Applying for a Grant
at the NIH
Helen Quill, Ph.D.
Chief, Basic Immunology Branch
Division of Allergy, Immunology &
Transplantation
NIAID, NIH
The Application Process
NIH Referral and Review System
Regular Research Grant Applications
Program & Policy
Considerations
NINDS NIGMS NCRR NIA
NIAID
NIAAA
NEI
Referral
NIDCR
NIAMS
NINR
NIEHS
CSR
NIDCD
NLM
NCCAM
NIMH
NHLBI
Scientific Review
NHGRI
NICHD
FIC
NIDDK
NIBIB NIDA
NCMHD
Funding
Decisions
Scientific
Management
2 Independent Assignments for Your
Grant Application upon Receipt at NIH
Center for Scientific Review (CSR)
Receipt and Refferal Office
CSR Initial Review Group (IRG)
Study Section
Scientific Review Administrator (SRA)
Reviews the application
NIH Institute or Center (IC)
Program Officer
Funds the application
Peer Review
“Before you criticize someone, you
should walk a mile in their shoes. That
way when you criticize them, you’re a
mile away and you have their shoes.”
-Steven Wright
CSR
(Center for Scientific Review)
Study Section
peer review panel
15-25 reviewers, mostly from academia
IRG (integrated review group)
group of study sections
New Immunology IRG
New Study Sections: est. June 2004
Innate Immunity & Inflammation (III)
Immunity & Host Defense (IHD)
Cellular & Molecular Immunology (CMI)-A
Cellular & Molecular Immunology (CMI)-B
Hypersensitivity, Autoimmune & Immune-Med. Dis. (HAI)
Transplantation, Tolerance & Tumor Immunology (TTT)
Vaccines Against Microbial Diseases (VMD)
F32 Postdoctoral Grants
Scientific Review Administrator
Designated Federal official (scientist) with overall
responsibility for the review process, including:
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Checks applications to ensure completeness
Selects reviewers for study section
Assigns applications to reviewers
Manages the study section meeting
Prepares the summary statements
Provides advice to applicants about study sections
Institute Program Officer
Designated Federal official with overall
responsibility for the funding process
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Scientist trained in area of coverage
Develops targeted research programs
Approves funding and oversees funded grants
Approves yearly progress reports
Assists PI with both administrative & scientific
questions
• Attends study section as observer
Typical Timeline for a New
Individual Research Project
Grant Application (R01)
There are three overlapping cycles per year:
–Submit in February (June, October)
–Review in June (October, February)
–Council in September (January, May)
–Earliest award in December (April, July)
9-10 months from submission to funding
Review Process
6-8 wks before study section meeting
SRA assigns and sends applications to primary, secondary,
tertiary reviewers (mostly academics) for evaluation
At study section meeting
- These 3 reviewers give initial scores
- Primary presents research plan, discusses PI, etc.
- Secondary emphasizes points of agreement/disagreement
- Tertiary adds his/her 2 cents worth
- General discussion/questions among panel members
- All panel members vote a priority score
Less expected from new PI
Review Process
1-2 months after review
- SRA prepares summary statement (written critique
document) and calculates percentiles (R01s)
- CSR or Institute mails summary statement to PI
~5 months after review
Institute sends Notice-of-Grant Award by e-mail to PI’s
business office
Paylines
• Payline is based on percentile (rank)
• Percentile: your score percentiled against current scores in
that study section plus the previous 2 rounds of review in
that study section
• Each Institute determines its own payline (e.g. in 2003,
NIAID 22.0%; NCI 20.0%)
• Payline may be different from prior fiscal year
• For most Institutes, percentiles within the payline get
funded automatically
• Study sections may recommend budget/time cuts;
Institutes usually follow these recommendations
Grant Application Cycle
Applicant Institution
Submits application
Receives award
Funding Institute
or Center
at NIH
Study Section
or Review Group
at NIH
Funding
Mechanisms
NIH Opportunities for
Independent Young Investigator
Grants
 Mentored Clinical Scientist Development Award
(K08)
 Mentored Patient-Oriented Research Career
Development Award (K23)
 Transition Grant (K22) – restricted eligibility @ NIAID
 Small Grant (R03)
 Exploratory/Developmental Grant (R21)
 Regular Research Grant (R01)
K08
Mentored Clinical Scientist
Development Award
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Clinical doctoral degree only
US citizenship or green card
3-5 yrs of support
Salary: up to $75K + FB/yr
Supplies: up to $20K/yr
75% effort required
K23
Mentored Patient-Oriented Research
Career Development Award
• M.D. or Ph.D. working with patients
• US citizen or green card
• Candidates just out of specialty or sub-specialty
training
• Project must be patient-oriented research
• 3-5 yrs of support
• Salary: up to $75K + FB/yr
• Supplies: $25K/yr
• 75% effort required
K22
Research Scholar Development Award
• Postdoc moving to assistant professor
• Eligibility
– Current NIAID intramural postdoc
– Current postdoc on NIAID training grant/fellowship
– US citizen or green card
• 2 yrs non-renewable
• Yr 1: $150K; yr 2: $100K
• Can apply without a sponsoring institution
SUCCESS RATES FOR NIAID TRAINING AND
CAREER DEVELOPMENT GRANTS
Grant Type
• F32
• K02
• K08
• K22
• K23
• K24
• T32
OVERALL
2002 Success Rate (%)
25
63
66
59
39
27
60
43
Mechanisms for Preliminary Studies
 Small Grants (R03)
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Feasibility/New Technology/Innovative High Risk Ideas
$50,000/year; 2 years maximum
Institute Review
 Exploratory/Developmental Grants (R21)
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Feasibility (for those without preliminary data)
$275,000 over 2 years
Increasing use
CSR Review
R01 Success Rates (%)
All PIs
1998
1999
2000
2001
2002
NIH
30.9
31.6
31.4
31.3
N/A
NIAID
35.5
30.9
30.8
34.2
30.8
NCI
30.2
29.8
26.9
26.0
25.9
NHLBI
30.7
34.6
33.3
34.4
32.0
NIDDK
32.8
30.2
27.2
27.2
30.9
R01 Success Rates (%)
New PIs
NIH-wide
1998
1999
2000 2001 2002
Applications
reviewed
6,464 6,984 7,059 7,139 7,265
Grants
awarded
1,539 1,596 1,670 1,640 1,596
Success rate
23.8
22.9
23.7
23.0
22.0
Solicited Research Programs
NIH Institutes
Requests for Applications (RFA)
 Announcement describing an Institute research
initiative in a well-defined scientific area
 Invitation to the field to submit research grant
applications for a one-time competition
 Set-aside of funds for a certain number of awards
 Applications generally reviewed within the issuing
Institute by one-time study section
Program Announcement
 Invites grant applications in a given research area
 May describe new or expanded interest in a particular
research area
 May be a reminder of a continuing interest in a
particular research area
 Generally has no funds set aside
 Applications reviewed in CSR along with unsolicited
grant applications
When Preparing an Application
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Read and follow instructions
Never assume that reviewers will “know what you mean”
Refer to literature thoroughly; demonstrate expertise
State rationale of proposed investigation
Include discussions of interpretations, pitfalls, alternative
approaches
Include well-designed tables and figures ( )
Present an organized, lucid write -up (neatness counts)
Obtain pre-review from faculty at your institution
don
don’t’t cra
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Common Problems in Applications
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Insufficient preliminary data (R01, etc)
Diffuse, superficial, or unfocused research plan
Absence of an acceptable scientific rationale
Lack of justification re. physiological relevance
Questionable reasoning in experimental approach
Lack of experience in the essential methodology
Lack of sufficient experimental detail
Uncritical approach
Unrealistically large amount of work
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Lack of knowledge of published relevant work
Lack of new or original ideas
Uncertainty concerning future directions
How NIH Staff Can Help You
CSR Scientific Review Administrator
(SRA)
Before review
Advice on study section, amount of
preliminary data, supplementary data, etc.
How NIH Staff Can Help You
Institute Program Officer
Before review
Scientific advice on proposed Aims; on revised
Aims; on study section, etc.
After review
– Discuss review, summary statement, revision
– Provide information on payline, funding status
– Rarely – help with funding outside the payline
How NIH Staff Can Help You
Use the Institute Program Officer
as your point person at NIH
NIH GUIDE
for Grants
and Contracts
U.S. Department of Health and Human Services
 Announces NIH Scientific Initiatives
(solicited research programs)
 Provides NIH Policy and Administrative Information
(including not-infrequent changes)
Spend some time at
the NIH and NIAID
websites!
Websites
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NIH Home Page: www.nih.gov
Training/Career Development: www.training.nih.gov
Grant Guidelines/Forms:
www.nih.gov/grants/documentindex.htm
How to Write a Grant:
www.niaid.nih.gov/ncn/grants/write/index.htm
NIH Guide:
http://grants.nih.gov/grants/guide/index.html
NIAID Solicited Biodefense Research Programs:
www.niaid.nih.gov/biodefense
New Immunology IRG
New Study Sections: est. June 2004
Innate Immunity & Inflammation (III)
Immunity & Host Defense (IHD)
Cellular & Molecular Immunology (CMI)-A
Cellular & Molecular Immunology (CMI)-B
Hypersensitivity, Autoimmune & Immune-Mediated Diseases
(HAI)
Transplantation, Tolerance & Tumor Immunology (TTT)
Vaccines Against Microbial Diseases (VMD)
F32 Postdoctoral Grants