NIH Grants Policy Statement
(12/03)
Index A-G -- File 1 of 3
Index
Page references
containing an n refer to footnotes.
A
Abbreviations
list,.......................................................................................................................... 1–5
Abortion
funding restriction.......................................................................................................... 43,
54
Accelerated
expenditures.................................................................................................................. 84
Accessibility
standards, facilities................................................................................................ 40,
148
Activation
Notice (Form PHS 416-5)........................................................................................... 173,
179
Administrative
requirements
changes
in project and budget.............................................................................................. 102–113
closeout
and final reports...................................................................................................... 139–141
conference
grants................................................................................................................ 223–224
construction
grants............................................................................................................... 161–166
enforcement
actions............................................................................................................. 136–139
exempt
property................................................................................................................... 124–125
financial
management system...................................................................................................... 120
grant
appeals procedures...................................................................................................... 141–142
grants
to Federal institutions........................................................................................................ 237
grants
to for-profit organizations............................................................................................. 238–240
management
systems and procedures................................................................................... 120–128
monitoring........................................................................................................................... 128–136
property
management.......................................................................................................... 123–126
procurement
system.............................................................................................................. 126–28
research
results availability................................................................................................... 113–120
SBIR
and STTR programs..................................................................................................... 244–245
Advances
of grant funds, interest earned on......................................................................................... 78
Advertising,
costs.............................................................................................................................. 87
Advisory
Council on Historic Preservation........................................................................................ 146n
Affiliated
organization services, cost considerations............................................................................. 85
Age
Discrimination Act of 1975.................................................................................................... 39,
68
Alcoholic
beverages, costs................................................................................................................. 87
Allocability
test, allowability of costs and............................................................................................ 80
Allowability
of costs.......................................................................................................................... 80
Also see Cost considerations and principles; specific funding
mechanisms
Alteration
and renovation (A&R). Also see Construction grants
costs............................................................................................................................................ 87
definition........................................................................................................................................ 6
prior-approval
requirements.................................................................................... 105,
106, 161–163
public
policy requirements and objectives........................................................................................ 69
Animal
welfare,................................................................................................ 39,
65–66, 185, 207, 229
Animals,
costs.................................................................................................................................. 88
Annual
Payback Activities Certification (Form PHS 6031-1)...................................................... 214–215
Appeals
procedures
adverse
determinations and.................................................................................................. 141–142
initial
scientific review appeals................................................................................................. 28–29
Applicable
credits............................................................................................................................. 85
Application
definition........................................................................................................................................ 6
false,
fictitious, or fraudulent information in............................................................................... 24–25
types
of applications...................................................................................................................... 19
Application
process
application
forms..................................................................................................................... 22–23
application
receipt points and deadlines..................................................................................... 23–24
application
submission.............................................................................................................. 22–25
confidentiality
of information (proprietary information)..................................................................... 25
eligibility............................................................................................................................ 19,
33–35
individual
fellowships..................................................................................................... 170–171,
216
institutional
research training grants....................................................................................... 190,
216
Approved
budget, definition................................................................................................................. 6
Archeological
and Historical Preservation Act of 1960...................................................................... 146
Architectural
Barriers Act of 1968, elimination of barriers to the handicapped and.......................... 40,
148
Assurance
requirements
animals.......................................................................................................................... 65–66,
207
human subjects.................................................................................................................... 59,
205
Audiovisual
activities, costs................................................................................................................ 88
Audit
costs....................................................................................................................................... 88
Audit
requirements................................................................................................................... 134–136
consortium
agreements................................................................................................................ 227
grants
to for-profit organizations........................................................................................... 239–240
grants
to foreign institutions, international organizations, and domestic grants with
foreign components.......................................................................................................... 232
Authorized
organizational official (AOO)
definition........................................................................................................................................ 6
role
and responsibilities.................................................................................................................. 18
Award,
definition................................................................................................................................ 6
Award
instruments, types of.............................................................................................................. 19
Awardee,
usage................................................................................................................................. iii
Awarding
office, definition.................................................................................................................. 6
B
Bad
debts, costs................................................................................................................................ 88
Ban
on human embryo research and cloning............................................................................ 39,
54–55
Bayh-Dole
Act of 1980......................................................................... 113–114,
116–120, 130, 132–133
Also
see
Inventions and patents
Bid
and proposal costs....................................................................................................................... 88
Bonding,
costs.................................................................................................................................. 88
Bonus
funds/incentive payments, costs............................................................................................... 98
Books
and journals, costs................................................................................................................... 88
Budget
changes in............................................................................................................. 102–113,
199, 231
approved budget, definition.............................................................................................................. 6
budget period, definition.................................................................................................................. 6
NGA
and..................................................................................................................................... 76
significant
rebudgeting, definition.................................................................................................... 14
Building
acquisition, costs.................................................................................................................. 89
C
Capital
expenditures
definition........................................................................................................................................ 7
prior-approval
requirements.................................................................................................. 105,
106
Career awards. See K awards
Carryover
of unobligated balances.............................................................................. 103–104,
105, 132
Cash
requests........................................................................................................................ 76,
77–78
CASHLINE/ACH....................................................................................................................... 76,
77
Center.
See Institutes and Centers
Center
for Scientific Review (CSR)
responsibilities.............................................................................................................. 17,
23, 26–27
Certificates
of confidentiality........................................................................................................ 39,
57
Change
of grantee organization................................................................................... 105,
108–110, 231
Changes
in project and budget
about.......................................................................................................................................... 102
expanded
authorities............................................................................................................ 102–104
grants
to foreign institutions, international organizations, and domestic grants with
foreign components................................................................................................... 231–232
individual
fellowships............................................................................................................ 180–181
institutional
research training grants.............................................................................................. 203
prior-approval
requirements.................................................................................................. 105–112
requests
for prior approval.................................................................................................... 112–113
Child
care costs................................................................................................................................ 89
Children
inclusion
as subjects in clinical research........................................................ 41,
67, 184, 206–207, 230
Pro-Children
Act of 1994................................................................................................... 42,
64–65
Citizenship
requirements
general........................................................................................................................................ 34
individual
fellowships............................................................................................................ 168–169
institutional
research training grants....................................................................................... 189–190
Civil
False Claims Act....................................................................................................................... 25
Civil
rights, public policy requirements and objectives.............................................................. 68–69,
230
Civil
Rights Act of 1964............................................................................................................... 39,
68
Clean
Air Act.......................................................................................................................... 147–148
Clean
Water Act..................................................................................................................... 147–148
Clinical
research
definition........................................................................................................................................ 7
inclusion
of children as subjects in.................................................................. 41,
66–67, 184, 206–207
inclusion
of women and minorities as subjects in...................................... 41,
66–67, 183–184, 206, 230
Clinical trials
data and safety monitoring.................................................................................... 39,
62–63, 183, 206
definitions................................................................................................................................. 7,
13
Cloning.
See Human embryo research, cloning, and transplantation
Closeout.................................................................................................................................. 139–141
Co-investigator,
definition.................................................................................................................... 8
Communications,
costs...................................................................................................................... 89
Compensation
Federal employees............................................................................................................... 235–236
general................................................................................................................................... 96–99
students and trainees........................................................................................ 99,
177–178, 199–200
Competing
continuation application (Type 2)....................................................................................... 20
Competing
supplemental application (Type 3)...................................................................................... 20
Competitive
segment, definition............................................................................................................ 8
Computer
Retrieval of Information on Scientific Projects (CRISP).................................................. 30,
69
Concurrent
benefits
individual
fellowships................................................................................................................... 178
institutional
research training grants.............................................................................................. 200
Conference
grants
about.......................................................................................................................................... 219
administrative
requirements.................................................................................................. 223–224
allowable
costs.................................................................................................................... 221–222
application
requirements.............................................................................................................. 220
application
review....................................................................................................................... 220
copyrighting
material................................................................................................................... 223
definitions............................................................................................................................ 219–220
eligibility..................................................................................................................................... 220
facilities
and administrative costs............................................................................................ 83,
231
funding....................................................................................................................................... 221
public
policy requirements and objectives...................................................................................... 220
unallowable
costs................................................................................................................. 222–223
Confidentiality
certificates
of............................................................................................................................... 57
Freedom
of Information Act and......................................................................................... 40,
70–71
individuals'
rights and welfare requirements............................................................................... 57–58
of
information (proprietary information).......................................................................................... 25
of
patient records.................................................................................................................... 39,
57
Privacy
Act of 1974 and.......................................................................................................... 42,
72
Conflict
of interest, financial.............................................................................................. 40,
44–46, 61
Conformance
test, allowability of costs and......................................................................................... 80
Consistency
test, allowability of costs and........................................................................................... 80
Consortium agreements
about.................................................................................................................................. 224–225
administrative and other
requirements................................................................................... 225–227
allowable/unallowable
costs......................................................................................................... 226
approval authorities..................................................................................................................... 226
audit........................................................................................................................................... 227
costs............................................................................................................................................ 89
definition........................................................................................................................................ 8
intellectual
property.............................................................................................................. 118,
228
public
policy requirements and objectives............................................................................... 225–226
personal
property................................................................................................................. 226–227
transfer
of performance to third party by........................................................................ 103,
104, 107
written
agreement................................................................................................................ 227–228
Construction
grants
about.......................................................................................................................................... 144
administrative
requirements.................................................................................................. 161–166
allowable
and unallowable costs and activities........................................................................ 151–154
design
requirements............................................................................................................. 148–151
eligibility..................................................................................................................................... 144
equal
employment opportunity, labor standards, and other requirements.............................. 41,
158–161
funding....................................................................................................................................... 151
matching
costs............................................................................................................................ 151
modernization,
definition.............................................................................................................. 144
prior-approval
requirements......................................................................................................... 161
procurement
requirements for services under........................................................................ 154–158
public
policy requirements and objectives.................................................................... 40,
69, 145–148
review
and approval............................................................................................................. 144–145
Construction
management services, procurement requirements for.............................................. 156–157
Construction.
Also see Construction grants
costs............................................................................................................................................ 89
definition.................................................................................................................................... 144
facilities
and administrative costs and............................................................................................. 83
Consultant,
definition........................................................................................................................... 8
Consultant
services, costs............................................................................................................ 89–90
Contingency
funds, costs................................................................................................................... 90
Contract
under a grant
costs............................................................................................................................................ 89
definition........................................................................................................................................ 8
Contract
Work Hours and Safety Standards Act........................................................................ 159–160
Controlled
substances
individuals'
rights and welfare requirements............................................................................... 39,
58
use
of funds for promotion/legalization...................................................................................... 41,
49
Cooperative
agreements
definition........................................................................................................................................ 8
usage............................................................................................................................................ iii
Copyrights. Also see Publishing
and copyrighting data
general....................................................................................................................................... 114
conference grants and................................................................................................................. 223
individual fellowships................................................................................................................... 182
institutional research training grants and....................................................................................... 205
royalties and licensing fees from............................................................................................ 123
SBIR/STTR grants and............................................................................................................... 245
COR
program.......................................................................................................................... 189,
197
Cost
analysis, in pre-award process.................................................................................................... 35
Cost
considerations and principles
accelerated
expenditures............................................................................................................... 84
affiliated
organization services....................................................................................................... 85
allocation
of costs and closely related work.................................................................................... 84
applicable
credits.......................................................................................................................... 85
conference
grants................................................................................................................ 221–223
consortium
agreements................................................................................................................ 226
construction
grants............................................................................................................... 151–154
cost
principles......................................................................................................................... 79–80
cost
transfers.......................................................................................................................... 83–84
delayed
expenditures..................................................................................................................... 84
determining
allowability of costs..................................................................................................... 80
direct
costs................................................................................................................................... 81
facilities
and administrative costs.............................................................................................. 81–83
grants
to Federal institutions................................................................................................. 233–236
grants
to for-profit organizations................................................................................................... 238
grants
to foreign institutions, international organizations, and domestic grants with
foreign components.......................................................................................................... 231
individual
fellowships............................................................................................................ 174–177
institutional
research training grants....................................................................................... 196–199
pre-award
costs............................................................................................................................ 94
research
patient care........................................................................................................... 247–250
SBIR
and STTR programs................................................................................................... 243–244
selected
items of cost (table).................................................................................................. 87–101
Cost
overruns
about........................................................................................................................................... 84
definition........................................................................................................................................ 8
Cost transfers............................................................................................................................. 83–84
Cost
Principles for Commercial Organizations (48 CFR Subpart 31.2).................................................. 79
Cost
Principles for Educational Institutions (OMB Circular A-21)........................................................ 79
Cost
Principles for Non-Profit Institutions (OMB Circular A-122)........................................................ 79
Cost
Principles for State and Local Governments and Indian Tribal Governments
(OMB Circular A-87)............................................................................................................. 79
Cost-related
prior approvals...................................................................................................... 103,
104
Cost
sharing. See Matching or cost sharing
Criminal
False Claims Act................................................................................................................. 25
Customs
and import duties, costs........................................................................................................ 90
D
Data.
See Publishing and copyrighting data; Research data and results
Data
and safety monitoring requirements................................................................... 39,
62–63, 183, 206
Deadlines.
See Application process
Debarment
and suspension....................................................................................... 39,
46–47, 138, 230
Also
see Suspension
Debt
collection
enforcement
actions............................................................................................................. 138–139
nondelinquency
on Federal debt................................................................................... 42,
52–53, 230
Degree requirements
individual fellowships................................................................................................................... 168
institutional
research training grants.............................................................................................. 187
Delayed expenditures........................................................................................................................ 84
Depreciation
or use allowances.......................................................................................................... 90
Design-build
services, procurement requirements for......................................................................... 158
Design
requirements for NIH-assisted construction.................................................................... 148–151
Direct
costs, definition................................................................................................................... 8,
81
Domestic
conference, definition....................................................................................................... 220
Domestic
organization
definition........................................................................................................................................ 8
prior-approval
requirements for foreign component added to grant........................................... 105,
111
Donor
costs...................................................................................................................................... 90
Drug-free
workplace............................................................................................................ 40,
47, 230
Drugs,
costs..................................................................................................................................... 90
Dues
or membership fees.................................................................................................................. 91
E
Earthquake
Hazards Reduction Act of 1977...................................................................................... 149
Education
Amendments of 1972, Title IX...................................................................................... 40,
68
Education
in the protection of human research participants.................................................................. 61
Educational
institutions, cost principles for........................................................................................... 79
Educational loans or GI
bill
individual fellowships................................................................................................................... 178
institutional
research training grants.............................................................................................. 200
Eligibility................................................................................................................................ 19,
33–35
conference
grants....................................................................................................................... 220
construction
grants...................................................................................................................... 144
grants
to Federal institutions................................................................................................. 232–233
grants
to for-profit organizations................................................................................................... 238
grants
to foreign institutions, international organizations, and domestic grants with
foreign
components.............................................................................................................. 228–229
individual
fellowships............................................................................................................ 167–168
institutional
research training grants....................................................................................... 185–186
SBIR
and STTR.................................................................................................................. 241–243
Enforcement
actions
about.......................................................................................................................................... 136
debt
collection..................................................................................................................... 138–139
modification
of award terms........................................................................................................ 136
recovery
of funds........................................................................................................................ 138
suspension
and termination,
withholding
of support.......................................................................................................... 137,
138
Entertainment
costs........................................................................................................................... 91
Environmental
impact requirements.................................................................................................... 69
construction
grants and................................................................................................... 42,
145–146
Equal
employment opportunity requirements, construction grants................................................. 158–159
Equipment.
Also see Supplies
accountability
in grants to Federal institutions................................................................................ 237
allowable
costs............................................................................................................................. 91
definition........................................................................................................................................ 9
management
standards and procedures................................................................................. 124–126
sale
of........................................................................................................................................ 122
Exempt
property, administrative requirements............................................................................ 124–125
Expanded
authorities
about.................................................................................................................................. 102–103
carryover
of unobligated balances......................................................................................... 103–104
cost-related
prior approvals................................................................................................... 103,
104
definition........................................................................................................................................ 9
extension
of final budget period............................................................................................. 103,
104
transfer
of performance to third party by consortium agreement.............................................. 103,
104
Expenditures
accelerated
and delayed................................................................................................................ 84
financial
reports..................................................................................................... 131–132,
139–140
unobligated
balances and actual expenditures reporting.................................................................. 132
Extensions
expanded
authority, of final budget period without additional NIH funding................................ 103,
104
of
payback................................................................................................................................. 213
prior-approval,
additional NIH funding with extension...................................................... 105,
106, 112
prior-approval,
additional NIH funding without extension......................................................... 105,
112
F
Facilities
acquisition, alteration and renovation, and construction. See Alteration
and renovation; Building acquisition; Construction; Construction grants
Facilities
and administrative costs. Also see Indirect costs
construction
definition................................................................................................................................... 9,
81
conference
grants.................................................................................................................. 83,
222
construction
grants................................................................................................................. 83,
154
Federal
institutions................................................................................................................. 83,
234
foreign
and international organizations..................................................................................... 83,
231
for-profit
organizations................................................................................................................ 238
individual
fellowships..................................................................................................................... 83
individuals,
grants to...................................................................................................................... 83
institutional
research training grants......................................................................................... 83,
199
career
awards.............................................................................................................................. 83
reimbursement........................................................................................................................ 82–83
research
patient care........................................................................................................... 248–249
SBIR
and STTR programs.......................................................................................................... 244
Federal
Demonstration Partnership, definition....................................................................................... 9
Federal
employees
payments
to/on behalf of................................................................................................. 91,
232–237
Federal
funding. See Funding
Federal
institution, definition................................................................................................................. 9
Fee
definition........................................................................................................................................ 9
general......................................................................................................................................... 86
grants
to for-profit organizations................................................................................................... 238
SBIR
and STTR.................................................................................................................. 243–244
Fellowships.
See Individual fellowships; Ruth L. Kirschstein National Research
Service Awards
Final
Invention Statement and Certification....................................................................................... 141
Financial
assistance, definition............................................................................................................. 9
Financial
conflict of interest............................................................................................... 40,
44–46, 61
Financial
Management, Office of (OFM)................................... 77, 129, 132,
136, 174, 175, 230–231, 233
Financial
management system standards........................................................................................... 121
Financial
reporting..................................................................................................... 131–132,
139–140
conference
grants....................................................................................................................... 224
foreign
institutions....................................................................................................................... 232
individual
fellowships................................................................................................................... 180
institutional
research training grants.............................................................................................. 203
Fines
and penalties............................................................................................................................ 91
Flood
Disaster Protection Act of 1973, flood insurance and........................................................... 40,
146
For-profit
organization, definition........................................................................................................ 10
Also see Grants to for-profit organizations
Foreign
component, definition....................................................................................................... 9,
228
Foreign institution,
definition............................................................................................................... 10
Also see Grants to foreign institutions, international
organizations, and domestic grants with foreign components
Foreign
sponsorship/training abroad, individual fellowships.................................................................. 169
Freedom
of Information Act (FOIA)....................................................................................... 40,
70–71
Fringe
benefits, costs......................................................................................................................... 91
Full-time
and part-time training, individual fellowships................................................................. 172–173
Full-time
appointment, definition......................................................................................................... 10
Funding
availability
of information about...................................................................................................... 69
conference
grants....................................................................................................................... 221
construction
grants...................................................................................................................... 151
grants
to foreign institutions, international organizations, and domestic grants with
foreign components 230–231
NGA
and................................................................................................................................ 74–75
prior-approval
requirements........................................................................................... 105,
106, 112
Funding
opportunities, types of...................................................................................................... 20–22
Funding
principles............................................................................................................................. 33
Fundraising
costs.............................................................................................................................. 91
G
GI
Bill. See Educational loans or GI bill
Glossary
abbreviations.............................................................................................................................. 1–5
definitions................................................................................................................................. 6–15
Goods
and services procurement
requirements
under construction grants................................................................................. 154–158
system
standards and requirements....................................................................................... 126–128
Governments.
See State, local, and Indian tribal governments
Grant
appeals procedures......................................................................................................... 141–142
Grant-supported
project or activity, definition...................................................................................... 10
Grantee
definition...................................................................................................................................... 10
staff
responsibilities................................................................................................................. 18–19
usage............................................................................................................................................ iii
Grant
definition...................................................................................................................................... 10
usage............................................................................................................................................ iii
Grants
Management Officer (GMO)
definition...................................................................................................................................... 10
role
and responsibilities.................................................................................................................. 17
Grants
Management Specialist (GMS)
definition...................................................................................................................................... 10
role
and responsibilities.................................................................................................................. 17
Grants
to Federal institutions
administrative
requirements......................................................................................................... 237
allowable/unallowable
costs.................................................................................................. 233–236
eligibility.............................................................................................................................. 232–233
equipment
accountability.............................................................................................................. 237
facilities
and administrative costs................................................................................................... 83
intellectual
property..................................................................................................................... 237
payment..................................................................................................................................... 233
procurement
requirements........................................................................................................... 237
reporting
requirements................................................................................................................. 237
VA-university
affiliations............................................................................................................. 233
Grants
to for-profit organizations
about......................................................................................................................................... 237
administrative
requirements.................................................................................................. 238–240
allowable/unallowable
costs......................................................................................................... 238
audit
requirements............................................................................................................... 239–240
eligibility..................................................................................................................................... 238
intellectual
property requirements.......................................................................................... 238–239
operating
authorities.................................................................................................................... 239
profit
or fee under....................................................................................................................... 238
program
income.......................................................................................................................... 239
SBIR
and STTR programs................................................................................................... 240–245
Grants
to foreign institutions, international organizations, and domestic grants with
foreign components
about.......................................................................................................................................... 228
administrative
requirements.................................................................................................. 231–232
allowable/unallowable
costs......................................................................................................... 231
application
review....................................................................................................................... 229
audit
requirements....................................................................................................................... 232
changes
in project and budget............................................................................................... 231–232
eligibility.............................................................................................................................. 228–229
facilities
and administrative costs................................................................................................... 83
funding
and payment............................................................................................................ 230–231
public
policy and requirements and objectives........................................................................ 229–230
reporting
and record retention...................................................................................................... 232
Grants
to individuals
facilities and administrative costs and............................................................................................. 83
eligibility....................................................................................................................................... 19
operating authorities...................................................................................................... 102,
103, 130
Grants.gov........................................................................................................................................ 30
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