1. Grants/strategies NIH AHAGrants/strategies NIH AHA Transition from postdoc to independent investigator Scientific direction Independence from former mentor Need for continued mentorship Institutional supportTransition from postdoc to independent investigator Scientific direction Independence from former mentor Need for continued mentorship Institutional support Road to Independence

2. NIH grants for early investigators K series (K01, K08, K23, etc.) K99/R00 (Pathway to Independence Award) R21 R01 DP2 (NIH Directors New Innovator Award)NIH grants for early investigators K series (K01, K08, K23, etc.) K99/R00 (Pathway to Independence Award) R21 R01 DP2 (NIH Directors New Innovator Award) NHLBI discount New investigator (NI) – no prior R01 or similar grant Early stage investigator (ESI) – NI within 10 years of degree or residency - payline 5 percentile points higherNHLBI discount New investigator (NI) – no prior R01 or similar grant Early stage investigator (ESI) – NI within 10 years of degree or residency - payline 5 percentile points higher NIH website for early career investigators http://grants.nih.gov/grants/new_investigators/index.htmNIH website for early career investigators http://grants.nih.gov/grants/new_investigators/index.htm NIH Grants for Early Career Investigators

3. 12 page NIH application challenge for young investigators12 page NIH application challenge for young investigators Only one resubmission allowedOnly one resubmission allowed Importance of clarity and readabilityImportance of clarity and readability Institutional support academic position of PI lab space, protected time, core facilities, etc.Institutional support academic position of PI 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, significance)Common flaws (overambitious, dependency of aims, 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

5. Development of the ESI Policy Concern about the number of New InvestigatorsConcern about the number of New Investigators Related concern about increasing age at first awardRelated concern about increasing age at first award Search for age-independent policySearch for age-independent policy Develop ESI policyDevelop ESI policy –Modeled on NIH Directors New Innovator Award –Ten years from most recent doctoral degree or medical residency Enrich the applicant pool with enough ESIs to reduce the average age at first awardEnrich the applicant pool with enough ESIs to reduce the average age at first award Designed to encourage individuals and institutions to accelerate the period of training leading to independenceDesigned to encourage individuals and institutions to accelerate the period of training leading to independence

6. ESI Polices NOT-OD-08-121 (September 2008)NOT-OD-08-121 (September 2008) –Set the definition of NI and ESI u NI: PD/PI who has not yet competed successfully for a substantial, competing NIH research grant u ESI: NI within 10 years of completing his/her terminal research degree or is within 10 years of completing medical residency (or the equivalent) NOT-OD-09-013 (October 2008)NOT-OD-09-013 (October 2008) –Set expectations for FY2009: u New and established investigators to be supported at equivalent success rates u Majority of NIs to be ESIs 6

7. ESI 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).

8. ESI Polices – Pioneer and NI Awards 8 Yea r Pioneer Awards New Innovator Awards Combin ed Awa rds Total Investm ent Awa rds Total Invest ment 20049$36.2M$36.2M 200513$49.1M$49.1M 200613$49.1M$49.1M 200712$48.2M30$72.1M $120.3 M 200816$63.2M31$74.5M $137.7 M 200918$71.2M51 $121.6 M $192.8 M Tota l 81 $317.0 M 112 $278.2 M $585.2 M

9. 9

10. New and Early Stage Investigator Policy for FY 2010 NOT-OD-10-039 http://grants.nih.gov/grants/guide/notice- files/NOT-OD-10-039.html http://grants.nih.gov/grants/guide/notice- files/NOT-OD-10-039.html Follows 2009 policyFollows 2009 policy Continue to equilibrate success rates for established and new Investigators submitting type 1 R01 applicationsContinue to equilibrate success rates for established and new Investigators submitting type 1 R01 applications Should enable support for 1,650 new investigatorsShould enable support for 1,650 new investigators A majority of the new investigator will be ESIsA majority of the new investigator will be ESIs 10

11. New and Early Stage Investigator Policy for FY 2010 11 For All ESI A0/A1/A2 Applications For All ESI A0/A1/A2 Applications ESI Payline:5 percentile points above the regular R01 A0 payline, regardless of the amendment status of the ESI application Yes Expedited Review:to resolve comments in the summary statement if >5 but 5 but 5 but 5 but <=10 percentileYes Duration of Grants Funded for all years recomm ended

12. ESI Extension Implementation NOT-OD-09-034 (December 2008) http://grants.nih.gov/grants/guide/notice- files/NOT-OD-09-034.html http://grants.nih.gov/grants/guide/notice- files/NOT-OD-09-034.html –Set process for requesting an extension of the ESI 10-year period –Established web based application form –Described factors to be considered –Frequently Asked Questions developed http://grants.nih.gov/grants/new_investigators/investigat or_policies_faqs.htm http://grants.nih.gov/grants/new_investigators/investigat or_policies_faqs.htm –First extension requests received on January 16, 2009 –First meeting of ESI Extension Committee on January 21, 2009 12

13. Reasons for Granted Extensions 13

14. Misperceptions My tenure clock was extended by 1 year so my ESI status should be extended.My tenure clock was extended by 1 year so my ESI status should be extended. Clinical responsibilities associated with a faculty appointment are eligible for an extension.Clinical responsibilities associated with a faculty appointment are eligible for an extension. In order to be with my spouse I took an inferior research position and that should count for an extension.In order to be with my spouse I took an inferior research position and that should count for an extension. Time of a Career Award (K series) is eligible for extension.Time of a Career Award (K series) is eligible for extension. FAQs are constantly evolving to address these and other issues.FAQs are constantly evolving to address these and other issues. http://grants.nih.gov/grants/new_investigators/inv estigator_policies_faqs.htm http://grants.nih.gov/grants/new_investigators/inv estigator_policies_faqs.htm 14