PUBLICATION OF THE NATIONAL INSTITUTES OF HEALTH GRANTS POLICY STATEMENT

Release Date:  October 21, 1998

P.T.

National Institutes of Health

The National Institutes of Health (NIH) is pleased to announce the publication
of the NIH Grants Policy Statement (NIHGPS).  The NIHGPS is effective for all NIH
grants and cooperative agreements with budget periods beginning on or after
October 1, 1998, and will supersede, in its entirety, the PHS Grants Policy
Statement (rev. 4/01/94, and 1/24/95) as a standard term and condition of award.

NIH applicants and grantees have historically relied on a variety of sources for
information about NIH's grants process and requirements.  The primary source of
that information was the Public Health Service (PHS) Grants Policy Statement. 
The PHS Grants Policy Statement was issued by the Office of the Assistant
Secretary for Health, an organizational level that was eliminated as part of the
Department of Health and Human Services (HHS) streamlining efforts.  Although
much of the content of the NIHGPS may be applicable to grants awarded by other
PHS or HHS components, NIH has developed this document for its own purposes. 
Thus, the PHS Grants Policy Statement remains in effect for other components of
the PHS.

The NIHGPS is intended to make available to NIH grantees, in a single document,
up-to-date policy guidance that will serve as the terms and conditions of NIH
awards.  This document is also designed to be useful to those interested in NIH
grants by providing information about NIH.

The document is set up in four parts: 

o  Part I includes general information about NIH and its grant application and
review processes; provides a glossary of commonly used terms; describes NIH and
its relationship to other organizations within the HHS; specifies grantee, NIH,
and other HHS staff responsibilities; and explains the various resources
available to those interested in the NIH grants process.

o  Part II provides the standard terms and conditions that will be incorporated
by reference in all NIH grant awards.  This Part includes generally applicable
requirements, which may be either in the form of full text or reference to or
highlighting of statutory, regulatory, or Office of Management and Budget (OMB)
requirements.

o  Part III consists of terms and conditions that apply to particular types of
grants/grantees/activities that differ from or supplement those in Part II;
specifies, in separate sections, requirements that pertain to construction
grants; training grants and fellowships; conference grants; consortium
agreements; grants to foreign and international organizations (and domestic
grants with substantial foreign components); grants to Federal institutions and
payments to (or on behalf of) Federal employees; grants to for-profit
organizations; and research patient care activities. 

o  Part IV includes a listing of NIH and HHS offices and officials with their
addresses, telephone numbers and web addresses.  This format allows general
information, application information, and other types of reference material to
be separated from legally binding terms and conditions that are contained in
Parts II and III.

While the NIHGPS has been reformatted as described above, most of the actual
changes to the content of the prior PHS Grants Policy Statement are technical
amendments to reflect current requirements rather than substantive changes in
policy. Highlights of notable changes are described below.  The NIHGPS contains
expanded coverage on several topics; including roles and responsibilities, cost
considerations, inventions and patents, and the inclusion of the streamlined
noncompeting award process (SNAP).

Interim changes to NIH grants policies will be published in the NIH Guide for
Grants and Contracts (NIH Guide).  The NIH Guide is published on the NIH Home
Page at http://www.nih.gov (access the "grants" link under "Funding Opportunities,"
then click on the "NIH Guide").  Conforming changes will be made in the
electronic version of the NIHGPS, with a date indicator showing the effective
date of the change.  The electronic copy of the NIHGPS is available on the NIH
Home Page at http://www.nih.gov (access the "grants" link under "Funding
Opportunities," then click on "Grants Policy," then click on the "NIH Grants
Policy Statement"). Also, a PDF version of the NIHGPS will be available from this
location. 

A single copy of the NIHGPS will be mailed to the authorized institutional
official of each grantee institution with currently active NIH grants and/or
cooperative agreements.  Each institution will be responsible for duplicating and
distributing this document internally to staff.  A single copy can be obtained
by sending an e-mail request, including your mailing address, to
[email protected].

Notable changes included in the NIHGPS (10/01/98):

o  Alterations and Renovations (A&R):  the rebudgeting threshold for a single
budget period without NIH prior approval has been increased from $50,000 to up
to 25% of the total approved budget for a single budget period, but not to exceed
$300,000, unless such rebudgeting would constitute at change in scope.  If the
rebudgeting results in an A&R project exceeding $300,000, NIH will consider the
rebudgeting to be a change in scope.  The grantee must submit the documentation
specified in "Construction Grants" in Part III to the awarding NIH Institute or
Center.

o  Audiovisuals Activities:  the prior approval requirement for audiovisual
activities in excess of $25,000 has been eliminated.

o  Patient Care Rates:  the threshold for negotiation of a patient care rate
agreement has been increased from $25,000 in a single budget period to $100,000
in a single budget period.

o  Significant rebudgeting:  the new definition excludes rebudgeting funds in
excess of $250,000 as an indicator of significant rebudgeting.  The new
definition is as follows: significant rebudgeting occurs when expenditures in a
single direct cost budget category deviates (increases or decreases) from the
categorical commitment level established at the time of the competing award by
more than 25% of the total amount awarded.  The basis for determining significant
rebudgeting excludes the effects of carryover of prior year unobligated balances,
but includes competing or administrative supplements.

INQUIRIES

Additional questions about the NIHGPS may be directed to the NIH Division of
Grants Policy at (301) 435-0949 or the Grants Management Specialist identified
on the NIH Notice of Grant Award.

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