Attachment validation 000.8 Y N Both Both All attachments must be in PDF format The <attachment> attachment is not in PDF format. All attachments must be provided to the agency in PDF format with a .pdf extension. E Attachment validation 000.9 N N Incl : NIH, CDC, FDA, AHRQ, VA Both Both If an attachment is empty (0 bytes), the following error should be returned The {0} attachment was empty. PDF attachments cannot be empty, password protected or encrypted. Please submit a application with the correct PDF attachment. Help with PDF attachments can be found at E Attachment validation 000.10 Y N Both Both If PDF Attachment has the following issues: Meta data missing Encrypted document Password Protected document Secured document PDF Error , the following error should be The <attachment> attachment contained formatting or features not currently supported by NIH: <condition E
Attachment Validations 000.22 N N Incl : NIH, CDC, FDA, AHRQ, VA Multi Both Y Provide warning at the entire application level if a Biosketch attachment for the potentially same Senior/Key Person is provided on multiple components on Research and Related Senior/Key Person Profile (Expanded). The system will consider person to be potential matches if Credentials are not provided for both entries, then if Senior Key Person Profile or PD/PI Profile First Name and Last Name and Organization Name match. The grantor agency allows only one biosketch per Senior/Key Person to be submitted with this application. The application contains more than one biosketch for Senior/Key Person(s) with the same last name, first name, and organization name. Specifically: <Last name, First name>; on components <component ID>: <Component Title>, <component ID>: <Component Title>..; <Last name, First name> on components <components ID>: <Component Title>, <component ID><Component Title>... E
SF 424 Federal Identifier 001.6.9 N N Incl: NIH, AHRQ Incl: V 2.0 Both For resubmission, prior grant suffix code must not =’A2’ This application has exceeded the number of resubmissions permitted and cannot be accepted. The NIH and AHRQ resubmission policy was revised in April 2014 and you may have the option to submit a New application. See: E SF 424 Federal Identifier 001.6.10 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 2.0 Both For a revision, the prior grant number must exist in the NIH system (Matching is performed only on IC and serial number), the parent grant must be awarded and the application project dates must be within the parent grant. The Federal Identifier included in the application cannot be found. Please ensure you are using the institute code and serial number of the most recent awarded grant number. If the Federal Identifier is correct, the project period of the revision application must fall within the awarded project period of the parent grant. E SF 424 Federal Identifier 001.6.12 N N Incl: NIH, AHRQ Incl: V 2.0 Both For Resubmission, if the prior Grant suffix code = A0 or A1 and resubmission created date is more than 40 months from prior grant created date, provide Error Resubmission applications must be submitted within 37 months of the previous submission. See: . E SF 424 Federal Identifier 001.6.16 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 2.0 Incl: R42, UT2, R44, U44 Single For SBIR/STTR Renewal, provide Error if prior grant is an awarded SBIR/STTR Phase II B A Renewal SBIR/STTR submission is not allowed if an SBIR/STTR Phase II B has previously been awarded. E SF 424 Federal Identifier 001.6.13 N N Excl: NIH, AHRQ Incl: V 2.0 Both For a resubmission, if the prior grant suffix code=A1 or A2, display a warning Some funding agencies limit the number of Resubmission applications that may be submitted. This application may be returned after internal W
424 Division SF 424 Applicant Street 1 001.12 SF 424 Applicant Street 2 001.13 SF 424 (R&R Applicant City 001.14 SF 424 Applicant 001.15 SF 424 Applicant State 001.16.1 Y Y Incl: V 2.0 Both State is required if country is US. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the State must be supplied for US addresses. E SF 424 Applicant State 001.16.2 Y Y Incl: V 2.0 Both If country not US, State must be blank. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the State should not be provided for all countries other than the United States. E SF 424 Applicant Province 001.17.1 Y Y Incl: V 2.0 Both Province is required if country is Canada. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the Province must be supplied for Canadian addresses. E SF Applicant 001.17.2 Y Y Incl: Both If country not Canada, For < Person First, Last name E Information Information Information Information Information Information Information , , , , , , , ,
424 Province V 2.0 Province must be blank. or Organization name, or DUNS if Org name is not available>, the Province should not be provided for all countries other than Canada. SF 424 Applicant Province 001.17.3 Y Y Incl: V 2.0 Both If Country is Canada and province name can’t be transformed, give error. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the Province is not a valid province name. E SF 424 Applicant Country 001.18.1 N N Incl: NIH, CDC, FDA, AHRQ, VA Incl: SC1, SC2, SC3, S10, S11, S21, S22, DP2, DP5, UP5, C06, UC6, G08, G20, K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, R15, UA5, T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, T37, K12, R50, K76, F99/K00 Single Provide an error if country is not US The Applicant Organization for this application must be located in the US. E Update to existing rule (added DP2, DP5, UP5) Update to existing rule (added G08, G20) Update to existing rule (removed KM1) Update to Existing Update to existing( added C06, UC6 and G20) Information Information Information , ,
Update to existing( Added R50) December 2015 Release January 16, 2016 Release, Update to Existing Rule (added K76, F99/K00) SF 424 Applicant Country 001.18.2 N N Incl: NIH, CDC, FDA, AHRQ, VA Incl: R13, U13, R18, U18 Single Provide a warning if country is not US The type of program you are applying to is typically restricted to US applicants. Please verify eligibility in the Funding Opportunity Announcement (FOA). W SF 424 Applicant Country 001.18.3 N N Incl: VA Single For an application in response to a VA announcement, return an error if country is not US The Applicant Organization for this application must be located in the US. E SF 424 Applicant Zip Code 001.19.1 Y Y Incl: V 2.0 Both ZIP Code is required if country is US. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the ZIP Code must be supplied for US addresses. E SF 424 Applicant Zip Code 001.19.2 Y Y Incl: V 2.0 Both ZIP Code must be 9 numeric digits if country is US. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, a 9 digit ZIP Code must be supplied for US addresses. E SF 424 Applicant Information Information Information Information Information
Zip Code SF 424 Person to be Contacted, Prefix SF 424 Person to be Contacted, First Name SF 424 Person to be Contacted, Middle Name SF 424 Person to be Contacted, Last Name SF 424 Person to be Contacted, Suffix SF 424 Person to be Contacted, Position/ Title SF 424 Person to be Contacted, Street 1 SF 424 Person to be Contacted, Street 2 SF 424 Person to be Contacted, City
SF 424 Person to be Contacted, County/ Parish SF 424 Person to be Contacted, State 001.101.1 Y Y Incl: V 2.0 Both State is required if country is US. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the State must be supplied for US addresses. E SF 424 Person to be Contacted, State 001.101.2 Y Y Incl: V 2.0 Both If country is not US, the State must be blank. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the State should not be provided for all countries other than the United States. E SF 424 Person to be Contacted, Province 001.102.1 Y Y Incl: V 2.0 Both Province is required if country is Canada. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the Province must be supplied for Canadian addresses. E SF 424 Person to be Contacted, Province 001.102.2 Y Y Incl: V 2.0 Both If country is not Canada, Province must be blank. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the Province should not be provided for all countries other than Canada. E SF 424 Person to be Contacted, Province 001.102.3 Y Y Incl: V 2.0 If Country is Canada and province name can’t be transformed, give error. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the Province is not a valid province name. E SF 424 Person to be Contacted, Country SF 424 Person to be 001.104.1 Y Y Incl: V 2.0 Both ZIP Code is required if country is US. For < Person First, Last name or Organization name, or E
SF 424 Type of Applicant (other, woman owned, 001.29.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 2.0 Incl: R41, R42, UT1, UT2, R43, R44, U43, U44, SB1, UB1 Single For an SBIR/STTR application, must be ‘Small Business’. For an SBIR/STTR application, the Type of Applicant must be ‘Small Business’. E SF 424 Type of Applicant (other, Specify) 001.30.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 2.0 Both Required if "Other" is selected as the Applicant Type. Other "comment" is required if "Other" is selected as the Applicant Type. E SF 424 Type of Application (New, Resub, Renewal, Contin, Revision) 001.33.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 2.0 Both Must be either New, Revision, Resubmission, or Renewal <Type of Application> provided is invalid. The Type of Application must be New, Revision, Resubmission, or Renewal. E SF 424 Type of Application (New, Resub, Renewal, Contin, Revision) 001.33.2 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 2.0 Incl: S11, X01, R03, R21, R34, U34, C06, UC6, G07, G08, G13, G20, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, R21/R33, UH2/UH3, UH2 UH3, R33, SC2, K76, Single Renewal is not a valid type of application. Renewal applications are not allowed for this Funding Opportunity Announcement. E Update to existing rule (add G07, G08, G13, G20) Update to existing rule (add SC2) Update to existing (add
F99/K00 X01) Update to existing (Add C06, UC6, G20) January 14, 2016 Release Update to Existing Rule (Added K76, F99/K00) SF 424 Type of Application (New, Resub, Renewal, Contin, Revision) 001.33.3 N N Incl: VA Incl: V 2.0 Single For an application in response to a VA announcement, return an error if Type of Application is 'Revision' Revision applications may not be submitted to VA. E SF 424 Type of Application 001.33.4 N N Incl : NIH, Incl: V 2.0 Incl: R41, UT1, Single Renewal is not a valid type of application for Phase I SBIR/ A renewal cannot be submitted for this application. E
(New, Resub, Renewal, Contin, Revision) CDC, FDA, AHRQ, VA R43, U43 STTR. (Based on program type code and Phase I is indicated on the SBIR/STTR form) SF 424 Type of Application (New, Resub, Renewal, Contin, Revision) 001.33.25 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 2.0 Incl: F05, F30, F31, F32,F33, F37, F38, FI2, S10, X01, R50, F99/K00 Single Revision is not a valid type of application. Revision applications are not allowed for this Funding Opportunity Announcement. E New rule Update to existing (add S10) Update to existing (added X01) Update to Exiting (Added R50 – December 2015 Release) January 14, 2016 Release, Update to Existing Rule (added F99/K00) SF 424 Type of Application (New, Resub, Renewal, Contin, Revision) 001.33.26 N N Incl: NIH, CDC, FDA, AHRQ VA Incl: V 2.0 Incl: DP1, DP2, DP3, DP4, DP5, UP5 Single Provide error if application type is not marked as New. A resubmission, renewal, or revision Type of Application is not allowed... E New rule
SF 424 Type of Application (New, Resub, Renewal, Contin, Revision) 001.33.27 N N Incl: NIH, CDC, FDA, AHRQ VA Incl: V 2.0 Incl: SC1 Single For SC1, provide error for a renewal if the PI has been awarded any R01 or R21 grants, whether as a single PI or as a multiple PI. The PI, <first name last name) has been awarded R01 or R21 grants in the past. SC1 applications may not be submitted if the PI has been awarded any R01 or R21 grants. E New Rule SF 424 Type of Application (New, Resub, Renewal, Contin, Revision) 001.33.28 N N Incl: NIH, CDC, FDA, AHRQ VA Incl: V 2.0 Incl: SC1 Single For an SC1 application, provide error for a renewal if there has already been an awarded renewal for this grant. Only one renewal is allowed for an SC1. E New Rule SF 424 Type of Application (New, Resub, Renewal, Contin, Revision) 001.33.29 N N Incl: NIH, CDC, FDA, AHRQ VA Incl: V 2.0 Single For FOA with activity code is 333/666/777 application must be Revision <Type of Application> provided in the SF424 RR Cover is invalid. The Type of Application must be Revision. E New Rule SF 424 Type of Application (New, Resub, Renewal, Contin, Revision) 001.33.30 N N Incl: NIH, CDC, FDA, AHRQ VA Incl: V 2.0 Incl: SB1, UB1 Single For an SB1 or UB1 application, provide error if the submission is not Renewal, Resubmission, or revision. Commercialization Readiness Phase (SB1/UB1) have to be submitted as Renewal, Resubmission, or Revision. E New Rule SF 424 Type of Application Revision Code description SF 424 Type of Application Revision Code Other
T35, T36, T37, K12, D43, D71, U2R, R50 SF 424 RR Cover Page. existing rule (Added R50) December 2015 Release SF 424 Proposed project ending date 001.42.10 N N Incl: NIH, CDC, FDA, AHRQ VA Incl: V 2.0 Incl: SC1, SC3 Single Project Provide error if project period is more than four years long. Define project period by time span between project period start date and project period end date as entered on the SF 424 RR Cover Page. The project period is limited to four years. E Sprint 19 SF 424 Proposed project ending date 001.42.11 N N Incl: NIH, CDC, FDA, AHRQ, VA Incl: V2.0 Incl: F99/K00 Single Project Provide error if project period is more than six years long. Define project period by time span between project period start date and project period end date as entered on the SF424 RR Cover page. The project period is limited to six years E January 14, 2016 Release SF 424 districts of applicant 001.43.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 2.0 Both Must be a valid congressional district code (after truncating). Truncation logic: Parse from left to right, and take the first two digits encountered, skipping leading zeroes (return error if no digits are encountered, but no error if only zeroes are encountered). Before validating, pad out with a leading zero if less than 2 digits are extracted in this way. Do not return error if ‘ALL’ is encountered. Congressional district <Congressional District> is invalid. To locate your district, visit http://www.house.gov/ If the applicant organization is a foreign institution, refer to the application guide for instructions. E
When Other Country than US selected and no Congressional District is entered, then populate db with 00-000. The validation should not fire. SF 424 PD/PI Contact name (prefix,) 001.44 SF 424 PD/PI Contact name ( first name,) 001.45.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 2.0 Both If PD/PI name and Commons account provided (and Commons account is recognized), provide warning if last name and first name on account doesn’t match provided last name and first name. Comparison to ignore case and embedded spaces, but not embedded punctuation. The name provided for the PD/PI, <First name last name does not match the name listed on the eRA Commons account: <First name last name>. The application image will display the name as submitted here. If the name listed in the eRA Commons is not current, please update it in the eRA Commons. Instructions on updating profile information are available at W SF 424 PD/PI Contact name (middle name) 001.46 SF 424 PD/PI Contact name (Last name) 001.47 Information Information Information Information
SF 424 PD/PI Contact name (suffix) 001.48.1 SF 424 PD/PI Contact 001.49 SF 424 PD/PI Contact 001.49 SF 424 PD/PI Contact Name 001.50 SF 424 PD/PI Contact 001.51 SF 424 PD/PI Contact Division 001.52 SF 424 PD/PI Contact Street 1 001.53 SF 424 PD/PI Contact Street 2 001.54 Information Information Information Information Information Information Information Information
SF 424 PD/PI Contact City 001.55 SF 424 PD/PI Contact 001.56 SF 424 PD/PI Contact state 001.57.2 Y Y Incl: V 2.0 Both State is required if country is US. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the State must be supplied for US addresses. E SF 424 PD/PI Contact state 001.57.3 Y Y Incl: V 2.0 Both If country not US, State must be blank. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the State should not be provided for all countries other than the United States. E SF 424 PD/PI Contact province 001.58.1 Y Y Incl: V 2.0 Both If Country is Canada and province name can’t be transformed, give an error. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the Province is not a valid province name. E SF 424 PD/PI Contact province 001.58.2 Y Y Incl: V 2.0 Both Province is required if country is Canada. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the Province must be supplied for Canadian addresses. E SF 424 PD/PI Contact 001.58.3 Y Y Incl: V 2.0 Both If country not Canada, Province must be blank. For < Person First, Last name or Organization name, or DUNS if Org name is not E Information Information Information Information Information Information Information
province available>, the Province should not be provided for all countries other than Canada. SF 424 PD/PI Contact country SF 424 PD/PI Contact ZIP/Postal Code 001.60.1 Y Y Incl: V 2.0 Both ZIP Code is required if country is US. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the ZIP Code must be supplied for US addresses. E SF 424 PD/PI Contact ZIP/Postal Code 001.60.2 Y Y Incl: V 2.0 Both ZIP Code must be 9 numeric digits if country is US. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, a 9 digit ZIP Code must be supplied for US addresses. E SF 424 PD/PI Contact phone number SF 424 PD/PI Contact fax number SF 424 PD/PI Contact email 001.63.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 2.0 Both Must contain a ‘@’, with at least 1 and at most 64 chars preceding and following the ‘@’. Control characters (ASCII 0 through 31 and 127), spaces and special chars < > ( [ ] \ ; : are not valid. The submitted e-mail address for the PD/PI {0}, is invalid. E SF 424 Total Federal Funds Requested 001.64.1 N N Incl : NIH, CDC, FDA, AHRQ, Incl: V 2.0 Incl: S10 Single Display a warning if the Total Federal Funds Requested is greater than 500k. RFA are excluded The Total Federal Funds Requested is greater than 500k. Be sure to comply with the Funding Opportunity Announcement (FOA) W New rule Information Information Information Information Information Information
instructions. SF 424 Total Federal Funds Requested 001.64.2 N N Incl : NIH, CDC, FDA, AHRQ, Incl: V 2.0 Incl: X01, Single Provide Error if non-zero values are entered in Total Federal Funds Requested The Total Federal Funds Requested in the Estimated Project Funding section must be zero. E New rule SF 424 Total Federal Funds Requested 001.64.3 N N Incl : NIH, CDC, FDA, AHRQ, Incl: V 2.0 Incl: C06, UC6, G20 Single Total Federal Funds Requested must be non-zero for a C06, UC6 or G20 application. The Total Federal Funds Requested in the Estimated Project Funding section cannot be zero E SF 424 Total Federal and Funds 001.65.1 N N Incl : NIH, CDC, FDA, AHRQ, Incl: V 2.0 Incl: S21, S22 Single Provide a warning if zero or null.is provided in Total Federal and Non-Federal Funds The Total Federal and Funds should be provided. Be sure to comply with the Funding Opportunity Announcement (FOA) instructions. W New rule SF 424 Total Federal and Funds 001.65.2 N N Incl : NIH, CDC, FDA, AHRQ, Incl: V 2.0 Incl: X01 Single Provide error if non-zero values are entered in total Federal and Non-Federal Funds Requested Total Federal and Funds in the Estimated Project Funding section must be zero E New rule SF 424 Total Federal and Funds 001.65.3 N N Incl : NIH, CDC, FDA, AHRQ, Incl: V 2.0 Incl: C06, UC6, G20 Single Total Federal and Funds must be for a C06, UC6 or G20 application. Total Federal and Funds in the Estimated Project Funding section cannot be zero. E New Rule SF 424 Estimated Program Income 001.66 SF 424 Estimated Program Income 001.67 SF 424 Subject to state executive order review? 001.68 Non-
SF 424 Subject to state executive order review? 001.68.1 N N Incl : NIH, CDC, FDA, AHRQ, Incl: V 2.0 Incl: C06, UC6, G20 Single A response is required in the “Yes” or “No” checkbox A response must be included to the question ‘ Is application subject to review by state executive order 12372 process’ on the SF424 RR Cover Page E New Rule SF 424 State executive order review date 001.69.2 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 2.0 Both Required if answer to ‘Subject to state executive order review’ is ‘Yes’ A State executive order review date must be entered, if the answer to the ‘Subject to state executive order review’ is ‘Yes’. E SF 424 Agreement and certification 001.70 SF 424 SFLLL or Other Attachment 001.71 SF 424 Authorized prefix 001.72.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 2.0 Both Display warning if first or last name>30 chars, or if suffix>5 chars. The Authorized Representative <element name> (SF 424 RR Cover page) exceeds the agency character limit. The application image will display the name as submitted; the agency will store the first <database length> characters in the eRA database. W SF 424 Authorized first name 001.73 SF 424 Authorized middle name 001.74
SF 424 Authorized last name 001.75 SF 424 Authorized suffix 001.76.1 SF 424 Authorized 001.77 SF 424 Authorized 001.78 SF 424 Authorized department 001.79 SF 424 Authorized division 001.80 SF 424 Authorized street 1 001.81 SF 424 Authorized street 2 001.82 SF 424 Authorized city 001.83 SF 424 Authorized 001.84
424 Letter Attachment NIH, CDC, FDA, AHRQ, VA U13 letter is not attached attached for this application. Be sure that you have complied with the FOA instructions. SF 424 Cover Letter Attachment 001.94.3 N N Incl : NIH, CDC, FDA, AHRQ, VA Single Do not allow cover letter attachment for type 3/6/7 applications. A cover letter cannot be attached for this application. E New rule SF 424 (R&R) MP ((Use only for Multi-project) Form Field Rule# Rule Categories Validation Error Message Error/ Warning Comments (Y/N) Shared (Y/N) Agency Specific (Lists Form FOA Specific Activity Specific Lists Activity Code (Inclusion & Exclusion) Applies to Single Multi Project or Both to Com- Type (Multi Only) Cross (Multi Project Only) SF 424 (R&R) MP Type of Changed 002.1
App) SF 424 (R&R) MP Date 002.2 SF 424 (R&R) MP Applicant Identifier 002.3 SF 424 (R&R) MP Date Received by State 002.4 SF 424 (R&R) MP State Identifier 002.5 SF 424 (R&R) MP Federal Identifier 002.6 SF 424 (R&R) MP Agency Routing Identifier 002.7 SF 424 (R&R) MP Previous Tracking ID 002.8 SF 424 (R&R) MP Applicant DUNS 002.9.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.0 Multi DUNS is required The Component Organization DUNs number is required. E SF 424 (R&R) MP Applicant Legal Name 002.10.1 N N Incl : NIH, CDC, FDA, Incl: V1.0 Multi Organization Legal Name is required The Component Organization's Legal Name is required. E
AHRQ, VA SF 424 (R&R) MP Applicant 002.11 SF 424 (R&R) MP Applicant Division 002.12 SF 424 (R&R) MP Applicant Street 1 002.13.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.0 Multi Address line 1 is required The Component Organization Street address must be provided. E SF 424 (R&R) MP Applicant Street 2 002.14 SF 424 (R&R) MP Applicant City 002.15.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.0 Multi City is required The Component Organization City must be provided. E SF 424 (R&R) MP Applicant 002.16 SF 424 (R&R) MP Applicant State 002.17.1 Y Y Incl: V1.0 Multi State is required if country is US. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the State must be supplied for US addresses. E SF 424 Applicant 002.17.2 Y Y Incl: V1.0 Multi If country is not US, the State must be blank. For < Person First, Last name or Organization name, or E
2 SF 424 (R&R) MP Person to be City 002.29.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.0 Multi City is required For < Person First, Last name or Organization name, or DUNS if Org name is not available>,City is required.. E SF 424 (R&R) MP Person to be County/ Parish 002.30 SF 424 (R&R) MP Person to be State 002.31.1 Y Y Incl: V1.0 Multi State is required if country is US. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the State must be supplied for US addresses. E SF 424 (R&R) MP Person to be State 002.31.2 Y Y Incl: V1.0 Multi If country is not US, the State must be blank. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the State should not be provided for all countries other than the United States. E SF 424 (R&R) MP Person to be Province 002.32.1 Y Y Incl: V1.0 Multi Province is required if country is Canada. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the Province must be supplied for Canadian addresses. E SF 424 (R&R) MP Person to be Province 002.32.2 Y Y Incl: V1.0 Multi If country is not Canada, Province must be blank. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the Province should not be provided for all countries other than Canada. E SF 424 (R&R) MP Person to be 002.32.3 Y Y Incl: V1.0 Multi If Country is Canada and province name can’t be transformed, give error. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the Province is not E
Province a valid province name. SF 424 (R&R) MP Person to be Country 002.33.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.0 Multi Country is required The Component Person to be contacted Country is required. E SF 424 (R&R) MP Person to be ZIP Code 002.34.1 Y Y Incl: V1.0 Multi ZIP Code is required if country is US. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the ZIP Code must be supplied for US addresses. E SF 424 (R&R) MP Person to be ZIP Code 002.34.2 Y Y Incl: V1.0 Multi ZIP Code must be 9 numeric digits if country is US. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, a 9 digit ZIP Code must be supplied for US addresses. E SF 424 (R&R) MP Person to be Phone Number 002.35.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.0 Multi Phone Number is required The Component Person to be contacted Phone number is required. E SF 424 (R&R) MP Person to be Fax Number 002.36 SF 424 (R&R) MP Person to be e-mail 002.37 SF 424 (R&R) MP Person to be e-mail 002.38 SF 424 Employer 002.39
(R&R) MP SF 424 (R&R) MP Type of Applicant (other, woman owned, 002.40 SF 424 (R&R) MP Type of Applicant (other, Specify) 002.41 SF 424 (R&R) MP Type of (New, Resub, Renewal, Contin, Revision) 002.42 SF 424 (R&R) MP Type of Revision Code 002.43 SF 424 (R&R) MP Type of Revision Code Other 002.44 SF 424 (R&R) MP to other (Y/N) 002.45 SF 424 to other 002.46
(R&R) MP Name of agencies SF 424 (R&R) MP Name of Federal Agency 002.47 SF 424 (R&R) MP Catalog of Federal Domestic Number 002.48 SF 424 (R&R) MP Title 002.49.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.0 Multi Project Title is required. The Component Project Title is required. E SF 424 (R&R) MP Proposed project start date 002.50.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.0 Multi Start date is required The Component Proposed Project Start Date is required E SF 424 (R&R) MP Proposed project start date 002.50.2 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.0 Multi Must be later than current date The Component Proposed Project Start Date must be later than today's date. E SF 424 (R&R) MP Proposed project start date 002.50.3 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.0 Multi Y Must be equal or after the proposed start date of the Overall The Component Proposed Project Start Date must be equal to or after the proposed start date of the Overall component. E SF 424 (R&R) Proposed project ending 002.51.1 N N Incl : NIH, CDC, Incl: V1.0 Multi End date is required The Component Proposed Project Ending Date is required. E
(middle name) SF 424 (R&R) MP PD/PI Contact name (Last name) 002.56 SF 424 (R&R) MP PD/PI Contact name (suffix) 002.57 SF 424 (R&R) MP PD/PI Contact 002.58 SF 424 (R&R) MP PD/PI Contact 002.59 SF 424 (R&R) MP PD/PI Contact Name 002.60 SF 424 (R&R) MP PD/PI Contact 002.61 SF 424 (R&R) MP PD/PI Contact 002.62
Division SF 424 (R&R) MP PD/PI Contact Street 1 002.63 SF 424 (R&R) MP PD/PI Contact Street 2 002.64 SF 424 (R&R) MP PD/PI Contact City 002.65 SF 424 (R&R) MP PD/PI Contact 002.66 SF 424 (R&R) MP PD/PI Contact state 002.67 SF 424 (R&R) MP PD/PI Contact province 002.68 SF 424 (R&R) MP PD/PI Contact country 002.69 SF 424 (R&R) MP PD/PI Contact 002.70
Code SF 424 (R&R) MP PD/PI Contact phone number 002.71 SF 424 (R&R) MP PD/PI Contact fax number 002.72 SF 424 (R&R) MP PD/PI Contact email 002.73 SF 424 (R&R) MP Total Federal Funds 002.74 SF 424 (R&R) MP Total Federal and Funds 002.75 SF 424 (R&R) MP Program Income 002.76 SF 424 (R&R) MP Subject to state executive order review? 002.77 SF 424 (R&R) MP State executive order review date 002.78
SF 424 (R&R) MP and 002.79 SF 424 (R&R) MP SFLLL or Other 002.80 SF 424 (R&R) MP prefix 002.81 SF 424 (R&R) MP first name 002.82 SF 424 (R&R) MP middle name 002.83 SF 424 (R&R) MP last name 002.84 SF 424 (R&R) MP suffix 002.85 SF 424 (R&R) 002.86
MP SF 424 (R&R) MP 002.87 SF 424 (R&R) MP 002.88 SF 424 (R&R) MP division 002.89 SF 424 (R&R) MP street 1 002.90 SF 424 (R&R) MP street 2 002.91 SF 424 (R&R) MP city 002.92 SF 424 (R&R) MP 002.93
SF 424 (R&R) MP state 002.94 SF 424 (R&R) MP province 002.95 SF 424 (R&R) MP country 002.96 SF 424 (R&R) MP zip/postal code, 002.97 SF 424 (R&R) MP phone number 002.98 SF 424 (R&R) MP fax number 002.99 SF 424 (R&R) MP email 002.100 SF 424 (R&R) MP 002.101
signature and date SF 424 (R&R) MP 002.102 SF 424 (R&R) MP Cover Letter 002.103 Project/Performance Site(s) Form Field Rule# Rule Categories Validation Error Message Error/ Warning Comments Mandatory (Y/N) Shared (Y/N) Agency Specific (Lists Agencies) Form Version FOA Specific Activity Specific Lists Activity Code (Inclusion & Exclusion) Applies to Single Project, Multi Project or Both Applies to Com- ponent Type (Multi Project Only) Cross Components (Multi Project Only) Project/ Performance Site (R&R) I am submitting an application as an individual, and not on behalf of a company, state, local or tribal 003.1
name is not available>, a 9 digit ZIP Code must be supplied for US addresses. Project/ Performance Site (R&R) Primary Location, Country 003.11 Project/ Performance Site (R&R) Primary Location, Congressional District 003.12.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl; V2.0 Both Both Required if Country is US. For <Organization name or DUNS (if Org name not available)>, the Congressional District is required since country is United States. E Project/ Performance Site (R&R) Primary Location, Congressional District 003.12.2 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl; V2.0 Both Both Must be a valid congressional district code (after truncating). Truncation logic: Parse from left to right, and take the first two digits encountered, skipping leading zeroes (return error if no digits are encountered, but no error if only zeroes are encountered). Before validating, pad out with a leading zero if less than 2 digits are extracted in this way. Do not return error if ‘ALL’ is encountered. When Other Country than US selected and no Congressional District is entered, then populate database with 00-000. The validation Congressional district <Congressional District> is invalid for <Organization name or DUNS (if Org name not available)>. To locate your district, visit http://www.house.gov/ If the applicant organization is a foreign institution, refer to the application guide for instructions. E
should not fire. Project/ Performance Site (R&R) I am submitting an application as an individual, and not on behalf of a company, state, local or tribal government, academia, or other type of organization. 003.13 Project/ Performance Site (R&R) Location 1, Organization Name 003.14 Project/ Performance Site (R&R) Location 1, DUNS Number 003.15 Project/ Performance Site (R&R) Location 1, Street 1 003.16 Project/ Performance Site (R&R) Location x, Street 2 003.17 Project/ Performance Site (R&R) Location 1, City 003.18 Project/ Performance Site (R&R) Location 1, County/Parish 003.19 Project/ Performance Site (R&R) Location x, State 003.20.1 Y Y Incl; V2.0 Both Both State is required if country is US. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the State must be supplied for E
US addresses. Project/ Performance Site (R&R) Location x, State 003.20.2 Y Y Incl; V2.0 Both Both If country not US, State must be blank. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the State should not be provided for all countries other than the United States. E Project/ Performance Site (R&R) Location x, Province 003.21.1 Y Y Incl; V2.0 Both Both If Country is Canada and province name can’t be transformed, give an error. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the Province is not a valid province name. E Project/ Performance Site (R&R) Location x, Province 003.21.2 Y Y Incl; V2.0 Both Both Province is required if country is Canada. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the Province must be supplied for Canadian addresses. E Project/ Performance Site (R&R) Location x, Province 003.21.3 Y Y Incl; V2.0 Both Both If country not Canada, Province must be blank. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the Province should not be provided for all countries other than Canada. E Project/ Performance Site (R&R) Location x, Zip code 003.22.1 Y Y Incl; V2.0 Both Both ZIP Code is required if country is US. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the ZIP Code must be supplied for US addresses. E Project/ Performance Site (R&R) Location x, Zip code 003.22.2 Y Y Incl; V2.0 Both Both ZIP Code must be 9 numeric digits if country is US. For < Person First, Last name or Organization name, or DUNS if Org E
name is not available>, a 9 digit ZIP Code must be supplied for US addresses. Project/ Performance Site (R&R) Location x, Country 003.23 Project/ Performance Site (R&R) Location 1, Congressional District 003.24 Project/ Performance Site (R&R) Additional Location(s) 003.25.1 N N Incl: NIH Incl; V2.0 Both Both Provide error if Additional Location(s) attachment is provided and less than 300 sites (including the primary) have been entered on the Project Performance Sites An Additional Location(s) attachment may be submitted only if 300 sites (including the primary) have been entered on the Project Performance Sites. E Other Project Form Field Rule# Rule Categories Validation Error Message Error/ Warning Comments
Component (Y/N) (Y/N) Agency Specific (Lists Form FOA Activity Specific Lists Activity Code (Inclusion & to Single Multi Project or Both to Com- ponent Type (Multi Only) Cross (Multi Project Only) Research and Related Other Project Human Subjects Involved? 004.1.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.3 Both Both If Human Subjects Used Question is false, Exemption Number must not be specified. When Human Subjects is “No”, Exemption Number must not be specified. E Research and Related Other Project Human Subjects Involved? 004.1.2 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.3 Both If Human Subjects Used Question is false, provide a warning if Assurance Number is specified. When Human Subjects is “No”, Assurance Number may not be specified. W Research and Related Other Project Human Subjects Involved? 004.1.3 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.3 Both Both Must be true if Human Subjects Clinical Trial question is true on Cover Page Supp. The ‘Human Subjects Involved’ question must be "Yes" if the Human Subjects Clinical Trial question on the PHS 398 Cover Page Supplement is “Yes”. E Research and Related Other Project Human Subjects Involved? 004.1.4 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.3 Both Provide Warning if Human Subject Involved is Yes and Is the Project Exempt from Federal Regulations is No and Is the IRB review Pending is Yes and Human Assurance Number is not provided. The Human Subject Assurance Number may be requested later as part of the eRA Commons Just In Time (JIT) process. W Research and Related Other Project Human Subjects Involved? 004.1.5 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.3 Multi Y If Human Subject Involved is Yes on any component of the application and the Overall Human Subject Involved is No, provide Error If Human Subjects Involved is "Yes" on any component of the application, then "Yes" must be selected for the Overall component E
Research and Related Other Project Human Subjects Involved? 004.1.6 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.3 Multi Y For New and Renewal applications, If Human Subject Involved is No on all components of the application and the Overall if Human Subject Involved is Yes, provide Error If Human Subjects Involved is "No" on all components of the application, then "No" must be selected for the Overall component E Research and Related Other Project Human Subjects Involved? 004.1.7 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.3 Multi Y For Revision and Resubmission applications, If Human Subject Involved is No on all components of the application and the Overall if Human Subject Involved is Yes, provide Warning Answering ‘Yes’ to Human Subjects on the Overall component and ‘No’ to Human Subjects on all other components is typically not allowed unless your Revision application (or Resubmission of a Revision) does not include the components that involve human subjects. W Research and Related Other Project Human Subjects Involved? 004.1.8 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.3 Incl: S10, S21, S22, Single Provide warning if Human Subject is true. The answer to the Human Subjects Involved should be ‘No’ for this application. W New rule Research and Related Other Project Human Subjects Involved? 004.1.9 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.3 Incl:R50 Single Provide error if Human Subjects is true The answer to the Human Subjects Involved should be ‘No’ for this application. E New Rule December 2015 Release
Research and Related Other Project Project Exempt from Federal Regulations 004.2.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.3 Both Both If Human Subjects Used Question is true, the Project Exempt from Federal Regulations question cannot be blank If the answer to Human Subject Used is ‘Yes”, an answer to the Project Exempt from Federal Regulations must be provided. E Research and Related Other Project Exemption number 1-6 004.3.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.3 Both Both If Project Exempt from Federal Regulations is True, the Exemption number cannot be blank. If the answer to Project Exempt from Federal Regulations is ‘Yes’, an Exemption Number must be provided. E Research and Related Other Project Exemption number 1-6 004.3.2 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.3 Multi Y For New and Renewal applications, if Overall Exemption number is 'E4' and all Components Human Subject is 'Yes' with no exemption number checked or an Exemption number not equal to ‘E4’, provide error. If the Human Subjects Involved question on the Overall component is Yes with exemption 4, then all other components with human subjects must also use exemption 4. E Research and Related Other Project Exemption number 1-6 004.3.3 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.3 Multi Y For Revision and Resubmission applications, provide a warning if Overall Human Subject is Yes and Exception code is E4 and all Components with Human Subject is Yes and Exception code is different than E4 or not any are selected Human Subjects exemption number 4 is typically not allowed on the Overall component unless exemption 4 is selected for all components that include Human Subjects. W Research and Related Other IRB review pending? 004.4.1 N N Incl : NIH, CDC, FDA, AHRQ, Incl: V1.3 Both If IRB review pending? Is false and project exempt from regulation is No, IRB approval date and Human subject If the answer to ‘IRB Review Pending’ question is ‘No’, the IRB Approval Date and Human Subject Assurance Number must E
Project VA assurance number cannot be blank. be provided. Research and Related Other Project IRB approval date Research and Related Other Project IRB approval date Research and Related Other Project Human subject assurance number 004.6 Research and Related Other Project Vertebrate animals used? 004.7.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.3 Both If Vertebrate Animal Used is ‘Y’, then ONE of the following must be provided: Assurance Number + IACUC Approval Date OR Assurance Number + IACUC Approval Pending OR the word ‘None’ (case insensitive, don’t validate on punctuation) When Vertebrate Animals is “Yes”, you must provide one of the following: (1) animal welfare assurance number + IACUC approval date, (2) animal welfare assurance number + an indication that IACUC approval is pending OR (3) the word ‘None’. E Research Vertebrate 004.7.2 N N Incl : Incl: Multi Y If Vertebrate animals used is Yes If Vertebrate animals used is "Yes" on any E
and Related Other Project animals used? NIH, CDC, FDA, AHRQ, VA V1.3 on any component of the application and the Overall Vertebrate animals used is No, provide Error component of the application, then "Yes" must be selected for the Overall component Research and Related Other Project Vertebrate animals used? 004.7.3 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.3 Multi Y For New and Renewal applications, If ‘vertebrate animal is answered No on all Other Components and Overall component is marked Yes, then provide error. If Vertebrate animals used is "No" on all components of the application, then "No" must be selected for the Overall component E Research and Related Other Project Vertebrate animals used? 004.7.4 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.3 Multi Y For Revision and Resubmission applications, If Vertebrate Animals is No on all components of the application and if the Overall Vertebrate Animals is Yes, provide Warning Answering ‘Yes’ to Vertebrate Animals on the Overall component and ‘No’ to Vertebrate Animals on all other components is typically not allowed unless your Revision application (or Resubmission of a Revision) does not include the components that involve vertebrate animals. W Research and Related Other Project Vertebrate animals used? 004.7.5 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.3 Incl: S10 Single Provide warning if Vertebrate Animals Used is true. The answer to the Vertebrate Animals Used should be ‘No’ for this application. W New rule Research and Related Other Project Vertebrate animals used? 004.7.6 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.3 Incl: R50 Single Provide Error if Vertebrate Animals Used is true. The answer to the Vertebrate Animals Used question should be ‘No’ for this application. E New Rule December 2015 Release
Project Research and Related Other Project Environmental Exemption Indicator, If yes, please explain 004.15.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.3 Both Both An explanations is required if Environmental Exemption is Yes Explanation about the environmental assessment (EA) or environmental impact statement (EIS) are required if Environmental Exemption is Yes. E Research and Related Other Project Performance Site a historic place? 004.16 Research and Related Other Project Performance Site a historic place, If yes, please explain 004.17.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.3 Both Both An explanation is required if Historic Designation is Yes If you indicated that any performance site is designated, or eligible to be designated, as a historic place, provide an explanation. E Research and Related Other Project Activities outside of US? 004.18.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.3 Multi Y Provide error if 'Activities Outside of US' on Component is Yes and 'Activities Outside of US' on Overall is No. If 'This Project involve activities outside of US' is "Yes" on any component of the application, then "Yes" must be selected for the Overall component. E Research Activities outside 004.18.2 N N Incl : Incl: Multi Y For New and Renewal If 'This Project involve activities outside of E
Research and Related Other Project Project 004.20.2 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.3 Both Both Attachment is limited to one page The Project Summary/Abstract is limited to 30 lines of text. E Research and Related Other Project Project Narrative 004.21.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.3 Both Attachment is required The Project Narrative attachment is required. E Research and Related Other Project Project Narrative 004.21.2 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.3 Excl: C06, UC6, G20 Both Both Attachment is limited to one page The Project Narrative attachment should not be longer than 2 or 3 sentences. E Research and Related Other Project Bibliography and References Cited 004.22.1 N N Incl : NIH Incl: V1.3 Excl: DP1, DP2, DP4 Both Both Provide a warning if this attachment hasn’t been included. In most cases, a Bibliography and References Cited attachment should be included. W Updated to exclude activity codes 07/29/2015 Research and Related Bibliography and References 004.22.2 N N Incl: VA Incl: V1.3 Single For VA applications, provide error if Bibliography and References The Bibliography and References attachment on the Other Project Information is limited to 4 pages. E
Other Project Cited Cited is more than 4 pages Research and Related Other Project Bibliography and References Cited 004.22.3 N N Incl: NIH, CDC, FDA, AHRQ VA Incl: V 1.3 Incl: DP1, DP2, DP4 Single Provide error if Bibliography attached. The Bibliography and References attachment cannot be included.. E New rule Research and Related Other Project Facilities and other resources 004.23.1 N N Incl: NIH, CDC, FDA, AHRQ VA Incl: V 1.3 Incl: T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, T37, K12, D43, D71, U2R, SI2/R00, R50 Single Provide error if Facilities and other resources attachment is not attached The Facilities & Other Resources attachment is required. E Update to existing rule (removed KM1) Update to existing (Added R50) December 2015 Release Research and Related Other Project Equipment 004.24.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.3 Incl: S10 Single Equipment attachment is required The Equipment Attachment is required. E New rule Research and Related Other attachments 004.25.1 N N Incl : NIH, CDC, Incl: V1.3 Both Both Limited to 100 attachments You have submitted more than 100 Other attachments. There is a limit of 100 attachments allowed. E
Other Project FDA, AHRQ, VA Research and Related Other Project Other attachments 004.25.2 N N Incl: VA Incl: V1.3 Single For VA applications where Type of Application is ‘Resubmission’, a file named ‘01_VA_Intro.pdf’ is required. An Introduction must be included as an ‘Other Attachment’ for resubmissions on the Other Project Information page. The attachment should be named ‘01_VA_Intro.pdf’. E Research and Related Other Project Other attachments 004.25.4 N N Incl: VA Incl: V1.3 Single For VA applications where Type of Application is ‘New’, do not accept file named ‘01_VA_Intro.pdf’ An Introduction cannot be submitted (as an Other Attachment on the Other Project Information page for new applications. E Research and Related Other Project Other attachments 004.25.5 N N Incl: VA Incl: V1.3 Incl: I01 Single For VA applications and activity code is I01 where a file named 02a_VA_Research_Plan.pdf has been submitted, it cannot be greater than 14 pages The Research Plan, submitted as an Other Attachment on the Other Project Information page, is limited to 14 pages. E Research and Related Other Project Other attachments 004.25.6 N N Incl: VA Incl: V1.3 Excl: IK6 IS1 Single For VA applications and activity code is NOT IK6 or IS1 provide error if the file named is submitted. A Letter from the VA R&D Committee may not be submitted for this application. E
Research and Related Other Project Other attachments 004.25.7 N N Incl: VA Incl: V1.3 Incl: IK6 Single E For VA applications and activity code is IK6, where a file named '02a_VA_Research_Plan.pdf' has been submitted, it cannot be greater than 7 pages. The Research Plan, submitted as an Other Attachment on the Other Project Information page, is limited to 7 pages. Research and Related Other Project Other attachments 004.25.8 N N Incl: VA Incl: V1.3 Incl: IK6 IS1 Single E For VA applications and activity code is IK6 or IS1 a file named is required. A Letter from the VA R&D Committee is required for this application. Please submit it as an 'Other Attachment' on the Other Project Information page, titled ‘08a_VA_R_D_Committee_letter.pdf'. Research and Related Other Project Other attachments 004.25.9 N N Incl: VA Incl: V1.3 Single E For VA applications where a file named '02_VA_Specific_Aims.pdf' has been submitted, it cannot be greater than 1 page. The Specific Aims, submitted as an ‘Other Attachment’ on the Other Project Information page, is limited to 1 page Research and Related Other Project Other attachments N N Incl: VA Incl: V1.3 Single E For VA applications, a file named '02_VA_Specific_Aims.pdf' is required A Specific Aims is required for this application. Please submit it as an 'Other Attachment' on the Other Project Information page, titled '02_VA_Specific_Aims.pdf'. Research and Related Other Project Other attachments N N Incl: VA Incl: V1.3 Incl: IK1, IK2, IK3, IK4, IK5, IK6, I21 Single For VA applications and activity code is IK1, IK2, IK3, IK4, IK5, IK6 or I21 do not accept a file named ‘06_VA_Multiple_PI.pdf A Multiple PI Leadership Plan may not be submitted for a Career Development application. E
Related Other Project attachments IK3, IK4, IS1,IU1 IU1 where a file named 02a_VA_Research_Plan.pdf has been submitted, it cannot be greater than 24 pages Information page, is limited to 24 pages. Research and Related Other Project Other attachments N N Incl: VA Incl: V1.3 Single For VA applications, require the submission of a file named ‘02a_VA_Research_Plan.pdf A Research Plan is required for this application. Please submit it as an ‘Other Attachment’ on the Other Project Information page, titled ‘02a_VA_Research_Plan.pdf’ E Research and Related Other Project Other attachments N N Incl: VA Incl: V1.3 Single For VA applications where Type of Application is ‘Renewal’, a file named ‘03_VA_Prog_Report_Pubs.pdf‘ is required A bibliography of publications resulting from the last period of VA funding must be included for all renewals. Please submit it as an ‘Other Attachment’ on the Other Project Information page, titled ‘03_VA_Prog_Report_Pubs.pdf’. E Research and Related Other Project Other attachments N N Incl: VA Incl: V1.3 Single For VA applications where Human Subjects is ‘Y’, a file named ‘04_VA_Human_Subjects.pdf’ is required A Human Subjects attachment must be included if the response to the Human Subjects question on the Other Project Information page is ‘Yes’. Please submit it as an ‘Other Attachment’ on the Other Project Information page, titled ‘04_VA_Human_Subjects.pdf’. E Research and Related Other Project Other attachments N N Incl: VA Incl: V1.3 Single For VA applications where Vertebrate Animals is ‘Y’, a file named ‘05_VA_Animals.pdf’ is required A Vertebrate Animals attachment must be included if the response to the Vertebrate Animals Used Question on the Other Project Information form is ‘Yes’. Please submit it as an ‘Other Attachment’ on the Other Project Information page, titled ‘05_VA_Animals.pdf’. E Update to existing rule message
Research and Related Other Project Other attachments N N Incl: VA Incl: V1.3 Single For VA applications where multiple PIs are not included, do not accept a file named ‘06_VA_Multiple_PI.pdf’ The Multiple PI Leadership Plan attachment should not be included as an ‘Other Attachment’ on the Other Project Information page if a single PI has been included on the Senior/Key Person page. E Research and Related Other Project Other attachments N N Incl: VA Incl: V1.3 Incl: I01, IP1, I50, Single For VA applications where multiple PIs are included and activity code is I01, IP1 or I50, a file named ‘06_VA_Multiple_PI.pdf’ is required The Multiple PI Leadership Plan attachment must be included if multiple PIs have been included on the Senior/Key Person page. Please submit it as an ‘Other Attachment’ on the Other Project Information page, titled ‘06_VA_Multiple_PI.pdf’. E Research and Related Other Project Other attachments N N Incl: VA Incl: V1.3 Single For VA applications, a file named 08_VA_Director_Letter.pdf' is required A letter from the VA Medical Center Director is required for this application. Please submit it as an 'Other Attachment' on the Other Project Information page, titled '08_VA_Director_Letter.pdf'. E Research and Related Other Project Other attachments N N Incl: VA Incl: V1.3 Single For VA applications, a file named '09_VA_Checklist.pdf' is required. A completed VA Checklist is required for this application. Please submit it as an 'Other Attachment' on the Other Project Information page, titled '09_VA_Checklist.pdf'. E Research and Related Other attachments N N Incl: VA Incl: V1.3 Incl: is IK1, I21, I34 Single For VA applications and activity code is IK1, I21, or I34 where a file named The Research Plan, submitted as an Other Attachment on the Other Project Information page, is limited to 9 pages. E
02c_VA_Mentoring_Plan.pdf 03_VA_Prog_Report_Pubs.pdf 04_VA_Human_Subjects.pdf 05_VA_Animals.pdf 06_VA_Multiple_PI.pdf 07_VA_Agreements.pdf 08_VA_Director_Letter.pdf 08b_VA_Letters_of_Support.pdf 09_VA_Checklist.pdf 10_VA_Appendix_1.pdf 11_VA_Appendix_2.pdf 12_VA_Appendix_3.pdf Note: file name validations should not be case-sensitive. Research and Related Other Project Other N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Incl: R41, R42, UT1, UT2 Single For STTR applications, provide a Warning if a file named like is attached. A VCOC Certification attachment should not be provided for STTR applications. W Research and Related Other Project Other N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Incl: R41, R42, UT1, UT2, R43, R44, U43, U44,SB1, UB1 Single For SBIR/STTR applications, provide a Warning if a file named like ‘SBC_%.pdf' is not attached. SBIR and STTR applicants are required to register with SBA through the web site and must attach their registration confirmation files to their applications. This confirmation file (with the original file name from the SBA) must be attached as a W pdf
Senior/Key Person Profile Form Field Rule# Rule Categories Validation Error Message Error/ Warning Comments (Y/N) Shared (Y/N) Agency Specific (Lists Form FOA Specific Activity Specific Lists Activity Code (Inclusion & Exclusion) Applies to Single Multi Project or Both Applies to Com- ponent Type (Multi Project Only) Cross (Multi Project Only) Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, Prefix 005.1 Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, First Name 005.2 Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, Middle Name 005.3 Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, Last Name 005.4 Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, Suffix 005.5.1 Research and PD/PI Profile, 005.6
Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, City 005.12 Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, County/Parish 005.13 Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, State 005.14.1 Y Y Incl: V 2.0 Both Both State is required if country is US. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the State must be supplied for US addresses. E Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, State 005.14.2 Y Y Incl: V 2.0 Both Both If country not US, State must be blank. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the State should not be provided for all countries other than the United States. E Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, Province 005.15.1 Y Y Incl: V 2.0 Both Both If Country is Canada and province name can’t be transformed, give an error. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the Province is not a valid province name. E Research and Related Senior/Key Person Profile PD/PI Profile, Province 005.15.2 Y Y Incl: V 2.0 Both Both If country not Canada, Province must be blank. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the Province should not be provided for all countries other than Canada. E
(Expanded) Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, Province 005.15.3 Y Y Incl: V 2.0 Both Both Province is required if country is Canada. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the Province must be supplied for Canadian addresses. E Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, Country 005.16 Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, ZIP/Postal Code 005.17.1 Y Y Incl: V 2.0 Both Both ZIP Code is required if country is US. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the ZIP Code must be supplied for US addresses. E Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, ZIP/Postal Code 005.17.2 Y Y Incl: V 2.0 Both Both ZIP Code must be 9 numeric digits if country is US. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, a 9 digit ZIP Code must be supplied for US addresses. E Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, Phone Number 005.18 Research and Related Senior/Key Person Profile PD/PI Profile, Fax Number 005.19
(Expanded) Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, Email 005.20 Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, credential 005.21.1 Y N Incl: V2.0 Both Overall Credential is required for PD/PI role The Commons Username must be provided in the PD/PI Credential field for the PD/PI <Last Name, First Name>. E Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, credential 005.21.2 Y N Incl: V2.0 Both Overall If credential is specified, it must be a valid Commons account, The Commons Username <Credential> provided in the PD/PI Credential field for <Last Name, First Name> is not a recognized Commons account. E Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, credential 005.21.3 Y N Incl: V2.0 Both Overall For the PD/PI, this account must be affiliated with the organization (matching on the Org Primary DUNs) submitting the application and have the PI role The Commons account provided in the Credential field for the PD/PI <Last Name, First Name> is not affiliated with the applicant organization. Check with your Commons Account Administrator to make sure you have been affiliated with the applicant organization. E Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, credential 005.21.4 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V2.0 Both Overall For a revision, the PI should be assigned to the parent grant. If the person profile for this Commons account is not the same person profile assigned as the PI to the parent grant, and the last name of the PI assigned to the parent grant matches the last The parent grant information provided in the SF424 RR Cover Federal Identifier is not associated with the PD/PI Commons account for <Last Name, First Name>. W
Person Profile (Expanded) FDA, AHRQ, VA regardless of the project role specified listed in the Project Director/Principal Investigator section of the Sr/Key Person Profile form. Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, credential 005.21.9 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V2.0 Multi Credential provided for component lead in PD/PI section regardless of the project role specified, must be valid. The Commons Username <Credential> provided for <Last Name, First Name> is not a recognized Commons account. E Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, project role 005.22.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V2.0 Both Overall If No PD/PI project role are selected give error <Last Name, First Name> listed in the Project Director/Principal Investigator section of the Sr/Key Person Profile form must have the role PD/PI . E Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, project role 005.22.2 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V2.0 Multi If PI role selected give Error The PD/PI role can only be selected on the Overall Component. Please specify a different Project Role for <Last Name, First Name>. E Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, other project role category 005.23 Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, Degree Type 005.24 Research and Related Senior/Key PD/PI Profile, Degree Year 005.25
Person Profile (Expanded) Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, Biosketch 005.26.2 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V2.0 Both Both Provide Error if the Biosketch attachment is more than 5 pages The Biosketch for Senior/Key Person, <first name last name>, exceeds the 5 page limit. E Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, Biosketch 005.26.3 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V2.0 Single Provide error if Biosketch attachment is not provided The Biographical Sketch attachment is required for Senior/Key Person < First Name, Last Name>. E Research and Related Senior/Key Person Profile (Expanded) PD/PI Profile, Current & Pending Support 005.27.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V2.0 Incl: DP1, DP2, DP4 Single Current and Pending Support is required. The Current and Pending Support attachment for the PD/PI is required . E New rule Research and Related Senior/Key Person Profile (Expanded) Profile, senior/ key person x, Prefix 005.28 Research and Related Senior/Key Person Profile (Expanded) Profile, senior/ key person x, First Name 005.29.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V2.0 Incl: DP1, DP2, DP4, DP5, UP5 Single Provide error if any senior/key persons included (other than the PD/PI on the SF 424 RR Cover) The PD/PI is the only allowable senior/key person ., E New rule Research and Related Senior/Key Profile, senior/ key person x, 005.30
Person Profile (Expanded) City Research and Related Senior/Key Person Profile (Expanded) Profile, senior/ key person x, County/Parish 005.40 Research and Related Senior/Key Person Profile (Expanded) Profile, senior/ key person x, State 005.41.1 Y Y Incl: V2.0 Both Both If country not US, State must be blank. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the State should not be provided for all countries other than the United States. E Research and Related Senior/Key Person Profile (Expanded) Profile, senior/ key person x, State 005.41.2 Y Y Incl: V2.0 Both Both State is required if country is US. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the State must be supplied for US addresses. E Research and Related Senior/Key Person Profile (Expanded) Profile, senior/ key person x, Province 005.42.1 Y Y Incl: V2.0 Both Both Province is required if country is Canada. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the Province must be supplied for Canadian addresses. E Research and Related Senior/Key Person Profile (Expanded) Profile, senior/ key person x, Province 005.42.2 Y Y Incl: V2.0 Both Both If country not Canada, Province must be blank. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the Province should not be provided for all countries other than Canada. E Research and Profile, senior/ 005.42.3 Y Y Incl: V2.0 Both Both If Country is Canada and province name can’t be For < Person First, Last name or Organization name, or E
K22, K23, K25, K99, K99/R00 . R50, K76, F99/K00 UC6, G20) Update to existing (Added R50) December 2015 Release January 14, 2016, Release Update to Existing Rule (added K76, F99/K00) Research and Related Senior/Key Person Profile (Expanded) Profile, senior/ key person x, project role 005.49.4 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: R36, SC2 Single Provide error if there is not at least one Snr/key person identified with a project role of ‘Other’ or ‘Other Professional’ and an other project role category of ‘Mentor’. A Mentor must be identified for this application by specifying a Project Role of ‘Other’ and an Other Project Role category of ‘Mentor’. E Update to Existing Research and Related Senior/Key Person Profile (Expanded) Profile, senior/ key person x, project role 005.49.5 N N Incl: VA Incl: V2.0 Incl: IK1, IK2, IK3, IK4IK5, IK6 ,I21 Single For VA applications and activity code is IK1, IK2, IK3, IK4IK5, IK6 or I21 provide error if the project role is ‘PD/PI’. For Pilot Project or Career Development mechanisms, applications that include multiple PIs cannot be submitted. E Research and Related Senior/Key Person Profile (Expanded) Profile, senior/ key person x, project role 005.49.6 N N Incl: V2.0 Incl: F05, F30, F31, F32,F33, F37, F38, FI2, F99/K00 Single For F Applications, there must be at least one key person identified with a project role of ‘Other’ or ‘Other Professional’ and a project role category of ‘Sponsor’. A Sponsor must be identified for this application. Provide the information for this person on the Senior/Key Person page. Specify a project role of Other and an Other Project Role Category of ‘Sponsor’ E New January 14, 2016 Release, Update to Existing Rule (added
F99/K00) Research and Related Senior/Key Person Profile (Expanded) Profile, senior/ key person x, other project role category 005.50.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 2.0 Both Both Accept "Other Project Role Category" only when "Project Role" is "Other" or "Other Professional" For key person <First Name Last Name> on the Senior/Key Person page, an ‘Other Project Role Category’ was submitted for a project role of <project role>. This can be used only when Project Role is "Other" or "Other Professional". E Research and Related Senior/Key Person Profile (Expanded) Profile, senior/ key person x, Degree Type 005.51 Research and Related Senior/Key Person Profile (Expanded) Profile, senior/ key person x, Degree Year 005.52 Research and Related Senior/Key Person Profile (Expanded) Profile, senior/ key person x, Biosketch 005.53.2 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 2.0 Both Both Provide Error if the Biosketch attachment is more than 5 pages The Biosketch for Senior/Key Person, <first name last name>, exceeds the 5 page limit. E Research and Related Senior/Key Person Profile (Expanded) Profile, senior/ key person x, Biosketch 005.53.3 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 2.0 Single Provide error if Biosketch is not provided The Biographical Sketch attachment is required for Senior/Key Person < First Name, Last Name>. E Research and Related Senior/Key Person Profile Profile, senior/ key person x, Current & Pending 005.54
PHS 398 Cover Page Supplement PD/PI Information (prefix, first, middle, last, suffix) PHS 398 Cover Page Supplement Human Subjects Clinical Trial (Y/N) 008.1.1 N N Incl : NIH, CDC, FDA, AHRQ V 2.0 Both Both An answer is required if the answer to ‘Human Subjects Involved’ is "Yes" on the Other Project Information page. You must answer the “Clinical Trial?” question if you answer Yes to the “Are Human Subjects Involved?” question on the Other Project Information Form. E Update to existing rule (modified language on error message), Forms D, March 2016 Release PHS 398 Cover Page Supplement Human Subjects Clinical Trial (Y/N) 008.1.2 N N Incl : NIH, CDC, FDA, AHRQ V 2.0 Both Both If Human Subjects Phase III Clinical Trial is true, Human Subjects Clinical Trial must be true You must answer Yes to the “Clinical Trial?” questions if you answer Yes to the “Agency-Defined Phase III Clinical Trial” question. E Update to existing rule (modified language on error message), Forms D, March 2016 Release PHS 398 Cover Page Supplement Human Subjects Clinical Trial (Y/N) 008.1.3 N N Incl : NIH, CDC, FDA, AHRQ V 2.0 Multi Overall Y If Human Subjects Clinical Trial is Yes on any component of the application and the Overall if Human Subjects Clinical Trial is No, provide Error The Human Subjects Clinical Trial question on the Overall Component must be marked as "Yes", in order for any Human Subjects Clinical Trial question in any component to be marked as "Yes". E PHS 398 Cover Page Supplement Human Subjects Clinical Trial (Y/N) 008.1.4 N N Incl : NIH, CDC, FDA, AHRQ V 2.0 Multi Overall Y For New and Renewal applications, if Human Subjects Clinical Trial is No on all components of the application and Human Subjects Clinical Trial is Yes on the Overall, then provide Error. The Human Subjects Clinical Trial question must be ‘No’ on the Overall component, if the Human Subjects Clinical Trial question is ‘No’ for all other components in the application. E Defined
AHRQ K08, K18, K22, K23, K25, K99, K99/R00 error message), Forms D, March 2016 Release PHS 398 Cover Page Supplement Change of of Inst.: Name of former PI, First Name N Incl : NIH, CDC, FDA, AHRQ Both Overall First name must be included if application is for change of PI You must provide the first name of the former PD/PI if you check the “Change of Project Director / Priniciple Investigator” box. E Update to existing rule (modified language on error message), Forms D, March 2016 Release PHS 398 Cover Page Supplement Change of of Inst.: Name of former PI, Middle Name 008.32 PHS 398 Cover Page Supplement Change of of Inst.: Name of former PI, Last Name N Incl: NIH, CDC, FDA, AHRQ Both Overall Last name must be included if application is for change of PI You must provide the last name of the former PD/PI if you check the “Change of Project Director / Priniciple Investigator” box. E Update to existing rule (modified language on error message), Forms D, March 2016 Release PHS 398 Cover Page Supplement Change of of Inst.: Name of former PI, Suffix 008.34 PHS 398 Cover Page Supplement Change of of Inst.: Change of institution indicator N N Incl: NIH, CDC, FDA, AHRQ Incl: V 1.3 Incl: T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, T37, K12, D43, D71, Single Warning if change of Grantee Institution is selected A change of grantee institution is typically not allowed for this type of funding opportunity announcement. W Update to existing rule (modified language on error message), Forms D, March 2016 Release
U2R PHS 398 Cover Page Supplement Change of of Inst.: name of former inst. N Incl: NIH, CDC, FDA, AHRQ Both Overall The name of former institution is required if the answer to the "Change of Grantee Institution" question is "Yes". You must provide the name of former institution if you check the “Change of Grantee Institution” box. E Update to existing rule (modified language on error message), Forms D, March 2016 Release PHS 398 Cover Page Supplement Vertebrate Animals: Is method consistent with American Veterinary Medical Association (AVMA) guidelines N N Incl: NIH Excl: V2.0 Both Both An answer to “is method consistent with American Veterinary Medical Association (AVMA guidelines) is required if the answer to “Are vertebrate animals euthanized’ is “Yes”. You must answer the “Is method consistent with AVMA guidelines?” question if you answer Yes to the “Are animals euthanized?” question. E New Rule as part of Forms D, March 2016 Release PHS 398 Cover Page Supplement Vertebrate Animals: If “No” to AVMA guidelines, describe method and provide a scientific justification N N Incl: NIH Excl: V2.0 Both Both If “No” to AVMA guidelines, method and scientific justification must be provided. You must provide the euthanasia method and scientific justification if you answer No to the “Is method consistent with AVMA guidelines?” question. E New Rule as part of Forms D, March 2016 Release PHS 398 Cover Page Supplement Program Income, Budget Period 1-10 N N Incl:NIH Exc: V2.0 Both Overall If Program Anticipated question = N and Program Income data is provided, give error You cannot provide program income details when you answer No to the “Is program income anticipated?” question. E New Rule as part of Forms D, March 2016 Release PHS 398 Cover Page Supplement Program Income, Budget Period 1-10 N N Incl:NIH Exc: V2.0 Both Overall The number of program income budget periods must be less than or equal to the number of budgets provided in the budget form You provided anticipated program income amounts for <x> budget periods, but only <y> periods were included in the budget form. E New Rule as part of Forms D, March 2016 Release
Modular Budget Form Field Rule# Rule Categories Validation Error Message Error/ Warning Comments Mandatory (Y/N) Shared (Y/N) Agency Specific (Lists Agencies) Form Version FOA Specific Activity Specific Lists Activity Code (Inclusion & Exclusion) Applies to Single Project, Multi Project or Both Applies to Com- ponent Type (Multi Project only) Cross (Multi Project Only) Modular Budget, Years (NIH) 018.0.2 N N Incl: NIH Incl: V 1.2 Single Project Do not accept a modular budget for an application where the applicant organization is foreign. Applications from foreign organizations must use the R&R Budget form.. E Modular Budget, Years (NIH) 018.0.3 N N Incl: NIH Incl: V 1.2 Excl: C06, UC6, G20 Single Project For a revision, if the parent grant budget is non-modular, only a detailed budget form may be submitted. This application should be submitted with the same type of budget as the last competing segment. W Modular Budget, Years (NIH) 018.0.4 N N Incl : NIH, CDC, FDA, AHRQ V 1.2 Incl: R15, RF1, UF1, UA5 Single Return error if more than one budget period has been included. All budget information for this multi-year funded application must be submitted in a single budget period. Be sure to comply with the Funding Opportunity Announcement (FOA) instructions E Modular Budget, Years (NIH) Start Date 018.1.1 N N Incl: NIH Incl: V 1.2 Single Project For budget period 1, if entered, for new and resubmissions applications, must be the same as the Project Start Date listed on the SF 424 RR Face Page . The modular budget start date for budget period <budget year> for new and resubmission applications must be the same as the proposed project start date listed on the SF424 RR cover W 5 5
cost limit> per period for this program. Modular Budget, Years (NIH) Direct Costs, Direct Cost Less Consortium, F&A 018.3.3 N N Incl: NIH Incl: V 1.2 = N Incl: R34, U34 Single Project Provide warning if this value for any budget year is >225K For budget period <budget year>, the Direct Cost Less Consortium, F&A requests are typically limited to <direct cost limit> for this type of application. Be sure to comply with the Funding Opportunity Announcement (FOA) instructions. W Modular Budget, Years (NIH) Direct Costs, Direct Cost Less Consortium, F&A 018.3.4 N N Incl: NIH Incl: V 1.2 Incl: SC1, SC2, SC3 Single Project Provide error if the Direct cost less F&A for any budget year is >75K for SC3, or is > 100K for SC2, or is > 250K for SC1. Note: Depending upon the type of application, generate the specific error message. For budget period <budget year>, the Direct Cost requests are limited to <direct cost limit> a year for this application. E New Rule Modular Budget, Years (NIH) Direct Costs, Consortium, F&A 018.4.1 Y N Incl: V 1.2 Single Project Must be less than 10,000,000,000. For budget period <budget year>, the Direct Cost Less Consortium provided exceeds the allowable E
allowable limit. Modular Budget, Years (NIH) Indirect Costs, Cognizant Agency 018.10 Modular Budget, Years (NIH) Indirect Costs, Indirect Cost Rate Agreement Date 018.11 Modular Budget, Years (NIH) Indirect Costs, Total Indirect Costs 018.12.1 N N Incl: NIH Incl: V 1.2 Single Project Must equal sum of Indirect Costs, Funds Requested 1-4 for the corresponding budget year, if any Indirect Costs were entered. The ‘Total Indirect Costs’ in budget period <budget year> must equal the sum of ‘Funds Requested’ for all ‘Indirect Cost Types’. E Modular Budget, Years (NIH) Indirect Costs, Total Indirect Costs 018.12.2 Y N Incl: V 1.2 Single Project Must be less than 10,000,000,000. For budget period <budget year>, the Total Indirect Costs amount provided exceeds the allowable limit. E Modular Budget, Years (NIH) Total Direct and Indirect Costs, Funds Requested 018.13.1 N N Incl: NIH Incl: V 1.2 Single Project Must be greater than 0 for first budget period. For Modular Budget period 1, Total Direct and Indirect Costs must be greater than zero. E Modular Budget, Years (NIH) Total Direct and Indirect Costs, Funds Requested 018.13.2 N N Incl: NIH Incl: V 1.2 Single Project Must be equal to the sum of Total Direct Costs and Total Indirect Costs for the corresponding budget period. The ‘Total Direct and Indirect Costs (A+B)’ in budget period <budget year> must equal the sum of ‘Total Direct Costs’ and ‘Total Indirect E
Costs’. Modular Budget, Years (NIH) Total Direct and Indirect Costs, Funds Requested 018.13.3 Y N Incl: V 1.2 Single Project Must be less than 10,000,000,000. For budget period <budget year>, the Total Direct and Indirect Costs (A+B) amount provided exceeds the allowable limit. E Modular Budget, (NIH) Total Direct Cost less Consortium F&A for Entire Project Period 019.1.1 N N Incl: NIH Incl: V 1.2 Single Project Must be equal to the sum of all Total Direct Cost less Consortium F&A values for all budget years. The cumulative ‘Total Direct Cost less Consortium F&A’ for Entire Project Period must equal the sum of ‘Total Direct Cost Less Consortium F&A’ values for all budget periods. E Modular Budget, (NIH) Total Direct Cost less Consortium F&A for Entire Project Period 019.1.2 N N Incl: NIH Incl: V 1.2 Project Costs Exception = N Incl: R03 Single Project Provide error if this value is >100K. The cumulative ‘Total Direct Costs for Entire Project Period’ is limited to $100K for this program. E Modular Budget, (NIH) Total Direct Cost less Consortium F&A for Entire Project Period 019.1.3 N N Incl: NIH Incl: V 1.2 Project Costs Exception = N Incl: R21, UH2 Single Project Provide error if this value is >275K. The cumulative ‘Total Direct Costs for Entire Project Period’ is limited to $275K for this program. E Modular Budget, (NIH Total Consortium F&A for Entire Project Period 019.2.1 N N Incl: NIH Incl: V 1.2 Single Project Must be equal to the sum of all Consortium F&A values for all budget years. The cumulative ‘Total Consortium F&A for Entire Project Period’ must equal the sum of ‘Consortium F&A’ E
values for all budget periods. Modular Budget, (NIH Total Consortium F&A for Entire Project Period 019.2.2 Y N Incl: V 1.2 Single Project Must be less than 10,000,000,000. The Total Consortium F&A for Entire Project Period amount provided exceeds the allowable limit. E Modular Budget, (NIH) Total Costs, Total Direct Costs for Entire Project Period 019.3.1 N N Incl: NIH Incl: V 1.2 Single Project Must be equal to the sum of Total Direct Costs for all budget years. The cumulative ‘Total Direct Costs for the Entire Proposed Project Period’ must equal the sum of ‘Total Direct Costs’ values for all budget periods. E Modular Budget, (NIH) Total Costs, Total Direct Costs for Entire Project Period 019.3.2 Y N Incl: V 1.2 Single Project Must be less than 10,000,000,000. Total Direct Costs for Entire Project Period amount provided exceeds the allowable limit. E Modular Budget, (NIH) Total Costs, Total Indirect Costs for Entire Project Period 019.4.1 N N Incl: NIH Incl: V 1.2 Single Project Must be equal to the sum of Total Indirect Costs for all budget years. The cumulative ‘Total Indirect Costs Requested for Entire Project Period‘ must equal the sum of ‘Total Indirect Costs’ values for all budget periods. E Modular Budget, (NIH) Total Costs, Total Direct and Indirect Costs for Entire Project Period 019.5.1 N N Incl: NIH Incl: V 1.2 Single Project Must be equal to the sum of all Total Direct and Indirect Costs values for all budget years. The cumulative ‘Total Direct and Indirect Costs (A+B) for Entire Project ‘ must equal the sum of ‘Total Direct and E
Indirect Costs’ values for all budget periods. Modular Budget, (NIH) Total Costs, Total Direct and Indirect Costs for Entire Project Period 019.5.2 Y N Incl: V 1.2 Single Project Must be less than 10,000,000,000. The Total Direct and Indirect Costs for Entire Project Period amount provided exceed the allowable limit. E Modular Budget, (NIH) Budget Personnel Justification 019.6.1 N N Incl: NIH Incl: V 1.2 Single Project Provide a warning if this attachment hasn’t been included with a modular budget. In most cases, a Personnel Justification attachment should be included. W Modular Budget, (NIH) Budget Consortium Justification 019.7 Modular Budget, (NIH) Budget Additional Narrative Justification 019.8
R&R Budget(5Year) (Use only for Single-project) Form Field Rule# Rule Categories Validation Error Message Error/ Warning Comments (Y/N) Shared (Y/N) Agency Specific (Lists Form Version FOA Specific Activity Specific Lists Activity Code (Inclusion & Exclusion) to Single Multi or Both Applies to Com- ponent Type Cross (Multi Project Only) & 5YR, (R&R) Unless specifically stated, all project budget validations also apply to the subaward budget. & 5YR, (R&R) 020.0.2 N Y Incl: NIH Incl: V 1.3 Incl: R03, R21, R34, U34, UH2 Single The application should be submitted with a modular budget. Applications where the applicant organization is foreign are exempt from this validation. Applications submitted by domestic institutions (U.S.) must use the PHS 398 Modular Budget Form and not the RR Budget Form. E & 5YR, (R&R) 020.0.3 N Y Incl: NIH Incl: V 1.3 Exclude: 333, 666, 777, C06, UC6, G20 Single For a revision, if the parent grant budget is modular, only a modular budget form may be submitted This application should be submitted with the same type of budget as the last competing segment. E 020.0.4 N Y Incl: NIH, CDC, Incl: V 1.3 Incl: R15, RF1, Single Return error if more than one budget period All budget information for this multi-year funded application must be E
(R&R) & 5YR, (R&R) Budget type (project, 020.3.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 There must be one and only one occurrence of budget with a value of ‘Project’ in the application. Only one budget with a budget type of ‘Project’ may be submitted for the application. E & 5YR, (R&R) Budget type (project, 020.3.2 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Incl: R41. R42, UT1, UT2 For an STTR submission, there must be at least one budget included with budget type of subaward/consortium for each year of the STTR (project) budget. A research institution Budget page must be included for each year of an STTR submission. E & 5YR, (R&R) Start Date 020.4.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Single For budget year 1, for Budget Type ‘Project’, for new applications and resubmissions, must be the same as the Proposed Project Start Date listed on the SF 424 RR. For <Organization name> for budget period < Budget Year>, the start date for new and resubmission applications must be the same as the proposed project start date listed on the SF 424 RR Cover. W & Start Date 020.4.2 N Y Incl : NIH, CDC, FDA, Incl: V 1.3 Single For budget years after budget year 1, must be greater than or equal to the Proposed Project For <Organization name> budget for budget beriod < Budget Year>, the start date should the same or later W
5YR, (R&R) & 5YR, (R&R) Senior/Key Person x Name, Base Salary ($) 020.11.1 Y Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Cannot be greater than 99,999,999.99. For <Organization name> budget for Budget Period < Budget Year>, the Base Salary for Senior/Key Person <Last Name, First Name> exceeds the allowable amount for the agency. E & 5YR, (R&R) Senior/Key Person x Name, Cal. Months 020.12.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Excl: R13, U13 A non-zero value for calendar months, academic months, or summer months is required for each senior/key person. (except for PD/PIs on STTR (R41, R42, UT1, UT2) submissions), For <Organization name> budget for Budget Period < Budget Year>, Senior/Key Person <Last Name, First Name> must include effort of a value greater than zero in calendar months, academic months, or summer months. Note: use either calendar months or a combination of academic and summer months. For information about calculating person months, see E & 5YR, Senior/Key Person x Name, Cal. Months 020.12.2 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Incl: R13, U13 Single A value for calendar months, academic months, or summer months is required for each senior/key person. The value may be zero. For <Organization name> budget for Budget Period < Budget Year>, Senior/Key Person <Last Name, First Name> must include effort (zero or greater) in calendar months, academic months, or summer months. Note: use either calendar months or a combination of E
5YR, (R&R) & 5YR, (R&R) Senior/Key Person Requested salary 020.15 & 5YR, (R&R) Senior/Key Person x Name, Fringe Benefits ($) 020.16.1 Y Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Single Cannot be greater than 99,999,999.99. For <Organization name> budget for Budget Period < Budget Year>, the Fringe Benefits for Senior/Key Person < Last Name, First Name> exceed the allowable amount for the agency. E & 5YR, (R&R) Senior/Key Person Funds Requested 020.17.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Single Must be equal to the sum of Requested Salary and Fringe Benefits for the Senior/Key Person for the budget year. For <Organization name> budget for Budget Period < Budget Year>, the Funds Requested amount for Senior/Key Person < Last Name, First Name> does not equal the sum of the Requested Salary and the Fringe Benefits. E Total funds requested for 020.18.1 N Y Incl : NIH, Incl: V 1.3 Single Required if Additional Senior Key Persons For <Organization name> budget for Budget Period < E
& 5YR, (R&R) Senior Key Persons in attachment CDC, FDA, AHRQ, VA Attachment is included. Budget Year>, the ‘Total Funds requested for all Senior Key Persons in the attached file’ is required since an attachment is provided. & 5YR, (R&R) Total Funds requested for all senior/key persons 020.19 & 5YR, (R&R) Additional Senior Key Persons attachment 020.20.1 N Y NIH Single Provide error if attachment is provided and less than eight key personnel have been submitted on the budget page for this year. For <Organization name> budget for budget period < Budget Year>, the Additional Senior/Key Person attachment cannot be provided unless all 8 Sr/Key Person entries are used. E & 5YR, Other Personnel, Cal Months 020.21
(R&R) & 5YR, (R&R) Other Personnel, Acad Months 020.22 & 5YR, (R&R) Other Personnel, Sum Months 020.23 & 5YR, (R&R) Other Personnel, Requested Salary 020.24 & Other Personnel, Fringe Benefits 020.25
5YR, (R&R) & 5YR, (R&R) Other Personnel, Funds Requested 020.26 & 5YR, (R&R) Total number other personnel 020.27 & 5YR, (R&R) Total Funds Requested other personnel 020.28 Total salary, wages and 020.29.1 N Y Incl : NIH, Incl: V 1.3 Single Must equal the sum of Total Funds requested For <Organization name> budget for Budget Period < E
& 5YR, (R&R) fringe benefits CDC, FDA, AHRQ, VA for all senior/key persons and Total Funds Requested other personnel Budget Year>, the Total Salary, Wages and Fringe Benefits amount does not equal the sum of the Total Senior/Key Persons Funds Requested and Total Other Personnel Funds Requested. & 5YR, (R&R) Equipment description, equipment item 020.30 & 5YR, (R&R) Equipment description, x equip funds req. 020.31 & 5YR, Equipment description, total funds requested in attachment 020.32.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Single Required if Additional Equipment Attachment is included. For <Organization name> for Budget Period < Budget Year>, the ‘Total Funds requested for all equipment listed in the attached file’ is required since an attachment is provided. E
(R&R) & 5YR, (R&R) Equipment description, total equipment 020.33 & 5YR, (R&R) Additional equipment attachment 020.24.1 N Y Incl: NIH Incl: V 1.3 Single Provide error if attachment is provided and less than 10 equipment items have been entered for that budget period For <Organization name> budget for Budget Period < Budget Year>, the Additional Equipment attachment cannot be provided unless all 10 Equipment item entries are used. E & 5YR, (R&R) Travel, domestic travel costs, funds req 020.25 & Travel, foreign travel costs, funds req 020.26
5YR, (R&R) & 5YR, (R&R) Total travel cost, funds req 020.27 & 5YR, (R&R) support costs: Insurance, funds req 020.28 & 5YR, (R&R) support costs: stipends, funds req 020.29 support 020.30
(R&R) & 5YR, (R&R) support costs: Number of 020.34.1 N N Incl: NIH, CDC, FDA, AHRQ VA Incl: V 1.3 Incl: K12 Single If Number of participants/Trainees is zero or blank, provide warning For <Organization name> budget for Budget Period < Budget Year>, the Number of Participants/Trainees should be provided in the Participant/Trainee Support Costs section of the budget. W Update to existing rule (removed KM1) & 5YR, (R&R) support costs: Total Support Costs 020.35 & 5YR, (R&R) Other Direct Costs materials & supplies; Funds Req 020.36 & Other Direct Costs Publication Costs; Funds Req 020.37
& 5YR, (R&R) Equipment or Facility Rental/User Fees; Funds Req & 5YR, (R&R) Other Direct Costs (Alterations and Renovations) 020.42 & 5YR, (R&R) Other Direct Costs (8. other description 1) 020.43 & 5YR, Other Direct Costs (other1 funds requested) 020.44
5YR, (R&R) & 5YR, (R&R) Other Direct Costs, Total Other Direct Costs 020.49.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Single Must be equal to the sum of other direct costs for the budget yea For <Organization name> budget for Budget Period < Budget Year>, the Total Other Direct Costs does not equal the sum of the individual Other Direct Cost categories. E & 5YR, (R&R) Total Direct Costs (A-F) 020.50 & 5YR, (R&R) Total Direct Costs (A-F) 020.51.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Single Must be equal to the sum of total salary, wages and fringe benefits, total funds requested for equipment, total travel cost, total participant/trainee support costs, and total other direct costs For <Organization name> budget for Budget Period < Budget Year>, the Total Direct Costs Funds Requested (does not equal the sum of individual direct costs in Sections A through F. E Total Direct Costs (A-F) 020.52.1 N Y Incl : NIH Incl: V 1.3 Include: R03, R21, R01, Single For Project Budget, provide warning if An application with a direct cost request of $250K or W
& 5YR, (R&R) U01, R34, U34, UH2 subtotal direct costs for every budget period is < = $250K. Applications where the applicant organization is foreign are exempt from this validation. Calculate subtotal direct costs as follows: Total Direct Costs (A-F) minus the sum of Total Indirect Costs for all budgets for the corresponding year with budget type ‘subaward/consortium’. less for each period should use the PHS 398 Modular Budget. Year x (R&R) Total Direct Costs (A-F) 020.52.2 N Y Incl: NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Excl: R41, R42, UT1, UT2., R43, R44, U43, U44, S21, S22, SB1,UB1 Single Provide warning if Subtotal Direct Cost is more than 500 K for any budget period. Exclude SBIR/STTR. Exclude RFAs Calculate subtotal direct costs as follows: Total Direct Costs (A-F) minus the sum of Total Indirect Costs for all budgets for the corresponding year with budget type ‘subaward/consortium’. Be sure that you have complied with the allowable Direct Cost limitations for this FOA and have prepared all subaward budgets per . Applications that do not comply with these instructions may be delayed or not accepted for review. W Update to existing (add exclusion of S21, S22) Message text updated Year x (R&R) Total Direct Costs (A-F) 020.52.3 N Y Incl : NIH, CDC, FDA, AHRQ, VA V 1.3 Incl: R15, UA5 Single Provide warning if subtotal direct costs for any budget period is > $300K. Calculate subtotal direct costs as follows: Total Direct Costs (A-F) minus the sum of Total Direct cost requests are typically limited to $300k for this type of application. Be sure to comply with the Funding Opportunity Announcement (FOA) W
Indirect Costs for all budgets for the corresponding year with budget type ‘subaward/consortium’. instructions. Year x (R&R) Total Direct Costs (A-F) 020.52.4 N Y Incl : NIH, CDC, FDA, AHRQ, VA V 1.3 Incl: G13 Single The subtotal direct costs on the project budget cannot be greater than 50k. Calculate subtotal direct costs as follows: Total Direct Costs (A-F) minus the sum of Total Indirect Costs for all budgets for the corresponding year with budget type ‘subaward/consortium’. Direct cost requests are typically limited to $50k. E New rule & 5YR, (R&R) Indirect Costs, Indirect Cost Rate 020.53.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Provide warning if less than 1. For <Organization name> budget for Budget Period < Budget Year, the Indirect Cost Rate is less than 1. Please note that this figure represents a percentage (e.g., ’25.5’, not ‘.255’). W & 5YR, (R&R) Indirect Costs, Indirect Cost Rate 020.53.2 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, K12, K30 Single If Indirect cost rate is provided and not equal to 8, generate warning For <Organization name> budget for budget period < Budget Year>, the Indirect Cost Rate should be equal to 8. W Update to existing rule (removed KM1) Indirect Costs, 020.54.1 N Y Incl : Incl: Single Provide an error if For <Organization name> E New rule
& 5YR, (R&R) x Indirect Cost Base NIH, CDC, FDA, AHRQ, VA G08, G13, S21, S22 Indirect Cost Base is greater than 0. for budget period < Budget Year>, no indirect cost base is allowed. & 5YR, (R&R) Indirect Costs, x Funds Requested 020.55.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Incl: G08, G13, S21, S22 Single Provide an error if Indirect Cost Funds requested is greater than 0. For <Organization name> for budget period < Budget Year>, no indirect cost Funds Requested funds is allowed. E New rule & 5YR, (R&R) Total Indirect Costs 020.56.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Single Must be equal to funds requested for all indirect cost types For <Organization name> budget for Budget Period < Budget Year>, the Total Indirect Costs does not equal the sum of individual indirect costs for each indirect cost type. E & 5YR, Total Indirect Costs 020.57
(R&R) & 5YR, (R&R) Total Direct and Indirect Costs 020.58.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Single Must be equal to the sum of Total Direct Costs and Total Indirect Costs For <Organization name> budget for Budget Period < Budget Year>, the Total Direct and Indirect Costs Funds Requested do not equal the sum of individual direct and indirect costs. E & 5YR, (R&R) Fee 020.59.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Single A fee cannot be entered for a subaward/consortium budget. For <Organization name> budget for Budget Period < Budget Year>, a fee has been entered. Fees are not allowed for ‘Subaward/Consortium’ budgets. E & 5YR, (R&R) Budget Justification 020.60 R&R Budget(5Year) Cumulative
Form Field Rule# Rule Categories Validation Error Message Error/ Warning Comments (Y/N) (Y/N) Agency (Lists Form FOA Specific Activity Specific Lists Activity Code (Inclusion & to Multi or Both Applies to Com- ponent Type (Multi Project Only) Cross (Multi Project Only) & Related Budget 5YR, (R&R) Section A. Senior/Key Person, Totals ($) 020.61 & Related Budget 5YR, (R&R) Section B. Other Personnel, Totals ($) 020.62 & Related Budget 5YR, (R&R) Total number other personnel 020.63 & Related Budget 5YR, (R&R) Total Salary, wages and fringe benefits (A+B), Totals ($) 020.64 & Section C. Equipment, 020.65
Related Budget 5YR, (R&R) Totals ($) & Related Budget 5YR, (R&R) Section D. Travel, Totals ($) 020.66 & Related Budget 5YR, (R&R) 1. Domestic, Totals ($) 020.67 & Related Budget 5YR, (R&R) 2. Foreign, Totals ($) 020.68 & Related Section E. Support 020.69
Budget 5YR, (R&R) Costs, Totals ($) & Related Budget 5YR, (R&R) 1. Insurance, Totals ($ 020.70 & Related Budget 5YR, (R&R) 2. Stipends, Totals ($) 020.71 & Related Budget 5YR, (R&R) 3. Travel, Totals ($) 020.72 & Related 4. Subsistence, Totals ($) 020.73
Budget 5YR, (R&R) & Related Budget 5YR, (R&R) 2. Publication Costs 020.78 & Related Budget 5YR, (R&R) 3. Consultant Services 020.79 & Related Budget 5YR, (R&R) 4. ADP/Computer Services 020.80 & Related Budget 5. Costs 020.81
5YR, (R&R) & Related Budget 5YR, (R&R) 6. Equipment or Facility Rental/Use Fees 020.82 & Related Budget 5YR, (R&R) 7. Alterations and Renovations 020.83 & Related Budget 5YR, (R&R) 8. Other1 020.84 & Related Budget 5YR, 9. Other2 020.85
(R&R) & Related Budget 5YR, (R&R) 10. Other3 020.86 & Related Budget 5YR, (R&R) Section G, Direct Costs total 020.87.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Incl: G08 For a submission with one budget period, must be less than or equal to $100k. The cumulative ‘Total Direct Costs for Entire Project Period’ is limited to $100K if one (1) budget period has been included. E New rule & Related Budget 5YR, (R&R) Section G, Direct Costs total 020.87.2 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Incl: G08 For a submission with two budget periods, must be less than or equal to $200k. The cumulative ‘Total Direct Costs for Entire Project Period’ is limited to $200K if two (2) budget periods have been included. E New rule & Related Budget 5YR, Section G, Direct Costs total 020.87.3 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Incl: G08 For a submission with three budget periods, must be less than or equal to $300k. The cumulative ‘Total Direct Costs for Entire Project Period’ is limited to $300K if three (3) budget periods have been included. E New rule
(R&R) & Related Budget 5YR, (R&R) Section G, Direct Costs (A thru F) 020.88.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Must be equal to the sum of Total Direct Costs for every budget year for this budget. For <Organization name> budget, the Cumulative Direct Costs does not equal the sum of Total Direct Costs for all budget periods. E & Related Budget 5YR, (R&R) Section H, Indirect Costs 020.89.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Must be equal to the sum of Total Indirect Costs for every budget year for this budget. For <Organization name> budget, the Cumulative Indirect Costs does not equal the sum of Total Indirect Costs for all budget periods. E & Related Budget 5YR, (R&R) Section I, Total Direct and Indirect Costs 020.90 & Related Budget 5YR, Section I, Total Direct and Indirect Costs (G + 020.91.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Must be equal to the sum of Total Direct and Indirect Costs for every budget year for this budget. For <Organization name> budget, the Cumulative Total Direct and Indirect Costs does not equal the sum of Direct and Indirect Costs for all budget periods. E
Unless specifically stated, all project budget validations also apply to the subaward budget. Research & Related Budget 10YR, (R&R) 022.0.1 N Y Incl: NIH Incl: V 1.3 Incl: R03, R21, UH2 R34. U34 Single The application should be submitted with a modular budget. Applications where the applicant organization is foreign are exempt from this validation. Applications submitted by domestic institutions (U.S.) must use the PHS 398 Modular Budget Form and not the RR Budget Form. E Research & Related Budget 10YR, (R&R) 022.0.2 N Y Incl: NIH Incl: V 1.3 Exclude: 333, 666, 777 Single For a revision, if the parent grant budget is modular, only a modular budget form may be submitted This application should be submitted with the same type of budget as the last competing segment. E Research & Related Budget 10YR, (R&R) 022.0.3 N Y Incl: NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Incl: R15, RF1, UF1, UA5 Single Return error if more than one budget period has been included. All budget information for this multi-year funded application must be submitted in a single budget period. Be sure to comply with the Funding Opportunity Announcement (FOA) instructions. E Research & Related Budget 10YR, (R&R) DUNS 022.1.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Single Budget marked as ‘Project’ must contain (left string match) the DUNS number for the component organization on the 424 RR The budget marked as ‘Project’ must contain the DUNS number for the organization from the SF 424 RR Cover. E Research & Related Budget 10YR, DUNS 022.1.2 N Y Incl : NIH, CDC, FDA, AHRQ, Incl: V 1.3 Single Budget marked as ‘Subaward’ cannot contain DUNS number for the component application organization The <Organization Name> subaward’ budget cannot contain the DUNS number provided on the SF 424 RR Cover. E
Cover Exclude: STTR applications Research & Related Budget 10YR, (R&R) Senior/Key Person Project Role 022.10.2 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Excl R41, R42, UT1, UT2 Single For budgets type ‘Project’, there must be at least one record for the budget year with a project role of PD/PI. Exclude: STTR applications For <Organization Name>, a Personnel entry with a project role of “PD/PI” is required for budget period <budget year>. E Research & Related Budget 10YR, (R&R) Senior/Key Person x Name, Base Salary ($) 022.11.1 Y Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Cannot be greater than 99,999,999.99. For <Organization name> budget for Budget Period < Budget Year>, the Base Salary for Senior/Key Person <Last Name, First Name> exceeds the allowable amount for the agency. E Research & Related Budget 10YR, (R&R) Senior/Key Person x Name, Cal. Months 022.12.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Excl: R13, U13 A non-zero value for calendar months, academic months, or summer months is required for each senior/key person. (except for PD/PIs on STTR (R41, R42, UT1, UT2) submissions), For <Organization name> budget for Budget Period < Budget Year>, Senior/Key Person <Last Name, First Name> must include effort of a value greater than zero in calendar months, academic months, or summer months. Note: use either calendar months or a combination of academic and summer months. For information about calculating person months, see E Research & Related Senior/Key Person x Name, Cal. 022.12.2 N Y Incl : NIH, CDC, Incl: V 1.3 Incl: R13, U13 Single A value for calendar months, academic months, or summer For <Organization name> budget for Budget Period < Budget Year>, Senior/Key E
summer month’s columns. Research & Related Budget 10YR, (R&R) Senior/Key Person x Name, Sum. Months 022.14 Research & Related Budget 10YR, (R&R) Senior/Key Person Requested salary 022.15 Research & Related Budget 10YR, (R&R) Senior/Key Person x Name, Fringe Benefits ($) 022.16.1 Y Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Single Cannot be greater than 99,999,999.99. For <Organization name> budget for Budget Period < Budget Year>, the Fringe Benefits for Senior/Key Person < Last Name, First Name> exceed the allowable amount for the agency. E Research & Related Budget 10YR, (R&R) Senior/Key Person Funds Requested 022.17.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Single Must be equal to the sum of Requested Salary and Fringe Benefits for the Senior/Key Person for the budget year. For <Organization name> budget for Budget Period < Budget Year>, the Funds Requested amount for Senior/Key Person < Last Name, First Name> does not equal the sum of the Requested Salary and the Fringe Benefits. E Research & Related Budget 10YR, (R&R) Total funds requested for Senior Key Persons in attachment 022.18.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Single Required if Additional Senior Key Persons Attachment is included. For <Organization name> budget for Budget Period < Budget Year>, the ‘Total Funds requested for all Senior Key Persons in the attached file’ is required since an attachment is provided. E Research & Related Total Funds requested for all 022.19
Budget 10YR, (R&R) senior/key persons Research & Related Budget 10YR, (R&R) Additional Senior Key Persons attachment 022.20.1 N Y NIH Single Provide error if attachment is provided and less than eight key personnel have been submitted on the budget page for this year. For <Organization name> budget for budget period < Budget Year>, the Additional Senior/Key Person attachment cannot be provided unless all 8 Sr/Key Person entries are used. E Research & Related Budget 10YR, (R&R) Other Personnel, Cal Months 022.21 Research & Related Budget 10YR, (R&R) Other Personnel, Acad Months 022.22 Research & Related Budget 10YR, (R&R) Other Personnel, Sum Months 022.23 Research & Related Budget 10YR, (R&R) Other Personnel, Requested Salary 022.24 Research & Related Budget 10YR, (R&R) Other Personnel, Fringe Benefits 022.25
Research & Related Budget 10YR, (R&R) Other Personnel, Funds Requested 022.26 Research & Related Budget 10YR, (R&R) Total number other personnel 022.27 Research & Related Budget 10YR, (R&R) Total Funds Requested other personnel 022.28 Research & Related Budget 10YR, (R&R) Total salary, wages and fringe benefits 022.29.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Single Must equal the sum of Total Funds requested for all senior/key persons and Total Funds Requested other personnel For <Organization name> budget for Budget Period < Budget Year>, the Total Salary, Wages and Fringe Benefits amount does not equal the sum of the Total Senior/Key Persons Funds Requested and Total Other Personnel Funds Requested. E Research & Related Budget 10YR, (R&R) Equipment description, equipment item 022.30 Research & Related Budget 10YR, (R&R) Equipment description, x equip funds req. 022.31 Research Equipment 022.32.1 N Y Incl : Incl: Single Required if Additional For <Organization name> E
& Related Budget 10YR, (R&R) support costs: Insurance, funds req Research & Related Budget 10YR, (R&R) support costs: stipends, funds req 022.39 Research & Related Budget 10YR, (R&R) support costs: travel, funds req 022.40 Research & Related Budget 10YR, (R&R) support costs: subsistence, funds req 022.41 Research & Related Budget 10YR, (R&R) support costs: description of other 022.42 Research & support 022.43
Related Budget 10YR, (R&R) costs: other, funds req Research & Related Budget 10YR, (R&R) support costs: Number of 022.44.1 N N Incl: NIH, CDC, FDA, AHRQ VA Incl: V 1.3 Incl: K12 Single If Number of participants/Trainees is zero or blank, provide warning For <Organization name> budget for Budget Period < Budget Year>, the Number of Participants/Trainees should be provided in the Participant/Trainee Support Costs section of the budget. W Update to existing rule (removed KM1) Research & Related Budget 10YR, (R&R) support costs: Total Support Costs 022.45 Research & Related Budget 10YR, (R&R) Other Direct Costs materials & supplies; Funds Req 022.46 Research & Related Budget 10YR, (R&R) Other Direct Costs Publication Costs; Funds Req 022.47 Research & Other Direct Costs 022.48
& Related Budget 10YR, (R&R) Costs (8. other description 1) Research & Related Budget 10YR, (R&R) Other Direct Costs (other1 funds requested) 022.54 Research & Related Budget 10YR, (R&R) Other Direct Costs (9. other description 2) 022.55 Research & Related Budget 10YR, (R&R) Other Direct Costs (other2 funds requested) 022.56 Research & Related Budget 10YR, (R&R) Other Direct Costs (10. other description 3) 022.57 Research & Related Other Direct Costs (other3 022.58
minus the sum of Total Indirect Costs for all budgets for the corresponding year with budget type ‘subaward/consortium’. Research & Related Budget 10YR, (R&R) Total Direct Costs (A-F) 022.61.3 N Y Incl: NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Excl: R41, R42, UT1, UT2, R43, R44, U43, U44, S21, S22, SB1,UB1 Single Provide warning if Subtotal Direct Cost is more than 500 K for any budget period. Exclude SBIR/STTR. Exclude RFAs Calculate subtotal direct costs as follows: Total Direct Costs (A-F) minus the sum of Total Indirect Costs for all budgets for the corresponding year with budget type ‘subaward/consortium’. Be sure that you have complied with the allowable Direct Cost limitations for this FOA and have prepared all subaward budgets per . Applications that do not comply with these instructions may be delayed or not accepted for review. W Update to existing (add exclusion of S21, S22) Updated Message text Research & Related Budget 10YR, (R&R) Total Direct Costs (A-F) 022.61.4 N Y Incl : NIH, CDC, FDA, AHRQ, VA V 1.3 Incl: R15, UA5 Single Provide warning if subtotal direct costs for any budget period is > $300K. Calculate subtotal direct costs as follows: Total Direct Costs (A-F) minus the sum of Total Indirect Costs for all budgets for the corresponding year with budget type ‘subaward/consortium’. Direct cost requests are typically limited to $300k for this type of application. Be sure to comply with the Funding Opportunity Announcement (FOA) instructions. W Research & Related Budget Total Direct Costs (A-F) 022.61.5 N Y Incl : NIH, CDC, FDA, AHRQ, V 1.3 Incl: G13 Single The subtotal direct costs on the project budget cannot be greater than 50k. Calculate subtotal Direct cost requests are typically limited to $50k. E New rule
10YR, (R&R) VA direct costs as follows: Total Direct Costs (A-F) minus the sum of Total Indirect Costs for all budgets for the corresponding year with budget type ‘subaward/consortium’. Research & Related Budget 10YR, (R&R) Indirect Costs, Indirect Cost Rate 022.62.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Provide warning if less than 1. For <Organization name> budget for Budget Period < Budget Year, the Indirect Cost Rate is less than 1. Please note that this figure represents a percentage (e.g., ’25.5’, not ‘.255’). W Research & Related Budget 10YR, (R&R) Indirect Costs, Indirect Cost Rate 022.62.2 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl:K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, K12, K30, Single If Indirect Cost rate is provided and not equal to 8, generate warning For <Organization name> budget for budget period < Budget Year>, the Indirect Cost Rate should be equal to 8. W Update to existing rule (removed KM1) Research & Related Budget 10YR, (R&R) Indirect Costs, x Indirect Cost Base 022.63.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: G08, G13, S21, S22 Single Provide an error if Indirect Cost Base is greater than 0. For <Organization name> for budget period < Budget Year>, no indirect cost base is allowed. E New rule Research & Related Budget 10YR, (R&R) Indirect Costs, x Funds Requested 022.64.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Incl: G08, G13, S21, S22 Single Provide an error if Indirect Cost Funds requested greater than 0. For <Organization name> for budget period < Budget Year>, no indirect cost base is allowed. E New rule
Research & Related Budget 10YR, (R&R) Total Indirect Costs 022.65.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Single Must be equal to funds requested for all indirect cost types For <Organization name> budget for Budget Period < Budget Year>, the Total Indirect Costs does not equal the sum of individual indirect costs for each indirect cost type. E Research & Related Budget 10YR, (R&R) Total Indirect Costs 022.66 Research & Related Budget 10YR, (R&R) Total Direct and Indirect Costs 022.67.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Single Must be equal to the sum of Total Direct Costs and Total Indirect Costs For <Organization name> budget for Budget Period < Budget Year>, the Total Direct and Indirect Costs Funds Requested do not equal the sum of individual direct and indirect costs. E Research & Related Budget 10YR, (R&R) Fee 022.68.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Single A fee cannot be entered for a subaward/consortium budget. For <Organization name> budget for Budget Period < Budget Year>, a fee has been entered. Fees are not allowed for ‘Subaward/Consortium’ budgets. E Research & Related Budget 10YR, (R&R) Budget Justification 022.69
(R&R) & Related Budget 10YR, (R&R) Section C. Equipment, Totals ($) 022.74 & Related Budget 10YR, (R&R) Section D. Travel, Totals ($) 022.75 & Related Budget 10YR, (R&R) 1. Domestic, Totals ($) 022.76 & Related Budget 10YR, (R&R) 2. Foreign, Totals ($) 022.77 & Related Budget 10YR, (R&R) Section E. Support Costs, Totals ($) 022.78
& Related Budget 10YR, (R&R) 1. Insurance, Totals ($ 022.79 & Related Budget 10YR, (R&R) 2. Stipends, Totals ($) 022.80 & Related Budget 10YR, (R&R) 3. Travel, Totals ($) 022.81 & Related Budget 10YR, (R&R) 4. Subsistence, Totals ($) 022.82 & Related Budget 10YR, (R&R) 5. Other, Totals ($) 022.83 & 6. Number of 022.84
Related Budget 10YR, (R&R) & Related Budget 10YR, (R&R) Section F. Other Direct Costs, Totals ($) 022.85 & Related Budget 10YR, (R&R) 1. Materials and Supplies 022.86 & Related Budget 10YR, (R&R) 2. Publication Costs 022.87 & Related Budget 10YR, (R&R) 3. Consultant Services 022.88 & Related 4. ADP/Computer Services 088.89
Budget 10YR, (R&R) & Related Budget 10YR, (R&R) 5. Costs 022.90 & Related Budget 10YR, (R&R) 6. Equipment or Facility Rental/Use Fees 022.91 & Related Budget 10YR, (R&R) 7. Alterations and 022.92 & Related Budget 10YR, (R&R) 8. Other1 022.93 & Related Budget 9. Other2 022.94
10YR, (R&R) & Related Budget 10YR, (R&R) 10. Other3 022.95 & Related Budget 10YR, (R&R) Section G, Direct Costs total 022.96.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Incl: G08 For submission with one budget period, must be less than or equal to $100k. The cumulative ‘Total Direct Costs for Entire Project Period’ is limited to $100K if one (1) budget period has been included. E New rule & Related Budget 10YR, (R&R) Section G, Direct Costs total 022.96.2 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Incl: G08 For a submission with two budget periods, must be less than or equal to $200k. The cumulative ‘Total Direct Costs for Entire Project Period’ is limited to $200K if two (2) budget periods have been included. E New rule & Related Budget 10YR, (R&R) Section G, Direct Costs total 022.96.3 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Incl: G08 For a submission with three budget periods, must be less than or equal to $300k. The cumulative ‘Total Direct Costs for Entire Project Period’ is limited to $300K if three (3) budget periods have been included. E New rule & Related Budget 10YR, (R&R) Section G, Direct Costs (A thru F) 022.97.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Must be equal to the sum of Total Direct Costs for every budget year for this budget. For <Organization name> budget, the Cumulative Direct Costs does not equal the sum of Total Direct Costs for all budget periods. E
& Related Budget 10YR, (R&R) Section H, Indirect Costs 022.98.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Must be equal to the sum of Total Indirect Costs for every budget year for this budget. For <Organization name> budget, the Cumulative Indirect Costs does not equal the sum of Total Indirect Costs for all budget periods. E & Related Budget 10YR, (R&R) Section I, Total Direct and Indirect Costs 022.99 & Related Budget 10YR, (R&R) Section I, Total Direct and Indirect Costs (G + 022.100.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.3 Must be equal to the sum of Total Direct and Indirect Costs for every budget year for this budget. For <Organization name> budget, the Cumulative Total Direct and Indirect Costs does not equal the sum of Direct and Indirect Costs for all budget periods. E & Related Budget 10YR, (R&R) Section J, Fee 022.101
R&R Budget (10Year) MP (Use only for Multi-project) Form Field Rule# Rule Categories Validation Error Message Error/ Warning Comments (Y/N) Shared (Y/N) Agency Specific (Lists Form Version FOA Specific Activity Specific Lists Activity Code (Inclusion & Exclusion) to Single Multi or Both Applies to Com- ponent Type Cross (Multi Project Only) Research & Related Budget 10YR, (R&R) MP DUNS 006.1.1 Incl: V1.0 Multi Y Budget marked as ‘Project’ must contain DUNS number for the component organization on the 424 RR MP The budget marked as ‘Project’ must contain the DUNS number for the component organization on the 424 RR Cover. E Research & Related Budget 10YR, (R&R) MP DUNS 006.1.2 Incl: V1.0 Multi Y Budget marked as ‘Subaward’ cannot contain (left string match) the DUNS number for the component application organization on the 424 RR MP The <Organization Name> ‘Subaward’ budget cannot contain the DUNS number provided on the 424 RR Cover for the component. E Research & Related Budget 10YR, (R&R) MP Name of organization 006.2.1 Incl: V1.0 Multi N Name of Organization is required The Organization Name is required on the R&R Budget for <DUNS>. E Research & Related Budget 10YR, (R&R) MP Budget type (project, 006.3.1 Incl: V1.0 Multi Y There must be one and only one occurrence with a value of ‘Project’ per component. Only one budget with a budget type of ‘Project’ may be submitted on the 424 RR Budget for each component. E Research & Related Budget 10YR, Start Date 006.4.1 Incl: V1.0 Multi Y For budget year 1, for Budget Type ‘Project’, for new applications and resubmissions, must be the same as On the <Organization name> budget for Budget Period < Budget Year>, the start date should be equal to the proposed W
(R&R) MP the Proposed Project Start Date listed on the SF 424 RR MP for a given component. project start date listed on the Component SF 424 RR Cover page. Research & Related Budget 10YR, (R&R) MP Start Date 006.4.2 Incl: V1.0 Multi Y For budget years after budget year 1, must be greater than or equal to the Proposed Project Start Date listed on the SF 424 RR MP for a given component. On the <Organization name> budget for Budget Period < Budget Year>, the start date should equal to or later than the proposed project start date listed on the Component SF 424 RR Cover page. W Research & Related Budget 10YR, (R&R) MP End Date 006.5.1 Incl: V1.0 Multi Y The Budget end date must be greater than the budget start date and less than or equal to the Project Period End Date listed on the SF 424 RR MP for a given component. On the <Organization name> budget for Budget Period < Budget Year>, the end date must be later than the budget start date and less than or equal to the proposed project end date listed on the Component SF 424 RR Cover page. E Research & Related Budget 10YR, (R&R) MP End Date 006.5.2 Incl: V1.0 flag= 'No' Multi Y End date of last budget period should not be later than years after the start date of the first budget period if the Project_Period_Except flag is set to 'No' in rfa_pa_notices_t. The end date cannot be later than years after the start date for <Organization name or DUNS (if Org name not available)> for Budget Period < Budget Year>. E Research & Related Senior/Key Person x Name, 006.6
Related Budget 10YR, (R&R) MP Name, Base Salary ($) 99,999,999.99. Period < Budget Year>, the Base Salary for Senior/Key Person <Last Name, First Name> exceeds the allowable amount for the agency. Research & Related Budget 10YR, (R&R) MP Senior/Key Person x Name, Cal. Months 006.13.1 Incl: V1.0 Multi N a non-zero value for calendar months, academic months, or summer months is required for each senior/key person. On the <Organization name> budget for Budget Period < Budget Year>, Senior/Key Person <Last Name, First Name> must include effort of a value greater than zero in calendar months, academic months, or summer months. Note: use either calendar months or a combination of academic and summer months. For information about calculating person months, see E Research & Related Budget 10YR, (R&R) MP Senior/Key Person x Name, Acad. Months 006.14.1 Incl: V1.0 Multi N Provide warning if both academic and calendar months have been provided for a person for a budget year. On the <Organization name> budget for Budget Period < Budget Year>, Senior/Key Person <Last Name, First Name>, both academic and calendar months have been included. Please use either calendar months or a combination of academic W
and summer months. If effort does not change throughout the year, use the calendar months column. If effort varies between academic and summer months, leave the calendar months column blank and use only the academic and summer months. Research & Related Budget 10YR, (R&R) MP Senior/Key Person x Name, Sum. Months 006.15 Research & Related Budget 10YR, (R&R) MP Senior/Key Person Requested salary 006.16 Research & Related Budget 10YR, (R&R) MP Senior/Key Person x Name, Fringe Benefits ($) 006.17.1 Incl: V1.0 Multi N Cannot be greater than 99,999,999.99. On the <Organization name> budget for Budget Period < Budget Year>, the Fringe Benefits for Senior/Key Person < Last Name, First Name> exceed the allowable amount for the agency. E Research & Related Budget Senior/Key Person Funds Requested 006.18.1 Incl: V1.0 Multi N Must be equal to the sum of Requested Salary and Fringe Benefits for the On the <Organization name> budget for Budget Period < Budget Year>, the Funds Requested E
10YR, (R&R) MP Senior/Key Person for the budget year. amount for Senior/Key Person < Last Name, First Name> does not equal the sum of the Requested Salary and the Fringe Benefits. Research & Related Budget 10YR, (R&R) MP Total funds requested for Senior Key Persons in attachment 006.19.1 Incl: V1.0 Multi N Required if Additional Senior Key Persons Attachment is included. On the <Organization name> budget for Budget Period < Budget Year>, the ‘Total Funds requested for all Senior Key Persons in the attached file’ is required since an attachment is provided. E Research & Related Budget 10YR, (R&R) MP Total Funds requested for all senior/key persons 006.20 Research & Related Budget 10YR, (R&R) MP Additional Senior Key Persons attachment 006.21.1 Incl: V1.0 Multi N Provide error if attachment is provided and less than 100 senior/key person have been entered for that budget period On the <Organization name> budget for Budget Period < Budget Year>, the Additional Senior/Key Person attachment cannot be provided unless all 100 Sr/Key Person entries are used. E Research & Related Budget 10YR, (R&R) MP Other Personnel, Number of Personnel 006.22
Research & Related Budget 10YR, (R&R) MP Other Personnel, Cal Months 006.23 Research & Related Budget 10YR, (R&R) MP Other Personnel, Acad Months 006.24 Research & Related Budget 10YR, (R&R) MP Other Personnel, Sum Months 006.25 Research & Related Budget 10YR, (R&R) MP Other Personnel, Requested Salary 006.26 Research & Related Budget 10YR, (R&R) MP Other Personnel, Fringe Benefits 006.27 Research & Related Budget 10YR, (R&R) MP Other Personnel, Funds Requested 006.28
Research & Related Budget 10YR, (R&R) MP Total number other personnel 006.29 Research & Related Budget 10YR, (R&R) MP Total Funds Requested other personnel 006.30 Research & Related Budget 10YR, (R&R) MP Total salary, wages and fringe benefits 006.37.1 Incl: V1.0 Multi N Must equal the sum of Total Funds requested for all senior/key persons and Total Funds Requested other personnel On the <Organization name> budget for Budget Period < Budget Year>, the Total Salary, Wages and Fringe Benefits amount does not equal the sum of the Total Senior/Key Persons Funds Requested (Section A) and Total Other Personnel Funds Requested (Section B). E Research & Related Budget 10YR, (R&R) MP Equipment description, equipment item 006.32 Research & Related Budget 10YR, (R&R) Equipment description, x equip funds req. 006.33
MP Research & Related Budget 10YR, (R&R) MP Equipment description, total funds requested in attachment 006.40.1 Incl: V1.0 Multi N Required if Additional Equipment Attachment is included. On the <Organization name> budget for Budget Period < Budget Year>, the ‘Total Funds requested for all equipment listed in the attached file’ is required since an attachment is provided. E Research & Related Budget 10YR, (R&R) MP Equipment description, total equipment 006.35 Research & Related Budget 10YR, (R&R) MP Additional equipment attachment 006.42.1 Incl: V1.0 Multi N Provide error if attachment is provided and less than 100 equipment items have been entered for that budget period On the <Organization name> budget for Budget Period < Budget Year>, the Additional Equipment attachment cannot be provided unless all 100 Equipment item entries are used. E Research & Related Budget 10YR, (R&R) MP Travel, domestic travel costs, funds req 006.37 Research & Related Budget 10YR, (R&R) Travel, foreign travel costs, funds req 006.38
MP Research & Related Budget 10YR, (R&R) MP Total travel cost, funds req 006.39 Research & Related Budget 10YR, (R&R) MP support costs: Insurance, funds req 006.40 Research & Related Budget 10YR, (R&R) MP support costs: stipends, funds req 006.41 Research & Related Budget 10YR, (R&R) MP support costs: travel, funds req 006.42 Research & Related Budget 10YR, (R&R) MP support costs: subsistence, funds req 006.43 Research & Related Budget support costs: 006.44
10YR, (R&R) MP description of other Research & Related Budget 10YR, (R&R) MP support costs: other, funds req 006.45 Research & Related Budget 10YR, (R&R) MP support costs: Number of 006.46 Research & Related Budget 10YR, (R&R) MP support costs: Total Support Costs 006.47 Research & Related Budget 10YR, (R&R) MP Other Direct Costs materials & supplies; Funds Req 006.48 Research & Related Budget 10YR, (R&R) MP Other Direct Costs Publication Costs; Funds Req 006.49 Research & Other Direct Costs 006.50
Related Budget 10YR, (R&R) MP Consultant Services; Funds Req Research & Related Budget 10YR, (R&R) MP Other Direct Costs Services; Funds Req 006.51 Research & Related Budget 10YR, (R&R) MP Other Direct Costs Costs) 006.58.1 Incl: V1.0 Multi N provide warning for Project budget if all budget periods Consortium cost is Null or '0' and a subaward exists for the component A Subaward/Consortium Budget form is included in the component. The total costs of all subawards submitted for this component should be reflected in the Other Direct Costs section of the Project budget in the Funds requested Subaward/Consortium Costs field. W Research & Related Budget 10YR, (R&R) MP Other Direct Costs Equipment or Facility Rental/User Fees; Funds Req 006.53 Research & Related Budget 10YR, (R&R) MP Other Direct Costs (Alterations and 006.54 Research Other Direct 006.55 Renovations
& Related Budget 10YR, (R&R) MP Costs (8. other description 1) Research & Related Budget 10YR, (R&R) MP Other Direct Costs (other1 funds requested) 006.56 Research & Related Budget 10YR, (R&R) MP Other Direct Costs (9. other description 2) 006.57 Research & Related Budget 10YR, (R&R) MP Other Direct Costs (other2 funds requested) 006.58 Research & Related Budget 10YR, (R&R) MP Other Direct Costs (10. other description 3) 006.59 Research & Related Budget 10YR, (R&R) MP Other Direct Costs (other3 funds requested) 006.60
Research & Related Budget 10YR, (R&R) MP Other Direct Costs, Total Other Direct Costs 006.67.1 Incl: V1.0 Multi N Must be equal to the sum of other direct costs for the budget year. On the <Organization name> budget for Budget Period < Budget Year>, the Total Other Direct Costs (Section F-K) does not equal the sum of the individual Other Direct Cost categories. E Research & Related Budget 10YR, (R&R) MP Total Direct Costs (A-F) 006.69.1 Incl: V1.0 Multi N Must be equal to the sum of total salary, wages and fringe benefits, total funds requested for equipment, total travel cost, total participant/trainee support costs, and total other direct costs On the <Organization name> budget for Budget Period < Budget Year>, the Total Direct Costs Funds Requested (Section G) does not equal the sum of individual direct costs in Sections A-F. E Research & Related Budget 10YR, (R&R) MP Indirect Costs, Indirect Cost Rate 006.63 Research & Related Budget 10YR, (R&R) MP Indirect Costs, Indirect Cost Rate 006.71.1 Incl: V1.0 Multi N Provide warning if less than 1. On the <Organization name> budget for Budget Period < Budget Year, the Indirect Cost Rate is less than 1. Please note that this figure represents a percentage (e.g., ’25.5’, not ‘.255’). W Research & Indirect Costs, x 006.65
Related Budget 10YR, (R&R) MP Indirect Cost Base Research & Related Budget 10YR, (R&R) MP Indirect Costs, x Funds Requested 006.66 Research & Related Budget 10YR, (R&R) MP Total Indirect Costs 006.74.1 Incl: V1.0 Multi N Must be equal to funds requested for all indirect cost types On the <Organization name> budget for Budget Period < Budget Year>, the Total Indirect Costs (section F-K) does not equal the sum of individual indirect costs for each indirect cost type. E Research & Related Budget 10YR, (R&R) MP Indirect Costs, Cognizant Federal Agency 006.68 Research & Related Budget 10YR, (R&R) MP Total Direct and Indirect Costs 006.76.2 Incl: V1.0 Multi N Must be equal to the sum of Total Direct Costs and Total Indirect Costs On the <Organization name> budget for Budget Period < Budget Year>, the Total Direct and Indirect Costs Funds Requested (Section I) does not equal the sum of individual direct and indirect costs in Sections G-F. E
Research & Related Budget 10YR, (R&R) MP Fee 006.77.1 Incl: V1.0 Multi N A fee cannot be entered for a subaward/consortium budget. On the <Organization name> budget for Budget Period < Budget Year>, a fee has been entered. Fees are not allowed for ‘Subaward/Consortium’ budgets. E Research & Related Budget 10YR, (R&R) MP Budget Justification 006.71 R&R Budget(10Year) MP Cumulative Form Field Rule# Rule Categories Validation Error Message Error/ Warning Comments (Y/N) (Y/N) Agency (Lists Form FOA Specific Activity Specific Lists Activity Code (Inclusion & to Multi or Both Applies to Com- ponent Type (Multi Project Only) Cross (Multi Project Only)
& Related Budget 10YR, (R&R) MP 6. Number of 006.86 & Related Budget 10YR, (R&R) MP Section F. Other Direct Costs, Totals ($) 006.87 & Related Budget 10YR, (R&R) MP 1. Materials and Supplies 006.88 & Related Budget 10YR, (R&R) MP 2. Publication Costs 006.89 & Related Budget 3. Consultant Services 006.90
10YR, (R&R) MP & Related Budget 10YR, (R&R) MP 4. ADP/Computer Services 006.91 & Related Budget 10YR, (R&R) MP 5. Costs 006.92 & Related Budget 10YR, (R&R) MP 6. Equipment or Facility Rental/Use Fees 006.93 & Related Budget 10YR, (R&R) MP 7. Alterations and 006.94 & Related 8. Other1 006.95
Budget 10YR, (R&R) MP & Related Budget 10YR, (R&R) MP 9. Other2 006.96 & Related Budget 10YR, (R&R) MP 10. Other3 006.97 & Related Budget 10YR, (R&R) MP Section G, Direct Costs (A thru F) 006.105.1 Incl: V1.0 Multi N Must be equal to the sum of Total Direct Costs for every budget year for this budget. For <Organization name> budget, the Cumulative Direct Costs does not equal the sum of Total Direct Costs for all budget periods. E & Related Budget 10YR, (R&R) MP Section H, Indirect Costs 006.106.1 Incl: V1.0 Multi N Must be equal to the sum of Total Indirect Costs for every budget year for this budget. For <Organization name> budget, the Cumulative Indirect Costs does not equal the sum of Total Indirect Costs for all budget periods. E
& Related Budget 10YR, (R&R) MP Section I, Total Direct and Indirect Costs (G + H) 006.107.1 Incl: V1.0 Multi N Must be equal to the sum of Total Direct and Indirect Costs for every budget year for this budget. For <Organization name> budget, the Cumulative Total Direct and Indirect Costs does not equal the sum of Direct and Indirect Costs for all budget periods. E & Related Budget 10YR, (R&R) MP Section J, Fee 006.101 PHS 398 Research Plan Form Field Rule# Rule Categories Validation Error Message Error/ Warning Comments
PHS Plan Research Plan Attachments: Specific Aims N N Incl : NIH, CDC, FDA, AHRQ Excl: RM1, UM1 Both Both Provide error if Specific Aims attachment is greater than 1 page. Exclude component type 'Complex Component' The Specific Aims attachment is limited to one (1) page . E PHS Plan Research Plan Attachments: Research Strategy N N Incl : NIH, CDC, FDA, AHRQ Multi Both Research Strategy Attachment must be less than or equal to (x) pages (Determined from the FOA Attribute for both Overall and Component level validations. If FOA Attribute is NULL do not run validation) The Research Strategy is limited to (x) pages for this application. E PHS Plan Research Plan Attachments: Research Strategy N N Incl : NIH, CDC, FDA, AHRQ = N Incl: R03, R13, U13, R21, R36, SC2, SC3, R50 Single Research Strategy Attachment must be less than or equal to 6 pages. The Research Strategy attachment is limited to six (6) pages. E Update to existing rule(added SC2, SC3) Update to Existing(Added R50) December 2015 Release Plan (NIH) Research Plan Attachments: Research Strategy N N Incl : NIH, CDC, FDA, AHRQ = N Incl: for R01, U01, R15, R18, R24, U18, U24, R33, UH3, R21/R33, R34, U34, DP3, DP5, UP5, G08, G11, G13, UH2/UH3, SC1U44, UT2, UA5, RF1, UF1, R61/R33, Single Research Strategy Attachment must be less than or equal to 12 pages The Research Strategy attachment is limited to twelve (12) pages. E Update to existing rule (added DP3, DP5. UP5) Update to existing rule (added G08, G11, G13) Update to existing (add SC1)
UG3/UH3, SI2/R00 Plan (NIH) Research Plan Attachments: Research Strategy N N Incl : NIH, FDA, AHRQ = Y Incl: R01, U01, R15,R24 R18, U18, U24,R33, UH3, R21/R33, UH2/UH3, R34, U34, DP3, G08, G11, G13, UH 2, UH2/UH3, SC1, U44, UT2, UA5, RF1, UF1, R61/R33, UG3/UH3, SI2/R00, DP3, DP5. UP5 Single Research Strategy Attachment must be less than or equal to 30 pages The Research Strategy attachment is limited to thirty (30) pages. Update to existing rule (added DP3, DP5. UP5) Update to existing rule (added G08, G11, G13) Update to existing rule (added SC1) PHS Plan Research Plan Attachments: Research Strategy N N Incl : NIH, CDC, FDA, AHRQ = Y Incl: R03, R13, U13, R21, R36, SC2, SC3, R50 Single Research Strategy Attachment must be less than or equal to 12 pages. The Research Strategy attachment is limited to twelve (12) pages. E Update to Existing ( added SC2, SC3) Update to Existing (Added R50) Decembe 2015 Release PHS Plan Research Plan Attachments: Research Strategy N N Incl : NIH, CDC, FDA, AHRQ Incl: R25, DP7 Single Research Strategy Attachment must be less than or equal to 25 pages. The Research Strategy attachment is limited to twenty five (25) pages. E PHS Research Plan N N Incl : NIH, Incl : R42, UT2, Single Research Strategy Attachment must be less than The Research Strategy attachment is limited to E
Plan Attachments: Research Strategy CDC, FDA, AHRQ = N R44, U44, SB1,UB1 or equal to 12 pages Validation applies to:STTR Phase II), SBIR Phase II and Fast-Track) twelve (12) pages. PHS Plan Research Plan Attachments: Research Strategy N N Incl : NIH, CDC, FDA, AHRQ = Y Incl : R42, UT2, R44, U44 Single Research Strategy Attachment must be less than or equal to 30 pages Validation applies to:STTR Phase II), SBIR Phase II and Fast-Track) The Research Strategy attachment is limited to thirty (30) pages. E PHS Plan Research Plan Attachments: Research Strategy N N Incl : NIH, CDC, FDA, AHRQ = N Incl : R41, UT1, R43, U43 Single Research Strategy Attachment must be less than or equal to 6 pages. Validation applies to: R41(STTR Phase I), R43 (SBIR Phase I)), U43, UT1 The Research Strategy attachment is limited to six (6) pages. E PHS Plan Research Plan Attachments: Research Strategy N N Incl : NIH, CDC, FDA, AHRQ flag = Y Incl : R41, UT1, R43, U43 Single Research Strategy Attachment must be less than or equal to 12 pages Validation includes: R41(STTR Phase I) and R43 (SBIR Phase I), U43 (SBIR Phase I), UT1 (STTR Phase I) The Research Strategy attachment is limited to twelve (12) pages. E PHS Plan Research Plan Attachments: Research Strategy N N Incl: NIH, CDC, FDA, AHRQ Incl: DP1, DP4 SIngle Research Strategy Attachment must be less than or equal to pages. The Research Strategy attachment is limited to five (5) pages. E PHS Plan Research Plan Attachments: Research Strategy N N Incl: NIH, CDC, FDA, AHRQ Incl: DP2 Single Research Strategy Attachment must be less than or equal to 10 pages The Research Strategy attachment is limited to ten (10) pages. E
Plan Plan Attachments: Protection of Human Subjects NIH, CDC, FDA, AHRQ is ‘yes’,on Other Project Information form within the same component Subjects attachment is required if the response to the Human Subjects question on the Other Project Information is ‘Yes’. PHS Plan Research Plan Attachments: Inclusion of Women and Minorities N N Incl : NIH, CDC, FDA, AHRQ Both Both Required if Human Subjects is yes and Exemption is not E4 on Other Project Information form within the same component The Inclusion of Women and Minorities attachment is required if the response to the Human Subjects question on the Other Project Information is ‘Yes’ and the Exemption Number is not 4. E PHS Plan Research Plan Attachments: Inclusion of Children N N Incl : NIH, CDC, FDA, AHRQ Both Both Required if Human Subjects is yes and Exemption is not E4 on Other Project Information form within the same component The Inclusion of Children attachment is required if the response to the Human Subjects question on the Other Project Information is ‘Yes’ and the Exemption Number is not 4. E PHS Plan Research Plan Attachments: Vertebrate Animals N N Incl : NIH, CDC, FDA, AHRQ Excl: S10 Both Both Required if Vertebrate Animals Used Question is Yes on Other Project Information form within the same component The Vertebrate Animals attachment is required if the response to the Vertebrate/Animals Subject Used question on the Other Project Information is ‘Yes’ E PHS Plan Research Plan Attachments: Select Agent Research 010.11 N N PHS Plan Research Plan Attachments: Multiple PI Leadership Plan N N Incl : NIH, CDC, FDA, AHRQ Both Overall Required if multiple PD/ PIs are included with the submission The Multiple PI Leadership Plan attachment on the PHS 398 Research Plan must be included if multiple PD/PIs have been included on the Senior/Key Person Profile. E PHS Plan Research Plan Attachments: Multiple PI N N Incl : NIH, CDC, FDA, Both Overall Return error if Leadership Plan is included and there is only one PD/PI identified with the submission For multiple PD/PI applications, be sure to mark each PD/PI with a project role of PD/PI on the E
Leadership Plan AHRQ Senior/Key Person Profile. If not intending to submit a multiple PD/PI application, remove the Multiple PI Leadership Plan attachment. PHS Plan Research Plan Attachments: Arrangements 010.13 PHS Plan Research Plan Attachments: Letters of Support N N Incl: NIH, CDC, FDA, AHRQ Incl: R36 Single Required for an R36 application (activity code on funding opportunity = ‘R36’). Letters of Support must be included for this application. E PHS Plan Research Plan Attachments: Resource Sharing Plan 010.15 PHS Plan Research Plan Attachments: Authentication of Key Biological and/or Chemical Resources 010.18 PHS Plan Research Plan Attachments: Appendix N N Incl: NIH Both Both Limited to 10 appendixes You have submitted more than 10 appendices. There is a limit of 10 appendix attachments allowed. E PHS Research Plan N N Incl: NIH, Incl : R41, UT1, Single Appendixes are not allowed for SBIR or STTR Phase I Appendices may not be submitted for a Phase I SBIR E
Release, Update to Existing Rule (added K76) Career Dev. Award (NIH) Career Dev. Award Attachments: Plans and Statements of Mentor and 013.7.3 N N Incl : NIH, CDC, FDA, AHRQ Incl: K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, K76 Both Other Limited to 6 pages The Plans and Statements of Mentor and is limited to 6 pages. E Update error message January 14, 2016 Release, Update to Existing Rule (added K76) Career Dev. Award (NIH) Career Dev. Award Attachments: Plans and Statements of Mentor and 013.7.4 N N Incl : NIH, CDC, FDA, AHRQ Incl: K07, K22 Provide Warning if Plans and Statements by Mentor, Contributors attachment is not provided The Plans and Statements of Mentor and is typically required for this type of application. Be sure to comply with the Funding Opportunity Announcement (FOA) instructions. W New rule Career Dev. Award (NIH) Career Dev. Award Attachments: Letters of Support from Collaborators, Contributors, and Consultants 013.8.1 N N Incl : NIH, CDC, FDA, AHRQ Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, K76 Both Other Provide Warning if not included The Letters of Support from Collaborators, Contributors, and Consultants attachment may be required for this application. Be sure to comply with the announcement and application guide instructions. W January 14, 2016 Release, Update to Existing Rule (added K76) Career Dev. Career Dev. Award 013.8.2 N N Incl : NIH, CDC, Incl: K02, K05, K24, K26, K01, K07, Both Other Limited to 6 pages Letters of Support from Collaborators, Contributors, and E January 14, 2016 Release, Update to Existing Rule (added
Candidate’s Research Career Development subject to a page limitation. Be sure to comply with announcement and application guide instructions. Career Dev. Award (NIH) Career Dev. Award Attachments: Specific Aims N N Incl : NIH, CDC, FDA, AHRQ Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, K76 Both Other Required attachment The Specific Aims attachment is required. E January 14, 2016 Release, Update to Existing Rule (added K76) Career Dev. Award (NIH) Career Dev. Award Attachments: Specific Aims N N Incl : NIH, CDC, FDA, AHRQ Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, K76 Both Other Limited to 1 page The Specific Aims is limited to 1 page. E January 14, 2016 Release, Update to Existing Rule (added K76) Career Dev. Award (NIH) Research Strategy 013.12 Career Dev. Award (NIH) Career Dev. Award Attachments: Progress Report 013.13 Career Dev. Award (NIH) Career Dev. Award Attachments: Protection of Human N N Incl : NIH, CDC, FDA, AHRQ Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, K76 Both Other Required if Human Subjects is ‘yes’ on the Other Project Information’. A Protection of Human Subjects attachment must be included if the response to the Human Subjects question on the Other E January 14, 2016 Release, Update to Existing Rule (added K76)
combined total for the two attachments is over 13 pages. Career Dev. Award (NIH) Career Dev. Award Attachments. Data Safety Monitoring Plan N N Incl: NIH, AHRQ Excl: V2.0 Both Required if “Yes” is selected as the answer to the “Clinical Trial?” question on the Cover Page Supplemental Form The Data Safety Monitoring Plan attachment is required if the response to the Clinical Trial question on the Cover Page Supplemetn is “Yes” E Forms D, March 2016 Release PHS 398 Training Program Plan Form Field Rule# Rule Categories Validation Error Message Error/ Warning Comments (Y/N) (Y/N) Agency Specific (Lists Form FOA Specific Activity Specific Lists Activity Code (Inclusion & Exclusion) to Multi or Both Applies to Com- ponent Type (Multi Project Only) Cross (Multi Project Only) PHS 398 Training Introduction to Application (for REVISION or applications 014.1.3 N N Incl: NIH, CDC, FDA, AHRQ Incl: T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, Both Y Limited to 1 page for revisions. The Introduction for a revision is limited to one (1) page. E Update to existing rule (removed KM1)
PHS 398 Training Plan Program Plan 014.3.2 N N Incl: NIH, AHRQ Excl: V2.0 Both Provide error if Program Plan is greater than 25 pages The Program Plan is limited to 25 pages E New Rule for Forms D, March 2016 Release PHS 398 Training Plan Recruitment and Retention Plan to Enhance Diversity 014.4.1 N N Incl: NIH, CDC, FDA, AHRQ Excl V3.0 Incl: T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, T37, K12, Both Required attachment The Recruitment and Retention Plan to Enhance Diversity attachment is required. E Removed D43, D71 and U2R 07/28/2015 Update to existing rule (removed KM1) Update to existing rule (excluding v3.0), for Forms D, March Release PHS 398 Training Plan Plan for Instruction in the Responsible Conduct of Research 014.5.1 N N Incl: NIH, CDC, FDA, AHRQ Incl: T15, T32, T34, T35, T36 K12, T37, D71, D43, U2R T01, T02, T03, T14, T42, T90, T90/R90, T90/R90, TU2 Both Required attachment The Plan for Instruction in the Responsible Conduct of Research attachment is required. E Update to existing rule (removed KM1) PHS 398 Training Plan Plan for Instruction in the Responsible Conduct of Research 014.5.2 N N Incl: NIH, CDC, FDA, AHRQ Incl: T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, T37, K12, D43, D71, U2R Both If provided, limited to 3 pages The Plan for Instruction in the Responsible Conduct of Research attachment on the PHS 398 Research Training Program Plan is limited to 3 pages. E Update to existing rule (removed KM1)
Training Plan Cover Page Supplemental Form Clinical Trial question on the Cover Page Supplement is “Yes” PHS 398 Training Plan Vertebrate Animals 014.8.1 N N Incl: NIH, CDC, FDA, AHRQ Incl: T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, T37, K12, D43, D71, U2R Both Required Vertebrate Animals is true on Other Project Information form within the same component A Vertebrate Animals attachment must be included if the response to the Vertebrate Animals Used Question on the Other Project Information form is ‘Yes’. E Update to existing rule message Update to existing rule (removed KM1) PHS 398 Training Plan Select Agent Research 014.9 PHS 398 Training Plan Multiple PD/PI Leadership Plan (if applicable) N N Incl: NIH, CDC, FDA, AHRQ Incl: T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, T37, K12, D43, D71, U2R Required if multiple PD/ PIs are included with the submission The Multiple PD/PI Leadership Plan attachment must be included if multiple Senior/Key entries with the PD/PI role have been included on the Senior/Key Person Profile form. E Update to existing rule (removed KM1) PHS 398 Training Multiple PD/PI Leadership Plan (if applicable) N N Incl: NIH, CDC, FDA, AHRQ Incl: T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, Return error if Leadership Plan is included and there is only one PD/PI identified with the For multiple PD/PI applications, be sure to mark each PD/PI with a project role of PD/PI on the Senior/Key E Update to existing rule (removed KM1)
Plan T37, K12, D43, D71, U2R submission Person Profile form. If not intending to submit a multiple PD/PI application, remove the Multiple PI Leadership Plan attachment. PHS 398 Training Plan Arrangements 014.11 PHS 398 Training Plan Participating Faculty Biosketches N N Incl: NIH, CDC, FDA, AHRQ Incl: T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, T37, K12, D43, D71, U2R Both Warning if not included The Participating Faculty Biosketches attachment should be included for this application. W Update to existing rule (removed KM1) PHS 398 Training Plan Data Tables Incl: NIH, CDC, FDA, AHRQ Incl: T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, T37, K12, D43, D71, U2R Both Warning if not included The Data Tables attachment may be required in whole or in part for this application. Check the announcement and application guide for requirements. W Update to existing rule (removed KM1) PHS 398 Training Letters of Support 014.15
Plan PHS 398 Training Plan Appendix Incl: NIH, CDC, FDA, AHRQ Incl: T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, T37, K12, D43, D71, U2R Both Limited to 10 appendixes Only 10 appendix attachments are allowed. E Update to existing rule (removed KM1) PHS 398 Training Budget Form Field Rule# Rule Categories Validation Error Message Error/ Warning Comments (Y/N) (Y/N) Agency Specific (Lists Form FOA Specific Activity Specific Lists Activity Code (Inclusion & Exclusion) to Multi or Both Applies to Com- ponent Type (Multi Project Only) Cross (Multi Project Only)
PHS 398 Training Budget PHS 398 Training Budget, Period "x" Unless specifically stated, all project budget validations also apply to the subaward budget. PHS 398 Training Budget Organizational DUNS: 015.1.1 Incl: V1.0 Multi Only 'Project' Budget Type can contain the Organization DUNs of the component The budget marked as ‘Project’ must contain the DUNS number for the component organization on the 424 RR Cover. E PHS 398 Training Budget Organizational DUNS: 015.1.2 N Y Incl : NIH, CDC, FDA, AHRQ Incl: V1.0 Both Budget marked as ‘Subaward’ cannot contain DUNS number for the component application organization on the 424 RR The <Organization Name> subaward’ budget cannot contain the DUNS number provided on the SF 424 RR Cover. E PHS 398 Training Budget Budget type (project) 015.2 PHS 398 Training Budget Budget type 015.3.1 N Y Incl : NIH, CDC, FDA, AHRQ Incl: V1.0 Both There must be one and only one occurrence with a value of ‘Project’ per component. Only one budget with a budget type of ‘Project’ may be submitted for the application. E PHS 398 Training Budget Name of organization 015.4.1 N Y Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.0 Both The Name of Organization is required The Organization name is required for <DUNS>. E
PHS 398 Training Budget Start Date 015.5.1 N Y Incl : NIH, CDC, FDA, AHRQ Incl: V1.0 Both For budget year 1, for budget type Project, for new applications and resubmissions, must be the same as the Proposed Project Start Date listed on the component SF 424 RR For <Organization name> for budget period < Budget Year>, the start date for new and resubmission applications must be the same as the proposed project start date listed on the SF 424 RR Cover. W PHS 398 Training Budget Start Date 015.5.2 N Y Incl : NIH, CDC, FDA, AHRQ Incl: V1.0 Both For budget years after budget year 1, must be greater than or equal to the Proposed Project Start Date listed on the component SF 424 RR For <Organization name> budget for budget period < Budget Year>, the start date should the same or later than the proposed project start date listed on the SF 424 RR Cover. W PHS 398 Training Budget End Date 015.6.1 N Y Incl : NIH, CDC, FDA, AHRQ Incl: V1.0 Both Must be greater than the budget start date and less than or equal to the Project Period End Date, both listed on the component SF 424 RR For <Organization name> budget for budget period < Budget Year>, the end date must be later than the budget start date and less than or the same as the proposed project end date listed on the SF 424 RR Cover. E PHS 398 Training A. Stipends, of Trainees, 015.7.1 N N Incl : NIH, CDC, FDA, AHRQ Incl: V1.0 Incl: T34 Provide error if Number of Full time and/or short term undergraduate trainees is not provided (0 or For <Organization name> for budget period < Budget Year>,the number of Full time and/or Short E
Budget Number per stipend level, first-year/soph. PHS 398 Training Budget A. Stipends, of Number per stipend level, junior/senior 015.12 PHS 398 Training Budget A. Stipends, of Trainees, Predoctoral, Single Degree: Full Time N N Incl : NIH, CDC, FDA, AHRQ Incl: V1.0 Incl: T34 Provide Error If total pre-doctoral or total pre-doctoral short term, or total pre-doctoral stipends requested, or total post-doctoral full-time, or total post-doctoral short term, or total post-doctoral stipends requested, or number of other or other short term, or other stipends requested, is greater than 0. For <Organization name> for budget period < Budget Year>, the Predoctoral, Postdoctoral and Other Trainee information cannot be included. E PHS 398 Training A. Stipends, of Trainees, 015.14
Term PHS 398 Training Budget A. Stipends, of Seeking per stipend level (0-7) 015.27 PHS 398 Training Budget A. Stipends, of Trainees, Seeking: Stipends Requested ($) 015.28 PHS 398 Training Budget A. Stipends, of Trainees, Seeking: Tuition/Fees Requested ($) 015.29 PHS 398 Training Budget A. Stipends, of Trainees, Degree Seeking; Full 015.30 degree degree degree
Requested ($) PHS 398 Training Budget A. Stipends, of Trainees, Total post-doctoral; Full Time 015.35 PHS 398 Training Budget A. Stipends, of Trainees, Total post-doctoral; Short Term 015.36 PHS 398 Training Budget A. Stipends, Number of post-doctoral, per stipend level (0-7) 015.37 PHS 398 Training Budget A. Stipends, of Trainees, Total post-doctoral, Degree Seeking: Stipends Requested ($) 015.38 PHS 398 Training A. Stipends, Trainees, Total 015.39
or total pre-doctoral full-time, or total pre-doctoral short term, or total post-doctoral full-time, or total post-doctoral short term, or number of other or number of other short term, is greater than 0 and total stipends requested total is not greater than 0 corresponding Stipends Requested information must also be included. PHS 398 Training Budget A. Stipends, Stipends Requested ($) N N Incl : NIH, CDC, FDA, AHRQ Incl: V1.0 Excl: T02, T03 Both Provide error If total stipends requested is greater than 0 and number of undergrad full-time, and number undergrad short term, and total pre-doctoral full-time, and total pre-doctoral short term, and total post-doctoral full-time, and total post-doctoral short term, and number of other full-time, and number of other short term, For <Organization name> for budget period < Budget Year>, if Stipends Requested information is provided then corresponding Number of Trainees information must also be included. E
is not greater than 0. PHS 398 Training Budget A. Stipends, Tuition /Fees Requested ($) 015.45 PHS 398 Training Budget A. Stipends, Stipends + Tuition/ Fees Requested ($) 015.46 PHS 398 Training Budget B. Other Direct CostsTrainee Travel, Funds Requested ($) 015.47 PHS 398 Training Budget B. Other Direct CostsTraining Related Expenses, Funds Requested ($) N N Incl : NIH, CDC, FDA, AHRQ Incl: V1.0 Both Warning if Funds requested, training related expenses is not provided For <Organization name> for budget period < Budget Year>, the Funds Requested for Training Related Expenses should be provided. W PHS 398 Training Budget B. Other Direct CostsTotal Direct Costs from R&R Budget Form (if applicable), Funds Requested ($) N N Incl : NIH, CDC, FDA, AHRQ Incl: V1.0 Provide error if RR budget (project budget) is present in the application and if the Total Direct Costs from RR Budget for all budget periods is Null or '0' If an R&R Budget is part of the application, the Total direct costs from the R&R Budget should be provided in the Total direct Cost from R&R Budget form section. E
PHS 398 Training Budget B. Other Direct Training Costs (if applicable), Funds Requested ($) N N Incl : NIH, CDC, FDA, AHRQ Incl: V1.0 Excl: T02, T03 Both provide warning for Project budget if all budget periods Consortium cost is Null or '0' and a subaward exists for the component A Subaward/Consortium Budget form is included in the application. The total costs of all subawards submitted for this application should be reflected in the Other Direct Costs section of the Project budget in the Consortium training costs section. W PHS 398 Training Budget B. Other Direct CostsTotal Other Direct Costs Requested, Funds Requested ($) 015.51 PHS 398 Training Budget C. Total Direct Costs Requested (A + B) 015.52 PHS 398 Training Budget D. Indirect Costs Indirect Cost Type 1 015.53 PHS 398 Training Budget D. Indirect Costs Indirect Cost Rate 1 (%) N N Incl : NIH, CDC, FDA, AHRQ Incl: V1.0 Both Provide warning if not 8 For <Organization name> budget for budget period < Budget Year>, the Indirect Cost Rate W
Budget Requested PHS 398 Training Budget E. Total Direct and Indirect Costs Requested (C + D) 015.62 PHS 398 Training Budget F. Budget Justification N N Incl : NIH, CDC, FDA, AHRQ Incl: V1.0 Both The budget justification attachment is required The budget justification attachment is required. E PHS 398 Training Budget Cumulative Form Field Rule# Rule Categories Validation Error Message Error/ Warning Comments (Y/N) (Y/N) Agency (Lists Form FOA Specific Activity Specific Lists Activity Code (Inclusion & to Multi or Both Applies to Com- ponent Type (Multi Project Only) Cross (Multi Project Only)
Budget Requested ($) PHS 398 Training Budget, Budget A. Stipends, Dual Degree, Tuition/Fees Requested ($) 015.69 PHS 398 Training Budget, Budget A. Stipends, Total Predoctoral, Stipends Requested ($) 015.70 PHS 398 Training Budget, Budget A. Stipends, Total Predoctoral, Tuition/Fees Requested ($) 015.71 PHS 398 Training Budget, Budget A. Stipends, Degree Seeking, Stipends Requested ($) 015.72 PHS 398 A. Stipends, 015.73
Training Budget, Budget Degree Seeking, Tuition/Fees Requested ($) PHS 398 Training Budget, Budget A. Stipends, Degree Seeking, Stipends Requested ($) 015.74 PHS 398 Training Budget, Budget A. Stipends, Degree Seeking, Tuition/Fees Requested ($) 015.75 PHS 398 Training Budget, Budget A. Stipends, Total Postdoctoral Stipends Requested ($) 015.76 PHS 398 Training Budget, A. Stipends, Total Postdoctoral Tuition/Fees Requested ($) 015.77
Budget PHS 398 Training Budget, Budget A. Stipends, Stipends Requested ($) 015.78 PHS 398 Training Budget, Budget A. Stipends, Tuition/Fees Requested ($) 015.79 PHS 398 Training Budget, Budget A. Stipends, Stipends Requested 015.80 PHS 398 Training Budget, Budget A. Stipends, Tuition And Fees Requested 015.81 PHS 398 Training A. Stipends, Stipends + 015.82
PHS 398 Training Budget, Budget B. Other Direct Costs Total Other Direct Costs Requested 015.87 PHS 398 Training Budget, Budget C. Total Direct Costs Requested (A + B) 015.88 PHS 398 Training Budget, Budget D. Total Indirect Costs Requested 015.89 PHS 398 Training Budget, Budget E. Total Direct and Indirect Costs Requested (C + D) 015.90
SBIR/STTR Form Form Field Rule# Rule Categories Validation Error Message Error/ Warning Comments (Y/N) (Y/N) Agency Specific (Lists Form FOA Specific Activity Specific Lists Activity Code (Inclusion & Exclusion) to Multi or Both Applies to Com- ponent Type (Multi Project Only) Cross (Multi Project Only) (NIH) Program Type (SBIR, STTR, Both) 023.1.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.1 Incl: R41, R42, UT1, UT2, R43, R44, U43, U44 Choice must be consistent with the information stored for the announcement: if the announcement is indicated as ‘SBIR’, ‘SBIR’ must be selected; if announcement is indicated as ‘STTR’, ‘STTR’ must be selected. You have selected a Program Type of <Program Type>. That is not the correct program type for this announcement. Please refer to the FOA for the correct program type for this application. E (NIH) Program Type (SBIR, STTR, Both) 023.1.2 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.1 Incl: R41, R42, UT1, UT2, R43, R44, U43, U44 One and only one choice may be made. Please select one Program Type, SBIR or STTR.. E (NIH) SBIR/STTR Type (Phase I, Phase II, 023.2
(NIH) Question 1.a Small Business Eligibility (Y/N) 023.3.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.1 Incl: R41, R42, UT1, UT2, R43, R44, U43, U44, SB1, UB1 Provide error if Small Business Eligibility is No The Small Business Eligibility Certification must be marked ‘Yes’ for SBIR and STTR applications. E (NIH) Question 1b. Anticipated number of personnel 023.4 (NIH) Question 2. Are Subcontracts Included? (Y/N) 023.5 (NIH) Name of Labs/Agencies For Subcontracts 023.6.1 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.1 Incl: R41, R42, UT1, UT2, R43, R44, U43, U44 Required entry if response to ‘Are Subcontracts Included?’ is ‘Yes’. If it is indicated in question 2 that subcontracts are included, the name(s) of labs or agencies for subcontracts must be included. E (NIH) Name of Labs/Agencies For Subcontracts 023.6.2 N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V1.1 Incl: R41, R42, UT1, UT2, R43, R44, U43, U44, SB1, UB1 Cannot be included if response to ‘Are Subcontracts Included?’ is ‘No’. If it is indicated in question 2 that subcontracts are not included, the name(s) of labs or agencies for subcontracts cannot be included. E
(NIH) equivalent work AHRQ, VA UB1 other agencies’ question is ‘yes’. essentially equivalent work have been proposed to or awarded by other Federal agencies, the names of the other Federal agencies must be provided. (NIH) Names of other Federal agencies for equivalent work N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.1 Incl: R41, R42, UT1, UT2, R43, R44, U43, U44, SB1, UB1 Cannot be included if answer to ‘submittal of equivalent work to other agencies’ question is ‘no’. If it is indicated in question that applications for essentially equivalent work have not been proposed to or awarded by other Federal agencies, then no other Federal agencies can be listed. E (NIH) Question 6. Disclosure Permission Statement (Y/N) N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.1 Incl: R41, R42, UT1, UT2, R43, R44, U43, U44, SB1, UB1 Provide warning if Disclosure Permission Statement answer is different on SBIR/STTR form and the Cover Page Supplement form The Disclosure Permission Statement answer provided on the PHS398 Cover Page Supplement form does not match the answer provided on the SBIR/STTR Information form. Please verify and correct as needed. W Plan N N Incl : NIH, CDC, Incl: V 1.1 Incl: R41, UT1, R43, Cannot be submitted for SBIR or STTR A Commercialization Plan should not be submitted for Phase I E
(NIH) Attachment FDA, AHRQ, VA U43 Phase I. applications. (NIH) Plan Attachment N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.1 Incl: R42, UT2, R44, U44, SB1, UB1 Required for Phase II, Direct Phase II and Fast Track submissions The Commercialization Plan is required for Phase II and Fast Track submissions. E (NIH) Plan Attachment N N Incl : NIH, CDC, FDA, AHRQ, VA Incl: V 1.1 Incl: R42, UT2, R44, U44, SB1,UB1 Limited to 12 pages The Commercialization Plan is limited to twelve (12) pages. E (NIH) Question 8. Receipt of Phase II SBIR Awards (Y/N) 023.14 (NIH) Company History Attachment 023.15 (NIH) Question 9. SBIR PD/PI Primary Employment (Y/N) 023.16
(NIH) Question 10. STTR PD/PI Commitment (Y/N) 023.17 (NIH) Question 11. STTR work percentages (Y/N) 023.18 PHS Fellowship Supplemental Form Field Rule# Rule Categories Validation Error Message Error/ Warning Comments
Supp. Form Indefinite (Y/N) CDC, FDA, AHRQ F31, F32,F33, F37, F38, FI2, F99/K00 Project Info and Vertebrate Animals Use Indefinite is ‘Yes’, provide error Indefinite question cannot be marked ‘Yes’ if the answer to Vertebrate Animals Used is ‘No’. January 14,2016 Release, Update to Existing Rule (added F99/K00) PHS Supp. Form Fellowship Supplemental Form Attachments: Vertebrate Animals 024.15.1 N N Incl : NIH, CDC, FDA, AHRQ Incl: V2.0 Incl: F05, F30, F31, F32,F33, F37, F38, FI2 F99/K00 Vertebrate Animals attachment is required if Vertebrate Subjects is true The Vertebrate Animals attachment must be included if the response to the Vertebrate Animals Used question on the Other Project Information page is ‘Yes’ E New rule January 14,2016 Release, Update to Existing Rule (added F99/K00) PHS Supp. Form Fellowship Supplemental Form Attachments: Select Agent Research 024.16 PHS Supp. Form Fellowship Supplemental Form Attachments: Resource Sharing Plan 024.17 PHS Supp. Form Fellowship Supplemental Form Attachments: Respective 024.18.1 N N Incl : NIH, CDC, FDA, AHRQ Incl: V2.0 Incl: F05, F30, F31, F32,F33, F37, F38, FI2, F99/K00 Respective Contributions attachment is limited to 1 page The Respective Contributions attachment is limited to one (1) page. E New rule January 14,2016 Release, Update to Existing Rule (added
Supp. Form Applicant: sought, PHS Supp. Form Fellowship Applicant: sought, other, type 024.26.1 N N Incl : NIH, CDC, FDA, AHRQ Incl: V2.0 Incl: F05, F30, F31, F32,F33, F37, F38, FI2, F99/K00 If “other degree” is selected ( Other Degree(s): MOTH: Other Masters Degree DOTH: Other Doctorate DDOT: Other Doctor of Medical Dentistry MDOT: Other Doctor of Medicine VDOT: Other Doctor of Veterinary Medicine OTH: Other) the type is required If one of the “Other Degree(s)” is selected, indicate the Degree Type. E New rule January 14,2016 Release, Update to Existing Rule (added F99/K00) PHS Supp. Form Fellowship Applicant: degree sought, other, degree type 024.26.2 N N Incl : NIH, CDC, FDA, AHRQ Incl: V2.0 Incl: F05, F30, F31, F32,F33, F37, F38, FI2, F99/K00 If “other degree” is not selected, the degree type must not be provided ‘Other Degree Type’ must not be provided if the degree selected is not one listed under ‘Other Degree(s)’. E New rule January 14,2016 Release, Update to Existing Rule (added F99/K00) PHS Supp. Form Fellowship Applicant: degree sought, expected completion date 024.27.1 Y N Incl : NIH, CDC, FDA, AHRQ Incl: V2.0 Incl: F05, F30, F31, F32,F33, F37, F38, FI2, F99/K00 Provide error if degree date is not in the format of MM/YYYY. The Degree Sought Expected Completion Date must be in MM/YYYY format. E New rule January 14,2016 Release, Update to Existing Rule (added F99/K00) PHS Supp. Fellowship Applicant: degree sought, expected 024.27
Form completion date PHS Supp. Form Fellowship Applicant: field of training 024.28 PHS Supp. Form Fellowship Applicant: current or prior support (y/n)? 024.29.1 N N Incl : NIH, CDC, FDA, AHRQ Incl: V2.0 Incl: F05, F30, F31, F32,F33, F37, F38, FI2, F99/K00 If ‘Yes’ is selected on’ Current or Prior Kirschstein-NRSA support’, one level and type is required on the same row of the grid and at least one row of the grid. At least one entry for Current or Prior Kirschstein-NRSA support information is required. E New rule January 14,2016 Release, Update to Existing Rule (added F99/K00) PHS Supp. Form Fellowship Applicant: current or prior support x, level 024.30 PHS Supp. Form Fellowship Applicant: current or prior support x, type 024.31 PHS Supp. Form Fellowship Applicant: current or prior support x, start date 024.32
PHS Supp. Form Fellowship Applicant: current orprior support x, end date 024.33.1 N N Incl : NIH, CDC, FDA, AHRQ Incl: V2.0 Incl: F05, F30, F31, F32,F33, F37, F38, FI2, F99/K00 Current or Prior Kirschstein-NRSA Support End date must be greater than Support Start Date on the same row of the grid The Current or Prior Support End Date must be later than Support Start Date. E New rule January 14,2016 Release, Update to Existing Rule (added F99/K00) PHS Supp. Form Fellowship Applicant: current or prior support x, grant number 024.34 PHS Supp. Form Fellowship Applicant: Applications for concurrent support (Y/N)? 024.35 PHS Supp. Form Fellowship Applicant: concurrent support description attachment 024.36.1 N N Incl : NIH, CDC, FDA, AHRQ Incl: V2.0 Incl: F05, F30, F31, F32,F33, F37, F38, FI2, F99/K00 If ‘Yes’ selected for Concurrent Support, the Application for Concurrent Support attachment is required An Application Concurrent Support attachment must be included. E New rule January 14,2016 Release, Update to Existing Rule (added F99/K00) PHS Supp. Form Fellowship Applicant: goals for fellowship training and career attachment 024.37.1 N N Incl : NIH, CDC, FDA, AHRQ Incl: V2.0 Incl: F05, F30, F31, F32,F33, F37, F38, FI2, F99/K00 Limited to 1 page The Goals for Fellowship Training and Career attachment is limited to one (1) page. E New rule January 14,2016 Release, Update to Existing Rule (added F99/K00) PHS Fellowship 024.38.1 N N Incl : Incl: Incl: Limited to 1 page The Activities E New rule
Form amount Fellowship Applicants. PHS Supp. Form Budget: present institutional base salary, academic period 024.48.1 N N Incl : NIH, CDC, FDA, AHRQ Incl: V2.0 Incl: F33 A selection is required for F33 The Academic Period for the Present Institutional Base Salary is required for Senior Fellowship Applicants. E New rule PHS Supp. Form Budget: present institutional base salary, # of months 024.49.1 N N Incl : NIH, CDC, FDA, AHRQ Incl: V2.0 Incl: F33 Base salary, # of months should be greater than 0 for F33 The Number of Months for the Present Institutional Base Salary is required for Senior Fellowship Applicants. E New rule PHS Supp. Form Budget: stipends/salary during first year, federal stipend requested, amount 024.50.1 N N Incl : NIH, CDC, FDA, AHRQ Incl: V2.0 Incl: F33 Federal stipend requested, amount should be greater than 0 for F33 The Amount for the Federal Stipend Requested Salary is required for Senior Fellowship Applicants. E New rule PHS Supp. Form Budget: stipends/salary during first year, federal stipend requested, number of months 024.51.1 N N Incl : NIH, CDC, FDA, AHRQ Incl: V2.0 Incl: F33 Federal stipend requested, number of months should be greater than 0 for F33 The Number of Months for the Federal Stipend Requested Salary is required for Senior Fellowship Applicants. E New rule PHS Supp. Form Budget: stipends/salary during first year, from other 024.52.1 N N Incl : NIH, CDC, FDA, AHRQ Incl: V2.0 Incl: F33 Supplementation from other sources, amount should be greater than 0 for F33 The Amount for the Supplementation from other sources is required for Senior Fellowship Applicants. E New rule
sources, amount PHS Supp. Form Budget: stipends/salary during first year, from other sources, # of months 024.53.1 N N Incl : NIH, CDC, FDA, AHRQ Incl: V2.0 Incl: F33 Supplementation from other sources, # of months should be greater than 0 for F33 The Number of Months for the Supplementation from other sources is required for Senior Fellowship. E New rule PHS Supp. Form Budget: stipends/salary during first year, from other sources, type 024.54.1 N N Incl : NIH, CDC, FDA, AHRQ Incl: V2.0 Incl: F33 Supplementation from other sources, type is a required for F33 The Type of Supplementation from other sources is required for Senior Fellowship Applicants. E New rule PHS Supp. Form Budget: stipends/salary during first year, from other sources, source 024.55.1 N N Incl : NIH, CDC, FDA, AHRQ Incl: V2.0 Incl: F33 Supplementation from other sources, source is a required for F33 The Source of Supplementation from other sources is required for Senior Fellowship Applicants. E New rule PHS Supp. Form Appendix 024.56.1 N N Incl : NIH, CDC, FDA, AHRQ Incl: V2.0 Incl: F05, F30, F31, F32,F33, F37, F38, FI2, F99/K00 Limited to 10 appendixes You have submitted more than 10 appendices. There is a limit of 10 appendix attachments allowed. E New rule January 14,2016 Release, Update to Existing Rule (added F99/K00)
Cumulative Inclusion Enrollment Report Form Field Rule# Rule Categories Validation Error Message Error/ Warning Comments (Y/N) (Y/N) Agency (Lists Form FOA Specific Activity Specific Lists Activity Code (Inclusion & to Multi or Both Applies to Com- ponent Type (Multi Project Only) Cross (Multi Project Only) Report Study Title X of Y Report Study Title: 016.2 Report Comments: 016.3 Racial Category: American Indian/ Alaska 016.4
Report Female Report Racial Category: Asian; Ethnic Category: Unknown/ Not Reported, Male 016.21 Report Racial Category: Asian; Ethnic Category: Unknow/ Not Reported, Unknown/ Not Reported 016.22 Report Racial Category: Asian; Total 016.23 Report Racial Category: Native Hawaiian or Other Pacific Islander; Ethnic Category: Not Hispanic or Latino, Female 016.24
Report Racial Category: Native Hawaiian or Other Pacific Islander; Ethnic Category: Not Hispanic or Latino, Male 016.25 Report Racial Category: Native Hawaiian or Other Pacific Islander; Ethnic Category: Not Hispanic or Latino, Unknown/ Not Reported 016.26 Report Racial Category: Native Hawaiian or Other Pacific Islander; Ethnic Category: Hispanic or Latino, Female 016.27 Racial Category: Native Hawaiian or Other Pacific 016.28
Reported, Male Report Racial Category: Native Hawaiian or Other Pacific Islander; Ethnic Category: Unknow/ Not Reported, Unknown/ Not Reported 016.32 Report Racial Category: Native Hawaiian or Other Pacific Islander; Total 016.33 Report Racial Category: Black or African American; Ethnic Category: Not Hispanic or Latino, Female 016.34 Racial Category: Black or African American; Ethnic Category: Not 016.35
Report Category: Hispanic or Latino, Unknown/ Not Reported Report Racial Category: Black or African American; Ethnic Category: Unknown/ Not Reported, Female 016.40 Report Racial Category: Black or African American; Ethnic Category: Unknown/ Not Reported, Male 016.41 Report Racial Category: Black or African American; Ethnic Category: Unknown/ Not Reported, Unknown/ Not Reported 016.42 Racial 016.43
Report Category: Black or African American; Total Report Racial Category: White; Ethnic Category: Not Hispanic or Latino, Female 016.44 Report Racial Category: White; Ethnic Category: Not Hispanic or Latino, Male 016.45 Report Racial Category: White; Ethnic Category: Not Hispanic or Latino, Unknown/ Not Reported 016.46 Racial Category: White; Ethnic Category: Hispanic or 016.47
Report Hispanic or Latino, Unknown/ Not Reported Report Racial Category: More than One Race; Ethnic Category: Hispanic or Latino, Female 016.57 Report Racial Category: More than One Race; Ethnic Category: Hispanic or Latino, Male 016.58 Report Racial Category: More than One Race; Ethnic Category: Hispanic or Latino, Unknown/ Not Reported 016.59 Racial Category: More than One Race; Ethnic Category: Unknow/ Not 016.60
Latino, Female Report Racial Category: Unknown or Not Reported; Ethnic Category: Not Hispanic or Latino, Male 016.65 Report Racial Category: Unknown or Not Reported; Ethnic Category: Not Hispanic or Latino, Unknown/ Not Reported 016.66 Report Racial Category: Unknown or Not Reported; Ethnic Category: Hispanic or Latino, Female 016.67 Racial Category: Unknown or Not Reported; Ethnic Category: 016.68
Report Hispanic or Latino, Male Report Racial Category: Unknown or Not Reported; Ethnic Category: Hispanic or Latino, Unknown/ Not Reported 016.69 Report Racial Category: Unknown or Not Reported; Ethnic Category: Unknown/ Not Reported, Female 016.70 Report Racial Category: Unknown or Not Reported; Ethnic Category: Unknown/ Not Reported, Male 016.71 Racial Category: Unknown or Not Reported; 016.72
Report Reported; Total Report Ethnic Category; Hispanic or Latino, Female; Total 016.77 Report Ethnic Category; Hispanic or Latino, Male; Total 016.78 Report Ethnic Category; Hispanic or Latino, Unknown/ Not Reported; Total 016.79 Report Ethnic Category; Unknown/Not Reported Ethnicity, Female; Total 016.80 Ethnic Category; Unknown/Not 016.81
Mandatory (Y/N) (Y/N) Agency Specific (Lists Form FOA Specific Activity Specific Lists Activity Code (Inclusion & to Multi or Both Applies to Com- ponent Type (Multi Project Only) Cross (Multi Project Only) Planned Report Study Title X of Y 017.1.1 N N Incl : NIH, CDC, FDA, AHRQ V 1.0 Excl: T15, T32, T34, T35, T36, K12, T37, D71, D43, U2R, T01, T02, T03, T14, T42, T90, T90/R90, TU2, S10, C06, UC6, G20, X02, OT1, X01, I01, IP1, IU1, IS1, I21, I34, I50, IK1, IK2, IK3, IK4, IK5, IK6 Both Provide Warning if Planned Enrollment Report form is not part of the application when HS = Y and Exemption not E4 Note: Training component of a complex should be excluded from this rule. Human Subjects are involved but no Planned Enrollment Report(s) for inclusion has been included. W Update to existing rule (removed KM1) Update to existing (Added OT1) Planned Report Study Title X of Y 017.1.2 N N Incl : NIH, CDC, FDA, AHRQ V 1.0 Both Provide warning if Planned Enrollment Report is submitted with all zeros Planned Enrollment Report(s) was submitted with no data. If not a Delayed Onset study, is planned enrollment data needed? W
Planned Report Study Title: 017.2 Planned Report 017.3 Planned Report Comments: 017.4 Planned Report Racial Category: American Indian/ Alaska Native; Ethnic Category: Not Hispanic or Latino, Female 017.5 Planned Report Racial Category: American Indian/ Alaska Native; Ethnic Category: Not Hispanic or Latino, Male 017.6 Planned Racial Category: American Indian/ Alaska 017.7
Report Native; Ethnic Category: Hispanic or Latino, Female Planned Report Racial Category: American Indian/ Alaska Native; Ethnic Category: Hispanic or Latino, Male 017.8 Planned Report Racial Category: American Indian/ Alaska Native; Total 017.9 Planned Report Racial Category: Asian ; Ethnic Category: Not Hispanic or Latino, Female 017.10 Planned Report Racial Category: Asian; Ethnic Category: Not Hispanic or Latino, Male 017.11 Planned Racial Category: Asian; Ethnic 017.12
Report Category: Native Hawaiian or Other Pacific Islander; Ethnic Category: Hispanic or Latino, Female Planned Report Racial Category: Native Hawaiian or Other Pacific Islander; Ethnic Category: Hispanic or Latino, Male 017.18 Planned Report Racial Category: Native Hawaiian or Other Pacific Islander; Total 017.19 Planned Report Racial Category: Black or African American; Ethnic Category: Not Hispanic or Latino, Female 017.20 Planned Racial Category: Black 017.21
Report or African American; Ethnic Category: Not Hispanic or Latino, Male Planned Report Racial Category: Black or African American; Ethnic Category: Hispanic or Latino, Female 017.22 Planned Report Racial Category: Black or African American; Ethnic Category: Hispanic or Latino, Male 017.23 Planned Report Racial Category: Black or African American; Total 017.24 Planned Report Racial Category: White; Ethnic Category: Not Hispanic or 017.25
Latino, Female Planned Report Racial Category: White; Ethnic Category: Not Hispanic or Latino, Male 017.26 Planned Report Racial Category: White; Ethnic Category: Hispanic or Latino, Female 017.27 Planned Report Racial Category: White; Ethnic Category: Hispanic or Latino, Male 017.28 Planned Report Racial Category: White; Total 017.29 Planned Report Racial Category: More than One Race; Ethnic Category: Not Hispanic or Latino, Female 017.30
Planned Report Racial Category: More than One Race; Ethnic Category: Not Hispanic or Latino, Male 017.31 Planned Report Racial Category: More than One Race; Ethnic Category: Hispanic or Latino, Female 017.32 Planned Report Racial Category: More than One Race; Ethnic Category: Hispanic or Latino, Male 017.33 Planned Report Racial Category: More than One Race; Total 017.34 Planned Report Ethnic Category; Not Hispanic or Latino, Female; Total 017.35 Planned Ethnic Category; Not 017.36
Report Hispanic or Latino, Male; Total Planned Report Ethnic Category; Hispanic or Latino, Female; Total 017.37 Planned Report Ethnic Category; Hispanic or Latino, Male; Total 017.38 Planned Report Ethnic Category Total; Racial Category Total PHS Inclusion Enrollment Report Form Field Rule# Rule Categories Validation Error Message Error/ Warning Comments
Report required. Ethnic and Racial cell data in the table. PHS Report Enrollment Type 033.3.1 N N Incl: NIH, AHRQ Both Enrollment Type is required if answer to Delayed Onset Study is “No”. An answer to the “Enrollment Type” question must be provided if you answered “No” to the Delayed Onset Study question. E New Rule for Forms D, March 2016 Release PHS Report Enrollment Type 033.3.2 N N Incl: NIH, AHRQ Both Enrollment Type must be “Planned” if answer to Using and Existing Dataset or Resource is “No” If you answered “No” to the Using an Existing Dataset or Resource question, then the Enrollment Type must be “Planned”. E New Rule for Forms D, March 2016 Release PHS Report Enrollment Type 033.3.3 N N Incl: NIH, AHRQ Both If enrollment type is planned then no data should be entered in any unknown/not reported columns / rows of the data table. If you answered “Planned” to the Enrollment Type questions, then you should not provide values for any on the Unknown or Not Reportted cells in the data table. E New Rule for Forms D, March 2016 Release PHS Report Using an Existing Dataset or Resource 033.4.1 N N Incl: NIH, AHRQ Both Using an existing dataset or resource is required if answer to Delayed Onset Study question is “No”. An answer to the “Using an Existing Dataset or Resource” question must be provided if you answered “No” to the Delayed Onset Study question. E New Rule for Forms D, March 2016 Release PHS Enrollment Location 033.5.1 N N Incl: NIH, AHRQ Both Enrollment Location is required if answer to Delayed Onset Study question is “No”. An answer to the “Enrollment Location” question must be provided if you answered “No” to the Delayed Onset Study question. E New Rule for Forms D, March 2016 Release
Report PHS Report Report Clinical Trial 033.6.1 N N Incl: NIH, AHRQ Both Clinical Trial is required if answer to Delayed Onset Study question is “No”. An answer to the “Clinical Trial” question must be provided if you answered “No” to the Delayed Onset Study question. E New Rule for Forms D, March 2016 Release PHS Report NIH-Defined Phase III Clinical Trial 033.7.1 N N Incl: NIH, AHRQ Both NIH-Defined Phase III Clinical Trial is required if answer to Delayed Onset Study question is “No”. An answer to the Phase III Clinical Trial” question must be provided if you answered “No” to the Delayed Onset Study question. E New Rule for Forms D, March 2016 Release PHS Report NIH-Defined Phase III Clinical Trial 033.7.2 N N Incl: NIH, AHRQ Both If Clinical Trial is set to No, then NIH-Defined Phase III Clinical Trial cannot be set to Yes. The answer to Phase III Clinical Trial question must be “No” if the answer to the Clinical Trial question is “No”. E New Rule for Forms D, March 2016 Release PHS Report Comments 033.8.1 PHS Report Racial Category: American Indian/ Alaska Native; Ethnic Category: Not 033.9.1
Report Hispanic or Latino, Female PHS Report Racial Category: American Indian/ Alaska Native; Ethnic Category: Not Hispanic or Latino, Male 033.10.1 PHS Report Racial Category: American Indian/ Alaska Native; Ethnic Category: Not Hispanic or Latino, Unknown 033.11.1 PHS Report Racial Category: American Indian/ Alaska Native; Ethnic Category: Hispanic or Latino, Female 033.12.1 PHS Racial Category: American Indian/ Alaska Native; Ethnic Category: 033.13.1
Report Hispanic or Latino, Male PHS Report Racial Category: American Indian/ Alaska Native; Ethnic Category: Hispanic or Latino, Unknown 033.14.1 PHS Report Racial Category: American Indian/ Alaska Native; Ethnic Category: Unknown, Female 033.15.1 PHS Report Racial Category: American Indian/ Alaska Native; Ethnic Category: Unknown, Male 033.16.1 PHS Report Racial Category: American Indian/ Alaska Native; Ethnic Category: Unknown, 033.17.1
Report Latino, Female PHS Report Racial Category: Asian; Ethnic Category: Hispanic or Latino, Male 033.23.1 PHS Report Racial Category: Asian; Ethnic Category: Hispanic or Latino, Unknown 033.24.1 PHS Report Racial Category: Asian; Ethnic Category: Unknown, Female 033.25.1 PHS Report Racial Category: Asian; Ethnic Category: Unknown, Male 033.26.1 PHS Racial Category: Asian; Ethnic Category: Unknown, 033.27.1
Report Unknown PHS Report Racial Category: American Asian; Total 033.28.1 PHS Report Racial Category: Native Hawaiian /Pacific Islander; Ethnic Category: Not Hispanic or Latino, Female 033.29.1 PHS Report Racial Category: American Native Hawaiian /Pacific Islander; Ethnic Category: Not Hispanic or Latino, Male 033.30.1 PHS Report Racial Category: Native Hawaiian /Pacific Islander; Ethnic Category: Not Hispanic or Latino, 033.31.1
Female PHS Report Racial Category: Native Hawaiian /Pacific Islander; Ethnic Category: Unknown, Male 033.36.1 PHS Report Racial Category: Native Hawaiian /Pacific Islander; Ethnic Category: Unknown, Unknown 033.37.1 PHS Report Racial Category: Native Hawaiian /Pacific Islander; Total 033.38.1 PHS Report Racial Category: Black or African American; Ethnic Category: Not Hispanic or Latino, Female 033.39.1 PHS Racial Category: Black 033.40.1
Report or African American; Ethnic Category: Not Hispanic or Latino, Male PHS Report Racial Category: Black or African American; Ethnic Category: Not Hispanic or Latino, Unknown 033.41.1 PHS Report Racial Category: Black or African American; Ethnic Category: Hispanic or Latino, Female 033.42.1 PHS Report Racial Category: Black or African American; Ethnic Category: Hispanic or Latino, Male 033.43.1 PHS Racial Category: Black 033.44.1
Report African American; Total PHS Report Racial Category: White; Ethnic Category: Not Hispanic or Latino, Female 033.49.1 PHS Report Racial Category: White; Ethnic Category: Not Hispanic or Latino, Male 033.50.1 PHS Report Racial Category: White; Ethnic Category: Not Hispanic or Latino, Unknown 033.51.1 PHS Report Racial Category: White; Ethnic Category: Hispanic or Latino, Female 033.52.1 PHS Racial Category: White; Ethnic Category: 033.53.1
Report Hispanic or Latino, Male PHS Report Racial Category: White; Ethnic Category: Hispanic or Latino, Unknown 033.54.1 PHS Report Racial Category: White; Ethnic Category: Unknown, Female 033.55.1 PHS Report Racial Category: White; Ethnic Category: Unknown, Male 033.56.1 PHS Report Racial Category: White; Ethnic Category: Unknown, Unknown 033.57.1 PHS Racial Category: White; Total 033.58.1
PHS Report Racial Category: More than One Race; Ethnic Category: Unknown, Unknown 033.68.1 PHS Report Racial Category: More than One Race; Total 033.69.1 PHS Report Racial Category: Unknown; Ethnic Category: Not Hispanic or Latino, Female 033.70.1 PHS Report Racial Category: Unknown; Ethnic Category: Not Hispanic or Latino, Male 033.71.1 PHS Racial Category: Unknown; Category: Not Hispanic or Latino, 033.72.1
Report Unknown PHS Report Racial Category: Unknown; Ethnic Category: Hispanic or Latino, Female 033.73.1 PHS Report Racial Category: Unknown; Ethnic Category: Hispanic or Latino, Male 033.74.1 PHS Report Racial Category: Unknown; Ethnic Category: Hispanic or Latino, Unknown 033.75.1 PHS Report Racial Category: Unknown; Ethnic Category: Unknown, Female 033.76.1 PHS Racial Category: 033.77.1
Report Unknown; Ethnic Category: Unknown, Male PHS Report Racial Category: Unknown; Ethnic Category: Unknown, Unknown 033.78.1 PHS Report Racial Category: Unknown; Total 033.79.1 PHS Report Ethnic Category; Not Hispanic or Latino, Female; Total 033.80.1 PHS Report Ethnic Category; Not Hispanic or Latino, Male; Total 033.81.1 PHS Ethnic Category; Not Hispanic or 033.82.1
Report Latino, Unknown/ Not Reported; Total PHS Report Ethnic Category; Hispanic or Latino, Female; Total 033.83.1 PHS Report Ethnic Category; Hispanic or Latino, Male; Total 033.84.1 PHS Report Ethnic Category; Hispanic or Latino, Unknown/ Not Reported; Total 033.85.1 PHS Report Ethnic Category; Unknown/Not Reported Ethnicity, Female; Total 033.86.1 PHS Ethnic Category; Unknown/Not 033.87.1
Report Reported Ethnicity, Male; Total PHS Report Ethnic Category; Unknown/Not Reported Ethnicity, Unknown/ Not Reported; Total 033.88.1 PHS PHS Report Ethnic Category; Racial Category: Total Count 033.89.1 N N Incl: NIH, AHRQ Both Total Count must be greater than zero if answer to Delayed Onset Study question is “No” The total count for Ethnic and Racial Categories must be greater than zero. Forms D, March 2016 Release PHS Additional Indirect Cost (Use only for Multi-project) Form Field Rule# Rule Categories Validation Error Message Error/ Warning Comments
PHS Additional Indirect Costs Start Date 021.4.2 N N Incl : NIH, CDC, FDA, AHRQ, V 1.0 Multi Overall For budget years after budget year 1, must be greater than or equal to the Proposed Project Start Date listed on the SF 424 RR. On the <Organization name> budget for Budget Period < Budget Year>, the start date should equal to or later than the proposed project start date listed on the Component SF 424 RR Cover page. E PHS Additional Indirect Costs End Date 021.5.1 N N Incl : NIH, CDC, FDA, AHRQ, V 1.0 Multi Overall Must be greater than the budget start date and less than or equal to the Project Period End Date, both listed on the SF 424 RR. On the <Organization name> budget for Budget Period < Budget Year>, the end date must be later than the budget start date and less than or equal to the proposed project end date listed on the Component SF 424 RR Cover page. E PHS Additional Indirect Costs End Date 021.5.2 N N Incl : NIH, CDC, FDA, AHRQ, V 1.0 flag = 'No' Multi Overall End date of last budget period should not be later than years after the start date of the first budget period. The end date cannot be later than years after the start date for <Organization name or DUNS (if Org name not available)> for Budget Period < Budget Year>. E PHS Additional Indirect Costs Indirect Costs - Indirect Cost Type 021.6 PHS Additional Indirect Costs Indirect Costs - Indirect Cost Rate % 021.7 PHS Additional Indirect Costs Indirect Costs - Indirect Cost Base 021.8
PHS Additional Indirect Costs Indirect Costs - Funds Requested 021.9 PHS Additional Indirect Costs Indirect Costs - Total Indirect Costs 021.10.1 N N Incl : NIH, CDC, FDA, AHRQ, V 1.0 Multi Overall Must be equal to funds requested for all indirect cost types for each Budget period. On the <Organization name> budget for Budget Period < Budget Year>, the Total Indirect Costs does not equal the sum of individual indirect costs for each indirect cost type. E PHS Additional Indirect Costs Budget Justification 021.10.2 PHS Additional Indirect Costs Indirect Costs 021.11.1 N N Incl : NIH, CDC, FDA, AHRQ, V 1.0 Multi Overall Must be equal to funds requested for all indirect cost types for all budget periods. On the <Organization name> budget, the Total Indirect Costs does not equal the sum of individual indirect costs for each indirect cost type for all budget periods. E