Full Text NOT-97-005 FUNDING STRATEGIES FOR FY 1997 NIH Guide, Volume 26, Number 14, May 2, 1997 P.T. 34 Keywords: Grants Administration/Policy+ National Institutes of Health The information provided below will guide the NIH Institutes and Centers (IC) in their funding decisions on Research Project Grants in FY 1997. Research Projects are primarily investigator-initiated basic science research, including R01s, R03s, R29s, P01s and U01s. This group does not include SBIR/STTR awards. The core principles, which are not specifically associated with FY 97, remain essentially the same as in recent years. The funding strategies reflect some changes due to the FY 97 appropriation level and associated congressional directives. Core Principles 1. Grants will be awarded on the basis of reasonable and allowable costs consonant with the principles of sound cost management and in consideration of Institute or Center priorities, constraints on the growth of average grant costs, and the availability of funds. 2. The award of noncompeting research project grants at committed levels continues to be the cornerstone of the NIH Financial Management Plan and is the basis of the plan~s credibility with the scientific community and Congress. 3. Determination of commitments for future years must take into consideration stability of support for investigators, optimum portfolio balance, and opportunities to address emerging problems. Fiscal Year 1997 Funding Strategies 1. The direct cost level for the future years of FY 1997 new and competing continuation awards, on the average, will not exceed the direct cost level of the previous budget period by more than 3 percent. The 4 percent adjustment factor used to calculate future year direct costs for grants made prior to FY 97 will remain in effect (see 2. below). NIH staff may make exceptions for specifically justified programmatic requirements and one-time, non- recurring costs such as equipment. 2. For noncompeting grants, every effort will be made to make awards at the committed levels. If fiscal conditions in an IC are such that funding at the committed levels is not possible, the IC will consult with the Deputy Director for Extramural Research, NIH, to determine an appropriate resolution. 3. For competing grants, budgetary reductions from the requested level will be achieved through a combination of initial review and Council/Board recommendations, staff review for cost allocability, allowability, and reasonableness, and programmatic adjustments to arrive at an appropriate funding level. Each IC will develop a plan that specifies the general rationale and methodology for adjustments based on programmatic considerations. This plan will be available as part of the IC official program file. 4. Based on adjustments to the project, IC staff, in consultation with the principal investigator, will decide if a new statement of specific aims is required. When reductions are 25% or more below the IRG recommended level, staff will obtain a revised statement of specific aims, a revised budget and/or revised timetable, as appropriate for the project, which must be approved and countersigned by the institution, and approved by program and grants management staff. This material serves as documentation of budgetary and programmatic adjustments described in this paragraph and in item (3) above. To ensure initial review group understanding of the modified scope of a funded project, the approved statement of revised aims should be submitted by the investigator in competing continuation grant applications. 5. For competing continuation grants, one factor in arriving at the award amount will be the level of support in prior years and the extent to which the IC can permit growth within the existing constraints on average costs. 6. The average length of research project grants will not exceed four years. 7. In making funding decisions, ICs will consider the total costs of a grant, especially for those grants near the IC funding payline. INQUIRIES For further information, contact the Grants Management Specialist or Health Scientist Administrator responsible for your award. Their names and telephone numbers are indicated on the Notice of Grant Award. .
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