New Grant Guidelines:
Rigor and Transparency
Mitchell Wong, MD, PhD
Director, KL2 Program
Call for change
• Concern over reproducibility and
transparency in methods and reporting of
findings
Four Areas of Focus
• Premise
• Design
• Variables
• Authentication
Basis of prior knowledge for the proposed research
Rigorous study design for robust and unbiased results
Consideration of relevant biological variables
of key biological/chemical resources
http://grants.nih.gov/reproducibility/index.htm
NIH Description of Premise
• What is the research that forms the basis for the
proposed research question?
• Describe the general strengths and weaknesses of
prior research that is crucial to support the
application
• How will the proposed research address weaknesses
or gaps in knowledge?
• Scientific premise will be reviewed as part of
Research Plan criterion for CDAs (or Significance for
other grants)
• NIH will not prescribe a “formula” for addressing
scientific premise.
http://grants.nih.gov/grants/peer/guidelines_general/Reviewer_Guidance_on_Rigor_and_Transparency.pdf
My Approach (Research
Strategy)
• Significance:
• Premise:
• Innovation:
Why is this research question important?
What is and is not known from prior scientific
research?
How will the proposed research add to
our scientific knowledge?
Rigor
• “The strict application of the scientific method to
ensure robust and unbiased experimental design,
methodology, analysis, interpretation and
reporting of results.”
• ”Full transparency in reporting experimental
details”
• Will be assessed as part of the Research Plan
criterion for CDAs (Approach criterion for other
grants)
http://grants.nih.gov/reproducibility/index.htm
Elements of Rigor
• Study design
• Appropriate controls
• Replication of experiments
• Randomization
• Blinding
• Sample size/power
• Statistical Methods
• Missing data
• Confounding variables
• Selection bias
Adapted from presentation by Jennifer Kemp, U of Colorado
Consideration of relevant
biological variables
• Consideration of “critical factors affecting health
or disease in vertebrate animals or human
subjects.”
• Consideration of sex as a biological variables must
be addressed.
• Other biological variables: age, weight, genetic
strain.
• Can be taken into account in the Approach or
Research Plan criterion score.
Resource Authentication
• Key biological/chemical resources:
- May differ from lab to lab or over time
- Could influence research data
- Integral to proposed research
• Separate attachment (1 page or less) and should
not include authentication data.
• Will be reviewed after scoring grant.
Additional Sources for Instructions
• https://www.nih.gov/research-training/rigor-reproducibility
• http://grants.nih.gov/reproducibility/index.htm
• http://grants.nih.gov/reproducibility/faqs.htm
UCLA CTSI KL2
Translational Science
Award
Mitchell Wong, MD, PhD
Director, KL2 Program
https://ctsi.ucla.edu/education/pages/kprogram
Award Overview
• Career development support for junior
faculty within the UCLA CTSI Consortium
• Interdisciplinary, translational science
(basic, clinical and HSR)
• Similar in structure to K08/K23 award
Support
• Annual award, renewable for up to 3 years and
contingent on the UCLA CTSI competitive
renewal.
• Support
– $75k salary plus benefits
– $25k research support
– $4k for tuition or coursework
– $2k for travel
– $1500 for statistical support in addition to in-
kind support from DOM Stats
Eligibility
• Doctoral level research degree or professional
degree (with advanced research training)
• Faculty level title as of July 1st
of the application
year at a UCLA CTSI Institution
• Commit 75% of effort to translational research
and aims of the KL2 (50% minimum for some
specialties like surgery)
• U.S. Citizen or non-citizen national, permanent
U.S. resident
Eligibility (Prior/Pending
Grants)
• May have had a small grant (R03, R21)
• May have had prior K12 funding (total K12 + KL2
funding cannot exceed 5 years).
• Cannot have:
– Prior or current PI of a NIH R01 or equivalent grant
(direct costs>$100k per year)
– Prior or current PI of a K08/K23 or other NIH K award
– Prior or current PI of a VA Career Development or R01
Equivalent grant
– PI of a pending K award application, pending R award in
similar area
– Current co-investigator funding on an R01/Project grant
Future Funding for KL2
• KL2 Awardees may apply for K08/K23 or VA CDAs
– Must relinquish KL2 if awardee receives NIH/VA CDA
– Total CDA funding (KL2/K12 + individual CDA) cannot
exceed 5 years. Some institutes (i.e. NICHD, NHLBI)
allow 6 years.
• KL2 Awardees may apply for R01, Program grants
– Must maintain 75% effort on KL2 in year 1
– May decrease to 50% effort in last 2 years of K support
Selection Criteria
1. Proposed research- Quality, innovation, significance,
feasibility, promise for future funding, relevance to
interdisciplinary, translational research
2. Candidate- Training, productivity, promise
3. Mentor- Track record in mentorship and research,
commitment to candidate
4. Educational Plan- Well described and planned, fit with
research plan, provides candidate with new skill set
5. (Environment)- Commitment from institution,
department/division, availability of support and
resources to conduct research and educational plan
Application Components
• Letter of intent- Name, mentor, title, biosketch, specific aims (to
help KL2 selection committee identify appropriate reviewers)
• Project Summary/Abstract (30 lines of text)
• Specific Aims (1 page)
• Program Plan (12 pages)- Research, Education and Career Plan
• Authentication of Key Biological and/or Chemical Resources (1 page)
• Human Subjects (when applicable)
• Animal Subjects (when applicable)
• Training in the Responsible Conduct of Research (1 page)
• Letters of Support from Mentoring Team (6 pages maximum)
• Institutional Letter of Support (2 pages maximum)
• Mentoring Team NIH Biosketches
• Candidate’s NIH Biosketch and NIH Other Support Pages
• Budget and budget justification
• References
• Data and Safety Monitoring Plan (when applicable)
• Appendices allowable (e.g. letter of support for use of equipment or
data)
Annual Application Timeline
• Letter of intent deadline: early February
• Application deadline: late February
• Applicant interviews: early May
• Awardees will be notified by late May-early June
• Grant start date July 1st
• Funds will not be released until IRB/IACUC
approval(s) are received AND research protocol
has been approved by the NCATS Program Officer
20
The Grant Library
•Currently K Grant Proposals, R01 Grant Proposals, U
Grant Proposals and new format NIH Biosketches
•Secure platform for sharing grants
•Video instructions on how to request access:
•http://ctsi.ucla.edu/funding/pages/sample
•TO access:
•http://intranet.ctsi.ucla.edu
21
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UCLA CTSI KL2 Award, New NIH Guidelines on Rigor & Transparency

  • 1.
    New Grant Guidelines: Rigorand Transparency Mitchell Wong, MD, PhD Director, KL2 Program
  • 2.
    Call for change •Concern over reproducibility and transparency in methods and reporting of findings
  • 3.
    Four Areas ofFocus • Premise • Design • Variables • Authentication Basis of prior knowledge for the proposed research Rigorous study design for robust and unbiased results Consideration of relevant biological variables of key biological/chemical resources http://grants.nih.gov/reproducibility/index.htm
  • 4.
    NIH Description ofPremise • What is the research that forms the basis for the proposed research question? • Describe the general strengths and weaknesses of prior research that is crucial to support the application • How will the proposed research address weaknesses or gaps in knowledge? • Scientific premise will be reviewed as part of Research Plan criterion for CDAs (or Significance for other grants) • NIH will not prescribe a “formula” for addressing scientific premise. http://grants.nih.gov/grants/peer/guidelines_general/Reviewer_Guidance_on_Rigor_and_Transparency.pdf
  • 5.
    My Approach (Research Strategy) •Significance: • Premise: • Innovation: Why is this research question important? What is and is not known from prior scientific research? How will the proposed research add to our scientific knowledge?
  • 6.
    Rigor • “The strictapplication of the scientific method to ensure robust and unbiased experimental design, methodology, analysis, interpretation and reporting of results.” • ”Full transparency in reporting experimental details” • Will be assessed as part of the Research Plan criterion for CDAs (Approach criterion for other grants) http://grants.nih.gov/reproducibility/index.htm
  • 7.
    Elements of Rigor •Study design • Appropriate controls • Replication of experiments • Randomization • Blinding • Sample size/power • Statistical Methods • Missing data • Confounding variables • Selection bias Adapted from presentation by Jennifer Kemp, U of Colorado
  • 8.
    Consideration of relevant biologicalvariables • Consideration of “critical factors affecting health or disease in vertebrate animals or human subjects.” • Consideration of sex as a biological variables must be addressed. • Other biological variables: age, weight, genetic strain. • Can be taken into account in the Approach or Research Plan criterion score.
  • 9.
    Resource Authentication • Keybiological/chemical resources: - May differ from lab to lab or over time - Could influence research data - Integral to proposed research • Separate attachment (1 page or less) and should not include authentication data. • Will be reviewed after scoring grant.
  • 10.
    Additional Sources forInstructions • https://www.nih.gov/research-training/rigor-reproducibility • http://grants.nih.gov/reproducibility/index.htm • http://grants.nih.gov/reproducibility/faqs.htm
  • 11.
    UCLA CTSI KL2 TranslationalScience Award Mitchell Wong, MD, PhD Director, KL2 Program https://ctsi.ucla.edu/education/pages/kprogram
  • 12.
    Award Overview • Careerdevelopment support for junior faculty within the UCLA CTSI Consortium • Interdisciplinary, translational science (basic, clinical and HSR) • Similar in structure to K08/K23 award
  • 13.
    Support • Annual award,renewable for up to 3 years and contingent on the UCLA CTSI competitive renewal. • Support – $75k salary plus benefits – $25k research support – $4k for tuition or coursework – $2k for travel – $1500 for statistical support in addition to in- kind support from DOM Stats
  • 14.
    Eligibility • Doctoral levelresearch degree or professional degree (with advanced research training) • Faculty level title as of July 1st of the application year at a UCLA CTSI Institution • Commit 75% of effort to translational research and aims of the KL2 (50% minimum for some specialties like surgery) • U.S. Citizen or non-citizen national, permanent U.S. resident
  • 15.
    Eligibility (Prior/Pending Grants) • Mayhave had a small grant (R03, R21) • May have had prior K12 funding (total K12 + KL2 funding cannot exceed 5 years). • Cannot have: – Prior or current PI of a NIH R01 or equivalent grant (direct costs>$100k per year) – Prior or current PI of a K08/K23 or other NIH K award – Prior or current PI of a VA Career Development or R01 Equivalent grant – PI of a pending K award application, pending R award in similar area – Current co-investigator funding on an R01/Project grant
  • 16.
    Future Funding forKL2 • KL2 Awardees may apply for K08/K23 or VA CDAs – Must relinquish KL2 if awardee receives NIH/VA CDA – Total CDA funding (KL2/K12 + individual CDA) cannot exceed 5 years. Some institutes (i.e. NICHD, NHLBI) allow 6 years. • KL2 Awardees may apply for R01, Program grants – Must maintain 75% effort on KL2 in year 1 – May decrease to 50% effort in last 2 years of K support
  • 17.
    Selection Criteria 1. Proposedresearch- Quality, innovation, significance, feasibility, promise for future funding, relevance to interdisciplinary, translational research 2. Candidate- Training, productivity, promise 3. Mentor- Track record in mentorship and research, commitment to candidate 4. Educational Plan- Well described and planned, fit with research plan, provides candidate with new skill set 5. (Environment)- Commitment from institution, department/division, availability of support and resources to conduct research and educational plan
  • 18.
    Application Components • Letterof intent- Name, mentor, title, biosketch, specific aims (to help KL2 selection committee identify appropriate reviewers) • Project Summary/Abstract (30 lines of text) • Specific Aims (1 page) • Program Plan (12 pages)- Research, Education and Career Plan • Authentication of Key Biological and/or Chemical Resources (1 page) • Human Subjects (when applicable) • Animal Subjects (when applicable) • Training in the Responsible Conduct of Research (1 page) • Letters of Support from Mentoring Team (6 pages maximum) • Institutional Letter of Support (2 pages maximum) • Mentoring Team NIH Biosketches • Candidate’s NIH Biosketch and NIH Other Support Pages • Budget and budget justification • References • Data and Safety Monitoring Plan (when applicable) • Appendices allowable (e.g. letter of support for use of equipment or data)
  • 19.
    Annual Application Timeline •Letter of intent deadline: early February • Application deadline: late February • Applicant interviews: early May • Awardees will be notified by late May-early June • Grant start date July 1st • Funds will not be released until IRB/IACUC approval(s) are received AND research protocol has been approved by the NCATS Program Officer
  • 20.
  • 21.
    The Grant Library •CurrentlyK Grant Proposals, R01 Grant Proposals, U Grant Proposals and new format NIH Biosketches •Secure platform for sharing grants •Video instructions on how to request access: •http://ctsi.ucla.edu/funding/pages/sample •TO access: •http://intranet.ctsi.ucla.edu 21
  • 22.
  • 23.