| Additional Instructions for PHS 398 Rev. 05/2001 |
Form Approved Through 05/2004 |
U.S. DEPARTMENT OF HEALTH AND HUMAN SERVICES
Public Health Services
ADDITIONAL INSTRUCTIONS FOR PREPARING INDIVIDUAL RESEARCH
CAREER AWARD (RCA) APPLICATIONS – "K" SERIES
This section includes additional instructions to be used when applying for an individual Research Career Award (RCA), and includes a summary of current RCA award mechanisms, a substitute Table of Contents (RCA Substitute Form Page 3), and guidelines for reference reports. The instructions in this section of the PHS 398 application should be used along with the instructions in the preceding sections.
These instructions do not cover applications for program awards (K12 and K30), which provide support for institutional career development programs. Institutions planning such applications should contact the potential awarding component concerning eligibility, award criteria, and application procedures.
Before applying for an RCA, applicants should carefully review general guidelines for the specific
career award(s) of interest, noting especially the eligibility requirements, award provisions, requirements for a
sponsor, and review criteria. The guidelines are issued periodically in the NIH Guide for Grants and Contracts
and should be available from the sponsored programs office of the applicant institution. General NIH program
announcements are available on the NIH Web site http://grants.nih.gov/training/careerdevelopmentawards.htm and may be requested from GrantsInfo, National
Institutes of Health (NIH), e-mail: GrantsInfo@nih.gov,
(301) 435-0714.
In addition, the eligibility criteria, support levels, and other important aspects of specific career awards,
including availability, may vary depending on which NIH Institute or Center supports the award.
For this reason, it is strongly recommended that applicants contact the program director of the appropriate NIH awarding
component prior to the preparation of an application. A list of program contacts is available in the general NIH
program announcements for these programs (see http://grants.nih.gov/training/careerdevelopmentawards.htm).
*Varies with career status and source of award. Check the announcement.
Check "Yes." Provide appropriate K Award Program Announcement or Request for Applications number (see previous section) and title for the specific type of RCA requested.
Provide the name of the candidate. Indicate the doctoral degree(s) in 3b. If the candidate is not located at the applicant organization at the time the application is submitted, the mailing address (Item 3e) and telephone (Item 3h) should indicate where the applicant can be reached prior to the requested award date; items 3d, 3f, and 3g should reflect the candidate's projected position at the applicant organization.
The period of support must be within specified limits for the type of RCA requested. If the application involves a change of applicant organization for an active RCA awardee, indicate the time remaining in the original award.
Provide an abstract of the whole application (candidate, environment, and research). Include the candidate's immediate and long-term career goals, research career development plan, and a description of the research project.
Name the candidate and, if applicable, the sponsor(s) (mentor). For RCAs with no sponsor, name the candidate's department head and senior staff member, if other than the department head, who will assume responsibility for the candidate's research career development at the applicant organization.
RCA SUBSTITUTE FORM PAGE 3 MS Word or PDF)
Use the substitute Table of Contents at the back of this section. Follow the instructions below for verifying citizenship.
Citizenship
All applicants must provide information regarding citizenship on the bottom of the substitute Table of Contents. Candidates for an award must be citizens or non-citizen nationals of the United States or its possessions and territories, or must have been lawfully admitted to the United States for permanent residence by the time of the award.
Do not complete the Form Page 4. It is not required nor will it be accepted at the time of application. In some cases it may be requested prior to award. Should Form Page 4 be requested prior to award, specific instructions will be provided.
Do not complete the categorical budget table on Form Page 5. Only the requested total direct costs for each year and total direct costs for the entire proposed period of support should be shown. Begin the budget justification in the space provided, using continuation pages as needed.
List the name, role on project, and percent effort for all project personnel (salaried or unsalaried) and provide a narrative justification for each person based on his/her role on the project and proposed level of effort. Identify all consultants by name and organizational affiliation and describe the services to be performed.
Provide a narrative justification for any major budget items, other than personnel, that are requested for the conduct of the project that would be considered unusual for the scope of research. No specific costs for items or categories should be shown.
A biographical sketch (limited to four pages for each person) is required for the candidate, sponsor(s), co-sponsor(s), and other key personnel. Biographical sketches should follow in the order as listed on Form
Page 2. Sponsor(s), co-sponsor(s), and other key personnel should follow the "Biographical Sketch Format
Page." Candidates should follow the instructions below.
The candidate should give the month as well as the year for each degree conferred. For nondegree education, indicate the time period covered. List professional certifications received within the last 10 years.
The candidate should use the headings given below instead of the instructions on the biographical sketch. Identify each heading.
Start with the first position held following the baccalaureate and give a consecutive record to date. Indicate the department and organization, department head or supervisor, rank, tenured or nontenured, status (full-or part-time), and inclusive dates. Where applicable, include information on military service, internships, residencies, research assistantships, fellowships, etc.
List academic and professional honors.
Identify professional societies and related organizations in which membership has been held within the last 10 years, giving dates.
List all publications (chronologically), divided into the following groups:
Original research and theoretical treatises;
Non-experimental articles, e.g., review of literature in field, etc.;
Books, pamphlets, etc.
If the list of publications cannot be accommodated within the four-page limit, select the most pertinent publications. If a copy of a publication is being submitted with the application, indicate with an asterisk and footnote ("copies sent"). For competing continuation applications, also identify with a double asterisk and appropriate footnote all papers published during the concluding period of support.
OTHER SUPPORT FORMAT PAGE (MS Word OR PDF)
For the Mentored Career Awards: Mentored Research Scientist Development Award (K01), Mentored Clinical Scientist Development Award (K08), Developmental Academic Award (K07), and the Mentored Patient Oriented Research Career Development Award (K23), a modified Other Support Page(s) should be submitted for the sponsor(s) and co-sponsor(s), but not for the candidate. Information on the sponsor's and co-sponsor's current and pending research support relevant to the candidate's research plan should be included. Overlap and level of effort information is not required at the time of application.
For all non-mentored RCAs, Other Support Pages should not be submitted at the time of application.
Information on all active support for the candidate, sponsor(s), co-sponsor(s), and key personnel may be requested prior to award.
RESOURCES FORMAT PAGE (MS Word or PDF)
Carefully complete this section following instructions on the "Resources Format Page." The information provided is of major importance in establishing the feasibility of the project to further the applicant's research career.
This applies only to amended/revised applications. Not to exceed three pages. List each area of concern noted in the summary statement for the previous application and provide a detailed response to each concern. Summarize clearly the changes that have been made in the revised application. Do not include an extensive description of each change in this introduction. In the body of the application, highlight paragraphs with significant changes since the previous application by bracketing, indenting, or changing the typography. If the changes are so extensive as to include most of the text, this exception should be explained in the Introduction to the Revised Application. Do not underline, bold type or shade changes.
Letters are required for all new and revised RCA applications, except for the K02, K05, K24, and they are also required for experienced investigators submitting a K07. See specific program guidelines for more information. Applications with fewer than three reference letters will be returned without review. These letters should be from individuals in addition to/other than those directly involved in the application (i.e., sponsors, cosponsors, and collaborators. The sponsor/mentor of this application cannot be counted as a reference.
Complete the upper section of the RCA Reference Guidelines Format Page, including the application submission deadline. Then send copies of the RCA Reference Guidelines Format Page to those who have agreed to serve as referees. Referees should be provided with postage-paid return envelopes addressed to the candidate with the following words in the front bottom left corner "DO NOT OPEN PHS USE ONLY." Attach unopened references to the Face Page of the original application and submit the entire package by the submission deadline. Applicants reapplying must also include reference letters.
Such letters are critically important and should address the candidate's competence and potential to develop into an independent biomedical or behavioral investigator. Only those individuals who can make the most meaningful comments about the candidate's professional training and qualifications for a research career should be used.
Where possible, select some referees (knowledgeable about your qualifications) who are not from your current department or organization. Request reference letters only from individuals who will be able to return them in time for submission of the application. Consider any factor (e.g., illness or extended vacation) that might cause an inordinate delay.
Use this section to provide any additional information not described in the "Biographical Sketch Format Page," such as research and/or clinical training experience.
Describe your past scientific history, indicating how the award will fit into past and future research career development. If there are consistent themes or issues which have guided previous work, these should be made clear; if your work has changed direction, the reasons for the change should be indicated. It is important to justify the award and how it will enable you to develop or expand your research career.
Stress the new, enhanced research skills and knowledge you will acquire as a result of the proposed award. If you have considerable research experience in the same areas as the proposed research, reviewers may determine that the application lacks potential to enhance your research career. For mentored awards, describe structured activities, such as course work or technique workshops, which are part of the developmental plan. All RCA applications must contain a description of a plan to acquire (or provide) training in the responsible conduct of research.
Briefly discuss each of the activities, except research, in which you expect to participate. Include a percentage of time involvement for each activity by year and explain how the activity is interrelated with the proposed research and the career development plan.
For mentored awards (see Summary of Awards table, Section B), the sponsor must explain how the award will enhance the development of the candidate's research career. The program, as proposed by the sponsor and candidate, must provide, in detail, the plan for the candidate's training and research career development as well as a clear commitment of staff time, facilities, and resources by the sponsor. This description must include not only research, but also other developmental activities, such as seminars, scientific meetings, training in the responsible conduct of research, and presentations. It should discuss expectations for publications over the entire period of the proposed project. The sponsor should describe the candidate's teaching load for the period of the award (number and types of courses or seminars), clinical responsibilities (including number of patients currently seen and professional consultations), committee and administrative assignments, and the proportion of time available for research. The sponsor should describe his/her experience as a mentor including information on the course outcome of former trainers. The sponsor should also describe the nature and extent of supervision that will occur during the award period.
The sponsor and the sponsoring institution must provide assurance that the candidate will be released from other duties for the amount of time required by the RCA. The sponsor must also describe the source or anticipated source of support for the candidate's research project for each year of the award period.
List all cosponsors, consultants, and collaborators involved with this project. A co-sponsor must specifically address the nature of his/her role in the career development plan and how the responsibility for the candidate's development is shared with the sponsor. Describe respective areas of expertise and how they will be combined to enhance the candidate's development. Describe previous experience as a mentor. Also describe the nature of any resources committed to this experience. Letters from each cosponsor, consultant, and collaborator, confirming their participation in the project and describing their specific roles, must be included in this section of the application. Do not place these letters in the Appendix.
The sponsoring institution must document a strong, well-established research program related to the candidate's area of interest, including the names of key faculty members relevant to the candidate's proposed developmental plan. Referring to the resources description (Resources Format Page), indicate how the necessary facilities and other resources will be made available for career enhancement as well as the research proposed in this application. Describe opportunities for intellectual interactions with other investigators, including courses offered, journal clubs, seminars, and presentations.
The institutional commitment should document the agreement of the institution to provide adequate time
and support for the candidate to devote nearly full-time to research career development for the entire period
of the proposed award. The institution should provide the equipment, facilities, and resources necessary for
a structured career development experience. It is essential to document the institution's commitment to the
retention, development, and advancement of the candidate during the period of the award.
Because of the diverse types of K awards, applicants should contact the appropriate program director at
NIH to determine the level of commitment required for this application.
The applicant organization must:
Agree to release the candidate from other duties and activities to devote the required percentage of time for development of a research career. For most K awards, commitment of 75-80 percent of time is required. Describe actions that will be taken to ensure this, for example, reduction of the candidate's teaching load, committee and administrative assignments, and clinical or other professional activities for the current academic year. Include the proportion of time currently available for the candidate's research experience and what the candidate's institutional responsibilities will be in the event that an award is made. Also describe the candidate's academic appointment, bearing in mind that it must be full-time, and that the appointment (including all rights and privileges pertaining to full faculty status) and the continuation of salary are not contingent upon the receipt of this award.
Provide the candidate with appropriate office and laboratory space, equipment, and other resources and facilities (including access to clinical and/or other research populations) to carry out the proposed research plan; and
Provide appropriate time and support for any proposed sponsor(s) and/or other staff consistent with the career development plan.
The institutional commitment must be dated and bear the signature of the head of the organizational unit who is authorized to commit the institution to the agreements and assurances listed above. In most cases, this will be the dean or the chairman of the department. "Per" signatures are not acceptable. The signature must appear over the signer's name and title at the end of the statement. When a candidate will be working away from the home institution, signatures from both the home and the host institution are required.
The sponsoring institution, through its signatures on the application and the institutional commitment, certifies that all items outlined above will be provided and that the institution will abide by the applicable assurances and PHS policies.
The Research Plan is the major component of the research career development plan. It is important to relate the research to the candidate's goals and aspirations. The candidate should describe how the research, coupled with other developmental activities, will provide the experience, knowledge, and skills necessary to launch and conduct an independent research career.
Applicants for all types of individual K awards should provide a Research Plan to be carried out in the course of this award. For most types of research, the plan should include: a specific hypothesis; a list of the specific aims and objectives that will be used to examine the hypothesis; a description of the methods/approaches/techniques to be used in each aim; a discussion of possible problems and how they will be avoided; and, when appropriate, alternative approaches that might be tried if the initial approaches do not work.
The plan should be appropriate to develop skills needed by a researcher. Projects that lack a clearly stated aim or hypothesis, such as studies involving routine data gathering to see where leads might develop and other types of descriptive projects, usually do not receive favorable recommendations from reviewers. This also applies to projects that are overly ambitious and describe more work than can be done in the requested time, as well as more routine projects that might be done, in large part, by a skilled technician. Although candidates are expected to write the Research Plan for mentored K awards, the sponsor should review a draft of the plan and discuss it in detail with the candidate. Review by other knowledgeable colleagues is also helpful.
If the research involves collaboration with individuals, other than the sponsor, describe who will provide research materials, data, guidance, or advice. Then include letters from such individuals documenting their willingness to participate in the project (click here to view further instructions).
The headings for the first four sections of the Research Plan are:
Statement of Hypothesis and Specific Aims
Background, Significance, and Rationale
Preliminary Studies and Any Results
Research Design and Methods.
For more information about these sections, see the equivalent headings in the main instructions (Section I, Item 8, "Research Plan Format and Page Distribution.")
Note: The total number of pages for Item 3 (The Candidate) and A-D of Item 6 (Research Plan) combined may not exceed 25. In many cases, RCA applications will be shorter than the limit.
Although it is understood that RCA applications do not require the extensive detail usually incorporated in regular research applications, a fundamentally sound research plan and a reasonably detailed methods section should be provided.
In general, less detail will be expected in descriptions of research planned for the future years of the proposed RCA, but there should be sufficient detail to enable the reviewers to determine that the plans for those years, including the methods to be used, are worthwhile and are likely to enhance development of the candidate.
Include required information on Women and Minority Inclusion, Inclusion of Children, Human Subjects, Data and Safety Monitoring, Vertebrate Animals, Consortium/Contractual Arrangements, and Consultants, when applicable. If your research plans to involve Human Subjects Research or Vertebrate Animals, read the full instructions in Section I. Failure to provide complete information may result in delay of the consideration of your application. Literature cited should be included in this section.
No more than six publications and manuscripts accepted for publication should be submitted with applications. Do not submit abstracts or unpublished theses. Submit five collated sets.
Note: Do not submit the Checklist Page with the application. A completed Checklist will be required prior to award. Facilities and Administrative (F&A) costs will be awarded at 8 percent of modified total direct costs.
[ Table of Contents] [Section I ] [Section II ] [ Section III ] [ Section V ] [ Section VI ]