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PHS Grants Policy Statement

Table of Contents

1. Introduction
2. Glossary
3. Types of Applications
Discretionary Grants
Applying for Discretionary Grants
New Applications
Competing Continuation Applications
Noncompeting Continuation Applications
Supplemental Applications
For Expansion
For Administrative Increases
Noncompeting Extensions
4. Preaward Policies and Considerations
Program Announcements
Trainees and Fellows
English Language Requirement
Public Policy Requirements
Civil Rights
Alcohol and Other Drug Abuse
Environmental Impact
Flood Insurance
Historic Properties
Relocation Assistance and Real Property Acquisition
Elimination of Architectural Barriers to the Handicapped in Construction Supported by Grant Funds
Human Subjects
Abortions and Related Medical Services
Recombinant DNA and Institutional Biosafety Committees
Animal Welfare
Reporting Requirements
Investigator's Responsibility
Student Unrest Provisions
Misconduct in Science
Requirements for Drug Free Workplace
Debarment and Suspension
Debt Collection
Certification of Nondelinquency on Federal Debt
Program Fraud Civil Remedies Act
False Claims Act
PHS Metric Program
Pro Children Act
PHS Policy on Smoke Free Workplace
Veterans Health Care Act of 1992
Uses of Applicant Information
Release of Information
The Freedom of Information Act
The Privacy Act
Salary Information in Application
Information Collection Under Grants
External Review Requirements
Executive Order 12372
Public Health System Reporting Requirements
Internal Review Process
Application Receipt
Objective Review of Grant Applications
Cost Analysis
Reviews of Financial Systems and Management Capability
Notification to Unsuccessful Applicants
5. Award Process
Terms of Award
Award and Funding
Discretionary Grants
Construction Grants
Training Grants
Individual Fellowships
Monthly Cash Request (Treasury Check)
Reimbursement by Treasury Check
Secondary Recipient Advances
Assignment of Payments
6. Non-Federal Sources of Funds
Third Party Reimbursement and Other Sources of Health Services Funding
Maintenance of Effort and Nonsupplantation of Funds
7. Costs Under PHS Grant-Supported Projects/Activities
Allowable and Unallowable Costs
Facilities Purchased or Constructed by State or Local Governments
Cost Transfers
Allocation of Costs When Work Is Closely Related
Applicable Credits
Research Patient Care Rates
Services Provided by Affiliated Institutions
8. Postaward Administration
Changes in Expenditures/Activities
Changes in Project
Beginning Date
Protocol or Scope
Status or Absence of Program Director, Project Director, or Principal Investigator
Change of Grantee Organization
Successor in Interest and Name Changes
Prior Approval Authorities
Special Provisions for Research Grants
Authorities Given to Grantees
Prior Approval Authorities Retained by PHS for Research Grants
Requests for Approvals
Construction Grants
Federal Income Tax
Program Income
General Program Income
Treatment of General program Income Under Research Grants
Sale of Real Property, Equipment, and Supplies
Sale of Property
Sale of Equipment
Unused Supplies
Other Income
Royalties From Copyrighted Work
Roylaties From Patents or Inventions
Interest and Investment Income
Income After the Grant or Subgrant Support Not Otherwise Treated
Interest Earned on Advances of Grant Funds
Property Management and Accountability
Surplus and Excess Property
Real Property
Equipment and Supplies
Revocable License
Patents and Inventions
Management Systems and Procedures
Financial Management and Non-Federal Audits
Fraud, Abuse, and Waste
Contracts for Substantive Programmatic Work
All Contracts
Contracting With Small and Minority Firms, Women's Business Enterprises, and Labor Surplus Firms
Health and Safety Guidelines
Standards of Conduct for Employees
Programmatic Performance (Progress) Reports
Financial Status (Expenditure) Reports
Estimated Expenditures
Actual Expenditures
Invention Reports
Overdue Reports
Record Retention and Access
Suspension, Termination, and Withholding
Grant Appeals Procedures
PHS Policy Relating to Distribution of Unique Research Resources Produced With PHS Funding
Distribution Costs
Inventions and Commercialization


1. PHS Awarding Offices
2. Construction
3. Construction Cost Estimate Outline
4. Policies Governing Foreign Institutions and International Organizations
5. Policies Governing Federal Grantees
6. Grants to For-Profit Organizations
7. Support of Conferences
8. Offices Negotiating Indirect Cost Rates for Awards to For Profit Organizations
9. Standard Patents Rights Clause

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