Information for Grant Applicants: Exploratory Studies
All research projects have to start somewhere. When preliminary results are limited, reviewers are often more enthusiastic if the researcher requests a limited amount of time and money to demonstrate the viability of a new idea. The NIH offers grant mechanisms with limited budgets such as small (R03) and exploratory/developmental (R21) grants to support the initial stages of research projects.
- Does the NCI accept exploratory grants on any research topic?
- What are the budget limitations on exploratory grants?
- Are exploratory grant applications reviewed in regular study sections?
- Is an exploratory grant renewable?
- How much in the way of preliminary data are needed for an exploratory grant application?
- What is meant by “high-risk/high-payoff” research?
- Are there alternatives to the R03 or R21 for exploratory research?
- How are exploratory grant applications scored?
- How long are program announcements active?
- What are the page limits for an R03 or R21 application?
- What are the receipt dates?
- Are the budgets for exploratory grants modular?
Does the NCI accept exploratory grants on any research topic?
At the present time the NCI accepts R03 and R21 applications only in response to specific program announcements that are intended to stimulate research in particular areas.
What are the budget limitations on exploratory grants?
The specific limitations on the number of years and the level of direct costs that can be requested are spelled out in the program announcement. A typical R21 award is limited to two years and $100,000 in direct costs per year, but announcements do vary. Budget caps are usually smaller for R03 awards.
Are exploratory grant applications reviewed in regular study sections?
Applications in response to program announcements designated “PAR” are reviewed in special review groups convened by the NCI Division of Extramural Activities. Those in response to regular “PAs” are reviewed in the standing study sections of the Center for Scientific Review. For applications reviewed in CSR you have the option to request a particular review group. It is wise to consult the Scientific Review Administrator and the NCI program contact for the program announcement if you are considering this option.
Is an exploratory grant renewable?
There is no option for a competitive renewal of an R03 or R21 award. Some program announcements may provide for an R33 grant, the second phase of a project initiated during an R21 award. In these programs the original application describes both the R21 and R33 phases and the transition from the R21 to the R33 phase depends upon an administrative review based on peer-reviewed milestones. Preliminary data from a successful exploratory project may be used as the basis for a subsequent R01 or other grant application.
How much in the way of preliminary data are needed for an exploratory grant application?
The answer to this question is determined on a case-by-case basis in peer review. Although reviewers are reminded that preliminary data are not required for an exploratory grant application, they must still find some basis for evaluating the significance, innovation and feasibility of the proposed research. Individual reviewers vary in their tolerance for risk: one person’s innovative idea may be another person’s “pie-in-the-sky.” Small amounts of preliminary information can reduce the perceived level of risk in an exploratory application. For example, if you propose to study archival human specimens using an antibody it can be helpful to show that the reagent has been tested on formalin-fixed, paraffin-embedded human tissues. If you include preliminary data, expect it to receive the usual critical scrutiny from reviewers. Do not include incomplete or over-interpreted results.
What is meant by “high-risk/high-payoff” research?
Reviewers are asked to place relatively higher emphasis on significance and innovation in evaluating applications for exploratory studies, and to trade some uncertainty about feasibility for the promise of an intriguing new idea. Reviewers find it easier to accept a risky proposal when they are convinced of the potential significance of the idea. Be sure to present clearly what your project’s payoff will be. What do you expect to have learned by the end of your short award? How will you build further upon that? Many reviewers will anticipate that you hope to apply for an R01 grant if your exploratory project is successful, so consider whether that will seem reasonable. If not, present the alternatives.
The standard for “innovation’ in exploratory grants can vary considerably from one reviewer to the next and is frequently the topic of lively discussions at review meetings. It can also vary from one study section to the next because it tends to be influenced by the overall level of innovation in the science that a given panel normally reviews. The NCI program contact for the program announcement can often help you understand what to expect from the review panels for that particular PA.
Are there alternatives to the R03 or R21 for exploratory research?
Other federal agencies, notably the Congressionally Directed Medical Research Programs of the Department of Defense, offer grant support for exploratory cancer research on selected topics. Private foundations are often an excellent source of start-up funds, especially for young investigators. Your own institution may have internal funds available. Industrial sponsors are another possibility, but you may find that investors, like reviewers, are all too interested in evidence of feasibility. However phase I STTR grants can support an exploratory collaboration with a small business.
How are exploratory grant applications scored?
R03 and R21 applications receive priority scores from peer reviewers on a scale of 1.0-5.0, or they may be unscored. Percentile rankings are not calculated for R03 or R21 applications. NCI funding decisions are made on the basis of priority scores, and separate funding cut-offs are established for each type of grant.
How long are program announcements active?
NCI program announcements may be active for up to two years. The NIH Guide announcement will specify the expiration date and any special receipt dates. If you cannot find an expiration date in the announcement, especially if the announcement is more than two years old, check the DEA Web site to make sure the PA is still active.
What are the page limits for an R03 or R21 application?
The program announcement may specify a particular page limit for the Research Plan of the application. If no page limit is specified then the normal limit of 25 pages applies. You are not required to use all 25 pages—as always, be concise.
What are the receipt dates?
The program announcement may specify particular receipt dates. If no special receipt dates are indicated, then applications are due on the regular receipt dates for new grant applications: February 1, June 1 and October 1.
Are the budgets for exploratory grants modular?
They usually are, but in some cases (for example, R21/R33 awards) the program announcement will specify otherwise.
