NIH Grants Policy Statement
Part II: Terms and Conditions of NIH Grant Awards
Subpart B: Terms and Conditions for Specific Types of Grants, Grantees, and Activities -- File 4 of 5
Receipt, Review, and Award Schedule
Ruth L. Kirschstein National Research Service
Award Institutional Research Training Grants*
Review and award schedule
Application receipt dates
Scientific merit review
Ruth L. Kirschstein National Research Service
Award Individual Fellowships
Application receipt dates
Initial review dates
Range of likely start dates
Fellowships other than minority and disability programs
Minority and disability programs
*Several NIH ICs use only one or two of the receipt dates
for Kirschstein-NRSA institutional research training grant applications.
Applicants are encouraged to confirm the application receipt dates by calling
the appropriate IC or checking the NIH-wide program announcement for
institutional research training grants at http://grants.nih.gov/training/nrsa.htm.
APPLICATIONS AND AWARDS
Modular applications and awards employ a simplified process
for developing and reviewing application budgets, documenting approved budgets,
and making post-award budgetary changes.
Modular procedures are required to be used for new,
competing continuation, and revised (amended) applications as well as for
competing supplements for individual research project grants (R01), small grants
(R03), exploratory/development grants (R21), and Academic Research Enhancement
Awards (R15) that request up to a total of $250,000 of direct costs per year,
regardless of whether the application is an investigator-initiated application
or is one submitted in response to a PA/RFA. Modular procedures also apply to
SBIR and STTR Phase I grants (R43 and R41) that request up to a total of
$100,000 (direct and F&A costs and fee).
Instructions for specific grant mechanisms other than the
R01 and guidelines for IC programs may indicate a particular number or range of
modules allowed. In addition, an IC may, at its discretion, specify in an RFA
that the modular application requirements apply to applications for amounts in
excess of the modular ceiling.
Modular applications and awards also are subject to other
simplified procedures, specifically just-in-time requirements and SNAP.
Modular applications are submitted on the PHS 398, with the
Modular applications request direct cost funding in modules
of $25,000, up to the ceiling amount (i.e., $250,000 for each year of support
under covered mechanisms other than SBIR/STTR Phase I grants and $100,000 for
SBIR/STTR Phase I grants) plus applicable F&A costs. The modules should be
a reasonable estimate of allowable, allocable, and reasonable costs for the
proposed project, since only limited budget information is required for
submission of a modular application, the standard application budget forms are
not used. Applicants must submit budget information in accordance with the
Modular Budget Format Page included in the PHS 398 application instructions.
Sample modular application budget pages are available at http://grants.nih.gov/grants/funding/modular/modular.htm.
The modular budget is accompanied by a narrative for all
personnel by position, role, and percent level of effort. This includes
consultants and any “to be appointed” positions. No individual salary
information should be provided. Applicants must use the current salary cap when
determining the number of modules (see “Cost
Considerations—Allowability of Costs/Activities—Selected Items of Cost—Salaries
and Wages”). Given the ability to rebudget and to carry forward unobligated
balances, funds generally should be available to cover any modest increase in
the statutorily imposed salary cap.
As appropriate, the narrative also must address
consortium/contractual costs (including applicable F&A costs) rounded to
the nearest $1,000. The narrative should list the individuals and organizations
with whom consortium or contractual arrangements have been (or will be) made,
the percent of effort of key personnel and their role on the project, and
indicate whether the collaborating organization is foreign or domestic.
A typical modular application will request the same number
of modules for each year; however, well-justified modular increments (up to the
specified modular ceiling) or decrements in the total direct costs for any year
of the project that reflect substantial changes in expected future activities
may be requested at the outset. For example, a major equipment purchase in the
first year may justify a higher overall budget in that year, but not
necessarily in succeeding years. There is no provision for escalation in future
years. NIH requires additional narrative budget justification if there is a
variation in the number of modules requested from year to year.
The application checklist must be completed and submitted
with the application. The checklist should include F&A costs calculated at
the current negotiated rate, less exclusions, for the initial budget period and
all future budget periods covered by the application.
The modular application instructions require only limited
budgetary information. Therefore, applications not complying with those
instructions will not be accepted for review and will be returned to the applicant
by CSR as non-compliant applications.
An application will be considered non-compliant if one or
more of the following occurs:
direct cost budget is not in modules of $25,000 for each year of support
detailed itemized categorical budget is provided.
budget narrative justification includes an itemized justification for one or
more of the following: equipment, travel, supplies, other expenses, etc., but
the number of modules requested for each year is the same, or the information
is not intended to explain the request for a different number of modules for
one or more years.
A returned application, if revised and resubmitted to NIH in
a timely manner, may remain in the review cycle for which it was originally
SRGs evaluate the budget on the basis of a general, expert
estimate of the total effort and resources required to carry out the proposed
research. If the SRG recommends an adjustment in the project budget, the
recommended adjustment will be in terms of an entire module.
Following peer review, for applications being considered for
award, the IC will request from the applicant information about “Other Support”
and, as applicable, human subjects, animal subjects, and education in the
protection of human research participants. Additional budget information will
be requested before award only under special circumstances.
NIH will attempt to make awards at or close to the level of
total direct costs recommended by the SRG, taking other support into account.
In unusual situations, an IC may have to reduce the funding amount to
accommodate the IC’s cost management plan.
The award budget will be a noncategorical budget specifying
approved total direct costs and F&A costs, if applicable.
In accordance with the applicable cost principles and other
cost policies included in Subpart A of this part, grantees are required to
allocate and account for costs related to their awards by category within their
organizational accounting system.
Modular awards are subject to expanded authorities and SNAP.
Grantees may request administrative supplements as under
OF SCIENTIFIC MEETINGS (CONFERENCE GRANTS)
NIH supports scientific meetings, conferences, and workshops
(hereafter “conferences”) that are relevant to its scientific mission and to
public health under the R13 and U13 activity codes. NIH’s support of
conferences is contingent on the interests and priorities of the individual
ICs. Most ICs provide conference support although their budget guidelines may
vary. Prior approval is required before submission of an application for
conference support. Therefore, potential applicants must contact the funding IC
for specific information as well as to ensure compliance with submission
requirements. Applications for conference support must be submitted based on
the published receipt dates. NIH will not make an award unless it can be issued
before the conference’s start date.
This section applies to grants that support domestic and
international conferences. If a policy is not addressed in this section, the
Subpart A coverage applies.
Questions concerning the
allowability of conference activity under research grants should be directed to
Scientific Meeting (Conference). A gathering,
symposium, seminar, workshop, or any other organized, formal event where people
assemble to coordinate, exchange, and disseminate information or to explore or
clarify a defined subject, problem, or area of knowledge.
International Conference. A scientific meeting so
designated by its sponsor or one to which open invitations are issued on an
equal basis to potential participants in two or more countries other than the
United States or Canada. The meeting may be held in any country, including the
Domestic Conference. A scientific meeting held in the
United States or Canada primarily for U.S. or U.S.-Canadian participation (even
if foreign speakers are invited).
Domestic institutions or organizations, including
established scientific or professional societies, are eligible to apply for
conference support. Both domestic and international conferences may be
supported; however, an international conference can be supported only through
the U.S. representative organization of an established international scientific
or professional society. An individual is not eligible to receive a grant in
support of a conference.
The PHS 398 is to be completed by an organization seeking
NIH conference support. Supplemental application instructions for conference
grants are available at the Kiosk for Conference Grants at http://grants.nih.gov/grants/funding/r13/index.htm.
In addition to any applicable public policy requirements and
objectives specified in Subpart A, conference grant applicants must comply with
the Guidelines on the Inclusion of Women, Minorities, and Persons with
Disabilities in NIH Supported Conference Grants (available through
the NIH website at http://grants.nih.gov/grants/policy/policy.htm.
Appropriate representation of women, individuals who are members of
racial/ethnic minority groups, people with disabilities, and other individuals
who have been traditionally underrepresented in science must be included in all
aspects of planning, organization, and implementation of NIH-sponsored or
-supported meetings. “Appropriate representation” is based on the availability
of scientists from these groups known to be working in a particular field of
biomedical or behavioral research. If appropriate representation is not
apparent, NIH will not make an award until the applicant has submitted
acceptable documentation of its compliance.
Applications for conference grants will be reviewed for
programmatic relevance and for merit as described in the conference grant PA (http://www.niehs.nih.gov/dert/programs/conferen.htm).
Depending on IC policy, applications for conference grants
also may be reviewed by the IC’s National Advisory Council or Board.
Grants or cooperative agreements may be used to provide
conference support. A cooperative agreement may be awarded if the NIH awarding
office determines that it needs to have substantial involvement in the planning
and conduct of a conference.
Grant funds may not be used to provide general support for
international conferences held in the United States or Canada. Grant funds may
be awarded to support only specific aspects of such conferences. An example
would be a selected symposium, panel, or workshop, including the costs of planning
and travel of U.S. participants.
Awards in support of a single conference will be made for a
project period commensurate with the time involved in planning and conducting
the conference and post-conference follow-up, usually 1 year. A conference
grant made to a permanently sponsoring organization for conferences held
annually or biennially on a recurring topic may be awarded for up to a total of
5 years and will be funded annually, based on the availability of funds.
Continued funding beyond the first year will be contingent on a report of
satisfactory progress submitted in accordance with SNAP instructions. A change
in conference focus requires NIH awarding office prior approval.
The following highlights allowable and unallowable costs
under conference grants. No costs other than those specified in this subsection
as allowable, including any qualifications on their allowability, are permitted
under conference grants.
Conference Services. Grant funds may be used for
necessary recording of proceedings, simultaneous translation, and subsequent
Consultant Services. Grant funds may be used to pay
consultant fees, including travel and supporting costs (per diem or, where
Equipment Rental. Grant funds may be used for the
rental of necessary equipment.
Federal Employees. See “Grants to Federal Institutions and
Payments to (or on Behalf of) Federal Employees under Grants.”
Meals. When certain meals
are an integral and necessary part of a conference (i.e., a working meal where
business is transacted), grant funds may be used for such meals, as qualified
under “Travel” in this subsection.
Publication Costs. When grant funds are awarded to
pay for either the entire or partial cost of publication of proceedings or a
book or pamphlet, allowable costs include special plates, charts, diagrams,
printing, distribution, mailing, postage, and general handling, unless
otherwise specified at the time the grant is awarded.
Registration Fees. Grant funds may be used for
registration fees paid by the grantee to other organizations on behalf of
attendees, provided such fees cover only those allowable costs properly
chargeable to the grant.
Salaries. In accordance with the policy of the
grantee organization, grant funds may be used for all or part of the salaries
of professional personnel, clerical assistants, editorial assistants, and other
non-professional staff in proportion to the time or effort directly related to
Speakers Fees. Speakers’ fees for services rendered
Supplies. Grant funds may be used for the purchase of
supplies for the conference if the supplies are received and used during the
Travel. Funds may be
used for the travel of staff, speakers, participants, and attendees, if
identified in the application and approved at the time of award. Travel
expenses for employees of the grantee organization are governed by the
grantee’s travel policies, consistently applied regardless of the source of
Any U.S. foreign travel restrictions that are in effect at
the time of the award will be followed, such as
or restrictions on countries to which travel will be supported or
or other limitations on availability of funds for foreign travel.
Proposed per diem or subsistence allowances must be
reasonable and limited to the days of attendance at the conference plus the
actual travel time to reach the conference location by the most direct route.
Local mileage costs only may be paid for local participants. Where meals and/or
lodgings are furnished without charge or at a nominal cost (e.g., as part of
the registration fee), the proposed per diem or subsistence allowance must take
this into consideration.
Transportation costs for attendees and participants at the
conference may not exceed coach class fares. In all cases, U.S. flag carriers
will be used where possible (see “Cost
Considerations—Allowability of Costs/Activities—Selected Items of Cost—Travel”).
A&R. Not allowable.
Entertainment and Personal Expenses. Costs of
amusement, diversion, social activities, ceremonials, and related incidental
costs, such as bar charges, tips, personal telephone calls, and laundry charges
of participants or guests, are unallowable. However, meals may be allowable as
provided under “Allowable Costs—Meals” in this subsection.
Equipment Purchase. Grant funds may not be used for
the purchase of equipment.
F&A Costs. Not allowable.
Honoraria. Honoraria or other payments given for the
purpose of conferring distinction or to symbolize respect, esteem, or
admiration may not be paid from grant funds.
Local Participants’ Expenses. With the exception of
local mileage as indicated under “Allowable Costs—Travel”
in this subsection, grant funds may not be used to pay per diem or expenses for
local participants in the conference.
Membership Dues. Not allowable.
Research Patient Care. Not allowable.
If the grantee publishes material developed in whole or in
part with NIH funds, the material may be distributed free of charge. If the
grantee organization charges for the material, the sales proceeds are
considered program income, and must be accounted for as specified in the NGA
and reported on the FSR (see “Reporting and
Record Retention” in this subsection).
Unless otherwise provided in the terms and conditions of the
award, the grantee is free to arrange for copyright of any publication
resulting from an NIH-supported conference. However, any such copyrighted
publication shall be subject to a nonexclusive, irrevocable, royalty-free
license to the Federal government to reproduce, translate, publish, and dispose
of the material and to authorize others to use the work for government
purposes. Copyright does not extend to any materials prepared by Federal
employees as part of their official duties.
The grantee is cautioned to remind conference participants
that any presentation or discussion constitutes public disclosure of
information. Any such public disclosure would create a bar and seriously impact
the degree to which any intellectual property rights could be protected.
Grantees are responsible for submitting the following
reports to the NIH awarding office upon completion or termination of a grant in
support of a conference.
For single conferences, a final report of the conference
must be submitted to the NIH awarding office within 90 days after the end of
the project period. The report must include the following:
date, and place of the conference
of the person shown on the application as the conference director, PI, or PD
of the organization that conducted the conference
list of the individuals, and their organizational affiliations, who
participated as speakers or discussants in the formally planned sessions of the
summary of topics discussed/conclusions.
Under multiple-year awards, i.e., ones that support more
than one conference, NIH requires an annual progress report that contains a
description of specific plans for the next budget period, in similar detail and
format as for a single conference. The annual progress report must be submitted
at least 6 months before the next scheduled conference. The final progress
report should be submitted within 90 days after the end of the project period.
With the approval of the NIH awarding office, copies of
proceedings or publications resulting from the conference(s) may be substituted
for the final report, provided that they contain the information specified for
inclusion in the final report.
An FSR is
required from the grantee within 90 days after the end of the project period.
Records of expenditures and any program income generated must be maintained in
accordance with the provisions of 45 CFR 74.53 or 92.42 (see “Administrative Requirements—Monitoring—Record
Retention and Access”).
This section includes the requirements for an
applicant/grantee under consortium agreements in which the grantee collaborates
with one or more other organizations in carrying out the grant-supported
research. The grantee, as the direct and primary recipient of NIH grant funds,
is accountable to NIH for the performance of the project, the appropriate
expenditure of grant funds by all parties, and all other obligations of the
grantee, as specified in the NIHGPS. In general, the requirements that apply to
the grantee, including the intellectual property requirements in Subpart A and
the program income requirements of the award, also apply to consortium
participant(s). Exceptions are noted in this section. The grantee is
responsible for including the applicable requirements of the NIHGPS in its agreements
with collaborating organizations (see “Written
Agreement” in this section).
Under grants that include
award will be made to a single grantee with a single PI, even though one or
more organizations other than the grantee will carry out portions of the
planned programmatic activity.
grantee must perform a substantive role in the conduct of the planned research
and not merely serve as a conduit of funds to another party or parties.
Applicants are expected to detail their proposed
collaborations as part of the grant application. If the application is approved
as submitted, no further approval is required unless, during performance, the
grantee plans to undertake additional or alternative collaborations that would
constitute a change in the scope of the approved project (see “Administrative Requirements—Changes in Project and
Budget”). Applicants for STTR grants should follow the specific requirements
for research collaboration established for that program (see “Grants to For-Profit Organizations”).
The following information
must be provided to NIH as part of a competing application that proposes
list of all proposed performance sites, including those of the applicant
organization and the consortium participant(s); and
application budget pages (for the first year and each future year of support
requested) for each consortium participant, unless the application is for a
modular award (see “Modular Applications
The signature of the AOO on
the application signifies that the applicant organization and all proposed consortium
participants understand and agree with the following statement:
appropriate programmatic and administrative personnel of each organization
involved in this grant application are aware of the NIH consortium agreement
policy and are prepared to establish the necessary inter-organizational
agreement(s) consistent with that policy.”
NIH may request additional information before award and may
place a special condition(s) on the award.
The following highlights several areas within the consortium
relationship that the grantee needs to address with the consortium participant
to ensure compliance with NIH requirements. The requirement for a written
agreement addressing these and other areas is specified in this section.
The grantee is responsible for determining whether a
consortium participant, including foreign consortium participants under
domestic or foreign grants, has filed assurances with NIH that would cover its
activities within the consortium and, if not, for ensuring that any required
assurances or certifications are submitted to NIH. See “Public Policy Requirements and
Objectives” for the full statement of these requirements and their
applicability to consortium participants.
The grantee is responsible for ensuring that all sites
engaged in human subjects research have an appropriate OHRP-approved assurance
and IRB approval of the research consistent with 45 CFR Part 46, and for
complying with NIH prior-approval requirements related to the addition of sites
not included in the approved application (see “Administrative
Requirements—Changes in Project and Budget”). The list of organizations
with approved assurances is available at the OHRP website: http://www.hhs.gov/ohrp.
The grantee also must ensure that all sites engaged in
research involving the use of live, vertebrate animals have an appropriate
animal welfare assurance. If collaborating institutions have full PHS
Assurances, they may exercise discretion in determining which IACUC reviews
research protocols and under which institutional animal welfare program the
research will be performed. If an IACUC defers protocol review to another
IACUC, then documentation of the review should be maintained by both
committees. Similarly, an IACUC should be advised about any significant
questions or issues raised during a semiannual program inspection of a facility
housing a research activity for which that IACUC bears some responsibility or
The grantee must include in consortium agreements the applicable
government-wide cost principles and NIH cost policies described in “Cost Considerations” and, as appropriate,
requirements related to allowable and unallowable costs in other sections of
Subpart B. For example, a university grantee must flow down the cost principles
of OMB Circular A-122 to a consortium participant that is a non-profit research
organization. This includes the application of F&A rates in determining
consortium budgets and the reimbursement of costs.
The grantee is responsible for obtaining NIH awarding office
approval for any actions to be undertaken by consortium participants that
require prior approval. Grantees may establish requirements for review of
consortium participants’ activities consistent with those requirements and with
any authorities provided to the grantee; however, a grantee may not provide any
authority to a consortium participant that the grantee has not been provided
under its NIH award.
Regardless of whether there is a change in scope, in all
cases, if a grantee (or consortium participant) proposes the transfer of work
to a foreign site, awarding office prior approval is required.
If the grantee provides exempt property to a consortium
participant or authorizes a consortium participant to purchase property that
would be considered exempt if acquired by the grantee, the grantee may vest
title in the consortium participant upon transfer or purchase or may reserve
the right to do so at a later time. The grantee also may establish its own use,
disposition, and accountability requirements, provided they are consistent with
the NIH right to transfer title (see “Administrative
Requirements—Management Systems and Procedures—Property Management System
Standards—Equipment and Supplies”).
If the grantee provides nonexempt property to a consortium
participant or authorizes a consortium participant to purchase property that
would be considered nonexempt if purchased by the grantee, title to such
property must remain with the grantee or be vested in the grantee upon
acquisition of the property. The grantee may establish use, accountability, and
disposition requirements for the property, provided they are consistent with,
and do not impair, the grantee’s ability to comply with the requirements of
45 CFR Part 74 or 45 CFR Part 92, as appropriate.
The grantee must require consortium participants to comply
with the requirements of OMB Circular A-133 or 45 CFR 74.26(d), as
applicable, for audit of NIH grant funds expended by consortium participants. A
consortium participant also may be a direct NIH grantee or contractor or may be
receiving funds only under the consortium agreement. Regardless, if a
non-profit consortium participant meets the OMB Circular A-133 threshold
criterion of aggregate annual expenditures of $500,000 or more under applicable
Federal awards, the grantee must receive a copy of that organization’s A-133
audit and take appropriate action based on any findings that relate to the
consortium agreement. If a consortium participant will not reach that
expenditure threshold, the grantee is responsible for monitoring the
organization’s activities to ensure compliance with NIH requirements. The
grantee may not require a consortium participant to have an audit and charge
the audit costs to NIH grant funds unless required or authorized by OMB
Circular A-133 or 45 CFR 74.26(d).
The grantee must enter into a formal written agreement with
each consortium participant that addresses the negotiated arrangements for
meeting the scientific, administrative, financial, and reporting requirements
of the grant, including those necessary to ensure compliance with all
applicable Federal regulations and policies and facilitate a smoothly
functioning collaborative venture. At a minimum, this agreement must include
of the PI and individuals responsible for the research activity at each
consortium participant along with their roles and responsibilities
for directing and monitoring the research effort
to be followed in reimbursing each consortium participant for its effort,
including dollar ceiling, method and schedule of reimbursement, type of
supporting documentation required, and procedures for review and approval of
expenditures of grant funds at each organization
different from those of the grantee, a determination of policies to be followed
in such areas as travel reimbursement and salaries and fringe benefits (the
policies of the consortium participant may be used as long as they meet NIH
of applicable public policy requirements and provisions indicating the intent
of each consortium participant to comply, including submission of applicable
assurances and certifications (see “Public
Policy Requirements and Objectives”)
the financial conflict of interest requirements of the collaborating
organization or those of the grantee apply
provision addressing ownership and disposition of data produced under the
provision making the NIH data sharing and inventions and patent policy,
including a requirement to report inventions to the grantee (see “Administrative Requirements—Availability of
Research Results: Publications, Intellectual Property Rights, and Sharing
Research Resources”), applicable to each consortium participant and its
employees in order to ensure that the rights of the parties to the consortium
agreement are protected and that the grantee can fulfill its responsibilities
regarding property (other than intellectual property), program income,
publications, reporting, and audit necessary for the grantee to fulfill its
obligations to NIH.
GRANTS TO FOREIGN
ORGANIZATIONS, AND DOMESTIC GRANTS
WITH FOREIGN COMPONENTS
Most of the policies contained in Subpart A of this part
apply to NIH grants made to foreign institutions and international
organizations (hereafter “foreign grants”), including the requirements of
45 CFR Part 74 or 45 CFR Part 92 and the cost principles incorporated
by reference in those regulations. If an applicant/grantee would be unable to
comply with these requirements, the AOO should contact the GMO. Specific
exceptions and modifications of Subpart A requirements for foreign grants, and
highlights of other policies, are set forth in this section. This section also
includes policies that apply to domestic grants with a foreign component.
In general, foreign institutions and international
organizations, including public or private non-profit or for-profit
organizations, are eligible to apply for research project grants. Foreign
institutions and international organizations are not eligible to apply for
Kirschstein-NRSA institutional research training grants, program project
grants, center grants, resource grants, SBIR/STTR grants, or construction
grants. However, some mechanisms, such as program project grants (P01), may
support projects awarded to a domestic institution with a foreign component.
For purposes of this policy, a “foreign component” is defined as performance of
any significant element or segment of the project outside the United States
either by the grantee or by a researcher employed by a foreign institution,
whether or not grant funds are expended. Activities that would meet this
definition include the following:
involvement of human subjects or animals
foreign travel by grantee project staff for the purpose of data collection,
surveying, sampling, and similar activities
activity of the grantee that may involve the population, environment,
resources, or affairs of a foreign country.
Foreign travel exclusively for consultation is not
considered a “foreign component.”
of Scientific Meetings (Conference Grants)” in this subpart for NIH policy
on support of international conferences.
Grants may not be made to individuals in a foreign location
(i.e., outside of the United States and its territorial possessions).
Occasionally, a Kirschstein-NRSA individual fellowship award is made to an
American citizen or a non-citizen national to study in a foreign institution.
(A “non-citizen national” is a person who although not a citizen of the United
States owes permanent allegiance to the United States, such as a resident of
Applications from foreign
institutions or international organizations will be evaluated and scored during
the initial review process using the standard review criteria. In addition, the
following will be assessed as part of the review process and award decision:
the project presents special opportunities for furthering research programs
through the use of unusual talent, resources, populations, or environmental
conditions in other countries that are not readily available in the United
States or that augment existing U.S. resources.
the proposed project has specific relevance to the mission and objectives of
the IC and has the potential for significantly advancing the health sciences in
the United States.
Research grant applications from foreign or international
organizations may not be funded unless approved by the IC National Advisory
Council or Board.
A complete listing of public
policy requirements and objectives and their applicability to foreign grants is
included in “Public Policy
Requirements and Objectives” in Subpart A of this part. Several of the
public policy requirements and objectives are highlighted below:
misconduct. The research misconduct requirements included in “Public Policy Requirements and Objectives—Ethical
and Safe Conduct in Science and Organizational Operations—Research Misconduct”
apply to foreign grants.
welfare. The animal welfare requirements contained in “Public Policy Requirements and Objectives—Animal
Welfare” apply to foreign grants.
subjects. The human subjects requirements contained in “Public Policy Requirements and Objectives—Requirements
Affecting the Rights and Welfare of Individuals as Research Subjects, Patients,
or Recipients of Services—Human Subjects,” including the requirement for an
assurance pursuant to 45 CFR Part 46, apply to foreign grants and foreign
consortium participants under domestic or foreign grants.
in research design. Foreign grants are subject to the requirements for
inclusion of women, members of minority groups, and children in research design
as specified in “Public Policy
Requirements and Objectives—Requirements for Inclusiveness in Research Design.”
rights. None of the civil rights requirements specified in “Public Policy Requirements and Objectives—Civil Rights”
apply to foreign grants.
The requirements of “Public Policy Requirements and
Objectives—Ethical and Safe Conduct in Science and Organizational
Operations—Lobbying,” including disclosure reporting, apply to foreign
Foreign applicants are required to provide a certification of nondelinquency on
debts owed to the United States as specified in “Public Policy Requirements and
Objectives—Ethical and Safe Conduct in Science and Organizational
Operations—Nondelinquency on Federal Debt.”
and suspension. Applicants/grantees that are foreign governments or
governmental entities, public international organizations, or
foreign-government-owned or -controlled (in whole or in part) entities are not
subject to the debarment or suspension certification requirement or to
debarment or suspension under 45 CFR Part 76. All other foreign
institutions and international organizations are subject to these requirements.
workplace. Foreign applicants and grantees may be exempted from the
drug-free workplace requirements of 45 CFR Part 76 based on a documented
finding by the NIH awarding office that application of those requirements is
inconsistent with U.S. international obligations or the laws and regulations of
a foreign government.
The application budget, requests for funds, and financial
reports (see “Reporting and Record Retention”
in this section) must be stated in U.S. dollars. Once an award is made, NIH
will not compensate foreign grantees for currency exchange fluctuations through
the issuance of supplemental awards.
Awards to foreign institutions and international
organizations are not paid through PMS. These grants normally will be paid by
U.S. Treasury check by OFM, NIH on a predetermined quarterly advance basis,
usually in four equal installments. If the amount advanced to an organization
based on the predetermined quarterly advance is insufficient to meet the
grant’s cash requirements, the grantee must make a written request to the GMO
for any additional funds needed. All payments will be in U.S. dollars. Foreign
grantees are strongly encouraged to use U.S. banks to ensure that payments
arrive on time. The funding and payment information outlined in this subsection
applies when the foreign institution is the grantee organization. When a
foreign component participates in a consortium arrangement, the funding and
payment information should be reflected in the formal written agreement.
Any questions regarding payments to foreign grantees may be
addressed to OFM (see Part III for address and telephone and fax
and Unallowable Costs
The costs that are generally
allowable under grants to domestic organizations also are allowable under
foreign grants, with the following exceptions:
Unallowable under foreign grants and domestic grants with foreign components.
and import duties. Unallowable under foreign grants and domestic grants
with foreign components. This includes consular fees, customs surtax,
value-added taxes, and other related charges.
costs. With the exception of American University of Beirut and the World
Health Organization, full F&A costs will not be allowed. However, NIH
provides limited F&A costs (8 percent of total direct costs less equipment)
to foreign institutions and international organizations to support the costs of
compliance with NIH requirements including, but not limited to, protection of
human subjects, animal welfare, and research misconduct. NIH will not support
the acquisition of, or provide for depreciation on, any capital expenditures,
or support the normal, general operations of foreign and international
Foreign grants are included in expanded authorities.
Inclusion in SNAP is at the discretion of the NIH awarding office and will be
specified on the NGA.
A change in the performance site within a foreign country or
performance in a country other than that specified in the approved application
requires NIH awarding office prior approval. The transfer of work by a domestic
grantee to a foreign component also requires awarding office prior approval.
A change of grantee organization that involves the transfer
of a grant to or between foreign institutions or international organizations
requires approval of the NIH awarding office and it’s National Advisory Council
or Board. NIH awarding office approval also is required for the transfer of a
grant from a foreign organization to a domestic organization.
Foreign grantees are subject
to the same audit requirements as for-profit organizations (specified in
45 CFR 74.26(d) and in “Grants
to For-Profit Organizations” in this subpart).
Foreign grantees must submit annual FSRs in U.S. dollars,
whether or not they are under SNAP. This is due to the fact that foreign
grantees are not paid through PMS and, therefore, do not submit the SF 272
(which NIH uses in lieu of the annual FSR for domestic awards under SNAP). The
currency rate in effect at the time the FSR is prepared should be used in
preparing the report.
Record retention requirements are the same as those for
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