Translating NIH Peer Review Changes into Funding Policies
(Previously Rebalancing Success Rates in FY 2010)
 National
Heart, Lung, and Blood Institute
National Institutes of Health
Original Post Date: March 2009
Revised Date: November 2009
|
- Paylines for A0 (new submission), A1, and A2 (resubmission) applications
The NIH has decided to phase out the second resubmission (A2) of research project (R01) applications (see: http://grants.nih.gov/grants/guidenotice-files/NOT-OD-09-003.html). This decision stemmed, in part, from analysis of NHLBI data which showed that over 75% of A0s, which scored below the fundable payline were eventually funded as A1s or A2s, and that study sections tended to score A0s less favorably and A1 and A2s more favorably. As a result, many institutes, including the NHLBI, were funding fewer A0s and increasing numbers of A1s and A2s. The need to resubmit applications creates a lot of extra work for applicants, study section members, and NIH staff. The Enhancing Peer Review Study goal was to fund more applications at the A0 or A1 stage and to minimize the need to resubmit. The Enhancing Peer Review Study recommended that the peer review process focus less on “mentoring” improvements in grant proposals and encourage investigators to submit their best grant applications at the A0 or A1 stage.
The NHLBI and other Institutes and Centers were then directed to tailor strategies for funding R01 applications towards restoring historic funding levels of A0 applications-- i.e., to fund more applications at the A0 stage, and avoid unnecessary resubmissions. We conducted a thorough analysis of prior NHLBI-application submission data and presented the results to the NHLBI’s Advisory Council in October 2008. The Council recommended that the NHLBI should prioritize funding highly meritorious A0 submissions and fund highly meritorious A1 and A2 applications at somewhat lower paylines beginning with fiscal year (FY) 2010 (October 1, 2009 – September 30, 2010). The NHLBI communicated its plans and rationale to NHLBI grantees (http://www.nhlbi.nih.gov/funding/policies/rsr.htm#Evolution).
We plan to phase in the NHLBI policy in a gradual manner through FY 2012. This will allow us to work with A1s and A2s that are already in the “pipeline” as many applications have essentially been placed in a “queue” by the study section. A0 grant applications submitted after January 25, 2009, will not be permitted to submit an A2 resubmission, according to NIH policy. All grant applications eligible for an A2 revision are already in the system as a current A0 or A1. The last A2 revision application will be accepted in January 2011 and come to June 2011 Council. While we will have separate paylines for A0s, A1s, and A2s in FY 2010 in order to meet the NIH goal of obtaining more comparable success rates for all applications, our goal is to fund at least as many R01 applications in FY 2010 as we did in FY2009, while also beginning to minimize the number of resubmissions.
This change in funding policy will enhance the Institute’s ability to:
- fund meritorious science earlier
- accelerate the pace of research
- decrease the administrative burden of revising and resubmitting applications on applicants, reviewers, and NIH staff
- provide prompt funding for highly meritorious applications from early stage investigators (ESIs) to encourage their pursuit of research careers (see the NHLBI policy for preferential funding of ESIs at http://www.nhlbi.nih.gov/funding/policies/operguid.htm)
Evolution of Rebalancing and Amended Applications Policies
| December 7, 2007 |
“No amendments permitted; clear message to applicant”
Seeking Bold Ideas to Enhance NIH Peer Review: An Interim Report
from the Advisory Committee to the Director (ACD)
Working Group on Peer Review |
| February 21, 2008 |
“Eliminate the ‘special status’ of amended applications - consider all applications as being NEW”
Peer Review Recommendations to the Full Committee of the ACD |
| March 2008 |
NIH Director appoints the Steering Committee Peer Review Implementation Group |
| June 6, 2008 |
“Priority 3: Ensure Balanced and Fair Reviews Across Scientific Fields and Career Stages: Reducing Burden on Applicants, Reviewers and NIH staff
Goal 5: Based on analysis of success rates as a function of initial scores, reduce the need for resubmissions
- Reduce the rate of resubmissions from applicants with high likelihood of funding based on A0 review
- Reduce the rate of resubmissions for applicants with very low or no likelihood of funding based on A0 review
- Establish policies to carefully rebalance success rates among A0, A1, and A2 submissions to increase system efficiency”
Peer Review Enhancements and Implementation Plan
announced in a Press Release, and at the
Advisory Committee to the Director (ACD) meeting. |
| August 14, 2008 |
NHLBI Executive Staff discuss and endorse recommendations on rebalancing success rates for presentation to National Heart, Lung, and Blood Advisory Council |
| October 8, 2008 |
“Beginning with original new applications (i.e., never submitted) and competing renewal applications submitted for the January 25, 2009 due dates and beyond, the NIH will accept only a single amendment to the original application.”
“… Note that there is no time limit for the submission of the original and subsequent A1.”
“Original new and competing renewal applications that were submitted prior to January 25, 2009 will be permitted two amendments (A1 and A2). For these “grandfathered” applications, NIH expects that any A2 will be submitted no later than January 7, 2011, and NIH will not accept A2 applications after that date.”
Notice Number: NOT-OD-09-003 New NIH Policy on
Resubmission (Amended) Applications |
| October 21, 2008 |
For applications funded starting in FY 2010 (received Jan 2009 and thereafter):
- Rank order applications separately by percentile score within amendment status (A0, A1, A2)
- Pay to equivalent success rates within amendment status
Proposed Funding Policy approved at meeting of the
National Heart, Lung, and Blood Advisory Council |
October 31, 2008 |
Minutes of October 21, 2008 Meeting of the National Heart, Lung, and Blood Advisory Council describing proposed policy posted on NHLBI website |
November 7, 2008 |
“… it is intended that the policy will take effect beginning with applications submitted for award in fiscal year 2010 and the first standard receipt date for fiscal year 2010 is January 25, 2009.”
“… the last applications that will be permitted two amendments are those that were submitted for award in fiscal year 2009.”
Notice Number: NOT-OD-09-016 Clarification on New NIH
Policy on Resubmission (Amended) Applications |
| February 15, 2009 |
Proposed funding policy described in editorial in the American Journal of Respiratory and Critical Care Medicine
Am J Respir Crit Care Med 2009 Feb 15; 179(4):263-4
(Editorial -- Notes from the NHLBI Director: transitions) |
| March 17, 2009 |
Proposed funding policy described in editorial in Circulation
Circulation 2009 Mar 17; 119(10):1453-5 (Special Report –
National Heart, Lung, and Blood Institute: transitions) |
| March 26, 2009 |
Proposed funding policy described in editorial in Blood
Blood 2009 Mar 26, 113(13):2875-7 (Perspective -- Notes from the
Director, National Heart, Lung, and Blood Institute: transitions) |
March 2009/ Revised
October 2009 |
“Our analysis suggested the following strategy that will enable the NHLBI to identify regular research project grant (R01) applications at the A0 review with a high probability of ultimately achieving a fundable score and fund them promptly:
- Develop separate lists ranking applications according to amendment status, i.e., A0 applications will be ranked against other A0 applications, A1 applications will be ranked against other A1 applications, and A2 applications will be ranked against other A2 applications (Please note, however, that A2 applications are being phased out, see: http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-003.html)
- Select applications for funding so that success rates for A0, A1, and A2 applications are equal.”
Translating NIH Peer Review Changes into Funding Policies
NHLBI Public Website |
Please note that A2 applications are being phased out; see: http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-003.html |
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