Summary of Significant Changes to the NIH GPS—10-1-2010

The revised NIH GPS represents a significant update to December 2003 version and incorporates policy changes since December 2003, public policy changes, clarification of existing policies, new business process changes, addition of new chapters recommended by users, reorganization and major revisions of existing chapters, terminology changes as well as document enhancements.Sections of the revised NIH GPS have been rewritten to provide clarity. Where appropriate, major revisions appear throughout the document to incorporate electronic application submission and acceptance of electronic communication between NIH and the grantee community.

This revision supersedes, in its entirety, the NIH Grants Policy Statement (12/03) as a standard term and condition of award.

Notable Changes

  • Policy Changes
  • Implements new policies and clarification of existing policies announced in the NIH Guide since December 2003, and listed at .
  • Terminology Changes throughout Document to reflect current usage
  • Overall Document Enhancements
  • New numbering schema introduced through the document
  • Removedall footnotes and insert within text
  • Significant Chapter Changes and Reorganization of Document
  • Edits to Part I - Abbreviations and Definitions to incorporate current terms and definitions in accordance with the latest HHS Definitions Grants Policy Directive.
  • Completing the Pre-Award Process moved from Part II to Part I (Section 2.5)
  • Reorganized and renamed Public Policy Requirements and Objectives chapter: Now alphabetical; sections tied to Annual Appropriations have been clustered in a separate section to accommodate an HHS/OGPOE requirement.
  • New Chapters on Multiple PD/PI (Chapter 9) and Career Development Awards (Chapter 12)
  • Edits to Part III - Points of Contact; all contact information (addresses, phone #s, etc.) throughout document relocated to Part III with links provided from others Parts as applicable.
  • Removed Index (expect most users will rely on html version and web searches)

Significant Changes

/

Reason

PART I: NIH Grants – General Information
Chapter 1 – Glossary
Abbreviations and Definitions of Terms / Includes Abbreviations referenced in the document. Clarification, additions and deletions of Definitions of Terms. Aligned definitions with other policy source documents as appropriate such as HHS GPD 1.02 Definitions
Chapter 2 - The NIH as a Grant-Making Organization
Revised NIH mission statement / NIH Mission Statement:
UpdatedRoles and responsibilities to reflect current terminology; added a new role for Research Administrator / Updated terminology.
NEW Section: eRA Commons, eRA Commons Registration (for organization, PD/PI, Postdocs) (Section 2.2) / Reflects current policies and procedures for support of electronic research administration (eRA). Implements policies announced in NOT-09-140 and NOT-OD-07-003.
Updated terminology for Types of Applications, e.g. Renewal, Revision, Resubmission. (Section 2.3.4) / Reflects terminology used in Federal-wide SF424 (R&R); implemented in all other applications used by NIH for consistency.
UpdatedTypes of Funding Opportunity Announcements (FOAs), including Parent Announcements. (Section 2.3.5) / Reflects current policy and procedures.
UpdatedLegal Implications of Applications:
Added text re: registration of Foundations administering NIH grants and consortium members already registered as grantee organizations (Section 2.3.6) / Editorial Clarifications needed to assist with eRA Commons registrations for new applicant organizations.
NEW Section:Policies Affecting Applications (Section 2.3.7)
Includes sections on the following policies:
  • For FOAs that include a direct cost limit, policy excludes consortium/contractual F&A costs
/ Previously this information was only provided in the Application Instructions.
  • Implements new policy announced in NOT-OD-04-040 and NOT-OD-05-004

  • Prior Approval for Applications > $500,000
/
  • Implements policy announced in NOT-OD-02-004

  • Resubmission policies
/
  • Implements policy announced in NOT-OD-09-003, NOT-OD-09-016, NOT-OD-09-100, NOT-OD-10-080, and NOT-OD-10-140

  • New Investigators and Early Stage Investigators - encouraging early transition to research independence
/
  • Implements policy announced in NOT-OD-07-083, NOT-OD-08-121, NOT-OD-09-013, NOT-OD-09-021, NOT-OD-09-034, and NOT-OD-09-134

  • PD/PI assurance – business process change regarding the signatures of the PD/PI, Applicant (Individual Fellow) and Sponsor(s) as a part of applications
/
  • Implements policy announced in NOT-OD-06-054, NOT-OD-09-004, and NOT-OD-09-007

  • Policy on submission of additional grant application materials.
/
  • Implements policy announced in NOT-OD-08-082, NOT-OD-10-070, NOT-OD-10-091, and NOT-OD-10-104, NOT-OD-115

UpdatedApplication Forms (Section 2.3.8)
  • Updated required forms for competing applications to include SF424
(R&R) for electronic submission /
  • Reflects current business practices

UpdatedApplication Receipt Information and Deadlines (Section 2.3.9) to include:
  • Late submission policy
/
  • Implements policy announced inNOT-OD-08-027and NOT-OD-08-111

  • Separate sections to describe submission of paper applications and electronically submitted applications
/
  • Distinguishes between paper and electronic policies

NEW Section: Modified Submission Policy for Appointed Members of NIH Review and Advisory Group and Reviewers with Recent Substantial Service (Section 2.3.9.3) /
  • Reflects policiesannounced inNOT-OD-08-026, NOT-OD-09-114,NOT-OD-09-155, and NOT-OD-10-090

Updated Separated out & updated the section on fraud, waste and abuse of NIH grant funds (Section 2.3.10)
Reorganized section on Availability and Confidentiality of Information (Proprietary Information) – Confidentiality of Information, Privacy Act, FOIA, Access to Research Data (Section 2.3.11)
NEW Section: Protecting Sensitive Data and Information Used in Research (FISMA) (Section 2.3.12) /
  • Implements policy announced inNOT-OD-08-066 and NOT-OD-08-032

The Peer Review Process (Section 2.4)
Updated to reflect enhanced peer review criteria including, additional review criteria, and additional review considerations. /
  • Implements Enhancing Peer Review initiative: including changes announced in NOT-OD-09-023, NOT-OD-09-024, and NOT-OD-025

  • Revised to reflect current practice for only electronic notifications of review outcomes and summary statements
/
  • Implement policy announced in NOT-OD-05-075 and NOT-OD-06-066

Relocated Completing the Pre-Award Process from Part II to Part I (Section 2.5)
  • Revised Just-in-Time procedures to provide more detailed context behind Just-In-Time material.
/
  • Editorial Clarifications and NOT-OD-10-120

  • Included newSection (2.5.2) on business process for Submitting Revised Project Summary/Abstracts, Specific Aims and/or Public Health Relevance Statement
/
  • Implements policy announced in NOT-OD-09-088:

  • Revised Eligibility section to reflect 2 distinct sections 1) Determining Applicant Organization Eligibility (Section 2.5.3) and 2) Determining Eligibility of Individuals (Section 2.5.4)
/
  • Editorial Clarifications

  • DeletedSources of Information section at end of Part I.
/
  • Sources incorporated throughout document as appropriate

PART II: Terms and Conditions of NIH Grant Awards
Subpart A - General
Chapter 3 - Overview of Terms and Conditions of NIH Grant Awards
NEW Sections:
  • NIH implementation of Federal-wide standard terms and conditions for research grants
  • Cross-reference to NIH Standard Terms
/
  • Implements policy announced inNOT-OD-08-091
  • Implements policy announced in NOT-OD-01-070

Chapter 4 - Public Policy Requirements, Objectives and Other Appropriation Mandates
Reorganization of chapter toalphabetical order. Clustered Appropriation Mandates separately to fulfill an HHS/OGPOErequirement.
  • NEW sections included:

  • ClinicalTrials.gov/FDAAA requirements (Section 4.1.3)
/
  • including NOT-OD-08-014, NOT-OD-08-023, NOT-OD-09-030, NOT-OD-09-147, and NOT-OD-10-007

  • Federal Financial Accountability and Transparency Act (FFATA) (Section 4.1.8)
/
  • Federal Funding Accountability and Transparency Act of 2006 (FFATA)

  • Federal Information Security Management Act (FISMA) (Section (4.1.9)
  • Fly America Act (Section 4.1.11)
/
  • Implements policy announced inNOT-OD-08-032 andNOT-OD-08-066
  • Implements 49 USC 40118

  • National Environmental Policy Act (Section 4.1.20)
/
  • Moved from the Construction Chapter to Public Policies to reflect broader applicability for all grants

  • Reporting and Assurance Requirements for Institutions Receiving Awards for Training of Graduate Students for Doctoral Degrees (Section 4.1.25)
  • Text Messaging While Driving (Section 4.1.30)
/
  • Implements policy announced in NOT-OD-09-141
  • Implements E.O. 13513

  • Trafficking in Persons (Section 4.1.31)
/
  • Implements policy announced in NOT-OD-08-055

  • In Appropriation Mandates section, new sections include: Certification of Filing and payment of Taxes (4.2.2); Dissemination of False or Deliberately Misleading Scientific Information (4.2.3); and Salary Cap (Section 4.2.9).
/
  • Reflects current Appropriation Mandates. Includes disclaimer language regarding these being subject to change each year.

  • Significantly Revised Sections of Chapter 4 include:

  • Human Stem Cells Research including hESC Research Prohibited with NIH Funding (Section 4.1.13)
/
  • Implements policy announced in NOT-OD-09-085 and NOT-OD-09-116 and NOT-OD-09-123 and NOT-OD-10-029

  • Select Agent Research (Section 4.1.23): Includes more detailed information; separate sections specific to Foreign Institutions & Foreign Subcomponents

  • Financial Conflict of Interest (Section 4.1.10): Revised to reflect current business practices
/
  • New procedures announced NOT-OD-09-072 and NOT-OD-09-001

  • Reorganize and update sections on Animal Welfare Requirements (Section 4.1.1) and Human Subjects Protections (Section 4.1.15)
/
  • Human Subjects section includes policy changes announced in NOT-OD-05-020 and NOT-OD-04-069
  • Vertebrate Animals section updated to include information in NOT-OD-10-081

Chapter 5 - The Notice of Award
  • NoA E-mail Notification (Section 5.1)
/
  • Implements policy announced in NOT-OD-09-127

  • Elimination of Paper Notification of NoA Letters (Section 5.1)
/
  • Implements policy announced in NOT-OD-08-002

  • Addition of section on Associated Applications and/or Awards (Section 5.2)
/
  • Description of associated (also known as linked/clustered) awards

Chapter 7 - Cost Considerations
The Cost Principles: Revised to reflect relocation of OMB Cost Principles to 2 CFR (Section 7.2)
Selected Items of Cost chart (Section 7.10)
Significant edits:
  • Alteration and Renovation
/
  • Implementspolicy announced inNOT-OD-09-010

  • Equipment
/
  • Strengthened language re purchase of office equipment (e.g.. laptops) to be used for general office purpose is unallowable as a direct charge

  • Indemnification
/
  • Editorial clarification

  • Meals
/
  • Reflects new language found in A-21

  • Salaries and Wages/Payments for Dual Appointments: Inclusion of Clinical Practice Compensation in Institutional Base Salary
/
  • Implements policy announced inNOT-OD-05-061

  • NEW entries: Incentive Costs; IRB Costs; Maintenance and Repair Costs; Profit or Fee; Visa Costs
/
  • In response to user suggestions

Chapter 8 - Administrative Requirements
  • NIH Standard Terms of Award (formerly Expanded Authorities) (Sections 8.1.1 and 3.2)
  • Revised section on carryover to include paragraph on “M-Year” legislation and funds availability (Section 8.1.1.1)
  • Edits to Prior Approval (Section 8.1.2)--additional no-cost extension or extension greater than 12 months; e-mail requests acceptable
/
  • Editorial clarification throughout section

UpdatedRights in Data (Publication and Copyrighting)(Section 8.2.1) / Editorial clarifications
NEW: NIH Public Access Policy (Section 8.2.2) /
  • Implements policy announcedinNOT-OD-09-071 and NOT-OD-09-136and NOT-OD-08-033

Sharing of Research Data  renamed as Sharing Research Resources (Section 8.2.3) (includes Data Sharing Policy, Sharing Model Organisms and NEW section on GWAS) /
  • Implements policy announced in inNOT-OD-06-071,
  • NOT-OD-06-094, NOT-OD-07-088, NOT-OD-08-013and NOT-OD-04-042

Reporting (Section 8.4.1)
  • NEW Section: Use of Commons available for electronic submission of some SNAPs and all closeout documents; centralized submission of paper progress reports to DEAS
/
  • Implements policy announcedin NOT-OD-07-078, NOT-OD-08-061, and NOT-OD-04-063

  • Revised SNAP Section (Section 8.4.1.2) to itemize SNAP authorities, reflect current wording of SNAP questions, and required use of Commons eSNAP (Note this includes permanent expansion of SNAP authorities to incorporate features previously tested in eSNAP only)
/
  • Implements policy announced in NOT-OD-10-093, NOT-OD-09-139 and, procedures in NOT-OD-04-024

  • Revised Financial Reporting (Section 8.4.1.4) to include distinguish between cash transaction and expenditure reporting. Expenditure reporting includes cross references to the SF425 (FFR). Similar edits throughout part IIB as well when applicable
/
  • Implements pending policy announcement for NIH transition to the new Federal-wide form

  • Revised Closeout (Section 8.6) to include electronic submission of closeout documents through Commons; requirements for submission of publications in final progress reports; CentralCloseoutCenter; clarification of invention reporting requirements for certain programs
/
  • Reflects policy reminders in NOT-OD-09-128 and new process announced inNOT-OD-08-061

  • NEW Section: FFATA Recipient Reporting of Subrecipient Data (Section 8.4.1.4.4)
/
  • According to statute P.L. 109-282

  • Revised Record Retention (Section 8.4.2) to reflect applicability to both paper and electronic storage

PART II:
Subpart B - Terms and Conditions for Specific Types of Grants,
Grantees, and Activities
Chapter 9–Multiple PD/PI Applications and Awards (NEW) /
  • Implements policy announced inNOT-OD-06-036
  • Implements policy announced in NOT-OD-06-069
  • Implements policy announced in NOT-OD-07-017

Chapter 10- Revision of Construction, Modernization or Major A&R of Research Facilities
Significant rewrite of this Chapter by the Construction Subject Matter Experts at NIH
Chapter 11- Revision of Ruth L. KirschsteinNational Research Service Awards (NRSA)
  • RevisedFellowship (F) and Training Grant (T) Citizenship (Sections 11.2.2.4 & 11.3.2.6): Revised wording for I-551 Card & Conditional Permanent Residency Status
/
  • Editorial clarification

  • RevisedF & T Degrees (Sections 11.2.2.3 & 11.3.2.5.2): Clarified postdoc degrees. Added text re: Institutional responsibility to determine comparableness of a Foreign degree
/
  • Editorial clarification

  • RevisedF Sponsorship (Section 11.2.2.5):
  • Inserted text re: institutional responsibilities.
  • Inserted clarifying language in Foreign section re: additional administrative reviews.
/
  • Editorial clarification

  • Revised F Application Requirement (Section 11.2.3.1):
  • Re-written to reflect electronic submission and all the associated business process changes.
  • Includes new RCR information
/
  • Reflects transition plans announced in NOT-OD-09-106
  • Implements policy announced in NOT-OD-019

  • Revised F Receipt Dates (Section 11.2.3.6): Replaced Appendix with reference to website
/
  • Editorial clarification

  • Revised F Review (Section 11.2.4): Revised Review Criteria & Review Considerations section to match new Enhanced Peer review language
/
  • Part of Enhancing Peer Review Initiative

  • Revised F Notification of Action (Section 11.2.5): Revised to reflect current practices—eliminated any reference to hard copy mailers; inserted references to e-Notifications & use of eRA Commons
/
  • Reflects current business processes

  • Revised F Period of Support (Section 11.2.6):
  • Added text re: waiver requests needing only the AOR signature
  • Clarified “full-time”
/
  • Reflects new business process re: Fellow and Sponsor signatures announced in NOT-OD-09-007
  • Editorial clarification

  • Revised F Initiation of Support (Section 11.2.8): Added text re: requests needing only the AOR signature
/
  • Reflects new business process re: Fellow and Sponsor signatures announced in NOT-OD-09-007

  • Revised F Payment (Section 11.2.8.2): Added text re: Fs at GOCOs
/
  • Editorial clarification

  • Revised Sections on Terminations Notices (11.2.11.3 & 11.3.13.3) and T section on 2271s (11.3.13.1) to reflect required use of xTrain
/
  • Implements policy announced in NOT-OD-10-072

  • Revised F & T, Allowable Costs (Sections 11.2.9 & 11.3.8):

  • Included new text re: preaward costs (Sections 11.2.9.1 & 11.3.8.1)
/
  • Editorial clarification

  • F Institutional Allowance (Section 11.2.9.4): Revised text re: new policy
/
  • Implements policy announced in NOT-OD-06-093

  • Added separate sections re: Medical liability & other special insurances (Sections 11.2.9.411.3.8.4)
/
  • Editorial clarification

  • Tuition & Fees (Sections 11.2.9.5 & 11.3.8.3): Revised text re: new policy
/
  • Implements policy announced in NOT-OD-06-093 and NOT-OD-10-073

  • Employee Benefits (Sections 11.2.9.7 11.3.8.7): Revised to include reference to union dues in the list of not appropriate charges)
/
  • Editorial Clarifications

  • Revised F&T Taxability of Stipends (Sections 11.2.10.6 & 11.3.10.6): Added clarifying paragraph re: IRS 2005 guidance.
/
  • Editorial clarification.

  • RevisedF & T TerminationNotice(Sections11.2.11.311.3.13.3): Editorial clarification re: need for these within 30 days even if trainee is unavailable for signature.
/
  • Editorial clarification

  • Revised F&T Leave(Sections 11.2.13.111.3.16.1): Revised text re: new Parental Leave Policy
/
  • Implements policy announced in NOT-OD-08-064

  • Revised F & T Publications(Sections 11.2.13.411.3.16.3): Added text re: Public Access applicability
/
  • Implements policy announced in NOT-OD-08-033

  • Revised F & T Public Policy Requirements(Sections 11.2.13.711.3.16.7): Clarifications provided in Human Subjects & Vertebrate Animals
/
  • Editorial clarification

  • Revised T General (Section 11.3.1): Used language from T32 FOA in Overall section.
/
  • Editorial clarification to reflect with language in T32 FOA.

  • Revised Training Program Director (Section 11.3.2.3): Switched to new PD/PI terminology; Added information re: Multiple PD/PI applications now accepted
/
  • Reflects current terminology

  • Revised Research Training Program (Section 11.3.2.4): Clarified “Full Time”
/
  • Editorial clarification

  • Revised T Application/Receipt Dates (Section 11.3.3):
  • Revised to reflect electronic submission
  • Removed reference to Appendix and point now to receipt dates website.
  • Added clarified language re: NIA waiving $500K policy for resubmissions and renewals
/
  • Implements transition announced in NOT-OD-10-008
  • Other edits are clarification

  • Revised T Special Program Considerations (Section 11.3.3.3): Revised text to reflect current language in diversity recruitment and RCR sections
/
  • Diversity Recruitment edits are editorial clarifications to coincide with language in latest T32 FOA.
  • RCR edits reflect NOT-OD-019

  • Revised T Review (Section 11.3.4):
  • Revised review criteria and considerations to reflect Enhanced Peer Review Initiative
  • Relocated Diversity & RCR text describing the requirements under Specials Program Requirements. What remains in this section just reflects the peer review pieces.
  • Added text re: IC Council/Board review
/ Implements Enhanced Peer Review criteria for Ts as announced in NOT-OD-09-074
  • Revised Period of Support for Trainees (Section 11.3.6.2):
  • Clarification added regarding appointments beginning any time during a budget period.
  • Clarification re: signatures needed on part-time requests
/
  • Editorial clarification
  • Implement policy announced in NOT-OD-06-055

  • Revised Initiation of Support (Section 11.3.7): Added text re: appointment period can’t begin before budget period
/
  • Editorial clarification

  • Revised T F&A (Section 11.3.8.8): added text re: heath insurance and consortiums
/
  • Editorial clarification

  • Revised T Rebudgeting of Funds (Section 11.3.9): Revised text to reflect new policy regarding health insurance
/
  • Implements new policy announced in NOT-OD-06-093:

Revised T Reporting Requirements (Section 11.3.13):
  • Removed info re: Awarding IC providing copies of any forms. All are now available only on forms website
  • 2271 & Term sections revised to include xTrain information
  • Term Section includes note re: no Terms needed for T34s—this formalizes what has been standard operating procedures for years
/
  • Editorial clarification except for the T34 exclusion piece.
  • T34 Termination Notice announced in NOT-OD-11-001. Implements formally what has been standard operating procedures for years

  • Revised T FSR (Section 11.3.13.5): Added a sentence regarding health insurance and unliquidated obligations.
/
  • Editorial clarification

  • NEW Section: T Closeout (Section 11.3.14)--New section added. Includes a reminder that Term Notices are needed to closeout a T grant
/
  • Editorial clarification

Revised Payback (Section 11.4): Major changes to this section have been conceptually approved by the PSC.
  • Removed text on pre-1981 and pre-1993 policies. A separate document will be housed on the PSC Website to provide this historical information.
  • Updated example in the Financial Payback Interest Calculation section to be more current
  • Updated NHSC section to reflect only current policy. Historical policy will be part of the document on the PSC website
/
  • Editorial clarification

  • Deleted Appendix on Receipt Dates & Review Schedules. Text has been added within the body of the F & T sections to point to the website
/
  • Editorial clarification

NEWChapter: Chapter 12– Research Career Development (“K”) Awards
Includes the following existing K Policies:
  • Leave, Temporary Adjustments to Percent Effort, and Part-Time Institutional Appointments (Sections 12.3.5 & 12.3.6)
/
  • Implements policy announced in NOT-OD-09-036

  • Determining Full-Time Professional Effort For Career Awards (Section 12.3.6)
/
  • Implements policy announced in NOT-OD-04-056

  • Policy Concerning Concurrent Support From Career Development Award and A Research Grant (Section 12.3.6.2)
/
  • Implements policy announced in NOT-OD-08-065; superseded NOT-OD-04-007

  • K Transition to Electronic Submission and transition of Institutional Career Development Programs to Electronic Submission (Section 12.4.1)
/
  • Reflects transition plans announced in NOT-OD-09-029 and NOT-OD-10-008

  • Reference letters submitted directly by the referee through the Commons (Section 12.4.1.1)
/
  • Implements procedures announced in NOT-OD-09-029

  • Requirement for Instruction in the Responsible Conduct of Research for Career Development Awards (Institutional and Individual) (Section 12.4.1.4)
/
  • Implements policy announced in NOT-OD-10-019

  • Budget: Detailed budget information now required (Section 12.4.1.5)
/
  • Implement change in business process announced in NOT-OD-09-029

  • Allowable and Unallowable Costs: Proposal Preparation Costs are allowable (Section 12.8.3)
/
  • Reflects OMB concurrence that this type of costs is OK for K programs due to the goals of these programs. See NOT-OD-11-002

Chapter 13– Modular Applications and Awards
  • RevisedApplicability: Modular applications do not apply to foreign (non-U.S.) organizations: NIH Announces Requirement for Detailed (Non-Modular) Budget Submissions for All Competing Grant Applications from Foreign (Non-U.S.) Institutions(Section 13.2)
/
  • Implements policy announced in NOT-OD-06-096

  • RevisedPost-Award Administration: to clarify the significant rebudgeting provision described as a potential change of scope indicator does not apply. (Section 13.5)
/
  • Editorial clarification

Chapter 14 – Support Of Scientific Meetings (Conference Grants)
  • New: Section on acknowledgement of funding source and disclaimer; includes text on appropriate use of NIH & HHS logos
/ Implements HHS requirement
  • RevisedApplication Requirements: Added text re: transition to electronic submission (Section 14.5)
/ Reflects transition plans announced in NOT-OD-05-081
Revised Public Policy Requirements (Section 14.6):
  • Added text re: additional requirement that applies to NIH conference grants: The United States Hotel and Motel Fire Safety Act of 1990
/

Implements applicable sections of P.L. 1010-391

  • Added text re: Acknowledgment of Funding Source and Disclaimer (Section 14.9)
/
  • Reflects HHS policy requirement

RevisedAllowable and Unallowable Costs (Section 14.10)
  • AddedRegistration Fees: Grant funds may not be used for registration fees paid by the grantee to other organizations on behalf of attendees.
  • Added text re: Visa and Passports are not allowable.
/
  • Aligns registration fees information with HHS policy
  • Editorial Clarification

Chapter 15– Consortium Agreements
  • Updated: Written Agreement section updated to include multiple PD/PI applications (Section 15.2.1)
/ Reflects current policy and procedures.
  • RevisedPublic Policy Requirements and Objectives (Section 15.2.2)
  • Added text re:Animal welfare requirements that apply to grantees also apply to consortium participants and subprojects. The primary grantee is responsible.
/ Editorial clarification
Chapter 16 – Grants to Foreign Institutions, International Organizations, and Domestic Grants with Foreign Components
  • Revised Eligibility Section (16.2): To include exclusion from using Modular Budgets
/
  • Implements policy announced in NOT-OD-06-096

  • RevisedPublic Policy Requirements (Section 16.4):Clarifies that FCOI applies to foreign grants
/
  • Editorial clarification

  • Revised Allowable and Unallowable Costs(Section 16.6): Addresses allowability of Minor A&R
/
  • Implements policy announced in NOT-OD-09-010

  • Revised Reporting Section (16.7.5)to include information on Invention Reporting
/
  • Implements policy announced in NOT-OD-06-005

Chapter 17 – Grants To Federal Institutions And Payments To Federal Employees Under Grants
Added text re:not applicable to Federally Funded Research and DevelopmentCenters (also known as Government Owned Contract Operated facilities) since the grantee institution is the institution operating the facility. (Section 17.1) /
  • Editorial clarification

Chapter 18 – Grants to For-Profit Organizations
  • Revised: Administrative Requirements: Added text re: Equipment Accountability for for-profit grantees (Section 18.4)
/
  • Reflects current policy

  • Revised section on differences between the SBIR and STTR programs (Section 18.5)
/
  • Editorial clarification.

  • RevisedEligibility Section on Qualification as a Small Business Concern separated out for SBIR and STTR (Section 18.5.2)
/
  • Editorial clarification.

  • NEW Section: Multiple Program Director/Principal Investigator Applications and Awards for SBIR/STTR awards (section 18.524)
/ Reflects SBIR/STTR exception for SBIR/STTRs
  • SBIR/STTR Allowable Cost Section (18.5.4):
  • New: Section 18.5.4.1 added to address Program Levels
  • Revised 18.5.4.3 to reflect current policy on thresholds for F&A Rate Negotiation
/
  • Implements policy announced in NOT-OD-09-038

  • RevisedIntellectual Property Section (18.5.5.2): Added text re: intellectual property rights in data developed under an SBIR funding agreement
/
  • Reflects current policy

Chapter 19 – Research Patient Care Costs: Added text re: Post-Award Requirements at end of chapter / Post-award rebudgeting into or out of the patient care costs category is likely to be considered a change in scope and require prior approval of the NIH awarding IC
PART III - Points of Contact
All contact information (addresses, phone #s, etc.) throughout document relocated to Part III and links provided as appropriate. / Providing address information in one central location will aid in maintaining updates more efficiently

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