NIH Funding Mechanisms for Postdoctoral Fellows Henry Khachaturian, Ph.D. NIH Extramural Program Policy Officer Acting NIH Research Training Officer Office of Extramural Research, NIH 5th Annual Institute on Postdoctoral Preparation September 26, 2008

NIH Institutes and Centers (IC)

FY 2008 Enacted Budget: $ Billion $761 Training $696Career $1,457Million $761 Training $696Career $1,457Million

Ruth L. Kirschstein National Research Service Award (NRSA) Program Extramural Loan Repayment Program (LRP) Research Career Development Award (K) Program Principal Investigator Team Scientist Postdoc or Residency Grad or Med School Undergraduate Research Training and Career Timetable

Individual Predoc Fellowship (F31) Principal Investigator Team Scientist Postdoc or Residency Grad or Med School Undergraduate Fellowships and Training Grants Individual Postdoc Fellowship (F32) Institutional Training Grant (T32)

5,519 (41%) Postdocs 1,600 (54%) Postdocs 1,370 (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 stipend levels based on Years of experience: 0 =$36,996 1 =$38,976 2 =$41,796 3 = $43,428 4 =$45,048 5 =$46,992 6 =$48,852 7 =$51,036

Tuition, Fees, and Health Insurance Individual Fellowships PredoctoralPostdoctoral 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 Investigator Team Scientist Postdoc or Residency Grad or Med 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 Institutional Awards 3,721 Individual Awards 234 Individual Awards 79 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