NIH Checklist

• 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

General

• 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

• 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).

• Project Dates & Budget totals are consistent with NIH submission schedule,
• SF424 budget & justification, including subcontracts

• 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

• 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

• 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

• Replaced by PHS Cover Page Supplement

• Replaces Planned Enrollment Report and Cumulative Inclusion Enrollment Report Forms

Budget 

• 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

• 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

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.