NIAAA FY 2009 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 2009

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 $68 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 2009 is approximately $335,000, a three percent increase over the FY 2008 level.  This means that the approximately $68 million budgeted for new and competing RPGs will result in 209 grant awards.  In order to meet this target, NIAAA will negotiate with grantee institutions on R01 and equivalent awards to achieve an aggregate reduction equal to 5% 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 (10% as opposed to 5%).  All reductions on R01 and equivalent RPG awards will apply to all years of the award.  MERIT (R37) applications will be awarded at a level no greater than 4% over their last full Type 5 funding year.

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).

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: 

Non-Competing Renewal (Type 5) Grants: 

The NIAAA will award Type 5 grants in accordance with the NIH Fiscal Policy for Grant Awards - FY 2009.  NIAAA will be funding Type 5 grants in all mechanisms at the full committed level as based on the most current Notice of Grant Award.

Future Year Commitments on FY 2009 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

Updated: April 2009