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* The application forms package associated with most NIH research grant funding opportunities includes two
optional budget forms: (1) SF424 (R&R) Budget and (2) PHS 398 Modular Budget. NIH application submissions
must include either the SF424 (R&R) Budget Form or the PHS 398 Modular Budget Form, but never both. (Note
AHRQ does not accept modular budgets.) Unless otherwise stated in a funding announcement, an application
must always be submitted with a budget
form
. For those programs where either form is a possibility, the budget
forms will be considered “optional” by the Grants.gov package. Nonetheless, it is still required that you select and
submit one of these budget forms for an application to be accepted by the NIH.
To determine which budget form to use for NIH applications, consult the modular budget guidelines found in
Section 5.4. Additional guidance may also be provided in the specific funding opportunity announcement.
Some funding opportunities will explicitly state the use of only one of the budget forms. In this case, the application
package will only include the accepted budget form which will appear in the list of “mandatory” forms (not in the
optional list).
All required and optional forms for electronic submission listed above are available through Grants.gov and should
be downloaded from the FOA being applied to. Do not use any forms or format pages from other sources; these
may include extraneous headers/footers or other information that could interfere with the electronic application
process.
2.6 Format Specifications for Text (PDF) Attachments
Designed to maximize system-enforced validations, multiple separate attachments are required for a
complete application. When the application is received by the agency, all submitted forms and all separate
attachments are combined into a single document that is used by peer reviewers and agency staff.
NIH and other PHS agencies require all text attachments to the Adobe application forms be submitted as
PDFs and that all text attachments conform to the agency-specific formatting requirements noted below.
Failure to follow these requirements may lead to rejection of the application during agency validation or
delay in the review process. (See Section 2.3.2 for more information on creating PDFs.)
Text attachments should be generated using word processing software and then converted to PDF using
PDF generating software. Avoid scanning text attachments to convert to PDF since that causes problems
for the agency handling the application. Additional tips for creating PDF files can be found at
http://grants.nih.gov/grants/ElectronicReceipt/pdf_guidelines.htm.
When attaching a PDF document to the actual forms, please note you are attaching an actual document,
not just pointing to the location of an externally stored document. Therefore, if you revise the document
after it has been attached, you must delete the previous attachment and then reattach the revised
document to the application form. Use the View Attachment button to determine if the correct version
has been attached.
File Name
Save all files with descriptive file names of 50 characters or less and be sure to only use standard
characters in file names: A through Z, a through z, 0 through 9, underscore (_), hyphen (-), space ( ), and
period (.). Do not use any other special characters (example: “&”, “-“, “*”, “%”, “/”, and “#”) or spacing
in the file name.
Font
Use an Arial, Helvetica, Palatino Linotype, or Georgia typeface, a black font color, and a font size of 11
points or larger. (A Symbol font may be used to insert Greek letters or special characters; the font size
requirement still applies.)
Type density, including characters and spaces, must be no more than 15 characters per inch.
Type may be no more than six lines per inch.
Paper Size and Page Margins
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Use standard paper size (8 ½" x 11).
Use at least one-half inch margins (top, bottom, left, and right) for all pages. No information should
appear in the margins, including the PI’s name and page numbers.
Page Formatting
Since a number of reviewers will be reviewing applications as an electronic document and not a paper
version, applicants are strongly encouraged to use only a standard, single-column format for the text.
Avoid using a two-column format since it can cause difficulties when reviewing the document
electronically.
Do not include any information in a header or footer of the attachments. A header will be system-
generated that references the name of the PD/PI. Page numbers for the footer will be system-generated in
the complete application, with all pages sequentially numbered.
Figures, Graphs, Diagrams, Charts, Tables, Figure Legends, and Footnotes
You may use a smaller type size but it must be in a black font color, readily legible, and follow the font
typeface requirement. Color can be used in figures; however, all text must be in a black font color, clear
and legible.
Grantsmanship
Use English and avoid jargon.
If terms are not universally known, spell out the term the first time it is used and note the appropriate
abbreviation in parentheses. The abbreviation may be used thereafter.
Page Limits
Although many of the sections of this application are separate text (PDF) attachments, page limits
referenced in these instructions and/or funding opportunity announcement must still be followed. Agency
validations will include many checks for page limits. Some accommodation will be made for sections that
when combined must fit within a specified limitation. Note that while these computer validations will
help minimize incomplete and/or non-compliant applications, they may not address all page limit
requirements for a specific FOA and do not replace the validations conducted by NIH staff. Applications
found not to comply with the requirements may lead to rejection of the application during agency
validation or delay in the review process.
All applications for NIH and other PHS agency funding must be self-contained within specified page
limits. Unless otherwise specified in an NIH solicitation, Internet Web site addresses (URLs) may not be
used to provide information necessary to the review because reviewers are under no obligation to view the
Internet sites. Moreover, reviewers are cautioned that they should not directly access an Internet site as it
could compromise their anonymity.
Observe the page number limits given in Table 2.6-1. Only when specifically allowed in a FOA, will the
PHS accept applications that exceed the page number limitations. However, specific page number limits
may apply to each subproject. For information pertaining to page number limits for such projects, contact
the awarding component to which the application may be assigned. (See Table 1.4-1. Agency Contact
Table.) The page number limitations may also be different for other specialized grant applications.
Applicants are prohibited from using the Appendix to circumvent page limitations in any section of the
application for which a page limit applies. For additional information regarding Appendix material and
page limits, please refer to the NIH Guide Notice NOT-OD-11-080.
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Table 2.6-1. Page Limits
Please visit http://grants.nih.gov/grants/forms_page_limits.htm for a more detailed Table of Page
Limits.
SECTION OF APPLICATION
Also refer to the relevant section of the application instructions and the FOA.
PAGE LIMITS
*
Introduction to Resubmission Application
(3 pages for R25 on PHS 398 Research Plan and 3 pages for K12, T and D Training
Grants on PHS 398 Training Program Plan)
1 page
Introduction to Revision Application
1 page
Specific Aims
1 page
Research Strategy (Item of Research Plan)
6 pages
or 12 pages
or Follow FOA instructions
Research Education Program Plan
For R25 Research Education Grant Applications
25 pages
Plan for Instruction in the Responsible Conduct of Research
Required for all Training Grant Activity Codes
Required for all Individual Career Development Grant Activity Codes
3 pages
1 page
Biosketch (per person)
(2 pages for DP1 and DP2 Activity Codes)
4 pages
Career Development Award (K) Application
Upload to PHS 398 Career Development Award Supplemental Form: Combined
Candidate Information (Items 2-4: Candidate’s Background, Career Goals and
Objectives, and Career Development/Training Activities During Award Period) and
Research Strategy (Item 11)
12 pages
Institutional Research Training and Career Development Applicants,
Including Ruth L. Kirschstein NRSA Application
Research Training Program Plan: Combined Sections 8.7.2.2 – 8.7.2.4 (Background,
Program Plan, and Recruitment and Retention Plan to Enhance Diversity)
25 pages
* FOA instructions always supersede these instructions.
2.7 “Resubmission” Applications
For all original new (i.e. never submitted) and competing renewal applications submitted for the January
25, 2009 due date and beyond, NIH will accept only a single amendment (A1) to the original application
(called a resubmission application). A lengthy hiatus after the initial submission may be marked by
significant advances in the scientific field and the comments of the reviewers may no longer be relevant.
Therefore, a resubmission application must be submitted within 37 months after the date of receipt
("receipt date") of the initial New, Renewal, or revision application (see NOT-OD-10-140). After 37
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months, you may submit a New application. Any second resubmission will be administratively withdrawn
and not accepted for review.
For original new and competing applications submitted prior to January 25, 2009, applicants are permitted
two resubmissions (A1 and A2). For these “grandfathered” applications, any second resubmission (A2)
must be submitted no later than the appropriate due date for Cycle III; NIH will not accept any A2
resubmissions after that date. See NIH Policy on Resubmission Applications in Supplemental Instructions
Part III, 1.3.
NIH has established policies for application resubmissions of certain categories. See Resubmission of
Unpaid RFA Applications and Resubmission of Applications with a Changed Grant Activity Code in
Supplemental Instructions Part III, 1.2.
There are five requirements for a Resubmission application:
•
The Summary Statement must be available in the eRA Commons
(http://commons.era.nih.gov/commons).
•
The PD/PI(s) must make significant changes to the application.
•
An Introduction must be included that summarizes the substantial additions, deletions, and
changes to the application. The Introduction must also include a response to the issues and
criticism raised in the Summary Statement. The Introduction is separate from the Cover
Letter. Use Item 2.1 Introduction of the PHS 398 Research Plan Form to provide this
information. The page limit for the Introduction may not exceed one page unless indicated
otherwise. Please refer to the relevant section of the application instructions and the FOA.
•
The substantial scientific changes must be marked in the text of the application by bracketing,
indenting, or change of typography. Do not underline or shade the changes. Deleted sections
should be described but not marked as deletions. If the changes are so extensive that
essentially all of the text would be marked, explain this in the Introduction. The Preliminary
Studies/Progress Report section should incorporate work completed since the prior version of
the application was submitted.
•
For Mentored Career Development Award applications, new Letters of Reference must be
submitted providing an up-to-date evaluation of the applicant’s potential to become an
independent researcher, and the continued need for additional supervised research experience.
See NOT-OD-11-057 for special conditions and due dates for new investigator resubmission applications
submitted for consecutive review cycles. Note this applies only to new investigator R01s submitted for
standard receipt dates and reviewed in recurring study sections in CSR.
Acceptance of a resubmission application will not automatically withdraw the prior version. eRA keeps
all versions (e.g., 01, A1) of a grant application active and provides an internal Multiple Active
Applications (MAA) flag for each application in an active cluster. The cluster allows applicants to
identify quickly all versions of one application. If any version in a cluster is awarded, all other
applications within the cluster will be automatically withdrawn without any additional action by
applicants or staff.
Investigators who have submitted two versions of an application and have not been successful often ask
NIH what constitutes a “new application.” It is recognized that investigators are trained in a particular
field of science and are not likely to make drastic changes in their research interests. However, a new
application following three reviews is expected to be substantially different in content and scope with
more significant differences than are normally encountered in a Resubmission application. Simply
rewording the title and Specific Aims or incorporating minor changes in response to comments in the
previous Summary Statement does not constitute a substantial change in scope or content. Changes to the
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Research Strategy should produce a significant change in direction and approach for the research project.
Thus, a new application would include substantial changes in all portions of the Specific Aims and
Research Strategy. Requests for review by a different review committee or funding consideration by a
different NIH IC are not sufficient reasons to consider an application as new.
In the referral process, NIH staff look at all aspects of the application, not just the title and Description
(abstract). Requesting review by a different review committee does not affect the implementation of this
policy. When necessary, previous applications are analyzed for similarities to the present one. Thus,
identical applications or those with only minor changes will not be accepted for review. If identified after
assignment or review, identical applications will be withdrawn.
2.8 “Revision” Application
A competing supplemental application (now known as a “Revision” application) may be submitted to
request support for a significant expansion of a project’s scope or research protocol. Applications for
revisions are not appropriate when the sole purpose is to restore awards to the full SRG-recommended
level if they were administratively reduced by the funding agency. A revision application should not be
submitted until after the original application has been awarded and must not extend beyond the term of
the current award period.
Provide a one-page “Introduction” that describes the nature of the supplement and how it will influence
the specific aims, research design, and methods of the current grant. Use Item 2.1, Introduction to
application, of the PHS 398 Research Plan form to provide this information. The body of the application
should contain sufficient information from the original grant application to allow evaluation of the
proposed supplement in relation to the goals of the original application. Note that all revision applications
must be submitted by the same PD/PI (or Contact PD/PI for multi-PI grants) as listed on the current
award and applicants must use the same budget format (i.e. R&R Budget Form or PHS 398 Modular
Budget Form) as the current award. Also, any budgetary changes for the remainder of the project period
of the current grant should be discussed in the Budget Justification.
If the revision application relates to a specific line of investigation presented in the original application
that was not recommended for approval by the SRG, then the applicant must respond to the criticisms in
the prior Summary Statement, and substantial revisions must be clearly evident and summarized in the
“Introduction.”
Administrative Supplements
An administrative supplement provides additional funding to meet increased costs that are within the
scope of an approved application, but that were unforeseen when the new or competing renewal
application was submitted. If considering administrative supplement funding, you must consult in
advance with your designated Grants Management Officer and Program Official. It is important to submit
a request before the grant expires. To be considered for an administrative supplement, you must submit a
request in writing to the IC (not to the Division of Receipt and Referral, Center for Scientific Review).
The request must be signed by the authorized Business Official and describe the need for additional
funding and the categorical costs. In the letter, point out what will NOT be able to be accomplished if
such a request is denied. At this time administrative supplements may not be submitted through
Grants.gov.
2.9 Similar, Essentially Identical, or Identical Applications
Submissions of identical applications to one or more components of the PHS are not allowed.
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