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Commitment to Early Stage Investigators
National Heart, Lung, and Blood Institute
Fiscal Year 2012
November 3, 2011
BACKGROUND. The NHLBI is committed to identifying and attracting
new independent biomedical researchers to study health-related areas
that fall within the mission of the Institute and to support them in
achieving their career goals. Entry of investigators in the early stages
of their career into the ranks of independent, NIH-funded researchers is
essential to the continued long-term health of the nation’s biomedical
research enterprise. The NHLBI provides special consideration to Early
Stage Investigators (ESIs) in funding priority and period of support for
new competing (Type 1) regular research project grants (R01) and first
renewal (Type 2) R01 applications.
New unamended applications submitted by New Investigators (NIs)
who do not qualify as ESIs are not eligible for special funding status.
NIH DEFINITION. A principal investigator (PI) is considered an
NI if he/she has not previously competed successfully as a PI for a
significant NIH independent research award regardless of his/her career
status (see below). An ESI is an NI who is within 10 years of completing
his/her terminal research degree or is within 10 years of completing
medical residency (or the equivalent).
Specifically, a PI is identified as an NI or an ESI if he/she has not
previously competed successfully for an NIH-supported research project,
other than the following early stage or small research grants, or the
indicated training, infrastructure, and career awards:
- Pathway to Independence Award-Research Phase (R00)
- Small Grant (R03)
- Academic Research Enhancement Award (R15)
- Exploratory/Developmental Grant (R21)
- Research Education Grants (R25, R90, RL9, RL5)
- Clinical Trial Planning Grant (R34)
- Dissertation Award (R36)
- Small Business Technology Transfer Grant-Phase I (R41)
- Small Business Innovation Research Grant-Phase I (R43)
- Shannon Award (R55)
- NIH High Priority, Short-Term Project Award (R56)
- Competitive Research Pilot Projects (SC2, SC3)
Additionally, a PI is not excluded from consideration as an NI or an
ESI if he/she has been the PI of an award from any of the following two
classes:
Training-Related and Career Awards
- All Fellowships (F Awards)
- All individual and institutional career awards (K awards)
- Loan repayment contracts (L30, L32, L40, L50, L60)
- All training grants (T32, T34, T35, T90, D43)
Instrumentation, Construction, Education, Health Disparity
Endowment Grants, or Meeting Awards
- G07, G08, G11, G13, G20
- R13
- S10, S15, S21, S22
Please note that the NHLBI considers ESI eligibility for special
funding consideration to have
been determined at the time of the initial A0 grant application
submission. If an applicant would have qualified for ESI special funding
consideration at the
time of the A0 application submission, that eligibility would be maintained
through to the A1 revision.
NHLBI Criteria for Special R01 Funding Consideration. The
NHLBI will continue a commitment to help ESIs by a policy of maintaining
separate paylines for new competing (Type 1) R01 and First Renewal (Type
2) applications in accordance with NIH guidelines. The paylines for new
competing (Type 1) and First Renewal (Type 2) ESI R01 applications will
be 5 percentile points above the regular R01 paylines in FY 2012. In
addition, new competing (Type 1) ESI R01 applications that are >5 but
<=10 percentile points above the regular R01 paylines in FY 2012 may
undergo an expedited program review to resolve comments in the summary
statement. The funding policies will apply to all new competing (Type 1)
and First Renewal (Type 2) ESI R01 applications under special funding
consideration regardless of the amendment status of the application. All
awards to ESI applicants under this policy will be funded for all years
recommended by the NHLBAC.
ESI First Renewal. In order for an ESI to be considered for
NHLBI priority funding for the first competitive renewal (Type 2) of
his/her R01, all of the criteria below must be met:
- the individual cannot be a principal investigator on an
Independent Scientist and/or other non-mentored career award
or on another R01 or a sub-project director on a multi-project
award, and
- the individual must be currently holding a position at a
domestic institution with a faculty rank up to and including an
Associate Professor or equivalent.
Please note that if an ESI is administratively appointed on a
non-competing phase of the R01 and meets both criteria, then he/she is
eligible for special funding consideration for the competing renewal
(Type 2) of that particular application.
Note regarding grants with Multiple PIs: In the case of a
grant application that involves more than one PI, all PIs must meet the
definition of New Investigator in order to check "Yes" in the "New
Investigator" box. Please note that only those multiple PI applications
where all investigators are ESIs will maintain eligibility for special
funding consideration.
For additional information on NIH policies applicable to NIs and ESIs,
please refer to the NIH site entitled
New and Early
Stage Investigator Policies. Among the items that can be found there
are the modifications in the definitions of new investigators in
general, exceptions to ESI eligibility criteria, and frequently asked
questions.
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