ARCHIVED - NIH Grants Policy Statement (10/98) - Table of Contents

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ARCHIVED - NIH Grants Policy Statement (10/98)

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NIH Grants Policy Statement (10/01/1998) - Effective for all NIH grants and cooperative agreements with budget periods beginning on October 1, 1998 through February 28, 2001. See 03/01 NIHGPS and 12/03 NIHGPS for subsequent budget periods. Download or View the complete 10/98 NIH GPS (PDF - 1 MB). See 10/21/1998 NIH Guide for description and notable changes since the 1994 PHS GPS.

Introduction - NIH Grants Policy Statement

Part I: NIH Grants: General Information

Glossary

Definitions

Acronyms and Abbreviations

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 Applications

Funding Opportunities

Application Submission

Application Forms

Table 1: Required Forms for Competing Applications

Application Receipt Points and Deadlines

Legal Implication of Application

Confidentiality of Information (Proprietary Information)

The Peer Review Process

Initial Review

National Advisory Council or Board Review

Appeals of Initial Scientific Review

Disposition of Applications

Sources of Information About NIH's Grants Process and Programs

Part II: Terms and Conditions of NIH Grant Awards

Completing the Preaward Process

Funding Principles

Eligibility

Cost Analysis and Assessment of Management Systems

Overview of Terms and Conditions

Public Policy Requirements and Objectives

Table 2: Public Policy Requirements and Objectives

Ethical and Safe Conduct in Science and Organizational Operations

Conflict of Interest

Debarment and Suspension

Drug-Free Workplace

Health and Safety Guidelines

Limitation on Use of Funds for Promotion or Legalization of Controlled Substances

Lobbying

Misconduct in Science

Nondelinquency on Federal Debt

Recombinant DNA and Institutional Biosafety Committees

Restriction on Distribution of Sterile Needles

Seat Belt Use

Smoke-Free Workplace

Requirements Affecting the Rights and Welfare of Individuals as Research Subjects, Patients, or Recipients of Services

Ban and Human Embryo Research and Cloning

Confidentiality of Patient Records

Controlled Substances

Human Subjects

Investigational New Drug Applications

Pro-Children Act of 1994

Protection of Research Subjects' Identity

Research on Transplantation of Fetal Tissue

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

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

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

Year 2000 Compliance

The Notice of Grant Award

Funding

Budget

Additional Terms and Conditions

Interest Earned on Advances of Grant Funds

Cost Considerations

General

The Cost Principles

Direct Costs and Facilities and Administrative (Indirect) 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

Administrative Requirements

Changes in Project and Budget

Prior Approval Requirements

Expanded Authorities

Requests for Approval

Noncompeting Continuation Awards

Streamlined Noncompeting Award Process

Availability of Research Results: Publications and Intellectual Property Rights, Including Unique Research Resources

Rights in Data (Publication and Copyrighting)

Unique Research Resources

Inventions and Patents

Management Systems and Procedures

Financial Management System Standards

Program Income

Sale of Real Property, Equipment, and Supplies

Reporting of Program Income

Royalties and Licensing Fees from Copyrights, Inventions, and Patents

Property Management System Standards

Real Property

Equipment and Supplies

Exempt Property

Nonexempt Property

Revocable License

Procurement System Standards and Requirements

General

Approval Requirements

Contracting With Small Businesses, Minority-Owned Firms, and Women's Business Enterprises

Monitoring

Reporting

Progress Reports as Part of Noncompeting Continuation Requests

Financial Reports

Unobligated Balances and Actual Expenditures

Invention Reporting

Report to the Office of Research Integrity

Lobbying Disclosure

Record Retention and Access

Audit

Enforcement Actions

Modification of the Terms of Award

Suspension, Termination, and Withholding of Support

Other Enforcement Actions

Final Financial Status Report

Final Progress Report

Final Invention Statement and Certification

Grant Appeals Procedures

Part III: Terms and Conditions for Specific Types of Grants, Grantees, and Activities

Construction Grants

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

Other Design Requirements for NIH-Assisted Construction

Elimination of Architectural Barriers to the Physically Handicapped

Guidelines for Design and Construction of Hospital and Healthcare Facilities (1996-97)

American Society of Heating, Refrigeration, and Air Conditioning Engineers Handbook-HVAC Applications (1995)

Seismic Safety for Federally Assisted Construction

Life Safety Code

Standards on Fire Protection for Laboratories Using Chemicals

Prudent Practices for Safety in Laboratories (1995)

National Sanitation Foundation Standard No. 49 for Class II (Laminar Flow) Biohazard Cabinetry (1992)

International Standard Plumbing Code (1996)

Industrial Ventilation: A Manual of Recommended Practice (1998)

Health Care Facilities Handbook (1997)

Standards for Nonflammable Medical Gas Systems

National Electric Code

Laboratory Ventilation Workbook (1994)

Funding

Matching

Allowability of Costs/Activities

Allowable Costs/Activities

Unallowable Costs/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

Non-Segregated Facilities

Labor Standards

Contract Work Hours and Safety Standards Act

Liquidated Damages

Disposition of Unclaimed Wages

Administrative Requirements

Prior Approval Requirements

Construction Grants

Alteration and Renovation Projects Under Nonconstruction Grants

Real Property Management Standards

General

Use and Disposition

Real Estate Appraisals

Notice of Federal Interest

Insurance Requirements

Exhibit 1: Alteration and Renovation Cost Estimate Outline

National Research Service Awards

II. Individual National Research Service Awards (Fellowships)

A. General

1. Eligibility

a. Research Areas

b. Research Training Program

2. Degree Requirements

b. Foreign Sponsorship

5. NIH Employees

6. Individuals on Active Military Duty

B. Application and Receipt Dates

1. Application

2. Concurrent Applications

3. Application Availability

4. Receipt Dates

C. Review

D. Notification of Action

E. Period of Support

1. Physicians/Clinicians

2. Interruptions (Break-In-Service)

3. Other Exceptions

F. Initiation of Support

1. Process

2. Payment

a. Domestic

(1) Domestic, Non-Federal

(2) Federal Laboratories

b. Foreign

G. Financial Provisions

b. Stipend Supplementation

c. Compensation

d. Concurrent Benefits

e. Educational Loans or GI Bill

f. Taxability of Stipends

g. Form 1099

h. Employee Benefits

2. Other Costs

a. Institutional Allowance

(1) Allowable Costs for Sponsoring Institutions

(a) Non-Federal Public and Private Non-Profit Institutions

(b) Federal Laboratories

(d) Foreign Institutions

c. Travel to Foreign Training Sites

H. Reporting Procedures

1. Activation Notice

2. Payback Agreement

3. Termination Notice

4. Consecutive Support

I. Progress Reports, Financial Status Reports, Changes in the Project

1. Progress Reports

2. Financial Status Report

3. Changes in the Project

J. Other Terms and Conditions

1. Leave

a. Vacations and Holidays

b. Sick Leave and Other Leave

6. Disposition of Professional Fees

7. Human Subjects/Animal Welfare/Recombinant DNA

a. Human Subjects

b. Vertebrate Animals

c. Recombinant DNA

III. Institutional National Research Service Awards (Training Grants)

A. General

1. Eligibility

a. Applicant Eligibility

b. Research Areas

c. Research Training Program

2. Degree Requirements

a. Predoctoral Training

b. Postdoctoral Training

c. Short-Term Research Training

d. Prebaccalaureate Training

3. Citizenship

B. Applications and Receipt Dates

2. Short-Term Research Training Positions

3. Minority Recruitment Plan

4. Training in the Responsible Conduct of Research Training

D. Notification of Action

E. Period of Support

1. Institutional Grants

2. Trainees

3. NRSA Limitations

a. Physicians/Clinicians

b. Interruptions (Break-in-Service)

c. Other Exceptions

F. Initiation of Support

G. Financial Provisions

b. Stipend Supplementation

c. Student Compensation

d. Concurrent Benefits

e. Educational Loans or GI Bill

f. Taxability of Stipends

g. Form 1099

h. Employee Benefits

2. Other Direct Costs

a. Training-Related Expenses

b. Trainee Tuition and Fees

c. Trainee Travel Costs

d. Short-term

3. Rebudgeting of Funds

a. Trainee-Related Expenses

b. Trainee Costs

c. Trainee Travel

4. Expenditure of Funds

5. Facilities and Administrative Costs

6. Program Income

H. Reporting Procedures

1. Statement of Appointment (Form PHS 2271)

a. Grantee Submission

b. Interim Revisions

2. Payback Agreement (Form PHS 6031)

3. Termination Notice (Form PHS 416-7)

4. Consecutive Support

I. Progress Reports, Financial Status Reports, and Changes in the Project

1. Progress Reports

2. Financial Status Report

3. Changes in the Project

J. Other Terms and Conditions

1. Leave

a. Vacations and Holidays

b. Sick Leave and Other Leave

6. Disposition of Professional Fees

7. Human Subjects/Animal Welfare/Recombinant DNA

a. Human Subjects

b. Vertebrate Animals

c. Recombinant DNA

IV. Payback Reporting Requirements for Recipients

A. Purpose and Background

B. Implementation

1. Prior to August 13, 1981

2. Effective August 13, 1981

3. Effective June 10, 1993 (NIH Revitalization Act)

a. Predoctoral Recipients

b. Postdoctoral Recipients

c. Short-term Training

c. Initiation of Payback Service

(1) Support Received Prior to NIH Revitalization Act

(2) Support Received Post-NIH Revitalization Act

d. Source of Funding

e. Timing of Service Obligation

2. Alternative Service

3. Financial Payback

a. Policy and Principal Calculation

b. Interest & Interest Rate Calculation

4. Extensions of Payback

a. Extensions of the Two-Year Period to Initiate Payback

b. Basis for Extensions

c. Extension of Complete Payback Service

5. Waiver

a. Policy

b. Waiver Criteria

D. Certification of Payback Activities

1. Annual Payback Activities Certification (Form PHS 6031-1)

a. Annual Certification

b. Change of Address

2. Breaks in NRSA Support

3. National Health Service Corps

Appendix 1: NRSA Financial Provisions

Appendix 2: Receipt, Review and Award Schedule

Appendix 3: NRSA Forms

Support of Scientific Meetings (Conference Grants)

Public Policy Requirements and Objectives

Review

Funding

Allowability of Costs/Activities

Administrative Requirements

Intellectual Property: Publications and Copyright

Reporting and Record Retention

Progress Report

Expenditure Report

Consortium Agreements

General

Administrative and Other Requirements

Public Policy Requirements and Objectives

Application of Cost Principles

Approval Authorities

Tangible Personal Property

Exempt Property

Nonexempt Property

Intellectual Property

Program Income

Audit

Written Agreement

Awards to Foreign Institutions, International Organizations, and Domestic Grants with Substantial Foreign Components

General

Eligibility

Review

Public Policy Requirements and Objectives

Funding and Payment

Allowability of Costs/Activities

Administrative Requirements

Changes in Project and Budget

Changes in Scope or Objectives

Change of Grantee Organization

Audit

Reporting and Record Retention

Grants to Federal Institutions and Payments to (or on Behalf of) Federal Employees Under Grants

General

Eligibility

Payment

Allowability of Costs/Activities

Administrative Requirements

Equipment Accountability

Procurement Requirements

Intellectual Property: Inventions and Patents

Grants to For-Profit Organizations

General

Eligibility

Allowability of Costs

Cost Principles

Profit or Fee

Independent Research and Development Costs

Facilities and Administrative Costs (Indirect Costs)

Administrative Requirements

Intellectual Property: Inventions and Patents

Program Income

Operating Authorities

Audit

Small Business Innovation Research and Small Business Technology Transfer Programs

Eligibility

Public Policy Requirements and Objectives

Allowability of Costs and Fee

Profit or Fee

Facilities and Administrative Costs (Indirect Costs)

Administrative Requirements

Market Research

Program Income

Intellectual Property: Rights in Data, and Inventions and Patents

Research Patient Care Costs

General

Definitions

Policy

Allowability of Costs

Computation of Research Patient Care Costs

Facilities and Administrative Costs

Special Procedures for Certain Hospitals

Grantees

Consortium Participants/Contractors under Grants

Financial Responsibilities

Program Requirements

Part IV: Points of Contact

Master List of Links to Documents External to the NIHGPS

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