Principal Investigators Association

Research Cooperative Agreements: The U-series Award Mechanism

Research Cooperative Agreements: The U-series Award Mechanism

.Research Cooperative Agreements: The Ins and Outs of the U01 Award

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Presenter: Dr. John Ludlow
Webinar Format: CD-Rom, MP4 and PDF Transcript.
All formats include the PDF presentation handouts.

Length: 60 minutes

U-awards support a discrete, specified, circumscribed project to be performed by the named investigator(s) in an area representing his or her specific interest and competencies. These awards are termed Cooperative Agreements. The U-series is a funding program that an individual scientist receives, although the scientist still works in cooperation with federal employees. This mechanism is used when substantial programmatic involvement is anticipated between the awarding Institute and Center. According to the National Institutes of Health, a cooperative agreement includes characteristics of a research grant and a contract job. With a federal contract, federal managers take a larger role in administrating the contract and directing the scientists. There is no specific dollar limit unless specified in the funding opportunity announcement (FOA).

There are 81 different U-series award types listed on the NIH website. Some are very specific with narrow objectives, such as the U11, which is titled “Study (in China) of Periconceptional Vitamin Supplements to Prevent Spina Bifida and Anencephaly Cooperative Agreements”. This Webinar will focus on those having the most relevance to a diverse crowd of biomedical researchers. For example,the U01 mechanism is particularly appropriate if you are considering a project involving pre-clinical testing of novel drugs or some other type of treatment modality. Likewise, the U10 supports clinical evaluation of various methods of therapy and/or prevention in specific disease areas. Also covered will be the U43 and U44 awards, which support projects that may ultimately lead to commercial products or services, and several selected other U-series award types.

During this educational Webinar, your expert presenter will cover the specifics of the application process, the differences between a grant and a cooperative agreement, milestone driven research, and highlighting strategies to best position your application for successfully being awarded funds.

5 Key Take-Aways:

  • A CRADA is not intended to be a general funding mechanism
  • How to clearly identify the milestones in the U-series applications
  • The ‘business-like’ feel of a cooperative agreement compared to an R-series
  • Who is really in control of the project, the PI or the agency?
  • Time and effort the PI needs to commit

Who Should Attend:

  • PI’s who already have NIH funding
  • New investigators
  • Post-docs





Dr. John Ludlow

Dr. Ludlow began his academic faculty career at the University of Rochester (NY) in 1991, with appointments in the department of biochemistry at the medical school and the university’s cancer research center. During this time he maintained an independently funded research laboratory training graduate students and post doctoral fellows in the area of tumor suppressor gene expression, protein structure, and function. Funding for his laboratory came from a variety of sources, including the NIH, the American Cancer Society, and private foundations. Dr. Ludlow began working in the commercial biotechnology sector in 2000, developing and managing research and pre-clinical programs for cell therapy and tissue engineered products, where he has continued to compete in, and advise on, multiple NIH award programs.


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Please note: Each format includes PDF Handouts. CDs are mailed within 48 hours via US Mail, MP4 and PDF Transcripts are emailed from [email protected] within 48 hours.

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This Webinar presentation is brought to you as a training tool by the Principal Investigators Association, which is an independent organization. The presentation, tools presented and their contents are not connected with the National Institutes of Health (NIH), nor are they endorsed by this agency. All views expressed are those personally held by the presenter and are not official government policies or opinions.

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