Funding Mechanisms Supported by NEI
Background
The National Institutes of Health (NIH) offers over 168 types of awards (or grant mechanisms). These codes define a generically similar group of support programs. The National Eye Institute (NEI) ONLY supports the 28 mechanisms listed in the following section.
The NIH is transitioning to a new application form, the SF424 (Research & Related), and a new electronic submission process through a web portal, http://www.grants.gov/. Information regarding these changes is available at http://era.nih.gov/electronicreceipt/. During this transition, potential applicants should frequently check the "Funding Opportunity Announcements" (FOAs) section of this website. The conversion of the various grant mechanism to eSubmission status will be staggered, but the process is scheduled to be complete by October 12, 2007.
Investigators who are interested in applying for NEI support are encouraged to contact NEI extramural program staff for NEI programs and research priorities, special NEI application guidelines, additional information, and advice before submitting an application. Potential applicants proposing to conduct a clinical trial should consult information regarding NEI Guidelines for Data and Safety Monitoring.
Electronic and paper application kits (with forms) are available on line at http://grants.nih.gov/grants/forms.htm. A wealth of general information about NIH extramural research and training programs, NIH grants policy, administrative responsibilities of awardees, and NIH award data that includes access to the CRISP database are available on the NIH Web site at http://grants.nih.gov.
PLEASE NOTE: The material below should be read in conjunction with information presented in the FOA section of the NEI Research Funding website (http://www.nei.nih.gov/funding/index.asp).
Mechanisms Supported by NEI
Individual Fellowship AwardsPLEASE NOTE THAT ALL F-SERIES GRANTS REQUIRE THAT APPLICANTS BE US CITIZENS, NON-CITIZEN NATIONALS, OR LAWFULY ADMITTED TO THE US FOR PERMAMENT RESIDENCE
- Ruth L. Kirschstein National Research Service Awards for Individual Predoctoral Fellowships (F31) to Promote Diversity in Health-Related Research The program is described at http://grants.nih.gov/grants/guide/pa-files/PA-07-106.html
The award provides a stipend and funds to help defray tuition, fees, health insurance, and research expenses. Support may not exceed five years. The only eligible individuals are those from underrepresented racial and ethnic groups, those with disabilities, and those from disadvantaged backgrounds. - F32 Individual Postdoctoral Fellowship The program is described at http://grants.nih.gov/grants/guide/pa-files/PA-06-373.html
The award provides a stipend and funds to help defray tuition, fees, health insurance, and research expenses. Support is generally for two or three years and is done under the guidance of a mentor or committee of mentors described in the application. - F33 Senior Fellowship The program is described at http://grants.nih.gov/grants/guide/pa-files/PA-00-131.html
Up to two years of support is provided to experienced scientists who wish to broaden their scientific background by acquiring new research capabilities or to make major changes in the direction of their research careers. Applicants must have at least seven years of relevant research or professional experience beyond receipt of their doctoral degree.
Career Development Awards
PLEASE NOTE THE SPECIAL NEI POLICY REGARDING SALARY FOR ALL K-SERIES CAREER DEVELOPMENT AWARDS DESCRIBED BELOW:The NEI does not impose any salary restriction beyond the legislatively-imposed annual salary cap, see http://grants.nih.gov/grants/policy/salcap_summary.htm. Salary requests should be reasonable and conform to the established, consistently-applied policy of the institution for other staff members of equivalent qualifications, rank, and responsibility. Requested salary should reflect no more than the percentage of time actually devoted to the project. All K-series awards provide funds for research expenses in addition to salary. Comprehensive information regarding NIH Career Development awards can be found on the K Kiosk at http://grants.nih.gov/training/careerdevelopmentawards.htm.
The K99/R00 has broad eligibility requirements (see below). For all other mechanisms described in this section, only US citizens, non-citizen nationals, or individuals lawfully admitted to the US for permanent residence are eligible for K-series awards. Candidates must have a clinical doctoral degree (typically DDS, DVM, MD, or OD) or its equivalent PhD or other doctoral degree in a clinical discipline (such as clinical genetics or rehabilitation).
With the exception of K12s, effective with the February 12, 2009 submission date, NIH will transition K-series awards to electronic submission. See http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-029.html for complete details regarding the new business processes and new additional information required.
The NEI will not accept K-series applications which propose to conduct a new, free-standing clinical trial or clinical study. Clinician scientists seeking training in the conduct of clinical trials or clinical studies should instead propose an ancillary study within an on-going research program. See http://grants.nih.gov/grants/guide/notice-files/NOT-EY-09-001.html
- K08 Individual Physician Scientist Award See http://grants.nih.gov/grants/guide/pa-files/PA-09-042.html
This award supports an intensive, supervised research experience for clinicians who are committed to a career in research and have the potential to develop into independent investigators. Three to five years salary and research-related costs are provided for mentored didactic studies integrated with hands-on laboratory or clinical (biostatistics and epidemiology) research experiences. - K12 Institutional Clinical Scientist Development Program
This award is made to an institutional program accommodating a number of candidates with varying levels of research experience who require an individualized, mentored career development experience. NEI intends to re-issue a Funding Opportunity Announcement for this program with an anticipated receipt date in May, 2009. For information, please contact Dr. Neeraj Agarwal , 301-451-2020, agarwalnee@nei.nih.gov. Candidates interested in applying for a position within an institutional program should consult the Program Director at any of these funded sites:- Dr. Reza Dana, Massachusetts Eye and Ear Infirmary
- Dr. Michael A. Kass, Washington University, St. Louis
- Dr. Gordon K. Klintworth, Duke University
- Dr. Maureen G. Maguire, University of Pennsylvania
- Dr. Kenneth A. Polse, University of California School of Optometry Berkley
- Dr. Harry A. Quigley, Johns Hopkins Wilmer Eye Institute
- Dr. Sarita P. Soni, Indiana University
- Dr. Karla S. Zadnik, Ohio State University College of Optometry
- K23 Mentored Patient-Oriented Research Career Development Award See http://grants.nih.gov/grants/guide/pa-files/PA-09-043.html
Patient-oriented research is defined as research conducted with human subjects (or on material of human origin such as tissues, specimens, and cognitive phenomena for which an investigator directly interacts with human subjects). In all other aspects this individual award is equivalent to the K08 described above. - K24 Midcareer Investigator Award in Patient-Oriented Research See http://grants.nih.gov/grants/guide/pa-files/PA-09-037.html
This award provides protected time for clinician investigators at the Associate Professor level (or its equivalent) to act as mentors for clinical residents, clinical fellows and/or junior clinical faculty to perform patient-oriented research. Patient-oriented research is defined as research conducted with human subjects (or on material of human origin such as tissues, specimens, and cognitive phenomena for which an investigator directly interacts with human subjects). Eligible candidates must have an established record of independent, peer-reviewed Federal or private research grant funding in patient-oriented research. - K99/R00 NIH Pathway to Independence (PI) Award Described at http://grants.nih.gov/grants/guide/pa-files/PA-09-036.html
This two-phase award is designed to facilitate receiving an R01 award earlier in an investigator's research career. Phase I is a one to two year mentored research program. It is followed by up to three years of independent support contingent on securing an independent research position. Eligible candidates include foreign nationals as well as US citizens and citizen-nationals. Candidates may hold either a clinical or a research doctorate degree. Candidates must be within five years of their terminal professional degree.
Loan Repayment Awards
NEI actively supports L-Series awards designed to attract health professionals to careers in clinical or pediatric research. In exchange for a two-year commitment to a research career, these awards will repay up to $35,000 of qualified educational debt plus the tax burden associated with this benefit. The original two year award may be renewed once. Only US citizens, non-citizen nationals, or individuals lawfully admitted to the US for permanent residence are eligible for L-series awards. Candidates must have a clinical doctoral degree from an accredited institution. Detailed information and access to the on-line application process is available at http://www.lrp.nih.gov.
- L30 Loan Repayment Program for Clinical Researchers
- L40 Loan Repayment Program for Pediatric Research
Nanomedicine Center Awards
NEI is the lead institute for the NIH Roadmap Nanomedicine Initiative, which has funded a national network of development centers. At this time no further awards are being solicited. (See http://nihroadmap.nih.gov)
- PN1 Concept Development Award
- PN2 Research Center Development Award
Center Core Grants
- P30 Center Core Grants
This program is designed to enhance an institution's environment and capability to conduct vision research, to facilitate collaborative studies of the visual system and its disorders, and to attract scientists of diverse disciplines to research on the visual system. Institutions must hold a minimum of eight NEI awards for basic research in order to be eligible. Core Grants are typically organized into units or modules, each devoted to a specific activity that would be impractical or undesirable to support on an individual research project. NEI provides up to $2M direct costs over a five year period for institutions which hold from eight to 19 NEI awards. Institutions which hold 20 or more NEI basic research awards may receive up to $2.5M direct costs for five years. Special NEI guidelines are in effect for both P30 competing and non-competing continuation applications.
Research Project Grants
- R01 Research Project Grant
This grant, generally made for a period of three, four, or five years, supports a discrete, circumscribed research project. Also known as the traditional or regular NIH research grant, this is the principal mechanism of NEI support for investigator-initiated basic research conducted by both new and more experienced scientists.
- R13/U13 Conference Grants
These awards support high quality conferences/scientific meetings that are relevant to vision research. The NIH Conference Grant Website has been created to centralize information regarding the funding of scientific gatherings, symposia, meetings, workshops, or other organized, formal meetings where persons assemble to coordinate, exchange, and disseminate information or to explore or clarify a defined subject, problem, or area of knowledge (consult http://grants.nih.gov/grants/funding/r13/index.htm). The NEI is highly selective in its choice of scientific areas and investigators are urged to contact the NEI Research Resources Officer at 301-451-2020 to obtain prior written approval before submitting an application. This written approval must be included in the grant application. U13 Cooperative Agreement Conference Grants are generally investigator-initiated but involve substantial interactions with NEI staff. Applicants should discuss their interest in a U13 application with the appropriate NEI staff member (call 301-451-2020). The application should discuss the proposed role of the NEI staff member, as well as agreed-upon Terms and Conditions of the potential award.
- R15 Academic Research Enhancement Award (AREA)
Academic Research Enhancement Award (AREA) (R15). This award makes special efforts to support investigators at domestic institutions that that provide baccalaureate training for a significant number of the Nation's research scientists but that have not been major recipients of NIH support. The maximum amount of this award is $150,000 direct costs for a period up to three years. The AREA grant is renewable. A complete description of this mechanism is available at http://grants.nih.gov/grants/guide/pa-files/PA-06-042.html, which provides details of the NIH Omnibus solicitation.
- R21 Exploratory/Developmental Grant
The NEI accepts investigator-initiated exploratory/developmental grants under the NIH Omnibus R21 announcement. This program provides direct costs up to $275,000 over a two year period, with no more than $200,000 direct costs allowed in any single year. This mechanism encourages studies which may involve considerable risk while possibly leading to a breakthrough in a particular scientific area. The mechanism also supports the development of novel techniques, agents, methodologies, models, or applications that could have a major impact on vision research. The full text of this announcement is available at http://grants.nih.gov/grants/guide/pa-files/PA-06-181.html. The NEI also supports several specialized programs or initiatives which utilize the R21 grant mechanism ; these are described in the FOA section of the NEI website.
- R24 Resource-Related Research Project, see NEI Translational Research Program on Therapy for Visual Disorders.
These grants support research projects that will enhance the capability of resources to serve biomedical research. The NEI only accepts R24 applications in response to specific Funding Opportunity Announcements.
- R34 Clinical Study Planning Grant
This program is a reissuance of what previously was the NEI Clinical Study Planning Grant (R21). It is designed to assist in the development of a comprehensive research protocol for a large-scale clinical trial or epidemiologic study. This may include preliminary studies to refine study procedures, document recruitment potential, and/or prepare a detailed Manual of Procedures. The new program provides up to $150,000 annual direct costs for up to two years. See http://grants.nih.gov/grants/guide/notice-files/NOT-EY-06-005.html. NEI staff has noted that some applicants have encountered some difficulties during the electronic submission of an R34 to the NEI using the published NEI-specific guidelines. To avoid any possibility of a problem, please contact one of the Collaborative clinical Research Program Directors (Mr. Donald F. Everett, Dr. Natalie Kurinij, or Dr. Maryann Redford) at 301-451-2020 when beginning to prepare an application.
Small Business Grants
Please consult http://www.nei.nih.gov/funding/app.asp for the NIH omnibus solicitations, NIH policy announcements, and NEI-specific information regarding these programs.
STTR ProgramThese investigator-initiated awards facilitate cooperative research and development between small business concerns (not less than 40% of the proposed work) and research institutions (not less than 30% of the work), where commercialization is the primary goal of the project. From time to time the NEI solicits STTR applications in a particular program area through an FOA. Phase I awards may not exceed $100,000 total costs for a one year period. Phase II awards may not exceed $500,000 total costs over a two year period.
- R41 Phase I Small Business Technology Transfer Grant
- R42 Phase II Small Business Technology Transfer Grant
These investigator-initiated awards have the objective of establishing the technical merit and feasibility of research and development activities which ultimately may lead to a commercial product or service. The Principal Investigator must have at least 50% time and effort associated with the small business concern. Normally Phase I awards may not exceed $100,000 total costs for a six month period. Phase II awards provide support for up to $750,000 total costs for up to two years.
- R42 Phase I Small Business Innovation Research Award
- R43 Phase II Small Business Innovation Research Award
Institutional Training Grants
These awards are made to support several pre- and post-doctoral trainees within a formal program established by an institution of higher learning. Funds are provided for stipends and other expenses such as tuition and fees, health insurance, research supplies, equipment, and travel. The training program may be focused on a single scientific discipline or may more broadly include several disciplines relevant to vision research. The Program Director at the institution selects the trainees. Trainees must be citizens, non-citizen nationals, or have been lawfully admitted to the United States for permanent residence.
- T32 Institutional Training Grant For additional details please consult http://grants.nih.gov/grants/guide/pa-files/PA-06-468.html
- T35 Short-Term Training for Professional School Students Please consult http://grants2.nih.gov/grants/guide/pa-files/PA-05-117.html
Collaborative Clinical Research Cooperative Agreements
These mechanisms are used whenever there is a demonstrated need for the substantial involvement NEI program staff during the performance of the activity. The use of these mechanisms should be made on the basis of the existence of the assistance relationship and the need for substantial staff involvement. In some cases a project will be converted to a U when circumstances arise that make it clear that the activity requires assistance/substantial involvement with NEI staff.
- U01 Research Project--Cooperative Agreement
These grants support a discrete, specified, circumscribed project to be performed by the named investigator(s) in an area which represents a specific interest and competency. This mechanism will be used when there is a demonstrated need for assistance and substantial involvement of NEI program staff in the performance of the activity. - U10 Cooperative Clinical Research--Cooperative Agreements
NEI uses this award mechanisms to support clinical trials and other types of complex, fixed-protocol, clinical research. The applications are generally investigator-initiated, but entail substantial interactions among investigators and NEI staff. A detailed Manual of Procedures is required for all clinical trial applications. Applicants should consult the following information when preparing a proposal for support under a cooperative agreement:
Long Term Follow Up for Patients in Gene Transfer Protocols See the NIH-wide policy at http://grants.nih.gov/grants/guide/notice-files/NOT-RR-04-005.html
- NEI Guidelines for Data Safety and Monitoring
- NEI Guidelines for Data and Safety Monitoring and Oversight of Observational Studies
- Support for Clinical Trials in Vision Research (U10)
- Participating Clinics in Multicenter Clinical Trials (U10)
- Guidance on Expanded Scope of ClinicalTrials.gov
Research Supplements
NEI participates in NIH-wide programs to supplement certain types of research grants in order to extend opportunities for participation in biomedical research to individuals with high potential to reenter an active research career after taking time off to attend to family responsibilities and to individuals who would increase the diversity of the biomedical research workforce. The grant to be supplemented must be at a domestic institution and must have at least two years of support remaining at the time of the proposed beginning date of the supplemental funding. In all cases, the proposed research must be directly related to the funded and approved ongoing research of the parent grant or cooperative agreement. A request for a supplement may be made at any time during the funding year. The administrative supplement applications are submitted directly to the NEI, and the decision to fund a supplement typically takes six to eight weeks from the time necessary information is received.
Supplements to Promote Reentry Into Biomedical and Behavioral Research Careers. The aim of these supplements is to encourage fully trained individuals to reenter research careers within the mission of the NEI. Candidates must be US citizens, non-citizen nationals, or individuals who have been lawfully admitted for permanent residence at the time of applications. The program will provide administrative supplements to existing NEI R01, R24, U01, and U10 grants for the purpose of supporting full- or part-time research by individuals who have taken time off an active research career. Usually, a research grant would support only one administrative supplement. It is anticipated that at the completion of the supplement, the reentry scientist will be in a position to apply for a career development or a research grant award. Supplemental awards may be made for up to three years. The requested salary and fringe benefits for the reentry candidate must be in accordance with the salary structure of the grantee institution, consistent with the level of effort which must be at least 50%. An additional amount up to $10,000 may be requested for supplies, domestic travel, and publication costs relevant to the proposed research.
Research Supplements to Promote Diversity in Health-Related Research. The goal of this program is to improve the diversity of the research workforce. The program seeks to recruit and support eligible investigators from groups which have been underrepresented. Individuals from the high school through the faculty level may be proposed for funding. Administrative supplements will be provided to existing NEI R01, R24, R41, R42, R43, R44, U01, and U10 grants. Funds may be requested for salary and additional research-related expenses appropriate to the level of the individual proposed for supplemental support.