U.S. Department of Health and Human Services

Funding Trends and Support of Core Values

NIDDK Funding Trends and Support of Core Values

NIDDK’s core values emphasize maintaining a strong investigator initiated R01 program, preserving a stable pool of talented new investigators, supporting key clinical studies and trials, and continuing strong support of training and career development programs, consistent with the vision of NIDDK Director, Dr. Griffin P. Rodgers (see Vision).

At NIDDK’s May 2012 Advisory Council meeting, NIDDK’s Deputy Director, Dr. Gregory Germino, highlighted these values and reviewed NIDDK’s resource focus on areas supporting the core values.  
 
Following that presentation, NIDDK generated additional data on application and funding trends to help our research community understand application and funding dynamics over recent years and demonstrate NIDDK’s commitment to research and programs associated with NIDDK’s core values 
and posted these data on this site.  The data shown here were more recently updated to include Fiscal Year 2014.  NIDDK will continue to update the charts on this page as new data become available.

NIDDK Funding Outcomes for Fiscal Year (FY) 2014 and Historical Application and Funding Trends

Excluding Figure 8 (which includes initiative data), the data in the following charts exclude initiatives (i.e., RFAs), grants funded using the Type 1 Diabetes special appropriation, and funds appropriated through the American Recovery and Reinvestment Act (ARRA).

Figure 1: Number of NIDDK competing R01 applications scoring within the top 50th percentile and number of NIDDK competing R01 applications funded in FY 2014.

 Note:"Applications" shown in the chart above include all applications that scored 50th percentile or better. Unscored applications, scored applications with no percentiles, and applications scoring above the 50th percentile are not shown (46% [n=1,137] of the applications received were unscored or scored above the 50th percentile).  No unscored applications were funded in FY 2014.


The NIDDK nominal payline in FY 2014 for the vast majority of R01 applications was the 13th percentile for established investigators and the 18th percentile for Early Stage New Investigators.  The payline and additional programmatic scrutiny for R01 applications requesting more than $500,000 in direct costs are substantially more stringent.  These data show that NIDDK closely adheres to its payline, but does exercise some programmatic discretion to reach for a limited number of especially innovative or programmatically important applications.

Figure 2: NIDDK Competing R01 Application Funding Curves for FY 2006-2014.

 To generate the data for Figure 2, applications were placed into "percentile bins" as follows: Bin 1-5 includes all applications with percentile scores from 0.1 to 5.0, Bin 6-10 includes applications with percentile scores from 5.1 to 10.0, etc. Only applications that scored 50th percentile or better were included in the analysis.

The data demonstrate steep deflections in the percentage of applications funded at the nominal payline for each year.  Paylines for the years included in Figure 2 are shown in the following table:

 

Fiscal Year General Payline New Investigator*/Early Stage Investigator** Payline
​2006 ​14​ 16*
​2007 ​13​ ​15*​​
​2008​ 17 ​19*
​2009 ​17 ​19*
​2010 ​17​ 19*
​2011 ​15 ​17*
​2012 ​13 ​18**
​2013 ​13 ​18**
​2014 ​13 16**


Note: In FY 2012 NIH and NIDDK began focusing on Early Stage Investigators (ESIs; see definition of and benefits conveyed to ESIs on the NIH “New and Early Stage Investigator Policies” webpage), which is a subset of New Investigators (see also Figures 11 and 12).


Figure 3: Cumulative Percentage of R01 Awards Across Percentiles (FY 2006 – 2014).

 Only funded applications are considered in the data set charted in Figure 3. Percentile bin size equals one percentile and there is no overlap between bins. Percentiles with decimal places were summed into the next highest integral percentile as follows: 0.1-0.9 was summed into 1, 1.1-1.9 was summed into 2, etc. These cumulative funding data again demonstrate that the vast majority of applications funded by NIDDK fall within the payline, but that NIDDK does exercise some programmatic discretion to reach for a limited number of especially innovative or programmatically important applications.

Figure 4: Number of NIDDK R01 Grants (competing and noncompeting) Funded in FY 1997-2014.

 Overall, the total number of R01 grants funded by NIDDK has increased 18% since FY 1997. The major portion of this increase occurred during the years of the NIH budget doubling (FYs 1998-2003). Since FY 2005 there has been a decline in the number of grants funded.  In general, about half of the competing grants funded by NIDDK are new (Type 1) awards and half are competing renewals.  However, in the past six FYs competing renewal awards have lagged behind new awards and the separation between new and competing renewal awards was somewhat more pronounced in FY 2014. 

Figure 5: Number of competing NIDDK R01 applications (including revisions) received for funding consideration in FY 1998-2014. 

 Figure 5 shows a substantial increase in the number of competing R01 applications received by NIDDK between FY 1998 and 2006. However, the numbers of competing applications have declined slightly since FY 2006. Much of the observed increase between FY 1998 and 2006 was primarily due to new (Type 1) applications. Submission rates for competing renewal applications fluctuated somewhat between FY 1998 and 2014, but since FY 2007 numbers of renewal applications have waned.  It should be noted that only one amendment and resubmission of an application was allowed after January 25, 2009.  The full implementation of the NIH policy eliminating a second amended application is coincident with a rise in “New” competing R01 applications in FY 2010.

Figure 6: Overall NIDDK expenditures (includes direct and facilities and administrative costs) on R01 awards (competing and non-competing) in FY 1995-2014. 

 Figure 6 shows that NIDDK expenditures on R01 grants have increased markedly (143%) since FY 1995. This is because NIDDK is funding a larger number of these awards (Figure 4) and also because the median cost of an R01 has increased substantially (Figure 7).

Figure 7: Median Total Costs (includes direct and facilities and administrative costs) of NIDDK R01 Grants (competing and non-competing) in FY 1995-2014. Figure 7 illustrates that the median cost of R01 awards has increased approximately 78% since 1995, although there was a slight decrease in FY  2011 compared to FY 2010. In the past ten years (FYs 2005-2014) the number of grants receiving $500,000 or more in total costs has gone from 5% percent of the total number of awards to 17% of the total awarded R01s. The number of grants receiving $250,000 or less in total costs has declined from 20% of the total awards to 7%.

Figure 8: NIDDK Extramural research funding by category (Competing and Non-Competing)

Figure 8 shows that relative funding levels of most NIDDK Extramural research categories have remained fairly stable since FY 2003. These data were presented to NIDDK’s Advisory Council in May 2012 in the context of NIDDK’s core values. The NIDDK core values emphasize maintaining a strong investigator initiated R01 program, preserving a stable pool of talented new investigators, supporting key clinical studies and trials (support is generally represented in the Initiatives and Contracts categories), and continuing strong support of training and career development programs. Figures 9-12 illustrate other examples of how NIDDK's portfolio has reflected NIDDK Core values over time.

NIDDK Portfolio Categories:

  • R01 – Investigator Initiated (excludes R01s responding to NIDDK RFAs)
  • Other R – Includes other R activities (i.e., R03, R13, R15, R18, R21, R34, SBIR/STTR, etc.) but excludes applications submitted to a NIDDK RFAs and R24s
  • Initiatives – Awards made in response to a NIDDK RFAs; includes most NIDDK large clinical trials and consortia.
  • Collaborative Grants – P01s and R24s that are not "mini-Centers"
  • Centers – Includes all non-P01 P awards and R24 "mini-Centers"
  • Career Development – Includes all Ks (including K99/R00)
  • Training – Includes all F and T activities
  • Other Research – Everything not captured in the categories above
  • Contracts and Interagency Agreements (IAAs)—Includes some large clinical studies

 

Figure 9: Maintaining a Stable Pool of NIDDK Investigators: Number of Investigators Supported by at Least one R01 Figure 9 shows that the number of Principal Investigators (PIs) supported by at least one R01 remained relatively stable between FY 2003 and 2009. In FYs 2010 and 2011 there were increases in the numbers of PIs supported with an NIDDK R01. It should be noted that in FY 2008 NIH, for the first time, began making multiple principal investigator R01 awards to support team science projects. The observed increases in numbers of PIs supported by NIDDK in FY 2010 and 2011 are largely attributable to multiple principal investigator R01 awards.   The subsequent declines in FYs 2012, 2013 and 2014 are likely due in large part because of paylines that became more stringent (i.e., after FY 2011) and inflationary pressures in the context of flat or declining budgets.

Figure 10: Preserving a Stable Pool of New Investigators: Number of NIDDK New Investigator R01 Applications and Awards

 Figure 10 shows that while application rates for New Investigators have remained fairly high, there was a deceleration in the number of New Investigator awards between FY 2003 and 2006. Starting in FY 2007, NIH and NIDDK established new policies focused on New Investigators and these policies appear effective in mitigating downward pressures on New Investigator awards. The decrease in number of New Investigator awards in FY 2012 reflects a decrease in the number of applications from New Investigators that year.  Numbers of New Investigator applications and awards recovered somewhat in FY 2013 and again in FY 2014.  In addition in FY 2012 NIH and NIDDK began focusing on Early Stage Investigators (ESIs; see definition of and benefits conveyed to ESIs on the NIH “New and Early Stage Investigator Policies” webpage), which is a subset of New Investigators (see table associated with Figure 2 and Figures 11 and 12). It should be noted that these data count applications and awards, not persons.

Figure 11: Preserving a Stable Pool of New Investigators: Number of NIDDK Early Stage Investigator (ESI) R01 Applications and Awards


Comparison of Figure 10 and 11 shows that while the subset of ESI applications fell in FY 2012 essentially in proportion to the total drop in New Investigator applications, the proportional drop in number of awards to ESIs was not as great.  This is attributable in part to NIDDK’s differential payline for ESI applications (see Resources for New NIDDK Investigators).  The number of ESI awards in FY 2013 was essentially flat compared with the number of ESI awards in FY 2012, and the number of ESI awards in FY 2014 increased approximately 54% compared to FY 2013 ESI award numbers.

Figure 12: Preserving a Stable Pool of New Investigators: Percent of New Investigator Applications and Awards that are ESI

 Figure 12 shows that NIDDK’s differential payline for ESIs in FY 2012 - 2014 (see Resources for New NIDDK Investigators) has been effective in  enhancing ESI representation among New Investigator awards.

Figure 13: Support Pivotal Clinical Studies and Trials: NIDDK Human Subjects Research Funding as a Proportion of All Extramural Research Funding.

 Figure 13 demonstrates that the NIDDK commits a substantial proportion of its research funding to the support of clinical research involving human subjects. For the purpose of this analysis, we used the definition described in Kotchen et al, JAMA 2004 Feb; 291(7):836-43 and included all studies coded as using Human Subjects (HS+).

Figure 14: NIDDK Is Committed to Training the Next Generation 

A. NIDDK Fellowship (F), Career Development (K), and Training (T) Awards as a Percent of Total Research Funding.

 B. Number of NIDDK Fellowship (F), Career Development (K), and Training (T) Awards by Fiscal Year 

 C. Number of NIDDK Career Development (K) Awards by Activity and Fiscal Year 

 D. Number of NIDDK Training (T32) Award Slots by Fiscal Year* 

Note: Numbers of training slots are reported at the end of the training budget year (not at the time of award).  Therefore, unlike the previous charts, FY 2014 data are not included here.

Figures 14 A-D demonstrate that NIDDK’s commitment to training and developing the careers of the next generation of scientists remains strong. Figure 14 A shows that overall support of training and career development programs has increased since FY 2003.  By design, there has been a slight deceleration in the number of T awards, but at the same time the number of F awards has increased. Figures 14 B and D illustrate that the numbers of NIDDK T awards and associated training slots have remained relatively stable. Figure 14 C shows that while the numbers of NIDDK K08 (Mentored Clinical Scientist Development Award) awards decreased from FY 2003 to 2014, the numbers of K01 (Mentored Research Scientist Development Award) and K23 (Mentored Patient-Oriented Research Career Development Award) have increased. NIDDK will continue to monitor carefully its training and career development programs to ensure appropriate balance.

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