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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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slide1
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
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

workshop objectives
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.
workshop overview
Workshop Overview
  • Navigating NIH
  • Inside the Study Section Process
  • Anatomy of an Application
  • 15 Steps to the Payline
  • Questions & Discussion
nih career transition awards5
NIH Career Transition Awards

Understanding NIH

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

navigating nih
Navigating NIH
  • Structure of NIH
  • Grant reviews
  • The Study Section

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

national institutes of health nih
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
national institutes of health nih8
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
ninds a typical institute
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
ninds a typical institute10
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!

nih extramural support
NIH — Extramural Support

Research Project Grants (~50% budget):

R01: single investigator

P01: Program Project

Other Types:

Center Grants: 9% budget

Contracts: 9% budget

nih career development awards
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
nih grant career timeline
NIH: grant/career timeline

post doc

resident

juniorfaculty

seniorfaculty

student

training:

F31

F32

K Awards (career dev)

research:

R01

P01

k awards
K Awards

Why should you be interested?

  • K awards:
    • foster basic, clinical & patient-oriented research
    • provide partial funding for salaries
k awards15
K Awards

Success Rates: all K awards

k awards16
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
nih grants information
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

nih grants information18
NIH Grants: Information

Distribution of K Awards by NIH Institute

Contact the appropriate Program Officer first!

k awards19
K Awards

Mentored career development:

  • development of junior faculty
  • dedicated mentor is essential for
    • successful application
    • successful outcome
  • clinicians & basic scientists
k awards for basic scientists
Mentored Research Scientist Award

K01

IndependentScientist Award

Career Transition Award

K02

K22

K Awards: for basic scientists

Independentinvestigator

Faculty —>

Postdoc.

Ph.D.

k awards for basic scientists21
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

k awards for basic scientists22
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

k awards for basic scientists23
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

nih pathway to independence pi award program pa 06 133 k99 r00 kangaroo award
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

slide26
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

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42

M.D.-Ph.D.

41

M.D.

Average age

40

40

Ph.D.

39

38

38

37

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36

35

1980

1981

1982

1983

1984

1985

1986

1987

1988

1989

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1991

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1997

1998

1999

2000

2001

2002

2003

Fiscal Year

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

overall goal of initiative
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

facilitating the grant career timeline
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

k99 r00 award
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)
mentored k99 phase
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
independent investigator r00 phase
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
independent investigator r00 phase33
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
current status of nih pathway to independence awards
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

review criteria mentored k99 phase
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

know your k navigating nih
Know Your K: Navigating NIH
  • Structure of NIH
  • Grant reviews
  • The Study Section

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

the grant triangle
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

the grant review process
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
the grant review process41
The Grant Review Process

Dual Review:

  • Study Section:
    • scientific merit
    • written review & score
  • Institute Council:
    • significance, programmatic merit
    • approval for funding
the grant review process42
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

know your k navigating nih44
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

the study section
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
the study section46
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)
sequence of review
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
review criteria mentored k99 phase48
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

the next steps
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
nih career transition awards52
NIH Career Transition Awards

Anatomy ofan Application

application package phs 398
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
application package phs 39854
Application Package: PHS 398

Instructions:

  • download from same source
  • includes additional instructions for K Awards

Read the Instructions!

Consult with an interested Program Officer

phs 398 general instructions
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!

k award application face page
K Award Application: Face Page

Candidate’s name

Candidate’s signature

k award application page 2
K Award Application: Page 2
  • Abstract:
    • career goals
    • development plan
    • research project
k award application page 2 cont
K Award Application: Page 2 (cont)
  • Key Personnel:
    • candidate
    • mentor
k award application page 3
K Award Application: Page 3
  • Table of Contents:
    • must use substitute pagefor K Awards
    • lists special information required for application
k award application page 5
K Award Application: Page 5
  • Budget:
    • only complete page 5: budget for entire period
    • consult with Program Officer about allowed expenses
    • justify budget
k award application biosketch
K Award Application: Biosketch
  • Must include:
    • Education
    • Research and/or professional exp.
    • Employment
    • Honors
    • Professional Societies
    • Publications
k award application other support
K Award Application: Other Support
  • biosketch for mentor must include list of research support relevant to candidate’s research plan
k award application resources
K Award Application: Resources
  • important to establish feasibility of candidate’s research project
k award application section ii
K Award Application: Section II
  • Specialized Information:
    • Candidate
    • Statement by Mentor
    • Environment & Institutional Commitment
    • Research Plan
preparing a successful k99 r00 application
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
review criteria mentored k99 phase67
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

k award application section ii68
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)
k award application section ii69
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
k award application section ii70
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
k award application section ii71
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
k award application section ii72
K Award Application: Section II

Research Plan:

  • Statement of Hypothesis & Specific Aims
  • Background, Significance & Rationale
  • Preliminary Studies & Any Results
  • Research Design & Methods
crafting a successful proposal
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!

crafting a successful proposal74
Crafting a Successful Proposal

Communicate to your audience:

crafting a successful proposal75
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
k award application
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
k award applications
K Award Applications

Reference Letters:

  • new guidelines include form letter to request letters of reference
tips for best reference letters
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

k award application appendix
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!

k award application submission
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
k award application submission81
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:

electronic grant submission
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/

review criteria mentored k99 phase83
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

nih career transition awards85
NIH Career Transition Awards

15Steps tothe Payline

images © 2002 www.arttoday.com

15 steps to the payline
15 Steps to the Payline

Start the Application

Step 1

  • An Idea
  • A Mentor
  • An Institution
15 steps to the payline87
15 Steps to the Payline

Have the Right Attitude

Step 2

images © 2002 www.arttoday.com

15 steps to the payline88
15 Steps to the Payline

Find Information & Make Connections

Step 3

15 steps to the payline89
15 Steps to the Payline

Frame the Question

Step 4

Specific Aims

A Testable Hypothesis

15 steps to the payline90
15 Steps to the Payline

Define the Goals

Step 5

Research & Training Programs

What you’ll accomplish

What you’ll learn

15 steps to the payline91
15 Steps to the Payline

Contact References

Step 6

15 steps to the payline92
Specific Aims

Background &Significance

ExperimentalPlan

15 Steps to the Payline

Stock the Reservoirs

Step 7

15 steps to the payline93
15 Steps to the Payline

Write the First Draft

Step 8

images © 2002 www.arttoday.com

15 steps to the payline94
SpecificAim # 1

SpecificAim # 2

SpecificAim # 3

15 Steps to the Payline

Build a Model

Step 9

from Dazzle’Em With Style Robert Anholt

15 steps to the payline95
Mentor

Student

Advisor

Colleague

Faculty

15 Steps to the Payline

Get Feedback

Step 10

Applicant

15 steps to the payline96
15 Steps to the Payline

Step 11

Comply with the Regulations

Assurances/Certifications

  • Human Subjects
  • Animal Welfare

“Blue Sheet”

15 steps to the payline97
Mentor’s Statement

X

X

X

Environment & Institution

Feedback on draft

15 Steps to the Payline

Manage your Mentor

Step 12

Sponsor’s Checklist

15 steps to the payline98
15 Steps to the Payline

Proof & Check

Step 13

15 steps to the payline99
15 Steps to the Payline

Submit the Proposal

Step 14

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

15 steps to the payline100
Reject

Reapply

Funded

15 Steps to the Payline

Move Forward

Step 15

The Decision

k awards review criteria
K Awards: Review Criteria
  • Candidate
  • Career development plan
  • Research plan
  • Mentor
  • Environment & Institutional commitment
  • Budget
nih career transition awards103
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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