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Navigating the NIH Funding Process
Barbara Gerratana, Ph.D.National Institute of General Medical Sciences
Division of Pharmacology, Physiology & Biological Chemistry
2
Outline
Outline
NIH organization
Some resources
The funding cycle
NIGMS funding opportunity
Diversity funding opportunities
3
NIH Mission & Budget
NIH is the steward of medical and behavioral research for the Nation. Its mission is science in pursuit of fundamental knowledge about the nature and behavior of living systems and the application of that knowledge to extend healthy life and reduce the burdens of illness and disability.
$29.1 BillionFiscal Year 2013
Annual Budget
1.7 Billion less than FY2012
Intramural Research
R&D Contracts
Research Centers
Other ResearchGrants
All Other Training
Mgmt & Support3%
3% 5%
6% Research ProjectGrants (RPG)
53% 10%
11% 10%
NIH organization
4
27 Institutes & Centers
Office of the Director
National Libraryof Medicine
Center for InformationTechnology
Center for Scientific Review
FogartyInternational
Center
National Instituteof Arthritis andMusculoskeletal
and Skin Diseases
National Instituteof Diabetes andDigestive and
Kidney Diseases
National Instituteof Dental andCraniofacial
Research
National Institute onDeafness and Other
CommunicationDisorders
National EyeInstitute
National Heart,Lung, and Blood
Institute
National Instituteon Alcohol Abuseand Alcoholism
National CancerInstitute
National Instituteof Environmental Health Sciences
National Instituteof Mental Health
National Instituteof NeurologicalDisorders and
Stroke
National Instituteof Allergy and
Infectious Diseases
National Center on Minority Health and Health Disparities
National Instituteon Aging
National Instituteof Child Health
and HumanDevelopment
National HumanGenome Research
Institute
National Instituteof General
Medical Sciences
National Instituteof Nursing Research
National Centerfor Complementary
and AlternativeMedicine
National Centerfor ResearchResources
Clinical Center
National Institute of Biomedical Imaging and Bioengineering
no fundingauthority
National Instituteon Drug Abuse
National Centerfor Advancing
Translational Sciences
NIH organization
5
NIGMS Mission
The general purpose of the National Institute of General Medical Sciences is the conduct and support of research, training, and as appropriate, health information dissemination, and other programs with respect to general or basic medical sciences and related natural or behavioral sciences which have significance for two or more national research institutes or are outside the general area of responsibility of any other national research institute.
5 Divisions:
Biomedical Technology, Bioinformatics, and Computational Biology
Cell Biology and Biophysics
Training, Workforce Development, and Diversity
Genetics and Developmental Biology
Pharmacology, Physiology, and Biological Chemistry
NIH organization
6
NIH Institute Funding
Buildings & Facilities
1,0591,039
Drug Abuse
Aging
65118120136260
318318
387392432483504
645662
1,245
1,4351,532
4,2314,779
2,901
1,6932,291
$0 $1,000 $2,000 $3,000 $4,000 $5,000Fogarty International
Comp. Med.
Nursing
Minority Health
Bio Imaging
Library
Dental
Deafness
Alcohol Abuse
Genome
Arthritis
Environmental Health
Eye
Child Health
Mental Health
Neurology
Diabetes, Kidney
General Medical Sciences
Heart, Lung, Blood
Allergy, Infectious
Cancer
$29.1 BillionFiscal Year 2013
Office of the Director
1,394
NCATS 542
(Dollars in millions)
NIH organization
7
Outline
Outline
NIH organization
Some resources
The funding cycle
NIGMS Funding opportunity
Diversity funding opportunities
8
NIGMS Feedback Loop
• Get NIGMS news as it happens!
• Regular updates on funding opportunities
• Post your comments
• Ask questions
• Sign up for e-mail updates or RSS feed
http://
www.nigms.nih.gov/News/FeedbackLoop.htm
Application resources
August 5th, 2013
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RePORTER projectreporter.nih.gov
Application resources
10
NIH Grant Writing Resources
Application resources
grants.nih.gov/grants/grant_tips.htmNIH Central Resource Site
http://grants.nih.gov/grants/new_investigators/New Investigators
NIGMS www.nigms.nih.gov/Research/Application/Tips.htm
NCI deainfo.nci.nih.gov/extra/extdocs/gntapp.pdf
NIAID* funding.niaid.nih.gov/researchfunding/grant/pages/aag.aspx
NINDS www.ninds.nih.gov/funding/grantwriting.htm
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Grant Writer’s Handbook
Application resources
HHMI “Making the Right Moves” http://www.hhmi.org/resources/labmanagement/
“Writing the NIH Grant Proposal: A Step-by Step Guide” by William Gerin
“Grant Application Writers Handbook” by Liane Reif-Lehrer
“Guide to Effective Grant Writing: How to Write a Successful NIH Grant Application” by Otto O. Yang
“How to Succeed in Academics” by Edward R. B. McCabe and Linda McCabe
“The Grant Application Writer’s Workbook” available at GrantCentral.com
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NIGMS Mentoring Workshop for New Bio/Chemistry Faculty Since 2005
Application resources
Mentoring is more than teaching someone to be just like you!
NIGMS
• Help PIs to convey significance/impact of proposed research
• Provide advice on key non-technical career skills
• Stress the value of mentoring and being mentoring
• Introduce junior faculty to NIH procedures and NIH staff
• Promote networking among young scientists and with senior role models
• 30 Junior faculty participants in organic chemistry and chemical biology
• 6-8 Senior faculty mentors plus NIH staff
• 3 Days of discussions, presentations, and networking
• 2013 Mentors Phil Cole (The Johns Hopkins), Jon Ellman (Yale), Barbara Imperiali (MIT), Jeff Johnson (University of North Carolina), Hening Lin (Cornell University), and Lisa McElwee-White (University of Florida).
Next workshop 06/30-07/02/2013!
http://meetings.nigms.nih.gov/?ID=13578
13
Outline
Outline
NIH organization
Some info on preparing an
application
The funding cycle
NIGMS funding opportunity
Diversity funding opportunities
14
Funding Opportunity Announcements (FOAs)
http://grants.nih.gov/grants/oer.htm
Parent Announcements or Unsolicited Applications• Investigator initiated applications• Fit of mission of one of the NIH institutes• Mechanism of the grant should be supported by the Institute of programmatic
relevance
Funding cycle
15
RFA vs PA
Funding cycle
Announcements
Focus Set-aside funds
Special review criteria and panel
Length of announcement
Receipt dates
RFA Narrowly defined YES YES n/a One date
PAR Specific scientific area but broadly defined
Usually not
YES 3 years Usually standard dates
PAS Specific scientific area but broadly defined
YES Depends 3 years Usually standard dates
RFA = request for ApplicationsPA = program announcementPAR = program announcement reviewed in an InstitutePAS = program announcement with set-aside funds
16
Most Common Grant Mechanisms
Funding cycle
Mechanism To support Length
Budget
Common goals Receipt dates
R01:Research project single Pi or multi-PIshttp://grants.nih.gov/grants/funding/ac_search_results.htm
Discrete and specified research project in area of expertise
Up to 5 years
$250,000 DC/year but it can be higher
New: Feb 5, June 5 and October 5Renewal: March 5, July 5 and Nov. 5
R21:Exploratory/developmental grantshttp://grants.nih.gov/grants/funding/r21.htm
Development of a new research activities
Up to 2 years
$275.000 DC for 2 years
• Exploratory, novel studies • High risk high reward studies
Projects should be distinct from those supported through the traditional R01 mechanism
New: Feb 16, June 16 and October 16Renewal: March 16, July 16 and Nov. 16
R03:Small research grantshttp://grants.nih.gov/grants/funding/r03.htm
Short-term projects with amount
Up to 2 years
$50,000 DC/year
• Pilot or feasibility studies • Secondary analysis of existing data • Small, self-contained research
projects • Development of research
methodology • Development of new research
technology
New: Feb 16, June 16 and October 16Renewal: March 16, July 16 and Nov. 16
R15:Academic research enhancement awards (AREA) http://grants.nih.gov/grants/funding/area.htm
Small research scale projects at educational institutions that have not been major recipients of NIH support.
Up to 3 years
$300,000 DC for 3 years
• Support meritorious research• Expose students to research• Strengthen the research
environment of the institution
New and renewal: Feb 25, June 25 and October 25
DP2 New Innovator awards http://commonfund.nih.gov/newinnovator/
highly innovative research projects by new investigators
Up to 5 years
$300,000 DC/year
• Individual early stage investigators of exceptional creativity proposing research of uncommonly high potential impact
Not announced yet for 2014 usually end of Summer or beginning of Fall
17
Funding Cycle
Applicant InitiatesResearch Idea
University Submits
Electronically the
Application
Assign to Institute and
Study Section
Peer Review
Leaders in the biological and medical sciences, education,
health care, and public affairs.
AdvisoryCouncil of the Assigned
Institute
Allocation of Funds
Review of Scientific Merit
Second Review
Conducts Research
InstituteProgram
staff
1st NIH Study Section 1946
Funding Decision
Funding Cycle
18
Cover Letter & Referral
Funding Cycle
Assign to Institute and
Study Section
The cover letter is important to: • Suggest institute assignment• Suggest study section assignment• Identify individuals in conflict• Identify areas of expertise needed to evaluate the application
The cover letter is NOT appropriate to suggest specific reviewers!
• Is it possible to change the IC and/or study section assignment(s)? YES
• When? BEFORE the review of the application (after it is almost impossible)
• How? Contact the assigned SRO and PO and provide in writing a justification for the desired change
• If my application has a secondary Institute assignment, does the 2ary Institute consider automatically my application if the 1ary Institute does not fund it?
NO Only if the Program Officer of the 2ary Institute has interest in your application it may be considered. This is an extremely rare case and usually applications are transferred before review.
19
Study Section and Institute, which one?
Funding Cycle
Colleagues, Reporter and web sites of ICs are the first source of information. Program director for confirmation.
STUDY SECTION• Standing Study Sections review most investigator-initiated research
applications (R01, R03, R21, R15, and Ks). Standing study sections are those with both permanent members and temporary members, and are organized by CSR. http://public.csr.nih.gov/StudySections/Standing/Pages/default.aspx
• Special Emphasis Panels one-time or recurring Special Emphasis Panels (SEPs) are held to review applications on special topics and members conflict applications. They include only temporary members. P01, SBIR/STRR…. review by SEPs. SEPs can be organized by CSR or by the review office of an institute.
24 INSTITUTES/CENTERS with funding authority• Not all ICs participate in all mechanisms. For example/ NIGMS does not support
investigated initiated R21 and R03.• Not all ICs participate in all RFA , PAR and PAS.
A standing study section reviews applications assigned to a variety of ICs
20
Funding Opportunity Announcement (FOA)
Funding Cycle
21
Submission
Funding Cycle
Applicant InitiatesResearch Idea
University Submits
ApplicationElectronic Submission
NIH
Conducts Research
February 5June 5October 5
New Research Grants
(R type)
January 25May 25September 25
All Program Project and
Center Grants
February 12June 12October 12
New Career Development
Awards (K type)
March 5July 5November 5
Research Grant Renewal,
Resubmission, and Revision
Applications
http://grants.nih.gov/grants/funding/submissionschedule.htm
22
Due Dates for R01
Only ONE resubmission allowed! Do not waste it by rushing!
NIH allows a shorten review cycle for New Investigator R01 Applications:
Submission Review Council Funding
A0 June 5th October January April ?
Normal A1 March 5th June October ??????
Shorten A1 December 10th
February May July?
NOT RECOMMENDED
You have 37 months from the A0 application date to resubmit. Any applications submitted after the 37 month will be considered a new application.
Funding Cycle
23
Funding Cycle
Applicant InitiatesResearch Idea
University Submits
Electronically the
Application
Assign to Institute and
Study Section
Peer Review
Leaders in the biological and medical sciences, education,
health care, and public affairs.
AdvisoryCouncil of the Assigned
Institute
Allocation of Funds
Review of Scientific Merit
Second Review
Conducts Research
InstituteProgram
staff
1st NIH Study Section 1946
Funding Decision
Funding Cycle
24
Criteria Selection for Review Panel Memberships
Funding Cycle
Mandatory criteria:• Scientific expertise is the most important criterium and it depends on the science covered
by the pool of applications considered in a specific round of review
• Geographical distribution: 25% of Central, South, East, West
• Gender and minorities representation: at least 10% for each
Limits in # of reviewers from:• No 2 people from the same Department• For each 10 reviewers 2 can be from the same University (up to 3 for 30 reviewers subjected to
higher level approval)
Optional criteria:• age distribution• one Assistant Professor
SEP specific criterium: the making of the panel will reflect the community – SBIR will have industry people; R15 will have reviewers from qualifying institutions….
25
Early Career Reviewer (ECR) Program
Funding Cycle
ECR program was developed to:• train qualified scientists without prior CSR review experience so that they may become
effective reviewers, • help emerging researchers advance their careers by exposing them to peer review, and • enrich the existing pool of NIH reviewers by including scientists from less research-intensive
institutions as well as those from traditionally research- intensive institutions
Eligibility for the ECR program includes:• Full-time faculty members or researchers in similar roles. • Evidence of an active independent program of research• Recent publications in peer-reviewed research journals • Has not served on a CSR study section in a role other than a mail reviewer• Prior NIH funding is NOT a requirement
How to apply:• First, send your CV and contact the SRO of the study section of interest• Then, follow the official procedure described at
http://public.csr.nih.gov/ReviewerResources/BecomeAReviewer/Pages/Overview-of-ECR-program.aspx
What will you do:• receive training from SRO on review procedures and how to write critiques• you will have a lighter workload (2-4 applications)• Attend panel and participate in discussion and voting
26
Review Process of a Standing Study Section
Funding Cycle
• SRO assigns your application to 3 primary reviewers
Reviewers submit preliminary criterion scores (from 1 exceptional to 9 poor) with comments for Significance, Investigator(s), Innovation, Approach and Environment
• SRO determines Review Order
• Persons with conflicts of interest excused• Primary reviewers (3) give preliminary scores (1-9)• Discussion of application’s scientific and technical merit• Other panel members join discussion• Primary reviewers give final scores (1-9)• All panel members (except those in conflict) score privately• Assignment of codes for animals and human subjects protection• Budget recommendations.
• Best scoring application first
• New investigators (best-to-worst) are reviewed separately from others
• Everyone else (best-to-worst)
• About 50% applications will be discussed, remainder unscored (ND, not discussed)
Mock study section video: http://public.csr.nih.gov/Pages/default.aspx
27
Feedback from Review
Funding Cycle
• Priority Score & Percentile eRA Commons• 1-4 days after meeting• Impact/Priority score is average reviewer score (1-9) times ten (10-90)• Percentile: relative ranking of application with last 3 meetings of study
panel• Not all applications get percentiled (e.g. R15, for GM F32s and K99s
are not percentiled)
• Summary Statement eRA Commons• SRO prepares and releases• 10 (New PIs) – 30 (all others) days after meeting for R01s• Summary of discussion written by SRO• Criteria scores from assigned reviewers• Critiques from assigned reviewers • Budget recommendations• Administrative notes• Codes for Animal Vertebrates and Human Subjects
• Assigned Program Officer• Typically present at review meeting• Interpret comments• Advice on resubmission
Final scores of primary reviewers are NOT an average of the criteria scores!
28
Funding Cycle
Applicant InitiatesResearch Idea
University Submits
Electronically the
Application
Assign to Institute and
Study Section
Peer Review
Leaders in the biological and medical sciences, education,
health care, and public affairs.
AdvisoryCouncil of the Assigned
Institute
Allocation of Funds
Review of Scientific Merit
Second Review
Conducts Research
InstituteProgram
staff
1st NIH Study Section 1946
Funding Decision
Funding Cycle
29
Second Level of Review: Advisory Council
Funding Cycle
• Provides oversight to insure initial review was fair and in compliance with NIH policy
• Most applications are voted en bloc by Council• Council usually discuss specific applications if there are appeal, program
projects, Merit award,. etc.
Council does not make funding decisions
30
Funding Cycle
Applicant InitiatesResearch Idea
University Submits
Electronically the
Application
Assign to Institute and
Study Section
Peer Review
Leaders in the biological and medical sciences, education,
health care, and public affairs.
AdvisoryCouncil of the Assigned
Institute
Allocation of Funds
Review of Scientific Merit
Second Review
Conducts Research
InstituteProgram
staff
1st NIH Study Section 1946
Funding Decision
Funding Cycle
31
Funding Decision by IC Program Staff
Funding Cycle
• Applications are ranked based on Priority Score (Fs, Ks) or Percentile ranking (R01s)
• Paylines are decided based on availability of funds• Paylines vary from different types of grants• Paylines may be more liberal for New (or ESI) investigators
Unofficial but updated and comprehensive source of paylines of all ICs: http://www.einstein.yu.edu/administration/grant-support/nih-paylines.aspx
Institutes with set paylines (NIAID, NCI*..)
Institutes without set paylines: NIGMS example
• Applications are ranked based on Priority Score (Fs, Ks) or Percentile ranking (R01s)
• Top-scoring applications are given the highest priority for funding• A “grey area” of applications is identified based on available funds just after
the top scoring applications. Not all the applications in the grey area will be funded.
• Applications in the “grey area” are ranked for funding consideration based on:
Percentile, Programmatic needs, Other support of applicant, ESI or New investigator, If council has recommendations
32
When and Who to Contact
Funding Cycle
WHEN WHO
Before and as you prepare your application
Mentors/colleaguesInstitute Program Officer
When you register for eRA Commons eRA Commons Help Desk
Submission Grants.gov Help Desk
Receipt & Referral Scientific Review Offcier (SRO) and Program Officer
Before Review SRO
After and about the review Program Officer
Funding decision Program Officer
Award Program Officer and Grants Management Specialist
33
Resubmission
Funding Cycle
Only ONE resubmission allowed! Do not waste it by rushing!
NIH allows a shorten review cycle for New Investigator R01 Applications:
Submission Review Council
A0 June 5th October January
Normal A1 March 5th June October
Shorten A1 December 10th
February May
NOT RECOMMENDED
You have 37 months from the A0 application date to resubmit. Any applications submitted after the 37 month will be considered a new application.
34
Outline
Outline
NIH organization
Some info on preparing an
application
The funding cycle
NIGMS funding opportunity
Diversity funding opportunities
35
NIGMS Collaborative Supplementhttp://www.nigms.nih.gov/Research/FeaturedPrograms/Collaborative/SCS.htm, http://grants.nih.gov/grants/guide/notice-files/NOT-GM-11-117.html
NIGMS Funding opportunity
Main eligibility criteria:• New collaborations i.e. no publications or collaboration in the last 3
years and no mention in the parent grant• Collaborative research should be within the scope of the grant• All members should have financial support (not necessarily NIH
support other is fine)• Collaborators may be foreign• PIs funded by an NIGMS R01, R37 or SC1 grant with at least 18
months of active funding on the parent grant at the time of the receipt date deadline are eligible to apply
Main facts:• Deadlines January 15th and May15th • $90,000 direct cost/year up to 3 years for the PI and one
collaborating group. An additional $45,000 direct cost/year up to 3 years for a second collaborating group
• No $ for PI salary• Proposed work could not have been foreseen/planned at the time
of the parent grant application• Strong rational for collaboration• Intellectual involvement of all the PIs• Reviewed internally by NIGMS committee
36
NIGMS RFAs
http://search.nigms.nih.gov/funding/funding.asp?tab=All
http://grants.nih.gov/grants/oer.htm
NIGMS Funding opportunity
37
Outline
Outline
NIH organization
Some info on preparing an
application
The funding cycle
NIGMS funding opportunity
Diversity funding opportunities
38
NIGMS Diversity Supplement
http://www.nigms.nih.gov/Research/Mechanisms/PromoteDiversity.htm, http://www.nigms.nih.gov/Research/Mechanisms/DiversityPhilosophy.htm,http://grants.nih.gov/grants/guide/pa-files/PA-08-190.html
Diversity funding opportunity
To support an US citizen on a grant at the high school, undergraduate, post-baccalaureate, graduate student or postdoctoral fellow levels.
Main eligibility criteria and philosophy:• There should be at least 2 years or more of support remaining at the time of the
supplement on the parent grant• Individuals (proposed for support) should not have been funded by the parent
grant prior to the application • To support individuals in early stages of their training (generally first 1 or 2 years)
with the expectation that individuals will transition to traditional means of support• Up to $75,000 direct cost/year• No deadlines
For additional information on diversity supplements, see the NIH Guide for Grants and Contracts, July 2, 2008 (PA-08-190), or contact Dr. Marion Zatz at [email protected], 301-594-3833.
39
Score Program http://www.nigms.nih.gov/Training/MBRS/SCOREDescription.htm
Diversity funding opportunity
Three Score programs fund investigator initiated research applications fitting an IC mission:• SC1 (Research Advancement Award) research support for research project in
advanced stage planning to transition to non-Score support• SC2 (Pilot Project Award) research support for early stages of development of a
research plan. It allows to test new idea or gather preliminary data in a new line of research.
• SC3 (Research Continuance Award) research support for research project in an intermediate stage of development
Institution eligibility• 4-years colleges, MS or Ph.D. granting Universities serving underrepresented
minority students • Institutions receiving less than 6 million dollars from NIH R01 support in the last
two fiscal years
PI eligibility• Full time regular faculty appointment• Faculty with a track record of external support (other than MBRS) and publications
are ineligible• Faculty currently receiving other individual or institutional developmental research
support are ineligible
40
Score Program http://www.nigms.nih.gov/Training/MBRS/SCOREDescription.htm
Diversity funding opportunity
SC1 Research Advancement Award
SC2 Pilot Project Award
SC3 Research Continuance
Award
Programmatic Goal
Foster the transition to major non-SCORE support
Allows beginning PIs to generate preliminary data to establish a new line of
research
Allows PIs conduct projects of limited scope
and publish
Max Direct Costs
(Modular Budgets)
Up to $250K/yr Up to $100K/yrNot to exceed $300K for
entire project period
Up to $75KNot to exceed $300K for
entire project period
Duration New PIs, who have not had SCORE support- 5 years
Previous SCORE PIs- 4 yearsRenewable once
3 yearsNot renewable
4 yearsRenewable
Common Requirement
PIs developmental objectives and plan to achieve them must be providedNo MPI grant
Other Requirement
s
No other research support PIs must have a mentor and a mentoring plan
No other research support
Other external research support of less than
$75K is allowed
NIGMS contact: Dr. Hinda Zlotnik, Tel. 301-594-3900 , E-mail: [email protected]
