NIH Grants Policy Statement (12/03) - Effective for all NIH grants and cooperative agreements with budget periods beginning on or after December 1, 2003 through September 30, 2010. See 03/01 NIHGPS and 10/98 NIHGPS for prior budget periods. See 11/26/2003 NIH Guide for description and notable changes since the 2001 version.

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Introduction - NIH Grants Policy Statement

Part I: NIH Grants—General Information

GLOSSARY

Abbreviations
Definitions of Terms

THE NATIONAL INSTITUTES OF HEALTH AS A GRANT-MAKING ORGANIZATION

Roles and Responsibilities
NIH and HHS Staff
Grantee Staff
Application and Review Processes
Support Mechanisms
Eligibility
Types of Award Instruments
Types of Applications
Types of Funding Opportunities
Application Submission
The Peer Review Process
Sources of Information about NIH’s Grants Process and Programs

Part II: Terms and Conditions of NIH Grant Awards

Subpart A: General

COMPLETING THE PRE-AWARD PROCESS

Just-in-Time Procedures
Funding Principles
Eligibility
Cost Analysis and Assessment of Management Systems

OVERVIEW OF TERMS AND CONDITIONS

Ethical and Safe Conduct in Science and Organizational Operations
Standards of Conduct
Financial Conflict of Interest
Debarment and Suspension
Drug-Free Workplace
Health and Safety Regulations and Guidelines
Limitation on Use of Funds for Promotion or Legalization of Controlled Substances 
Lobbying
Research Misconduct
NIH Guidelines for Research Involving Recombinant DNA Molecules  and Human Gene Transfer Research
Nondelinquency on Federal Debt
NIH Guidelines for Research Using Human Embryonic Stem Cells
Restriction on Distribution of Sterile Needles
Restriction on Abortion Funding
Seat Belt Use
Smoke-Free Workplace
Requirements Affecting the Rights and Welfare of Individuals as Research Subjects, Patients, or Recipients of Services
Human Embryo Research, Cloning, and Transplantation
Confidentiality
Controlled Substances
Human Subjects
Data and Safety Monitoring
Investigational New Drug Applications/Investigational Device Exceptions
Pro-Children Act of 1994
Animal Welfare
Requirements for Inclusiveness in Research Design
Inclusion of Women and Minorities as Subjects in Clinical Research
Inclusion of Children as Subjects in Clinical Research
Civil Rights
Age Discrimination Act of 1975
Civil Rights Act of 1964
Education Amendments of 1972
Rehabilitation Act of 1973
Limited English Proficiency

Environmental Impact and Other Requirements Related to Acquisition, Alteration and Renovation, and Construction of Facilities
Availability of Information
Acknowledgment of Federal Funding
The Freedom of Information Act
Access to Research Data
The Privacy Act

Other Public Policy Requirements and Objectives
Metric System
Military Recruiting and Reserve Officer Training Corps Program Access to Institutions of Higher Education

Funding
Budget
Additional Terms and Conditions

SMARTLINK II/ACH
CASHLINE/ACH
Cash Request
Interest Earned on Advances of Grant Funds

General
The Cost Principles
Direct Costs and Facilities and Administrative Costs
Reimbursement of Facilities and Administrative Costs
Cost Transfers, Overruns, and Accelerated and Delayed Expenditures
Allocation of Costs and Closely Related Work
Applicable Credits
Services Provided by Affiliated Organizations
Allowability of Costs/Activities
Selected Items of Cost

Changes in Project and Budget
Expanded Authorities
Prior-Approval Requirements
Requests for Prior Approval
Availability of Research Results: Publications, Intellectual Property Rights, and Sharing Research Resources
Rights in Data (Publication and Copyrighting)
Sharing of Research Data
Sharing of Unique Research Resources
Inventions and Patents
Management Systems and Procedures
Financial Management System Standards
Program Income
Property Management System Standards
Procurement System Standards and Requirements

Monitoring
Reporting
Record Retention and Access
Audit
Enforcement Actions
Modification of the Terms of Award
Suspension, Termination, and Withholding of Support
Other Enforcement Actions
Recovery of Funds
Debt Collection
Closeout
Final Reports
Grant Appeals Procedures

Subpart B: Terms and Conditions for Specific Types of Grants, Grantees, and Activities

General
Eligibility
Review and Approval
Public Policy Requirements and Objectives
The National Environmental Policy Act of 1969
Public Disclosure
Flood Insurance
Historic Properties and Archeological Sites
Intergovernmental Review under Executive Order 12372
Metric System
Relocation Assistance and Real Property Acquisition
Other Public Policy Requirements
Design Requirements for NIH-Assisted Construction
Elimination of Architectural Barriers to the Physically Handicapped
Seismic Safety for Federally Assisted Construction
Additional Design Requirements
Funding
Matching
Allowable and Unallowable Costs and Activities
Procurement Requirements for Construction Services under NIH Construction Grants
General
Construction Management Services
Design-Build Services
Equal Employment Opportunity, Labor Standards, and Other Contract Requirements
Equal Employment Opportunity
Preservation of Open Competition and Government Neutrality Toward Government Contractors’ Labor Relations on Federal and Federally Funded Construction Projects
Nonsegregated Facilities
Labor Standards
Administrative Requirements
Prior-Approval Requirements
Real Property Management Standards

RUTH L. KIRSCHSTEIN NATIONAL RESEARCH SERVICE AWARDS

General
Background
Nondiscrimination
Individual Fellowships
General
Application Requirements and Receipt Dates
Review
Notification of Action
Period of Support
Full-Time and Part-Time Training
Initiation of Support
Allowable and Unallowable Costs
Supplementation of Stipends, Compensation, and Other Income
Reporting Requirements
Changes in the Project
Other Terms and Conditions

Institutional Research Training Grants
General
Application Requirements and Receipt Dates
Special Program Considerations
Review
Notification of Action
Period of Support
Initiation of Support
Allowable and Unallowable Costs
Rebudgeting of Funds
Stipend Supplementation, Compensation, and Other Income
Carryover Authority
Program Income
Reporting Requirements
Changes in the Project
Other Terms and Conditions
Payback Reporting Requirements
General
Implementation
Short-Term Training
Payback
Certification of Payback Activities
Appendix Receipt, Review, and Award Schedule

MODULAR APPLICATIONS AND AWARDS

General
Applicability
Application Requirements
Budget
Checklist
Non-Compliant Applications
Application Review and Award
Post-Award Administration

SUPPORT OF SCIENTIFIC MEETINGS (CONFERENCE GRANTS)

General
Applicability
Definitions
Eligibility
Application Requirements
Public Policy Requirements and Objectives
Application Review
Funding
Allowable and Unallowable Costs
Allowable Costs
Unallowable Costs
Administrative Requirements
Intellectual Property: Publications, Copyright, and Public Disclosure
Reporting and Record Retention

CONSORTIUM AGREEMENTS

General
Administrative and Other Requirements
Public Policy Requirements and Objectives
Allowable and Unallowable Costs
Approval Authorities
Tangible Personal Property
Audit
Written Agreement

GRANTS TO FOREIGN INSTITUTIONS, INTERNATIONAL ORGANIZATIONS, AND DOMESTIC GRANTS WITH FOREIGN COMPONENTS

General
Eligibility
Application Review
Public Policy Requirements and Objectives
Funding and Payment
Allowable and Unallowable Costs
Administrative Requirements
Changes in Project and Budget
Audit
Reporting and Record Retention

GRANTS TO FEDERAL INSTITUTIONS AND PAYMENTS TO (OR ON BEHALF OF) FEDERAL EMPLOYEES UNDER GRANTS

General
Eligibility
VA-University Affiliations
Payment
Allowable and Unallowable Costs
Administrative Requirements
Equipment Accountability
Procurement Requirements
Intellectual Property
Reporting Requirements

GRANTS TO FOR-PROFIT ORGANIZATIONS

General
Eligibility
Allowable and Unallowable Costs
Cost Principles
Independent Research and Development Costs
Facilities and Administrative Costs (Indirect Costs)
Profit or Fee
Administrative Requirements
Intellectual Property
Program Income
Operating Authorities
Audit
Small Business Innovation Research and Small Business  Technology Transfer Programs
Eligibility
Public Policy Requirements and Objectives
Allowable Costs and Fee
Administrative Requirements

RESEARCH PATIENT CARE COSTS

General
Definitions
Policy
Allowable Costs
Computing Research Patient Care Costs
Facilities and Administrative Costs
Special Procedures for Certain Hospitals
Financial Responsibilities
Program Requirements

Part III: Points of Contact

Index

A - G
H - P
R - W

Footnotes

Master List of Links to Documents External to the NIHGPS