NIH Funding Mechanisms forPostdoctoral Fellows

Henry Khachaturian, Ph.D.NIH Extramural Program Policy OfficerActing NIH Research Training OfficerOffice of Extramural Research, NIH

Email: hk11b@nih.gov

5th Annual Institute on Postdoctoral PreparationSeptember 26, 2008

NIH Institutes and Centers (IC)

Intramural Research:

10%

R&D Contracts:11%

Research Project Grants:

53%

Other Research:6%

All Other:2%

Research Mgmt & Support:

5%

Research Training:

3%

Research Centers:

10%

FY 2008 Enacted Budget: $29.457 Billion

$761 Training $696 Career

$1,457 Million

$761 Training $696 Career

$1,457 Million

Ruth L. Kirschstein National Research

Service Award (NRSA) Program

Extramural Loan Repayment Program (LRP)

Research Career Development Award

(K) Program

Principal InvestigatorTeam Scientist

Postdoc orResidency

Grad orMed School

Undergraduate

Research Training and Career Timetable

Individual Predoc

Fellowship (F31)

Principal InvestigatorTeam Scientist

Postdoc orResidency

Grad orMed School

Undergraduate

Fellowships and Training Grants

Individual Postdoc

Fellowship (F32)

Institutional Training Grant

(T32)

0

1,000

2,000

3,000

4,000

5,000

6,000

7,000

8,000

9,000

10,000

11,000

12,000

13,000

14,000

Training Grants Fellowships

5,519 (41%)

Postdocs

1,600 (54%)

Postdocs1,370 (46%)

Predocs

8,097 (59%)

Predocs

Training Grants and Fellowships for FY 2006

Individual NRSA Postdoc Fellowship (F32)

Individual Fellow applies through

University/Institution

Training support based on research &

training plans and potential to become an

independent investigator

Up to 3 years of support; second year

repays service payback obligation.

Stipend: Not salary; subsistence allowance

to help defray living expenses

Fellow not an employees of either

Government or University

Current stipendlevels based onYears ofexperience:

0 = $36,9961 = $38,9762 = $41,7963 = $43,4284 = $45,0485 = $46,9926 = $48,8527 = $51,036

Tuition, Fees, and Health Insurance

Individual

FellowshipsPredoctoral Postdoctoral

Tuition/Fees Formula:

• 60% up to $16,000• 60% up to $21,000

for dual-degree

• 60% up to $4,500• 60% up to $16,000

for those seeking

additional degree

Institutional Allowance*• Public/Private Inst.• Fed./For Profit Inst.

$4,200

$3,100

$7,850

$6,750

* Help defray costs such as research supplies, equipment, Health Insurance,

fellow’s travel to scientific meetings and appropriate administrative costs.

F32 Fellowship Application

Use PHS 416-1: Paper Application

Transition to electronic application: Anticipated for August

2009

Application Submission Dates:

• April 8, August 8, December 8

Two-level review:

• Evaluation by Study Section (Peer Review)

• Evaluation by Institute Program Staff

• Generally 5-6 month period from receipt to earliest possible

award

• Check Program Announcements for variations

Fellowship Review Criteria

Candidate: Previous and current academic and research

performance; Potential, and commitment to biomedical research

career

Sponsor/Mentor and Training Environment: Quality of environment

and institutional commitment to training; Availability of

facilities/resources; and funding; Qualifications of mentor/sponsor for

proposed research training, and successful competition for research

support

Research Training Proposal: Merit of the proposal; Quality of

research training plan; Training as foundation for candidate’s

productive career

Training Potential: Value of the proposed fellowship experience as it

relates to the candidate's needs in preparation for a career as an

independent researcher

Helpful Hints for Fellowships

Read the Program Announcement and Contact NIH staff

Read the Instructions in the application kit

Observe Page limitations

Give yourself and your sponsor enough time

Give references enough time

Same training site?

Training should be appropriate considering previous experience

Capable and experienced sponsor? Co-sponsor?

Project should have merit as research and as training

mechanism

Arrange for pre-review

Mentored Scientist Career (K01)

Principal InvestigatorTeam Scientist

Postdoc orResidency

Grad orMed School

Undergraduate

Research Career Development Awards

Mentored Clinical Scientist Career

(K08)Pathway to

Independence (K99/R00)

Mentored Patient-Oriented Career

(K23)Quantitative Career Award

(K25)

Independent Scientist (K02)

Midcareer Patient-

Oriented (K24) Senior Scientist

Award (K05)

Career Awards for FY 2006

0

1,000

2,000

3,000

4,000

Early (Mentored) Mid-Career Senior

207 Institutional Awards

3,721Individual

Awards

234 Individual

Awards79

Individual Awards

Common Features: Eligibility

Who can Apply?

Read Program Announcements carefully

Research doctoral degree (K01, K02), but some require clinical

doctoral degree (K08, K23)

US Citizens, Non-Citizen Nationals, Permanent Residents

(except K99/R00)

Previous NIH Principal Investigators may be Ineligible

Usually Principal Investigator on R03 or R21 is OK (except

K99/R00)

Principal Investigator on R01 or subproject Principal Investigators

on a P01 is not OK

Three, Four, or Five years

depending on mechanism and justification of need

Extensions in time – award terms remain in effect (i.e. minimum

effort, no salary from other federal funding source)

Entry level awards require a mentor, multiple mentors are

encouraged

Mentored K awardees are encouraged to apply for independent

support during the K award

Common Features: Duration

Common Features: Effort

At least 75% effort committed to research

and the rest on other career development activities

Policy: Awardee must have a full-time appointment (12 person

months) at applicant institution, and the minimum effort

requirement must be covered by that appointment

Policy Update: Mentored K awardees in final 2 years may

reduce effort (to minimum of 50%) on K if replaced by effort as

Principal Investigator on research project or subproject of Center

grant, provided they remain in mentored situation

Temporary reduction permissible in unusual and pressing

circumstances

Vary widely across NIH Institutes and Centers

Read specific announcements carefully

Salaries capped between $75,000 and legislated cap ($191,300 for FY

2008)

Fringe benefits are in addition to any cap, plus 8% F&A costs

Salary supplementation OK, but must be from non-Federal sources and

must not require extra duties that would interfere with K activities

Research costs: Generally $25,000 to $50,000 and commonly used for

supplies, equipment, technical personnel, travel to research meetings or

training, tuition/fees, computational services

Ancillary personnel support is not allowed, such as salary for

administrative/secretarial support, support for mentors

Common Features: Costs

Common Features: Application

Use PHS Form 398: Career Award Section

Transition to electronic application: Anticipated for February

2009

Application Submission Dates:

• February 12, June 12, October 12

See also special instruction in a particular Funding Opportunity

Announcement

Institutes and Centers use of career awards is highly variable!

So… read the announcement carefully and call the NIH staff!

In K announcements, see contact web-table in for participating

Institutes and Centers

K01: Option for Research Doctorates

Provides an intensive, mentored research experience for a

period of up to 5 years Minimum of 75% full-time professional effort is required (based

on 12 person months appointment) Candidates must have a research doctorate and postdoctoral

experience Caution: Not an extension of postdoctoral training! Varied and limited NIH Institute and Center (IC) participation

• Some ICs use for re-entry• Some ICs use to pursue new research area

Requires plan for independence

K08: Option for Health Prof. Doctorates

Supervised research experience for individuals who are

committed to a career in laboratory or field-based research

Minimum of 75% full-time professional effort is required (based

on 12 person months appointment)

Candidates must have a health professional doctorate, but may

or may not have postdoctoral experience

Potential for phased award periods:

• didactic experience

• “hands-on” research experience

Usually supports non-patient-oriented research

K23: Option for Patient-oriented Research

Supervised study and research career development for

clinically trained professionals with a commitment to patient-

oriented research

Minimum of 75% full-time professional effort is required (based on

12 person months appointment)

Candidates must have a health professional doctorate, but may or

may not have postdoctoral experience

Must have completed clinical training, (including specialty and

sub-specialty if applicable) prior to award

May submit application prior to completion of clinical training

Patient-Oriented defined as research conducted with human

subjects, or material of human origin such as tissues, specimens

K25: Option for Quantitative Scientists

Mentored experiences for scientists from quantitative and

engineering backgrounds interested in pursuing health-

related research

Minimum of 75% full-time professional effort is required (based

on 12 person months appointment)

Candidates must have a research doctorate and ideally some

postdoctoral experience

Unique among NIH K awards in that eligibility spans the

postdoctoral to senior faculty levels, although some Institutes

have exceptions to this general rule

K99/R00: Option for Career Transition

Provides up to 5 years of support in two distinct phases:

Mentored and Non-Mentored

K99 phase: Mentored research experience for up to 2 years

R00 phase: Independent scientist phase for transition to

independence as junior faculty (up to 3 years)

Applicants may have no more than 5 years of postdoctoral training

at the time of initial application or any resubmissions

K99 is unique among NIH K awards in that both U.S. citizens and

non-U.S. citizens may apply

Domestic institutions only (both phases)

Transition to R00 phase requires offer and acceptance of tenure-

track, full-time assistant professor position, or equivalent

Common “K” Review Criteria (1 of 3)

Candidate: Potential to develop as an independent and productive

researcher; Quality of the letters of reference; Mentor(s) Statement

Career Development Plan: Likelihood that plan will contribute

substantially to the scientific development of candidate leading to scientific

independence

Research Plan: Scientific and technical merit of the research question;

Relevance to candidate's career objectives

Statements by Mentor(s), Consultant(s), and Collaborator(s): Mentor's

qualifications in proposed research; Role in providing guidance to the

candidate; Previous experience and history of research productivity

Environment and Institutional Commitment to the Candidate:

Commitment of institution to ensure that a minimum of 75% of the

candidate's effort will be devoted directly to research

Helpful Hints for “K” Applicants

Read the Program Announcement carefully and contact NIH

Program staff

Call NIH Program Staff

Read the Instructions in the application kit

Give yourself and your mentor(s) enough time

Give your references enough time

Training or career development plan should be appropriate

considering previous experience

Capable and experienced mentor/sponsor? Co-sponsor?

Project should have merit as research and as training or career

development vehicle

Arrange for pre-review

Transition to Electronic Applications

February 12, 2009: Research Career Development

(all Ks except K12)

August 8, 2009: Individual National Research

Service Awards (F)

September 25, 2009: Institutional National Research

Service Awards and Other Training Grants (T, D),

D43, D71/U2R and K12