Research Opportunities for New and "At-Risk" Investigators to Promote Workforce Diversity (R01 Clinical Trial Optional)
This NOFO solicits R01 grant applications from "New Investigators" and "At-Risk Investigators" from diverse backgrounds, including those from groups underrepresented in the health-related sciences (e.g., see NOT-OD-20-031, Notice of NIH’s Interest in Diversity), in order to enhance the diversity of R01-funded investigators.
Only applications that fall within the scientific missions of NCCIH, NEI, NIAAA, NIBIB, NIDA, NIMH, NINR, NIA, or NINDS will be considered for funding. In addition, only the following types of clinical trials will be supported: mechanistic trials and Basic Experimental Studies with Humans (BESH).
Due Dates for New Applications
September 08, 2022; January 06, 2023; May 05, 2023; September 06, 2023; January 09, 2024; May 06, 2024; September 06, 2024; January 08, 2025; May 05, 2025
Due Dates for Resubmission Applications
October 06, 2022; February 07, 2023; June 06, 2023; October 06, 2023; February 06, 2024; June 06, 2024; October 08, 2024; February 06, 2025; June 06, 2025
The Diversity R01 for New and "At-Risk" Investigators Technical Assistance Webinar was held on November 21, 2022, 12pm ET
- New Investigator - "New Investigator" (NI) means you have had no prior NIH support as a Principal Investigator on a substantial independent research award. This includes "Early Stage Investigators" (ESI).
- At-Risk Investigator - "At-Risk Investigator" means you have had prior support as a Principal Investigator on a substantial independent NIH research award and will have no substantial research grant funding in the following fiscal year unless successful in securing a substantial research grant award in the current fiscal year.
- Substantial independent research award - All NIH research grant (R) awards are "substantial independent research awards" except those smaller grants that maintain Early Stage Investigator and New Investigator status. Find the list of awards that an investigator can receive and still maintain ESI/NI status.
An Institutional Eligibility Letter is required for all applicants. The Institutional Eligibility Letter certifies that the PD/PI satisfies the eligibility criteria listed in the NOFO under Section III. "Eligible Individuals (Program Director/Principal Investigator). It must also include a statement explaining how the participation of the identified PD(s)/PI(s) would further the goals of the New and At-Risk Investigators to Promote Workforce Diversity Research Program, consistent with the Notice of NIH’s Interest in Diversity (NOT-OD-20-031). The Institutional Eligibility Letter must be signed by an Authorized Organization Representative (AOR) and uploaded under Other Attachments. Applications missing an Institutional Eligibility Letter will be deemed incomplete and withdrawn.
Frequently Asked Questions
What is the goal of this program?
The overarching goal of this program is to enhance the diversity of New Investigators and At-Risk Investigators conducting research within the mission of the participating NIH Institutes and Centers. All applications must submit an Institutional Eligibility Letter including a statement explaining how participation of the identified PD/PI(s) would further the goals of the New and At-Risk Investigators to Promote Workforce Diversity Research Program, consistent with the Notice of NIH's Interest in Diversity. Information provided in this Institutional Letter will be evaluated at time of application. Investigators from categories A and B are particularly encouraged to work with their institutions to apply.
Are ESI Investigators eligible for this NOFO?
Yes. However, please note that Early Stage Investigators are eligible for special funding consideration at most NIH Institutes. Please check the appropriate NIH funding strategy pages for more information and contact your Program Officer for additional guidance:
- NINDS Funding Strategy
- NIDA Funding Strategy
- NIMH Funding Strategy
- NINR Strategic Plan
- NIBIB Funding Policies
- NCCIH Funding Strategy
- NEI Strategic Planning
- NIAAA Research Priorities
- NIA Funding Line Policy
Can I apply as a Multi-PI if I am a New Investigator and the other PI is an At-Risk Investigator?
Yes, if all PIs/MPIs meet the eligibility requirements and the intended purpose of the NOFO, you can have an application with multiple New Investigators, multiple At-Risk Investigators or an application with a mix of New Investigators and At-Risk Investigators.
Can I apply as a Multi-PI if I am a New Investigator and the other PI does not qualify?
No, Multi-PI applications are not responsive to this NOFO unless all PIs/MPIs meet the eligibility requirements.
If I submit an application to this NOFO and realize later that I do not fit the eligibility criteria, can you transfer my application to the general R01 NOFO?
No, you will need to withdraw your application and work with your sponsored grant office to submit to the correct NOFO. The required Institutional Eligibility letter makes transferring between NOFOs unallowable. The standard R01 receipt dates are 1 month after the receipt dates for this NOFO, to allow time for withdrawal and preparing a new submission.
When should my New Investigator or At-Risk Investigator status be determined?
Your university or institution should confirm your eligibility at the time of application (see definitions, above). Contact the program official at the appropriate institute with questions.
I had an R01 several years ago, am I eligible to apply as an At-Risk Investigator?
Yes, as long as, at time of application, you will have no substantial NIH research grant funding in the following fiscal year (the fiscal year starts October 1).
I have an R01 that expires next fiscal year. Can I apply as an At-Risk Investigator?
No, you must have no substantial NIH research grant funding in the following fiscal year (the fiscal year starts October 1). You may apply next year, if your R01 is not renewed and you receive no other substantial research funding.
Can I submit to this NOFO while other R01 applications are pending? Can I submit other R01 applications while an application to this NOFO is pending?
Yes. New or At Risk status is determined at time of application submission. You may have other R01 applications pending as long as they are not funded at time of submission and meet all other NIH requirements.
My R01 will be in a No Cost Extension at the start of the next fiscal year. Do I qualify as an At-Risk Investigator?
Yes, a No Cost Extension does not count as "substantial research grant funding."
I’m beyond 10 years from receiving my doctoral degree. Am I still considered a New Investigator?
Yes, as long as you have not held substantial research funding. Learn more about early stage investigator policies.
Do non-NIH awards (Federal or non-Federal) affect my At Risk or New Investigator status?
No. Only NIH awards are used to determine At Risk and New Investigator status.
How do I know if my research is a fit for one of the participating institutes?
If you are not sure if your research is a fit, please reach out to the contacts listed below or the appropriate scientific program official for more guidance. The Matchmaker function of NIH RePORTER can help you identify the appropriate program official.
I’m conducting research in an area of research outside of the participating institutes, can I still apply to this NOFO?
No, the research supported by this NOFO must fall within the mission of one of the participating institutes.
Will my application have a separate review at the participating NIH Institute?
No, all applications will be reviewed at the Center for Scientific Review.
Are there any application components for this NOFO that are different from the Parent R01?
Yes, an Institutional Eligibility Letter is required. This letter is submitted by the applicant’s institution certifying that the PD/PI satisfies the eligibility criteria listed in the NOFO under Section III. "Eligible Individuals (Program Director/Principal Investigator)." In addition to the eligibility information above, an applicant institution must include a statement explaining how participation of the identified PD/PI(s) would further the goals of the New and At-Risk Investigators to Promote Workforce Diversity Research program, consistent with the Notice of NIH's Interest in Diversity (NOT-OD-20-031). Information provided in this Institutional Letter will be evaluated prior to an award. Applications missing this letter will not be reviewed.
Are the review criteria for this NOFO different than the Parent R01?
No, all review criteria are the same as the Parent R01.
My recent application to the Parent R01 was not funded. Can I submit a resubmission/A1 to this NOFO?
Yes. Resubmissions are allowed for this NOFO (and there are no restrictions). If this NOFO restricted the resubmissions, there would be a NOFO number next to resubmission that includes the NOFOs this NOFO allows resubmissions from. As long as the application that was submitted to the Parent R01 meets the criteria for a resubmission (i.e. within 37 months), this application can come in as a resubmission.
Will my resubmission to this NOFO be reviewed by the same study section and reviewers as my A0 submission to the Parent NOFO?
Resubmissions will be treated the same as if they were resubmitted to the Parent NOFO. For all resubmissions, they are not automatically assigned to the study section of prior review. However, since applications are assigned based on scientific fit, in most cases, resubmissions end up in the study section of prior review given the same substantive area of focus. Generally, CSR recommends applicants use the Assignment Request Form to request the study section they think would best fit – in most cases the request is honored as long as the scientific fit is appropriate. The resubmission policy is available on the NIH website.
How can I confirm if my research is a BESH or Mechanistic clinical trial?
- Early Stage Investigator Policies
- What’s Happening With “At-Risk Investigators? Extramural Nexus
- Sample Grant Applications
- Advice for New and Early Career Scientists NIH Grants Video Playlist
- After Your First Award: Next Steps in Your Journey with NIH NIH Grants Videos
- Videos and presentations from the NIH Virtual Seminar on Program Funding and Grants Administration (held 11/1-4/21)
- Building Up the Nerve NINDS Podcast
Will M. Aklin, Ph.D.
National Institute on Drug Abuse (NIDA)
Stacy Carrington-Lawrence, Ph.D.
National Institute on Aging
Albert Avila, Ph.D.
National Institute on Biomedical Imaging and Bioengineering (NIBIB)