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

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NIH Activity Code PrimerPam GildenOffice of
Policy for Extramural Research Administration
(OPERA)pamela.gilden_at_nih.gov

• NIH Regional Seminar
• San Antonio, TX
• March 2008

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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

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NIH Activity Codes

• An activity code is a three-character code
  identifying a specific category of extramural
  activity.

R21
R01
K08
F32
R03
T32
K23
R43
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NIH Activity Code List

• Comprehensive list of activity codes
• http//grants.nih.gov/grants/funding/ac_search_res
  ults.htm

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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.

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Sample Application Number
Suffixes
Activity Code
Serial Number

• 1 R01 GM 012345 01 A1/S1

Application Type
Institute/Center
Year of Support
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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

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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

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Current NIH Series (contd)

• N RD Contracts
• P Program Projects Centers
• R Research Projects
• S Research-related Programs
• T Training Programs
• U Cooperative Agreements

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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.

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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)

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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

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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/planning_application.
  htm

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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
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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
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Searching the NIH Guide
The Advanced Search feature provides a lot of
options to narrow your search. Enter search
criteria.
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Searching the NIH Guide
Selecting the FOA number opens the announcement
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Contract Mechanism

• Contracts Acquisition or purchase of
  services for the direct use or benefit of the
  government. 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

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Research Project Grants (RPGs)

• Research Project Grants (RPGs)
• Usually investigator-initiated (unsolicited)
• Includes R01, R03, R15, R21, R22, R23, R33, R34,
  R35, R36, R37, R55, R56, RC1, RL1, P01, P42, PN1,
  U01, U19, UC1 and P41.
• Other R mechanisms termed other research

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R01 Research Project

• Original 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
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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

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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
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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
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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
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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

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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

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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

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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

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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

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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

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P01 Program Project

• Broadly based, often multi- disciplinary,
  long-term research program with a particular
  common theme 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

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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

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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

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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

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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

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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
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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)
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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
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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
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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
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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
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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.

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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 must be from
  non-Federal sources 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)

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Common Features of K Awards (contd)

• Duration three, four, or five years
• No salary from other federal funding sources
• Extensions in time award terms remain in effect
  (i.e. minimum effort, no salary from other
  federal funding source)

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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

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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

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Important to Remember

• Visit each ICs web page to see what activity
  codes each supports
• 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

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• Thank you for your attention.
• Questions?