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Navigating the K Award Process CTSI K Award Workshop
July 26, 2012
Carol Mangione, MD, MSPH Professor of Medicine and Public Health
Career Development Awards (K Awards) for Individuals with a Health-Professional Doctorate
Types of CDAs • K01: To qualify, you need to be a clinician or Ph.D. in the
fields of epidemiology and outcomes research and must have accomplished independent research experience after earning your degree.
• K08: You are seeking salary and research support for full time supervised career development in health related research that does not involve patients.
• K12: Provides support to an institution for the development of independent scientists. Most, but not all K12 s focus on the careers of physician scientists (required element in CTSA).
Types of CDAs • K23: You have completed specialty training and are
seeking salary and research support for full time supervised career development in patient oriented research
• K99/R00: Purpose is to provide an opportunity for scientists to receive both a 1 to 2 year “mentored” K (phase 1) and a 3 year independent “R” (phase 2) in the same award. To qualify, you must have a clinical or research doctorate and no more than five years of postdoctoral research training at the time of application.
• See the K award wizard to help you select the correct mechanism:
• http://grants.nih.gov/trainingcareerdevelopmentawards.htm • Diversity Supplements: After administrative review these
are added onto a funded grant, with extra resources for the trainee to develop and conduct mentored research
*
Timing: When to Apply to NIH:
Timing: When to Apply to Institution:
Time Commitment and Salary Caps
• Time Commitment: • 75% full time effort (50% for neurosurgeons)
• Salary Cap increased to: • 95K for K08 and K23 and 105K for K02 (May 18, 2012, NOT-NS-12-018)
Support from Other Awards: NOT-NS-09-015 • “Within the first 3 years of a mentored K award, those who obtain an R01 or federal equivalent, may obtain up to 80% of their institutional base salary, as long as the R01 represents an expansion of the K award project” • “A minimum of 75% effort must still be devoted to the K award during the first 3 years of support.” • “During the final two years of the K, additional salary may be obtained from the awarded R01, or from another R01, for effort exceeding the 80% level. If appropriate or desired, the level of effort on the mentored K award may be reduced to a minimum of 50% during the last two years of the award.” • If you have R01 support during the final 2 years of the K…In accordance with present NIH policy, additional salary support may also be obtained from the R01 or federal equivalent
Additional Salary Support while on a CDA
• During the last two years of a mentored career development award (K01, K08, K22, K23, K25), NIH will permit you to receive concurrent salary support from any peer-reviewed grant from any federal agency, if you meet the following criteria: • You are a PI on a competing research project grant, or
director of a subproject on a multi-component grant, from NIH or another Federal agency.
• Your K award is active. • Under those circumstances, you may reduce your K
award's time and effort to 50% person months.
Governmental Alphabet Soup
• NIH - National Institutes of Health • AHRQ - Agency for Healthcare Research
and Quality • PCORI – Patient Centered Outcomes
Research Institute • RFA - Request for application • RFP - Request for proposals • PA - Program announcement
Approach of the NIH U.S. Government
Congressional Appropriation
NIH funds allocated to each institute
Investigator Initiated Institute Initiated
RO-1 K awards NRSA
RFP - contracts RFA - grants
Organization of the NIH • Establish relationships with the program officers
at the institutes in your research area • Each Institute handles career development funds
in slightly different ways – Review their websites • 2 parts:
• Program- Includes the Institutes that set the research priorities
• Review - CSR or Center for Scientific Review • Evaluates the scientific merits of the proposals • http://www.csr.nih.gov
NIH Review Process
• Takes about 9-10 months at best • Initial Administrative review • Importance of the title and “steering the proposal” • Peer Review - Study sections made up of scientists
from universities and other institutions • Most applications are not funded on the first round • You can resubmit up to 2 times within 37 months
of the original submission
NIH Review Process
• Final decision by Council -- where the previous contact with administrators can matter!
• If successful, final administrative procedures to set up the budget
• K-08 and K-23 and NRSAs are specifically designed to train and advance the careers of junior and mid-level faculty
Approach of the NIH RO-1, NRSA, or K application
CSR assigns the application to 1) Study Section 2) An Institute
Study Section assigns a Priority Score (1-9)
Institute uses the Priority Score to rank the application among those received from various study sections
Advisory Council reviews the priorities
Applications are funded in order of priority until the money runs out!
Funding Climate
NUMBER OF RESEARCH CAREER AWARDS*
* Includes both individual and institutional awards. The actual number of individual participants is higher.
Fiscal Year
Num
ber
of
Aw
ards
TOTAL AND AVERAGE AWARD AMOUNT OF INDIVIDUAL RESEARCH CAREER AWARDS
Fiscal Year
Tot
al A
war
d A
mou
nt
(in m
illio
ns)
Ave
rage
Aw
ard
Am
ount
(in
thou
sand
s)
Total Award Amount
Average Award Amount
TOTAL COMPETING DOLLARS AWARDED TO RESEARCH CAREER ACTIVITIES
Award Amou
nt
(in m
illions)
Fiscal Year
TOTAL FUNDING FOR COMPETING RESEARCH CAREER AWARDS
BY INSTITUTES AND CENTERS
Fiscal Year
Par2cipa2ng NIH Ins2tutes and Centers
Fund
ing
(in
mill
ions
)
NUMBER OF INDIVIDUAL RESEARCH CAREER AWARDS
BY INSTITUTES AND CENTERS
Fiscal Year
NIH Institutes and Centers
Num
ber of Awards
K01s APPLICATIONS, AWARDS, & SUCCESS RATES
K08s APPLICATIONS, AWARDS, & SUCCESS RATES
K23s APPLICATIONS, AWARDS, & SUCCESS RATES
One Award Only
NIH CAREER DEVELOPMENT (K) GRANTSCompeting Applications, Awards, Success Rates and Total Funding
by NIH Institutes/Centers and Activity Code Made with Direct Budget Authority FundsFiscal Year 2010
Number of Applications
Reviewed
Number of Applications
Awarded
Success Rate Total Funding
K01 465 185 39.8% $24,377,709
K08 480 211 44.0% $30,787,581
K23 558 211 37.8% $31,635,065
See Table #204 at “report.nih.gov/FileLink.aspx?rid=551” for more details.
NIH CAREER DEVELOPMENT (K) GRANTS Competing Applications, Awards, Success Rates and Total Funding
by NIH Institutes/Centers and Activity Code Made with Direct Budget Authority FundsFiscal Year 2011
Number of Applications
Reviewed
Number of Applications
Awarded
Success Rate Total Funding
K01 441 151 34.2% $19,779,309
K08 425 177 41.6% $26,461,116
K23 599 203 33.9% $31,036,760
See Table #204 at “report.nih.gov/FileLink.aspx?rid=551” for more details.
K01 APPLICATIONS AND AWARDS BY PARTICIPATING INSTITUTES AND CENTERS
FY 2007
Participating NIH Institutes and Centers
Num
ber
of A
pplic
atio
ns/
Aw
ards
Applications
Awards
K23 APPLICATIONS AND AWARDS BY PARTICIPATING INSTITUTES AND CENTERS
FY 2007
Participating NIH Institutes and Centers
Num
ber
of A
pplic
atio
ns/
Aw
ards
Applications
Awards
Diversity Supplements FY07 *
*
Diversity Supplements FY07 *
First steps in K proposal preparation
• Requires several months of reading, organizing, writing, and revising
• Check NIH REPORTER to make sure that your proposed study is not already underway
• Decide where will it go and/or who your audience is
First steps in K proposal preparation
• Pick a mentor and organize the project team • Will more than one person be writing? • Make sure to include co-mentors with the main areas of
expertise needed to design and complete the study-- step back and think carefully about what areas are critical to cover
• Give considerable thought to the curricular agenda. Which content areas will advance your career the most?
• Decide early on whether matriculating a degree will be part of the plan – the desirability of this varies by institute so ask!
Key Personnel • PI or Mentee:
• Has ultimate authority and accountability for the study. • The day-to-day manager of the study. • Usually is an entry level faculty member who is gaining the
needed experience and publications to become a PI on RO-1s • Mentor:
• Granting agencies look carefully at this person’s track record and experience both as a researcher and a mentor.
• This will usually be a senior scientist (i.e. Associate Professor or higher)
• Most competitive if this person is already funded as a PI at the same institute…or at least one of the institutes.
First steps in K proposal preparation
• EARLY ON talk to the scientific administrator! • Follow the written guidelines from the funder carefully
• Outline of the structure • Page limits • Font sizes • Funding limits • Elements that must be included • Priority areas
Get Organized
• Work from an outline • Establish a timeline for completing the proposal - make
time to work on this • Have the mentorship team meet periodically • Give assignments with deadlines • Make deadlines for yourself • Find a model proposal
• recently funded by the same agency • look over the reviews if you can get a hold of them
• REVIEW, PRETEST, REVISE REPEATEBLY
Questions?
More coming up from Dr. Salusky on proposal preparation and Dr. Norris on the review process