| If you're new to biomedical research you're faced with a fundamental
quandary: To obtain funding from National Institutes of Health, you need
to show a substantial body of prior research (i.e., publications in respected
peer-reviewed journals), and preferably prior funding (especially status
as principal investigator on an NIH-funded grant). But to perform this
initial research and to get this prior PI experience, you need substantial
funding. This dilemma is especially trying for investigators working in
clinical fields, where they may not have had the benefits of a mentor's
well-funded research program during their post-graduate training.
The National Institutes of Health recognizes that some special award
opportunities are necessary to help new investigators over this barrier.
To this end, there are several programs intended to support new researchers.
These include small grant awards available from many Institutes for particular
topics, new investigator awards in selected areas, and research career
development awards (K series). As of June 1, 1998, however, one major mechanism
for funding new investigators will be discontinued: the FIRST (First Independent
Research Support and Transition) awards, also called R29's.
New investigators are encouraged instead to apply for the "regular"
NIH grant, the R01. The hope is that this change will allow new investigators
more flexibility in their research applications. At the same time,
NIH will institute changes in its review and award mechanisms to insure
that new investigators do indeed receive funding comparable to current
levels. This change in policy essentially ends a "set aside" program for
new investigators, and asks them to compete under the same review criteria
and in the same pool with experienced investigators.
Why might the R01 preferable for new investigators?
The R29 (FIRST) award, while it did achieve the goal of setting aside
NIH funds for less experienced investigators, also placed some serious
limitations on them. First, the funding level allowed for an R29 was capped
at $350,000 over five years, with a maximum of $100,000 in any one year.
This funding level was about half that allowed for a typical R01 award.
For many research projects, this funding level was not adequate to achieve
reliable research results. This is one reason that about two-thirds of
qualified new investigators over the past ten years opted to apply for
R01's rather than R29's.
Second, the R29 required a more substantial time commitment on the part
of the PI (40% time or more), which many junior faculty cannot commit.
Third, a rather elaborate system of sealed recommendations required by
the R29 added to the time and work needed to prepare the application.
Finally, studies of the success rates for subsequent grant applications
showed that recipients of R29's were less likely to be funded for follow-up
studies than were new investigators whose initial funding was via an R01.
Who is a "New Investigator"?
You will be considered a new investigator if you have not previously
served as the principal investigator (PI) on any Public Health Service-supported
research project other than a small grant (R03), an Academic Research Enhancement
Award (R15), an exploratory/developmental grant (R21), or certain research
career awards directed principally to physicians, dentists, or veterinarians
at the beginning of their research career (K01, K08, and K12). Current
or past recipients of Independent Scientist and other nonmentored career
awards (K02, K04) are not considered new investigators.
In the past, the definition of a "New Investigator" for the FIRST award
also included a time limit of five years since completing professional
training. This definition worked against investigators who wished to develop
a research program after a period of clinical practice. The new definition
will open up "new investigator" consideration for these persons, who otherwise
have had to compete against PI's who have always been on a research career
track.
How will NIH ensure continued support of new investigators?
NIH will take two actions to make sure new investigators are not overwhelmed
by more experienced competition in vying for R01 funding: First, it has
by pledged to fund at least as many new investigators in the coming year
as it did in FY 1997. In FY 1997, NIH supported 1,466 new investigators
with either R01 or R29 awards. NIH will commit to supporting at least the
same number of new investigators in FY 1998, and will "meet an increased
funding level as necessary".
Second, reviewers for NIH awards will be oriented to the necessity of
funding new investigators. During the winter 1997-1998 round of study section
and Advisory Council meetings, there will be a full explanation of the
change in policy. Reviewers will be informed and reminded of the definition
of new investigators, and will receive a list of new investigators who
have submitted applications for review in that meeting. The NIH is revising
its application forms to allow new investigators to indicate this status.
In the meantime, if you qualify as a new investigator and are applying
for NIH funding, a cover letter on the application stating that you are
"new" is probably advisable. If you have been preparing to apply for a
FIRST award, the NIH has described a number of options you can choose from.
This list may be obtained from the Office of Research Development (312-633-4940).
Will this policy make it easier to break into the ranks
of NIH-funded researchers?
It's not clear how much this change in approach will ease a new investigator's
way. On the one hand, the larger awards allowed and the application of
the same criteria across the board should better prepare new investigators
to get continued NIH funding after the initial award. On the other hand,
the culture of the NIH review process has always been so heavily weighted
toward rewarding prior experience that obtaining those initial awards may
be just as difficult, even with the new investigator quota implied by the
announcement. In addition, the pledge of support only extends to maintaining
the current number of new investigator awards, not expanding it. Also,
as noted above, the removal of the time limit for being a "new investigator"
will widen the pool of applicants. For Bureau-affiliated researchers, the
lesson is to take advantage of this policy to the extent you can, and then
wait and see.
See Also:
NIH
Change in Policy for Supporting New Investigators
NIH Program
to Support Clinician Researchers
NIH Research
Training (K) Awards
NIH
New Research Training Opportunities
NIH
Research Training Page
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