SUPPLEMENTAL GUIDANCE ON THE NIH STREAMLINED NONCOMPETINGCONTINUATION PROCESS NIH GUIDE, Volume 24, Number 2, January 20, 1995 P.T. 34 Keywords: Grants Administration/Policy+ National Institutes of Health On October 28, 1994, an announcement was published in the NIH Guide for Grants and Contracts (Volume 23, Number 38) which introduced a streamlined noncompeting continuation award process for certain types of NIH research grants and career awards. This notice is to provide clarification and guidance for submitting the streamlined noncompeting continuation application (PHS Form 2590) for the grants covered by the process. NIH grant recipients are expected to use the following guidelines (in addition to the October 28 notice) in submitting the streamlined noncompeting continuation application for R01, R03, R13, R15, R18, R21, R24, R25, R29, R37, R42, R44, or the "K" series mechanisms. The instructions for submitting the streamlined noncompeting grant application require that three questions be answered at the beginning of the Progress Report Summary (Form Page 6) of the PHS Form 2590 application. In responding to the questions, the following guidance applies. o Other support for key personnel: The format of Form Page 5 (Other Support) of the noncompeting application (PHS 2590) is to be completed only when active support has changed. If a previously active grant has terminated and/or if a previously pending grant is now active, the change in support is to be reported. Submission of other support information is not necessary when support is pending. Other support information should be submitted only for the principal investigator and for those individuals who are considered by the principal investigator to be key to the project. Key personnel is defined as an individual who contributes in a substantive way to the scientific development or execution of the project, whether or not salaries are requested. Key personnel is defined on Form Page 4 (Biographical Sketch) and on Form Page 5 (Other Support) of the PHS 2590. Changes in level of effort for active support that has been reported previously does not require the submission of other support pages. o Significant rebudgeting: Significant rebudgeting occurs when the cumulative amount of transfers among direct cost categories for the current budget period exceeds 25 percent of the total amount awarded, or $250,000, whichever is less. This policy is stated in the PHS Grants Policy Statement (rev. April 1, 1994), Pages 8-1 and 8-7. o A change in the level of effort for key personnel: A significant change in level of effort is defined in Federal regulations as a 25 percent reduction in time devoted to the project. For example, if a key person on the project is expected to reduce their effort from 40 percent to 30 percent, which represents a 25 percent reduction in the level of effort, the detailed budget page (Form Page 2) and the budget justification page (Form Page 3) are to be submitted in the noncompeting continuation application. This requirement applies regardless of whether or not the key person is compensated from the grant. o Estimated unobligated balance: An estimated unobligated balance (including prior year carryover) that is greater than 25 percent of the current year's total budget or more than $250,000 is to be reported on the Progress Report Summary page (Form Page 6). An explanation of why there is a significant balance and how it will be spent if carried forward into the next budget period is to be provided. Cumulative unobligated balances resulting from prior year carryover are compared against the current years's authorized total budget. The questions regarding other support and significant rebudgeting and/or change in level of effort must be answered by stating that no change has occurred or is planned. If a change has occurred or is planned, the appropriate forms and/or justification are to be submitted in the noncompeting continuation application. The third question must be answered when it is anticipated that there will be an unobligated balance (including prior year carryover) of 25 percent of the current year's total budget or more than $250,000. The Progress Report Summary (Form Page 6) is to be used to answer the three questions before the progress report begins. Blank pages should be used to begin the progress report if inadequate space remains on the first page to answer the questions and to report on the research progress. As a guideline, the progress report (sections 1-6) should not exceed two pages. Information about publications should continue to be submitted as outlined in the Form PHS 2590. Separate progress reports are required for supplements which were awarded specifically to support the addition of an individual to the project. The Research Supplement for Underrepresented Minorities and the Research Supplement to Promote the Recruitment of Individuals with Disabilities into Biomedical Research Careers are examples of special supplements and require a separate progress report. A separate budget for these special supplements is not required unless there is a significant change as discussed above. INQUIRIES questions concerning the simplified noncompeting continuation application may be directed to the grants management specialist or program administrator identified on the notice of grant award. .
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