GRANTS TO FOREIGN INSTITUTIONS, INTERNATIONAL ORGANIZATIONS;DOMESTIC GRANTS WITH FOREIGN COMPONENTS

General

Most of the policies contained in Subpart A of this part apply to NIH grants made to foreign institutions and international organizations (hereafter “foreign grants”), including the requirements of 45 CFR Part 74 or 45 CFR Part 92 and the cost principles incorporated by reference in those regulations. If an applicant/grantee would be unable to comply with these requirements, the AOO should contact the GMO. Specific exceptions and modifications of Subpart A requirements for foreign grants, and highlights of other policies, are set forth in this section. This section also includes policies that apply to domestic grants with a foreign component.

 

Eligibility

In general, foreign institutions and international organizations, including public or private non-profit or for-profit organizations, are eligible to apply for research project grants. Foreign institutions and international organizations are not eligible to apply for Kirschstein-NRSA institutional research training grants, program project grants, center grants, resource grants, SBIR/STTR grants, or construction grants. However, some mechanisms, such as program project grants (P01), may support projects awarded to a domestic institution with a foreign component. For purposes of this policy, a “foreign component” is defined as performance of any significant element or segment of the project outside the United States either by the grantee or by a researcher employed by a foreign institution, whether or not grant funds are expended. Activities that would meet this definition include the following:

- The involvement of human subjects or animals

- Extensive foreign travel by grantee project staff for the purpose of data collection, surveying, sampling, and similar activities

- Any activity of the grantee that may involve the population, environment, resources, or affairs of a foreign country.

Foreign travel exclusively for consultation is not considered a “foreign component.”

See “Support of Scientific Meetings (Conference Grants)” for NIH policy on support of international conferences.

Grants may not be made to individuals in a foreign location (i.e., outside of the United States and its territorial possessions). Occasionally, a Kirschstein-NRSA individual fellowship award is made to an American citizen or a non-citizen national to study in a foreign institution. (A “non-citizen national” is a person who although not a citizen of the United States owes permanent allegiance to the United States, such as a resident of American Samoa.)

 

Application Review

Applications from foreign institutions or international organizations will be evaluated and scored during the initial review process using the standard review criteria. In addition, the following will be assessed as part of the review process and award decision:

- Whether the project presents special opportunities for furthering research programs through the use of unusual talent, resources, populations, or environmental conditions in other countries that are not readily available in the United States or that augment existing U.S. resources.

- Whether the proposed project has specific relevance to the mission and objectives of the IC and has the potential for significantly advancing the health sciences in the United States.

Research grant applications from foreign or international organizations may not be funded unless approved by the IC National Advisory Council or Board.

 

Public Policy Requirements and Objectives

A complete listing of public policy requirements and objectives and their applicability to foreign grants is included in “Public Policy Requirements and Objectives”. Several of the public policy requirements and objectives are highlighted below:

- Research misconduct. The research misconduct requirements included in “Public Policy Requirements and Objectives—Ethical and Safe Conduct in Science and Organizational Operations—Research Misconduct” apply to foreign grants.

- Animal welfare. The animal welfare requirements contained in “Public Policy Requirements and Objectives—Animal Welfare” apply to foreign grants.

- Human subjects. The human subjects requirements contained in “Public Policy Requirements and Objectives—Requirements Affecting the Rights and Welfare of Individuals as Research Subjects, Patients, or Recipients of Services—Human Subjects,” including the requirement for an assurance pursuant to 45 CFR Part 46, apply to foreign grants and foreign consortium participants under domestic or foreign grants.

- Inclusiveness in research design. Foreign grants are subject to the requirements for inclusion of women, members of minority groups, and children in research design as specified in “Public Policy Requirements and Objectives—Requirements for Inclusiveness in Research Design.”

- Civil rights. None of the civil rights requirements specified in “Public Policy Requirements and Objectives—Civil Rights” apply to foreign grants.

- Lobbying. The requirements of “Public Policy Requirements and Objectives—Ethical and Safe Conduct in Science and Organizational Operations—Lobbying,” including disclosure reporting, apply to foreign grants.

- Debt. Foreign applicants are required to provide a certification of nondelinquency on debts owed to the United States as specified in “Public Policy Requirements and Objectives—Ethical and Safe Conduct in Science and Organizational Operations—Nondelinquency on Federal Debt.”

- Debarment and suspension. Applicants/grantees that are foreign governments or governmental entities, public international organizations, or foreign-government-owned or -controlled (in whole or in part) entities are not subject to the debarment or suspension certification requirement or to debarment or suspension under 45 CFR Part 76. All other foreign institutions and international organizations are subject to these requirements.

- Drug-free workplace. Foreign applicants and grantees may be exempted from the drug-free workplace requirements of 45 CFR Part 76 based on a documented finding by the NIH awarding office that application of those requirements is inconsistent with U.S. international obligations or the laws and regulations of a foreign government.

 

Funding and Payment

The application budget, requests for funds, and financial reports (see “Reporting and Record Retention”) must be stated in U.S. dollars. Once an award is made, NIH will not compensate foreign grantees for currency exchange fluctuations through the issuance of supplemental awards.

Awards to foreign institutions and international organizations are not paid through PMS. These grants normally will be paid by U.S. Treasury check by OFM, NIH on a predetermined quarterly advance basis, usually in four equal installments. If the amount advanced to an organization based on the predetermined quarterly advance is insufficient to meet the grant’s cash requirements, the grantee must make a written request to the GMO for any additional funds needed. All payments will be in U.S. dollars. Foreign grantees are strongly encouraged to use U.S. banks to ensure that payments arrive on time. The funding and payment information outlined in this subsection applies when the foreign institution is the grantee organization. When a foreign component participates in a consortium arrangement, the funding and payment information should be reflected in the formal written agreement.

Any questions regarding payments to foreign grantees may be addressed to OFM (see Part III for address and telephone and fax numbers).

 

Allowable and Unallowable Costs

The costs that are generally allowable under grants to domestic organizations also are allowable under foreign grants, with the following exceptions:

- A&R. Unallowable under foreign grants and domestic grants with foreign components.

- Customs and import duties. Unallowable under foreign grants and domestic grants with foreign components. This includes consular fees, customs surtax, value-added taxes, and other related charges.

- F&A costs. With the exception of American University of Beirut and the World Health Organization, full F&A costs will not be allowed. However, NIH provides limited F&A costs (8 percent of total direct costs less equipment) to foreign institutions and international organizations to support the costs of compliance with NIH requirements including, but not limited to, protection of human subjects, animal welfare, and research misconduct. NIH will not support the acquisition of, or provide for depreciation on, any capital expenditures, or support the normal, general operations of foreign and international organizations.

 

Administrative Reqiurements

Changes in Project and Budget

Foreign grants are included in expanded authorities. Inclusion in SNAP is at the discretion of the NIH awarding office and will be specified on the NGA.

 

Change in Scope

A change in the performance site within a foreign country or performance in a country other than that specified in the approved application requires NIH awarding office prior approval. The transfer of work by a domestic grantee to a foreign component also requires awarding office prior approval.

 

Change of Grantee Organisation

A change of grantee organization that involves the transfer of a grant to or between foreign institutions or international organizations requires approval of the NIH awarding office and it’s National Advisory Council or Board. NIH awarding office approval also is required for the transfer of a grant from a foreign organization to a domestic organization.

 

Audit

Foreign grantees are subject to the same audit requirements as for-profit organizations (specified in 45 CFR 74.26(d) and in “Grants to For-Profit Organizations”).

 

Reporting and Record Retention

Foreign grantees must submit annual FSRs in U.S. dollars, whether or not they are under SNAP. This is due to the fact that foreign grantees are not paid through PMS and, therefore, do not submit the SF 272 (which NIH uses in lieu of the annual FSR for domestic awards under SNAP). The currency rate in effect at the time the FSR is prepared should be used in preparing the report.

Record retention requirements are the same as those for domestic grantees.

 

 

Više informacija na: http://grants.nih.gov/grants/policy/policy.htm

 

 


 


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