Commitment to New Investigators

BACKGROUND. The NHLBI is committed to identifying and attracting new independent biomedical researchers to study those health-related areas that fall within the mission of the Institute and to supporting them in achieving their career goals. Entry of new investigators into the ranks of independent, NIH-funded researchers is essential to the continued long-term health of the nation’s biomedical research enterprise.

NIH DEFINITION.  A principal investigator (PI) is considered a New Investigator (NI) if he/she has not previously competed successfully as a PI for a significant NIH independent research award.  Specifically, a PI is identified as an NI if he/she has not previously competed successfully for an NIH-supported research project, other than the following small or early stage research awards:

• Pathway to Independence Award-Research Phase (R00)
• Small Grant (R03)
• Academic Research Enhancement Award (R15)
• Exploratory/Developmental Grant (R21)
• 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)

A PI who qualifies as an NI is considered an Early Stage Investigator (ESI) if he/she is within 10 years of completing his/her terminal research degree or is within 10 years of completing medical residency (or the equivalent).  The establishment of the ESI category represents a change in NIH NI policies designed to encourage early transition to independence.  Traditional NIH research grant (R01s) applications from ESIs will be identified and the career stage of the applicant will be considered at the time of review and award.

For additional information on 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 NIs and ESIs, exceptions to ESI eligibility criteria, and frequently asked questions.

NHLBI CRITERIA FOR SPECIAL R01 FUNDING CONSIDERATION.  The NHLBI will continue a commitment to help NIs and 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 NHLBI payline for NIs (both ESIs and non-ESIs) will remain 5 percentile points above the regular R01 payline for FY 2009. This special payline policy for non-ESIs will be phased out in FY 2010. In addition, ESI applications on which all named principal investigators are ESI investigators that are >5 but <=10 percentile points above the regular R01 payline may undergo an expedited review to resolve comments in the summary statement. All awards to ESI applicants under this policy will be funded for all years recommended.  Additional information can be found in the NHLBI FY 2009 Funding and Operating Guidelines.

NEW INVESTIGATORS’ FIRST RENEWAL.  In order for an NI (non-ESIs and ESIs) 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:

• Not 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
• Currently holding a position at a domestic institution with a faculty rank up to and including an Associate Professor or equivalent

The special first renewal payline policy for non-ESIs will not apply to any non-ESIs who received their Type 1 award during or after FY 2010.