SUPPLEMENTAL GUIDANCE ON THE NIH STREAMLINED NONCOMPETINGCONTINUATION PROCESS



NIH GUIDE, Volume 24, Number 2, January 20, 1995



P.T. 34



Keywords:

  Grants Administration/Policy+ 



National Institutes of Health



On October 28, 1994, an announcement was published in the NIH Guide

for Grants and Contracts (Volume 23, Number 38) which introduced a

streamlined noncompeting continuation award process for certain types

of NIH research grants and career awards.  This notice is to provide

clarification and guidance for submitting the streamlined

noncompeting continuation application (PHS Form 2590) for the grants

covered by the process.  NIH grant recipients are expected to use the

following guidelines (in addition to the October 28 notice) in

submitting the streamlined noncompeting continuation application for

R01, R03, R13, R15, R18, R21, R24, R25, R29, R37, R42, R44, or the

"K" series mechanisms.



The instructions for submitting the streamlined noncompeting grant

application require that three questions be answered at the beginning

of the Progress Report Summary (Form Page 6) of the PHS Form 2590

application.  In responding to the questions, the following guidance

applies.



o  Other support for key personnel:  The format of Form Page 5 (Other

Support) of the noncompeting application (PHS 2590) is to be

completed only when active support has changed.  If a previously

active grant has terminated and/or if a previously pending grant is

now active, the change in support is to be reported.  Submission of

other support information is not necessary when support is pending.

Other support information should be submitted only for the principal

investigator and for those individuals who are considered by the

principal investigator to be key to the project.  Key personnel is

defined as an individual who contributes in a substantive way to the

scientific development or execution of the project, whether or not

salaries are requested.  Key personnel is defined on Form Page 4

(Biographical Sketch) and on Form Page 5 (Other Support) of the PHS

2590.



Changes in level of effort for active support that has been reported

previously does not require the submission of other support pages.



o  Significant rebudgeting:  Significant rebudgeting occurs when the

cumulative amount of transfers among direct cost categories for the

current budget period exceeds 25 percent of the total amount awarded,

or $250,000, whichever is less.  This policy is stated in the PHS

Grants Policy Statement (rev. April 1, 1994), Pages 8-1 and 8-7.



o  A change in the level of effort for key personnel:  A significant

change in level of effort is defined in Federal regulations as a 25

percent reduction in time devoted to the project.  For example, if a

key person on the project is expected to reduce their effort from 40

percent to 30 percent, which represents a 25 percent reduction in the

level of effort, the detailed budget page (Form Page 2) and the

budget justification page (Form Page 3) are to be submitted in the

noncompeting continuation application.  This requirement applies

regardless of whether or not the key person is compensated from the

grant.



o  Estimated unobligated balance:  An estimated unobligated balance

(including prior year carryover) that is greater than 25 percent of

the current year's total budget or more than $250,000 is to be

reported on the Progress Report Summary page (Form Page 6). An

explanation of why there is a significant balance and how it will be

spent if carried forward into the next budget period is to be

provided. Cumulative unobligated balances resulting from prior year

carryover are compared against the current years's authorized total

budget.



The questions regarding other support and significant rebudgeting

and/or change in level of effort must be answered by stating that no

change has occurred or is planned.  If a change has occurred or is

planned, the appropriate forms and/or justification are to be

submitted in the noncompeting continuation application.  The third

question must be answered when it is anticipated that there will be

an unobligated balance (including prior year carryover) of 25 percent

of the current year's total budget or more than $250,000.



The Progress Report Summary (Form Page 6) is to be used to answer the

three questions before the progress report begins.  Blank pages

should be used to begin the progress report if inadequate space

remains on the first page to answer the questions and to report on

the research progress.  As a guideline, the progress report (sections

1-6) should not exceed two pages.  Information about publications

should continue to be submitted as outlined in the Form PHS 2590.



Separate progress reports are required for supplements which were

awarded specifically to support the addition of an individual to the

project.  The Research Supplement for Underrepresented Minorities and

the Research Supplement to Promote the Recruitment of Individuals

with Disabilities into Biomedical Research Careers are examples of

special supplements and require a separate progress report.  A

separate budget for these special supplements is not required unless

there is a significant change as discussed above.



INQUIRIES



questions concerning the simplified noncompeting continuation

application may be directed to the grants management specialist or

program administrator identified on the notice of grant award.



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