• Grants/strategiesGrants/strategiesNIHNIHAHAAHA

• Transition from postdoc to independent investigatorTransition from postdoc to independent investigatorScientific directionScientific directionIndependence from former mentorIndependence from former mentorNeed for continued mentorshipNeed for continued mentorshipInstitutional supportInstitutional support

Road to Independence

• NIH grants for early investigatorsNIH grants for early investigatorsK series (K01, K08, K23, etc.)K series (K01, K08, K23, etc.)K99/R00 (Pathway to Independence Award)K99/R00 (Pathway to Independence Award)R21R21R01R01DP2 (NIH Director’s New Innovator Award)DP2 (NIH Director’s New Innovator Award)

• NHLBI “discount”NHLBI “discount”New investigator (NI) – no prior R01 or similar grantNew investigator (NI) – no prior R01 or similar grantEarly stage investigator (ESI)Early stage investigator (ESI) – NI within 10 years of degree or residency – NI within 10 years of degree or residency - payline 5 percentile points higher - payline 5 percentile points higher

• NIH website for early career investigatorsNIH website for early career investigatorshttp://grants.nih.gov/grants/new_investigators/index.htmhttp://grants.nih.gov/grants/new_investigators/index.htm

NIH Grants for Early Career Investigators

• 12 page NIH application12 page NIH applicationchallenge for young investigatorschallenge for young investigators

• Only one resubmission allowedOnly one resubmission allowed

• Importance of clarity and readabilityImportance of clarity and readability

• Institutional supportInstitutional supportacademic position of PIacademic position of PIlab space, protected time, core facilities, etc.lab space, protected time, core facilities, etc.

• Independence/separation from former mentorIndependence/separation from former mentor

• Mentoring planMentoring plan

• Common flaws (overambitious, dependency of aims, Common flaws (overambitious, dependency of aims, significance)significance)

• Get application done early and reviewed internallyGet application done early and reviewed internally

• Talk to your NIH program officerTalk to your NIH program officer

• Plan to resubmit or try again!Plan to resubmit or try again!

Grant application strategies

32.0

34.0

36.0

38.0

40.0

42.0

44.0

46.0

1980

1981

1982

1983

1984

1985

1986

1987

1988

1989

1990

1991

1992

1993

1994

1995

1996

1997

1998

1999

2000

2001

2002

2003

2004

2005

2006

2007

2008

2009

Age

at

Firs

t R0

1 A

war

d

Fiscal Year

Age at First R01 Equivalent Award from NIHFY 1980 to 2009

MD-PhD

MD Only

PhD Only

Age data for FY 2009 are preliminary

Development of the ESI Development of the ESI PolicyPolicy

• Concern about the number of New Investigators Concern about the number of New Investigators • Related concern about increasing age at first Related concern about increasing age at first

awardaward• Search for age-independent policySearch for age-independent policy• Develop ESI policyDevelop ESI policy

– Modeled on NIH Director’s New Innovator AwardModeled on NIH Director’s New Innovator Award– Ten years from most recent doctoral degree or Ten years from most recent doctoral degree or

medical residencymedical residency

• Enrich the applicant pool with enough ESIs to Enrich the applicant pool with enough ESIs to reduce the average age at first awardreduce the average age at first award

• Designed to encourage individuals and Designed to encourage individuals and institutions to accelerate the period of training institutions to accelerate the period of training leading to independenceleading to independence

ESI PolicesESI Polices• NOT-OD-08-121 (September 2008)NOT-OD-08-121 (September 2008)–Set the definition of NI and ESISet the definition of NI and ESI

NI: NI: PD/PI who has not yet competed successfully PD/PI who has not yet competed successfully for a substantial, competing NIH research grantfor a substantial, competing NIH research grant

ESI: ESI: NI within 10 years of completing his/her NI within 10 years of completing his/her terminal research degree or is within 10 years of terminal research degree or is within 10 years of completing medical residency (or the equivalent)completing medical residency (or the equivalent)

• NOT-OD-09-013 (October 2008)NOT-OD-09-013 (October 2008)–Set expectations for FY2009:Set expectations for FY2009:

New and established investigators to be New and established investigators to be supported at equivalent success ratessupported at equivalent success rates

Majority of NIs to be ESIsMajority of NIs to be ESIs6

ESI PolicesESI Polices

7

NIH strongly encourages Early Stage Investigators seeking NIH funding for the first time to apply for traditional research project (R01) grant awards, instead of applying for small grants (R03) or Exploratory/Developmental Research Awards (R21).

ESI Polices – Pioneer and ESI Polices – Pioneer and NI AwardsNI Awards

8

YeaYear r

Pioneer Pioneer Awards Awards

New New Innovator Innovator Awards Awards

CombinCombined ed

AwaAwards rds

Total Total InvestmInvestm

ent ent

AwaAwards rds

Total Total InvestmInvestm

ent ent

Total Total InvestmInvestm

ent ent

2004 2004 9 9 $36.2M $36.2M $36.2M $36.2M

2005 2005 13 13 $49.1M $49.1M $49.1M $49.1M

2006 2006 13 13 $49.1M $49.1M $49.1M $49.1M

2007 2007 12 12 $48.2M $48.2M 30 30 $72.1M $72.1M $120.3$120.3M M

2008 2008 16 16 $63.2M $63.2M 31 31 $74.5M $74.5M $137.7$137.7M M

2009 2009 18 18 $71.2M $71.2M 51 51 $121.6$121.6M M

$192.8$192.8M M

TotaTotal l 81 81 $317.0$317.0

M M 112 112 $278.2$278.2M M

$585.2$585.2M M

9

0.0%

5.0%

10.0%

15.0%

20.0%

25.0%

30.0%

35.0%

0

1,000

2,000

3,000

4,000

5,000

6,000

1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009

New

Inve

stiga

tors

as a

Per

cent

of A

ll Co

mpe

ting

R01

Inv

estig

ator

s

Num

ber o

f New

and

Exp

erie

nced

Inve

stiga

tors

Fiscal Year

Number of New and Experienced Investigators and New Investigators as a Percentage of All Investigators on Competing R01 Equivalent Awards (FY 1990 to 2009)

New Investigators Experienced Investigators New as a Percent of All Investigators

Data from the Success Rate File December 24, 2009

New and Early Stage New and Early Stage Investigator Policy for FY Investigator Policy for FY

20102010NOT-OD-10-039NOT-OD-10-039http://grants.nih.gov/grants/guide/notice-files/NOT-OD-10-039.htmhttp://grants.nih.gov/grants/guide/notice-files/NOT-OD-10-039.htmll

• Follows 2009 policyFollows 2009 policy• Continue to equilibrate success rates for Continue to equilibrate success rates for

established and new Investigators established and new Investigators submitting type 1 R01 applicationssubmitting type 1 R01 applications

• Should enable support for 1,650 new Should enable support for 1,650 new investigators investigators

• A majority of the new investigator will be A majority of the new investigator will be ESIsESIs

10

New and Early Stage New and Early Stage Investigator Policy for FY Investigator Policy for FY

20102010

11

For All ESI A0/A1/A2 For All ESI A0/A1/A2 Applications Applications  ESIESI

Payline:5 percentile points Payline:5 percentile points above the regular R01 A0 above the regular R01 A0 payline, regardless of the payline, regardless of the

amendment status of the ESI amendment status of the ESI applicationapplication

YesYes

Expedited Review:to resolve Expedited Review:to resolve comments in the summary comments in the summary

statement if >5 but <=10 statement if >5 but <=10 percentile to resolve percentile to resolve

comments in the summary comments in the summary statement if >5 but <=10 statement if >5 but <=10

percentile percentile

YesYes

Duration of GrantsDuration of Grants

Funded Funded for all for all years years

recommrecommendedended

ESI Extension ESI Extension ImplementationImplementationNOT-OD-09-034 (December 2008)NOT-OD-09-034 (December 2008)

http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-034.http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-034.htmlhtml

–Set process for requesting an extension of Set process for requesting an extension of the ESI 10-year periodthe ESI 10-year period

–Established web based application formEstablished web based application form–Described factors to be consideredDescribed factors to be considered–Frequently Asked Questions developed Frequently Asked Questions developed http://grants.nih.gov/grants/new_investigators/investigator_policies_faqs.htmhttp://grants.nih.gov/grants/new_investigators/investigator_policies_faqs.htm

–First extension requests received on January First extension requests received on January 16, 200916, 2009

–First meeting of ESI Extension Committee on First meeting of ESI Extension Committee on January 21, 2009January 21, 2009

12

Reasons for Granted Reasons for Granted ExtensionsExtensions

13

MisperceptionsMisperceptions• My tenure clock was extended by 1 year so My tenure clock was extended by 1 year so my ESI status should be extended.my ESI status should be extended.

• Clinical responsibilities associated with a Clinical responsibilities associated with a faculty appointment are eligible for an faculty appointment are eligible for an extension. extension.

• In order to be with my spouse I took an In order to be with my spouse I took an inferior research position and that should inferior research position and that should count for an extension. count for an extension.

• Time of a Career Award (K series) is eligible Time of a Career Award (K series) is eligible for extension.for extension.

• FAQs are constantly evolving to address FAQs are constantly evolving to address these and other issues. these and other issues.

http://grants.nih.gov/grants/new_investigators/investigator_policies_faqs.hhttp://grants.nih.gov/grants/new_investigators/investigator_policies_faqs.htmtm

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