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NIH Grants Policy Statement (12/03) Index R-W and Footnotes -- File 3 of 3
R Real estate appraisals...................................................................................................................... 164 Real property acquisition of......................................................................................................................... 42, 147 definition...................................................................................................................................... 14 sale of........................................................................................................................................ 122 Real property management standards and procedures general standards................................................................................................................. 163–164 insurance requirements........................................................................................................ 165–166 notice of Federal interest in real property...................................................................................... 165 real estate appraisals................................................................................................................... 164 use and disposition...................................................................................................................... 164 Reasonableness test, allowability of costs and..................................................................................... 80 Recipient. Also see Grantee definition...................................................................................................................................... 14 usage,. iii Recombinant DNA molecules research................................................................ 42, 48, 51–52, 185, 207 Record retention and access..................................................................................................... 133–134 grants to foreign institutions, international organizations, and domestic grants with foreign components 232 Recovery of funds, enforcement actions........................................................................................... 138 Recruitment costs............................................................................................................................. 94 Registration fees (symposiums/seminars)............................................................................................ 94 Rehabilitation Act of 1973............................................................................................................ 42, 68 Reimbursement method of payment.................................................................................................. 138 Relocation assistance................................................................................................................. 42, 147 Relocation costs................................................................................................................................ 95 Rental or lease of facilities and equipment, costs................................................................................. 95 Reporting conference grants....................................................................................................................... 223 expenditures........................................................................................................................ 131–132 invention reporting................................................................................................. 117–119, 132, 141 final reports......................................................................................................................... 139–141 financial reports..................................................................................................... 129–133, 223–224 Federal institutions...................................................................................................................... 237 foreign
institutions, international organizations, and domestic grants with foreign human gene transfer research....................................................................................................... 52 individual fellowships............................................................................................................ 179–180 institutional research training grants....................................................................................... 201–203 inventions................................................................................................................................... 132 program income.................................................................................................................. 122–123, progress
reports.................................................................................................... 129 unobligated balances and actual expenditures reporting.................................................................. 132 Research, definition.............................................................................................................. 14, 59, 210 Research data and results availability........................................................................................................................... 113–114 definition of and access to............................................................................................................. 71 public access under institutional research training grants................................................................ 205 rights. See Publishing and copyrighting data sharing 115–116, 245 Research design requirements, inclusiveness in.......................................... 66–67, 183–184, 206–207, 230 Research misconduct...................................................................................................... 43, 50–51, 229 definition...................................................................................................................................... 14 Research patient care costs about.......................................................................................................................................... 246 allowable costs........................................................................................................ 96, 101, 247–249 computing costs.......................................................................................................................... 248 consortium participants/contractors under grant............................................................................. 249 definitions............................................................................................................................ 246–247 facilities and administrative costs.................................................................................................. 249 financial responsibilities............................................................................................................... 250 policy......................................................................................................................................... 247 special procedures...................................................................................................................... 249 travel costs................................................................................................................................. 101 Reserve funds, cost principles............................................................................................................ 96 Reserve
Officer Training Corps (ROTC) program, access to institutions of higher "Responsibility
of Applicants for Promoting Objectivity in Research for which PHS Funding is
Sought" responsible conduct of research......................................................................................... 184, 193–194 Revised (Amended) Application......................................................................................................... 20 Revocable license agreement.................................................................................................... 126–128 Royalties and licensing fees from copyrights, inventions, and patents................................................... 123 Ruth
L. Kirschstein National Research Service Awards. about.......................................................................................................................................... 166 background......................................................................................................................... 166–167 nondiscrimination........................................................................................................................ 167 payback reporting requirements............................................................................................ 208–215 S Sabbatical leave, costs....................................................................................................................... 96 Safety issues biosafety................................................................................................................................. 49, 52 data and safety monitoring requirements................................................................ 39, 62–63, 183, 206 health and safety regulations and guidelines......................................................................... 40, 48–49 safety and annual reporting, human gene transfer research.............................................................. 52 Salaries and wages cost considerations for allocation of costs and closely related work.................................................. 84 costs...................................................................................................................................... 96–99 dual appointment payments........................................................................................................... 98 disposition of unclaimed wages, construction grants................................................................ 160–161 institutional base salary, definition................................................................................................... 11 Sale of real property, equipment, and supplies.................................................................................... 122 Scientific meetings. See Conference grants Scientific Review Administrator (SRA), role and responsibilities..................................................... 17–18 Seat belt use................................................................................................................................ 43, 54 Seismic
Safety of Federal and Federally Assisted or Regulated New Building Senior fellows, individual fellowship degree requirements................................................................... 168 Service charges, costs....................................................................................................................... 99 Severance pay, costs......................................................................................................................... 99 Sharing research results and resources research data.............................................................................................................................. 115 unique research resources.................................................................................................... 115–116 Short-term research training................................................................................ 187 Sick and other leave individual fellowships................................................................................................................... 181 institutional research training grants.............................................................................................. 203 Significant rebudgeting, definition....................................................................................................... 14 Single Project Assurances (SPAs)................................................................................................... 59n Small business innovation research and technology transfer programs (SBIR and STTR) administrative requirements.................................................................................................. 244–245 allowable costs and profit/fee............................................................................................... 243–244 data sharing requirements............................................................................................................ 245 differences between SBIR and STTR................................................................................... 240–241 eligibility.............................................................................................................................. 241–243 facilities and administrative costs (indirect costs)........................................................................... 244 intellectual property requirements................................................................................................. 245 market research requirements.............................................................................................. 244–245 minimum level of effort............................................................................................................... 243 phases of.................................................................................................................................... 240 place of performance........................................................................................................... 242–243 public policy requirements and objectives...................................................................................... 243 Small businesses contracting for goods and services............................................................................................... 128 small business concern, definition and qualification............................................................ 14, 241–242 SMARTLINK II/ACH................................................................................................................ 76, 77 Smoke-free workplace................................................................................................................. 43, 54 Pro-Children Act of 1994 and............................................................................................. 42, 64–65 Standards of conduct,.................................................................................................................. 43, 44 responsible conduct of research..................................................................................... 184, 193–194 Standards of Privacy of Individuals Identifiable Health Information (Privacy Rule).......................... 57–58 State, local, and Indian tribal governments cost principles............................................................................................................................... 79 State government, definition........................................................................................................... 15 Uniform
Administrative Requirements for Grants and Cooperative Statement of Appointment (Form PHS 2271)............................................................................. 201–202 Statement of Miscellaneous Income (IRS Form 1099) individual fellowships................................................................................................................... 178 institutional research training grants.............................................................................................. 201 Sterile needle/syringe distribution restriction................................................................................... 43, 54 Stipends costs............................................................................................................................................ 99 definition...................................................................................................................................... 15 levels for individual fellowships............................................................................................. 174–175 levels for institutional research training grants............................................................................... 197 supplementation................................................................................................................... 177, 199 taxability...................................................................................................................... 178,
200 Streamlined non-competing award process (SNAP)................................................................... 130–131 Students compensation
of............................................................................................... 99,
177 Subject costs. See Research patient care costs Submission of applications application forms..................................................................................................................... 22–23 confidentiality of information (proprietary information)..................................................................... 25 legal implications of application................................................................................................. 24–25 receipt points and deadlines............................................................................................... 23–24, 216 Supplies................................................................................................................................... 100,
222 Support mechanisms......................................................................................................................... 19 Suspension. Also see Debarment and suspension costs.......................................................................................................................................... 100 definition...................................................................................................................................... 15 enforcement actions.................................................................................................................... 137 T Taxability of stipends......................................................................................................... 178, 200–201 Teaching, definition......................................................................................................................... 210 Technology transfer policy. See Bayh-Dole Act of 1980; Inventions and patents Terminal leave individual fellowships................................................................................................................... 181 institutional research training grants.............................................................................................. 204 Termination costs.......................................................................................................................................... 100 definition...................................................................................................................................... 15 enforcement actions.................................................................................................................... 137 individual fellowships................................................................................................................... 182 institutional research training grants.............................................................................................. 204 Termination Notice (Form PHS 416-7) individual fellowships................................................................................................................... 180 institutional research training grants.............................................................................................. 202 Terms
and conditions of award. Also see Administrative requirements; Cost
considerations and principles; definition...................................................................................................................................... 15 modification of award terms, enforcement actions......................................................................... 136 overview................................................................................................................................ 35–36 prior-approval requirements for deviation from....................................................................... 105, 111 Title insurance................................................................................................................................ 165 Total project costs, definition.............................................................................................................. 15 Trailers and modular units, costs....................................................................................................... 100 Trainee costs........................................................................................................................... 100, 198 prior-approval requirements for transfer of amounts............................................................... 106, 112 rebudgeting of funds.................................................................................................................... 199 Training Program Director, institutional research training grants......................................................... 186 Training-related expenses, institutional research training grants........................................................... 197 Transfer
of funds between construction and nonconstruction work, Transfer of performance to third party by consortium agreement................................................. 103, 104 Transfers, individual fellowships....................................................................................................... 180 Transplantation, human fetal tissue.......................................................................................... 43, 55–56 Transportation of property, costs...................................................................................................... 100 Travel costs.......................................................................................................................................... 101 to foreign training sites................................................................................................................ 177 institutional allowance for............................................................................................................ 176 trainees in institutional research training grants.............................................................................. 198 Tuition and fees individual fellowships................................................................................................................... 176 institutional research training grants.............................................................................................. 198 U Uniform
Relocation Assistance and Real Property Acquisition United States, definition..................................................................................................................... 15 Uniting
and Strengthening America by Providing Appropriate Tools Required to Intercept
and Unobligated balances authorities for carryover of.............................................................................. 103, 105, 132, 201, 239 reporting.................................................................................................................................... 132 Unpaid leave individual fellowships................................................................................................................... 181 institutional research training grants.............................................................................................. 204 Use allowances................................................................................................................................ 90 V VA-university affiliations................................................................................................................. 233 Vacation and holiday leave individual fellowships................................................................................................................... 181 institutional research training grants.............................................................................................. 203 Vertebrate animals. See Animal welfare W Withholding of support definition...................................................................................................................................... 15 enforcement actions............................................................................................................. 137, 138 Women contracting with women's business enterprises for goods and services............................................ 128 inclusion as subjects in clinical research................................................... 41, 66–67, 183–184, 206, 230 Footnotes: [1] This is the only location in the NIHGPS where these terms are defined. If an abbreviation used in the NIHGPS is unfamiliar, the reader should consult this list for its meaning. [2] HHS components include SAMHSA, FDA, CDC, IHS, AHRQ, HRSA, ACF, AoA, OPHS, and CMS. [3] Although the government-wide requirements do not cover grants to for-profit organizations, HHS has included them in the coverage of 45 CFR Part 74. [4] ONR is the cognizant agency for negotiation of F&A costs for some NIH grantees. [5] Some ICs review applications for Institutional National Research Service Awards (T32) only once a year. See the Appendix in Part II of the NIHGPS. [6] This certification is accomplished by the signature of the AOO on the application. States need only certify as to their principals. [7] 42 CFR Part 73, Select Agents and Toxins; and 7 CFR Part 331 and 9 CFR Part 121, Possession, Use, and Transfer of Biological Agents and Toxins. [8] As of February 28, 2001, OHRP no longer accepted applications for Multiple Project Assurances (MPAs) or Single Project Assurances (SPAs) limited to HHS-supported research, to special categories of research, or to individual research projects. Current MPAs will remain in effect until the designated expiration date or December 31, 2003, whichever comes first; however, MPA organizations may file a new FWA at any time prior to that date. OHRP will not accept changes to existing MPAs (except for IRB membership updates). If changes are necessary, the organization should file an FWA. Current SPAs will remain in effect through the expiration of their respective grant (or contract) award and any non-competing continuation award. [9] Protecting Human Research Subjects: Institutional Review Board Guidebook, 1993, Stock No. 017-040-00525-3, may be ordered from the Superintendent of Documents, telephone: 202-512-1800. This Guidebook is also available from OHRP’s website (http://www.hhs.gov/ohrp/irb/irb_guidebook.htm). [10]Larger non-profit organizations that are specifically listed in Attachment C to OMB Circular A-122 are subject to the Federal cost principles applicable to commercial organizations (48 CFR Subpart 31.2) rather than to the cost principles for non-profit organizations. [11] This term and the term “indirect costs” may be used interchangeably to determine applicable policies. For NIH purposes, including the NIHGPS, these costs will be referred to as F&A costs; however, other documents or non-NIH functions may refer to them as “indirect costs.” [12] For this purpose, “data” means recorded information, regardless of the form or media on which it may be recorded, and includes writings, films, sound recordings, pictorial reproductions, drawings, designs, or other graphic representations, procedural manuals, forms, diagrams, work flow charts, equipment descriptions, data files, data processing or computer programs (software), statistical records, and other research data. [13] State governments will use, manage, and dispose of equipment acquired under a grant in accordance with state laws and procedures as specified in 45 CFR 92.32. [14] The determination leading to such disputes may be made by an HHS official other than the GMO and may affect NIH grants as well as other HHS grants. [15] This list may be obtained from the State Liaison Officers designated by their respective states to administer this program or from the Advisory Council on Historic Preservation, 1100 Pennsylvania Avenue NW, Washington, DC 20004 (telephone: 202-606-8503; website: http://www.achp.gov/). The National Trust for Historic Preservation is located at 1785 Massachusetts Avenue NW, Washington, DC 20036 (telephone: 202-588-6000; website: http://www.nationaltrust.org/). [16] References are to the latest editions of cited publications. Grantees and their contractors are responsible for determining what applies at the time of the affected activity. [17] In 2002, the National Research Service Awards program was renamed the Ruth L. Kirschstein National Research Service Awards program as a tribute to Dr. Kirschstein’s years of exceptional service to the nation. [18] NIH ICs use the term F&A costs for all types of applicants and recipients; however, for-profit organizations will find that DFAS and organizations external to NIH refer to these costs as “indirect costs.” [ Click "Next Document" below to Continue ]
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