FY 2007 FUNDING AND OPERATING GUIDELINES

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

March 2007

Funding and Operating Guidelines

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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 (See NIH Guide Notices http://grants.nih.gov/grants/guide/notice-files/NOT-OD-07-049.html and http://grants.nih.gov/grants/guide/notice-files/NOT-OD-07-030.html for more information). Funding levels are initially determined for most mechanisms at the time of the October Council meeting (first Council of the Fiscal Year). Although funding decisions are usually made in priority score/percentile order, final funding decisions are based on considerations of program relevance, overlap with existing programs, availability of funds, and National Heart, Lung, and Blood Advisory Council recommendations.

The scores in the table are for planning purposes. No announcements or commitments should be made until an official Notice of Grant Award is received by the Institution's Business Office. Investigators should track the status of their applications in the NIH Commons and consult this site for updates on the Institute's funding guidelines. Individual notifications will not be made unless an application constitutes an exception to these guidelines. Questions regarding an individual application should be directed to the Program Officer for that application.

New Investigators

The NHLBI commitment to helping new investigators is demonstrated by a policy of maintaining a separate New Investigator Payline for new (i.e., type 1) R01 applications on which all named principal investigators are new investigators. The New Investigator Payline is 5 percentile points above the regular R01 payline for FY 2007. All awards made under this policy will be funded for all years recommended. In addition, new R01 applications on which all named principal investigators are new investigators that are > 5 but ≤ 10 percentile points above the regular R01 payline may undergo an expedited administrative review.

In order for a new investigator to be considered for this NHLBI priority funding, all of the criteria below must be met:

  1. Not previously a PI on an Independent Scientist and/or other non-mentored career award or an R01 or a project director on a sub-project on a multi-project award
  2. Not previously a PI on more than one R21, R03, or R15
  3. Currently holding a position at a domestic institution with a faculty rank up to and including an Associate Professor or equivalent

New Investigators First Renewal

The NHLBI is also committed to helping new investigators who are applying for their first competing renewal (Type 2) R01. The New Investigator first renewal Payline is 5 percentile points above the regular R01 payline for FY 2007.

In order for a new investigator to be considered for this NHLBI priority funding, all of the criteria below must be met:

  1. Not a PI on an Independent Scientist and/or other non-mentored career award or on another R01 or a sub-project director on a multi-project award
  2. Currently holding a position at a domestic institution with a faculty rank up to and including an Associate Professor or equivalent

FUNDING AND OPERATING GUIDELINES

The NHLBI will use the following guidelines for funding RPGs in FY 2007:

Paylines in percentile or priority score:

Grant Program

Percentile

Priority Score

Description

R01, R21

14 . 0

 

Research Project Grant

R01 New Investigator

24 . 0

 

Research Project Grant

R01 New Investigator First Renewal
19 . 0
  Research Project Grant (Type 2)

P01

 

150

Program Project Grant

P01 Subproject

 

170

Program Project: Subproject

SBIR

 

190

Small Business Innovation Research Grant

STTR

 

180

Small Business Technology Transfer Grant

 

 

 

 

 

 

 

 

K awards

 

160

Career Development Award

T awards

 

160

Institutional NRSA Training

F31, F32

40.0

 

Pre and Post-doctoral NRSA

Salary Cap:

The FY 2007 salary cap for individuals under a NIH grant or cooperative agreement was established by statute at $186,600. Information regarding the applicable law can be found at the following link: http://grants.nih.gov/grants/guide/notice-files/NOT-OD-07-033.html .

New (Type 1) Research Project Grants:

The NHLBI policy for new grants is to award them at the Council recommended level except for specific programmatic and administrative adjustments. All applications that do not exceed $250,000 direct costs in any given year of support in the recommended competitive segment will be awarded under the modular concept. Applications that request direct costs that exceed $250,000 in any year of support in the recommended competitive segment will be awarded with categorical budgets.

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

The NHLBI policy for competing renewal and MERIT extension grants that will be awarded in Fiscal Year 2007 differs depending upon the nature of the award in the preceding competitive segment and the likely form of the award for a competitive renewal. Please note that if a proposed award would result in a reduction greater than 25 percent from the Council recommended level, 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.

Categorical to Categorical:

For competing renewal and MERIT extension grants that were categorical awards in the preceding competitive segment and will be in excess of $250,000 direct costs in any given year in the recommended competitive segment, the Institute will award at the Council recommended direct cost up to a maximum of 3 percent (10 percent for MERIT extensions) above the level of the last non-competing award of the preceding competitive segment, except for specific programmatic and administrative adjustments that may be warranted. The maximum will only be exceeded to accommodate non-recurring equipment costs. As F&A costs associated with consortia are no longer considered a direct cost, such costs would be excluded from the base when calculating the maximum that can be requested.

Categorical to Modular:

Competing renewal and MERIT extension grants that were categorical awards in the preceding competitive segment and will be no more than $250,000 direct costs in any given year in the recommended competitive segment will be funded as modular awards. The cap will only be exceeded to accommodate non-recurring equipment costs. For example, if requested equipment costs $15,000, a one-time request for an additional module may be made. However, if one-time equipment costs result in direct costs in excess of $250,000, the award will be made as categorical and so actual equipment costs will be awarded. As F&A costs associated with consortia are no longer considered a direct cost, such costs would be excluded from the base when calculating the maximum that can be requested.

Modular to Modular:

For competing renewal and MERIT extension grants that were modular awards in the preceding competitive segment and will be no more than $250,000 direct costs in any given year in the recommended competitive segment, the Institute will award at the Council recommended direct cost up to a maximum number of modules specified as follows:

If the previous award is 6 or fewer modules, the competing renewal may be up to one module more than the previous award. For example, if the last non-competing direct cost award was $150,000 (6 modules), the applicant would be allowed to apply for $175,000 (7 modules).

If the previous award is 7 or 8 modules, the competing renewal may not exceed two more modules than the previous award. For example, if the last non-competing direct cost award was $200,000 (8 modules), the applicant would be allowed to apply up to $250,000 (10 modules).

These modular caps will only be exceeded to accommodate non-recurring equipment costs. For example, if requested equipment costs $15,000, a one-time request for an additional module may be made. However, if one-time equipment costs result in direct costs in excess of $250,000, the award will be made as categorical and so actual equipment costs will be awarded. As F&A costs associated with consortia are no longer considered a direct cost, such costs would be excluded from the base when calculating the maximum that can be requested.

Modular to Categorical:

If the previous award is 9 or 10 modules, a requested increase will likely cause the competing renewal to be awarded as categorical. In all such cases, the Institute will award at the Council recommended direct cost up to a maximum of 3 percent (10 percent for MERIT extensions) above the level of the last non-competing award of the preceding competitive segment, except for specific programmatic and administrative adjustments that may be warranted. The maximum will only be exceeded to accommodate non-recurring equipment costs. As F&A costs associated with consortia are no longer considered a direct cost, such costs would be excluded from the base when calculating the maximum that can be requested.

Program Project Grants (Type 1 and Type 2):

Type 1: The direct cost award will not exceed $1,515,000. Facilities and Administrative (F&A) Costs associated with subcontracts are not included in the $1,515,000. Annual increases for recurring costs in non-competing years will not be provided.,

Type 2: The direct cost award will be awarded at the recommended direct cost shown on the Notice of Grant Award for the last noncompetitive segment. As with new awards, no annual increases for recurring costs in non-competing years will be provided.

Noncompeting Renewal (Type 5) Grants:

The NHLBI will award Type 5 Research Project Grants (RPGs) in accordance with the NIH Financial Policy for FY2007 (http://grants.nih.gov/grants/guide/notice-files/NOT-OD-07-049.html). Non-competing awards for RPGs will be awarded at 97.1% of the amount indicated for the FY 2007 budget period in the Notice of Grant Award for the previous budget year. The amounts indicated for future budget periods will also be adjusted by the same factor. RPGs include the R01, R03, R21, R33, R24/25s, R35, R37, P01, and U01 mechanisms. The practice will also apply to all P50, U10, U24, and U54 mechanisms in FY 2007. Funds will be restored up to the 97.1% for awards previously made at the 80% provisional amount. Fellowship (F), Training (T), and Career Development (K) awards will be awarded at the full FY 2007 commitment levels, as will R13, R15, SBIR/STTR, and UH1 mechanisms.

Future Year Commitments on FY 2007 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). Although the NHLBI remains committed at this time to funding at the recommended levels each fiscal year, fiscal constraints may necessitate future adjustments.


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. However, no reduction will be made in the recommended number of years for new investigators or in awards recommended for less than four years.

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