In the world of NIH grant applications, you’ve likely heard us talk about grant types through various activity codes — the three-character codes we use to differentiate the wide variety of research-related programs NIH supports. The most common activity code is R01, our standard research project grant.
This article compares R01 with two additional research project grant (RPG) types that have broad Parent Opportunity Announcements for investigator-initiated applications:
The comparisons can help you (the organization that receives and administers a grant award and the principal investigators responsible for directing the supported project) choose an appropriate funding opportunity and understand some of the impacts of your choice.
Our advice below covers several key factors: your planned project’s scope, preliminary data, budget and duration, long-term goals, success rates, and more.
Plan Your Project’s Scope
If you intend to apply for a comprehensive, long-term research project with clear hypothesis-driven goals, a standard research project grant (R01) is a strong choice. It supports well-established and discrete research initiatives in your specific areas of interest and competency.
For a small pilot study, feasibility research, or similar early-stage work, consider a small research grant (R03). It is intended for smaller projects of limited scope.
As the name implies, exploratory/developmental grants (R21) support innovative and developmental work. An R21 could be ideal if you plan a creative approach with high potential impact. These studies may involve considerable risk but may lead to a breakthrough in a particular area.
You should make sure the NIH Institute, Center, or Office (ICO) you have in mind supports your planned award type and participates in the funding opportunity you are interested in. Particularly for R03 and R21, support varies across ICOs.
Assess Your Preliminary Data
When you have strong preliminary data to justify your research aims and hypothesis, consider applying for an R01 research project grant.
If you qualify as an Early-Stage Investigator (ESI), we encourage you to apply for a R01 as soon as you are ready during your 10-year window of Eligibility. You may not need as much preliminary data or publications as an established investigator would. The Stephen I. Katz ESI R01 program disallows preliminary data. Learn about funding priority for ESIs and other benefits of the NIH ESI Policy.
Small (R03) and exploratory/developmental (R21) grants do not require preliminary data, though most funding opportunities allow you to include it. If you intend to use a short grant to generate preliminary data for publication or your subsequent application, plan your time carefully to ensure you can do so within the 2-year time limit.
Align the Budget and Duration to Your Needs
The standard research project (R01) grant typically allows a flexible project period of up to 5 years.
There is no budget cap for R01 applications unless the funding opportunity sets a limit. If you wish to request $500,000 or more in direct costs for any year of your budget, you must request prior approval 6 weeks before you apply as described in NIH Grants Policy Statement 2.3.7.2.
By contrast, R03 and R21 grants have strict budget and duration limits. Your application should specify how you will achieve your planned objectives within the constraints stated in the funding opportunity. For example:
- The R03 Parent Announcement limits budgets to $50,000 in direct costs per year and project period no more than 2 years.
- The R21 Parent Announcements allow up to $275,000 in direct costs with no more than $200,000 in any year over a project period no more than 2 years.
For all application types, make sure your requested budget is appropriate to the scope of your project.
Think About Renewability
Organizations can apply for a renewal to continue an R01 project and tackle subsequent objectives after an awarded project period.
R03 and R21 awards are not renewable. If the ICO you have in mind supports R03 or R21, they could serve as a foundational opportunity to build toward an R01 or another grant type.
What About Success Rates?
Don’t base your choice on success rates. Application success rates by activity code vary widely across ICOs and many factors influence success rates and funding decisions, as summarized in the Open Mike blog post “Data are Available on NIH Funding Plans.”
Some investigators who plan a small project mistakenly assume that their application will have a better chance as a R03 or R21. It could make more sense to apply for a smaller or shorter R01 instead. Focus on which award type and opportunity is the best match for your plans.
Enlist Experts to Inform Your Decision
In addition to the three types we focused on here, be sure to consider other Research Project Grants and Funding Categories to find the best match.
Seek advice from others before you finalize your choice of award type and funding opportunity. Discuss your planned project and award type with grant officials at your institution, colleagues who have NIH grants, and reach out to NIH ICO program officials in your field of science. You can also find NIH scientific program contacts listed in each notice of funding opportunity.
Learn More
- Research Project Grants and other Funding Categories
- Grants Process instructions and guidance, including how to Search for Funding Opportunities
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