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NIH Grants Policy Statement (12/03) Index A-G -- File 1 of 3
Page references containing an n refer to footnotes. A Abbreviations list,.......................................................................................................................... 15 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.............................................................................................. 102113 closeout and final reports...................................................................................................... 139141 conference grants................................................................................................................ 223224 construction grants............................................................................................................... 161166 enforcement actions............................................................................................................. 136139 exempt property................................................................................................................... 124125 financial management system...................................................................................................... 120 grant appeals procedures...................................................................................................... 141142 grants to Federal institutions........................................................................................................ 237 grants to for-profit organizations............................................................................................. 238240 management systems and procedures................................................................................... 120128 monitoring........................................................................................................................... 128136 property management.......................................................................................................... 123126 procurement
system.............................................................................................................. 126 research results availability................................................................................................... 113120 SBIR and STTR programs..................................................................................................... 244245 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 Alteration and renovation (A&R). Also see Construction grants costs............................................................................................................................................ 87 definition........................................................................................................................................ 6 prior-approval requirements.................................................................................... 105, 106, 161163 public policy requirements and objectives........................................................................................ 69 Animal welfare,................................................................................................ 39, 6566, 185, 207, 229 Animals, costs.................................................................................................................................. 88 Annual Payback Activities Certification (Form PHS 6031-1)...................................................... 214215 Appeals procedures adverse determinations and.................................................................................................. 141142 initial scientific review appeals................................................................................................. 2829 Applicable credits............................................................................................................................. 85 Application definition........................................................................................................................................ 6 false, fictitious, or fraudulent information in............................................................................... 2425 types of applications...................................................................................................................... 19 Application process application forms..................................................................................................................... 2223 application receipt points and deadlines..................................................................................... 2324 application submission.............................................................................................................. 2225 confidentiality of information (proprietary information)..................................................................... 25 eligibility............................................................................................................................ 19, 3335 individual fellowships..................................................................................................... 170171, 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.......................................................................................................................... 6566, 207 human subjects.................................................................................................................... 59, 205 Audiovisual activities, costs................................................................................................................ 88 Audit costs....................................................................................................................................... 88 Audit requirements................................................................................................................... 134136 consortium agreements................................................................................................................ 227 grants to for-profit organizations........................................................................................... 239240 grants
to foreign institutions, international organizations, and domestic grants with 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, 5455 Bayh-Dole Act of 1980......................................................................... 113114, 116120, 130, 132133 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............................................................................................................. 102113, 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.............................................................................. 103104, 105, 132 Cash requests........................................................................................................................ 76, 7778 CASHLINE/ACH....................................................................................................................... 76, 77 Center. See Institutes and Centers Center for Scientific Review (CSR) responsibilities.............................................................................................................. 17,
23, 26 Certificates of confidentiality........................................................................................................ 39, 57 Change
of grantee organization................................................................................... 105,
108 Changes in project and budget about.......................................................................................................................................... 102 expanded authorities............................................................................................................ 102104 grants
to foreign institutions, international organizations, and domestic grants with individual fellowships............................................................................................................ 180181 institutional research training grants.............................................................................................. 203 prior-approval requirements.................................................................................................. 105112 requests for prior approval.................................................................................................... 112113 Child care costs................................................................................................................................ 89 Children inclusion as subjects in clinical research........................................................ 41, 67, 184, 206207, 230 Pro-Children Act of 1994................................................................................................... 42, 6465 Citizenship requirements general........................................................................................................................................ 34 individual fellowships............................................................................................................ 168169 institutional research training grants....................................................................................... 189190 Civil False Claims Act....................................................................................................................... 25 Civil rights, public policy requirements and objectives.............................................................. 6869, 230 Civil Rights Act of 1964............................................................................................................... 39, 68 Clean Air Act.......................................................................................................................... 147148 Clean Water Act..................................................................................................................... 147148 Clinical research definition........................................................................................................................................ 7 inclusion of children as subjects in.................................................................. 41, 6667, 184, 206207 inclusion of women and minorities as subjects in...................................... 41, 6667, 183184, 206, 230 Clinical trials data and safety monitoring.................................................................................... 39, 6263, 183, 206 definitions................................................................................................................................. 7, 13 Cloning. See Human embryo research, cloning, and transplantation Closeout.................................................................................................................................. 139141 Co-investigator, definition.................................................................................................................... 8 Communications, costs...................................................................................................................... 89 Compensation Federal employees............................................................................................................... 235 general................................................................................................................................... 96 students and trainees........................................................................................ 99,
177 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.................................................................................................. 223224 allowable costs.................................................................................................................... 221222 application requirements.............................................................................................................. 220 application review....................................................................................................................... 220 copyrighting material................................................................................................................... 223 definitions............................................................................................................................ 219220 eligibility..................................................................................................................................... 220 facilities and administrative costs............................................................................................ 83, 231 funding....................................................................................................................................... 221 public policy requirements and objectives...................................................................................... 220 unallowable costs................................................................................................................. 222223 Confidentiality certificates of............................................................................................................................... 57 Freedom of Information Act and......................................................................................... 40, 7071 individuals' rights and welfare requirements............................................................................... 5758 of information (proprietary information).......................................................................................... 25 of patient records.................................................................................................................... 39, 57 Privacy Act of 1974 and.......................................................................................................... 42, 72 Conflict of interest, financial.............................................................................................. 40, 4446, 61 Conformance test, allowability of costs and......................................................................................... 80 Consistency test, allowability of costs and........................................................................................... 80 Consortium agreements about.................................................................................................................................. 224225 administrative and other requirements................................................................................... 225227 allowable/unallowable costs......................................................................................................... 226 approval authorities..................................................................................................................... 226 audit........................................................................................................................................... 227 costs............................................................................................................................................ 89 definition........................................................................................................................................ 8 intellectual property.............................................................................................................. 118, 228 public policy requirements and objectives............................................................................... 225226 personal property................................................................................................................. 226227 transfer of performance to third party by........................................................................ 103, 104, 107 written agreement................................................................................................................ 227228 Construction grants about.......................................................................................................................................... 144 administrative requirements.................................................................................................. 161166 allowable and unallowable costs and activities........................................................................ 151154 design requirements............................................................................................................. 148151 eligibility..................................................................................................................................... 144 equal employment opportunity, labor standards, and other requirements.............................. 41, 158161 funding....................................................................................................................................... 151 matching costs............................................................................................................................ 151 modernization, definition.............................................................................................................. 144 prior-approval requirements......................................................................................................... 161 procurement requirements for services under........................................................................ 154158 public policy requirements and objectives.................................................................... 40, 69, 145148 review and approval............................................................................................................. 144145 Construction management services, procurement requirements for.............................................. 156157 Construction. Also see Construction grants costs............................................................................................................................................ 89 definition.................................................................................................................................... 144 facilities and administrative costs and............................................................................................. 83 Consultant, definition........................................................................................................................... 8 Consultant services, costs............................................................................................................ 8990 Contingency funds, costs................................................................................................................... 90 Contract under a grant costs............................................................................................................................................ 89 definition........................................................................................................................................ 8 Contract Work Hours and Safety Standards Act........................................................................ 159160 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................................................................................................................ 221223 consortium agreements................................................................................................................ 226 construction grants............................................................................................................... 151154 cost principles......................................................................................................................... 7980 cost transfers.......................................................................................................................... 8384 delayed expenditures..................................................................................................................... 84 determining allowability of costs..................................................................................................... 80 direct costs................................................................................................................................... 81 facilities and administrative costs.............................................................................................. 8183 grants to Federal institutions................................................................................................. 233236 grants to for-profit organizations................................................................................................... 238 grants
to foreign institutions, international organizations, and domestic grants with individual fellowships............................................................................................................ 174177 institutional research training grants....................................................................................... 196199 pre-award costs............................................................................................................................ 94 research patient care........................................................................................................... 247250 SBIR and STTR programs................................................................................................... 243244 selected items of cost (table).................................................................................................. 87101 Cost overruns about........................................................................................................................................... 84 definition........................................................................................................................................ 8 Cost transfers............................................................................................................................. 83 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 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, 6263, 183, 206 Deadlines. See Application process Debarment and suspension....................................................................................... 39, 4647, 138, 230 Also see Suspension Debt collection enforcement actions............................................................................................................. 138139 nondelinquency on Federal debt................................................................................... 42, 5253, 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.................................................................... 148151 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, 3335 conference grants....................................................................................................................... 220 construction grants...................................................................................................................... 144 grants to Federal institutions................................................................................................. 232233 grants to for-profit organizations................................................................................................... 238 grants
to foreign institutions, international organizations, and domestic grants with
foreign individual fellowships............................................................................................................ 167168 institutional research training grants....................................................................................... 185186 SBIR and STTR.................................................................................................................. 241243 Enforcement actions about.......................................................................................................................................... 136 debt collection..................................................................................................................... 138139 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, 145146 Equal employment opportunity requirements, construction grants................................................. 158159 Equipment. Also see Supplies accountability in grants to Federal institutions................................................................................ 237 allowable costs............................................................................................................................. 91 definition........................................................................................................................................ 9 management
standards and procedures................................................................................. 124 sale of........................................................................................................................................ 122 Exempt property, administrative requirements............................................................................ 124125 Expanded authorities about.................................................................................................................................. 102103 carryover of unobligated balances......................................................................................... 103104 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..................................................................................................... 131132,
139 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 research
patient care........................................................................................................... 248 SBIR and STTR programs.......................................................................................................... 244 Federal Demonstration Partnership, definition....................................................................................... 9 Federal employees payments to/on behalf of................................................................................................. 91, 232237
Federal funding. See Funding Federal institution, definition................................................................................................................. 9 Fee definition........................................................................................................................................ 9 general......................................................................................................................................... 86 grants to for-profit organizations................................................................................................... 238 SBIR and STTR.................................................................................................................. 243244 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, 4446, 61 Financial
Management, Office of (OFM)................................... 77, 129, 132,
136, 174, 175, 230 Financial management system standards........................................................................................... 121 Financial reporting..................................................................................................... 131132, 139140 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 Foreign component, definition....................................................................................................... 9, 228 Foreign institution,
definition............................................................................................................... 10 Foreign sponsorship/training abroad, individual fellowships.................................................................. 169 Freedom of Information Act (FOIA)....................................................................................... 40, 7071 Fringe benefits, costs......................................................................................................................... 91 Full-time and part-time training, individual fellowships................................................................. 172173 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 230231 NGA and................................................................................................................................ 7475 prior-approval requirements........................................................................................... 105, 106, 112 Funding opportunities, types of...................................................................................................... 2022 Funding principles............................................................................................................................. 33 Fundraising costs.............................................................................................................................. 91 G GI Bill. See Educational loans or GI bill Glossary abbreviations.............................................................................................................................. 15 definitions................................................................................................................................. 615 Goods and services procurement requirements under construction grants................................................................................. 154158 system standards and requirements....................................................................................... 126128 Governments. See State, local, and Indian tribal governments Grant appeals procedures......................................................................................................... 141142 Grant-supported project or activity, definition...................................................................................... 10 Grantee definition...................................................................................................................................... 10 staff responsibilities................................................................................................................. 1819 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.................................................................................................. 233236 eligibility.............................................................................................................................. 232233 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.................................................................................................. 238240 allowable/unallowable costs......................................................................................................... 238 audit requirements............................................................................................................... 239240 eligibility..................................................................................................................................... 238 intellectual property requirements.......................................................................................... 238239 operating authorities.................................................................................................................... 239 profit or fee under....................................................................................................................... 238 program income.......................................................................................................................... 239 SBIR and STTR programs................................................................................................... 240245 Grants to foreign institutions, international organizations, and domestic grants with foreign components about.......................................................................................................................................... 228 administrative requirements.................................................................................................. 231232 allowable/unallowable costs......................................................................................................... 231 application review....................................................................................................................... 229 audit requirements....................................................................................................................... 232 changes in project and budget............................................................................................... 231232 eligibility.............................................................................................................................. 228229 facilities and administrative costs................................................................................................... 83 funding and payment............................................................................................................ 230231 public policy and requirements and objectives........................................................................ 229230 reporting and record retention...................................................................................................... 232 Grants to individuals facilities and administrative costs and............................................................................................. 83 eligibility....................................................................................................................................... 19 operating authorities...................................................................................................... 102, 103, 130 Grants.gov........................................................................................................................................ 30 [ Click "Next Document" below to Continue ]
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