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ARCHIVED - NIH Grants Policy Statement (10/98)

Introduction

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INTRODUCTION

The National Institutes of Health Grants Policy Statement (NIHGPS) is intended to make 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-its organization, its staff, and its grants process. The NIHGPS is available in hard copy format from the office specified in "Maintenance" below and on-line from the NIH Home Page at http://www.nih.gov (access the "Grants" link under "Funding Opportunities," then click on the "Grants Policy" page).

To accomplish these objectives, the document is set up in four parts: the first part includes general information about NIH and its grant application and review processes; the second part provides the standard terms and conditions of NIH awards; the third part consists of terms and conditions that apply to particular types of grants/grantees/activities that differ from or supplement those in Part II; and the fourth part includes a listing of pertinent offices and officials with their addresses and telephone numbers. This format allows general information, application information, and other types of reference material to be separated from legally binding terms and conditions.

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 overall set of terms and conditions that will be incorporated by reference in all NIH grant awards. This Part includes generally applicable requirements, which may be either in the form of full text or reference to or highlighting of statutory, regulatory, or Office of Management and Budget (OMB) requirements.

Part III

Part III 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; and research patient care activities.

Part IV

Part IV contains general information such as names, telephone numbers, and Web site addresses to aid the reader.

Certain conventions are followed throughout this document. The term "grant" is used to mean both "grants and cooperative agreements." The term "grantee" is used to refer to recipients of grants and awardees of cooperative agreements, unless the context requires use of a generic or alternate term, such as "recipient" or "awardee," for clarity. "NIH" may be used in this document to refer to the entire organization or to its component organizations, or else to contrast an action by NIH, including actions by its Institutes or Centers, with an action by a grantee or other organization. References to "Part II," "Part III," or "Part IV" without further elaboration mean the corresponding part of this policy statement

BACKGROUND AND SUPERSESSION

Applicants for NIH grants and grantees have historically relied on a variety of sources for information about NIH's grants process and requirements. While many of these sources were developed and maintained by NIH, the primary source of information for grantees was the Public Health Service (PHS) Grants Policy Statement. That document was issued by the Office of the Assistant Secretary for Health, an organizational level that has been eliminated as part of HHS' streamlining efforts. The NIH decision to publish its own policy statement is based on the need to provide its grantees with updated information as well as its desire to enhance its method of communicating about its grants policies and process. Although much of the content of the NIHGPS may be applicable to grants awarded by other PHS or HHS components, NIH has developed this document for its own purposes.

The NIHGPS is effective for all NIH grants and cooperative agreements (hereafter, "grants") for budget periods beginning on or after October 1, 1998, and will supersede, in its entirety, the PHS Grants Policy Statement, dated April 1, 1994, and addendum, dated January 24, 1995. While the NIHGPS has been reformatted as described above, most of the actual changes to the content of the prior PHS Grants Policy Statement are technical amendments to reflect current requirements rather than substantive changes in policy. An explanation of the major changes from the PHS Grants Policy Statement is included in the NIH Guide for Grants and Contracts (NIH Guide) notice announcing the issuance of the NIHGPS.

MAINTENANCE

The Office of Policy for Extramural Research Administration (OPERA) is responsible for developing and maintaining this document, which will be reissued periodically in hard-copy format. Interim changes will be published in the NIH Guide. Each change will be described, including its applicability and effective date; the affected section(s) of the NIHGPS specified; and the necessary language to implement it as a term or condition of award provided. Concurrently, conforming changes will be made in the electronic version of the NIHGPS (see access information above) with a date indicator showing the change's effective date. Grantees will be responsible for reviewing the NIH Guide for changes and for implementing them, as appropriate.

The OPERA staff welcomes comments and suggestions for future versions of the NIHGPS (see Part IV for address and telephone and fax numbers).


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