August grant tip: submitting an R21 vs an R01 application

The R01 mechanism is the standard ”bread and butter” NIH research grant, offering up to $500k/yr for up to 5 years. With NIH pre-approval, this $500k/yr limit can even be exceeded. In contrast, the R21 research grant is limited to $275k over 2 years. There is a common perception that the R21 is like a “small R01” and, because the budget is significantly less, is easier to obtain. However, the reality is a little different. Here, we look at a few R21 misconceptions:

Misconception #1: An R21 is essentially “R01 Lite”

The R21 mechanism is intended to support high-risk, exploratory research “to introduce novel scientific ideas, model systems, tools, agents, targets, and technologies that have the potential to substantially advance biomedical research”. Preliminary data are not required but are almost always advantageous. In contrast, R01 reviewers will look for less speculation or risk, with high feasibility and preliminary data to ensure, as much as possible, that the work will be completed, and the anticipated data generated. Bear in mind also that there is no lower limit to the duration an R01 – 1 and 2 year R01 projects are uncommon, but they exist, so if you have a small project in mind, consider an actual “small R01” rather than defaulting to an R21. I advise people to look at R21s as the early, riskier, preamble to a larger follow-up grant, and to write the application in the context of the project that will extend beyond the 2 year funding period.

Misconception #2: R21s are easier to get than R01s

For FY 2018, NIH received 28072 R01 applications, and funded 5003, for an overall success rate of 17.8%. In contrast, NIH awarded 2272 R21s from 14211 applications, with a success rate of 16%. The FY 2017 disparity was even more pronounced (16.7% vs 13.5%). Apart from the obvious budgetary limitations of R21s, only R01s are eligible for the “New Investigator bump” – the raising of the funding payline for New- or Early Stage Investigators. Not every I/C does this, but when they do, it can be significant – for example, the FY 2019 NIAID payline for established investigators is 14%, compared to 18% for NIs/ESIs. For NCI, the 2019 payline for established investigators is 8%, vs 14% for Nis/ESIs. Another thing to consider is that, while all I/Cs accept investigator-initiated R01 applications, only ~2/3 of I/Cs accept investigator-initiated R21s – if you’re planning on submitting an R21, first make sure that your target I/C will accept it – check the current parent announcement.

The R21 has a place in the researchers arsenal, but when you’re considering your grant options, balance the advantages and disadvantages of each mechanism, rather than simply going for “smaller is easier”.

For assistance in all aspects of your grant writing endeavors, please contact NC TraCS Proposal Development.