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SUPPORT OF SCIENTIFIC
MEETINGS (CONFERENCE GRANTS)
General
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. Some ICs do not provide conference support.
For those that do, the preaward process and budget guidelines
may vary. For example, some ICs require submission of a letter
of intent prior to submission of the application. Therefore,
potential applicants are encouraged to contact the funding IC
for specific information as well as to ensure compliance with
presubmission requirements. All applications for conference support
must be submitted at least 6 months prior to the scheduled start
of the conference. Furthermore, awards must be issued prior to
the start date of the conference.
Applicability
This section applies to domestic and international conferences.
Some of the following policies differ from the coverage in Part
II of this policy statement, while others are in addition to that
coverage. The following subsections will indicate how they relate
to Part II. If an area is not addressed in this section, the
Part II coverage applies; e.g., program income.
Questions concerning the allowability of conference activity under
research grants should be directed to the IC GMO.
Definitions
Scientific Meeting (Conference): A gathering, symposium,
seminar, workshop, or any other organized, formal event where
persons 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 U.S. or Canada. The meeting may be held in any
country, including the U.S.
Domestic Conference: A scientific meeting held in the U.S.
or Canada primarily for U.S. or U.S.-Canadian participation (even
if foreign speakers are invited).
Eligibility
Any domestic organization eligible to receive grants from NIH,
including scientific or professional societies, is eligible for
a conference grant. 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.
In exceptional cases, when there is no U.S. representative organization,
a grant to support a specific aspect of an international conference
may be awarded directly to a foreign institution or international
organization. An individual is not eligible to receive a grant
in support of a conference.
Application
The PHS-398 is to be completed by an organization seeking NIH
conference support. Supplemental instructions are available in
the NIH Guide for Grants and Contracts notice on support
of scientific meetings (Vol. 26, No. 15, May 9, 1997).
Public Policy Requirements and
Objectives
In addition to any applicable public policy requirements and objectives
specified in Part II, conference grant applicants must comply
with the "Guidelines on the Inclusion of Women, Minorities,
and Persons with Disabilities in NIH-Sponsored and/or-Supported
Intramural and Extramural Meetings and Conferences" (available
through the NIH/OER Home Page at
http://grants.nih.gov/grants/oer.htm).
Appropriate representation of women, individuals who are members
of racial/ethnic minority groups, persons 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 that 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 regarding its compliance.
Review
Applications will be reviewed for programmatic relevance and for
merit using the following criteria:
- The need for, and timeliness of, the conference;
- Its format and agenda;
- Qualifications of the organizers and proposed participants;
- Past performance, where applicable;
- Appropriateness of the meeting site;
- Plans for the appropriate involvement of women, individuals
who are members of racial/ethnic minority groups, and persons
with disabilities, in the planning and implementation of the proposed
conference (see" Public Policy Requirements and
Objectives" in this section); and
- Appropriateness of the proposed budget, in accordance with
IC guidelines.
Depending on IC policy, applications for conference grants may
also be reviewed by the IC's National Advisory Council or Board.
Funding
Grants or cooperative agreements may be used to provide conference
support. A cooperative agreement may be awarded if the IC determines
that it needs to have substantial involvement in the planning
and conduct of a conference. 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 5 years in total
and will be funded annually. Continued funding beyond the first
year will be contingent on a satisfactory progress report submitted
as part of a streamlined noncompeting award process. A shift
in conference focus after the first year requires IC prior approval.
Allowability of Costs/Activities
The following specifies the types of costs that are generally
allowable under conference grants. Although some of these reiterate
coverage in Part II of this policy statement, no costs other
than those specified below are allowable under conference grants.
The following also highlights certain unallowable costs.
General Support: Grant funds may not be used to provide
general support for international conferences held in the U.S.
or Canada. In those cases, grant funds may be awarded to support
only specific aspects of a conference. An example would be a
selected symposium, panel, or workshop, including the costs of
planning and travel of U.S. participants.
Alterations and Renovations: Grant funds may not be used
to support A&R of any kind.
Conference Services: Grant funds may be used for necessary
recording of proceedings, simultaneous translation, etc., and
subsequent transcriptions.
Consultant Services: Grant funds may be used to pay consultant
fees, including travel and supporting costs (per diem or, where
applicable, subsistence).
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. (Also
see"Meals" immediately below.)
Equipment: Grant funds may be used for the rental of necessary
equipment but may not be used for the purchase of equipment.
Facilities and Administrative Costs: F&A costs will
not be allowed on grants in support of conferences.
Federal Employees: See "Grants to Federal
Institutions
and Payments to (or on Behalf of) Federal Employees under Grants"
in this Part.
Honoraria: Honoraria or other payments given for the purpose
of conferring distinction or to symbolize respect, esteem, or
administration may not be paid from grant funds. However, speakers
fees for services rendered are allowable.
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"
immediately below.
Membership Dues: Not allowable.
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, these costs are considered to cover special
plates, charts, diagrams, printing, distribution, mailing, postage,
and general handling, unless otherwise specified at the time the
grant is awarded.
Registration Fees: Registration fees, when paid by the
grantee to other organizations on behalf of attendees, may be
paid from grant funds, provided such fees cover only those allowable
costs properly chargeable to the grant.
Research Patient Care: Not allowable.
Salaries: In accordance with the policy of the grantee
organization, grant funds may be used for salaries, in whole or
in part, of professional personnel, clerical assistants, editorial
assistants, and other nonprofessional staff in proportion to the
time or effort spent directly related to the conference.
Supplies: Grant funds may be used for the purchase of
supplies for the conference, provided the supplies are received
and used during the budget period
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 funds.
Any U.S. foreign travel restrictions that are in effect at the
time of the award will be followed, such as:
- Limitations or restrictions on countries to which travel will
be supported.
- Budgetary 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. 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.
Grant funds may not be used to pay per diem or expenses other
than local mileage for local participants in the conference.
Costs associated with obtaining visas and passports are not allowable
charges to the grant.
Administrative Requirements
INTELLECTUAL PROPERTY: PUBLICATIONS AND COPYRIGHT
If the grantee organization wishes to publish material for which
support has been provided 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 Financial Status Report (see
"Reporting
and Record Retention" in this section).
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 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.
REPORTING AND RECORD RETENTION
Grantees are responsible for submitting the following reports
to the IC upon completion or termination of a grant in support
of a conference:
Progress Report
For single conferences, a final report of the conference must
be submitted to the awarding IC within 90 days after the conference.
The report should include the following:
- Grant number;
- Title, date, and place of the conference;
- Name of the person shown on the application as the conference
director, principal investigator, or program director;
- Name of the organization that conducted the conference;
- A list of the individuals, and their institutional affiliations,
who participated as speakers or discussants in the formally planned
sessions of the meeting; and
- A summary of topics discussed/conclusions.
With the approval of the IC, copies of proceedings or publications
resulting from the conference(s) may be substituted for the final
report, provided that they contain the information specified above.
Expenditure Report
A Financial Status Report is required from the grantee within
90 days after the completion of the project period. Records
of expenditures must be maintained in accordance with the provisions
of 45 CFR 74.53 or 92.42 (see
"Administrative Requirements Monitoring
Record
Retention and Access").
CONSORTIUM AGREEMENTS
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 this policy
statement. 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. In general, the requirements that apply to the grantee
also apply to the consortium participant(s) with the exceptions
noted below. Recipients of Small Business Technology Transfer
(STTR) grants should follow the specific requirements for research
collaboration established for that program (see
" Grants to
For-Profit Organizations").
General
Under consortium agreements:
- The 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.
- The 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 or objectives of the
approved project (see "
Administrative Requirements
Changes
in Project and Budget" in Part II).
Whether proposed at the application stage or subsequent to award,
the following information must be provided to NIH for review and
approval:
- A list of all proposed performance sites both at the applicant/grantee
organization and at the consortium participant(s);
- Complete application budget pages (for the first year and
each future year of support requested) for each consortium participant;
and
- The following statement, accompanied by the signatures of
the authorized institutional officials (or equivalent) of the
applicant and consortium participants:
"The 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-institutional agreement(s) consistent
with that policy."
NIH may request additional information prior to award and may
place a special condition(s) on the award.
Administrative and Other Requirements
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
below.
PUPLIC POLICY REQUIREMENTS AND OBJECTIVES
The grantee is responsible for determining whether a consortium
participant 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" in
Part II for the full statement of these requirements and their
applicability to consortium participants.
APPLICATION OF COST PRINCIPLES
The cost policies that apply to research grants as described in
the "Cost Considerations" and "Allowability of
Costs/Activities" sections of Part II apply, in general,
to consortium agreements.
APPROVAL AUTHORITIES
The grantee is responsible for obtaining NIH approval for any
actions to be undertaken by consortium participants that require
NIH 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.
TANGIBLE PERSONAL PROPERTY
Exempt Property
If the grantee provides exempt property 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 or may reserve the right to do so at a
later time. The grantee may also establish its own disposition
and accountability requirements, provided they are consistent
with the transfer rights of NIH (see
"Administrative
Requirements Management
Systems and Procedures Property Management
System Standards
Equipment and Supplies").
Nonexempt Property
If the grantee provides nonexempt property 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 74 or 92, as appropriate.
INTELLECTUAL PROPERTY
See "Administrative Requirements
Availability of Research
Results: Publications and Intellectual Property Rights, Including
Unique Research Resources," and 37 CFR 401 for policies governing
consortium agreements and the rights of grantees and consortium
participants.
PROGRAM INCOME
Consortium participants are expected to comply with NIH requirements
for program income reporting and disposition, consistent with
the terms of the grant award from NIH.
AUDIT
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 may be a direct NIH grantee
or contractor or may be receiving funds only under the consortium.
Regardless, if a consortium participant meets the OMB Circular
A-133 threshold criterion of expenditures exceeding $300,000 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 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).
Written Agreement
The grantee must enter into a formal written agreement with consortium
participant that includes 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:
- Identification of the PI and individuals responsible for the
research activity at each consortium participant along with their
roles and responsibilities;
- Procedures for directing and monitoring the research effort;
- Procedures 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;
- If 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 requirements;
- Incorporation of those generally applicable requirements included
in Part II of this policy statement and provisions indicating
the intent of each consortium participant to comply, including
submission of applicable assurances (see
"Public Policy Requirements
and Objectives").
- A provision addressing ownership and disposition of data produced
under the consortium agreement;
- A provision making the inventions and patent policy (see
"Administrative
Requirements
Availability of Research Results: Publications and
Intellectual Property Rights, Including Unique 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
to NIH. The grantee should also obtain appropriate patent agreements
from all persons who perform any part of the work under the grant
and may be reasonably expected to make inventions, and agreements
to govern disposition of rights to inventions resulting from screening
compounds synthesized under the grant; and
- As appropriate, provisions regarding property, program income,
publications, reporting, and audit necessary for the grantee to
fulfill its obligations to NIH.
AWARDS TO FOREIGN INSTITUTIONS,
INTERNATIONAL ORGANIZATIONS, AND DOMESTIC GRANTS WITH SUBSTANTIAL
FOREIGN COMPONENTS
General
Most of the policies contained in Part II of this policy statement
apply to NIH grants made to foreign institutions and international
organizations (hereafter "foreign grants"), including
the requirements of 45 CFR Part 74 or 92 and the cost principles.
If an applicant/grantee would be unable to comply with these
requirements, the authorized organizational official should contact
the GMO. Specific exceptions and modifications of requirements
for foreign grants, as well as certain highlighted policies, are
set forth below. This section also includes policies that apply
to domestic grants with a substantial foreign component. It does
not apply to agreements under the U.S. Special Foreign Currency
Program.
Eligibility
In general, foreign institutions and international organizations,
including public or private non-profit or for-profit organizations,
are eligible to receive research project grants. Foreign institutions
and international organizations are not eligible to receive Institutional
National Research Service Awards, program project grants, center
grants, resource grants, SBIR/STTR grants, or construction grants.
However, some mechanisms, such as research project grants (R01s),
may support projects awarded to a domestic institution with a
substantial foreign component. For purposes of this policy, a
"substantial foreign component" is defined as performance
of any significant element or segment of the project outside the
U.S. 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 involvement of human subjects/or animals.
- Extensive foreign travel by grantee project staff for the
purpose of data collection, surveying, sampling, and similar activities.
- Any activity that may impact on U.S. foreign policy through
the involvement of grantee project staff in the affairs or environment
of the foreign country.
Foreign travel for consultation is not considered a "substantial
foreign component."
See "Support
of Scientific Meetings (Conference Grants)"
in this Part for NIH policy on support of international conferences.
Grants may not be made to individuals in a foreign location (i.e.,
outside of the U.S. and its territorial possessions). Occasionally,
a 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 U.S.
owes permanent allegiance to the U.S., such as a resident of American
Samoa.)
Review
Applications from foreign institutions 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:
- Whether 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 U.S. or that augment existing
U.S. resources.
- Whether the proposed project has specific relevance to the
mission and objectives of the awarding IC and has the potential
for significantly advancing the health sciences in the U.S.
Research grant applications from foreign or international organizations
may not be funded unless approved by the IC Advisory Council/Board.
Public Policy Requirements and
Objectives
Several of the public policy requirements and objectives are highlighted
below. A complete listing of public policy requirements and objectives
and their applicability to foreign grants is contained in
Table
2 in Part II.
Misconduct in Science. This public policy requirement,
including its requirement for an assurance, applies to foreign
grants.
Animal Welfare. The animal welfare requirements contained
in "Public Policy Requirements and Objectives
Animal Welfare"
apply to foreign grants.
Human 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 of Compliance pursuant
to 45 CFR part 46, apply to foreign grants. Foreign grantee organizations
and foreign consortium participants under domestic or foreign
grants must submit an Assurance of Compliance if human subjects
are involved.
Inclusiveness in Research Design. Foreign grants are subject
to the requirements for inclusion of both genders, members of
minority groups, and children in research design as specified
in "
Public Policy Requirements and Objectives
Requirements
for Inclusiveness in Research Design".
Civil Rights. None of the civil rights requirements specified
in "Public Policy Requirements and Objectives
Civil Rights"
apply to foreign grants.
Lobbying. The requirements of "Public Policy Requirements
and Objectives Ethical and Safe Conduct in Science and
Organizational
Operations
Lobbying", including disclosure
reporting, apply to foreign grants.
Debt. Foreign applicants are required to provide a certification
of non-delinquency 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".
Debarment 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 required to submit the certification
concerning suspension or debarment and are not subject to suspension
or debarment under 45 CFR Part 76. All other foreign institutions
and international organizations are subject to these requirements.
Drug-Free Workplace. Foreign applicants/grantees may be
exempted from the drug-free workplace requirements of 45 CFR Part
76 based on a documented finding by the Director, NIH, or designee
that application of those requirements is inconsistent with U.S.
international obligations or the laws and regulations of a foreign
government.
Funding and Payment
The initial project period and any subsequent competitive segment
may not be authorized for more than 5 years each.
The application budget, requests for funds, and financial reports
(see "Reporting and Record Retention"
in this section)
shall 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 the HHS Payment Management System (PMS).
These grants will normally be paid by U.S. Treasury check by
the NIH Office of Financial Management (OFM) 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 IC 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.
Any questions regarding payments to foreign grantees may be addressed
to OFM (see Part IV for address and telephone and
fax numbers).
Allowability of Costs/Activities
The costs that are generally allowable under grants to domestic
organizations are also allowable under foreign grants, with the
following exceptions:
Alterations and Renovations: Unallowable.
Customs and Import Duties: Unallowable. This includes
consular fees, customs surtax, value-added taxes, and other related
charges.
Facilities and Administrative (F&A) Costs: With the
exception of the American University, Beirut, and the World Health
Organization, F&A costs will not be paid (either directly,
under a consortium agreement, or through a contract under a grant)
to an organization located outside the territorial limits of the
U.S. or an international organization regardless of location.
Administrative Requirements
CHANGES IN PROJECT AND BUDGET
Foreign grants are included in expanded authorities. Inclusion
in the Streamlined Noncompeting Award Process (SNAP) is at the
discretion of the IC and will be specified on the NGA.
Change in Scope or Objectives
A change in the performance site within a foreign country or performance
in a country other than that specified in the approved application
is considered a change in project scope or objectives and requires
NIH prior approval. The proposed addition or elimination of a
substantial foreign component under a grant to a domestic institution
is considered a change in scope or objectives requiring NIH prior
approval.
Change of Grantee Organization
A change of grantee that involves the transfer of a grant to or
between foreign institutions or international organizations requires
competitive review and approval of the IC Advisory Council/Board.
Transfer of a grant from a foreign organization to a domestic
organization requires the approval of the GMO.
AUDIT
Foreign grantees have the same options (specified in 45 CFR 74.26(d)
and in "Grants to For-Profit
Organizations" in this
Part) as for-profit organizations concerning audit.
REPORTING AND RECORD RETENTION
Foreign grantees must submit annual FSRs (SF-269)
in U.S. dollars. The currency rate in existence at the time the
FSR is prepared should be used in preparing the report. Record
retention requirements are the same as those for domestic grantees.
GRANTS TO FEDERAL INSTITUTIONS
AND PAYMENTS TO (OR ON BEHALF OF) FEDERAL EMPLOYEES UNDER GRANTS
General
NIH may award grants to Federal entities. Although the activity
under these grants will take place in a research environment,
certain terms and conditions vary from those included in Part
II of this policy statement due to the recipient's status as a
Federal institution. This section specifies those differences
as well as differences in treatment among different Federal institutions.
In addition, this section addresses the policies that apply to
payments to (or on behalf of) Federal employees under grants,
including grants awarded to organizations other than Federal institutions.
Eligibility
Federal institutions are, in general, eligible to receive NIH
grants, including research project grants and training grants.
Federal institutions must also meet the eligibility requirements
of the grant program from which support is sought. PHS organizational
segments, other than PHS hospitals, may receive NIH grant support
under exceptional circumstances only. Such circumstances may
include situations where a project cannot be supported within
the mission of the applicant PHS agency or organizational segment,
the activity cannot be performed elsewhere, its non-pursuit would
have an adverse or potentially important impact on the NIH mission,
and a grant is determined to be the appropriate means of carrying
out the activity. However, NIH may not award a grant to an NIH
component.
Although the performance site may be at a level lower than the
agency or department level of the Federal institution, when an
award is made to an eligible Federal institution, the Federal
agency or department will be the designated grantee and must assume
responsibility for the project. A Federal institution must also
ensure that its own authorizing legislation will allow it to receive
NIH grants and to be able to comply with the award terms and conditions.
A document certifying both the assumption of responsibility and
authority to receive a grant must accompany each new and competing
continuation application. The certification must be signed by
the head of the responsible Federal department or independent
agency or a designee who reports directly to the department or
agency head. (In the case of the Department of Defense, the Departments
of the Army, Navy, and Air Force shall be considered the Federal
department; and their Secretaries, the responsible Department
head.) This certification is in addition to any certifications
that are made by the authorized institutional official's signature
on the face page of the application. The certification requirement
does not apply to Department of Veterans Affairs' Medical Centers
(VAMC), Bureau of Prisons' (Department of Justice) hospitals,
PHS hospitals (including Indian Health Service hospitals), or
other PHS organizational segments.
Investigators with joint appointments at the Department of Veterans
Affairs (VA) and an affiliated university must have a memorandum
of understanding (MOU) that specifies the title of the PI's appointment,
the responsibilities (at both the university and the VA) of the
proposed PI, and the percentage of effort available for research.
The MOU must be signed by the appropriate officials of the grantee
organization and the VAMC and must be updated at least annually.
Under this model, there is no involvement of a VA-affiliated
non-profit research corporation (VANPC). The joint VA/university
appointment of the investigator constitutes 100 percent of his
or her total professional responsibilities.
Payment
Under NIH grants, the Department of Defense will normally be paid
by U.S. Treasury check after submission of the appropriate interagency
form to the Office of Financial Management, NIH. Payments to
all other Federal departments and agencies will generally be accomplished
by transfers of funds between appropriations.
Allowability of Costs/Activities
The allowability of costs under grants to Federal institutions
shall be determined by the established policies of the institution
consistently applied to both its own activities and to grant-supported
activities and the following. In the absence of a governing institutional
policy, the cost principles for State, local, and Indian tribal
governments (OMB Circular A-87) will apply.
Salaries: See "Federal (U.S. Government)
Employees"
immediately below.
Institutional Allowances under Fellowships: Institutional
allowances may be requested by Federal institutions sponsoring
a predoctoral or postdoctoral fellow unless otherwise restricted
by law or regulation.
Facilities and Administrative Costs: F&A costs will
not be provided to Federal institutions.
Federal (U.S. Government) Employees: Whether or
not costs
will be charged to the grant, when a Federal employee will be
involved in an NIH grant-supported activity in any capacity other
than as an employee working on a grant to a Federal institution,
an outpatient, or a study subject, special conditions apply as
provided in this subsection. The limitations in this subsection
do not apply to individuals that are part-time Federal employees
because of service on advisory groups or a formal consulting arrangement
with a Federal agency. (See the HHS Standards of Conduct at 45
CFR 73, Subpart J for additional guidance.)
The following four specified types of costs are the only ones
that can be charged to NIH grants on behalf of Federal employees,
and only under the conditions specified. Applicants/recipients
should advise any Federal employees with whom these types of arrangements
may be made to consult with their employing agency concerning
their ability to meet the required conditions. The applicant
organization must submit, as part of the grant application, any
letters or documentation specified below, and that documentation
must be deemed acceptable by the awarding office GMO prior to
the Federal employee's involvement in the project.
Consultant fees are allowable only for medical personnel
of the Uniformed Services of the United States (excluding PHS
Commissioned Officers) and when all of the following conditions
are present:
- The employees are providing the kind and extent of medical
services approved in the grant award;
- Adequate numbers of qualified civilian personnel are not available
to provide these services, and eligible Federal medical personnel
are hired only in addition to those qualified civilian medical
personnel, if any, who are available; and
- The applicant organization provides prior written authorization
from the proposed consultant's commanding officer that he or she
is authorized to work on the grant-supported activity during non-duty
hours or while on authorized leave, and can be paid for his or
her efforts.
Outpatient or subject costs are allowable when the employee
is an outpatient or subject under study in connection with grant-supported
activities.
Salary or Fringe Benefits
Except as provided below, under a grant to a Federal institution,
no salary or fringe benefit payments may be made from NIH grant
funds to career, career-conditional, or other Federal employees
(civilian or uniformed services) with permanent appointments provided
for under existing position ceilings of a given Federal component.
While the level of effort required for the research project must
be allowed by the employing agency as part of the individuals'
official duties, under a grant to a Federal institution, salary
costs associated with an individual participating in an official
capacity as a Federal employee are not allowable costs under the
NIH grant. Payments to temporary employees specifically hired
to assist in the performance of an NIH grant are allowable.
Under grants to VANPCs, if the PI is a part-time VA employee,
NIH grant funds may be used to pay the differential between the
individual's VA part-time salary and the salary level for a full-time
VANPC commitment, in accordance with the established policies
and salary structure of the VANPC.
Salary payments may be made from NIH grant funds to career, career-conditional,
or other Federal employees (civilian or uniformed services) with
permanent appointments provided under existing position ceilings
of a Federal component only if prior approval is obtained from
an authorized official of the employee's agency and the employee
is:
1. A PHS Commissioned Officer or a civil service employee carrying
out duties for which specific legislative authorization exists
permitting direct Federal assistance in lieu of cash under the
grant or where the Government is reimbursed for services rendered
subject to restrictions applicable to such personnel, including
the applicable Federal standards of conduct (for HHS, 45 CFR Part
73).
2. A PHS Commissioned Officer on leave-without-pay (LWOP) if
a. The grantee has obtained written prior approval from the NIH
awarding office;
b. The total amount of salary paid from NIH grant funds is proportional
to the time devoted to the project and does not exceed the total
annual amount of pay and allowances the individual would have
received if not in LWOP status; and
c. The parties concerned have made a prior determination that
there is no possibility of dual compensation and there is no actual
or apparent conflict of interest other violations of the applicable
standards of conduct.
3. A civil service employee participating in a grant to a non-Federal
organization and the following conditions are met:
a. The individual is participating as part of an approved Intergovernmental
Personnel Act (IPA) assignment in a role other than as PI. IPA
assignments generally do not exceed 2 years and may not exceed
4 years of continuous duration (5 U.S.C. 3372). Based on this
statutory time limitation, the involvement of the civil service
employee should be limited in scope. Therefore, the proposed
PI and other key personnel, as determined by the NIH awarding
office, are not permitted to participate in NIH grant activities
while serving under an IPA.
b. Prior to making any payment from NIH grant funds to such an
employee, the grantee must certify that the employee(s) is on
an IPA assignment and must provide adequate documentation, as
determined by NIH, of the IPA assignment and information about
its nature and duration.
c. The level of effort required for the research project must
be allowed by the employing agency as part of the individuals'
official duties. Salary payments from NIH grant funds must be
proportional to the time an individual devotes to the grant-supported
project. The total salary support may not exceed the normal level
of compensation of Federal salary if the individual was not participating
in the grant.
d. The parties concerned have made a prior determination that
there is no possibility of dual compensation and no actual or
apparent conflict of interest or other violation of the applicable
standards of conduct.
Travel costs are allowable if the employee is:
- Working under a grant to a Federal institution;
- Performing allowable reimbursable services as specified under
1., 2. or 3. immediately above; or
- Attending an NIH grant-supported conference during non-duty
hours; while in a pre-existing LWOP status or one that continues
beyond the conference; or on detail to a State or local government,
educational institution, or other non-profit organization, provided
such payments are made in accordance with established institutional
policy, consistently applied regardless of the source of funds,
and the parties concerned have taken reasonable steps to ensure
that there is no actual or apparent conflict of interest.
Administrative Requirements
EQUIPMENT ACCOUNTABILITY
NIH will consider all property acquired under a grant awarded
to a Federal institution as exempt (see 45 CFR 74.33) for purposes
of determining the accountability requirements of 45 CFR 74.34.
However, for items of equipment having a unit acquisition cost
of $5,000 or more, NIH has the right to require transfer of the
equipment, including title, to NIH or to an eligible third party
named by the IC under the conditions specified in 45 CFR 74.34.
PROCUREMENT REQUIREMENTS
Procurement under grants to Federal institutions is governed by
the Federal Acquisition Regulation (FAR) and the recipient
agency's FAR supplement.
INTELLECTUAL PROPERTY: INVENTIONS AND PATENTS
Inventions resulting from grants supporting the activities of
Federal employees under grants to Federal institutions shall be
reported simultaneously to NIH pursuant to the terms of the award
and to the employing agency under the terms of Executive Order
10096, as amended, and are subject to the licensing requirements
of 37 CFR Part 501.
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