Application Process

Application

Follow the Instructions

It is critical that applicants follow the Research Instructions in the SF424 (R&R) Application Guide except where instructed in the Funding Opportunity Announcement to do otherwise. When the Funding Opportunity Announcement provides instructions that differ from the SF424 (R&R) Application Guide, the instructions given in the Funding Opportunity Announcement take precedence and should be followed.

All attachments should be formatted according to NIH format standards.

Adherence to the application requirements is mandatory and strictly enforced. Applications that are out of compliance with these instructions may not be accepted for review.

The PD/PI (Program Director/Principal Investigator) mentioned in the instructions refers to the Early Independence Award candidate.

Required Forms

Refer to the Funding Opportunity Announcement and SF424 (R&R) Application Guide for complete instructions.

SF424 (R&R) Form

Follow all instructions in the SF424 (R&R) Application Guide.

Cover Letter Attachment

The Cover Letter Attachment must include the names of those writing reference letters for the PD/PI and any known project personnel and/or collaborators. The cover letter is for internal NIH use only and will not be shared with peer reviewers. It is used by NIH staff to plan the review and avoid conflicts of interest.

PHS 398 Cover Page Supplement Form

Follow all instructions in the SF424 (R&R) Application Guide.

R&R Other Project Information Form

Follow all instructions in the SF424 (R&R) Application Guide with additional instructions for the Facilities & Other Resources section outlined in the Funding Opportunity Announcement.

Facilities & Other Resources

The Facilities & Other Resources section is a critical component of the application and should be given due attention. Try to avoid boilerplate language that isn't tailored to the candidate or their needs. It may also be helpful to provide context for what resources and support are being offered. Are they standard for the institution or the field? Let reviewers know why what is being offered meets the candidate's needs and how it fits with other institutional hires and the field.

Applicant institution officials must address all the items listed in the Funding Opportunity Announcement for the Facilities & Other Resources section, including detailing the PD/PI’s independent research position, outlining institutional resources provided to the PD/PI, and describing the institution’s career development plan for the PD/PI. The commitment of institutional resources to the PD/PI is a major review consideration and should be suitably addressed in this section.

Responses must use the corresponding subheadings and numbering. There is no page limit.

Candidate Selection Process

1. Describe the process and criteria used to select the Early Independence investigator.

Position Details

During the award period, the Early Independence investigator must be scientifically independent and administratively independent. The appointment need not be permanent or tenure-track and may be contingent upon receipt of the Early Independence Award. Describe in detail the position to which the Early Independence investigator will be appointed and how independence will be ensured during the award.

1. What is the title of the position?
2. Is the position permanent or tenure-track?
3. Is the position contingent upon receipt of the Early Independence Award?
4. Describe the position in detail.
5. How will the PD/PI's independence be ensured during the award?
6. Describe plans for maintaining protected time for the Early Independence investigator so that s/he can commit at least 9.6 person-months each year (i.e., 80% effort of a 12-month appointment) to the Early Independence Award project in years 1-2 of the project period. In years 3-5, the investigator may reduce effort towards the Early Independence Award project but must commit at least 9.6 person-months each year (i.e., 80% effort of a 12-month appointment) towards independent research in general. Clinicians should be permitted to perform clinical duties to the extent necessary to maintain credentials.
7. Describe the institutional organizational structure within which the Early Independence PD/PI's position will be administered (school, department, etc.).
8. Explain how this administrative structure will best meet the goal of supporting the success of the Early Independence PD/PI. Include details of responsibilities for integrating the Early Independence investigator and his/her scientific project into the institutional culture and the faculty community.
9. Describe management plans for potential problematic situations.
10. Describe institutional expectations related to the retention or transfer of the PD/PI at the end of the funding period.

Institutional Resources Commitment

1. If the candidate is not a U.S. citizen or permanent resident, the sponsoring institution must include information about the candidate's visa status and assurance that the candidate's visa provides sufficient time to complete the award at a U.S. institution.
2. Describe details of the laboratory space to be provided to the Early Independence investigator, including physical structure and space layout.
3. Describe support staff and systems available to the Early Independence investigator, including, but not limited to, human resources, supply and equipment ordering systems, administrative assistance.
4. Describe the institutional financial commitment to the Early Independence investigator. Matching funds are not required; however, an appropriate level of institutional support is expected. Institutional commitment to the development of the PD/PI as a successful and independent research scientist will be given considerable attention during the review and selection process.
5. If the Early Independence investigator already has a commitment of funding for independent research (such as through another independent research program or institutional start-up funds), describe how the Early Independence Award will affect the other funding.

Institutional Career Development Commitment

1. Describe plans for assuring scientific independence. Particularly if the Early Independence investigator is staying at the same institution at which s/he trained, indicate how independence from degree/fellowship mentors will be established and maintained.
2. Describe plans for integrating the Early Independence investigator into institutional scientific and administrative activities at the institution.
3. Describe the scientific collaborative activities (attendance at faculty meetings, laboratory meetings, participation in institutional scientific retreats, etc.) and career development resources (courses in laboratory management and grant writing, etc.) that will be available to ensure the Early Independence investigator is successful.
4. Describe the mentoring structure, including membership, meeting frequency, and meeting format. Though the Early Independence investigator must be scientifically independent, it is important that senior colleagues are available as resources and periodically meet with the awardee. The primary goal for an Early Independence investigator is to establish an independent scientific research program. However, if an Early Independence investigator has an interest in (limited) teaching, describe what opportunities will be available.
5. Describe expectations and opportunities for the Early Independence investigator to establish a record of independent funding by submitting and accepting grants from sources other than the Early Independence Award.

Other Tips

• For more help on human subjects, visit the NIH Grants & Funding website.
• Foreign components are defined as the performance of any significant scientific element or segment of a project outside of the United States, either by the recipient or by a researcher employed by a foreign organization, whether or not grant funds are expended. It is crucial that you disclose all foreign components, which include foreign collaborations that will result in co-authorship. See the definition of Foreign Components for more details.
• A Project Summary/Abstract must be included. There is a limit of 30 lines of text.
• A Project Narrative must be included. There is a limit of three sentences.

Project/Performance Site Location(s)

Follow all instructions in the SF424 (R&R) Application Guide.

R&R Senior/Key Person Profile Form

Follow all instructions in the SF424 (R&R) Application Guide, but only the PD/PI’s biosketch is allowed. Inclusion of other personnel or collaborator biosketches anywhere in the application will result in your application being administratively withdrawn.

PHS 398 Modular Budget Form

Follow all instructions in the SF424 (R&R) Application Guide. Awards will be for up to $250,000 in direct costs per year, plus applicable Facilities and Administrative (F&A) costs.

PHS 398 Research Plan Form

Follow all instructions in the SF424 (R&R) Application Guide with additional instructions in the Funding Opportunity Announcement.

Specific Aims

The Specific Aims page must answer questions regarding research objectives, institutional support, and early independence rationale as outlined in the Funding Opportunity Announcement. There is a one-page limit.

Research Strategy

The Research Strategy essay must be organized by the ten headings listed below and effectively respond to the listed questions. The essay is the major component of the application. Your job is to convince the reviewers that (1) you are ready for independent research, (2) you have the resources and support needed to succeed, and (3) you have a significant research topic and innovative approach to addressing it. Make reviewers feel confident that you are ready and prepared to begin your independent research career and are a risk worth taking. The essay is limited to twelve pages.

1. Rationale for omitting or abbreviating the typical post-doctoral phase:
   • Why would omitting or abbreviating the typical post-doctoral fellowship benefit your long-term scientific career?
   • What is driving your desire to pursue an independent research career at an earlier than usual stage?
2. Evidence of transition to an independent position:
   • Provide evidence using all the characteristics described in Section III.1. Eligible Individuals (Program Director/Principal Investigator) that at the time of application submission, you do not have research independence.
   • Describe any arrangements you may have made to assume an independent research position that would begin prior to award.
3. Personal/career development plan:
   • What particular strengths and weaknesses do you have for launching a productive independent research career?
   • How would you use this award period to build on your strengths and address your weaknesses?
   • How would receipt of this award accelerate your establishment of an independent research career (especially if you already have made an agreement for a functionally independent position)?
   • What will your planned career path be if an Early Independence Award is not provided?
4. Evidence of training ability and leadership:
   • What activities have prepared you to lead a laboratory, train laboratory staff, and perhaps mentor students and post-doctoral fellows? (Note this information may reference but should not duplicate information submitted on the Biosketch.)
5. Host institution interactions:
   • What arrangements have you made with your host institution to provide you with the support and feedback necessary to establish your research program while maintaining your intellectual independence?
   • How will you try to integrate yourself as an active member in your institution's scientific community?
6. Research challenge:
   • What is the scientific challenge that you wish to address in your research?
   • What is the premise of the project, including strengths and weaknesses of prevailing theories?
   • Why is this challenge significant to the biomedical/behavioral research community?
   • What is the expected impact of your research on this challenge?
   • Why did you choose this particular challenge to begin your independent research career?
7. Approach:
   • What is your experimental approach in addressing your research challenge? The description of the approach should convey that you have thought deeply about your project, identified the major potential pitfalls, and considered alternative approaches. Address relevant biological variables, such as sex, for studies in vertebrate animals or human subjects. Preliminary data are not required but will be evaluated in the review process if provided. You may wish to indicate prominently that substantial preliminary data are not being provided per the guidance in the Funding Opportunity Announcement. Collaborative elements of the research may also be described here.
8. Innovation:
   • What are the particularly innovative aspects of your proposed research?
9. Relationship to previous work:
   • How is the proposed research related to your research as a student?
   • How does it differ?
   • How will this be accomplished independently from your previous mentors?
10. Timeline:
    • What is the timeline for accomplishing intermediate steps in your award period? This should include steps in establishing a functioning laboratory, meeting career development objectives, as well as achieving your scientific objectives.
    • State that you will commit at least 9.6 person-months each year (i.e., 80% effort of a 12-month appointment) towards your Early Independence Award project in years 1-2. In years 3-5, you may reduce effort towards the Early Independence Award project but must commit at least 9.6 person-months each year (i.e., 80% effort of a 12-month appointment) to independent research in general.

Letters of Support

Collaborators and consultants should provide letters of support describing their commitment to the research project and their role in the research. However, biosketches from collaborators and consultants are not allowed, and their inclusion anywhere in the application will result in your application being administratively withdrawn.

PHS Human Subjects and Clinical Trials Information

Follow all instructions in the SF424 (R&R) Application Guide.

PHS Assignment Request Form

Follow all instructions in the SF424 (R&R) Application Guide, but do not request an assignment to a particular review panel (integrated review group) or awarding component (NIH Institute or Center). All applications are automatically received as "Office of the Director" applications and reviewed by a single Special Emphasis Panel convened by the Center for Scientific Review.

List the names and affiliations of significant collaborators so the Scientific Review Officer knows who is in conflict with the application and should not review it. If you wish to exclude additional individuals from reviewing your application, list their names, institutional affiliations, and the reasons why they should not serve as reviewers. NIH will consider this request but is not obligated to accept it.
 

More questions? Contact us at EarlyIndependence@od.nih.gov.