September 30, 2019

Albert and Goldye J. Nelson Grant Policy

Albert and Goldye J. Nelson Grant Policy

Department of Neurology &

Department of Psychiatry and Behavior Sciences

Wayne State University School of Medicine

Terms of this policy are subject to revision

or alteration at any time

Date: August 19, 2019

PROGRAMS AND APPLICATIONS

I. PURPOSE OF RESEARCH GRANTS (RG)

II. APPLICATION PROCEDURE

III. DEADLINE DATES

IV. APPLICATION REVIEW

RESEARCH GRANT PROGRAM

I. ELIGIBILITY FOR RESEARCH GRANTS

II. DURATION OF GRANTS

III. DELAY IN ACTIVATION

IV. GRANT PAYMENTS

V. AUTHORIZED EXPENSES

VI. UNAUTHORIZED EXPENSES

VII. BUDGET REVISIONS

VIII. UNEXPENDED FUNDS

IX. NO COST EXTENSION

X. CHANGE IN STATUS

1. PROLONGED ABSENCE

2. MOVE TO NEW INSTITUTION

3. WITHDRAWAL FROM PROJECT

4. CANCELLATION OF GRANT

5. CANCELLATION OF GRANT BY the Chair of the Department of Neurology

XI. CURRICULUM VITAE / BIOSKETCH

RESEARCH REPORTS AND PUBLICATIONS

I. REPORT OF EXPENDITURES

II. PROJECT STATUS REPORT

III. PUBLICATIONS, SCIENTIFIC PRESENTATIONS AND NEWS RELEASES

IV. PROGRAM ASSESSMENT

HUMAN AND/OR ANIMAL SUBJECTS/TISSUES

I. RESEARCH PROTOCOL

II. FOOD AND DRUG ADMINISTRATION

III. PATIENT CHARGES

IV. ANIMAL RESEARCH

PROGRAMS AND APPLICATIONS

I. PURPOSE OF RESEARCH GRANTS

To advance areas of scientific and medical knowledge that could improve understanding of the causes of Alzheimer’s

disease/related disorders or assist in developing strategies for their diagnosis and treatment.

We would like the Nelson grant to foster those promising research projects to become NIH-fundable studies.

II. APPLICATION PROCEDURE

Applications are accepted from qualified applicants only. An application may be submitted and accepted based on the

nature of the research proposed and the qualifications of the applicant.

Only one (1) application is permitted per investigator each round. All past awardees may apply; but new applicants will

take the priority.

The proposal should include the following documents: 1. Specific Aim (1 page); 2. Research Plan (6 pages); 3. Human

Subjects if applicable (2 pages); 4. Vertebral Animals if applicable (2 pages); 5. Biosketch (NIH format) for all personnel

involved in the study; 6. Budget with budget justification (use the forms provided in Appendix); 7. Resource; 8. Support

Letters

Text must follow these minimum requirements:

Text Color: black

Font size: must be 11 points or larger. Smaller text (10 points) in figures, graphs, diagrams and charts is

acceptable.

Type density: must be no more than 15 characters per linear inch (including characters and spaces).

Line spacing: must be no more than six lines per vertical inch.

Page margin: must measure at least 0.5 inch in top, bottom and sides on pages formatted to be no larger than

8.5”x11”.

III. DEADLINE DATES

The completed application must be submitted through email to Carla Santiago at csantiago@med.wayne.edu by

January 31 for a grant to begin the following August 1.

IV. APPLICATION REVIEW

To ensure support of meritorious research, applications are peer-reviewed through a review committee (consists of the

Chairs of Department of Neurology and Department of Psychiatry, plus two faculty members) to assess their scientific

merits. There will be one adhoc reviewer recruited for specific scientific expertise needs. Should a committee member

apply the grant, he or she will be excluded from the review process in the cycle. The reviewers’ evaluations and scores

will be reported to the Chair of the Department of Neurology. The Chair of the Department of Neurology, along with the

Chair of the Department of Psychiatry, will make the final decision to award the research grants.

The program encourages hypothesis driven studies. We expect the hypothesis to be supported by preliminary data,

even though the data may not be as extensive as those required by the NIH R01 grant. The merits of all applications

will be evaluated in the five areas (significance, investigator, innovation, approach and environment) described by NIH.

Adherence to the standards of scientific rigor is required.

Of each cycle, only those applications meeting the merits will be awarded, otherwise, the funds will be returned to the

corpus of the Nelson Endowment funds.

Resubmission is not allowed. However, you are welcome to submit a proposal that was previously not funded but

revised extensively (50-70% changes).

RESEARCH GRANT PROGRAM

Research Grants are awarded to directly support the research outlined in the original application submitted. This should

be considered a pilot project.

I. ELIGIBILITY FOR RESEARCH GRANTS

To be eligible to apply for an Albert and Goldye J. Nelson Grant, an applicant must:

1. Hold a Doctor of Medicine (M.D.), Doctor of Philosophy (Ph.D.), Doctor of Science (D.Sc.) or equivalent

degree (i.e. D.O.);

2. Be a faculty member (Professor, Associate Professor or Assistant Professor with a FTE at 0.5 or

above) at Wayne State University;

3. The principal investigator (PI) is allowed to recruit an external collaborator for the project, but no

funds can be distributed to any investigators outside of Wayne State University.

4. Be qualified to conduct and mentor a program of original research within his or her own laboratory;

5. Assume both administrative and financial responsibility for the grant; and

6. Have access to institutional resources necessary to conduct the proposed research project.

7. We would like this fund to foster those promising research projects to become NIH-fundable studies. Within

three years after the start of the Nelson Grant funding, all awardees are required to submit a grant application

to a federal grant agency (NIH, VA, NSF, FDA, CDC, etc). Non-compliance to this policy will result in

disqualification for any future opportunity to apply the Nelson Grant; nor obtaining any research support from

Department of Neurology and Department of Psychiatry.

NOTE: To apply for a Research Grant, you must be an independent investigator, i.e., not a trainee, not a

post-doctoral fellow, not a research assistant and not under the supervision of another person (Principal

Investigator/Independent Investigator) who is directing the research.

II. DURATION OF GRANTS

Research grant awards are for two or three years with a total of $50,000 and $100,000, including indirect costs.

Payments for years two and three are contingent upon submission of respective progress reports and Report of

Expenditures and confirmation that appropriate Institutional and Regulatory approvals are current and on.

III. DELAY IN ACTIVATION

The activation of a research grant by the PI may not be delayed. A PI who is unable to begin his or her grant on its

designated start date must relinquish the award and reapply.

All Institutional and regulatory approvals must be submitted, approved and distributed to appropriate offices, prior to

the release of funds.

IV. GRANT PAYMENTS

Payments to the PI are transferred to a specific WSU index and are issued quarterly providing all contingencies are

met at that time.

Should a delinquent deliverable cause a quarterly payment to be delayed it will be issued with the next quarterly

payment cycle.

The Department of Neurology has the right to withhold or cancel payments for non-compliance of Policies.

V. AUTHORIZED EXPENSES

When deemed justified by the research, the expenses identified below are permitted under the Albert and Goldye

J. Nelson grants program:

1. PI’s salaries are permitted to an equivalent ratio of effort up to a maximum of 10% but not to exceed a

total of $20,000, which includes fringe benefits. Requested salaries are not to be used to replace salaries

or partial salaries that are already assured by institutional or other funds. Salary and fringe benefits for

collaborating Investigators, co-Investigators or consultants are permitted providing the total salary cost

of the PI AND other collaborating investigators should not exceed $20,000.

2. Technicians', research assistants', post-doctoral fellows’, and graduate student salaries and fringe

benefits at levels appropriate to the institution;

3. Equipment cost is not allowed. Lab supply expenses are allowed if necessary to fulfill the project's

specific aims.

3a. Office supplies (i.e. pencils, notebooks, etc.) are limited to a maximum of $600 per year.

3b. Computer hardware (i.e., PC’s, printers, monitors, etc.) limited to a maximum of $2,000 per grant.

Any request for computers must be fully justified on the Budget Justification page of the application.

4. Travel expenses:

a. Are limited to Personnel listed on the project.

b. Must be directly related to the implementation of the research and/or expressly and solely for the

purpose of reporting the results of supported research at suitable scientific or medical meetings;

c. Are limited to $1,000 maximum;

5. Costs associated with publication of the research are not allowed;

6. Costs associated with making the products of the research (i.e., cell lines, DNA, protein and other

biological substances) available to others for research;

VI. UNAUTHORIZED EXPENSES

The following expenses are not permitted:

1. Salaries, travel and/or housing related to sabbatical leaves;

2. Salaries for administrative, secretarial and/or clerical staff;

3. Life and Disability insurance fees;

4. Purchase or rental of office equipment; (i.e., furniture, filing cabinets, and copy machines);

5. Expenses normally covered by the indirect cost of the PI’s institution i.e. General Liability Insurance

and General Auto Insurance;

6. Fees for tuition, registration or other fees relating to academic studies;

7. Membership dues, subscriptions, books or journals – including online subscriptions/access; and/or

VII. BUDGET REVISIONS

The Albert and Goldye J. Nelson Grants program requires the submission of a revised budget when the grant

awarded is less than originally requested. The revised budget must reallocate the amount awarded for items

requested in the original budget - except for any items specifically described in the award letter that must be deleted

from the budget.

Subsequent to budget approval the PI must submit a written request to the Albert and Goldye J. Nelson Grant

program for authorization to reallocate funds for the following reasons:

a) totals more than twenty-five percent (25%) of the current annual budget,

b) changing salaries or approved supply purchases

Such requests must include the amount of the reallocation and a detailed justification. Requests for budget revisions

will be accepted up to the last three (3) months of the full funding period of the award. The Albert and Goldye J.

Nelson Grant does not permit budget revisions exceeding twenty five percent (25%) of the total approved annual

budget Reallocations are permitted only during the current funding year.

VIII. UNEXPENDED FUNDS

If funds are not completely expended at the end of a support year, they must be returned to the Department of

Neurology within twelve (12) weeks of the support period. If a second year of funding of support still exists, a carry

forward of funds may be requested. Carry-over of unexpended funds is limited to a maximum of ten (10) percent of

the award for that budget year. Such a request must be submitted in writing no later than twelve (12) weeks after

the termination date of that year of support. The request must state the amount that remains unexpended and how

those funds will be used in the following year. All category maximums remain in effect.

IX. NO COST EXTENSION

Under exceptional circumstances, a project may be extended for a period of either three (3) or six (6) months beyond

the grant's original expiration date. The PI must request such an extension in writing by completing the No Cost

Extension Request form. The request must be sent no later than four (4) weeks BEFORE the termination date of

the award. The originally approved budget remains in effect throughout the extension period, inclusive of all category

maximums.

X. CHANGE IN STATUS

The continued use of grant funds following any major change in status of the PI requires prior written authorization

from the Chair of the Department of Neurology. As described below, such changes include but are not limited to

prolonged absence, change in institution or withdrawal from the project.

1. PROLONGED ABSENCE

Continued use of funds by or reassignment of a project to another qualified investigator during a

prolonged absence of the PI (excluding institutionally authorized vacation) requires prior written

authorization. The PI must write to the Department of Neurology requesting such authorization at least

six (6) weeks before the starting date of the period of absence. The request must contain an explanation

of the reasons for the absence and details about the arrangements made for conducting the research

project during the absence. The letter must include the following:

a. Inclusive dates of absence;

b. Reason(s) for absence;

c. Name, address, telephone number, and curriculum vitae of the investigator who has agreed to be

responsible for the scientific conduct of the research project;

d. Proposed method and frequency of communication between the PI and the investigator-incharge;

e. Signature of the investigator referred to in item "c" above confirming that he or she is familiar with

all aspects of the project and accepts full responsibility for the conduct of the research during the

absence of the PI.

When a request for continued use of grant funds during a prolonged absence of the PI is not authorized,

the grant is terminated and all unexpended funds, if any, must be returned to the Department of

Neurology accompanied by a Report of Expenditures within eight (8) weeks of the date of termination.

2. MOVE TO NEW INSTITUTION

The Albert and Goldye J. Nelson program does not allow to transfer the funds to other institutions. Upon

the departure of the PI, unexpended grant funds, if any, must be returned to Department of Neurology

and a final Report of Expenditures be submitted within eight (8) weeks of the departure date.

3. WITHDRAWAL FROM PROJECT

When a PI withdraws from a project, his/her grant terminates and all unexpended funds, if any, must be

returned to the Department of Neurology accompanied by a Report of Expenditures within eight (8)

weeks of the withdrawal from the project.

4. CANCELLATION OF GRANT

If, for any reason, the recipient of a grant must relinquish the award, the PI should promptly so notify the

Department of Neurology in writing. The notification should state the effective date of cancellation of the

grant. Unexpended grant funds, if any, must be returned to the Department of Neurology accompanied

by a final Report of Expenditures within eight (8) weeks of the cancellation date.

The Department of Neurology reserves the right to cancel a grant if circumstances render the individual

on whose behalf the award was made unfit, unqualified and/or unable to perform under the terms and

conditions of this Research Grants Policy. Such circumstances include, but are not limited to,

abandonment of the project, loss of license, conviction of a crime, or withdrawal of insurance or other

material institutional protections.

5. CANCELLATION OF GRANT by the Chair of the Department of Neurology

The Department of Neurology has the option of canceling an award at any time with notice for any of the

following reasons:

1. If within ninety (90) days from the scheduled funding start date or the established deadline date for

receipt of required reports, the Department of Neurology has not received the required supporting

documentation, i.e. copy of IRB, FDA, IACUC approval letters; IND confirmation; copy of

informed/consent form(s); progress report; or other documentation as defined by the Albert and

Goldye J. Nelson Grants Policy.

2. For any violation of the guidelines governing by the Albert and Goldye J. Nelson grants program

Policy.

XI. CURRICULUM VITAE/BIOSKETCH

Curriculum vitas of all investigators, advisors, co-investigators and post-doctoral fellows who will be participating in

the execution of the research project must be provided to the grant review committee with the grant application.

When a project is underway, the Department of Neurology must be informed immediately in writing of any change

in personnel participating in the project, the reason(s) for such a change, and be provided the curriculum vitae or

biosketch of any additional or replacement personnel.

RESEARCH REPORTS AND PUBLICATIONS

The protocol cited in the original application to the Department of Neurology is the protocol that is being funded

unless otherwise notified in writing by the Department of Neurology. Any amendments or adjustments to the original

protocol by the PI MUST be reported to the Department of Neurology in writing. The Department of Neurology must

be IMMEDIATELY notified of ALL substantive changes to the protocol.

I. REPORT OF EXPENDITURES

A Report of Expenditures should be sent to the Department of Neurology upon the completion of the grant. The

awardees may produce the report based on the Banner system’s format and data. The expenditure report should

be submitted along with scientific report and other documents. The expenditure will be verified through the banner

system. Unexpended funds during the first or second year may be carried over the following year by submitting a

request to Department of Neurology for approval. This request should be made 8 weeks prior to the end of the fiscal

year. Upon the end of the funding period, no cost extension may be requested as described above.

A deficit balance may not be carried forward to a new funding period.

Once the final Report of Expenditures has been submitted department of Neurology will not accept revisions to the

submitted report.

II. PROJECT STATUS REPORT

Progress reports must be submitted at least three (3) months prior to the expiration dates. A final report must be

submitted no later than four (4) weeks following the grant termination date. The Department of Neurology may

require additional progress reports at any time during an award period as a condition of continuing the award.

III. PUBLICATIONS, SCIENTIFIC PRESENTATIONS AND NEWS RELEASES

The Albert and Goldye J. Nelson Grant Program expects timely publication of the results of all research projects it

supports and requires that every such publication or presentation - whether in peer-reviewed journals, meeting

abstract formats, platforms, and poster presentations or in review articles or similar publications - contain the

following statement or its equivalent: “Supported by The Albert and Goldye J. Nelson Endowment Grant,

Department of Neurology and Department of Psychiatry and Behavior Sciences at Wayne State University.”

IV. PROGRAM ASSESSMENT

The PI will be required to participate in follow-up assessments of his/her scientific and professional progress. For a

period of three (3) years after the grant end date and in response to a request from the Albert and Goldye J. Nelson

Grant Program, the PI will annually inform the Albert and Goldye J. Nelson Grant Program of his/her professional

status, research support, patents, publications, etc. in order to assess the effectiveness and impact of grant funds.

The final assessment will occur five (5) years after the grant end date. This provision shall survive expiration or

termination of the grant.

HUMAN AND/OR ANIMAL SUBJECTS/TISSUES

I. RESEARCH PROTOCOL

When human subjects, tissues and/or materials are to be used in a research project, it is the responsibility of the PI

to ensure that the institution has the following on file and email an electronic copy to Department of Neurology:

1. A complete copy of the research protocol approved by the Institution's Human Subjects Review Board

and a copy of that Board's current approval notice;

2. A copy of the Board’s approved patient informed consent form(s) to be used.

A copy of the Board's current approval notice and a copy of the Board’s approved patient informed consent form

must be submitted with the application and upon each annual renewal.

Projects must be in compliance with all policies, rules and regulations governing clinical trials including those of the

federal regulatory agencies, the respective university. Department of Neurology must be advised about any

amendments to the original research protocol (including the participant consent form) occurring prior to the

commencement of or during the course of the research project.

II. FOOD AND DRUG ADMINISTRATION

When experimental drugs and/or experimental medical devices are to be administered to patients, the materials

required in the "Research Protocol" section "E" of this document are necessary. In addition, it is the responsibility

of the PI to ensure that the institution has the following on file and send to Department of Neurology:

1. A complete copy of the Investigational New Drug (IND) and/or Investigational Device Exemption (IDE)

application approved by the Federal Food and Drug Administration (FDA) and a copy of the FDA's

approval notice; and

2. Copies of all correspondence during the application and award periods between the FDA and the MDA

Principal Investigator pertaining to the experimental drug(s) and/or device study.

III. PATIENT CHARGES

Nelson Funds should not be used to pay the patients participations in experimental drug and/or device studies.

Patients must be fully advised about their responsibility for ancillary costs relating to participation in a research

project -- travel, lodging, food, etc.

IV. ANIMAL RESEARCH

The PI should use animals and animal tissues for research purposes only when reasonable and practical

alternatives do not exist. When attainment of the specific aims of a project requires the use of animals and/or animal

tissues, a detailed justification must be included in the research grant application submitted. The justification shall

include statements confirming that institutional guidelines:

1. Are at least as protective as those of the National Institutes of Health;

2. Conform to all applicable laws and regulations;

3. Meet prevailing community standards for responsible scientific research;

4. Apply throughout the project to ensure the humane treatment of any animals involved in the project.