THE NIH RESEARCH CAREER DEVELOPMENT AWARD RCDA) GUIDELINES REVISED APRIL 1988 (To be used with the Application for a Public Health Service Grant PHS-398, revised 10/88) I. INTRODUCTION Under the authorization in the Public Service Act, Section 301 (a) (3), the Institutes and Divisions (BIDs) of the National Institutes of Health (NIH) make Research Career Development Awards (RCDAs) to eligible institutions for support of named individuals. The NIH BIDs have different program goals, program initiatives, and resource constraints. These differences frequently result in distinct patterns of awards among the BIDs. Therefore, potential applicants for an RCDA should contact the appropriate BID staff person, listed in the attachment, prior to preparing an application to obtain current information about that BID's situation with regard to RCDAs. Applicants should be aware, however, that the assignment of an application to a particular BID is governed by the NIH referral guidelines. II. PURPOSE The purpose of the RCDA is to enable investigators who have demonstrated outstanding research potential to further develop their research careers. This award provides 5 years of salary support and guarantees them the ability to devote at least 80% of their time to research for the duration of the award. The award is available to persons who have demonstrated independent research accomplishments but need additional time in a productive, scientific environment to establish an independent research program. III. ELIGIBILITY A. Nomination by Institution Candidates must be nominated by a non-Federal nonprofit or for-profit institution engaged in health-related research and located in the United States or its possessions and territories. B. Citizenship Candidates for an award must be citizens or noncitizen nationals of the United States or its possessions and territories or must have been lawfully admitted to the United States for permanent residence at the time of application. Candidates lawfully admitted for permanent residence must submit with the application a notarized statement indicating possession of an Alien Registration Receipt Card (I-151 or I-551). Experience Candidates must have a doctoral degree and must have demonstrated independent research accomplishments at the time of application. Candidates should normally have at least 5 years of postdoctoral research experience, including 2 years as the principal investigator of an independent peer-reviewed research grant. Peer-reviewed research grants includes all investigator-initiated research grants, whether funded by NIH or other sources, as well as subprojects of large grants such as NIH Research Program Projects (POl) or Specialized Centers (P50) on which the candidate is principal investigator. It does not include research career program (K series) awards or grants on which the candidate is co-investigator. It also does not include Biomedical Research Support funds, Minority Biomedical Research Support funds, Small Research Grants (RO3), fellowships, or other small awards intended as seed money for pilot projects. Applicants who do not meet the experience criteria can qualify if they demonstrate in the application that they have achieved an equivalent level of experience and independence. Candidates who are well-established in their fields are considered ineligible. Some indications of having achieved this status are tenure or the equivalent, a substantial publication record or considerable research support that already requires commitment of a major part of the candidate's time. Applicants who meet one or more of these criteria must provide justification in the application that they are not already established in their field. D. Concurrent Applications and Awards An RCDA application may not be pending PHS review concurrently with another PHS research career program application (K series, e. g., clinical investigator award, physician and dentist scientist awards, and research scientist development award). Further, individuals may hold only one PHS research career program (K series) award at a time. IV. REVIEW Applications are reviewed for merit by an initial review group in the Division of Research Grants, NIH. Attention is given to the candidate's prior training and experience, career potential, proposed research, environment, reference reports, and other related information. The application must demonstrate that the award will enhance the candidate's career development. Applications are also reviewed by the appropriate BID National Advisory Council or Board. Those recommended for approval will be considered for funding on the basis of the overall merit of the application, as determined by the initial review group, relevance of the application to the research objectives of the BID, and availability of funds. BID staff will send candidates a copy of the initial review summary statement as soon as available, and will notify candidates of the final results shortly after their National Advisory Council or Board meeting. The review schedule is as follows: Application Initial Advisory Board/ Earliest Probable Received by Review Council Beginning Date Meeting Meeting February l June Sept/Oct December l June l Oct/Nov Jan/Feb April l October l Feb/March May July l V. TERMS OF THE AWARD A. Research Support At the time of award, candidates must demonstrate that they have independent research support sufficient for the research proposed in the RCDA application. This support may be from external or from institutional sources. The awarding unit will not make an award unless such research support is available. B. Commitment to Research Individuals who receive an RCDA are to devote full-time to research and research-related activities. The sponsoring institution must guarantee as part of the RCDA application that, if an award is made, the applicant will have full-time available for research and research-related activities. At least 80 percent of the candidate's time must be spent in research. This includes direct supervision of research trainees, such as pre- and postdoctoral fellows, and attendance at scientific and professional meetings and workshops. Up to 20 percent of the candidate's time may be spent on research-related activities that would enhance the candidate's research career development. These include additional research training, teaching related to the research goals of the candidate, and clinical activities that would allow the candidate to maintain clinical skills and expertise necessary for the conduct of research. During the period of the award, the institution is expected to defer administrative and other service duties which do not contribute to the candidate's research career development. C. Relationship to Institution Awards are made to eligible institutions on behalf of qualified candidates. The candidate's employment status, title, salary, and staff privileges are determined by the institution according to its established policies for individuals holding 12-month appointments. D. Duration RCDAs are limited to a single project period of 5 years. Project periods of less than 5 years will not be made. The RCDAs are expected to be for continuous support of an individual. Breaks in the period of support will be permitted only in unusual situations and then only with prior written approval from the funding BID. Under no circumstances may an individual receive more than a total of 5 years (60 months) of RCDA support. Within the project period, awards are made annually. Approximately four months before the end of the annual award, the Division of Research Grants, NIH, notifies the grantee institution about submitting a noncompeting continuation application to request funds for the next year. Support beyond the first year shall be based on an assessment by NIH staff of continued opportunity for career development as well as on a judgment of the effectiveness of the developmental experience. In addition, continuation of awards is contingent upon future Federal appropriations. E. Termination or Change of Institution When a grantee institution plans to terminate an award, the funding BID 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, RCDA support may be continued provided: A new RCDA application is submitted by the new institution; The period of support requested is for only the time remaining within the 60-month limitation; and The new application is submitted far enough in advance of the requested effective date to allow the necessary time for review. Review may be made by the BID staff, or depending upon the circumstances, the BID staff may request a review by an initial review group and/or the appropriate National Advisory Council or Board. As a minimum, in all cases the appropriate National Advisory Council or Board will be informed of the action taken. The Director, 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, NIH, shall notify the grantee institution and the individual 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 (expenditures report) are required upon either termination of an award or relinquishment of an award in a change of institution situation. F. Special Leave Leave in 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 funding BID is required. To obtain prior approval, the individual must submit to the BID a letter 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 RCDA would continue during such leave. Leave without award support may not exceed 12 months. Such leave requires the prior written approval of the BID, 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. Maternity leave will be granted consistent with the policies of the RCDA and the grantee institution. G. Allowable Award Costs l. Salary The RCDA provides funds for the individuals's full-time 12-month salary up to a maximum base salary of $40,000 for each l2-month budget period. The grantee institution may supplement the award to bring the individual's salary in line with the institution's salary scale. Supplementation, however, may not be provided from Federal funds, unless explicitly authorized under the terms of the program from which such funds are to be derived. Other NIH funds may not be used as a means of additional salary support. The total salary 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 responsibilitiesin the department concerned. If full-time, l2-month salaries are not currently paid to comparable staff members, the salary proposed must be appropriately related to the existing salary structure. 2. Fringe Benefits Fringe benefits must be consistent with those paid for all other staff members of comparable rank and seniority at the institution under formally established and consistently applied institutional policies. The RCDA provides funds for the grantee institution's share of fringe benefit costs on that portion of the salary provided by NIH. The normal treatment of such costs by the institution determines how they will be awarded, i.e., as a direct or indirect cost. Thus, institutions that consistently treat fringe benefit costs as an indirect cost are obliged to recover these costs in accordance with section 3. below. 3. Indirect Costs Award funds will be provided for indirect costs based on the actual indirect cost rate or 8 percent of the total direct costs, whichever results in a lesser dollar amount. 4. Other Costs No other costs are provided for under an RCDA. 5. Salary and Fringe Benefit Increases Appropriate salary and fringe benefit increases that occur during the period of the award will be reimbursed by NIH, if funds are available, up to a maximum base salary of $40,000 per year. If the exact date and amount of a future increase are known, the amount should be requested and justified in the noncompeting continuation application (Type 5). If increases otherwise occur during a current budget period, the grantee institution, even if a recipient of a Biomedical Research Support Grant, may provide appropriate documentation to the funding BID, which will, if justified and funds are available, make such adjustment by a revised or supplemental award. All increases must be based on consistently applied and established institutional policy, and with salaries and fringe benefits actually provided by the institution from its own funds to other staff members of equivalent qualifications, rank, and responsibilities in the department concerned. H. Other Income 1. Generation and Disposition of Professional Fees Fees resulting from clinical practice, professional consultation, or other comparable activities required by the research and research-related activities of the award may not be retained by the RCDA supported individual. 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 RCDA 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 (This option not available to for-profit organizations.); The funds may be used for health-related research purposes (This option not available to for-profit organizations.); or The funds may be paid to miscellaneous receipts of the U.S. Treasury. Checks should be made payable to the Department of Health and Human Services, National Institutes of Health, and forwarded to the Director, Division of Financial Management, National Institutes of Health, Bethesda, Maryland 20892. Checks must identify the relevant award account and reason for the payment. 2. Records Adequate records regarding the source, receipt and disposition of fees and other income are to be maintained by the grantee institution for the time period(s) specified in Title 45, Code of Federal Regulations, Part 74, Subpart D. 3. Other Professional Income The term "professional fees" in this policy statement does not apply to royalties, honoraria, and fees from scholarly writing, delivery of occasional outside lectures, and service in advisory capacity to public or private nonprofit organizations. This income may be retained by the individual awardee, if within grantee institution policy. I. Use of NIH Grant Funds Freed by the RCDA Funds budgeted in an NIH-supported research or training grant for an individual's salary and applicable fringe benefits, but freed as a result of funding an RCDA for that individual, may not be used for any other purpose except when the individual no longer participates in the grant supported activity and another individual replaces him or her and requires comparable remuneration. Only under unusual circumstances will consideration be given to approval for use of released funds for any other reasons than the one described above. In any event, the proposed retention and use of funds released in this manner must receive prior written approval of the funding BID. J. General Terms and Conditions Except as otherwise set out in this statement, the provisions of the PHS Grants Policy Statement apply to RCDAs. VI. APPLICATION MATERIAL Application should be made on Form PHS 398 (Rev.10/88 ), which contains special instructions for RCDAs. Also, follow the additional instructions in the Appendix to these guidelines. Application forms are usually available at local educational institutions. If not available locally, send a request accompanied by a self-addressed mailing label to: Office of Grants Inquiries Division of Research Grants Westwood Building, Room 449 National Institutes of Health Bethesda, Maryland 20892 Telephone: (301) 496-7441 BID STAFF CONTACTS National Institute on Aging, NIH Dr. Miriam Kelty Building 3l, Room 5C05 Bethesda, Maryland 20892 Telephone: (301) 496-9322 National Institute of Allergy and Infectious Diseases, NIH Dr. William Bennett Westwood Building, Room 7A03 Bethesda, Maryland 20892 Telephone: (301) 496-5030 National Institute of Arthritis and Musculoskeletal and Skin Diseases, NIH Dr. Richard Lymn Westwood Building, Room 403 Bethesda, Maryland 20892 Telephone: (301) 496-7495 National Cancer Institute, NIH Dr. Barney Lepovetsky, Chief Cancer Training Branch Blair Building, Room 424 Bethesda, Maryland 20892 Telephone: (301) 427-8898 National Institute of Child Health and Human Development, NIH Ms. Hildegard Topper Building 3l, Room 2A04 Bethesda, Maryland 20892 Telephone: (301) 496-0l04 National Institute of Dental Research, NIH Dr. Thomas Valega Westwood Building, Room 5l0 Bethesda, Maryland 20892 Telephone (301) 496-6324 National Institute of Diabetes and Digestive and Kidney Diseases, NIH Dr. Walter Stolz Westwood Building, Room 657 Bethesda, Maryland 20892 Telephone: (301) 496-7277 National Institute of Environmental Health Sciences, NIH Dr. Christopher Schonwalder Building 3, Room 305 P.O. Box 12233 Research Triangle Park, North Carolina 27709 Telephone: (9l9) 541-7634 National Eye Institute, NIH Dr. Jack McLaughlin Building 3l, Room 6A5l Bethesda, Maryland 20892 Telephone: (301) 496-5983 National Institute of General Medical Sciences, NIH Dr. Elke Jordan Westwood Building, Room 953 Bethesda, Maryland 20892 Telephone: (301) 496-706l National Heart, Lung, and Blood Institute, NIH Dr. Henry Roscoe Westwood Building, Room 7Al7A Bethesda, Maryland 20892 Telephone: (301) 496-7225 National Institute of Neurological and Communicative Disorders and Stroke, NIH Mr. Edward Donohue Federal Building, Room l0l6 Bethesda, Maryland 20892 Telephone: (301) 496-4188 National Library of Medicine, NIH Mr. Peter Clepper Building 38A, Room 5S-5l8 Bethesda, Maryland 20894 Telephone: (301) 496-422l Division of Research Resources, NIH Dr. James O'Donnell Building 3l, Room 5B03 Bethesda, Maryland 20892 Telephone: (301) 496-6023 Modifications to Grant Application Form PHS 398-Additional Instructions for Preparing Research Career Development Award Applications (Rev. 9/86) 1.Table of Contents References - - Substitute the following for paragraphs 2 and 3: 2. Biographical Sketch -- Under Research and Professional Experience indicate, where applicable, whether position is tenured or non-tenured. 3. Other Support Page -- Include all current and past independent grant support. Identify the research support funds that will be available to the candidate during the period of the proposed RCDA. 4. Specialized RCDA Information Applicant Organization's Plans Item 3 a) Substitute the following for sentences 2 and 3: "Indicate what proportion of the candidate's time will be available for research if an RCDA is awarded and what, if any, research-related activities the candidate will engage in." See section V.B. (page 3) of the revised RCDA Guidelines for the definition of research and research-related activities. b) Include a guarantee that if an RCDA is made, the individual will have full-time available for research and research-related activities as specified in section V.B. of the revised RCDA Guidelines. This statement should be signed by the official signing for the applicant organization. SCIENTIF.DRG SUPPORT FOR SCIENTIFIC MEETINGS - August 1988 Information and Supplemental Instructions for Application Form PHS-398 1. Purpose This document states the policy for the application, receipt, assignment, review, award, administration, and reporting required when NIH grant and cooperative agreement (hereafter both called grant) funds are being requested and awarded for the support of domestic and international scientific meetings or conferences. 2. Definitions Scientific Meeting. A gathering, symposium, seminar, workshop, or any other organized and formal conference where persons assemble to coordinate, exchange, and disseminate information or to explore or clarify a defined subject, problem, or area of knowledge. International Meeting. A meeting so designated by its sponsor, or one to which open invitations are issued to participants in two or more countries (not counting the United States or Canada). The meeting may be held in any country, including the United States. Domestic Scientific Meeting. A meeting held in the United States or Canada primarily for United States or United States-Canadian participation, or with participants from not more than one other country. This does not exclude those with invited foreign speakers. Eligible Applicant. Usually a United States institution eligible to receive research or research training grants from the NIH, an established scientific or professional society, or, in the case of an international meeting, the United States representative organization of an established international scientific or professional society. Bloc Travel Grant. An award of travel funds to a sponsoring organization which will, using an approved mechanism, select the individuals whose travel will be supported. NIH Conference Grant Coordinator. The individual in the NIH Division of Research Grants (DRG) who is responsible for serving applicants as the NIH focal point for general information about applications for grants for the support of scientific meetings and for the referral of specific inquiries from applicants to the appropriate Institute staff. This individual is in the DRG Office of Grants Inquiries. 3. Policy The NIH recognizes the value of supporting scientific meetings directed toward objectives clearly within the areas of Public Health Service scientific program missions. Such meetings may be funded by grant and cooperative agreements. All competing applications for domestic or international scientific meetings will receive an initial peer review for scientific merit, and subsequent Advisory Council or Board review in accordance with the Public Health Service Scientific Peer Review Regulations and pertinent NIH manual chapters. Each NIH Institute, Division, or Center may support those applications that are within its mission and interests and which have been recommended for approval by peer review. Applications of interest to more than one Institute, Division, or Center may be co-funded. The criteria used by the grantee to select attendees at scientific meetings must be based on scientific excellence, and must be participants free from any discrimination on the basis of race, creed, color, sex, handicap, or geographical areas. The following policy guidelines are also applicable in providing support for domestic or international meetings. a. For Domestic Meetings or International Meetings Held in the United States or Canada. Grants may be awarded to assist in the general support of scientific meetings held in the United States or Canada. Funds may also be awarded for bloc travel support for individuals selected by the grantee organization to attend the meeting. b. For International Meetings Held Outside the United States or Canada. Grant funds may be used only for support of specific scientific aspects of an international meeting, for example, a selected symposium or workshop, including planning costs, travel costs for participants, and other clearly related expenses. Any Public Health Service foreign travel restrictions that are in effect at the time of the award will be followed. In the case of an international meeting where there is no United States representative organization, prior approval must be obtained by the awarding Institute from the Director, Fogarty International Center, before any award can be made directly to a foreign institution or estab<->lished international scientific or professional society which is serving as host of the meeting. 4. Applications Prospective applicants are encouraged to inquire in advance concerning NIH's interest in supporting a scientific meeting by contacting the appropriate Institute program staff or the NIH Conference Grant Coordinator, Division of Research Grants, National Institutes of Health, Bethesda, Maryland 20892 phone: (301) 496-7441. Pre-submission questions of a general policy nature about the preparation of applications may be directed to the NIH Conference Grant Coordinator. More specific questions will be referred by the Conference Grant Coordinator to an appropriate Institute staff member. If a particular interest is expressed by an NIH awarding unit, the application should be submitted in accordance with any special instructions. In all cases, the application form to be used is PHS-398. It is to be submitted directly to the Division of Research Grants according to the following schedule: Application Initial Council/ Earliest Receipt Review Group Board Possible Dates Dates Dates Beginning Date Feb. 1 June/July Sept./Oct. Dec. 1 June 1 Oct./Nov. Jan./Feb. April 1 Oct. 1 Feb./Mar. May/June July 1 In exceptional circumstances the receipt date may be waived if an acceptable letter of justification accompanies a complete application, and if the assigned Institute or Division concurs. No waiver will be granted prior to receipt of a complete application. When completing the application, the following items must be included. For Item 1 of the Face Page, provide the title of the meeting. For Item 2 of the Face Page, enter the words "Scientific Meeting." In Item 9 of the Face Page, enter the site of the meeting and the exact inclusive dates of the meeting. Provide Biographical Sketches, each not to exceed 2 pages, only for the key individuals responsible for the planning and conduct of the meeting. Use the Other Support page to list other funds received or sought to support the meeting. Identify the sources and amounts of funds, indicating any overlap with the present application. Provide information about the disposition of funds expected from other sources, including income from the meeting itself. Use the Resources and Environment page to describe the physical facilities to be used for, planning and conducting the meeting. Use the Budget pages provided or blank continuation pages to itemize and justify the costs listed under Item 7 on the Face Page. Itemize all services covered by any registration fee, proposed per diem allowances, and transportation costs. If the support needed includes participant travel or per diem, specify the number of domestic and foreign travelers, identifying countries represented and the number of days per person. Itemize conference services, publication costs and registration fees in the "Other Expenses" category. Indicate the total costs of the meeting, including both the amount requested from the NIH and also the support anticipated from other sources. Use the Research Plan section of the application to provide a detailed description of the objectives, plans, and logistics of the meeting. Describe the format and agenda of the meeting, including a list and the basis of selection of the principal topics to be addressed, problems to be clarified, and developments the meeting might stimulate. Provide a detailed justification for the meeting, including the scientific need, timeliness, and the usefulness of the meeting to the scientific community involved. State the composition and role of the organizing committee and provide the names and credentials of the key participants in the meeting, the basis of their selection, and whether they have c ommitted themselves to participating in the program. Estimate the expected number and type of the audience and the mechanism of their selection. Describe plans for publicity for the meeting, selection of participants, and publication of proceedings. Provide information about all related meetings held on the subject during the last 3 years. If this is one of a series of periodic meetings, briefly describe the last meeting and its value and submit six copies of its proceedings, or a four page summary thereof, as an Appendix. 5. Assignment and Review Each application will be assigned by the DRG Referral Office to an initial review group for a scientific merit review, and to one or more of the Institutes or Division for a second level program and policy review and consideration for funding. The initial review group's evaluation for scientific merit may be through committee discussion, mail ballot, conference call, or a combination of these. Their recommendations will be documented in summary statements, which will be reviewed by the appropriate National Advisory Councils or Boards before any award may be made, unless the Institute has the legal authority to make such awards without Council or Board Review. As soon as they are completed, the summary statements will be automatically sent to principal investigators. 6. COSTS Except for specific restrictions applicable to the support of international meetings held outside the United States or Canada (see section 3. ), the cost policies below are applicable to all grants in support of scientific meetings. Any costs not listed below charged to a grant must either be approved at the time of the award or, if after the award, have received prior written approval from the awarding unit. Documentation of the approved budget on the Notice of Grant Award constitutes prior approval for the performance of activities and the expenditure of funds for specific purposes and items described in the grant application unless otherwise restricted by the Notice of Grant Award. a. Direct Costs. Allowable expenditures and the applicable policies are listed below. Grant funds may not be used to cover any payment to a full-time Federal employee, except when that employee is engaged during non-duty hours or is on leave without pay status from his or her normal duty station. (1) Salaries. Grant funds may be used to provide salaries, including fringe benefits, in whole or in part, of professional personnel, clerical assistants, editorial assistants, and other support staff but only in proportion to the time or effort spent directly on the meeting. The salary levels must be consistent with those the grantee organization would pay using its own funds. (2) Equipment. Grant funds may not be used for the purchase of equipment, but may be used for the rental of necessary equipment, such as projection and public address systems, exhibits, telephone, etc. (3) Supplies. Grant funds may be used to purchase supplies, such as stationary, programs, notices, badges, signs, postage, distribution and mailing fees, provided they are necessary for the conduct of the meeting and are received for use during the project period. (4) Travel and Personal Expenses. Funds may be used for the travel of staff,speakers, participants, and attendees if identified in the application and approved at the time of award. Travel expenses for grantee organization employees will be paid in accordance with travel regulations of the grantee organization. In the absence of such regulations, Department of Health and Human Services Travel Regulations will apply. Transportation costs may not exceed coach class fares. In all cases, when available, United States flag carriers must be used. Per diem allowance will be limited to the days of attendance at the meeting, plus the actual travel time to and from the conference location by the most direct route available. Where meals and/or lodging are furnished without charge or at a nominal cost (e.g., as part of the registration fee), an appropriate deduction must be made from the authorized per diem. Grant funds may not be used for visas, passport charges, entertainment, tips, bar charges, personal telephone calls, or laundry charges of participants or guests. Grant funds may not be used to pay per diem, travel or other expenses other than local mileage for local participants in the conference. (5) Conference Services. Grant funds may be used for necessary stenographic, tape and photographic recording of proceedings, editorial service, simultaneous translation, subsequent transcriptions, and rental of conference rooms and office space. (6) Publication Costs. Grant funds may be used to cover the costs of publishing the proceedings of a scientific meeting or of special papers presented. When grant funds are awarded to pay for either the entire or the partial costs of publication of proceedings or of a book or pamphlet, such costs are considered to cover special plates, charts, diagrams, printing, distributing, mailing, postage, and general handling, unless otherwise specified at the time the grant is made. (7) Registration Fees. Registration fees may be paid from grant funds, provided such fees cover only those costs otherwise properly chargeable to the grant. (8) Dues. Dues to organizations, federations, or societies, exclusive of registration fees, are not allowed as a charge to the grant. (9) Entertainment. Grant funds may not be used to cover the costs of banquets, luncheons, coffee breaks, theater, or entertainment of any sort. (10) Honoraria. Honoraria or other payments given for the purpose of conferring distinction on or to symbolize respect, esteem, or admiration may not be paid from grant funds. However, speakers' fees for those specific services rendered are allowable. b. Other Expenditures. Conference grant funds may not be used to pay for patient care costs or alterations and renovations. c. Indirect Costs. Indirect costs will not be allowed on grants in support of scientific meetings except in the most unusual circumstances and then only if an appropriate amount is established between the applicant organization and the NIH awarding unit in advance of the award. 7. Publication and Copyright If the grantee organization wishes to publish material for which NIH grant support has been provided, in whole or in part, the material must be distributed free of charge. However, there may be occasions when the distribution of the published material would be limited and the grantee organization would prefer to make a charge for the material. If so, special agreement on the distribution of such material should be negotiated in advance with the NIH awarding unit. Where there will be a charge for such published material, that part of the net proceeds of the sales, up to the amount charged to the grant for producing or publishing it, must be returned to the United States Treasury. To accomplish this, the grantee must maintain an open account for five years from the date of completion of the material, or until the grant account is fully reimbursed for the production costs charged to it, whichever comes first. The return of such funds to the United States Treasury will be made on a yearly basis, on the anniversary date of publication unless otherwise directed by the NIH awarding unit. Checks should be made payable to "DHHS, NIH, Grant #__________" and forwarded to the Director, Division of Financial Management, National Institutes of Health, Bethesda, Maryland 20892. Checks must indicate the reason for the payment. On the program of the meeting, and on any publication resulting from the meeting, the grantee must acknowledge the support received from the NIH, including each Institute in the case of co-funding. The following statement will suffice: "The Public Health Service participated in the support of this meeting under grant #__________, from (awarding units)___ ." Responsibility for the conduct or sponsorship of the meeting must not be ascribed to the Public Health Service. Unless otherwise provided for in the conditions of the award, the author is free to arrange for copyright of any publication resulting from meetings supported by the NIH. Any such copyrighted publication, however, shall be subject to a nonexclusive, irrevocable, royalty-free license to the Government to reproduce, translate, publish, and dispose of such material and to authorize others to do so. Unless otherwise specified by the awarding unit, six copies of any publication resulting from a meeting should be sent to the awarding unit. 8. Financial Reports and Progress Reports The organization receiving a grant assumes legal and financial responsibility and accountability both for the awarded funds and also for the performance of the supported activity. a. Financial Status Reports and Audit. A financial status report is required from the grantee (usually the treasurer or other financial officer of the grantee organization) within 90 days after completion of the budget period. The grant account must be maintained separately, either on different ledgers, or different parts of ledgers, with substantiating invoices, receipts, and payrolls readily available at all times for Government audit. All records shall be retained for a period of not less than three years after the date of submission of the financial status report. However, if a Federal audit has resulted in unresolved questions, the records must be retained until any questions have been resolved. b. Terminal Progress Reports. A report of the meeting must be prepared and six copies submitted to the awarding unit that supported the meeting within 90 days after the termination of the grant. The report should include: (1) the grant number; (2) the title, date and place of the meeting; (3) the name of the person shown on the application as the conference director, principal investigator, or program director; (4) the name of the organization that conducted the meeting; (5) a list of the individuals, and their institutional affiliations, who participated as speakers or discussants in the formally planned sessions of the meeting; and (6) a summary of the scientific highlights of the meeting, including topics discussed and conclusions reached. Copies of proceedings or publications resulting from the meeting, including items (1) through (6) listed above, may be substituted for the final progress report, with approval of the NIH awarding unit. SHORT.TE.DRG GUIDELINE GOVERNING THE NATIONAL INSTITUTES OF HEALTH SHORT-TERM TRAINING STUDENTS IN HEALTH PROFESSIONAL SCHOOLS GRANTS I. AUTHORITY AND PURPOSE Under authority of Section 487 of the Public Health Service Act as amended (42 USC 288), certain Bureaus, Institutes and Divisions (BIDs) of the National Institutes of Health (NIH) make National Research Service Award (NRSA) Short-term Training Students in Health Professional Schools (STSHPS) institutional grants. See pages 6 and 7 for the participating BIDs. STSHPS grants, by supporting short-term research training experiences of two to three months, expose talented students in health professional schools to the opportunities inherent in a research career. The program is designed to help ameliorate or avoid a future shortage of clinician investigators by attracting highly qualified professional students into biomedical and behavioral research careers. Title 42 of the Code of Federal Regulations, Part 66, is applicable to these awards. II. ELIGIBILITY REQUIREMENTS A. Applicant Institutions Domestic nonprofit private or public schools of medicine, optometry, osteopathy, dentistry, veterinary medicine, pharmacy and public health with strong research programs may apply for grants. The applicant institution must have the staff and facilities required for the proposed program. Only one application per health professional school may be submitted for a given receipt date. Also, a health professional school may have only one active award at any time. B. Trainees The applicant institution will be responsible for the selection and appointment of trainees. Trainees should have successfully completed at least one semester at an accredited school of medicine, optometry, osteopathy, dentistry, veterinary medicine, pharmacy or public health, prior to participating in the program. In Schools of Pharmacy, only students who are candidates for the Pharm.D. degree are eligible. NRSA awards cannot be used to support courses that are required for the M.D., D.O., D.D.S., D.V.M., or other similar professional degrees. Students in a combined M.D/Ph.D. program are not eligible for support. STSHPS grants are intended to introduce students to research that would not otherwise be available through their regular course of studies. Individuals holding M.S. or Ph.D. degrees in the health sciences, or those already matriculated in formal programs leading to the M.S. or Ph.D. degree, are not eligible. Trainees must be citizens or noncitizen nationals of the United States, or must have been lawfully admitted for permanent residency (i.e., in possession of the Alien Registration Receipt Card I-551 or I-151) at the time of appointment. Noncitizen nationals are individuals who, although not citizens of the United States, owe permanent allegiance to the United States. They are generally persons born in lands which are not states, but which are under United States sovereignty, jurisdiction, or administration (e.g., American Samoa). Individuals on temporary or student visas are not eligible. III. PROGRAM ELEMENTS Each institution is invited to develop an application in response to this announcement that is best suited to its own strengths and characteristics. The goal is to identify a cadre of exceptional students with the potential to pursue careers in biomedical and behavioral research. The training program director should have a demonstrated record of success in conducting research and in working with research trainees. Each application should describe a plan for widely advertising the program throughout the school, to insure active competition for appointment. Special attention should be given to recruitment of individuals from minority groups that now are underrepresented nationally in the biomedical and behavioral sciences. The overall training is not necessarily restricted to activities in a single discipline or department. The choice of participating training sites and mentors should be carefully described, to show that the institution's best environments and role models have been selected. It is expected that students will be assigned to the institution's strongest research and research training programs, which may involve basic or clinical research or a combination of both. Each institution will be expected to encourage among the trainees a sense of belonging to a community of scientists. Among the methods that may be used is providing a special seminar series addressing such topics as research methodology, instrumentation, experimental design, etc. A plan for assessing the impact of the program on both the institution and the trainee is highly desirable. Grants will be made to support no fewer than 4, nor more than 32 trainees per budget period, based on a full-time three month appointment. Adjustments in numbers of trainees may be made for different periods of appointment within the acceptable range of two to three months. All training must be full-time during the specific training sequence. IV. SELECTED AWARD PROVISIONS A. Period of Support Institutions applying for new or competitive continuation (renewal) STSHPS grants may request up to five years of support. B. Trainee Expenses The current stipend level for trainees is $546 per month. NRSA stipends may be supplemented by an institution from non-Federal funds. No Federal funds may be used for stipend supplementation unless specifically authorized under the terms of the program from which the supplemental funds are derived. An individuals may make use of Federal educational loan funds or V.A. benefits when permitted by those programs. Under no circumstances may the conditions of stipend supplementation detract from or prolong the training. Trainee tuition and fees and trainee travel, where necessary to the research training, must be covered by the funds provided for Training Related Expenses. C. Training Related Expenses Up to $l25 per month for each participating student may be requested to defray other costs of training, such as staff salaries, consultant costs, research supplies, etc. D. Indirect Costs Indirect costs will be awarded based on 8 percent of total direct costs with no exclusions from the base for training related expenses. E. Trainee Reporting Requirements A Statement of Appointment of Trainee form (PHS 2271) must be submitted at the start of each trainee appointment and reappointment. Individuals under this program are not required to sign an NRSA Payback Agreement or submit an NRSA Termination Notice (PHS 416-7). F. Other Terms and Conditions Except as modified by this announcement, the terms and conditions in the National Research Service Awards, Guidelines for Individual Awards - Institutional Grants (January 6, l984), as amended, are applicable to grants made under this announcement. V. APPLICATION PROCESS A. Application Form Application is made on Grant Application Form PHS 398 (Rev. 9/86) supplemented by the instructions attached to this announcement. PHS 398 forms are usually available at institutional offices of sponsored research or their equivalent. If not available locally, send a request accompanied by a self-addressed mailing label to: Office of Grants Inquiries Division of Research Grants Westwood Building- Room 449 National Institutes of Health Bethesda, Maryland 20892 B. Application Receipt Date January 10 is the annual receipt date for applications under this program. Initial review will occur in June. The applications will be considered by the September/October National Advisory Councils, and awards will be made for possible starting dates in the spring of the following year. VI. REVIEW PROCESS All applications are evaluated for merit by NIH initial review groups based on the following criteria: The proposed training program and the qualifications of the program director and participating mentors, The training environment, The institution's commitment to the training of investigators in basic and clinical research, The proposed method of selection and assignment of students, The institution's plan for measuring the effectiveness of the program, and For competitive continuation (renewal) applications, program accomplishments to date. The initial review groups, following their assessment of the quality of applications and assignment of priority scores indicative of merit, will comment on each applicant's plans for attracting individuals from underrepresented minority groups into the research training program. These commentaries will cover accomplishments in recruiting individuals from underrepresented minority groups and in training them for research positions, when the application is a renewal of an award made under the new guidelines. Applications are also reviewed by the Council, Board, or other advisory group to the BID whose activities relate to the proposed research training. These advisory groups will include, among the information they consider, the initial review group's comments on the recruitment of individuals from underrepresented minority groups into the training program. Final selection will be made based on the review groups' recommendations, the need for research personnel in specified program areas, and the availability of funds. The BID will notify the applicant of the final action shortly after the advisory group meeting. VII. ADDITIONAL INFORMATION For additional information contact the appropriate BID staff person on pages 6 and 7 (all institutes except the National Institute of Environmental Health Sciences are located in Bethesda, Maryland 20892) or contact: Mr. Nicholas Moriarty Division of Research Grants Westwood Building- Room A27 National Institutes of Health Bethesda, Maryland 20892 NIH BUREAU, INSTITUTES AND DIVISIONS MAKING SHORT-TERM TRAINING STUDENTS IN HEALTH PROFESSIONAL SCHOOLS GRANTS: National Institute on Aging Dr. Miriam Kelty Bldg. 31, Room 5C05 (301) 496-9322 National Institute of Allergy and Infectious Diseases Dr. William Bennett Westwood Bldg., 719B (301) 496-5030 Ms. Mattie Tynan Westwood Bldg., Room 710 (301) 496-7075 National Institute of Arthritis and Musculoskeletal and Skin Diseases Dr. Richard Lymn Westwood Bldg., Room 403 (301) 496-7495 National Institute of Child Health and Human Development Dr. James Kavanagh Westwood Bldg., Room 7C03 (301) 496-5097 Mr. Don Clark Westwood Bldg., Room 6A21 (301) 496-5001 National Institute of Dental Research Dr. Thomas Valega Westwood Bldg., Room 510 (301) 496-6324 National Institute of Diabetes, and Digestive and Kidney Diseases Ms. Lois Reed Westwood Bldg., Room 625 (301) 496-7205 National Institute of Environmental Health Sciences Dr. Christopher Schonwalder Bldg.3, Room 305 P.O. Box 12233 Research Triangle Park, North Carolina 27709 (919) 541-7634 National Eye Institute Dr. Peter Dudley Bldg. 31, Room 6A48 (301) 496-5884 Ms. Carolyn Grimes Bldg. 31, Room 6A48 (301) 496-5884 National Institute of General Medical Sciences Dr. Lee Van Lenten Westwood Bldg., Room 957 (301) 496-7001 National Heart, Lung and Blood Institute Division of Heart and Vascular Diseases Dr. George Hayden Federal Bldg., Room 3A08 (301) 496-1724 Division of Lung Diseases Ms. Diane Aiken Westwood Bldg., Room 640 (301) 496-7668 Division of Blood Diseases and Resources Dr. Fann Harding Federal Bldg., Room 5A08 (301) 496-1817 NIH BIDS SUPPORTING SHORT-TERM TRAINING THROUGH OTHER MECHANISMS Division of Research Resources Dr. Leo Whitehair Bldg. 31, Room 5B59 (301) 496-5175 National Cancer Institute Dr. Barney Lepovetsky Blair Room 424 (301) 496-8898 National Institute of Neurological and Communicative Disorders and Stroke Mr. Edward Donahue Federal Bldg., Room 1016 (301) 496-4188 Additional Instructions for PHS 398 Form Rev. 9/86 Form Approved through 9/30/89 No. 0925-000l U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES PUBLIC HEALTH SERVICE NATIONAL INSTITUTES OF HEALTH ADDITIONAL INSTRUCTIONS FOR PREPARING NATIONAL RESEARCH SERVICE AWARD SHORT-TERM TRAINING: STUDENTS IN HEALTH PROFESSIONAL SCHOOLS APPLICATIONS The basic instructions and form pages in the Public Health Service Grant Application Form PHS-398 (Rev. 9/86) are used with these additional instructions to request competing (new, competing continuation, and supplemental) National Institutes of Health (NIH) National Research Service Award (NRSA) Short-term Training: Students in Health Professional Schools (STSHPS) grants. Follow both sets of instructions to avoid delays in the review of applications. Do not use the Additional Instructions for Preparing Institutional National Research Service Award Applications in the PHS 398 kit. Where appropriate, those instructions have been incorporated in this document. Preapplication consultation is highly desirable and is available from the appropriate NIH institute identified in the preceding program guidelines. The guidelines also contains information on eligibility requirements, award provisions, program elements, and review criteria. Further details on policies governing the program can be found in the "National Research Service Awards, Guidelines for Individual Awards - Institutional Grants (January 6, l984)," as amended. This document is usually available at grantee offices of sponsored programs or their equivalent. The following instructions, items, pages, and sections of the PHS 398 application are modified as indicated below. GENERAL INSTRUCTIONS SUBMISSION STSHPS applications have only one application receipt date - January l0 SPECIFIC INSTRUCTIONS-SECTION l (Face Page) ITEM 1. TITLE OF PROJECT. Indicate "Short-term Training Students in Health Professional Schools" ITEM 2. RESPONSE TO SPECIFIC PROGRAM ANNOUNCEMENT. Leave blank TEM 4. HUMAN SUBJECTS. In many instances, trainees supported by institutional training grants will be participating in research supported by research project grants for which the IRB review of human subjects is already complete or an exemption is already designated. This review or exemption designation is sufficient, providing the research would not be substantially modified by the participation of a trainee. The appropriate grants must be identified along with their IRB review dates or exemption designation. If space is insufficient in Block 4, indicate at 4a "see Program Plan" and provide the information under Item F in Section 2. If the applicant organization has an approved Assurance of Compliance on file with OPRR but, at the time of application, plans for the involvement of human subjects are so indefinite that IRB review and approval is not feasible, check the box marked "YES" and insert "indefinite" at item 4a. If an award is made, human subjects may not be involved until a certification of the date of IRB approval or a designation of exemption has been submitted to the NIH awarding component. ITEM 5. VERTEBRATE ANIMALS. In many instances, trainees supported by institutional training grants will be participating in research supported by research project grants for which the IACUC review is already complete. This review is sufficient, providing the research would not be substantially modified by the participation of a trainee. The appropriate grants must be identified along with their IACUC review dates. If space is insufficient in Block 5, indicate at 5a "see Program Plan" and provide the information under Item G in Section 2. If the applicant organization has an approved Animal Welfare Assurance on file with OPRR but, at the time of application, plans for the involvement of vertebrate animals are so indefinite that IACUC review and approval is not feasible, check the box marked "YES" and insert "indefinite" at Item 5a. If an award is made, vertebrate animals may not be involved until a vertification of the date of IACUC approval has been submitted to the NIH awarding component. ITEM 6. DATES OF ENTIRE PROPOSED PROJECT PERIOD. The project period is usually five years. Because of the special nature of short-term training, most grants start May l or June l. Consult the application and award schedule in the program guidelines for more information. (Form Page 2) DESCRIPTION. Summarize the essence and major features of the program. Include research areas and disciplines, levels of training, numbers and background experience of trainees, and primary facilities. (Form Page 3) TABLE OF CONTENTS. Delete this page. Renumber subsequent pages consecutively. (Form Page 4) DETAILED BUDGET FOR FIRST 12-MONTH BUDGET PERIOD. Use the NRSA substitute budget page included with the PHS 398 Additional Instructions For Preparing Institutional National Research Service Award Applications. STIPENDS. Enter under the predoctoral category the number of trainees for whom funds are requested and the total dollars. The stipend level is $546 per month per trainee. Itemize by length of appointment period (e.g.,6trainees for 3 months, 4 trainees for 2.5 months). TUITION AND FEES AND TRAINEE TRAVEL. Leave these items blank. Where necessary to the research training, such costs are covered under Training Related Expenses. TRAINING RELATED EXPENSES. Funds to defray other costs of training, such as staff salaries, consultant costs, equipment, research supplies, staff travel, etc., are requested as a lump sum based on the predetermined amount of up to $125 per month per trainee. Enter the total dollar figure only. No itemization or explanation is required. (Form Page 5) BUDGET FOR ENTIRE PROPOSED PROJECT PERIOD. Use the NRSA substitute budget page included with the PHS 398 Additional Instruction for Preparing Institutional National Research Service Award Applications. (Form Additional Pages) BIOGRAPHICAL SKETCH. Include sketches, not to exceed two pages each, for the program director and each mentor. Place sketches in Section 2 after the Research Training Program Plan, with the program directors first and others following in alphabetical order. OTHER SUPPORT. Omit this page RESOURCES AND ENVIRONMENT. Omit this page SPECIFIC INSTRUCTIONS - SECTION 2. Follow these instructions in completing this section. Include sufficient information in Section 2 to facilitate an effective review without reference to any previous application. Be specific, informative and avoid redundancies. Reviewers consider brevity and clarity in the presentation important. Include a table of contents for this section. INTRODUCTION. Use an introduction for a REVISED or SUPPLEMENTAL application only. Do not exceed one page. REVISED APPLICATION. Summarize any substantial additions, deletions, and changes that have been made. Include responses to criticisms in the previous summary statement. Highlight these changes within the text of the Research Training Program Plan by appropriate bracketing, indenting, or changing of typography. A revised application will be returned if substantial revisions are not clearly apparent. Acceptance of a Revised application automatically withdraws the prior version. SUPPLEMENTAL APPLICATION. Provide a statement describing how the supplement, or the lack of it, will influence the current grant. Special note should be made of the trainees supported and any changes in the program since submission of the last competitive application. A Supplemental application will not be accepted until after the original application has been funded. RESEARCH TRAINING PROGRAM PLAN. Follow the outline suggested below in describing the Research Training Program. Do not exceed 20 pages of narrative overall for sections A-E. Information provided in tabular form need not be counted toward the page limitation. A. Background: l. A brief description of both current and past programs to promote the research interests of the students and their relation, if any, to the proposed program; and 2. A brief description of the characteristics of the student body, including the size of the student body, the estimated number of individuals who might be interested in the program, and the rationale supporting the estimate. B. Proposed Training: (include at a minimum) 1. Objectives of the proposed training program; 2. The administrative structure of the program and the distribution of responsibilities within it; 3. Rationale for choosing the Program Director and his or her time commitment to the program; 4. Method of student recruitment and selection, including steps to be taken to recruit individuals from minority groups that are now underrepresented nationally in the biomedical and behavioral sciences; 5. Duration of training and months in which it will occur; 6. Special activities to be made available to all trainees, i.e., seminar activity; 7. Institution's plans for assigning trainees; 8. Description of a typical student program, including the percent of time to be spent in various activities, e.g., at the bench, clinic or bedside, in the library, in seminars or lectures; 9. Plan to measure the impact of the program on the individual student. How will the trainee's progress be measured? Describe your plan to monitor the future career course of individual trainees; and 10. Plan to evaluate the effectiveness of the overall program and its impact on the institution. C. Program Areas in which training will take place. For each program area, list in tabular form as follows. Use the same format for every area of research training. Include the approximate percent of effort to the program by each mentor during the active training period. Also include a brief description of the mentor's training experience and the numbers and kinds of students (predoctoral, M.D., Ph.D., and postdoctoral) currently working in the laboratory. John Smith, M.D. Renal Metabolism in Diabetes 1R01 AM 13284-01 (25% effort) Approx. $82,000/yr 11/1/86-10/31/89 Effect of Insulin on Urinary American Diabetes Output Association $6,000 for 1 year 4/1/88-3/31/91 (pending) Dr. Smith is currently training 1 postdoctoral student. D. Institutional Supporting Data: Any exceptional resources and/or opportunities available to the institution should be described. Use this section for other pertinent material which does not fall naturally into any other previous categories. E. Progress Report: Complete only when a renewal (competing continuation) of an active short-term training grant is being applied for. Briefly describe the accomplishments of the training program during the current project period. The statement should include: 1. The period covered (dates); 2. A list of trainees supported by budget period, with a brief summary of the individual's research training and resulting publications. Include what former trainees are doing today. Also include information, possibly in tabular form, documenting by budget period the actual commitment of awarded trainee positions to trainees; 3. For trainees who have completed training, cumulative statistics concerning subsequent career development. As part of this item, include statistics on trainees from minority groups that are now underrepresented nationally in the biomedical and behavioral sciences; 4. The changes in the curriculum or research orientation as a direct or indirect result of this training program and the significance of these changes; 5. The way in which the program was enhanced through the availability of award funds for Training Related Expenses; and 6. The titles of any inventions conceived or reduced to practice. F. Human Subjects As indicated earlier in these instructions for Item 4 on the face page, where appropriate include a list of already reviewed research project grants and their IRB review dates or exemption designations. G. Vertebrate Animals As indicated earlier in these instructions for Item 5 on the face page, where appropriate include a list of already reviewed research project grants and their IACUC review dates. Checklist. INDIRECT COSTS. Indirect costs under STSHPS grants other than those awarded to State or local government agencies will be reimbursed at 8 percent of total allowable direct costs. State and local government agencies will receive reimbursement at their full indirect cost rate. SPECIFIC INSTRUCTIONS-SECTION 3 APPENDIX Appendix material is generally not needed with training grants. Oversized documents, brochures, and catalogues may be exceptions. Six collated sets should be submitted. SMALL.DRG NIH SMALL GRANTS PROGRAM (RO3) - August 1988 PARTICIPATING INSTITUTES: DIVISION OF RESEARCH RESOURCES NATIONAL INSTITUTE OF DENTAL RESEARCH NATIONAL EYE INSTITUTE NATIONAL INSTITUTE OF DIABETES AND DIGESTIVE AND KIDNEY DISEASES NATIONAL CANCER INSTITUTE DIVISION OF RESEARCH RESOURCES BIOMEDICAL RESEARCH TECHNOLOGY PROGRAM (NIH GUIDE FOR GRANTS AND CONTRACTS, Vol. 14, No. 12, November 8, 1985, ANNOUNCEMENT) SMALL GRANTS PROGRAM FOR PILOT PROJECTS P.T. 34; K.W. 0706000, 1002024, 1014001, 0790000, 1004000 This program is described in the Catalog of Federal Domestic Assistance No. 13.371, Biotechnology Research. Awards will be made under the authority of the Public Health Service Act, Title 111, Section 301 (Public Law 78-410, as amended; 42 USC 241) and administered under PHS grant policies and Federal Regulations 42 CFR Part 52 and 42 CFR Part 74. This program is not subject to intergovernmental review requirements of Executive Order 12372 or Health Systems Agency reviews. Application Receipt Dates: February 1, June 1, October 1 The Biomedical Research Technology Program was established in 1962 to provide biomedical research scientists with complex technological capabilities required to solve biomedical and clinical research problems. This is primarily done by funding regional resources for the application of advanced technologies to biomedical research problems and the development of new instrumental and methodological approaches to such problems. At present the Program focuses on knowledge engineering, information technology, digital technology, biomedical engineering, and technologies for the study of biomolecular and cellular structure and function. To further this mission, the BRT Program supports a small grant award for support of pilot studies. Approximately ten to twenty awards per year are made, contingent on receipt of meritorious applications and appropriated funds. I. PURPOSE OF THE AWARD This is a one-year, non-renewable award for pilot projects in a high technology in engineering, instrumentation, physics or computer science related to biomedical research. The projects should involve feasibility studies of innovative ideas in a high technology. High technology is defined here as working at the limits of understanding of a technology. The project should be oriented towards new instrumental or methodological approaches and provide a basis for more extended research in the project's technology. The purpose of the small grants program is to: A. Provide an opportunity to test new ideas in a high technology that will lead to a larger research project or implementation of the technology in a working environment such as a BRT resource. B. Develop significant changes in an existing high technology important to biomedical research. C. Translate scientific notions into a basis for a future technology. II. ELIGIBLE APPLICANTS This program is open to both non-profit and for profit organizations and is designed to support engineers and other scientists for work in high technological projects in the biomedical area. (The BRT Program has a FIRST Award program for recently trained or less experienced scientists.) III. APPLICATION AND REVIEW PROCEDURE Applications should be submitted on Form PHS 398, available at most institutional business offices or from the Division of Research Grants, NIH. Because the format for preparing this application is different from that used for regular research grants, additional information and instructions should be obtained from the BRT Program staff contact listed on page 3. Applications must adhere to this format to be responsive. Unresponsive applications will be returned to the applicant without review. An accelerated review will be scheduled as follows: Application Institute Council Earliest Receipt Committee Review Dates for Dates Review Funding February 1 March-April May-June June June 1 July-September Sept.-Oct. November October 1 November-January Jan.-Feb. February Applications recommended for approval will either be funded or withdrawn immediately after review by the National Advisory Research Resources Council. IV. REVIEW CRITERIA Applications will be evaluated with respect to the following criteria: the significance and scientific merit of the proposed project; its characterization as an innovative pilot project in a high technology in engineering, instrumentation, physics or computer science related to biomedical research; the probability the study will provide a basis for more extended research in the projects technology; the methodology, including choice of experimental methods, equipment or materials; the investigator's background and training for carrying out the project; adequacy of the available and requested facilities; and the adequacy of justifications presented for budget requests. In the review of these applications the following aspects of the work proposed in the applications are emphasized: o Scientific merit, o innovative approach or drastically different approach, and o the risk or uncertain chance of success because no historical base exists. The award may not be used to supplement support for an ongoing project. V. FUNDING CRITERIA Applications will compete with each other in accordance with the purposes of the Small Grant Program. VI. TERMS OF THE AWARD The award will provide a maximum of $25,000 (direct costs) for personnel, consultants, supplies, small equipment, and travel required by the project. The award will be for one year, and in most cases can be extended for an additional year without additional funds. VII. STAFF CONTACT For further information, prospective applicants are strongly urged to contact: Dr. Jack Hahn, Ph.D. Head, Computer Technology Section Biomedical Research Technology Program Division of research Resources National Institutes of Health Building 31, Room 5B43 9000 Rockville Pike Bethesda, Maryland 20892 Telephone: (301) 496-5411 NATIONAL INSTITUTE OF DENTAL RESEARCH SMALL GRANT PROGRAM (NIH Guide for Grants & Contracts, Vol. 15, No. 1, January 3, 1986, ANNOUNCEMENT) P.T.34; K.W.0710030, 0785040, 0785035 I. PURPOSE The National Institute of Dental Research (NIDR) Small Grant Program is intended to provide limited support for meritorious dental research projects in all program areas which include, but are not limited to, the following purposes: To conduct research which determines the feasibility of a research project. This may be described as the conduct of pilot studies or venture research. To develop and test new techniques and procedures for solving a particular research problem. To carry out a small clinical research project. To analyze existing data. II. ELIGIBILITY Investigators from any scientific discipline and at any stage of their career may apply for a Small Grant. These awards are appropriate for new investigators and those changing areas of research or resuming research careers. Participation in this program by minority and women investigators and those located at institutions not traditionally associated with oral health research is encouraged. III. TERMS AND CONDITIONS OF THE AWARD The proposed project may be related to, but the aims must be distinctly different from those of pending grant applications or funded research projects. The request many not be used to supplement projects currently supported by Federal or non-Federal funds, or to provide interim support for projects under review by the Public Health Services. Applicants may request up to $15,000 (direct costs) for a one-year grant period. Successful applicants who require additional time to perform the proposed research may request extensions of the grant period without additional funds. This grant is not renewable; however, grantees under this award are encouraged to apply for a regular Research Project Grant to maintain continuity in their studies. IV. APPLICATION PROCEDURE Applications may be submitted at any time (i.e., there are no specific receipt deadline dates for this program) on Form PHS 398. Forms are available at most institutional business offices or from the following: Office of Grants Inquiries Division of Research Grants National Institutes of Health Bethesda, Maryland 20892 Telephone (301) 496-7441 For the NIDR Small Grant Program, applicants should not utilize the mailing label provided in Form PHS 398, but instead send an original plus 6 copies to: National Institute of Dental Research Scientific Review Branch Westwood Building, Room 507 5333 Westbard Avenue Bethesda, Maryland 20892 Telephone: (301) 496-7658 Specific supplementary instructions required for use by applicants to the NIDR Small Grant Program should be obtained from the above NIDR address. V. ALLOWABLE EXPENSES All requested funds, and in particular those requested for travel, equipment, and salaries for professional personnel, should be strongly justified. Support may be requested for the following categories: Supplies Travel to attend a domestic meeting or to visit another laboratory for the purpose of gathering more information or to learn a new technique or procedure relevant to the application. Small items of equipment. The purchase of large pieces of equipment is discouraged. Salary for technical personnel. Salary of the principal investigator will be allowed only with the strongest of justifications. VI. REVIEW AND AWARD A special NIDR review committee will determine the overall quality and scientific merit of each Small Grant application. Applications will be evaluated with respect to the following criteria: the significance and scientific merit of the proposed project, its characterization as an innovative and/or pilot project which provides a basis for more extended research. Additional consideration will be given to the investigator's potential for carrying out the project, the time commitment of the investigator, the adequacy of the facilities and the adequacy of the justifications presented for budget requests. The applications will be recommended for approval and assigned a priority score or recommended for disapproval. All applications will receive a second level review and be considered for funding on an accelerated schedule as follows: Application Initial Secondary Earliest Receipt Review Committee Possible Dates Meeting Review Begin Date Continuous (see Feb.-March May-June July note below*) June-July Oct.-Nov. December Oct.-Nov. Jan.-Feb. March * There are no specific receipt deadlines for applications for NIDR Small Grants. Applications will be accepted on a continuous basis. As a general guide, applications should be submitted 6 months prior to the funding date for which they are intended. Awards for applications judged to have high scientific merit will be made as soon after the secondary review as possible. For program information, contact the office of: Deputy Director for Extramural Programs National Institute of Dental Research Westwood Building, Room 504 Bethesda, Maryland 20892 Telephone: (301) 496-7748 NATIONAL EYE INSTITUTE Small Grants Program I. PURPOSE OF THE AWARD This is a one-year, non-renewable award intended to provide support for pilot projects, testing of new techniques, or feasibility studies of innovative and high-risk research, which would provide a basis for more extended research. II. ELIGIBLE APPLICANTS This program is designed to support: Clinicians with limited research experience; Recently trained, or less experienced, investigators; Investigators whose research career was interrupted and is intended to be resumed; Investigators changing field of research; Investigators at minority institutions or located in a largely non-research environment; and The award may not be used to supplement support for an ongoing project. III. TERMS OF THE AWARD The award will provide a maximum of $25,000 (direct costs) for technical assistance, supplies, small equipment, and travel required by the project. The NEI expects to make approximately 15 awards for each review cycle. IV. APPLICATION AND REVIEW PROCEDURES Applications should be submitted on Form PHS 398, available at most institutional business offices or from the Division of Research Grants, NIH. Additional information and instructions may be obtained from the NEI Staff contact listed below. An accelerated review will be scheduled as follows: Application Institute Council Earliest Receipt Committee Review Possible Dates Review Funding October 1 November Jan.-Feb. February February 1 March May-June June Approved applications will either be funded or withdrawn immediately after review by National Advisory Council. V. REVIEW CRITERIA Applications will be evaluated with respect to the following criteria: the significance and scientific merit of the proposed project, and its characterization as an innovative and/or pilot project which provides a basis for more extended research; the methodology, including choice of experimental material; the investigator's background and training for carrying out the project; adequacy of the available and requested facilities; and the adequacy of justifications presented for budget requests. VI. STAFF CONTACT For further information and instructions, prospective applicants are urged to contact: Review and Special Projects Officer National Eye Institute Building 31, Room 6A06 National Institutes of Health Bethesda, Maryland 20892 Telephone: (301) 496-5561 NATIONAL INSTITUTE OF DIABETES AND DIGESTIVE AND KIDNEY DISEASES ANNOUNCEMENT SMALL GRANTS PROGRAM FOR RESEARCH ON INHERITED METABOLIC DISEASES P.T. 34; K.W. 0715135, 1002004, 1002008, 1002058, 0765035 This program is described in the Catalog of Federal Domestic Assistance No. 13.847, Diabetes, Endocrinology, and Metabolic Diseases. Awards will be made under the authority of the Public Health Service Act, Title III, Section 301 (Public Law 78-410, as amended, 42 USC 241) and administered under PHS grant policies and Federal Regulations 42 CFR Part 52 and 45 CFR Part 74. This program is not subject to the intergovernmental review requirements of Executive Order 12372 or Health Systems Agency review. Application Receipt Date: January 2 I. INTRODUCTION The Metabolic Diseases Research Program (Division of Diabetes, Endocrinology and Metabolic Diseases) supports basic research relevant to understanding the molecular and cellular mechanisms of inherited metabolic diseases with the objective of developing efficient treatment modalities and ultimately cure of these disorders. In response to needs identified at a recent workshop, the Program encourages submission of short applications for small grants to fund innovative and/or high risk studies to further understanding of the pathophysiology, molecular biology, and genetics of inherited metabolic diseases, including cystic fibrosis. II. OBJECTIVES AND SCOPE This program has two distinct objectives. A. To stimulate experienced investigators to undertake innovative, high risk research, when the successful outcome of such research would rapidly advance the following research areas: <198> Studies of the molecular and cellular mechanisms responsible for abnormal metabolism, including the identification of the biochemical defect, its genetic origin and potential methods for its correction. Development of more efficient and rapid approaches to chromosomal localization of genes associated with inherited metabolic diseases. Development of techniques for homologous recombination between an incoming gene and its counterpart in the mammalian host genome. Diseases of interest include: cystic fibrosis organic and aminoacidurias (including urea cycle disorders) disorders of purine and pyrimidine metabolism storage diseases (e.g., glycogen, mucopolysaccharide, lipid, etc.) B. To stimulate experienced investigators not currently working in cystic fibrosis to assess the applicability of their work to cystic fibrosis: Proposals are encouraged for pilot projects to determine the relevance of ongoing investigations in cellular or molecular biology, to understanding the basis of cystic fibrosis. It is emphasized that the lack of present knowledge of the pathophysiologic, molecular, and genetic basis of cystic fibrosis renders fundamental investigations in a number of areas suitable for this program. It is expected that by supporting such meritorious Small Grant applications, understanding of the molecular basis of inherited metabolic diseases will be advanced and new approaches will ultimately be developed for the treatment of some inherited metabolic diseases. In particular, significant progress will be made toward practical use of somatic cell gene transfer. III. ELIGIBILITY A. Independent, established researchers, who are Principal Investigators of at least one active research grant award (R01), or Project Directors of an active component of a program project grant (P01) from any NIH bureau, institute, or division may submit a Small Grant application in response to this solicitation. B. Submission of an application under this announcement precludes concurrent submission of a regular research grant application containing the same research proposal. In addition, Small Grant research support may not be used to supplement research projects currently supported by Federal or non-Federal funds, or to provide interim support of projects under review by the Public Health Service. C. If the applicant proposes research which will constitute a doctoral dissertation for a graduate student (other than the Principal Investigator), a written statement from the dissertation chairperson or equivalent academic supervisor, that the proposed project has their approval, must accompany the application. If the proposal is selected for support under this program, a statement of approval of the full dissertation committee is required before funding begins. IV. PURPOSE AND TERMS OF THE AWARD This is a one-year, non-renewable award intended to provide $10,000 to $25,000 (total direct costs) for technical personnel support and supplies essential for success of the proposed research. Applicants are encouraged to consider the whole budget range delineated above. Dependent on favorable review and contingent on the availability of funds, the program expects to make 15-20 awards in Fiscal Year 1986. V. APPLICATION AND REVIEW PROCEDURES The format for preparing this shortened application is different from that used for regular research project grants. Therefore, before preparing an application, additional information and instructions must be obtained from one of the Program staff contacts listed below under CONSULTATION WITH PROGRAM STAFF. Applications must adhere to this format to be responsive and should be submitted on Form PHS 398, available at most institutional business offices or from the Division of Research Grants, NIH. A single yearly reply date of January 2, will be strictly enforced. An anticipated schedule for review and award is detailed as follows: Applicaton NIDDK Special NIDDK Advisory Award Receipt Date Review Committee Council Review Date January 2 March May July VI. REVIEW CRITERIA Applications will be evaluated with respect to the following criteria: the scientific merit of the proposed project; the significance of a successful outcome to our understanding of the pathogenesis and treatment of inherited metabolic diseases; its characterization as innovative, high-risk, or relevant to cystic fibrosis; the appropriateness or adequacy of methodology, including choice of experimental material; the investigator's background and training for carrying out the project; adequacy of the available facilities; and the adequacy of justifications presented for budget requests. Innovative projects are defined as being unusually imaginative or representing a dramatically different approach to a problem. High risk projects are those for which success is highly uncertain but which, if successful, would constitute an important breakthrough. VII. REPORTING REQUIREMENTS If an award is made in response to a Small Grant application, a Final Progress Report, an Invention Statement and a Financial Status Report must be submitted within ninety days after the termination of the award. This final reporting requirement is the same as that for other types of research grants and is in accord with 42 CFR 52 and 45 CFR 74. This information will be especially helpful to the program in evaluating the usefulness of this Small Grant Award Mechanism. VIII. CONSULTATION WITH PROGRAM STAFF Prospective applicants are strongly encouraged to discuss their ideas with Program staff (see below) to determine whether they fit the definition and guidelines of this announcement. Applications which, in the opinion of staff, do not meet these objectives, scope and eligibility criteria will be returned without review. For further information, such as application format and submission instructions, prospective applicants should contact: For inherited metabolic diseases other than cystic fibrosis Dr. Robert Katz or Dr. Nancy Lamontagne Director Associate Director Metabolic Diseases Metabolic Diseases Research Program, NIDDK Research Program, NIDDK Room 607, Westwood Bldg. Room 607, Westwood Bldg. NIH, Bethesda, MD 20892 NIH, Bethesda, MD 20892 Telephone: (301) 496-7997 Telephone: (301) 496-4980 For cystic fibrosis Dr. Nancy Lamontagne or Dr. Judith Fradkin Director, Cystic Fibrosis Chief, Endocrine and Program, NIDDK Metabolic Diseases Room 607, Westwood Bldg. Programs Branch, NIDDK NIH, Bethesda, MD 20892 Room 605A, Westwood Bldg. NIH, Bethesda, MD 20892 Telephone: (301) 496-4980 Telephone: (301) 496-7791 NATIONAL CANCER INSTITUTE DIVISION OF CANCER ETIOLOGY SMALL GRANTS PROGRAM FOR EPIDEMIOLOGY ANNOUNCEMENT P.T. 34; K.W. 0715035, 0785055 This program is described in the Catalog of Federal Domestic Assistance No. 13.393, Cancer Cause and Prevention Research. Awards are under authorization of the Public Health Service Act, Section 301 (c) and Section 402 (Public Law 78-410, as amended; 42 USC 241, 42 USC 282) and administered under PHS grant policies and Federal Regulations, most specifically at 42 CFR Part 52 and 45 CFR Part 74. This program is not subject to the intergovernmental review requirements of Executive Order 12372 or Health Systems Agency review. Application Receipt Dates: February 1, June 1, October 1 The Division of Cancer Etiology, National Cancer Institute (NCI) invites Small Grant applications relating to cancer epidemiology. I. PURPOSE OF THE AWARD This is a short-term award, not to exceed two years, intended to provide support for pilot projects, testing of new techniques, or innovative or high-risk projects which could provide a basis for more extended research. II. ELIGIBLE APPLICANTS Investigators are eligible to apply for a Small Grant to support research on a topic relevant to cancer etiology if they are interested in: 1. Planning a complex epidemiologic investigation; 2. Developing or validating a laboratory procedure for the ultimate purpose of applying it in cancer epidemiologic research. 3. Obtaining rapid funding for a question relevant to cancer epidemiology. Situations in which rapid funding is needed include, as examples, the availability of special personnel for limited time-limited access to an important resource; 4. Analyzing previously collected data for epidemiologic purposes, such as combining data from multiple studies to examine consistency or strength of observed associations; 5. Resolving methodologic problems, such as: documenting the accuracy of a customary procedure in preparation for use in epidemiologic research; or evaluating the effect of cancer doagnosis and/or treatment on risk factor estimates derived from case-control studies. Applications not meeting one of the criteria stated above, or failing to meet the page limitations specified in the supplemental instructions, will be returned to the proposed principal investigator without review. III. TERMS OF THE AWARD Funds may be used for personnel, supplies, small equipment, and travel required by the project. The normal duration of support is 2 years but applications may be made for up to 3 years if the total direct costs for the project period do not exceed $50,000; a grant may be renewed. Projects involving the development of a laboratory procedure for use in epidemiologic research may request modest costs for a period of intensive orientation for one or more collaborating investigators to facilitate transfer of new techniques when it is clearly justified by the complexity of the task, and details of the orientation are included in the proposal. The NCI expects to make approximately 5 awards from each review cycle. Except as otherwise stated in this Program Announcement, awards will be administered under PHS grants policy as stated in the Public Health Service Grants Policy Statement, DHHS Publication No. (OASH) 82-50,000, revised January 1, 1987. IV. REVIEW PROCEDURES AND CRITERIA Applications will be reviewed for scientific and technical merit by a committee convened by NCI and consisting primarily of non-Federal scientists. All applications will be evaluated with respect to the following: 1.The significance of the investigator's research goal and the insight with which that goal is elucidated; 2.The practicality and likelihood of accomplishing the small grant aims; 3.The value of the information the investigator proposes to derive from the small grant, in the context of the research goal; 4.The adequacy and appropriateness of the methodology for achieving the purposes of the small grant; 5.The investigator's background and training for carrying out the proposed activities; 6.The appropriateness of the research team (as listed on page 2 of the application, key personnel engaged on the project, and the personnel projections), and the evidence of their effective communication in proposing the research; 7.The adequacy of the facilities and resources available to the small grant; and 8.The adequacy of specific budget justifications. V. METHOD OF APPLYING Applications shall be submitted on Form PHS 398, available at most institutional business offices or from the Division of Research Grants, NIH. Because the guidelines for preparing this application are different from those used for regular research grants, the instructions given below and the supplemental instructions must be followed in preparing and submitting an application. An accelerated review is planned as follows: Application Committee Earliest Possible Receipt Date Review Review Funding Date October 1 Feb/Mar June February 1 May/June September June 1 Oct/Nov February In order to expedite the review of your application, you are asked to submit two sets of copies of the application. Send or deliver the original (typewritten and signed) and FOUR signed exact photocopies in one package to the Division of Research Grants using the mailing label enclosed in the application kit, as specified in the general instructions. Clearly label the outside of the package: PROGRAM ANNOUNCEMENT RESPONSE: SMALL GRANTS PROGRAM FOR EPIDEMIOLOGY, DCE, NCI. IN ADDITION, in a separate package, mail or deliver 2 additional exact photocopies of the signed application to: Referral Officer Grants Review Branch National Cancer Institute Westwood Building, Room 820 5333 Westbard Avenue Bethesda, MD 20892 Telephone: (301) 496-3428 Prospective applicants are encouraged to contactfor supplemental instructions and information: Applications which do not follow the above procedures and applications submitted later than October 1, February 1, and June 1 may be deferred to the following round. Dr. Genrose Copley Landow Building, Room 8C16 7910 Woodmont Avenue Bethesda, MD 20892 Telephone: (301) 496-9601 VI. REPORTING REQUIREMENTS If an award is made in response to a Small Grants Application, a Final Progress Report and an Invention Statement must be submitted within 90 days after the termination of the award. This final reporting requirements is the same as that for other types of research grants and is in accord with 45 CFR 74.82 . The information will be especially helpful to the NCI in evaluating the usefulness of the Small Grant award mechanism. This program is described in the Catalog of Federal Domestic Assistance No. 13.393, Cancer Cause and Prevention Research. Awards are under authorization of the Public Health Service Act, Title IV, Part A, Section 301 (c) and Section 402 (Public Health Service law 78-410, as amended; 42 USC 241 and 282) and administered under PHS grant policies and Federal Regulations 42 CFR Part 52 and 45 CFR Part 74. This program is not subject to the intergovernmental review requirements of Executive Order 12372 or Health Systems Agency Review. This program is described in the Catalog of Federal Domestic Assistance No. 13.393, Cancer Cause and Prevention Research. Awards are under authorization of the Public Health Service Act, Title IV, Part A, Section 301 (c) and Section 402 (Public Health Service law 78-410, as amended; 42 USC 241 and 282) and administered under PHS grant policies and Federal Regulations 42 CFR Part 52 and 45 CFR Part 74. This program is not subject to the intergovernmental review requirements of Executive Order 12372 or Health Systems Agency Review.