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Grants Policy Statment - United States Department of ...

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). 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.

Jan 01, 2007 · 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.

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Transcription of Grants Policy Statment - United States Department of ...

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). 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.

2 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. 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.

3 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. 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.

4 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. 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). In 1998 (and with subsequent updates), NIH issued its own NIH Grants Policy Statement.

5 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. 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.

6 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. 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.

7 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. To ensure that applicants and recipients are aware of changes, recipients should refer to the Federal Register and Code of Federal Regulations (Titles 45 and 42). These documents are available online at Conventions Certain conventions are followed throughout this document.

8 The term grant is used to mean both Grants and cooperative agreements; however, for clarity, certain sections mention both Grants and cooperative agreements. The term recipient generally is used to refer to the organization to which an OPDIV makes a grant or cooperative agreement award. However, depending on the context, the terms grantee may be used rather than recipient. HHS may be used in this document to refer to the entire organization or to its component organizations, or else to contrast an action by an OPDIV with an action by a recipient or other organization. A reference to Part I, II, III, or IV without further elaboration means the corresponding part of the HHS GPS. Although most of the requirements in the HHS GPS apply to the covered activities of all OPDIVs, if a requirement applies more narrowly, the exception is explicitly noted. Maintenance The Office of Grants part of the HHS Office of the Assistant Secretary for Resources and Technology is responsible for developing and maintaining this document, which will be reissued periodically.

9 Interim changes will be posted on the HHS and OPDIV Web sites (see Part I). Each change, including its applicability and effective date and the affected sections of the HHS GPS specified, will be described, and the necessary language to implement it as a term or condition of award will be provided. The Office of Grants welcomes comments and suggestions for future versions of the HHS GPS. Table of Contents Part I: HHS Grants I-1 General I-1 HHS Grant-Awarding Operating I-1 Types of HHS Financial Assistance I-3 Sources of I-4 Roles and I-4 Roles and Responsibilities of OPDIV Staff Members and Other HHS I-5 Roles and Responsibilities of Recipients and Their I-6 Fraud, Waste, and I-7 Paperwork Reduction I-8 Sources of Information about HHS Grant Processes and I-9 Application and Application Review I-9 and Funding Opportunity I-9 I-11 Suspension and I-13 Delinquency on Federal I-14 I-15 Application I-15 Types of Applications and Letters of I-15 Application I-16 Preparing an I-17 Public Policy I-18 Research-Related I-18 National Environmental Policy I-19 Preservation of Cultural and Historic I-20 iv Protection of I-21 Uniform Relocation Act and Real Property Acquisition Policies I-22 The Application I-22 Indirect I-23 Matching or Cost I-24 Research Patient Care I-25 Third-Party I-25 Submitting an I-25 Executive Order 12372 and Public Health System Reporting

10 RequirementsI-26 Use of Application I-27 Freedom of Information I-28 Privacy I-29 Objective Review of I-29 Disposition of I-30 Business Management Reviews and Other Pre-Award I-31 Assurances of I-31 Cost I-32 Assessment of Financial and Other Management I-32 The Notice of I-33 Project Period and Budget I-34 Other Terms and I-35 I-36 SMARTLINK I-36 I-36 Cash I-37 Post-Award I-37 v Part II: Terms and Conditions of Overview of Terms and Conditions of General, Program-Specific, and Award-Specific Terms and Effect and Order of Flow-Down of Requirements under Subawards and Contracts under GrantsII-2 Public Policy Standards of Conduct for Recipient Hatch Age Discrimination Act of Civil Rights Act of Education Amendments of Rehabilitation Act of Biological Agents and USA PATRIOT Public Health Security and Bioterrorism Preparedness and Response Human Office for Human Research Protections and Recipient ResponsibilitiesII-10 Protection of Research Subjects II-12 Animal II-12 Other Research-Related II-13 Research II-13 Financial Conflict of II-14 Recombinant DNA and Human Gene Transfer II-15 Human Embryonic Stem Cell Research and II-16 Research on Human Fetal II-16 Transplantation of Human Fetal II-18 vi


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