NIH 101: Part 2
Types of Awards
Laurie Tompkins
Swarthmore College
May 14, 2012
Institutions represented here:
 Fiscal year 2011 (October 1, 2010 –
September 30, 2012)
 Drexel: 248 applications and awards
(ongoing and new), R01s and many other
types
 Others: 20 applications and awards
(ongoing and new), mostly R15s
R15
 Academic Research Enhancement Award
(AREA)
 Research grants for investigators at
institutions that do not have a lot of NIH
funding
 Term up to three years, direct costs
requested up to $300K for entire project
period
 Three application deadlines a year, can be
revised and resubmitted (once) or renewed
R15s are competitive
 FY11: 1554 R15 applications submitted, 218
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R15 applications funded (14%)
Percent funded used to be higher
Why? More institutions eligible, could request
more money
Consequence: more R15 applications,
requesting more money
Funds allotted to NIH institutes to fund R15s
have not increased
Institutes using different strategies to try to
fund more R15s (e.g., budget cuts, transfer of
funds from R01 pot)
How can I increase the probability
that my R15 will be funded?
 Focus is primarily on the research project, NOT
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on undergraduate education
Research project must be 21st century
(addressing important question, using modern
approaches)
If you don’t have the expertise or equipment
required, collaborate with someone who does
Scope should be appropriate for types of
personnel and time available to work on
project
Publications important, but productivity may
be slower, in comparison to research-intensive
institution
Personnel on R15s
 Need not be undergraduates (at some R15-
eligible institutions, no undergrads or not
many)
 If undergrads involved, they should be actively
involved in the experiments. Very difficult
techniques or complex analyses may require
personnel farther along career ladder.
 Track record for involving undergraduates in
research (publications, presentations, awards)
desirable. New faculty members should
consider enlisting co-mentor at institution.
Institutional commitment: R15s
 Reduced teaching load, support for
attendance at scientific conferences,
frequent sabbaticals for PIs
 Housing (summer students), course
credit/awards for independent research,
seminar series for students doing research
 Institutional track record for students doing
independent research, no matter what the
funding source is, important to cite
Bottom line: R15 applications
 Research project paramount (well-trained
PI who has opportunities to keep up to date
and to collaborate, if necessary)
 If students involved, they should be doing
real research and get support from
experienced mentor and institution
 Strut your stuff! Institutions with several
faculty members doing high-quality
research and lots of students involved in
research, no matter where the funding
comes from, are best environments for
R15-funded projects.
R01
 “Regular research grant”
 Most common type of award at NIH; ca. half of
all awards are R01s.
 FY11, 32,599 R01 applications, 5380 funded
(16.5%; higher than R15)
 Up to 5 years; theoretically no limit on
requested direct costs (consult with program)
 Can apply for R01 if institution is AREA-eligible
(Should you? Depends on scope of project,
resources, time, anticipated productivity. New
investigators who were productive as postdocs
should consider it.)
R01 applications: general
 Three application deadlines a year
 Most R01s reviewed in CSR study sections
 R01s can be revised and resubmitted
(once), or renewed
 A PI can have multiple R01s at the same
time (not true for R15s)
 Multiple PIs common (about one in six
applications).
 Collaborations common (almost all
applications)
R01 applications: budget and
term
 New PIs usually get five year awards; some
institutes have their own criteria for “new”
(ask program)
 Terms for experienced investigators vary
(ask program)
 Budget cuts? Institutes vary (ask
program). Budget cuts likely to be more
common as federal government spending
decreases.
R21
 Smaller grants for “exploratory, possibly risky”
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research
Risk is subjective; NIH currently reviewing R21
language and purpose
Two years, $275K over project period limits
Most but not all NIH institutes accept
“unsolicited” (not in response to special
initiative) R21s. NIGMS does not.
Three application deadlines a year; most
applications reviewed in CSR study sections.
Talk to program; every institute that accepts
R21s handles them differently.
R03
 Very small grants for pilot projects and
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technology development
Two years/$100K over project period limits
Only 11 institutes accept R03 applications
(NIGMS doesn’t, even for special initiatives)
Most reviewed in CSR study sections
Generally not renewable
Probably not application of choice unless you
have a pilot or tech development project that
you can do on $100K over two years
Definitely consult with program before you
submit.
Other types of research grants
and small center grants
 Wide variety (close to 40)
 Types of institutions: small businesses, small
business-academic collaborations, minorityserving institutions
 Activities: support of research, resource
development and dissemination, resources,
conferences, education, planning (for larger
center grants)
 Investigators: new (R00), experienced and
distinguished (MERIT awards, extensions)
 Innovation: Transformative Research Award,
New Innovator, Early Independence, Pioneer
(Common Fund, NIH Director’s Office)
Training: for individuals
 Fellowships for graduate students (F31),
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postdocs (F32), MD-PhD candidates, and
faculty on sabbatical (F33)
All fellowships are “F”
Unusual: Fs are awarded to individuals (the
trainee), not to institution. If a postdoc
moves, may be able to take fellowship.
F31s mostly for URM and neuroscience
Institutes vary (what F applications they
accept, how many funded); consult
program.
Tips for success: F32s
 Candidate (the postdoc) should be early in postdoctoral career.
 Publications, for candidate, are a MUST.
 Really lousy grades a problem. Need not be straight As.
 Research plan matters, but quality of candidate and training
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potential are equally important.
Training potential = learning new things (system, techniques,
etc.). If you’re doing what you did in grad school, in a different
lab, probably shouldn’t bother applying.
What you’re doing as a postdoc should mesh with your career
goals.
Second postdoc OK if good training potential. Many years as
postdoc, or lots of them, especially on unrelated topics, is
problematic.
3 year limit on NRSA postdoctoral support from all sources
(postdoctoral training grants, multiple F32s)
Tips for success: F32s
 Sponsor should write individualized
training/mentoring plan for candidate.
 If the candidate is your first postdoc, enlist
an experienced co-mentor.
 Work with candidate on research plan, but
don’t copy from your own grant application.
Candidate should have some input.
 Sponsor should have funding (not
necessarily R01). F32 doesn’t cover
supplies, equipment, etc.
F33s: senior fellowships
 Mostly used to support faculty on sabbatical
leaves.
 Far fewer awarded than F32s.
 Institute policies vary (acceptance of F33s,
what types of leave are eligible, how funding
decisions are made). Consult with program,
before submitting application, is a must.
 NIGMS only funds F33 if the candidate is
making a radical career change. Standard
sabbatical experience in colleague’s lab is not
eligible.
Mentored career awards for
individuals
 K awards: almost 40 types
 Each NIH institute accepts just a few types
of K applications. Do your homework before
you apply.
 Ks for different career stages (trainee,
independent scientist or clinician, senior
scientist), different terminal degrees
(medical vs. PhD), different purposes.
Do your homework: K Kiosk
 http://grant.nih.gov/training/careerdevelopmentawards.htm
 Institute funding (which Ks?)
 Career Wizard: which K is best for you?
 Links to funding opportunity
announcements
OppNet
 Basic behavioral and social science
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Opportunity Network
Trans-NIH consortium, mostly focused on
human behavior and social science
Wide variety of special initiatives, including
R01s, R21s, R13s (conferences), R25s
(short courses), K18s. More coming…
http://oppnet.nih.gov/index.asp
Website includes background, list of funded
OppNet projects, links to active funding
opportunity initiatives.