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 
http://grants.nih.gov/grants/policy/nihgps_2001/index.htm.  A PDF 
version is available from the Grants Policy Page (from 
http://www.nih.gov, 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 http://www.nih.gov (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’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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