NIH Career Development Awards Workshop
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NIH Career Development Awards Workshop NIH Career Transition Awards: Enabling Your Success Joan M. Lakoski, Ph.D. University of Pittsburgh Vanderbilt University Medical Center November 16, 2006 NIH Career Transition Awards GOAL:

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NIH Career Development Awards Workshop

NIH Career Transition Awards:

Enabling Your Success

Joan M. Lakoski, Ph.D.University of Pittsburgh

Vanderbilt University Medical Center

November 16, 2006


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NIH Career Transition Awards

GOAL:

  • To provide guidance on applications for NIH career development (“K”) awards of relevance to basic scientists, including the

    NIH Pathway to Independence (K99/R00) Award


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Workshop Objectives

By the completion of this session, participants should be able to

  • Choose the appropriate type of K Award for their career stage & situation.

  • Complete an application for a NIH career transition award.

  • Submit an application using strategies for a successful grant proposal.


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Workshop Overview

  • Navigating NIH

  • Inside the Study Section Process

  • Anatomy of an Application

  • 15 Steps to the Payline

  • Questions & Discussion


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NIH Career Transition Awards

Understanding NIH

http://www.nih.gov/about/maps.html


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Navigating NIH

  • Structure of NIH

  • Grant reviews

  • The Study Section

Poster by L. Azzinarohttp://www.nih.gov/od/museum/exhibits/history/


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National Institutes of Health (NIH)

  • Agency of the US Public Health Service

  • Mission: research, training, education

  • 19 Institutes + other components

  • Director: Elias Zahouni, M.D.

  • Budget (FY06) = $28,845 million


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National Institutes of Health (NIH)

Functional Divisions:

Intramural Research Program

  • research within NIH Institutes: ~10% budget

  • administration & support: ~9% budget

    Extramural Research Program

  • external research & training: ~81% budget


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NINDS — a typical Institute

National Institute of Neurological Diseases & Stroke (NINDS)

Advisory Council:

  • oversees institute

    Division of Intramural Research:

  • NINDS research labs in Bethesda

    Division of Extramural Research:

  • grants & contracts for external research


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NINDS — a typical Institute

Division of Extramural Research:

  • organized into Programs

    • each responsible for an area of research

  • Program Officers:

    • administer funded grants in their area

Cultivating the interest and support of program officers is essential!


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NIH — Extramural Support

Research Project Grants (~50% budget):

R01: single investigator

P01: Program Project

Other Types:

Center Grants: 9% budget

Contracts: 9% budget


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NIH — Career Development Awards

K Awards:

  • support for career development

  • ~ 2% budget: $624 million (FY06)

  • wide range of types:

    • currently 14 (K01-K99)

  • for clinicians & basic scientists

  • for junior & senior faculty


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NIH: grant/career timeline

post doc

resident

juniorfaculty

seniorfaculty

student

training:

F31

F32

K Awards (career dev)

research:

R01

P01


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K Awards

Why should you be interested?

  • K awards:

    • foster basic, clinical & patient-oriented research

    • provide partial funding for salaries


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K Awards

Success Rates: all K awards


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K Awards

For mentored career development:

  • clinicians: K08, K23, K24

  • basic scientists: K01

For career transition:

  • basic scientists: K02, K22

  • Pathway to Independence: K99/R00


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NIH Grants: Information

General:

http://www.nih.gov/grants/guide/index.html

  • search on mechanism of interest and applicable institute

    K Awards:

    “K kiosk”

    http://grants1.nih.gov/training/careerdevelopmentawards.htm


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NIH Grants: Information

Distribution of K Awards by NIH Institute

Contact the appropriate Program Officer first!


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K Awards

Mentored career development:

  • development of junior faculty

  • dedicated mentor is essential for

    • successful application

    • successful outcome

  • clinicians & basic scientists


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Mentored Research Scientist Award

K01

IndependentScientist Award

Career Transition Award

K02

K22

K Awards: for basic scientists

Independentinvestigator

Faculty —>

Postdoc.

Ph.D.


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potential for productive independent research

mentor with extensive research experience

75% effort over 3-5 years

differences among Institutes

K Awards for basic scientists

K01: Mentored Research Scientist Award

— career development in a new area of research

images © 2002 www.arttoday.com


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salary support for newly independent scientists

must have peer-reviewed research support

75% effort for 5 years

K Awards for basic scientists

K02: Independent Scientist Award

— develop career of funded scientists

images © 2002 www.arttoday.com


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potential for productive independent research

differences among Institutes: may involve training in intramural NIH programs

K Awards for basic scientists

K22: Career Transition Award

— support for postdoctoral fellows in transition to faculty positions

images © 2002 www.arttoday.com


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K Awards for basic scientists

Success rates:


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NIH Career Transition Awards

NIH Pathway to Independence (PI) Award Program (PA-06-133)K99/R00 (Kangaroo) Award

Designed to facilitate receiving an R01 award earlier in an investigator’s research career


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First Major Independent Research Support Occurs at an Ever-Later Age

Average Age of Initial Type 1 R01/R23/R29 Award for Different Degrees Held

45

44

44

43

42

42

M.D.-Ph.D.

41

M.D.

Average age

40

40

Ph.D.

39

38

38

37

37

36

35

1980

1981

1982

1983

1984

1985

1986

1987

1988

1989

1990

1991

1992

1993

1994

1995

1996

1997

1998

1999

2000

2001

2002

2003

Fiscal Year

For more information, see http://grants.nih.gov/grants/20040712_New_Investigator_Talk.ppt


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Developing a Successful K99/R00 Application

Overall Goal of Initiative

To facilitate a new investigator’s ability to transition from a postdoctoral status to an independent scientist capable of applying for an receiving their first R01 and securing a stable research position


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Facilitating the grant/career timeline

post doc

resident

juniorfaculty

seniorfaculty

student

training:

F31

F32

K Awards (career dev)

Combining the K and R

research:

R01

P01


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K99/R00 Award

  • Provides up to five years of support consisting of two phases:

    • Initial 1-2 years of mentored support for highly promising postdoctoral research scientists (K99 Phase)

    • Followed by up to 3 years of independent support contingent on securing an independent research position (R00 Phase)


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Mentored (K99) Phase

  • Will provide 1-2 years for mentored support for highly promising postdoctoral research scientists who have terminal clinical or research doctorates

  • Total cost per year up to $90,000

  • This phase may be submitted on behalf of candidate by wide range, but not foreign institutions

  • U.S. citizens and non-U.S. citizens eligible


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Independent Investigator (R00) Phase

  • Transition from K99 to R00 (years 3-5) is to be continuous in time

  • Activation of R00 Phase requires offer and acceptance of a tenure-track, full time assistant professor position (or equivalent)

  • Transition is subject to administrative review of progress and evaluation of research plan


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Independent Investigator (R00) Phase

  • Application may be submitted on behalf of PI by universities etc but not Federal and foreign institutions

  • Total cost for independent investigator phase may not exceed $249,000 per year

  • Institution must demonstrate commitment to candidate (minimum 75% effort, space, etc.)

  • PI expected to apply for independent research grant support


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Current Status of NIH Pathway to Independence Awards*

  • Number of applications received

    • April 7 = 445

    • June 1 = 229

  • Number of Awards Anticipated = 177

  • Success rate = 40%

* Excludes data from October 1 2006 submission deadline


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Review Criteria:Mentored (K99) Phase

  • Candidate

  • Career development plan

  • Research plan

  • Mentor

  • Environment & Institutional Commitment to the Candidate

  • Training in Responsible Conduct of Research

  • Letters of Reference and Mentor(s) statements

    8. Plans to Evaluate Progress


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Comparison of K22 and K99/R00 Awards


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Know Your K: Navigating NIH

  • Structure of NIH

  • Grant reviews

  • The Study Section

http://www.csr.nih.gov/about/about.htm


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6

4

5

3

1

2

Council

Program

NIH Institute

The Grant Triangle

Investigator

application

funding

Home Institution

StudySection

NIH

1.an application is initiated & prepared by an investigator

2.application is submitted to NIH through the investigator’s home institution

3.a NIH study section reviews the proposal & the score is sent to a NIH Institute

4.the Institute Council decides whether to fund the grant

5.an Institute Program sends funding for the grant to the home institution

6.the home institution administers the grant for the investigator


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The Grant Review Process

Important Concepts:

  • applications must be submitted from a recognized institution

  • each application has two independent reviews within NIH: “Dual Review”

  • funding goes to the investigator’s home institution not the investigator


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The Grant Review Process

Dual Review:

  • Study Section:

    • scientific merit

    • written review & score

  • Institute Council:

    • significance, programmatic merit

    • approval for funding


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The Grant Review Process

Center for Scientific Review (CSR):

  • independent unit within NIH

    • separate from Institutes

  • administers review panels (Study Sections)

  • receives & assigns applications:

    • to Study Sections for review

    • to Institutes for funding

http://www.csr.nih.gov/welcome.htm


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Know Your K: Navigating NIH

  • Structure of NIH

  • Grant reviews

  • The Study Section

images © 2002 www.arttoday.com • http://www.csr.nih.gov/welcome.htm


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The Study Section

Members:

  • working scientists (~15-20)

  • one member serves as Chair

    Scientific Review Administrator (SRA)

  • NIH (CSR) staff person

  • assigns grants to reviewers, collates reviews

    Meetings:

  • 1-2 days, 3 times per year


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The Study Section

Assignments:

  • primary & secondary: written reviews

  • tertiary (“reader”): read & comment

    Review Criteria

  • defined for each application type

    Priority Scores:

  • scale: 100 (best) to 500 (worst)


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Sequence of Review

  • moderated by Chair

  • reviewers indicate enthusiasm

  • primary & secondary reviewers present

  • tertiary reviewer comments

  • open discussion

  • members score application

  • SRA writes summary of discussion


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Review Criteria:Mentored (K99) Phase

  • Candidate

  • Career development plan

  • Research plan

  • Mentor

  • Environment & Institutional Commitment to the Candidate

  • Training in Responsible Conduct of Research

  • Letters of Reference and Mentor(s) statements

    8. Plans to Evaluate Progress


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The Next Steps

Reviews:

  • collated by SRA & sent to Program Officer, who sends to applicant (“pink sheets”)

    Payline:

  • determined by funding available to Institute

    Council:

  • sets payline, approves grants for funding

    Funding:

  • Notice of Award sent to applicant


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NIH Career Transition Awards

Anatomy ofan Application


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Application Package: PHS 398

Download forms:

  • http://grants1.nih.gov/grants/funding/phs398/phs398.html

    • use for Oct 2006 & Feb 2007 deadlines

    • electronic submission: June 2007


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Application Package: PHS 398

Instructions:

  • download from same source

  • includes additional instructions for K Awards

Read the Instructions!

Consult with an interested Program Officer


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PHS 398: General Instructions

Format:

  • single-sided, single-spaced

  • only material that can be photocopied

    • photographs etc —> Appendix

  • number pages consecutively

  • specific fonts & sizes required

Applications that do not conform may be returned without review!


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K Award Application: Face Page

Candidate’s name

Candidate’s signature


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K Award Application: Page 2

  • Abstract:

    • career goals

    • development plan

    • research project


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K Award Application: Page 2 (cont)

  • Key Personnel:

    • candidate

    • mentor


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K Award Application: Page 3

  • Table of Contents:

    • must use substitute pagefor K Awards

    • lists special information required for application


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Section I. Basic Administrative Data

Section II. Specialized Information

K Award Application: Two sections


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K Award Application: Page 5

  • Budget:

    • only complete page 5: budget for entire period

    • consult with Program Officer about allowed expenses

    • justify budget


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K Award Application: Biosketch

  • Must include:

    • Education

    • Research and/or professional exp.

    • Employment

    • Honors

    • Professional Societies

    • Publications


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K Award Application: Other Support

  • biosketch for mentor must include list of research support relevant to candidate’s research plan


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K Award Application: Resources

  • important to establish feasibility of candidate’s research project


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K Award Application: Section II

  • Specialized Information:

    • Candidate

    • Statement by Mentor

    • Environment & Institutional Commitment

    • Research Plan


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Preparing a Successful K99/R00 Application

  • Write to the review criteria

  • Applicants are advised to distinguish the research components for the K99 and R00 phases: separate research projects (and specific aims) into 2 phases


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Review Criteria:Mentored (K99) Phase

  • Candidate

  • Career development plan

  • Research plan

  • Mentor

  • Environment & Institutional Commitment to the Candidate

  • Training in Responsible Conduct of Research

  • Letters of Reference and Mentor(s) statements

    8. Plans to Evaluate Progress


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K Award Application: Section II

The Candidate:

  • Candidate’s Background

    • additional information not in biosketch

  • Career Goals & Objectives

    • “Scientific Biography”

    • how training will fit career development

  • Career Development/Training Activities

    • new skills & knowledge to be learned

    • must include training in Responsible Conduct in Research (RCR)


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K Award Application: Section II

Statement(s) by Sponsor/Mentor:

  • Description of Training Program

    • include activities other than research

    • sponsor’s experience as mentor

    • concurrent responsibilities

    • assurance of release from duties

    • source of support for research project

  • List other collaborators, consultants

    • letters from each


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K Award Application: Section II

Environment & Institutional Commitment:

  • Description of Institutional Environment

    • strong relevant research program

    • availability of resources

    • intellectual interactions

  • Institutional Commitment

    • adequate support from institution

    • adequate resources

    • commitment to candidate


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K Award Application: Section II

Institutional Commitment:

  • The applicant organization must agree to

    • release the candidate from other duties to devote the required effort to the program

    • provide the candidate with appropriate resources (lab, office, equipment etc)

    • provide time & support for the sponsor

  • Agreement must be signed by appropriate Institutional Official


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K Award Application: Section II

Research Plan:

  • Statement of Hypothesis & Specific Aims

  • Background, Significance & Rationale

  • Preliminary Studies & Any Results

  • Research Design & Methods


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Crafting a Successful Proposal

Communication!

  • Why is this study important?

  • Are the experiments feasible?

  • What will be accomplished?

  • How will it change the field?

Keep it simple, concise & logical!


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Crafting a Successful Proposal

Communicate to your audience:


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Crafting a Successful Proposal

Design a clear experimental plan:

  • have a clearly stated, testable hypothesis

  • keep the proposal focused

  • indicate outcomes: what will you learn?

  • anticipate pitfalls; outline alternatives

  • provide a timeline: limit the experiments to what can be accomplished within the time period


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K Award Application

Reference Letters:

  • required for K01, K08, K22, K23 and K99 (mentored) applications

  • three (3) letters from individuals other than those involved in the application

    • i.e., not sponsor/mentor or collaborators

  • should address candidate’s competence & potential as an independent investigator


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K Award Applications

Reference Letters:

  • new guidelines include form letter to request letters of reference


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Tips for Best Reference Letters

  • develop effective working relationships with potential referees

  • keep your referees updated on your progress

  • make your referees’ job easy, provide:

    • current CV, reprints

    • draft of proposal

Remember: this is a personal & professional relationship that may last your entire career


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K Award Application: Appendix

Appendix can include:

  • material that cannot be photocopied

  • up to 6 reprints or preprints of papers

  • need 5 collated sets

Assume that reviewers may NOT read appendix material!


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K Award Application: Submission

Application package must include:

  • original application, with required signatures

  • 5 exact copies (single-sided) of the complete application

  • at least 3 sealed letters of reference

  • 5 collated sets of appendix material


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applications must be received by or mailed on or before the receipt date

proof of mailing: postmark or dated receipt from mail carrier

Receipt

Review

Council

Start

Feb 1

June-July

Sept-Oct

December

June 1

Oct-Nov

Jan-Feb

April

October 1

Jan-Feb

May-June

July

K Award Application: Submission

Deadlines & Review Cycles:


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Electronic Grant Submission

  • fully electronic submission process

    • through Grants.gov website

  • being phased in:

    • February 2007: R01

    • June 2007: K awards

    • August 2007: Fellowship Awards

  • for more information see:

    http://era.nih.gov/ElectronicReceipt/


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Review Criteria:Mentored (K99) Phase

  • Candidate

  • Career development plan

  • Research plan

  • Mentor

  • Environment & Institutional Commitment to the Candidate

  • Training in Responsible Conduct of Research

  • Letters of Reference and Mentor(s) statements

    8. Plans to Evaluate Progress


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NIH Career Transition Awards

15Steps tothe Payline

images © 2002 www.arttoday.com


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15 Steps to the Payline

Start the Application

Step 1

  • An Idea

  • A Mentor

  • An Institution


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15 Steps to the Payline

Have the Right Attitude

Step 2

images © 2002 www.arttoday.com


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15 Steps to the Payline

Find Information & Make Connections

Step 3


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15 Steps to the Payline

Frame the Question

Step 4

Specific Aims

A Testable Hypothesis


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15 Steps to the Payline

Define the Goals

Step 5

Research & Training Programs

What you’ll accomplish

What you’ll learn


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15 Steps to the Payline

Contact References

Step 6


15 steps to the payline92 l.jpg

Specific Aims

Background &Significance

ExperimentalPlan

15 Steps to the Payline

Stock the Reservoirs

Step 7


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15 Steps to the Payline

Write the First Draft

Step 8

images © 2002 www.arttoday.com


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SpecificAim # 1

SpecificAim # 2

SpecificAim # 3

15 Steps to the Payline

Build a Model

Step 9

from Dazzle’Em With Style Robert Anholt


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Mentor

Student

Advisor

Colleague

Faculty

15 Steps to the Payline

Get Feedback

Step 10

Applicant


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15 Steps to the Payline

Step 11

Comply with the Regulations

Assurances/Certifications

  • Human Subjects

  • Animal Welfare

“Blue Sheet”


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Mentor’s Statement

X

X

X

Environment & Institution

Feedback on draft

15 Steps to the Payline

Manage your Mentor

Step 12

Sponsor’s Checklist


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15 Steps to the Payline

Proof & Check

Step 13


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15 Steps to the Payline

Submit the Proposal

Step 14

http://www.fedex.com/us/about/justforyou/journalists/photos.html


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Reject

Reapply

Funded

15 Steps to the Payline

Move Forward

Step 15

The Decision


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K Awards: Review Criteria

  • Candidate

  • Career development plan

  • Research plan

  • Mentor

  • Environment & Institutional commitment

  • Budget


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15 Steps to the Payline

Checklist:


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NIH Career Transition Awards

Acknowledgements:

Dr. Robert J. Milner

Office of Professional Development

Penn State College of Medicine

The Office of Academic Career Development

University of Pittsburgh Schools of the Health Sciences


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