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

VIEWS: 0 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 .                                               1
                                                                                                            Page 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.   Code of Federal Regulations, Title 45, Part 74, Subpart L ,
           Budget Revision Procedures 

      2.   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
      3.   DHEW and PHS Grants Administration Manual Chapter 6-00, Cost
           Principles 

Page Two

     4.    DHEW Grants Administration Manual Chapter 6-150, Reimbursement
           of Indirect Costs 

      5. 	 PHS Grants Administration Chapter 1-510, Prior Approval of 
         1" 


           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

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                                   Page Three 

    5.   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 in-
         patient 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 

policies and regulations governing the respective grant program(s).  Such 

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                                     Page F i v e 

          1 	 The expenditures are necessary to the successful continuation 

           .
                 or completion of the project; 


          2. 	   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              4L.

     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:

     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.) 


     3. 	 State and Local Government Agencies (Does - include State or

                                                     not
          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. 
         l r -


             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:   See special reference to H.1.a.
                    under S e c t i o n K. , EFFECTIVE DATE.
                                                       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    J

     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. 	 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 post-
          marked 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
      .                                                                                      "w­

         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.

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
                                                                                      Colleges,                      as G r a n t e e s ,
                                                                                      h i v e r s it i e s ,              Other
                                                                                      Ho s p i t a1s ,                  Private
                                                                                      Research                        Nonprofit                      S t a t e and
                                                                                      Institutes,                   Institutions                        Local
Type o f Expenditure                                                                  R e s . Fdns.               or O r g a n i z a t i o n s      Governments

1. AlterationfRenovatFon
       a . $1,001 t o $75,000                ............                                   AU                                 AU                        AU
       b. Over $75,000                 ...                                                NIH-OD                            NIH-OD                     NIH-OD
2. 	 Consultant Fees               -     payment t o employees of
           i n s t i t u t i o n t o which g r a n t i s awarded            ...               HI                               Hl                          HI
3. Equipment
       a . 	 S p e c i a l Purpose
                   $1,000 o r more p e r item           ........                            IPAS                               AU                          IPAS
       b. 	 General Purpose
                   $300 o r more p e r i t e m         .........                              AU                               AU                          AU
       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         .........                            IPAS                               AU                          N/A
                                                               .
       d. Equipment I n s u r a n c e (as a d i r e c t c o s t )                            AU                                AU                          AU
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                 ........                           AU                               AU                          AU
       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                  AU                               AU                          AU
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            ..............                                        AU                                AU                          AU
                                                    ..
6. Motion P i c t u r e and T e l e v i s i o n Production                                   AU                                AU                          AU
7. News Release C o s t s                .............                                       AU                                AU                          AU
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                                    AU                                AU                          AU
       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                                       IPAS                               AU                          IPAS
 9 . Pre-award C o s t s           ...............                                           AU                                AU                          AU
 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            ..............                                        AU                                AU                          AU
   1
 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
          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)        ..................                                                    AU                               AU                          AU
 1 2 . T r a i l e r s and Modular U n i t s           .........                              AU                               AU                          AU
 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 )   .................                                                  AU                               AU                           AU
 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                                      AU                               AU                           N/A
       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              .....                  IPAS                               AU



LEGEND: 	      AU          -   Awarding Unit                                                HI     -   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
               IPAS        -   I n s t i t u t i o n a l P r i o r Approval System          NfA    -   Not a p p l i c a b l e
               NIH-OD      -   O f f i c e of Extramural Research
                                  and T r a i n i n g
      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                           Page T h i r t e e n 


NOTICE OF A V A I L A B I L I T Y OF

NONHUMAN PRIMATE MATERIAL

FOR RESEARCH ON AGING


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                W'

             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)

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


                               OBJECTIVES

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
                                                                     1
of each grant, to follow the progress of the recipient to determine ( ) the
investigator’s professional affiliation, (2) subsequent grant or contract
support, and (3) scientific publications.

 t
I is anticipated that in a majority of cases the results achieved with
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;

   - not   be supplemental to a project supported by other funds;

   -   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

        not
        - 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
        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 .         Only domestic i n s t i t u ­
t i o n s may a p p l y .

                                 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                    Page Seventeen 

Equipment 


   -   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
grants. Applications must be submitted on form PHS 398.       The original
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                       Page Nineteen 


REVIEW 


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                                          4
                                                                                                                     '9

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.

                        Advisory         Results                   Earliest
     Application        Council         Announced                  Possible
     Receipt Date       Review             by                     Start Date

      October 1          -Y               June                      July 1

      February 1       Sept./Oct.       November                 December 1

      June 1           Jan./Feb.          March                     April 1

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)

								
To top