Navigating the NIH Funding Process
Barbara Gerratana, Ph.D.
National Institute of General Medical Sciences
Division of Pharmacology, Physiology & Biological Chemistry
Outline
 NIH organization
 Some resources
 The funding cycle
 NIGMS funding opportunity
 Diversity funding opportunities
2
Outline
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.
All Other
Training
Mgmt & Support
Annual Budget
$29.1 Billion
Fiscal Year 2013
Other Research
Grants
Research
Centers
3%
3%
5%
Research Project
Grants (RPG)
6%
53%
10%
10%
1.7 Billion less than FY2012
11%
R&D
Contracts
Intramural Research
3
NIH organization
27 Institutes & Centers
Office of the Director
National Institute
on Aging
National Institute
on Alcohol Abuse
and Alcoholism
National Institute
on Drug Abuse
National Institute
of Arthritis and
Musculoskeletal
and Skin Diseases
National Cancer
Institute
National Institute
of Child Health
and Human
Development
National Institute on
Deafness and Other
Communication
Disorders
National Institute
of Dental and
Craniofacial
Research
National Institute
of Diabetes and
Digestive and
Kidney Diseases
National Institute
of Allergy and
Infectious Diseases
National Institute
of Environmental
Health Sciences
National Eye
Institute
National Institute
of General
Medical Sciences
National Heart,
Lung, and Blood
Institute
National Human
Genome Research
Institute
National Institute
of Mental Health
National Institute
of Neurological
Disorders and
Stroke
National Institute
of Nursing Research
National
National Center
Center
for
forAdvancing
Research
Translational
Sciences
Resources
National Library
of Medicine
National Institute of
Biomedical Imaging
and Bioengineering
National Center on
Minority Health and
Health Disparities
National Center
for Complementary
and Alternative
Medicine
Fogarty
International
Center
Clinical Center
4
NIH organization
Center for
Information
Technology
Center for
Scientific Review
no funding
authority
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
5
NIH organization
NIH Institute Funding
Cancer
4,779
Allergy, Infectious
4,231
Heart, Lung, Blood
2,901
General Medical Sciences
2,291
Diabetes, Kidney
1,693
1,532
1,435
Neurology
Office of the Director
1,394
1,245
1,039
Mental Health
Child Health
Aging
Drug Abuse
1,059
662
645
542
504
483
432
392
387
318
318
260
136
120
118
65
Eye
Environmental Health
NCATS
Arthritis
Genome
Alcohol Abuse
Deafness
Dental
Library
Bio Imaging
Minority Health
Nursing
Comp. Med.
Buildings & Facilities
Fogarty International
$0
6
NIH organization
$1,000
Fiscal Year 2013
$29.1 Billion
$2,000
$3,000
$4,000
$5,000
(Dollars in millions)
Outline
 NIH organization
 Some resources
 The funding cycle
 NIGMS Funding opportunity
 Diversity funding opportunities
7
Outline
NIGMS Feedback Loop
http://www.nigms.nih.gov/News/FeedbackLoop.htm
• 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
8
Application resources
August 5th, 2013
RePORTER
9
Application resources
projectreporter.nih.gov
NIH Grant Writing Resources
NIH Central Resource Site
New Investigators
http://grants.nih.gov/grants/new_investigators/
NIGMS
www.nigms.nih.gov/Research/Application/Tips.htm
NCI
deainfo.nci.nih.gov/extra/extdocs/gntapp.pdf
NIAID*
NINDS
10
grants.nih.gov/grants/grant_tips.htm
Application resources
funding.niaid.nih.gov/researchfunding/grant/pages/aag.aspx
www.ninds.nih.gov/funding/grantwriting.htm
Grant Writer’s Handbook
“The Grant Application Writer’s Workbook”
available at GrantCentral.com
“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
HHMI “Making the Right Moves”
http://www.hhmi.org/resources/labmanagement/
11
Application resources
NIGMS Mentoring Workshop for New Bio/Chemistry
Faculty Since 2005
Mentoring is more than teaching someone to be just like you!
• 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!
• 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
12
Application resources
http://meetings.nigms.nih.gov/?ID=13578
Outline
 NIH organization
 Some info on preparing an application
 The funding cycle
 NIGMS funding opportunity
 Diversity funding opportunities
13
Outline
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
14
Funding cycle
RFA vs PA
RFA = request for Applications
PA = program announcement
PAR = program announcement reviewed in an Institute
PAS = program announcement with set-aside funds
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
15
Funding cycle
Most Common Grant Mechanisms
Mechanism
To support
Length
Budget
R01:Research project
single Pi or multi-PIs
http://grants.nih.gov/
grants/funding/ac_se
arch_results.htm
Discrete and specified
research project in area
of expertise
Up to 5
years
$250,000
DC/year
but it can
be higher
R21:Exploratory/devel
opmental grants
http://grants.nih.gov/
grants/funding/r21.ht
m
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 16
Renewal: March 16,
July 16 and Nov. 16
R03:Small research
grants
http://grants.nih.gov/
grants/funding/r03.ht
m
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 16
Renewal: March 16,
July 16 and Nov. 16
R15:Academic
research enhancement
awards (AREA)
http://grants.nih.gov/
grants/funding/area.h
tm
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.ni
h.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
16
Common goals
New: Feb 5, June 5
and October 5
Renewal: March 5,
July 5 and Nov. 5
•
•
Funding cycle
Receipt dates
Funding Cycle
University
Submits
Electronically
the
Application
Peer Review
Assign to Institute
and
Study Section
1st NIH Study
Section 1946
Applicant Initiates
Research Idea
Review of
Scientific Merit
Conducts Research
Allocation of
Funds
Institute
Program
staff
Funding Decision
Leaders in the biological and
medical sciences, education,
health care, and public
affairs.
Advisory
Council of the Assigned
Institute
Second Review
17
Funding Cycle
Cover Letter & Referral
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
Assign to Institute
and
Study Section
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.
18
Funding Cycle
Study Section and Institute, which one?
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
19
Funding Cycle
Funding Opportunity Announcement (FOA)
20
Funding Cycle
Submission
University
Submits
Application
Electronic
Submission
NIH
Applicant Initiates
Research Idea
http://grants.nih.gov/grants/funding/submissionschedule.htm
Conducts Research
21
All Program
Project and
Center Grants
New Research
Grants
(R type)
New Career
Development
Awards
(K type)
January 25
May 25
September 25
February 5
June 5
October 5
February 12
June 12
October 12
Funding Cycle
Research Grant
Renewal,
Resubmission, and
Revision
Applications
March 5
July 5
November 5
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.
22
Funding Cycle
Funding Cycle
University
Submits
Electronically
the
Application
Peer Review
Assign to Institute
and
Study Section
1st NIH Study
Section 1946
Applicant Initiates
Research Idea
Review of
Scientific Merit
Conducts Research
Allocation of
Funds
Institute
Program
staff
Funding Decision
Leaders in the biological and
medical sciences, education,
health care, and public
affairs.
Advisory
Council of the Assigned
Institute
Second Review
23
Funding Cycle
Criteria Selection for Review Panel Memberships
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….
24
Funding Cycle
Early Career Reviewer (ECR) Program
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
25
Funding Cycle
Review Process of a Standing Study Section
• 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
• Best scoring application first
• New investigators (best-to-worst) are reviewed separately from others
• Everyone else (best-to-worst)
•
•
•
•
•
•
•
•
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.
• About 50% applications will be discussed, remainder unscored (ND, not discussed)
Mock study section video: http://public.csr.nih.gov/Pages/default.aspx
26
Funding Cycle
Feedback from Review
• Priority Score & Percentile
•
•
•
•
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
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
27
Funding Cycle
Final scores of primary
reviewers are NOT an average of
the criteria scores!
Funding Cycle
University
Submits
Electronically
the
Application
Peer Review
Assign to Institute
and
Study Section
1st NIH Study
Section 1946
Applicant Initiates
Research Idea
Review of
Scientific Merit
Conducts Research
Allocation of
Funds
Institute
Program
staff
Funding Decision
Leaders in the biological and
medical sciences, education,
health care, and public
affairs.
Advisory
Council of the Assigned
Institute
Second Review
28
Funding Cycle
Second Level of Review: Advisory Council
• 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
29
Funding Cycle
Funding Cycle
University
Submits
Electronically
the
Application
Peer Review
Assign to Institute
and
Study Section
1st NIH Study
Section 1946
Applicant Initiates
Research Idea
Review of
Scientific Merit
Conducts Research
Allocation of
Funds
Institute
Program
staff
Funding Decision
Leaders in the biological and
medical sciences, education,
health care, and public
affairs.
Advisory
Council of the Assigned
Institute
Second Review
30
Funding Cycle
Funding Decision by IC Program Staff
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*..)
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
•
•
•
•
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
31
Funding Cycle
When and Who to Contact
WHEN
WHO
Before and as you prepare your application Mentors/colleagues
Institute 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
32
Funding Cycle
Resubmission
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.
33
Funding Cycle
Outline
 NIH organization
 Some info on preparing an application
 The funding cycle
 NIGMS funding opportunity
 Diversity funding opportunities
34
Outline
NIGMS Collaborative Supplement
http://www.nigms.nih.gov/Research/FeaturedPrograms/Collaborative/SCS.htm,
http://grants.nih.gov/grants/guide/notice-files/NOT-GM-11-117.html
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
35
NIGMS Funding opportunity
NIGMS RFAs
http://search.nigms.nih.
gov/funding/funding.asp?
tab=All
http://grants.nih.gov/gr
ants/oer.htm
36
NIGMS Funding opportunity
Outline
 NIH organization
 Some info on preparing an application
 The funding cycle
 NIGMS funding opportunity
 Diversity funding opportunities
37
Outline
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-08190.html
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 zatzm@nigms.nih.gov,
301-594-3833.
38
Diversity funding opportunity
Score Program
http://www.nigms.nih.gov/Training/MBRS/SCOREDescription.htm
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
39
Diversity funding opportunity
Score Program
http://www.nigms.nih.gov/Training/MBRS/SCOREDescription.htm
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/yr
Not to exceed $300K for
entire project period
Up to $75K
Not to exceed $300K for
entire project period
Duration
New PIs, who have not had
SCORE support- 5 years
Previous SCORE PIs- 4 years
Renewable once
3 years
Not renewable
4 years
Renewable
Common
Requirement
Other
Requirements
PIs developmental objectives and plan to achieve them must be provided
No MPI grant
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: zlotnikh@mail.nih.gov
40
Diversity funding opportunity
NIGMS: Investing in Discovery
Barbara Gerratana
gerratanab@mail.nih.gov
301-594-3827