FY2010 Fiscal Operations Plan
October 1, 2009 - December 18, 2009
From October 1, 2009, until December 18, 2009, the National Eye Institute (NEI) operated under a series of Continuing Resolutions (CR). During this period, the Office of the Director (OD), National Institutes of Health (NIH) developed the interim budget guidance described below for all Institutes and Centers (ICs). This guidance is consistent with NIH practice during the CRs of FY2006-2009. In addition to the fiscal policy, the NIH affirmed that under the CRs, "none of the funds made available under this Act may be distributed to the Association of Community Organizations for Reform Now (ACORN) or its subsidiaries":
Research Project Grants (RPG): This category of awards includes the R00, R01, R13, R15, R21, U01, and U13 grant mechanisms. ICs were advised to be cautious in making competitive awards. Continuing awards were issued at a provisional amount up to 90% of the previously committed level provided on the most recent Notice of Award.
Other Grant Mechanisms: This category of awards includes the F31, F32, F33, K08, K12, K22, K23, K24, K99, P30, R24, R41, R42, R43, R44, T32, T35, and U10 mechanisms. ICs were advised to monitor their expenditures carefully during this period when issuing competing awards. Continuing awards were to be issued at the FY2009 committed level recommended on the previous Notice of Award.
December 19, 2009 - September 30, 2010
The NIH Fiscal Policy for FY2010 provides general guidance. Specific NEI implementation procedures are as follows:
American Recovery and Reinvestment Act of 2009 (ARRA)
Continuing awards will be made at the committed level recommended on the Notice of Award. NEI plans to commit $16.7M of ARRA funds for competitive awards in FY2010, through participation in the following trans-NIH Requests for Applications (RFA):
- RFA-OD-09-007, Recovery Act Limited Competition: Academic Research Enhancement Award (R15)
- RFA-OD-09-008, Recovery Act Limited Competition: Biomedical Research, Development, and Growth to Spur the Acceleration of New Technologies (BRDG-SPAN) Pilot Program (RC3)
- RFA-OD-09-009, Recovery Act Limited Competition: Small Business Catalyst Awards for Accelerating Innovative Research (R43)
- RFA-OD-09-010, Recovery Act Limited Competition: Building Sustainable Community-Linked Infrastructure to Enable Health Science Research (RC4)
- RFA-OD-10-005, Recovery Act Limited Competition: NIH Director's Opportunity for Research in Five thematic Areas (RC4)
The number of awards made for each opportunity will depend on the number of scientifically meritorious applications, and the amount of co-funding from the NIH OD.
NEI will not re-issue any ARRA Supplement Notice nor issue any NEI-specific ARRA Funding Opportunity Announcements.
NEI Regular Appropriation
Research Project Grants
Non-competing Awards: NIH guidance specifies provision of a 2% inflationary increment to NIH investments in research supported by research grants. The NEI will adjust all non-competing awards to a level of 99% of the previously committed level provided on the most recent Notice of Award. Those non-competing awards which were previously issued at the 90% level will be reissued to restore funds to the 99% level consistent with this plan.
Competing Awards: NIH guidance calls for the NEI to restrict the total cost of competing RPG awards on average to an increase of 2% over the FY2009 level, rising to $376,970 annual total costs. NEI estimates that the success rate (number of grants funded divided by the number of grant applications reviewed) will be approximately 30%. This will permit the NEI to support approximately 1,102 new and competing RPGs, compared with 1,097 in FY2009.
Some additional NIH guidelines will apply to competing research project grants. NEI will support new investigators on R01-equivalent grant awards at a success rate equivalent to that of established investigators submitting new R01-equivalent applications. NEI will continue to participate in the NIH Director's Innovator Awards and the NIH Pathway to Independence Awards. The NIH Director's Bridge Award Program will be suspended in FY2010. However, the NEI will use its appropriation to provide limited support for 12 to 20 meritorious projects that were close to but outside the funding range.
Other Grant Mechanisms
NIH guidance gives the NEI flexibility to manage these activities according to its specific scientific and programmatic imperatives within the parameters of the appropriated funds. NEI anticipates that the numbers of Small Business, Center Core Grant, Career Development, and training awards will remain relatively constant compared with the FY2009 levels. NEI will support a 1% increase in all stipend levels within the Ruth L. Kirschstein National Research Service Awards (NRSA).
