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Navigating the K Award Process Carol Mangione, MD, MSPH Professor of Medicine and Public Health Director, UCLA CTSI Education Program
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Navigating the K Award ProcessCTSI K Award Workshop
July 26, 2012
Carol Mangione, MD, MSPH
Professor of Medicine and Public Health
Career Development Awards (K Awards) for Individualswith a Health-Professional Doctorate
Types of CDAs
• K01: To qualify, you need to be a clinician or Ph.D. in the fields of epidemiology and outcomes research and must have accomplished independent research experience after earning your degree.
• K08: You are seeking salary and research support for full time supervised career development in health related research that does not involve patients.
• K12: Provides support to an institution for the development of independent scientists. Most, but not all K12 s focus on the careers of physician scientists (required element in CTSA).
Types of CDAs• K23: You have completed specialty training and are seeking
salary and research support for full time supervised career development in patient oriented research
• K99/R00: Purpose is to provide an opportunity for scientists to receive both a 1 to 2 year “mentored” K (phase 1) and a 3 year independent “R” (phase 2) in the same award. To qualify, you must have a clinical or research doctorate and no more than five years of postdoctoral research training at the time of application.
• See the K award wizard to help you select the correct mechanism:
• http://grants.nih.gov/trainingcareerdevelopmentawards.htm• Diversity Supplements: After administrative review these
are added onto a funded grant, with extra resources for the trainee to develop and conduct mentored research
*
Timing: When to Apply to NIH:
Timing: When to Apply to Institution:
Time Commitment and Salary Caps
• Time Commitment:
• 75% full time effort (50% for neurosurgeons)
• Salary Cap increased to:
• 95K for K08 and K23 and 105K for K02 (May 18, 2012, NOT-NS-12-018)
Support from Other Awards: NOT-NS-09-015• “Within the first 3 years of a mentored K award, those who obtain
an R01 or federal equivalent, may obtain up to 80% of their institutional base salary, as long as the R01 represents an expansion of the K award project”
• “A minimum of 75% effort must still be devoted to the K award during the first 3 years of support.”
• “During the final two years of the K, additional salary may be obtained from the awarded R01, or from another R01, for effort exceeding the 80% level. If appropriate or desired, the level of effort on the mentored K award may be reduced to a minimum of 50% during the last two years of the award.”
• If you have R01 support during the final 2 years of the K…In accordance with present NIH policy, additional salary support may also be obtained from the R01 or federal equivalent
Additional Salary Support while on a CDA
• During the last two years of a mentored career development award (K01, K08, K22, K23, K25), NIH will permit you to receive concurrent salary support from any peer-reviewed grant from any federal agency, if you meet the following criteria:– You are a PI on a competing research project grant, or
director of a subproject on a multi-component grant, from NIH or another Federal agency.
– Your K award is active. – Under those circumstances, you may reduce your K
award's time and effort to 50% person months.
Governmental Alphabet Soup
• NIH - National Institutes of Health
• AHRQ - Agency for Healthcare Research and Quality
• PCORI – Patient Centered Outcomes Research Institute
• RFA - Request for application
• RFP - Request for proposals
• PA - Program announcement
Approach of the NIHU.S. Government
Congressional Appropriation
NIH funds allocated to each institute
Investigator Initiated Institute Initiated
RO-1K awardsNRSA
RFP - contractsRFA - grants
Organization of the NIH• Establish relationships with the program officers at
the institutes in your research area
• Each Institute handles career development funds in slightly different ways – Review their websites
• 2 parts:– Program- Includes the Institutes that set the research
priorities– Review - CSR or Center for Scientific Review
• Evaluates the scientific merits of the proposals
• http://www.csr.nih.gov
NIH Review Process
• Takes about 9-10 months at best• Initial Administrative review• Importance of the title and “steering the proposal”• Peer Review - Study sections made up of scientists
from universities and other institutions• Most applications are not funded on the first round• You can resubmit up to 2 times within 37 months
of the original submission
NIH Review Process
• Final decision by Council -- where the previous contact with administrators can matter!
• If successful, final administrative procedures to set up the budget
• K-08 and K-23 and NRSAs are specifically designed to train and advance the careers of junior and mid-level faculty
Approach of the NIH RO-1, NRSA, or K application
CSR assigns the application to1) Study Section2) An Institute
Study Section assigns a Priority Score (1-9)
Institute uses the Priority Score to rank the application among those received from various study sections
Advisory Council reviews the priorities
Applications are funded in order of priority until the money runs out!
Funding Climate
0
500
1,000
1,500
2,000
2,500
3,000
3,500
4,000
4,500
1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
NUMBER OF RESEARCH CAREER AWARDS*
* Includes both individual and institutional awards. The actual number of individual participants is higher.
Fiscal Year
Nu
mb
er o
f A
war
ds
TOTAL AND AVERAGE AWARD AMOUNT OF INDIVIDUAL RESEARCH CAREER AWARDS
$0
$100
$200
$300
$400
$500
$600
$700
$800
1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
$0
$20
$40
$60
$80
$100
$120
$140
$160
Fiscal Year
Tot
al A
war
d A
mou
nt
(in
mil
lion
s)
Ave
rage
Aw
ard
Am
oun
t(i
n t
hou
san
ds)
Total Award Amount Average Award Amount
TOTAL COMPETING DOLLARS AWARDED TO RESEARCH CAREER ACTIVITIES
$0
$100
$200
$300
$400
$500
$600
$700
1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
KL2
KL1
K99
K30
K26
K25
K24
K23
K22
K20
K18
K17
K16
K15
K14
K12
K11
K08
K07
K06
K05
K04
K02
K01
Awar
d Am
ount
(in m
illio
ns)
Fiscal Year
TOTAL FUNDING FOR COMPETING RESEARCH CAREER AWARDS BY INSTITUTES AND CENTERS
Fiscal Year
Participating NIH Institutes and Centers
Fu
nd
ing
(in
mil
lion
s)
NUMBER OF INDIVIDUAL RESEARCH CAREER AWARDS
BY INSTITUTES AND CENTERS
Fiscal Year
NIH Institutes and Centers
Num
ber o
f Aw
ards
K01s APPLICATIONS, AWARDS, & SUCCESS RATES
0
100
200
300
400
500
600
700
1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Fiscal Year
App
licati
ons
and
Aw
ards
0%
5%
10%
15%
20%
25%
30%
35%
40%
45%
50%
Succ
ess
Rate
Reviewed Awarded Success Rate
K08s APPLICATIONS, AWARDS, & SUCCESS RATES
0
100
200
300
400
500
600
700
1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Fiscal Year
App
licati
ons
and
Aw
ards
0%
10%
20%
30%
40%
50%
60%
70%
Succ
ess
Rate
Reviewed Awarded Success Rate
K23s APPLICATIONS, AWARDS, & SUCCESS RATES
0
100
200
300
400
500
600
700
1998 1999 2000 2001 2002 2003 2004 2005 2006 2007
Fiscal Year
App
licati
ons
and
Aw
ards
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
Succ
ess
Rate
Reviewed Awarded Success Rate
One Award Only
NIH CAREER DEVELOPMENT (K) GRANTSCompeting Applications, Awards, Success Rates and Total Funding
by NIH Institutes/Centers and Activity CodeMade with Direct Budget Authority Funds
Fiscal Year 2010
Number of Applications
Reviewed
Number of Applications
Awarded
Success Rate Total Funding
K01 465 185 39.8% $24,377,709
K08 480 211 44.0% $30,787,581
K23 558 211 37.8% $31,635,065
See Table #204 at “report.nih.gov/FileLink.aspx?rid=551” for more details.
NIH CAREER DEVELOPMENT (K) GRANTSCompeting Applications, Awards, Success Rates and Total Funding
by NIH Institutes/Centers and Activity CodeMade with Direct Budget Authority Funds
Fiscal Year 2011
Number of Applications
Reviewed
Number of Applications
Awarded
Success Rate
Total Funding
K01 441 151 34.2% $19,779,309
K08 425 177 41.6% $26,461,116
K23 599 203 33.9% $31,036,760
See Table #204 at “report.nih.gov/FileLink.aspx?rid=551” for more details.
K01 APPLICATIONS AND AWARDS BY PARTICIPATING INSTITUTES AND CENTERS
FY 2007
0
20
40
60
80
100
120
NIDDKNIM
H NCINIA
NIDANHLBI
NIAMSNINDS
NICHDNIAID
NINRNCRR
NIAAANIBIB
NCCAMNIEHS
NIDCDNIGMS FIC
Participating NIH Institutes and Centers
Nu
mb
er o
f A
pp
lica
tion
s/A
war
ds
Applications Awards
K23 APPLICATIONS AND AWARDS BY PARTICIPATING INSTITUTES AND CENTERS
FY 2007
0
20
40
60
80
100
120
Participating NIH Institutes and Centers
Nu
mb
er o
f A
pp
lica
tion
s/A
war
ds
Applications Awards
Diversity Supplements FY07 29
NIH Office of Extramural Research: Prepared July 2008
Fiscal Year 2007
NIHResearch Supplements
toPromote Diversity
30
FISCAL YEARS 1990-2008
SUPPLEMENTS TO INDIVIDUALS FROM UNDERREPRESENTED GROUPS OR DISADVANTAGED BACKGROUND
NIH-WIDE TRENDS
Number of Awards
0
200
400
600
800
1000
1200
1400
1600
1990
1992
1994
1996
1998
2000
2002
2004
2006
2008
Fiscal Year
Expenditures (millions)
$0
$10
$20
$30
$40
$50
$60
$70
$80
$90
1990
1992
1994
1996
1998
2000
2002
2004
2006
2008
Fiscal Year
Diversity Supplements FY07 33
*Eligible grant mechanisms: R01, R10, R18, R22, R24, R35, R37, R41, R42, R43, R44, P01, P20, P30, P40, P41, P50, P51, P60, U01, U10, U19, U41, U42, U54, S06.
NIH-WIDE TRENDS
FISCAL YEARS 1990-2007
EXPENDITURES AS A PERCENTAGE OF EXPENDITURES FOR ELIGIBLE RESEARCH GRANT AWARDS*
SUPPLEMENTS TO INDIVIDUALS FROM UNDERREPRESENTED GROUPS
OR DISADVANTAGED BACKGROUND
0.00%
0.10%
0.20%
0.30%
0.40%
0.50%
0.60%
0.70%
1990
1992
1994
1996
1998
2000
2002
2004
2006
2008
Fiscal Year
Per
cen
tag
e o
f E
xpen
dit
ure
s
First steps in K proposal preparation
• Requires several months of reading, organizing, writing, and revising
• Check NIH REPORTER to make sure that your proposed study is not already underway
• Decide where will it go and/or who your audience is
First steps in K proposal preparation
• Pick a mentor and organize the project team– Will more than one person be writing?– Make sure to include co-mentors with the main areas of
expertise needed to design and complete the study-- step back and think carefully about what areas are critical to cover
– Give considerable thought to the curricular agenda. Which content areas will advance your career the most?
– Decide early on whether matriculating a degree will be part of the plan – the desirability of this varies by institute so ask!
Key Personnel• PI or Mentee:
– Has ultimate authority and accountability for the study.– The day-to-day manager of the study. – Usually is an entry level faculty member who is gaining the
needed experience and publications to become a PI on RO-1s
• Mentor: – Granting agencies look carefully at this person’s track record and
experience both as a researcher and a mentor. – This will usually be a senior scientist (i.e. Associate Professor or
higher)– Most competitive if this person is already funded as a PI at the
same institute…or at least one of the institutes.
First steps in K proposal preparation
• EARLY ON talk to the scientific administrator!• Follow the written guidelines from the funder carefully
– Outline of the structure– Page limits– Font sizes– Funding limits– Elements that must be included– Priority areas
Get Organized
• Work from an outline• Establish a timeline for completing the proposal - make
time to work on this• Have the mentorship team meet periodically• Give assignments with deadlines• Make deadlines for yourself• Find a model proposal
– recently funded by the same agency
– look over the reviews if you can get a hold of them
• REVIEW, PRETEST, REVISE REPEATEBLY
Questions?
• More coming up from Dr. Salusky on proposal preparation and Dr. Norris on the review process
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