i i * ""I @ l@l 1 "I"11141' 1 a "1"! UNITED STATES GOVERNMENT DEPARTMENT OF HEALTH, EDUCATION, AND WELFARE PUBLIC HEALTH SERVICE Health Services and Mental Health Administration ,,.Lemorandum 4ro See Below DATE: August 13@ 1968 FROM Director) Division of Grants and Contracts SUBJECT: HSMHA "Grants Memorandum" Series Attached are the first copies of a Grants Memorandum series,which will be issued by the Division of Grants and Contracts to staff within the HSMHA concerned with extramural programs, Please see that the copies sent with this memorandum are distributed within your organization to those who need them. In order that we might establish an appropriate mailing key for distributing these memoranda in the future) please let us have the titles and addresses for those positions which should be in- cluded in such a key. Your list should be submitted as soon as possible to Mr. Clarence A. Lowe, Special Assistant for Policy and-Procedures, DGC, Room AW@ Bldg. U) Telephone: Extra copies of these documents Are available from Mr. Lowe's office. Paul E. Fox Attachments Addressees: Mr. Gardell, OCHP Dr. Schwartz, NCHSRD Mr. Lewis@ DRMP Mr. Bechtel, DHNF Mr. Spain, NIMH Dr. Willis, NCDC is STE TION PROGRAM Am HEALTH SERVICES AND MENTAL HEALTH ADMINI T EXTRAMURAL PROGRAMS Grants Memorandum Number 68-1 SUBJECT: HSMHA Grants Policy Communications System The Division of Grants and Contracts will use a "Grants Memorandum" series to notify Grants Management Staff throughout HSMHA of new policy decisions and changes in policy affecting the management of extramural programs. These will be numbered to identify the calendar year in which issued, as well as carrying a number for eac issuance which will continue consecutively from one, regardless of calendar year. A two-color scheme will be used: green to signi a policy document; salmon to signify an information document. Attached is a memorandum from the Assistant Secretary for Health and Scientific Affairs to recipients of PHS grant and award support concerning the issuance.of policy statements governing extramural programs by each of the three administrations: the Health Services and Mental Health Administration, the Consumer Protection and Environmental Health Service; and the National Institutes of Health. Director, Division of Grants and Contracts Date: August 13, 1968 Attachment APPROVED: Associafi Administrator,, NSMA UNITED STATES GOVERNMENT DEPARTMENT OF HEALTH, EDUCATION, AND WELFARE OFFICE OF THE SECRETARY Memorandum TO Recipients of PHS Grant and Award Support DATE: July 30, 1968 Philip R FROM Assistan A& He nt4ientific Affairs SUBJECT Public Health Service Policy Governing Extramural Programs Three separate administrations now administer the extramural progr s formerly administered by the several bureaus of the Public Health Service. These three administrations are the National Institutes of Health, which now includes the Bureau of Health Manpower and the National Library of Medicine; the Health Services and Mental Health Administration; and the Consumer Protection and Environmental Health Service. While each of these administrations will issue'policy and procedure to govern its extramural programs, continuous effort will be exerted by the Department of Health, Education, and Welfare to insure the maximum uniformity practicable. Until such time as the separate policy statements are issued., policy currently identified as Public Health Service policy will continue to govern the various grant and award programs of the three administrations. INATE WASTE COST REDUCTION PROGRAM L HEALTH SERVICES AND MENTAL HEALTH ADNINISTRATION EXTRAKJRAL PROGRAMS Grants Vemorandum Number 6&2 SUBJECT: Institutional Cost Sharing Agreements APPLICABILITY: Public Health Service Research Grants (See PPO #135 policy - and attached up-to-date list of applicable grants requiring cost sharing) Attached is a cumulative list of all grantee institutions that have institutional cost sharing agreements., as of the date of this Grants Mmorandum. New agreements and any changes pertaining to institutional cost sharing will continue to be provided on the NOTICE form issued by the Division of Grants and Contracts., Office of the Administrator,, JJealth Services and Mental. Health Administration. Additional information regarding cost sharing may be obtained by calling the Division of Grants and Contracts, Code 179., Extension 6241. SUPERSEDES: PPO Information Report #4, Revised March 5. 1968. Director, Division of Grants and Contracts Date: September 3, 1968 Attachments September 3, 1968 COST SHARING IN RESEARCH GRANTS (See PPO #135 - POLICY) APPLICABILITY: PHS Research Project Grants (identified by program codes as follows with the exception of foreign grants, grants to Federal institutions, grants to individuals, and conference grants): R 01 Projects - exclusive of conference and publication grants R 02 Nursing R 03 Small Grants R 07 ICMRT R 10 Chemotherapy & Psychopharmacology R 12 Mental Health Special Grants R 18 Hospital and,Medical Facilities Research Grants (exclusive of Experimental Construction) R 20 Hospital Improvement R 21 Community Health Exploratory Grants P 01 Research Program Projects 10 Environmental Health Centers for Research p and Training P 13 Dental Research Institute Program September.3. 1968 EMENTS INSTITUTIONAL COST SHARING AGRE LIST #6 Effective Date of State Institution Agreement Alabama Alabama, University of 3/l/66 (includes Medical College of Alabama, School of Dentistry, Graduate School, School of Nursing, School of Health Ser- vices Administration, College of General Studies, and Univer- sity Hospitals and Clinics) Birmingham, Alabama Auburn University 1/19/67 Reduce indi- Auburn Alabama rect cost by 5% of the total of direct and indirect costs Alaska Alaska, University of 3/l/66 College, Alaska Arizona Arizona State University 3/l/66 Tempe, Arizona 7/l/68 Revised Arkansas Arkansas, University of 3/i/66 Medical Center Little Rock, Arkansas California Alameda County Medical Institutions 3/l/66 (Institute of Metabolic Research - only) Oakland, California Attending Staff Association 3/l/66 (includes'Harbbr General Hospital) Torrance, California Attending Staff Association 3/l/66 of the Los Angeles County Hospital Los Angeles, California 2 Institutional Cost Sharing Agreements Effective Date of State Institution Agreement California Attending Staff Association 3/l/66 (cont.) Rancho Los Amigos Hospital Downey, California Cedars-Sinai Medical Center 1/11/67 Los Angeles, California Childrens Hospital of 3/l/66 Los Angeles Los Angeles, California Clinical Pharmacology 3/l/66 Research Institute Berkeley, California State of California 3/l/66 Department of Public Health Berkeley, California The Galton Institute 3/l/66 Los Angeles, California The Institute of Medical 3/l/66 Sciences Pacific Medical Center San Francisco, California Institute for Medical Research 3/l/66 of Santa Clara County San Jose, California Institute for the Study of .3/l/66 Crime and Delinquency Sacramento, California Kaiser Foundation 3/l/66 Research Institute Oakland, California Loma Linda University 3/l/66 Loma Linda, California 3 Effectiv6 Instituiion'al'dost Sharing Agreements Date of ment Inst State itution 3/l/66 California@ 'Long Beach California State College Foundation Long Beach, California Mental Research Institute 12/j/66 Reduce Palo Alto, California indirect cost rate by 5 percentage points 3/l/66 Mount Zion Hospital and Medical Center San Francisco, California 3/l/66 Pasadena Foundation for Medical Research Pasadena, California The Salk Institute for 3/i/66 Biological Studies San Diego, California San Diego State College 3/i/66 (includes San Diego State College Foundation) San Diego, California .Stanford Research Institute 3/l/66 Menlo Park, California University of the Pacific 3/l/66 Stockton, California University of California 5/i/68 (applies @l to individual grants for research to be conducted at the National Center for Primate Biology) Davis, California Colorado American Medical Center at 3/l/66 Denver Spivak, Colorado 4 Institutional Cost Sharing Agreements Effective Date of State Institution Agreement Colorado Colorado State University 3/l/66 (cont.) Fort Collins, Colorado Colorado, University of 7/l/68 Medical Center (only) Denver, Colorado National Jewish Hospital 3/l/66 at Denver Denver, Colorado Connecticut Connecticut, University of 3/l/66 Storrs, Connecticut Yale University (all units) 7/l/66 New Haven, Connecticut Aft District of American Speech and Hearing 3/l/66 Columbia Association Washington, D.C. The Catholic University of 3/l/66 America Washington, D.C. Georgetown University 7/l/67 Washington, D.C. The George Washington 3/l/66 University Washington, D.C. Howard University 3/l/66 Washington, D.C. Research Foundation 3/l/66 Children's Hospital of the District of Columbia Washington, D.C. 5 Effective Institutional Cost Sharing Agreements Date of 'Institution Agreement State Florida Florida State Board 7/i/66 of Health Jacks'dnville, Florida Florida State University 8/l/67 Tallahassee, Florida Florida, University of 3/l/66 Gainesville, Florida Miami, University of 3/l/66 (includes Medical School) Coral Gables, Florida South Florida@ University of 3/l/66 Tampa, Florida Georgia Georgia State Department of 1/10/67 Health (includes Milledgeville State Hospital, Gracewood State School.and Hospital, Georgia Mental Health Institute, Georgia Retardation Center, Georgia Clinic, Chatham Clinic, and Southwestern State Hospital) Atlanta, Georgia Medical College of Georgia 3/l/66 Augusta, Georgia Hawaii Hawaii, University of 12/l/67 Honolulu, Hawaii Illinois Evanston Hospital 7/i/67 Evanston, Illinois Kankakee State Hospital 2/l/67 Kankakee, Illinois Michael Reese Hospital 3/l/66 and Medical Center Chicago, Illinois 6 Institutional Cost Sharing Agreements Effective Date of State Institution Agreement Illinois Northwestern University 3/l/66 (cont.) Evanston, Illinois Presbyterian St. Luke's Hospital 3/l/66 Chicago, Illinois Indiana Indiana University Foundation 3/l/66 Bloomington, Indiana Purdue University and Purdue 3/l/66 Research Foundation Lafayette, Indiana Notre Dame, University of 3/l/66 Notre Dame, Indiana Kansas Kansas, University of (excludes the University I/l/67 of Kansas Medical Center) Lawrence, Kansas University of Kansas Medical Center 3/l/66 Kansas City, Kansas Kentuc!a Louisville, University of 3/l/66 Louisville, Kentucky Louisiana Alton Ochsner Medical Foundation 3/l/66 New Orleans, Louisiana Louisiana State University 3/l/66 Medical Center (only) New Orleans, Louisiana Tulane University 3/l/66 School of Medicine (only) New Orleans, Louisiana Maryland American Type Culture Collection 12/12/66 Reduce Rockville, Maryland indirect costs by 5% of total of direct costs The Trustees of Sheppard and 7/l/68 Enoch Pratt Hospital Towson, Maryland 7 Institutional Cost Sharing Agreements Effective Date of State Institution Agreement .@Baltimore City Hospitals Maryland 7/l/66 - Retroactive (cont.) Baltimore, Maryland to 7/l/66 for new and renewal grants only Friends of Psychiatric 3/l/66 - 90% of Research, Inc. actual indirect costs Baltimore, Maryland or 20% of direct costs, whichever is lesser Institute for Behavioral 3/l/66 Research, Inc. Silver Spring, Maryland Johns Hopkins@University 3/l/66 School of Hygiene and Public Health Baltimore, Maryland Johns Hopkins University 3/l/66 School of Medicine Baltimore, Maryland National Biomedical 3/l/66 Research Foundation Silver Spring, Maryland Massachusetts Age Center of New England, Inc. 4/l/66 Boston, Massachusetts Beth Israel Hospital 3/l/66 Boston, Massachusetts Bio-Research Institute, Inc. 3/l/66 Cambridge, Massachusetts The Blood Grouping Laboratory 12/l/66 Boston, Massachusetts Blood Research Institute, Inc. 8/l/66 (formerly-Protein Foundation) Boston, Massachusetts 8 Institutional Cost Sharing Agreements Effective Date of State @Institution Agreement Massachusetts Boston College 2/20/67 (cont.) Chestnut Hill, Massachusetts Boston Hospital for Women 3/l/66 Lying-In Division Boston, Massachusetts Boston University 7/l/66 Boston, Massachusetts Brandeis University 3/l/66 Waltham, Massachusetts Children's Cancer Research 3/l/66 Foundation, Inc. Boston, Massachusetts Children's Hospital Medical 3/l/66 Center Boston, Massachusetts ol@ll Clark University 3/l/66 - Reduce Worcester, Massachusetts indirect cost rate by 6 percentage points for on campus research grants -- reduce indi- rect cost rate by 11.6 percentage points for off campus research grants Diabetes Foundation, Inc. 3/l/66 Boston, Massachusetts 10/l/67 Revised Forsyth Dental Center 3/l/66 Boston, Massachusetts Harvard University 3/l/66 (includes only Harvard Medical School, Harvard School of Public Health and Harvard School of Dental Medicine) Cambridge, Massachusetts 9 F,ffeetive Date Of st 7/i./66 ate -putriain C:kson ialues is is Center husetts Children ston, lussac -(C,Ont -&oyburY iBO 3/j/66 Eye and Ear 4assac-liusetts Irlf irmary Bostork3i lwsachusetts al 3/i./66 ,,,husetts General IIOSP'T 14as 14,,Sachusetts -Bosto,nt 3/67 In,@setts Iealth -Institut lwsa@ e, pesear- Massachusetts /66 Bostorki titute of 3/1 'Ins ,,,Sac,husetts Teciinology -,husetts d?,e i yAssa -1/66 ratabr i riiversity Of 3/ Massachusetts 9 lj setts t, Ussachu 3/'I/66 @er 14cLean liosp 4-tal Belmolit, 4assachusetts 7/i./66 ital The 14emorial liosp tts sachus' cester, 14as- -wor 3/i./66 E,,Iarld 14edi-cal Center liev als 110spit Boston, Massachusetts 7/,I/67 jaiversitY ortheastern Massachusetts Boston, 3/i./66 Rospital Bent Brigham Peter Massachusetts I/i/68 Boston , titute oi Pathology 14allOry -ins tjon Founda Massachusetts Bostoni 10 Institutional Cost Sharing Agreements Effective Date of State Institution Agreement Massachusetts Red Acre Farm, Inc. 3/i/66 (cont.) Stow, Massachusetts Retina Foundation 3/l/66 Institute of Biological & Medical Sciences Boston, Massachusetts Robert B. Brigham Hospital 3/l/66 Boston, Massachusetts St. Margaret's Hospital 3/l/66 Boston, Massachusetts Springfield College 12/12/66 Springfield, Massachusetts Woods Hole Oceanographic 10/i/67 Institution Woods Hole, Massachusetts The Worcester Foundation 3/l/66 - Reduce indi- Shrewsbury, Massachusetts rect costs by 4.5% of direct & indirect costs Michigan Detroit, University of 3/l/66 Detroit, Massachusetts 7/l/68 Revised Henry Ford Hospital 3/l/66 Detroit, Michigan Lafayette Clinic 3/i/66 Detroit, Michigan Michigan, State of 3/l/66 Reduction of Department of Public Health indirect cost rates Lansing, Michigan by 7 percentage points Michigan, University of 7/l/67 (all parts of University) Ann Arbor, Michigan Effective Institutional Cost Sharing Agr6ements Date of State Institution ment Minnesota Mayo Foundation 3/l/66 Rochester, Minnesota Minneapolis Medical Research 3/l/66 Foundation, Inc. Minneapolis, Minnesota Minnesota, University of 3/l/66 (includes all campuses Minneapolis-St. Paul, Duluth, Morris, the Hormel Institute, and all affiliated hospitals) Minneapolis, Minnesota Mount Sinai Hospital 9/l/66 Minneapolis, Minnesota Mississippi Mississippi State University 3/l/66 State College, Mississippi Mississippi, University of 3/l/66 Medical Center Jackson, Mississippi Missouri Cancer Research Center 1/16/67 Columbia, Missouri The Jewish Hospital of 7/l/67 Saint Louis St. Louis, Missouri Saint Louis University 3/l/66 - Reduction St. Louis, Missouri of indirect cost rate by 20% of indirect cost rate 9/l/67 - Revised (Institutional level) Washington University 3/l/66 St. Louis, Missouri 12 Effective Institution.il@'d'o@t Sharing Agreements Date of Agreement State Montana Montana State University 2/16/67 The Endowment and Research Foundation at Montana State University Bozeman, Montana Montana, University of 3/l/66 (includes University of Montana Foundation) Missoula, Montana Nebraska The Creighton University 1/l/68 Omaha, Nebraska Nebraska, University of 1/26/67 (College of Medicine only) Lincoln, Nebraska New Hampshire Dartmouth College 3/l/66 (includes all parts of the University) .. Hanover, New Hampshire 7/l/67 New Jersey Department of Health State of New Jersey Trenton, New Jersey Educational Testing Service 3/l/66 Princeton,,New Jersey Rutgers, The State University 3/l/66 New Brunswick, New Jersey Institute for Medical Research 3/l/66 - Reduce indi- Camden, New Jersey rect costs by 5% of total direct & indirect costs New Mexico Lovelace Foundation for 10/l/67 Medical Education and Research Albuquerque, New Mexico Effect'ive Date of Inst' st Shar Sta,te -institution 1/26/67 - 90% of actual ,4exico, The -university of indirect costs or 20% 0 New dicine costs, which- New 14exico School Of 14e of direct (cont Albuquerque, New 14exico ever is lesser 3/i/66 New Y@rk Adelphi University and, Garden City, Long Isl New York dical college 3/i/66 The Albany 14e of Tjnion University Albany) New York Albert Einstein college 7/i/66 of 14edicine yeshiva University Bronx, New York 12/2/66 Boyce Thompson institute for Plant Research, Inc- Yonkers$ New York Bronx-Lebanon Hospital Center 3/i/66 Bronx, New York 3/i/66 Clarkson College of Technology Potsdam, New York 1/5/67 Cold Spring Harbor Laboratory of Quantitative Biology cold SpriIng Harbor, L.1-t New York in the City 3/i/66 Columbia University es School Of of New York (includ public Health and Administra- tive 14edicine, College of Physicians and Surgeons, and the school of Dental and oral Surgery) New York, New York 14 Institutional-,Cost Sharing Agreements Effective :Date of State Institution Agreement -New York Community Council of Greater 3/l/66 (cont.) New York New York, New York Cornell University Medical 1/l/67 College New York, New York Eastman Dental Center 3/l/66 Rochester, New York Health Research, Inc. 3/l/66 Roswell Park Division Buffalo, New York Hillside'Hospital 7/l/66 Glen Oaks, New York Hospital for Joint Diseases 1/24/67 and Medical Center New York, New York Jewish Chronic Disease Hospital 3/l/66 Brooklyn, New York The Jewish Hospital Medical 7/l/66 - Reduce indi- Center of Brooklyn rect cost rate by 7.5 Brooklyn, New York percentage points Long Island Jewish Hospital 3/l/66 New Hyde Park, New York Maimonides Medical Center 7/l/66 Brooklyn, New York The Mary Imogene Bassett 3/l/66 Hospital Cooperstown, New York Medical Foundation of Buffalo 9/l/67 Buffalo, New York Effective Date of State Institution 3/i/66 New York Medical and Health Research (cont.) Association of New York City, Inc. New York, New York e Hospital and 3/i/66 montefior Medical Center Bronx, New York 3/i/66 The Mount Sinai School of Medicine New York, New York New York university 3/i/66 (includes NyU Medical Center) New York, New York polytechnic Institute of 3/i/66 Brooklyn Brooklyn, New York Queens College of the City 3/i/66 university of New York Flushing, New York 3/i/66 Research for Health in Erie County,'Inc. (includes The Edward J. Meyer Memorial Hospital) Buffalo, New York The-Rockefeller University 3/i/66' New York, New York The Roosevelt Hospital 3/i/66 New York, New York State University of New York 7/i/66 Downstate Medical Center (only) Brooklyn, New York (Includes Bronx, Brooklyn, Manhattan, Queens, Richmond) 16 Institutional Cost Sharing Agreements 'Effective Date of State Institution Agreement New York State University of New York 7/l/67 (cont.) at Stony Brook (only) Stony Brook, New York .,State University of New York 3/l/66 Upstate Medical Center Syracuse, New York (includes Syracuse units only). Syracuse University 3/l/66 Syracuse, New York Teachers College 3/i/66 Columbia University New York, New York Waldemar Medical Research 3/l/66 Foundation, Inc. Woodbury, L.I., New York ol North Carolina Bowman Gray School 3/l/66 of Medicine Wake Forest University Winston-Salem, North Carolina State of North Carolina 3/i/66 Department of Mental Health Raleigh', North Carolina .Duke University 7/l/67 Durham, North Carolina North Carolina State University 3/l/66 At Raleigh Raleigh, North Carolina Research Triangle InstituIte 3/l/67 Research Triangle Park, North Carolina 17 Institutional Cost Sharing Agreements Effective Dat e of State Institution Agreement North Dakota North Dakota, University of 3/l/66 Grand Forks, North Dakota Ohio Battelle Memorial Institute 7/l/67 Columbus Laboratories Columbus, Ohio Case Western Reserve 3/l/66 University Cleveland, Ohio Charles F. Kettering 3/l/66 Research Laboratory Yellow Springs, Ohio Children's Hospital 1/23/67 Reduction of (includes Children's Hospital 10% in the dollar amount Research Foundation) of indirect costs Columbus, Ohio The Children's Hospital 3/l/66 Research Foundation Cincinnati, Ohio Cincinnati, University of 7/l/67 Cincinnati, Ohio Cleveland Clinic Foundation 3/l/66 Cleveland, Ohio Cox Coronary Heart Institute 1/i/67 - Reduction of Kettering, Ohio indirect cost rate by 8.2% Denison University 3/l/66 Granville, Ohio The Fels Research Institute 3/l/66 Yellow Springs, Ohio Miami University 3/l/66 - Reduce indi- Oxford, Ohio rect cost by 5% of the total of direct and indirect costs 18 Ins-titutional'dost Sharing Agreements Effective Date of State institution ement The Ohio State University 3/l/66 Ohio (cont.) (includes Research Foundation) Columbus, Ohio St. Vincent Charity Hospital 3/l/66 - Reduce indi- Cleveland, Ohio rect costs by 5% of total cost of grant University Hospitals of 3/l/66 Cleveland Cleveland, Ohio 3/l/66 Oklahoma Oklahoma Medical Research Foundation Oklahoma City, Oklahoma 1/19/67 Reduce indi- Oklahoma State University rect costs by 10% of Stillwater, Oklahoma salaries and wages or 5% of the total costs, whichever is lesser Oklahoma, University of, 7/i/66 Medical Center Oklahoma City, Oklahoma Oklahoma, University of 3/l/66 Research Institute Norman, Oklahoma Oregon Medical Research Foundation 7/l/67 of Oregon Portland, Oregon Oregon Research Institute 7/i/66 Eugene, Oregon 3/l/66 Oregon State University Corvallis, Oregon Oregon, University of 3/l/66 Eugene, Oregon 19 Institutional Cos Sharing Agreements Effective Date of State Institution Agreement Oregon Oregon, University of 3/l/66 (cont.) Medical School Portland, Oregon 3/l/66 - Reduction of Albert Einstein Medical Center Pennsylvania indirect cost@rate by Philadelphia, Pennsylvania 5 percentage points The Children's Hospital of 7/l/67 Philadelphia Philadelphia, Pennsylvania Children's Hospital of 3/l/66 Pittsburgh ' 7/l/68 Revised Pittsburgh, Pennsylvania Drexel Institute of Technology 7/l/67 Philadelphia, Pennsylvania The Hahnemann Medical College 3/l/66 and Hospital of Philadelphia Philadelphia, Pennsylvania The Institute for Cancer 3/l/66 Research Philadelphia, Pennsylvania Institute for Research 7/i/66 State College, Pennsylvania The Jefferson Medical College 7/l/66 and Medical Center Philadelphia, Pennsylvania Lehigh University 3/l/66 Bethlehem, Pennsylvania Pennsylvania Hospital 3/i/66 - Reduction of Philadelphia, Pennsylvania indirect cost rate by 10 percentage points ell 20 Effective Institutional Cost Sharing Agreements Date of State Institution Agreement Pennsylvania The Pennsylvania State 3/l/66 (cont.) University University Park, Pennsylvania Pennsylvania, University of 3/l/66 Philadelphia, Pennsylvania Philadelphia College of 7/l/67 Pharmacy and Science Philadelphia, Pennsylvania Philadelphia Geriatric Center 1/l/67 (includes Gerontological Research Institute) Philadelphia, Pennsylvania Presbyterian-University of 7/l/66 Pennsylvania Medical Center Philadelphia, Pennsylvania Regional Science Research 7/l/66 Institute Philadelphia, Pennsylvania St. Christopher's Hospital 3/i/66 for Children Philadelphia, Pennsylvania Temple University 3/l/66 Philadelphia, Pennsylvania Wills Eye Hospital 3/i/66 Philadelphia, Pennsylvania The Wistar Institute I/i/68 Philadelphia, Pennsylvania Woman's Medical College of 3/l/66 Pennsylvania Philadelphia, Pennsylvania 21 Institutional Cost Sharing Agreements Effective Date of State Institution ment Rhode Island Brown University 7/l/66 Providence, Rhode Island Rhode Island Hospital I/l/67 Providence, Rhode Island Rhode Island, University of 7/i/66 Kingston, Rhode Island South Carolina Clemson University 3/i/66 - Reduction of Clemson, South Carolina indirect costs by 10 percentage points Medical College of South 7/l/67 Carolina Charleston, South Carolina South Carolina, University of 3/l/66 lina Columbia, South Caro Tennessee Meharry Medical College 7/l/67 - Reduce indi- Nashville, Tennessee rect cost rate by 5 percentage points St. Jude Children's 3/l/66 Research Hospital Memphis, Tennessee Tennessee, The University of 3/i/66 - Reduce indi- (excludes all Medical Units rect costs by 5 per in Memphis) cent of the total of Knoxville, Tennessee direct and indirect costs Vanderbilt University 3/i/66 Medical Center Nashville, Tennessee 22 Institutional Cost Sharing Agreements, Effe'c'tive Date of State Institution Agreement Texas Baylor University 3/l/66 College of Dentistry Dallas, Texas Baylor University 12/9/66 College of Medicine Houston, Texas Houston Speech and Hearing 12/2/66 Center Texas Medical Center Houston, Texas J.K. and Susie L. Wadley 3/l/66 Research Institute and Blood Bank Dallas, Texas M.D. Anderson Hospital 3/i/66 and Tumor Institute The University of Texas Texas Medical Center Houston, Texas Scott and White Memorial 1/30/67 Hospital and Scott, Sherwood and Brindley Foundation Temple, Texas Southwest Center for Advanced 3/l/66 Studies Dallas, Texas Southwest Research Institute 3/l/66 San Antonio, Texas Texas, University of, Dental 3/i/66 Branch Houston, Texas 23 Institutional Cost Sharing Agreements Effective Date of State Institution Agreement Texas Texas, University of 9/l/66 (cont.) Medical Branch Galveston, Texas Texas, University of 9/l/66 Medical School at San Antonio San Antonio, Texas Texas, University of 3/l/66 Southwestern Medical School Dallas, Texas Utah Utah State University 3/l/66 Logan, Utah Vermont Vermont, The University of 3/l/66 Burlington, Vermont Virginia Medical College of Virginia 1/16/67 Richmond, Virginia Virginia Polytechnic Institute 3/l/66 Blacksburg, Virginia Virginia, University of 3/l/66 Charlottesville, Virginia Washington Pacific Northwest 12/8/66 Research Foundation Seattle, Washington Washington State University 3/l/66 Pullman, Washington Washington, University of 3/l/66 Seattle, Washington 24 Institutional Cost Sharing Agreements Effective Date of State Institution Agreement Wisconsin Marquette University 3/l/66 (exclusive of Medical School) Milwaukee, Wisconsin Wisconsin, University of 3/l/66 Madison, Wisconsin HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS rant$,Memorandum Number 68-3 SUBJECT: "Prior Approval" Program - Cumulative Listing of Participating Institutions. The institutions which have accepted an invitation to participate in the institutional ttprior approval" program are listed below. This list supersedes Policy and Procedures Office Information Report I, upplement #14, dated April 20, 19680 If you have any questions bout this program, please contact the Division of Grants and Contracts, ExtOnsion 179-6277. Name of Institution BOginning Date Alabama, University of 7/l/67 Alabama Medical Center, University of 9/l/67 Arizonaj University of 7/l/67 Arkansas, University of 7/1 67 Boston University 3/l/68 Bowman Gray School of Medicine 3/15/68 California Institute of Technology 3/l/68 se Western Reserve University lo/l/67 Cedars-Sinai Me(li.6al Center, Los Angeles 1/11/68 Children's Hospital Medical CeLiter, Boston I/l/68 Children's Hospital of Los Angeles 6/l/68 Childten's Hospital of Philadelphia lo/l/67 Cincinnati, University of 8/l/68 City of Hope Medical Center) Los Angeles 3/l/68 Clark University, Worcester 1/15/68 Colorado State University 7/l/68 Columbia University College of Physicians & Surgeons (in original study) Cornell University, Ithaca 7/15/67 Cornell University Medical College) NYC il/l/67 Emory University 7/l/67 Florida University of 7/l/67 Oeorgetown University 7/l/67 George Washington University 3/l/68 GOorgiaj Medical College of 7/1//67 Harbor General Hospital., Torrance, Calif. 2/19/68 2 Name of Institution Beginning Date Hawaii, University of 7/l/67 Hospital for Special Surgery, NYC il/l/68 Illinois-Institute of Technology, Chicago 3/l/68 Illinois, University of, Chicago Circle 7/l/67 Illinois@ University of, Urbana 7/l/67 Illinois, Medical Center, University of 7/11/67 Indiana University and Foundation 7/151/67 Institute for Cancer Research, Philadelphia 3/l/68 Iowa, University of 5/15/68 Jackson Laboratory 7/l/67 Johns Hopkins University School of Medicine (in original study) Kaiser Foundation Research Institute 11/l/67 Kentucky, University of 9/l/68 Louisville, University of (Belknap Campus) 7/l/68 Loyola University, Chicago 7/l/68 LMaimonides Hospital of Brooklyn 10/16/67 Maryland, University of, College Park and Baltimore Campuses 3/l/68 Massachusetts General Hospital (in original study) Massachusetts Institute of Technology (in original study) Mayo Foundation 6/l/68 Memorial Hospital for Cancer and Allied Diseases 3/l/68 Ceramic University of 8/l/67 Michael Reese Hospital and Medical Center 3/l/68 Michigan, University of (in original study) Minnesota, University of 7/l/67 Mississippi, University of, Oxford 7/l/67 Mississippi Medical Center, University of, Jackson 7/l/67 Montefiore Hospital, NYC 1/l/68 Mount Sinai Hospital, NYC 7/l/67 Mount Sinai School of Medicine, NYC 7/l/67 New Mexico, University of 6/l/68 Northwestern University 7/l/67 Ohio State University and Research Foundation 4/l/68 Oklahoma Medical Research Foundation 7/l/67 Oregon Medical School, University of 8/l/67 Oregon, University of 7/l/67 Pennsylvania State University, State College 2/16/68 Pennsylvania State University, Medical School, Hershey 2/16/68 Pennsylvania, University of (in original study) Philadelphia General Hospital 11/l/67 Philadelphia Psychiatric Hospital 1/l/68 Public Health Research Institute of New York City 1/l/68 Purdue University 7/l/67 Rockefeller University (in original study) Rutgers, The State University 7/5/67 3 Nam of Institution Beginning Date St. Christopher's Hospital for Children Philadelphia ii/l/67 St@ itide Hospital Memphis 11/l/67 Salk Institute of Biological Studies 4/24/68 San Diego State Coll6g6 and Foundation 8/l/67 S ps Clinic and Research Foundation 7/l/67 So ern California@ Univer 7/l/67 sity of Tennessee Medical Units (Memphis), University of 6/l/68 Tems. University of, Austin 7/l/67 'Tex s, University of., Dental Branch 7/l/67 Texagi University of$ Graduate School of Biomedical Sciences 7/l/67 Texas, University of, M. D. Anderson Hospital and Tumor Institute 7/l/67 Texas, University of, Medical Branch2 Galveston 7/l/67 @Texas, University of, Southwestern Medical Cbllege@ Dallas 7/l/67 Tu s University 9/11/67 University Hospital,, Boston 3/l/68 Utah, University of 7/l/67 Vermont, University of 7/l/67 Washington,,University of Seattle 8/l/67 Washinaton University@ St Louis B/l/67 Wistat Institute@ Philadelphia 6/l/68 Worcester Foundation for Experimental Biology 7/l/67 Director@ Division of Grants and Contracts October 8 1968 Date: Index: Pilot Study HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Number 68-4 SUBJECT : Implementation of Section 5p Public Iaw APPLICABILITY : Research@ Trainingp and Demonstration Project Grants to the Veterans Administration Section 5 of P.L. 90-31) which became effective July 1) 1968@ Authorizes direct grants to hospitals and other facilities of the Veterans Administration for research) training) and demonstration projects. As a result of discussions between Dr. Lionel Bernstein@ V.A.p and Dr. Ernest M. Allen, PHS, an operating agreement was developed. Information on this agreement was made available through the Policy and Procedure Office Information Report #11@ dated January 26p 1968. The amount to be allowed for indirect costs, which had not been resolved at the time Information Report #11 was issuedi, has now been agreed upon as 15% of salaries and wages. This agreement is reflected in the letter from Dr. Lionel Bernstein, dated July 10, 1968. For your information and guidance when making awards to the Veterans Administration, copies-of "Information Report #1111 and Dr.- Lionel Bernstein's letter of July 10- 1968, together with a covering trans- mittal memorandum from Dr. Ernest M. Allen, are attached. Any questions concerning the implementation of Section 5 of P.L. 90-31 should be referred to -' office Lee Building Room 218 Extension 179-4277. Director, Division of Grants and Contracts Date: October 7. 1968 Index: Indirect Costs Veterans Administration Veterans Adiainistration ice f ll-@@@@;.@ U. S. Public Health Service Policy and Procedure Off Office of Extramural Programs, OSG INFORMATION REPORT Bethesda, 17,aryland 2ool4 REPORT #11 January 26, 1968 SUBJECT Implementation of Section 5, Public Law 90-31 APPLICABILITY Research) Training, or Demonstration Project Grants EFFECTIVE DATE July 1, 1968 Section 5 of P.L. 90-31 will become effective on July 1, 1968. This section amends Title V of the Public Health Service Act to authorize direct grants to hospitals and other facilities of the Veterans Administration for research, training, or demonstration project grants. It provides further that such grants shall be awarded under the same terms and conditions as apply to those awarded to nonfederal institu- tions. As result of agreement reached by the VA and the PHS, the VA is issuing the attached Interim Issue 10-68. You will note that additional negotiations are required in reference to indirect cost rates to 'be allowed. Information covering such rates will be issued by the Division of Grant Administration Policy at an early date. The use of the "same terms and conditions as apply to nonfederal institu- tions" is to be applied literally. For example, the fact that the VA is a Federal Government agency will not affect our procedure of providing reason for disapproval of-applications only to the scientist himself. ORIGINATING OFFICE: Office of Extramural Programs, OSG APPROVED BY: Director, Office of Extramural Pro-,,rams, OSG Date: Index: c 0 p y VETERANS ADMINISTRATIOKT Department,of Medicine and Surgery Washington, D. C. 204PO iNTERim issuE lo-68- A. 13ASIC ADMINISTRATM ISSUE AFFECTED: M-3., Part I. The contents of this issue modify par. 1.14, Chapter 1, Research Grants., as pertains to the U.S. Public Health Service. B. OTHER ISSUES AFFECTED: None C. @ON FOR ISSUE: To implement Section 5, Public Law 90-31, which permits the Public Health Service to mal:e direc grants to the VA for research, training or demonstration projects. D. TEXT OF ISSUE: Section 5 of PL 90-31*, which becomes effective July 1. 1968, amends Title V of the Public Health Service act to permit direct grants from the PHS appropriation to VA hospitals** for "research, training, or demonstra- tion project grants" under the same terms and conditions for such grants as apply to nonfederal institutions. li Grant Application Procedure Grant applications may originate from VA investigators*** in affiliated or non-affiliated hospitals. In all dases,, a copy of the application must be furnished to the ACIM for E&E (15). a. Affiliated Hospitals: Determination of the route of the application will be made by the individual VA hospital-university complex. At each VA hospital, the Deans Committee, after consul- tation with the Hospital Research and Education Committee, may determine that applications from VA investigators will be (1) all routed directly to the Public Health Service, (2) all routed via the university, or (3) handled individually, being transmitted by either route at the option or and7or 'he of the investigat u Hospital R&E Committee. For all applications, whether or not the applicant has a university appointment, and whatever the routing., Applies to PHS only and does not apply to other bureaus of DHEW, or other Federal granting agencies. Or other VA facilities. MD$ PhD., DDSJ DWI,, or other scientists. the use of VA facilities for support of the proposed research must be approved by the Hospital R&E Committee and the Deans Committee. Additional appro@ mechanisms may be established by the Deans Committee. b. Unaffiliated Hospitals: With the approval of the Hospital R&E Committee, the Medical Advisory Committee, if one exists, and the ACMD for R&E (15), applications will be.forwarded directly to the Public Health Service. c. Cooperative Studies: All applications for support of co- operative studies in VA hospitals must have prior approval of the Director, Research Service, VACO. d. Future Personnel: Stations may forward grant applications for investigators who plan to enter VA employment within the period covered by the grant request. An explanatory letter or the body of the application should clarify whether the pending VA assignment is an accomplished commitment unrelated to the grant application or is contingent upon approval and funding of the grant. 2. Title to Equipment Title to equipment purchased under grants awarded directly to VA hospitals may be vested in the Veterans Administration.. Upon termination of the grant, the PHS will assess the value of such equipment and determine appropriate disposition. Where the VA hospital assures that such equipment will be used for research and education purposes in the health field, the PHS may permit such equipment to remain in the hospital. The same title rights to grant equipment will apply to VA hospitals as those which-now govern grant equipment at other hospitals; this includes the reservation to the PHS of the right to transfer such equipment from one institution to another when indicated. 3. Indirect Costs Indirect costs which reflect overhead for research supported b,r such grants i-Till be provided by the PHS. Tlegotiations between the PHS and the VA are in progress to determine indirect cost rates and cost sharing agreements which would serve for all VA hospitals. Because there will be some dela,r in the determination of the rate for such indirect costs, it is not necessary to await these details to submit individual grant applications. Instructions for the use of determined indirect cost rates will be provided to the field stations prior to July 1, 1968, the earliest possible date of imple- mentation of PL 90-31. I%Ieanwliile applications may be forwarded accompanied b-.. an explanation that the rate to be used will be that established b-.,r negotiation now under ,Tay between the PHS and the VA. 2 4. Salaries Whether applied for directly from VA) or via the university affiliation, PHS grants may provide salaries for investigators and other professional staff. It is the intent that such PHS lary funds would be used to increase the number of physicians sa and other scientists engaged in research and training. It is not the Intent to substitute such PHS fund support of salaries for now existing VA salary funds. ip Funds obtained by direct application from PHS grants will be handled as reimbursements to the 8Pl research allocation to the station. Physicians and other scientists engaged in research.& training, as well as technical and supporting personnel would be hired as temporary employees under Title 38., u.Sto., 4114(a (1 (A In selected circumstances, and with prior approval of the ACMD for RU, such funds mtiy be used to hire career physicians under authority of Title 38., u.s.c., 4104(l), and other scientists on appropriate VA career appointments. 5. Minor Alterations and @Renovatims Minor alterations and renovations requested, approved and funded as part of a grant proposal to the PHS may be accomplished within the VA facilities if required for the successful pursuit of the goals of the grant. The PHS cost limitation on such minor alterations and renovations is $50,000. Such alterations must have the approval of the local Hospital.R&E Committee, Deans Committee., VA Hospital Director, and the ACMD for E&E in Medicine. H. M. ENGIIE M.D. . .9 Chief Medical Director Distribution 3 UNITED STATES GOVERNMENT DEPARTMENT OF HEALTH, EDUCATION, AND WELFARE PUBLIC HEALTH SERVICE Memorandum COPY Dr. James A. Shannon) Director, NIH TO DATE: July 19, 1968 Dr. Robert Q. Marston, Administrator, HSMHA Mr. C. C. Johnson, Administrator, CPEH FROM Director Office of Extramural Programs SUBJECT: Amendment to Agreement with the Veterans Administration on Implementation of Section 5, P.L. 90-31 A copy of Dr. Lionel M. Bernstein's letter of July 10, 1968, is attached, along with a copy of PPO Information Report #11. You will note that the indirect cost rate for research and demonstration giants has been established at 15% of Salaries and Wages. The earlier agreement to provide 10Y. of direct costs was amended in accordance with the wishes of the Assistant Secretary, Comptroller. The Division of Grant Administration Policy has agreed to early official release of the 15% rate. Isl Ernest M. Allen Ernest M. Allen, Sc.D. Attachments VETERANs ADMINISTF?ATION DEPARTMENT OF MEDICINE AND SURGERY WASHINGTON, D.C. 20420 July 10, 1968 YOUR FILE REFERENCE: IN REPLY REFER TO-. 15]L Dr. Ernest M. Allen Director, Office of Extramural Programs Department of Health, Education and Welfare 9000 Rockville Pike Bethesda, Maryland 20014 Dear Dr. Allen-. Following bur telephone conversation on July 9, 1968, the Veterans Administration has reviewed the proposed alteration of the agreement concerning indirect costs and cost sharing for grants awarded to VA hospitals under provisions of Public Law 90-31. The proposed alteration was to substitute 15% of salaries and wages for the previously proposed 10% of total direct costs (excluding alterations And renovations; equipment tosting in excess of $500.00; and hospital per them costs), Substituting the newly proposed method for calculating indirect costs and inserting the appropriate changes in the text of your April 25, 1968 letter, I construe that the terms acceptable to the Public Health Service would now read as follows: 1. On all grants awarded directly to VA hospitals, a predetermined fixed percentage rate of 1597o of salaries and wages shall be awarded. This rate shall remain in effect until such time as either party finds reason to initiate renegotiation. 2. The difference between the 15% of salaries and wages as a predetermined fixed percentage rate cited in 1. above and the actual indirect cost at the VA hospital shall be considered to meet the cost-sharing require- ments of,the Public Health Servicc. 3. This agreement will apply to Research Project Grants and Demonstration Project Grants. It will be effective for proects beginning July 1, 1968, or thereafter. 3 4. In accordance with the DHEW policy, the indirect cost for training grants may not exceed 8% of total allowable direct costs. Include Zip Code in your return address and give veteran's social security number. Show veteran's full name and VA file number on all correspondence. If VA number is unknown, show service number. Dr. Ernest Allen I am pleased to indicate the acceptance of this revised proposed arrangement by the Veterans Administration. Many thanks for your help. Warm regards, LIONEL M. BERNSTEIN, M.D. Acting Assistant Chief Medical Director for Research and Education in Medicine HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Number 68-@5 SUBJECT : Section 907 of the Department's Appropriation Act of 1968 (P.L. 00-132) By memorandum dated July 16, 1968, the Assistant Secretary, Comptroller, Hal, advised that application of this amendment to grants and loans should be suspended until the new Appropriation Bill is enacted. For the present, and until further notice, Policy and Procedures Office Information Report #17, dated April 22, 1968, is withdrawn and not in effecti Director, Division of Grants and Contracts Date: October 7. 1968 Index: F'unding (Violation of Law re Riots) HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Number 68-6 SUBJECT: Change in name of Jewish Chronic Disease Hospital to Kingsbrook Jewish Medical Center As advised by Mr. Melvin J. Slade, Comptroller, Kingsbrook Jewish Medical. Center, East 49th Street and Rutland Road, Brooklyn New York 11.203, on June 3, 1968, the Jewish Chronic Disease Hospital officially changed its name to Kingsbrook Jewish Medi.cal Center, pursuant to Section 40 0 t e General Corporation Law of New York state. Director, Division of Grants and Contracts Date: October 8, 1968 Tndp_x: Name of Grantee Institution HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Number 68-7 SUBJECT: Discontinuance of Form PHS 4744-4, Quarterly Expenditure Report APPLICABILITY: Health Services Project Grants General Administration Manual, Chapter 19-75, issued on August 8, 19679 established a standard report of expenditures format (Form HEW-489) that replaced a number of report forms including Form PHS 4744-4, Quarterly Expenditure Report. Although HEW-489 was prescribed for use on research grant programs, the Manual also stated that this form or an adaptation thereof should be used with other programs having similar requirements for fiscal information. It is the Department's intent that requirements for quarterly expenditure reporting for other than payment systems, such as the letter of credits be discontinued. An extension for the use of PHS 4744-4 was authorized by the Division of Grants and Contracts in March,, 1968 to enable HSMHA programs using the form to phase out their use of the form. Since BOB clearance of PHS 4744-4 expires June 30, 1969, and further clearance will not be requested, every effort should be made to discontinue the use of Form PHS 4744-4 at the earliest date. In no case shall it be used beyond the third quarter of this fiscal year. Director, Division of Grants and Contracts Date: October 22, 1968 ' Index: Quarterly Expenditure Report Discontinuance of form PHS 4744-4 NISTRATION HEALTH SERVICES AND MENTAL HEALTH ADMI EXTRAMURAL PROGRAMS Grants Memorandum Number 68-8 SUBJECT: Negotiation and Approval of Institutional Cost Sharing Agreements Attached is a Memorandum of Agreement outlining the terms and conditions under which the National Institutes of Health, the Health Services and Mental Health Administration, and the Consumer Protection and Environmental Health Service will operate with relation to the negotiation and approval of institutional cost sharing agreements. irecto@, Division of Grants ana-contracts Date: October 29, 1968 Attachment Index: Institutional Cost Sharing Agreements - Negotiation and Approval of MEMORANDUM OF AGREEMENT Subject: Negotiation and Approval of Institutional Cost Sharing Agreements Under the provisions of Chapter 2-150, BEW Grants Administration Manual, operating agencies of the Department may authorize grantee institutions to submit institutional cost sharing proposals encompassing contribu- tion6 to the combined total of sponsored research projects funded by two Or mor6 operating agencies (Sec. 2-150-20A). The National Institutes of Health, the Health Services and Mental Hea'. Administration., and the Consumer @otection and Environmental Health Service have agreed that both their interests and the interests of the grantee institutions to which they provide grant support would be best served by the maintenance of a single point for submission, review, and approval of all institutional cost sharing agreements relating to their respective programs. The foregoing named operating agencies agree, under this Memorandum of Agreement, to the following terms and condi ions: 1. The Division of Grants and Contracts, Office of the Administrator., Health Services and Mental Health Administration,, will negotiate and approve institutional cost sharing agreements. 2. Each operating agency shall designate an office to act as the point for liaison with the Division of Grants and Contracts on institu- tional cost sharing matters. Each operating agency shall instruct its grantees that the Division of Grants and Contracts has been assigned the responsibility rolat- ing to the submission, review., and approval of institutional cost sharing agreements. 4. The operating agencies will assist in promoting and negotiating activities if requested to do so by the Division of Grants and Contracts. 5. This agreement will continue in effect until amended or terminate by the participating parties. Amendments to the agreement must have approval of all participating parties. Any of the partici- pating parties may terminate the agreement by giving three months notice in advance of its intent to do so to each of the interested groups. - 2 - The Division of Grants and Contracts agrees that it will provide th e following services to the operating agencies: 14 Act as liaison between the operating agencies and the Department with respect to institutional cost sharing policy matters, imple- ment such policy where appropriate, and provide assistance to the operating agencies in developing recomendations for desired changes in such policy. 2. Prepare required reports on and resolve audit findings related to institutional cost sharing agreements. The Division of Grants and Contracts shall transmit copies of such findings, along with its resolutions., to the liaison offices of the respective operating agencies. 3. Develop and carry out a systematic.plan for encouraging all appro- priat6 grantee institutions to enter into institutional cost sharing agreements. 4. Negotiate and renegotiate agreements with grantee institutions. 5. Report promptly to operating agencies on new., revised or termiiw-oed agreements. 6. Adequately document all actions taken and the reasons for such actions with regard to agreements with any grantee institution. 7. Make available its files to representatives of an operating agency when requested by the agency's liaison office. @ecutive Officer, National Institutes of Health A-!, -Cutiv,& Officer, ,)Te@alth Services and Mental Health Administration Assistant Administrator for Administration Consumer Protection and Envirorunerr;al Hea- Service ( -C Director, Di@i-sion of' Grants and Contracts UNITED STATES GOVERNMENT DEPARTMENT OF HEALTH, EDUCATION, AND WELFARE PUBLIC HEALTH SERVICE ifemorandum TO NIH, HSM, and CPE Extramural Staff Concerned DATE: October 24, 1968 FROM Director, Division of Research Grants, NIH SUBJECT Agreement on the use of human subjects in projects directly supported by PHS in Veterans Administration facilities. Effective July 1, 1968, Section 5 of P.L. 90-31 amended Title V of the Public Health Service Act to authorize direct grants to hospitals and other facilities of the Veterans Administration for research, training, or demonstration project grants, under the same terms and conditions as apply to those awarded to nonfederal institutions. Policy and Procedure Order #129, revised July 1, 1966, requires the develop- ment oi a satisfactory institution-wide agreement on the use of human subjects, between the grantee institution and the Public Health Service. This is to advise you that, to date no such agreement has been developed with the Veterans Administration or any of its components. Discussions with Administration officials suggest that they will not be able to com- plete their own review of such an agreement before the beginning of calendar year 19696 To assist you in processing awards for VA projects involving human subjects, an acceptable course of action is suggested. If the nature of the project is such that human subjects will not be involved in the first few months after the starting date, an award may be made with the contingency, cleat y spelled out as a condition of that award, that the funds are not to be used to support studies involving human subjects until further notice from the awarding agency. W6 ate making every effort to conclude our negotiations,with the Veterans Administration, and we will promptly inform you when this is done, so that you can release appropriate projects from the above-mentioned restriction. Please note that this communication applies only to awards made direct y to Veterans Administration facilities. In those cases where the grantee is a non-VA institution with the actual work being performe in whole or in part on VA premises, it is the grantee institution's responsibility to provide PHS with the necessary assurances and to carry out the required initial and continuing review of the project. e A. Cbnfrey, Ph.D. A HEALTH SERVICES ANT) MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Number 68-9 SUBJECT: Agreement on the use of human subjects in projects directly supported by PHS in Veterans Administration facilities. The Division of Research Grants, NIH, is the cognizant office for receiving, reviewing and approving institution-wide agreements on the use of human subjects in projects supported by the three agencies comprising the Public Health Service. The attached memorandum from the Director, DRG points out that such an agreement has not yet been negotiated with the Veterans Adminis- tration or any of its components, and that none is likely to be negotiated before January 1969. Accordingly, awarding components must take care in awarding grants directly to VA hospitals to be assured that the policies of PPO 129, as revised, are followed. Director, Office of Grants Management Date: December 2, 1968 Attachment Index: Human Subjects Awards to VA facilities when involved. IJNITED STATES GOVERNMENT DEPARTMENT OF HEALTH, EDUCATION, AND W E Office of the Secretary orandu,m c 0 p y TO See Below DATE: November 19 @ 1968 FROM Director, Division of Grants Administration Policy SUBJIECT: Distribution of the Grants Admi nistration Manual As you know, the Grants Administration Manual is available to the public by purchase from the Superintendent of Documents, vernmen Printing Office. The subscription price is $4 for an indefinite period. I prefer that courtesy distributions be limited,, insofar as it can be be done tactfully, to 1) organizations or associations which represent major segments of the grantee community, such as the American Council on Education, the American Hospital Association,, the National Governors Conference, etc.,, 2) news media, and 3) Federal agencies outside of the Department. Grantees and other members of the public who inquire about obtaining the Manual should ordinarily be referred to the Superintendent of Documents, rather than to my office. Would you please communicate this to your respective staffs. /s/ Nathaniel H. Karol Addressees: Dr. Ernest Allen - OS-ASH Dr. Alan Donaldson - 8S&MHA Dr. Ronald Lamont-Havers - NIH Mr. Albert Rotundo SRS Mr. Edward Stepnick OS-AA Mr. @John Donovan - OGS Dr. John Hanlon - CP&EHS M r. Wi. I bu r Ma tz - S SA Mr. Leon Schwartz OE r^cT Dcni. Tinki ODeN@D@,,@ HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Number 68-12 SUBJECT: Distribution of the Grants Administration Manual The attached copy of a memorandum from the Director, Division of Grants Administration Policy, on the above subject is self-explanatory. For your guidance in referring those who inquire about obtaining a Manual the complete address of the Superintendent of Documents is: Superintendent of Documents United States Government Printing Office Washington, D.C. 20402 and the official title of the Manual is: Department Staff Manual, Grants Administration, Department of Health, Education, and Welfare. Director, Office of Grants Management Date: December 3, 1968 Attachment Index: Grants Administration Manual Distribution of c 0 p y FEDERAL COUNCIL FOR SCIENCE AND TECHNOLOGY Executive Office Building Washington, D.C. 20506 November 1.3, 1968 MEMORANDUM FOR Members, Federal Council for Science and Technology Subject: Payment of Publication Costs from Federal Research Grant and Contract Funds As a result of financial problems some research performers have attempted to economize by refusing to pay page charges to scientific journals, and although this is only a small cloud on the horizon now, a general extension of the practice would lead to severe financial difficulties for the journals and for the professional societies which sponsor them. Of course, an available remedy is to replace voluntary by mandatory page charges, but this would make journals unavailable to those scientists who have no financial resources. This matter was discussed by the Federal Council for Science and Technology and the following position is that of,the Council: The publication of research results is an essential part of the research process. This has been recognized in part through authorization to pay publication costs from Federal research grant and contract funds. It is the intention of the Federal Government when making research grants or contracts that costs of such publication (including page charges) should continue to be borne from the grant or contract,, if other sources are not available. I expect that each Federal agency will take steps to inform the staff and contract officers that this represents the position of their agency. When- ever In a position to do so,, they should encourage performers to pay the page charges. /s/ Donald F. Hornig C I man HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Number 68-11 SUBJECT: Payment of Publication Costs from Federal Research Grant and Contract Funds Attached is a copy of a memorandum from the Chairman, Federal Council for Science and Technology, regarding the payment of publication costs from Federal research grants and contract funds. The position taken by.the Council is that the publication of research results is an essential part of the research process. In line with this position, the Council encourages the support of such publication costs (including page charges) from grant and contract funds, if other sources are not available. The purpose of this memorandum is to inform appropriate grant and contract officers that HSMHA fully endorses the position taken by the Federal Council for Science and Technology. Since present PHS policy permits the payment of publication costs, no change in policy is necessary. Awarding components,however, should encourage grantees to publish the results of their research, and support the costs of such publication if other sources are not available. Director, Office of Grants Management Date: December 18, 1968 Index: Publication Costs - Payment of UNITED @STATES GOVERNMENT DEPARTMENT OF HEALTH, EDUCATION, AND WELif E Office o t e ecretary *Iemorandum c 0 p y TO See Below DATE: November 5. 1968 FROM Director, Division of Grants Administration Policy SUBJECT: Prior Review of Grant and Contract Awards or Payments to Health Research, Inc. The Department is currently in process of resolving a number of important audit and indirect cost questions with Health Research,, Incorporated, a non-profit New York Corporation. Until such time as the matters in question are resolved it is deemed advisable that the Assistant Secretary, Comptroller be knowledgeable of and has the opportunity to review all grant and contract awards (new awards, or continuations) and all payments under existing grants and contracts. Accordingly, before making such awards or payments a notice of intent must be submitted in writing through my office and should cite the date the grant/contract or payment is scheduled to be made (additional details will be requested as required on an individual basis after a notice of intent has been received). The notice should be received in my office at least six working days before the,scheduled date of award or payment. Please make appropriate distribution of this memorandum throughout your respective organizations. Isl Nathaniel H. Karol Addressees: Dr. Ernest M. Allen, OS-ASH Dr. Alan W. Donaldson, MS&MHA Mr. John M. Donovan, OS-PGS Dr. John J. Hanlon, EHS Dr. Ronald W. Lamont-Havers, NIH Mr. Wilbur Matz, SSA Mr. Albert Rotundo, SRS Mr. Leon M. Schwartz, OE Mr. Edward W. Stepniek, HEWAA Mr. Richard Seggel, NIH Mr. Charles Miller, HS&MHA Mr. Paul Fox, HS&MHA S T E A COST REDUCTION PROGRAM HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Number 68-10 SUBJECT: Prior Review of Grant and Contract Awards or Payments to Health Research, Inc. Attached is a copy of a memorandum from the Director, Division of Grants Administration Policy, DHEW, establishing a requirement for prior review by the Office of the Assistant Secretary, Comptroller of all grant and contract awards and payments to be made to Health Research, Inc. In carrying out this request, awarding components should send notices of intent to award a grant or a contract (new, continuation, supplement, etc.) directly to Mr. Karolls office. It will not be necessary to send the notices through this office or to provide us with copies. Neither will it be necessary to wait for positive approval from the Office of the Assistant Secretary, Comptroller before making the award as scheduled, provided the six working days advance notice was given as requested. Director, Office of Grants Management Date: December 2,, 1968 Index: Prior Review Grant & Contract Awards & Payments to Health Research, Inc. UNITED STATES GOVERNMENT DEPARTMENT OF HEALTli, EDUCATION, AND WELFARE 4Kemorandum Office of the Secretary c 0 p y To See Below DATE: December 19, 1968 Director Division of Grants Administration Policy 'FROM @9 ,SUBJECT: Grant and Contract Awards or Payments to Health Researchlnc. My memorandum of November 5, 1968, advised that the Department is currently in the process of resolving a number of important audit and indirect cost questions with Health Research, Incorporated, a non-profit New York Corporation. Further that until such time as the matters in question were resolved written notices of intent to make grant/contract, awards/payments should be submitted to the Assistant Secretary, Comptroller through my office. The Assistant Secretary, Comptroller now advises, that until further notice, the following applies when making grant/contract, awards/payments to Health Research, Inc. 1. General Research Support Grants - Awards may be made only to New York State as grantee and fiscal agent. 2. Continuation Grants/Contracts - Awards, without increase or change from current expenditure levels, may be made so that initiated projects can continue. The Division of Grants Administration Policy will be advised of all awards made. 3. New Grants/Contracts - New grants and contracts should not be awarded until such time as HRI is determined to be financially sound or a firm commitment is received from New York State that it will insure the financial integrity of HRI. The Division of Grants Administration Policy will advise the operating agencies when either of these conditions have been met. In the interim, the Division of Grants Administration Policy should continue to be advised of all contemplated new grants and contracts. 4. Monthly Draw/Vouchers - HRI will submit a monthly report of its estimated ca@h needs-for current operating expenses in the ensuing month, i.e. by December 25th for January expenses. This report will indicate, the estimated expenditures, less the cash on hand and the resulting balance (cash need). The report will STE TIOI R @ A [ 2 also indicate the estimated amount of funds which HRI may claim under the Department of Health, Education and Welfare awards for the same period, i.e. direct costs plus applicable indirect costs. Reimbursement will be limited to the lesser of the cash requirement or the amount of the allowable costs claim. The report will. be certified by Marion Henry, as a representative of New York State. Payments should not be made without approval from the Division of Grants Administration Policy. Please make appropriate distribution of this memorandum throughout your respective organizations. Isl Nathaniel H. Karol Addressees: Dr. Ernest M. Allen, OS-ASH Dr. Alan W. Donaldson, HS&MHA Mr. John M. Donovan, OS-OGS Dr. John J. Hanlon, EHS Dr. Ronald W. Lamont-Havers, NIH Mr. Wilbur Matz, SSA Mr. Albert Rotundo, SRS Mr. Leon M. Schwartz, OE Mr. Edward W. Stepnick, HEWAA Mr. Richard Seggel, NIH Mr. Charles Miller, HS&MHA Mr. Paul Fox, HS&MHA HEALTH SEWICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Number 69-13 SUWECT: Grant and Contract Awards or Payments to Health Research, Inc. Attached is a memorandum from the Director Division of Grants Administra- tioh Policy establishing procedures to be followed in making grant and contract awards to Health Research, Inc. It should be noted that this Grants Memorandum supersedes Grants Memoran 68-10 dated December 2. 1%8. Director Office bf 'G"rants Management Date: January 3, 1969 Attachment Index: Grant and dontract Awards or Payments - Health Research,, Inc. HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Number 69-14 SUWECT: Revision of Policy Prohibiting Concurrent Awards APPLICABILITY: Fellowship and Training Grant Programs of the HSMHA Section 504 of P.L. 90-574,, which became effective October 15, 1968, pemits students to receive payment of funds awarded through traineeships,, fellow- ships, and other support programs in addition to educational assistance received under the Veterans Readjustment Benefits Act of 19660 P.L. 89-358. Accordingly,, the prohibition against concurrent awards set forth on page 18 of the Public Health Service Grants for Training Projects policy brochure it hereby amended to exclude educational assistance received from the Veterans Administration. Likewise, the provision forbidding a fellow from receiving concurrent Veterans Administration educational benefits contained in the NIH "Research Fellowship Program Administrative Guide" should also be amended, along with any other publication that conflicts with the revised policy. The attached copy of a memorandum from the Associate Administrator,, KSMHA,, has been sent to all grantees advising them of the change in policy. Director Office -of Grants Management Date:- January 3, 1969 Attachment Index: Concurrent Awards Grant Policy Information TO : Heads of Institutions, Hospitals, and Non-Profit Organizations, Fellowship and Training Coordinators,, and Business Officers FROM : Associate Administrator, HSMHA SUBJECT: Concurrent Awards - Veterans' Readjustment Benefits Act (P.L. 89-358) and Health Services and Mental Health Administration Training Awards Legislation Section 504 of P.L. 90-574 (Health Services and Facilities Act signed by the President on October 15, 1968, provides as follows: "No grant, award or loan of assistance to any student under any Act amended by this Act shall be considered a duplication of benefits for the purposes of Section 1781 of Title 38, United States Code.'? The effect of this amendment to the Public Health Service Act is to provide that Public Health Service grants, awards, or loans to assist students shall not be considered a duplication of benefits for purposes of laws relating to veterans' educational benefits. Policy Change Effective October 15, 1968, students receiving educational assist- ance under the Veterans' Readjustiiont Benefits Act ("G.I. Bill") may be permitted to receive at the same time funds from either a training grant, fellowship, traineeship, scholarship, or loan provided by the Health Services and Mental Health Administration. Applicability Health Services and Mental Health Administration trainina and fellowship programs presently include the training and fellowship grants awarded by the National Institute of Mental Health and the National Center for Health Services Research and Development and the training grants awarded by the Community Health Service. 2 eration from the Therefore) references to educational remun Veterans Administration (Veterans Readjustment Benefits Act of 1966) P.L. 89-358) should be eliminated from page 18 of PHS Publication No. 1302 titled "Public Health Service Grants for Training Projects" and from all other publications that conflict with the revised policy. If you have any questions please call the Office of Grants Management., HSI@fliA2 area code 301, phone 495-6277. D. Date: December 19, 1968 U-IINIITED S-IA-l-ES (,OVI,'RNMENI' DEPARTMEN'I' OF 1-fEAL,TH, ,XND k@'LLf',,kRL ento i -a,,"U,(Iitm Office of the Secretary Members of the Executive Committee on Grants DATE: December 16, 1968 Administration Policy @RoNi Director,, Division of Grants Administration Policy Reporting of Cost Sharing in ReseArch Grants by Institutions Using the Single Account System The attached letter to Johns Hopkins University is largely self- explanatory. The approach which Hopkins will follow may be used as a precedent for other institutions using the single account system. For the benefit of those of you who may not be familiar with this terminology, the single account system involves the use of only one account to accumulate all auditable expenditures of a projOct. The amounts in such an account must subsequently be prorated in some fashion between the Federal grant share and the grantee share. Isl Nathaniel H. Karol Attachment STE F7 c 0 p y DEPARTMENT OF HEALTH, EDUCATION, AND WELFARE WASHINGTON, D.C. 20201 OFFICE OF THE SECRETARY December 16, 1968 Mr. James G. Guerdon Controller The Johns Hopkins University Baltimore, Maryland 21218 Dear Mr. Guerdon: This is in reference to your letter of December 2, 1968, concerning the method of showing cost sharing on research grant expenditure reports. As ou pointed out, the current form, HEW 489, provides that only the y Federal share of the project be reported by budget categories. Since you are using the single account system of accounting for research projects, you propose to use one of the following approaches: (a) apply the cost sharing percentage uniformly to each budget category, or (b) apply the cost sharing amount to any category or combination of categories so long as the total cost sharing amount equals the negotiated percentage applicable to the project as a whole. Either of these methods will be entirely acceptable in reporting research grant expenditures to the Department of Health, Education, and Welfare. To avoid future misunderstandings, I am sending copies of this letter to the appropriate officials of our operating agencies and the HEW Audit Agency. Sincerely yours, Isl Nathaniel H. Karol Director, Division of Grants Administration Policy HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants memorandum Number 69-15 SUBJECT: Reporting of Cost Sharing in Research Grants by Institutions Using the Single Account System Attached are copies of a memorandum from the Director, Division of Grants Administration Policy to members of the Executive Committee on Grants Administration Policy, and his letter to Johns Hopkins University, relative to cost sharing in research grants by institutions using the single account system. Both documents are dated December 16, 1968. The purpose of this Grants Memorandum is to advise you that the advice given Johns Hopkins may be used as a precedent for other institutions that may wish to use the single account system, and to provide you with informa- tion as to the DepartmOnt's position in the event grantee institutions inquire relative to reporting cost sharing on HEW Form 489. Director, Office of Grants Management Date: January 9, 1969 Attachment HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMML PROGRAMS Grants Memorandum Number 69-1.6 SUBJECT: Cost Sharing in Research Grants Attached is a revised list of research grants requiring cost sharing. Please note that three programs have been added to the list attached to Grants Memorandum 68-2. dated September 3, 1968. (These are indicated by An asterisk.) SUPERSEDES: List of applicable research grants attached to Grants Memorandum 68-2. CC. D17ec-tor, Office of Grants Management Date: January 9, 1969 Attachment Index-. Cost Sharing List of programs requiring January 9, 1969 COST SHARING IN RESEARCH GRANTS APPLICABILITY: PHS Research Project Grants (identified by program codes as follows with the exception of foreign grants, grants to Federal institutions, grants to individuals, and conference grants): R 01 Projects - exclusive of conference and publication grants R 02 Nursing R 03 Small Grants R 07 ICMRT R 10 Chemotherapy & Psychopharmacology R 12 Mental Health Special Grants R 18 Hospital and Medical Facilities Research Grants (exclusive of Experimental Construction) R 20 Hospital Improvement R 21 Community Health Exploratory Grants *R 22 U.S.-JApan Cooperative Medical Science Program P 01 Research Program Projects P 10 Environmental Health Centers for Research and Training *P 11 Pharmacology-Toxicology Centers P 13 Dental Research Institute Program *P 15 Outpatient Clinical Research Grant Program HEALTH SERVICES AND MENTAL HEALTH -ADMINISTRATION EXTRAMURAL PROGMMS Grants Memorandum Number 69-17 SUBJECT: Organization of Office of Grants Management, Health Services and Mental Health Administration The Office of Grants Management, HSMHA,, consists of the following Branches: Address *Telephone Office of the Director Gov't Code Ext. Paul E. Fox, Director Lee Bldg. 179-6277 Room 218 Policy DevelopmOnt and Igsuance Branch Paul E. Fox, Acting Chief Lee Bldg. 179-6277 Room 218 Grants Operations Branch Donald Frech, Acting Chief Lee Bldg. 179-6241 Room 200A (;rants Analysis and Reports Branch Ronald Frederick, Acting Chief Lee Bldg.' 179-6241 Room 208 *Area Code 301, 495-plus extension Director, Office-of Grants Management Date: January 15, 1969 Index: Organization - OGM-HSMHA HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAKURAL PROGRAMS Grants Memorandum Number 69-18 SUBJECT4@ SUNY Local Campus Officials Authorized to Sign Applications for Sponsored Support and Research Foundation of SUNY Individuals Authorized to Certify Expenditures from Sponsored Program Funds Attached are revised listings of the State University of New York local campus officials designated to sign application face sheets evidencing University administrative approval of proposed projects and of those persons authorized to certify on behalf of the Research Foundation, expenditures from sponsored program funds at the local campuses. Director, Office of Grants Management Date:. January 22, 1969 Attachment Index: Authorized Signatures SUNY STATE UNIVERSITY OF NEW YORK LOCAL CAMPUS OFFICIALS AUTHORIZED TO SIGN APPLICATIONS FOR SPONSORED SUPPORT State University of New York at Albany Dr. Evan R. Collins, President Dr. Earl G. Droessler, Vice-President for Research Dr. Webb S. Fiser, Vice-President for Academic Affairs State University of New York at,Binghamton Dr. Brute Dearing, President Dr. S. Stewart Gordon, Vice-President for Academic Affairs Mr. Edward J. Demgke, Coordinator of Research State University of New York at Buffalo Dr. Martin Meyerson, President Dr. Raymond Ewell, Vice-Pr6sident for Research Dr. Peter F. Regan, Executive Vice-President Mr. Robert D. Murrill, Assistant Vice-President for Research State University of New York, Downstate Medical Center Dr. Joseph K. Hill, President and Dean State University of New York Upstate Medical Center .L Dr. Julius B. Richmond, Acting President Mr. David A. Sinclair, Vict-PrOsident for Business Affairs Mrs. Jean R. Fancher, Assistant for Sponsored Research State University of New York, College at Brockport Dr. Albert W. Brown, President Dr. Donald Na.scA, Director for Research State University of New York, College at Buffalo Dr. Elbert K. Fretwell, President Dr. George R. Sherrie, Vide-Prosident for Administration State University of New York, Collese at Cortland Dr Ri hard C. Jones, ActinR President Dr: Roscs Allen Dean' Divisfon of Graduate Studies and Research I Dr. Walter L. keilbronner, Vice-President for Academic Affairs Page 2. State University of New York, Collexe at Fredonia Dr. Oscar E. Lanford, President ies and Research Dr. Milton M. Klein, Dean for Graduate Stud State University of New York, College at Geneseo Dr. Robert W. MacVittie, President Dr. Roy E. McTarnaghan, Dean for Long Range Planning and Research State University of New York, College at New Paltz Dr. John J. Neumaier, President Dr. John H. Jacobson, Vice President State University of New York, College at Old Westbury Dr. Harris Wofford, President Dr. Jerome Ziegler State University of New York, College at Oneonta Dr. Royal F. Netzer, President Dr. Leonard T. Kreisman, Director of Institutional Research State University of New York, College at Oswego Dr. James E. Perdue, President Dr. J. Sherwood Dunham, Vice-President for Academic Affairs State University of New York, College at Plattsburgh Dr. George W. Angell, President Dr. William F. Lawrence, Vice President for Academic Affairs State University of New York, College at Potsdam Dr. H. Austin Peck, President Dr. Alfred W. Thatcher, Vice President for Academic Affairs Dr. Clarence McKinstry, Research Grants Administrator State University of New York, College at Purchase Dr. Abbott Kaplan, President Page 3. State University of New York, College of Forestry Dr. Edwin C. Jahn, Dean Dr. Richard E4 Pentoney, Associate Dean for Physical Sciences and Research State University of New York, Maritime Col@e Rear Admiral Edward J. O'Donnell, President Dr. Daniel J. Duffy, Vice-President for Academic Affairs State University of New York, Agricultural and Technical College at Alfred Dr. David H. Huntington, President Dr. Roger F. Rawe, Vice-President and Dean State University of New York, Agricultural and Technical College at Canton Dr. Glenn E. Wright, Acting President State University of New York, Agricultu ral and Technical College at Cobleskill Dr. Walton A. Brown, President Mrs. Marjorie K. Byrnes, Business Officer State University of New York, Agricultural and Technical College at Delhi Dr. William R. Kunsela, President Dr. William F. Kennaugh, Vice-President State University of New York, Agricultural and Technical College At Farmingdale Dr. Charles W. Laffin, Jr., President Mr. Vincent H. Tolino, Directorof Institutional Research State University of New York, Agricultural and Technical College at Morrisville Dr. Royson N. Whipple, President Page 4. State University of New York, Center for International Studies and W@rld Affairs Dr. Ivan Putman, Jr., Acting University Dean State University of New York, Institute for Research in Learning and Instruction (Vacancy) State University of New York, Fashion Institute of Tech o Dr. Lawrence Jarvie, President State University of New York at Ston Brook Dr. John S. Toll, President Dr. Robert A. Jordan, Acting Dean, Graduate School Dr. Bentley Glass, Academic Vice President Dr. T. A. Pond, Executive Vice President Revised 9/18/68 ri) U) $4 $4 $4 -,4 "4 -A Le) co co 44 44 44 4) 44 44 44 .4 rA to U) 0) 0 r. rii 93 r. $4 -,4 54 -r4 r4 -,4 -,4 co co co 44 44 $4 44 $4 4.4 00 < .4 $4 0 14 rA rA U) 404 0 $4 14 w m 44 >1 it 12 ri) r4 "4 rq 4J rA $4 (D co co co ro 14 to 4i 0 44 44 44 (D Cd rw 4i 0 r4 44 44 44 10 -W -r4 d) 0) 4) r4 w 10 $4 0 10 ril $4 En r4 u rii -t4 ril rlo m (L) u rA 4) 0 U) m m to $4 4) 4) cn 0 4) $4 cn $4 z m 0 $4 0 En 44 -r4 -r4 r4 a) r-4 0 44 rZ4 ri) Z Cd 4i r4 44 4) r4 4i A 4.J -r4 U 4J u u 0 u 0 r4 00 00 u 4) r. "4 c: r4 $4 CD 0 0 $4 (1) En > cri 14 > 4i 10 44 44 44 4i co -,4 10 0 0 -,4 0 0 0 @r. Q -,4 4i 4i 4i 0 co 4i -,4 co c: 0 lz ci w w 14 14 0 44 ril Q) co 4 0.0 it 0 0 0 0 U) ;4 4i 14 -W 4i 4.J 4.J 4.J 14 0) 04 ril 0 10 0 r. t) u u rA 0 0 z .,4 "4 w "4 CO w 4) (L) (3) .,4 -,4 -r4 Q) ri) r4 0 U) ci $4 $4 $4 ri) r. rn u 4) 0 rA "4 -r4 -,4 r4 m cu :3 .,4 > > En rT4 rA 0 00 R co E-4 E-4 En r-4 $4 rA $4 pn $4 r4 14 rn -r4 CO > w 0 $4 -4 "4 -f4 ;4 4i iu 4i 44 Cd Ix 0) $4 >1 m r. En 44 9: r-4 r-4 0 co 0 rA -r4 w H 0 co co r-4 L7 cn 4J 90 r4 0 m 4i > P4 w $4 E-4 14 0 0 co cin -r4 14 4) 4i 0 a) w -,4 .0 r-4 $4 sz 0 "4 co a) tv pq PQ 00 4.J 0 El cn E-4 E-4 I < > E-4 cn H 0 1 o@ z cn I 2 g 0 pq Ul p rz4 0 0 PL4, co HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Number 69-19 SUBJECT: Implementation of HEW Chapter 1-71, Grants Administration Manual BOB Circular A-21 Revised eliminated time or effort reporting requirements for personnel services at educational institutions engaged in Federally funded research. It permitted these institutions to use normal time and attendance and payroll distribution systems, and stipulated salary support amounts instead. In implementiha Circular A-21 the Department extended the coverage to include other grant programs and all non-profit institutions in addition to educational institutions, except State and local governments. These were specifically excluded because they must maintain time and effort reporting systems as required by BOB Circular A-87. Attached are two Grant Policy Information letters dated November 5, an December 30, 1968, that were sent to the heads of grantee institutions informing them of the changes in reporting requirements set forth by the Department and of the implementation date established by Health Services and Mental Health Administration. When advising grantees of the interpretation to be placed on the January 1, 1969i effective date grantees should be told that it was not intended that all conversion have to be made as of that date. January 1, 1969, was established as the earliest date that could be used for HSMRA programs. Grantees may elect dates after January 1; however, it should be made clear that when a conversion date for use of the stipulated salary approach is established,, it will apply to all grants active as of that- date as well as to all awards made thereafter. (C. Diiector, Office- of Grants Management Date: January 27, 1969 Attachments Grant Policy Information TO : Heads of Institutions, Hospitals and Non-Profit Organizations FROM : Associate Administrator Health Services and Mental Health Administration SUBJECT- Revision of HSMHA Implementation of HEW Policy on Budgeting and Accounting for Salaries in Grant Programs dated November 5, 1968 References to "time or effort salary support documentation system" appearing in the "Conversion to Stipulated Salary Support" section of the November 5, 1968, memorandum have apparently been misin- terpreted as indicating that the HSMHA will require such systems to be continued unless replaced by a payroll allocation system which includes the stipulation of professorial salaries. The intent of the references to modification of existing time or effort systems was quite the opposite. The intent was simply to emphasize the fact that grantees are afforded the widest latitude in adopting a payroll allocation system to meet the revised BOB and HEW criteria, even to the continuation of a basic system no longer required, if they elect to do so. To eliminate further misunderstanding on this score, however, this section of the November S,, 1968, memorandum has been rewritten to delete any reference to time or effort reporting, as follows: Conversion to Stipulated Salary Support Chapter 1-71-80B requires that this policy become effective for currently active grants on the same date it becomes effective for new awards. If, therefore, a grantee elects to adopt a payroll allocation system including the stipulation of salaries for those persons who meet the criteria specified in BOB ircu ar A-21 (re- vised) and HEW Manual Chapter 1-71, this shall be done as of January 1, 1969. Evidence of such conversion which includes the Stipulated salary support feature shall consist of two types of actions by the grantee: 1. The issuance of a written notice of such conversion to responsible grantee administrative officials, program or project directors, and principal investigators. 2. The submission to awarding HSMHA components of revise budgets (indicating stipulated salaries) for applica- tions and awards pending action as of January 1, 1969. The initiative for such submissions rests with the 2 grantee. Otherwise, the awarding HSMHA components will assume that a grantee has elected to adopt a payroll allocation system with no provision for stipulated salaries on currently active grants and awards pending for personnel whose salaries are paid in part from HSMM grant funds. The election of a grantee to convert to a payroll allocation system including the stipulated salary feature for those personnel and positions meeting the criteria will automatically result in the conversion of the salary amounts for such persons which are being charged to grants active as of January 1, 1969. Inquiries in respect to this memorandum should be addressed to: Director, Office of Grants Management Office of the Administrator Health Services and Mental Health Administration 6935 Wisconsin Avenue Chevy Chase, Maryland 20015 Telephone - Area Code 301, 495-6277. a@ idson, Sc.D. Date:- December 30, 1968 Grant Policy Information TO: Heads of Institutions, Hospitals and Non-Profit Organizations FROM: Associate Administrator, Health Services and Mental Health Administration SUBJECT: HSMHA Implementation of HEW Policy on Budgeting and Accounting for Salaries in Grant Programs Effective Date The DHEW has issued Chapter 1-71, Grants Administration Manual, "Budgeting and Accounting for Salaries." This Chapter establishes Departmental policy governing implementation of revised BOB Circu- lar A-21, "Principles for Determining Costs Applicable to Research and Development Under Grants and Contracts with Educational Institu- tions,," dated June 1. 1968. The Department has established Janu- ary 1, 1969, as the maximum limit for operating agencies to implement these policies ' In view of previous expressions from grantees regarding deadlines for changing grant management practices, the Health Services and Mental Health Administration is electing to set January 1. 1969, as the effective date for its implementation of the Department's polities. Major Policy Changes The specific requirement for a time or effort reporting system under guides contained in the March 1967 publication of the Department entitled "Time or Effort Reporting, A Guide to Compliance," has been eliminated. Grantees, however, will continue to be expecte to employ appropriate systems for substantiating their payrolls and to provide an adequate basis for adjusting budgeted salary amounts when called for. Although no specific system is required, minimum stand- ards for substantiating the budgeting and accounting for salary and wage charges to grants and contracts are set forth in the new policy statement. The adequacy of grantee systems for supporting payroll charges will be subject to continuing audit review. Applicability Particular attention should be given to Part 1-71-00, "Purpose" and Part 1-71-20, "Applicability of the Department's manual issuance. The policies set forth in Chapter 1-71 apply to: 2 1. Educational institutions (public and private) 2. Hospitals (public and private) 3. Non-profit organizations. They apply to the determination of salary charges to all types of grant funds made available directly or indirectly to these types of institutions. This includes the use of funds by educational institu- tions, hospitals, and non-profit organizations from project grants, such as training, demonstrations, and provision of services to the public, and formula grants. The policies set forth in Chapter 1-71 do not apply to state and local government agencies. The definition of a state government agency in this instance excludes educational institutions and hospi- tals. The definition of a local government agency excludes institu- tions of higher learning (i.e., institutions above the secondary education level) and hospitals. Supporting Information in Grant Applications The personal service element of a project budget must be presented in two parts: 1. Stipulated salaries 2. Non-stipulated salaries For each salary included in the "stipulated salary" part there shall be entered a percentage figure which represents the proportion of total institutional salary commitment for a given individual or position reflecting the services to be rendered to the project by that individual or position. Additional information may be requested by the awarding HSMHA com- ponent as needed during the review and approval process on an indi- vidual project by project basis but not as a general requirement for all applications submitted. Conversion to Stipulated Salary Support Chapter 1-71-80B requires that this policy become effective for currently active grants on the same date it becomes effective for new awards. If, therefore, a grantee elects to convert an existing time or effort salary support documentation system to a stipulated salary system for those persons who meet the criteria specified in 3. BOB Circular A-21 (revised) and HEW Manual Chapter 1-71, this shall be done at of January 1, 1969. Evidence of such conversion shall consist of two types of actions by the grantee: 1. The issuance of a written notice o suc conversion to responsible grantee administrative officials, program or project directors, and principal investigators. 2. The submission to awarding HSMHA components of revised budgets (indicating stipulated salaries) for applications and awards pending action as of January 1, 1969. The initiative for such submissions rests with the grantee. Otherwise, the awarding HSMHA components will assume that a grantee has elected to maintain an existing time or effort salary support documentation system for all person- bel whose salaries are paid in part from NSMHA grant funds. The election of a grantee to convert to a stipulated salary system for those personnel and positions meeting the criteria will auto- matically result in the conversion of the salary amounts for such persons which are being charged to grants active as of January 1, 1969. Ian W. Do ldsonl Sc.D. Date: November S. 1968 Attachments: BOB Circular A-21 (Revised) HEW Grants Administration Manual Chapter 1-71 List of HSMHA Grant Programs EXECUTIVE OFFICE OF THE PRESIDENT Bureau of the Budget Washington,, D.C. 20503 June 1, 1968 CIRCUIAR NO. A-21 Revised Transmittal Memorandum No. 2 TO THE HEADS OF EXECUTIVE DEPARTMENTS AND ESTABLISHMENTS SUBJECT: Principles for determining costs applicable to research and develop- ment under grants and contracts with educational institutions 1. Purpose. This Transmittal Memorandum amends sections B.,, "Definition of terms," and J.7., "Compensation for personal services," of Attachment A to Circular A-21 (Revised) dated March 3, 1965, together with subsequent amendments. The principal purpose of this amendment is to eliminate the time or effort reporting requirements set forth in that Circulari In substitution therefore, charges to federally sponsored research projects for personal services will be supported by the institutions normal time and attendance and payroll distribu- tion systems, and by stipulated salary support amounts as specifically stated in research agreements. 2. Amendments a. Under section B.,, a new paragraph is added: "7. Stioulated salary support is a stated dollar amount of a faculty member's salary which a Government agency agrees to reim- burse to an educational institution as a part of sponsored research costs. Stipulated salary support amounts will be provided in the research agreement for professorial staff any part of whose compen- sation is chargeable to Government-sponsoted research and may be pro- vided for any other professionals who are engaged part time in sponsored research and part time in other work. The stipulated salary support for an individual will be determined by the Government and the educational institution during the proposal and award process on the basis of a considered judgment as to the monetary value of the contribution which the individual is expected to make to the research project, taking into account any cost sharing by the institution, and basing the judgment on such factors as Value of the investigator's expertise to the project, the extent of his planned participation in the project, and his ability to perform as planned in the light of his other commitments. It will be necessary for those who review research proposals to obtain information on the total academic year salary of 2 the faculty members involved; the other research projects or proposalsfbr which salary is allocated; and any other duties they may have such as teaching assignments, administrative assignments, number of graduate students for which they are responsible, or other institutional activities. Stipulated amounts for an individual must not result in increasing his official salary from the institution. "In those cases in which it is not feasible to establish a stipulated salary support amount during the proposal and award process because detailed plans or knowledge of specific positions or individuals are not available, the agency and the institution may agree to use tl,@ payroll distribution procedure set forth in J.7.b. below as a basis for reimbursement of salary for any individuals for whom a support amount has not been established." b. Subsection b. of section J.7. is amended to read: 'lb. Payroll distribution. Amounts charged to organized research for personal services, except stipulated salary support, regardless of whether treated as direct costs or allocated as indirect costs, will be based on institutional payrolls which have been approved and documented in accordance with generally accepted institutional practices. Support for direct and indirect allocations of costs to (1) instruction, (2) organized research, (3) indirect activities as defined in section E.l., or (4) other institutional activities as defined in section B.4. will'be provided as described in subsections C.$ d., and e. below." c. Subsections c., d., and e. of section J.7. are eliminated and re- placed with the following: 'Ic. Direct char@es for versonal services. The amounts stipulated for salary e( section rants or cost-reimbursable type contracts will be treated as direct costs. The stipulated salary for the academic year will be prorated equally over the dura- tion of the grant or contract period during the academic year, unless other arrangements have been made in the grant or contract instru- ment. No time or effort reporting will be required to support these amounts. Special provision for summer salaries will be required. The research agreements will state that any research covered by summer salary support must be carried out during the summer, not during the academic year, and at locations approved in advance in writing by the granting agency. The certification required in the new section K will attest to this requirement as well as all others in a given research agreement. "Stipulated salary support remains fixed during the funding period of the grant or contract and will be costed at the rate described above unless there is a significant change in performance. For 3. examplei a significant change in performance would exist if the faculty member (1) was ill for an extended period, (2) took sab- batical leave to devote effort to duties unrelated to his research, or (3) was required to increase substantially his teaching assign- ments administrative duties, or responsibility for more research projects. In the latter event, it will be the responsibility of the educational institution to reduce the charges to the research agreement proportionately or seek an appropriate amendment. "In the case of those covered by stipulated salary support, the auditors are no longer required to review the precise accuracy of time or effort devoted to research projects. Rather, their reviews should include steps to determine on a sample basis that an institu- ti6n is not reimbursed for more than 100 percent of each faculty member's salary and that the portion of each faculty member's salary charged to Government-sponsored research is reasonable in view of his university workload and other commitments. "When an educational institution cost shares in whole or in part (see Bureau of the Budget Circular No. A"74) by using faculty sala- ries, the stipulated salary concept should also be applied in this instance. During the proposal and award process, approving authori- ties will establish, in conjunction with the institution, the share of the faculty member's contribution to the project to be reimbursed by the Government and that to be borne by the institution. The latter amount will become a part of the institution's cost share. Unless other arrangements are made, the institution will prorate the stipu- lated salary over the period of the agreement and charge the prorated costs to the project cost records periodically to support its cost sharing amounts. No time or effort reporting will be required to support these charges. As in the case of stipulate salary amounts that are reimbursed by the Government, any significant change in performance, as defined in that context, which would affect the agreed-up6n cost sharing amount must be promptly recognized by ot er cost sharing or amendment to the research agreement. It will be the responsibility of the educational institution to assure that this action is taken. "Nonprofessorial professional staff includes research associates and assistants, graduate students, and other persons performing pro- fessional work; for example, chemists and engineers. The direct cost charged to organized research for the services of such pro- fessionals, exclusive of those whose salaries are stipulated in the research agreement, will be based on institutional payroll systems. Such institutional payroll systems must be supported by either an adequate appointment and workload distribution system accompanie monthly reviews performed by responsible officials and a reporting of any significant changes in workload distribution of each profes- sional,, or by a monthly after-the-fact certification system which 4. will require the individual investigators) deans) departmental chair- men or supervisors having first-hand knowledge of the services per- formed on each research agreement to report the distribution of effort. Reported changes will be incorporated during the accounting period into the payroll distribution system and into the accounting records. Direct charges for salaries and wages of nonprofessionals will be supported by time and attendance and payroll distribution records. 'Id. Indirect personal services costs. Allowable indirect personal services costs will be supported y the education institution's accounting system maintained in accordance with generally accepted institutional practices. Where a comprehensive accounting system does not exist, the institution should make periodic surveys no less frequently than annually to support the indirect personal services costs for inclusion in the overhead pool. Such supporting documenta- tion must be retained for subsequent review by Government officials. tie. General guidance for charging personal services. Budget esti- mates on a monthly, quarterly, semester, or ye rly basis do not qualify as support for charges to federally sponsored research projects and should not be used unless confirmed after the fact. Charges to research agreements may include reasonable amounts for activities contributing and intimately related to work under the agreement, such as preparing and delivering special lectures about specific aspects of the ongoing research, writing research reports and articles, participating in appropriate research seminars, con- sulting with colleagues and graduate students with respect to related research, and attending appropriate scientific meetings and confer- ences. In no case should charges be made to federally sponsored research projects for 'lecturing or preparing for formal courses listed in the catalog and offered for de-ree credit, or for committee or administrative work related to university business." d. A new section K is added. "K. Certification of charges. "To assure that expenditures for research grants and contracts are proper and in accordance with the research agreement documents and approved project budgets, the annual and/or final fiscal reports for grants and the vouchers requesting payment under contracts will include a certification which reads essentially as follows: "'I certify that all expenditures reported (or payments requested) are for appropriate purposes and in accordance with the agreements set forth in the application and award documents' (signed by an authorized official of the university). It 3. Effective date. This amendment is effective immediately. Charles J. Zwick Director GRANTS ADMINISTRATION MANUAL CHAPTER 1-71 BUDGETING AND ACCOUNTING FOR SAIARIES 1-71-00 Purpose 10 Background 20 Applicability 30 Stipulated Salary Support 40 Basic Policies 50 Supporting Information in Grant Applications 60 Adjustment of Stipulated Salary Support Amounts 70 Standards for Substantiation Systems 80 Operating Agency Implementation 1-71-00 PURPOSE This chapter sets forth Department policy on budgeting and accounting for salaries on all grants in which salary support is provided as a separately identified element of cost except those awarded to State or local government agencies. 1-71-10 BACKGROUND Prior to the amendment of June 1, 1968, Bureau of the Budget Circular No. A-21 required that all amounts charged to organized research for personal services be based on institutional payrolls approved an documented in accordance with generally accepted institutional practices. With certain exceptions, the Circular also required supplementary data on time or effort to support such salary charges. For individuals other than members of the professional staff, this support was to e in the form of time and attendance and payroll distribution records. For members of the professional staff,, current and reasonable after- the-fact estimates of the percentage distribution of their total effort could be used as support in the absence of actual time records. Within the DHEW, time or effort reporting requirements were adopted in many programs not specifically covered by Circular No. A-21. Included among these were research grants to hospitals and other organizations, and a number of diverge programs involving non-research activities such as training, demonstrations, or the provision of services to the public. (1-71-10 continued) Page 2 Circular No. A-21 was amended by Transmittal Memorandum No. 2, dated June 1. 1968. The principal purpose of that amendment was to eliminate the time or effort reporting requirements. In substitution therefor,, the amendment provides that charges by educational institutions to federally sponsored research projects for personal services will be supported by payroll distribution systems, time and attendance records for non-professionals, and stipulated salary amounts as stated in research agreements. Stipulated salary support is defined in paragraph B.7 of the amendment as a stated dollar amount of a faculty member's salary which a Government agency agrees to reimburse to an educational institution as a part of sponsored research costs. The Department believes that this new approach provides an eminently rational basis for treating salary support not only for research agreements with educational institutions but also in other programs and types of grantee institutions. Consequentl'y, it has elected to extend the applicability of the new A-21 provisions (and terminology) to all grants in which salaries are budgeted as a separately identified element of cost. However, exception must be made in the case of grants to State and local governments awarded under the new cost principles set forth in BOB Circular No. A-87; paragraph 10 of Attachment B of that circular specifically requires State and local government grantees to support their payrolls by time and attendance records for individual employees, supplemented by time distribution records for those charge- able to two or more grant programs or other cost objectives. 1-71-20 APPLICABILITY This chapter applies to all grants in which salary support is budgeted as a separately identified element of cost, except those to State and local governments awarded under Bureau of the Budget Circular No. A-87 when that circular becomes effective. The Department's research cost principles for hospitals (Chapter 2-66) and other non-profit institutions (Chapter 2-68) will be amended to conform to this policy as soon as practicable. In the interim, salaries charged under those principles will be governed by this chapter as fully as if they had been amended. This chapter does not apply to stipends or consultants' fees. 1-71-30 STIPULATED SALARY SUPPORT There exist two principal approaches to the establishment of direct salary support amounts in grant budgets: A. An amount of salary support may be agreed upon for a named individual (usually, but not always, a member of the grantee's professional staff). B. Support may be provided on the basis of a job title or position description without reference to a named individual. (1-71-30 continued) Page 3 It is clear that the June 1, 1968 amendment to BOB Circular A-21 is not intended to fundamentally alter the procedures associated with these two approaches. Consequently this policy regards stipulated salary support as defined by Circular No. A-21 as for all practical purposes synonymous with the first of these two approaches. 1-71-40 BASIC POLICIES A. Budgeting of Salaries 1. Stipulated Salaries Institutions applying for grants are expected to realistically assess the total anticipated commitments of those individuals for whom they request stipulated salary support. The amounts budgeted should be based on (and may not exceed) the proportional relationship between.the services to be tendered to the project and the individuals total salaried commitments. In reviewing grant applications, operating agencies should carefully evaluate the reasonableness of proposed stipulated salary support amounts in relation to total anticipated commitments. In the case of educational institutions, special provision for summer salaries (whether for research or other activities) will be required. The grant will state that any work covered by stipulated summer salary support must be carried out during the summer, not during the academic year, and at locations approved in advance in writing by the granting agency. 2. Non-Stipulated Salaries In those cases in which it is not feasible to establish a stipulated salary support amount for an individual, the amounts to be included as direct costs in the grant budget should be based on planned staffing levels and the grantee's established salary scales for the types of positions involved. When the grant activity is expected to require less than full time service, the amount of salary support to be budgeted should be proportionately reduced. B. Charging of Salaries 1. Stipulated salary support amounts will remain fixed during the budget period unless there is a significant change in performance. If as a result of such a change, the original budget agreement becomes invalidated, the grantee is expected to make an appropriate adjustment to maintain a reasonable relationship between the amount of salary charged to the grant and the services actually devoted to (1-71-40 B.1 continued) Page 4 the grant activity. Non-stipulated salary charges will be based on the grantees payroll system, and will be supported by appro- priate documentation. 2. Adjustments to both stipulated and non-stipulated salaries may result in increases as well as decreases to the budgeted amounts. However, this is not intended to require any change to existing operating agency policies governing the extent to which salary funds may be rebudgeted without prior approval. C. Limitations Grant funds or grant funds plus other funds may not be used to reimburse the institution for any individual an amount in excess of his official salary. Grant funds may not be used to increase an individuals salary beyond the amount regularly established for him under the grantee's policies, which must be applied consistently without regard to the source of funds used for salary support. D. Supporting Systems Grantees are required to maintain systems which enable them to adequately discharge their responsibilities under A, B, and C, above, and to demonstrate that fact upon audit. The adequacy of such systems will be subject to audit review. Within the framework of the standards in Section 1-71-70 grantees should be given the maximum discretion to adopt systems appropriate to their individual needs. Consequently, operating agencies should not prescribe specific features of such systems in excess of those required by this policy. 1-71-50 SUPPORTING INFORMATION IN GRANT APPLICATIONS Operating agencies sh.ould require sufficient information in support of requests for direct salary support to enable them to reach informed judgements as to the reasonableness of the amounts proposed. In the case of requests for stipulated salary support the following minimum information should be obtained: A. the estimated percentage of the individual's total salaried services to be devoted to the grant supported activity and B. a listing of any other duties he is expected to have during the budget period accompanied by an estimate of the time or effort which they will involve. (1-71-50 continued) Page 5 Agencies may also require the submission of such additional information as is clearly required for an informed judgement as to whether the proposed activity warrants support and as to the appropriate amount of such support. This may include the individuals total annual (or academic year) salary and the extent to which that salary represents full or part-time service. In the case of educational institutions, additional information will generally be necessary when stipulation is contemplated for summer work. (See 1-71-40A.1) 1-71-60 ADJUSTMENT OF STIPULATED SAIARY SUPPORT AMOUNTS A. As indicated in 1-71-40 B. grantees are responsible for adjusting stipulated salary support amounts when necessary to maintain a reasonable relationship between the amount of salary charged to the grant and the total salaried services devoted to the grant activity. The Department recognizes the difficulties which are generally inherent in attempting to measure the distribution of professional services with any degree of precision. It is for this reason that stipulated salary support should be regarded as fixed in amount, and is subject to adjustment only when there is a significant change in performance. A significant change means either an extended absence or an identifia le c ange in the individuals schedule (workload distribution) which would have resulted in the stipulation of a different amount if it had been anticipated at the time of award. B. An adjustment would be required, for example, if a member of the faculty of a university working part-time on a research or training project were absent for an extended period of time or if he subsequently increased or decreased his teaching load by one or more courses. Similarly, an adjustment would be necessary if salary support had been provided with the expectation that the individual would work on three projects but support for one of these projects did not materialize and the salary and time of the individual were to be redistributed between the two projects being supported. 1-71-10 STANDARDS FOR SUBSTANTIATION SYSTEMS A. As specified in paragraph 1-71-40 D. grantees are required to main- tain systems which enable them to adequately discharge their re- sponsibilities under this policy. The minimum standards for sub- stantiation systems are identified As the "payroll distribution procedure" by BOB Circular No. A-21 and are summarized in C, D, and E, below. Page 6 (1-71-70 continued) B. Such systems, while required for both stipulated and non-stipulated .salaries, may be regarded as serving two differing purposes. In the case of stipulated salaries, their purpose is primarily to determine when adjustments are required. In the case of non- stipulated salaries, since there is no prior agreement as to the monetary value of the contribution which an individual is expected to make, the purpose of the substantiation system is to determine the amount to be charged and to document that determination. However, it is believed and intended that institutions will be able to accomplish both of these purposes by the same basic system or systems. C. Direct charges for professionals must be supported by either: 1. an adequate appointment and workload distribution system, accompanied by monthly reviews performed by responsible officials and a reporting of any significant changes in workload distribution of each professional (i.e., an exception reporting system) or 2. a monthly after-the-fact certification system which will require persons in supervisory positions having firsthand knowledge of the services performed to report the distri- bution of effort (i.e., a positive reporting system). Such reports must account for the total salaried effort of the persons covered. Consequently, a system which provides for the reporting only of effort applicable to federally sponsored activities is not acceptable. (This alternative is somewhat similar to the time or effort reporting pro- cedure previously required by BOB Circular No. A-21. It is important to note that, as in the past, there is no requirement that individual professional employees report the distribution of their own time or effort.) D. Direct charges for salaries and wages of non-professionals will be supported by time and attendance and payroll distribution records. E. Allowable indirect personal services costs will be supported by the institution's accounting system maintained in accordance with generally accepted institutional practices. Where a comprehensive accounting system does not exist, the institution should make periodic surveys no less frequently than annually to support the indirect personal services costs for inclusion in the overhead pool. Such supporting documentation must be retained for sub- sequent review by Government representatives. 1-71-80 OPERATING AGENCY IMPLEMENTATION Page 7 A. Operating agencies should implement this policy in accordance with the general guidelines of Chapter 1-20 not later than January 1, 1069. Copies of the written implementing instructions which they develop shall be submitted to the Division of Grants Administration Policy upon issuance. B. Agency implementation of this policy should become effective for currently active grants oh the same date it becomes effective for new awards. Grantees should be notified that all salary support amounts provided for named individuals in the budgets of currently active grants shall be regarded as stipulated and that the requirement for time or effort reporting in support of professional salary charges is discontinued. Formal amendments to individual currently active grants will not be necessary for this purpose. HEALTH SERVICES AND HEALTH ADMINISTRATION Grant-In-Aid Programs Program Code, Grant Prefix, Program When Used When Used COMMNITY HEALTH SERVICE Appalachian Demonstration Health Projects AG Planning Grants Construction Grants Component Project Grants for Operations and Equipment Supplements to ltderal Grants-In-Aid for Appalachian Construction Programs Comprehensive Health Planning and Services Formula Grants State Program for Comprehensive Health Planning State Public Health Services State Yental Health Services Project Grants N,, AP, CH, MR Areawide Health Planning Studies & Demonstrations in Health Planning Health Services Development Projects Training Grants CSTP N., MTN.. Academic Centers < MR(T), T., NT, RH Health Planning Curriculums Continuing Education in Planning Health Services Development Training Migraat Health Program MG Project Grants HEALTH FACILITIES PIANNING AND CONSTRUCTION SERVICE HM Construction Grants Hospitalsand Public Health Centers Rehabilitation Facilities Wag Term Care Facilities Diagnostic or Treatment Centers Modernization of Health Facilities NATIONAL COMMCABLE DISEASE CENTER -CC Research Grants Projects Rol Scientific L?valuation Rog Conferences R13 Exploratory Grants R21 Research Program Projects Fol Tmmini zation Programs I* 2 Program Code., Grant Prefix., Program When Used When Used CDp CHO H[4., HS NATIONAL CENTER FOR HEALTH SERVICES RESEARCH AND D PMT Research and Demonstration Grants Projects Rol Conferences R13 Developmeat and Demonstration R18 Exploratory Grants R21 Research Program Projects Pol Health Services Research Centers P02 Training Grants Graduate Tol Fellowship Grants Predoctoral Fol Postdoctoral FO 2 Special F03 NATIONAL INSTITURE OF MENTAL HEALTH ma Research Grants Projects Rol Nursing R02 .@ll Grants R03 Scientific Evaluation Rog Chemotherapy and Psychopbarmacology RIO Mental Health Special Grants R12 Conferences R13 Mental Health Special Conferences R16 Hospital Improvement Project Grants R20 Research Program Projects pol Categorical Clinical Research Centers F02 Scientific Evaluation Fog General Research Support Training Grants Graduate Tol Undergraduate T02 Scientific Evaluation Tog Inservice Training Program Tio Conferences T14 Coatinuing Education Training Pmgram T15 Pilot Projects T21 Special Projects T31 Utilization and Development T41 Scientific Evaluation K09 Fellowship Grants Predoctoral Fol Postdoctoral ID2 Special E03 Research Career Program Awards 3 Program Code, Grant Prefix, Program When Used When Used Fellowship Grants (con't.) Research Scientist Development Award Research and Trai@ K01 Research KJD2 Research Scientist Award K05 Research Career Award Ko6 Other Grants Comm,iinity Mental Health Center Construction C03 Staffing Hol Narcotic Addict Treatment Program Operations 7 Construction C04 REGIONAL MEDICAL PROGRAMS SERVICE RM Planning Grants G02 Operational Grants G03 HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMUML PROGRAMS Grants Memorandum Number 69-20 SUBJECT: "Prior Approval" Program - Cumulative Listing of Participating Institutions. The institutions which have accepted an invitation to participate in the institutional ttprior approval" program are listed below. This list supersedes Grants Memorandum Number 68-3, dated October 8. 1968. If you have any questions about this program, please contact the Office of Grants Management, HSMHA, 179-6277. Name of Institution Beginning Date Adelphi University 10/l/68 Alabama, University of 7/l/67 Alabama, University of, Medical Center 9/l/67 Albany Medical College of Union University 1/l/69 Arizona, University of 7/l/67 Arkansas,, University of 7/i/67 Boston University 3/l/68 Bowman Gray School of Medicine 3 5 68 Brown University 12/l/68 California Institute of Technology 3/l/68 Case Western Reserve University 10/i/67 'Cedars-Sinai Medical Center,, Los Angeles 1/l/68 Children's Cancer Research Foundation, Boston 7/l/68 Children's Hospital Medical Center, Boston 1/l/68 Children's Hospital of Los Angeles 6/l/68 Children's Hospital of Philadelphia 10/l/67 Children's Hospital of @shington, b.C. 11/l/68 Cincinnati, University of 8/l/68 City of Hope Medical Center, Los Angeles 3/l/68 Clark University, Worcester 1/15/68 Cleveland Clinic Foundation 8/l/68 Colorado State University 7/l/68 Columbia University College of Physicians & Surgeons (in original study) Community Blood Council of Greater New York 2/l/69 Cornell University,, Ithaca 7/15/67 Cornell University Medical College, NYC 11/l/67 2 Name of Institution Beginn Date 7/l/67 Emory University Florida University of 7/j/67 $ 7/l/67 Georgetown University 3/l/68 George Washington University 7/l/67 Georgia, Medical College of 2/l/69 Georgia, University of Hahnemann Medical College & Hospital of Philadelphia 12/l/68 Harbor General Hospital, Torrance, Calif. 2/19/68 Hawaii, University of 7/l/67 Hospital for Special Surgery, NYC 11/l/67 Illinois Institute of Technology, Chicago 3/l/68 Illinois,, University of, Chicago Circle 7/l/67 Illinois, University of, Urbana 7/l/67 Illinois University of, Medical Center 7/l/67 Indiana University and Foundation 7/15/67 Institute for Cancer Research, Philadelphia 3/l/68 Iowa, University of 5/15/68 Jackson Laboratory 7/l/67 Johns Hopkins University School of Medicine (in original study) Kaiser Foundation Research Institute 11/l/67 Kansas State University 2/l/69 Kentucky, University of 9/l/68 Louisville University of 7/l/68 Loyola University, Chicago 7/l/68 Maimonides Hospital of Brooklyn 10/16/67 Maryland, Univ. of, College Park & Baltimore Campuses 3/l/68 Massachusetts General Hospital (in original study) Massachusetts Institute of Technology (in original study) Mayo Foundation 6/l/68 Meharry Medical College 7/l/68 Memorial Hospital for Cancer & Allied Diseases 3/l/68 Menninger Foundation 11/l/68 Miami, University of 8/l/67 Michael Reese Hospital and Medical Center 3/l/68 Michigan State University 9/l/68 Michigan, University of (in original study) Minnesota, University of 7/l/67 Mississippi, University of, Oxford 7/l/67 Mississippi, Univ. of, Medical Center, Jackson 7/l/67 Montana State University 1/l/69 Montefiore Hospital, NYC 1/l/68 Mount Sinai Hospital, NYC 7/]-/67 Mount Sinai School of Medicine, NIYC 7/l/67 Mount Zion Hospital & Medical Center, San Francisco 2/l/69 3 Name of Institution Beginning Date New Mexico@ University of 6/l/68 Northwestern University 7/l/67 Notre Dame,, University of 9/l/68 Ohio State University & Research Foundation 4/l/68 Oklahoma Medical Research Foundation 7/l/67 Oklahoma State Univ. of Agriculture & Applied Science 9/l/68 Oregon Medical School, University of 8/l/67 Oregon State University 8/15/68 Oregon, University of 7/l/67 Pennsylvania State University, State College 2/16/68 Pennsylvania State Univ., Medical School,, Hershey 2/16/68 Pennsylvania, University of (in original study) Philadelphia General Hospital ii/l/67 Philadelphia Psychiatric Hospital 1/l/68 Prp-tbyterian-Univ. of Pennsylvania Medical Center 9/l/68 Public Health Research Institute of New York City i/8/68 Renssalear Polytechnic Institute 12/l/68 Purdue University 7/l/67 Retlna Foundation lo/l/68 RitO University 9/l/68 Rockefeller University (in original study) fUtgers,, The State University 7/5/67 St. Christopher's Hosp. for Children, Phila. 11/l/67 St. Jude Hospital, Memphis ii/l/67 Salk Institute of Biological Studies 4/24/68 San Diego State College and Foundation 8/l/67 Scripps Clinic and Research Foundation 7/l/67 Southern California, University of 7/l/67 Southwest Foundation for Research and Education 12/l/68 Temple University i/9/69 Tennessee, Univ. of, Medical Units (Memphis) 6/l/68 Texas, University of,, Austin 7/l/67 Texas,, University of,, Dental Branch 7/l/67 Texas UniV. of, Graduate Sch. of Biomedical Sciences 7/l/67 Texas, Univ. of, M.D. Anderson Hosp. & Tumor Institute 7/l/67 Texas, Univ. of, Medical Branc , Galveston 7/l/67 Texas, Univ. of, Southwestern Medical College, Dallas 7/l/67 Tufts University 9/11/61 University Hospital, Boston 3/l/68 Utah State University 4/l/69 Utah, University of 7/l/67 Vanderbilt University 11/l/68 Vermont, University of 7/l/67 4 Name of Institution Beginning Date Washington,, University of, Seattle 8/l/67 Washington University, St. Louis 8/l/67 Wistar Institute, Philadelphia 6/l/68 Woman's Medical College of Pennsylvania 2/l/69 Worcester Foundation for Experimental Biology 7/l/67 Total Number of Participating Institutions - 118 Director., Office of Grants Management Date: February 6, 1969 HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Number 69-21 SUBJECT: SUNY Local Campus Officials Authorized to Sign Applications for Sponsored Support and Research Foundation of SUNY Individuals Authorized to Certify Expenditures from Sponsored Program Funds Attached are revised listings of the State University of New York local campus officials designated to sign application face sheets evidencing University administrative approval of proposed projects and of those persons authorized to eOrtify on behalf of the Research Foundation, expenditures from sponsored program funds At the local campuses. This list supersedes the list attached to Grants Memorandum Number 69-18, dated JAnuary 22,, 1969. Director, Office of Grants Management Date: February 19, 1969 Attachment Index: Authorized Signatures - SUNY STATE UNIVERSITY OF NEW YORK LOCAL CAMPUS OFFICIALS AUTHORIZED TO SIGN APPLICATIONS FOR SPONSORED SUPPORT State University of New York at Albany Dr4 Evat;R. Collins, President Dr. Earl G Droessler, Vice-President for Research Dr. Alan A: Kuusisto, Vice-President for Academic Affairs State University of New York at Binghamton Dr. Bruce Dearing, President Dr. S. Stewart Gordon, Vice-President for Academic Affairs Mr. Edward J. Demsk6, Coordinator of Research Dr. Edward C. Moore, Vice-Pr6sident for Graduate Studies and Research State University of New York 'at Buffalo Dr. Martin Meyerson, President Dr. Raymond Ewell, Vice-Pre8ident for Research Dr. Peter F. Regan. Executive Vice-President Mr. Robert D. Murrill, Assistant Vice-President for Research State University of New York, Downstate Medical Center Dr. Joseph K. Hill, President and Dean State University of New York, Upstate Medical Center Dr..tewis W. Bluemle, Jr., President Mr.,David A. Sinclair,, Vice-President for Business Affairs Mrs. J6An R. Fancher, Assistant for Sponsored Research State Univergity_of New York, College at Brockport Dr. Albert W. Brown, President Dr. Donald Nasca Director for Research State University of New York, College at Buffalo Dr. Elbert K. Fretwell, President Dr. George R. Sherrie, Vice-President for Administration 2 State University of New York, College at Cortland Dr. Richard C.- Jones, President Dr. Ross Allen Dean, Division of Graduate Studies and Research Dr. Walter L. Heilbronner2 Vice-President for Academic Affairs State University of New York, College at Fredonia Dr. Oscar E. Lanford 5 President Dr. Milton M. Klein Dean for Graduate Studies and Research State University of New York. College at Geneseo Dr. Robert W. MacVittie., President Dr. Roy E. McTarnaghan,, Dean for Long Range Planning and Research State University of New York, College at New Paltz Dr. John J. Neumaier President I Dr. John H. Jacobson 2 Vice-President State University of New York, College at Old Westbury Dr. Harris Wofford, President Dr. Jerome Ziegler State University of New York, College at Oneonta Dr. Royal F. Netzer, President Dr. Clifford J. Craven, Vice-President and Academic Dean State University of New York, College at Oswego Dr. James E. Perdue, President Dr. J. Sherwood Dunham, Vice-President for Academic Affairs State University of New York, College at Plattsburgh Dr. George W. Angell, President Dr. William F. Lawrence, Vice-President for Academic Affairs 3 State Universitv of New York, College at Potsdam Dr. H. Austin Peck, President Dr. Alfred W. Thatcher, Vice-President for Academic Affairs Dr. Clarence McKinstry, Research Grants Administrator State University of New York, College at Purchase Dr. Abbott Kaplan, President State University of New York, le e of Fore@r Dr. Edwin C. Jahn , Dean Dr. Richard E. Pentoney, Associate Dean for Physical Sciences and Research State University of New York, Maritime le e Rear Admiral Edward J. O'Donnell,, President Dr. Daniel J. Duffy, Vice-President for Academic Affairs State University of New York, Agricultural and Technical College at Aldred Dr. David H. Huntington, President Dr. Roger F. Rawe, Vice-President and Dean State University of New York, Agricultural and Technical College at Canton Dr. Glenn E. Wright, Acting President State University of New York, Agricultural and Technical College at Cobl6skill Dri Wa'L.ton A. Brown, President Mrs; Mariotie K. Byrnes, Business Officer State University of New York, Agricultural and Technical College at Delhi Dr. William R. Kunsela, President Dr. William F. Kennaugh, Vice-President 4 State University of New York, Agricultural and Technical College at Farmingdale Dr. Charles W. Laffin; Jr., President Mr. Vincent H. Tolino, Director of Institutional Research State University of New York, Agricultural and Technical College at Morrisville Dr. Royson N. Whipple, President State University of New York, Center for International Studies and World Affairs Dr. Ivan Putman, Jr., Acting University Dean State University of New York, Institute for Research in Learning and Instruction (Vacancy) State University of New York. Fashion Institute of Technolo&X Dr. Lawrence Jarvie 2 President State University of New York at Stonv Brook Dr. John S. Toll President 5 Dr. Bentley Glass, Academic Vice-President Dr. T. A. Pond, Executive Vice-President Dr. Herbert Weisinger, Dean, Graduate School Revised 1/16/69 $4 $4 Ca 4-4 44 4-4 44 cn co CD ;4 r4 -,4 cn co t44 $4 0 $4 cn U) 0 $4 0 m $4 $4 44 P4 44 m -,4 rA .,4 $4 (1) co Cd 4i Cd 4.J r. 4-4 4-1 4i .,4 44 44 0 $4 $4 0 w u ri) -,4 Po cn pq rn cw cn co a) 0 cn cn Cl) n a) Ct) 0 a) $4 44 $4 PI $4 0 0 PW r-i cn P4 44 r4 >1 r-4 co co $4 rZ4 44 $4 0 1-4 0 a) 4i P;Cll r4 0 -r4 r-I (3) u > Cd $4 > 4.4 4) 44 0 $4 0 0 1 C--) -0 4i r4 4i 4J $4 tHA r. rZ4 Cd a) $4 It<. 0 04 (d 0 14 0 4.J )4 r4 4i 0 P,4 0 10 co n E%3 ,4 -,4 $4 -r4 C40 0 ri) $4 $4 F4 @ U) -r4 r4 .,4 N 0 0 iz Z @ cn En u co > u p @ tn fX4 *4 rX4 m 9 $4 $4 co 14 $4 -r4 tn 4i 44 co $4 Cd w 2 t44 r-4 r-4 0 0 co 4i PQ -r4 r. z 0 4i > rz4 4J $4 cn 0 $4 a) $4 4-) 14 to ra z zr. E-4 Cd 14 0 0 0 W -r4 Cd @o r-4 PI E-4 E pq rn F4 1-4 > En $4 U) F-4 $4 r4 PQ 0 Ji 0 $4 r-I 0 p CTJ 4i > LI) pq 0 U) 44 Cd C/) 0 0 F-) L) ri) (1) $4 C.) r4 F-I P 0 F4 W Cd P -C F-I Q) 0 0 o -r-) 0 u 4j 4 cd u r4 CIS It u pq F-I r4 E-4 En U) E-4 E-4 E-4 0 0 5 E-4 PL4 PA P-4 HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Num er 69- SUBJECT: Implementation of HEW Chapter 1-71, Grants Administration Manual Institutions which have elected to convert to stipulated salary support systems and have issued written notices to this effect are listed below. These systems are applicable to all grants active as of the date of conversion as well as to all awards made thereafter. Awarding components may receive revised budgets from the listed grantees for the current applications and awards. One exception is the Jewish Hospital of St. Louis which has stated their applications already contain stipulated salary amounts. According to Chapter 1-71-60 A of the Grants Administration Manual, stipulated salary support should be regarded as fixed in amount, and is sub'ect to adjustment on@l when there is a significant change in the i level of performance. This means that upward adjustments of stipulated salary amounts are not allowable for other reasons, such as general or specific pay increases, unless the stipulated amount is renegotiated with the awarding unit. Chapter 1-71-40 8 of the Manual points out that upward adjustments because of changes in performance are subject to the operating agency's rebudget- ing policies. Since the present PHS policy permits rebudgeting into the salary category without prior approval, awarding components are reminded that if they wish to limit stipulated salary amounts to the amount stipulated, it will be necessary to place a notation such as the following on the award stateme t: ,'Upward adjustments of stipulated salary amounts may not be made without prior approval of this office." Without such a notice5 upward adjustments may be made unilaterally by the grantee under PHS rebudgeting policies. A general policy revision is not anticipated at this time because of the few institutions that have elected to stipulate. 2 Institutions Which Have Elected to Convert to a Stipulated Salary System Effective January 1, 1969 1. Indiana University Foundation, Bloomington, Indiana 2. Kent State University, Kent Ohio 3. Philadelphia Geriatric Center, Philadelphia, Pennsylvania 4. The Jewish Hospital of St. Louis, St. Louis, Missouri S. Fels Research Institute, Yellow Springs, Ohio. For your information, we are also listing those institutions which have communicated to us their desire not to convert to a stipulated salary system. Institutions Not Converting to a Stipulated Salary System 1. Stanford University, Stanford,, California 2. Utah State University, Logan, Utah 3. National Opinion Research Center, Chicago, Illinois 4. University of California, Berkeley, California S. Louisiana State University Medical Center, New Orleans, Louisiana 6. University of Washington, Seattle, Washington. This memorandum supplements the information previously furnished in Grants Memorandum No. 69-19, January 27, 1969. @ az Diri ce of Grants Management Date:- Index: Stipulated Salaries Page 1. STATE UNIVERSITY OF NEW YORK LOCAL CAMPUS OFFICIALS AUTHORIZED TO SIGN APPLICATIONS FOR SPONSORED SUPPORT State University of New York at Albany Dr. Evan R. Collins , President Dr. Earl G. Droessler, Vice-President for Research Dr. Alan A. Kuusisto , Vice-President for Academic Affairs State University of New York at Binghamton Dr. Bruce Dearing, President Dr. S. Stewart Gordon, Vice-President for Academic Affairs Mr. Edward J. Demske, Coordinator of Research Dr. Edward C. Moore, Vice-President for Graduate Studies and Research State University of New York at Buffalo Dr. Martin Meyerson, President Dr. Raymond Ewell, Vice-President for Research Dr. Peter F. Regan, Executive Vice-President Mr. Robert D. Murrill, Assistant Vice-President for Research State University of New York, Downstate Medical Center Dr. Joseph K. Hill, President and Dean State University of New York, Upstate Medical Center Dr. Lewis W. Bluemle, Jr., President Mr. David A. Sinclair, Vice-President for Business Affairs Mrs. Jean R. Fancher, Assistant for Sponsored Research State'University of New York, College at Brockport Dr. Albert W. Brown, President Dr. Donald Nasca,, Director for Research State University of New York, College at Buffalo Dr. Elbert K. Fretwell, President Dr. Philip Bonner, Vice President for Administration State University of New York, College at Cortland Dr. Richard C. Jones, President Dr. Ross Allen, Dean, Division of Graduate Studies and Research Dr. Walter L. Heilbronner, Vice-President for Academic Affairs State Univers Dr. Oscar E. Lanford, President Dr. Milton M. Klein, Dean for Graduate Studies and Research State University of New York, College at Geneseo Dr. Robert W. MacVittie, President Dr. Roy E. McTarnaghan, Dean for Long Range Planning and Research State University of New York, Col Dr. John J. Neumaier, President Dr. John H. Jacobson, Vice-President State University of New York, Col lege at Old Westbury Dr. Harris Wofford, President Dr. Jerome Ziegler State University of New York, ColleRe at Oneonta Dr. Royal F. Netzer, President Dr. Clifford J. Craven, vice-President and Academic Dean State University of New York. College at Oswego Dr. James E. Perdue, President Dr. J. Sherwood Dunham, Vice-President for Academic Affairs State Universitv of New York. College at Plattsburgh Dr. George W. Angell, President Dr. William F. Lawrence, Vice-President for Academic Affairs HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAM Grants Memorandum Number 69-25 SUBJECT: SUNY Local Campus Officials Authorized to Sign Applications 'or Sponsored Support and Research Foundation of SUNY Individuals Authorized to Certify Expenditures from Sponsored Program Funds Attached are revised listings of the State University of New York local Campus officials designated to sign application face sheets evidencing University administrative approval of proposed projects and of those persons authorized to certify on beh6lf of the Research Foundation, expenditures from sponsored program funds at the local campuses. This information supersedes that contained in Grants Memorandum No. 69-W, 1969. Director, Offie@ of Grants Management Date: April 23, 1969 Attachment Index.- Authorized Signatures SUNY Page 3. State University of New York, College at Potsdam Dr. H. Austin Peck, President Dr. Alfred W. Thatcher, Vice-President for Academic Affairs Dr. Clarence McKinstry, Research Grants Administrator State University of New York, College at Purchase Dr. Abbott Kaplan, President 'State University of New York, College o Forestry Dr. Edwin C. Jahn, Dean Dr. Richard E. Pentoney, Associate Dean for Physical Sciences and Research State University of New York, Maritime College Rear Admiral Edward J. O'Donnell, President Dr. Daniel J. Duffy, Vice-President for Academic Affairs State University of New York, Agricultural and Technical College at Aldred Dr. David H. Huntington, President Dr. Roger F. Rawe, Vide-President and Dean State University of New York, Agricultural and Technical College at Canton Dr. Glenn E. Wright, Acting President State University of New York, Agricultural and Technical College at Cobleskill Dr. Walton A. Brown, President Mrs. Marjorie K. Byrnes, Business Officer ,State University of New York, Agricultural and Technical College at Delhi Dr. William R. Kunsela, President Dr. William F. Kennaugh, Vice-President Page 4. State University of New York, Agricultural and Technical College at Famingdale Dr. Charles W. Laffin, Jr., President Mr. Richard Edel, Director of Institutional Research State University of New York, Agricultural and Technical College at Morrisville Dr. Royson N. Whipple, President State University of New York, Center for International Studies and World Affairs Dr. Ivan Putman 2Jr. 9Acting University Dean State University of New York, Institute for Research in Learning and Instruction (Vacancy) State University of New York, Fashion Institute of Technology Dr. Lawrence Jarvie President .State University of New York at Stony Brook Dr. John S. Toll, President Dr. Bentley Glass,- Academic Vice-President Dr. T. A. Pond, Executive Vice-President Dr. Herbert Weisinger, Dean, Graduate School Revised 3/25/69 Page S. $4 -r4 1 co co 44 44 44 44 cn fn CD rn $4 -,4 -r4 cn cn co cn co :3 LH r4 pq 54 pq f4 z bo 34 0 $4 0 34 0 CA 54 P4 44 co r4 In C) $4 z 4i m 4J' -r4 44 El (D 14 34 0 -r4 u r4 pq pq In (U u m EX] w Er $4 0 Q) $4 34 co 54 0 0 P4 w 44 -r4 m m En $4 -r4 w 44 W $4 0 u 0 u w PQ -W -r4 -r4 @ u > LH $4 > @ LH cu 0 94 0 0 0 -,4 0 $4 p -W -r4 -W 4J $4 m -r4 9 $4 co 0 4J w $4 co 0 cu 00 54 0 -W 54 -W 4J 4i cn 0 N cn 0 u 10 m u H 5 r4 -r4 w $4 -,4 Q) Q) z C41 U) co 0 $4 0 m u 54 0 0 tn a) -,4 0 to -,4 -r4 C(i cn co > cn cn 44 54 > 34 w 0 co E-4 $4 $4 z 8 w $4 Cd F4 En 0 rA 0 0 04 m Cli 4i pq -r4 u z Po 0 ro- 4i > C4 -0 w 34 pq pq rA 0 $4 0 $4 -W $4 co .C 0 $4 5t -00 40 0 a cq L) C4 FA E-4 cn En Po zi P04 8 :D §O 104 P4 Page ri) $4 44 En cu r4 $4 r4 pq CZ 1, .r4 54 0 m (n En 44 En $4 w $4 $4 co r4 .,4 -W >-. H tn CZ co $4 co 114 CZ 44 LH r4 m $4 U) U) Q) u U) PQ rn U) $4 (U cn 44 $4 $4 0 .r4 r4 r4 0 44 $4 rn co cn 4i Q) :3 4J r4 u 4J pq PQ u PQ Q) p 0 p $4 Q) .,4 -W CZ -r4 ro co 0 0 0 p 0 -r4 4J -r4 m $4 $4 cn w 0 0 0 CO 0 cn $4 to 4i 4i 4i 4i $4 4i u rn 0 u Q) r4 r4 Q) r4 (D r4 $4 54 $4 m $4 cn u rn r4 r4 cn H ;j -,4 PQ > pq En S4 ul $4 a) Q) -r4 10 -r4 ci P: co ;4 $4 CZ CZ w (U 4i u u pq >1 cn 0 u C,5 Ca 0 0 m f-A 0 0 r4 $4 u $4 0 >1 co r4 r4 Q) $4 @ 54 $4 $4 CZ 0 :I > 0 14 0 0 CZ -a 0 Ca u PQ z pq pq F-4 E-4 0 E-4 F-4 C4 P4 E-4 P-4 4 p@ Page $4 co w 04 m r. 0 -,4 -,4 4i $4 co w 44 co 0 $4 0 u w -r4 $4 cn > z P4 0 44 r4 $4 $4 C) U -,4 0 CYl (-4 r4 HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Number 69-26 SUBJECT: University of Colorado Medical Center Officials Authorized to Sign Grant Applications Attached is a list of University of Colorado Medical Center officials having authority to sigh grant application forms. Dfrector, Office of Grants Management Date: May 16, 1969 Attac nt Index: Authorized Signatures - University of Colorado Medical Center UNIVERSITY OF COLORADO MEDICAL CENTER OFFICIALS AUTHORIZED TO SIGN APPLICATIONS FOR SPONSORED SUPPORT School of Medicine David W. Talmage, M.D., Dean Seymour Katsh, Ph.D., Associate Dean for Graduate and Research Affairs School of Dentistry Leslie R. Burrows, D.D.S., Ph.D., Dean School of Nursing Kathryn Smith, Ed.D., Dean On grants where a dean is also principal investigator, the following individuals are authorized to sign: John J. Conger, Ph.D., Vice President for Medical Affairs George S. Tyner, M.D., Assistant to the Vice-President for Medical Affairs Adrian E. Williamson, Executive Assistant to the Vice-President for Medical Affairs HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Number 69-27 SUBJECT4 Alterations and Renovations in Project Grants BACKGROUND Since 1960 PH8 policy has provided that alterations and renovations in project grants (other than construction) may not exceed $50,000. Since that time construction costs have risen approximately 45%, thus resulting in cutting back the amount of work that was formerly permitted. To pro- vide a temporary measure, pending a more complete study and revision of the policy on alterations and renovations, it is the intent of this memorandum to recognize the increased costs of construction. POLICY All current policies placing a ceiling of $50 000 on alterations and renovations in project grants are amended to establish the ceiling at $75)000. All other provisions of the current policies in this area remain intact. Under this revised policy, awarding components may authorize alterations and renovations up to the amount under their own authority. Amounts in excess of $751,000 may not be approved by award- ihg components. Requests for such waivers should be submitted to me through the Office of Grants Management, HSMHP. with supporting ju8tifica- tions. Associate Administrator, HSMHA Date: May 16, 1969 Index: Alterations & Renovations - Project Grants 0 RULTH SERVICES AND MENTAL HULTH ADMINISTRATION EXTRAMURAL PROGRAMS Amendment #1 Grants Memorandum Number 69-28 SUW'ECT: Revised Policy -- Protection of the Individual as a Research Subject The Division of Research Grants, NIH, has advised us that certi 6ation of sponsoring institutions of review and approval of projects involving human subjects will not be required as a prior condition of the award until July 1, 1970. It is hot intended that this delay extend to other aspects of the certification requirement. Initial review groups should continue to notify awarding agencies of the absence of certification on applications Involving human subjects and may request certification if they feel that institutional review should be completed prior to initial review group consideration of specific proposals. Similarly, while awarding agencies need not make contingent awards when certification-ls lacking, they may insist on full and complete prior certification if soc steps ,are necessary in the interests of the human subjects potentially involved., of the grantee institution, or of the program concerned. ty@ Li ",il@ Associate A9niiilstre SNRA Date: HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROG N Amendment #2 Grants Memorandum Number 69-28 SUBJECT: Revised Policy Protection of the Individual as a Research Subject We have been advised by,NIH that the deadline of July 1. 1970, for the submission of certification of conformance with PHS policy oh t e protection of the individual as a research subject has been extended to December 31, 1970. This extension is necessary inasmuch as the checklist which has been developed for submission of the information regarding human experimentation has not been distributed to all grantees. Director Office of Grants Management, HSHHA Date: July 11 1970 HEALTH STRVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Number 69-28 SUBJECT: Revised Policy -- Protection of the Individual as a Research Su ect Purpose Applicability Effective Date Policy Implementing Guidelines Distribution of Policy Statement PU"OSE The purpose of this memorandum is to establish procedures for administering the policy stated in Protection of the Individual as a Research Subject -- Grants, awards, contracts. The following are superseded: PHS Publication No. 1804 (out of print) -- Surgeon Generalls policy statement on investigations involving use of human subjects PPO #129 and its revisions and supplements. APPLICABILITY The policies and procedures stated in the publication Protection of the Individual as a Research Subject Are applicable to any activity supported by an HSMHA grant, award, or contract involving any human exposed to a research procedure and require an,institutional statement of assurance and a certification of institutional review of new, renewal, continuation, and supplemental applications for grants and awards. EFFECTIVE DATE The policy is effective as of May 1, 1969. Until December 31, 1969, however,, no grant award will be held up for the lack of the certification of review and approval-to allow sponsoring institutions to revise their current procedures if necessary. No activity which involves human subjects will be awarded a grant after December 31, 1969, without the certification. 2 POLICY In addition to an acceptable statement of assurance, a sponsoring insti- tution must submit for each application or proposal involving human sub- jects to be exposed to research a certification of review and approval of the procedures to be used and of continuing review of procedures as provided for in the institutional assurance of compliance with the policy. An institution sponsoring an activity funded by an HSMHA grant is responsi- 'ble for assuring compliance with the policy even though a portion or all of the project may be conducted by a cooperating institution. No HSMHA funds may be used to support any project, or proposed chance in a project, not approved by the sponsoring institution's committee. IMPLD4ENTING GUIDELINES Statements of Assurance DRG Function -- The Institutional Relations Section, Division of Research Grants, NIH, as the agent for NIH, HSMHA, and CPEHS, is responsible for receiving and reviewing the institutional assurance statements, conducting any required negotiations with institutions, and notifying the responsible official of the grantee, applicant, or sponsoring institution of the ac- ceptance. The Institutional Relations Section will continue to maintain and periodically update the cumulative list of institutions with acceptable assurances. Qu6stions pertaining to assurance statements should be di- rected to that Section. Awarding Component Function -- If a statement of assurance is received by an awarding component,, the awarding component should forward it with any attachments to the DRG, NIH. If an application is received from an institution not on the list, the awarding component should transmit a copy of the application to the,Inatitutional Relations Section with an indication that a statement of assurance of compliance needs to be obtained. Certifications Awarding Component Function -- The awarding component is responsible for satisfying itself that a certification accompanies or is filed for each appropriate application and that the procedures described in the applica- tion do in fact comply with the policy for the protection of individuals used as research subjects. Copies of correspondence concerning individuals as research subjects on any proposed or funded activity should be for- warded to the Institutional Relations Section, DRG. 3 DISTRIBUTION OF POLICY STATEMENT The Division of Research Grants, NIH, distributed the policy statement to all institutions currently receiving NIH, HSMHA, and CPEHS support for projects involving human subjects and will continue to distribute policy materials to new grantee institutions as they are identified. All application kits distributed through DRG will include the policy state- ment during the next several months. HSMHA awarding components should in- clude the policy document in every application kit and should ensure dis- tribution to each institution with an active grant or contract involving humans exposed to research. Additional copies of the policy statemen may be obtained from the Grants Operations Branch, Office of Grants Management, HSMHA. As-s7o6iate Adminifstrator, HSMHA Date: June 184 1969 0 ii THIS SUPERSEDES GRANTS MEMORANDUM 69-29 DATED May 29, 1969. PLEASE DISCARD. 0 ;b HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Number 69-29 SUBJECT: Procedure for Coordination of General Counsel Opinions on Grant Programs PURPOSE This Grants Memorandum establishes procedures for coordinating requests for legal advice and services from the Office of the General Counsel on matters relating to all HSMHA grant programs and awards. It further designates the Office of Grants Management, HSMHA, as the central point within HSMHA with responsibility for (1) identifying requests which have applicability to other programs in HSMHA and to programs of other DHEW agencies, and (2) co- ordinating such requests with the.appropriate offices. 13ACKGROUND For years responsible officials have considered ways to coordinate requests for legal advice and services from the Office of the General Counsel on I-aatters relating to grant programs and awards. The procedures established herein are Intended to achieve this end for written requests originating within HSMHA, while at the same time continuing free communication between HSMHA components and the Office of the General Counsel. COORDINATING OFFICE The Office of Grants Managementi HSMHA, is designated to be responsible for coordinating requests for legal opinions and advice on all matters affecting HSMHA grant programs and awards. The Grants Operations Branch, OGM, is designated the contact point in the application of the procedures. Mt. Paul Fox is designated as the HSMHA coordinating official under this procedure. PROCEDURES A. Oral Requests HSMHA staff seeking a legal opinion or advice orally shall contact the Office of the General Counsel directly at any time such advice is heeded. Notification to the Office of Grants Management is left to the discretion of the initiating office. 2 B. Written Requests 1. HSMHA staff seeking a legal opinion or advice in writing shall prepare the memorandum and forward it directly to the Office of the General Counsel. Two copies of the request shall be forwarded to the HSM Coordinating Official, Office of Grants Management, who shall in turn forward one copy to the Director, Division of Grants Administration Policy. 2. The HSMHA coordinating official shall determine whether any as- pects'of the request affect other HSMHA programs or are likely to be applicable to programs in other DHEW operating agencies. If other HSMHA programs may be affected the Office of Grants Management shall seek clarification from the General Counsel regarding the effect on the total agency. If programs of other DHEW operating agencies are likely to be affected the Office of Grants Management will notify the Director, Division of Grants Administration Policy. In such cases the Director, DGAP, will seek clarification from General Counsel regarding the effect on the total Department. 3. When the HSMHA coordinating official makes a written request for General Counsel opinion, whether or not preceded by a pro- gram officials request, he shall send a copy to the Director, DGAP. 4. The original and all copies of written requests for General Counsel opinions shall show the distribution'required. C. Responses to Requests The Office of General Counsel will send responses directly to the originator of the request with copies to Director, DGAP, and the HSMHA coordinating official. The Office of Grants Management will distribute copies to other HS@IRA offices as necessary. Director, Office of Gra ts Management Date: July 15, 1969 Index: General Counsel Opinions HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Number 69-30 SUBJECT: Reorganization of Rice University William Marsh Rice University has been reorganized to reflect the following structure: Dr. Frank E. Vandiver Acting President Dr. Carey Croneis Chancellor Dr. James R. Sims Vice President for Campus Business Affairs Dr. W. t. Gordon Vice President and Dean of Science and Engineering Dr. Virgil Topazio Vice President and Dean of Humanities Dr. Alan J. Chapman Vice President for Administration The Board of Governors has empowered Acting President Vandiver, Chancellor Croneis, Vice President Sims, and Vice President Gordon to execute research agreements on behalf of the University as authorized representatives. Director,, Office of Grants Management Date: June 16, 1969 Index: Authorized Signatures - Rice University HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Number 69-31 SUBJECT: Cost Sharing in Research Grants Attached is a revised list of research grants requiring cost sharing. One additional program, indicated by an asterisk,, has been added to , the list attached to Grants Memorandum 69-16, dated January 9, 1969, and Grants Memorandum 69-22, Dated April 1, 1969. Supersedes: List of applicable research grants attached to Grants Memoranda 69-16 and 69-22. cc. Director,, Office of Grants Management Date: June 16@ 1969 Attachment Index: Cost Sharing - List of programs requiring June 16, 1969 COST SHARING IN RESEARCH GRANTS APPLICABILITY: PHS Research Project Grants (identified by program codes as follows with the exception of foreign grants,, grants to Federal institutions, grants to individuals, and conference grants): R 01 Projects - exclusive of conference and publication grants R 02 Nursing R 03 Small Grants R 07 ICMRT R 10 Chemotherapy & Psychopharmacology R 12 Mental Health Special Grants R 18 Hospital and Meeical Facilities Research Grants (exclusive of Experimental Construction) R 20 Hospital Improvement R 21 Community Health Exploratory Grants R 22 U.S.-Japan Cooperative Medical Science Program P 01 Research Program Projects P 02 NCHSRD Research Center Grants only P 10 Environmental Health Centers for Research and Training P 11 Pharmacology-Toxicology Centers P 13 Dental Research Institute Program p 15 Outpatient Clinical Research Grant Program HEALTH SERVICES AND MENTAL RULTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Number 69-32 SUBJECT Form PHS-398, Revised 2/69, Grant Application APPLICABILITY: HSMHA Research Grants REPLACES Form PHS-398 (Rev. 5-66) and General Information and Instructions - Application for Research Grant (Rev. 1-67). BACKGROUND A revised PHS-398 has been received from the Government Printing Office and a supply is available in Room A-08, Westwood Building, Telephone, Code 14 X 67371. The revised form, with its accompanying instructions for research grant applications, was reviewed by staff of NIH, HSHMA, and CPEHS. MAJOR CHANGES Attention is called to the following: 1. The title of the form has been changed from "Application for Research Grant" to "Grant Application" in order that, witi appropriate instructions, the form can be used for other programs. 2. The invention certification has been added to the face page. 3. Space is provided on the face page for in: rmation concerning Congressional districts, additional performance sites, and joint applicants. 4. On page 2, "Research Objectives", the investigator is asked to underscore key words in the abstract as an aid in indexing the project. S. On page 3 (budget page.), the following changes were made: a. Personnel separated into "Stipulated Salaries" and "Non- stipulated Salaries" with instructions for completing. 3. Checklist for Research Grant Application (Rev. 2-69). 4. PHS-3830, Application Receipt Record (postcard). S. PHS Grant for Research Projects Policy Statement, Revised 7/l/67. 6. Protection of the Individual as a Research Subject, Grants, awards, contracts, Kay 1, 1969. 7. The Mental Health Small Grant Program, May 19 1968 (flyer). 8. Return envelope. HSMHA awarding components should add appropriate program documents. Director, Office of Grants Management Date: June 23, 1969 Index: PHS-398 revised 2/69 2 b. Estimates of time to be spent on the project in average hours per week are requested for each person (rather than percent of time or effort). c. All patient care costs have been combined under "Patient costs". d. Publication Costs are included with "Other E@nses". e. Indirect cost information was moved from face page to budget page. a. The "Research Support" page has been combined with the "Biographical Sketches" page in order that information can be obtained on other support for all professional personnel, not just the principal in- vestigator. Lists.of publications are also required. 7. The Checklist has been expanded to include information on the type of application, civil rights assurance, human subjects involvement and certification and institutional cost sharing agreements. 8. The form does not have snap-out carbons. Applicant is requested to prepare 6 additional copies by whatever means he deems appropri- ate. This procedure was introduced several months ago for the current 398 and 2590 applications and seems to be working satis- factorily. 9. The language and arrangement of the instructions have been changed to provide clarity. Changes other than editorial or those mentioned above in connection with the form are: a. Instructions for completing the 'Research Plan" have been worded and arranged to be more useful for scientific review. Provision is made for additional material to be provided as an appendix to the formal application, (12 copies). b. Additional instructions are given for revised, supplemental and change of institution applications. APPLICATION KITS Effective immediately, the contents of the PHS-398 kit, available from NIH will be: 1. PHS-398 (Rev. 2-69) - 5 page form plus 10 blank continuation pages. 2. Information and Instructions for Application for Research drant, Form PHS-398. HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Number 69-33 SUBJECT: Change in the name of the Attending Staff Association of the Los Angeles County Hospital to Professional Staff Association of Los Angeles County, University of Southern California Medical Center, Inc. Mr. J. S. Gott, Business Manager for the Professional Staff Association has advised us, through a copy of an amended Article of Incorporation as recorded by the State of California, that the name of the corporation has been changed the Attending Staff Association of the @ Angeles County Hospital to Professional Staff Association of Los Angeles County, University of Southern California Medical Center, Inc. Director, Office of Grants Management Date: July 17, 1969 Index: Change in name of institution RULTH SERVICES AND MENTAL HEALTH ADM@ISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Nmber 69-34 SUBJECT: Tr&nmittal Notice - HSHHA Implementation of HEW Grants Administra- tion Manual Material Transmitted Implementation of Chapter 0-1 - Introduction Implementation of Chapter 0-2 - Plan of the HSMHA Implementation Manual Implementation of Chapter 1-45 Use of Consultants Implementation of Chapter 1-450 - Use of Grant Funds for the Produc- tion of Motion Pictore Film@ Implementation of Chapter 4-160 - Single Agency Management of Joint Construction Projects Implementation of Chapter 4-170 - Coordination of Joint Site Visits in Construction Program* Material Superseded None Manual Maintenance (See HSMHA 0-2) Enter the Grants Memorandum number In margin of HEW Manual Table of Contents to right of appropriate chapter number. File attached material back of HEW Manual Chapter*. Post Number of this Grants Memorandum in right margin of Table of Contents in Grants Memorandum book@ July 23,, 1%9 Index-. For Chapter 1-45 Enter Under For Chapter 1-450 Enter Under Consultants: Use of Funds: Use fbr Notion Picture Films For Chapters 4-160 & 4-170 Enter Under Motion Picture Films Construction Projects: Single Agency ftmgemt Joint Projects - Management Joint Projects - Site Visits Role of Regional Program Director MANUAL ..... GRANTS ADMINISTRATION HSMHA: 0-1 I N T R 0 D U C T I 0 N PURPOSE AND SCOPE. The HSMHA grants administration policy and procedure issuances to implement policies and guidelines stated in the HEW Grants Administration Manual will be printed in the Department format on yellow paper. The HSMHA implementation together with the HEW manual will serve as the basic reference document for those who are operationally involved in the management of grant programs and individual grants. The HSMHA implementing policies and procedures will emphasize the particular requirements of HSMHA grant programs and the HSMHA grantee community, within the scope of the Department's policies. At the same time, HSMHA policies and procedures will provide guidance for awarding component judgment when freedom and flexibility are necessary to pursue program objectives. APPLICABILITY. The HSMHA issuances are applicable to all grant programs of the HSMHA unless otherwise specified. AUTHORITY FOR ISSUANCE. Chapter 1-20 of the HEW Grants Administration Manual states that "Each operating agency shall implement Department grant administration policies, in a manner appropriate to its particular grant programs and organizational structure,..." @ssociate Administrator,, HSMHA Grants Memorandum 69-34 (7/23/69) HSMHA: 0-2 MANUAL ..... GRANTS ADMINISTRATION 46 P L A N 0 F T H E H S M H A I M P L E M E N T A T I 0 N M A N U A L RESPONSIBILITY FOR THE HSMHA IMPLEMENTATION MANUAL Responsibility for the development and maintenance of the HSMHA implementa- tion of the HEW Grants Administration Manual is assigned to the Office of Grants Management, Office of the Assistant Administrator for Management, Health Services and Mental Health Administration. ORGANIZATION OF THE HSMHA IMPLEMENTATION The HSMHA implementation will be structured identically to the HEW Grants Administration Manual. (See HEW Grants Administration Manual Charter 0-2.) NUMBERING SYSTEM. The HSMHA part, chapter, and section numbering will be identical to that of the Department's manual except that the part and chapter numbers will be preceded by "HSMHA". The omission of a section in the HSMHA implementation will mean that the Department statement needs no further HSMHA 0 explanation. HSMHA GRANTS MEMORANDA. These will be used for HSMHA policies, procedures, guidelines, or other grants administration directional issuances for which there is no Department issuance and for material of temporary nature and limited scope. At the time of a Department issuance on subjects on which there was only an HSMHA Grants Memorandum, the Departmont's statement will take precedence, an HSMHA implementation will be issued, and the pertinent Grants Memorandum material superseded. TABLE OF CONTENTS There will be no separate table of contents for the HSMHA issuances imple- menting the HEW Manual. An entry of "HSMHA Grants Memorandum (No.)" should be made to the right of the chapter number in the Department Manualls table of contents (HEW Grants Administration Manual 0-3) to indicate an HSMHA implementation. MAINTENANCE OF HSMHA IMPLEMENTATION MANUAL HSMHA implementation of HEW Grants Administration Manual chapters will be forwarded under transmittal noticei numbered in the Grants Memoranda numerical series. The transmittal notices will be filed with the Grants Memoranda. A Grants Memorandum 69-34 (7/23/693 HSMHA: 0-2 Page 2 copy of the HEW Grants Administration Manual table of contents should be filed in the front of the Grants Memoranda binder and the Grants Memorandum number entered to the right of the appropriate chapter number. This will provide an index of HSMHA policy so that fewer sets of the HEW Manual as implemented need to be maintained. The transmittal notice will specify the material transmitted, material superseded, subject index, filing instructions, and any other necessary information. DISTRIBUTION The HSMHA Implementation Manual will be distributed by the Office of Grants Management, Office of the Assistant Administrator for Management, HSMHA, in accordance with the Grants Memoranda distribution list maintained by the Policy Development and Issuance Branch. Grants Administration Grants Memorandum 69-34 (7/23/69) MANUAL ..... GRANTS ADMINISTRATION PART l.....General HSMHA: 1-45-40 CHAPTER HSMHA: 1-45 USE OF CONSULTANTS 1-45-00 Purpose 2o policy 40 Implementation 1-45-00 PURPOSE In general, Public Health Service policy has prohibited the use of grant funds for consultant fees to individuals in the grantee organization or institution except in unusual circumstances and only'with prior approval. Chapter 1-45 of the HEW Grants Adminis- tration Manual establishes a different Department-wide policy. This issuance establishes HSMHA policy and procedure. 1-45-2o POLICY Under discretionary grant programs (those in which both the decision to make an award and the amount of the grant are within the discretion of the awarding agency), costs for consultants from within or outside the grantee organization are allowable without prior approval when supported by appropriate documentation. 1-45-40 IMPLEMENTATION Effective May 15, 1969, the policy and the guidelines as stated in Chapter 1-45, HEW Grants Administration Manual are applicable to all HSMHA discretionary grant programs. Attached is a copy of a memorandum which has been sent to all grantees advising them of the change of policy. Awarding components should incorporate the new policy in the next revision of their grants program information documents on terms, conditions, policies, and procedures. Attachment: Grant Policy Information Memorandum Grants Memorandum 69-34 (7/23 69 Grant Policy Information TO Heads of Institutions, Hospitals, Public Agencies and Private Non-Profit Organizations, Training Coordinators, and Business Officers F ROM Associate Administrator Health Services and Mental Health Administration SUBJECT: Use of Consultants BACKGROUND AND PURPOSE Recipients of HSMHA grants have in general been restricted from using grant funds to pay for services of consultants from within the grantee organization. The Department of Health, Education, and Welfare has now established a uniform policy for recipients of DHEW grants. POLICY Under discreti'onary grant programs costs for consultants from within or outside the grantee organization are allowable without prior approval when supported by appropriate documentation. For purposes of this policy, a discretionary grant is defined as one in which both the amount of the grant and the decision to award it are within the administrative discretion of the awarding agency. Consultant fees may not be paid to a U.S. Government employee. APPLICABILITY This policy is applicable to grantees and to their contractors or affiliates whenever consultants are retained with HSMHA grant funds. POLICY GUIDELINES It is expected that grantee organizations will normally have their own policies with respect to use of consultant services, that those policies will apply equally to the use of consultants paid for by grant funds and that they will include, as a minimum, the standards 2 for documentation described below. However, in the absence of such policies, the following shall represent the minimum standards for documentation in support of the use of consultants: A. Evidence that the services of the consultant are needed and the need cannot be met by direct salaries provided under the grant. B. Evidence that a selection process has been employed to secure the most qualified individual available, considering the nature and extent of services to be required. C. Evidence that the fee is appropriate considering the qualifica- tions of the consultant, his normal charges, and the nature of the services to be provided. Grantees are required to ensure that third parties under grant awards ad- here to the policies and procedures specified herein. EFFECTIVE DATE This policy and guidelines are effective as of May 15, 1969. Associate Adthinistrator, HSMHA Date: July 24, 1969 MANUAL ..... GRANTS ADMINISTRATION PART I..... General HSMHA: 1-450-50 D CHAPTER HSMHA: 1-450 USE OF GRANT FUNDS FOR THE PRODUCTION OF MOTION PICTURE FILMS 1-450-00 Purpose 30 Policy 50 Clearance Procedure for Exceptions 1-450-00 PURPOSE This chapter establishes HSMHA policy for use of grant funds for the production of motion picture films. 1-450-30 POLICY The policy stated in the HEW Grants Administration Manual Chapter 1-450-30 shall be the policy of HSMHA. 1-450-50 CLEARANCE PROCEDURE FOR EXCEPTIONS A. Proposed exceptions to the policy stated in 1-450-30C, HEW Grants Administration Manual, must be recommended favorably by the Assistant Administrator for Information . HSMHA and the Associate Administrator,, HSMHA. B. Each request for exception to the policy stated in 1-450-30C, HEW Grants Administration Manual, shall be submitted to the Associate Administrator, HSMHA, through the Office of Informa- tion, HSMHA. The lower left corner should have space for signatures as follows: Assistant Administrator for Date Information, HSMHA Associate Administrator, HSMHA Date C. Requests will be submitted in quadruplicate. One copy will be returned to the awarding component at the time the request is forwarded to the Office of Public Information, OS. D. Two copies will be returned to the awarding component together with the OPI memorandum of action taken. Gr-ant8 Memorandum 69-34 (7/23/69) USE OF GRANT FUNDS FOR THE PRODUCTION OF MOTION PICTURE FILMS Page 2 (HSMHA 1-450-50 Continued) Awarding component questions concerning this clearance procedure should be directed to the Office of Information, HSMHA. Grants Administration Grants Memorandum 69-34 (7/23/697 MANUAL.....GRANTS ADMINISTRATION PART 4..... Construction Grants HSMHA: 4-160-10 3. CHAPTER HSMHA: 4-160 SINGLE AGENCY MANAGEMENT OF JOINT CONSTRUCTION PROJECTS 4-160-00 Purpose 10 Policy 20 Designating Single Manager 30 Operating Agency Implementation 4-160-00 PURPOSE Where two or more HSMHA programs are participating in a single construction project, management by a single office can promote more efficient administration by reducing or eliminating duplica- tion of effort in the Federal review process and by reducing administrative burden. This chapter establishes HSMHA policy for management of joint construction projects. 4-160-10 POLICY A. In carrying but the policy set forth in 4-160-10A of the HEW Grants Administration Manual, the assignment of the single manager within HSMHA shall be in accordance with the provisions of HSMHA 4-160-20. 1. The designated HSMHA single manager shall assume responsi- bility for performing whatever management functions,, re- quired by statute or regulation, that can be mutually agreed upon by the programs concerned and for providing technical assistance to the applicants where staff is available for such assistance. The single manager shall periodically issue reports to other interested funding agencies to keep them apprised of activities. 2. Single agency management of jointly funded projects shall commence at the time of grant award and continue through the final inspection of the project. 3. This policy will be periodically reviewed by HSMHA to determine its effectiveness and to consider the inclusion of additional single manager functions. SINGLE AGENCY MANA(,EMENT OF JOINT CONSTRUCTION PROJECTS Page 2 4-160-20 DESIGNATING SINGLE MANAGER A. In the case of joint projects funded by HSMHA and another DHEW agency or other Department, the Regional Program Director, Health Facilities Planning and Con- struction Service is designated as the HSMHA representa- tive in respect to determining in conjunction with the non-HSMHA programs, such factors as: 1. The amount of funds committed from each program. 2. The agency with the earliest involvement. 3. The number of projects currently being managed by each agency. 4. The geographic proximity of the staff. B. In the case of jointly funded construction projects com- prising assistance from HSMHA programs only, the Regional Program Director, HFPCS is designated as the Single Agency Manager whose responsibilities shall include, but not be limited to, the following: 1. Review and approval of those stages of the project application dealing with the applicant's financial resources site survey, soil investigation, fee, simple title to property, and project costs just prior to execution of construction contracts. 2. Review and approval of activities occurring between time of grant award and letting of contract, such as review and approval of preliminary and final working design plans and specifications and holding pre- award conferences on equal employment opportunity (in connectionwith implementation of Executive Order 11246). 3. Review and act on all modifications and change orders which require Federal approval, except that major changes in the basic structure of the building or of the function, space assignment or equipment shall be made only with the concurrence of the awarding program. 4. Ensure that the grantee carries out its obligations with respect to assurances included in the application and the grant award, with regard to such items as labor laws, equal opportunity and antikickback pro- visions. . I . SINGLF, MNAGEMF,tiT (,@E' Page 3 JOINT CONSTRUCTION PROJECTS 4-160-30 HSMHA 4-160-20 B Cont'd) 5 Pe-rL@'Irf@,) e ,o trie fa(.,,-'].ity wrien c c,@ rTi g programs with pro@;- t intervals and with certificati,,.@.-ol ti-@ has been completed in accordance appi,-ove@". and specifi,--a- ti.ons, 6. Approving and making construction pa@llitipiits have been transferred to @t from other pa.,-tic-,pe.-ting programs. C. Although the Regional Program Director, HFPCS, will, on an individual project basis, delegate certain agreed upon functions to another agency assuming a single management role, nothing in this policy shall be coiistru,,2(] as the abrogation of ultimate program responsibility by @he Regional Pn)graiii Director, HFPCS, in respect to the existing agreements for administering certain functions for projects for the construction of Community Mental Health Centers, under P,L. 88--l@64 51 as amended5Title II, Part A; universit7y affiliated the facilities for the mentally T.-et-ztrded, under P.I,. 88-1.64, as amended, Title 1 3p Parts B and C; teaching facilities for health personnel, under PHS Act, Title VII, Part B; sheltered workshops under the VR Act, Sections 2 and 12, and projects assisted under the Appalachian Redevelopment Act, Section 202 and 214. 4-160-30 OPERATIN%PY AGENCY IMPLEMENTATION This policy is effective as of the date of issuance. MANUAL ..... GRANTS ADMINISTRATION Part 4..... Construction Grants HSMHA: 4-170-30 CHAPTER HSMHA: 4-170 COORDINATED JOINT SITE VISITS IN CONSTRUCTION PROGRAMS 4-170-00 Purpose 10 Policy 30 Operating Agency Implementation 4-170-00 PURPOSE The Health Services and Mental Health Administration recognizes that where two or more HSMHA grant programs are participating in a single construction project, coordination among program offices and the applicant or grantee is necessary to promote thorough evaluation of the project and more efficient administration. In achieving this coordination, HSMHA components will follow the guidelines established in Chapter 4-170 of the HEW Grants Adminis- tration Manual. 4-170-10 POLICY A. HSMHA's representative designated to participate in joint site visits with other agencies in HEW and in other Depart- ments will follow the guidelines set forth in Chapter 4-170 of the HEW Grants Administration Manual B. Inasmuch as the Regional Program Director, Health Facilities Planning and Construction Service is designated under HSMHA Chapter 4-160-20 as the HSMHA single manager, a regional representative of HFPCS shall attend all joint site visits which involve construction projects funded exclusively from HSMHA programs. 4-170-30 IMPLEMENTATION This policy is effective as of the date of issuance. HEALTH SERVICES AND MENTAL HEALTH ADMINISTRAT10N EXTRAMURAL PROGRAMS Grants Memorandum Number 69-35 SUBJECT: Grant and Contract Awards and Payments to Health Research, Inc. This memorandum supersedes Grants Memorandum 69-13 dated January 3, 1969, and sets forth revised procedures to be followed in making grant and contract awards and payments involving Health Research, Inc. The Pro- cedures are effective immediately and eliminate the necessity to provide to the Assistant Secretary, Comptroller, written notice of intent to make grant and contract awards and payments to Health Research, Inc. All continuation, renewal, or new grant and contract awards should be made either: 1. Solely to the New York State Department of Health, or 2. Jointly to New York State Department of Health and Health Research, Inc. No awards should be made to Health Research, Inc. as sole grantee. All existing grants (in the middle of a budget year) and all supplements there- to shall continue in the name of Health Research, Inc. until such time as the grant begins a new-budget period. On all exiiting new, renewal, continuation, or supplemental grant and contract awards payments should be addressed as follows: New York State Department of Health Attn: Mr. Daniel Klepak Deputy Commissioner for Administration 94 Holland Avenue Albany, New York 12208. Pending the issuance of new DGAP "notices of provisional indirect cost rates the following indirect cost rates should be used for funding both joint awards and awards made solely to the New York State Department of Health, Rate* Location Applicable To 38.-06% ffalo All Programs 51.46% Albany All Programs *Base: Direct salaries and wages including fringe benefits. Attached are covies of (1) a letter from the New York State Department of Health (NYSDH), (2) continuation pages la for applications for research and training grants respectively,, and (3) list of HSMHA grants and contracts to 2 which the procedures are applicable. As indicated in the letter, the continuation pages and listings constitute a request that all new, renewal, and continuation grants be jointly awarded to the NYSDH and HRI. Therefore, any application now in process which was submitted by HRI alone should be processed under the joint award procedures using the attached continuation pages as authority. Director, Office of Grants Management Date: July 28, 1969 Attachments STATE OF NEW YORK DEPARTMENT OF HEALTH 'ALBANY H-OLLIS S. INGRAHA M, M. D. COMMISSIONER June 19, 1969 Dea. Mr. Kirsclienmann: The Ne,,v York State Department of Health and Health Research, Inc., closely affiliated bu'L-.,Iegally separate entities, have entered into a :on-trac-L governing relationships bet-@,,een the t,,-.,o agencies. A copy of this agreement is enclosed for your information. In implementation of the provisions of this agreement, the undersigned as the responsible Ne%v York SLLate and Health Research, Inc. officials provide the following information and assurance$ relating to the ha!idlina of federal funds provided by the Department of Health) Education. and Welfare; 1. Ifealtli Research, Inc. agrees t'o assign to the State Department of Health as its fiscal agent all federal funds aviarded to Health Research, Inc. 2. The New York State Depa.-'LmeriL,,-6L' Healtli has agreed to act as payee to receive all funds 8-,,,,arded to Health Research, Inc. under existing grants and contracts. 3. The Netv York Sta+-e Department of Health is assuming all responsibility for accounting for such federal funds currently in the hands of Health Research, Inc. or sub- s6quen-Luly received. 4. Netti York State will'assume responsibility for meeting all 'the reporting requirements relatin.9 to grants and contracts as de-'Ce@-miied by tire Department of Health, Education, and WelLrare. Nei.,,, Yor?, Sta'te, in disbursing such federal -Furids, be responsible for fulfillment of all +.he terms and satisfaction of -the conditions under which such funds are grari-'Led. Mr. Henry Kirscliem!arin -2- June 19) 1969 Enclosed is a listing of all "ongoing," or ne,,val" and continuation grants and con-rarts to peridi,-ig" "net.-, "re LI L. @ 1 which +he above agreements and assurances apply. Also submitted are the enclosed comple-L-ed copies of grant applications (-rorm PHS-398 and PHS- 2499-1) providing for joint application for all "new," "rene,,,;al" and continuation grants. Such applications toge-'Lher %,.,ith the attached listings constitute a request that; all ne,,,/, rene@val" and continuation grants and contracts be jointly a%,,,arded to the Ilev@ Yorl,, State Departroe,,i" O'L Health and Heal-L-,h Resea,-ch, Inc. All such joint applications !ill be 'v handled in the same manner subject to the same conditions and cofy,.rpi4.- ,,ients governing funds already a,.,,-arded; namely, that the State t.-:ill act as pa@tee i 'for and custodian of federal funds, assumes respoiis@)ility for accounting all such funds a,@!arded or received, and for r,)ee-.ing the federal -epbr'-Linq requirements and fulfilling the terms and condi under ,,.,@ich suc'n funds are gran-ted. Sincerely yours@ LI Hollis S. Ingraham, Commissioiier of VI eal-th Viames T. Gra@e, i@,I.D. Chairman of the Boaid Health Research, Inc. Mr. Henry G. Kirschenmann Head, Cost Policy and Rate Negotiation Branch Division of Grants Administra- tion Policy Depar-t@ff.,ent of Health, Education, and Welfare HEVI North Building, Room 3268 Washing'-,on, D.C. 20201 Conlinuation poge I A.' APPLICATION FOR RESEARCH GRANT SECTIOT@ I t. AggREVIAILD TITLE OF RESEARCH PPOPOSAL I SEE ATTAC'@4r'_D LIS'i' 2. TYPE Of APPLICATION icheck one) 0 t4rw PROJECT RENRWAL OF PHS G;TANT NO REVISION OF PHS APRICATION )40 SVPPLEK!ENT TO PHS GRANT NO TO BE C'OhiPLETED BY RESPONSIBLE ADMINISTRATIVE AUTHORITY 10. APPLICANT ORCAt4fZATiON ..d Ad, 12. TYPE Of ORGANIZATION (Ch,ck ppli,.bl. It,.) INDIVIDUAL 31-it. ZIP Code) ls'd PUBLIC INSTITUTION, New York State Department of Health FEDERAL STATE LOCAL OTIIU 84 Holland Avenue KIVATE INSTITUTION. [] NONPROFIT, PROFIT Albany, Ne,,@i York 12208 13. 14AME AND TITLE Of OFFICIAL SIGNING FOR APPLICANT ORGANIZATION Hollis S. Ingral-iafn., M.D., Corir.-ii-ssioner Neei York State Department of Healt'- SIGNATVRE 17 A. SlGk4ATUItE OF PERSON NAMED IN ITEM 13 fuse In&. "PC," stg..S.,.s OWTE not seccptdble) 6 /i c@,,6 9 TO t3c COMPLE'i'[D BY RESPONSIBLE ADMINISTRATIVE AUTHORITY T4-,%FPLICANT ';safe. zip C*Jtj (St# 12. TYPE OF ORGANIZATION iCtt,h 11401VIDUAL PVOLIC'INSTITUllOt4. Health Research@ Inc. Lr:] FEDEIRIAIL STATE LOCAL OTHER ij 84 Holland Avenue e,oi Y o 12208 "@"Al, _" ITUTION, t4oNPItOFIT, PROFIT If-.A TITLE Of OFFICIAL IOR APPLICANT ORGANIZATION Jam es T. Grace, tI.D. Chair.Tan of the Board SIGNATURE 179. SIGNATURE OF PERSON NAMED IN@t DATE (?Joe lk. "Pt," tijc.dgu,gv - at4 acrepe.ble) 6/10,/63 40 at COhiPLETED BY RESPONSIBLE ADMINISTRATIVE AUTHOlkiTY -r4- :kote. ZIP code) lsco lntt,.Vffonjl 12. TYPE OF ORGANIZATION iCheck ali,lic.ble fic@) INDIYIDUAL PUBLIC INSTITUTION, FEDERAL STATE LOCAL OTHLT "IVATE INSTITUTION, NONPROFIT, PROFIT AND TITLE Of OFFICIAL SIGNING FOR APPLICANT ORGANIZATION SIGNATURE 17#. SIGNATURE OF PERSON HAMEI> IN ITEM 13 DATE nMTRUGTION$t This Oont-inuition pr-.,Te ic provided for uco when t-do or more Auplio:Lnto FOR @ CT,,, A join in the oubmiaolon of aTi APPLICATION RCd G.@l-4T, nS- -,93. t,o acoommodc-,to the doct:,,@,.3@;,otion of named of all ctioli applicant organi.ZP-tiorLg aixl -Llia requ@d aigiaaturon of tho offi--ialo atrthorizDd to vj.gn ani obligato logDlly o@,.ch @A,pplicant.'s fu@B "#-,o bo ured for tb@ purpoc@ of thia rpplica'vioii. hen uscav -.his pago 1& should' ba prop@oi in fivo copia's for inoorporatio.-i In the pplioati6a folloy.@n- paao 1, On par, 1 iicolf, iu tl@o opccoo nt-tm'Loi-ed 10, 12# l@ 43 ,o na 17D$ i@oev (ty-0.) OV pr.,@"w) 0,11 all t.'IiCgO VfOrdgl @,30 P@&O IA PAGE I flA- 'L.I@ API'LICA'F ION FOR TRAINII-IG GRANT SECTION I 1. I TLE OF P@O'GRAM (Do not exceed 53 typewriter spaces) SEE Al-I'A'--T,4FD LIST 2. TYPE OF APPLICATiOt4 (Check one) []NEW PHS PROJECT [:]RENEWAL OF PTIS GRAN'T'NO. EIREVISION 01 PHS APPLICATION NO. [:)SUPPLEMENT TO PHS GRANT NO. TO BE COMPLETED BY APPROPRIATE AE)MINISTFIATI@IE AUTHORITY 9. APPLICANT ORCA IZATIONTt4,-,,, and It. TYPE OF ORGANIZATION ((:hcck npplicable item) city. state. alp code) (See Instructions) PUBLIC INSTITUT.ION: NFEDERAL f;7-ISTATE OLOCAL EJOTHER New York State Department of Health pniVATE INSTITUTION: EINONPROFIT. 84 Holland Avenue EIPFTOFIT Albany, Ne,,i York 12208 13. NAME. TITLE, AND ADDRESS OF OFFICIAL SIGNING FOR APPLICANT ORGANIZATION Hollis S. Ingraham, Pli.D., Commissioner New York State Department of Health STGNATURE: 84 Holland Avenue (Signotufos requlrod on use ink. "Iler"'signalutes Albany, New Y .ork 12208 arigit,of copy only. n.Of acceptable) 17 TGNATURE C TEM13 DATE 6/19/69 TO BE CoxqpL PROPRIATE AD-AINISTRATIVE AUTHORITY S. APPLICANT O;IGANIZATION (N """ and oddross-stroot, II. TYPE OF ORGANIZATION (CAcck applicable item) city. $tape, alp cod.) (S.. In.liuct.lons) PUBLIC INSTITUTION: []FEDERAL OSTATE NLOCAL r'OTHER Health Research, Inc. PRIVATEINSTITUTION: L7t4ONPnOFIT, 7.PFfOFIT 84 Holland Ave;@ue 13. NAME, TITLE. AND ADDRESS OF OFFICIAL SIGNING FOR Alb@-ny, fear York 12208 APPLICANT ORGANIZATION James T. Gtace, M.D. Chairman of the Board SIGNATURE@ Health Research, Inc. Use ink. "Pcf"signa(urce ls.9nofwrcg an of acceptable) 84 Holland Ave., Albany, N.Y. 12208 *Final copy only. 170. SIGNATURE IN ITE IDATE 6/19/69 TO BE COMPLETED BY APPROPRIATE AMIINISTRATIVE AUTHORITY 9. APPLICANT ORGANIZATION (Home and od4res.&-offoot. It. TYPE OF ORGANIZATION ((:hrc4 applicuble ilentl city, Steps, alp aPi@) (Sao Instructions) PUBLIC INSTITUTION: OFEDERAL [3STATE FILOCAL F7-OTHIEFt PRIVATEINSTITUTION: R-NONPAOFIT. @PROFIT 13. NAME. TITLE, AND ADDRESS OF OFFICIAL SIGNING FOR APPLICANT ORGANIZATION ati.jinol copy only. SIGNATURE . . Use ink., "Ilcr"jignutufi! (Signalutes r*q-jired an ni,t acct-ptilblc) 170, SIGNATURE OF PERS014 NAMED IN ITEM 13 DATE 00 io for uso when Wo or more tpplicanto join in the oubmic2ion lt?STRUOTIOI,!3t Thii3 paa of an APPLICATION FOR TRT.INING GFL,%ZiT, PHS 249@-1, to acoemmodo-t-r, mm:)o of all Duch applicant organizations MrA the required aimnatxn-e--l of tho official-3 authorir,@-d to oiFr, and legally obligato cioh cpl)lioexu'u organization!a funds* thic cot-itin@,jtien paSe 1 A oliould ba prepared in nini oopieu for inoorfor@- tioii in tire, arplic:;tjo-.1 folic,.-,Iiper p@.go 1. On pago I itself., in tho oDmoca nxmbo.-od 9, 119 l@ f,r;A J.-, c@ (typ@ prA.-,;') cn -@ll c3p!oo thoco wordes S;e @.,o I The following are HSMHA grants excerpted from a list provided by Health Research, Inc. Health Research, Inc. Albany Division HSMHA Grants (ongoing) HSMHA Grant (pending rene@l 27061-06-68 27061-07-69 2942"2-68 SIRD1 CC 00206-02 Current Grants Running 6/18/69 Hospital and Medical Facilities Ausman HM 00474-04 Community Health Service Silver 1PO2 CH 00467-01 Chronic Disease Control Graham SPOI CD OOlS3-04 Tr*ining Grants - New York Office Pickren 27024-07-68 Cohen 27090-03-69 Webster 27060-03-68 Awarded Grants Starting July lst Training Grants - New York Regional Office Pickren 27024-08-69 Webster 27109-01-69 6" 0 c@@ -6 . p (@ (r@ -@' I A. p i J-. %It " g. T@ a - A"j -1 Nif, @@@ -t a EL is. THIS SUPERSEDES GRANTS MEMORANDUM 69-36 nATED August 25, 1969. PLEASE DISCARD. 0 0 HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Number 69-36 SUBJECT: International Travel in Grants and Contracts BACKGROUND In the past, all requests for international travel to be performed under grants and contracts had to be approved by the Associate Administrator. This procedure has resulted in substantial administrative burden on both the Associate Admlnistrator's office and on the awarding components. In lieu of this procedure, a system utilizing ceilings on amounts that may be approved by each awarding component is established with the issuance of this memorandum. PROCEDURE An over-all ceiling on international travel that may be included in grants and contracts will be established for HSMHA each fiscal year. Individual ceilings within this amount will then be established for each component with an amount held in reserve at the Administration level. Each Service, Institute, and Center may authorize international travel up to but not exceeding the ceiling without obtaining approval from sources outside its own organization. In the even a component wants to exceed its ceiling, specific approval will have to be obtained from the Associate Administrator, HSMHA. Such increases will be granted only in extraordinary circumstances. DEFINITION or FOREIGN TRAVEL For purposes of this procedure foreign travel refers to all travel originating in the United States (including Guam, American Samoa, Puerto Rico, the Virgin Islands, and the Canal Zone) to any other country except Canada and return when the source of the funds which the travel is charged is any HSMHA grant or award, (domestic or foreign) except grants or awards to international h"lth organizations (e.g., WHO and PAHO). AMOUNT OF CEILING The following amounts have been established as a ceiling for Fiscal Y6ar 1970: Organization 1970 Ceiling NIMH $3379500 NCHSFTD islooo CHS 2,000 F44ps -S,ooo NCDC 5,00@ HF'PCS 0 Reserve 35,500 J400,000 2 Travel already approved from 1970 funds must be included under the ceiling. ADJUSTMENT OF CEILING Since the restrictions are related to the monetary position of the United states more than to the merits of the grant programs the need for and amount of ceilings in future years will depend to a large extent on condi- tions at that time. Experience in operating under the ceilings, and the effects on the programs are also factors. Therefore, we are postponing consideration of the ceiling beyond Fiscal Year 1970 at this time. GENERAL COMMENTS None of the amounts given about include international travel performed using P.L. 480 (counterpart) funds. The use of such funds in appropriate countries will be encouraged. Also, the use of American flag carriers will be required for domestic grantees traveling overseas (if available) and will be encouraged for all others whenever it is possible to do so. I Dir nt Date: October 1, HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION.+ EXTRAMURAL PROGRAMS Grants Memorandum Number 69-37 SUBJECT: Creighton University Official Authorized to Receive Payments and Sign Grant Applications Mr. James E. Koopman, Controller, Creighton University, has been designated as the official authorized to receive payments and sign grant application forms. He replaces Mr. E. D. Murphy, Business Manager, in this function. Director, Office of Grants Management Date: October 1, 1969 IA4 T@ HEALTH SERVICES AND NENTAL HEALTH ADMINISTRATION oal$7-nne,@ EXTRAMURAL PROGRAMS + Grants Memorandum Number 69-38 SUBJECT: Transfer of Southwest Center for Advanced Studies to The University of Texas at Dallas The Southwest Center for Advanced Studies has ceased to exist and has become the University of Texas at Dallas effective September 1, 1969 as authorized by State of Texas statute and agreement between the Southwest Center for Advanced Studies Board of Governors and the Board of Regents of the University of Texas System. Grants in effect at the time of the transfer are expected to continue uninterrupted with the Administration of grants and awards becoming the responsibility of the new University of Texas at Dallas. Director, Office of Grants Management Date: October 1, 1969 @ A)/W- -rc, prPAP .HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Number 69-39 SUBJECT: Institutional Cost Sharing Agreements APPLICABILITY: Public Health Service Research Grants (See attached list of research grants requiring cost sharing) Attached is a cumulative list of grantee institutions that have institu- tional cost sharing agreements, as of the date of this Grants Memorandum. Information about new and revised agreements will continue to be provided on the NOTICE form issued by the Office of Grants Management, Office of the Administrator, Health Services and Mental Health Administration. NOTICE forms will be numbered consecutively using the list number as a prefix. In publishing this listing, we have omitted all reference to the manner and rate at which cost sharing is to be provided. Only effective dates of the agreements are shown. Institutions shown on previous listings as cost sharing through reductions of indirect costs should now be handled in the same manner as all other institutions; that is, awards should refer only to the effective date of the agreement, and no reductions of indirect costs should be made. With respect to reports of expenditures, it is incumbent upon the grantee to reduce his claim for indirect costs if that is the method he chooses. Since grantees with institutional agreements may vary both the amount and method of cost sharing on I..ndi- vidual grants so long as an overall percentage is maintained, reports of expenditures from a single grantee do not have to be consistent with respect to their claims for indirect costs. In order-to speed processing, grantees have been asked to indicate in the "Remarks" section of the ROE, when less than allowable indirect costs are claimed because of cost sharing; however, if a grantee having an institutional agreement fails to do this, no questions should be raised unless he has obviously made an error, such as using an incorrect rate. 2 Additional information regarding institutional cost sharing may be obtained by calling the Office of Grants Management, Code 179, Extension 6241. SUPERSEDES: Grants Memorandum Number 69-22, dated-April 1, 1969, and all NOTICES numbered 7-. Director, Office of Grants Management Date: October 1, 1969 Attachment October 1, 1969 COST SHARING IN RESEARCH GRANTS APPLICABILITY: PHS Research Project Grants (identified by program codes as follows with the exception of foreign grants, grants to Federal institutions, grants to individuals, and conference grants): R01 Projects - exclusive of conference and publication grants R02 Nursing R03 Small Grants R07 ICMRT R10 Chemotherapy & Psychopharmacology R12 Mental Health Special Grants R18, Research Demonstration Projects Designed to Test and Evaluate Health Services Activities R20 Hospital Improvement R21 Community Health Exploratory Grants R22 U.S. - Japan Cooperative Medical Science Program P01 Research Program Projects P02 NCHSRD Research Center Grants only P10 Environmental Health Centers for Research and Training P11 Pharmacology-Toxicology Centers P13 Dental Research Institute Program P15 Outpatient Clinical Research Grant Program October 1, 1969 INSTITUTIONAL COST SHARING AGREEMENTS LIST #8 Effective Date of State Institution Agreement Alabama Alabama, University of 3/l/66 (includes Medical College of 10/l/68 Revised Alabama, School of Dentistry, Graduate School, School of Nursing, School of Health Ser- vices Administration, College of General Studies, and Univer- sity Hospitals and Clinics) Birmingham, Alabama Auburn University 1/19/67 Auburn, Alabama Southern Research Institute I/l/69 Birmingham, Alabama Alaska Alaska, University of 3/l/66 College, Alaska - Arizona Arizona State University 3/l/66 Tempe, Arizona 7/l/68 - Revised Arizona, University of 7/l/69 Tucson, Arizona Arkansas, Arkansas, University of 3/l/66 Medical Center Little Rock, Arkansas California Alameda County Medical Institutions 3/i/66 (Institute of Metabolic 12/31/68 Cancelled Research - only) Oakland, California Attending Staff Association 3/l/66 (includes Harbor General Hospital) Torrance, California 2 Institutional Cost Sharing Effective _Agreements Date of State Institution Agreement California@ Attending Staff Association 3/l/66 (cont.) Rancho Los Amigos Hospital Downey, California Cedars-Sinai Medical Center 1/11/67 Los Angeles, California 3/31/69 Revised Childrens Hospital of 3/l/66 Los Angeles Los Angeles, California Children's Hospital and 10/l/68 Adult Medical Center of San Francisco San Francisco, California City of Hope National 3/19/69 Medical Center Duarte, California Clinical Pharmacology 3/l/66 Research Institute Berkeley, California State of California 3/l/66 Department of Public Health Berkeley, California The Galton Institute 3/l/66 Los Angeles, California The Institute of Medical 3/l/66 Sciences Pacific Medical Center San Francisco, California. Institute for Med'ical Research 3/l/66 of Santa Clara County San Jose, California Institute for the Study of 3/l/66 Crime and Delinquency Sacramento, California Kaiser Foundation 3/l/66 Research Institute Oakland, California 3 Institutional Cost Sharing Agreements Effective Date of State Institution Agreement California Loma Linda University 3/l/66 (cont.) Loma Linda, California Long Beach California State 3/l/66 College Foundation Long Beach, California Mental Research Institute 12/l/66 Palo Alto, California Mount Zion Hospital and 3/i/66 Medical Center San Francisco, California Pasadena Foundation 3/l/66 for Medical Research 7/l/67 Revised Pasadena, California Professional Staff Association 3/l/66 of Los Angeles County University of Southern California Medical Center, Inc. (formerly Attend@9 Staff Association of the@Lo-s Angeles County Hospital) Los Angeles, California The Salk Institute for 3/l/66 Biological Studies San Diego, California San Diego State College 3/l/66 (includes San Diego State College Foundation) San Diego, California Stanford Research Institute 3/l/66 Menlo Park, California University of the Pacific 3/l/66 Stockton, California 4 Institutional Cost Sharing Agreements Effective Date of State institution Agreement I California University of California 5/l/68 (cont.) (applies 2ala to.individual grants for research to be conducted at the National Center for Primate Biology) Davis, California University of Southern California 7/l/68 University Park Los Angeles, California Colorado American Medical Center at 3/l/66 Denver Spivak, Colorado Colorado State University 3/l/66 Fort Collins, Colorado Colorado, University of 7/l/68 Medical center (only) Denver, Colorado National Jewish Hospital 3/l/66 at Denver Denver, Color ado Connecticut Connecticut, University of 3/l/66 Storrs, Connecticut Yale University (all units) 7/l/66 New Haven, Connecticut District of American Speech and Hearing 3/l/66 .Columbia Association Washington, D.C. Arctic Institute of 3/4/69 North America Washington, D.C. The Catholic University of 3/l/66 America Washington, D.C. 5 Institutional Cost Sharing Agreements Effective Date of State Institution Agreement District of Georgetown University 7/l/67 Columbia Washington, D.C. (cont.) The George Washington 3/l/66 University Washington, D.C. Howard University 3/l/66 Washington, D.C. Research Foundation 3/l/66 Children's Hospital of the District of Columbia Washington, D.C. Florida Florida State Board 7/l/66 of Health Jacksonville, Florida Florida State University 8/i/67 Tallahassee, Florida Florida, University of 3/l/66 Gainesville, Florida Miami, University of 3/l/66 (includes Medical School) Coral Gables, Florida South Florida, University of 3/l/66 Tampa, Florida Georgia Georgia State Department of 1/10/67 Health (includes Milledgeville State Hospital, Gracewood State School and Hospital, Georgia Mental Health Institute, Georgia Retardation Center, Georgia Clinic, Chatham Clinic, and Southwestern State Hospital) Atlanta, Georgia Medical College of Georgia 3/l/66 Augusta, Georgia 3/l/69 Revised 6 Institutional Cost Sharing Agreements Effective Date of State Institution Agreement Hawaii Hawaii, University of 12/l/67 Honolulu, Hawaii Illinois Evanston Hospital 7/l/67 Evanston, Illinois Interscience Research Institute 5/l/68 Champaign, Illinois Kankakee State Hospital 2/l/67 Kankakee, Illinois Michael Reese Hospital 3/l/66 and Medical Center Chicago, Illinois Northwestern University 3/l/66 Evanston, Illinois Presbyterian St. Luke's Hospital 3/i/66 Chicago, Illinois Indiana Indiana University Foundation 3/l/66 Bloomington, Indiana New Castle State Hospital 3/l/69 New Castle, Indiana Notre Dame, University of 3/l/66 Notre Dame, Indiana Purdue University and Purdue 3/l/66 Research Foundation Lafayette, Indiana Iowa The University of Iowa 7/l/68 Iowa City, Iowa Kansas Kansas, University of I/l/67 (excludes the University of Kansas Medical Center Lawrence, Kansas Institutional Cost Sharin A reene,,ts Effective Date of Institution State 3/l/66 University of Kansas Kansas Medical Center (cont.) Kansas City, Kansas 3/l/66 Ke ck Louisville, University of Louisville, Kentucky Alt on Ochsner Medical Foundation 3/l/66 Louisiana New Orleans, Louisiana Louisiana State University 3/l/66 Medical Center (only) New Orleans, Louisiana Tulane University New Orleans, Louisiana School of Medicine (only) 3/i/66 All locations (including 7/i/68 School of Medicine, Baton Rouge and the Delta Primate Center) rvl,an,d, American Type culture Collection 12/12/6( Rockville, Maryland Baltimore city Hospitals 7/i/66 Baltimore, Maryland Friends of Psychiatric 3/l/66 Research, Inc. Baltimore, Maryland Institute for Behavioral 3/i/66 Research, Inc. Silver Spring, Maryland 1 3/i/66 Johns Hopkins university School of Hygiene and public Health Baltimore, Maryland Johns Hopkins University 3/i/66 School of Medicine yland Baltimore, Mar 8 Institutional Cost Sharin s Effective Date of ement State Institution Maryland National Biomedical 3/l/66 (cont.) Research Foundation Silver Spring) Maryland The Trustees of Sheppard and 7/l/68 Enoch Pratt Hospital Towson, Maryland Massachusetts Age Center of New England, Inc. 4/l/66 Boston, Massachusetts Beth Israel Hospital 3/i/66 Boston, Massachusetts Bio-Research Institute, Inc. 3/l/66 Cambridge, Massachusetts The Blood Grouping Laboratory 12/l/66 Boston, Massachusetts Blood Research Institute, Inc. 8/l/66 (formerly-Protein Foundation) Boston, Massachusetts Boston College 2/20/6@ Chestnut Hill, Massachusetts Boston Hospital for Women 3/l/66 Lying-In Division Boston, Massachusetts Boston University 7/l/66 Boston, Massachusetts Brandeis University 3/l/66 Waltham, Massachusetts Children's Cancer Research 3/l/66 Foundation, Inc. Boston, Massachusetts Children's Hospital Medical 3/l/66 Center Boston, Massachusetts 9 Institutional Cost Sharing Agreements Effective Date of State Institution Agreement Massachusetts Clark University 3/l/66 (cont.) Worcestery Massachusetts 7/l/69 Revised Diabetes Foundation, Inc. 3/l/66 Boston, Massachusetts lo/l/67 Revised Forsyth Dental Center 3/l/66 Boston, Massachusetts Harvard University 3/i/66 (includes only Harvard Medical School, Harvard School of Public Health and Harvard School of Dental Medicine) Cambridgey Massachusetts James Jackson Putnam 7/l/66 Children's Center Roxbury, Boston, Massachusetts I/l/68 Mallory Institute of Pathology Foundation Boston, Massachusetts Massachusetts Department of Mental Health Cushing Hospital 7/l/69 Framingham, Massachusetts Metropolitan State Hospital 7/l/68 Waltham, Massachusetts Massachusetts Eye and Ear 3/i/66 Infirmary Boston, Massachusetts Massachusetts General Hospital 3/i/66 Boston, Massachusetts Massachusetts Health 1/13/67 Research Institute, Inc. Boston, Massachusetts 10 Institutional Cost Sharing Agreements Effective- Date of State Institution Agreement % I Massachusetts Massachusetts Institute of 3/l/66 (cont.)- Technology Cambridge, Massachusetts Massachusetts, University of 3/l/66 Amherst, Massachusetts McLean Hospital 3/l/66 Belmont, Massachusetts The Memorial Hospital 7/l/66 Worcester, Massachusetts New England Medical Center 3/l/66 Hospitals Boston, Massachusetts Northeastern University 7/l/67 Boston,. Massachusetts Peter Bent Brigham Hospital 3/i/66 Boston, Massachusetts Red Acre Farm, Iric'. 3/l/66 Stow, Massachusetts Retina Foundation 3/l/66 Institute of Biological & Medical-Sciences Boston, Massachusetts Robert B. Brigham Hospital 3/l/66 Boston, Massachusetts St. Margaret's Hospital 3/i/66 Boston, Massachusetts Springfield College 12/12/66 Springfield, Massachusetts University Hospital 4/,1/68 Boston University Medical Center Boston, Massachusetts nts Effective Institutional Co t Shar Date of Agreement State Institution oods Hole Oceanographic lo/l/67 Massachusetts W Ccont.) Institution Woods Hole, Massachusetts 3/l/66 The Worcester Foundation 4/i/68 - Revised for Experimental Biology Shrewsbury, Massachusetts 3/i/66 Detroit, University of 7/i/68 - Revised Detroit, Michigan 3/l/66 Henry Ford Hospital Detroit, Michigan Lafayette Clinic 3/i/66 Detroit, Michigan Michigan, State of 3/l/66 Department of Public Health Lansing, Michigan Michigan, University of 7/i/67 (all parts of University) Ann Arbor, Michigan Mayo Foundatidn 3/l/66 Minnesota Rochester, Minnesota Minneapolis Medical Research 3/l/66 Foundation, Inc. Minneapolis, Minnesota Minnesota, University of 3/i/66 (includes all campuses - Minneapolis-St. Paul, Duluth, Austin, Morris, the Hormel Institute, and all affiliated hospitals) Minneapolis, Minnesota Mount Sinai Hospital 9/i/66 Minneapolis, Minnesota 12 Effective Institutional Cost S Date of Agreement t@ate In titution Mississippi State University 3/l/66 missi state College, Mississippi Mississippi, University of 3/i/6 6 Medical Center 7/l/68 Revised Jackson, Mississippi Cancer Research Center 1/16/67 M ssouri Columbia, Missouri The Jewish Hospital of 7/l/67 Saint Louis St. Louis, Missouri 3/l/66 Saint Louis University 9/i/67 Revised St. Louis, Missouri Washington University 3/l/66 St. Louis, Missouri Montana Montana State University 2/16/6 7 The Endowment and,-Research Foundation at Montana State University Bozeman, Montana Montana, University of 3/l/66 (includes University of Montana Foundation) Missoula, Montana 1/i/68 Nebraska the Creighton University Omaha, Nebraska 1/26/67 Nebraska, University of (college of Medicine only) Lincoln, Nebraska Dartmouth College 3/l/66 New Ha hire (includes all parts of the university) Hanover, New Hampshire 13 Institutional Cost Sharing Agreements Effective Date of State Institution ment New Jersey Department of Health 7/l/67 State of New Jersey Trenton, New Jersey Educational Testing Service 3/l/66 Princeton, New Jersey Institute for Medical Research 3/l/66 Camden, New Jersey Rutgers, The State University 3/l/66 New Brunswick, New Jersey New Mexico Lovelace Foundation for 10/l/67 Medical Education and Research Albuquerque, New Mexico New Mexico, The University of 1/26/67 School of Medicine Albuquerque, New Mexico New York Adelphi University 3/l/66 Garden City, Long Island New York The Albany Medical College 3/l/66 of Union University Albany, New York Albert Einstein College 7/l/66 .of Medicine Yeshiva University Bronx, New York Boyce Thompson Institute 12/2/66 for Plant Research, Inc. I/l/69 Revised Yonkers, New York Bronx-Lebanon Hospital Center 3/l/66 Bronx, New York Children's Hospital of Buffalo 4/l/69 Buffalo, New York L4 Institutional Cost Sharing Agreements Effective Date of State Institution Agreement New York Clarkson College of Technology 3/l/66 (cont.) Potsdam, New York Cold Spring Harbor Laboratory 1/5/67 of Quantitative Biology Cold Spring Harbor, L.I., New York Columbia University in the City 3/i/66 of New York (includes only the School of Public Health and Admin- istrative Medicine, College of Physicians and Surgeons, and the School of Dental and Oral Surgery) New York, New York Community Blood Council of 5/l/69 Greater New York, Inc. New York, New York Community Council of Greater 3/l/66 New York New York, New York Cornell Unive sity 7/l/68 .r @(includes Ithaca and New York City campuses and New York State Experiment Station at Geneva but excludes Cornell University Medical College) Ithaca, New York Cornell University Medical I/l/67 College New York, New York Department of Health 5/l/69 State of New York (covers only projects to be performed at HRI Albany and Buffalo locations) Albany, New York Eastman Dental Center 3/l/66 Rochester, New York 15 nts Effective 1 Cost Shar Institutional uQbL OL-L Date of State InstiLtution Apreement New York Health Research, Inc. I/i/69 (cont.) Albany Division Albany, New York Health Research, Inc. 3/.1/66 Roswell Park Division Buffalo, New York Hillside Hospital 7/i/66 Glen Oaks, New York Hospital for Joint Diseases 1/24/67 and Medical Center New York, New York The Jewish Hospital Medical 7/l/66 Center of Brooklyn Brooklyn@ New York Y,ingsbrook Jewish Medical Center 3/l/66 (formerly Jewish Chronic Disease Hospital) Brooklyn, New York 3/l/66 Long Island Jewish Hospital New Hyde Park, New York Maimonides Medical Center 7/l/66 Brooklyn, New York Manhattan College 3/l/69 Bronx, New York The Mary Imogene Bassett 3/l/66 Hospital Cooperstown, New York Medical Foundation of Buffalo 9/l/67 Buffalo, New York Medical and Health Research 3/l/66 Association of New York City, Inc. New York, New York 16 Institutional Cost Sharing Agreements Effective Date of State Institution Agreement New York Mont6fiore Hospital and 3/l/66 (cont.) Medical Center Bronx, New York The Mount Sinai School 3/l/66 of Medicine New York, New York New York University 3/l/66. (includes NYU Medical Center) New York, New York Polytechnic Institute of 3/l/66 Brooklyn Brooklyn, New York Queens College of the City 3/l/66 University of New York Flushing, New York Research for Health in 3/i/66 Erie County, Inc. (includes The Edward J. Meyer Memorial Hospital) Buffalo, New York The Rockefeller University 3/i/66 New York, New York The Roosevelt Hospital 3/l/66 New York, New York St. Luke's Hospital Center I/l/69 New York, New York State University of New York 7/l/66 Downstate Medical Center (only) (includes Bronx, Brooklyn, Manhattan, Queens, Richmond) Brooklyn, New York State University of New York 7/l/67 at Stony Brook (only) Stony Brook, New York Effective Inst Date of Institution State State University Of New York 3/i/66 New York 'Upstate Medical Center (cont.) (includes Syracuse units only) Syracuse, N.ew York 2/15/69 Siaten island Mental Health Society New York Staten island) 3/i/66 Syracuse University Syracuse, New York 3/l/66 Teachers college Columbia University New York, New York Waldemar Medical Research 3/i/66 Foundation, Inc. New York Woodbury, L.I., ol of Medicine 3/i/66 ol N rth C Bowman Gray Scho Wake Forest university th Carolina Winston-Salem, Nor Carolina 3/i/66 State of North Department of Mental Health Raleigh, North Carolina 7/i/67 Duke university Durham, North Carolina 3/i/66 ,North Carolina State University at Raleigh Raleigh, North Carolina Research Triangle Institute 3/i/67 Research Triangle Park, North Carolina University Of 3/1 6 ta North Dakota, North Dakota Grand Forks, North Dakota 18 Institutional Cost Sharing Agreements Effective Date of State Institution Agreement Ohio Battelle Memorial Institute 7/l/67 Columbus Laboratories 9/l/69 Revised Columbus, Ohio Case Western Reserve 3/l/66 University Cleveland, Ohio Charles F. Kettering 3/l/66 Research Laboratory Yellow Springs, Ohio Children's Hospital 1/23/67 (includes Children's Hospital Research Foundation) Columbus, Ohio The Children's Hospital 3/l/66 Research Foundation I/l/67 - Revised Cincinnati, Ohio I/l/68 - Revised Cincinnati, University of 7/l/67 Cincinnati, Ohio Cleveland Clinic Foundation 3/i/66 Cleveland, Ohio Cox Coronary Heart Institute I/l/67 Kettering, Ohio Denison University 3/l/66 Granville, Ohio The Fels Research Institute 3/l/66 Yellow Springs, Ohio Miami University 3/l/66 Oxford, Ohio The Ohio State University 3/i/66 (includes Research Foundation) Columbus, Ohio St. Vincent Charity Hospital 3/l/66 Cleveland, Ohio 113 ments Effective Institutional Cost Sharin A Date of ement State Inst tution 3/i/66 Ohio University Hospitals of (cont.) Cleveland Cleveland, Ohio 3/i/66 Medical Research Oklahoma Oklahoma Foundation Oklahoma city, Oklahoma Oklahoma State University 1/19/67 Stillwater, Oklahoma Medical Center Research and 7/l/66 Development office of The University of Oklahoma Foundation, Inc- University (formerly Oklahoma, of, Medical Center) Oklahoma City, Oklahoma Oklahoma, University of 3/l/66 7/i/69 Revised Research Institute Norman, Oklahoma on Medical Research Foundation 7/i/67 of Oregon Portland, Oregon Oregon Research Institute 7/l/66 Eugene, Oregon Oregon State University 3/l/66 Corvallis, Oregon Oregon, University of 3/l/66 Eugene, Oregon Oregon, University of 3/l/66 Medical School Portland, Oregon Pe vania Albert Einstein Medical Center 3/l/66 Philadelphia, Pennsylvania 20 Institutional Cost Sharing Agreements Effective Date of State Institution Agreement Pennsylvania The Children's Hospital 7/l/67 (cont.) of Philadelphia Philadelphia, Pennsylvania Children's Hospital of 3/i/66 Pittsburgh 7/l/68 Revised Pittsburgh, Pennsylvania Drexel Institute of Technology 7/i/67 Philadelphia, Pennsylvania The Hahnemann Medical College 3/l/66 and Hospital of Philadelphia Philadelphia, Pennsylvania Home for the Jewish Aged 1/l/67 (formerly Philadelphia Geriatric Center) Philadelphia, Pennsylvania The Institute for Cancer 3/l/66 Research Philadelphia, Pennsylvania Institute for Research 7/l/66 State College, Pennsylvania The Jefferson Medical College 7/l/66 and Medical Center Philadelphia, Pennsylvania Lehigh University 3/l/66 Bethlehem, Pennsylvania Magee-Womens Hospital 7/l/68 Pittsburgh, Pennsylvania Pennsylvania Hospital 3/l/66 Philadelphia, Pennsylvania The Pennsylvania State 3/l/66 University University Park, Pennsylvania Pennsylvania, University of 3/l/66 Philadelphia, Pennsylvania I- @ ements Effective Date of State Institution ollege of 7/l/67 Philadelphia C @cont.) Pharmacy and Science Philadelphia@ Pennsylvania pital 7/l/69 Philadelphia General Hos Philadelphia, Pennsylvania 7/i/66 Presbyterian-University of Pennsylvania Medical Center Philadelphia, Pennsylvania 7/i/66 Regional Science Research Institute Philadelphia) Pennsylvania St. Christopher's Hospital 3/l/66 for children Philadelphia) Pennsylvania rsitY 3/i/66 Temple Unive Philadelphia, Pennsylvania wills Eye Hospital 3/l/66 Philadelphia, Pennsylvania The Wistar Institute I/l/68 Philadelphia, Pennsylvania Woman's Medical College of 3/i/66 Pennsylvania Philadelphia, Pennsylvania rsity 7/i/66 Rhode Island Brown Unive Rhode Island 7/i/67 - Revised Providence, 7/l/68 - Revised Rhode Island Hospital I/i/67 Providence, Rhode Island Rhode Island, university Of 7/i/66 Kingston, Rhode Island -lina iversity 3/i/66 South Caro Clemson Un Clemson, South Carolina 22 Institutional Cost Sharing Agreements Effective Date of State Institution Agreement South Carolina Medical College of South 7/i/67 (cont.) Carolina Charleston, South Carolina South Carolina, University of 3/l/66 Columbia, South Carolina Tennessee Meharry Medical College 7/l/67 Nashville, Tennessee St. Jude Children's 3/l/66 Research Hospital Memphis, Tennessee Tennessee, The University of 3/l/66 (excludes all Medical Units in Memphis) Knoxville, Tennessee Tennessee, The University of 7/l/68 Medical Units (only) Memphis, Tennessee Vanderbilt University 3/l/66 Medical Center Nashville, Tennessee Texas Baylor University 3/l/66 College of Dentistry Dallas, Texas Baylor University 12/9/66 College of Medicine Houston, Texas Houston Speech and Hearing 12/2/66 Center Texas Medical Center Houston, Texas J.K. and Susie L. Wadley 3/l/66 Research Institute and Blood Bank Dallas, Texas 23 Effective Institutional Cost Sha Date of State Institution. ement Texas M.D. Anderson Hospital 3/l/66 (cont.) and Tumor Institute The University of Texas Texas Medical Center Houston, Texas Sam Houston State College 9/l/69 Huntsville, Texas Scott and White Memorial 1/30/67 Hospital and Scott, Sherwood and Brindley Foundation Temple, Texas . Southwest Research Institute 3/l/66 San Antonio, Texas Texas, University of 3/l/66 (formerly Southwest Center for Advanced Studies) Dallas, Texas Texas, University of 3/l/66 Southwestern Medical School Dallas, Texas Texas, University of 9/l/66 Medical Branch Galveston, Texas Texas, University of Texas Medical Center Houston, Texas Dental Branch 3/l/66 Graduate School of 9/l/68 Biomedical Sciences School of Public Health 9/l/68 24 Institutional Cost Sharing Agreements Effective Date of State Institution Agreement Texas Texas, University of 9/l/66 (cont.) Medical School at San Antonio San Antonio, Texas Utah Utah, The University of 7/l/68 Salt Lake City, Utah Utah State University 3/l/66 Logan, Utah Vermont Vermont, The University of 3/i/66 Burlington, Vermont Virginia College of William and Mary 7/l/69 Williamsburg, Virginia Medical College of Virginia 1/16/67 Richmond, Virginia Virginia Polytechnic Institute 3/i/66 Blacksburg,..Virginia Virginia, University of 3/l/66 Charlottesville, Virginia Washington Pacific Northwest 12/8/66 Research Foundation Seattle, Washington Virginia Mason Research Center 7/l/68 Seattle, Washington Washington State University 3/l/66 Pullman, Washington Washington, University of 3/l/66 Seattle, Washington Wisconsin Marquette University 3/l/66 (exclusive of Medical School) Milwaukee, Wisconsin 25 tutional Cost Shar nts Effective Insti Date of State Institution ement Wisconsin Wisconsin, University of 3/l/66 (cont.) Madisoni Wisconsin Puerto Rico University of Puerto Rico 7/l/68 Rio Piedras, Puerto Rico Our 6(Q HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Number 69-40 SUBJECT-. SUNY Local Campus Officials Authorized to Sign Applications for Sponsored Support and Research Foundation of SUNY Individuals Authorized to Certify Expenditures from Sponsored Program Funds. Attached are revised listings of the State University of New York local campus officials designated to sign application face sheets evidencing University administrative approval of proposed projects and of those persons authorized to certify on behalf of the Research Foundation, expenditures from sponsored program funds at the local campuses. This Information superseded that contained in Grants Memorandum No. 69-25, April 23, 1969. Director, Office of grants Management Date: November S,, 1969 Attachment Index: Authorized Signatures SUNY THE RESEARCH FOUNDATION OF STATE UNIVERSITY OF NEW YORK INDIVIDUALS AUTHORIZED TO CERTIFY EXPENDITURES FROM SPONSORED PROGRAM FUNDS ALBANY Robert A. Stierer Assistant Vice President for Business Affairs BINGHAMTON Edward J. Demske Assistant Vice President for Business Affairs COLLEGE AT BROCKPORT Donald Nasca Director-of Research COL LEGE AT BUFFALO John Fontana Coordinator of Sponsored Programs BUFFALO Charles Balkin Assistant Vice President for Business Affairs and Cor..@roller CORTLAND Frank Reynolds Budgeting Analyst DOWNSTATE MEDIC L CENTE' Milton Miller Vice President for Business Affairs 2 FORESTRY Harry J. Corr Director of Business Affairs FREDONIA Edward Baydala Campus Director of Budgets COLLEGE AT GENESEO James L. McNally Director of Institutional Research MARITIME COLLEGE Louis R. Camp Director of Business Affairs OLD WESTBURY Robert L. Goldberg-- Director of Administration ONEONTA Robert M. Adams Director of Business Affairs OSWEGO Carey P. Salander Director of Business Affairs PLATTSBURGH Bernard J. Seawell Assistant to the President for Business Affairs 3 POTSDAM James J. Doyle, Jr. Senior Financial Secretary PURCHASE Charles Cooper Director of Business Affairs STONY BROOK Maurice Kosstrin Business Director UPSTATE David A. Sinclair Vide President for Business Affairs A. & T.-COLLEGE AT COBLESKILL Majorie K. Byrnes (Mrs.) Business Manager A. & T. COLLEGE AT FARMINGDALE Frederick J. Walsh Director of Institutional Research A. & T. COLIEGE AT MORRISVILLE Luther L. 'r,iester Business Manager Q/'10/69 4. STATE UNIVERSITY OF NEW YORK LOCAL CAMPUS OFFICIALS AUTHORIZED TO SIGN APPLICATIONS FOR SPONSORED SUPPORT State University of New York at Albany Dr. Alan A. Kuusisto, Acting President Dr. Earl G. Droessler, Vice President for Research Dr. Charles T. O'Reilly, Acting Vice President for Academic Affairs State University of New York at Binghamton Dr. Bruce Dearing, President Dr. S. Stewart Gordon Vice President for Academic Affairs Dr. Edward C. Moore, Vice President for Graduate Studies and Research Mr. Edward J. Demske, Assistant Vice President for Business Affairs State University of New York at Buffalo Dr. Martin Meyerson, President Dr. Peter F. Regan, Executive Vice President Dr. Raymond Ewell, Vice President for Research Mr. Robert D. Murrill, Assistant Vice President for Research State University of New York Downstate Medical Center Dr. Joseph K. Hill, President and Dean State University of New York Upstate Medical Center Dr. Lewis W. Bluemle, Jr., President Mr. David A. Sinclair, Vice President for Business Affairs Mrs. Jean R. Fancher, Assistant for Sponsored Research 5. State University of New York College at Brockport Dr. Albert W. Brown,, President Dr. Donald Nasca,, Director for Research State University of New York College at Buffalo Dr. Elbert K. Fretwell, President Dr. Sigmund A. Smith, Vice President for Administration State University of New York College at Cortland Dr. Richard C. Jones, President Dr. Ross Allen, Dean for Division of'Graduate Studies and Research Dr. Walter L.'Heilbronner, Vice President for Academic Af fairs State University of New York College at Fredonia Dr. Oscar E. Lanford, President Dr. Milton M. Klein, Dean for Graduat8 Studies and Research State University of New York College at Geneseo Dr 'Robert W. MacVittie, President Dr. Thomas S Colahan, Vice President for Academic Affairs State University of New York College at New Paitt Dr. John J. Neumaier, President Dr. John H. Jacobson, Vice President State University of New York College at Old Westbury Dr. Harris Wofford, President Dr. Jerome Ziegler, Vice President for Planning and Administration State University of New York College at Oneonta Dr. Royal F. Netzer, President Dr. Clifford J. Craven, Vice President and Academic Dean State University of New York College at Oswego Dr. James E. Perdue, President Dr. J. Sherwood Dunham, Vice President for Academic Affairs State Univers tv of New York College at Plattsburgh Dr. George W. Angell, President Dr. William F. Lawrence, Vice President for Academic Affairs State University of New York College at Potsdam Dr. H. Austin Peck, President Dr. Alfred W. Thatcher, Vice President for Academic Affairs Dr. Clarence McKinstry, Research Grants Administrator State University of New York College at Purchase Dr. Abbott Kapl@a, President State University (-..- New York College of Forestry Dr. Edward E. Palmer, President Dr. Richard E. Pentoney, Associate Dean for Physical Sciences and Research Dr. Donald Mabie, Assistant Research Co- ordinator 7. State University of New York Maritime College Rear Admiral Edward J. O'Donnell, President Dr. Daniel J. Duffy, Vice President for Academic Affairs State University of New York Agricultural and Technical College at Alfred Dr. David h. Huntington, President Dr. Roger F. Rawe, Vice President and Dean State University of New York Agricultural and Technical College at Canton Dr. Albert French, President Dr. Glenn E. Wright, Vice President State University of New York Agricultural and Technical College at Cobleskill Dr. Walton A. Brown, President Mrs. Marjorie K.'Byrnes, Business Officer State University of New York Agricultural and Technical College at Delhi Dr. William R. Kunsela, President Dri William F. Kennaugh, Vice President State University of New York Agricultural and Technical College at Farmingdale Dr. Charles W. Laffin, Jr., President Nr. Richard Edel, Director of Institutional Research State University of New York Agricultural and Technical College at Morrisville Dr. Royson N. Whipple, President 8. State University of New York Center for 'International studies-and World Affairs Dr. Ivan Putman, Jr.. Acting University Dean State University of New York Institute for Research in Learning and Instruction (Vacancy) State University of New York Fashion Institute of Technology Dr. Lawrence Jarvie, President State University of New York at Stony Brook Dr. John S. Toll, President Dr.-Bentley Glass, Academic Vice President Dr. T. A. Pond, Executive Vice President Dr. Herbert Weisinger, Dean for Graduate School Revised 9/30/69 HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAM'URAL PROGRAMS Grants Memorandum Number 69-41 SUBJECT: Limiting Future Commitments to the Availability of Funds APPLICABILITY: HSMHA Grants with Provisions for Future Commitments NIH's General Counsel representative recommended that in view of present and future budget uncertainties, all award statements be clarified by noting that amounts recommended for future support are subject to the availability of funds. Although this reservation appears in all policy statements, a reminder wotild serve to alert the grantee to the policy and that there is indeed some uncertainty as to the availability of amounts stated in the award, Accordingly, we were advised that after November 15, 1969, awards pre- pared by the NIH computer will contain the notation, "Subject to the Availability of Funds," as a footnote to the amo unts recommended for future support. Since the reasons for this action are applicable to all grant programs, a similar notation should be placed on all other award statements where future support is recommended. Director, Office of Grants Management Date: November 13., 1969 HEALTH SERVICES AND MENTAL KEALTH ADMINISTMTION EXTRAMURAL PF4DGRAMS Grants Memorandum Number 70-44 SUBJECT: Grant, Contract or Sub-contract Awards to the National Opinion Research Center, Chicago, Illinois The Division of Grant Administration Policy is currently negotiating with the National Opinion Research Center for the return of a substantial over- payment made on the Departmentle grants and contracts. Since collection of this overpayment could result in 4e demise of the institution, or seriously impair its ability to perform, DGAP should like to be informed of any contemplated grant contract or sub-contract awards to this Institution in order that sufficient controls can be arranged to assure the accountability of Department funds. Accordingly please advise the Chief, Cost Policy and Rate Negotiation il Branch, DGAPI, of such awards (i.e.,, the date the grant, contract, or subcontract is scheduled to be made; the period of performance and the ammut) at least 15 working days before the scheduled date of award. Director, Office of Grants Management Date: March 16, 1970 HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Number 70-45 SUBJECT: Institutional Cost Sharing Agreements APPLICABILITY: Public Health Service Research Grants (See attached list of research grants requiring cost sharing) Attached is Cumulative List Number 9 showing grantee institutions that have institutional cost sharing agreements, as of April 1, 1970. Information about new and revised agreements will continue to be provided on the NOTICE form issued by the Office of Grants Management, Office of the Administrator, Health Services and Mental Health Administration. NOTICE forms will be numbered consecutively using the list number as a prefix. In publishing this listing, we have omitted all reference to the manner and rate at which cost sharing is to be provided. Only effective dates of the agreements are shown. Institutions shown on previous listings as cost sharing through reductions of indirect costs should be handled in the same manner as all other institutions; that is, awards should refer only to the effective date of the agreement, and no reductions of indirect costs should be made. With respect to reports of expenditures, it is incumbent upon the grantee to reduce his claim for indirect costs if that is the method he chooses. Since grantees with institutional agreements may vary both the amount and method of cost sharing on indi- vidual grants so long as an overall percentage is maintained, reports of expenditures from a single grantee do not have to be consistent with respect to their claims for indirect costs. In order to speed processing, grantees have been asked to indicate in the "Remarks" section of the ROE, when less than allowable indirect costs are claimed because of cost sharing; however, if a grantee having an institutional agreement fails to do this, no questions should be raised unless he has obviously made an error, such as using an incorrect rate. 2 Additional information regarding institutional cost sharing may be obtained by calling the Office of Grants Management, Code 153, Extension 31874. SUPERSEDES: Grants Memorandum Number 69-39, dated October 1, 1969, and all NOTICES numbered 8-. Director, Office of Grants Management Date: April 1, 1970 Attachment COST SHARING IN RESEARCH GRANTS APPLICABILITY: PHS Research Project Grants (identified by program codes as follows with the exception of foreign grants, grants to Federal institutions, grants to individuals, and conference grants): R 01 Projects - exclusive of conference and publication grants R 02 Nursing R 03 Small Grants R 07 ICMRT R 10 Chemotherapy & Psychopharmacology R 12 Mental Health Special Grants R 18 Research Demonstration Projects Designed to Test and Evaluate Health Services Activities R 20 Hospital Improvement R 21 Community Health Exploratory Grants R 22 U.S. - Japan Cooperative Medical Science Program P 01 Research Program Projects P 10 Environmental Health Centers for Research and Training P 11 Pharmacology-Toxicology Centers P 13 Dental Research Institute Program P 15 Outpatient Clinical Research Grant Program P 16 Health Services Research Center Grants INSTITUTIONAL COST SHARING AGREEMENTS LIST #9 Effective Date of State Institution Agreement Alabama Alabama, University of 3/l/66 (includes Medical College of 10/l/68 Revised Alabama, School of Denistry, Graduate School, School of Nursing, School of Health Ser- vices Administration,, College of General Studies, and Univer- sity Hospitals and Clinics) Birmingham, Alabama Auburn University 1/19/67 Auburn, Alabama Southern Research Institute 1/l/69 Birmingham, Alabama Alaska Alaska, Univerisity of 3/l/66 College, Alaska Arizona Arizona State University 3/l/66 Tempe, Arizona 7/l/68 - Revised Arizona, University of 7/l/69 Tucson, Arizona Arkansas Arkansas, University of 3/l/66 Medical Center Little Rock, Arkansas California Alameda County Medical Institutions 3/l/66 (Institute of Metabolic 12/31/68 - Cancelled Research - only) Oakland, California Attending Staff Association 3/l/66 (includes Harbor General Hospital) Torrance, California Institutional Cost Sharing, Agreements Effective Date of State Institution Agreement California Attending Staff Association 3/l/66 (cont.) Rancho Los Amigos Hospital Downey, California Cedars-Sinai Medical Center 1/11/67 Los Angeles, California 3/31/69 Revised Childrens Hospital of 3/l/66 Los Angeles Los Angeles, California Children's Hospital and 10/l/68 Adult Medical Center of San Francisco San Francisco, California City of Hope National 3/19/69 Medical Center Duarte, California Clinical Pharmacology 3/l/66 Ak,\ Research Institute Rp) Berkeley, California State of California 3/l/66 Department of Public Health Berkeley, California The Galton Institute 3/l/66 Los Angeles, California The Institute of Medical 3/l/66 Sciences Pacific Medical Center San Francisco, California Institute for Medical Research 3/l/66 of Santa Clara County San Jose, California Institute for the Study of 3/l/66 Crime and Delinquency Sacramento, California Kaiser Foundation 3/l/66 Research Institute Oakland, California Institutional Cost Sharing Agreements Effective Date of State Institution Agreement California Loma Linda University 3/l/66 (cont.) Loma Linda, California Long Beach California State 3/l/66 College Foundation Long Beach, California Mental Research Institute 12/l/66 Palo Alto, California 2/l/69 Revised Mount Zion Hospital and 3/l/66 Medical Center San Francisco, California Pacific State Hospital 7/l/69 Pomona, California Pasadena Foundation 3/l/66 for Medical Research 7/l/67 Revised Pasadena, California Professional Staff Association 3/l/66 of Los Angeles County University of Southern California Medical Center, Inc. (formerly Attending Staff Association of the Los Angeles County Hospital) Los Angeles, California The Salk Institute for 3/l/66 Biological Studies San Diego, California San Diego State College 3/l/66 (includes San Diego State College Foundation) San Diego, California Stanford Research Institute 3/l/66 Menlo Park, California University of the Pacific 3/l/66 Stockton,, California Institutional Cost Sharing Agreements Effective Date of State Institution Agreement California University of California (cont.) Berkeley, California National Center for Primate 5/l/68 Biology at Davis All Locations - including 7/l/69 National Center for Primate Biology University of Southern California 7/l/68 University Park Los Angeles, California Colorado American Medical Center at 3/l/66 Denver Spivak, Colorado Colorado State University 3/l/66 Fort Collins, Colorado Colorado,, University of 7/l/68 Medical center (only) Denver, Colorado National Jewish Hospital 3/l/66 at Denver Denver, Colorado Connecticut Connecticut, University of 3/l/66 Storrs, Connecticut Yale University (all units) 7/l/66 New Haven, Connecticut District of American Speech and Hearing 3/l/66 Columbia Association Washington, D. C. Arctic Institute of 3/4/69 North America Washington, D. C. The Catholic University of 3/l/66 America Washington, D. C. Effective Institutional Cost Sharing Agreements Date of State Institution Agreement District of Georgetown University 7/l/67 Columbia Washington, D. C. (cont.) The George Washington 3/l/66 University Washington, D. C. Howard University 3/i/66 Washington# D. C. Research Foundation 3/i/66 Children's Hospital of the District of Columbia Washington, D. C. Florida Florida State Board 7/l/66 of Health Jacksonville, Florida Florida State University 8/l/67 Tallahassee, Florida Florida, University of 3/l/66 Gainesville, Florida miami, University of 3/l/66 (includes Medical School) Coral Gables, Florida South Florida, University of 3/l/66 Tampa, Florida Georgia Georgia State Department of 1/10/67 Health (includes Milledgeville State Hospital, Gracewood State School and Hospital, Georgia Mental Health Institute, Georgia Retardation Center, Georgia Clinic, Chatham Clinic, and Southwestern State Hospital) Atlanta, Georgia Medical College of Georgia 3/l/66 Augusta, Georgia 3/l/69 - Revised Institutional Cost Sharing AK ements Effective re Date of State Institution Agreement Hawaii Hawaii, University of 12/l/67 Honolulu, Hawaii Illinois Evanston Hospital 7/l/67 Evanston, Illinois Interscience Research Institute 5/l/68 Champaign, Illinois Kankakee State Hospital 2/l/67 Kankakee, Illinois Michael Reese Hospital 3/l/66 and Medical Center Chicago, Illinois Northwestern University 3/l/66 Evanston, Illinois Presbyterian St. Luke's Hospital 3/l/66 Chicago, Illinois Indiana. Indiana University Foundation 3/l/66 Bloomington, Indiana New Castle State Hospital 3/l/69 New Castle, Indiana Notre Dame, University of 3/l/66 Notre Dame, Indiana Purdue University and Purdue 3/l/66 Research Foundation Lafayette, Indiana Iowa Iowa State University of 7/l/69 Science and Technology Ames, Iowa The University of Iowa 7/l/68 Iowa City, Iowa Kansas Kansas, University of 1/l/67 (excludes the University of Kansas Medical Center) Lawrence, Kansas Institutional Cost Sharing Agreements Effective Date of ment State Institution Kansas University of Kansas 3/l/66 (cont.) medical Center Kansas City, Kansas Kentu@ Louisville, University of 3/l./66 Louisville, Kentucky Louisiana Alton Ochsner Medical Foundation 3/l/66 New Orleans, Louisiana Louisiana State University 3/l/66 (covers only projects to be conducted at the LSU Medical Center, New Orleans) Baton Rouge, Louisiana Tulane University New Orleans, Louisiana (only) 3/l/66 School of Medicine All locations (including 7/l/68 School of Medicine, Baton Rouge and the Delta Primate center) Maryland American Type Culture Collection 12/12/66 Rockville, Maryland Baltimore City Hospitals 7/l/66 Baltimore, Maryland Eye Research Foundation of 1/9/69 Bethesda Bethesda, Maryland Friends of Psychiatric 3/l/66 Research, Inc. 12/j/68 Revised Baltimore, Maryland Institute for Behavioral 3/l/66 Research, Inc. Silver Spring, Maryland Johns Hopkins University 3/l/66 School of Hygiene and Public Health Baltimore, Maryland Institutional Cost Sharing Agreements Effective Date of State Institution Agreement Maryland 'Johns Hopkins University 3/l/66 (cont.) School of Medicine Baltimore, Maryland National Biomedical 3/l/66 Research Foundation Silver Spring, Maryland The Trustees of Sheppard and 7/l/68 Enoch Pratt Hospital Towson, Maryland Massachusetts Age Center of New England, Inc. 4/l/66 Boston, Massachusetts Beth Israel Hospital 3/l/66 Boston, Massachusetts Bio-Research Institute, Inc. 3/l/66 Cambridge, Massachusetts The Blood Grouping Laboratory 12/l/66 Boston, Massachusetts Blood Research Institute, Inc. 8/l/66 (formerly-Protein Foundation) Boston, Massachusetts Boston College 2/20/67 Chestnut Hill, Massachusetts Boston Hospital for Women 3/l/66 Lying-In Division Boston, Massachusetts Boston University 7/l/66 Boston, Massachusetts Brandeis University 3/l/66 Waltham, Massachusetts Children's Cancer Research 3/l/66 Foundation, Inc. Boston, Massachusetts Children's Hospital Medical 3/l/66 Center Boston, Massachusetts Institutional Cost Sharing Agreements Effective Date of State, Institution Agreement Massachusetts Clark University 3/l/66 (cont.) Worcester, Massachusetts 7/l/69 Revised Diabetes Foundation, Inc. 3/l/66 Boston, Massachusetts 10/l/67 Revised Forsyth Dental Center 3/l/66 Boston, Massachusetts Harvard University 3/l/66 (includes only Harvard Medical School, Harvard School of Public Health and Harvard School of Dental Medicine) Cambridge, Massachusetts James Jackson Putnam 7/l/66 Children's Center Roxbury, Boston, Massachusetts Mallory Institute of Pathology 1/l/68 Foundation Boston, Massachusetts Massachusetts Department of Mental Health Cushing Hospital 7/l/69 Framingham, Massachusetts Metropolitan State Hospital 7/l/68 Waltham, Massachusetts Massachusetts Eye and Ear Infirmary 3/l/66 Boston, Magsachusetts Massachusetts General Hospital 3/l/66 Boston, Massachusetts Massachusetts Health 1/13/67 Research Institute, Inc. Boston, Massachusetts Institutional Cost Sharing Agreements Effective Date of State Institution A _greement Massachusetts Massachusetts Institute of 3/l/66 (cont.) :Technology Cambridge, Massachusetts Massachusetts, University of 3/l/66 Amherst, Massachusetts McLean Hospital 3/l/66 Belmont, Massachusetts The Memorial Hospital 7/l/66 Worcester, Massachusetts New England Medical Center 3/l/66 Hospitals Boston, Massachusetts Northeastern University 7/l/67 Boston, Massachusetts Peter Bent Brigham Hospital 3/l/66 Boston, Massachusetts Red Acre Farm, Inc. 3/l/66 Stow, Massachusetts Retina Foundation 3/l/66 Institute of Biological & Medical Sciences Boston, Massachusetts Robert B. Brigham Hospital 3/l/66 Boston, Massachusetts St. Margaret's Hospital 3/l/66 Boston, Massachusetts Springfield College 12/12/66 Springfield, Massachusetts University Hospital 4/l/68 Boston University Medical Center Boston, Massachusetts Institutional Cost Sharing Agreements Effective Date of State Institution Agreement Massachusetts Woods Hole Oceanographic 10/l/67 (cont.) Institution Woods Hole, Massachusetts The Worcester Foundation 3/l/66 for Experimental Biology 4/l/68 - Revised Shrewsbury, Massachusetts Michigan Detroit, University of 3/l/66 Detroit, Michigan 7/l/68 - Revised Henry Ford Hospital 3/l/66 Detroit, Michigan Lafayette Clinic 3/l/66 Detroit, Michigan Michigan, State of 3/l/66 Department of Public Health Lansing, Michigan Michigan, University of 7/l/67 (all parts of University) Ann Arbor, Michigan Minnesota Mayo Foundation 3/l/66 Rochester, Minnesota Minneapolis Medical Research 3/l/66 Foundation, Inc. Minneapolis, Minnesota Minnesota, Universtiy of 3/l/66 (includes all campuses - Minneapolis-St. Paul, Duluth, Austin, Morris, the Hormel Institute, and all affiliated hospitals) Minneapolis, Minnesota Mount Sinai Hospital 9/l/66 Minneapolis, Minnesota Institutional Cost Sharing Agreements Effective Date of State Institution Agreement Mississippi Mississippi State University 3/l/66 State College, Mississippi Mississippi, University of 3/l/66 Medical Center 7/l/68 - Revised Jackson, Mississippi Missouri Cancer Research Center 1/16/67 Columbia, Missouri The Jewish Hospital of 7/l/67 Saint Louis St. Louis, Missouri Saint Louis University 3/l/66 St. Louis, Missouri 9/l/67 - Revised Washington University 3/l/66 St. Louis, Missouri Montana Montana State University 2/16/67 The Endowment and Research Foundation at Montana State University Bozeman, Montana Montana, University of 3/l/66 (includes University of Montana Foundation) Missoula, Montana Nebraska The Creighton University 1/l/68 Omaha, Nebraska Nebraska, University of 1/26/67 (College of Medicine only) Lincoln, Nebraska New Hampshire Dartmouth College 3/l/66 Hanover, New Hampshire 7/l/69 Revised Institutional Cost Sharing Agreements Effective Date of State Institution Agreement New Jersey Department of Health 7/l/67 State of New Jersey Trenton, New Jersey Educational Testing Service 3/l/66 .Princeton, New Jersey Institute for Medical Research 3/l/66 Camden, New Jersey 7/l/69 - Revised Rutgers, The State University 3/l/66 New Brunswick, New Jersey New Mexico Lovelace Foundation for 10/l/67 Medical Education and Research Albuquerque, New Mexico New Mexico, The University of 1/26/67 School of Medicine 10/l/69 Revised Albuquerque, New Mexico New York Adelphi University 3/l/66 Garden City, Long Island New York The Albany Medical College 3/l/66 of Union University Albany, New York Albert Einstein College 7/l/66 of Medicine Yeshiva University Bronx, New York Boyce Thompson Institute 12/2/66 for Plant Research, Inc. 1/l/69 Revised Yonkers, New York Bronx-Lebanon Hospital Center 3/l/66 Bronx, New York Children's Hospital of Buffalo 4/l/69 Buffalo, New York Institutional Cost Sharing Agreements Effective New York Clarkson College of Technology 3/l/66 (cont.) Potsdam, New York Cold Spring Harbor Laboratory 1/5/67 of Quantitative Biology Cold Spring Harbor, L.I., New York Columbia University in the City 3/l/66 of New York (includes only the School of Public Health and Admin- istrative Medicine, College of Physicians and Surgeons, and the School of Dental and Oral Surgery) New York, New York Community Blood Council of 5/l/69 Greater New York, Inc. New York,, New York Community Council of Greater 3/l/66 New York New York, New York Cornell University 7/l/68 (includes Ithaca and New York City campuses and New York State Experiment Station at Geneva but excludes Cornell University Medical College) Ithaca, New York Cornell University Medical 1/l/67 College New York, New York Department oil Health 5/l/69 State of New York (covers only projects to be performed at HRI Albany and Buffalo locations) Albany, New York Eastman Dental Center 3/l/66 Rochester, New York Institutional Cost Sharine Effective State institution Date of ment New York Health Research, Inc. I/l/69 (cont.) Albany Division Albany, New York Health Research, Inc. 3/l/66 Roswell Park Division Buffalo, New York Hillside Hospital 7/l/66 Glen Oaks, New York Hospital for Joint Diseases 1/24/67 and Medical Center New York, New York The Jewish Hospital Medical 7/l/66 Center of Brooklyn Brooklyn, New York Kingsbrook Jewish Medical Center 3/l/66 (formerly Jewish Chronic Disease Hospital) Brooklyn New York Long Island Jewish Hospital 3/l/66 New Hyde Park, New York Maimonides Medical Center 7/l/66 Brooklyn, New York Manhattan College 3/l/69 Bronx, New York The Mary Imogene Bassett 3/l/66 Hospital Cooperstown, New York Medical Foundation of Buffalo 9/l/67 Buffalo, New York Medical and Health Research 3/l/66 Association of New York City, Inc. New York, New York Institutional Cost Sharing A@reements Effective Date of State Institution Agreement New York Montefiore Hospital and 3/l/66 (cont.) Medical Center Bronx, New York The Mount Sinai School 3/l/66 of Medicine New York, New York New York Medical College I/l/69 Flower and Fifth Avenue Hospitals New York, New York New York University 3/l/66 (includes NYU Medical Center) New York, New York Polytechnic Institute of 3/l/66 Brooklyn Brooklyn, New York Queens College of the City 3/l/66 University of New York Flushing, New York Research for Health.in 3/l/66 Erie County, Inc. (includes The Edward J. Meyer Memorial Hospital) Buffalo, New York The Rockefeller University 3/l/66 New York, New York The Roosevelt Hospital 3/l/66 New York, New York St. Luke's Hospital Center 1/l/69 New York, New York State University of New York 7/l/66 Downstate Medical Center (only) (includes Bronx, Brooklyn, Manhattan, Queens, Richmond) Brooklyn, New York State University of New York 7/l/67 at Stony Brook (only) Stony Brook, New York Effective Institutional Cost Sharinp, Agreements Date of State Institution ment New York State University of New York 3/l/66 (cont.) Upstate Medical Center (includes Syracuse units only) Syracuse, New York Staten Island Mental Health 2/15/69 Society Staten Island, New York Syracuse University 3/l/66 Syracuse, New York Teachers College 3/l/66 Columbia University New York, New York Waldemar Medical Research 3/l/66 Foundation, Inc. Woodbury, L.I., New York North Carolina Bowman Gray School of Medicine 3/l/66 wake Forest University Winston-Salem, North Carolina State of North Carolina 3/l/66 Department of Mental Health Raleigh, North Carolina Duke University 7/i/67 Durham, North Carolina North Carolina State University 3/l/66 at Raleigh Raleigh, North Carolina Research Triangle Institute 3/l/67 Research Triangle Park North Carolina Norrt-hn DuarkoLta North Dakota, University of 3/i/66 Grand Forks, North Dakota Institutional Cost Sharing, Agreements Effective Date of State Institution Agreement Ohio Battelle Memorial Institute 7/l/67 Columbus Laboratories 9/l/69 - Revised Columbus, Ohio Case Western Reserve 3/l/66 University Cleveland, Ohio Charles F. Kettering 3/l/66 Research Laboratory Yellow Springs, Ohio Children's Hospital 1/23/67 (includes Children's Hospital 1/l/70 - Revised Research Foundation) Columbus, Ohio The Children's Hospital 3/l/66 Research Foundation 1/l/67 - Revised Cincinnati, Ohio 1/l/68 - Revised Cincinnati, University of 7/l/67 Cincinnati,, Ohio Cleveland Clinic Foundation 3/l/66 Cleveland, Ohio Cox Heart Institute 1/l/67 (formerly Cox Coronary Heart Institute) 1/l/70 Revised Kettering, Ohio Denison University 3/l/66 Granville, Ohio The Fels Research Institute 3/l/66 Yellow Springs, Ohio Miami University 3/l/66 Oxford, Ohio The Ohio State University 3/l/66 (includes Research Foundation) Columbus, Ohio St. Vincent Charity Hospital 3/l/66 Cleveland, Ohio Effective Institutional Cost Sharing Agreements Date of State Institution Agreement Ohio University Hospitals of 3/l/66 (cont.) Cleveland Cleveland, Ohio Oklahoma Oklahoma Medical Research 3/l/66 Foundation Oklahoma City, Oklahoma Oklahoma State University 1/19/67 Stillwater, Oklahoma Medical Center Research and 7/l/66 Development Office of The University of Oklahoma Foundation, Inc. (formerly Oklahoma, University of, Medical Center) Oklahoma City, Oklahoma Oklahoma, University of 3/l/66 Research Institute 7/l/69 Revised Norman, Oklahoma Oregon Medical Research Foundation 7/l/67 of Oregon Portland, Oregon Oregon Research Institute 7/l/66 Eugene, Oregon Oregon State University 3/l/66 Corvallis, Oregon Oregon, University of 3/l/66 Eugene, Oregon Oregon, University of 3/l/66 Medical School Portland, Oregon Pennsylvania Albert Einstein Medical Center 3/l/66 Philadelphia, Pennsylvania Institutional Cost Sharing Agre ments Effective State Institution Agreement Pennsylvania The Children's Hospital 7/l/67 (cont.) of Philadelphia Philadelphia, Pennsylvania Children's Hospital of 3/l/66 Pittsburgh 7/l/68 Revised Pittsburgh, Pennsylvania Drexel Institute of Technology 7/l/67 Philadelphia, Pennsylvania The Hahnemann Medical College 3/l/66 and Hospital of Philadelphia Philadelphia, Pennsylvania Home for the Jewish Aged 1/l/67 (formerly Philadelphia Geriatric Center) Philadelphia, Pennsylvania The Institute for Cancer 3/l/66 Research Philadelphia, Pennsylvania Institute for Research 7/l/66 State College, Pennsylvania The Jefferson Medical College 7/i/66 and Medical Center Philadelphia, Pennsylvania Lehigh University 3/l/66 Bethlehem, Pennsylvania Magee-Womens Hospital 7/l/68 Pittsburgh, Pennsylvania Pennsylvania Hospital 3/l/66 Philadelphia, Pennsylvania The Pennsylvania State 3/l/66 Universtiy University Park, Pennsylvania Pennsylvania, University of 3/l/66 Philadelphia, Pennsylvania Institutional Cost Sharing Agreements Effective Date of State Institution Agreement Pennsylvania Philadelphia College of 7/l/67 (cont.) Pharmacy and Science Philadelphia, Pennsylvania Philadelphia General Hospital 7/l/69 Philadelphia, Pennsylvania Presbyterian-University of 7/l/66 Pennsylvania Medical Center Philadelphia, Pennsylvania Regional Science Research 7/l/66 Institute Philadelphia, Pennsylvania St. Christopher's Hospital 3/l/66 for Children Philadelphia, Pennsylvania Temple University 3/l/66 Philadelphia, Pennsylvania Wills Eye Hospital 3/l/66 Philadelphia, Pennsylvania The Wistar Institute I/l/68 Philadelphia, Pennsylvania Woman's Medical College of 3/l/66 Pennsylvania Philadelphia, Pennsylvania Rhode Island Brown University 7/l/66 Providence, Rhode Island 7/l/67 - Revised 7/i/68 - Revised Rhode Island Hospital 1/l/67 Providence, Rhode Island Rhode Island, University of 7/l/66 Kingston, Rhode Island South Carolina Clemson University 3/l/66 Clemson, South Carolina Institutional Cost Sharin Agreements Effective -g Date of State Institution Agreement South Carolina Medical College of South 7/l/67 (cont.) Carolina Charleston, South Carolina South Carolina, University of 3/l/66 Columbia, South Carolina Tennessee Meharry Medical College 7/l/67 Nashville, Tennessee St. Jude Children's 3/l/66 Research Hospital Memphis, Tennessee Tennessee, The University of 3/l/66 (excludes all Medical Units 1/l/69 Revised in Memphis) Knoxville, Tennessee Tennessee, The University of 7/l/68 Medical Units (only) Memphis, Tennessee Vanderbilt University 3/l/66 Medical Center Nashville, Tennessee Texas Baylor University 3/l/66 College of Dentistry Dallas, Texas Baylor University 12/9/66 College of Medicine Houston, Texas Houston Speech and Hearing 12/2/66 Center Texas Medical Center Houston, Texas J.K. and Susis L. Wadley 3/l/66 Research Institute and Blood Bank Dallas, Texas Institutional Cost Sharing Agreements Effective Date of State Institution Agreement Texas M.D. Anderson Hospital 3/l/66 (cont.) and Tumor Institute The University of Texas Texas Medical Center Houston, Texas Sam Houston State College 9/l/69 Huntsville, Texas Scott and White Memorial 1/30/67 Hospital and Scott, Sherwood and Brindley Foundation Temple, Texas Southwest Research Institute 3/l/66 San Antonio, Texas Texas, University of 3/l/66 (formerly Southwest Center for Advanced Studies) Dallas, Texas Texas, University of 3/l/66 Southwestern Medical School Dallas, Texas Texas, University of 9/l/66 Medical Branch Galveston, Texas Texas, University of Texas Medical Center Houston, Texas Dental Branch 3/l/66 Graduate School of 9/l/68 Biomedical Sciences School of Public Health 9/l/68 Institutional Cost Sharing Agreements Effective Date of State Institution Agreement Texas Texas, University of 9/l/66 (cont.) Medical School at San Antonio San Antonio, Texas Utah Utah, The University of 7/l/68 Salt Lake City, Utah Utah State University 3/l/66 Logan, Utah Vermont Vermont, The University of 3/l/66 Burlington, Vermont Virginia College of William and Mary 7/l/69 Williamsburg, Virginia Medical College of Virginia 1/16/67 Richmond, Virginia Virginia Polytechnic Institute 3/l/66 Blacksburg, Virginia Virginia, University of 3/l/66 Charlottesville, Virginia Washington Pacific Northwest 12/8/66 Research Foundation Seattle, Washington Virginia Mason Research Center 7/l/68 Seattle, Washington Washington State University 3/l/66 Pullman, Washington Washington, University of 3/l/66 Seattle, Washington Wisconsin Marquette University 3/l/66 (exclusive of Medical School) Milwaukee, Wisconsin Marquette School of Medicine, Inc. 2/l/70 Milwaukee, Wisconsin 10) Effective Institutional Cost Sharing Agreements Date of State Institution Agreement Wisconsin Wisconsin, University of 3/l/66 (cont.) Madison, Wisconsin Puerto Rico University of Puerto Rico 7/l/68 Rio Piedras, Puerto Rico HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION Extramural Programs Notice of Corrections On Grants Memorandum 69-36, dated October 1, 1969, subject, International Travel in Grants and Contracts please make the following corrections: Page 1, paragraph 3-Definition of Foreign Travel-4th line should read: 71... when the source of the funds to which the travel is charged.... Page 2, paragraph 2-General Comments-lst line should read: "None of the amounts given above include.... ft Office of Grants Management Date: November 12, 1969 v- HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Menorandum Number 70-46 SUBJECT: International Travel in Grants and Contracts SUPERSEDES: Grants Memorandum Number 69-36, dated October 1,1969 BACKGK)UND C,ran-l@-s Memorandum 69-36 was issued to implement the DHEW policy on inter- national@'tra,;el. It did so by establishing a system utilizing ceilings on amounts that could be approved by awarding components. Listed below are the foreign travel ceilings established for FY 1971. ROCED'URE An overall ceiling on international travel that may be included in grants and contracts is established for HSMHA each fiscal year. Individual ceilings within this amount are then established for specified headquarters components with an amount held i.n reserve at the Administration level. The reserves are maintained bv the Office of Grants Management for use of HSMHA programs not allotted a ceiling (regional offices and headquarters programs with only contract authority) and for adjustments in allotted ceilings. ach Service Institute and Center authorized a ceiling may approve Inter- natiohal travel up to the limit of their allotted amounts. In t e event a component needs to exceed its ceiling, specific approval should be obtained from the Grants Operations Branch, Office of Grants Management, HSKHA. Such increases will be graoted only in extraordinary circumstances. DEFINITION OF FOREIGN TRAVEL For purposes of this procedure, foreign travel refers to all travel between the United States (including Guam, American Samoa Puerto Rico, the Virgin isia6dgl and the Canal Zone) and any other country except Canada, when the source of the funds to which the travel is charged is any domestic HSMHA gra t or contract. Grants and awards to international health organizations eg., WHO and PARO) are excluded from this ceiling. Also travel between ntries which is included as a part of a grant or contract to a foreign institution is not subject to this ceiling, since the entire foreign award s subject to tle ceiling on foreign awards administered by the Office of Program Planning and Evaluation. 2 CRITERIA The criteria to be used in reviewing requests for foreign travel shall provide as a minimum, that: 1. Travel will be approved onl.y in instances when it can be .demonstrated that it is essential to the purposes for which the grant or contract was awarded. 2. The number of travelers and the period of travel will be limited to that which is clearly demonstrated to be essential. 3. An evaluation will be made to determine whether the activities associated with the travel can be combined with other activities or their accomplishment delegated to personnel traveling on other business to avoid duplicative travel.. AMOUNT OF CEILING The following amounts have been established as ceilings for Fiscal Year 1971: Organization. 1971 Ceil@n_g NIMH $125)000 NCHSRD 151000 NCFPS 59000 RMPS 7@500.-, NCDC 51000 *Reserve 42@500 $200,000 GENERAL COMMENTS None of the amounts given above include international travel performed using P.L. 480 (counterpart) funds. The use of such funds in appropriate countries will be encouraged. Al-so, the use of American flag carriers will be required for domestic grantees traveling overseas (if available) and will be encour- aged for all others whenever it is possible to do so. Director, Office of Grants Management Date: June 8, 1970 ADNINISTRATION HEALTH SERVICES AND MENTAL HEALTH EXTRAMURAL PRWRA Grants Memorandum Number 70-47 SUBJECT: Cooperation with States and Localities in the Implementation of BOB Circular A-95 The Director of the Bureau'of the Budget has recently written the Secretary of the enthusiastic support by States and localities of the coordination and re- view Drocedures established through Part I of BOB Circular A-95. These proce- dures.are implemented by Chapters 1-140 and 1-141 of the HEW Grants Adminis- tration Manual and the KSMHA implementations thereto. The Director also stated that the potential benefits of the procedures call for a better effort on the part of Federal agencies to see that they are implemented in parallel with State and local goverment actions. In connection with BOB Circular A-95, DHEW has not issued any procedures or directed the use of any forms which are binding upon a State office or metro- oo.Litan clearinghouse. Where States have developed forms and procedures to be s'ed in the review of projects or plans, HSMHA programs and potential applicants under the applicable HSMHA programs should cooperate fully with the State's requirements. Similar cooperation should be accorded metropolitan clearinghouses in cases where specific methods for handling their review and coordination procedures have been developed. An example of the above is represented by the State of Arkansas. The Ar ansas Planning Commission has been designated the State Clearinghouse and is respon- sible for developing and monitoring procedures for all A-95 review processes in Arkansas. All a Dlications for Federal assistance covered by Chapters 1-140 and I 141'of the Grants Administration Manual must be accompanied by a State Clearinghouse disposition form, This form will be the tole indication that A-95 procedures have been complied with in the State of Arkansas. If State and local practices prove to be of real concern for the effective administration of HSMHA grant programs,, a fully documented statement of the situation should be sent to the Director, Office of Grants Management, HSMHA. Director, @ctor, 0 t Date: July 17, 1970 HEALTH SERYICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Mumber 70-48 SUBJECT.- Audit of Records of Contractors Paid from Grants ose This memorandum provides guidance to awarding components on the requirements for audit of records of contractors paid in whole or In part from HSMHA grant funds. IC A. All grantees must include in contracts negotiated for the performance of any activity or any part of an activity for which the grant was awarded a provision to the effect that-. 1. The contractor agrees that the Department of Health, Education, and Welfare or any of its duly authorized representatives shall have access to and the right to examine (audit) all pertinent books, documents, papers, and records of such contractor, involving transactions related to the contract. 2. Records must be retained until expiration of 3 years after final payment under the contract, or 3 years after the end of the grant budget period from which the contract was paid, whichever is earlier. S. If audit by or on behalf of the Department has not occurred by that time, the contractors records must be retained until audit or until 5 years following the end of the grant budget period, whichever is earlier. 4. Records which relate to (1) appeals, (2) litigation or the settlement of claims arising out of performance of the contract, (3) costs and expenses of the contract to which exception has been taken by the Depart- ment of Health, Education, and Welfare or lts.duly authorized representa- tives, shall be retained until such appeals, litigations, claims, or exceptions have been resolved. S. The requirement to retain records for examination shall apply if the contract is completely or partially terminated prior to the negotiated termination date, Bo This requirement shall not apply to any contract (1) for the purchase of any equipment or supplies approved in the grant award, or (2) involving purchases or services applicable uniformly to the grantee institution -2 Director, Office -of-Grants Management Date: Oct r 9, 1970 )ULTH SERVICES AND MENTAL HEALTH ADMINISTRATI- EXTRAMURAL PROGRAMS Grants Memorandum Number 70-49 SUBJECT: Change of Grantee APPLICABILITY: Research Project Grants SUPERSEDES: PPO 110 dated April 1, 1966, and the supplement thereto dated June 17, 1966, Subject: Application for Continuation of Project Under New Grantee PPO 146 dated January 2, 1968, Subject: Change of Grantee Institution PHS Grants for Research Projects, Policy Statement, Revised July 12 1967, pages 13-14, Change of Grantee Institution POLICY: Domestic Institutions A research project in behalf of the same investigator may be supported at a new institution for a period up to the remainder of the previously approved project period in an amount not to exceed that previously recommended for the remaining period provided that: 1) the project is no longer supported at the original institution; 2) the new institution submits an application (Form PHS-2590 for support of the project; and 3) the investigator plans no significant changes in the research objectives and level of expenditures from those described in the previously approved Proj ec t. If the investigator wishes to depart from the previously recommended project, or if any condition above is not met, a complete application (FormiPHS-398) will be reqaired. This application will be reviewed in the same manner as a new applica- tloh and will compete for available funds. Foreijzn Institutions Investigators transferring to, from, or between foreign institutions must submit a comolete application (Form PHS-398) which will be reviewed in the same manner as a new application, will compete for available funds, and must meet the criteria for awarding foreign grants,, Director, O'@f ice of Giints Management Date: October 9, 1970 HEALTH SERVICES AND MENTP'L HEA"@,TH ADMINISTRATION EXTRAMURA"U PROGRAMS Grants Memorandum Number 71-50 SIJBJECT: International- Travel- in Grants and Contracts SUPERSEDES: Grants Memorandum Number 70-46 dated June 8, 1970 BACKGROUND Grants Memorandum 70-46 was issued to implement the DHEW policy on inter- national- travel. It did so by establishing a system utilizing ceilings on amounts that could be approved by awarding components. Listed below are the foreign travel ceilings established for FY 1972. PROCEDURE An overall ceiling on international travel that may he included in grants and contracts is established for HSMRA each fiscal year. Individual ceilings within this amount are then established for specified headquarters components with an Amount hold in reserve at the Administration level. The reserves are maintained by the Office of Grants Management for use of HSMHA programs not allotted a ceiling (regional offices and headquarters programs wit only contract authority) and for adjustments in allotted ceilings. taeh Service, Institute and Center authorized a ceiling may approve nter- national travel up to the limit of their all.otted amounts. In the event a component needs to exceed its ceiling, specific approval, shoul.d be obtained from the Grants Operations Branch, Office of Grants Management, HSMHA. Such increases will be granted only in extraordinary circumstances. DEFINITION OF FOREIGN TRAVEL For purposes of this procedure, foreign travel- refers to al,l travel between the United States,(including Guam, American Samoa, Puerto Rico, the Vi.rgin Islands, and the Canal. Zone) and any other count@ry except Canada, when the source of the funds to which the travel is charged is any domestic 14SMHA grant or contract. Grants and awards to international health organizations (e.g.,, WHO and PAHO) are excluded from this ceiling. Al..so travel. between countries which is included as a part of a grant or contract to a foreign institution is not subject to this ceilings since the entire foreifin award i,-, subject to the ceiling on foreign awardE. administered by the Office of' Program Planning and Evalu6tion. 2 CRITERIA The criteria to be used in reviewing requests for foreign travel shall provide as a minimum, that: 1. Travel will be approved only in instances when it can be demonstrated that it is essential to the purposes for which the grant or contract was awarded. 2. The number of travelers and the period of travel will be limited to that which is clearly demonstrated to be essential. 3. An evaluation will be made to determine whether the activities associated with the travel can be combined with other activities or their accomplishment delegated to personnel traveling on other business to avoid duplicative travel. AMOUNT OF CEILING The following amounts have been established as ceilings for Fiscal-Year 1972: Organization 1972 National Institute for Occupational $100,000 Safety and Health National Institute of Mental Health 210,000 National Center for Health Services Researth and Development 15,000 National Center for Family Planning Services 2,500 Regional 1,4@dical Programs Service 2,000 Center for Disease Control 8 000 $337,500 GENERAL C0124ENTS None of the amounts given above include international travel performed using P.L. 480 (counterpart) funds. The use of such funds in appropriate countries will be encouraged. Also, the use of American flag carriers will be required for domestic grantees traveling overseas (if available) and will be encouraged for all others whenever it is possible to do so. Direc/ of Grants nagement Date: Jijne 3n, 1971 HEALTH SERVICES AND MENTAL HEALTH ADMINISTRATION EXTRAMURAL PROGRAMS Grants Memorandum Number 71-51 SUBJECT: Institutional Cost Sharing Agreements APPLICABILITY: Public Health Service Research Grants (See attached list of research grants requiring cost sharing) Attached is Cumulative Lis t Number .10 showing grantee institutions that have institutional cost sharing agreements, as of June- 30, 1971. Information about new and revised agreements will continue to be provided on the NOTICE form issued by the Office of Grants Management, Office of the Administrator, Health Services and Mental Health Administration. NOTICE forms will be numbered consecutively using the list number as a prefix. In publishing this listing, we have omitted all reference to the manner and rate at which cost sharing is to be provided. Only effective dates of the agreements are shown. Institutions shown on previous listings as cost sharing through reductions of indirect costs should be handled in the same manner as all other institutions; that is, awards should refer only to the effective date of the agreement, and no reductions of indirect costs should be made. With respect to reports of expenditures, it is incumbent upon the grantee to reduce his claim for indirect costs if that is the method he chooses. Since grantees with institutional agreements may vary both the amount and method of cost sharing on indi- vidual grants so long as an overall percentage is maintained, reports of expenditures from a single grantee do not have to be consistent with respect to their claims for indirect costs. In order to speed processing, grantees have been asked to indicate in the "Remarks" section of the ROE, when less than allowable indirect costs are claimed because of cost sharing; however, if a grantee having an institutional agreement fails to do this, no questions should be raised unless he has obviously made an error, such as using an incorrect rate. Additional information regarding institutional cost sharing may be obtained by calling the Office of Grants Management, Code 153, Extension 31874. SUPERSEDES: Grants Memorandum Number 70-45, dated April 1, 1970, and all NOTICES numbered 9-. Acting Director, Pf.@e of Grants Management Date. June 30, 1971 UN COST SHARING IN RESEARCH GRANTS APPLICABILITY: PHS Research Project Grants (identified by program codes as follows with the exception of foreign grants, grants to Federal institutions, grants to individuals, and conference grants): R 01 Projects - exclusive of conference and publication grants R 02 Nursing R 03 Small Grants R 07 ICNRT R 10 Chemotherapy & Psychopharmacology R 12 @*ntal Health Special Grants R 18 Research Demonstration Projects Designed to Test and Evaluate Health Services Activities R 20 Hospital Improvement R 21 Comunity Health Exploratory Grants R 22 U.S. - Japan Cooperative Medical Science Program P 01 Research Program Projects P 10 Environmental Health Centers for Research and Training P 11 Pharmacology-Toxicology Centers P 13 Denta]L Research Institute Program P 15 Outpatient Clinical Research Grant Program P 16 Health Services Research Center Grants Institutional Cost eemants Effective Date of State Institution Ajzreement California Attending Staff Association 3/l/66 cont.) Rancho Los Amigos Hospital Downeyp California Cedars-Sinai Medical Center 1/11/67 Los Angeles, California 3/31/69 Revised Childrens Hospital of 3/l/66 Los Angeles Los Angeles, California Children's Hospital and 10/l/68 Adult Medical Center of San Francisco San Francisco, California City of Hope National 3/19/69 Medical Center Duarte, California Clinical Pharmacology 3/l/66 Research Institute Berkeley, California im@ lqwl State of California 3/l/66 Department of Public Health Berkeley, California The Galton Institute 3/l/66 Los Angeles, California Institute for Health Research 6/l/70 Berkeley, California The Institute of Medical 3/l/66 Sciences Pacific Medical Center San Francisco, California 3/l/66 Institute for Medical Research f Santa Clara County 0 San Jose, California Institute for Research in Social 6/l/71 Behavior Berkeley, California institute for the Study of 3/l/66 crime and Delinquency Sacramento, California INSTITUTIONAL COST SHARING AGREEMENTS LIST Effective Date of State Institution Agreement Alabama Alabama, University of 3/l/66 (includes Medical College of 10/l/68 Revised Alabama, School of Denistry, Graduate School, School of Nursing, School of Health Ser- vices Administration, College of General Studies,, and Univer- sity Hospitals and Clinics) Birmingham, Alabama Auburn University 1/19/67 Auburn, Alabama Southern Research Institute 1/l/69 Birmingham, Alabama Alaska Alaska, Univerisity of 3/i/66 College, Alaska Arizona Arizona State University 3/l/66 Tempe, Arizona 7/l/68 - Revised Arizona, University of 7/l/69 Tucson, Arizona Arkansas Arkansas, University of 3/l/66 Medical Center Little Rock,, Arkansas California Alameda County Medical Institutions 3/i/66 (Institute of Metabolic 12/31/68 - Cancelled Research - only) Oakland, California Attending Staff Association 3/l/66 (includes Harbor General Hospital) Torrance,, California Institutional Cost Sharing Agreements Effective Date of State Institution Agreement California Stanford University 7/l/70 (cont.) Stanford, California University of the Pacific 3/l/66 Stockton, California University of California Berkeley, California National Center for Primate 5/l/68 Biology at Davis All Locations - including 7/l/69. National Center for Primate BioloRy University of Southern California 7/l/68 University Park Los Angeles, California Colorado American Medical Center at 3/l/66 Denver Spivak, Colorado Colorado State University 3/l/66 AM Fort Collins, Colorado Colorado, University of 7/l/63 Medical center (qnly) Denver, Colorado National Jewish Hospital 3/l/66 at Denver Denver, Colorado Connecticut Connecticut, University of 3/l/66 Storrs, Connecticut Haskins Laboratories 1/l/71 New Haven, Connecticut Yale University (all units) 7/l/66 New Haven, Connecticut District of American Speech and Hearing 3/l/66 Columbia Association Washington, D. C. Arctic Institute of 3/4/69 North America Washington, D. C. Institutional Cost Sharing Agreements Effective Date of State Institution Agreement California John Hale Medical Society, Inc. 7/l/69 (cont.) San Francisco, California Kaiser Foundation 3/l/66 Research Institute Oakland, California Loma Linda University 3/l/66 Loma Linda, California Long Beach California State 3/l/66 College Foundation Long Beach, California Mental Research Institute 12/l/66 Palo Alto, California 2/l/69 Revised Mount Zion Hospital and 3/l/66 Medical Center San Francisco, California Pacific State Hospital 7/l/69 Pomona, California Pasadena Foundation 3/l/66 for Medical Research 7/l/67 Revised Pasadena, California Professional Staff Association 3/l/66 of Los Angeles County University of Southern California Medical Center, Inc. (formerly Attending Staff Association of the Los Angeles County Hospital) Los Angeles, California The Salk Institute for 3/l/66 Biological Studies San Diego, California San Diego State College 3/l/66 (i-,icludes San Diego State College Foundation) San Diego, California Stanford Research Institute 3/l/66 Menlo Park, California Institutional Cost Sharing Agreements Effective Date of State, Institution Agreement Hawaii Hawaii, University of 12/l/67 Honolulu, Hawaii Illinois Evanston Hospital 7/l/67 Evanston, Illinois Interscience Research Institute 5/l/68 Champaign, Illinois Kankakee State Hospital 2/l/67 Kankakee, Illinois Michael Reese Hospital 3/l/66 and Medical Center Chicago, Illinois Northwestern University 3/l/66 Evanston, Illinois Presbyterian St. Luke's Hospital 3/l/66 Chicago, Illinois The University of Chicago 7/l/71 Chicago, Illinois Indiana Indiana University Foundation 3/l/66 Bloomington, Indiana New Castle State Hospital 3/l/69 New Castle, Indiana Notre Dame, University of 3/l/66 Notre Dame,, Indiana Purdue University add Purdue 3/l/66 Research Foundation Lafayette, Indiana Iowa Iowa State University of 7/l/69 Science and Technology Ames, Iowa The University of Iowa 7/l/68 Iowa City, Iowa Kansas. Kansas, University of 1/l/67 (excludes the University of Kansas Medical Center) Lawrence, Kansas Effe6tive ng Institutional Cost in Date of Institution State 3/i/66 Distr@@t 01 The Catholic University Of Columb@a America (cont.) Washington, D. C. 7/l/67 Georgetown University Washington, D. C. 3/i/66 The George Washington University Washington, D. C. Howard University 3/l/66 Washington, D- C. Research Foundation 3/i/66 Children's Hospital of the District of Columbia Washington, D. C- Florida State Board 7/l/66 Florida of Health Jacksonville, Florida 8/l/67 Florida State University Tallahassee, Florida 3/i/66 Florida, University of rida Gainesville, Flo Miami, University of 3/l/66 (includes Medical School) Coral Gablesp Florida Papanicolaou Cancer Researcli I/l/71 ute, Miami, Florida Instit South Florida, University Of 3/i/66 Tampa, Florida Georgia State Department of 1/10/67 is Health (includes Milledgeville State Hospital, Gracewood State School and Hospital, Georgia Mental Health Institute, Georgia Retardation Center, Georgia Clinic, Chatham Clinic, and Southwestern State Hospital) Atlanta, Georgia Medical College of Georgia 3/l/66 Augusta, Georgia 3/l/69 Revised Institutional Cost Sharing Agreements Effective Date of State Institution Agreement Maryland Johns Hopkins University 3/l/66 (cont.) School of Medicine Baltimore, Maryland National Biomedical 3/l/66 Research Foundation Silver Spring, Maryland The Trustees of Sheppard and 7/l/68 Enoch Pratt Hospital Towson, Maryland Massachusetts 'Age Center of New England, Inc. 4/l/66 Boston, Massachusetts Beth Israel Hospital 3/l/66 Boston, Massachusetts Bio-Research Institute, Inc. 3/l/66 Cambridge, Massachusetts The Blood Grouping Laboratory 12/l/66 Boston, Massachusetts Blood Research Institute, Inc. 8/l/66 (formerly-Protein Foundation) Boston, Massachusetts Boston Biomedical Research Institute 3/l/66 Boston, Massachusetts 6/16/70 Revised (formerly the Retina Foundation) Boston College 2/20/67 Chestnut Hill, Massachusetts Boston Hospital for Women 3/l/66 Lying-In Division Boston, Massachusetts Boston University 7/l/66 Boston, Massachusetts Brandeis University 3/l/66 Waltham, Massachusetts Children:s Cancer Research 3/l/66 Foundation, Inc. Boston, Massachusetts Children's Hospital Medical 3/l/66 Center Boston, Massachusetts Effective ring Agreements Date of Institution State @/l/66 Kansas University of y-aisas Tcon-t Medical Center Kansas City, Kansas ersitY Of 3/l/66 uck Louisville, Univ Louisville, Kentucky Louisiana AltonIochsner Medical Foundation 3/i/66 New Orleans* Louisiana University 3/l/66 Louisiana State jects to be (covers only pro conducted at the LSU Medical Center, New Orleans) Baton Rouge, Louisiana Tulane University New Orleans, Louisiana School of Medicine (only) 3/i/66 All locations (including 7/i/68 School Of Medicine, Baton Rouge and the Delta Primate Center) American Type culture Collection 12/12/66 land Rockville, Maryland Baltimore City Hospitals 7/i/66 Baltimoret Maryland Eye Research Foundation of I/q/69 Bethesda Maryland Bethesda, ychiatric 3/i/66 Friends of Ps 12/i/68 Revised Research, Inc- Baltimore, Maryland Institute for Behavioral 3/i/66 Research, Inc. Maryland silver Springp Johns Hopkins University 3/i/66 School Of Hygiene and public Health Baltimore, Maryland Institutional Cost Sharing Agreements Effective Date of State Institution Agreement Massachusetts Massachusetts Institute of 3/l/66 (cont.) Technology Cambridge, Massachusetts Massachusetts, University of 3/l/66 Amherst, Massachusetts McLean Hospital 3/l/66 Belmont, Massachusetts The Memorial Hospitkl 7/l/66 Worcester, Massachusetts New England Medical Center 3/l/66 Hospitals Boston, Massachusetts Northeastern University 7/l/67 Boston, Massachusetts Peter Bent Brigham Hospital 3/l/66 Boston, Massachusetts Red Acre Farm, Inc. 3/l/66 Stow, Massachusetts Retina Foundation 3/l/66 Institute of Biological & Medical Sciences Boston, Massachusetts Robert B. Brigham Hospital 3/l/66 Boston, Massachusetts St. Margaret's Hospital 3/l/66 Boston, Massachusetts Springfield College 12/12/66 Springfield, Massachusetts University Hospital 4/l/68 Boston University Medical Center Boston, Massachusetts Effective Institutional Cost Sharing Agreements Date of Agreement State Institution 3/l/66 Mass chnusetLut-S Clark University (cont.) Worcester, Massachusetts 7/j/69 Revised Diabetes Foundation, Inc. 3/l/66 Boston, Massachusetts 10/l/67 Revised Forsyth Dental Center 3/l/66 Boston, Massachusetts Harvard University 3/l/66 (includes @l Harvard Medical School, Harvard School of Public Health and Harvard School of Dental Medicine) Cambridge, Massachusetts James Jackson Putnam 7/l/66 Children's Center Roxbury, Boston, Massachusetts Mallory Institute of Pathology 1/i/68 Foundation Boston, Massachusetts Massachusetts Department of -Mental Health Cushing Hospital 7/l/69 Framingham, Massachusetts Metropolitan State Hospital 7/i/68 Waltham, Massachusetts Massachusetts Eye and Ear Infirmary 3/i/66 Boston, Ma@sachusetts Massachusetts General Hospital 3/l/66 Boston, Massachusetts Massachusetts Health 1/13/67 Research Institute, Inc. Boston, Massachusetts Institutional Cost Sharing Agreements Effective Date of State Institution Agreement Mississi@i Mississippi State University 3/l/66 State College, Mississippi Mississippi, University of 3/l/66 Medical Center 7/l/68 - Revised Jackson, Mississippi Missouri Cancer Research Center 1/16/67 Columbia, Missouri The Jewish Hospital of 7/l/67 Saint Louis St. Louis, Missouri Saint Louis University 3/l/66 St. Louis,, Missouri 9/l/67 Revised Washington University 3/l/66 St. Louis, Missouri ik Montana MDntana State University 2/16/67 The Endowment and Research Foundation at Montana State University Bozeman, Montana Montana, University of 3/l/66 (includes University of Montana Foundation) Missoula, Montana Nebraska The Creighton University 1/l/68 Omaha, Nebraska Nebraska, University of 1/26/67 (College of Medicine only) Lincoln, Nebraska New Hampshire Dartmouth College 3/l/66 Hanover, New Hampshire 7/l/69 Revised Institutional Cost Sharing Agreements Effective Date of State Institution ee e@nt Massachusetts Woods Hole Oceanographic lo/l/67 (cont.) Institution Woods Hole, Massachusetts The Worcester Foundation 3/l/66 for Experimental Biology 4/l/68 - Revised Shrewsbury, Massachusetts 4/l/69 - Revised 4/l/70 - Revised Mic Detroit, University of 3/l/66 Detroit, Michigan 7/l/68 - Revised Henry Ford Hospital 3/l/66 Detroit, Michigan (Combined with Edsel B. Ford Institute effective 7/l/70) Henry Ford Hospital and Edsel B. 7/l/70 Ford Institute Detroit, Michigan Lafayette Clinic 3/l/66 Detroit, Michigan Michigan, State of 3/l/66 Department of Public Health Lansing, Michigan Michigan, University of 7/l/67 (all parts of University) Ann Arbor, Michigan '@Ni@L-Linesota Mayo Foundation 3/l/66 Rochester, Minnesota Minneapolis Medicai- Research 3/l/66 Foundation, Inc. Minneapolis, Minnesota Minnesota, Universit,, of 3/l/66 (includes all campuses - Minneapolis-St. Paul, Duluth, Austin, Morris, the Ho-rmel Institute, and all affiliated hospitals) Minneapolis, Minnesota Mount Sinai Hospital 9/l/66 Minneapolis, Minnesota Institutional Cost Sharing A ents Effective New York Clarkson College of Technology 3/l/66 Ccont.) Potsdam, New York Cold Spring Harbor Laboratory 1/5/67 of Quantitative Biology Cold Spring Harbor, L.I., New York Columbia University in the City 3/l/66 of New York (includes only the School of Public Health and Admin- istrative Medicine, College of Physicians and Surgeons, a-Lid the School of Dental and Oral Surgery) New York, New York Community Blood Council of 5/l/69 Greater New York, Inc. New York, New York Community Council of Greater 3/l/66 New York New York, New York 'WI Cornell University 7/l/68 (includes Ithaca and New York City campuses and New York State Experimert Station at Geneva but excludes Cornell University Medical College) Ithaca, New York Cornell University Medical 1/l/67 College New York, New York Department of Health 5/l/69 State of New York (covers only projects to be performed at HRI Albany and Buffalo locations) Albany, New York Eastman Dental Center 3/l/66 Rochester, New York Health Council of Monroe County, 3/26/70 Inc., Rochester, New York Institutional Cost Sharing Agreements Effective Date of State Institution Agreement New Jersey Department of Health 7/l/67 State of New Jersey Trenton, New Jersey Educational Testing Service 3/l/66 Princeton, New Jersey Institute for Medical Research 3/l/66 Camden, New Jersey 7/l/69 Revised Rutgers, The State University 3/l/66 New Brunswick, New Jersey New Mexico Lovelace Foundation for 10/l/67 Medical Education and Research Albuquerque, New Mexico New Mexico, The University of 1/26/67 School of Medicine 10/l/69 Revised Albuquerque, New Mexico New York Adelphi University 3/l/66 Garden City, Long Island New York The Albany Medical College 3/l/66 of Union University Albany, New York Albert Einstein College 7/l/66 of Medicine Yeshiva University Bronx, New York The American Museum of Natural 7/l/70 History, New York, New York Boyce Thompson Institute 12/2/66 for Plant Research, Inc. 1/l/69 Revised Yonkers, New York Bronx-Lebanon Hospital Center 3/l/66 Bronx, New York Brookhaven National Laboratory 7/l/70 Associated Universities, Inc. Upton, L.I., New York Children's Hospital of Buffalo 4/l/69 Buffalo, New York Institutional Cost Sharing Agreements Effective Date of State Institution Agreement New York Montefiore Hospital and 3/l/66 (cont.) Medical Center Bronx, New York The Mount Sinai School 3/l/66 of Medicine New York, New York New York Medical College 1/l/69 Flower and Fifth Avenue Hospitals New York, New York New York University 3/l/66 (includes NYU Medical Center) New York, New York Polytechnic Institute of 3/l/66 Brooklyn Brooklyn, New York Queens College of the City 3/l/66 University of New York Flushing, New York Research Foundation of the City 1/l/70 University of New York New York, New York Research for Health in 3/l/66 Erie County, Inc. (includes The Edward J. Meyer Memorial Hospital) Buffalo, New York The Rockefeller University 3/'1/66 New York, New York The Roosevelt Hospital 3/l/66 New York, New York St. Luke's Hospital Center 1/l/69 New York, New York State University of New York 7/l/66 Downstate Medical Center (only) (includes Bronx, Brooklyn, Manhattan, Queens, Richmond) Brooklyn, New York State University of New York 7/l/67 at Stony Brook (only) Stony Brook, New York Effective institutional Cost Sharing, Date of State Institution Agreement New York Health Research, Inc. 1/l/69 (cont.) Albany Division Albany, New York Health Research, Inc. 3/l/66 Roswell Park Division Buffalo, New York Hillside Hospital 7/l/66 Glen Oaks, New York Hospital for Joint Diseases 1/24/67 and Medical Center New York, New York The Jewish Hospital Medical 7/l/66 Center of Brooklyn Brooklyn, New York Kingsbrook Jewish Medical Center 3/l/66 (formerly Jewish Chronic Disease Hospital) Brooklyn New York Long Island Jewish Hospital 3/l/66 New Hyde Park, New York Maimonides Medical Center 7/l/66 Brooklyn, New York Manhattan College 3/l/69 Bronx, New York The Mary Imogene Bassett 3/l/66 Hospital Cooperstown, New York Medical Foundation of Buffalo 9/l/67 Buffalo, New York Medical and Health Research 3/l/66 Association of New York City, Inc. New York, New York Institutional Cost Sharing Agreements Effective Date of State Institution Agreement Ohio Battelle Memorial Institute 7/l/67 Columbus Laboratories 9/l/69 - Revised Columbus, Ohio Case Western Reserve 3/l/66 University Cleveland, Ohio Charles F. Kettering 3/l/66 Research Laboratory Yellow Springs, Ohio Children's Hospital 1/23/67 (includes Children's Hospital 1/l/70 - Revised Research Foundation) Columbus, Ohio The Children's Hospital 3/l/66 Research Foundation 1/l/67 - Revised Cincinnati, Ohio 1/l/68 - Revised Cincinnati, University of 7/l/67 Cincinnati, Ohio Cleveland Clinic Foundation 3/l/66 Cleveland, Ohio Cox Heart Institute 1/l/67 (formerly Cox Coronary Heart Institute) 1/i/70 Revised Kettering, Ohio Denison University 3/l/66 Granville, Ohio The Fels Research Institute 3/l/66 Yellow Springs, Ohio Miami University 3/l/66 Oxford, Ohio The Ohio State University 3/l/66 (includes Research Foundation) Columbus, Ohio St. Vincent Charity Hospital 3/l/66 Cleveland, Ohio Institutional Cost Sharing Agreements Effective Date of State Institution Agreement New York State University of New York 3/l/66 (cont.) Upstate Medical Center (includes Syracuse units only) Syracuse, New York Staten Island Mental Health 2/15/69 Society Staten Island, New York Syracuse University 3/l/66 Syracuse, New York Teachers College 3/l/66 Columbia University New York, New York Waldemar Medical Research 3/l/66 Foundation, Inc. Woodbury, L.I., New York North Carolina Bowman Gray School of Medicine 3/l/66 Wake Forest University Winston-Salem, North Carolina State of North Carolina 3/l/66 Department of Mental Health Raleigh, North Carolina Duke University 7/l/67 Durham, North Carolina North Carolina State University 3/l/66 at Raleigh Raleigh, North Carolina Research Triangle Institute 3/l/67 Research Triangle Park North Carolina The University of North Carolina 7/l/70 Chapel Hill, North Carolina North Dakota North Dakota, University of 3/l/66 Grand Forks, North Dakota Institutional Cost Sharinp, Agreements Effective State Institution Agreement Pennsylvania The Childrents Hospital 7/l/67 (cont.) of Philadelphia Philadelphia, Pennsylvania Children's Hospital of 3/l/66 Pittsburgh 7/l/68 Revised Pittsburgh, Pennsylvania Drexel Institute of Technology 7/l/67 Philadelphia, Pennsylvania The Hahnemann Medical College 3/l/66 and Hospital of Philadelphia Philadelphia, Pennsylvania Home for the Jewish Aged 1/l/67 (formerly Philadelphia Geriatric Center) Philadelphia, Pennsylvania The Institute for Cancer 3/l/66 Research Philadelphia, Pennsylvania Institute for Research 7/l/66 State College, Pennsylvania The Jefferson Medical College 7/l/66 and Medical Center Philadelphia, Pennsylvania Lehigh University 3/l/66 Bethlehem, Pennsylvania Magee-Womens Hospital 7/l/68 Pittsburgh, Pennsylvania Mon Valley Health & Welfare 1/l/71 Authority Monessen, Pennsylvania Pennsylvania Hospital 3/l/66 Philadelphia, Pennsylvania The Pennsylvania State 3/l/66 Universtiy University Park, Pennsylvania Pennsylvania, University of 3/l/66 Philadelphia, Pennsylvania Effective Sharing ements Institutional Cost Date of ment institution State University Hospitals of 3/l/66 Ohio Cleveland (cont.) Cleveland, Ohio 3/l/6-6 Oklahoma Oklahoma Medical Research Foundation ty, Oklahoma Oklahoma Ci 1/19/67 Oklahoma State University 7/l/70 Revised Stillwater, Oklahoma Medical Center Research and 7/i/66 Development office of The University of Oklahoma Foundation@ Inc. (formerly Oklahoma, University of, Medical Center) Oklahoma City) Oklahoma Oklahoma, University Of 3/i/66 Research Institute 7/i/69 Revised Norman) Oklahoma on Medical Research Foundation 7/i/67 of Oregon Portland, Oregon Oregon Research Institute 7/l/66 Eugene, Oregon Oregon State University 3/i/66 Corvallis, Oregon Oregon, University Of 3/l/66 Eugene, Oregon Oregon, University Of 3/l/66 Medical School Portland, Oregon Albert Einstein Medical Center 3/l/66 Penn ania Philadelphia, Pennsylvania 12/l/69 Revised American Institutes for Research 7/l/69 Pittsburgh, Pennsylvania Institutional Cost Sharing Agreements Effective Date of State Institution Agreement South Carolina Medical College of South 7/l/67 (cont.) Carolina Charleston, South Carolina South Carolina, University of 3/l/66 Columbia, South Carolina Tennessee Meharry Medical College 7/l/67 Nashville,, Tennessee 7/l/69 - Revised Oak Ridge Associated Universities 1/l/70 Inc., Oak Ridge, Tennessee St. Jude Children's 3/l/66 Research Hospital Memphis, Tennessee Tennessee, The University of 3!1/66 (excludes all Medical Units 1/l/69 Revised in Memphis) Knoxville, Tennessee Tennessee, The University of 7/l/68 Medical Units (only) Memphis, Tennessee Vanderbilt University 3/l/66 Medical Center Nashville, Tennessee Texas Baylor University 3/l/66 College of Dentistry Dallas, Texas Baylor University 12/9/66 College of Medicine Houstoni Texas Houston Speech and Hearing 12/2/66 Center Texas Medical Center Houston, Texas J.K. and Susie L. Wadley 3/l/66 Research Institute and Blood Bank Dallas, Texas Institutional Cost Sharing ments Effective Date of State Institution ment Pennsylvania Philadelphia College of 7/l/67 (cont.) Pharmacy and Science Philadelphia, Pennsylvania Philadelphia General Hospital 7/l/69 Philadelphia, Pennsylvania Presbyterian-University of 7/i/66 Pennsylvania Medical Center Philadelphia, Pennsylvania Regional Science Research 7/l/66 Institute 1/l/69 Revised Philadelphia, Pennsylvania St. Christopher's Hospital 3/l/66 for Children Philadelphia, Pennsylvania Temple University 3/i/66 Philadelphia, Pennsylvania Wills Eye Hospital 3/l/66 Philadelphia, Pennsylvania The Wistar Institute 1/l/68 Philadelphia, Pennsylvania Woman's Medical College of 3/i/66 Pennsylvania Philadelphia, Pennsylvania Rhode Island Brown University 7/i/66 Providence, Rhode Island 7/j/67 - Revised 7/i/68 - Revised Rhode Island Hospital 1/i/67 Providencep Rhode Island Rhode Island, University of 7/l/66 Kingston, Rhode Island South Carolina Clemson University 3/l/66 Clemson, South Carolina Institutional Cost Sharing Agreements Effective Date of State Institution Agreement Texas Texas, University of 9/l/66 (cont.) Medical School at San Antonio San Antonio, Texas Utah Utah, The University of 7/l/68 Salt Lake City, Utah Utah State University 3/l/66 Logan, Utah Vermont Vermont, The University of 3/l/66 Burlington, Vermont Virginia College of William and Mary 7/l/69 Williamsburg, Virginia Virginia Commonwealth University 1/16/67 Richmond, Virginia (fomerly Medical College of Virginia) Virginia Polytechnic Institute 3/l/66 Blacksburg, Virginia Virginia, University of 3/l/66 Charlottesville, Virginia Washington Pacific Northwest 12/8/66 Research Foundation Seattle, Washington Pacific Northwest Laboratories 1/l/70 (A Division of Battelle Memorial Institute) Richland, Washington Virginia Mason Research Center 7/l/68 Seattle, Washington Washington State University 3/l/66 Pullman, Washington Washington, University of 3/l/66 Seattle, Washington Institutional Cost Sharin A reements Effective Date of Ltate Inst tution Agreement Texas M.D. Anderson Hospital 3/l/66 (cont.) and Tumor Institute The University of Texas Texas Medical Center Houstonp Texas Sam Houston State College 9/i/69 Runtsville, Texas Scott and White memorial 1/30/67 Hospital and Scott, Sherwood and Brindley Foundation Temple, Texas Southwest Research Institute 3/l/66 San Antonio, Texas Texas, University of 3/l/66 (formerly Southwest Center for Advanced Studies) Dallas, Texas Texas, University of 3/l/66 Southwestern Medical School Dallas, Texas Texas, University of 9/l/66 Medical Branch Galveston, Texas Texas, University of Texas Medical Center ,Houston, Texas Dental Branch 3/l/66 Graduate School of 9/l/68 Biomedical Sciences School of Public Health 9/l/68 The University of Texas Medical 9/l/70 School at Houston Houston, Texas Institutional Cost Sharing Agreements Effective Date of State Institution Agreement Wisconsin Marquette University 3/l/66 (exclusive of Medical School) Milwaukee, Wisconsin Medical College of Wisconsin, Inc. 2/l/70 Milwaukee, Wisconsin (formerly Marquette School of Medicine, Inc.) Wisconsin, University of 3/l/66 Madison, Wisconsin Puerto Rico University of Puerto Rico 7/l/68 Rio Piedras, Puerto Rico