02 mangione ctsi k award_7_12

Navigating the K Award ProcessCTSI K Award Workshop

July 26, 2012

Carol Mangione, MD, MSPH

Professor of Medicine and Public Health

Career Development Awards (K Awards) for Individualswith 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 NIHU.S. Government

Congressional Appropriation

NIH funds allocated to each institute

Investigator Initiated Institute Initiated

RO-1K awardsNRSA

RFP - contractsRFA - 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 to1) Study Section2) 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

0

500

1,000

1,500

2,000

2,500

3,000

3,500

4,000

4,500

1998 1999 2000 2001 2002 2003 2004 2005 2006 2007

NUMBER OF RESEARCH CAREER AWARDS*

* Includes both individual and institutional awards. The actual number of individual participants is higher.

Fiscal Year

Nu

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f A

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ds

TOTAL AND AVERAGE AWARD AMOUNT OF INDIVIDUAL RESEARCH CAREER AWARDS

$0

$100

$200

$300

$400

$500

$600

$700

$800

1998 1999 2000 2001 2002 2003 2004 2005 2006 2007

$0

$20

$40

$60

$80

$100

$120

$140

$160

Fiscal Year

Tot

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war

d A

mou

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(in

mil

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s)

Ave

rage

Aw

ard

Am

oun

t(i

n t

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san

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Total Award Amount Average Award Amount

TOTAL COMPETING DOLLARS AWARDED TO RESEARCH CAREER ACTIVITIES

$0

$100

$200

$300

$400

$500

$600

$700

1998 1999 2000 2001 2002 2003 2004 2005 2006 2007

KL2

KL1

K99

K30

K26

K25

K24

K23

K22

K20

K18

K17

K16

K15

K14

K12

K11

K08

K07

K06

K05

K04

K02

K01

Awar

d Am

ount

(in m

illio

ns)

Fiscal Year

TOTAL FUNDING FOR COMPETING RESEARCH CAREER AWARDS BY INSTITUTES AND CENTERS

Fiscal Year

Participating NIH Institutes and Centers

Fu

nd

ing

(in

mil

lion

s)

NUMBER OF INDIVIDUAL RESEARCH CAREER AWARDS

BY INSTITUTES AND CENTERS

Fiscal Year

NIH Institutes and Centers

Num

ber o

f Aw

ards

K01s APPLICATIONS, AWARDS, & SUCCESS RATES

0

100

200

300

400

500

600

700

1998 1999 2000 2001 2002 2003 2004 2005 2006 2007

Fiscal Year

App

licati

ons

and

Aw

ards

0%

5%

10%

15%

20%

25%

30%

35%

40%

45%

50%

Succ

ess

Rate

Reviewed Awarded Success Rate


0

100

200

300

400

500

600

700

1998 1999 2000 2001 2002 2003 2004 2005 2006 2007

Fiscal Year

App

licati

ons

and

Aw

ards

0%

10%

20%

30%

40%

50%

60%

70%

Succ

ess

Rate



0

100

200

300

400

500

600

700

1998 1999 2000 2001 2002 2003 2004 2005 2006 2007

Fiscal Year

App

licati

ons

and

Aw

ards

0%

10%

20%

30%

40%

50%

60%

70%

80%

90%

100%

Succ

ess

Rate


One Award Only

NIH CAREER DEVELOPMENT (K) GRANTSCompeting Applications, Awards, Success Rates and Total Funding

by NIH Institutes/Centers and Activity CodeMade with Direct Budget Authority Funds

Fiscal Year 2010

Number of Applications

Reviewed


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) GRANTSCompeting Applications, Awards, Success Rates and Total Funding

by NIH Institutes/Centers and Activity CodeMade with Direct Budget Authority Funds

Fiscal Year 2011


Reviewed


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

0

20

40

60

80

100

120

NIDDKNIM

H NCINIA

NIDANHLBI

NIAMSNINDS

NICHDNIAID

NINRNCRR

NIAAANIBIB

NCCAMNIEHS

NIDCDNIGMS FIC


Nu

mb

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pp

lica

tion

s/A

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Applications Awards

K23 APPLICATIONS AND AWARDS BY PARTICIPATING INSTITUTES AND CENTERS

FY 2007

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20

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60

80

100

120


Nu

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s/A

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Applications Awards

Diversity Supplements FY07 29

NIH Office of Extramural Research: Prepared July 2008

Fiscal Year 2007

NIHResearch Supplements

toPromote Diversity

30

FISCAL YEARS 1990-2008

SUPPLEMENTS TO INDIVIDUALS FROM UNDERREPRESENTED GROUPS OR DISADVANTAGED BACKGROUND

NIH-WIDE TRENDS

Number of Awards

0

200

400

600

800

1000

1200

1400

1600

1990

1992

1994

1996

1998

2000

2002

2004

2006

2008

Fiscal Year

Expenditures (millions)

$0

$10

$20

$30

$40

$50

$60

$70

$80

$90

1990

1992

1994

1996

1998

2000

2002

2004

2006

2008

Fiscal Year

Diversity Supplements FY07 33

*Eligible grant mechanisms: R01, R10, R18, R22, R24, R35, R37, R41, R42, R43, R44, P01, P20, P30, P40, P41, P50, P51, P60, U01, U10, U19, U41, U42, U54, S06.

NIH-WIDE TRENDS

FISCAL YEARS 1990-2007

EXPENDITURES AS A PERCENTAGE OF EXPENDITURES FOR ELIGIBLE RESEARCH GRANT AWARDS*

SUPPLEMENTS TO INDIVIDUALS FROM UNDERREPRESENTED GROUPS

OR DISADVANTAGED BACKGROUND

0.00%

0.10%

0.20%

0.30%

0.40%

0.50%

0.60%

0.70%

1990

1992

1994

1996

1998

2000

2002

2004

2006

2008

Fiscal Year

Per

cen

tag

e o

f E

xpen

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ure

s

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


• 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.


• 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

02 mangione ctsi k award_7_12

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