NIH Guide - Vol. 5, No. 15 - September 15, 1976 by NIHhealth

VIEWS: 27 PAGES: 23

									US. DEPARTMENTOF HEALTH. EDUCATION. AND W L F A R E

Vol. 5, No. 1 5 , September 1 5 , 1976

SEP 3 Q 197b

IN

THIS ISSUE:

PRIOR APPROVAL OF USE OF N I H GRANT FUNDS INCLUDING REBUDGETING
N I H ' s p o l i c i e s and procedures on p r i o r a p p r o v a l r e q u i r e m e n t s r e l a t i v e t o t h e u s e of g r a n t f u n d s , i n c l u d i n g r e b u d g e t i n g . It s u p e r s e d e s N I H Guide for Grants and Contracts, Vol. 1, No. 22, pp. 1-6, December 1 5 , 1972.

Page 1

HERPES SIMPLEX VIRUS - RESEARCH GRANT APPLICATIONS SOUGHT BY THE NATIONAL INSTITUTE OF DENTAL RESEARCH
S o f t T i s s u e Stomatology and N u t r i t i o n Program 
 Branch of t h e NIDR i s i n t e r e s t e d i n expanding 
 r e s e a r c h a c t i v i t i e s concerned w i t h h e r p e t i c 
 g i n g i v o s t o m a t i t i s and h e r p e s l a b i a l i s .

Page 1 
 1

RECURRENT APHTHOUS STOMATITIS RESEARCH GRANT APPLICATIONS SOUGHT BY THE NATIONAL INSTITUTE OF DENTAL RESEARCH
S o f t T i s s u e Stomatology and N u t r i t i o n Program 
 Branch of t h e NIDR wishes t o i n c r e a s e r e s e a r c h 
 e f f o r t s d e a l i n g w i t h r e c u r r e n t aphthous 
 s t o m a t i t i s and r e l a t e d u l c e r a t i v e d i s o r d e r s 
 of t h e o r a l c a v i t y .

Page 1 2 


HAVE

rou MOYED?

If your present address dty$ers from that sham on the addre88 w e t , p h U S t ? S e n d tjQUP nB1, addre88 to: ROO??!2Al4, 5333 Westbard Avenue, National Institutes of Health, Bethesda, Marylrmd 2ao14, rmd attach your address label to your l e t t e r . hompt notice of p r change of address Ln'lZ u prevent your name being removed from our mailing l i s t .

The GUIDE i s published at irregular intzrvals to p r o v i d e policy and acbninistrative infomation to individuak and oqanizatione who need to be kept infomed o f requirements and changes i n g r a n t s and contracts a c t i v i t i e s a&nistered by the National I n s t i t u t e s of Health. Supplements, printed on yellow paper, are published by the respective awarding units concerning new projects, s o t i c i t a t i o n s of sources, and mquests f o r proposals.

NOTICE OF AVAILABILITY OF NONHUMAN 
 PRIMATE MATERIAL FOR RESEARCH ON AGING 

A v a i l a b i l i t y of t i s s u e s , o r g a n s , and f l u i d s and o t h e r b i o l o g i c a l materials from a group of 20-year-old Macaca nemestrina and a c o n t r o l group of 10-year-old animals.

PROHIBITED OR RESTRICTED RESEARCH 

L i s t i n g of c e r t a i n t y p e s of a c t i v i t i e s i n v o l v i n g human s u b j e c t s which may n o t b e supported o r conducted w i t h t h e a i d of N I H , PHS, o r DHEW funds r e g a r d l e s s of t y p e of g r a n t o r c o n t r a c t mechanism involved.

SPECIAL GRANTS FOR NEW INVESTIGATORS 
 I N ANESTHESIOLOGY, NATIONAL INSTI’KIT E 
 OF GENERAL MEDICAL SCIENCES 

T h i s program i s i n s t i t u t e d to p r o v i d e i n i t i a l s u p p o r t f o r independent r e s e a r c h by p h y s i c i a n s who wish t o a d d r e s s r e s e a r c h problems p r e s e n t e d by a n e s t h e s i o l o g y .

SPECIAL VISUAL SCIENCES RESEARCH 
 AWARDS, NATIONAL EYE INSTITUTE 

Revision of announcement contained i n Vol. 2, No. 5, p. 1, of t h e N I H Guide for Grants ana’ Contracts, d a t e d J u l y 30, 1973.

MINORITY ACCESS TO RESEARCH CAREERS (MARC PROGRAM) , FACULTY FELLOWSHIPS
The MARC F a c u l t y Fellowship program provides o p p o r t u n i t i e s f o r advanced r e s e a r c h t r a i n i n g f o r s e l e c t e d f a c u l t y members of four-year c o l l e g e s , u n i v e r s i t i e s , and h e a l t h p r o f e s ­ s i o n a l s c h o o l s i n which s t u d e n t e n r o l l m e n t s are drawn s u b s t a n t i a l l y from e t h n i c m i n o r i t y groups

.

N I H Guide f o r G r a n t s and Contracts
 Yo!, 5, N.o. 15, S e p t e m b e r 15, 1976

Page One 


PRIOR APPROVAL OF USE OF N I H GRANT FUNDS INCLUDING REBUDGETING
A. PURPOSE This issuance states the NIH policies and procedures with respect to prior approval requirements relative to the use of grant funds including rebudgeting. It implements PHS Grants Administration Manual Chapter 1-510, dated September 8, 1975, and revises and supersedes N I H G u i d e for G r a n t s and C o n t r a c t s , Vol. 1, No. 22, December 15, 1972, pp. 1-6, Rebudgeting of Funds Within NIH Grants.

B APPLICABILITY This policy covers all NIH grants with coded prefixes . of 11~11,11~11,"P", and "T". It also applies to the National Library of Medicine's Medical Library Resources Project grants (G08) and the Division of Research Resources' Minority Biomedical Support grants (S 06) and Biomed­ ical Research Development grants (S08). It does not apply to Scientific 
 Review and Evaluation grants, nor to conference grants. 
 C BACKGROUND Grant budgets are reviewed and receive the approval of the . NIH awarding unit for specific categories of expenditures such as personnel, equipment, supplies, and travel. In certain instances, NIH policy has permitted the grantee institution to depart from the approved budget and use grant funds for other direct cost items required for the project. In other cases, prior approval by the NIH awarding unit has been required. At one time all grantees were required to obtain prior approval in writing from the NIH awarding unit for rebudgeting of essentially all grant funds prior to the performance of the act which required the expenditure of funds. In 1964, the NIH on behalf of the PHS initiated a pilot study of increasing the role of the grantee institution in the management of projects funded through research grants. Selected institutions were assigned the responsibility to review and approve requests from principal investigators and program directors within their own institutions for changes in certain
c a t e g o r i e s of expenditures. Based on r e s u l t s of t h e p i l o t study, the

rebudgeting authority was broadened to cover certain training programs 
 and was gradually extended to other institutions. Subsequently, the PHS 
 announced a consolidated prior approval policy, including rebudgeting, in 
 the PHS G r a n t s P o l i c y S t a t e m e n t issued effective July 1, 1974 and in the PHS Grants Administration Manual Chapter 1-510. D.
REFERENCES

1 .
2.
3.

Code of Federal Regulations, Title 45, Part 74, Subpart L , Budget Revision Procedures 
 Office of Management and Budget Circulars A-21, A-87, A-101, and 
 A-102; General Services Administration, Federal Management Circulars 73-7, 73-8, 74-4, and 74-7 DHEW and PHS Grants Administration Manual Chapter 6-00, Cost Principles 


Page Two
DHEW Grants Administration Manual Chapter 6-150, Reimbursement of Indirect Costs 
 5. 	 PHS Grants Administration Chapter 1-510, Prior Approval of 
 Use of Grant Funds Including Rebudgeting 
 6 . PHS Grants Policy Statement 7. 	 NIH Guide for Grants and Contracts, V o l . 1, No. 9, p. 9, Grant Support of Scientific Meetings 8 	 NIH Guide for Grants and Contracts, Vol. 3 , No. 18, p. 1, . Grant Appeals Procedure 9 	 NIH Guide for Grants and Contracts, Vol. 4 , No. 5, p. 1, . Predoctoral and Postdoctoral Trainee and Fellowship Support 1 . 	 NIH Guide for Grants and Contracts, Vol. 4 , No. 8 , p. 4 , 0 Guidelines for Establishing and Operating Consortium Grants
4.

1 " 


E.

DEFINITIONS

1 Prior Approval 
 . Written permission provided by an authorized official in 
 advance of an act that would result in either (a) the 
 obligation or expenditure of funds or (b) the Performance or 
 modification of an activity under the grant-supported 
 project, where such approval is required. Documentation 
 of the approved budget on the Notice of Grant Award constitutes 
 prior approval for the performance of activities and the 
 expenditure of funds for specific purposes and items 
 described in the grant application unless otherwise restricted 
 by the Notice 0 f Grant Award. 
 .
2.

Rebudgeting Any reallocation of funds by a grantee between cost categories 
 in a grant budget. For such actions requiring prior approval, 
 the request is usually initiated by the principal investigator 
 or the program director and must be approved by the NIH awarding 
 unit or the designated grantee institution official, as 
 provided for in this policy. 


3.

Grant Budget The financial plan approved by the NIH awarding unit for use 
 of Federal funds to carry out the purpose of the grant as 
 shown on the award notice. 


4.

Pre-award Costs For purposes of this policy, pre-award costs are those costs 
 incurred prior to the effective date of new or competitive 
 extension (renewal) awards only. 


N I H Guide f o r Grants and Contracts 
 Vol. 5, No. 15, September 15, 1976
5.

Page Three 


Equipment An article of non-expendable personal property which is complete in itself, is of a durable nature, has an expected useful life of more than one year, and an acquisition cost of $300 or more per unit except that recipients subject to Cost Accounting Standards Board (CASB) regulations may use the CASB standards. Equipment falls into two classes: (a) special purpose and (b) general purpose. Classification of an item of equipment depends on the nature of the item regardless of its intended use or planned location. a. 	 Special Purpose Equipment All items of equipment that 
 generally are usable only for research, medical,
 scientific, or technical activities. Included are 
 such items as microscopes, centrifuges, spectro­
 photometers, scintillation counters, etc. 
 b. 	 General Purpose Equipment All items of equipment that generally are usable for other than research, medical, or specialized scientific, or technical activities, whether or not special modifications are needed to make them suitable for use on a project. Included are such items as office equipment and furnishings, computing and automatic data processing devices and equipment, reproduction equipment, refrigerators, portable heating and cooling units, vehicles, cameras, etc. General purpose equipment does not lose this characterization merely because of a scientific or technical purpose for which it is purchased or the location where it is used.

6.

Travel a. 	 Domestic travel is travel performed within the grantee's own country and travel between the U . S . and Canada for grants made to institutions within the U.S. o r Canada. The U . S . includes Guam, American Samoa, Puerto Rico, the Virgin Islands, and the Canal Zone, and the Trust Territory of the Pacific Islands.

b. 	 Foreign travel is travel outside the U . S . or Canada, or
not within the grantee's own country. Travel within 
 the U . S . or Canada enroute to or returning from a foreign destination is considered foreign travel.

7.

Patient Care Costs 
 Includes only those costs related to routine and ancillary medical services provided to individuals on either an inpatient o r outpatient basis. Patient care costs do not include the otherwise allowable items of personal expense reimbursement (patient or attendant travel, subsistence, etc.),

Page Four
consulting physician fees, or any other direct payments related to all classes of study participants, including inpatients, outpatients, subjects, volunteers, and donors.
8.

Trainee Costs Stipends, tuition, and fees in training or manpower grants. 


9.

SDecial Budeetarv Restrictions

Any specific limitation or condition imposed by the awarding 
 unit in addition to the general policy restrictions on ex­
 penditures of funds in an individual grant. All special
 budgetary restrictions must be stated on, attached to, or 
 referenced on the award notice. Any other communication to 
 the grantee, which might include information considered 
 restrictive in nature, may not be used as a substitute for the requirement of conveying all special budgetary restric­ tions on the award notice. 1 . Contractual or Third Party Costs 
 0
A l l appropriate costs (including applicable indirect costs,

if any) associated with research services purchased f r o m third parties. These c o s t s may include, but are not necessarily limited to, consortia or collaborative agree­ ments.

F. POLICY The NIH expects the grantee institution to anticipate the full extent of its financial requirements when applying for a grant, to justify them in terms of essentiality to the project or program, and to budget for those costs in each grant application. Award of a grant budget by the NIH constitutes prior approval for expenditure of funds for costs as included in the approved budget.
Depending on the type of institution, grantees have varying degrees of 
 flexibility under the prior approval authorities extended them to meet 
 certain unanticipated requirements in research and manpower projects, 
 provided that grant funds are used in compliance with existing Federal 
 Such 
 policies and regulations governing the respective grant program(s). departures must enhance and not impede progress of the project toward 
 its stated objective and be in conformance with this policy statement 
 and the policies and procedures of the grantee institution. They may further be conditioned by restrictions imposed by the NIH awarding unit as a condition of the individual award. No prior approval requirements in addition to those provided for in this issuance may be imposed by the NIH awarding unit on any class of grants or expenditures without prior approval of the Associate Director for Extramural Research and Training, NIH. For all grants subject to this policy, grantee institutions may rebudget 
 funds within the total amount of the approved grant budget to meet 
 unanticipated expenditures, provided: 


NIH Guide f o r Grants and C o n t r a c t s 
 Vol. 5 , No. 15, September 15, 1976
or completion of the project; 

2. 	

Page F i v e 


1 	 The expenditures are necessary to the successful continuation 
 .
The purposes for which the expenditures are made are allowable under regulations and policies governing the grant program and the applicable cost principles prescribed in Subpart Q of 45 CFR Part 74;

3. 	 Prior approval is obtained from the awarding unit whenever the proposed rebudgeting action: a. 	 Results from changes in the scope or objectives of the grant-supported activities, including subgranting or contracting out any of the principal activities of the grant ;

b. 	 Indicates a need for additional Federal funding, excluding 

those situations where the need for additional funding 
 results from an increase in the amount of indirect costs 
 that may be claimed because of an otherwise allowable 
 rebudgeting action which increases the direct cost base 
 against which indirect costs are calculated; amounts for 
 additional indirect costs shall be provided in accordance 
 with the settlement provisions indicated in DHEW Grants 
 Administration Manual Chapter 6-150, Reimbursement of 
 Indirect Costs; 
 c. 	 Involves the transfer of amounts budgeted for indirect 
 costs into direct costs; 


d. 	 Involves any purposes disapproved or restricted as a 
 condition of the award; 
 4 . 	 Prior approval is obtained from the appropriate level designated (awarding unit or grantee) whenever the proposed rebudgeting action:
Involves the expenditure of funds for any item or 
 purposes requiring prior approval by the applicable 
 cost principles, regulations, Grants Administration 
 Manual chapters, and other HEW/PHS/NIH duly promulgated 
 policies. 
 (Note: See exhibit attached. To assist in identifying prior approval items subject 
 to this requirement, a summary of items 
 related to different types of institutions is provided as an exhibit to this chapter. The summary does not constitute a complete list of all prior approval items. It is 
 intended to list those items most common 
 to NZH grant programs.) 

U '


 
 
 


Page S i x
F a i l u r e t o o b t a i n p r i o r a p p r o v a l i n accordance w i t h t h e p r o v i s i o n s of t h i s c h a p t e r f o r a l l a c t i o n s r e q u i r i n g such a p p r o v a l may r e s u l t i n t h e d i s a l l o w a n c e of c o s t s . PHS and NIH p o l i c y p e r m i t s t h e o f f i c i a l s who would have been a u t h o r i z e d t o g i v e a p p r o v a l o r i g i n a l l y t o g r a n t r e t r o a c t i v e a p p r o v a l i n h i g h l y unusual o r e x c e p t i o n a l c i r c u m s t a n c e s and when denying such a p p r o v a l would a f f e c t i n a material manner t h e s u c c e s s f u l performance of t h e p r o j e c t o b j e c t i v e s . Approval o f f i c i a l s s h a l l be h e l d r e s p o n s i b l e t o f u l l y document t h e grant f i l e with:

4L.

1 	 The r e a s o n s why p r i o r a p p r o v a l w a s n o t o b t a i n e d i n a t i m e l y .
manner,

2. 	 The manner i n which t h e p r o j e c t o b j e c t i v e s would be a d v e r s e l y
a f f e c t e d , and

3 . 	 A c e r t i f i c a t i o n t h a t a p p r o v a l would have been g i v e n had t h e r e q u e s t been s u b m i t t e d on time.
G.

PRIOR APPROVAL AUTHORITIES
1. 	 C o l l e g e s , U n i v e r s i t i e s , H o s p i t a l s , Research I n s t i t u t e s , and Research Foundations

a. 	 Grantee i n s t i t u t i o n s which are c o l l e g e s o r u n i v e r s i t i e s , h o s p i t a l s , r e s e a r c h i n s t i t u t e s , and r e s e a r c h f o u n d a t i o n s are r e q u i r e d t o e s t a b l i s h and u t i l i z e an I n s t i t u t i o n a l P r i o r Approval System f o r o b t a i n i n g p r i o r a p p r o v a l f o r e a c h o f t h e f o l l o w i n g t y p e s of r e b u d g e t i n g a c t i o n s :
Expenditure i n t h e equipment c a t e g o r y f o r each i n d i v i d u a l i t e m of s p e c i a l purpose equipment having a n a c q u i s i t i o n c o s t of $1,000 o r more; Cumulative e x p e n d i t u r e s i n t h e equipment c a t e g o r y d u r i n g a budget p e r i o d which w i l l c a u s e t h e amount awarded f o r equipment t o be exceeded by $1,000 o r 25 p e r c e n t of t h e amount shown on t h e l a t e s t award s t a t e m e n t , whichever i s g r e a t e r ; Cumulative e x p e n d i t u r e i n t h e domestic travel c a t e g o r y d u r i n g a budget p e r i o d which will cause t h e amount awarded f o r such t r a v e l t o be exceeded by $500 o r 25 p e r c e n t of t h e amount shown on t h e l a t e s t award s t a t e m e n t , whichever i s g r e a t e r ; Expenditures i n t h e p a t i e n t c a r e c o s t c a t e g o r y which w i l l cause e x p e n d i t u r e s i n t h a t c a t e g o r y t o exceed t h e amount o r i g i n a l l y awarded i n t h e g r a n t budget provided t h e need f o r p a t i e n t care i n t h e p r o j e c t was s p e c i f i c a l l y approved by t h e awarding u n i t . b. 	 C o l l e g e s , u n i v e r s i t i e s , h o s p i t a l s , and r e s e a r c h i n s t i t u t e s and f o u n d a t i o n s must o b t a i n p r i o r a p p r o v a l from the awarding

N I H Guide f o r Grants and Contracts 


Vol. 5, No. 15, September 15, 1976

Page Seven 


unit for all other rebudgeting actions which require such 
 approval. 
 (Note: For summary guidance on prior approval requirements applicable to these grantees, refer to the attached exhibit. )
2.

Other Private Nonprofit Institutions and Individuals as Grantees Private, nonprofit grantee institutions, other than colleges, 
 universities, hospitals, and research institutes or research 
 foundations (e.g. professional societies and associations, 
 museums, national health agencies, service and demonstration 
 organizations) and individuals as grantees must obtain prior 
 approval from the awarding unit for all proposed rebudgeting 
 actions for which prior approval is required. 


(Note: For summary guidance on prior approval
 requirements pertinent to private, nonprofit 
 institutions and individuals as grantees refer 
 to the attached exhibit.) 

not 3. 	 State and Local Government Agencies (Does - include State or
 local institutions of higher education and hospitals.) a. 	 Grantees which are State and local government agencies 
 are required to establish and utilize an Institutional 
 Prior Approval System for obtaining prior approval of 
 the following types of rebudgeting actions: 


(1) 	 Expenditure in the equipment category for each 
 individual item of special purpose equipment 
 having an acquisition cost of $1,000 or more; or 

(2) 	 Expenditures in the patient care costs category

which will cause expenditures in that category to exceed the amount originally awarded in the grant budget provided the need for patient care in the project was specifically approved by the awarding unit.

b. 	 State and local government agencies must obtain prior 

approval from the awarding unit for all other proposed 
 rebudgeting actions which require such approval. 
 (Note: For summary guidance on prior approval 
 requirements applicable to these grantees, refer 
 to the attached exhibit.) 


H.

INSTITUTIONAL PRIOR APPROVAL SYSTEM

1. Implementing Guidelines 

Where institutional prior approval is required, the system 
 must be operated in accordance with the following principles: 


Page Ei,ght
a. 	 The institution must designate an appropriate official or 
 officials to review and approve rebudgeting requests for 
 those items which require institutional prior approval. 
 Preferably, the official(s) should be the same official(s) 
 who sign or countersign those types of rebudgeting 
 requests which require submission to, and approval by, 
 the awarding unit. In any event, the designated official(s) 
 may not be the program or project director or any official 
 having direct responsibility for the conduct of the 
 project, or a subordinate of such individual. When 
 independence of the designated official cannot be maintained, 
 such as where the head of the grantee institution is 
 also the project director on a grant, the Institutional 
 Prior Approval System does not apply to that grant. 
 The grantee institution should take the responsibility 
 to notify the appropriate awarding unit(s) promptly where 
 such situations exist. All required prior approvals 
 must then be obtained from the awarding unit in accordance 
 with Section I. below. 
 (Note:
under S e c t i o n K. , EFFECTIVE DATE.

l r -

See special reference to H.1.a. 1

b. 	 The rebudgeting action must neither impair the institution's 
 ability to complete the project or activity as approved, 
 nor increase the total direct costs to the grant. 

., "*

c. 	 The funds may not be used for any purpose disallowed as a 
 condition of the award. 


d. 	 Decisions affecting rebudgeting must be well-documented and retained in the institution's records available for inspection or audit for a period consistent with the records retention requirements of PHS Chapter 1-100. Specific documented actions required for each authorized prior approval are:

( ) 	 Justification, with informative documentation of 
 1 the rebudgeting requested including identification 
 of the budget categories affected, by the principal 
 investigator. 

(2) 	 Review at grantee management level for policy

permissibility and grant funds availability, by appropriate grantee official(s).
( 3 ) 	 Review for scientific propriety, project relevance, and effective utilization of institutional resources by appropriate grantee official(s), at an admin­ istrative level above that of the initiator of the request.
(4)

Final approval, by a designated grantee official(s).

NIH Guide f o r Grants and C o n t r a c t s 

V o l . 5, No. 15, September 15, 1976
Page N i n e 


e. 	 Grantee institutions may be more, but not less, restrictive 
 concerning rebudgeting of the specified items. In addition, 
 they may establish prior approval requirements within their 
 own institution for cost categories in addition to those 
 specified herein. Approval for rebudgeting in these other 
 categories may be established at any level set by the 
 grantee institution. 

2. 	 Referral of Problems Encountered in the Institutional Prior Approval System to the Awarding Unit

If, in the opinion of the designated grantee official(s), no 
 procedure, policy, or precedent clearly applies to the rebudget­
 ing question, such official(s) should seek advice from the 
 awarding unit. 
 Also, issues may be referred to the awarding unit by the 
 responsible official(s) of the grantee institution if they 
 cannot be decided internally in the grantee institution. This 
 latter procedure does not constitute a mechanism for the 
 principal investigator or program director to appeal the 
 institution official's decisions directly to the awarding unit 
 If during the budget period it becomes apparent to the grantee 
 institution or the principal investigator that a restriction 
 made by the awarding unit at the time of award is working to 
 the disadvantage of the project, the responsible grantee 
 institution official(s) may request in writing that the 
 awarding unit rescind the restriction in question. If the 
 awarding unit approves the request in writing, subsequent 
 budget changes permitted by the removal of the restriction 
 may be authorized by the grantee official(s). 
 3.

NIH Right to Disallow Costs
Grantee institutions are expected to exercise care and discre­
 tion in proposing obligations or expenditures for any cost 
 items in order to avoid their being incurred too late in the 
 project for effective use. Unless specific justification can 
 be made for effective utilization on the project for which 
 the funds were derived, the costs may be challenged and subject 
 to possible disallowance. 
 Approval of rebudgeting actions under an Institutional Prior Approval System administered in accordance with this chapter satisfies the PHS prior approval requirements. However, as with other costs charged to grants, they must meet the required tests of allowability, allocability, necessity, reasonableness, etc. Where it is determined, through audit or otherwise, that such costs do not meet these t e s t s , t h e costs shall be disallowed.

Page Ten

I.

PRIOR APPROVAL BY THE N I H AWARDING UNIT

1 	 As previously indicated the N I H requires that certain items of . cost and/or budget modification must have prior approval by the N I H awarding unit. Those items are displayed in the exhibit to this chapter which is entitled Summary of Principal Prior Approval Requirements for Use of N I H Grant Funds Including Rebudgeting. 2. 	 All rebudgeting requests which require such approval must be 
 signed by the originator of the request and the appropriate 
 grantee institution official and submitted to the Grants 
 Management Officer of the awarding unit. After review of the 
 request by grants management and scientific staff, as appropriate, 
 a prompt reply signed or countersigned by the GMO will be made 
 to the individuals who submitted the request. 

J.
GRANTEE'S RIGHT TO APPEAL

1

J

1. 	 An awarding unit's decision to disapprove a grantee's written request for permission to incur an expenditure during the term of a grant may be appealed under the PHS Grant Appeals Procedures as set forth in 42 CFR Part 50. Failure of an awarding unit to respond to a grantee's request within 30 days after the postmarked date of the grantee's request shall be deemed as a disapproval for purposes of this section.

2 	 Appeals made in connection with this policy must be submitted . in accordance with the provisions of the PHS Grant Appeals Procedures (42 CFR Part 5 0 ) as detailed and explained in Chapter PHS 1-520 of the HEW Grants Administration Manual and the N I H G u i d e f o r Grants and C o n t r a c t s , Vol. 3 , No. 18, pp. 1-5, November 13, 1974.

"w­

K.

EFFECTIVE DATE

This policy shall have an effective date of February 1, 1976. However, 
 for that portion of H.1.a. which relates to the required exclusion 
 of certain grants from Institutional Prior Approval Systems, an 
 effective date of October 1, 1976, will be utilized to provide 
 additional time for administrative review and determination. 


Exhibit

SUMMARY OF PRINCIPAL PRIOR APPROVAL REQUIREMENTS F R USE OF N I H GRANT FUNDS INCLUDING REBUDGETING O
Approvals Required by Type of Grantee I n s t i t u t i o n Individuals as G r a n t e e s , Other Private Nonprofit Institutions or O r g a n i z a t i o n s

-

Type o f Expenditure

Colleges, h i v e r s it i e s , Ho s p i t a1s , Research Institutes, R e s . Fdns.

S t a t e and Local Governments

1. AlterationfRenovatFon a . $1,001 t o $75,000 b. Over $75,000 payment t o employees of 2. 	 Consultant Fees i n s t i t u t i o n t o which g r a n t i s awarded 3. Equipment a . 	 S p e c i a l Purpose $1,000 o r more p e r item b. 	 General Purpose $300 o r more p e r i t e m c . 	 Cumulative e x p e n d i t u r e s which exceed awarded amount by $1,000 o r 25% whichever i s g r e a t e r d. Equipment I n s u r a n c e (as a d i r e c t c o s t ) 4 . General a. 	 Any budgetary r e v i s i o n s r e s u l t i n g from changes i n scope o r o b j e c t i v e o f t h e grant-supported program b. 	 Use of f u n d s f o r any purpose disapproved o r r e s t r i c t e d a s a c o n d i t i o n o f award 5. 	 I n d i r e c t C o s t s - t r a n s f e r of funds budgeted f o r i n d i r e c t c o s t s t o a b s o r b increases i n direct costs 6. Motion P i c t u r e and T e l e v i s i o n Production 7. News Release C o s t s 8 P a t i e n t Care Costs . a. A u t h o r i t y t o i n c u r under g r a n t b. 	 A d d i t i o n a l e x p e n d i t u r e s t o t h o s e a l r e a d y approved by t h e awarding u n i t 9 . Pre-award C o s t s 10.Salaries Use of p r o j e c t g r a n t s a l a r y f u n d s r e l e a s e d as a r e s u l t of r e s e a r c h o r academic career award 1 . Subgranting o r C o n t r a c t i n g o u t any p r i n c i p a l 1 a c t i v i t i e s of t h e g r a n t (Third p a r t y costs) 1 2 . T r a i l e r s and Modular U n i t s 13.Trainee Costs any t r a n s f e r o u t o f T r a i n e e Cost c a t e g o r y ( i . e . , s t i p e n d s , t u i t i o n and f e e s ) 14. T r a v e l a. Each f o r e i g n t r i p and i t s c o s t s b. 	 Cumulative domestic t r a v e l e x p e n d i t u r e s which exceed awarded amount by $500 o r 25%, whichever i s g r e a t e r

-

...

............
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Awarding Unit I n s t i t u t i o n a l P r i o r Approval System O f f i c e of Extramural Research and T r a i n i n g

HI NfA

-

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Head o f I n s t i t u t i o n o r h i s d e s i g n e e Not a p p l i c a b l e

N I H Guide f o r Grants and C o n t r a c t s 

Vol. 5, No. 15, September 15, 1976 Page Eleven 


."#

HERPES SIMPLEX VIRUS (HSV)

RESEARCH

GRANT APPLICATIONS SOUGHT BY THE NATIONAL INSTITUTE

OF DENTAL RESEARCH

A N N O U N C E M E N T

The S o f t T i s s u e Stomatology and N u t r i t i o n Program Branch of t h e N a t i o n a l I n s t i t u t e of Dental Research i s i n t e r e s t e d i n expanding r e s e a r c h a c t i v i t i e s concerned with h e r p e t i c g i n g i v o s t o m a t i t i s and h e r p e s l a b i a l i s . According t o r e c e n t estimates, h e r p e s simplex v i r u s (HSV) i n f e c t i o n s are widespread, a f f l i c t i n g up t o 50% of t h e U . S . p o p u l a t i o n . About h a l f of those a f f e c t e d experience r e c u r r e n t o r a l episodes (herpes l a b i a l i s ) . C l i n i c a l m a n i f e s t a t i o n s of t h e o r a l f a c i a l i n f e c t i o n s v a r y widely, and s e v e r i t y i s somewhat h i g h e r i n c h i l d r e n and young a d u l t s . H V a l s o c a u s e s S s e r i o u s i n f e c t i o n s of t h e u r o g e n i t a l t r a c t , e y e s , and b r a i n t h a t may l e a d t o blindness, l e t h a l e n c e p h a l i t i s , o r c e r v i c a l cancer. Because of t h e u b i q u i t o u s n a t u r e of t h e s e v i r u s e s , t h e l a c k of s u c c e s s f u l t r e a t m e n t regimes, t h e i r oncogenic p o t e n t i a l , and t h e i r g e n e r a l and o r a l h e a l t h h a z a r d , r e s e a r c h g r a n t a p p l i c a t i o n s are being sought which are designed t o (1) c h a r a c t e r i z e immunlogical a s p e c t s of o r a l h e r p e s simplex v i r u s i n f e c t i o n s , ( 2 ) f u r t h e r develop a p p r o p r i a t e animal model s y s t e m s f o r h e r p e t i c g i n g i v o s t o m a t i t i s and h e r p e s l a b i a l i s , ( 3 ) examine f a c t o r s a s s o c i a t e d w i t h o r a l - f a c i a l t i s s u e l o c a l i z a t i o n and r e a c t i v a t i o n of t h e v i r u s , ( 4 ) i n v e s t i g a t e t h e p o s s i b l e involvement of h e r p e s v i r u s i n o r a l c a n c e r , ( 5 ) i d e n t i f y and test p o t e n t i a l chemotherapeutic o r a n t i v i r a l s u b s t a n c e s a g a i n s t HSV i n f e c t i o n s , ( 6 ) develop b e t t e r methods of diagnosing p r e c l i n i c a l s t a g e s of h e r p e s i n f e c ­ t i o n s , a n d ( 7 ) conduct s t u d i e s aimed a t developing a v a c c i n e t h a t w i l l p r o t e c t a g a i n s t o r a l - f a c i a l and perhaps o t h e r c l i n i c a l m a n i f e s t a t i o n s of HSV i n f e c t i o n s . Deadlines f o r t h e r e c e i p t of g r a n t a p p l i c a t i o n s are November 1, March 1, and July 1. Review and award of applications concerned with studies on HSV will be through t h e u s u a l N I H procedures. P r o p o s a l s t h a t i n c l u d e s t u d i e s on HSV t h a t are p e r i p h e r a l t o t h o s e of o r a l - f a c i a l i n f e c t i o n s may be a s s i g n e d t o t h e N a t i o n a l I n s t i t u t e of A l l e r g y and I n f e c t i o u s Diseases o r o t h e r a p p r o p r i a t e I n s t i t u t e s o r Divisions. P r e l i m i n a r y d r a f t s of t h e p r o p o s a l s and o t h e r i n q u i r i e s r e g a r d i n g t h i s program may be addressed t o e i t h e r D r . P a u l D. F r a z i e r , C h i e f , o r D r s . Matthew A. Kinnard and Robert J. S c h e u l l e i n , H e a l t h S c i e n t i s t A d m i n i s t r a t o r s , S o f t T i s s u e Stomatology and N u t r i t i o n Program Branch, N a t i o n a l I n s t i t u t e of Dental Research, N a t i o n a l I n s t i t u t e s of H e a l t h , Bethesda, Maryland 20014, t e l e p h o n e (301) 496-7808.

Page Twelve RECURRENT APHTHOUS STOMATITIS (RASL RESEARCH GRANT APPLICATIONS SOUGHT BY THE NATIONAL INSTITUTE OF DENTAL RESEARCH A N N O U N C E M E N T

The Soft Tissue Stomatology and Nutrition Program Branch of the National 
 Institute of Dental Research wishes to increase research efforts dealing 
 with recurrent aphthous stomatitis (RAS) and related ulcerative disorders 
 of the oral cavity. 
 Few oral disorders result in as much pain and discomfort or affect as many 
 people as RAS. Estimates of affected persons in the United States range 
 from 10 to over 50%. Multiple unrelated factors appear to contribute to 
 the disease state. High rates of occurrence in adult populations have been 
 associated with environmental stress; the incidence among children may exceed 90% when both parents experience recurrent lesions. Since the etiology of RAS is unknown, there are few effective criteria available for diagnosing or differentiating the disease from other ulcerative conditions. The severity of RAS commonly referred to as "canker sores'' varies greatly and may involve extraoral sites, such as in Behcet's syndrome which affects both genital mucous membranes and portions of the eye. Pain and disability 
 associated with these ulcerations results in an appreciable annual l o s s of schooling for children and adolescents as well as time lost from work by adults. The multiple causative factors which appear to contribute to the severity and onset of RAS have hampered the development of a successful regime for treatment and prevention of the disease. The National Institute of Dental Research therefore desires to expand both clinical and basic research activities dealing with RAS which are designed to ( ) advance our knowledge 1 of the clinical and epidemiological aspects of both RAS and Behcet's syndrome which will more precisely define the entire syndrome and its spectrum of severity, ( 2 ) develop appropriate animal models, (3) identify etiological factors associated with these ulcerative conditions, ( 4 ) analyze the immunological aspects of the disease to enhance diagnostic capabilities and to provide insight into possible preventive measures, ( 5 ) develop and test the efficacy of new treatment regimes. Major medical centers and hospitals having expertise in oral medicine and 
 oral pathology are especially encouraged to assume leadership in diagnostic, 
 therapeutic, and basic studies related to these diseases. 
 Deadlines for the receipt of grant applications are November 1, March 1, and July 1. Review and award of applications concerned with studies of RAS will be through the usual NIH procedures. Preliminary drafts of proposals and other inquiries regarding this program may be addressed to either Dr. Paul D. Frazier, Chief, or Drs. Matthew A. Kinnard or Robert J. Schuellein, Health Scientist Administrators, Soft Tissue Stomatology and Nutrition Program Branch, National Institute of Dental Research, National Institutes of Health, Bethesda, Maryland 20014, telephone (301) 496-7808.

N I H G u i d e f o r G r a n t s a n d Contracts 
 Vol. 5, No. 15, S e p t e m b e r 15, 1976 NOTICE OF A V A I L A B I L I T Y OF NONHUMAN PRIMATE MATERIAL FOR RESEARCH ON AGING

Page T h i r t e e n 


The National Institute on Aging (NIA) supports a contract to make available tissues, organs, and fluids and other biological materials from a group of 20-year-old Macaca nemestrina and a control group of 10-year-old animals. Investigators interested in acquiring access to these materials for characterization of age-related changes in Macaca nemestrina should write or call:

Dr. Douglas M. Bowden 

Regional Primate Center SJ-50 
 University of Washington 
 Seattle, Washington 98195 
 (206) 543-1430 
 Deadline for application is October 16, 1976. 


PROHIBITED OR RESTRICTED RESEARCH
Certain types of activities involving human su-jects may not , supported 
 e or conducted with the aid of National Institutes of Health, Public Health 
 Service, or Department of Health, Education, and Welfare funds regardless 
 of the type of grant or contract mechanism involved: 

1. 
 Any research whatsoever involving in vitro fertilization 
 of human ova, unless previously approved by the DHEW 
 Ethical Advisory Board, National Institutes of Health, 
 Bethesda, Maryland 20014. [Authority: 45 CFR 46.204(e)] 


2. 
 Any research involving pregnant women or fetuses, not strictly in compliance with the provisions of Subpart B of Part 46 of Title 45 of the Code of Federal Regulations, unless previously approved by the DHEW Ethical Advisory Board. (Authority: 45 CFR 46.211) 3. 
 Any research in biomedical, contraceptive development, and 
 behavioral aspects of family planning or population research 
 related to or involving elective abortion. [Authority: 
 45 U.S.C. Ch. 6A, Sections 1004(b) (2) and 1 0 1 
 08

Page Fourteen 

4 . 	 Any research project or program which is experimental in nature, without the written informed consent of each participant or subject, or if the participant or subject is under 18 years of age, without the written informed consent of his/her parents or legal guardian. (Authority: Public Law 93.206, Section 411)

W'

These prohibitions extend to: use of funds provided by research grants 
 (including program project grants, center grants, and other types of 
 grants directly supporting research), research training grants, biomedical 
 science grants, categorical clinical research center grants, general 
 clinical research center grants, national research service award grants, 
 research career awards, and all further types of grants and contracts 
 supporting research, training, and development activities. 


SPECIAL GRANTS FOR NEW INVESTIGATORS 
 IN ANESTHESIOLOGY 
 NATIONAL INSTITUTE OF GENERAL MEDICAL SCIENCES
OBJECTIVES

A N N O U N C E M E N T




The National Institute of General Medical Sciences (NIGMS) is establishing 
 a new Special Grants Program in Anesthesiology in order to: 


-

encourage new investigators in the field of anesthesiology to develop their own research on: the mode of action of all types of anesthetics and muscle relaxants; basic studies on the physio­ logic, biochemical, pharmacologic, and metabolic effects of anesthetic agents; the nature and control of pain; postoperative respiratory failure; obstetrical and neonatal resuscitation; and the pulmonary and systemic effects of drowning. facilitate the transition from research training status to that of a productive investigator.

-

This program is to provide the initial support for independent research by 
 talented physicians who wish to address the challenging research problems 
 presented by anesthesiology. 

BACKGROUND AND RATIONALE

The number and variety of anesthetic drugs continues to increase and hundreds 
 of thousands of patients per year are exposed to them. Anesthetic complica­
 tions continue to present a serious medical problem. A number of anesthesia-
 related deaths occur annually among surgical patients. Furthermore anesthesia 
 has produced serious complications which prolong convalescence. Morbidity 
 from improperly administered anesthesia costs the American people nearly one 
 billion dollars per year. 


N I H Guide f o r Grants and Contracts 
 Vol. 5 , No. 15, September 15, 1976

Page Fifteen 


The role of the anesthesiologist now extends to intensive care of both surgical and non-surgical patients and involves management of both chronic and intractable pain, obstetrical and neonatal resuscitation, inhalation therapy and management of respiratory complications. The Special Grants Program in Anesthesiology is designed to provide an opportunity for more anesthesiologists to perform independent research on these problems.
lWPLEVENTATION

Beginning in fiscal year 1977, the NIGMS is offering a small number (10-12) of Special Grants for New Investigators in Anesthesiology. Each grant will have a maximum support period of three years. The status of the Special Grants for New Investigators in Anesthesiology 
 will be reviewed after an appropriate interval to determine whether or not 
 the program should be continued. To assess the effectiveness of the program 
 in fulfilling its objectives the Institute intends, after the termination of each grant, to follow the progress of the recipient to determine ( ) the 1 investigator’s professional affiliation, (2) subsequent grant or contract support, and (3) scientific publications.

I is anticipated that in a majority of cases the results achieved with t this grant support will provide the basis for successful competition in regular research support programs of the NIH.
The first receipt date for applications will be November 1, 1976. The applications will be reviewed by study section in February - March and by the National Advisory General Medical Sciences Council in May 1977. July 1, 1977, will be the earliest starting date for successful applicants.
CRITERIA FOR ELIGIBILITY

The research project must: 


-

be a study designed to answer a specific question related to anesthesiology in basic scientific areas such as physiology, biochemistry, pharmacology, and metabolism; be supplemental to a project supported by other funds;

- not
-

be designed for completion within the requested period and not more than three years; and meet the customary criteria of scientific merit.

The investigator must: have an M.D. degree at the time of the award; present evidence of prior research experience;

S i x teen
- be t h e r e c i p i e n t of an N I H S p e c i a l Fellowship, n o r t h e not

p r i n c i p a l i n v e s t i g a t o r on a r e s e a r c h g r a n t o r c o n t r a c t o r t h e e q u i v a l e n t , e i t h e r a t p r e s e n t o r i n t h e p a s t , nor a c t i v e l y s u p p o r t e d on a r e s e a r c h c e n t e r g r a n t ; however, t r a i n e e s o r r e g u l a r r e s e a r c h f e l l o w s a r e n o t excluded; be a c i t i z e n o r a n o n - c i t i z e n n a t i o n a l of t h e United S t a t e s o r i t s p o s s e s s i o n s and t e r r i t o r i e s , o r have been l a w f u l l y admitted t o t h e United S t a t e s f o r permanent r e s i d e n c e p r i o r t o s i g n i n g the grant application; p r o v i d e a well-thought-out p l a n f o r p u r s u i n g t h e r e s e a r c h proposed, i n c l u d i n g a b r i e f review of t h e p e r t i n e n t l i t e r a t u r e ; submit w i t h t h e a p p l i c a t i o n t h e names of t h r e e p e r s o n s who are p r e s e n t o r p a s t s u p e r v i s o r s o r p r e c e p t o r s and can a t t e s t t o t h e a p p l i c a n t ' s a b i l i t y t o undertake t h e p r o j e c t ; a g r e e t o d e v o t e a t least 50 p e r c e n t t i m e t o t h e p r o j e c t ; a g r e e t o keep t h e NIGMS informed about s c i e n t i f i c accomplish­ ments, change i n p r o f e s s i o n a l s t a t u s , o r i n s t i t u t i o n a l a f f i l i a t i o n f o r a p e r i o d of s i x y e a r s a f t e r t e r m i n a t i o n of t h e g r a n t . The a p p l i c a n t i n s t i t u t i o n must ( f o r t h e p e r i o d of t h e g r a n t ) :

- p r o v i d e space and f a c i l i t i e s n e c e s s a r y t o pursue t h e p r o j e c t s ,

-

o f f e r expert guidance and c o u n s e l i n a n e s t h e s i o l o g y r e s e a r c h , release t h e award r e c i p i e n t from o t h e r r e s p o n s i b i l i t i e s f o r t h e t i m e devoted t o t h e p r o j e c t .

--

I n s t i t u t i o n s may submit more t h a n one a p p l i c a t i o n . t i o n s may a p p l y .

Only domestic i n s t i t u ­

SUPPORT PROVIDED BY THE GRANT
The NIGMS S p e c i a l G r a n t s f o r New I n v e s t i g a t o r s are made f o r a p e r i o d of up t o t h r e e y e a r s . Renewals w i l l be c o n s i d e r e d as competing c o n t i n u a t i o n s i n t h e r e g u l a r r e s e a r c h g r a n t c a t e g o r y . Supplemental a p p l i c a t i o n s w i l l n o t be a c c e p t e d . The t o t a l d i r e c t c o s t s may n o t exceed $90,000 f o r t h e three-year p e r i o d w i t h no more t h a n $35,000 of t h a t amount f o r t h e f i r s t year. Except where o t h e r w i s e i n d i c a t e d i n t h i s announcement, t h e p o l i c i e s which a p p l y t o r e s e a r c h p r o j e c t g r a n t s apply a l s o t o t h e S p e c i a l G r a n t s f o r New I n v e s t i g a t o r s i n Anesthesiology. Per sonne1

- s a l a r y and f r i n g e b e n e f i t s f o r t h e award r e c i p i e n t t o t h e e x t e n t t h a t
they r e f l e c t t h e t i m e o r e f f o r t devoted t o t h e r e s e a r c h p r o j e c t , n o t t o exceed 70% of t h e t o t a l d i r e c t c o s t s p e r y e a r . One p a r t t i m e t e c h n i c a l a s s i s t a n t may r e c e i v e s a l a r y from t h e g r a n t i f t h e need f o r t e c h n i c a l a s s i s t a n c e can be j u s t i f i e d i n tenus of t h e r e s e a r c h .

N I H Guide f o r Grants and Contracts 
 Vol. 5 , No. 15, September 15, 1976 Equipment 


Page Seventeen 


-

the facilities available should provide most of the equipment. The purchase of equipment essential to the specific research effort must receive special approval.

Supplies 


-

the cost of necessary supplies must be detailed and justified.

Travel 
 expenses for attendance at one national meeting closely related to the project may be requested for each 12-month period.

Other Expenses 


-

if other items are necessary for performance of the research effort, these must be clearly justified in terms of that need.

Indirect Costs 


-

will be provided in accordance with established DHEW policies for regular research grants.
APPLICATION

Assignment of applications w i l l in all cases be made by the Division of Research Grants on the basis of the NIH referral guidelines for research The original grants. Applications must be submitted on form PHS 398. copy and the folder in which it is submitted, should be clearly labeled, (in red ink) NIGMS SPECIAL GRANTS FOR NEW INVESTIGATORS IN ANESTHESIOLOGY. The proposed project should be presented using the format described in the "instructions" in the application kit.
The authorized institutional official must submit a signed statement, as

part of the application, detailing the commitments made to the project. The completed grant application should be mailed to the Division of 
 Research Grants, National Institutes of Health, Bethesda, Maryland 20014. 
 A postal card will be mailed to the applicant acknowledging receipt of the 
 application. When the application has been assigned to an initial review 
 group (study section), the applicant will again be notified by mail. The 
 applicant should then request:each of three supervisors or preceptors to 
 send a letter of reference to the study section. The letters need not 
 comment on the merit of the project, but should attest to whether the 
 applicant has the knowledge and skills to pursue the project proposed. 
 Applications must be submitted by the regular new research project grant dates: November 1, March 1, and July 1. Applications received too late for one round of review will be considered in the next round. Applicants will be informed of the results of the review shortly after final considera­
 tion by the National Advisory General Medical Sciences Council. 


Page E i g h t e e n
Further information about this program may be obtained by contacting: 
 Dr. Elizabeth M. O'Hern 
 National Institute of General 
 Medical Sciences Room 9 5 5 , Westwood Building 5333 Westbard Avenue Bethesda, Maryland 20014 Telephone (301) 496-7168 


SPECIAL VISUAL SCIENCES RESEARCH AWARDS NATIONAL EYE INSTITUTE A N N O U N C E M E N T

This announcement revises and supersedes the announcement contained on page 1, Vol. 2, No. 5, of the NIH Guide f o r Grants and Contracts, dated July 30, 1 9 7 3 . The Special Visual Sciences Research Award Program of the National Eye 
 Institute is designed to encourage newly-trained investigators who have 
 completed postdoctoral training to enter or remain active in eye research 
 during the early stages of their researchlacademic careers. 
 These special awards will be made for the support of meritorious laboratory, 
 clinical, and epidemiological research projects related to eye diseases and 
 disorders of the visual system. I offers the newly trained investigator an 
 t opportunity to develop new concepts and techniques and to obtain preliminary 
 results which may be of value in preparation of a regular research project 
 application. A wide variety of disciplines and techniques may be used in 
 the proposed protocol. 
 Applicants must have received a doctoral degree or its equivalent, or have 
 completed research training no more than 5 years prior to the beginning date 
 of the proposed project. 
 Applicants may request up to $10,000 (direct costs) per year for three years. 
 These funds may be used for small items of equipment, supplies, travel, 
 publication, and for salaries of technical personnel. 
 Awards cannot be used to pay the salary of the principal investigator, to 
 support thesis research or to supplement projects already funded by the 
 Public Health Service or other Federal agencies. 
 Except where otherwise indicated in this announcement, the policies and 
 requirements which apply to regular research project grants apply also to 
 the Special Visual Sciences Research Awards. 


N I H Guide f o r Grants and Contracts 
 Vol. 5 , No. 15, September 1 5 , 1976
REVIEW 


Page Nineteen 


Applications w i l l undergo the customary dual review. The initial scientific merit review will be conducted by the appropriate NIH study section. A second review will be conducted by the National Advisory Eye Council. The National Eye Institute will make an award only on applications which receive a recommendation for approval from the National Advisory Eye Council. The NE1 Special Visual Sciences Research Awards are made for a period of up 
 to 3 years and are nonrenewable. Applications for continuing support beyond 
 the initial approved project period will be considered as competing renewals 
 in the regular research project grant program (R-01). 
 Applicants should use the regular research grant application (form PHS 398) and write SPECIAL VISUAL SCIENCES RESEARCH AWARD on the top of the face page. Applications are available at institutional central application control offices (see N I H Guide for Grants and Contracts, Vol. 2, No. 8, October 26, 1973). The receipt dates for applications are November 1, March 1, and July 1. The earliest possible award dates w i l l be approximately 9 months after the receipt dates. For additional information contact: 
 Scientific Programs Branch National Eye Institute National Institutes of Health Room 6A49, Building 31 Bethesda, Maryland 20014 Telephone:

(301) 496-5303 


MINORITY ACCESS TO RESEARCH CAREERS

(MARC PROGRAM)
FACULTY FELLOWSHIPS A N N O U N C E M E N T

Under authority of Section 472 of the Public Health Service Act as amended (42 USC 2891-l), the National Institute of General Medical Sciences (NIGMS) is accepting applications for Faculty Fellowships under the Minority Access to Research Careers (MARC) Program. The program is designed to assist minority institutions in the training of greater numbers of scientists and teachers in health-related fields. The MARC Faculty Fellowship program provides opportunities for advanced 
 research training for selected faculty members of four-year colleges, 
 universities, and health professional schools in which student enrollments 


Page Twenty
are drawn substantially from ethnic minority groups (American Indians, Blacks, Hawaiians, Mexican-Americans, Puerto Ricans, and other racial descent). These institutions may nominate faculty members to apply for MARC Fellowships to support a period of advanced study and research training in graduate departments and laboratories as candidates for the Ph.D. degree or for postdoctoral research training in specified areas in the biomedical sciences. MARC Faculty Fellows are selected on a competitive basis. Applications will be evaluated by an initial review group with minority representation and are subject to review and approval by the Advisory Council. Awards may be made for up to 3 years of support. When their training is completed the Fellows are expected to return to sponsoring schools to do research and teaching so as to inspire and assist minority students to prepare for professional careers in the biomedical sciences and in medicine. The amount of the stipend to be paid shall be commensurate with the salary or remuneration which the individual receiving the award would have been entitled to receive from the institution with which the individual has a permanent affiliation on the date of acceptance of the fellowship, but in no event shall the stipend exceed $25,000 annually. Application Receipt Date October 1 February 1 June 1 Advisory Council Review Y Sept./Oct. Jan./Feb. Results Announced by June November March Earliest Possible Start Date July 1 December 1 April 1

'9 4

Further information regarding the specified areas of support, length of support, trainee eligibility and required payback provisions may be found in the NIH Guide f o r Grants and Contracts, Vol. 5, No. 9, July 2, 1976, pages 1-5 and attachment. Application forms may be obtained from Mr. Elward Bynum, Director, MARC 
 Program, National Institute of General Medical Sciences, National Institutes 
 of Health, Bethesda, Maryland 20014, telephone (301) 496-7357. Appropriate 
 institutional officials and faculty members may contact Mr. Bynum for 
 counseling in the preparation of applications. 


t

u .

S. GOVERNMENT PRINTING

OFFICE : 1976 0

- 210-825

(459)


								
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