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<TITLE>NOT-OD-01-015: PUBLICATION OF THE REVISED NATIONAL INSTITUTES OF HEALTH GRANTS POLICY STATEMENT</TITLE>
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PUBLICATION OF THE REVISED NATIONAL INSTITUTES OF HEALTH GRANTS POLICY STATEMENT
Release Date: February 27, 2001
NOTICE: NOT-OD-01-015
National Institutes of Health
The National Institutes of Health (NIH) is pleased to announce the
publication of the revised NIH Grants Policy Statement (NIHGPS, rev.
03/01). The NIHGPS (rev. 03/01) is effective for all NIH grants and
cooperative agreements with budget periods beginning on or after
March 1, 2001, and will supersede, in its entirety, the NIH Grants
Policy Statement (10/98) as a standard term and condition of award.
The NIHGPS published in October of 1998 remains the standard term and
condition for all grants and cooperative agreements with budget periods
that began between October 1, 1998 and February 28, 2001.
The NIHGPS makes available to NIH grantees, in a single document, up-
to-date policy guidance that will serve as the terms and conditions of
NIH awards. This document is also designed to be useful to those
interested in NIH grants by providing information about NIH.
The organization of the document has changed slightly. The previous
NIHGPS had four parts: Part I - General, Part II - Terms and
Conditions, Part III - Other Terms, and Part IV - Contacts. The
revised NIHGPS has combined Parts II and III, so the organization is as
follows:
Part I
Part I provides a glossary of commonly used terms, describes NIH and
its relationship to other organizations within the Department of Health
and Human Services (HHS), specifies grantee, NIH, and other HHS staff
responsibilities, outlines the application and review processes, and
explains the various resources available to those interested in the NIH
grants process.
Part II
Part II serves as the terms and conditions that are incorporated by
reference in all NIH grant awards. It also specifies, in separate
sections, requirements that pertain to construction grants, training
grants and fellowships, conference grants, consortium agreements,
grants to foreign and international organizations (and domestic grants
with substantial foreign components), grants to Federal institutions
and payments to (or on behalf of) Federal employees, grants to for-
profit organizations, modular grants, and research patient care
activities.
Part III
Part III contains general contact information to aid the reader. This
format allows general information, application information, and other
types of reference material to be separated from legally binding terms
and conditions that are contained in Part II.
The NIHGPS (rev. 03/01) is available in HTML version from
<a href="//grants.nih.gov/grants/policy/nihgps_2001/index.htm">http://grants.nih.gov/grants/policy/nihgps_2001/index.htm</a>. A PDF
version is available from the Grants Policy Page (from
<a href="http://www.nih.gov">http://www.nih.gov</a>, access the "Grants Page" link under "Grants &
Funding Opportunities," then click on "Grants Policy," then click on
the "NIH Grants Policy Statement.") Copies of the revised NIHGPS will
not be printed or mailed. Links to the 10/98 NIHGPS will remain the
same.
Interim changes to NIH grants policies will be published in the NIH
Guide for Grants and Contracts (NIH Guide). The NIH Guide is published
on the NIH Home Page at <a href="http://www.nih.gov">http://www.nih.gov</a> (access the "Grants Page"
link under "Grants & Funding Opportunities," then click on the "NIH
Guide"). Conforming changes will be made to both the HTML and PDF
versions of the NIHGPS, with a date indicator showing the effective
date of the change.
Notable policy changes that are implemented with this NIHGPS include:
1. The separate requirement for approval of significant rebudgeting
has been eliminated. It is now incorporated as an indicator of a
change in scope. This is effective immediately for all NIH awards.
This change eliminates the need to reply to question #2 of the four
streamlined noncompeting award process (SNAP) questions.
2. The term collaborator has been changed to co-investigator.
This change is intended to more accurately describe the role of
individuals who are involved with the principal investigator (PI)
in the scientific development or execution of the project. This
change in terminology does not change the role and/or
responsibilities of the PI as detailed in the NIHGPS or the PHS 398
application.
3. The criteria to allocate costs normally assignable to multiple
projects ( closely related work ) has changed. A grantee may
allocate costs normally assignable to multiple projects to one of
those projects or else treat multiple projects as a single cost
objective regardless of the funding IC or whether the awards
involve the same or different PIs. However, identifying projects
as closely related continues to be a prior approval requirement.
4. For grantees subject to OMB Circular A-21, Cost Principles for
Educational Institutions, the 10/98 NIHGPS states that grantees
subject to OMB Circular A-21 may not rebudget from direct costs to
accommodate a facilities and administrative (F&A) rate increase
unless the rate in effect at the time of award was provisional.
This requirement is now eliminated from the NIHGPS. Grantees may
rebudget between direct and F&A costs (in either direction) without
NIH prior approval, provided there is no change in the scope of the
approved project.
5. The addition of a foreign component requires prior approval for all
recipients, regardless of terms of award.
6. A statistical sampling basis is now acceptable for physical
inventory of equipment.
NIH has included a section on modular applications and awards in the
revised NIHGPS. Expanded or clarified coverage has been provided in
several areas, including the following:
1. A clinical hold placed by the Food and Drug Administration (FDA) is
added as an example of change of scope.
2. A list of actions that require prior approval is provided in table
format.
3. Clarifying language on the use of 1099 forms for both fellowship and
training grants is included.
4. The allowability of foreign travel costs purchased under a code
share is discussed.
5. The revised NIHGPS contains an explicit reference that it is the grantee
organization&rsquo;s responsibility to ensure that all sites engaged in research
involving human subjects have an appropriate OHRP-approved assurance and IRB
approval of the research, consistent with 45 CFR 46.
6. A continued and increased emphasis on timely and accurate reporting
is reflected throughout the document.
INQUIRIES
Additional questions about the NIHGPS may be directed to the NIH
Division of Grants Policy at (301) 435-0949 or the Grants Management
Specialist identified on the NIH Notice of Grant Award.
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