NAGMS Council Guidelines for Funding Decisions

Guidelines Regarding Funding Decisions

The NIGMS mission includes the support of basic research and research training of the highest quality in the areas of cell biology and biophysics; genetics and developmental biology; bioinformatics and computational biology; pharmacology, physiology, biochemistry, and biorelated chemistry; selected aspects of behavioral sciences; and specific cross-cutting clinical areas that affect multiple organ systems. NIGMS strives to accelerate the pace of discovery in these scientific areas, achievable only by a highly trained biomedical workforce that is representative of the U.S. population.

In addition, the Institute promotes the broadest possible diversity of ideas and approaches to these scientific areas, and encourages the ideas and talents of established investigators and of new investigators who will provide the next generation of research accomplishments.

In order to achieve these goals, research grant applications recommended for approval by the NAGMS Council are considered for funding using the following considerations:

1. Scientific and technical merit of the research, as determined by peer review;
   
   
2. Scientific program needs and balance; and
   
   
3. The availability of funds.

The NAGMS Council has recommended that the Institute scientific staff take additional factors into account in making funding decisions.

1. In determining whether or not to make an award, Institute staff should give special consideration to a highly rated application from a new investigator or other investigators who have no other significant source of research support.
   
   
2. Prior to considering awards to investigators whose total research support from all sources, including the pending award, exceeds $750,000 (annual direct costs), special analysis and justification should be required.
   
   
3. In determining the appropriate funding level for competing continuation awards, the Institute scientific staff will consider:
   
   
   1. The previously awarded level of support;
      
      
   2. Special needs for equipment;
      
      
   3. Whether the application is the first renewal of an investigator's initial NIH research grant.

Operating Procedures and Guidelines for Staff Action

1. Adjustments in Amount and Time
   
   The following guidelines for negotiating adjustments of a research or training grant award are agreed to between NIGMS staff and the National Advisory General Medical Sciences Council. In determining award amounts and duration, Institute staff will follow the principles developed in the NIH Extramural Portfolio Plan.
   
   
   1. Utilizing the amounts recommended by the Council as a guide, the amount to be awarded, as well as all amounts recommended for future year support, may be changed to reflect the latest information on actual or estimated needs and to be consistent with current policies regarding cost management.
      
      
   2. NIGMS staff may approve increases in the direct cost budget of a grant provided the increase does not substantially impact the scope of the project.
      
      
   3. NIGMS staff may approve increases to the FTTP level on a research training grant. A research training grant with a Council recommended level of 15 FTTPs or less may receive one additional slot. A research training grant with a Council recommended level of 16 FTTPs or more may receive up to two additional slots.
      
      
   4. When the Initial Review Group reduces the number of years requested by the applicant, NIGMS staff may restore up to one year without Council approval.
      
      
   5. For new investigators, prior to the initial award, NIGMS staff may add an additional year of funding to the grant duration (not to exceed five years) even if it is not requested, if Council approves the staff recommendation.
   
   
2. Support of Research in Well-Funded Laboratories
   
   Well-funded laboratories are defined as those with over $750,000 in direct costs for research support, including the pending application.
   
   
   1. Renewal (formerly, competing continuation) grant applications (Type 2s)
      
      

      The Council expects the Institute to employ its usual standards and consideration for funding as it handles renewal applications from well-funded laboratories. The expectation is that Type 2 applications from well-funded laboratories will receive normal consideration for funding. Specific exceptions to this general policy will be discussed with the Council, and Institute staff will be guided by the sense of Council in making funding decisions.

   2. New grant applications (Type 1s)
      
      The Council expects the Institute to support new projects in well-funded laboratories only if they are highly promising and distinct from other funded work in the laboratory. The Institute’s default position is not to pay such applications. However, under special circumstances and with strong justification, staff may recommend overriding the default position. In order for the application to be funded, Council must concur with the recommendation.
      
      
   3. Budget considerations
      
      The Council expects the Institute to implement, where appropriate, reasoned budget reductions greater than those dictated by the cost-management principles for competing awards made to well-funded laboratories.
   
   
3. Applications from Foreign Laboratories
   
   NIGMS receives some applications from foreign institutions, and these must be brought to Council’s attention. Because staff generally recommend for funding only those applications which offer unique opportunities when evaluated in the context of existing grants in their portfolios, even well-scored applications may not be awarded. For those applications that may be considered for funding, staff will prepare a Staff Summary Statement which outlines the special opportunities, resources, etc., presented in this proposal. If Council agrees with the staff recommendation, the approval is obtained by en bloc vote; otherwise, discussion in full closed session is required. Staff will be guided by the sense of Council in making funding decisions.

Interim Support

NIGMS has implemented a policy to provide interim support to some unfunded R01 applicants whose renewal applications generally fall within about 10 percentile points beyond the range at which NIGMS is funding grants during that Council round. Selection of renewal applicants who will receive interim funding will be based on several factors, including an applicant's other support, presence of an unobligated balance in the current grant, programmatic considerations and the availability of funds. The maximum level of interim funding will normally be one-third of the current non-competing direct costs for a 12-month period. A project can receive such interim funding only once within a competing segment. If NIGMS is subsequently able to award the renewal application, funds may be prorated.

The rationale for this policy is that in the current highly competitive review process, many productive laboratories experience funding lapses and may subsequently lose valuable resources and highly trained staff. However, between 55% and 65% of investigators whose renewal applications fall within 10 percentile points of the proposed funding range will receive funding within a year of the time their grants lapse. This policy protects NIGMS' investment in meritorious research projects by ensuring that highly productive laboratories will not be dismantled while reapplying for support.