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Annual report : National Institutes of Health. Division of Research Grants (Volume 1973) online

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<?/^>5 /^r^^^^^^/iv^/^^i- y^^'''^'j^^ DIVISION OF RESEARCH GRANTS «

Fiscal Year 1973

Public Health Service National Institutes of Health





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Form HEW-69





Page No.

Highlights 1

Office of the Direc tor 3

Grants Associates Program 7

Information Sec tion 9

Administrative Branch 11

Career Development Review Branch 13

Institutional Relations Branch 15

Research Analysis and Evaluation Branch 17

Research Grants Review Branch 19

Statistics and Analysis Branch 25


II /


The Director and Deputy Director attended several national meetings to
keep open the lines of comniunication between NIH and the biomedical research

The Office of Research Manpower was established as the successor to the
Career Development Review Branch to provide central services pertinent to
the phaseout of training programs.

A series of eight seminars has been held to keep staff abreast of key
aspects of the extramural programs.

The campaign to recruit women and minorities to serve on the study
sections continued throughout the year. As a result there are now 34 more
women and nine more minority group members serving than at the end of May 1972.

The Division continued to be actively involved in the EEO program and the
provisions of the NIH Affirmative Action Plan.

The new NIH exhibit of NIH support programs had its first showing in
April at the FASEB meetings.

The conversion of the former PHS institutional general assurance system
for the protection of human subjects instituted in 1966 to the broader
institutional assurance system required by DHEW policy issued in 1971 has been
substantially completed.

The NIH policy on proper care, use, and treatment of laboratory animals
was redrafted by Division staff to conform with proposed Departmental require-
ments .



A total of 24,083 research grant applications were processed, of which
14,500 were assigned for technical merit review.

There was a slight increase in the number of training applications of all
types received and processed during the period April 1972-March 1973, from
10,933 to 11,087. Fellowship applications increased from 4,019 to 4,354.

A report on the Special Session entitled, "The Project-Grant Application
of the NIH," presented at the April 1972 meetings of FASEB has been published
in the Federation,Proceedings , Volume 32, No. 5, May 1973.

During the year, 336 employees completed training courses of all types.

Six Grants Associates graduated from the Grants Associates Program. The
Executive Secretary undertook a recruiting campaign for potential associates
during the April meetings of FASEB and interviewed 67 scientists.

A study was undertaken to streamline the current method of monitoring
scientific evaluation grants so that more meaningful data can be provided to
meet Division needs.


A report on support of new principal investigators of NIH research projects
has been accepted for publication in Science .

Twelve reports were prepared analyzing NIH support of various biomedical
disciplines and special areas of research.

A MEDLINE terminal was established in the Division to provide capability
for automated searches of biomedical literature for l/D staff in the Westwood

Implementation of a microfiche program to replace cumbersome line item
listings now in use in the Data Capture and Control Unit is expected to be
fully operational in FY 1974.


In a continuing effort to keep open the lines of communication between
NIH and the scientific community, the Director attended a number of national
meetings during the year under review.

Among the meetings in which he participated were the Workshop for New
Graduate Deans, August 7-12, 1972, sponsored by the Council of Graduate
Schools at Colorado State University, Fort Collins, Colorado; the Association
of Independent Research Institutes Annual Session, September 13-15, 1972,
Buf ralo, New York, at which he presented current highlights from NIH; the
Crac?uate School, University of Hawaii, Honolulu, Hawaii, January 29, 1973, at

: ;;■ he spoke on "Grantsmanship"; and at the Northeastern Regional Meeting
of the Group on Business Affairs of the Association of American Medical
Colleges, May 13-17, 1973, at Kiamesha Lake, New York, at which he spoke on
what is happening at NIH as part of the "Washington scene."

The Director also attended the meetings of the American Council on
Education, October 4-6, 1972, and the Association of American Medical Colleges,
October 30-November 6, 1972, both at Miami Beach, Florida; the First Annual
Session of Deans of Graduate Study in Medical Centers, November 29-30, 1972,
in New Orleans, La,; the Council of Graduate Schools Annual Session, December 1,
IT'Tc, also in New Orleans; the Western Regional Group on Business Affairs of
the Association of American Medical Colleges, January 23-February 1, 1973, in
Honolulu, Hawaii; and the Western Association of Graduate Schools Annual
Session, March 2-7, 1973, in San Diego, California.


The Deputy Director attended the annual meetings of the Association of

American Medical Colleges, November 1-6, 1972, in Miami Beach, Florida. On

Novftmber 20, _1972, he met with the faculty and graduate students of Meharry

University, in Nashville, Tennessee; and on February 22-23, 1973, represented

the NIH at meetings of the Midwest and Southern Regions of the Group on

Business Affairs of the Association of American Medical Colleges in Washington,

D.C. The Deputy Director also participated in a seminar at the University of

Maryland School of Medicine, December 13, 1972, in Baltimore, Maryland; and

in seminars for graduate students and faculty of Southern Illinois University,

March 7, 1973, in Carbondale, Illinois, and of the University of Illinois,

March 8, 1973, in Chicago, Illinois, and on May 25, 1973, at Southern Illinois

University at Edwardsville , Illinois.

The Career Development Review Branch was abolished in May 1973, following
the termination of new awards in the various NIH training programs. To adminis-
ter the phaseout operation, to provide an information source on the programs,
as well as to keep abreast of biomedical training needs, the Office of Research
Manpower was established within the Office of the Director, DRG.


Several members of the staff continue to work with the Office of the
Associate Director for Extramural Research and Training, NIH, in preparing
materials for use in the grants programs; for example, revising instructions
to adapt current application forms to new policies, NIH implementation of
OMB Circular A- 102, and procedures for complying with the Federal Advisory
Committee Act.





The Deputy Director has served on the ECEA and its subcommittee on
training; the Manpower Impact study group; the study group on the Protection
of Human Subjects in Research; and the task force on Recommendation 2 of the
NIH Program Mechanisms Committee.

Nine members of the Division staff participated in the first collabora-
tive/Extramural Program Retreat held at Airlie House, Warrenton, Virginia,
March 29-30, 1973. They represented the Division on five of the six work-
groups organized to study major issues in depth. The Deputy Director attended
the Retreat as an observer.

Eleven staff members participated in the second Retreat, May 30- June 1,
1973, in Fredericksburg. The Director attended as an observer.

Eight staff members will participate in the retreat to be held at Airlie
House in June 1973.

The Director initiated a series of seminars, principally for executive
secretaries and senior staff members, to keep them informed on key aspects of
the extramural programs. Eight presentations have been given since November
1972: Dr. Leon Jacobs spoke in November on the NIH Collaborative Programs;
Dr„ Ernest M. Allen and some of his staff, in December on the functions of
the DHEW Office of Grant Administration Policy; Dr. Milo D. Leavitt and
others from FIC, in February on the programs of the Fogarty International
Center and their relationship to the overall extramural programs of the NIH;
Dr. William H. Goldwater reviewed the recommendations of the Cooper Committee
on NIH program mechanisms with the group in March; Dr. J. Palmer Saunders, in
April, described the programs of the National Cancer Institute. Two seminars
were held during May. The first was a presentation by Dr. Richard Phillipson
and Dr. Robert C. Petersen on the work of the Division of Narcotic Addiction
and Drug Abuse, NIMH. The second was a discussion led by Dr. John Sherman on
the future of the peer review process and the role of the consultants. In
June, Dr. Charles McPherson spoke on Animal Resources: Their relationship to
research quality and research funding.

The Director appointed a committee, including two members of his own
staff, to study the use of Scientific Review and Evaluation grants to determine
if more effective, efficient, and economical use can be made of the funds

A campaign to recruit women and minorities to serve on the DRG study
sections was initiated mid-year by the Director. Over 600 letters were mailed
out to study section members ; and FASEB as well as Biomedical News ran a notice
asking for all qualified readers to send in their own c.v.'s. Although it is
too early to see the long-term results of the campaign, the number of women now
serving on the study sections has increased since May 1972 from 26 to 60, and
for all minorities from 12 to 21. Files of several hundred curriculum vitae
are being maintained in the Division for future reference and two lists of
available women scientists have had wide circulation.

As in past years, the Division experienced difficulties in the recruit-
ment of lower grade personnel. A contributing cause is the location of the

Westwood Building and the lack of easily accessible public transportation.
The lack of a full range of employee services in the Westwood Building also is
a deterent.

In accordance with the provisions of the NIH Affirmative Action Plan, a
program of regularly scheduled visits by representatives of the Guidance and
Counseling Branch, Office of Personnel Management, was begun in the Westwood
Building. Such visits by the representatives afforded DRG employees an
I opportunity to seek guidance and counseling about career opportunities and
training in addition to that obtainable from supervisors and/or members of
the DRG Personnel Office.



The Division's formal employee training program continued to grow at a
steady pace, continuing the trend begun several years ago. At the present
time, 24 employees are attending Federal City College under the Upward Mobility
Program. During the year 773 requests for all types of training courses were
initiated by employees of which 484 were approved, resulting in 336 completions.
In addition to Federal City College, training was provided at the National
Institutes of Health and through facilities provided by other interagency
programs or non-Government organizations.


During the reporting period, nine members of the Office of the Director
received cash awards for superior performance of duties.

The Opportunity Program Committee (TOP) conducted a survey of Division
employees on the feasibility of establishing a liaison branch of the NIH Credit
I Union in the Westwood Building. Response to the survey was favorable and
plans for the branch were formulated and negotiated with the NIH Credit Union
Board. The Westwood Branch became operational in May 1973.

The Committee initiated dissemination of information through the DRG
Personnel Items on the availability of personnel folders, both official and
unofficial, for examination by the employee.

Efforts have continued with the Personnel Office staff to consider
publication of a pamphlet, or alternatives, to describe the functions of the
Personnel Office as they relate to employees and to management.

In December 1972, the Committee met with the Civil Service Commission's
EEO survey team during their review of DRG ' s EEO program.

The Committee sponsored a film showing of "Uptight
It was well attended by DRG staff.

Black and White."

) The DRG Equal Employment Opportunity Counselor was appointed for an
additional 2-year term. To increase the Counselor's knowledge of EEO, three
training courses were attended: Personnel Management for EEO, and two work-
shops on EEO counseling sponsored by the NIH/EEO Office.

Approximately 75 employees were counseled during the year. Not all of
the problems were related to the five areas of EEO responsibility, neither
were they all problems of DRG employees. NIH employees are free to consult any

NIH-EEO counselor.

A meeting open to all DRG employees was held by the Counselor to discuss
the role of the EEO Counselor in the Division.

The Counselor continued to be active in the EEO Council during the
period under review.



The Grants Associates Program graduated six associates during fiscal

year 1973, all of whom remained with the National Institutes of Health. Six

new associates were appointed bringing the number of associates assigned to
the program during the year to twelve.


In April 1973 the Executive Secretary and two of the current associates
attended the Federation of American Societies for Experimental Biology meet-
ings in Atlantic City, N.J. For the Executive Secretary this was a recruiting
trip for potential associates in FY 1975. Sixty-seven scientists were
interviewed and 25 application kits were distributed. Approximately 200 job
seekers asked to discuss possible employment.


Interest in the program is still at a very high level, much of it
stimulated by the current economic situation resulting in reduced opportuni-
ties for scientists in industry and academia. As of April 30, 1973, the Grants
Associates Office had processed 460 inquiries regarding the program, and 215
applications. Twenty-six applicants were considered by the Grants Associates
Board. Five accepted an invitation to join the program.

The Grants Associates Office continues to be involved in the placement
of applicants in direct hire positions. As in the past, emphasis has been on
the referral of minorities and women.

II ■>


Pursuant to P.L„ 92-463, the Information Section has been mailing on
request summaries of closed study section meetings and rosters of committee
members. Since the policy came into effect, 21 requests have been met for
two rounds of study section meetings.

A new self-contained exhibit of NIH support programs had its first
showing in April at the Federation of American Societies for Experimental
Biology in Atlantic City, N.J. The plan for phaseout of NIH research train-
ing programs, and increased interest in contract support, generated numerous
inquiries at the Exhibit, which was visited by approximately 3,000 persons
who requested more than 2,000 pieces of literature during the 5-day meeting.

Questions posed by approximately 90 institution representatives who
visited the Information Section during the year centered on policy. Their
questions related to the ethics of submitting the same proposal as a grant
and a contract, and whether such practice might be detrimental to approval
through either mechanism. Concern was expressed over reduced funding after
schools had made their programs out for the year - a situation worsened on
some campuses by union enforcement of salary increases for laboratory tech-
nicians. The possibility of new applicants enhancing their chances of
approval through affiliation with their peers on a program-project was also
among the many issues raised.

Students have been actively inquiring about alternative sources of
financial assistance for their studies now that fellowship and training grant
funds are no longer available. The most the staff has been able to do is
refer them to the Dean's office of their school to inquire whether the school
participates in any student loan or scholarship programs or has funds avail-
able to provide financial aid to needy students.

The Section undertook a number of manual searches, in addition to those
referred to the Research Documentation Section for computer runs, on support
of research in specific States and institutions, and for research projects
of individual investigators. Requests for data on categorical areas of
research and specific disease entities were numerous. There has been an
increased interest in support of research on the use of computers in
diagnosis, amyotrophic lateral sclerosis, abortion, and use of the fetus in



Demand for the brochure , Guide to Grant and Award Programs - National
Institutes of Health , has continued high. A revision is being prepared to
take into account the elimination of training programs, the transfer of the
Bureau of Health Manpower Education and its programs to the new Health
Resources Administration, and NIMtl's re-entry into the NIH family.


A study was undertaken to streamline the current method of monitoring
the scientific evaluation grants, so that meaningful data can be provided to
meet Division needs. Based on this study, a new system is expected to become
operational on July 1, 1973.

The Reference Room Committee, established initially to advise the DRG
Director, now advises the Administrative Branch Chief on requirements for
reference materials. An inventory of major items available in the Reference
Room and proposed acquisitions was circulated by the Committee to the DRG staff
fcr commenL, On the basis of the responses, changes have been introduced to
ji.crease and maintain the usefulness of the Reference Room for NIH staff in the
■ c^ Lwood Building.

The DRG Mail Room received and processed approximately 25,000 research
grant applications; 292 NLM grant applications; and 11 construction grant
applications; and a large volume of supporting documents, letters, and
publications .

The Office Services Section compiled and handled an average of 9,000
grant application kits of all types and mailed 9,500 miscellaneous packages a
month during the period under review. The Section also provided planning and
assistance in accomplishing several major moves within the Division; acquired
and maintained equipment, furniture and supplies, and provided printing
services for Division personnel.

The Special Services Section continued to provide typing and repetitive
typing assistance for DRG and NIH institute/division staff. Repetitive typing
assistance (automatic) decreased slightly to approximately 4,000 jobs. Typing
assignments included approximately 250 summary statements, 200 statistical
tables, and 170 assurance letters, as well as the preparation of several book-
lets and papers for publication. Section personnel have assisted in the
Upward Mobility Program by giving individual typing instruction to several
Division personnel. This program will continue.



As a result of the phaseout of the NIH research training programs, the
Career Development Review Branch (CDRB) was abolished, effective May 8, 1973.
All CDRB employees were transferred to appropriate existing vacancies within
the Division of Research Grants. At the same time, the Office of Research
Manpower was established in the Office of the Director, DRG, to administer the
training program phaseout operation and to serve as the key informational
source on NIH research training programs. The following is a report of the
activities of the Career Development Review Branch before its abolition.

Receipt and processing of all types of applications during the 12-month
period, April 1972 through March 1973, increased slightly from 10,933 to
11,087, an increase of less than 1 percent. The competing applications during
this period increased 10 percent from 5,162 to 5,791. The noncompeting
applications decreased 8 percent from 5,760 to 5,296. The fellowship program
experienced the greatest growth in numbers of applications - 8 percent from
4,019 applications to 4,354 despite a decline of 22 percent in predoctoral
applications from 953 to 742. Of the total applications received in CDRB,
33 percent (3,630) were directed to the Health Services and Mental Health

During the year, the Branch streamlined its processing and data capture
procedures. Greater reliance was placed upon SAB printouts.

Research Career Program

As of March 31, 1973, the NIH Research Career Program had 1,131 awardees
on duty. This is an increase of 14 awardees over March 31, 1972. The greatest
change within the awardee group occurred in the original research career
development program (K3) , where there was a drop of 57 percent (409 to 175
awardees). This program stopped making new awards in 1967. The number of
awardees in the different award categories as of March 31, 1973 is as follows:

Research Career Award (K-6) . 128

Research Career Development Award (K-3) 175

Modified Research Career Development Award (K-4). . . 794

Academic Career Development Award (K-7) 23

Clinical Investigator Award (K-8) 11

A revision of the policy brochure for the modified Research Career
Development Award (K-4) was initiated.

Training Grants

The Deputy Branch Chief chaired a drafting committee to revise the
training grants policy statement last issued July 1, 1967. The new policy



brochure dated December 1, 1972, was immediately disseminated to all
institutions, training grant program directors, and others.

Computer assistance in the actual processing of Type 5 training grant
applications is underway. This involves preparation by the computer of
listings and mailing labels for Type 5 mailouts. The Coordination Section
has continued to acquire fiscal data from Training Grant Award Statements.
This data relating to the categories of costs appearing on the award is not
captured by SAB; therefore, CDRB is the only source for NIH-wide data. The
section now has comparable data from 5 fiscal years available for inquiry
and analysis.


The Fellowships Coordination Section audited approximately 613 Pre-
doctoral Report of Expenditure forms for NIH and NIMH resulting in a
saving of $8,346 that otherwise would not have been returned to DHEW.

The Refere nce Data Book on NIH Research Fellowships FY 1972 was
revised for this fiscal year's operations. This book contains 36 various
statistical reports comprising 54 pages. The booklet. Research Fellowship
Awards for Study Abroad was compiled and issued as of September 30, 1972.
This booklet is distributed to U.S. Embassies, the State Department, and
other Government agencies. As a result of the phaseout of the fellowship
programs and the resulting decrease in the number of awardees going abroad,
this document will no longer be prepared.


The Branch served as the focal point within NIH for the phaseout of the
training programs. Sample letters were developed and approved by ADERT for
use in notifying awardees and applicants about the phaseout. All participating
institutions in the training programs received a bulletin addressed to the
coordinating official notifying them of the termination of the programs and
furnishing additional administrative details of continuation of committed
grants/awards .




II ■<

The prime endeavor of the Branch at this time is administration of the
Department of Health, Education, and Welfare policy on protection of human
subjects. Other obligations include establishment of eligibility to serve
as a grantee; establishment of eligibility for waiver of equipment account-
ability under PL 85-934; negotiation of successor in interest agreements,
liaison with OS-DHEW with regard to responsibilities under Title VI of the
Civil Rights Act; and central administration of the NIH policy on animal wel-
fare. In addition, IRB is conducting a pilot study in institutional distribu-

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