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APPENDIX 5. POLICIES GOVERNING FEDERAL GRANTEES (PHS GPS 9505)


Some of the policies contained in this document must be modified for grants awarded to other Federal departments or agencies. Where the policies differ from those contained elsewhere in this policy statement, the changed requirements are set forth below.

ELIGIBILITY

Federal institutions are eligible to receive certain types of PHS project grants. This eligibility includes, but is not necessarily limited to, grants for research, training, and demonstration projects. Federal institutions must meet the eligibility requirements of the grant program from which support is sought. However, in no case may an awarding office issue a grant award to any component of its own agency.

Although the performance site may be at a level lower than the agency or department, when an award is made to an eligible Federal institution, the Federal agency or department will be the designated grantee and must assume responsibility for the project. Federal institutions must also ensure that their own authorizing legislation will allow them to receive a PHS grant and be able to comply with the award terms.

A document certifying both the assumption of responsibility and authority to receive a grant must be submitted at the time of each new and competing continuation application. The certification must be signed by the head of the responsible Federal department or independent agency or a designee who reports directly to the department or agency head. (In the case of the Department of Defense, the Departments of the Army, Navy, and Air Force shall be considered the Federal department and their Secretaries as the responsible Department head.)

The certification requirement does not apply to Department of Veterans Affairs hospitals, Bureau of Prisons (Department of Justice) hospitals, PHS hospitals (including Indian Health Service hospitals), or other PHS organizational segments. However, PHS organizational segments other than PHS hospitals may seek PHS grant support only under exceptional circumstances and with written prior approval obtained from the Deputy Assistant Secretary for Health Management Operations, PHS. Such circumstances may include situations where a project cannot be supported within the mission of the applicant PHS agency or organizational segment, the activity cannot be performed elsewhere, its nonpursuit would have an adverse or potentially important impact on the PHS mission, and a grant is determined to be the appropriate means of carrying out the activity.

ALLOWABILITY OF COSTS

Costs allowed under grants to Federal institutions shall be determined by the established policies of the institution consistently applied to both its own activities and grant-supported activities. In the absence of a governing institutional policy, the cost principles for State and local governments will apply.

SALARIES

No salary or fringe benefit payments may be made from PHS grant funds to career, career-conditional, or other Federal employees (civilian or military) with permanent appointments provided for under existing position ceilings of a given Federal component. Temporary employees specifically hired to assist in the conduct of a sponsored PHS assistance program may, if authorized by the grant award, be reimbursed from grant funds.

MATCHING

Federal institutions receiving PHS research grants are not required to provide matching contributions.

INSTITUTIONAL ALLOWANCES UNDER
FELLOWSHIPS

Institutional allowances may be requested by Federal institutions sponsoring a predoctoral or postdoctoral fellow unless otherwise restricted by law or regulations. Federal institutions may request up to $2,000 per year for an institutional allowance.

INDIRECT COSTS

Indirect costs will not be provided to Federal institutions.

PAYMENT OF GRANTS

Under PHS grants, the Department of Defense will normally be paid by Treasury check after submission of the appropriate interagency form. Payments to all other Federal departments and agencies will normally be accomplished by transfers of funds between appropriations.

ACQUISITION OF PROPERTY

Procurement under grants to Federal institutions is governed by the Federal Acquisition Regulations (see 48 CFR Part 31.2). Except as provided below, PHS will consider all property acquired under a PHS grant awarded to a Federal institution as "exempt" for determining which provisions of 45 Part CFR 74, Subpart O, will apply.

For items of equipment having a unit acquisition cost of $1,000 or more, PHS has the right to require transfer of the equipment, including title, to PHS or to an eligible third party named by the PHS awarding office under the conditions specified in 45 CFR Part 74.136. This right applies to Federal institutions under all types of grants.

PATENTS AND INVENTIONS

Inventions resulting from grants supporting the activities of Federal employees, i.e., grants to Federal institutions, shall be reported simultaneously to the Assistant Secretary for Health pursuant to the terms of the award and to the employing agency under the terms of Executive Order 10096, as amended.


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