NIAAA FY2008 Financial Management Plan
Each fiscal year, the National Institute on Alcohol Abuse and Alcoholism (NIAAA) establishes an operating plan for the funding of research and training grants based on the appropriations received from Congress. Within this appropriation, NIAAA is committed to funding the largest number of meritorious projects possible, while allowing the flexibility needed to support selected program priorities and respond to emerging scientific opportunities. The following funding and operating guidelines have been established for Fiscal Year 2008.
Award Criteria
Many factors are considered in the selection of applications for award. These include: Integrated Review Group (IRG) percentile or priority scores, new (Type 1) or competing renewal (Type 2) status, proposed research in a special emphasis area, designation by NIAAA Advisory Council as projects having high program priority, uniqueness and the potential for high research payoff, and the need for bridge (interim) support pending review of amended renewal applications.
Unforeseen factors occurring throughout the fiscal year can affect the operating policies. Thus, policies are subject to change. For the most current information, it is always best to check with an appropriate Institute official.
Competing Research Project Grants (RPGs)
Research Project Grants (RPGs) are the main mechanisms of support for investigator-initiated research, and they currently comprise approximately 60% of total NIAAA funding. This year, NIAAA has budgeted $59 million for new and competing Research Project Grants (RPGs). Competing RPGs include: single investigator awards such as traditional research project grants (R01), small research grants (R03), exploratory or developmental grants (R21), MERIT awards (R37), and Cooperative Agreements (U01); and multi-component awards such as Program Project Grants (P01).
NIAAA's average total cost target for competing RPGs in FY 2008 is approximately $330,000, the same as the FY 2007 level. This means that the approximately $59 million budgeted for new and competing RPGs will result in 177 grant awards. In order to meet this target, NIAAA will negotiate with grantee institutions to achieve an aggregate reduction equal to 10% of the total cost requested, consistent with NIH funding policy. Projects will be individually negotiated to accommodate the specific fiscal situation of the grantee. Awards to applicants holding multiple awards may receive a greater reduction than applicants that only have a single NIH grant. Multiple grant holders may be in a better position to adjust to a budget reduction. Similarly, applications with larger dollar requests ($500,000 or greater) should, in general, receive a greater reduction (15% as opposed to 10%). All reductions on RPG awards will apply to all years of the award.
NIAAA anticipates its success rate will be 25 percent. This figure includes applications submitted in response to Program Announcements and Special Initiatives (Request for Applications or RFAs).
R01/U01 grants will be reduced to achieve an aggregate reduction equal to 10 percent of the direct cost of the project. We expect that most modular grants will be reduced 1/2 to 1 full module to achieve this reduction. Non-Modular R01 awards as well as U01 awards, will be reduced by an aggregate 10% as well.
Developmental grants (R21) will be reduced by 1/4 module if direct costs are at or above $100,000 per year.
MERIT (R37) applications will be awarded at a level equal to their last full Type 5 funding year.
New Investigators
The NIAAA has a strong commitment to supporting first-time R01 investigators. New Investigators just beyond the NIAAA nominal payline are invited to submit a letter to respond to the summary statement critique. These responses are reviewed by Program staff, and when deemed appropriate, the application may be recommended to Institute leadership for award. When making decisions on applications of high program priority, new investigator status is one of the criteria considered for funding beyond the nominal payline.
The current definition of first-time R01 investigators, as defined by PHS guidelines (Application for a Public Health Service Grants, PHS-398), is as follows:
New Investigator. Check “Yes” in the “New Investigator” box only if the PD/PI has not previously competed successfully for an NIH-supported research project other than the following small or early stage research awards:
• Pathway to Independence Award-Research Phase (R00)
• Small Grant (R03)
• Academic Research Enhancement Award (R15)
• Exploratory/Developmental Grant (R21)
• Clinical Trial Planning Grant (R34)
• Dissertation Award (R36)
• Small Business Technology Transfer Grant-Phase I (R41)
• Small Business Innovation Research Grant-Phase I (R43)
• Shannon Award (R55)
• NIH High Priority, Short-Term Project Award (R56)
Additionally, the PD/PI is not excluded from consideration as a “New Investigator” if he/she has received an award from any of the following classes of awards:
Training-Related and Mentored Career Awards
• Fellowships (F05, F30, F31, F32, F34, F37, F38)
• Mentored-career awards (K01, K08, K22, K23, K25, K99-R00)
• Other mentored career awards (developmental K02 as used by NINDS and the developmental K07)
• Loan repayment contracts (L30, L32, L40, L50, L60) Please note that current or past recipients of non-mentored career awards that normally require independent research support (K02, K05, K24, and K26) are not considered new investigators.
Instrumentation, Construction, Education, or Meeting Awards
• G07, G08, G11, G13, G20
• S10, S15
• X01, X02
• R25
• C06, UC6
• R13, U13
PHS 398: Part I I-26
In general, if the PD/PI has competed successfully as PD/PI for a significant NIH independent research award, he/she is not considered a new investigator and must check “No.”
When Multiple PD/PIs are proposed, all PD/PIs must meet the definition of New Investigator to check “Yes” in the “New Investigator” box.
Non-Competing Renewal (Type 5) Grants:
The NIAAA will award Type 5 grants in accordance with the NIH Fiscal Policy for Grant Awards - FY 2008. To help ensure the availability of an adequate pool of funds for new and competing continuation awards, the inflationary adjustment for existing non-competing awards will be limited to an average of 1 percent. This means most non-competing awards will receive a reduction of approximately 2 percent below the commitment level, which will be applied to all remaining years of the grant. Future year commitments will also be adjusted accordingly.
This policy does not apply to Ruth L. Kirschstein National Research Service Awards (NRSA), Research Career awards, Conference Grants, or SBIR/STTR awards.
Future Year Commitments on FY 2008 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). This escalation does not apply to Modular Grants. Although the NIAAA is committed at this time to funding at the recommended levels each future fiscal year based on the Notice of Grant Award, fiscal constraints may necessitate future adjustments.
Duration of Grants:
The NIH requires the average length of award for Research Project Grants to be 4 years. The NIAAA does not expect to have to adjust the length of awards to meet this goal.
Additional Links
Additional information on budget strategy and grants funding policies may be found at the following web sites:
Frequently Asked Questions (FAQs) for Extramural Researchers
NIAAA Funding Opportunities
Program Announcements
Request for Applications
NIH Office of Extramural Research
Updated: February 12, 2008