Grants Policy Statment - HHS.gov

1 HHS Grants Policy Statement department of Health and human services Office of the Assistant Secretary for Resources and Technology Office of Grants January 1, 2007 Introduction The department of Health and human services Grants Policy Statement (HHS GPS) is intended to make available in a single document the general terms and conditions of HHS discretionary grant and cooperative agreement awards. These general terms and conditions are common across all HHS Operating Divisions (OPDIVs)1 and apply as indicated in the HHS GPS unless there are statutory, regulatory, or award-specific requirements to the contrary (as specified in individual Notices of Award).

2 The HHS awarding offices are components of the OPDIVs and Staff Divisions (hereafter OPDIVs ) that have grant-awarding authority. This document also is designed to be useful to those interested in the HHS Grants process by providing information about that process and its associated authorities and about responsibilities. The HHS GPS is available online from the HHS home page at HHS GPS Organization The HHS GPS has four parts and an appendix, which allow general information, application information, and other types of reference material to be separated from legally binding terms and conditions: Part I: HHS Grants Process.

3 Part I describes the OPDIVs, their role, and the roles of other HHS organizations in HHS Grants ; specifies recipient and HHS staff responsibilities; outlines the grant application and review processes; and explains the various resources available to those interested in the HHS Grants process. Part II: Terms and Conditions of HHS Grant Awards. Part II includes generally applicable terms and conditions. This part also specifies the terms and conditions that apply to particular types of Grants , recipients, and activities that differ from, supplement, or elaborate on the general terms and conditions. Part III: Points of Contact.

4 Part III lists pertinent offices and officials with their addresses and telephone numbers. Part IV: OPDIV-Specific Information and Terms and Conditions. Part IV, which supplements Parts I, II, and III for a given OPDIV, contains any OPDIV supplementary information and OPDIV-specific terms and conditions of award. This includes statutory, regulatory, or public Policy requirements that apply only to that OPDIV or its programs. OPDIV-specific terms and conditions in Part IV take precedence if they conflict with requirements in Part II of the HHS GPS. 1 As indicated under Applicability, the National Institutes of Health (NIH) maintains its own Grants Policy Statement.

5 While the requirements of both Policy statements are equivalent, the NIH GPS addresses only research and research-related matters as well as requirements that apply only to NIH. i Appendices: The appendices include all abbreviations and a glossary of terms used throughout the HHS GPS for ease of reference. Supersession and Applicability Supersession Applicants for HHS Grants and recipients have historically relied on a variety of sources for information about the Grants processes and requirements of HHS and its component OPDIVs.

6 For the recipients of Grants from the OPDIVs constituting the Public Health Service (PHS), the primary source of information for recipients was the Public Health Service Grants Policy Statement. This HHS GPS supersedes in its entirety the Public Health Service Grants Policy Statement, dated April 1, 1994, and addendum, dated January 24, 1995. Applicability This Policy statement applies only to HHS discretionary grant programs and only to awards to organizational entities made by OPDIVs other than the National Institutes of Health (NIH). It does not apply to awards under mandatory grant programs ( , entitlement programs) or to awards made directly to individuals ( , scholarships).

7 In 1998 (and with subsequent updates), NIH issued its own NIH Grants Policy Statement. Until further notice, NIH will continue to issue and maintain its own Grants Policy Statement in lieu of the HHS Recipients are not directly subject to the requirements of HHS Grants Policy Directives and implementing HHS Grants Administration Manuals (or any predecessor OPDIV manuals), which are internal documents guiding HHS operations. If an OPDIV implements a requirement in an internal document that does affect recipients, it will not do so by citing that document; rather, the requirement is placed on the recipient through explicit coverage in the NoA.

8 Cooperative Agreements The Federal Grant and Cooperative Agreement Act of 1977, 31 6301, defines the cooperative agreement as an alternative assistance instrument to be used in lieu of a grant whenever substantial Federal involvement with the recipient during performance is anticipated. The difference between Grants and cooperative agreements is the degree of Federal programmatic involvement rather than the type of administrative requirements imposed. Therefore, statutes, regulations, policies, and the information contained in this Policy statement that are applicable to Grants also apply to cooperative agreements, unless the award itself provides otherwise.

9 2 This HHS GPS is issued as a preliminary step by HHS to standardize and streamline award terms and conditions. Once there are government-wide changes under the Federal Financial Assistance Management Improvement Act of 1999, 31 6101 note, HHS will use this document to reflect those changes. ii iii Subrecipients and Contractors under Grants The information contained in this Policy statement applies directly to the primary recipients of HHS funds.

10 The HHS GPS indicates in Part II whether requirements must be applied to or flowed down to subawards or contracts under Grants . Recipients are responsible for specifying those requirements in subawards (which includes consortium agreements) or contracts, as applicable. Effective Date This document is effective for all new, competing continuation, and non-competing continuation HHS grant and cooperative agreement awards with beginning dates on or after January 1, 2007. This document reflects current HHS requirements as specified in 45 CFR parts 74 and 92. The information in this document is subject to change following its issuance due to changes in statutes, regulations, or policies adopted subsequent to its effective date.