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NIH Activity Code Primer Pam Gilden Office of Policy for Extramural Research Administration OPERA pa

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Title: NIH Activity Code Primer Pam Gilden Office of Policy for Extramural Research Administration OPERA pa


1
NIH Activity Code PrimerPam GildenOffice of
Policy for Extramural Research Administration
(OPERA)pamela.gilden_at_nih.gov
  • NIH Regional Seminar on Program Funding and
    Grants Administration
  • Chicago, IL
  • June 2008

2
Award Mechanism ? Activity Code
  • NIH uses three award mechanisms for extramural
    awards
  • Grant
  • Cooperative agreement
  • Contract
  • Within each award mechanism, NIH uses activity
    codes to designate general types of grant,
    cooperative agreement and contract programs
  • Grants R01, P01, K08, F32, T32, R13
  • Cooperative Agreements U01, U13, U54
  • Contracts N01, N07

3
NIH Activity Codes
  • An activity code is a three-character code
    identifying a specific category of extramural
    activity.
  • Examples
  • R01
  • F32
  • K08
  • T32

4
NIH Activity Code List
  • Comprehensive list of activity codes
  • http//grants.nih.gov/grants/funding/ac_search_res
    ults.htm

5
Use of Activity Codes
  • NIH uses activity codes to differentiate the wide
    variety of research-related programs we support.
  • NIH Institutes and Centers (ICs) may vary in the
    way they use activity codes not all ICs accept
    applications for all types of grant programs or
    they apply specialized eligibility criteria. Look
    closely at the Funding Opportunity Announcement
    (FOA) to determine which ICs participate and the
    specifics of eligibility.

6
Sample Application Number
Suffixes
Activity Code
Serial Number
  • 1 R01 GM 012345 01 A1/S1

Application Type
Institute/Center
Year of Support
7
Types of Grant Programs
  • The following groupings represent the main types
    of
  • grant funding NIH provides
  • Research Grants (R series)
  • Career Development Awards (K series)
  • Research Training and Fellowships (T F series)
  • Program Project/Center Grants (P series)
  • Resource Grants (various series)
  • Trans-NIH Programs
  • http//grants.nih.gov/grants/funding/funding_progr
    am.htm

8
Current NIH Series
  • C Construction
  • D Training Projects (International)
  • F Fellowship Programs
  • G Resource Programs
  • K Research Career Awards
  • L Loan Repayment
  • M General Clinical Research Centers

9
Current NIH Series (contd)
  • N RD Contracts
  • P Program Projects Centers
  • R Research Projects
  • S Research-related Programs
  • T Training Programs
  • U Cooperative Agreements

10
Funding Opportunity Announcement (FOA)
  • NIH announces availability of funds for grant
    programs by issuing funding opportunity
    announcements (FOAs) in the NIH Guide for Grants
    and Contracts and on Grants.gov.
  • FOA is Grants.govs terminology for what NIH
    refers to as PA, RFA, PAR and PAS.
  • All applications must be submitted in response to
    a FOA.

11
Solicited vs. Unsolicited (Investigator-initiate
d) Applications
  • Most NIH grants are unsolicited. NIH strongly
    encourages unsolicited (investigator-initiated)
    research across the spectrum of our mission.
    Solicited funding opportunities are published in
    the NIH Guide for Grants and Contracts as
  • RFA Request for Applications one receipt date
    and funds set aside (grants)
  • PA Program Announcement (grants)
  • PAS Program Announcement with set aside funds
    (grants)
  • PAR Program Announcement reviewed by the IC,
  • not the Center for Scientific Review (grants)
  • RFP Request for Proposal (contracts)

12
Importance of the PA / RFA
  • PAs and RFAs stimulate research in particular
    areas of science.
  • Will define eligible activity codes
  • Will define eligible PIs institutions
  • Will specify budget format
  • May dictate budget caps
  • May identify certain allowable and/or unallowable
    cost elements
  • Some PAs, called Parent Announements span the
    breadth of the NIH mission in order to ensure we
    have a way to capture unsolicited applications
    that do not fall within the scope of targeted
    announcements.  The majority of NIH applications
    are submitted in response to parent
    announcements.
    http//grants1.nih.gov/grants/guide/parent_announc
    ements.htm

13
Things to do to Plan Your Application
  • Critical to look at each ICs web page to see
    what activity codes each supports
  • Essential to review relevant PAs and RFAs from
    the NIH Guide
  • Invaluable for PD/PIs to talk to the
    Program/Scientific contact named in the Funding
    Opportunity Announcement (FOA)
  • http//grants.nih.gov/grants/planni
    ng_application.htm

14
Searching the NIH Guide
Office of Extramural Research home
pagehttp//grants.nih.gov/grants/oer.htm
Select Funding Opportunities in the NIH Guide for
Grants and Contracts
15
Searching the NIH Guide
The NIH Guide for Grants and Contractshttp//gran
ts2.nih.gov/grants/guide/index.html
Enter search criteria Or Select Advanced Search
16
Searching the NIH Guide
The Advanced Search feature provides a lot of
options to narrow your search. Enter search
criteria.
17
Searching the NIH Guide
Selecting the FOA number opens the announcement
18
Contract Mechanism
  • Contracts Acquisition or purchase of
    services for the direct use or benefit of the
    government. Requests for Proposals (RFPs)
    initiated by NIH are announced in FedBizOpps
    http//www.fedbizopps.gov/
  • N01 Research Development (RD)
  • N41 Small Business Tech Transfer Phase I
  • N43 Small Business Innovation Research
  • Phase I

19
R01 Research Project
  • Original, traditional and most commonly used NIH
    research grant program
  • All Institutes and most Centers fund R01s
  • R01s generally awarded for 3-5 years
  • Parent announcement (PA-07-070) at
  • http//grants.nih.gov/grants/guide/pa-files/PA-
    07-070.html
  • Annotated R01 and summary statement at

http//www.niaid.nih.gov/ncn/grants/app/default.ht
m
20
R03 Small Research Grant
  • One project period limited to 2 years of funding
  • Budget for direct costs of up to 2- 25,000
    modules or 50,000/year
  • Current investigator-initiated R03 PA (parent)
    accepted by 13 ICs
  • Not renewable
  • http//grants.nih.gov/grants/guide/pa-files/PA-06
    -180.html

21
R13/U13 Conferences Scientific Meetings
  • Requires advance permission from the funding IC
  • Only domestic organizations eligible
  • International conferences only through US
    representative of an established international
    society

http//grants1.nih.gov/grants/guide/pa-files/PA-06
-041.html
22
R15 Academic Research Enhancement Award (AREA)
  • Research projects at institutions with lt3
    million annual NIH funds currently funded by all
    ICs except FIC and NCMHD
  • Applicants may not be PD/PI of any active NIH
    research grant at time of award
  • Modular awards up to 150,000 total direct costs
    (plus FA) for project period limited up to 3
    years
  • Website
  • http//grants.nih.gov/grants/funding/area.htm

http//grants.nih.gov/grants/guide/pa-files/PA-06-
042.html
23
R21 Exploratory/ Developmental Research
  • One project period of 1-2 years limited to up to
    2 years of funding
  • Direct costs limited to 275,000 over the 2
    years, with no more than 200,000 in direct costs
    allowed in any single year.
  • 15-pg limit for Research Plan (a-d)
  • No preliminary data is generally required
  • Current parent R21 PA accepted by 18 ICs other
    ICs only through their specific FOA

http//grants.nih.gov/grants/guide/pa-files/PA-06-
181.html
24
Small Business GrantsSBIR/STTR (R41-R44)
  • For-profit concern at least 51 owned and
    controlled by individuals who are US citizens or
    permanent residents
  • Organization and its affiliates has 500 or fewer
    employees
  • Research done entirely in the U.S.
  • Small Business Research Funding Opportunities
  • http//grants.nih.gov/grants/funding/sbir.htm

25
R41 Phase I Small Business Technology Transfer
(STTR)
  • Typically up to 100,000 for up to 1 year
  • PI spends at least 10 effort and has formal
    commitment/ appointment with the SBC
  • Required research institution partner performing
    at least 30 of work SBC performing at least 40
    of the work

26
R42 Phase II Small Business Technology Transfer
(STTR)
  • Typically up to 750,000 for up to 2 years
  • PI spends at least 10 effort and has formal
    commitment/ appointment with the SBC
  • Required research institution partner performing
    at least 30 of work SBC performing at least 40
    of the work

27
R43 Phase I Small Business Innovation Research
(SBIR)
  • Typically up to 100,000 for up to 6 months
  • PI employed gt50 by the SBC during the award
  • Contractual and consultant costs are typically
    less that 33 of total amount

28
R44 Phase II Small Business Innovation Research
(SBIR)
  • Typically up to 750,000 for up to 2 years
  • PI employed gt50 by the SBC during the award
  • Contractual and consultant costs are typically
    less that 50 of total amount

29
Just a Few More Rs
  • R24 Resource-Related Research
  • R25 Education Projects
  • R36 Dissertation Award
  • R34 Clinical Trial Planning Grant
  • R37 Method to Extend Research in Time (MERIT)
    Award
  • R56 High Priority Short-Term Project (Bridge)
    Award

30
P01 Program Project
  • Broadly based, multi-investigator, often
    multi-disciplinary, long-term research program
  • Sub-projects must be united with a particular
    common theme and a well-defined focus involves
    the organized effort of groups of investigators
    who conduct integrated research projects related
    to the overall program objectives
  • Specific dollar limit unless specified in the FOA

31
Ps Research Program and Project Center Awards
  • P20 Exploratory Grants
  • P30 Center Core Grants
  • P40 Animal Biological Resource Grants
  • P41 Biotechnology Resource Grant
  • P42 Hazardous Substances Basic Research
  • P50 Specialized Center
  • P60 Comprehensive Center

32
P30, P50, P60 Centers
  • Center grants support programs in critical health
    problem areas including RD demonstration of
    advanced techniques for diagnosis, treatment,
    prevention, or control of disease education and
    other related nonresearch components

33
P30, P50, P60Centers (contd)
  • Always includes core/shared costs may include
    project costs
  • Always in response to IC-specific request
  • Staff of appropriate IC should be contacted in
    advance of a submission

34
U Cooperative Agreements
  • Almost always initiated by the NIH in response to
    an RFA or PA
  • Substantial programmatic involvement
  • No specific dollar limit unless specified in the
    FOA
  • Generally referred to as a grant
  • Cooperative Agreements
  • U01 single project
  • U10 multiple project
  • U54 multiple center project

35
S10 Shared Instrumentation Grant (SIG) Program
(NCRR)
  • To make available to institutions with a high
    concentration of NIH extramural research awards,
    research instruments which will be used on a
    shared basis
  • For instrumentation typically costing at least
    100,000 to a maximum of 500,000
  • Must have 3 or more active NIH (R01, P01, U01,
    R37) PI users
  • Cost sharing not required

http//grants.nih.gov/grants/guide/pa-files/PAR-08
-036.html
36
NIH Training and Career Development
Approx. Stage of Research Training and Development
Activity Codes
Predoctoral Institutional Training Grant (T32)
GRADUATE/ MEDICAL STUDENT
Predoctoral Individual NRSA (F31) Predoctoral
Individual MD/PhD NRSA (F30)
Postdoctoral Institutional Training Grant (T32)
Postdoctoral Individual NRSA (F32)
POST DOCTORAL
NIH Pathway to Independence (PI) Award
(K99/R00) Mentored Research Scientist Development
Award (K01) Mentored Clinical Scientist
Development Award (K08) Mentored Patient-Oriented
RCDA (K23) Mentored Quantitative RCDA (K25)
EARLY
Small Grant (R03)
Research Project Grant (R01)
Independent Scientist Award (K02)
MIDDLE
CAREER
Midcareer Investigator Award in
Patient-Oriented Research (K24)
Exploratory/Development Grant (R21)
SENIOR
Senior Scientist Award (K05)
37
T32 Institutional NRSA Training Grants
  • Predoctoral and postdoctoral slots
  • Allowable Costs
  • Stipends
  • Tuition, fees, and health insurance
  • Other trainee costs
  • Trainee related expenses
  • Most ICs accept applications most have a single
    annual deadline

http//grants1.nih.gov/grants/guide/pa-files/PA-06
-468.html
38
F30 MD/PhD Individual Predoctoral Fellowship
  • 8 ICs plus the Office of Dietary Supplements
    (ODS) NIDCD with own
  • US citizens and citizen nationals only
  • Allowable Costs
  • Stipend
  • Tuition and Fees
  • Health Insurance
  • Institutional Allowance

http//grants2.nih.gov/grants/guide/pa-files/PA-05
-151.html
39
F31 - PhD Individual Predoctoral Fellowship
  • 7 ICs plus ODS participate
  • US citizens and citizen nationals only
  • Foreign institution study possible
  • Allowable Costs
  • Stipend
  • Tuition and Fees
  • Health Insurance
  • Institutional Allowance

http//grants.nih.gov/grants/guide/pa-files/PA-07-
002.html
40
F32 - Postdoctoral Fellowship
  • 20 ICs plus ODS participate
  • US citizens and citizen nationals only
  • Foreign institution and Federal lab study
    possible
  • Allowable Costs
  • Stipend
  • Tuition and Fees
  • Institutional Allowance

http//grants2.nih.gov/grants/guide/pa-files/PA-07
-107.html
41
K Research Career Programs
  • Purpose of NIH Career Development Programs is
    to help ensure that a diverse pool of highly
    trained scientists are available in adequate
    numbers and in appropriate research areas to
    address the Nations biomedical, behavioral, and
    clinical research needs.

42
Common Features of K Awards
  • Some costs vary widely across ICs. Review
    specific FOAs carefully.
  • Salary/fringe benefits
  • Salaries capped between 75,000 and legislated
    cap (now at 191,300) fringe benefits are over
    above any cap
  • Salary supplementation OK, but not require extra
    duties that would interfere w/K
  • Research/development costs
  • Generally 25,000 to 50,000
  • Commonly used for supplies, equipment, technical
    personnel, travel to research mtgs or training,
    tuition/fees related to career development,
    computational services
  • FA Costs 8 Modified Total Direct Costs (MTDC)

43
Mentored K Awards
  • K01 Mentored Research Scientist Development
  • K07 Academic Career
  • K08 Mentored Clinical Development Scientist
  • K12 Institutional Clinical Scientist
    Development Program
  • K23 Mentored Patient-oriented Research Career
    Development
  • K25 Mentored Quantitative Research Career
    Development
  • K99/R00 NIH Pathway to Independence

44
Non-Mentored K Awards
  • K02 Independent Scientist
  • K05 Senior Scientist
  • K18 Career Enhancement for Stem Cell Research
  • K24 Midcareer Investigator in Patient-Oriented
    Research
  • K26 Midcareer Investigator in Mouse
    Pathobiology Research
  • K30 Clinical Research Curriculum Development

45
Important to Remember
  • Visit the funding opportunities section of each
    ICs web page to see what activity codes each
    supports
  • http//www.nih.gov/icd/index.html
  • Review relevant FOAs in the NIH Guide for Grants
    and Contracts
  • Subscribe to NIH Guide LISTSERV at
    http//grants.nih.gov/grants/guide/listserv.htm
  • Contact program/scientific staff named in the FOA

46
  • Thank you for your attention.
  • Questions?
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