Sheila Lukehart, PhD
January 6, 2011
How NIH works
 Types of K awards
 Writing your application
 Required components of K applications
 Tips for getting good reviews

 R-series
Research Grants
 Individual Training Awards
◦ K-series
◦ F-series
 Institutional
Training Awards
◦ T series (e.g. T32)
◦ KL2
R-series Research Grants
 Individual Training Awards

◦ K-series
◦ F-series

K08, K23, K01,K99/R00,K22,
K02, K24
Institutional Training Awards
◦ T series
◦ KL2
NIH Structure
24 Institutes
NIAID
NCI
NHLBI
Divisions / Branches
DAIDS
DMID
DAIT
Center for
Scientific
Review
Office of Research Training
Divisions
NIGMS
Scientific Review Program
Review Committees--SRO
NIDDK
NINDS
Advisory Council
Study Sections--SRO
Application
Pathway
Your K-series
grant application
Your R-series,
F-series grant
application
Institute-based
Scientific
Review
Committees
Center for
Scientific
Review
Institute
Advisory
Council
$$$
Training Phase
K08- Mentored Clinical Scientist Development Award
K23- Mentored Patient-Oriented Research Career Development Award
K99/R00- Pathway to Independence Award
K22- Research Scholar Development Award
K01- Mentored Research Scientist Development Award
T32
or
F32
T35
Medical
Student
M.D.
K08 K99/
K22 K01 R21 R01 K02 F33 K24 R37
K23 R00
Fellowship
Training
Faculty
Position
Independent PI
Early career
 K08- for lab-based research project
 K23-for a patient-oriented research project
 K99/R00-transition from postdoc to faculty
 K22-new faculty position
 K01-supports research leading to independence
Mid-career
 K02-career development, must have funding
 K24-to facilitate mentoring in patient-oriented research,
must have research funding
Institute-specific approaches to K Awards
http://grants.nih.gov/training/careerdevelopmentawards.htm
Health professional doctorate (exceptions)
US citizen, permanent resident (except
K99/R00)


K08- for lab-based research project
3 -5 yr award
◦ 3 yrs for more senior individual (e.g. MD PhD)
◦ 5 yrs for more junior individual, but must justify a 2 yr
didactic phase


Salary: $75,000-$105,000/yr + Fringe Benefits
Research Support:
◦ $20,000-$80,000/yr
◦ At least 75% effort committed to research
Health professional doctorate
US citizen, permanent resident

K23- for clinical/ patient-oriented project
◦ Must directly interact with patients

3 - 5 yr award
◦ 3 yrs for more senior individual (e.g. MD MPH)
◦ 5 yrs for more junior individual, but must justify a 2 yr
didactic phase


Salary: $75,000-$105,000/yr + Fringe Benefits
Research Support: $25,000-$80,000/yr
◦ At least 75% effort committed to research
Health professional doctorate
US citizen, permanent resident
‣ K22 Research Scholar Development Award
US Citizen, Permanent Resident
MD or PhD
‣ K99/R00 NIH Pathway to Independence Award
Non-citizens eligible
MD or PhD
Participation varies by institute—check with your institute!!

Two phases
1. Submit application while at postdoc
institution
–
–
Scientific merit
No institution yet
–
–
–
Own lab
Start-up funds
Protected research time
2. Assistant Professor $150K/$100K DC
Participation varies by institute—check with your institute
Transition award for moving from
postdoc to Assistant Professor
 3-5 years
 Has mentored phase K99 $90K/yr
 Independent phase R00 $249/yr TC
 Non-citizens eligible

Uses and rules vary by institute—check with your institute
NIAID supports very few—for non US/PR
• Specialized areas of research or purpose
(e.g. epidemiology, mathematical modeling, child abuse
and neglect; re-entry)
• MDs or PhDs
• 3 - 5 years
• Salary: $75,000-$105,000/yr + Fringe Benefits
• Research Support: $25,000-$50,000/yr
• >75% effort on health-related research
US citizen or permanent resident
Details vary by institute—be sure to
look at the information for your own
institute






For individuals from a quantitative background
who want to apply their expertise to a biomedical
problem
For engineering, mathematics, physics, computer
science- NOT individuals who are already working
in a biomedical or epidemiological area
3 - 5 years
Salary: $75,000-$105,000 + Fringe Benefits
Research Support: $20,000-$50,000
>75% effort on research training activities
Details vary by institute—be sure to look at
the information for your own institute
Independent PI
R21- Exploratory/Developmental Research Grant
R01- Research grant
K02- Independent Scientist Award
K24- Mid-Career Investigator in Patient-Oriented Research
F33- Sr. Postdoctoral Fellowship (NRSA)
R37- Merit award
T32
or
F32
T35
Medical
Student
M.D.
K08 K99/
K22 K01 R21 R01 K02 F33 K24 R37
K23 R00
Fellowship
Training
Faculty
Position
Independent PI
• For senior Asst. Prof./early Assoc Prof
• Must have independent grant support
(R01)
• Protected time for focused research
• 3-5 years
• Salary support $75,000-$100,000/yr +
Fringe Benefits
• Research support $15,000-$50,000
• PhD or MD
Uses and rules vary by institute—check with your institute
US citizen or permanent resident
• Mid-career health professional
• Protected time to devote to patientoriented research and to mentor others
in patient-oriented research
• 3-5 years (renewable)
• Salary: 25-50% at institutional rate +
fringe
• Research Development Support: $50,000
Uses and rules vary by institute—check with your institute
US citizen or permanent resident
Clinical doctorate only
K
Kiosk for information
http://grants.nih.gov/training/careerdevelopmentawards.htm
NIH Structure—K Awards
24 Institutes
NIAID
Divisions / Branches
Program Officers
Your Contact
• Before writing a research application
• After the research or training
application has been reviewed
NCI
NHLBI
Office of Research Training
Your Contact
• Before writing a training
application
NIGMS
Scientific Review Program
NIDDK
NINDS
Review Committees—SRO
K Awards
Institute Advisory Council
Your Contact
• Before the review
• Go to K Kiosk and click on the desired award
PROGRAM
ANNOUNCEMENT
READ THIS
CAREFULLY!!
•Deadlines
•Page limits
•Links to forms
•Required sections
•Review criteria
•Animal, human
subjects info
Click on contact link
‣ Read the instructions!
⁻ Program Announcement
⁻ SF424 Instructions
http://grants.nih.gov/grants/funding/424/index.htm
Note Section 7: Specific instructions for K applications
‣ Be aware of new page limits
‣ Look at tutorials online
‣ Read a successful application
‣ Start planning and writing very early (3-4 months
before due date)
‣ Talk with the administrator who will assist with
application
‣ Have your mentor and others read the full
application early (4 weeks before due date)
‣ Don’t underestimate the time that it will take to do
the “business” pieces of the application
‣ Be aware of OSP’s new timeline:
‣ Final business 9 work days before due date
‣ Final science 5 work days before due date
‣ Absolute drop-dead deadline for “ready to
submit” is 3 business days before due date
‣Candidate Information
⁻Background
⁻Career Goals and Objectives
⁻Career Development/ Training Activities
‣Research Plan
⁻Background and Significance
⁻Preliminary Results
⁻Research Design & Methods
* Training in Responsible Conduct of Research??
‣
‣
‣
‣
Use formal language—no slang or jargon
Use correct grammar, punctuation
No typos!
Leave white space on the pages-not solid
text
‣ Candidate Information and Career
Development Plan
⁻ Candidate’s Background
⁻ Career Goals and Objectives
⁻ Career Development/Training Activities
⁻ Training in the Responsible Conduct of
Research*
‣ Let the reviewers get to know you
* Included in page limits?
•Quality of a candidate's academic and
clinical record
•Potential to develop as an independent
investigator
•Commitment to a research career
• Appropriateness of the content, the phasing, and the
proposed duration of the career development plan for
achieving scientific independence
• Consistency of the career development plan with the
candidate’s previous training and career goals
• Likelihood that the plan will contribute substantially to the
achievement of scientific independence
• Quality of the proposed training in the responsible conduct
of research
‣ Specific Aims
‣ Research Plan
⁻ Background and Significance
⁻ Preliminary studies (identify your work!)
⁻ Research Design and Methods
• Scientific/technical merit of research question, design,
and methodology
• Relevance of proposed research to the candidate’s
career objectives
• Appropriateness of the research plan to stage of
research development and as a vehicle for developing
research skills described in the career development
plan
• Adequacy of the plan’s attention to animal and human
subjects
‣ Statements of Support
(6 pages total)
⁻ Mentors, Co-mentors, Consultants, Contributors
‣ Mentor’s statement should include
⁻ Evidence of training history
⁻ Evidence of active productive research
⁻ Details about mentoring relationship—frequency of
meetings
⁻ Topic areas in which mentoring will occur
‣ Co-Mentors’ statements should be specific about
the expertise that they bring to the mentoring
team
• Appropriateness of mentor’s research
qualifications in the area of this application
• Quality and extent of mentor’s proposed role in
providing guidance and advice to the candidate
• Previous experience in fostering the development
of independent researchers
• History of research productivity
• Adequacy of support for the proposed research
project
‣ Environment & Institutional Commitment to
the Candidate
⁻ Description of Institutional Environment (1 page)
⁻ Institutional Commitment to Candidate’s
Research Career Development (1 page)
• Adequacy of research facilities and training opportunities
• Quality and relevance of the environment for scientific and
professional development of the candidate
• Applicant institution’s commitment to the scientific development
of the candidate and assurances that the institution intends the
candidate to be an integral part of its research program
• Applicant institution’s commitment to the appropriate balance of
research and clinical responsibilities, including the level of 75%
effort proposed by the candidate
‣ Budget for the Entire Period of Support
‣ Letters of Reference
⁻ 3-5 letters from well-established
scientists familiar with the candidate
⁻ May not be directly involved with the
application
•Overall Impact
•Candidate
•Career Development Plan
•Research Plan
•Mentor(s), Consultants, Collaborators
•Environment & Institutional Commitment
•Protection for Human Subjects
•Inclusion of Women, Minorities &
Children
•Vertebrate Animals
•Biohazards
•Resubmission applications
* These criteria DO affect the score
• Training in Responsible Conduct of
Research
• Select Agents
• Resource Sharing Plan
• Budget and Period of Support
•Most applications are reviewed by 3
reviewers—written reviews
•Scored review criteria receive individual
scores by the 3 reviewers
•All committee members score for Overall
Impact
•Overall impact is not an average of the
individual scores
•Mean Overall Impact score determines
likelihood of funding (10-90)
• Whole integers from 1 (best) through 9 (worst)
Impact
High
Moderate
Low
Impact/Priority
Score
Descriptor
Additional Guidance on
Strengths/Weaknesses
1
Exceptional
Exceptionally strong with
essentially no weaknesses
2
Outstanding
Extremely strong with negligible
weaknesses
3
Excellent
Very strong with only some
minor weaknesses
4
Very Good
Strong but with numerous minor
weaknesses
5
Good
Strong but with at least one
moderate weakness
6
Satisfactory
Some strengths but also some
moderate weaknesses
7
Fair
Some strengths but with at least
one major weakness
8
Marginal
A few strengths and a few major
weaknesses
9
Poor
Very few strengths and
numerous major weaknesses
Minor:
An easily addressable weakness that does not substantially lessen the impact of the project
Moderate: A weakness that lessens the impact of the project
Major:
A weakness that severely limits the impact of the project
Non-numeric score options: NR = Not Recommended for Further Consideration
DF = Deferred, AB – Abstention, CF = Conflict, NP = Not Present, ND = Not Discussed
Strengths/Weaknesses
•All applications will receive written
reviews from the assigned reviewers
•Some applications will not be discussed
at the review meeting—”Streamlined”
⁻ Usually in bottom 1/3 of applications
seen at that review
Success Rates for K Awards
80
K08
K23
Success rate
60
40
20
0
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
Success Rates for Other Early K Awards
80
K01
K22
K99
Success rate
60
40
20
0
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
Success Rates for Mid-Career K Awards
80
K02
K24
Success rate
60
40
20
0
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
•Priority score will be posted on NIH
Commons within a few days of the review
meeting
•Paylines are posted by Institutes
•Reviewers’ comments will appear 2-4 weeks
later
•Final funding decisions are made by
Institute’s Council
•Read the comments carefully and put them
away
•Read the comments again 3 days later
•Don’t get discouraged
•Discuss options with your mentor
•Revision-one revised application can be
submitted
•Listen to what the reviewers said!!!