REVISED POLICY ON THE ACCEPTANCE FOR REVIEW OF UNSOLICITED APPLICATIONS THAT 
REQUEST $500,000 OR MORE IN DIRECT COSTS

Release Date:  October 16, 2001

NOTICE:  NOT-OD-02-004 (NICHD Policy and procedures, see NOT-HD-06-003)
                       (Also see policy revision NOT-NS-06-004 and also NOT-OD-04-040)

National Institutes of Health

The National Institutes of Health (NIH) is updating its policy on the 
acceptance of applications requesting direct costs of $500,000 or more 
for any one year.  Effective with the January 1, 2002 receipt dates, 
applicants must seek agreement to accept assignment from 
Institute/Center staff at least 6 weeks prior to the anticipated 
submission of any application requesting $500,000 or more in direct 
costs for any year.    

BACKGROUND

The NIH supports research projects with large budgets but needs to 
consider such awards as early as possible in the budget and program 
planning process.  Regardless of the merit of the application or the 
budget justification, unanticipated requests for unusually high amounts 
of direct costs are difficult for NIH to manage.  It is in the best 
interest of all parties if applicants anticipating large direct costs 
to contact the appropriate NIH program staff as early as possible to 
ensure that an Institute/Center would be willing to accept the 
application.

This notice clarifies and revises the policy published in the NIH Guide 
for Grants and Contracts on March 20, 1998.

The current policy advises an applicant planning to submit an 
investigator-initiated new, competing continuation, competing 
supplement, or any amended/revised version of the original application 
requesting $500,000 or more in direct costs for any year to contact 
Institute or Center program staff before submitting the application.  
Discussions with program staff should occur as plans for the study are 
being developed.  However, that notice does not specify a timeframe for 
this process.  

This revised policy requires applicants to seek agreement from 
Institute/Center staff at least 6 weeks prior to the anticipated 
submission of any application requesting $500,000 or more in direct 
costs for any year.  If staff is contacted less than 6 weeks before 
submission, there may be insufficient time to make a determination 
about assignment prior to the intended submission date.  If the 
requested dollars are significantly greater than $500,000, then 
approval should be sought even earlier.  

This policy does not apply to applications submitted in response to 
RFAs or in response to other Announcements that include specific 
budgetary limits.  However, such applications must be responsive to any 
budgetary limits specified, or they will be returned to applicants 
without review. 

PROCEDURES

An applicant planning to submit a grant application with $500,000 or 
more in direct costs for any year is required to contact in writing or 
by telephone NIH Institute or Center program staff.  This contact 
should be made during the development process of the application but no 
later than 6 weeks before the anticipated submission date.  If the 
Institute or Center is willing to accept assignment of the application 
for consideration of funding, the staff will notify the Center for 
Scientific Review before the application is submitted.  

The Principal Investigator must include a cover letter with the 
application.  That cover letter must identify the program staff member 
and Institute or Center that has agreed to accept assignment of the 
application.

An application received without indication of prior staff concurrence 
and identification of program staff contacted will be returned to the 
applicant without review.  Therefore, NIH strongly encourages 
applicants to contact Institute or Center staff at the earliest 
possible time.  

INQUIRIES

For additional information about this policy, the program staff at any 
Institute or Center may be contacted.  Applicants who are uncertain 
about which Institute or Center may have the greatest interest in the 
research for which support is sought should contact:

Division of Receipt and Referral
Center for Scientific Review
National institutes of Health
Telephone:  (301) 435-0715
FAX:  (301) 480-1987

Weekly TOC for this Announcement
NIH Funding Opportunities and Notices

	Office of Extramural Research (OER)			National Institutes of Health (NIH) 9000 Rockville Pike Bethesda, Maryland 20892			Department of Health and Human Services (HHS)
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