1. Tracy Lindsay and Donna Scott Tilley
Lunch & Learn Series
NIH Funding Mechanisms: Which One is Right for Me?
Tracy Lindsay and Donna Scott Tilley

2. National Institutes of Health
The National Institutes of Health is made up of 27 different components called Institutes and Centers (IC).
Each has its own specific research agenda, often focusing on particular diseases or body systems.
All but three of these components receive their funding directly from Congress, and administrate their own budgets.
NIH leadership plays an active role in shaping the agency's research planning, activities, and outlook.

3. Terms to Know
Early Stage Investigator - A Program Director/Principal Investigator within 10 years of completing his/her terminal research degree or within 10 years of completing medical residency (or the equivalent).
Funding Opportunity Announcement (FOA) - a notice in Grants.gov of a federal grant funding opportunity.
Funding opportunity announcements can be found at Grants.gov/FIND and this website lets organizations apply for grants for over 1,000 grant programs from 26 federal agencies.
Each FOA includes instructions – a Grant Application Guide, and forms – a Grant Application Package.
New Investigator - A Program Director/Principal Investigator (PD/PI) who has not previously competed successfully as PD/PI for a substantial NIH independent research award. Specifically, a PD/PI is identified as a New Investigator if he/she has not previously competed successfully for an NIH-supported research project other than early stage or small research grants or for training, infrastructure, and career awards.

4. Terms to Know
Parent Announcement - Parent announcements are broad funding opportunity announcements allowing applicants to submit investigator-initiated applications for specific activity codes. They are open for up to 3 years and use standard due dates. Not all NIH Institutes and Centers participate on all parent announcements. Before submitting your application, make sure the NIH Institute or Center that might be interested in your research is listed as a participating organization in the announcement.
Program Announcement - NIH solicits grant applications or cooperative agreements in a given research area representing a new, ongoing or expanded interest and/or high-priority program; Generally, no set-aside of funds, and applications submitted in response are often considered investigator-initiated in that the applicant has responsibility for the planning, direction, and execution of the proposed project.
Program Officer - The NIH official responsible for the programmatic, scientific, and/or technical aspects of a grant.
Request for Application - IH solicits research grant applications for a one-time competition on a specific topic, Describes an IC initiative in a well-defined scientific area to stimulate research in a priority area; Set-aside of funds for a certain number of awards.

5. National Institutes of Health Grant Funding Groups
Research Grants (R series)
Career Development Awards (K series)
Research Training and Fellowships (T & F series)
Program Project/ Center Grants (P series)
More likely to be used by researchers in Health Science Institutes
Resource Grants (various series)

6. Research Grants (R series)
R01 NIH Research Project Grant Program
R03 NIH Small Grant Program
R13 NIH Support for Conferences and Scientific Meetings
R15 NIH Academic Research Enhancement Award (AREA)
R21 NIH Exploratory/Developmental Research Grant Award
R34 NIH Clinical Trial Planning Grant Program
R41/R42 Small Business Technology Transfer (STTR)
R43/R44 Small Business Innovative Research (SBIR)
R56 NIH High Priority, Short-Term Project Award
U01 Research Project Cooperative Agreement
K99/R00 NIH Pathway to Independence (PI) Award

7. R01 NIH Research Project Grant Program
Used to support a discrete, specified, circumscribed research project
NIH's most commonly used grant program
No specific dollar limit unless specified in FOA
Advance permission required for $500K or more (direct costs) in any year
Generally awarded for 3 -5 years
Utilized by all ICs

8. R03 NIH Small Grant Program
Provides limited funding for a short period of time to support a variety of types of projects, including: pilot or feasibility studies, collection of preliminary data, secondary analysis of existing data, small, self-contained research projects, development of new research technology, etc.
Limited to two years of funding
Direct costs generally up to $50,000 per year
Not renewable
Utilized by more than half of the NIH ICs

9. R13 NIH Support for Conferences and Scientific Meetings
Support for high quality conferences/scientific meetings that are relevant to NIH's scientific mission and to the public health
Requires advance permission from the funding IC
Foreign institutions are not eligible to apply
Award amounts vary and limits are set by individual ICs
Support for up to 5 years may be possible

10. R15 NIH Academic Research Enhancement Award (AREA)
Support small research projects in the biomedical and behavioral sciences conducted by undergraduate and/or graduate students and faculty in institutions of higher education that have not been major recipients of NIH research grant funds
Eligibility limited - TWU is currently eligible
Direct cost limited to $300,000 over entire project period
Project period limited to up to 3 years
All NIH ICs utilize except FIC and NCATS

11. R21 NIH Exploratory/Developmental Research Grant Award
Encourages new, exploratory and developmental research projects by providing support for the early stages of project development. Sometimes used for pilot and feasibility studies.
Limited to up to two years of funding
Combined budget for direct costs for the two year project period usually may not exceed $275,000.
No preliminary data is generally required
Most ICs utilize

12. R34 NIH Clinical Trial Planning Grant Program
Designed to permit early peer review of the rationale for the proposed clinical trial and support development of essential elements of a clinical trial
Usually project period of one year, sometimes up to 3
Usually, allows for a budget of up to $100,000 direct costs, sometimes up to $450,000
Used only by select ICs; no parent FOA

13. R41/R42 Small Business Technology Transfer (STTR)
Intended to stimulate scientific and technological innovation through cooperative research/research and development (R/R&D) carried out between small business concerns (SBCs) and research institutions (RIs)
Fosters technology transfer between SBCs and RIs
Assists the small business and research communities in commercializing innovative technologies
Three-phase structure: I - Feasibility study to establish scientific/technical merit of the proposed R/R&D efforts (generally, 1 year; $150,000) II - Full R/R&D efforts initiated in Phase I (generally 2 years; $1,000,000) III- Commercialization stage (cannot use STTR funds)
Eligibility limited to U.S. small business concerns
PD/PI may be employed with the SBC or the participating non-profit research institution as long as he/she has a formal appointment with or commitment to the applicant SBC.
Multiple PD/PIs allowed
All ICs Link to External Site utilize except FIC

14. R43/R44 Small Business Innovative Research (SBIR)
Intended to stimulate technological innovation in the private sector by supporting research or research and development (R/R&D) for for-profit institutions for ideas that have potential for commercialization
Assists the small business research community in commercializing innovative technologies
Three-phase structure: I - Feasibility study to establish scientific/technical merit of the proposed R/R&D efforts (generally, months; $150,000) II - Full research or R&D efforts initiated in Phase I (generally 2 years; $1,000,000) III- Commercialization stage (cannot use SBIR funds)
Eligibility limited to U.S. small business concerns
The primary employment of the Project Director/Principal investigator (PD/PI) must be with the small business concern
Multiple PD/PIs allowed
All ICs Link to External Site utilize except FIC

15. R56 NIH High Priority, Short-Term Project Award
Funding for high-priority new or competing renewal R01 applications with priority scores or percentiles that fall just outside the funding limits of participating NIH Institutes and Centers (IC)
One or two years
Investigators may not apply for R56 grants

16. U01 Research Project Cooperative Agreement
Supports discrete, specified, circumscribed projects to be performed by investigator(s) in an area representing their specific interests and competencies
Used when substantial programmatic involvement is anticipated between the awarding Institute and Center
One of many types of cooperative agreements
No specific dollar limit unless specified in FOA

17. K99/R00 NIH Pathway to Independence (PI) Award
Provides up to five years of support consisting of two phases
I - will provide 1-2 years of mentored support for highly promising, postdoctoral research scientists
II - up to 3 years of independent support contingent on securing an independent research position
Award recipients will be expected to compete successfully for independent R01 support from the NIH during the career transition award period
Eligible Principal Investigators include outstanding postdoctoral candidates who have terminal clinical or research doctorates who have no more than 5 years of postdoctoral research training
Foreign institutions are not eligible to apply
PI does not have to be a U.S. citizen

18. How Do I Decide Which Mechanism?
Publication History of the Team
Pilot Data
Funding History of the Team
Scope of the Project/ Amount of Funds and Time Needed
Funding rate of each mechanism and funding available (

19. Special Awards for New/ Early Stage Investigators
Pathway to Independence Award (K99-R00)
NIH Director’s Early Independence award (DP5)
NIH Director’s New Innovator Award (DP2)

20. NIH Director’s Early Independence award (DP5)
Within 12 months of terminal research degree
In non-independent position at time of application
Requires proposal & interview
Requires 3-5 Letters of Reference
Need support & commitment of host institution
Awards up to $250K per year for 5 years

21. NIH Director’s New Innovator Award (DP2)
Early stage investigator with no R01 or equivalent NIH grant
Within 10 years of doctoral degree or medical internship/residency
No preliminary data required
Awards up to $300K per year for up to 5 years

22. Career Development Awards (K series)
Underutilized and perfect for young faculty!
Not all mechanisms are offered by all ICs.
Not all apply in a university setting.
Requires support of dean and department chair
All K awards with purpose, eligiblity, and career level description can be reviewed at:

23. K Series
K01 Mentored Research Scientist Development Award K02 Independent Research Scientist Development Award K05 Senior Research Scientist Award K07 Academic Career Development Award K18 Research Career Enhancement Award for Established Investigators K22 Career Transition Award K24 Midcareer Investigator Award in Patient-Oriented Research K25 Mentored Quantitative Research Development Award K26 Midcareer Investigator Award in Biomedical and Behavioral Research K99/R00 Pathway to Independence Award

24. General Thoughts About Deciding on the Best Source of Funding
Carefully review the PA/ FOA
Consider the success rates of various options if there is more than one option (
Make an appointment and speak with the Program Officer
Speak to POs at professional meetings
Follow up (thank you note)
Porter, R. (2009). Can we talk? Contacting grant program officers. Research Management Review, 17 (1).

25. Speaking with a Program Officer
Work with ORSP and CRDA to prepare
Make an appointment and speak with the Program Officer
Identify the grant program first
Write a one page summary (elevator speech) and know it inside out
Start with an
Make an appointment
Make the call!!

26. Make the Call Does my project fall within your current priorities?
What would you recommend to improve my chances for a favorable review?
What is the anticipated proposal success ratio?
Do you expect last year’s average award amount to change this year?
What are some of the common reasons for proposal rejections?

27. I've missed more than 9000 shots in my career
I've missed more than 9000 shots in my career. I've lost almost 300 games. 26 times, I've been trusted to take the game winning shot and missed. I've failed over and over and over again in my life. And that is why I succeed.
-Michael Jordan