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NIH
GUIDELINES ON THE INCLUSION OF WOMEN AND MINORITIES
AS SUBJECTS IN CLINICAL RESEARCH - UPDATED AUGUST
2, 2000.
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NIH
GUIDELINES ON THE INCLUSION OF WOMEN AND MINORITIES AS
SUBJECTS IN CLINICAL RESEARCH - UPDATED AUGUST 2, 2000.
Release Date: August 2, 2000
NOTICE: OD-00-048
National Institutes of Health
NOTE:
A complete copy of the updated Guidelines is available
at http://grants.nih.gov/grants/funding/women_min/guidelines_update.htm
INTRODUCTION
In
March, 1994, NIH issued a policy on the inclusion of women
and minorities as subjects in clinical research (http://grants.nih.gov/grants/guide/notice-files/not94-100.html).
NIH experience has indicated that inclusion has been accomplished,
but that results of planned analyses of NIH defined Phase
III clinical trials need to be more consistently reported.
This document updates and provides further guidance on
planning, conducting, and reporting the analysis of sex/gender
and/or race/ethnicity differences in the intervention
effect in NIH Phase III clinical trials (see Definitions,
Section V-A below).
The
following reference published since the 1994 Guidelines
provides additional background information. "Inclusion
of Women and Minorities in Clinical Trials and the NIH
Revitalization Act of 1993 - The Perspective of NIH Clinical
Trialists." Freedman, et.al., Controlled Clinical
Trials, 16:277 (1995).
Effective
Date:
This
policy update is effective immediately for active grants,
cooperative agreements and contracts. Beginning with the
October, 2000 receipt date, grant, cooperative agreement
and contract submissions must adhere to the updated policy.
The following is a restatement of the policy and definitions
from the guidelines with the noted changes in bold type:
III.
POLICY
A.
Research Involving Human Subjects
It
is the policy of NIH that women and members of minority
groups and their subpopulations must be included in all
NIH-supported biomedical and behavioral research projects
involving human subjects, unless a clear and compelling
rationale and justification establishes to the satisfaction
of the relevant Institute/Center Director that inclusion
is inappropriate with respect to the health of the subjects
or the purpose of the research. Exclusion under other
circumstances may be made by the Director, NIH, upon the
recommendation of an Institute/Center Director based on
a compelling rationale and justification. Cost is not
an acceptable reason for exclusion except when the study
would duplicate data from other sources. Women of childbearing
potential should not be routinely excluded from participation
in clinical research. All NIH-supported biomedical and
behavioral research involving human subjects is defined
as clinical research. This policy applies to research
subjects of all ages.
The
inclusion of women and members of minority groups and
their subpopulations must be addressed in developing a
research design appropriate to the scientific objectives
of the study. The research plan should describe the composition
of the proposed study population in terms of sex/gender
and racial/ethnic group, and provide a rationale for selection
of such subjects. Such a plan should contain a description
of the proposed outreach programs for recruiting women
and minorities as participants.
B.
NIH Phase III Clinical Trials
Under
the statute, when an NIH defined Phase III clinical
trial (see Definitions, Section V-A) is proposed, evidence
must be reviewed to show whether or not clinically important
sex/gender and/or race/ethnicity differences
in the intervention effect are to be expected. This evidence
may include, but is not limited to, data derived from
prior animal studies, clinical observations, metabolic
studies, genetic studies, pharmacology studies, and observational,
natural history, epidemiology and other relevant studies.
Section
III.B. of these Guidelines (NIH Phase III Clinical Trials
Policy) will be cited in the terms and conditions of all
awards for grants, cooperative agreements and contracts
supporting NIH Phase III clinical trials.
Cost
is not an acceptable reason for exclusion of women and
minorities from clinical trials.
Investigators
must consider the following when planning, conducting,
and reporting an NIH Defined Phase III clinical trial.
Based on prior studies, one of the three situations
below will apply:
1.
Prior Studies Support the Existence of Significant Differences
If
the data from prior studies strongly support the
existence of significant differences of clinical or public
health importance in intervention effect among subgroups
(sex/gender and/or racial/ethnic subgroups), the
primary question(s) to be addressed by the proposed NIH
Phase III clinical trial and the design of that
trial must specifically accommodate this. For example,
if men and women are thought to respond differently to
an intervention, then the Phase III clinical trial
must be designed to answer two separate primary questions,
one for men and the other for women, with adequate sample
size for each.
The
Research Plan in the application or proposal must include
a description of plans to conduct analyses to detect significant
differences in intervention effect. The final protocol
approved by the Institutional Review Board (IRB) must
include these plans for analysis. The award will require
that the results of subset analyses must be reported to
NIH in Progress Reports, Competitive Renewal Applications
(or Contract Renewals/Extensions), and in the required
Final Progress Report.
Inclusion
of the results of subset analyses is strongly encouraged
in all publication submissions. If the analysis reveals
no subset differences, a brief statement to that effect,
indicating the subsets analyzed, will suffice.
2.
Prior Studies Support No Significant Differences
If
the data from prior studies strongly support no significant
differences of clinical or public health importance in
intervention effect between subgroups, then sex/gender
and/or race/ethnicity will not be required as subject
selection criteria. However, the inclusion and analysis
of sex/gender and/or racial/ethnic subgroups
is still strongly encouraged.
3.
Prior Studies Neither Support nor Negate Significant Differences
If
the data from prior studies neither strongly support nor
strongly negate the existence of significant differences
of clinical or public health importance in intervention
effect between subgroups, then the NIH Phase III
clinical trial will be required to include sufficient
and appropriate entry of sex/gender and/or
racial/ethnic subgroups, so that valid analysis of the
intervention effect in subgroups can be performed. However,
the trial will not be required to provide high statistical
power for each subgroup.
The
Research Plan in the application or proposal must include
a description of plans to conduct the valid analyses of
the intervention effect in subgroups. The final protocol
approved by the IRB must include these plans for analysis.
The award will require that the results of subset analyses
must be reported to NIH in Progress Reports, Competitive
Renewal Applications (or Contract Renewals/Extensions),
and in the required Final Progress Report.
Inclusion
of the results of subset analyses is strongly encouraged
in all publication submissions. If the analysis reveals
no subset differences, a brief statement to that effect,
indicating the subsets analyzed, will suffice.
V.
DEFINITIONS
Throughout
the section of the statute pertaining to the inclusion
of women and minorities, terms are used which require
definition for the purpose of implementing these guidelines.
These terms, drawn directly from the statute, are defined
below.
A.
NIH Defined Clinical Trial
For
the purpose of these guidelines, an NIH defined
"clinical trial" is a broadly based prospective
Phase III clinical investigation, usually involving several
hundred or more human subjects, for the purpose of evaluating
an experimental intervention in comparison with a standard
or control intervention or comparing two or more existing
treatments. Often the aim of such investigation is to
provide evidence leading to a scientific basis for consideration
of a change in health policy or standard of care. The
definition includes pharmacologic, non-pharmacologic,
and behavioral interventions given for disease prevention,
prophylaxis, diagnosis, or therapy. Community trials and
other population-based intervention trials are also included.
B.
Research Involving Human Subjects
All
NIH-supported biomedical and behavioral research involving
human subjects is defined as clinical research under this
policy.
Under
this policy, the definition of human subjects in Title
45 CFR Part 46, the Department of Health and Human Services
regulations for the protection of human subjects applies:
"Human subject means a living individual about whom
an investigator (whether professional or student) conducting
research obtains (1) data through intervention or interaction
with the individual, or (2) identifiable private information."
These regulations specifically address the protection
of human subjects from research risks. It should be noted
that there are research areas (Exemptions 1-6) that are
exempt from these regulations. However, under these guidelines,
NIH-supported biomedical and behavioral research projects
involving human subjects which are exempt from the human
subjects regulations should still address the inclusion
of women and minorities in their study design.
Therefore,
all biomedical and behavioral research projects involving
human subjects will be evaluated for compliance with this
policy. Research involving the collection or study of
existing data, documents, records, pathological specimens,
diagnostic specimens, or tissues which are individually
identifiable also is included within the term "research
involving human subjects."
C.
Valid Analysis
The
term "valid analysis" means an unbiased assessment.
Such an assessment will, on average, yield the correct
estimate of the difference in outcomes between two groups
of subjects. Valid analysis can and should be conducted
for both small and large studies. A valid analysis does
not need to have a high statistical power for detecting
a stated effect. The principal requirements for ensuring
a valid analysis of the question of interest are:
D.
Significant Difference
For
purposes of this policy, a "significant difference"
is a difference that is of clinical or public health importance,
based on substantial scientific data. This definition
differs from the commonly used "statistically significant
difference," which refers to the event that, for
a given set of data, the statistical test for a difference
between the effects in two groups achieves statistical
significance. Statistical significance depends upon the
amount of information in the data set. With a very large
amount of information, one could find a statistically
significant, but clinically small difference that is of
very little clinical importance. Conversely, with less
information one could find a large difference of potential
importance that is not statistically significant.
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NIH
MODULAR GRANT APPLICATIONS: MODIFICATIONS AND
UPDATE
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NIH MODULAR GRANT APPLICATIONS: MODIFICATIONS AND UPDATE
Release
Date: July 24, 2000
NOTICE:
OD-00-046
National
Institutes of Health
Since
the original announcement by the National Institutes of
Health in December 1998 of Modular Grant Applications,
about 25,000 applications (R01, R03, R21, R15) have been
submitted in the new modular format. We have received
applications for four of the standard investigator-initiated
rounds as well as many receipt dates for Request for Applications
(RFAs) and Program Announcements (PAs). Throughout this
period, we have received many questions/comments/concerns/inquiries
to our e-mail address, modulargrants@nih.gov
and many hits to our modular grant website, http://grants.nih.gov/grants/funding/modular/modular.htm.
As
we now move to the full two-year phase of this new application
format, there is a need to modify and clarify some of
our original instructions and guidance to applicants and
applicant institutions.
This
Notice addresses five issues regarding modular grant applications.
A.
MODIFICATIONS TO THE BUDGET NARRATIVE JUSTIFICATION PAGE
Provide
budget narrative for ALL personnel by position, role,
and level of effort. This includes consultants and any
"to be appointed" positions.
Discussion:
The original guidance requested budget narrative only
for KEY personnel. We found the definition used to identify
KEY personnel varied widely from Institution to Institution.
Since personnel generally account
for 65-70 percent of the direct costs of a grant award,
providing a budget narrative for ALL personnel should
be of great value to reviewers and NIH staff. In addition,
this change will result in standard information for personnel
in all applications. This modification is effective for
all appropriate investigator-initiated applications and
responses to RFAs and PAs submitted on or after September
1, 2000. RFAs and PAs released prior to September 1 will
have contained our earlier reference to KEY personnel,
but this notification will apply to them as well. In the
future, all RFAs and PAs to be released will reference
the requirement for ALL personnel to be discussed on the
budget narrative page.
B.
CONSEQUENCES OF SUBMISSION OF NON-COMPLIANT MODULAR GRANT
APPLICATIONS
The
modular grant application instructions require limited
budgetary information and almost 95% of the applicants
followed those instructions. Those applications that were
not prepared according to the instructions have to date,
been accepted for peer review. Administrative notes have
been placed on summary statements to alert applicants
of their failure to comply with the new application instructions.
In order to ensure that all applications are treated in
an equitable manner, the following new procedure is being
implemented:
Effective
for the receipt dates beginning September 1, 2000, applications
not in compliance with the modular application instructions
will be returned to the applicant institution by the Center
for Scientific Review. Applications
revised and resubmitted to NIH in a timely manner may
remain in the intended review cycle.
An
application will be considered NON-COMPLIANT if:
1.
The requested direct cost budget is not in modules of
$25,000 for all years of support for requests up to $250,000
per year.
2.
A detailed itemized categorical budget is provided.
3.
The Budget Narrative Justification page includes an itemized
justification for one or more of the following: equipment,
supplies, travel, other expenses, etc. but the number
of modules requested in each year is the same, or the
information is not intended to explain the request for
a different number of modules in one or more years.
4.
OTHER SUPPORT pages are supplied, in addition to or in
the absence of the section in the Biographical Sketch
identifying "Research Projects Ongoing or Completed
During the Last Three Years."
5.
The Biographical Sketch lists "Current and Pending
Support" instead of or in addition to the required
information.
C.
UPDATE ON THE INITIAL PEER REVIEW OF MODULAR GRANT APPLICATIONS
The
first review cycle of modular grant applications generated
a wide variety of opinions and reactions from applicants,
reviewers, and Institutional sponsored research officials.
Comments ranged from support and encouragement to serious
concerns involving every aspect of the modular application
process. In order to respond to these comments, a MODULAR
GRANT APPLICATION UPDATE: PEER REVIEW was prepared and
can be found at the Modular Grant website
http://grants.nih.gov/grants/funding/modular/modular_peer_review_update.pdf
This
update has been distributed to all Center for Scientific
Review (CSR) review groups, appropriate Institute scientific
review groups, and to all Scientific Review Administrators.
It includes information on the review of
modular applications with respect to how budget adjustments
are to be recommended, overlap issues, preliminary data
on the number of modules and direct costs requested, and
most importantly, historical data on the pattern of direct
cost awards for R01s by budget category. We are continuing
to monitor all aspects of the process as this, the first
full fiscal year of implementation comes to a close.
D. CLARIFICATION TO THE CHECKLIST INSTRUCTIONS
Applicant
institutions should calculate the Facilities and Administrative(F&A)
costs using the current negotiated F&A rate, less
exclusions, for the initial budget period and all future
budget periods. It is not necessary to list the exclusions
on the Checklist nor anywhere in the application.
E.
REMINDERS FOR MODULAR GRANT APPLICATIONS
1.
Budget Narrative Justification page - this is not a Form
page at this time. Use a blank sheet to recreate the sample.
2. Include a letter of commitment or intent if there is
a subcontract/consortium.
3.
Biosketches should be submitted for KEY personnel, including
consultants.
4.
Follow the guidance included in the PHS 398 instructions
regarding page limitations and font size.
5.
Any RFA or PA issued since December 1, 1998 that involves
modular grant applications will state that fact. Any appropriate
active PAs released before that time will also require
submission in the modular format.
6.
Reviewers will be instructed to disregard any budget or
budget narrative justifications not in compliance with
the modular application instructions.
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NIH
SALARY LIMITATION ON GRANTS, COOPERATIVE AGREEMENTS,
AND CONTRACTS
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SALARY
LIMITATION ON GRANTS, COOPERATIVE AGREEMENTS AND CONTRACTS
Release
Date: January 6, 2000
NOTICE:
OD-00-011
National
Institutes of Health
The
purpose of this notice is to provide updated information
regarding the salary limitation as it relates to NIH grant
and cooperative agreement awards. This information also
applies to extramural research and development contract
awards. The last notice in the NIH Guide for Grants and
Contracts regarding the salary limitation was published
December 22, 1998.
Fiscal
Year (FY) 2000 is the eleventh consecutive year for which
there is a legislatively mandated provision for the limitation
of salary. Specifically, the Department of Health and
Human Services (HHS) Appropriation Act for FY 2000, Public
Law 106-113, restricts the amount of direct salary of
an individual under an NIH grant or cooperative agreement
(hereafter referred to as a grant) or applicable contract
to Executive Level II of the Federal Executive Pay scale.
For FY 2000 awards the Executive Level II salary level
is $136,700 for the period October 1 through December
31, 1999. Effective January 1, 2000, the Executive Level
II salary level increased to $141,300.
For
FY 1999 awards, the legislatively imposed salary limitation
was linked to Executive Level III of the Federal Executive
Pay scale, which was set at a level of $125,900 for the
period October 1, 1998 through December 31, 1999. Effective
January 1, 2000, this level was raised to $130,200. Direct
salary is exclusive of fringe benefits and facilities
and administrative (F&A) expenses, also referred to
as indirect costs. NIH grant/contract awards for applications/proposals
that request direct salaries of individuals in excess
of the applicable RATE per year will be adjusted in accordance
with the legislative salary limitation and will include
a notification such as the following:
According
to the FY 2000 HHS Appropriations Act, "None of the
funds appropriated in this title for the National Institutes
of Health and the Substance Abuse and Mental Health Services
Administration shall be used to pay the salary of an individual,
through a grant or other extramural mechanism, at a rate
in excess of Executive Level II of the Federal Executive
Pay Scale."
The
term "salary" means "direct salary"
which is exclusive of fringe benefits and F&A expenses.
"Direct salary" has the same meaning as the
term "institutional base salary." An individual's
institutional base salary is the annual compensation that
the applicant organization pays for an individual's appointment,
whether that individual's time is spent on research, teaching,
patient care, or other activities. Base salary excludes
any income that an individual may be permitted to earn
outside of duties to the applicant organization.
In
summary, the following reflects the time frames associated
with the existing salary caps:
FY
1999 Awards (Executive Level III)
| October
1, 1998 through December 31, 1999 |
$125,900 |
| January
1, 2000 and beyond |
$130,200 |
FY
2000 Awards (Executive Level II)
| October
1, 1999 through December 31, 1999 |
$136,700 |
| January
1, 2000 and beyond |
$141,300 |
The
following are examples of the adjustments that NIH will
make when salaries exceed the current salary limitation:
EXAMPLE
1. INDIVIDUAL WITH FULL-TIME APPOINTMENT (based on grant
award/contract issued after January 1, 2000 with a $141,300
salary limitation)
Individual's
institutional base salary for a
FULL-TIME (twelve month) appointment
Research effort requested in application/proposal
- 50% |
$150,000 |
Direct
Salary requested
Fringe benefits requested (25% of salary)
Subtotal |
$
75,000
$ 18,750
$ 93,750
|
Applicant
organization's F&A (indirect) costs at a
rate of 45% of subtotal |
$
42,188 |
Amount
requested - salary plus fringe benefits
plus associated F&A (indirect) costs |
$135,938
|
If
a grant/contract is to be funded, the amount included
for the above individual will be calculated as follows:
Direct
salary - restricted to a RATE of
multiplied by effort (50%) to be devoted to project
Fringe benefits (25% of allowable salary)
Subtotal |
$141,300
$ 70,650
$ 17,663
$ 88,313
|
| Associated
F&A (indirect) costs at 45% of subtotal |
$
39,741 |
Total
amount to be awarded due to
salary limitation |
$128,054
|
Amount
of reduction due to salary
limitation ($135,938 requested minus
$128,054 awarded) |
$
7,884 |
EXAMPLE
2. INDIVIDUAL WITH HALF-TIME APPOINTMENT (based on a grant
award/contract issued after January 1, 2000 with a $141,300
salary limitation)
Individual's
institutional base salary for a
HALF-TIME appointment (50% of a full-time
twelve month appointment) |
$
75,000 |
Research
effort requested in application/proposal 30%
Direct
Salary requested
Fringe benefits requested (25% of salary)
Subtotal |
$ 22,500
$ 5,625
$ 28,125
|
Applicant
organization's F&A (indirect) costs at a rate
of 45% of subtotal |
$
12,656 |
Amount
requested - salary plus fringe benefits
plus associated F&A (indirect) costs |
$
40,781 |
If
a grant/contract is to be funded, the amount included
in the award for the above individual will be calculated
as follows:
Direct
salary - restricted to a RATE of
multiplied by 50% appointment by 30% effort
to be devoted to project
Fringe benefits (25% of allowable salary)
Subtotal |
$141,300
$ 21,195
$ 5,299
$ 26,494
|
| Associated
F&A (indirect) cost at 45% of subtotal |
$
11,922 |
Total
amount to be awarded due to salary
limitation |
$
38,416 |
Amount
of reduction due to salary limitation
$40,781 requested minus $38,416 awarded) |
$
2,365 |
Implementation of new salary limitation:
-
No
adjustments will be made to modular grant applications/awards
or to previously established commitment levels for non-competing
grant awards issued with FY 2000 funds.
-
NIH
competing grant awards with categorical budgets reflecting
salary levels at or above the new cap(s) issued in FY
2000 will reflect adjustments to the current and all
future years so that no funds are awarded or committed
for salaries over the limitation.
-
Awards
issued with FY 1999 funds are still restricted to the
Executive Level III. From the period October 1, 1998
through December 31, 1999, the level is $125,900. Effective
January 1, 2000, Executive Level III is limited to $130,200.
If adequate funds are available in active FY 1999 awards,
and if the salary cap increase is consistent with the
institutional base salary, grantees may rebudget to
accommodate these salary levels and contractors may
bill at the higher level. However, no additional funds
will be provided to the FY 1999 grant award and the
total estimated cost of the contract will not be modified.
-
An
individual's base salary, per se, is NOT constrained
by the legislative provision for a limitation of salary.
The rate limitation simply limits the amount that may
be awarded and charged to NIH grants and contracts.
An institution may supplement an individual's salary
with non-federal funds.
-
The
salary limitation does NOT apply to payments made to
consultants under an NIH grant or contract although,
as with all costs, such payments must meet the test
of reasonableness and be consistent with institutional
policy.
-
The
salary limitation provision DOES apply to subawards/subcontracts
for substantive work under an NIH grant or contract.
-
COMPETING
grant applications and contract proposals that include
a categorical breakdown in the budget figures/business
proposal should continue to reflect the actual institutional
base salary of all individuals for whom reimbursement
is requested. In lieu of actual base salary, however,
applicants/offerors may elect to provide an explanation
indicating that actual institutional base salary exceeds
the current salary limitation. When this information
is provided, NIH staff will make necessary adjustments
to requested salaries prior to award.
Questions
& Answers
1.
Can I rebudget grant funds or bill contracts issued with
FY 1999 funds to allow for the increase from $125,900
to $130,200?
Yes, provided
funds are available and the increase is warranted. Prorated
figures should be used for the applicable months, i.e.,
the $130,200 level is effective for budget periods that
extend beyond January 1, 2000.
2.
If a grant award (competing or non-competing) has already
been issued in FY 2000, will an adjustment be made?
No adjustments
will be made; however, rebudgeting is allowable.
3.
If an application/proposal fails to provide needed salary
information, will an adjustment be made based on the new
rates?
No adjustment will be made if an application fails to
provide adequate information regarding the individual's
salary level.
4.
Does the NIH appropriation language link the salary cap
to a Federal Executive Level or to a dollar level? The
link is to the Federal Executive Level pay scale (i.e.,
Executive Level III for FY 1999 and Executive Level II
or FY 2000).
5.
As the cap is linked to Federal Executive Levels, can
grantees/contractors with ongoing awards rebudget/bill
up to the various salary caps, based on the fiscal year
of the award and the time of the salary expense?
Yes, salary may be charged in accordance with the prevailing
FY cap(s), as long as the levels are consistent with the
individual's institutional base pay. The following provides
an example.
A
competitive grant or a contract, using FY 1999 funds,
requested salary in excess of the cap and was awarded
with an August 1, 1999 start date reflecting a salary
level of $125,900. The grantee/contractor may charge salary
at a rate of $125,900 per annum through December 31, 1999.
Effective January 1, 2000, salary may be charged at a
rate of $130,200 per annum through July 31, 2000. Effective
with the FY 2000 non-competing award or contract, salary
may be charged at the rate of $141,300 per annum.
6.
Will grantees be permitted to submit revised budgets reflecting
higher base salaries?
Not as a general
rule. NIH policy states that grantees should always reflect
actual base salaries in the requested budgets or provide
an explanation indicating that actual institutional base
salary exceeds the current salary limitation. As a general
rule, NIH will use the information available in the existing
application and make adjustments for salary cap based
on information available at the time of award.
INQUIRIES
Questions
concerning this notice or other policies relating to grants
or contracts should be directed to the grants management
or contracts management office in the appropriate NIH
Institute or Center.
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NATIONAL
RESEARCH SERVICE AWARD (NRSA) STIPEND INCREASE AND
OTHER BUDGETARY CHANGES EFFECTIVE FOR FISCAL YEAR
2000
|
NATIONAL
RESEARCH SERVICE AWARD (NRSA) STIPEND INCREASE AND OTHER
BUDGETARY CHANGES EFFECTIVE FOR FISCAL YEAR 2000
Release
Date: December 23, 1999
NOTICE:
OD-00-008
National
Institutes of Health
Agency for Healthcare Research and Quality
Health Resources Services Administration
The
budgetary changes described below for Fiscal Year 2000
NRSA awards affect the stipend levels, the formula for
calculating the NIH contribution to the combined cost
of tuition, fees, and health insurance for all trainees
and fellows as well as the institutional allowance and
training related expenses for predoctoral trainees and
fellows. Also, beginning with NRSA awards made in FY 2000,
costs associated with family health insurance will be
allowable. Implementation of each of these features is
described separately in this notice.
IT
SHOULD BE NOTED THAT THE DESCRIBED BUDGETARY CHANGES ARE
EFFECTIVE ONLY FOR NRSA AWARDS MADE WITH FY 2000 FUNDS.
Retroactive adjustments or supplementation of stipends
or other budgetary categories with NRSA funds for an award
made prior to October 1, 1999 is not permitted. Budgetary
adjustments for training grant and fellowship awards,
therefore, will be made only at the time of the FY 2000
award. Adjustments of stipends and other benefits for
trainees will be made only at the time of appointment
or reappointment to training grants made with FY 2000
funds.
STIPENDS:
Effective with all awards made on or after October 1,
1999, the following annual stipend levels apply to all
individuals receiving support through institutional research
training grants or individual fellowships, including the
Minority Access to Research Career (MARC) and Career Opportunities
in Research (COR) programs. These awards are made under
the authority of Section 487 of the Public Health Service
Act.
The
new stipends are as follows:
| Career
Level |
|
Stipend
for FY 2000 |
| |
|
|
| Undergraduates
in the MARC and COR programs |
|
|
Freshmen/Sophomores
Juniors/Seniors
|
|
$6,948
$9,732 |
| |
|
|
| Predoctoral |
|
$15,060 |
| |
|
|
| Postdoctoral
Years of Experience |
|
|
0
1
2
3
4
5
6
7 or more
|
|
$26,916
$28,416
$33,516
$35,232
$36,936
$38,628
$40,332
$42,300
|
Competing
and non-competing awards issued on or after October 1,
1999, which used the previous stipend schedule, will be
revised by the awarding component to reflect the new stipend
levels. The new stipend levels are to be used in the preparation
of future competing and non-competing NRSA institutional
training grant and individual fellowship applications.
They will be administratively applied to all applications
now in the review process.
FAMILY
HEALTH INSURANCE: On NRSA awards, self-only health insurance
has been an allowable cost when health insurance was required
for all persons in a similar training status regardless
of the source of support (see http://grants.nih.gov/grants/guide/1997/97.05.16/notice-nih-national-6.html).
In order to adjust policies to facilitate the recruitment
of women and individuals from disadvantaged backgrounds
as required by Section 487 of the Public Health Service
Act (as amended); the NIH will begin to allow costs associated
with family health insurance. Beginning with NRSA awards
made from FY 2000 funds, family health insurance will
be an allowable cost for trainees and fellows who have
families and are eligible for family health insurance
coverage at the awardee or sponsoring institution. Self-only
health insurance will continue to be an allowable cost
for trainees and fellows without families. Beginning with
new and competing awards in FY 2000, institutions may
include the cost of family health insurance for predoctoral
and postdoctoral trainees and predoctoral fellows who
are eligible for this coverage in the calculation of the
combined cost of tuition, fees, and health insurance.
As in the past, the tuition, fees, and health insurance
cost category will not be adjusted in non-competing applications
(see http://grants.nih.gov/training/nrsaguidelines/nrsa_app.htm
- appe1).
For
individual postdoctoral fellows, the cost of health insurance
is an allowable cost within the institutional allowance
(see http://grants.nih.gov/grants/guide/notice-files/NOTICE-NOT-97-002.html).
Beginning with competing and non-competing awards made
in FY 2000, the cost of family health insurance is also
allowable under this cost category for individual postdoctoral
fellows with families. Future applications for individual
postdoctoral fellowships need not be changed to reflect
costs associated with family health insurance.
TUITION
FORMULA: To partially offset the additional costs of family
health insurance, the formula by which NIH calculates
its contribution to the combined costs associated with
tuition, fees and health insurance will be changed. For
all competing and non-competing awards made in FY 2000,
the NIH will award 100% of the combined costs of tuition,
fees, and health insurance up to $3,000 and 60 percent
of the combined costs above $3,000. Grantees are reminded
that the tuition formula is used for award calculation
purposes only. Actual reimbursement is not limited to
this formula.
INSTITUTIONAL
ALLOWANCE AND TRAINING RELATED EXPENSES: On individual
predoctoral fellowships, the institutional allowance will
be increased from $2,000 to $2,500. On institutional training
grants, for predoctoral trainees, the Training Related
Expenses for predoctoral trainees will be increased from
$1,500 to $2,000 per trainee. These adjustments will be
applied to all competing and non-competing NRSA awards
made with FY 2000 funds. As in the past, the institutional
allowance on predoctoral fellowships can be used to help
defray expenses associated with research supplies, equipment,
travel to scientific meetings and other training related
items. Similarly, the training related expenses for training
grants will be used to help defray training expenses associated
staff salaries, consultant costs, equipment, research
supplies and staff travel. The institutional allowance
and training related expenses for postdoctoral trainees
and fellows will not be changed.
INQUIRIES
Questions
concerning this notice or other policies relating to training
grants or fellowships should be directed to the grants
management office in the appropriate NIH Institute or
Center.
Walter
T. Schaffer, Ph.D.
Research Training Officer
National Institutes of Health
6701 Rockledge Drive, Room 6184
Bethesda, Maryland 20892-7911
Phone: 301-435-2687
FAX: 301-480-0146
EMail: ws11q@nih.gov
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CHANGE
TO NIH'S STREAMLINED NONCOMPETING AWARD PROCESS
(SNAP) INSTRUCTIONS
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CHANGE
TO STREAMLINED NONCOMPETING AWARD PROCESS (SNAP) INSTRUCTIONS
Release
Date: July 20, 1999
Grants
Administration
The
purpose of this Guide Notice is to clarify the "Application
for Continuation of a Public Health Service Grant (PHS
2590, rev. 4/98)" SNAP instructions as specified
on pages 2-3 of the 2590 kit. Grantees are to submit the
checklist (Form Page 6) page if there is a change in performance
site and/or anticipated program income. If program income
is anticipated, the application should reflect the amount
and source(s).
The
HTML version of the PHS 2590 has been changed to reflect
this Notice. The revised page 2 of the PHS 2590 may be
downloaded in Adobe Acrobat format from the OER Grants
Web site at http://www.nih.gov/grants/forms.htm.
Questions regarding this Guide Notice may be directed
to the Grants Management Specialist identified on the
Notice of Grant Award.
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