Alphabet Soup of NIH Funding Mechanisms

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1 Alphabet Soup of NIH Funding Mechanisms Rebecca D. Claycamp, MS, CRA, Chief Grants Management Officer National Institute of Mental Health, Rockville, Maryland

2 Should I look for a PA or an RFA for the NIGMS R15? The appropriate response may be EIEIO.

3 At the end of this session, you will be able to decode NIH grant numbers. be able to describe the categories of NIH funding mechanisms and detail the most commonly awarded activity codes. understand specific tools that you can use to identify appropriate NIH resources and funding opportunities for your researchers.

4 Sample Grant Number Used by HHS Agencies Activity Code Serial Number Suffixes 1 R01 GM A1/S1 Application Type Institute/Center (IC) Year of Support

5 Application Type New Competing - Type 1 (New) Competing Continuation - Type 2 (Renewal) Supplement - Type 3 Competitive - outside original scope (Revision) Administrative - within the original scope Extension (limited use) - Type 4 Noncompeting Continuation - Type 5 (Continuation) Successor-In-Interest/Name Change Type 6 Change of Grantee Institution Type 7 Change of Institute, Noncompeting Type 8 (Continuation) Change of Institute, Competing Type 9 (Renewal)

6 24 Funding ICs and the NIH-OD AA - NIAAA DE - NIDCR HL - NHLBI AG - NIA DK - NIDDK LM - NLM AI - NIAID EB - NIBIB MD -NIMHD AR - NIAMS ES - NIEHS MH -NIMH AT - NICCIH EY - NEI NR - NINR CA - NCI GM - NIGMS NS - NINDS DA - NIDA HD - NICHD TR - NCATS DC - NIDCD HG - NHGRI TW - FIC Translation at 6

7 Grant Number Life of a 4-Year Grant 1 R01 GM A1 1 st year of grant (new) 5 R01 GM nd year of grant (continuation) 5 R01 GM S1 2 nd year supplement 5 R01 GM rd year of grant 7 R01 GM rd year midyear transfer 5 R01 GM th year of grant 5 R01 GM S1 4 th year supplement 2 R01 GM th year continuation application 9 R01 MH th year award from a new IC

8 115 Activity Codes Awarded by the NIH in FY2017 C06 FI2 K18 P2C R15 R42 S10 T90 U41 UG4 D43 G08 K22 P30 R18 R43 S21 TL1 U42 UH2 D71 G11 K23 P40 R21 R44 SB1 TL4 U43 UH3 DP1 G12 K24 P41 R24 R50 SC1 U01 U44 UH4 DP2 G13 K25 P42 R25 R56 SC2 U10 U45 UL1 DP3 K00 K26 P50 R28 R61 SC3 U13 U54 UM1 DP5 K01 K43 P51 R33 R90 T15 U18 U56 UM2 DP7 K02 K76 P60 R34 RC2 T32 U19 UC4 F30 K05 K99 R00 R35 RF1 T34 U24 UC7 F31 K07 KL1 R01 R36 RL5 T35 U2C UF1 F32 K08 P01 R03 R37 RM1 T36 U2R UG1 F99 K12 P20 R13 R41 S06 T37 U34 UG3 8

9 FY2017 Grant Mechanisms Facts The 24 IC s and the Office of the Director awarded grants representing 115 activity codes (mechanisms) 5 F s 16 K s 10 P s 27 R s 9 T s 28 U s 9

10 FY2017 Grant Activity Code Facts One IC (NCI) awarded 54 different activity codes; one IC awarded only 11 (FIC); median was 39 different codes Only 34/115 codes awarded by more that half (13 or more) of the IC s 37 codes each awarded by only 1 IC (not counting 7 codes unique to the OD); 8 of these 37 awarded by one IC (NIGMS) 10

11 Why are these facts important to note Critical to look at each IC s web page to see what mechanisms/activity codes each supports Essential to review relevant PAs and RFAs from the NIH Guide Invaluable for PI s to talk to Program staff at an IC Comprehensive List of Activity Codes and 11

12 Solicited vs. Unsolicited Applications Most NIH funded grants are unsolicited. All applications are submitted in response to a Funding Opportunity Announcement (FOA) published in the NIH Guide for Grants and Contracts and posted on Grants.gov. Unsolicited applications are submitted in response to a parent program announcement. Solicited funding opportunities are published as specific FOAs, including: RFA Request for Applications one receipt date (typically) and funds set aside to fund (grants) RFP Request for Proposal (contracts) PA Program Announcement PAS Program Announcement with set aside funds PAR Program Announcement reviewed by the Institute/Center not Center for Scientific Review (CSR) 12

13 Searching the NIH Guide Office of Extramural Research home page:

14 Weekly Table of Contents 14

15 Searching the NIH Guide Enter search criteria or Select Advanced Search 15

16 Searching the NIH Guide The Advanced Search feature provides a lot of options to narrow your search. Enter search criteria. 16

17 Searching the NIH Guide Selecting the FOA title opens the announcement 17

18 Once in the FOA A button within the announcement allows applicants to access the NIH ASSIST application package directly from the NIH Guide. Other options are institutional S2S solutions or the Grants.gov workspace. 18

19 Importance of the FOA Details participating ICs Defines whether clinical trials are required, not allowed or optional Defines eligible PIs & institutions Specifies budget format; may dictate budget caps and may identify unallowable cost items Gives deadlines and any other requirements 19

20 What are Standard Deadlines Apply when specific deadlines are not given in the FOA: RFAs nearly always have specific deadlines. Are activity code-specific: e.g., the standard deadline for the R01 is different that the R21 Occur three times year: generally January-March, May- July and September to November All AIDS and AIDS-related activity codes have three single deadlines. 20

21 Where in the FOA will I find Which ICs will accept applications? Part 1. Overview Participating Organizations Deadlines? Part 1. Overview Key Dates, including due dates for applications and (if needed) letter of intent Funds available, award budget and award project period? Part 2. Section II Award Information Eligible (including foreign) organizations and individuals eligible to be PD/PI Part 2. Section III Eligibility Information 21

22 Parent FOAs Parent announcements are broad funding opportunity announcements allowing applicants to submit investigator-initiated applications for specific activity codes. They are open for up to 3 years and use standard due dates. Not all NIH ICs participate on all parent announcements. Make sure the IC that might be interested in your research is listed as a participating. organization in the announcement. 22

23 Funding Mechanisms Research Project Grants SBIR/STTR Grants Research Centers Other Research Career Awards Other Research (Resource Grants) Training Individual Institutional

24 Research Project Grants (RPGs) Research Project Grants (RPGs) Primarily investigator-initiated Not all R s are RPGs; not all RPG s are R s Includes DP1, DP2, DP3, DP5, DP7, R00, R01, R03, R15, R21, R33, R34, R35, R36, R37, R38, R50, R55, R56, R61, RC1, RC2, RC3, RC4, RF1, RM1, P01, P42, PN1, U01, U19, U34, UA5, UC1, UC2, UC4, UF1, UG3, UH2, UH3, UM1, and UM2 Other R mechanisms are SBIRs/STTRs or are termed other research

25 RPGs: Research Project Grant (R01) Used to support a discrete, specified, circumscribed research project No specific dollar limit unless specified in the FOA Advanced permission required for $500,000 or more (direct costs) in any year at least six weeks in advance Generally awarded for 3-5 years; can be renewed. Parent FOA (both clinical trial (CT) required and CT not allowed) NIH s most commonly used grant program: 23 ICs awarded R01s in FY

26 RPGs: Research Project Grant (P01) Support for integrated, multi-project research projects involving investigators who share knowledge and common resources Each project contributes or is directly related to the common theme of the common effort, creating a well-defined research project goal Typically with a specific dollar limit unless specified in the FOA Typically awarded for 4-5 years Only 13 ICs awarded P01s in FY

27 RPGs: Small Grant Program (R03) Provides limited funding to support a variety of types of projects, including: pilot or feasibility studies, collection of preliminary data, secondary analysis of existing data, small, self-contained research projects, development of new research technology, etc Direct costs generally limited to $50,000/year Limited to two years of funding; not renewable. Parent FOA (CT not allowed); only 11 ICs participate ( ) 17 ICs awarded R03s in FY

28 RPGs: Academic Research Enhancement Award AREA (R15) Supports small research projects conducted by undergraduate and/or graduate students and faculty in institutions of higher education that have not been major recipients of NIH research grant funds (no more than $6 million in each of 4 of the last 7 years) Direct costs limited to $300,000 for the project period Project period up to 3 years; renewable. 23 ICs participate on parent FOA (CT not allowed) 21 ICs awarded R15s in FY

29 RPGs: Exploratory/ Developmental Research (R21) Encourages exploratory and developmental research projects for early stages of development. Sometimes used for pilot and feasibility studies. Combined budget for direct costs $275,000 for the two year project period, no more than $200,000 in any one year; not renewable Parent FOA (both clinical trial (CT) required with 11 ICs and CT not allowed with 14 ICs) 24 ICs awarded R21s in FY

30 RPGs: Planning Grant Program (R34) Supports initial development of a clinical trial or research project. Direct costs limited to $450,000 over the 3 year project period, no more than $225,000 in any one year; not renewable IC-specific FOAs. 9 ICs awarded R34s in FY

31 Small Business Grants SBIR/STTR (R41, R42, R43, R44) For-profit concern at least 51% owned and controlled by individuals who are US citizens or permanent residents Organization and its affiliates has 500 or fewer employees Research is done 100% in the U.S. Parent FOAs (both clinical trial (CT) required and CT not allowed). All ICs except FIC participate. 31

32 Small Business Grants SBIR/STTR (R41, R42, R43, R44) SBIRs (R43 and R44) PI employed >50% by the small business during the award Contractual and consultant costs are typically less that 33% of total amount STTRs (R41 and R42) PI spends at least 10% effort and has formal commitment/ appointment with the small business Required research institution partner performing at least 30% of work; small business performing at least 40% of the work 32

33 Center Grants Established by ICs to meet special needs Always in response to an RFA Specialized Center Grants P50 (17 ICs awarded in FY2017) Core Center Grants - P30 (14 ICs awarded) Exploratory Center Grants P20 (6 ICs awarded) #PSeries 33

34 Other Research Conferences (R13) requires permission to submit letter Resource-Related Research Projects (R24) (projects that will enhance the capability of resources) Research Education Programs R25 Various and assorted activity codes 34

35 U s Cooperative Agreements Substantial programmatic involvement Almost always initiated by the NIH as an RFA (special terms outlined in the FOA) or a conversion due to substantial NIH intramural involvement RFA outlines special terms and conditions for an award Generally referred to as a grant 35

36 Examples of Grant Cooperative Agreement Pairs R01 U01 R15 UA5 R13 U13 R18 U18 R21 UH2 R24 U24 R33 UH3 D43 U2R R41 UT1 R42 UT2 R43 U43 R44 U44 P01 U19 P40 U42 P50 U54 C01 UC6 36

37 S10 Shared Instrumentation Grant (SIG) Program (NCRR) For instrumentation typically costing at least $100,000 to a maximum of $500,000 Must have 3 or more active NIH (R01, P01, U01, R37) PI users Cost sharing not required Single annual deadline 37

38 NIH Research Training and Career Development Timetable Approximate Stage GRADUATE/ MEDICAL STUDENT POST DOCTORAL Mechanism of Support Predoctoral Institutional Training Grant (T32) Predoctoral Individual NRSA (F31) Predoctoral Individual MD/PhD NRSA (F30) Postdoctoral Institutional Training Grant (T32) Postdoctoral Individual NRSA (F32) EARLY Mentored Research Scientist Development Award (K01) Mentored Clinical Scientist Development Award (K08) Mentored Patient-Oriented RCDA (K23) Pathway to Independence Award (K99/R00) Small Grant (R03) Research Project Grant (R01) CAREER MIDDLE Independent Scientist Award (K02) Exploratory/Development Grant (R21) Midcareer Investigator Award in Patient-Oriented Research (K24) SENIOR Senior Scientist Award (K05)

39 Fellowships F30 - Individual Predoctoral NRSA for MD/PhD and Other Dual Degree Fellowships (Parent FOAs; 20 ICs awarded F30s in FY2017) F31 - Predoctoral Individual NRSA Fellowship (Parent FOAs; 22 ICs awarded F31s in FY2017) F32 - Postdoctoral Individual NRSA Fellowship (Parent FOAs; 21 ICs awarded F32s in FY2017) researchtraining.nih.gov/programs/fellowships 39

40 Institutional Training Grants T32 - Ruth L. Kirschstein Institutional National Research Service Award (19 ICs in Parent FOA; 21 ICs awarded T32s in FY2017) T35 - Ruth L. Kirschstein Short-Term Institutional Research Training Grants (T35) (10 ICs in Parent FOA; 10 ICs awarded T35s in FY2017) D43 - International Research Training Grant for U.S. and low- and middle-income institution collaborations 40

41 Research Career Development Award Programs (K) Career Development Programs help ensure that a diverse pool of highly trained scientists are available in adequate numbers and in appropriate research areas to address the nation s biomedical, behavioral, and clinical research needs. Mentored Ks (K01, K07 developmental, K08, K22, K23, K25, K99/R00) Nonmentored Ks (K02, K05, K07 leadership, K24, K26) Institutional Mentored Programs (K12, KL2) 41

42 Common Features of Mentored Career Awards Some costs vary widely across ICs, K99 outside of these norms. Almost all K award programs to domestic institutions. Review specific K announcements carefully. Salary/fringe benefits Depending on IC and the K, salaries capped between $75,000 and legislated salary cap; fringe benefits are over & above any cap Salary supplementation OK, but must be from non-federal sources & not require extra duties that would interfere w/k Research/development costs Depending on IC and the K, $20,000 to $50,000 per year Commonly used for: supplies, equipment, technical personnel, travel to research meetings or training, tuition/fees related to career development, computational services F&A Costs = 8% MTDC 42

43 Policy for Mentored Career Awardees May reduce level of effort on career awards in last two years of support to no less than 50%, replacing effort with as PI of NIH research grant or subproject or a research grant from any federal agency Applies to K01, K07, K08, K22, K23, and K25, and individuals mentored via institutional K12 awards See NIH Grants Policy Statement, Section

44 Mentored Research Scientist Career Development Award (K01) Provide support and protected time for an intensive, supervised career development experience for a research scientist in the biomedical, behavioral, or clinical sciences leading to research independence. U.S. citizen or permanent resident, with research or clinical doctoral degree. Parent FOAs (both CT required and independent CT not allowed) 20 IC s awarded K01s in FY

45 Mentored Clinical Scientist RCDA (K08) Provide support and protected time of a clinically trained individual for an intensive, supervised career development experience in the biomedical, behavioral, or clinical sciences leading to research independence. U.S. citizen or permanent resident, with clinical doctoral degree. Parent FOAs (both CT required and independent CT not allowed) 19 IC s awarded K08s in FY

46 Mentored Patient-Oriented RCDA (K23) Provide support for individuals with a clinical doctoral degree with the potential to develop into productive, clinical investigators, and who have made a commitment to focus on patient-oriented research. U.S. citizen or permanent resident, with clinical doctoral degree and completed clinical training. Parent FOAs (both CT required and independent CT not allowed) 19 IC s awarded K23s in FY

47 Pathway to Independence Award (K99/R00) To support timely transition of postdoctoral researchers or clinician-scientists from mentored research positions to independent, tenure-track or equivalent faculty positions: K years; R00-3 years U.S. citizen or non-citizen, with research or clinical doctoral degree, and no more than 4 years of postdoctoral research experience. Parent FOAs (both CT required and independent CT not allowed) 21 IC s awarded K99s in FY

48 Pathway to Independence Award (K99/R00) To support timely transition of postdoctoral researchers or clinician-scientists from mentored research positions to independent, tenure-track or equivalent faculty positions: K years; R00-3 years U.S. citizen or non-citizen, with research or clinical doctoral degree, and no more than 4 years of postdoctoral research experience. Parent FOAs (both CT required and independent CT not allowed) 21 IC s awarded K99s in FY

49 Non-Mentored K Awards 25-75% required effort depending on the award K02 Independent Scientist K05 Senior Scientist K18 Career Enhancement for Stem Cell Research K24 Midcareer Investigator in Patient-Oriented Research K26 Midcareer Investigator in Mouse Pathobiology Research

50 The Key Points Be familiar with what IC(s) of interest fund Check out the FOAs Subscribe to the NIH Guide LISTSERV PI s should talk to Program Officers

51 Questions??? Rebecca Claycamp, MS, CRA Chief Grants Management Officer National Institute of Mental Health (NIMH) National Institutes of Health (NIH), USA 51

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