APPENDIX D TO APPENDIX C 
Excerpt from 
NIH Guide for Grants and Contracts 
Vol. 5, No. 20, November 30, 1976 
New, Continuation, and Competing Renewal Applications 
All new and competing renewal applications (Types 1 and 2 ) received on or 
after December 1, 1976, involving DNA recombinant research must be in 
compliance with the requirements that the application be accompanied by a 
Memorandum of Understanding and Agreement (MUA) . If not, the application 
will be considered incomplete and therefore unacceptable for review. The 
MUA must contain: 
1. An assurance that the principal investigator has become familiar with 
the current Guidelines issued by the NIH and agrees to abide by their 
provisions , 
2. A description of the experiments being conducted which involve recombinant 
DNA molecules , 
3. An assessment of the levels of physical and biological containment 
required by the current NIH Guidelines for these experiments, 
A. A statement of the facilities and specific procedures which will be 
used to provide the required levels of containment, 
5. Certification by an institutional official that these facilities and 
procedures have been reviewed by the institutional biohazards committee, 
and judged to be both adequate and consistent with the requirements of 
the NIH Guidelines, 
6. Agreement that the institutional biohazards committee will monitor the 
facilities and procedures throughout the duration of the projects, and 
7. A statement that the recombinant DNA molecules being used will not be 
transferred to other investigators or institutions unless their facil- 
ities and techniques have been assured to be adequate, and a new MUA 
is executed by them and submitted to the NIH prior to the initiation 
of experiments. 
All noncompeting continuation applications (Type 5) involving DNA recombinant 
research projects must be accompanied by an MUA (including certification by 
the IBC) . Each Type 5 application received for subsequent budget periods 
must contain an updated certification statement from the IBC that the 
proposed facilities and staff have been reviewed again by the IBC within 
30 days prior to submission of the application and continued to be in 
compliance with NIH Guidelines. 
Applications that have recently been approved by council will have MUA's 
requested, if necessary. It is suggested that documentation be supplied 
as soon as possible so that funding will not be delayed. 
Appendix C — 24 
