Report an accessibility problem

NIH Checklist

Last updated: 03/08/2021 - 7:26am

This is a basic tool which must be used in conjunction with the Application Guide for NIH [SF424 (R&R)] and the Funding Opportunity Announcement to ensure compliance with the specific program requirement

For NIH applications with due dates on and after May 25, 2020, refer to SF424 (R&R) – Version F

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

 

 

 

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

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

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)

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
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).
SF424 (R&R)
  • Project Dates & Budget totals are consistent with NIH submission schedule,
  • SF424 budget & justification, including subcontracts
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
R&R Senior/Key Person Profile
  • Organization field has been completed for each person
  • Credential is listed for all with the role of PD/PI
  • 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
  • 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
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
PHS 398 Checklist
  • Replaced by PHS Cover Page Supplement
PHS Inclusion Enrollment Report
  • 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
  • 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
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.

Was this page useful?