IIH Guide for Grants and Contracts Vol . 6, No. 18, September 30, 1977

NATIONAL RESEARCH SERVICE AWARDS

FOR-INDIVIDUAL POSTDOCTORAL FELLOWSHIPS

NATIONAL INSTITUTE ON AGING

Page One

ANNOUNCEMENT>'/, / I I / 1 1 f f

Fellowships are a v a i l a b l e t o suppor t p o s t d o c t o r a l t r a i n i n g f o r b a s i c and c l i n i c a l r e s e a r c h on ag ing and t h e problems o f t h e ag ing and t h e aged. The t r a i n i n g should b e d i r e c t e d toward long-term involvement i n r e s e a r c h i n ag ing and geronto logy . The NIA w i l l a ccep t p roposa l s i n t h e b e h a v i o r a l and s o c i a l s c i e n c e s r e l a t e d t o ag ing , and i n t h e b i o l o g i c a l and biomedical s c i e n c e s r e l a t e d t o ag ing . For example, r e s e a r c h t r a i n i n g o r r e s e a r c h p r o j e c t s c u r r e n t l y suppor ted by t h e I n s t i t u t e i n c l u d e s work i n s e n i l e dementia and Alzheimer 's Disease, i n ag ing - re l a t ed a s p e c t s of n u t r i t i o n and metabolism, pharmacology, immunology, and endocr inology; i n c e l l u l a r ag ing , pathology of animal models r e l a t e d t o ag ing , and g e n e r a l g e r i a t r i c medica l r e sea rch . The I n s t i t u t e a l s o suppor t s r e sea rch and r e s e a r c h t r a i n i n g i n ag ing - re l a t ed changes i n c o g n i t i o n and s l e e p , and t h e i ; b i o l o g i c a l c o r r e l a t e s , and a l s o i n ag ing - re l a t ed ep idemiologica l and demographic s t u d i e s , s t u d i e s of r e t i r e m e n t , s t u d i e s o f psycho-social a s p e c t s o f ag ing ,and s t u d i e s of t h e minori ty-groups e l d e r l y .

Eligibility Appl icants must b e c i t i z e n s o r n o n c i t i z e n n a t i o n a l s of t h e United S t a t e s , o r have been l a w f u l l y admi t ted t o t h e United S t a t e s f o r permanent r e s idence . The i n d i v i d u a l must have r ece ived a d o c t o r a l degree be fo re t h e beginning d a t e of t h e fe l lowship . P:roposed s tudy must encompass biomedical r e s e a r c h t r a i n i n g w i t h a n oppor tun i ty t o c a r r y o u t supe rv i sed r e s e a r c h i n t h e areas s p e c i f i e d above, and o f f e r oppor tun i ty t o broaden t h e c a n d i d a t e ' s s c i e n t i f i c background o r ex tend h i s p o t e n t i a l f o r r e s e a r c h i n t h e ag ing f i e l d . Pr ior t o formal submission, an a p p l i c a n t must a r r ange f o r appointment t o a n a p p r o p r i a t e i n s t i t u t i o n and acceptance by a sponsor who w i l l s u p e r v i s e h i s or h e r t r a i n i n g and r e s e a r c h exper ience . App l i ca t ions f o r t r a i n i n g o u t s i d e t h e United S t a t e s r e q u i r e LL d e t a i l e d j u s t i f i c a t i o n of t h e need t o s tudy abroad based on unique f ac i l i t i e s and/or t r a i n i n g o p p o r t u n i t i e s .

Provisions of the A w a r d The award p rov ides a s t i p e n d ranging between $10,000 and $13,200 f o r t h e f i r s t y e a r , as determined by t h e number of y e a r s o f p r i o r r e l e v a n t p o s t d o c t o r a l expe r i ence a t t h e t i m e o f t h e award. Support may b e reques ted f o r up t o t h r e e y e a r s .

Receipt Dates f o r Application are:

February 1, f o r announcement of r e s u l t s i n October June 1, f o r announcement of r e s u l t s i n February October 1, f o r announcement of r e s u l t s i n May

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AppZication Forms Most g r a n t s and c o n t r a c t s o f f i c e s i n major u n i v e r s i t i e s -.lb

and n o n p r o f i t research i n s t i t u t i o n s have s u p p l i e s of k i t s t i t l e d "Applicqt ion f o r P u b l i c Heal th Serv ice Grant o r Award" i n a l i g h t gray j a c k e t , which . c o n t a i n a p p l i c a t i o n form PHS 416-1, t i t l e d "Research Fellowship Appl ica t ion ," and o t h e r necessary forms, i n s t r u c t i o n s , and m a t e r i a l s .

For f u r t h e r in format ion o r a p p l i c a t i o n k i t s , c o n t a c t :

Tra in ing O f f i c e Nat iona l I n s t i t u t e on Aging Nat iona l I n s t i t u t e s of Health Room 5C33, Bui lding 31 Bethesda, Maryland 20014

Telephone: (301) 496-1033

The i n d i v i d u a l s t o c o n t a c t , by a r e a , are:

M s . S h i r l e y Bagley - S o c i a l Sciences - (301) 496-1033 Don C. Gibson, D.V.M. - Physiology, Medicine, A n i m a l Models - (301) 496-1033 D r . Donald Murphy - C e l l , Molecular, and General Biology - (301) 496-5534 D r . Lester Smith - Biochemistry and Immunological Sciences - (301) 496-5534 Dr. Walter S p i e t h - Psychology - (301) 496-1033

-NATIONAL INSTITUTE OF ENVIRONMENTAL HEALTH SCIENCES # / / , / / / / / / / /

' ANNOUNCEMENT,^ACADEMIC INVESTIGATOR AWARD - TOXICOLOGY (AIA-T) ',/ / / / / / / / /

The Academic I n v e s t i g a t o r Award i n Toxicology is designed t o s t i m u l a t e i n d i v i d u a l s w i t h r e s e a r c h e x p e r t i s e i n biomedical s c i e n c e s toward careers i n environmental toxicology. The o b j e c t i v e of t h e program is t o provide a n oppor tuni ty f o r biomedical s c i e n t i s t s (e .g . , b iochemis ts , pharmacologis ts , p h y s i o l o g i s t s , chemists , e t c . ) t o r e d i r e c t t h e i r e f f o r t s t o t h i s f i e l d . Although some p a s t exper ience i n environmental r e s e a r c h w i l l n o t d i s q u a l i f y a candida te , t h e goa l of t h e program i s t o provide a mechanism by which toxicology r e s e a r c h exper ience can b e gained by s c i e n t i s t s n o t now working i n t h e f i e l d t o a l low them t o undertake subsequent research p r o j e c t s which w i l l advance t h e s t a t e of t h e a r t of e v a l u a t i n g t h e human h e a l t h e f f e c t s of environmental a g e n t s . Therefore , t h e program is designed t o enable t h e i n v e s t i g a t o r t o undertake research on environmental problems under t h e guidance of a sponsor who i s e s t a b l i s h e d i n t h e f i e l d of environmental toxicology and a t an i n s t i t u t i o n where t h e environment is conducive t o r a p i d o r i e n t a t i o n of t h e i n v e s t i g a t o r t o t h e s c i e n t i f i c and r e g u l a t o r y f a c e t s of human environmental h e a l t h problems. The award w i l l provide suppor t f o r up t o t h r e e y e a r s and is n o t renewable o r t r a n s f e r a b l e .

The product of t h i s program w i l l be s c i e n t i s t s well-founded i n t h e i r d i s c i p l i n e s wi th knowledge about research techniques and problems i n environmental toxicology. They w i l l b e q u a l i f i e d t o pursue r e s e a r c h o r

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NIH Guide f o r Grants and C o n t r a c t s Vol . 6 , No. 18, September 30, 1977 Page Three

a d m i n i s t r a t i v e careers i n government, i n d u s t r y , o r academia and w i l l be va luab le assets i n t h e Nat ion ' s e f f o r t t o reduce t h e d e l e t e r i o u s h e a l t h e f f e c t s of environmental contaminat ion.

It is a n t i c i p a t e d t h a t t h e AIA-T program w i l l c o n t r i b u t e s i g n i f i c a n t l y t o the NIEHS program goa l of provid ing t o x i c o l o g i s t s t o m e e t t h e expanding need f o r such i n d i v i d u a l s . The program is be ing i n i t i a t e d on a t r i a l b a s i s and w i l l b e s u b j e c t t o p e r i o d i c review. Therefore , t h i s announcement is f o r t h e pe r iod of f i s c a l y e a r 1978 (October 1, 1977 - September 30, 1978) du r ing which approximately 20 awards are planned.

The i n v e s t i g a t o r must:

0 have a Ph.D., M.D., D.V.M., o r e q u i v a l e n t degree and a minimum of 5 yea r s of p o s t d o c t o r a l r e sea rch expe r i ence

0 devote a t least 80 p e r c e n t of t h e proposed t i m e of suppor t t o r e sea rch

0 be a c i t i z e n o r n o n c i t i z e n n a t i o n a l of t h e United States o r i ts posses s ions o r t e r r i t o r i e s , o r have been l awfu l ly admi t ted t o t h e U.S. f o r permanent resi'dence

L

0 provide f o r the'submission of t h r e e let ters of recommendation a t t e s t i n g t o t h e s u i t a b i l i t y of t h e i n v e s t i g a t o r f o r t h e award.

The a p p l i c a n t i n s t i t u t i o n must:

0 show a commitment t o provid ing t h e environment and guidance r e q u i r e d t o f u l f i l l t h e o b j e c t i v e of t h i s award

e provide a sponsor w h o w i l l w o r k c lose ly w i t h 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 p r o j e c t of s i g n i f i c a n c e t o the f i e l d of environmental tox ico logy

0 provide t h e space and f a c i l i t i e s necessary t o pursue t h e p r o j e c t .

The p r o j e c t must be:

0 r e l e v a n t t o environmental h e a l t h s c i e n c e problems and t h e tox ico logy programs of t h e NIEHS

0 a d i s c r e t e , wel l -designed r e sea rch o r p i l o t s t u d y , designed f o r complet ion w i t h i n t h e proposed pe r iod of s u p p o r t , which answers a s p e c i f i c s c i e n t i f i c ques t ion . The s tudy should no t-be o r appear t o be a supplement t o a. p r o j e c t suppor ted by o t h e r funds

0 a c c e p t a b l e i n accordance wi th e s t a b l i s h e d N I H c r i te r ia f o r s c i e n t i f i c m e r i t .

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Support Provided by the Grant The Academic I n v e s t i g a t o r Award i n Toxicology (AIA-T) w i l l provide suppor t f o r a per iod o f up t o t h r e e yea r s i n an amount not t o exceed $90,000 d i r e c t c o s t s . Sa l a ry and f r i n g e b e n e f i t s f o r the i n v e s t i g a t o r may be reques ted t o the 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 p r o j e c t . Sa l a ry and f r i n g e b e n e f i t s must a l s o conform t o t h e e s t a b l i s h e d and c o n s i s t e n t l y a p p l i e d s a l a r y and wage po l i cy of t he g ran tee i n s t i t u t i o n . However, i n no event w i l l t h e s a l a r y suppor t of t he awards exceed $25,000 p e r yea r from t h i s g r a n t . The g ran tee i n s t i t u ­t i o n may add t o t h e s a l a r y o f t h e i n v e s t i g a t o r c o n s i s t e n t w i th t h e i n s t i t u t i o n ' s s a l a r y scale, bu t no supplementat ion may be provided from Federa l funds unless e x p l i c i t l y au tho r i zed by t h e program from which such funds are t o be der ived . I n no case may o t h e r N I H funds be used as a means of a d d i t i o n a l s a l a r y suppor t . Funds not t o exceed $5,000 annual ly may be reques' ted f o r s u p p l i e s , equipment, t r a v e l , and o t h e r a p p r o p r i a t e c o s t s which are necessary

tc

f o r t he p u r s u i t o f t h e i n v e s t i g a t o r ' s program.

Receipt Date o f Application:

Receipt Date Council Review

November 1, 1977* May 1978 February 1, 1978 September 1978 June 1, 1978 February 1979

*This r e c e i p t d a t e w i l l r e t u r n t o r e g u l a r d a t e of

Earliest Award Date

J u l y 1978 November 1978 A p r i l 1979

October 1 i n 1978.

For a p p l i c a t i o n forms and f u r t h e r in format ion , con tac t :

D r . Chr i s topher Schonwalder Program Manager Nat iona l I n s t i t u t e of Environmental Heal th Sc iences P. 0. Box 12233 Research Tr i ang le Park , North Caro l ina 27709

Telephone: (919) 755-4022

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NIH Guide for Grants and Contracts vol. 6, NO. 18, Sep- 30, 1977 Page Fifteen

TO BE USED I N CONJUNCTION WITH THE PHS HIGHLIGHTS FOR N I H GRANTS POLICY STATEMENT (DHEW Publ. No. (OS) GRANTEES 77-50,000) October 1, 1976 and t h e PHS ADDENDUM, October 1, 1977

The c u r r e n t PHS Grants Po l i cy Statement i s da ted October 1, 1976. Recent ly , PHS publ i shed a five-page Addendum rep resen t ing a d d i t i o n s t o , c o r r e c t i o n s o r c l a r i f i c a t i o n s o f , o r d e l e t i o n s from t h a t P o l i c y S ta t e ­ ment. The Addendum is e f f e c t i v e f o r budget pe r iods beginning on o r a f t e r October 1, 1977.

The l i s t i n g below r e p r e s e n t s an a t tempt by N I H t o h i g h l i g h t t hose s e c t i o n s of t h e PHS Grants Po l i cy Statement and t h e Addendum which w e b e l i e v e deserves p a r t i c u l a r a t t e n t i o n by bo th N I H and g r a n t e e i n s t i t u t i o n s t a f f s i n regard t o t h e i r s p e c i f i c a p p l i c a b i l i t y t o NIH-supported g ran t programs. Also inc luded are a number of long-standing p o l i c i e s o r procedures appl ic ­ a b l e t o N I H g r a n t e e s which do no t appear i n e i t h e r t h e Po l i cy Statement o r t h e Addendum.

Grants from t h e N I H are t o b e adminis te red i n f u l l compliance wi th t h e p o l i c i e s publ i shed by t h e PHS except where d e v i a t i o n s o r modi f ica t ions have been approved by t h e PHS on behal f of N I H . Such approved v a r i a t i o n s and any a d d i t i o n a l N I H implementing i n s t r u c t i o n s w i l l be publ i shed r o u t i n e l y i n t h e N I H Guide f o r Grants and Con t rac t s f o r d h t r i b u t i o n t o a l l g ran tee -o r g a n i z a t i o n s and thus w i l l become a p p l i c a b l e t o N I H g r a n t s .

A p p l i c a b i l i t y

The p o l i c i e s i n t h e October 1, 1976, P o l i c y Statement should be app l i ed t o a l l g r a n t s having budget pe r iods beginning on o r a f t e r October 1, 1976. The ea r l i e r PHS Grants Po l i cy Statement , da t ed J u l y 1, 1974, cont inues t o be a p p l i c a b l e t o g r a n t budget pe r iods which began prior t o October 1, 1976, o r f o r a c t i o n s (e .g . t h e purchase of equipment) chat took p l a c e between J u l y 1, 1974 and October 1, 1976.

HIGHLIGHTS

The fo l lowing is in tended t o app ly t o g r a n t s made by N I H ' s awarding Bureaus, I n s t i t u t e s , o r D iv i s ions (BIDS) :

1. General - Where t h e term "PHS" is used i n t:he Po l i cy Statement i n regard t o op t ions , p r i o r approva l s , a u t h o r i z a t i o n s , e t c . , t h i s s h a l l be i n t e r p r e t e d f o r N I H g r a n t s t o mean N I H awarding u n i t s .

2. Page 5 - P r o j e c t Costs - The d e f i n i t i o n o f a l lowab le p r o j e c t c o s t s , which r e f e r s t o s p e c i f i c approval by PHS, i s n o t meant t o res t r ic t t h e u t i l i z a t i o n of t h e e x i s t i n g I n s t i t u t i o n a l P r i o r Approval

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Page Sixteen

System i f t h e c o s t s t o be incu r red p r i o r t o t h e beginning d a t e o f a non-competing con t inua t ion g ran t are those f o r which i n s t i t u ­t i o n a l p r i o r approval is normally au tho r i zed . (See I t e m S, Preaward Cos ts , below)

3. Page 10 - Adminis t ra t ive Inc reases - For N I H Bran t s on ly , where t h e p r o j e c t i s l o c a t e d i n an o r g a n i z a t i o n a l component t h a t r e c e i v e s an N I H Biomedical Research Support Grant , no supplemental funds w i l l be provided by N I H f o r a d m i n i s t r a t i v e i n c r e a s e s which t ake e f f e c t dur ing a c u r r e n t budget per iod (such as ins t i t u t ion -wide f r i n g e b e n e f i t o r s a l a r y i n c r e a s e s ) . A r eques t f o r funds t o cover such i n c r e a s e s may be included i n t h e nex t a p p l i c a t i o n f o r noncom­p e t i n g con t inua t ion suppor t .

4 . Page 19 - Fr inge B e n e f i t s and Pages 25-26 - Compensation of S tudents -The f i r s t s en tence of t h e second paragraph under Fr inge B e n e f i t s should read as fo l lows:

T u i t i o n o r t u i t i o n remission is a l lowab le as a f r i n g e b e n e f i t i f such a b e n e f i t i s granted i n accordance wi th e s t a b l i s h e d i n s t i t u t i o n a l po l i cy c o n s i s t e n t l y a p p l i e d wi thout regard t o t h e source of funds.

The f i r s t paragraph a t t h e top o f page 26 should read as fo l lows:

Depending on t h e i n s t i t u t i o n ' s p o l i c y , such i n d i v i d u a l s may be fu rn i shed t u i t i o n remiss ion as p a r t o f t h e i r compensation i n l i e u of a l l o r p a r t of t h e i r s a l a r y . Where t u i t i o n remiss ion i s provided f o r s t u d e n t s working on grant-supported p r o j e c t s , i t may be charged as a f r i n g e b e n e f i t provided such a b e n e f i t i s d i s t r i b u t e d t o t h e p r o j e c t s i n accordance wi th Sec t ion J.39.b o f Appendix D o f 45 CFR P a r t 7 4 .

5 . Pages 21-22 - Preaward Costs - I n o r d e r t o c l a r i f y t h e d i s t i n c t i o n between levels of p r i o r approval r equ i r ed for "preaward cos ts" :

a. For preaward c o s t s from new o r competing ex tens ion (renewal) g r a n t s (Types 1 and 2 ) , any preaward o b l i g a t i o n r e q u i r e s w r i t t e n p r i o r approval from the N I H awarding u n i t o f f i c i a l who has been formally de l ega ted t h e a u t h o r i t y t o o b l i g a t e g ran t awards f o r t h e Bureau, I n s t i t u t e o r Div is ion .

b. For preaward c o s t s from noncompeting con t inua t ion g r a n t s (Type 5 ) , any i t e m of c o s t which normally r e q u i r e s p r i o r approval must have the approval of e i t h e r t h e g r a n t e e i n s t i ­t u t i o n o f f i c i a l ( s ) o r t he BID awarding u n i t s t a f f , whichever has been r o u t i n e l y de lega ted t o have t h a t p a r t i c u l a r p r i o r approval a u t h o r i t y .

6

4

NIH Guide for Grants and Contracts Vol . 6 , No. 18, Septmber 30, 1977 Page Seventeen

6. Pages 22-23 - Recruitment and Reloca t ion C O G - The use o f g ran t funds f o r recru i tment o r r e l o c a t i o n c o s t s no longe r s ta tes t h a t t h e i n d i v i d u a l must be r e c r u i t e d f o r " fu l l - t ime employment on a grant-supported p ro jec t . " However, t h e p ropor t ion of t h e r e loca ­t i o n c o s t s chargeable t o a p r o j e c t may no t exceed t h e p ropor t ion o f t i m e o r e f f o r t which t h e i n d i v i d u a l w i l l devote t o t h a t p r o j e c t .

7. Page 25 - Sa la ry from Mul t ip l e Grants - This s e c t i o n should read: "When an employee is working on two o r more grant-supported p r o j e c t s , h i s f h e r s a l a r y w i l l be p r o r a t e d t o each p r o j e c t based on t h e t i m e o r e f f o r t devoted t o each p r o j e c t . However, t'he salaries need n o t be p r o r a t e d when PHS h a s agreed i n advance t h a t two o r more g r a n t s con-c u r r e n t l y suppor t one i d e n t i f i e d a c t i v i t y o r program. I n such i n s t a n c e s , salaries may be charged t o any one o f t h e g r a n t s involved."

8. Page 25 - Compensation of S tuden t s - Compensation of i n d i v i d u a l s . who are s t u d e n t s , f e l lows , o r t r a i n e e s from a r e sea rch g r a n t can be only f o r a c t u a l work o r s e r v i c e s rendered t o t h e p r o j e c t and then only when a l l o f a series of s p e c i f i e d cond i t ions exist ( s e e page 25) .

9 . Page 26 - Col lege Work-Study Program - PHS ]pr ior approval i s no t r equ i r ed i n o rde r f o r PHS g r a n t funds t o be used i n con junc t ion w i t h t h i s O f f i c e of Educat ion program. Therefore , t h a t p a r t o f t h e f i r s t s en tence r ead ing " ... provided t h a t PHS approval h a s been received" should b e d e l e t e d .

10. Page 26 - Subgrant ing - Any p r o v i s i o n of funds t o a t h i r d p a r t y t o c a r r y o u t t h e purposes f o r which an award is made r e q u i r e s t h e p r i o r approval of t h e N I H awarding u n i t . (See NIIS Guidel ines f o r Es t ab l i sh ­ing and Opera t ing Consortium Grants . ) This does n o t apply t o the procurement t r a n s a c t i o n s f o r materials and gene ra l suppor t s e r v i c e s mentioned on page 17 .

11. Page 28 - Trave l - The l a s t paragraph of t h i s s e c t i o n should be modi­f i e d as fol lows:

I n a l l c a s e s , t r a v e l c o s t s are l i m i t e d t o t h e e x t e n t provided by formal i n s t i t u t i o n a l t r a v e l p o l i c y except t h a t i n t h e case o f a i r t ravel , less than f i r s t - c l a s s travel must b e used when a v a i l a b l e . Regard less of i n s t i t u t i o n a l t r a v e l p o l i c y , g r a n t e e i n s t i t u t i o n s must comply wi th t h e requirement o f HEW t r a v e l r e g u l a t i o n s t h a t U.S. f l a g a i r carriers be used by domest:ic g r a n t e e s t o t h e max­imum e x t e n t p o s s i b l e when commercial a i r t r a n s p o r t a t i o n is t h e method of t r a v e l between t h e United S t a t e s and a f o r e i g n count ry

Page Eigh teen

12.

1 3 .

14 .

15.

16.

o r between fo re ign c o u n t r i e s . This requirement s h a l l no t be inf luenced by f a c t o r s of c o s t , convenience, o r pe r sona l t r a v e l p re fe rence . I f t h e g ran tee i n s t i t u t i o n has no formal t r a v e l p o l i c y , HEW t r a v e l r e g u l a t i o n s , i nc lud ing maximum p e r diem and s u b s i s t e n c e rates a p p l i c a b l e t o t ravel t o cer ta in l o c a t i o n s w i t h i n t h e coterminous United S t a t e s and t o Alaska, H a w a i i , and t h e U . S . t e r r i t o - r i e s , s h a l l be used i n de te rmining t h e amount f o r t r a v e l chargeable t o g ran t funds.

Page 29 - I n d i r e c t Cos ts - For t r a i n i n g g r a n t s from NIH, t h e t o t a l a l lowable d i r e c t c o s t s on which up t o 8% overhead may be claimed does not i nc lude a l t e r a t i o n s and r enova t ions , t u i t i o n , o r p a t i e n t c a r e c o s t s .

Page 38 - Terminat ion f o r Cause - The a u t h o r i t y t o t e rmina te N I H g r a n t s f o r cause i s reserved only t o t h e D i r e c t o r , N I H .

Page 39 - Change of Grantee I n s t i t u t i o n - A t t h e N I H , i n s t i t u t i o n a l n a t i o n a l r e sea rch s e r v i c e awards ( t r a i n i n g g r a n t s ) may not be moved from one i n s t i t u t i o n t o ano the r when t h e program d i r e c t o r changes i n s t i t u t i o n s . Phys ica l r e l o c a t i o n of g r a n t s , o t h e r than r e sea rch p r o j e c t g r a n t s (e.g. c e n t e r s , r e sources , e t c . ) w i l l be approved by t h e N I H awarding u n i t on ly under excep t iona l c i rcumstances and re-q u i r e concurrence by t h e O f f i c e o f t h e D i r e c t o r , N I H .

.I Page 42 - Reports of Expendi tures - Revised r e p o r t s o f expendi tures w i t h a d d i t i o n a l claims by t h e g r a n t e e w i l l no t be accepted i f they are rece ived more than one y e a r a f t e r t h e due d a t e (15 months fo l lowing t h e end of t h e budget p e r i o d ) . I f excess ive claims are d e t e c t e d on a p rev ious ly submi t ted r e p o r t of expend i tu re s , a r e v i s i o n must be submi t ted no matter how long t h e l a p s e of t i m e .

Page 45 - C i v i l Rights - An HEW r e g u l a t i o n implementing t h e r equ i r e ­ments of Sec t ion 504 of t h e R e h a b i l i t a t i o n A c t of 1973 has been publ i shed a t 45 CFR 84. This r e g u l a t i o n r e q u i r e s an assurance t h a t HEW-funded ac t iv i t i e s and programs w i l l b e a v a i l a b l e and a c c e s s i b l e t o handicapped persons and t h a t t h e r e w i l l be no d i s c r i m i n a t i o n i n employment based on an i n d i v i d u a l ' s handicap.

A l l PHS g r a n t e e s , whether o r no t t h e i r grant-supported a c t i v i t i e s are governed by t h e requirements of T i t l e I X of t h e Education Amend­ments of 1972 o r Sec t ions 779A o r 885 of t h e Pub l i c Heal th S e r v i c e A c t , as amended, regard ing nondiscr imina t ion on t h e b a s i s of sex, are encouraged t o adopt p r a c t i c e s which w i l l r e s u l t i n s e x f a i rnes s . Sex f a i r n e s s would inc lude , b u t need no t be l i m i t e d t o , t h e use

N M Guide for Grants and Contracts Vol. 6, No. 18, September 30, 1977 Page N i n e t e e n

of language which r e p r e s e n t s both genders , avoidance of s t e r e o t y p i n g on t h e b a s i s of sex, and e q u i t a b l e r e p r e s e n t a t i o n of females i n l e a d e r s h i p and policymaking p o s i t i o n s .

1 7 . Page 5 1 - A t o p i c should be added t o read as fol lows:

Cost T r a n s f e r s

T r a n s f e r of c o s t t o PHS g r a n t s which r e p r e s e n t c le r ica l o r book-keeping e r r o r s must b e made promptly a f t e r t h e e r r o r is discovered. The t r a n s f e r must b e supported by documentation which c o n t a i n s a f u l l explana t ion of how t h e e r r o r occur red and a c e r t i f i c a t i o n of t h e c o r r e c t n e s s of t h e new charge.

When c l o s e l y r e l a t e d work is supported by more than one funding source , a c o s t t r a n s f e r from t h e o r i g i n a l l y charged funding s o u r c e t o a PHS g r a n t may b e made provided a l l of t h e fo l lowing condi­t i o n s are m e t :

1. The c o s t i s a proper and a l lowable charge t o t h e g r a n t . 2. The t r a n s f e r is suppor ted by documentation c o n t a i n i n g f u l l

explana t ion and j u s t i f i c a t i o n f o r t h e t r a n s f e r and a cer t i ­f i c a t i o n o f t h e p r o p r i e t y of t h e t r a n s f e r .

3 . The t r a n s f e r i s reviewed and approved by a r e s p o n s i b l e i n s t i -U' t u t i o n a l o f f i c i a l .

4 . The t r a n s f e r is o r d i n a r i l y made w i t h i n 120 days of t h e o r i g i n a l charge.

18. Pages 60-61 - Motion P i c t u r e s and T e l e v i s i o n Programs -N I H awarding u n i t p r i o r approval i s r e q u i r e d f o r any product ion of motion p i c t u r e f i l m s , video t a p e , and l i v e t e l e v i s i o n programs f o r any audience, r e s t r i c t e d o r g e n e r a l p u b l i c .

19. Page 6 3 - P a t e n t s and Invent ions - P o l i c y - The s t a t e m e n t t h a t r e c i p i e n t s of f e l l o w s h i p s , t r a i n e e s h i p s , o r s c h o l a r s h i p s are exempt from HEW'S i n v e n t i o n r e p o r t i n g requirements should b e expanded t o i n d i c a t e t h a t t r a i n i n g g r a n t s are e q u a l l y exempt from t h e s e requi re ­ments. This would mean t h a t a n i n v e n t i o n made i n t h e course of o r under a PHS grant-supported t r a i n i n g pro jec t . , whether r e s u l t i n g from t h e work of a t r a i n e e o r an employee, need n o t b e r e p o r t e d t o t h e A s s i s t a n t S e c r e t a r y f o r Heal th and is n o t s u b j e c t t o d i s p o s i t i o n of p a t e n t r i g h t s pursuant t o 45 CFR P a r t s 6 and 8.

20. Page 6 4 - Supplementary P a t e n t Agreements - The second paragraph of t h i s s ec t ion should read as fo l lows:

I

The g r a n t e e shal l i n s e r t a c l a u s e i n any c o n t r a c t o r agreement under t h e g r a n t t h a t i s en te red i n t o f o r t h e conduct of expe r i ­mental , developmental , o r r e sea rch work making t h i s p o l i c y (Pages 63-64 of t h e P o l i c y Statement) a p p l i c a b l e t o each co­o p e r a t i n g i n s t i t u t i o n and i t s employees. This requirement is n o t a p p l i c a b l e t o c o n t r a c t s under g r a n t s f o r materials and g e n e r a l suppor t s e r v i c e s . Agreements s h a l l a l s o be ob ta ined by t h e g r a n t e e t o govern d i s p o s i t i o n of r i g h t s t o inven t ions r e s u l t i n g from s c r e e n i n g of compounds syn thes i zed under t h e g r a n t .

21. Page 66 - P r i o r Approval A u t h o r i t i e s - Items 2 and 3 on page 66 are a p p l i c a b l e t o 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 , r e sea rch i n s t i t u t e s , and r e s e a r c h foundat ions . P r i o r approval is requ i r ed f o r : Cumulative expend i tu re s f o r equipment (domestic t r a v e l ) i n any budget pe r iod t h a t w i l l cause t h e amount awarded i n t h e approved budget f o r equip­ment ( t r a v e l ) t o be exceeded & $1,000 ($500) o r 25% of t h e budgeted amount, whichever is g r e a t e r . (For p r i o r approval a u t h o r i t y of pre; award c o s t s , see number 4 , page 2 , of t h i s addenda.)

Examples :

a. I f no th ing w a s budgeted f o r equipment o r t r a v e l , then up t o $1,000 o r $500 r e s p e c t i v e l y may be expended b e f o r e i n s t i t u t i o n a l p r i o r approval is r e q u i r e d .

b. I f $800 w a s budgeted f o r equipment, $1,800 may be expended b e f o r e p r i o r approval is requ i r ed . (The $1,000 add-on is g r e a t e r than 25% of $800.)

c. I f $4,800 w a s budgeted f o r equipment, $6,000 may be expended b e f o r e p r i o r approval is requ i r ed . (The $1,200 add-on is 25% of $4,800 and is g r e a t e r t han $1,000. )

I n a d d i t i o n t o t h e requi rements concerning cumulat ive expend i tu re s , i n a l l cases t h e r e is an o v e r r i d i n g requirement t h a t p r i o r approval must be ob ta ined f o r t h e a c q u i s i t i o n o f 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 an a c q u i s i t i o n c o s t of $1,000 o r more. This p r i o r approval must be ob ta ined through t h e l o c a l I n s t i t u t i o n a l P r i o r Approval System u n l e s s s p e c i f i c a l l y approved as p a r t of t h e N I H award. PHS Grants Admin i s t r a t ion Manual C i r c u l a r PHS: 1-510, 77.1, now sets an upper l i m i t beyond which p r i o r approval must be ob ta ined from t h e awarding u n i t . The new requirement states t h a t awarding u n i t w r i t t e n approval must b e ob ta ined i f t h e charge t o t h e approved g r a n t budget w i l l exceed $25,000 or 10%of t h e t o t a l d i r e c t c o s t f o r t h e budget pe r iod , whichever is g r e a t e r .

22. Page 68 - Prope r ty Management - The long s t a n d i n g p o l i c i e s below con t inue t o remain i n e f f e c t :

N M Guide for Grants and Contracts Vol. 6 , No. 18, Sep- 30, 1977 Page nhlenty4he

a. Federa l Surp lus P rope r ty - which is equipment and materials no longe r r equ i r ed by t h e Fede ra l Government as determined by t h e General Se rv ices Adminis t ra t ion , may b e acqui red w i t h PHS g r a n t funds and is a v a i l a b l e through S t a t e Agencies f o r Su rp lus P rope r ty .

b. Federa l Excess P rope r ty - which is equipment and materials wi th a u s e f u l l i f e bu t no longer r e q u i r e d by t h e ho ld ing Fede ra l agency is n o t a v a i l a b l e f o r use o r purchase by g r a n t e e i n s t i ­t u t i o n s .

23. Page 69 - Equipment f o r Foreign Grantees - I t i s no longe r r equ i r ed t h a t s i n g l e items of equipment c o s t i n g $2,000 o r more n e c e s s a r i l y b e of United S t a t e s manufacture, no r be given p r i o r approval by t h e N I H awarding u n i t .

24. Page 70 - Right t o Trans fe r T i t l e t o Equipment - The NIH's r i g h t t o r e q u i r e t h e g r a n t e e to t r a n s f e r tic= t o nonexpendable pe r sona l p rope r ty (equipment) is e x p l i c i t l y s t a t e d on page 70. The p o l i c y is a p p l i c a b l e t o equipment purchased i n whole o r i n p a r t from g r a n t funds , under t h e c o n d i t i o n s s p e c i f i e d i n 1 through 5.

25. Page 7 1 - Accoun tab i l i t y Requirements -

a. For n o n p r o f i t i n s t i t u t i o n s of h i g h e r educa t ion and n o n p r o f i t o r g a n i z a t i o n s whose primary purpose is t:he conduct of s c i e n t i f i c r e s e a r c h hnly :

(1) For nonexpendable pe r sona l p rope r ty (equipment) purchased from resea rch g r a n t s , P.L. 85-934 exempts t h e g r a n t e e from f u r t h e r o b l i g a t i o n t o t h e Government, except t h a t PHS has the r i g h t t o t r a n s f e r t i t l e as provided on page 70 of t h e P o l i c y Statement.

(2) For real p rope r ty o r equipment purchased from o t h e r t ypes o f g r a n t s (e.g. t r a i n i n g g r a n t s ) , and f o r expendable pe r sona l p rope r ty ( s u p p l i e s ) , t h e g r a n t e e is s u b j e c t t o t h e a c c o u n t a b i l i t y requi rements on pages 71-73.

b. For types of i n s t i t u t i o n s o t h e r t han those i n "a." above, and f o r purchases from a l l t ypes of g r a n t s :

For a l l p rope r ty ( r e a l , equipment, s u p p l i e s ) , t h e g r a n t e e is s u b j e c t t o t h e a c c o u n t a b i l i t y requirements on pages 71-73.

Page 7Xenty-M

26. Pages 80-81 - St ipends and Allowances - The heading under i t e m 1.a., S t ipend l e v e l s - P o s t d o c t o r a l , should read "Years of Relevant Experience a t T i m e of I n i t i a l Award." For t r a i n e e s , t h i s r e f e r s t o t h e d a t e on which t h e i n d i v i d u a l t r a i n e e begins h i s / h e r t r a i n i n g , and does not r e f e r t o t h e budget per iod beginning d a t e f o r t h e t r a i n i n g g r a n t . For f e l l o w s , t h i s r e f e r s t o t h e d a t e of t h e award made t o t h e i n d i v i d u a l f e l l o w and n o t t o t h e a c t i v a t i o n d a t e of t h e , fe l lowship .

NOTE: N o N I H , ADAMHA, o r D i v i s i o n of Nursing g r a n t funds may be used f o r s t i p e n d supplementat ion.

Under i t e m 3 . , Fellowship I n s t i t u t i o n a l Allowances, t h e f i r s t state­ment should read ".. .non-Federal g r a n t e e i n s t i t u t i o n s may r e q u e s t an allowance of up t o $3,000," t h e second s ta tement should read "Federal i n s t i t u t i o n s may r e q u e s t an allowance of up t o $1,000."

The explana t ion of the PHS p o l i c y on supplementat ion of s t i p e n d s appearing a t t h e bottom of page 80 and cont inuing on page 8 1 p e r t a i n s t o both p r e d o c t o r a l and p o s t d o c t o r a l s t i p e n d s .