FY 2000 FUNDING AND OPERATING GUIDELINES

National Heart, Lung, and Blood Institute
National Institutes of Health

Archive Edition

Funding and Operating Guidelines

FY 2009
FY 2008 Archive
FY 2007 Archive
FY 2006 Archive
FY 2005 Archive
FY 2004 Archive
FY 2003 Archive
FY 2002 Archive
FY 2001 Archive
FY 2000 Archive
FY 1999 Archive

GOALS

The National Heart, Lung, and Blood Institute (NHLBI) will continue to apply National Institutes of Health (NIH) cost management guidelines in making Research Project Grant (RPG) awards.

FUNDING AND OPERATING GUIDELINES

The legislatively mandated salary cap for FY 2000 will apply to all competing grants awarded, whether they are based on categorically requested budgets or modular grant budgets. The increased salary cap will result in additional funds being awarded to only those new (Type 1) grants that qualify. Competing renewals (Type 2) and non-competing continuations (Type 5) will not have additional funds awarded for this purpose.

The NHLBI will use the following guidelines for funding RPGs:

New (Type 1) Research Project Grants:

The Institute will award the Council recommended level except for specific programmatic and administrative adjustments.

Competing Renewal (Type 2) Research Project and Merit Extension (Type 4) Awards:

The NHLBI policy for all competing renewal and merit extension grants that will be awarded in Fiscal Year 2000 follows:

• Categorical:

The Institute will award at the Council recommended level up to a maximum of 10 percent above the level of the last noncompeting award of the preceding competitive segment, except for specific programmatic and administrative adjustments that may be warranted. The 10 percent maximum will only be exceeded to accommodate non- recurring equipment costs.

If the proposed award would result in a reduction greater than 25 percent from the Council recommended level, then NHLBI program staff will contact the Principal Investigator and the applicant institution before an award is issued to obtain: either (a) a statement that the approved aims and objectives can be accomplished within the proposed level of support, or (b) a revised statement of aims and revised budget for the proposed level of support.

• Modular:

The Institute may award at the Direct Cost Council recommended level up to a maximum of 10 percent above the level of the last noncompeting award of the preceding competitive segment. If the direct costs requested falls between a $25,000 module then the grantee can round up to the next module. For example, if the last noncompeting direct cost award was $150,000, a 10 percent escalation would be $165,000. As a result, the $165,000 would be "between modules", the grantee would be allowed to round up to the next module, and request $175,000 in direct costs.

• First Independent Research Support and Transition (FIRST) awards that are ending their initial project period and recompeting for renewal as regular research grants are considered new (Type 1) grants for funding purposes. Thus, they are not subject to the above-referenced 10 percent maximum increase that applies to competing renewals.

Program Project Grants (Type 1 and Type 2):

Type 1: The direct cost award will not exceed $1,220,000. Facilities and Administrative (F&A) Costs associated with subcontracts are NOT included in the $1,220,000.

Type 2: The direct cost award will not exceed $1,220,000 or a 10 percent escalation above the last noncompeting renewal of the previous competitive segment, whichever is greater. Facilities and Administrative (F&A) Costs associated with subcontracts are NOT included in the calculation.

Noncompeting Renewal (Type 5) Grants:

The Institute will award the recommended level for FY 2000 reflected on the FY 1999 award notice. However, the Institute retains the right to reduce such a level when necessary and appropriate. For example, such a reduction would be made to eliminate any overlapping support identified. The new legislatively mandated salary cap will apply to noncompeting renewal grants. However, no additional funds will be provided for the increase. Grantees may rebudget within the funds awarded to accommodate the new cap.

Future Year Commitments on FY 2000 new and competing renewal awards:

Generally, future year commitments on the Notice of Grant Award will reflect an annual 3 percent escalation on recurring costs (e.g., Personnel, Supplies). The annual 3 percent escalation does not apply to Modular Grants.

DURATION OF GRANTS

To achieve an average length of four years, the NHLBI will calculate the average length of research project grants awarded at each Council. To reach the average length of four years, the Institute will reduce research project grants recommended for five years to four years beginning with those grants with the least favorable percentile scores and continuing to those with the most

favorable percentile scores. With this approach grants recommended for four years will not be reduced to three years by the Institute.

Revised 2/22/00