ADVANCE APPROVAL OF UNSOLICITED APPLICATIONS THAT REQUEST MORE THAN$500,000 DIRECT COSTS IN ANY ONE YEAR

 

NIH GUIDE, Volume 26, Number 28, August 22, 1997

 

P.T.





Keywords:

 

Agency for Health Care Policy and Research

 

Effective Date:  February 1, 1998

 

The Agency for Health Care Policy and Research (AHCPR) is issuing a

policy about the acceptance of applications requesting direct costs

of $500,000 or more for any one year.  This policy is consistent with

the NIH policy published in the NIH Guide, Vol. 25, No. 14, May 3,

1996.

 

BACKGROUND

 

Prudent planning and management require AHCPR to know of requests for

large budget items as early in the budget and program planning

process as possible.  Agency review prior to actual application

submission could save the applicant the time of developing a new

application for an elaborate project which may not be responsive to

program priorities or for which funding is not likely to be

available.  The AHCPR will continue to support research projects with

large budgets but needs to consider the possibility of such awards as

early as possible.

 

POLICY.  An applicant planning to submit a new (Type 1) investigator-

initiated grant application requesting $500,000 or more in direct

costs for any year (see applicability below) is advised that he or

she must contact AHCPR program staff before submitting the

application, i.e., as plans for the study are being developed.

Furthermore, the applicant must obtain agreement from an AHCPR

office/center that the AHCPR will accept the application.  Finally,

the applicant must identify in the cover letter that is sent with the

application the AHCPR official and center agreeing to accept

assignment of the application.

 

Any application subject to this policy that does not contain the

required information in the cover letter sent with the application

will be returned to the applicant without review.  Applicants who are

uncertain regarding which center to contact should call the Referral

Office, Agency for Health Care Policy and Research. (See INQUIRIES.)

 

APPLICABILITY.  This policy applies to any unsolicited new (Type 1)

research or research training grant application for any mechanism

(e.g., RO1, R18) that requests $500,000 or more in direct costs for

any one year.

 

This policy does not apply to applications submitted in response to

RFAs, unless specifically stated in the RFA.  However, an application

submitted in response to an RFA must be responsive to any budgetary

limits specified in the RFA or will be returned to the applicant

without review.

 

This policy does not apply to competing renewal (Type 2)

applications.

 

This policy does not apply to an amended (revised, e.g.,-01A1, -01A2)

application, assuming agreement was obtained when the initial

application was submitted.

 

PROCEDURES.  An applicant planning to submit a grant application to

which this policy applies is required to contact, in writing with a

concept letter, AHCPR program staff when the application development

process begins.  Minimal contents of the letter must include the

purpose of the study, a brief description of its key features, a

justification of its significance in terms of scientific merit,

policy or other impact, proposed costs by years, and any potential

co-funding sources.

 

The concept letter will be reviewed by AHCPR staff, taking into

consideration the significance of the proposed project and relevance

to AHCPR~s priorities and program balance.  The Agency determination

will be conveyed to the applicant in writing.

 

An agreement to accept an application does not imply a commitment for

funding.  Instead, it indicates that an application will be received

and reviewed in accordance with peer review procedures and, if scored

well, will receive consideration for funding.

 

The applicant Principal Investigator must identify in the cover

letter sent with the application the AHCPR official and center who

have agreed to accept assignment of the application.

 

An application received without indication of prior concurrence by an

AHCPR center or office and identification of that contact will be

returned to the applicant without review.

 

EFFECTIVE DATE.  This policy becomes effective with the February 1,

1998, receipt date.  Applicants are encouraged, however, to contact

AHCPR staff at any time about the preparation of applications to

which this policy will apply.

 

INQUIRIES

 

For additional information about the policy, the program staff at

AHCPR may be contacted.  Applicants who are uncertain about which

AHCPR center may have the greatest interest in the research for which

support is sought should contact:

 

Referral Office

Agency for Health Care Policy and Research

Telephone:  (301) 594-1437 ext 1607

FAX:  (301) 594-0154

 

.

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