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		Search Text: Home/Grants and Training/< Back ToPolicies, Procedures, and Guidelines/FY 2024 Funding and Operating Guidelines

FY 2024 Funding and Operating Guidelines
    
        National Heart, Lung, and Blood InstituteNational Institutes of HealthAvailable Funding and Operating Guidelines**FY2023 Archive****FY2022 Archive****FY2021 Archive****FY2020 Archive****FY2019 Archive****FY2018 Archive**The Department of Health and Human Services (HHS), including National Institutes of Health (NIH), operates under the Further Additional Continuing Appropriations and Other Extensions Act, 2024 (Public Law 118-35) signed by President Biden on January 19, 2024. This Act (CR) continues government operations through March 8, 2024, at the Fiscal Year (FY) 2023 enacted level, with no reduction.Until FY 2024 appropriations are enacted, the NHLBI will issue non-competing research grant awards at a level below that indicated on the most recent Notice of Award (generally up to 90% of the previously committed level). See NOT-OD-24-059. This funding strategy will be updated when FY 2024 appropriations are enacted and final funding policies are determined.**Last Updated:**February 2024

    
                FY 2023 Funding and Operating Guidelines
      
	-
		FY 2024 Funding and Operating Guidelines
    National Heart, Lung, and Blood Institute National Institutes of HealthAvailable Funding and Operating Guidelines**Goals**The National Heart, Lung, and Blood Institute (NHLBI) applies NIH cost management guidelines when making FY2023 grant awards (see NOT-OD-23-071). Legislative mandates for FY2023 are in effect (see NOT-OD-23-072). The salary limitation set at Executive Level II of the Federal Pay Scale is $212,100, effective with grant awards with an initial Issue Date on or after January 1, 2023 (see NOT-OD-23-071).**Funding Strategy**The NHLBI funding strategy for competing applications will use one of two methods detailed below, depending upon the specific grant mechanism:a payline with selective paya zone of considerationThe currently available funding strategy information for NHLBI competing awards is displayed in the tables below. The NHLBI will continue to update its funding strategy for FY2023, as necessary and as additional information becomes available. Applicants are advised to use information presented here, in conjunction with information available in their organizational eCommons accounts, for planning purposes only.**Payline with Selective Pay**When a payline is specified, the NHLBI intends to fund all applications equal to or less than the percentile (or priority score if there is no percentile), providing there are no substantive reasons to do otherwise. Depending on the availability of funds, the Institute will make funding decisions on competing applications above the payline through selective pay actions. The table below details the paylines for relevant grant programs.PaylineGrant ProgramGrant Program DescriptionPercentilePriority ScoreR01Research Project Grant14N/AR01 ESIEarly Stage Investigators24N/AK awardsCareer Development AwardsN/A30F30Pre-doctoral NRSAN/A20F31, F32, F33Pre- and Post-doctoral NRSA35N/AR15Academic Research Enhancement Awards (AREA)N/A30R43Small Business Innovation Research (SBIR) Grants (Phase I)N/A30Zone of ConsiderationA zone of consideration is a range of priority scores within which competing applications will be considered for funding. The table below details the range of priority scores per relevant grant program.Zone of ConsiderationGrant ProgramGrant Program DescriptionZone of Consideration (Priority Score Range)P01Program Project Grant10-30T32, T35Institutional NRSA Training10-35R41, R42Small Business Technology Transfer (STTR) Grants10-40R44Small Business Innovation Research (SBIR) Grants (Phase II)10-40**Criteria for Selective Pay and Zone of Consideration**Final award decisions related to selective pay and zones of consideration will be based on a variety of criteria relevant to scientific merit, program balance, and NHLBI strategic priorities including:Scientific and technical merit of the proposed project as determined by scientific peer reviewNational Heart, Lung, and Blood Advisory Council (NHLBAC) recommendationsRelevance to NHLBI’s strategic research prioritiesOverall programmatic portfolio balance and need (e.g., scientific gaps and needs, areas of interest to the NHLBI, poorly represented areas in Institute’s portfolio, overlap with existing programs, etc.)Development and diversity of the biomedical workforce (e.g., investigator’s career stage, etc.)Potential for high scientific or public health impact (e.g., highly innovative research, research relevant to special populations that are disproportionately affected or understudied [women, minorities, pediatric populations, patients with rare diseases], etc.)**Future Year Commitments on FY2023 New and Competing Renewal Awards**As in prior fiscal years, inflationary increases for future year commitments are no longer provided for all competing and non-competing research grant awards issued by the NHLBI. However, adjustments for special needs (such as equipment and added personnel) continue to be accommodated whenever possible.**Duration of Research Project Grants**The NHLBI will fund approved investigator-initiated R01 competing applications within established paylines, regardless of percentile or priority score, for up to four years. The only exceptions to this policy are awards made to Early Stage Investigators (ESIs), clinical studies and clinical trials with patient accrual and follow-up timelines that cannot be accomplished within four years. These excepted applications generally will be awarded for the full length of their NHLBAC recommended project periods.**Early Stage Investigators**Fostering the success of Early Stage Investigators (ESIs) who are establishing careers in biomedical research is a high priority of the NHLBI and NIH. The NHLBI will continue its commitment to ESIs in accordance with NIH guidelines as articulated in the NIH Guide (see NOT-OD-18-214 and NOT-OD-17-101). The NHLBI commitment to ESIs is reflected in the special consideration given in both funding priority and period of support. Funding advantage is given to ESI applications from Principal Investigators who maintain New Investigator (NI) status when a funding decision is made.The NHLBI routinely considers funding ESI applications that score outside of the normal funding range by maintaining a separate payline for competing, investigator-initiated ESI R01 applications. In FY203, the payline for these applications will be 10 percentile points above the regular R01 payline. Further, all awards to ESI applicants will be funded for all years recommended by the NHLBAC.Note regarding NHLBI policy on ESI application resubmission post ESI eligibility status:For investigators whose ESI eligibility window expires between the new (A0) application submission and the resubmission (A1), the NHLBI will honor ESI special funding consideration for these resubmission applications for the entirety of the resubmission window (37 months). In other words, provided an ESI submits the original (A0) application to NHLBI and maintains New Investigator (NI) status when a funding decision is made, the resubmission (A1) of this application is eligible for NHLBI ESI special funding consideration. Note that the NHLBI approach differs from the NIH statement about retaining ESI-eligible status for investigators whose ESI eligibility window expires between the original submission and resubmission by extending the 13-month resubmission window (see FAQ V.4) to 37 months.Note regarding applications with Multiple PIs:To be eligible for the NHLBI ESI funding advantage, all PIs on multiple-PI applications must maintain ESI status at the time a funding decision is made.Note regarding phased mechanisms/transitional grants:The NHLBI ESI funding advantage applies to phased mechanisms/transitional grants. However, upon transition to the second phase of the research (the substantial, independent research grant) the NHLBI ESI status for the PD/PI(s) will no longer apply. This includes combined, transitional awards like the R21/R33, R61/R33, and UH2/UH3.Note regarding program project grants (PPG):Under the current PPG (P01) FOA (PAR-21-088), PPG applications may include an ESI as a Project Leader. Serving as a Project Leader, but not Program Director/Principal Investigator in a PPG grant will not impact the investigator’s ESI status. If an ESI-led Project is included and the application contains at least four Projects, the maximum direct costs will increase to $1,765,000 direct cost per year (with a minimum of $250,000 per year in direct costs for the ESI-led Project) as described in ***Program Project Grants*** section of this document.**First Competing Renewals (Type 2) or New (Type 1) R01 Application for Investigators with an NHLBI Early Stage Investigator Award**The NHLBI appreciates that the first competing renewal application or second R01 application after an awarded ESI application is submitted during a critical period in investigators’ careers. In order to extend timely support for the next generation of heart, lung, blood, and sleep researchers, the NHLBI maintains a separate payline of five percentile points above the regular R01 payline for investigator-initiated first competing renewal (Type 2) applications or second new (Type 1) R01 applications and will fund all years recommended by the NHLBAC when all of the following criteria are met:The initial (Type 1) application was funded as an NHLBI ESI application and is currently in the last project period year or within two fiscal years beyond the last project period yearThe individual is not and has not been a principal investigator on an Independent Scientist (K02) or other non-mentored career award, on another R01, or on any other “major award” mechanism that disqualifies one from being considered an NIH Early Stage InvestigatorThe application must be from a domestic institution**Note:**This is a special NHLBI program; therefore the competing renewal applications will not be flagged by the NIH grant system. Rather, NHLBI staff will identify applications eligible for special funding consideration under this program. Further, to be eligible for this funding advantage, all PIs on multiple-PI applications must meet the criteria described above.**NHLBI Interim Funding Using the R56 (High Priority, Short-Term Project) Award**Pending the availability of funds, the NHLBI may use the R56 grant mechanism, sometimes called "Bridge Award," to provide limited, interim research support to competing R01 applications requesting less than $500,000 in direct costs per year. Eligible investigators cannot have substantial funding support from within or outside the NIH beyond the current fiscal year. Further, applications with administrative issues that preclude timely award may be considered ineligible for this program. NHLBI participation in the R56 mechanism is published in the NIH Guide (see NOT-HL-13-188). **Please note that investigators cannot apply for R56 awards.**The ultimate goal of the award is to provide interim, one-year support for investigators to collect preliminary data in support of a resubmission or newly competing NIH R01 application.The NHLBI will use the following guidelines for funding RPGs:*Salary Cap*The FY2023 salary cap for individuals under an NIH grant or cooperative agreement is established by statute at $212,100 (see NOT-OD-23-071).*Competing (Type 1 and Type 2) Research Project Grant Awards*The NHLBI will apply a reduction to all investigator-initiated R01 competing applications requesting greater than $500,000 total direct costs. The NHLBI policy for competing grants equal to or less than $499,999 total direct costs is to award them at the NHLBAC recommended level except for specific programmatic and administrative adjustments.*Program Project Grants*Direct costs will be awarded at the recommended level or $1,515,000, whichever is less. Under the current PPG (P01) FOA (PAR-21-088), PPG applications including an ESI as a Project Leader may have a larger budget cap per year if at least four projects are included in the application. Project budgets should reflect the actual needs of the proposed project. If an ESI-led Project is included and the application contains at least four Projects, the maximum direct costs will increase to $1,765,000 per year (with a minimum of $250,000 per year in direct costs for the ESI-led Project). Facilities and Administrative (F&A) Costs associated with first tier subcontracts are not included in the direct cost ceiling. No annual increases for recurring costs in non-competing years are allowed.All Program Project Grant (P01) competing applications will be awarded at or below the NHLBI published Program Project Grants (P01s) direct costs cap (excluding first-tier subcontract Facilities and Administrative [F&A] costs) for each project year, in accordance with the PPG cap policy. No annual increases in noncompeting years may be requested. Equipment is included in the budget ceiling.Under the current PPG (P01) FOA (PAR-21-088), PPGs will be limited to one competitive renewal.*Continuation Awards (Type 5 Noncompeting Renewal)*The NHLBI will award Type 5 grants in accordance with the Notice of Fiscal Policies in Effect for FY2023.**Last Updated:**February 2023


          
    FY 2022 Funding and Operating Guidelines
      
	-
		FY 2024 Funding and Operating Guidelines
    National Heart, Lung, and Blood Institute National Institutes of HealthAvailable Funding and Operating GuidelinesGoalsThe National Heart, Lung, and Blood Institute (NHLBI) applies NIH cost management guidelines when making FY2022 grant awards (see NOT-OD-22-105). Legislative mandates for FY2022 are in effect (see NOT-OD-22-117). The salary limitation set at Executive Level II of the Federal Pay Scale is $203,700, effective with grant awards with an initial Issue Date on or after January 2, 2022 (see NOT-OD-22-105).Funding StrategyThe NHLBI funding strategy for competing applications will use one of two methods detailed below, depending upon the specific grant mechanism:a payline with selective paya zone of considerationThe currently available funding strategy information for NHLBI competing awards is displayed in the tables below. The NHLBI will continue to update its funding strategy for FY2022, as necessary and as additional information becomes available. Applicants are advised to use information presented here, in conjunction with information available in their organizational eCommons accounts, for planning purposes only.**Payline with Selective Pay**When a payline is specified, the NHLBI intends to fund all applications equal to or less than the percentile (or priority score if there is no percentile), providing there are no substantive reasons to do otherwise. Depending on the availability of funds, the Institute will make funding decisions on competing applications above the payline through selective pay actions. The table below details the paylines for relevant grant programs.PaylineGrant ProgramGrant Program DescriptionPercentilePriority ScoreR01Research Project Grant15N/AR01 ESIEarly Stage Investigators25N/AK awardsCareer Development AwardsN/A28F30Pre-doctoral NRSAN/A20F31, F32, F33Pre- and Post-doctoral NRSA35N/AR15Academic Research Enhancement Awards (AREA)N/A30R43Small Business Innovation Research (SBIR) Grants (Phase I)N/A30Zone of ConsiderationA zone of consideration is a range of priority scores within which competing applications will be considered for funding. The table below details the range of priority scores per relevant grant program.Zone of ConsiderationGrant ProgramGrant Program DescriptionZone of Consideration (Priority Score Range)P01Program Project Grant10-30T32, T35Institutional NRSA Training10-35R41, R42Small Business Technology Transfer (STTR) Grants10-40R44Small Business Innovation Research (SBIR) Grants (Phase II)10-40**Criteria for Selective Pay and Zone of Consideration**Final award decisions related to selective pay and zones of consideration will be based on a variety of criteria relevant to scientific merit, program balance, and NHLBI strategic priorities including:Scientific and technical merit of the proposed project as determined by scientific peer reviewNational Heart, Lung, and Blood Advisory Council (NHLBAC) recommendationsRelevance to NHLBI’s strategic research prioritiesOverall programmatic portfolio balance and need (e.g., scientific gaps and needs, areas of interest to the NHLBI, poorly represented areas in Institute’s portfolio, overlap with existing programs, etc.)Development and diversity of the biomedical workforce (e.g., investigator’s career stage, etc.)Potential for high scientific or public health impact (e.g., highly innovative research, research relevant to special populations that are disproportionately affected or understudied [women, minorities, pediatric populations, patients with rare diseases], etc.)**Future Year Commitments on FY2022 New and Competing Renewal Awards**As in prior fiscal years, inflationary increases for future year commitments are no longer provided for all competing and non-competing research grant awards issued by the NHLBI. However, adjustments for special needs (such as equipment and added personnel) continue to be accommodated whenever possible.**Duration of Research Project Grants**The NHLBI will fund approved investigator-initiated R01 competing applications within established paylines, regardless of percentile or priority score, for up to four years. The only exceptions to this policy are awards made to Early Stage Investigators (ESIs), clinical studies and clinical trials with patient accrual and follow-up timelines that cannot be accomplished within four years. These excepted applications generally will be awarded for the full length of their NHLBAC recommended project periods.**Early Stage Investigators**Fostering the success of Early Stage Investigators (ESIs) who are establishing careers in biomedical research is a high priority of the NHLBI and NIH. The NHLBI will continue its commitment to ESIs in accordance with NIH guidelines as articulated in the NIH Guide (see NOT-OD-18-214 and NOT-OD-17-101). The NHLBI commitment to ESIs is reflected in the special consideration given in both funding priority and period of support. Funding advantage is given to ESI applications from Principal Investigators who maintain New Investigator (NI) status when a funding decision is made.The NHLBI routinely considers funding ESI applications that score outside of the normal funding range by maintaining a separate payline for competing, investigator-initiated ESI R01 applications. In FY2022, the payline for these applications will be 10 percentile points above the regular R01 payline. Further, all awards to ESI applicants will be funded for all years recommended by the NHLBAC.Note regarding NHLBI policy on ESI application resubmission post ESI eligibility status:For investigators whose ESI eligibility window expires between the new (A0) application submission and the resubmission (A1), the NHLBI will honor ESI special funding consideration for these resubmission applications for the entirety of the resubmission window (37 months). In other words, provided an ESI submits the original (A0) application to NHLBI and maintains New Investigator (NI) status when a funding decision is made, the resubmission (A1) of this application is eligible for NHLBI ESI special funding consideration. Note that the NHLBI approach differs from the NIH statement about retaining ESI-eligible status for investigators whose ESI eligibility window expires between the original submission and resubmission by extending the 13-month resubmission window (see FAQ V.4) to 37 months.Note regarding applications with Multiple PIs:To be eligible for the NHLBI ESI funding advantage, all PIs on multiple-PI applications must maintain ESI status at the time a funding decision is made.Note regarding phased mechanisms/transitional grants:The NHLBI ESI funding advantage applies to phased mechanisms/transitional grants. However, upon transition to the second phase of the research (the substantial, independent research grant) the NHLBI ESI status for the PD/PI(s) will no longer apply. This includes combined, transitional awards like the R21/R33, R61/R33, and UH2/UH3.Note regarding program project grants (PPG):Under the current PPG (P01) FOA (PAR-21-088), PPG applications may include an ESI as a Project Leader. Serving as a Project Leader, but not Program Director/Principal Investigator in a PPG grant will not impact the investigator’s ESI status. If an ESI-led Project is included and the application contains at least four Projects, the maximum direct costs will increase to $1,765,000 direct cost per year (with a minimum of $250,000 per year in direct costs for the ESI-led Project) as described in ***Program Project Grants*** section of this document.**First Competing Renewals (Type 2) or New (Type 1) R01 Application for Investigators with an NHLBI Early Stage Investigator Award**The NHLBI appreciates that the first competing renewal application or second R01 application after an awarded ESI application is submitted during a critical period in investigators’ careers. In order to extend timely support for the next generation of heart, lung, blood, and sleep researchers, the NHLBI maintains a separate payline of five percentile points above the regular R01 payline for investigator-initiated first competing renewal (Type 2) applications or second new (Type 1) R01 applications and will fund all years recommended by the NHLBAC when all of the following criteria are met:The initial (Type 1) application was funded as an NHLBI ESI application and is currently in the last project period year or within two fiscal years beyond the last project period yearThe individual is not and has not been a principal investigator on an Independent Scientist (K02) or other non-mentored career award, on another R01, or on any other “major award” mechanism that disqualifies one from being considered an NIH Early Stage InvestigatorThe application must be from a domestic institution**Note:**This is a special NHLBI program; therefore the competing renewal applications will not be flagged by the NIH grant system. Rather, NHLBI staff will identify applications eligible for special funding consideration under this program. Further, to be eligible for this funding advantage, all PIs on multiple-PI applications must meet the criteria described above.**NHLBI Interim Funding Using the R56 (High Priority, Short-Term Project) Award**Pending the availability of funds, the NHLBI may use the R56 grant mechanism, sometimes called "Bridge Award," to provide limited, interim research support to competing R01 applications requesting less than $500,000 in direct costs per year. Eligible investigators cannot have substantial funding support from within or outside the NIH beyond the current fiscal year. Further, applications with administrative issues that preclude timely award may be considered ineligible for this program. NHLBI participation in the R56 mechanism is published in the NIH Guide (see NOT-HL-13-188). **Please note that investigators cannot apply for R56 awards.**The ultimate goal of the award is to provide interim, one-year support for investigators to collect preliminary data in support of a resubmission or newly competing NIH R01 application.The NHLBI will use the following guidelines for funding RPGs:*Salary Cap*The FY2022 salary cap for individuals under an NIH grant or cooperative agreement is established by statute at $203,700 (see NOT-OD-22-105).*Competing (Type 1 and Type 2) Research Project Grant Awards*The NHLBI will apply a reduction to all investigator-initiated R01 competing applications requesting greater than $500,000 total direct costs. The NHLBI policy for competing grants equal to or less than $499,999 total direct costs is to award them at the NHLBAC recommended level except for specific programmatic and administrative adjustments.*Program Project Grants*Direct costs will be awarded at the recommended level or $1,515,000, whichever is less. Under the current PPG (P01) FOA (PAR-21-088), PPG applications including an ESI as a Project Leader may have a larger budget cap per year if at least four projects are included in the application. Project budgets should reflect the actual needs of the proposed project. If an ESI-led Project is included and the application contains at least four Projects, the maximum direct costs will increase to $1,765,000 per year (with a minimum of $250,000 per year in direct costs for the ESI-led Project). Facilities and Administrative (F&A) Costs associated with first tier subcontracts are not included in the direct cost ceiling. No annual increases for recurring costs in non-competing years are allowed.All Program Project Grant (P01) competing applications will be awarded at or below the NHLBI published Program Project Grants (P01s) direct costs cap (excluding first-tier subcontract Facilities and Administrative [F&A] costs) for each project year, in accordance with the PPG cap policy. No annual increases in noncompeting years may be requested. Equipment is included in the budget ceiling.Under the current PPG (P01) FOA (PAR-21-088), PPGs will be limited to one competitive renewal.*Continuation Awards (Type 5 Noncompeting Renewal)*The NHLBI will award Type 5 grants in accordance with the Notice of Fiscal Policies in Effect for FY2022.**Last Updated:**May 2022


          
    FY 2021 Funding and Operating Guidelines
      
	-
		FY 2024 Funding and Operating Guidelines
    **National Heart, Lung, and Blood Institute****National Institutes of Health****Available Funding and Operating Guidelines**GoalsThe National Heart, Lung, and Blood Institute (NHLBI) applies NIH cost management guidelines when making FY2021 grant awards (see NOT-OD-21-058). Legislative mandates for FY2021 are in effect (see NOT-OD-21-056). The salary limitation set at Executive Level II of the Federal Pay Scale is $199,300, effective with grant awards with an initial Issue Date on or after January 3, 2021 (see NOT-OD-21-057).Funding StrategyThe NHLBI funding strategy for competing applications will use one of two methods detailed below, depending upon the specific grant mechanism:a payline with selective paya zone of considerationThe currently available funding strategy information for NHLBI competing awards is displayed in the tables below. The NHLBI will continue to update its funding strategy for FY2021, as necessary and as additional information becomes available. Applicants are advised to use information presented here, in conjunction with information available in their organizational eCommons accounts, for planning purposes only.Payline with Selective PayWhen a payline is specified, the NHLBI intends to fund all applications equal to or less than the percentile (or priority score if there is no percentile), providing there are no substantive reasons to do otherwise. Depending on the availability of funds, the Institute will make funding decisions on competing applications above the payline through selective pay actions. The table below details the paylines for relevant grant programs.**Payline****Grant Program****Grant Program Description****Percentile****Priority Score**R01Research Project Grant15N/AR01 ESIEarly Stage Investigators25N/AK awardsCareer Development AwardsN/A28F30Pre-doctoral NRSAN/A20F31, F32, F33Pre- and Post-doctoral NRSA35N/AR15Academic Research Enhancement Awards (AREA)N/A30R43Small Business Innovation Research (SBIR) Grants (Phase I)N/A30**Zone of Consideration**A zone of consideration is a range of priority scores within which competing applications will be considered for funding. The table below details the range of priority scores per relevant grant program.**Zone of Consideration****Grant Program****Grant Program Description****Zone of Consideration****(Priority Score Range)**P01Program Project Grant10 - 30T32, T35Institutional NRSA Training10 - 35R41, R42Small Business Technology Transfer (STTR) Grants10 - 40R44Small Business Innovation Research (SBIR) Grants (Phase II)10 - 40Criteria for Selective Pay and Zone of ConsiderationFinal award decisions related to selective pay and zones of consideration will be based on a variety of criteria relevant to scientific merit, program balance, and NHLBI strategic priorities including:Scientific and technical merit of the proposed project as determined by scientific peer reviewNational Heart, Lung, and Blood Advisory Council (NHLBAC) recommendationsRelevance to NHLBI’s strategic research priorities.Overall programmatic portfolio balance and need (e.g., scientific gaps and needs, areas of interest to the NHLBI, poorly represented areas in Institute’s portfolio, overlap with existing programs, etc.)Development and diversity of the biomedical workforce (e.g., investigator’s career stage, etc.)Potential for high scientific or public health impact (e.g., highly innovative research, research relevant to special populations that are disproportionately affected or understudied [women, minorities, pediatric populations, patients with rare diseases], etc.)Future Year Commitments on FY2021 New and Competing Renewal AwardsAs in prior fiscal years, inflationary increases for future year commitments are no longer provided for all competing and non-competing research grant awards issued by the NHLBI. However, adjustments for special needs (such as equipment and added personnel) continue to be accommodated whenever possible.Duration of Research Project GrantsThe NHLBI will fund approved investigator-initiated R01 competing applications within established paylines, regardless of percentile or priority score, for up to four years. The only exceptions to this policy are awards made to Early Stage Investigators (ESIs), clinical studies and clinical trials with patient accrual and follow-up timelines that cannot be accomplished within four years. These excepted applications generally will be awarded for the full length of their NHLBAC recommended project periods.Early Stage InvestigatorsFostering the success of Early Stage Investigators (ESIs) who are establishing careers in biomedical research is a high priority of the NHLBI and NIH. The NHLBI will continue its commitment to ESIs in accordance with NIH guidelines as articulated in the NIH Guide (see NOT-OD-18-214 and NOT-OD-17-101). The NHLBI commitment to ESIs is reflected in the special consideration given in both funding priority and period of support. Funding advantage is given to ESI applications from Principal Investigators who maintain New Investigator (NI) status when a funding decision is made.The NHLBI routinely considers funding ESI applications that score outside of the normal funding range by maintaining a separate payline for competing, investigator-initiated ESI R01 applications. In FY2021, the payline for these applications will be 10 percentile points above the regular R01 payline. Further, all awards to ESI applicants will be funded for all years recommended by the NHLBAC.Note regarding NHLBI policy on ESI application resubmission post ESI eligibility status:For investigators whose ESI eligibility window expires between the new (A0) application submission and the resubmission (A1), the NHLBI will honor ESI special funding consideration for these resubmission applications for the entirety of the resubmission window (37 months). In other words, provided an ESI submits the original (A0) application to NHLBI and maintains New Investigator (NI) status when a funding decision is made, the resubmission (A1) of this application is eligible for NHLBI ESI special funding consideration. Note that the NHLBI approach differs from the NIH statement about retaining ESI-eligible status for investigators whose ESI eligibility window expires between the original submission and resubmission by extending the 13-month resubmission window (see FAQ V.4) to 37 months.Note regarding applications with Multiple PIs:To be eligible for the NHLBI ESI funding advantage, all PIs on multiple-PI applications must maintain ESI status at the time a funding decision is made.Note regarding phased mechanisms/transitional grants:The NHLBI ESI funding advantage applies to phased mechanisms/transitional grants. However, upon transition to the second phase of the research (the substantial, independent research grant) the NHLBI ESI status for the PD/PI(s) will no longer apply. This includes combined, transitional awards like the R21/R33, R61/R33, and UH2/UH3.Note regarding program project grants (PPG):Under the current PPG (P01) FOA (PAR-21-088), PPG applications may include an ESI as a Project Leader. Serving as a Project Leader, but not Program Director/Principal Investigator in a PPG grant will not impact the investigator’s ESI status. If an ESI-led Project is included and the application contains at least four Projects, the maximum direct costs will increase to $1,765,000 direct cost per year (with a minimum of $250,000 per year in direct costs for the ESI-led Project) as described in ***Program Project Grants*** section of this document.First Competing Renewals (Type 2) or New (Type 1) R01 Application for Investigators with an NHLBI Early Stage Investigator AwardThe NHLBI appreciates that the first competing renewal application or second R01 application at the end of an awarded ESI application are submitted during a critical period in investigators’ careers. In order to extend timely support for the next generation of heart, lung, blood, and sleep researchers, the NHLBI maintains a separate payline of 5 percentile points above the regular R01 payline for investigator-initiated first competing renewal (Type 2) or secondary new (Type 1) R01 applications that meet all of the following criteria:The initial (Type 1) application was funded as an NHLBI ESI application and is currently in the last project period year or within two fiscal years beyond the last project period yearThe individual is not and has not been a principal investigator on an Independent Scientist (K02) or other non-mentored career award, on another R01, or on any other “major award” mechanism that disqualifies one from being considered an NIH Early Stage Investigator (see https://grants.nih.gov/policy/early-investigators/index.htm#earlystage)The application must be from a domestic institutionFurther, all first competing R01 renewal or second R01 awards for investigators with an NHLBI ESI award will be funded for all years recommended by the NHLBAC.**Note:**This is a special NHLBI program; therefore the competing renewal applications will not be flagged by the NIH grant system. Rather, NHLBI staff will identify applications eligible for special funding consideration under this program. Further, to be eligible for this funding advantage, all PIs on multiple-PI applications must meet the criteria described above.NHLBI Interim Funding Using the R56 (High Priority, Short-Term Project) AwardPending the availability of funds, the NHLBI may use the R56 grant mechanism, sometimes called "Bridge Award," to provide limited, interim research support to competing R01 applications requesting less than $500,000 in direct costs per year. Eligible investigators cannot have substantial funding support from within or outside the NIH beyond the current fiscal year. Further, applications with administrative issues that preclude timely award may be considered ineligible for this program. NHLBI participation in the R56 mechanism is published in the NIH Guide (see NOT-HL-13-188). **Please note that investigators cannot apply for R56 awards.**The ultimate goal of the award is to provide interim, one-year support for investigators to collect preliminary data in support of a resubmission or newly competing NIH R01 application.The NHLBI will use the following guidelines for funding RPGs:***Salary Cap***The FY2021 salary cap for individuals under an NIH grant or cooperative agreement is established by statute at $199,300 (see NOT-OD-21-057).***Competing (Type 1 and Type 2) Research Project Grant Awards***The NHLBI will apply a reduction to all investigator-initiated R01 competing applications requesting greater than $500,000 total direct costs. The NHLBI policy for competing grants equal to or less than $499,999 total direct costs is to award them at the NHLBAC recommended level except for specific programmatic and administrative adjustments.***Program Project Grants***Direct costs will be awarded at the recommended level or $1,515,000, whichever is less. Under the current PPG (P01) FOA (PAR-21-088), PPG applications including an ESI as a Project Leader may have a larger budget cap per year if at least four projects are included in the application. Project budgets should reflect the actual needs of the proposed project. If an ESI-led Project is included and the application contains at least four Projects, the maximum direct costs will increase to $1,765,000 per year (with a minimum of $250,000 per year in direct costs for the ESI-led Project). Facilities and Administrative (F&A) Costs associated with first tier subcontracts are not included in the direct cost ceiling. No annual increases for recurring costs in non-competing years are allowed.All Program Project Grant (P01) competing applications will be awarded at or below the NHLBI published Program Project Grants (P01s) direct costs cap (excluding first-tier subcontract Facilities and Administrative [F&A] costs) for each project year, in accordance with the PPG cap policy. No annual increases in noncompeting years may be requested. Equipment is included in the budget ceiling.Under the current PPG (P01) FOA (PAR-21-088), PPGs will be limited to one competitive renewal.***Continuation Awards (Type 5 Noncompeting Renewal)***The NHLBI will award Type 5 grants in accordance with the Notice of Fiscal Policies in Effect for FY2021.**Last Updated:**April 2021


          
    FY 2020 Funding and Operating Guidelines
      
	-
		FY 2024 Funding and Operating Guidelines
    **National Heart, Lung, and Blood Institute****National Institutes of Health****Available Funding and Operating Guidelines****Goals**The National Heart, Lung, and Blood Institute (NHLBI) applies NIH cost management guidelines when making FY2020 grant awards (see NOT-OD-20-068). Legislative mandates for FY2020 are in effect (see NOT-OD-20-066). The salary limitation set at Executive Level II of the Federal Pay Scale is $197,300, effective with grant awards with an initial Issue Date on or after January 5, 2020 (see NOT-OD-20-065).**Funding Strategy**The NHLBI funding strategy for competing applications will use one of two methods detailed below, depending upon the specific grant mechanism:a payline with selective paya zone of considerationThe currently available funding strategy information for NHLBI competing awards is displayed in the tables below. The NHLBI will continue to update its funding strategy for FY2020, as necessary and as additional information becomes available. Applicants are advised to use information presented here, in conjunction with information available in their organizational eCommons accounts, for planning purposes only.**Payline with Selective Pay**When a payline is specified, the NHLBI intends to fund all applications equal to or less than the percentile (or priority score if there is no percentile), providing there are no substantive reasons to do otherwise. Depending on the availability of funds, the Institute will make funding decisions on competing applications above the payline through selective pay actions. The table below details the paylines for relevant grant programs.**Payline****Grant Program****Grant Program Description****Percentile****Priority Score**R01Research Project Grant16N/AR01 ESIEarly Stage Investigators26N/AK awardsCareer Development AwardsN/A32F30Pre-doctoral NRSAN/A20F31, F32, F33Pre- and Post-doctoral NRSA39N/AR15Academic Research Enhancement Awards (AREA)N/A30R43Small Business Innovation Research (SBIR) Grants (Phase I)N/A30**Zone of Consideration**A zone of consideration is a range of priority scores within which competing applications will be considered for funding. The table below details the range of priority scores per relevant grant program.**Zone of Consideration****Grant Program****Grant Program Description****Zone of Consideration****(Priority Score Range)**P01Program Project Grant10 - 30T32, T35Institutional NRSA Training10 - 35R41, R42Small Business Technology Transfer (STTR) Grants10 - 40R44Small Business Innovation Research (SBIR) Grants (Phase II)10 - 40**Criteria for Selective Pay and Zone of Consideration**Final award decisions related to selective pay and zones of consideration will be based on a variety of criteria relevant to scientific merit, program balance, and NHLBI strategic priorities including:Scientific and technical merit of the proposed project as determined by scientific peer reviewNational Heart, Lung, and Blood Advisory Council (NHLBAC) recommendationsRelevance to NHLBI’s strategic research priorities.Overall programmatic portfolio balance and need (e.g., scientific gaps and needs, areas of interest to the NHLBI, poorly represented areas in Institute’s portfolio, overlap with existing programs, etc.)Development and diversity of the biomedical workforce (e.g., investigator’s career stage, etc.)Potential for high scientific or public health impact (e.g., highly innovative research, research relevant to special populations that are disproportionately affected or understudied [women, minorities, pediatric populations, patients with rare diseases], etc.)**Future Year Commitments on FY2020 New and Competing Renewal Awards**As in prior fiscal years, inflationary increases for future year commitments are no longer provided for all competing and non-competing research grant awards issued by the NHLBI. However, adjustments for special needs (such as equipment and added personnel) continue to be accommodated whenever possible.**Duration of Research Project Grants**The NHLBI will fund approved investigator-initiated R01 competing applications within established paylines, regardless of percentile or priority score, for up to four years. The only exceptions to this policy are awards made to Early Stage Investigators (ESIs), clinical studies and clinical trials with patient accrual and follow-up timelines that cannot be accomplished within four years. These excepted applications will generally be awarded for the full length of their NHLBAC recommended project periods.**Early Stage Investigators**Fostering the success of Early Stage Investigators (ESIs) who are establishing careers in biomedical research is a high priority of the NHLBI and NIH. The NHLBI will continue its commitment to ESIs in accordance with NIH guidelines as articulated in the NIH Guide (see NOT-OD-18-214 and NOT-OD-17-101). The NHLBI commitment to ESIs is reflected in the special consideration given in both funding priority and period of support. Funding advantage is given to ESI applications from Principal Investigators who maintain New Investigator (NI) status when a funding decision is made.The NHLBI routinely considers funding ESI applications that score outside of the normal funding range by maintaining a separate payline for competing, investigator-initiated ESI R01 applications. In FY2020, the payline for these applications will be 10 percentile points above the regular R01 payline. Further, all awards to ESI applicants will be funded for all years recommended by the NHLBAC.**Note regarding NHLBI policy on ESI application resubmission post ESI eligibility status:** For investigators whose ESI eligibility window expires between the new (A0) application submission and the resubmission (A1), the NHLBI will honor ESI special funding consideration for these resubmission applications for the entirety of the resubmission window (37 months). In other words, provided an ESI submits the original (A0) application to NHLBI and maintains New Investigator (NI) status when a funding decision is made, the resubmission (A1) of this application is eligible for NHLBI ESI special funding consideration. Note that the NHLBI approach differs from the NIH statement about retaining ESI-eligible status for investigators whose ESI eligibility window expires between the original submission and resubmission by extending the 13-month resubmission window (see FAQ V.4) to 37 months.**Note regarding applications with Multiple PIs:**To be eligible for the NHLBI ESI funding advantage, all PIs on multiple-PI applications must maintain ESI status at the time a funding decision is made.**Note regarding phased mechanisms/transitional grants:**The NHLBI ESI funding advantage applies to phased mechanisms/transitional grants. However, upon transition to the second phase of the research (the substantial, independent research grant) the NHLBI ESI status for the PD/PI(s) will no longer apply. This includes combined, transitional awards like the R21/R33, R61/R33, and UH2/UH3.**Note regarding program project grants (PPG)**: Under the current PPG (P01) FOA (PAR-18-405), PPG applications may include an ESI as a Project Leader. Serving as a Project Leader, but not Program Director/Principal Investigator in a PPG grant will not impact the investigator’s ESI status. If an ESI-led Project is included and the application contains at least four Projects, the maximum direct costs will increase to $1,765,000 direct cost per year (with a minimum of $250,000 per year in direct costs for the ESI-led Project) as described in ***Program Project Grants***section of this document.**First Competing Renewals (Type 2) or New (Type 1) R01 Application for Investigators with an NHLBI Early Stage Investigator Award**The NHLBI appreciates that the first competing renewal application or second R01 application at the end of an awarded ESI application are submitted during a critical period in investigators’ careers. In order to extend timely support for the next generation of heart, lung, blood, and sleep researchers, the NHLBI maintains a separate payline of 5 percentile points above the regular R01 payline for investigator-initiated first competing renewal (Type 2) or secondary new (Type 1) R01 applications that meet all of the following criteria:The initial (Type 1) application was funded as an NHLBI ESI application and is currently in the last project period year or within two fiscal years beyond the last project period yearThe individual is not and has not been a principal investigator on an Independent Scientist (K02) or other non-mentored career award, on another R01, or on any other “major award” mechanism that disqualifies one from being considered an NIH Early Stage Investigator (see https://grants.nih.gov/policy/early-investigators/index.htm#earlystage)The application must be from a domestic institutionFurther, all first competing R01 renewal or second R01 awards for investigators with an NHLBI ESI award will be funded for all years recommended by the NHLBAC.**Note:**This is a special NHLBI program; therefore the competing renewal applications will not be flagged by the NIH grant system. Rather, NHLBI staff will identify applications eligible for special funding consideration under this program. Further, to be eligible for this funding advantage, all PIs on multiple-PI applications must meet the criteria described above.**NHLBI Interim Funding Using the R56 (High Priority, Short-Term Project) Award**Pending the availability of funds, the NHLBI may use the R56 grant mechanism, sometimes called "Bridge Award," to provide limited, interim research support to competing R01 applications requesting less than $500K in direct costs per year. Eligible investigators cannot have substantial funding support from within or outside the NIH beyond the current fiscal year. Further, applications with administrative issues that preclude timely award may be considered ineligible for this program.  NHLBI participation in the R56 mechanism is published in the NIH Guide (see NOT-HL-13-188). **Please note that investigators cannot apply for R56 awards.**The ultimate goal of the award is to provide interim, one-year support for investigators to collect preliminary data in support of a resubmission or newly competing NIH R01 application.**The NHLBI will use the following guidelines for funding RPGs:*****Salary Cap***The FY2020 salary cap for individuals under an NIH grant or cooperative agreement is established by statute at $197,300 (see NOT-OD-20-065).***Competing (Type 1 and Type 2) Research Project Grant Awards***The NHLBI policy for competing grants is to award them at the NHLBAC recommended level except for specific programmatic and administrative adjustments. Applications that do not exceed $250,000 direct costs in any given year of support in the recommended competitive segment are generally awarded under the modular concept. Applications requesting direct costs that exceed $250,000 in any year of support in the recommended competitive segment will be awarded with categorical budgets.Effective FY2017, NHLBI is no longer limiting Type 2 awards to NHLBAC recommended direct costs plus a maximum of three percent above the level of the last noncompeting segment.***Program Project Grants***Direct costs will be awarded at the recommended level or $1,515,000, whichever is less. Under the current PPG (P01) FOA (PAR-18-405), PPG applications including an ESI as a Project Leader may have a larger budget cap per year if at least four projects are included in the application. Project budgets should reflect the actual needs of the proposed project. If an ESI-led Project is included and the application contains at least four Projects, the maximum direct costs will increase to $1,765,000 per year (with a minimum of $250,000 per year in direct costs for the ESI-led Project). Facilities and Administrative (F&A) Costs associated with first tier subcontracts are not included in the direct cost ceiling. No annual increases for recurring costs in non-competing years are allowed.All Program Project Grant (P01) competing applications will be awarded at or below the NHLBI published Program Project Grants (P01s) direct costs cap (excluding first-tier subcontract Facilities and Administrative [F&A] costs) for each project year, in accordance with the PPG cap policy. No annual increases in noncompeting years may be requested. Equipment is included in the budget ceiling.Under the current PPG (P01) FOA (PAR-18-405), PPGs will be limited to one competitive renewal.***Continuation Awards (Type 5 Noncompeting Renewal)***The NHLBI will award Type 5 grants in accordance with the Notice of Fiscal Policies in Effect for FY2020.**Last Updated:** March 2020


          
    FY 2019 Funding and Operating Guidelines
      
	-
		FY 2024 Funding and Operating Guidelines
    **National Heart, Lung, and Blood Institute****National Institutes of Health****Available Funding and Operating Guidelines****Goals**The National Heart, Lung, and Blood Institute (NHLBI) applies NIH cost management guidelines when making FY2019 grant awards (see NOT-OD-19-031). All legislative mandates that were in effect in FY2018 remain in effect. The salary limitation set at Executive Level II of the Federal Pay Scale is $192,300, effective with grant awards with an initial Issue Date on or after January 6, 2019 (see NOT-OD-19-099).**Funding Strategy**The NHLBI funding strategy for competing applications will use one of two methods detailed below, depending upon the specific grant mechanism:a payline with selective paya zone of considerationThe currently available funding strategy information for NHLBI competing awards is displayed in the tables below. The NHLBI will continue to update its funding strategy for FY2019, as necessary and as additional information becomes available. Applicants are advised to use information presented here, in conjunction with information available in their organizational eCommons accounts, for planning purposes only.**Payline with Selective Pay**When a payline is specified, the NHLBI intends to fund all applications equal to or less than the percentile (or priority score if there is no percentile), providing there are no substantive reasons to do otherwise. Depending on the availability of funds, the Institute will make funding decisions on competing applications above the payline through selective pay actions. The table below details the paylines for relevant grant programs.**Payline****Grant Program****Grant Program Description****Percentile****Priority Score**R01Research Project Grant16N/AR01 ESIEarly Stage Investigators26N/AK awardsCareer Development AwardsN/A32F30Pre-doctoral NRSAN/A20F31, F32, F33Pre- and Post-doctoral NRSA39N/AR15Academic Research Enhancement Awards (AREA)N/A30R43Small Business Innovation Research (SBIR) Grants (Phase I)N/A30**Zone of Consideration**A zone of consideration is a range of priority scores within which competing applications will be considered for funding. The table below details the range of priority scores per relevant grant program.**Zone of Consideration****Grant Program****Grant Program Description****Zone of Consideration****(Priority Score Range)**P01Program Project Grant10 - 30T32, T35Institutional NRSA Training10 - 35R41, R42Small Business Technology Transfer (STTR) Grants10 - 40R44Small Business Innovation Research (SBIR) Grants (Phase II)10 - 40**Criteria for Selective Pay and Zone of Consideration**Final award decisions related to selective pay and zones of consideration will be based on a variety of criteria relevant to scientific merit, program balance, and NHLBI strategic priorities including:Scientific and technical merit of the proposed project as determined by scientific peer reviewNational Heart, Lung, and Blood Advisory Council (NHLBAC) recommendationsRelevance toNHLBI’s strategic research priorities.Overall programmatic portfolio balance and need (e.g., scientific gaps and needs, areas of interest to the NHLBI, poorly represented areas in Institute’s portfolio, overlap with existing programs, etc.)Development and diversity of the biomedical workforce (e.g., investigator’s career stage, etc.)Potential for high scientific or public health impact (e.g., highly innovative research, research relevant to special populations that are disproportionately affected or understudied [women, minorities, pediatric populations, patients with rare diseases], etc.)**Future Year Commitments on FY2019 New and Competing Renewal Awards**As in prior fiscal years, inflationary increases for future year commitments are no longer provided for all competing and non-competing research grant awards issued by the NHLBI. However, adjustments for special needs (such as equipment and added personnel) continue to be accommodated whenever possible.**Duration of Research Project Grants**The NHLBI will fund approved investigator-initiated R01 competing applications within established paylines, regardless of percentile or priority score, for up to four years. The only exceptions to this policy are awards made to Early Stage Investigators (ESIs), clinical studies and clinical trials with patient accrual and follow-up timelines that cannot be accomplished within four years. These excepted applications will generally be awarded for the full length of their NHLBAC recommended project periods.**Early Stage Investigators**Fostering the success ofEarly Stage Investigators(ESIs) who are establishing careers in biomedical research is a high priority of the NHLBI and NIH. The NHLBI will continue its commitment to ESIs in accordance with NIH guidelines as articulated in the NIH Guide (seeNOT-OD-18-214andNOT-OD-17-101). The NHLBI commitment to ESIs is reflected in the special consideration given in both funding priority and period of support.The NHLBI routinely considers funding ESI applications that score outside of the normal funding range by maintaining a separate payline for competing, investigator-initiated ESI R01 applications. In FY2019, the payline for these applications will be 10 percentile points above the regular R01 payline. Further, all awards to ESI applicants will be funded for all years recommended by the NHLBAC.**Note regarding NHLBI policy on ESI application resubmission post ESI eligibility status:** For investigators whose ESI eligibility window expires between the new (A0) application submission and the resubmission (A1), the NHLBI will honor ESI special funding consideration for these resubmission applications for the entirety of the resubmission window (37 months). In other words, provided an ESI submits the original application and has not previously received substantial, independent NIH funding when a funding decision is made, the resubmission (A1) of these applications is eligible for NHLBI ESI special funding consideration. Note that the NHLBI approach differs from the NIH statement about retaining ESI-eligible status for investigators whose ESI eligibility window expires between the original submission and resubmission by extending the 13-month resubmission window (seeFAQV4) to 37 months.**Note regarding applications with Multiple PIs:** To be eligible for the NHLBI ESI funding advantage, all PIs on multiple-PI applications must originally have been ESIs at the time the application was submitted.**Note regarding phased mechanisms/transitional grants:**The NHLBI ESI funding advantage applies to phased mechanisms/transitional grants. However, upon transition to the second phase of the research (the substantial, independent research grant) the NHLBI ESI status for the PD/PI(s) will no longer apply. This includes combined, transitional awards like the R21/R33, R61/R33, SBIR/STTR Fast-Track (R42, UT2, R44, U44), and UH2/UH3.**Note regarding program project grants (PPG)**: Under thecurrent PPG (P01) FOA (PAR-18-405), PPG applications may include an ESI as a Project Leader. Serving as a Project Leader, but not Program Director/Principal Investigator in a PPG grant will not impact the investigator’sESI status.  If  an ESI-led Project is included and the application contains at least four Projects, the maximum direct costs will increase to $1,765,000 direct cost per year (with a minimum of $250,000 per year in direct costs for the ESI-led Project) as described in***Program Project Grants (Type 1 and Type 2)***section of this document.**First Competing Renewals (Type 2) or New (Type 1) R01 Application for Investigators with an NHLBI Early Stage Investigator Award**The NHLBI appreciates that the first competing renewal application or second R01 application at the end of an awarded ESI application are submitted during a critical period in investigators’ careers. In order to extend timely support for the next generation of heart, lung, blood, and sleep researchers, the NHLBI maintains a separate payline of 5 percentile points above the regular R01 payline for investigator-initiated first competing renewal (Type 2) or secondary new (Type 1) R01 applications that meet all of the following criteria:The initial (Type 1) application was funded as an NHLBI ESI application and is currently in the last project period year or within two fiscal years beyond the last project period yearThe individual is not and has not been a principal investigator on an Independent Scientist (K02) or other non-mentored career award, on another R01, or on any other “major award” mechanism that disqualifies one from being considered an NIH Early Stage Investigator (seehttps://grants.nih.gov/policy/early-investigators/index.htm#earlystage)The application must be from a domestic institutionFurther, all first competing R01 renewal awards for investigators with an NHLBI ESI award will be funded for all years recommended by the NHLBAC.**Note:** This is a special NHLBI program, therefore the competing renewal applications will not be flagged by the NIH grant system. Rather, NHLBI staff will identify applications eligible for special funding consideration under this Program. Further, to be eligible for this funding advantage, all PIs on multiple-PI applications must meet the criteria described above.**NHLBI Interim Funding Using the R56 (High Priority, Short-Term Project) Award**Pending the availability of funds, the NHLBI may use the R56 grant mechanism, sometimes called "Bridge Award," to provide limited, interim research support to competing R01 applications requesting less than $500K in direct costs per year. Eligible investigators cannot have substantial funding support from within or outside the NIH beyond the current fiscal year. Further, applications with administrative issues that preclude timely award may be considered ineligible for this program.  NHLBI participation in the R56 mechanism is published in the NIH Guide (seeNOT-HL-13-188). **Please note that investigators cannot apply for R56 awards.**The ultimate goal of the award is to provide interim, one-year support for investigators to collect preliminary data in support of a resubmission or newly competing NIH R01 application.**The NHLBI will use the following guidelines for funding RPGs:*****Salary Cap***The FY2019 salary cap for individuals under an NIH grant or cooperative agreement is established by statute at $192,300 (see NOT-OD-19-099).***Competing (Type 1 and Type 2) Research Project Grant Awards***The NHLBI policy for competing grants is to award them at the NHLBAC recommended level except for specific programmatic and administrative adjustments. Applications that do not exceed $250,000 direct costs in any given year of support in the recommended competitive segment are generally awarded under the modular concept. Applications requesting direct costs that exceed $250,000 in any year of support in the recommended competitive segment will be awarded with categorical budgets.Effective FY2017, NHLBI is no longer limiting Type 2 awards to NHLBAC recommended direct costs plus a maximum of three percent above the level of the last noncompeting segment.***Program Project Grants***Direct costs will be awarded at the recommended level or $1,515,000, whichever is less. Under thecurrent PPG (P01) FOA (PAR-18-405), PPG applications including an ESI as a Project Leader may have a larger budget cap per year if at least four projects are included in the application. Project budgets should reflect the actual needs of the proposed project. If an ESI-led Project is included and the application contains at least four Projects, the maximum direct costs will increase to $1,765,000 per year (with a minimum of $250,000 per year in direct costs for the ESI-led Project). Facilities and Administrative (F&A) Costs associated with first tier subcontracts are not included in the direct cost ceiling. No annual increases for recurring costs in non-competing years are allowed.All Program Project Grant (P01) competing applications will be awarded at or below the NHLBI published Program Project Grants (P01s) direct costs cap (excluding first-tier subcontract Facilities and Administrative [F&A] costs) for each project year, in accordance with the PPG cap policy. No annual increases in noncompeting years may be requested. Equipment is included in the budget ceiling.Under the current PPG (P01) FOA (PAR-18-405), PPGs will be limited to one competitive renewal.***Continuation Awards (Type 5 Noncompeting Renewal)***The NHLBI will award Type 5 grants in accordance with theNotice of Fiscal Policies in Effect for FY2019.**Last Updated:**   June 2019


          
    FY 2018 Funding and Operating Guidelines
      
	-
		FY 2024 Funding and Operating Guidelines
    National Heart, Lung, and Blood Institute National Institutes of HealthAvailable Funding and Operating GuidelinesGoalsThe National Heart, Lung, and Blood Institute (NHLBI) applies NIH cost management guidelines when making FY2018 grant awards (see NOT-OD-18-180). All legislative mandates that were in effect in FY2017 remain in effect, with the exception of the salary limitation set at Executive Level II of the Federal Pay Scale ($189,600) that was effective with grant awards with an initial Issue Date on or after January 7, 2018 (see NOT-OD-18-181).Funding Strategy:The NHLBI funding strategy for competing applications will use one of two methods detailed below, depending upon the specific grant mechanism:a payline with selective paya zone of considerationThe currently available funding strategy information for NHLBI competing awards is displayed in the tables below. The NHLBI will continue to update its funding strategy for FY2018, as necessary and as additional information becomes available. Applicants are advised to use information presented here, in conjunction with information available in their organizational eCommons accounts, for planning purposes only.Payline with Selective PayWhen a payline is specified, the NHLBI intends to fund all applications equal to or less than the percentile (or priority score if there is no percentile). Depending on the availability of funds, the Institute will make funding decisions on competing applications above the payline through selective pay actions. The table below details the paylines for relevant grant programs.**Payline****Grant Program****Grant Program Description****Percentile****Priority Score**R01Research Project Grant15N/AR01 ESIEarly Stage Investigators25N/AK awardsCareer Development AwardsN/A32F30Pre-doctoral NRSAN/A20F31, F32, F33Pre- and Post-doctoral NRSA39N/AR15Academic Research Enhancement Awards (AREA)N/A30R43Small Business Innovation Research (SBIR) Grants (Phase I)N/A29Zone of ConsiderationA zone of consideration is a range of priority scores within which competing applications will be considered for funding. The table below details the range of priority scores per relevant grant program.**Zone of Consideration****Grant Program****Grant Program Description****Zone of Consideration****(Priority Score Range)**P01Program Project Grant10 - 30T32, T35Institutional NRSA Training10 - 35R41, R42Small Business Technology Transfer (STTR) Grants10 - 40R44Small Business Innovation Research (SBIR) Grants (Phase II)10 - 40Criteria for Selective Pay and Zone of ConsiderationFinal award decisions related to selective pay and zones of consideration will be based on a variety of criteria relevant to scientific merit, program balance, and NHLBI strategic priorities including:Scientific and technical merit of the proposed project as determined by scientific peer reviewNational Heart, Lung, and Blood Advisory Council (NHLBAC) recommendationsRelevance to NHLBI’s strategic research priorities.Overall programmatic portfolio balance and need (e.g., scientific gaps and needs, areas of interest to the NHLBI, poorly represented areas in Institute’s portfolio, overlap with existing programs, etc.)Development and diversity of the biomedical workforce (e.g., investigator’s career stage, etc.)Potential for high scientific or public health impact (e.g., highly innovative research, research relevant to special populations that are disproportionately affected or understudied [women, minorities, pediatric populations, patients with rare diseases], etc.)Future Year Commitments on FY 2018 New and Competing Renewal Awards:As in recent fiscal years (see NOT-OD-17-086), inflationary increases for future year commitments are no longer provided for all competing and non-competing research grant awards issued by the NHLBI. However, adjustments for special needs (such as equipment and added personnel) continue to be accommodated whenever possible.Duration of Research Project GrantsThe NHLBI will fund investigator-initiated R01 competing applications, regardless of percentile or priority score, for up to four years. The only exceptions to this policy are awards made to Early Stage Investigators (ESIs) and clinical trials with patient accrual and follow-up timelines that cannot be accomplished within four years. These excepted applications will generally be awarded for the full length of their NHLBAC recommended project periods.Clinical TrialsThe NIH is rolling out a series of initiatives to enhance the accountability and transparency of clinical research. Included among the changes is a requirement for all applications proposing clinical trials to be submitted through FOAs designated specifically for clinical trials (beginning with January 25, 2018 due dates).Early Stage InvestigatorsFostering the success of Early Stage Investigators (ESIs) who are establishing careers in biomedical research is a high priority of the NHLBI and NIH, and the NHLBI will continue its commitment to ESIs in accordance with NIH guidelines as articulated in the NIH Guide (see NOT-OD-17-101). The NHLBI commitment to ESIs is reflected in the special consideration given in both funding priority and period of support.The NHLBI routinely considers funding ESI applications that score outside of the normal funding range by maintaining a separate payline for competing, investigator-initiated ESI R01 applications. In FY18, the payline for these applications will be 10 percentile points above the regular R01 payline. Further, all awards to ESI applicants that are included under that policy will be funded for all years recommended by the NHLBAC.**Note regarding NHLBI policy on ESI application resubmission post ESI eligibility status:** For investigators whose ESI eligibility window expires between the new (A0) application submission and the resubmission (A1), the NHLBI will honor ESI special funding consideration for these resubmission applications for the entirety of the resubmission window (37 months). In other words, provided an ESI submits the original application and has not previously received substantial, independent NIH funding when a funding decision is made, the resubmission (A1) of these applications is eligible for NHLBI ESI special funding consideration. Note that the NHLBI approach differs from the NIH statement about retaining ESI-eligible status for investigators whose ESI eligibility window expires between the original submission and resubmission by extending the 13-month resubmission window (see FAQ 7) to 37 months.**Note regarding applications with Multiple PIs:** To be eligible for the ESI funding advantage, all PIs on multiple-PI applications must originally have been ESIs when a funding decision is made.**Note regarding phased mechanisms/transitional grants:**The ESI funding advantage applies to phased mechanisms/transitional grants. However, note that upon transition to the second phase of the research (the substantial, independent research grant) the ESI status for the PD/PI(s) will no longer apply. This includes combined, transitional awards like the R21/R33, SBIR/STTR Fast-Track (R42, UT2, R44, U44), UH2/UH3.**Note regarding program project grants (PPG)**: Under the current PPG (P01) FOA (PAR-18-405), PPG applications may include an ESI as a Project Leader. Serving as a Project Leader, but not Program Director/Principal Investigator in a PPG grant will not impact the investigator’s ESI status.First Competing Renewals (Type 2) or New (Type 1) R01 Application for Investigators with an NHLBI Early Stage Investigator AwardThe NHLBI appreciates that the first competing renewal application or second R01 application at the end of an awarded ESI applications are submitted during a critical period in investigators’ careers. In order to extend timely support for the next generation of heart, lung, blood, and sleep researchers, the NHLBI maintains a separate payline of 5 percentile points above the regular R01 payline for investigator-initiated first competing renewal (Type 2) or secondary new (Type 1) R01 applications that meet all of the following criteria:the initial (Type 1) application was funded as an NHLBI ESI application and is currently in the last project period year or within two fiscal years beyond the last project period yearthe individual is not and has not been a principal investigator on an Independent Scientist (K02) or other non-mentored career award, on another R01, or on any other “major award” mechanism that disqualifies one from being considered an NIH Early Stage Investigator (see https://grants.nih.gov/policy/early-investigators/index.htm#earlystage)the application must be from a domestic institution**Note:** This is a special NHLBI program, therefore the competing renewal applications will not be flagged by the NIH grant system. Rather, NHLBI staff will identify applications eligible for special funding consideration under this Program. Further, to be eligible for this funding advantage, all PIs on multiple-PI applications must meet the criteria described above.NHLBI Interim Funding Using the R56 (High Priority, Short-Term Project) AwardPending the availability of funds, the NHLBI may use the R56 grant mechanism, sometimes called "Bridge Award," to provide limited, interim research support to competing R01 applications requesting less than $500K in direct costs per year. Eligible investigators cannot have substantial funding support from within or outside the NIH beyond the current fiscal year. Further, applications with administrative issues that preclude timely award are ineligible for this program.  NHLBI participation in the R56 mechanism was published in the NIH Guide (see NOT-HL-13-188). **Please note that investigators cannot apply for R56 awards.**The ultimate goal of the award is to provide interim, one-year support for investigators to collect preliminary data in support of a resubmission or newly competing NIH R01 application.The NHLBI will use the following guidelines for funding RPGs:***Salary Cap***The FY2018 salary cap for individuals under an NIH grant or cooperative agreement is established by statute at $189,600 effective January 7, 2018 (see NOT-OD-18-181).***Competing (Type 1 and Type 2) Research Project Grant Awards***The NHLBI policy for competing grants is to award them at the NHLBAC recommended level except for specific programmatic and administrative adjustments. Applications that do not exceed $250,000 direct costs in any given year of support in the recommended competitive segment are generally awarded under the modular concept. Applications requesting direct costs that exceed $250,000 in any year of support in the recommended competitive segment will be awarded with categorical budgets.Effective FY17, NHLBI is no longer limiting Type 2 awards to NHLBAC recommended direct costs plus a maximum of three percent above the level of the last noncompeting segment.***Program Project Grants (Type 1 and Type 2)*****Type 1**: Direct costs will be awarded at the recommended level or $1,515,000, whichever is less. Under the current PPG (P01) FOA (PAR-18-405), PPG applications including an ESI as a Project Leader may have a larger budget cap per year if at least four projects are included in the application. Project budgets should reflect the actual needs of the proposed project. If an ESI-led Project is included and the application contains at least four Projects, the maximum direct costs will increase to $1,765,000 per year (with a minimum of $250,000 per year in direct costs for the ESI-led Project). Facilities and Administrative (F&A) Costs associated with first tier subcontracts are not included in the direct cost ceiling. No annual increases for recurring costs in non-competing years are allowed.**Type 2**: Direct costs (excluding first tier subcontract F&A costs) awarded will not exceed the direct costs (excluding first tier subcontract F&A costs) for the last noncompetitive segment. As with new awards, no annual increases for recurring costs are allowed.All new (Type 1) and renewal (Type 2) Program Project Grant (P01) competing applications will be awarded at or below the NHLBI published Program Project Grants (P01s) direct costs cap (excluding first-tier subcontract Facilities and Administrative [F&A] costs) for each project year, in accordance with the PPG cap policy. No annual increases in noncompeting years may be requested. Equipment is included in the budget ceiling.Under the current PPG (P01) FOA (PAR-18-405), PPGs will be limited to one competitive renewal.***Continuation Awards (Type 5 Noncompeting Renewal)***The NHLBI will award Type 5 grants in accordance with the NIH Fiscal Policy for FY2018.**Last Updated:**  May 2018 Back To Top Link
  

        

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