oppRFA-FD-18-001-cfda93.367-cidFFM-1-instructions.pdf

FORMS VERSION E SERIES

UPDATED SEPTEMBER 25, 2017

GENERAL INSTRUCTIONS FOR NIH AND

OTHER PHS AGENCIES

SF424 (R&R) Application Packages

Guidance developed and maintained by NIH for preparing and submitting applications via Grants.gov to NIH and other PHS agencies using the SF424 (R&R)

General Instructions for NIH and Other PHS Agencies - Forms Version E Series

TABLE OF CONTENTS

TABLE OF CONTENTS

TABLE OF CONTENTS 2

G.100 - How to Use the Application Instructions 3

G.110 - Application Process 6

G.120 - Significant Changes 10

G.130 - Program Overview 15

G.200 - SF 424 (R&R) Form 27

G.210 - PHS 398 Cover Page Supplement Form 48

G.220 - R&R Other Project Information Form 53

G.230 - Project/Performance Site Location(s) Form 70

G.240 - R&R Senior/Key Person Profile (Expanded) Form 76

G.300 - R&R Budget Form 91

G.310 - R&R Subaward Budget Attachment(s) Form 112

G.320 - PHS 398 Modular Budget Form 116

G.330 - PHS 398 Training Budget Form 121

G.340 - PHS 398 Training Subaward Budget Attachment(s) Form 127

G.350 - PHS Additional Indirect Costs Form 130

G.400 - PHS 398 Research Plan Form 133

G.410 - PHS 398 Career Development Award Supplemental Form 151

G.420 - PHS 398 Research Training Program Plan Form 172

G.430 - PHS Fellowship Supplemental Form 189

G.440 - SBIR/STTR Information Form 212

G.500 - PHS Human Subjects and Clinical Trials Information 220

G.600 - PHS Assignment Request Form 256

Form Screenshots i

G.- 2

G.100 - How to Use the Application Instructions

G.100 - How to Use the Application Instructions

Use these application instructions to fill out the forms that are posted in your funding opportunity announcement.

Take a tour of the Application Guide

Quick Links

- Step 1. Become familiar with the application process

- Step 2. Use these instructions, together with the forms and information in the funding opportunity announcement, to complete your application

- Step 3. Choose an application instruction format

- Step 4. Complete the appropriate forms

- Step 5. Stay informed of policy changes and updates

Helpful Links

The information on the following pages may be useful in the application process l OER Glossary l Grants Policy Statement l Guide to Grants and Contracts l Frequently Asked Questions

Step 1. Become familiar with the application process.

Understanding the application process is critical to successfully submitting your application.

Use the G.110 - Application Process section of these instructions to learn the importance of completing required registrations before submission, how to submit and track your application, where to find page limits and formatting requirements, and more information about the application process.

Step 2. Use these instructions, together with the forms and information found in the funding opportunity announcement, to complete your application.

The funding opportunity announcement (FOA) will include specific instructions and the forms needed for your application submission.

G.- 3 https://www.youtube.com/watch?v=IwXUu30TTYU http://grants.nih.gov/grants/glossary.htm http://grants.nih.gov/policy/nihgps/index.htm https://grants.nih.gov/funding/searchGuide/nih-guide-to-grants-and-contracts.cfm?Activity_Code=&Expdate_On_After=&OrderOn=RelDate&OrderDirection=DESC&OpeningDate_On_After=&maxreldate=&Parent_FOA=All&NoticesToo=0&PrimaryICActive=Any&RelDate_On_After=&Status=1&SearchTerms=&PAsToo=1&RFAsToo=1&TitleText=&AppPackage=Any&Activity_Code_Groups=&Include_Sponsoring=1&SearchTermOperator=Logical_OR http://grants.nih.gov/grants/frequent_questions.htm

Remember that the FOA instructions always supersede these application instructions.

Step 3. Choose an application instruction format.

Do you know your activity code, but don’t know which application instructions to use? Refer to NIH’s table on Selecting the Correct Application Instructions to determine which set of application instructions applies to your grant program.

Comprehensive Instructions Program-Specific Instructions

Use the General (G) instructions, available in both HTML and PDF format, to complete the application forms for any type of grant program.

Take advantage of the filtered PDFs to view specific application instructions for:

l Research (R) l Career Development (K) l Training (T) l Fellowship (F) l Multi-project (M) l SBIR/STTR (B)

Step 4. Complete the appropriate forms.

Unless otherwise specified in the FOA, follow the standard instruction, as well as any additional program-specific instructions for each form in your application.

Program-specific instructions are presented in gray call-out boxes that are color coded throughout the application instructions. Consult the G.130 - Program Overview section for context for program specific instructions.

G.- 4 http://grants.nih.gov/grants/how-to-apply-application-guide/selecting-application-instructions.htm https://grants.nih.gov/grants/how-to-apply-application-guide/forms-e/general-forms-e.htm https://grants.nih.gov/grants/how-to-apply-application-guide/forms-e/general-forms-e.pdf https://grants.nih.gov/grants/how-to-apply-application-guide/forms-e/research-forms-e.pdf https://grants.nih.gov/grants/how-to-apply-application-guide/forms-e/career-forms-e.pdf https://grants.nih.gov/grants/how-to-apply-application-guide/forms-e/training-forms-e.pdf https://grants.nih.gov/grants/how-to-apply-application-guide/forms-e/fellowship-forms-e.pdf https://grants.nih.gov/grants/how-to-apply-application-guide/forms-e/multi-project-forms-e.pdf https://grants.nih.gov/grants/how-to-apply-application-guide/forms-e/sbir-sttr-forms-e.pdf

Step 5. Stay informed of policy changes and updates.

l Refer to the G.120 - Significant Changes section for the most recent changes to these application instructions.

l Review Notices of NIH Policy Changes since the posting of the Application Guide.

G.- 5 http://grants.nih.gov/grants/policy/notices.htm

G.110 - Application Process

G.110 - Application Process

Understanding the application process is critical to successfully submitting your application.

Use this section of this guide to learn the importance of completing required registrations before submission; how to submit and track your application; where to find information about page limits, formatting requirements, due dates, and submission policies; and more information about the application process. This application process information is also available on our How to Apply – Application Guide page.

Quick Links

- Prepare to Apply and Register

- Write Application

- Submit

- Related Resources

Prepare to Apply and Register

Systems and Roles

Learn about the main systems involved in application submission and the role you and your colleagues play in the submission process. The main systems are Grants.gov, eRA Commons, and

ASSIST.

Register

Determine your registration status. Organizations, organizational representatives, investigators, and others need to register in multiple federal systems in order to for you to submit a grant application. Registration can take six weeks or more to complete. Start today! See NIH’s Registration website.

Understand Funding Opportunities

Identify the right funding opportunity announcement (FOA) for your research and learn about key information you will find in the FOA.

Types of Applications

Are you submitting a new, renewal, revision, or resubmission application? Learn about the different types of applications and special submission requirements.

Submission Options

Determine which system is most convenient for your application submission: NIH’s ASSIST web-based application submission system, Grants.gov downloadable forms, Grants.gov Workspace, or, if applicable, your organization’s own submission system.

G.- 6 http://grants.nih.gov/grants/how-to-apply-application-guide.htm http://grants.nih.gov/grants/how-to-apply-application-guide/prepare-to-apply-and-register/systems-and-roles.htm http://www.grants.gov/ https://public.era.nih.gov/commons/public/login.do?TYPE=33554433&REALMOID=06-1edb031f-46c7-44b3-b803-60b537de74d2&GUID=&SMAUTHREASON=0&METHOD=GET&SMAGENTNAME=-SM-938PYmoLVb4VrDeXo04LZUDVDvc%2b3899ByInEAjuSUvWNIGfB2zRpWiCivYGCogG&TARGET=-SM-http%3a%2f%2fpublic%2eera%2enih%2egov%2fcommons https://public.era.nih.gov/assist/public/login.do?TYPE=33554433&REALMOID=06-58b5535a-f2c3-40ec-b9ff-a06a3ed4ee18&GUID=&SMAUTHREASON=0&METHOD=GET&SMAGENTNAME=-SM-938PYmoLVb4VrDeXo04LZUDVDvc%2b3899ByInEAjuSUvWNIGfB2zRpWiCivYGCogG&TARGET=-SM-http%3a%2f%2fpublic%2eera%2enih%2egov%2fassist http://grants.nih.gov/grants/how-to-apply-application-guide/prepare-to-apply-and-register/registration.htm http://grants.nih.gov/grants/how-to-apply-application-guide/prepare-to-apply-and-register/registration.htm http://grants.nih.gov/grants/how-to-apply-application-guide/prepare-to-apply-and-register/find-and-understand-foas.htm http://grants.nih.gov/grants/how-to-apply-application-guide/prepare-to-apply-and-register/type-of-application-submission.htm http://grants.nih.gov/grants/how-to-apply-application-guide/prepare-to-apply-and-register/choose-a-submission-option.htm

Obtain Software

Applicants must have the free Adobe Reader software, a PDF generator, and a web browser to submit an application. Learn which versions are compatible with our systems.

Write Application

Write Your Application

Read tips for developing a strong application that helps reviewers evaluate its science and merit.

Develop Your Budget

Learn about the kinds of costs you may include in your budget submission, the difference between modular and detailed budgets, and more about how to develop your budget.

Format Attachments

Follow these requirements for preparing the documents you attach to your application.

Requirements include criteria for the PDF files, fonts, margins, headers and footers, paper size, citations, formatting pages, etc.

Page Limits

Follow the page limits specified in this table for your specific grant program, unless otherwise specified in the FOA.

Data Tables

Find instructions, blank data tables, and samples to use with institutional research training applications.

Reference Letters

Some types of programs, such as fellowships and some career development awards, require the submission of reference letters by the referee. Learn about selecting a referee and find instructions for submission.

Biosketches

Biosketches are required in both competing applications and progress reports. Find instructions, blank format pages, and sample biosketches.

Submit

Submit, Track and View

Learn how to submit your application, and about your responsibility for tracking your application and viewing the application image in the eRA Commons before the application deadline. If you can’t view your application in eRA Commons, we can’t review it.

How We Check for Completeness

Your application will be checked at Grants.gov, by eRA systems, and by federal staff before it is referred for review.

G.- 7 http://grants.nih.gov/grants/how-to-apply-application-guide/prepare-to-apply-and-register/obtain-software.htm http://grants.nih.gov/grants/how-to-apply-application-guide/format-and-write/write-your-application.htm http://grants.nih.gov/grants/how-to-apply-application-guide/format-and-write/develop-your-budget.htm http://grants.nih.gov/grants/how-to-apply-application-guide/format-and-write/format-attachments.htm http://grants.nih.gov/grants/how-to-apply-application-guide/format-and-write/table-of-page-limits.htm http://grants.nih.gov/grants/forms/datatables.htm http://grants.nih.gov/grants/how-to-apply-application-guide/submission-process/reference-letters.htm http://grants.nih.gov/grants/forms/biosketch.htm http://grants.nih.gov/grants/how-to-apply-application-guide/submission-process/submit-track-view.htm http://grants.nih.gov/grants/how-to-apply-application-guide/submission-process/check-your-application.htm

Changed/Corrected Applications

You will need to submit a changed/corrected application to correct issues that either you or our systems find with your application. Learn how and when you may submit a changed/corrected application.

Related Resources

Due Dates and Policies

Due Dates

View standard due dates for competing applications. The FOA will identify whether to follow standard due dates or whether to follow an alternative due date.

Submission Policies

Learn the nuances of application submission policies, including when late applications might be allowed, what to do if due dates fall on a weekend or holiday, whether we allow post-submission materials, how to document system issues, the rules around resubmission applications, etc.

Dealing with System Issues

Are you experiencing system issues with ASSIST, Grants.gov, System for Award Management (SAM), or the eRA Commons that you believe threaten your ability to submit on time? NIH will not penalize applicants who experience confirmed issues with federal systems that are beyond their control. You must report the problem before the submission deadline.

After Submission

Receipt and Referral

Understand how and when applications are given an application identification number and assigned to a review group and an NIH Institute or Center (IC) for possible funding.

Peer Review

Learn about our two phase peer review process, including initial peer review, Council review, review criteria, scoring, and summary statements.

Pre-award Process

Learn what happens between peer review and award for applications that have been deemed highly meritorious in the scientific peer review process. Be ready: if you received a great score in peer review, you’ll have to submit Just-in-Time information.

Post award Monitoring and Reporting

If you receive a grant from the NIH, you will need a lot of information to be a successful steward of federal funds. This page provides a brief overview of grantee monitoring and reporting requirements.

G.- 8 http://grants.nih.gov/grants/how-to-apply-application-guide/submission-process/changed-corrected-application.htm http://grants.nih.gov/grants/how-to-apply-application-guide/due-dates-and-submission-policies/standard-due-dates.htm http://grants.nih.gov/grants/how-to-apply-application-guide/due-dates-and-submission-policies/application-submission-policies.htm http://grants.nih.gov/grants/how-to-apply-application-guide/due-dates-and-submission-policies/guidelines-for-applicants-experiencing-system-issues.htm http://grants.nih.gov/grants/receipt_referral.htm http://grants.nih.gov/grants/peer_review_process.htm http://grants.nih.gov/grants/pre-award-process.htm http://grants.nih.gov/grants/post-award-monitoring-and-reporting.htm

Resources

News - Items of Interest

The NIH eSubmission Items of Interest page provides comprehensive information, in an informal format, on the changes impacting application development and submission.

Annotated Form Sets

These handy documents are a great visual resource for understanding many of the validation checks we will run against your submitted application.

Contacting NIH Staff

NIH staff is here to help. We strongly encourage NIH applicants and grantees to communicate with us throughout the grant life cycle. Understanding the roles of NIH staff can help you contact the right person at each phase of the application and award process.

Contacting Staff at Other PHS Agencies

Applicants are strongly encouraged to communicate with agency staff throughout the entire application review and awards process.

Systems

ASSIST

eRA Commons

Grants.gov

Information Collection

Authorization

The PHS Act establishes the authority with which NIH and other PHS agencies award grants and collect information related to grant awards.

Paperwork Burden

The paperwork burden provides the estimated time for completing a grant application.

Collection of Personal Demographic Data

NIH collects personal data through the eRA Commons Personal Profile. The data is confidential and is maintained under the Privacy Act record system.

G.- 9 https://grants.nih.gov/grants/how-to-apply-application-guide/resources/news-items-of-interest.htm https://grants.nih.gov/grants/how-to-apply-application-guide/resources/annotated-form-sets.htm http://grants.nih.gov/grants/how-to-apply-application-guide/resources/contacting-nih-staff.htm https://grants.nih.gov/grants/how-to-apply-application-guide/resources/contacting-staff-at-other-public-health-service-agencies.htm https://public.era.nih.gov/assist/public/login.do?TYPE=33554433&REALMOID=06-58b5535a-f2c3-40ec-b9ff-a06a3ed4ee18&GUID=&SMAUTHREASON=0&METHOD=GET&SMAGENTNAME=-SM-938PYmoLVb4VrDeXo04LZUDVDvc%2b3899ByInEAjuSUvWNIGfB2zRpWiCivYGCogG&TARGET=-SM-http%3a%2f%2fpublic%2eera%2enih%2egov%2fassist https://public.era.nih.gov/commons/public/login.do?TYPE=33554433&REALMOID=06-1edb031f-46c7-44b3-b803-60b537de74d2&GUID=&SMAUTHREASON=0&METHOD=GET&SMAGENTNAME=-SM-938PYmoLVb4VrDeXo04LZUDVDvc%2b3899ByInEAjuSUvWNIGfB2zRpWiCivYGCogG&TARGET=-SM-http%3a%2f%2fpublic%2eera%2enih%2egov%2fcommons http://www.grants.gov/ http://grants.nih.gov/grants/authorization.htm http://grants.nih.gov/grants/paperwork-burden.htm http://grants.nih.gov/grants/collection-of-personal-demographic-data.htm

G.120 - Significant Changes

G.120 - Significant Changes

The Application Instructions are updated and released 2-3 times per year as needed.

Additionally, minor revisions may be made outside of these releases.

This section details all significant changes and revisions made to the instructions since the last major release.

Within the instructions, new instructions will be marked with this symbol.

In the web version, use your mouse to hover over the icon to read an explanation of the change.

In a PDF version, this symbol will be visible but will not display hover text. For more information, see the explanation in the Significant Changes section below.

Release Notes - September 25, 2017

SF424 Research and Related (R&R) Form Changes

FORMS-E application packages incorporate the latest versions of the federal-wide forms managed by Grants.gov (OMB Number: 4040-0001, Expiration Date: 10/31/2019).

R&R Budget and associated R&R Subaward Budget Attachment(s) Form l Added new “Total Costs and Fee” calculation to budget periods and cumulative budget l Added instructions under the “Other Direct Costs” section about requesting direct costs related to the use of single Institutional Review Board (sIRB) for multi-site human subjects research in item “8-10 Other.”

R&R Other Project Information Form l Added exemption numbers 7 and 8 to question 1.a; however, these exemptions will not be used at this time.

SBIR/STTR Information Form l Added "Agency to which you are applying" question with options for DOE, HHS, USDA and Other l Added "SBC Control ID" field for the 9-digit code obtained from the Small Business Administration l Added "Direct Phase II," "Phase IIA," "Phase IIB," and "Commercialization Readiness Program" as

Application Type Options l Added "Phase I Letter of Intent Number" field

G.- 10 l Added "Agency Topic/Subtopic" field l Added two additional questions regarding eligibility:

o "1c. Is your small business majority owned by venture capital operating companies, hedge funds, or private equity firms?"

o "1d. Is your small business a Faculty or Student-Owned entity?"

l Added "DUNS Number of non-profit research partner for STTR" field l Minor text changes

Forms-E Changes

R&R Senior/Key Person Profile (Expanded) Form l Updated biosketch instructions so that scholastic performance requires only scientific/professional graduate courses to be listed

PHS 398 Career Development Award Supplemental Form l Updated OMB Expiration Date to 03/31/2020 l Removed Human Subjects Section, including the following attachments:

o Protection of Human Subjects o Data Safety Monitoring Plan o Inclusion of Women and Minorities o Inclusion of Children l Clarified that the Research Strategy attachment should be used to discuss the overall strategy, methodology, and analyses of the proposed research, but applicants should not duplicate information collected in the new PHS Human Subjects and Clinical Trials Information form l Included instruction to describe research methods for trials that randomize groups or deliver interventions to groups l Renumbered form fields l Made minor text edits l Includes the updated appendix policy that goes into effect for applications due on or after January

25, 2018. This policy eliminates clinical trial-related materials. See the NIH Guide Notice on Allowable Appendix Materials for more information.

PHS 398 Cover Page Supplement Form l Updated OMB Expiration Date to 03/31/2020 l Removed Human Subjects Section, including:

o "Clinical Trial" question o "Agency Defined Phase III Clinical Trial" question

G.- 11 https://grants.nih.gov/grants/guide/notice-files/NOT-OD-17-098.html l Renumbered form fields l Made minor text edits

PHS 398 Modular Budget Form l Updated OMB Expiration Date to 03/31/2020

PHS 398 Research Plan Form l Updated OMB Expiration Date to 03/31/2020 l Removed Human Subjects Section, including the following attachments:

o Protection of Human Subjects o Data Safety Monitoring Plan o Inclusion of Women and Minorities o Inclusion of Children l Clarified that the Research Strategy attachment should be used to discuss the overall strategy, methodology, and analyses of the proposed research, but applicants should not duplicate information collected in the new PHS Human Subjects and Clinical Trials Information form l Included instruction to describe research methods for trials that randomize groups or deliver interventions to groups l Renumbered form fields l Made minor text edits l Includes the updated appendix policy that goes into effect for applications due on or after January

25, 2018. This policy eliminates clinical trial-related materials. See the NIH Guide Notice on Allowable Appendix Materials for more information.

PHS 398 Research Training Program Plan Form l Updated OMB Expiration Date to 03/31/2020 l Removed the following attachments from the Other Training Program Section:

o Human Subjects o Data Safety Monitoring Plan l Renumbered form fields l Made minor text edits l Includes the updated appendix policy that goes into effect for applications due on or after January

25, 2018. This policy eliminates clinical trial-related materials. See the NIH Guide Notice on Allowable Appendix Materials for more information.

PHS 398 Training Budget Form l Updated OMB Expiration Date to 03/31/2020

G.- 12

PHS 398 Training Subaward Budget Attachment(s) Form l Updated OMB Expiration Date to 03/31/2020

PHS Assignment Request Form l Updated OMB Expiration Date to 03/31/2020 l Clarifications made to instructions

PHS Fellowship Supplemental Form l Updated OMB Expiration Date to 03/31/2020 l Removed Human Subjects sub-section from Other Research Training Plan Section, including:

o "Human Subjects Involvement Indefinite" question o "Clinical Trial" question o "Agency Defined Phase III Clinical Trial" question o Protection of Human Subjects attachment o Data Safety Monitoring Plan attachment o Inclusion of Women and Minorities attachment o Inclusion of Children attachment l Clarified that the Research Strategy attachment should be used to discuss the overall strategy, methodology, and analyses of the proposed research, but applicants should not duplicate information collected in the new PHS Human Subjects and Clinical Trials Information form l Included instruction to describe research methods for trials that randomize groups or deliver interventions to groups l Removed "Vertebrate Animals Use Indefinite" question from the Vertebrate Animals sub-section of the Other Research Training Plan Section l Renumbered form fields l Made minor text edits l Includes the updated appendix policy that goes into effect for applications due on or after January

25, 2018. This policy eliminates clinical trial-related materials. See the NIH Guide Notice on Allowable Appendix Materials for more information.

PHS Human Subjects and Clinical Trials Information l Introduced new form for consolidated human subjects, inclusion enrollment report, and clinical trial information l Includes attachment to comply with NIH Policy on the Use of a Single Institutional Review Board for Multi-Site Research. See the NIH Guide Notice on Notice of Extension of Effective Date for more information.

l Added exemption numbers 7 and 8 to question 1.3; however, these exemptions will not be used at this time

G.- 13 https://grants.nih.gov/grants/guide/notice-files/NOT-OD-17-098.html https://grants.nih.gov/policy/clinical-trials/new-human-subject-clinical-trial-info-form.htm https://grants.nih.gov/policy/clinical-trials/single-irb-policy-multi-site-research.htm https://grants.nih.gov/policy/clinical-trials/single-irb-policy-multi-site-research.htm https://grants.nih.gov/grants/guide/notice-files/NOT-OD-17-076.html

PHS Inclusion Enrollment Report l Discontinued use (data collection moved to new PHS Human Subjects and Clinical Trials Information form)

Supplemental Instructions l Discontinued use of Supplemental Instructions for all competing applications and progress reports l All information has been folded into the Application Form Instructions and/or is contained in the appropriate policy website (e.g., NIH Grants Policy Statement)

G.- 14 https://grants.nih.gov/policy/nihgps/index.htm

G.130 - Program Overview

G.130 - Program Overview

Quick Links

- Research and Other ("R" Series)

- Individual Research Career Development Award (CDA) Application ("K" Series)

- Institutional Research Training and Career Development Program Applications ("T" Series)

- Individual Fellowship Applications (“F” Series)

- Multi-project Applications ("M" Series)

- Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR)

Research and Other ("R" Series)

The purpose of research and other awards is to provide support for health-related research and development based on the mission of the NIH. Some examples of support include pilot studies;

conferences and scientific meetings; small research projects; institutional training and director program projects; resource programs; and new, exploratory, and developmental research projects. Awards may be in the form of grants or cooperative agreements.

Additional Instructions for Research:

Additional research instructions will be denoted by a gray call-out box with yellow color coding and with the heading “Additional Instructions for Research” throughout these application instructions.

Before Applying:

1. Become familiar with Activity Code: Applicants should become familiar with the activity code for which support is being requested. These include many “R” activity codes, as well as some “DP,” “G," “S,” and “U” activity codes. A comprehensive list of all activity codes, with their descriptions, is available on NIH’s Activity Codes Search Results website.

2. Refer to your specific FOA: Refer to your FOA for specific information associated with the award mechanism, including the eligibility requirements, review criteria, award provisions, any special application instructions, and names of individuals who may be contacted for additional or clarifying information prior to application submission.

3. Contact Awarding Component: Applicants are encouraged to consult with the NIH Scientific/Research contact of the appropriate awarding component prior to submitting an application, as eligibility criteria, support levels, and availability of awards may vary among NIH Institutes or Centers and other PHS agencies.

The following chart provides a summary of the existing research programs; however, the chart is not a comprehensive list of activity codes. Since this information is subject to change, prospective

G.- 15 https://grants.nih.gov/grants/funding/ac_search_results.htm applicants are encouraged to review NIH’s Types of Grant Programs for the most current program information.

Summary of Research Award Programs*

Activity Code Program Description

R01 Research Project

R03 NIH Small Grant Program

R13 Conference

R15 NIH Academic Research Enhancement Award (AREA)

R21 NIH Exploratory/Developmental Research Grant Award

R25 Education Projects

U01 Research Project – Cooperative Agreements

U13 Conference - Cooperative Agreements

G07 Resources Improvement Grant

S10 Biomedical Research Support Shared Instrumentation Grants

DP1 NIH Director's Pioneer Award (NDPA)

*This is not a comprehensive list of activity codes.

Individual Research Career Development Award (CDA) Application ("K" Series)

The purpose of the career development award (CDA) program is to provide candidates at the postdoctoral, early career, and mid-career stages with opportunities to build on their initial research training and to further develop their research careers through individual or institutional awards.

This section provides instructions for candidates applying for individual career development awards. Applicants for institutional career development programs, such as the K12 award, should follow the guidance provided in the "Additional Instructions for Training" sections.

Reference Letters: Instructions for submitting the required reference letters for applicable programs are not contained in these application instructions. Instead, follow the instructions on NIH’s Reference Letters page. Referees must submit reference letters through the eRA Commons by the application due date.

Additional Instructions for Career Development:

Additional career development instructions will be denoted by a gray call-out box with green color coding and with the heading “Additional Instructions for Career Development” throughout these application instructions.

G.- 16 https://grants.nih.gov/grants/funding/funding_program.htm http://grants.nih.gov/grants/how-to-apply-application-guide/submission-process/reference-letters.htm

Before Applying:

1. Become familiar with Activity Code: Applicants should become familiar with the K activity code for which support is being requested. A listing of “K” series activity codes, with their descriptions, is available on the Research Career Development Awards page.

2. Refer to your specific FOA: Refer to your FOA for specific information associated with the award mechanism, including the eligibility requirements, requirements for a mentor or mentors, review criteria, award provisions, any special application instructions, and names of individuals who may be contacted for additional or clarifying information prior to application submission.

l FOAs and other guidelines are available on the NIH K Kiosk.

l Announcements for various career award opportunities are issued periodically in the NIH Guide for Grants and Contracts, a weekly electronic publication, that is available on NIH’s Funding page.

l Some individual K-series programs supported by the NIH include a delayed-award activation and/or two award phases (e.g., K22, K99/R00). NIH intramural researchers may be eligible to apply for these awards. The FOA will include any additional and/or specific instructions that must be followed when applying for such support.

3. Contact Awarding Component: Applicants are encouraged to consult with the NIH Scientific/Research contact of the appropriate awarding component prior to submitting an application, as eligibility criteria, support levels, and availability of awards may vary among NIH Institutes or Centers and other PHS agencies.

The following chart provides a summary of the existing individual career development programs.

Since this information is subject to change, prospective applicants are encouraged to review the K Kiosk for the most current program information.

Summary of Research Career Development Award Programs

Program Description Mentor Reference Letter

K01 Mentored Research Scientist Career Development Award Yes Yes

K02 Independent Research Scientist Development Award No No

K05 Senior Research Scientist Award No No

K07 Academic Career Development Award * *

K08 Mentored Clinical Scientist Research Career Development Award Yes Yes

K18 Research Career Enhancement Award for Established Investigators Yes Yes

K22 Career Transition Award * Yes

G.- 17 https://researchtraining.nih.gov/programs/career-development http://grants.nih.gov/training/careerdevelopmentawards.htm http://grants.nih.gov/grants/guide/index.html http://grants.nih.gov/training/careerdevelopmentawards.htm

Program Description Mentor Reference Letter

K23 Mentored Patient-Oriented Research Career Development Award Yes Yes

K24 Mid-Career Investigator Award in Patient-Oriented Research No No

K25 Mentored Quantitative Research Career Development Award Yes Yes

K26 Mid-Career Investigator Award in Biomedical and Behavioral Research No No

K43 Emerging Global Leader Award Yes Yes

K76 Emerging Leaders Career Development Award Yes Yes

K99/R00 Pathways to Independence Award Yes Yes

*Varies with career status and source of award. Check the FOA.

Institutional Research Training and Career Development Program Applications ("T" Series)

The purpose of research training awards is to provide support for institutional research training programs and opportunities for trainees at the undergraduate, graduate, and postdoctoral levels.

Training-specific instructions apply both to NIH-supported Ruth L. Kirschstein National Research Service Award (NRSA) institutional research training programs (e.g., T32, T34, T35, T36, T90) and to non-NRSA training and career development programs (e.g. T15, T37, D43, D71, K12, U2R).

Additional Instructions for Training:

Additional training instructions will be denoted by a gray call-out box with blue color coding and with the heading “Additional Instructions for Training” throughout these application instructions.

NRSA Programs: These programs help ensure that a diverse pool of highly trained scientists is available in adequate numbers and in appropriate research areas to carry out the nation’s biomedical and behavioral research agenda. Certain specialized training grants, such as undergraduate training grants (T34), are provided under this authority.

Non-NRSA Programs: Non-NRSA training and career development programs operate under different regulatory authorities than NRSA programs. While much of the information may be the same, individuals interested in those programs should carefully read the applicable Funding Opportunity Announcement (FOA) for specific program information and special application instructions. Non-NRSA training programs may have eligibility requirements, due dates, award provisions, and review criteria that differ from those of NRSA programs.

Payback Service Requirement: For NRSA programs that include postdoctoral trainees, the program director must explain the terms of the payback service requirement to all prospective

G.- 18 postdoctoral training candidates. A complete description of the service payback obligation is available in the NIH Grants Policy Statement, Section 11.4: Payback Requirements.

Before Applying:

1. Become familiar with Activity Code: Applicants should become familiar with the activity code and the purpose of the specific program for which support is being requested. A listing of “T” series activity codes, with their descriptions, is available on the Institutional Training Grants page.

2. Refer to your specific FOA: Refer to your FOA for specific information associated with the award mechanism and the names of individuals who may be contacted for additional or clarifying information prior to application submission.

l FOAs and other guidelines are available on the NIH T Kiosk.

l Announcements for various training programs are issued periodically in the NIH

Guide for Grants and Contracts, a weekly electronic publication, that is available on NIH’s Funding page.

3. Contact Awarding Component: Applicants are encouraged to consult with the NIH Scientific/Research contact of the appropriate awarding component prior to submitting an application, as eligibility criteria, support levels, and availability of awards may vary among NIH Institutes or Centers and other PHS agencies.

The following chart provides a summary of the existing training programs. Since this information is subject to change, prospective applicants are encouraged to review the T Kiosk for the most current program information.

Summary of Institutional Training Programs

Activity Code Program Description NRSA?

D43 International Research Training Grants No

D71 International Research Training Planning Grant No

K12 Clinical Scientist Institutional Career Development Program Award No

T32 Institutional National Research Service Award (NRSA) Yes

T34 Undergraduate National Research Service Award (NRSA) Institutional Research Training Grant Yes

T35 National Research Service Award (NRSA) Short-Term Institutional Research Training Grant Yes

T36 National Research Service Award (NRSA) Short-Term Institutional Research Training Grant Yes

T90 Interdisciplinary Research Training Award Yes

U2R International Research Training Cooperative Agreement No

G.- 19 https://grants.nih.gov/grants/policy/nihgps/HTML5/section_11/11.4_payback_requirements.htm?Highlight=payback%20requirements https://researchtraining.nih.gov/programs/training-grants https://researchtraining.nih.gov/programs/training-grants http://grants.nih.gov/grants/guide/index.html http://grants.nih.gov/training/T_Table.htm

Individual Fellowship Applications (“F” Series)

The purpose of individual fellowship awards is to provide individual research training opportunities to fellows at the graduate and postdoctoral levels. This section contains information for preparing Kirschstein-NRSA (NRSA) fellowship and non-NRSA fellowship applications.

Additional Instructions for Fellowship:

Additional fellowship instructions will be denoted by a gray call-out box with orange color coding and with the heading “Additional Instructions for Fellowship” throughout these application instructions.

NRSA Programs: The NRSA program helps ensure that a diverse pool of highly trained scientists is available in adequate numbers and in appropriate research areas to carry out the nation’s biomedical and behavioral research agenda. NRSA fellowships are awarded as a result of national competition for research training in specified health-related areas. Certain specialized individual fellowships, such as the predoctoral fellowships (F31 and F30), postdoctoral fellowships (F32), senior fellowships (F33), and other institute-specific fellowship programs, are provided under this authority.

Non-NRSA Programs: Fogarty International Center (FIC) and National Library of Medicine (NLM) also have unique funding authorities for fellowships that are not under the NRSA authority. Note that non-NRSA programs may have eligibility requirements, due dates, award provisions, and review criteria that differ from those of NRSA programs. Applicants should refer to their FOA.

Reference Letters: Instructions for submitting the required reference letters for applicable programs are not contained in these application instructions. Instead, follow the instructions on NIH’s Reference Letters page. Referees must submit reference letters through the eRA Commons by the application due date.

Payback Service Requirement: For NRSA programs that include postdoctoral fellows, the program director must explain the terms of the payback service requirement to all prospective postdoctoral fellowship candidates. A complete description of the service payback obligation is available in the NIH Grants Policy Statement, Section 11.4: Payback Requirements.

Before Applying:

1. Become familiar with Activity Code: Applicants should become familiar with the “F” activity code for which support is being requested. A listing of “F” series activity codes, with their descriptions, is available on the NIH F Kiosk and the AHRQ-Sponsored Training Opportunities page.

2. Refer to your specific FOA: Refer to your specific FOA for specific information associated with the award mechanism, including the eligibility requirements, requirements for a mentor, review criteria, award provisions, any special application instructions, and names of individuals who may be contacted for additional or clarifying information prior to application submission.

l FOAs and other guidelines are available on the NIH F Kiosk .

l Guidelines for the AHRQ fellowships may be found on AHRQ's Research Training and Education website.

G.- 20 http://grants.nih.gov/grants/how-to-apply-application-guide/submission-process/reference-letters.htm https://grants.nih.gov/grants/policy/nihgps/HTML5/section_11/11.4_payback_requirements.htm?Highlight=payback%20requirements https://researchtraining.nih.gov/programs/fellowships http://www.ahrq.gov/funding/training-grants/index.html http://www.ahrq.gov/funding/training-grants/index.html https://researchtraining.nih.gov/programs/fellowships http://www.ahrq.gov/funding/training-grants/index.html http://www.ahrq.gov/funding/training-grants/index.html

3. Contact Awarding Component: Applicants are encouraged to consult with the appropriate NIH IC or AHRQ staff prior to submitting an application, as not all predoctoral, postdoctoral, and senior fellowships are supported by each IC or AHRQ.

l A list of contacts specifically for extramural training at the NIH ICs can be found on the NIH Training Advisory Committee Roster.

l For contacts at AHRQ, see AHRQ’s Research Training Staff Contacts website.

The following chart provides a list of fellowship activity codes. Since this information is subject to change, prospective applicants are encouraged to review the F Kiosk for the most current program information.

Summary of Individual Fellowship Award Programs

Activity Code Program Description NRSA?

F05 International Research Fellowships No

F30 Individual Predoctoral National Research Service Award (NRSA) for M.D./Ph.D. and Other Dual Degree Fellowships Yes

F31 Predoctoral Individual National Research Service Award Yes

F32 Postdoctoral Individual National Research Service Award Yes

F33 National Research Service Awards for Senior Fellows Yes

F37 Medical Informatics Fellowships No

F38 Applied Medical Informatics Fellowships No

F99/K00 Individual Predoctoral to Postdoctoral Fellow Transition Award No

Multi-project Applications ("M" Series)

A multi-project application is a single submission with multiple, interrelated components that share a common focus or objective.

A component is a distinct, reviewable part of a multi-project application for which there is a business need to gather detailed information as defined in a particular funding opportunity announcement (FOA). Components typically include general information (component organization, project period, project title, etc.), information about performance sites, information about proposed work to be accomplished, and a budget.

Additional Instructions for Multi-project:

Additional multi-project instructions will be denoted by a gray call-out box with red color coding and with the heading “Additional Instructions for Multi-project” throughout these application instructions.

Although multi-project applications use the same forms used for single-project applications, there are some differences in the way multi-project applications are structured. Every multi-project application includes:

G.- 21 https://researchtraining.nih.gov/tac-roster http://www.ahrq.gov/funding/training-grants/contacts.html http://grants.nih.gov/training/F_files_nrsa.htm l A Single Overall Component: The Overall Component describes the entire application and provides an overview of how each of the other components fit together.

l One or more Other Component Types: Other Component types (e.g., Admin Core, Project Core) will vary by opportunity and will be specified in the FOA.

l Summaries: Information is automatically compiled from the data provided by the applicant in the individual components and included as part of the Overall Component in the agency-assembled application to help reviewers and staff work with the application. The following summaries are generated:

l Component l Performance Sites l Human Subjects - Clinical Trials – Vertebrate Animals- hESC l Human Embryonic Stem Cell Lines l Budget l Program Income l Senior/Key Personnel l Biosketches

For information on how your application will be automatically assembled for review and funding consideration after submission, see the How eRA Assembles Multi-project Applications file.

Before Applying:

1. Become familiar with Activity Code: Applicants should become familiar with the activity code(s) for which support is being requested. A comprehensive list of all activity codes, with their descriptions, is available on the Activity Codes Search Results website.

2. Refer to your specific FOA: Refer to your specific FOA for specific information associated with the award mechanism, including special application instructions.

l The FOA will specify the types of Other Components that should be used when preparing the application, whether each component is optional or required, and any restrictions on the number of times each component can be included in an application.

3. Contact Awarding Component: Applicants are encouraged to consult with the NIH Scientific/Research contact of the appropriate awarding component prior to submitting an application, as eligibility criteria, support levels, and availability of awards may vary among NIH Institutes or Centers and other PHS agencies.

Collaborating with Other Organizations Multi-project applications often include a number of collaborating organizations in addition to the applicant organization. The applicant organization always has primary responsibility for and leads the Overall Component. A collaborating organization may be responsible for a small part of a component or have lead responsibility for an entire Other Component within the application.

Depending on the role of the collaborating organization(s) in the project, there are two approaches to structuring a component:

G.- 22 http://grants.nih.gov/grants/ElectronicReceipt/files/Electronic_Multi-project_Application_Image_Assembly.pdf https://grants.nih.gov/grants/funding/ac_search_results.htm

A. Collaborating Organization as the Lead of a Component:

When the bulk of the leadership and work on a component (other than the Overall Component) is performed by a collaborating organization, then that organization can be set up as the lead organization for that component. All the component forms (including the SF 424 R&R Form and the R&R Budget Form) are completed using the collaborating organization’s information. On the R&R Budget Form, use the Budget Type “Project” to identify it as the primary budget for the component and provide the collaborating organization’s DUNS number and name. Any other organizations involved in the component (including the applicant organization) are included in subaward/consortium budget forms.

From an administrative perspective, the entire component (minus any work done by the applicant organization) is treated as a subaward/consortium to the applicant organization.

The structure of the application reflects where the proposed work is being done, not the flow of funds. eRA systems use the DUNS numbers included on budget forms to determine the flow of funds.

B. Collaborating Organization as a Consortium in a Component:

When a collaborating organization does not have a leadership role for a component, then the applicant organization is the component lead, and any collaborating organizations are included using the subaward/consortium budget form.

Multi-project Application Component Forms You must complete a set of forms for each component.

The assembled application image created for a multi-project application has a predefined order.

For information on multi-project application assembly, see the How eRA Assembles Multi-project Applications file.

The chart below summarizes which forms must be completed for each component.

Component Data Forms

Form Overall Admin Core, Core

Project, Other named components

Indiv Career

Dev

Career Dev

NRSA

Training

SF424 R&R cover

PHS 398 Cover Page Supplement

R&R Other Project Information

Project/Performance Sites

R&R Sr/Key Person Profile (Expanded)

PHS Human Subjects and Clinical Trials Information

G.- 23 http://grants.nih.gov/grants/ElectronicReceipt/files/Electronic_Multi-project_Application_Image_Assembly.pdf http://grants.nih.gov/grants/ElectronicReceipt/files/Electronic_Multi-project_Application_Image_Assembly.pdf

Form Overall Admin Core, Core

Project, Other named components

Indiv Career

Dev

Career Dev

NRSA

Training

PHS Assignment Request Form Optional

R&R Budget

R&R Subaward Budget Attachment Optional Optional Optional

PHS 398 Training Budget

Training Subaward Budget Attachment Form Optional

PHS Additional Indirect Costs Optional

PHS 398 Research Plan

PHS 398 Career Development Award Supplemental Form

PHS 398 Research Training Program Plan

Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR)

The SBIR and STTR programs, also known as America’s Seed Fund, are one of the largest sources of early-stage capital for technology commercialization in the United States. These programs allow US-owned and operated small businesses to engage in federal research and development that has a strong potential for commercialization.

Additional Instructions for SBIR/STTR:

Additional SBIR/STTR instructions will be denoted by a gray call-out box with purple color coding and with the heading “Additional Instructions for SBIR/STTR” throughout these application instructions.

New to SBIR/STTR?

View our SBIR/STTR Application Process Infographic.

View the Three-Phase Program description page.

Confirm Small Business Eligibility Criteria.

G.- 24 https://sbir.nih.gov/infographic https://sbir.nih.gov/about/three-phase-program https://sbir.nih.gov/about/eligibility-criteria

Develop an Innovative Research Idea with Commercial Potential

Determine which SBIR/STTR funding opportunity announcement (FOA) is most appropriate for your idea. The Omnibus SBIR/STTR solicitations allow researchers to submit their own ideas to NIH. Targeted SBIR/STTR FOAs are more focused around specific research areas.

Before starting the application process, you should speak with an HHS SBIR/STTR representative at the NIH IC or PHS agency to which you are applying.

Required Registrations

The registration process may take 6 – 8 weeks, so it is important to start early. Learn about the Electronic Submission Process, including the SBA Company Registration, which is unique to SBIR/STTR…