For use in completing the SF424 Application Package (Research Grants, "R" Series)
For other program ("K", "T", "F" "M" and "B" Series) see the application guide
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BOLD TEXT
Indicates changes from the previous NIH Application Guide
CAUTION
Follow all requirements to avoid NIH warnings/errors and/or administrative returns without review
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Funding Opportunity Announcements/Program Announcements (known at ASU as FOA) |
- Funding Announcement has been carefully read
- ASU & PI are eligible to Submit
- If Limited Submission, PI has approval to submit
* Note that NIH requires specific forms for each FOA and these forms are located within the FOA
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General
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- For detailed instructions on completing an application to NIH, see the How to Apply - Application Guide
- All investigators have completed the PHS Annual Questionnaire
- File names ≤ to 50 characters including spaces (do not begin file name with space or include space before the .pdf extension)
- Use any of the following characters in a file name: A-Z, a-z, 0-9, underscore, hyphen, space, period, parenthesis, curly braces, square brackets, tilde, exclamation point, comma, semi colon, apostrophe, at sign, number sign, dollar sign, percent sign, plus sign, and equal sign
- Title does not exceed 200 characters including spaces and punctuation
- All formatting requirements have been met including:
Ο Font size Ο Line Spacing Ο Margins Ο Type Density
Ο No pagination/headers/footers used
- All uploaded documents are in PDF format
- ASU’s Standard Institutional Info is correct on the SF424 and PHS Cover Page Supplement, including the
DUNS (943360412)
UEI (NTLHJXM55KZ6)
EIN (1860196696A1)
- Only use hyperlinks when NIH requests or in relevant citations and publications in biosketches and publication list attachments; do not use hyperlinks anywhere else in the application
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Cover Letter |
- Attach cover letter in the “21. Cover Letter Attachment” field, and not to the “20. Pre-application” field
- DO NOT include assignment or review/do not requests. Use PHS Assignment Request Form instead.
- Specific information about the timing and nature of the delay causing late submission
- Explanation of any subaward budget that is not active during all periods of the proposed grant
- Intent to submit a video as part of the proposal (NOT-OD-12-141)
- Statement if proposed studies will generate large-scale human or non human genomic data (NOT-OD-14-11 and NOT-OD-15-027)
- Complete Vertebrates Animals Section regarding euthanasia, if vertebrate animals will be used
- Any approval documentation required by the FOA and/or type of proposal (include NIH official documentation as part of the cover letter, where appropriate).
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SF424 (R&R) |
- Project Dates & Budget totals are consistent with NIH submission schedule,
- SF424 budget & justification, including subcontracts
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R&R Other Project Info |
- Human/Animals marked pending unless ORIA has reviewed protocol
- Human Subjects Assurance (00009102) / Animal Assurance (D16-00136)
- Projects that involve the use of human materials that check NO for human subject must give a clear explanation of why the project does not constitute human subjects research (Human Subject Policy)
- Project Summary/Abstract has been limited to no more than 30 lines
- Project Narrative has been limited to no more than 3 sentences
- Bibliography & References Cited
- Facilities & Other Resources statement does not include equipment
- A separate Equipment Statement is attached
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R&R Senior/Key Person Profile |
- Organization field has been completed for each person
- Credential is listed for all individuals listed on the R&R Senior/Key Person Profile Form
- Co-PD/PI role has not been selected (unallowable NIH role)
- Co-PD/PI role has not been used for other institutions’ investigators – use “other”/type in “Consortium PD/PI” or “Consortium Investigator”
o Keep in mind - when NIH uses the word “Consortium”, they are referring sub-recipient partners.
- Biosketch limited to 5 pages, unless FOA states otherwise
- Biosketch prepared in the specified format, recommended to use SciENcv
- Biosketch appointments listed in reverse chronological order for all current positions and scientific appointments
- Profiles for remaining senior personnel, other than the PD/PI, in order of importance (if several projects personnel have the same role, those profiles can be alphabetized by last name.
- Current & pending information is not uploaded unless FOA requires it
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PHS 398 Research Plan |
- Specific Aims is limited to 1 page
- Attachment: Data Safety Monitoring Plan
- Attachment: Authentication of Key Biological and/or Chemical Resources
- Research Strategy meets page limit requirements
- All other applicable sections meet the page limitations & are attached
- Resource Sharing Plans are required in specific circumstances, see the NIH application guide for when to include. Per NOT-MH-19-033, all applications involving human subjects that are submitted or referred to NIMH must include a Resource Sharing Plan
- Papers and manuscripts are no longer acceptable as appendix materials
- The only materials that are accepted in the appendix are:
- Blank informed consent/assent forms
- Blank surveys, questionnaires, data collection instruments
- FOA-specified/required appendix materials
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PHS 398 Checklist |
- Replaced by PHS Cover Page Supplement
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PHS Inclusion Enrollment Report |
- Replaces Planned Enrollment Report and Cumulative Inclusion Enrollment Report Forms
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Budget
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- Appropriate Budget Component used (R&R or Modular)
- Budget adheres to all NIH and FOA requirements - including salary cap
- No participant support costs are included, unless FOA specifically allows
- Senior/Key Person Effort on SF424 R&R budget form is > zero
- Costs are allowable, allocable, and reasonable under 2 CFR 200 (uniform guidance)
- Consortium F&A has not been counted toward the funding cap
- Correct annual escalation, ERE, tuition, & F&A rates are used
- F&A has been included on first $25K for each subcontract
- Detailed subcontract budget has not been used with modular budget
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Budget Justification |
- Budget justification is appropriate to Budget Component used
- Budget numbers match budget justification
- All costs (requested/cost shared) are reasonable, allowable, allocable
- CAS exceptions are justified in accord with ASU’s CAS sitelet
- No cost sharing is included, unless required by the FOA
- All cost share commitments, including 3rd party, are in writing
- If cost sharing/matching funds exceed sponsor-specified amount justification has been included in the Cost Sharing Allocations SmartForm.
For detailed budgets all items are in the justification, e.g.
- Travel costs describe who, what, when, & where
- Consultant rates are documented via signed letter
Modular justifications only include the following, as applicable
- Personnel roles but not salary or ERE amounts are included
- Consortium arrangements
- Differences in # of modules requested
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Consortium/Contractual Agreements |
Included when you have consortiums/contracts in your budget
- Describe programmatic, fiscal, and admin arrangements between the applicant organization and the consortium
You may include the attachment in one of the following ways (unless FOA states different):
- Single attachment in Overall Component
- Component-specific attachments within components that include subawards
- Single attachment in Overall Component AND component-specific attachments within components that include subawards
You will also need to include the following
- All proposed performance sites
- For non-modular grant applications - must include complete detailed budgets for each consortium participant
- For modular grant applications - must include estimate of consortium total costs (IDC + DC) in budget justification
There should be a consortium lead investigator. If submitting a multiple PI/PD application - they will be listed as a PD/PI. If not submitting a multiple PI/PD application - they will be listed as a different Senior/Key Personnel role.
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