FY 2011 FUNDING AND OPERATING GUIDELINES

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


Cob Web Archive Edition


Available Funding and Operating Guidelines


 

GOALS

The National Heart, Lung, and Blood Institute (NHLBI) continues to apply National Institutes of Health (NIH) cost management guidelines when making Research Project Grant (RPG) awards. Funding levels are initially determined for most mechanisms at the time of the first National Heart, Lung, and Blood Advisory Council (NHLBAC) meeting of the fiscal year.

Although funding decisions are primarily made in priority score or percentile order, final funding decisions are based on considerations of program relevance, overlap with existing programs, availability of funds, and NHLBAC recommendations.

In order to fund meritorious science earlier, the NHLBI will continue a funding policy that should reduce the need for principal investigators and universities to submit revised applications. A more extensive discussion of the NHLBI funding policy can be found at the following NHLBI site: "Translating NIH Peer Review Changes into Funding Policies."

Payline Information

The paylines for NHLBI competing awards are displayed in the table below. Payline information will be updated throughout the fiscal year as appropriate. 

Paylines in percentile or priority score:



Grant Program Percentile Priority Score Description
R01/U01     Research Project Grant
A0 16.0    
A1 12.0    
A2 10.0    
ESI 26.0    
R03/R21 16.0    
R15   20 Academic Research Enhancement Awards (AREA)
P01   20 Program Project Grant
P01 Subproject   30 Program Project: Subproject
SBIR   30 Small Business Innovation Research Grant
STTR   31 Small Business Technology Transfer Grant
K awards   30 Career Development Awards
T32/T35   30 Institutional NRSA Training
F30   15 Pre-doctoral NRSA
F31, F32, F33 30   Pre and Post-doctoral NRSA

Future Year Commitments on FY 2011 New and Competing Renewal Awards:

The NHLBI will award competing research project grants (RPGs) in accordance with the NIH Fiscal Policy for FY 2011 (http://grants.nih.gov/grants/guide/notice-files/NOT-OD-11-068.html). Consistent with the policy for non-competing awards, future inflationary adjustments for recurring costs on all NHLBI competing grants will be provided at 2 percent. Awards that have already been made in FY 2011 which are affected by this policy will be revised in accordance with the guidelines in this Notice.

Duration of Grants

Competing awards are adjusted to achieve a four-year average duration for research project grants. Grants to ESIs, Method to Extend Research in Time (MERIT) awards, program project grants, and clinical trial grants are usually funded for the full length of their Council-recommended project period. Competing applications with a Council-recommended duration of four years will not be reduced further to three years.

New and Early Stage Investigators

Applications from New investigators (NI) who did not qualify as early stage investigators (ESI) were no longer considered for special funding as of FY 2010. This policy continues into FY 2011.

The NHLBI will continue a commitment to help ESIs by a policy of maintaining separate paylines for new competing (Type 1) R01 and First Renewal (Type 2) applications in accordance with NIH guidelines. Regardless of amendment status, the paylines for new competing (Type 1) and First Renewal (Type 2) ESI R01 applications will be 5 percentile points above the regular R01 paylines for unamended (A0) applications in FY 2011. In addition and also regardless of amendment status, new competing (Type 1) ESI R01 applications that are >5 but <=10 percentile points above the regular R01 paylines for unamended (A0) applications in FY 2011 may undergo an expedited review to resolve comments in the summary statement. The funding policies will apply to all new competing (Type 1) and First Renewal (Type 2) ESI R01 applications under special funding consideration regardless of the amendment status of the application. All awards to ESI applicants under this policy will be funded for all years recommended by the NHLBAC.

Please note that the NHLBI considers both NI and ESI status to have been determined at the time of the initial A0 grant application submission. If an applicant would have qualified for ESI status at the time of the A0 application submission, that status would be maintained through to the A1 and A2 revisions. Similarly, if an applicant would have qualified for NI status at the A0 submission, when the NHLBI had a payline advantage for NIs (i.e., for funding prior to FY 2010), the NI status (and the associated payline advantage) would also be maintained through to the A1 and A2 revisions.

Fostering the success of ESIs who are establishing careers in biomedical research is a high priority of the NHLBI and NIH. The NHLBI emphasis on ESIs is exhibited in the special consideration given in determining both funding priority and period of support. The NHLBI routinely considers ESI applications for payment, including those that score outside of the normal funding range.

Additional information on ESIs can be found in the NHLBI document Commitment to Early Stage Investigators.

The NHLBI will use the following guidelines for funding RPGs:


Salary Cap

The FY 2010 salary cap for individuals under an NIH grant or cooperative agreement remains in effect and is established by statute at $199,700. Information regarding the applicable law can be found at the following link: http://grants.nih.gov/grants/guide/notice-files/NOT-OD-11-073.html

New (Type 1) Research Project Grants

The NHLBI policy for new grants is to award them at the NHLBAC 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 requesting 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 FY 2011 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 requested amount in the application, NHLBI program staff will contact the PI and the applicant institution before an award is issued to obtain either a statement that the approved aims and objectives can be accomplished within the proposed level of support, or a revised statement of aims and revised budget for the proposed level of support.

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 first tier subcontracts are not included in the direct cost ceiling. Annual increases for recurring costs in non-competing years are not allowed.

Type 2: Direct costs will be awarded at the same amount shown on the Notice of Award for the last noncompetitive segment. As with new awards, annual increases for recurring costs are not allowed.

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 of the recommended competitive segment, the Institute will award at the NHLBAC recommended direct cost up to a maximum of three 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 may be exceeded to accommodate non-recurring equipment costs. Facilities and Administrative (F&A) costs for first tier consortia are not considered in the direct cost 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 of the recommended competitive segment, the Institute will award at the NHLBAC recommended direct cost amount.

Facilities and Administrative (F&A) costs for first tier consortia are not considered in the direct cost base when calculating the maximum that can be requested.

Modular to Categorical

If the previous award is nine 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 NHLBAC 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. The maximum may only be exceeded to accommodate specific programmatic and administrative adjustments that may be warranted or for non-recurring equipment costs.

Facilities and Administrative (F&A) costs for first tier consortia are not considered in the direct cost base when calculating the maximum that can be requested.

Continuation Awards (Type 5 Noncompeting Renewal)

The NHLBI will award Type 5 modular and non-modular research project grants (RPGs) in accordance with the NIH Fiscal Policy for FY 2011 (http://grants.nih.gov/grants/guide/notice-files/NOT-OD-11-068.html). Awards previously issued will be revised in accordance with this policy.

Research project grants (e.g., R01, R03, R33, R24, R37, P01, U01, U24, and U19 mechansms), will be reduced by 1% below the FY 2010 award level. Inflationary adjustments for recurring costs on non-competing research grants in FY 2012 and beyond will be limited to 2% above the FY 2011 award level. Awards that have already been made in FY 2011and that are impacted by this policy will be revised.

Other types of grants, such as P30, P50, UH1, U10, R/ U34, and U54 mechanisms, will not receive a 1% reduction in FY 2011. However, future year escalation for recurring costs will be limited to 2% above FY 2011 levels.

Funds will be restored as appropriate for FY 2011 awards previously made at the 90% provisional amount. Fellowship (F), Training (T), Career Development (K) awards will be awarded at the full FY 2011 commitment levels, as will R13, R15, SBIR/STTR, and T15 mechanisms.




Last Updated December 2013




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