated Start Dates
         1. Letter of Intent
    B. Sending an Application to the NIH
    C. Application Processing   
4. Intergovernmental Review
5. Funding Restrictions
6. Other Submission Requirements and Information

Section V. Application Review Information
1. Criteria
2. Review and Selection Process
    A. Additional Review Criteria
    B. Additional Review Considerations
    C. Resource Sharing Plan(s)
3. Anticipated Announcement and Award Dates

Section VI. Award Administration Information
1. Award Notices

2. Administrative and National Policy Requirements
3. Reporting

Section VII. Agency Contacts
1. Scientific/Research Contact(s)

2. Peer Review Contact(s)
3. Financial/Grants Management Contact(s)

Section VIII. Other Information - Required Federal Citations

Part II - Full Text of Announcement


Section I. Funding Opportunity Description


1. Research Career Objectives

Purpose

The Neurological Sciences Academic Development Award (NSADA) (K12) is an award to an educational institution or professional organization to facilitate and support career development experiences for pediatric neurologists leading to research independence.  This is a continuation of the original NSADA program, which was initiated by NINDS in October 1992.  Under this award, newly trained pediatric neurologists are to be selected and appointed to this program by the grantee institution.  It is expected that individuals appointed to the NSADA program will subsequently apply for their own Mentored Clinical Scientist Development Award (K08), the Mentored Patient-Oriented Career Development Award (K23), an NINDS Research Scientist Development Award (K02) or an R01, to continue their research training (see "Research Objectives").

The program should be designed to accommodate research Scholars with varying levels of experiences.  For example, a prospective research candidate with limited experience in a given field of research may find it appropriate to engage in a structured, phased developmental program, including a designated period of didactic training followed by a period of supervised research experience.  The entire program should be comparable in scope and rigor to meeting the requirements for an advanced research degree. Each candidate supported under this award should propose a research plan that has: (1) intrinsic research importance, (2) will serve as a suitable vehicle for learning the methodology, theories, and concepts needed for a well-trained independent clinician-researcher, and (3) will provide data and/or publications that will be useful in the submission of subsequent individual research applications.  The application should include a description of one or more proposed Scholar candidates and the research plan proposed for that specific Scholar.

Research Career Objectives

The applicant organization must have a well-established research and clinical career development program and qualified faculty to serve as mentors.  The research candidate, mentor, and institution must develop innovative programs to maximize the available research and educational resources.  The NSADA program will support up to three research Scholars for up to a maximum of three years consisting of consecutive 12-month appointments (non-consecutive appointments are possible on a case-by-case basis with written approval of the NINDS program staff listed as the contact for this FOA).   The candidate will acquire knowledge and research skills in scientific areas relevant to his/her career development goals. This should include relevant didactic and laboratory experiences that are consistent with the research candidate's prior experience and needs. 

The NSADA program award provides 5 years of potentially renewable support.  The subsequent continuation of the NSADA program will in part depend on the progress made by Scholars, both in terms of obtaining their own individual NIH Career Development awards, and/or R01 or equivalent grants.  The NINDS considers an R01-equivalent grant to be an independent, peer-reviewed, multi-year award with the awardee as PI, with a total award of at least $150,000 per year for 3 years or $200,000 per year for 2 years. Applications from institutions with previous K-12 awards must contain a progress report documenting the accomplishments and current career activities of former Scholars.

Program Components

1. Project Director/Principal Investigator (PD/PI)

The proposed PD/PI should possess the scientific expertise, leadership and administrative capabilities required to coordinate and supervise an interdisciplinary research and development program.  The Director should be experienced in the design and management of programs for developing investigators, and should be able to demonstrate a superior record of preparation of clinicians for independent research.  In addition, applicants are encouraged to form a committee with representatives from appropriate basic and/or clinical science departments to advise the PD/PI on management of the program. (For a detailed description, see Section III.1B.)

2. Mentors

Each research candidate appointed in the program award must have a primary mentor who: (1) is recognized as an accomplished investigator, (2) is actively involved in basic or clinical research, and (3) has a successful record of providing the type of career development activities required under this award.  An assigned mentor will provide guidance for the development of each research candidate assigned to the program.  The mentor must be committed to continue this involvement throughout the candidate's total period of development under the award. (For a detailed description, see Section III.1B.). Because a critically important aspect of the training should include mentoring in grant writing, and because Scholars are expected to apply for NIH career awards to continue their research after completion of the NSADA career development activity, the mentor should also have a strong track record in obtaining NIH funding for research. If a primary mentor’s research funds come predominantly from outside the NIH system, Scholars should have a co-mentor with a strong history of NIH funding.

3. Scholar Candidates

The NINDS expects Scholars candidates appointed to the NSADA program to have demonstrated potential to develop into successful researchers.  At least 9 person months (equivalent to 75%) of the candidate's full-time professional effort must be devoted to the program and the remainder devoted to developing other clinical and teaching pursuits consonant with the objectives of the award.  The NSADA may support up to a maximum of 3 years of research career development activities. (For a detailed description, see Section III.1B.)

4. Advisory Committee

An advisory committee for each scholar should be established. It may be a single committee for the program or tailored to the needs of each individual scholar, and should be composed of experts in all areas necessary to insure the success of the scholar(s) in research, career development and ultimately the creation and management of an independent research lab.

5. Evaluation and Tracking

A process for evaluation and tracking of each scholar’s progress must be established and should be described. Programs are encouraged to track applicants after they have left the program and obtain information from program graduates that could be used to improve the program.

7. Recruitment Plan

The application should describe a recruitment plan designed to obtain the best possible scholars into the program.

8. Research Environment/Institutional Commitment

Beyond the research activities described in the research plan, the institution must describe what current and future resources are or will be used to encourage research by junior faculty and facilitate development of their research careers.  It should document what equipment, facilities and resources will be made available to the Scholar candidates (see Resource Format Page in PHS 398).  In addition, for the candidate identified in the application, and for future appointments to the K12 program, the institution must submit the institutional commitment agreement to support the candidate as described in the PHS 398 form, with signatures as described in that section.  For the candidate named in the application, the form must be included with the application. It is not part of the 25-page limit for the Research Plan components.

Section II. Award Information


1. Mechanism of Support

This FOA will use the NIH Mentored Clinical Scientist Development Program Award or K12 award mechanism. As the applicant institution, you will be solely responsible for the planning, direction, and execution of the proposed program.  The program provides up to 5 years of support and is renewable based on a successful competing renewal application, programmatic needs and the availability of funds.

This FOA uses just-in-time concepts. It also uses the non-modular budget formats (described in the PHS 398 application instructions (see http://grants.nih.gov/grants/funding/phs398/phs398.html). A detailed categorical budget for the “Initial Budget Period” and the “Entire Proposed Period of Support” is to be submitted with the application.

2. Funds Available

Because the nature and scope of the proposed research will vary from application to application, it is anticipated that the size and duration of each award will also vary. Although the financial plans of NINDS provide support for this program, awards pursuant to this funding opportunity are contingent upon the availability of funds and the receipt of a sufficient number of meritorious applications.  Applications submitted in response to this K12 FOA will compete for available funds with all other NINDS recommended applications.  

Allowable Costs

Allowable costs must be consistent with NIH policy and be reasonable, allocable, well documented and fully justified for the program proposed in the application. Grant funds may not be used to supplant funds otherwise available at the applicant institution.

1. Candidates/Scholars

The maximum allowable salary per Scholar is $85,000 per year, and the maximum allowable research costs are $30,000 per year.  The total salary requested for each research candidate 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 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.

Research funds may be used for: (a) tuition, fees, and books related to career development; tuition fees are not to exceed $12,000 total per candidate over the entire funding period (b) research expenses, such as supplies, equipment and technical personnel; (c) travel to research meetings or training; and (d) statistical services including personnel and computer time. 

2. Facilities and Administrative (F&A) Costs

These costs, which were formerly called indirect costs, will be reimbursed at eight percent of modified total direct costs or at the actual F&A cost rate, whichever is less.

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

4. Streamlined Noncompeting Application Process (SNAP)

Under this FOA, the K12 grant is not subject to the Streamlined Non-competing Application Process (SNAP).  In general this means that all reporting of budgetary information and program progress are provided in greater detail in an annual progress report.  While the K12 is subject to Expanded Authorities, the one exception to this is that carryover of funds from one fiscal year to the next must be approved by the NINDS Program and Grants Administration staff (see INQUIRIES).  

Section III. Eligibility Information


1. Eligible Applicants

1.A. Eligible Institutions

The following organizations/institutions are eligible to apply:

The applicant institution or organization must have adequate numbers of highly trained faculty in clinical and basic sciences with interest and capability to provide guidance to clinically trained individuals in the development of research independence. 

1. B. Eligible Individuals

Project Director/Principal Investigator (PD/PI)

Any individual with the skills, knowledge, and resources necessary to carry out the proposed institutional academic career program is invited to work with his/her institution to develop an application for support. Individuals from underrepresented racial and ethnic groups as well as individuals with disabilities are always encouraged to apply for NIH support. The proposed PD/PI should possess the scientific expertise, leadership and administrative capabilities required to coordinate and supervise an interdisciplinary research and development program.  The Director should be experienced in the design and management of programs for developing investigators, and should be able to demonstrate a superior record of preparation of clinicians for independent research.  In addition, applicants are encouraged to form a committee with representatives from appropriate basic and/or clinical science departments to advise the PD/PI on management of the program.

2. Cost Sharing or Matching

This program does not require cost sharing as defined in the current NIH Grants Policy Statement

3. Other-Special Eligibility Criteria

Applicants may submit a resubmission application, but such application must include an Introduction addressing the previous peer review critique (Summary Statement).

Applicants may submit a renewal application.

Mentors

Each research Scholar candidate appointed in the program award must have a primary mentor who: (1) is recognized as an accomplished investigator, (2) is actively involved in basic or clinical research, and (3) has a successful record of providing the type of training required under this award.  An assigned mentor will provide guidance for the development of each research candidate assigned to the program.  The mentor must be committed to continue this involvement throughout the candidate's total period of development under the award.

Scholar Candidates

The NINDS expects Scholars appointed to the NSADA program to have demonstrated potential to develop into successful researchers.  At least 9 person months (equivalent to 75%) of the candidate's full-time professional effort must be devoted to the program and the remainder devoted to developing other clinical and teaching pursuits consonant with the objectives of the award.  The NSADA may support up to a maximum of 3 years of research career development activities for each Scholar.

Institutions with a NSADA should recruit and select Scholar candidates rather than submitting a separate application on behalf of each prospective research candidate. This FOA is intended to provide support for the development of clinician-scientists in the same manner and under the same conditions as the individual Mentored Clinical Scientist Development Award (K08) and the Mentored Patient-Oriented Research Career Development Award (K23).  Therefore, Scholar candidates for support under this FOA must have the following: (1) a clinical degree or its equivalent, (2) residency training (or its equivalent), (3) a license to practice medicine in the U.S.A., (4) a mentor(s) who has extensive and well-funded research experience and a successful track record of training clinician-scientists to in child neurology, and (5) willingness to spend a minimum of 9 person-months (equivalent to 75%) of full-time professional effort conducting research, career development, and/or research related activities.

Research Scholar candidates appointed under this program award must be U.S. citizens or non-citizen nationals, or 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.  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 eligible.

Research candidates, who are or have been former principal investigators on NIH individual mentored or non-mentored career awards (e.g. K01, K02, K08, K22, K23), major research project awards (e.g. R01), sub-projects of program project (P01) or center grants (P50), or the equivalent, are not eligible for appointment under this program.  Exceptions may be made for individuals who are reentering the research field after an extended absence or are making a significant shift in their research focus that requires that they have additional training.  Scholar candidates who were former or who are current principal investigators on NIH small grants (R03) or exploratory/developmental grants (R21) remain eligible.  Research Scholar candidates may not concurrently hold any other PHS award that duplicates the provisions of this award.

Institutional Eligibility and Commitment

The applicant institution must be the primary site for the Institutional Career Development program and should demonstrate a commitment to the Program’s goals, submitting with the application documentation of faculty, facilities and other resources that will be available on site to the program. 

Award Termination

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 will notify the grantee institution and career award recipient in writing of this determination, the reasons therefore, the effective date, and the right of the program director to appeal the decision.

Section IV. Application and Submission Information


1. Address to Request Application Information

The PHS 398 application instructions are available at http://grants.nih.gov/grants/funding/phs398/phs398.html in an interactive format. Applicants must use the currently approved version of the PHS 398. For further assistance contact GrantsInfo, Telephone (301) 435-0714, Email: GrantsInfo@nih.gov.

Telecommunications for the hearing impaired: TTY 301-451-5936. 

2. Content and Form of Application Submission

Applications must be prepared using the most current PHS 398 research grant application instructions and forms. Applications must have a D&B Data Universal Numbering System (DUNS) number as the universal identifier when applying for Federal grants or cooperative agreements. The D&B number can be obtained by calling (866) 705-5711 or through the web site at http://www.dnb.com/us/. The D&B number should be entered on line 11 of the face page of the PHS 398 form.

The title and number of this funding opportunity must be typed in item (box) 2 only of the face page of the application form and the YES box must be checked.

3. Submission Dates and Times

See Section IV.3.A. for details.

3.A. Submission, Review and Anticipated Start Dates
Letters of Intent Receipt Date: Not applicable  
Application Submission Date(s): October 12, 2008; October 12, 2009; October 12, 2010 for new applications
November 12, 2008; November 12, 2009; November 12, 2010 for resubmission and renewal applications
Peer Review Date(s): February 2009, February 2010, February 2011
Council Review Date(s): May 2009, May 2010, May 2011
Earliest Anticipated Start Date(s): July 2009, July 2010, July 2011

3.A.1. Letter of Intent

A letter of intent is not required for the funding opportunity.

3.B. Sending an Application to the NIH

Applications must be prepared using the research grant application forms found in the PHS 398 instructions for preparing a research grant application. Submit a signed, typewritten original of the application, including the checklist, and three 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 (U.S. Postal Service Express or regular mail)
Bethesda, MD 20817 (for express/courier service; non-USPS service)

Personal deliveries of applications are no longer permitted (see http://grants.nih.gov/grants/guide/notice-files/NOT-OD-03-040.html).

At the time of submission, two additional copies of the application and all copies of the appendix materials must be sent to:

Chief, Scientific Review Branch
National Institute of Neurological Disorders and Stroke
Room 3201, MSC 9529
6001 Executive Boulevard
Bethesda, MD 20892-9529 (Rockville, MD 20852 for express/courier service)
Telephone:  (301) 496-9223
Fax:  (301) 402-0182
E-mail:  nindsreview.nih.gov@mail.nih.gov

3.C. Application Processing

Applications must be submitted on or before the application receipt/submission dates described above (Section IV.3.A.) and at http://grants.nih.gov/grants/dates.htm.

Upon receipt applications will be evaluated for completeness by CSR. Incomplete applications will not be reviewed.

The NIH will not accept any application in response to this funding opportunity that is essentially the same as one currently pending initial merit review unless the applicant withdraws the pending application. The NIH will not accept any application that is essentially the same as one already reviewed. The NIH will accept a resubmission application, but such application must include an Introduction addressing the critique from the previous review.

Information on the status of an application should be checked by the Principal Investigator in the eRA Commons at: https://commons.era.nih.gov/commons/.

4. Intergovernmental Review

This initiative is not subject to intergovernmental review.

5. Funding Restrictions

All NIH awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement. The Grants Policy Statement can be found at (http://grants.nih.gov/grants/policy/policy.htm).

Pre-award costs are allowable. A grantee may, at its own risk and without NIH prior approval, incur obligations and expenditures to cover costs up to 90 days before the beginning date of the initial budget period of a new or renewal award if such costs: 1) are necessary to conduct the project, and 2) would be allowable under the grant, if awarded, without NIH prior approval. If specific expenditures would otherwise require prior approval, the grantee must obtain NIH approval before incurring the cost. NIH prior approval is required for any costs to be incurred more than 90 days before the beginning date of the initial budget period of a new or renewal award.

The incurrence of pre-award costs in anticipation of a competing or non-competing award imposes no obligation on NIH either to make the award or to increase the amount of the approved budget if an award is made for less than the amount anticipated and is inadequate to cover the pre-award costs incurred. NIH expects the grantee to be fully aware that pre-award costs result in borrowing against future support and that such borrowing must not impair the grantee's ability to accomplish the project objectives in the approved time frame or in any way adversely affect the conduct of the project. See NIH Grants Policy Statement http://grants.nih.gov/archive/grants/policy/nihgps_2003/index.htm.

NINDS support beyond the initial five-year project period is not guaranteed and is dependent upon the availability of appropriated funds and success in any competition for renewed support. In the event that there is no further support, no phase-out funds will be provided. Thus, the applicant institution must have plans in place to provide continued support to remaining scholars in the event that funding from the NINDS is not available.

6. Other Submission Requirements and Information

The instructions in the Form PHS 398 do not fully apply to the special needs of this grant application. Therefore, please follow the modified instructions below in preparing an application for a Neurological Sciences Academic Development Award (NSADA) (K12).  The application should be organized as per PHS 398 with specific additional information as detailed below (if questions arise when following this format, applicants should refer regularly to those sections of this announcement that delineate “Other-Special Eligibility Criteria”).

1. Career Development Program

The application should describe the overall theme of the program, the particular career development activities planned for Scholar candidates and the expected outcomes for candidates.  It should document the experience of the PD/PI and other faculty as mentors including information on the career outcomes of former Scholars. It should include a clear commitment of staff time.  Particular developmental activities mentioned such as seminars, scientific meetings, training in responsible conduct of research, and presentations should be linked to the overall theme and goals of the program.  This section should identify explicitly the advantages to this site of a program-based career development award as opposed to, or in addition to, creating environments supportive of individual efforts by junior faculty to obtain career development and similar awards.

The application should indicate what other teaching and/or clinical responsibilities, if any, are expected of the Scholar candidates and the extent to which these activities complement or enrich the research and research development experiences proposed in the award. 

2. Research Activities

Applicants should describe the funded research activities of the mentoring team.  The description should include an account of how the ongoing research offers opportunities for Scholar candidates to develop research ideas and strategies and offers ways for them to combine methods or concepts from different funded projects that will further their own research careers.  The research plan should show how the ongoing research exemplifies the organizing theme of the program and offers Scholar candidates ways to establish research consonant with that theme.

The research plan should detail how individual candidates' research experiences will be/have been solicited and evaluated prior to initiation.  If an outside advisory committee is used to select projects, applications should not name advisors in the application but describe how they will be chosen.

Applications should describe the qualifications and research plans for at least one candidate.  The individual description should each be no more than three pages and should include: (1) a Statement of Hypothesis and Specific Aims, (2) Background, Significance and Rationale, and (3) Research Design and Methods.  No preliminary data or results are expected in these descriptions.  Literature citations may be included in a single section covering all citations in the application and are not a part of the three-page limit.  Supporting material (not part of the three-page limit) should include a description of how the individual plans relate both to the K12 program and to the career objectives of the candidate, and should describe the particular mentors and mentoring resources that will be assigned to the candidate during this project. A similar report for subsequent Scholar candidates once the grant has been awarded will be administratively reviewed by NINDS.

3. Advisory Committee

Applications must contain a description of the Advisory Committee, and contain an explanation for the choice of members.

4. Institutional Commitment

Applications must contain a description of institutional commitment to the program and to the candidates, or will be considered incomplete and will not be reviewed. Applications that propose short-term rotations to other institutions must also include a statement of institutional commitment to the program by the other institution where the short-term rotations will take place. A Resource Format page must be included in the PHS 398 application for each proposed short-term rotation site.

5. Training in the Responsible Conduct of Research

Applications must include a description of a program that will provide formal or informal instruction in scientific integrity or the responsible conduct of research. Applications without plans for instruction in the responsible conduct of research will be considered incomplete and may be returned to the applicant without review. Plans must detail the proposed subject matter, format, frequency, and duration of instruction, and amount and nature of senior staff participation. No award will be made if an application lacks this component.  Although the NIH does not establish specific curricula or formal requirements, all programs may wish to explore the availability of the following courses offered by the Intramural Research Program (IRP): Introduction to the Principles and Practice of Clinical Research, the Clinical Electives Program Course on Bioethics, and the Ethics Training provided by each individual institute.  For more information visit the website of the Office of Research Integrity at http://ori.dhhs.gov/.  Applicants must follow the application instructions found on page 49 of the PHS-398 application package and refer to the NIH web site (http://www.nih.gov/sigs/bioethics/researchethics.html) for additional guidance.

Document prior instruction in or propose plans for instruction in the responsible conduct of research in terms of subject matter and duration of instruction.  An award cannot be made if an application lacks this component.

6. Recruitment and Retention plan

Applications must contain a description of the recruitment and retention plan.

7. Tracking and Evaluation plan

Applications must contain a description of the tracking and evaluation plan.

Appendix Materials

All paper PHS 398 applications submitted must provide appendix material on CDs only. Include five identical CDs in the same package with the application.  (See http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-031.html.)

Do not use the Appendix to circumvent the page limitations of the Research Plan component. An application that does not observe the required page limitations may be delayed in the review process.

Resource Sharing Plan(s)

NIH considers the sharing of unique research resources developed through NIH-sponsored research an important means to enhance the value of, and advance, research. When resources have been developed with NIH funds and the associated research findings published or provided to NIH, it is important that they be made readily available for research purposes to qualified individuals within the scientific community. If the final data/resources are not amenable to sharing, this must be explained in Resource Sharing section of the application. See http://grants.nih.gov/grants/policy/data_sharing/data_sharing_faqs.htm.

(a) Data Sharing Plan: Regardless of the amount requested, investigators are expected to include a brief 1-paragraph description of how final research data will be shared, or explain why data-sharing is not possible. Applicants are encouraged to discuss data-sharing plans with their NIH program contact. See Data-Sharing Policy or http://grants.nih.gov/grants/guide/notice-files/NOT-OD-03-032.html.

(b) Sharing Model Organisms: Regardless of the amount requested, all applications where the development of model organisms is anticipated are expected to include a description of a specific plan for sharing and distributing unique model organisms and related resources, or state appropriate reasons why such sharing is restricted or not possible. See Sharing Model Organisms Policy, and NIH Guide NOT-OD-04-042.

(c) Genome-Wide Association Studies (GWAS): Regardless of the amount requested, applicants seeking funding for a genome-wide association study are expected to provide a plan for submission of GWAS data to the NIH-designated GWAS data repository, or provide an appropriate explanation why submission to the repository is not possible.  A genome-wide association study is defined as any study of genetic variation across the entire genome that is designed to identify genetic associations with observable traits (such as blood pressure or weight) or the presence or absence of a disease or condition.  For further information see Policy for Sharing of Data Obtained in NIH Supported or Conducted Genome-Wide Association Studies, NIH Guide NOT-OD-07-088, and http://grants.nih.gov/grants/gwas/.

Section V. Application Review Information


1. Criteria (Update: Enhanced review criteria have been issued for the evaluation of research applications received for potential FY2010 funding and thereafter - see NOT-OD-09-025).

Only the review criteria described below will be considered in the review process.

2. Review and Selection Process

Applications submitted for this funding opportunity will be assigned to NINDS on the basis of established PHS referral guidelines.

Applications that are complete and responsive to this FOA will be evaluated for scientific and technical merit by an appropriate peer review group convened by the NINDS and in accordance with NIH peer review procedures (http://grants1.nih.gov/grants/peer/), using the review criteria stated below.

 As part of the initial merit review, all applications will:

Applications submitted in response to this funding opportunity will compete for available funds with all other recommended applications. The following will be considered in making funding decisions:

Although the goals of NIH-supported research are to advance our understanding of biological systems, improve the control of disease, and enhance health, the reviewers are reminded that the primary purpose of this FOA is training rather than conducting research.  The scientific review group will address and consider each of the following criteria in assigning your application's overall score, weighting them as appropriate for each application.  Your application does not need to be strong in all categories to be judged likely to have major impact and thus deserve a high priority score. In the written comments, reviewers will be asked to discuss the following aspects of your application in order to judge the likelihood that the proposed research will have a substantial impact on the pursuit of these goals:

Significance: Does the proposed K12 program offer research career development experiences that will ensure the development of a strong future cadre of child neurology researchers? Are the areas of proposed career development program important to the NINDS mission of reducing the burden of neurological disease?

Approach: Are the planned activities adequately developed, consistent with the theme of the program, and sufficient to achieve the aims of the program?  Are they appropriately tailored to the experience and interests of the candidates? Competing renewal applications: Do current and past activities demonstrate prior success in advancing the careers of candidates?

Investigators: Is the proposed PD/PI an acknowledged research leader/administrator with a strong track record of training successful researchers in child neurology? Do the proposed mentors have a strong track record in training researchers in child neurology? Is their experience in research and prior success in training appropriate to their role? Do the mentors have active, well-funded research programs? Is the need for particular mentors well justified by the aims of the program? Has the mentoring team committed sufficient time to ensure the success of the program?

Scholar Candidates: Are the recruitment and selection processes adequate to achieve high-quality candidates? Are the accomplishments of any named Scholar candidates and the quality of their planned research activities appropriate to their level of experience and expected progress during the award? Are the efforts to recruit Scholar candidates from racial or ethnic groups underrepresented in biomedical, behavioral or clinical research adequate? Competing continuations and supplements: Do current and past appointments show evidence of success at recruitment and training?

Research Environment/Institutional Commitment: Do existing facilities and resources enrich the potential of the proposed K12 award to provide strong research mentoring and development experiences for the candidates? Are there support letters from individuals who control access to these resources that show their willingness to collaborate? Does the institution state that the Scholar candidates will be provided a minimum of 9 person-months (equivalent to 75% time) for the career development experiences and show how they will be protected from other administrative, teaching or clinical duties?

Training Record: This criterion evaluates the past clinical research training record of the program, the PD/PI, and the designated mentors. If a competing renewal, what is the success of former clinical Scholar candidates in seeking further career development and in establishing productive scientific careers? Evidence of a productive scientific career can include a record of successful competition for research grants, receipt of special honors or awards, a record of publications, receipt of patents, promotion to scientific positions, and any other measure of success consistent with the nature and duration of the training received. What is the track record of success of the individuals proposed as PD/PI, mentors, and Advisory Committee members in directing clinical research training? What is the potential of those mentors who lack a track record and are there appropriate measures proposed to assure their success?

Applicant Recruitment, Selection and Retention: What is the quality and size of the applicant pool? Are the recruiting procedures, candidate selection criteria, and retention strategies appropriate and well defined? Are the research aptitude and commitment to clinical research of applicants prominent in recruitment and selection? Is the racial and ethnic diversity of the applicant pool in keeping with the availability of individuals from underrepresented groups in the relevant scientific disciplines? Are other underrepresented groups such as individuals with disabilities and individuals from socially, culturally, economically, or educationally disadvantaged backgrounds appropriately represented in the applicant pool? If this is a competing continuation, is the past record of retention of past scholars acceptable and does the placement and achievements of previous Scholars demonstrate a commitment to clinical research?

Evaluation and Tracking: Does the application describe a sufficiently strong plan that meets the evaluation and tracking objectives? If short-term rotations are being proposed, does it appropriately include measures to evaluate the effectiveness of these short-term rotations?

2.A. Additional Review Criteria:

In addition to the above criteria, the following items will continue to be considered in the determination of scientific merit and the rating:

Resubmission Applications (formerly “revised/amended” applications): Are the responses to comments from the previous scientific review group adequate? Are the improvements in the resubmission application appropriate?

Protection of Human Subjects from Research Risk: The involvement of human subjects and protections from research risk relating to their participation in the proposed research will be assessed (see the Research Plan section on Human Subjects in the PHS 398 instructions).

Inclusion of Women, Minorities and Children in Research: The adequacy of plans to include subjects from both genders, all racial and ethnic groups (and subgroups), and children as appropriate for the scientific goals of the research will be assessed. Plans for the recruitment and retention of subjects will also be evaluated (see the Research Plan section on Human Subjects in the PHS 398 instructions).

Care and Use of Vertebrate Animals in Research: If vertebrate animals are to be used in the project, the five points described in the Vertebrate Animals section of the Research Plan will be assessed.

Biohazards: If materials or procedures are proposed that are potentially hazardous to research personnel and/or the environment, determine if the proposed protection is adequate.

2.B. Additional Review Considerations

Budget: The reasonableness of the proposed budget and the requested period of support in relation to the proposed institutional career development program may be assessed by the reviewers. Is the percent effort listed for the PI/PD appropriate for the work proposed? Is each budget category realistic and justified in terms of the aims, methods, and number of proposed scholars?

Training in the Responsible Conduct of Research: Does the proposal include a plan for every candidate to receive formal instruction in the responsible conduct of research? Are the plans adequate to insure adequate instruction in the following areas: conflict of interest, responsible authorship, policies for handling misconduct, data management, data sharing, and policies regarding the use of human subjects, tissues and other specimens? Have sufficient discussion of the relationship and the specific responsibilities of the institution and the Scholar candidates appointed to the program been planned. Do plans address the subject matter of the instruction, the format of the instruction, the degree of faculty participation, candidate attendance, and the frequency of instruction? Have they provided an adequate rationale for the proposed plan of instruction? If it is a competing continuation, is there a report showing good progress in training in the responsible conduct of research per: the type of instruction provided, topics covered, and other relevant information, such as attendance by Scholar candidates and faculty participation?

2.C. Resource Sharing Plan(s)   

When relevant, reviewers will be instructed to comment on the reasonableness of the following Resource Sharing Plans, or the rationale for not sharing the following types of resources. However, reviewers will not factor the proposed resource sharing plan(s) into the determination of scientific merit or priority score, unless noted otherwise in the FOA. Program staff within the IC will be responsible for monitoring the resource sharing.

3. Anticipated Announcement and Award Dates

Not Applicable

Section VI. Award Administration Information


1. Award Notices

After the peer review of the application is completed, the PD/PI will be able to access his or her Summary Statement (written critique) via the eRA Commons.

If the application is under consideration for funding, NIH will request "just-in-time" information from the applicant. For details, applicants may refer to the NIH Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards, Subpart A: General.

Selection of an application for award is not an authorization to begin performance. Any costs incurred before receipt of the NoA are at the recipient's risk. These costs may be reimbursed only to the extent considered allowable pre-award costs. See Also Section IV.5. Funding Restrictions.

A formal notification in the form of a Notice of Award (NoA) will be provided to the applicant organization. The NoA signed by the grants management officer is the authorizing document. Once all administrative and programmatic issues have been resolved, the NoA will be generated via email notification from the awarding component to the grantee business official (designated in item 12 on the Application Face Page). If a grantee is not email enabled, a hard copy of the NoA will be mailed to the business official.

2. Administrative and National Policy Requirements

All NIH grant and cooperative agreement awards include the NIH Grants Policy Statement as part of the NoA. For these terms of award, see the NIH Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards, Subpart A: General (http://grants.nih.gov/archive/grants/policy/nihgps_2003/index.htm) and Part II Terms and Conditions of NIH Grant Awards, Subpart B: Terms and Conditions for Specific Types of Grants, Grantees, and Activities (http://grants.nih.gov/archive/grants/policy/nihgps_2003/index.htm).

The following related administrative policies apply to NIH Research Career (“K”) programs:

Other Income:

Awardees may retain royalties and fees for activities such as scholarly writing, service on advisory groups, honoraria from other institutions for lectures or seminars, fees resulting from clinical practice, professional consultation or other comparable activities, provided these activities remain incidental, are not required by the research and research-related activities of this award, and provided that the retention of such pay is consistent with the policies and practices of the grantee institution.

All other income and fees, not included in the preceding paragraph as retainable, 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:

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.  The awarding component will give consideration to 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 the NIH awarding component. 

Special Leave:

Leave to another institution, including a foreign laboratory, may be permitted if the proposed experience is directly related to the purpose of the award. Only local institutional approval is required if such leave does not exceed three months.  For longer periods, prior written approval of the NIH awarding institute or center is required.  Details on the process for submission of prior approval requests can be founds in the NIHGPS (rev. 12/03), Requests for Prior Approval, at http://grants.nih.gov/archive/grants/policy/nihgps_2003/index.htm#_Toc54600130.

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 K12 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 component institute and will be granted only in unusual situations.

Support from other sources is permissible during the period of leave without award support.  Such leave does not reduce the total number of months of program support for which an individual is eligible.

Under unusual and pressing circumstances, an awardee may submit a written request to the awarding component requesting a reduction in professional effort below 75%.  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 less than 50% 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 job opportunities, clinical practice, or clinical training.  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.  In addition, the awardee must submit assurance of his/her intention to return to at least 75% as soon as possible.  During the period of reduced effort, the salary and other costs supported by the award will be reduced accordingly.

Changes of Program: Awards are made for a specific program under the guidance and leadership of a particular PD/PI.  A change in any of these parameters requires prior approval by NINDS.  A rationale must be provided for any proposed changes in the aims of the original, peer-reviewed program.  Programmatic changes will be evaluated to ensure that the program remains within the scope of the original, peer-reviewed application.  If the new program does not satisfy this requirement, the award will be terminated.  

Change of Project Director/Principal Investigator (PD/PI): If change of the PD/PI is necessary, support of the award is not automatic but may be continued with prior written approval by NINDS, provided the current PD/PI or the grantee institution has submitted a written request for the change, countersigned by the appropriate institutional business official, to the program contact listed on the Notice of Grant Award describing the reasons for the change. The Biographical Sketch of the proposed PD/PI, including a complete listing of active research grant support, must be provided. The information in the request must establish that the specific aims of the original peer-reviewed program will remain unchanged under the direction of the new PD/PI and that the new PD/PI has the appropriate research and administrative expertise to lead the intensive supervised research training and career development experiences for clinicians leading to research independence. This request must be submitted in writing and sufficiently in advance of the requested effective date to allow the necessary time for review.

Transfer of Program: Neither the integrated career development/training program nor any component of the K12 program may be transferred from one institution to another. 

Termination: When a grantee institution plans to terminate an award, the NINDS Grants Management Specialist listed on the NoA must be notified in writing at the earliest possible time so that appropriate instructions can be given for termination. The Director of the NIH may terminate an award upon determination that the purpose or terms of the award are not being fulfilled.  In the event an award is terminated, NIH shall notify the grantee institution in writing of this determination, the reasons therefore, the effective date, and the right to appeal the decision.    

Carryover of Unobligated Balances: The carryover of funds from one budget period to the next requires prior written approval of NINDS. When required, such requests must include compelling justification including the status of candidate/scholar appointments to the program.

3. Reporting

When multiple years are involved, awardees will be required to submit the Non-Competing Continuation Grant Progress Report (PHS 2590) annually and financial statements as required in the NIH Grants Policy Statement. This K12 program is not subject to the Streamlined Non-competing Application Process (SNAP). In general, this means that all reporting of budgetary information and program progress are provided in greater detail in an annual progress report.

Scholar Reporting Requirements

The institution must submit a completed Statement of Appointment (PHS Form 2271) for each Scholar appointed or reappointed to the training grant. This Form must be completed at the beginning of the initial appointment and annually thereafter. No funds may be provided until this document is submitted and accepted by the funding Institute.

Progress Reports

Progress reports are submitted using Form PHS 2590, which can be obtained at the following website address: http://grants.nih.gov/grants/forms.htm.

Evaluation and Tracking Report: The strong evaluation plan must include a system for tracking each appointee during the K12 award and for a period of 5 years following each appointee’s termination from this K12 program award. Provide information collected under the evaluation and tracking plan proposed in the initial application. Information to be provided includes the number of Scholars in each component of the overall program, tracking information for those who have completed the Program, and evaluation and tracking information for the short-term research education component, if applicable. Each candidate’s progress must be reported on annually.

Report on Training in the Responsible Conduct of Research: Report the type of instruction provided, topics covered, and other relevant information, such as attendance by Scholar candidates and faculty participation.

Recruitment Plan: Report on recruitment strategies implemented/planned.

Additional Reporting Requirements

Progress of Individual Candidates/Scholars: Provide a brief paragraph for each selected Scholar describing the research and didactic training experiences completed and ongoing, as well as the specific future plans for satisfying the requirements of the program. Provide a list of publications for each Scholar resulting from their work in the program. Provide information on each Scholar’s progression to research independence, including grant applications, and grant awards.

Mentors: Information should be included describing any mentors who have left the program or any who have been added.  For new mentors, biographical sketches should be included in the application. Also include any recommended changes to improve the program for the continuation years.

Financial Status Report (FSR): An annual FSR is required and must be submitted within 90 days of the end of each budget period. Continuation support will not be provided until the required form is submitted and reviewed.

Final Reports: A final Progress Report and Financial Status Report are required at the end of the grant project period or upon relinquishment of an award.  Evaluation and tracking results should be included as part of the Final Progress Report.

Evaluation: In carrying out its stewardship of human resource-related programs, NINDS may request information essential to an assessment of the effectiveness of this program.  

Publication and Sharing of Research Results: Scholars are encouraged to submit reports of their findings for publication to the journals of their choice.  For each publication that results from a scholar’s research, NIH support should be acknowledged by a footnote in language similar to the following: “This project was supported by NIH grant number ______. Its contents are solely the responsibility of the authors and do not necessarily represent the official views of the NIH.”

Human Embryonic Stem Cells (hESC): Only approved hESC lines listed on the NIH Human Embryonic Stem Cell Registry http://stemcells.nih.gov/registry/ may be used for clinical research training activities. The abstract of the application must provide the registry identifying numbers of the hESC lines to be used.

Section VII. Agency Contacts


We encourage your inquiries concerning this funding opportunity and welcome the opportunity to answer questions from potential applicants. Inquiries may fall into three areas: scientific/research, peer review, and financial or grants management issues:

1. Scientific/Research Contacts:

Stephen J. Korn, Ph.D.
Director, Training and Career Development Office
National Institute of Neurological Disorders and Stroke/NIH/DHHS
6001 Executive Boulevard, Rm. 2186 MSC 9531
Bethesda, Maryland  20892-9531
Phone: (301) 496-4188
Fax: (301) 480-1080
E-mail: korns@ninds.nih.gov

Deborah Hirtz, M.D.
Clinical Trials Group Science Leader, Division of Extramural Research
National Institute of Neurological Disorders and Stroke/NIH/DHHS
6001 Executive Boulevard, Rm. 2212 MSC 9520
Bethesda, Maryland  20892-9531
Phone: 301-496-9135
Fax: 301-480-1080
E-mail: dh83f@nih.gov

2. Peer Review Contact:

Chief, Scientific Review Branch
National Institute of Neurological Disorders and Stroke
Room 3201, MSC 9529
6001 Executive Boulevard
Bethesda, MD 20892-9529 (Rockville, MD 20852 for express/courier service)
Telephone:  (301) 496-9223
Fax:  (301) 402-0182
E-mail: nindsreview.nih.gov@mail.nih.gov

3. Financial or Grants Management Contact:

Mutema Nyankale
Grants Management Specialist
Grants Management Branch
National Institute of Neurological Disorders and Stroke/NIH/DHHS
6001 Executive Boulevard, Room 3250
Bethesda , MD 20892
Phone: 301-496-6506
FAX: 301-451-5635
Email: nyankalem@ninds.nih.gov

Section VIII. Other Information


Required Federal Citations

Use of Animals in Research:
Recipients of PHS support for activities involving live, vertebrate animals must comply with PHS Policy on Humane Care and Use of Laboratory Animals (http://grants.nih.gov/grants/olaw/references/PHSPolicyLabAnimals.pdf) as mandated by the Health Research Extension Act of 1985 (http://grants.nih.gov/grants/olaw/references/hrea1985.htm), and the USDA Animal Welfare Regulations (http://www.nal.usda.gov/awic/legislat/usdaleg1.htm) as applicable.

Human Subjects Protection:

Federal regulations (45CFR46) require that applications and proposals involving human subjects must be evaluated with reference to the risks to the subjects, the adequacy of protection against these risks, the potential benefits of the research to the subjects and others, and the importance of the knowledge gained or to be gained (http://www.hhs.gov/ohrp/humansubjects/guidance/45cfr46.htm).

Data and Safety Monitoring Plan:
Data and safety monitoring is required for all types of clinical trials, including physiologic toxicity and dose-finding studies (Phase I); efficacy studies (Phase II); efficacy, effectiveness and comparative trials (Phase III). Monitoring should be commensurate with risk. The establishment of data and safety monitoring boards (DSMBs) is required for multi-site clinical trials involving interventions that entail potential risks to the participants (NIH Policy for Data and Safety Monitoring, NIH Guide for Grants and Contracts, http://grants.nih.gov/grants/guide/notice-files/not98-084.html). 

Sharing Research Data:
Investigators submitting an NIH application seeking $500,000 or more in direct costs in any single year are expected to include a plan for data sharing or state why this is not possible (http://grants.nih.gov/grants/policy/data_sharing).

Investigators should seek guidance from their institutions, on issues related to institutional policies and local IRB rules, as well as local, State and Federal laws and regulations, including the Privacy Rule. Reviewers will consider the data sharing plan but will not factor the plan into the determination of the scientific merit or the priority score.

Policy for Genome-Wide Association Studies (GWAS):
NIH is interested in advancing genome-wide association studies (GWAS) to identify common genetic factors that influence health and disease through a centralized GWAS data repository. For the purposes of this policy, a genome-wide association study is defined as any study of genetic variation across the entire human genome that is designed to identify genetic associations with observable traits (such as blood pressure or weight), or the presence or absence of a disease or condition. All applications, regardless of the amount requested, proposing a genome-wide association study are expected to provide a plan for submission of GWAS data to the NIH-designated GWAS data repository, or provide an appropriate explanation why submission to the repository is not possible. Data repository management (submission and access) is governed by the Policy for Sharing of Data Obtained in NIH Supported or Conducted Genome-Wide Association Studies, NIH Guide NOT-OD-07-088. For additional information, see http://grants.nih.gov/grants/gwas/

Sharing of Model Organisms:
NIH is committed to support efforts that encourage sharing of important research resources including the sharing of model organisms for biomedical research (see http://grants.nih.gov/grants/policy/model_organism/index.htm). At the same time the NIH recognizes the rights of grantees and contractors to elect and retain title to subject inventions developed with Federal funding pursuant to the Bayh Dole Act (see the NIH Grants Policy Statement http://grants.nih.gov/archive/archive/grants/policy/nihgps_2003/index.htm). All investigators submitting an NIH application or contract proposal, beginning with the October 1, 2004 receipt date, are expected to include in the application/proposal a description of a specific plan for sharing and distributing unique model organism research resources generated using NIH funding or state why such sharing is restricted or not possible. This will permit other researchers to benefit from the resources developed with public funding. The inclusion of a model organism sharing plan is not subject to a cost threshold in any year and is expected to be included in all applications where the development of model organisms is anticipated.

Access to Research Data through the Freedom of Information Act:
The Office of Management and Budget (OMB) Circular A-110 has been revised to provide access to research data through the Freedom of Information Act (FOIA) under some circumstances. Data that are (1) first produced in a project that is supported in whole or in part with Federal funds and (2) cited publicly and officially by a Federal agency in support of an action that has the force and effect of law (i.e., a regulation) may be accessed through FOIA. It is important for applicants to understand the basic scope of this amendment. NIH has provided guidance at http://grants.nih.gov/grants/policy/a110/a110_guidance_dec1999.htm. Applicants may wish to place data collected under this funding opportunity in a public archive, which can provide protections for the data and manage the distribution for an indefinite period of time. If so, the application should include a description of the archiving plan in the study design and include information about this in the budget justification section of the application. In addition, applicants should think about how to structure informed consent statements and other human subjects procedures given the potential for wider use of data collected under this award.

Inclusion of Women And Minorities in Clinical Research:
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 clinical research projects unless a clear and compelling justification is 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 103-43). All investigators proposing clinical research should read the "NIH Guidelines for Inclusion of Women and Minorities as Subjects in Clinical Research (http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-001.html); a complete copy of the updated Guidelines is available at http://grants.nih.gov/grants/funding/women_min/guidelines_amended_10_2001.htm. The amended policy incorporates: the use of an NIH definition of clinical research; updated racial and ethnic categories in compliance with the new OMB standards; clarification of language governing NIH-defined Phase III clinical trials; and updated roles and responsibilities of NIH staff and the extramural community. The policy continues to require for all NIH-defined Phase III clinical trials that: a) all applications or proposals and/or protocols must 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) investigators must report annual accrual and progress in conducting analyses, as appropriate, by sex/gender and/or racial/ethnic group differences.

Inclusion of Children as Participants in Clinical Research:
The NIH maintains a policy that children (i.e., individuals under the age of 21) must be included in all clinical research, conducted or supported by the NIH, unless there are scientific and ethical reasons not to include them. 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 (http://grants.nih.gov/grants/funding/children/children.htm).

Required Education on the Protection of Human Subject Participants:
NIH policy requires education on the protection of human subject participants for all investigators submitting NIH applications for research involving human subjects and individuals designated as key personnel. The policy is available at http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html.

Human Embryonic Stem Cells (hESC):
Criteria for federal funding of research on hESCs can be found at http://stemcells.nih.gov/index.asp and at http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-005.html. Only research using hESC lines that are registered in the NIH Human Embryonic Stem Cell Registry will be eligible for Federal funding (http://escr.nih.gov). It is the responsibility of the applicant to provide in the project description and elsewhere in the application as appropriate, the official NIH identifier(s) for the hESC line(s)to be used in the proposed research. Applications that do not provide this information will be returned without review.

NIH Public Access Policy Requirement:
In accordance with the NIH Public Access Policy (http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-033.html), investigators must submit or have submitted for them their final, peer-reviewed manuscripts that arise from NIH funds and are accepted for publication as of April 7, 2008 to PubMed Central (http://www.pubmedcentral.nih.gov/), to be made publicly available no later than 12 months after publication. As of May 27, 2008, investigators must include the PubMed Central reference number when citing an article in NIH applications, proposals, and progress reports that fall under the policy, and was authored or co-authored by the investigator or arose from the investigator’s NIH award.  For more information, see the Public Access webpage at http://publicaccess.nih.gov/.

Standards for Privacy of Individually Identifiable Health Information:
The Department of Health and Human Services (DHHS) issued final modification to the "Standards for Privacy of Individually Identifiable Health Information", the "Privacy Rule", on August 14, 2002. The Privacy Rule is a federal regulation under the Health Insurance Portability and Accountability Act (HIPAA) of 1996 that governs the protection of individually identifiable health information, and is administered and enforced by the DHHS Office for Civil Rights (OCR).

Decisions about applicability and implementation of the Privacy Rule reside with the researcher and his/her institution. The OCR website (http://www.hhs.gov/ocr/) provides information on the Privacy Rule, including a complete Regulation Text and a set of decision tools on "Am I a covered entity?" Information on the impact of the HIPAA Privacy Rule on NIH processes involving the review, funding, and progress monitoring of grants, cooperative agreements, and research contracts can be found at http://grants.nih.gov/grants/guide/notice-files/NOT-OD-03-025.html.

URLs in NIH Grant Applications or Appendices:
All applications and proposals for NIH funding must be self-contained within specified page limitations. For publications listed in the appendix and/or Progress report, internet addresses (URLs) must be used for publicly accessible on-line journal articles. Unless otherwise specified in this solicitation, Internet addresses (URLs) should not be used to provide any other information necessary for the review because reviewers are under no obligation to view the Internet sites. Furthermore, we caution reviewers that their anonymity may be compromised when they directly access an Internet site.

Healthy People 2010:
The Public Health Service (PHS) is committed to achieving the health promotion and disease prevention objectives of "Healthy People 2010," a PHS-led national activity for setting priority areas. This FOA is related to one or more of the priority areas. Potential applicants may obtain a copy of "Healthy People 2010" at http://www.health.gov/healthypeople.

Authority and Regulations: This program is described in the Catalog of Federal Domestic Assistance at http://www.cfda.gov/ and is not subject to the intergovernmental review requirements of Executive Order 12372 or Health Systems Agency review. Awards are made under the authorization of Sections 301 and 405 of the Public Health Service Act as amended (42 USC 241 and 284) and under Federal Regulations 42 CFR 52 and 45 CFR Parts 74 and 92. All awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement. The NIH Grants Policy Statement can be found at http://grants.nih.gov/grants/policy/policy.htm.

The PHS strongly encourages all grant recipients to provide a smoke-free workplace and discourage the use of all tobacco products. In addition, Public Law 103-227, the Pro-Children Act of 1994, prohibits smoking in certain facilities (or in some cases, any portion of a facility) in which regular or routine education, library, day care, health care, or early childhood development services are provided to children. This is consistent with the PHS mission to protect and advance the physical and mental health of the American people.

Loan Repayment Programs:
NIH encourages applications for educational loan repayment from qualified health professionals who have made a commitment to pursue a research career involving clinical, pediatric, contraception, infertility, and health disparities related areas. The LRP is an important component of NIH's efforts to recruit and retain the next generation of researchers by providing the means for developing a research career unfettered by the burden of student loan debt. Note that an NIH grant is not required for eligibility and concurrent career award and LRP applications are encouraged. The periods of career award and LRP award may overlap providing the LRP recipient with the required commitment of time and effort, as LRP awardees must commit at least 50% of their time (at least 20 hours per week based on a 40 hour week) for two years to the research. For further information, please see: http://www.lrp.nih.gov/.


Weekly TOC for this Announcement
NIH Funding Opportunities and Notices


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