11/23/2015 ERA Analyst (SV) Updating Error Message text 020.52.2, 022.61.3 1.11 12/2/2015 ERA Analyst (SV) Added R50 Validations – December Release 12/14/2015 ERA Analyst (SV) BASELINE 1.12 12/14/2015 ERA Analyst (SV) Added OT2 validations - Janaury 2016 Release 1.13 12/21/2015 ERA Analyst (BM) Added Forms D Validations – March 2016 Release (Research Plan) New Validations 010.17.1 (Data Safety Monitoring Plan) Added Forms D Validations – March 2016 Release (Research Training Program Plan) New Validations 014.3.2 (Program Plan) 014.17.1 (Plan for Instruction in Methods for Enhancing Reproducibility) 014.18.1 (Data Safety Monitoring Plan) Updates to Existing Validations 014.2.1, 014.2.2, 014.2.3, 014.2.4, 014.2.5 (Background) 014.4.1 (Recruitment and Retention Plan to Enhance Diversity)
07/12/2016 ERA Analyst (BM) Rule changes for Grant Solution Agencies: Added Attachment Rule 000.34 (Simular to Rule 000.9 but only fires for GS Agencies) Added Attachment Rule 000.35 (Simular to Rule 000.10 but only fires for GS Agencies) Modified all Non-Research Rules to include SAMHSA. This affects all rules for the SF424, SF424A, SF424B, SF424C, SF424D, and HHS Checklist 07/13/2016 ERA Analyst (SV) Forms C to D Tranistion: Remove references to Forms C (August 25, 2016 release) 000.30 to be disabled 000.29 to exclude NIH 1.22 07/15/2016 ERA Analyst (SV) Updated rule 010.2.1 to exclude Activity code X02 08/01/2016 ERA Analyst (SV) Disabled rule 004.25.33 to provide warning on F30 and F31 applications if “Additional Eduactional Information” pdf not attached 1.23 08/08/2016 ERA Analyst (SV) Updated rule severity for rule number 024.40.6 . Changed from Error to Warning. 08/16/2016 ERA Analyst (SV) Corrected rule 010.2.1 to exclude activity code R50 1.24 08/25/2016 ERA Analyst (SV) Added new rule 000.36 – Warning on expiration of SAM Registration 08/29/2016 ERA Analyst (SV) Updated VA validaitons 004.25.5 – Adding Activity code IK3 004.25.11 – Updated message text 004.25.16 – Removed activity code IK3 004.25.23 – Updated message text 004.25.29 – Updated filename in validation 004.25.24- Rule disabled 004.25.34 – New rule – For VA applications, a completed VA Data Management and Access Plan (DMAP) is required.
for this Funding Opportunity <FOA Number>. Global validation 000.6 Y N Both Both If the application schema does not match the opportunity schema, return Error The format of the application does not match the format of the Funding Opportunity (FOA). Please contact the Help Desk for assistance. E Global validation 000.7 N N Incl : NIH, CDC, FDA, AHRQ, VA, USU, Multi Both For other components, provide error if the SubApplicationId does not follow the specific format of: 3 digit unique number (unique for the application) and the SubApplicationGroupId (component type) separated by a dash (i.e. 328-Core) A problem with the format of your submission has been identified. Please notify your institution’s submission system support contact and provide them with the following E
Global validation N N Incl : NIH, CDC, FDA, AHRQ, VA, USU Both Both Provide error if attached PDF contains fillable forms using XML Forms Architecture (XFA) technology Although attachment <attachment name> is in PDF format, it uses a technology for fillable form fields (XML Forms Architecture - XFA) not currently supported by eRA systems. Recreate the attachment using a different PDF generation tool. Contact the eRA Service Desk if additional assistance is needed. E Feburary 2017 Release Attachment validation N N Incl: VA Single Active and inactive URLs containing the following keys should not be included in attachment: http:// https:// www. www2. The attachment contains a hyperlink. The receiving agency does not accept W
.com .org .net IGNORE email addresses EXCLUDE “Biographical Sketch” and “Bibliography & References Cited” attachments. hyperlinks in Global validation Y N Both Both If the application fails to process, return Error The application encountered an unexpected error during application processing. Please contact the Help Desk for assistance. E Global validation N N Incl : NIH, CDC, FDA, AHRQ, VA, USU Both Both If the application is larger than 1.2GB, provide error The application did not follow the agency specific size limit of 1.2 GB. Please resize the application to be no larger than 1.2GB before submitting. E . attachments 4
Global validation Y N Both Both The FOA does not exist in the database The Funding Opportunity number does not exist. E Global validation Y N Incl: AHRQ, VA, USU, Single For Submission where the RR Budget 5Yr or the RR Budget 10Yr (Type project and/or Subaward/Consortium) and the Modular Budget are present, provide error. one budget form should be included with your application. E Global validation Y N Incl: AHRQ, VA, USU, Single For Submission where either a modular budget, RR Budget 5Yr,a RR Budget 10Yr, RR Budget 10Yr MP or a PHS 398 Training Budget are present in the application package, provide error if no budget with type project is submitted. You must include a budget with this application. E 7 A, A,
Global validation Y N Excl : Both Generate a warning if user submits an application package with a "-C" in the Competition ID You are using a FORMS-C application package. If you are submitting to a due date on or before May 24, 2016 you are using the correct forms and no action is needed If you are submitting to a later due date, you are using incorrect forms and MUST move to for submission by the due date. W Forms D, March 2016 Release August 25, 2016 Release – Forms C references to be removed for NIH
Global validation Y N Incl: NIH, AHRQ Excl : Both Generate a warning if user submits an application package with a "-D" in the Competition ID You are using a FORMS-D application package. If you are submitting to a due date on or after May 25, 2016 you are using the correct forms and no action is needed If you are submitting to an earlier due date, you are using incorrect forms and MUST move to for submission by the due date. W Forms D, March 2016 Release. August 25, 2016 Relase – Forms C to D Transition: This rule will be disabled 0
Global Validation Y N Incl: Single Generate an error rejecting submission of any Post Award Amendment or Continuation application is submitted for processing through grants.gov via adobe form submission, or through S2S submission via web service. Post Award applications must be initiated through COMMONS and submitted through ASSIST. You must log into COMMONS and navigate to your grant record to complete this process. E August 2016 Release SAMHSA Post Award Updated January 2017 Release SAMHSA Global Validation Y N Incl: Single Application is Continuation and SYSDATE < of the next active Support Year, identified by webservice XCH-75 Continuation applications can not be submitted prior to the Open Date. Next Support Year E Non- Non- Competing Competing
business days for eRA and systems to recognize your updated SAM status and restore your ability to submit. Global Validation Y N AHRQ, Both Both Provide a warning if appendix material is attached to any Resarch form for NIH and AHRQ Unless specified in the funding opportunity (FOA), appendix material is no longer accepted for most grant applications submitted to NIH, AHRQ and NIOSH Applicants should consult the FOA and the notice W New Rule January 2017 Release H,
to ascertain if the inclusion of appendix material is permitted. Applications may be withdrawn and not reviewed if they contain appendix materials that are not specifically referenced in the notice or FOA. If Yes to Human Subjects on Other Project Information form Add New Study/Delayed Onset Study on Human Subjects and Clinical Trial Information form N N NIH, AHRQ 1.0 = “R" or "I" Multi Y Provide error if a Clinical Trial Study Record, or a Delayed Onset Study that is marked as ‘Anticipated Clinical Trial’, is not provided on the entire application for a FOAthat is set to R or I, and answered yes to questions 1.4a through 1.4d At least one Clinical Trial Study Record or a Delayed Onset Study that is marked as ‘Anticipated Clinical Trial’ must be provided. E New Rule October 2017 Release 0
Human Subject and Clinical Trial Information Section 1 – Basic Information 1.1 Study Title N N NIH, AHRQ 1.0 Both Y Provide error if same Study Record or Delayed Onset Study title is duplicated in an application. Note: Study Record and Delayed Onset Study Record cannot have the same titles i.e. all study titles must be unique within an application Study Record and Delayed Onset study titles must be unique and cannot be duplicated in an application. E New Rule October 2017 Release Attachment validation 000.8 Y N Incl: AHRQ, VA, USU, Both Both All must be in PDF format The 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, USU, 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 E <attachment A,
encrypted. Please submit a application with the correct PDF attachment. Help with PDF attachments can be found at Attachment validation Y N Incl: USU, 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 returned: The attachment contained formatting or features not currently supported by NIH: <condition returned>. Help with PDF attachments can be E <attachment
found at . Attachment validation N N Incl : NIH, CDC, FDA, AHRQ, VA, USU, Both Both If attachment is larger than 8.5 x 11 inches (horizontally or vertically), provide error Filename <file> cannot be larger than U.S. standard Letter paper size of 8.5 x 11 inches. Please see our PDF guidelines at for additional information. E Attachment Validations Y N Both Both Provide error if filename is not valid. Valid file names may only include the following UTF-8 characters: A-Z, a-z, underscore, hyphen, space, period, parenthesis, curly brackets, square brackets, tilde, exclamation point, The attachment filename is invalid. Valid filenames may only include the following characters: A-Z, a-z, E >
Key Person entries will be determined to be for the same person if: Senior Key Person Profile or PD/PI Profile Credentials match. The application contains more than one biosketch for Senior/Key Person(s): <Last name, First name> on components <component ID>: Title>, <component ID>: Title>..; <Last name, First name> on components ID>: Title>, <component Title>... Attachment Validations N N Incl : NIH, CDC, FDA, AHRQ, VA, USU 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 The grantor agency allows only one biosketch per Senior/Key Person to be submitted with this E
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. 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>: Title>, <component ID>: Title>..; <Last name, First name> on components ID>: Title>, <component Title>...
Attachment validation Y N Excl: NIH, CDC, FDA, AHRQ, VA, USU, 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 returned: The attachment contained formatting or features not currently supported: <condition returned> E SF 424 (R&R) >
Field Rule# Rule Categories Validation Error Message Comments (Y/N) (Y/N) (Lists FOA Activity Specific Lists Activity Code & to Multi or Both to or (Multi Only) SF Type of N N Incl: NIH V 2.0 Exc: X02,OT1 Both Do not accept as submission type Pre-application is not an allowable ‘Type of Submission’ for this program. E SF Type of N N Incl : NIH, CDC, FDA, VA, USU V 2.0 Exc: X02, OT1 Both Do not accept ‘Application’ submission type if there is an associated prior successful submission.(exclude Revision Type of application) This application has been identified as a duplicate of a previous submission. The ‘Type of Submission’ should be set to Changed/Corrected if you are addressing errors/warnings. E Update to Existing SF Type of N N Incl : NIH, CDC, FDA, VA, USU V 2.0 Both Do not accept changed/ corrected application if the original application has been verified and not withdrawn Your application has already been submitted for processing by NIH staff and can no longer be changed through the electronic submission process. E SF Type of N N Incl : NIH, CDC, FDA, VA, USU V 2.0 Incl: X02 and OT1 Do not accept submission type if there is an associated prior successful submission.(exclude Revision Type of application) This application has been identified as a duplicate of a previous submission. The ‘Type of Submission’ should be set to Changed/Corrected if you are addressing errors/warnings. E New Rule For ) ) 4 4 4 4 / ) )
SF Type of N N Incl : NIH, CDC, FDA, VA, USU V 2.0 Incl: X02 and OT1 Allow only as Submission Type Application is not an allowable ‘Type of Submission’ for this program. E New Rule SF Type of App) N N Incl : NIH, CDC, FDA, VA, USU V 2.0 Do not accept changed/corrected application if the PI, DUNS, Project Title, and council round are a duplicate of another application and the opportunity ID is not the same as that of the other application. This application has been identified as a duplicate of a previous submission to a different Funding Opportunity Announcement. Multiple, simultaneous reviews of an application are not allowed. E SF Date N N Incl: NIH, CDC, FDA, VA, USU Incl: R44, U44, R42, UT2 If Phase II SBIR/STTR and prior grant is a Phase I is found in the database, provide warning if date submitted is more than 2 years after Phase I project period end date. Exclude Direct Phase II applications based on Phase II SBIR/STTR (excluding Direct Phase II applications) submissions should be submitted within 6 receipt dates after the expiration of the Phase I budget. W Incl : Incl Change 4 4 4 ) ) )
SF 001.3 SF Date by State SF State 001.5 SF Federal N N Incl : NIH, CDC, FDA, VA, USU V 2.0 Both If a resubmission, renewal or revision, this component is mandatory A Federal Identifier is required for Resubmission, Revision and Renewal applications. Include only the institute code and serial number of the prior application/grant number in the Federal Identifier field (e.g., use CA987654 extracted from full application/grant number 1R01CA987654-A1). E : Incl 4 4 4 4 ) ) ) )
SF Federal N N NIH, CDC, FDA, VA, USU V 2.0 Both If a resubmission or renewal, the prior grant number must exist in the NIH system. Matching is performed only on IC and serial number 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 assigned application/grant number (e.g., use CA987654 extracted from full application/grant number 1R01CA987654-A1).. E SF Federal N N Incl : NIH, CDC, FDA, VA, USU V 2.0 Both If a resubmission, revision, or renewal components of grant number must be ‘parsable’, at least the IC and serial number must be included. Components are <application_type> <mechanism> <institute> <serial number>-<support year><suffix code) The format of the Federal Identifier is not valid. Include only the institute code and serial number of the prior application/grant number (e.g., use CA987654 extracted from full application/grant number 1R01CA987654-A1). E SF Federal N N Incl: NIH, CDC, FDA, USU V 2.0 Both If PIChangeIndicator not set on Cover Page Supplement, provide error if Commons Account doesn’t match and last name of PI on prior grant doesn’t match last name for The PD/PI listed for this application does not match the PD/PI associated with the grant identified by the Federal Identifier. If this application involves a change of PD/PI, please select E : : Incl Incl : Incl 4 4 4 )
Excl: VA PI on current application. Ignore case, spaces, and punctuation on match. the Change of PD/PI box on the PHS 398 Cover Page Supplement form. SF Federal N N Incl: NIH, USU V 2.0 Excl: OT2 Both a resubmission, a summary statement must have been released for the prior grant, unless the prior grant has been withdrawn without a summary statement A Resubmission application cannot be submitted until the Summary Statement for the previous application has been released by the agency. E SF Federal N N Incl: NIH, USU V 2.0 Both For a resubmission, the prior grant must not have been awarded, unless it has been identified as interim funding. A Resubmission application cannot be submitted if a prior version in the same support year has been awarded. E SF Federal N N Incl: NIH, V 2.0 Both For resubmission, if the prior grant suffix code=A1 , display a warning. Matching is performed only on IC and serial number ? NIH and AHRQ policy only allows one resubmission. This application may be returned after internal processing if you have exceeded that limit. The NIH and AHRQ resubmission policy was revised in April 2014 and you may have the option to submit a New application. See: W : Incl : Incl : Incl 4 4 4
VA, USU K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, K76, F99/K00 prior grant doesn’t match last name for PI on current application. Ignore case, spaces, and punctuation on match. grant identified by the Federal Identifier. Existing Rule (added K76, F99/K00) SF Federal N N NIH, CDC, FDA, VA, USU V 2.0 Incl: SB1, UB1 For an SB1 and UB1 “Renewal”application, provide error if there has already been an awarded SB1/UB1 for this grant. Renewal of Commercialization Readiness Phase (SB1/UB1) is not allowed if the first SB1/UB1 is already awarded E New Rule SF Agency Routing 001.7 N SF ID N N Incl : NIH, CDC, FDA, VA, USU V 2.0 Both Required if Type of Submission is a Changed/Corrected Application The Previous Grants.gov Tracking ID is required if the application is marked as ‘Changed/Corrected’. E : : Incl Incl 4 4 4
SF DUNS Y N NIH, CDC, FDA, VA, USU V 2.0 Both Must match the primary DUNS recorded for IPF in Commons. Validate the leftmost 9 characters only, discarding any characters submitted in places 10-13. For comparison purposes, treat trailing zeroes after leftmost 9 characters as blanks. The DUNS provided in the application does not match the DUNS in the eRA Commons Institution Profile. Make sure that the DUNS number on your application matches the DUNS number used in both Grants.gov and the eRA Commons. E SF DUNS N N Incl : NIH, CDC, FDA, VA, USU V 2.0 Both For a revision, provide a warning if it doesn’t represent the same organization as the parent grant, by matching the DUNS provided against the primary DUNS recorded for the organization. The organization associated with the DUNS provided in the application does not match the organization associated with the grant identified by the Federal Identifier. Revision applications are typically submitted for the same organization as the parent grant. W SF DUNS Y N NIH, CDC, FDA, VA, USU V 2.0 Both Provide error if the organization is marked as ‘closed’ in IMPAC II database grant by matching the DUNS provided against the primary DUNS recorded for the organization. The organization associated with the DUNS provided is not active in eRA Commons. Make sure that the DUNS number on your application matches the DUNS number used in both E : : : Incl Incl Incl 4 4 4
Street 1 SF Street 2 001.13 SF City 001.14 SF 001.15 SF State Y Y 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 State Y Y 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 E County/ Parish : : Incl Incl 4 4 4 4 4
State should not be provided for all countries other than the United States. SF Y Y 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 Y Y 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 available>, the Province should not be provided for all countries other than Canada. E SF Y Y 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 Country N N Incl: NIH, CDC, FDA, Incl: SC1, SC2, SC3, S10, S11, S21, S22, 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 : : : Incl Incl Incl 4 4 4 4
VA, USU 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, (added G08, G20) Update to existing rule (removed KM1) Update to Existing Update to existing( added C06, UC6 and G20) Update to existing( Added R50) December 2015 Release
Phone Number SF Person to be Fax Number SF Person to be N N NIH, CDC, FDA, VA, USU V 2.0 Both If e-mail is not provided, display Warning The e-mail address for the Person to Be Contacted was not included. The AOR email address also provided on the SF 424 RR cover page will be used instead. W SF Person to be N N Incl : NIH, CDC, FDA, VA, USU V 2.0 Both Must contain a ‘@’, with at least 1 and at most 64 chars preceding and following the ‘@’. Control characters (ASCII through 31 and 127), spaces and special chars < ( [ ] \ , ; are not valid. The submitted e-mail address for the Person to Be Contacted {0}, is invalid. The AOR email address also provided on the SF 424 RR cover page will be used instead. W SF N N NIH, CDC, FDA, VA, USU V 2.0 Both If <13 characters, provide a warning if it is not either 9 characters or 12 characters (after dashes are removed). The Employer Identification Number should be a length of 9 characters or 12 characters. The application will be accepted by the agency. W SF Contact Contact Contact : : : Incl Incl Incl
SF Type of (other, woman owned, N N Incl : NIH, CDC, FDA, VA, USU V 2.0 Incl: R41, R42, UT1, UT2, R43, R44, U43, U44, SB1, UB1 For an SBIR/STTR application, must be ‘Small Business’. For an SBIR/STTR application, the Type of Applicant must be ‘Small Business’. E SF Type of (other, N N NIH, CDC, FDA, VA, USU 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 Type of (New, Resub, Contin, N N NIH, CDC, FDA, VA, USU 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 : : : Incl Incl Incl Specify
SF Type of (New, Resub, Contin, N N Incl : NIH, CDC, FDA, VA, USU 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, R33, SC2, K76, F99/K00 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 X01) Update to existing (Add C06, UC6, G20) : Incl
January 14, 2016 Release Update to Existing Rule (Added K76, F99/K00) SF Type of (New, Resub, Contin, N N Incl: VA V 2.0 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 Type of (New, Resub, N N NIH, CDC, FDA, V 2.0 Incl: R41, UT1, R43, U43 Renewal is not a valid type of application for Phase I SBIR/ STTR. (Based on program type code and Phase I is indicated on the SBIR/STTR form) A renewal cannot be submitted for this application. E : : Incl Incl
(New, Resub, Contin, FDA, VA, USU V 2.0 DP3, DP4, DP5, UP5 Type of Application is not allowed... SF Type of (New, Resub, Contin, N N Incl: NIH, CDC, FDA, VA, USU V 2.0 Incl: SC1 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 Type of (New, Resub, Contin, N N Incl: NIH, CDC, FDA, VA, USU V 2.0 Incl: SC1 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 Type of (New, Resub, Contin, N N Incl: NIH, CDC, FDA, VA, USU V 2.0 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 : : Incl : Incl Incl
SF Type of (New, Resub, Contin, N N Incl: NIH, CDC, FDA, VA, USU V 2.0 Incl: SB1, UB1 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 Type of Code SF Type of Code Other SF to other SF to : Incl
other (Y/N) SF to other Name of N N Incl NIH, CDC, FDA, VA, USU V 2.0 Both Required if Submitted to Other Agencies is 'Yes'. The name of the Other Agency is required if the Submit to Other Agency selection is ‘Yes’. E SF Name of Federal Agency SF Catalog of Federal Number SF Title 001.40 SF project N N : NIH, CDC, Both Must be later than current date The Proposed Project Start Date) must be E : : Incl Incl
start date FDA, VA, USU V 2.0 later than today's date. SF project ending date N N NIH, CDC, FDA, VA, USU V 2.0 Both Must be later than Project Start Date The Proposed Project Ending must be later than the Proposed Project Start Date. E SF project ending date N N Incl: NIH, USU V 2.0 Both Must be no more than 20 years greater than today’s date. The Proposed Project Ending Date cannot be more than 20 years in the future. E SF project ending date N N Incl: NIH, CDC, FDA, VA, USU V 2.0 = N Incl: R03, R21, R36, UH2 Provide error if project period is more than two years long. The project period for this type of application is limited to two years. E SF project ending date N N Incl: NIH, CDC, FDA, VA, USU V 2.0 = Y Incl: R03, R21, R36, UH2 Provide warning if project period is more than two years long. Be sure that you have complied with the allowable project period limitations for this FOA. Applications that do not comply with these instructions may be delayed or W : : Incl : Incl : Incl Incl
not accepted for review. SF project ending date N N Incl: NIH, CDC, FDA, VA, USU V 2.0 = N Incl: R01, R21/R33, U01, RF1, UF1, K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, R61/R33, DP1, DP2, DP3, DP4, DP5 and UP5, K76, I80 Provide error if project period is more than five years long. The project period for this type of application is limited to five years. E Update to existing rule (added DP1, DP2, DP3, DP4, DP5 and UP5) January 14, 2016 Release, Update to Existing Rule (added K76) SF project ending date N N Incl: NIH, CDC, FDA, V 2.0 Incl: R01, R21/R33, U01, RF1, UF1, K02, Provide warning if project period is more than five years long. Be sure that you have complied with the allowable project period limitations for this FOA. Applications that do not comply with these instructions W Update to existing rule (added DP1, DP5 and UP5) : : Incl Incl
VA, USU = Y K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, R61/R33, DP1, DP5, UP5, K76,I80 may be delayed or not accepted for review. January 14, 2016 Release, Update to Existing Rule (added K76) SF project ending date N N Incl: NIH, CDC, FDA, VA, USU V 2.0 = N Incl: R15, R34, U34, G08, G13, UA5, SC2, SB1, UB1, R44,U44, R42 Return error if project period is more than three 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 Face Page. The project period for this type of application is limited to three years. E Update to existing rule (added G08, G13) Update to existing rule (added SC2) SF project ending date N N Incl: NIH, CDC, FDA, V 2.0 Incl: R15, R34, U34, UA5, G08, Return warning if project period is more than three years long. Define project period by time span between Be sure that you have complied with the allowable project period limitations for this FOA. Applications that do not comply W Update to existing rule (added G08, G13) : : Incl Incl
VA, USU = Y G13 project period start date and project period end date as entered on the SF 424 RR Face Page. with these instructions may be delayed or not accepted for review. SF project ending date N N Incl: NIH, CDC, FDA, VA, USU V 2.0 Incl: T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, T37, K12, D43, D71, U2R, R50 Provide error if project period is more than five 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 five years. E Update to existing rule (removed KM1) Update to existing rule (Added R50) December 2015 Release SF project ending date N N Incl: NIH, CDC, FDA, VA, USU V 2.0 Incl: SC1, SC3 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 The project period is limited to four years. E Sprint 19 : Incl : Incl
entered on the SF 424 RR Cover Page. SF project ending date N N Incl: NIH, CDC, FDA, VA, USU Incl: F99/K00 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 districts of N N : NIH, CDC, FDA, VA, USU 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 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 0 : : Incl Incl
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 db with 00-000. The validation should not fire. SF PD/PI name (prefix,) 001.44 SF PD/PI name ( first name,) N N Incl NIH, CDC, FDA, VA, USU 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 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 W : Incl
embedded punctuation. update it in the eRA Commons. Instructions on updating profile information are available at SF PD/PI name (middle name) 001.46 SF PD/PI name (Last name) 001.47 SF PD/PI name (suffix) SF PD/PI 001.49
SF PD/PI City 001.55 SF PD/PI 001.56 SF PD/PI state Y Y 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 PD/PI state Y Y 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 County/ Parish : : Incl Incl
SF PD/PI Y Y 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 PD/PI Y Y 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 PD/PI Y Y 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 available>, the Province should not be provided for all countries other than Canada. E SF PD/PI country SF PD/PI Y Y 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 E : : : Incl : Incl Incl Incl
FDA, , USU V 2.0 Requested is equal to or more than 500K. Note: Exclude RFAs and FOAs with specific budget limits. to accept assignment from Institute/Center staff, except for RFAs or PAs with budgetary limits. Applications may be delayed or not accepted for review. May 2016 Release, Update to Existing Rule SF Total Federal Funds N N NIH, CDC, FDA, , USU V 2.0 Incl: X01, Provide Error if 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 Total Federal Funds N N NIH, CDC, FDA, USU V 2.0 Incl: C06, UC6, G20 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 Total Federal and Funds N N NIH, CDC, FDA, USU V 2.0 Incl: S21, S22 Provide a warning if zero or null.is provided in Total Federal and Funds The Total Federal and non-Federal Funds should be provided. Be sure to comply with the Funding Opportunity Announcement (FOA) instructions. W New rule SF Total Federal and Funds N N NIH, CDC, FDA, V 2.0 Incl: X01 Provide error if values are entered in total Federal and Funds Requested Total Federal and Non-Federal Funds in the Estimated Project Funding section must be zero E New rule : : Incl : Incl : Incl Incl Non-
USU SF Total Federal and Funds N N NIH, CDC, FDA, USU V 2.0 Incl: C06, UC6, G20 Total Federal and Non-Federal Funds must be non-zero for a C06, UC6 or G20 application. Total Federal and Non-Federal Funds in the Estimated Project Funding section cannot be zero. E New Rule SF Income 001.66 SF Income 001.67 SF Subject to state order review? 001.68 SF Subject to state order review? N N : NIH, CDC, FDA, USU V 2.0 Incl: C06, UC6, G20 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 : : Incl Incl
SF state Y Y 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 state Y Y 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 Y Y 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 Y Y 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 Y Y 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 E : : : Incl : Incl : Incl Incl Incl
is not available>, the Province should not be provided for all countries other than Canada. SF country 001.87 SF code, Y Y 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 code, Y Y 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 phone number 001.89 SF 001.90 : : Incl Incl
fax number SF email Y N V 2.0 Both Must contain a ‘@’. Control characters (ASCII through 31 and 127), spaces and special chars < > ( [ ] \ , ; : are not valid. The submitted email address for the Authorized Representative {0}, is invalid. E SF and date 001.92 SF 001.93 SF Cover Letter N N : NIH, CDC, FDA, VA, USU Incl: K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, Cover letter is required A cover letter must be attached for this application. Please include the names of the referees for this application in the cover letter. E January 14, 2016 Release, Update to Existing Rule (added K76, F99/K00) : Incl
Field Rule# Rule Categories Validation Error Message Comments (Y/N) (Y/N) (Lists FOA Activity Specific Lists Activity Code & to Multi or Both to or (Multi Only) SF 424 MP Type of App) 002.1 SF 424 MP Date 002.2 SF 424 MP 002.3 SF 424 MP Date by State 002.4 SF 424 MP State 002.5 SF 424 MP 002.6 /
SF 424 MP 002.7 SF 424 MP ID 002.8 SF 424 MP DUNS 002.9.1 N N Incl NIH, CDC, FDA, VA, USU Multi DUNS is required The Component Organization DUNs number is required. E SF 424 MP Legal Name N N Incl NIH, CDC, FDA, VA, USU Multi Organization Legal Name is required The Component Organization's Legal Name is required. E SF 424 MP 002.11 SF 424 002.12 : : Incl Incl
MP SF 424 MP Street 1 N N NIH, CDC, FDA, VA, USU Multi Address line 1 is required The Component Organization Street address must be provided. E SF 424 MP Street 2 002.14 SF 424 MP City N N NIH, CDC, FDA, VA, USU Multi City is required The Component Organization City must be provided. E SF 424 MP 002.16 SF 424 Y Y State is required if country is US. For < Person First, Last name or E one one : : : Incl Incl Incl 0 Count
SF 424 MP Y Y 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 MP N N NIH, CDC, FDA, VA, USU Multi Country is required The Component Organization Country is required. E SF 424 MP Zip Code Y Y 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 MP Zip Code Y Y 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 to be 002.21 one : : : Incl : Incl Incl Incl 0 0 0 0
MP Title SF 424 MP to be Street 1 N N NIH, CDC, FDA, VA, USU Multi Address line 1 is required For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the first line of address is required.. E SF 424 MP to be Street 2 002.28 SF 424 MP to be City N N NIH, CDC, FDA, VA, USU 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 MP to be 002.30 SF 424 to Y Y Multi State is required if country is US. For < Person First, Last name or E : : : Incl Incl Incl one one Count 0 0
MP be State Organization name, or DUNS if Org name is not available>, the State must be supplied for US addresses. SF 424 MP to be State Y Y 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 MP to be Y Y 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 MP to be Y Y 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 to be Y Y 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 E : : : Incl : Incl Incl Incl one one one one one 0 0 0 0 0
MP is not available>, the Province is not a valid province name. SF 424 MP to be N N NIH, CDC, FDA, VA, USU Multi Country is required The Component Person to be contacted Country is required. E SF 424 MP to be ZIP Code Y Y 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 MP to be ZIP Code Y Y 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 MP to be Phone N N NIH, CDC, FDA, Multi Phone Number is required The Component Person to be contacted Phone number is required. E : : : Incl : Incl Incl Incl one one one one 0
VA, USU SF 424 MP to be Fax 002.36 SF 424 MP to be e-mail 002.37 SF 424 MP to be e-mail 002.38 SF 424 MP 002.39 SF 424 MP Type of (other, 002.40 owned
SF 424 MP Title N N : NIH, CDC, FDA, VA, USU Multi Project Title is required. The Component Project Title is required. E SF 424 MP project start date N N NIH, CDC, FDA, VA, USU Multi Start date is required The Component Proposed Project Start Date is required E SF 424 MP project start date N N NIH, CDC, FDA, VA, USU Multi Must be later than current date The Component Proposed Project Start Date must be later than today's date. E SF 424 MP project start date N N NIH, CDC, FDA, VA, USU 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 N N Incl : NIH, Multi End date is required The Component Proposed Project E : : : Incl : Incl : Incl Incl Incl one one one one
MP project ending date CDC, FDA, VA, USU Ending Date is required. SF 424 MP project ending date N N : NIH, CDC, FDA, VA, USU Multi Must be later than Project Start Date The Component Proposed Project Ending Date must be later than the Proposed Project Start Date. E SF 424 MP project ending date N N NIH, CDC, FDA, VA, USU Multi Must be no more than 20 years greater than today’s date. The Component Proposed Project Ending Date cannot be more than 20 years in the future. E SF 424 MP project ending date N N NIH, CDC, FDA, VA, USU Multi Y Must be equal or before the proposed ending date of the Overall The Component Proposed Project End Date must be equal to or before the Proposed End Date of the Overall component. E SF 424 MP of 002.52 : : : Incl Incl Incl one one one one
SF 424 MP PD/PI name 002.53 SF 424 MP PD/PI name ( first 002.54 SF 424 MP PD/PI name name) 002.55 SF 424 MP PD/PI name (Last name) 002.56
SF 424 MP PD/PI name (suffix) 002.57 SF 424 MP PD/PI 002.58 SF 424 MP PD/PI 002.59 SF 424 MP PD/PI Name 002.60 SF 424 MP PD/PI 002.61
SF 424 MP PD/PI 002.62 SF 424 MP PD/PI Street 1 002.63 SF 424 MP PD/PI Street 2 002.64 SF 424 MP PD/PI City 002.65 SF 424 MP PD/PI 002.66 Count
SF 424 MP PD/PI fax 002.72 SF 424 MP PD/PI email 002.73 SF 424 MP Total Funds 002.74 SF 424 MP Total and Funds 002.75 SF 424 MP 002.76 SF 424 to state 002.77
MP order SF 424 MP State order review date 002.78 SF 424 MP and 002.79 SF 424 MP SFLLL or Other 002.80 SF 424 MP prefix 002.81 SF 424 002.82
SF 424 MP 002.88 SF 424 MP 002.89 SF 424 MP street 1 002.90 SF 424 MP street 2 002.91 SF 424 MP city 002.92 SF 424 002.93
Form Field Rule# Rule Categories Validation Error Message Error/ (Y/N) (Y/N) Agency Specific (Lists Form FOA Activity Specific Lists Activity Code & to Single Multi or Both Applies to Overall, Other or Both Cross (Multi Project Only) Project/ Site (R&R) I am submitting an application as an individual, and not on behalf of a company, state, local or tribal academia, or other type of 003.1 Project/ Site (R&R) Primary Location, Name N N Incl : NIH, USU Incl: V 2.0 Both Both Primary Location Name is required The Organization Name for the Primary Location for <DUNS (if available)> is required. E Project/ Site (R&R) Primary Location, DUNS Number N N Incl NIH, USU Incl: V 2.0 Both Both Primary Location DUNS is required The DUNS Number for the Primary Location for <Organization name (if available)> is required. E Project/ Site (R&R) Primary Location, Street 1 003.4 Project/ Site (R&R) Primary Location, Street 2 003.5 Share
Project/ Site (R&R) Primary Location, City 003.6 Project/ Site (R&R) Primary Location, 003.7 Project/ Site (R&R) Primary Location, State 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 Project/ Site (R&R) Primary Location, State 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/ Site (R&R) Primary Location, Province 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 DUNS if Org name is not available>, the Province is not a E
Site (R&R) application as an individual, and not on behalf of a company, state, local or tribal academia, or other type of Project/ Site (R&R) Location 1, Name 003.14 Project/ Site (R&R) Location 1, DUNS Number 003.15 Project/ Site (R&R) Location 1, Street 1 003.16 Project/ Site (R&R) Location x, Street 2 003.17 Project/ Site (R&R) Location 1, City 003.18 Project/ Site (R&R) Location 1, 003.19 Project/ Location x, State Y Y Incl; V2.0 Both Both State is required if For < Person First, Last name or Organization E
Site (R&R) country is US. name, or DUNS if Org name is not available>, the State must be supplied for US addresses. Project/ Site (R&R) Location x, State 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/ Site (R&R) Location x, Province Y Y Incl; V2.0 Both Both If Country is Canada and province name can’t be 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/ Site (R&R) Location x, Province 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/ Site (R&R) Location x, Province 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/ Site (R&R) Location x, Zip code 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/ Site (R&R) Location x, Zip code 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 name is not available>, a 9 digit ZIP Code must be supplied for US addresses. E Project/ Site (R&R) Location x, Country 003.23 Project/ Site (R&R) Location 1, District 003.24 Project/ Site (R&R) Additional Location(s) N N Incl: NIH, USU Incl; V2.0 Both Both Provide error if Additional Location(s) An Additional Location(s) attachment may be submitted only E
Other Project Information Form Field Rule# Rule Categories Validation Error Message (Y/N) (Lists FOA Lists Code & to Multi or Both Applies to Overall, Other or Both Cross (Multi Project Only) and Other Project Human Subjects Involved? N N Incl NIH, CDC, FDA, VA, USU 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 and Other Project Human Subjects Involved? N N : NIH, CDC, FDA, VA, USU Incl: V1.3 Both Overall 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 and Other Project Human Subjects Involved? N N Incl : NIH, CDC, FDA, VA, USU 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 and Other Project Human Subjects Involved? N N Incl NIH, CDC, FDA, VA, USU Incl: V1.3 Both Overall 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 The Human Subject Assurance Number may be requested later as part of the eRA Commons Just In Time (JIT) process. W / AHRQ AHRQ AHRQ AHRQ
Assurance Number is not provided. and Other Project Human Subjects Involved? N N : NIH, CDC, FDA, VA, USU Incl: V1.3 Multi Overall 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 and Other Project Human Subjects Involved? N N Incl : NIH, CDC, FDA, VA, USU Incl: V1.3 Multi Overall 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 and Other Project Human Subjects Involved? N N Incl NIH, CDC, FDA, VA, USU Incl: V1.3 Multi Overall 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 AHRQ AHRQ AHRQ
and Other Project Human Subjects Involved? N N : NIH, CDC, FDA, VA, USU Incl: V1.3 Incl: S10, S21, S22, Provide warning if Human Subject is true. The answer to the Human Subjects Involved should be ‘No’ for this application. W New rule and Other Project Human Subjects Involved? N N Incl : NIH, CDC, FDA, VA, USU Incl: V1.3 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 and Other Project Project Exempt from Federal Regulations N N Incl NIH, CDC, FDA, VA, USU 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 and Other Project Exemption number 1-6 N N : NIH, CDC, FDA, VA, USU 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 AHRQ AHRQ AHRQ AHRQ
and Other Project Exemption number 1-6 N N Incl NIH, CDC, FDA, VA, USU Incl: V1.3 Multi Overall Y Tigger error for new and renewal applications, if E4 is the only exemption selection in the Overall Do not trigger rule: If the Overall has a selection of E4 AND an additional exemption. 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 Jan 2017 Release. Rule trigger updated and Other Project Exemption number 1-6 N N Incl : NIH, CDC, FDA, VA, USU Incl: V1.3 Multi Overall 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 is typically not allowed on the Overall component unless exemption is selected for all components that include Human Subjects. W and Other Project Exemption number 1-6 N N Incl: NIH, CDC, FDA, USU Excl: T15, T32, T34, T35, T36, K12, T37, D71, D43, U2R, T01, T02, Both Provide warning if applicant selected Yes to Human subjects with an Exemption Number not equal to ‘4’ on the Research & Related Other Project Information form, but has not selected either the PHS Inclusion Enrollment Report with an You have answered "Yes" to the Human Subjects Involved question on the Research & Related Other Project Information form, but have not included either a PHS Inclusion Enrollment Report with an Enrollment Type = W New Rule, as part of Forms D. Sprint 29, B-03610. Needs to be in UAT on February 19th and AHRQ AHRQ AHRQ
T03, T14, T42, T90, TU2, S10, C06, UC6, G20, X02, OT1, X01, I01, IP1 , IU1, IS1, I21, I34, I50, IK1, IK2, IK3, IK4, IK5, IK6 Enrollment Type = "Planned" or PHS Inclusion Enrollment Report with Delayed Onset = “Yes” as part of the application NOTE: Training Component of a Complex should be excluded from this rule. "Planned" or a PHS Inclusion Enrollment Report with Delayed Onset = Yes as part of the application in on March 11th Updated Trigger and message (May 2016 Release) and Other Project Exemption number 1-6 N N Incl: NIH, CDC, FDA, USU Incl: V1.3 Excl: T15, T32, T34, T35, T36, K12, T37, D71, D43, U2R, T01, T02, T03, 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 May 2016 Release AHRQ
T14, T42, T90, TU2, S10, C06, UC6, G20, X02, OT1, X01, I01, IP1 IU1, IS1, I21, I34, I50, IK1, IK2, IK3, IK4, IK5, IK6 and Other Project IRB review pending? N N NIH, CDC, FDA, VA, USU Incl: V1.3 Both Overall If IRB review pending? Is false and project exempt from regulation is No, IRB approval date and Human subject assurance number cannot be blank. If the answer to ‘IRB Review Pending’ question is ‘No’, the IRB Approval Date and Human Subject Assurance Number must be provided. E and IRB approval date AHRQ
and Other Project Vertebrate animals used? N N NIH, CDC, FDA, VA, USU Incl: V1.3 Multi Overall Y If Vertebrate animals used is Yes on any component of the application and the Overall Vertebrate animals used is No, provide Error If Vertebrate animals used is "Yes" on any component of the application, then "Yes" must be selected for the Overall component E and Other Project Vertebrate animals used? N N Incl : NIH, CDC, FDA, VA, USU Incl: V1.3 Multi Overall 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 and Other Project Vertebrate animals used? N N NIH, CDC, FDA, VA, USU Incl: V1.3 Multi Overall 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 AHRQ AHRQ AHRQ
and Other Project Animal Welfare Assurance Number N N Incl NIH, CDC, FDA, VA, USU Incl: V1.3 Both Overall Provide a warning if Vertebrate Animals Used Question is false and the Assurance number is provided. When Vertebrate Animals is “No”, the Animal Welfare Assurance Number does not apply. W and Other Project Animal Welfare Assurance Number N N : NIH, CDC, FDA, VA, USU Incl: V1.3 Both Overall Provide warning if Animal Assurance Number entered on the grant application does not match at least one of Animal Assurance Numbers recorded for the organization. Animal Assurance Number that starts with ‘X’ shall not be validated. Should be match using only digits by stripping dashes and should not be case sensitive. Do not validate if data entry is ‘None’ Animal Assurance Number entered on your grant application does not correspond to a valid Animal Assurance Number for your Organization’s eRA institutional profile. Please check the OLAW website’s list of approved Assurances at . OLAW is transitioning to a new Assurance Number format. You can use the old or the new format for your application. If you do not have a valid Assurance Number, your application will continue to be processed. W AHRQ AHRQ
and Other Project Exemption Indicator, If yes, please explain N N Incl NIH, CDC, FDA, VA, USU 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 and Other Project Site a historic place? and Other Project Site a historic place, If yes, please explain N N : NIH, CDC, FDA, VA, USU 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 and Other Activities outside of US? N N Incl : NIH, CDC, FDA, Incl: V1.3 Multi Overall 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" E AHRQ AHRQ AHRQ
Project VA, USU must be selected for the Overall component. and Other Project Activities outside of US? N N Incl NIH, CDC, FDA, VA, USU Incl: V1.3 Multi Overall Y For New and Renewal applications, If Activities Outside of US is No on all components of the application and the Overall Activities Outside of US is Yes, provide Error If 'This Project involve activities outside of US' is "No" on all components of the application, then "No" must be selected for the Overall component. E and Other Project Activities outside of US? N N : NIH, CDC, FDA, VA, USU Incl: V1.3 Multi Overall Y For Revision and Resubmission applications, If Activities Outside the US is No on all components of the application and the Overall if Activities Outside the US is Yes, provide Warning Answering ‘Yes’ to Activities Outside the US on the Overall component and ‘No’ on all other components is typically not allowed unless your Revision application (or Resubmission of a Revision) does not include the components that the Activities Outside the US. W and Other Project Identify Countries N N Incl : NIH, CDC, FDA, VA, USU Incl: V1.3 Both Both A list of countries is required if Activities outside of US is Yes Enter the countries with which international cooperative activities are involved. E AHRQ AHRQ AHRQ
and Other Project Optional explanation and Other Project Project N N Incl NIH, CDC, FDA, VA, USU Incl: V1.3 Both Both Attachment is required The Project Summary/Abstract attachment is required. E and Other Project Project N N : NIH, CDC, FDA, USU Incl: V1.3 Both Both Attachment is limited to page The Project Summary/Abstract is limited to 30 lines of text. E and Other Project Project N N VA Incl: V1.3 Both Attachment is limited to 40 lines of text The Project Summary/Abstract is limited to one (1) page and forty (40) lines of text. E Feburary 2017 Update to existing rule AHRQ AHRQ
and Other Project Project Narrative N N Incl : NIH, CDC, FDA, VA, USU Incl: V1.3 Both Overall Attachment is required The Project Narrative attachment is required. E and Other Project Project Narrative N N Incl NIH, CDC, FDA, VA, USU 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 and Other Project and References Cited N N : NIH, USU 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 and Other and References Cited N N Incl: VA Incl: V1.3 For VA applications, provide error if Bibliography and The Bibliography and References attachment on the Other Project Information is limited to pages. E AHRQ AHRQ 2.1
Other Project VA, USU and Other Project Other N N Incl NIH, CDC, FDA, VA, USU 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 and Other Project Other N N Incl: VA Incl: V1.3 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 and Other Project Other N N Incl: VA Incl: V1.3 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 AHRQ AHRQ
and Other Project Other N N Incl: VA Incl: V1.3 Incl: For VA applications and activity code is I01 or IK3 where a file named 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 Update to Existing rule (Added Activity code IK3) October 2016 Release and Other Project Other N N Incl: VA Incl: V1.3 Excl: IK6 IS1 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 and Other Project Other N N Incl: VA Incl: V1.3 Incl: IK6 E For VA applications and activity code is IK6, where a file named has been submitted, it cannot be greater than pages. The Research Plan, submitted as an Other Attachment on the Other Project Information page, is limited to 7 pages. and Other Project Other N N Incl: VA Incl: V1.3 Incl: IK6 IS1 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
Other Project has been submitted, it cannot be greater than 24 pages page, is limited to 24 pages. October 2016 Release and Other Project Other N N Incl: VA Incl: V1.3 For VA applications, require the submission of a file named A Research Plan is required for this application. Please submit it as an ‘Other Attachment’ on the Other Project Information page, titled E and Other Project Other N N Incl: VA Incl: V1.3 For VA applications where Type of Application is ‘Renewal’, a file named 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 E and Other Project Other N N Incl: VA Incl: V1.3 For VA applications where Human Subjects is ‘Y’, a file named 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 E
and Other Project Other N N Incl: VA Incl: V1.3 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 and Other Project Other N N Incl: VA Incl: V1.3 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 and Other Project Other N N Incl: VA Incl: V1.3 Incl: I01, IP1, I50, 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 and Other Project Other N N Incl: VA Incl: V1.3 For VA applications, a file named is required A signed and dated letter from the VA Medical Center Director is required for this application. Please submit it as an 'Other Attachment' on the E
Other Project Information page, titled and Other Project Other N N Incl: VA Incl: V1.3 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 Rule Disabled October 2016 release and Other Project Other N N Incl: VA Incl: V1.3 Incl: is IK1, I21, I34 For VA applications and activity code is IK1, I21, or I34 where a file named has been submitted, it cannot be greater than 9 pages. The Research Plan, submitted as an Other Attachment on the Other Project Information page, is limited to 9 pages. E and Other Project Other N N Incl: VA Incl: V1.3 Incl: 'IK2', For VA applications and activity code is 'IK2', where a file named has been submitted, it cannot be greater than 19 pages The Research Plan, submitted as an Other Attachment on the Other Project Information page, is limited to 19 pages E and Other Other N N Incl: VA Incl: V1.3 Incl: IK5 For VA applications and activity code is IK5 where a file named has been submitted, The Research Plan, submitted as an Other Attachment on the Other Project Information E
Project it cannot be greater than pages page, is limited to pages and Other Project Other N N Incl: VA Incl: V1.3 For VA applications where a file named ‘01_VA_Intro.pdf’ has been submitted for a resubmission, it cannot be greater than 3 pages The Introduction for a resubmission, submitted as an Other Attachment on the Other Project Information page, is limited to three pages. E and Other Project Other N N Incl: VA Incl: V1.3 For applications in response to VA announcements, provide warning if any attachment file names are not provided in one of the following formats: 01_VA_Intro.pdf 05_VA_Animals.pdf 06_VA_Multiple_PI.pdf 07_VA_Agreements.pdf An attachment submitted as an ‘Other Attachment’ on the Other Project Information page has the name ‘<file name>’. This is not a valid name for this attachment. Please refer to the FOA for the list of valid file names to be submitted as an ‘Other Attachment’. The application will be processed, but concerns may be raised during review of the application. W Logic updated to in validation.
warning will not stop your application from being received and processed and will not affect its peer review. However, you will be required to submit the SBA registration confirmation prior to award. and Other Project Other N N NIH, CDC, FDA, VA, USU V 1.3 Incl: S10 Provide error if at least one attachment has not been included. The Instrumentation Plan is required to be submitted as an ‘Other Attachment’ for this application. E New rule and Other Project Other N N Incl : NIH, CDC, FDA, VA, USU V 1.3 Incl: F30, F31 For F30 and F31 applications provide a Warning if a file named like is not attached. The pdf named ‘Additional Educational Information.pdf’ required by the funding opportunity announcement was not found in the Other Attachments section of the R&R Other Project Information Form. Failure to include this document (or this W New rule Rule disabled on 07/28/2016 : : Incl Incl
document attached under a different filename) will result in your application being flagged as incomplete during manual validations and your application will not move forward for review. and Other Project Other N N Incl: VA V 1.3 Excl: IK1, IK3, IK6 and IS1 For VA applications, a file named '09_VA_DMAP.pdf' is required. A completed VA Data Management and Access Plan (DMAP) is required for this application. Please submit it as an 'Other Attachment' on the Other Project Information page, titled '09_VA_DMAP.pdf'. E New Rule Senior/Key Person Profile : Incl
Form Field Rule# Rule Categories Validation Error Message Error/ (Y/N) (Lists FOA Activity Lists Activity Code & to Multi or Both to or Both Research and Related Senior/Key Person Profile PD/PI Profile, Prefix 005.1 Research and Related Senior/Key Person Profile PD/PI Profile, First Name 005.2 Research and Related Senior/Key Person Profile PD/PI Profile, Middle Name 005.3 Research and Related Senior/Key Person Profile PD/PI Profile, Last Name 005.4 (Expanded Only
Research and Related Senior/Key Person Profile PD/PI Profile, Suffix 005.5.1 Research and Related Senior/Key Person Profile PD/PI Profile, 005.6 Research and Related Senior/Key Person Profile PD/PI Profile, 005.7 Research and Related Senior/Key Person PD/PI Profile, Name 005.8.1 N N Incl : NIH, CDC, FDA, Incl: V2.0 Both Both Organization name is required The organization name for Key Person <Key Person First E
Profile VA, USU Name Last Name> must be provided. Research and Related Senior/Key Person Profile PD/PI Profile, Division 005.9 Research and Related Senior/Key Person Profile PD/PI Profile, Street 1 005.10 Research and Related Senior/Key Person Profile PD/PI Profile, Street 2 005.11 Research and Related Senior/Key PD/PI Profile, City 005.12
Person Profile Research and Related Senior/Key Person Profile PD/PI Profile, 005.13 Research and Related Senior/Key Person Profile 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 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 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 Research and Related Senior/Key Person Profile 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 PD/PI Profile, Country 005.16
Person Profile Org Primary DUNs) submitting the application and have the PI role either not affiliated with the applicant organization or does not hold the PI role. Check with your Commons Account Administrator to make sure your account affiliation and roles are set-up correctly May 2017 Release Research and Related Senior/Key Person Profile PD/PI Profile, credential 005.21.4 N N NIH, CDC, FDA, VA, USU Incl: V2.0 Both 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 name that is submitted for the PI on the current application, provide the indicated warning. 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 Research and Related Senior/Key Person Profile PD/PI Profile, credential 005.21.5 N N Incl : NIH, CDC, FDA, VA, USU Incl: V2.0 Both For a revision, the PI should be assigned to the parent grant. If neither the profile nor the last name match, provide the indicated warning. 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 all all
Research and Related Senior/Key Person Profile PD/PI Profile, credential 005.21.8 N N Incl NIH, CDC, FDA, VA, USU Incl: V2.0 Multi Credential must be specified for component lead in PD/PI section regardless of the project role specified A Commons account must be provided in the Credential field for <Last Name, First Name> listed in the Project Director/Principal Investigator section of the Sr/Key Person Profile form. E Research and Related Senior/Key Person Profile PD/PI Profile, credential 005.21.9 N N NIH, CDC, FDA, VA, USU 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 PD/PI Profile, credential N N NIH, CDC, FDA, VA Incl: V2.0 For Diversity Admin Supplement (Type 3), all snr/key persons should have valid credentials The eRA Commons Username <Credential> provided for <First name> <Last name> is not a recognized eRA Commons account. E New Rule Research and Related Senior/Key Person Profile PD/PI Profile, project role 005.22.1 N N NIH, CDC, FDA, Incl: V2.0 Both 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 E all
Profile Research and Related Senior/Key Person Profile PD/PI Profile, Biosketch 005.26.2 N N NIH, CDC, FDA, VA, USU 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 PD/PI Profile, Biosketch 005.26.3 N N NIH, CDC, FDA, VA, USU Incl: V2.0 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 PD/PI Profile, Current & Pending Support 005.27.1 N N NIH, CDC, FDA, VA, USU Incl: V2.0 Incl: DP1, DP2, DP4 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 Profile, senior/ key 005.28
Person Profile person x, Prefix Research and Related Senior/Key Person Profile Profile, senior/ key person x, First Name 005.29.1 N N NIH, CDC, FDA, VA, USU Incl: V2.0 Incl: DP1, DP2, DP4, DP5, UP5 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 Person Profile Profile, senior/ key person x, Middle Name 005.30 Research and Related Senior/Key Person Profile Profile, senior/ key person x, Last Name 005.31.1 N N : NIH, CDC, FDA, VA, USU Incl: V2.0 Both Both If the name provided and credential provided (and Commons account is recognized), provide warning if last name and first name on account don’t match provided name. Comparison to ignore case and embedded spaces, The name provided for Key Person <submitted first name last name> on the Senior/Key Person page does not match the eRA Commons account name (<Commons profile first name last name>) provided in the credential. The application image will W
Senior/Key Person Profile person x, Research and Related Senior/Key Person Profile Profile, senior/ key person x, 005.34 Research and Related Senior/Key Person Profile Profile, senior/ key person x, Name 005.35.1 N N : NIH, CDC, FDA, VA, USU Incl: V2.0 Both Both Organization name is required The organization name for Key Person <Key Person First Name Last Name> must be provided. E Research and Related Senior/Key Person Profile Profile, senior/ key person x, Division 005.36 Research and Profile, senior/ 005.37
Related Senior/Key Person Profile key person x, Street 1 Research and Related Senior/Key Person Profile Profile, senior/ key person x, Street 2 005.38 Research and Related Senior/Key Person Profile Profile, senior/ key person x, City 005.39 Research and Related Senior/Key Person Profile Profile, senior/ key person x, 005.40
Research and Related Senior/Key Person Profile 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 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 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 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 Related Senior/Key Person Profile Profile, senior/ key person x, Province 005.42.3 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 Research and Related Senior/Key Person Profile Profile, senior/ key person x, Country 005.43 Research and Related Senior/Key Person Profile Profile, senior/ key person x, ZIP/Postal Code 005.44.1 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, senior/ key person x, 005.44.2 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 E
Profile ZIP/Postal Code be supplied for US addresses. Research and Related Senior/Key Person Profile Profile, senior/ key person x, Phone Number 005.45 Research and Related Senior/Key Person Profile PDProfile, senior/ key person x, /PI Fax Number 005.46 Research and Related Senior/Key Person Profile Profile, senior/ key person x, Email 005.47 Research and Related Senior/Key Profile, senior/ key 005.48.1 N N Incl NIH, CDC, FDA, Incl: V 2.0 Both Credential must be specified if project role is ‘PD/PI’. The eRA Commons Username has not been specified in the ‘Credential’ field on the Senior/Key Person E all
Person Profile person x, credential VA, USU page for PD/PI <First Name Last Name> Research and Related Senior/Key Person Profile Profile, senior/ key person x, credential 005.48.2 N N : NIH, CDC, FDA, VA, USU Incl: V 2.0 Both If credential is specified for a key person with a project role of PD/PI, the Commons account must have a PI role associated with it (may have other roles as well). The Commons account provided for <Last Name, First Name> must have a ‘PI’ role since the PD/PI role is specified on the form. E Research and Related Senior/Key Person Profile Profile, senior/ key person x, credential 005.48.3 N N Incl NIH, CDC, FDA, VA, USU Incl: V 2.0 Both Provide errors if matching Senior Key Person Profile or PD/PI Profile Credentials are entered on the same component. The same Senior/key individual has been listed more than once on the Snr/Key Person Profile form. Senior/key individuals should be listed once on the Snr/Key Person Profile form. Specifically: <Last name, First name>; <Last name, First name>; .. E Research and Related Senior/Key Person Profile Profile, senior/ key person x, credential 005.48.4 N N : NIH, CDC, FDA, VA, USU Incl: V2.0 Incl: F05, F30, F31, F37, F38, FI2, 777, For Fellowship applications, credential is required for the key person with a role of ‘Other’ or ‘Other Professional’ and a project role category of ‘Sponsor’. The eRA Commons Username must be submitted using the Credential field for ‘Sponsor’ <First Name> <Last Name> E Sprint 19 Update to Existing ( Added Type 7) all all
January 14, 2016 Release, Update to Existing Rule (added F99/K00) Research and Related Senior/Key Person Profile Profile, senior/ key person x, credential 005.48.5 N N Incl NIH, CDC, FDA, VA, USU Incl: V2.0 Incl: F05, F30, F31, F37, F38, FI2, 777, For Fellowship applications, for the key person with a role of ‘Other’ or ‘Other Professional’ and a project role category of ‘Sponsor’, the credential specified must be a valid Commons account. The eRA Commons Username <Credential> in the Credential for ‘Sponsor’ <First name> <Last name> is not a recognized eRA Commons account. E Update to Existing ( Added Type 7) January 14, 2016 Release, Update to Existing Rule (added F99/K00) Research and Related Senior/Key Person Profile Profile, senior/ key person x, credential 005.48.6 N N : NIH, CDC, FDA, VA, USU Incl: V2.0 Incl: F05, F30, F31, F37, F38, FI2, 777, For Fellowship applications, for the key person with a role of ‘Other’ or ‘Other Professional’ and a project role category of ‘Sponsor’, Provide a warning if the The eRA Commons Username <Credential> in the Credential for ‘Sponsor’ <First name> <Last name> does not have a sponsor role associated with it. Please work with your eRA Commons account administrator W Update to Existing( Added Type 7) January 14, 2016
Commons account does not have a sponsor role associated with it. to add the Sponsor role to the account. No change to the application is needed. Release, Update to Existing Rule (added F99/K00) Research and Related Senior/Key Person Profile Profile, senior/ key person x, credential 005.48.7 N N Incl NIH, CDC, FDA, VA, USU Incl: V2.0 Both Both Provide warning if invalid credentials are provided for snr/Key person with other project role than PD/PI The eRA Commons Username <Credential> in the Credential for Senior Key Person <First name> <Last name> is not a recognized eRA Commons account. W New rule Research and Related Senior/Key Person Profile Profile, senior/ key person x, credential 005.48.8 N N : NIH, CDC, FDA, VA, USU Incl: V2.0 Both Both Provide error if credentials provided is greater than 30 characters The eRA Commons Username <Credential> in the Credential for Senior Key Person <First name> <Last name> exceeds the allowable limit of 30 characters. E New rule Research and Related Senior/Key Person Profile Profile, senior/ key person x, credential 005.48.9 N N Incl NIH, CDC, FDA, VA, USU Incl: V2.0 For Diversity Admin Supplement (Type 3), all Senior Key Persons should have valid credentials Note: Credentials is required and should be valid The eRA Commons Username <Credential> provided for <First name> <Last name> is not a recognized eRA Commons Account E Research and Profile, senior key N N Incl: NIH, Incl: v2.0 Incl: K01, Provide warning if commons ID is not A Commons Account should be provided in W New Rule,
Related Senior/Key Person Profile person x, credential CDC, FDA, VA, USU K07, K08, K22, K23, K26, K43, K76, K99 provided for the SnrKey person with a project role of ‘Other’ or ‘Other Professional’ and other project role category of ‘Mentor’ the Credential Field for <Last Name, First Name> listed as the Mentor for this application Sprint 32 SVS-112 Research and Related Senior/Key Person Profile Profile, senior/ key person x, project role 005.49.1 N N : NIH, CDC, FDA, VA, USU Incl: V 2.0 Both Both Provide a warning if the ‘Co-PI’ role has been indicated The role of Co-PD/PI, indicated for Senior/Key Person <First Name Last Name> on the Senior/Key Person page, is not used by NIH to designate multiple PD/PIs. For multiple Principal Investigators use the PD/PI role. W Research and Related Senior/Key Person Profile Profile, senior/ key person x, project role 005.49.2 N N Incl NIH, CDC, FDA, VA, USU Incl: V 2.0 Multi If PD/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 Profile, senior/ key person x, project role 005.49.3 N N NIH, CDC, FDA, VA, USU Incl: SC1, SC2, SC3, C06, UC6, G20 K02, K05, K24, Provide an error if the project role is ‘PD/PI’. Multiple PD/PIs cannot be included in this application. E Test only ( test addition of SC1, SC2, SC3) Update to Existing(
K26, K01, K07, K08, K18, K22, K23, K25, K99, . R50, K76, Added C06, UC6, G20) Update to existing (Added R50) 2015 Release January 14, 2016, Release Update to Existing Rule (added K76, F99/K00) Research and Related Senior/Key Person Profile Profile, senior/ key person x, project role 005.49.4 N N Incl NIH, CDC, FDA, VA, USU Incl: R36, SC2 Provide error if there is not at least 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 Profile, senior/ key 005.49.5 N N Incl: VA, USU Incl: V2.0 Incl: IK1, IK2, IK3, For VA applications and activity code is IK1, IK2, IK3, IK4IK5, IK6 or I21 For Pilot Project or Career Development mechanisms, applications that E
Degree Type Research and Related Senior/Key Person Profile Profile, senior/ key person x, Degree Year 005.52 Research and Related Senior/Key Person Profile Profile, senior/ key person x, Biosketch 005.53.2 N N NIH, CDC, FDA, VA, USU 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 Profile, senior/ key person x, Biosketch 005.53.3 N N NIH, CDC, FDA, VA, USU Incl: V 2.0 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, senior/ key person x, Current & 005.54
Profile Pending Support Research and Related Senior/Key Person Profile Additional Person Profile(s) 005.55.1 N N NIH, USU Incl: V 2.0 Both Both Provide error if Additional Senior/Key Person Profile(s) attachment is provided and less than 100 senior/key person (including PD/PI) have been entered on the Sr Key Person Profile An Additional Senior/Key Person Profile(s) attachment may be submitted only if 100 senior/key person (including PD/PI) have been entered on the Sr Key Person Profile. E Research and Related Senior/Key Person Profile Additional Person Profile(s) 005.55.4 N N NIH, CDC, FDA, VA, USU Incl: V 2.0 Incl: DP1, DP2, DP4, DP5, UP5 Provide error if Additional Snr/Key is included The Additional Senior/Key Person Profiles attachment cannot be included. E New rule Research and Related Senior/Key Person Profile Additional 005.55.2 N N NIH, USU Incl: V 2.0 Both Both Provide error if Additional Biographical Sketch(es) attachment is provided and less than 100 senior/key person (including PD/PI) have been entered on the Sr Key Person Profile An Additional Biographical Sketch(es) attachment may be submitted only if 100 senior/key person (including PD/PI) have been entered on the Sr Key Person Profile. E
Research and Related Senior/Key Person Profile Additional 005.55.5 N N Incl: NIH, CDC, FDA, VA, USU Incl: V 2.0 Incl: DP1, DP2, DP4, DP5, UP5 Provide error if Additional Biosketches is included The Additional Senior/Key Person Biosketch attachment cannot be included.. E New rule Research and Related Senior/Key Person Profile Additional Current and Pending Support(s) 005.55.3 N N NIH, USU Incl: V 2.0 Both Both Provide error if Additional Current and Pending Support(s) attachment is provided and less than 100 senior/key person (including PD/PI) have been entered on the Sr Key Person Profile An Additional Current and Pending Support(s) attachment may be submitted only if 100 senior/key person (including PD/PI) have been entered on the Sr Key Person Profile. E Research and Related Senior/Key Person Profile Additional Current and Pending Support(s) 005.55.6 N N Incl: NIH, CDC, FDA, VA, USU Incl: V 2.0 Incl: DP1, DP2, DP4, DP5, UP5 Provide error if Additional Person Current and Pending Support is included The Additional Senior/Key Person Current and Pending Support attachment cannot be included. E New rule
Cover Page Supplement Form Field Rule Categories Validation Error Message (Y/N) (Y/N) (Lists Activity Specific Lists Activity Code & to Multi or Both to or Both PHS 398 Cover Page PD/PI (prefix, first, middle, last, suffix) PHS 398 Cover Page Human Subjects Clinical Trial (Y/N) N N : NIH, CDC, FDA, AHRQ, USU 4.0 and 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 Forms D, March 2016 Release PHS 398 Cover Page Human Subjects Clinical Trial (Y/N) N N NIH, CDC, FDA, AHRQ, USU 4.0 and 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 Forms D, March 2016 Release PHS 398 Cover Page Human Subjects Clinical Trial (Y/N) N N NIH, CDC, FDA, AHRQ, USU 4.0 and Multi Y If Human Subjects Clinical Trial is Yes on any component of the application and the Overall if The Human Subjects Clinical Trial question on the Overall Component must be marked as "Yes", in order for any Human E Defined all
Human Subjects Clinical Trial is No, provide Error Subjects Clinical Trial question in any component to be marked as "Yes". PHS 398 Cover Page Human Subjects Clinical Trial (Y/N) N N Incl NIH, CDC, FDA, AHRQ, USU 4.0 and Multi 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 PHS 398 Cover Page Human Subjects Clinical Trial (Y/N) N N NIH, CDC, FDA, AHRQ, USU 4.0 and Multi Y For Revision and Resubmission applications, If Clinical Trial is No on all components of the application and the Overall Clinical Trial is Yes, provide Warning Answering ‘Yes’ to Clinical Trial on the Overall component and ‘No’ to Clinical Trial on all other components is typically not allowed unless your Revision application (or Resubmission of a Revision) does not include the components that involve Clinical Trial. W PHS 398 Cover Page Human Subjects Clinical Trial (Y/N) N N NIH, CDC, FDA, 4.0 and Incl: S10 Provide a warning if Human Subjects Clinical Trial is mark ‘Yes’. Clinical Trials are not typically allowed for this type of funding opportunity announcement. W Forms D, March 2016 Release all all
AHRQ, USU PHS 398 Cover Page Human Subjects Phase III Clinical Trial (Y/N) N N NIH, CDC, FDA, AHRQ, USU 4.0 and Both Both An answer is required if the answer to ‘Human Subjects Clinical Trial’ is "Yes". You must answer the “Agency-Defined Phase III Clinical Trial” question if you answer Yes to the “Clinical Trial?” question. E Forms D, March 2016 Release PHS 398 Cover Page Human Subjects Phase III Clinical Trial (Y/N) N N NIH, CDC, FDA, AHRQ, USU 4.0 and Both Both If Human Subjects Clinical Trial is No, this cannot be equal to Yes. You cannot answer Yes to the Phase III Clinical Trial”question if you anser No to the “Clinical Trial?” question E Forms D, March 2016 Release PHS 398 Cover Page Human Subjects Phase III Clinical Trial (Y/N) N NIH, CDC, FDA, AHRQ, USU 4.0 and Multi Y If NIH-Defined Phase III Clinical Trial is Yes on any component of the application and the Overall if NIH-Defined Phase III Clinical Trial is No, provide Error The NIH-Defined Phase III Clinical Trial question on the Overall component must be marked as "Yes", in order for any NIH-Defined Phase III Clinical Trial question in any other component to be marked as "Yes". E PHS 398 Cover Page Human Subjects Phase III Clinical Trial (Y/N) N NIH, CDC, FDA, AHRQ, USU 4.0 and Multi Y For New and Renewal applications, if NIH Clinical Trial is Yes and Phase III Clinical Trial is not ‘Yes’ on all components of the application and NIH-Defined The NIH-Defined Phase III Clinical Trial question must be ‘No’ on the Overall component, if Phase III Clinical Trial question is ‘No’ for all other E Defined Defined Defined all all
Phase III Clinical Trial is Yes on the Overall, then provide Error components in the application. PHS 398 Cover Page Human Subjects Phase III Clinical Trial (Y/N) N NIH, CDC, FDA, AHRQ, USU 4.0 and Multi Y For Revision and Resubmission applications, If NIH Clinical Trial is Yes and NIH Phase III clinical trial is not ‘Yes’ on all components of the application and the Overall NIH Phase III clinical trial is Yes, provide Warning Answering ‘Yes’ to Phase III clinical trial on the Overall component and ‘No’ on all other components is typically not allowed unless your Revision application (or Resubmission of a Revision) does not include the components that involve Phase III clinical trial. W PHS 398 Cover Page PHS 398 Cover Page Program Income N N NIH, CDC, FDA, AHRQ, USU V 2.0 Incl: T01, T02, T03, T14, T42, T90, T90/R90, T32, T34, Provide warning if checked yes for Training grants applications Program Income is typically not allowed for this type of funding opportunity announcement. W Update to existing rule (removed KM1) Forms D, March 2016 Release all 25.1
T35, T36, T37, K12, D43, D71, U2R PHS 398 Cover Page Program Income N N NIH, CDC, FDA, AHRQ, USU V 2.0 S10 Provide error id Program income is mark ‘Yes’. Program Income is typically not allowed for this type of funding opportunity announcement. E Forms D, March 2016 Release PHS 398 Cover Page Program Income, Budget Period N NIH, CDC, FDA, AHRQ, USU 3.0 and Both If Program Anticipated question= N and Program Income data is provided, give error. If the answer to Program Income Anticipated question is ‘No’, no program income details may be entered. E Octobe 2017 Relese. Exclude version 4.0 from rule PHS 398 Cover Page Program Income, Budget Period N NIH, CDC, FDA, AHRQ, USU 3.0 and Both Y The number of program income budget periods must be less than or equal to the number of budgets provided in the budget form. The Program Income Anticipated Amount has been provided for <x> budget periods. Only <y> periods of budgets were provided for this application. E Octobe 2017 Relese. Exclude version 4.0 from rule PHS 398 Cover Page Program Income, Sources 1-5 PHS 398 Cover Page Program Income, Y N NIH, CDC, FDA, V 2.0 Both Must be less than 10,000,000,000 The Program Income Anticipated Amount for budget period <budget period> E 26
Amount 1-5 AHRQ, USU exceeds the allowable amount for the agency. PHS 398 Cover Page Human Stem Cells (HESC) Involved (Y/N) N N NIH, CDC, FDA, AHRQ, USU V 2.0 Both Both A response is required for Human Embryonic Stem Cells (HESC) Involved (Y/N) You must answer the “Does the proposed project involve human embryonic stem cells?” question. E Update to existing rule (modified language on error message), Forms D, March 2016 Release PHS 398 Cover Page Human Stem Cells (HESC) Involved (Y/N) N N NIH, CDC, FDA, AHRQ, USU V 2.0 Multi Y If Human Embryonic Stem Cells (HESC) Involved is Yes on any Other Component, then the answer must be Yes on the Overall Component The Human Embryonic Stem Cells (HESC) Involved on the Overall must be marked as "Yes", in order for any Human Embryonic Stem Cells (HESC) Involved in any component to be marked as "Yes". E PHS 398 Cover Page Human Stem Cells (HESC) Involved (Y/N) N N NIH, CDC, FDA, AHRQ, USU V 2.0 Multi Y For New and Renewal applications, If Human Embryonic Stem Cells (HESC) Involved is No on all Other Components, then the answer must also be No on the Overall Component Human Embryonic Stem Cells (HESC) Involved must be No on the Overall section of the application, if Human Embryonic Stem Cells (HESC) Involved is No for all other components of the application. E PHS 398 Cover Page Human Stem N N NIH, V 2.0 Multi Y For Revision and Resubmission applications, If Answering ‘Yes’ to HESC Involved on the Overall component W all all all
Cells (HESC) Involved (Y/N) CDC, FDA, AHRQ, USU Human Embryonic Stem Cells Involved is No on all components of the application and the Overall if Human Embryonic Stem Cells Involved is Yes, provide Warning and ‘No’ to HESC Involved 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 Embryonic Stem Cells. PHS 398 Cover Page Human Stem Cells (HESC) Involved (Y/N) N N NIH, CDC, FDA, AHRQ, USU V 2.0 Incl: S10 Provide warning if Human Embryonic Stem Cells (HESC) Involved is mark ‘Yes” Involvement of human embryonic stem cells is not typically allowed for this type of funding opportunity announcement. W Update to existing rule (modified language on error message), Forms D, March 2016 Release PHS 398 Cover Page HESC ‘can’t be checkbox PHS 398 Cover Page HESC Cell Lines N N NIH, CDC, FDA, AHRQ, USU V 2.0 Both If HESC involved=’Y’, must include ‘HESC Cell Lines’ or can’t be referenced’ checkbox must be checked You must provide specific human embryonic stem cell lines or check the “Specific stem cell lines cannot be referenced at this time” box if you answer Yes to the E Rule updated to apply to Only. October 2016 Release 23.1 reference
PHS 398 Cover Page HESC Cell Lines N N NIH, CDC, FDA, AHRQ, USU V 2.0 Multi Y Specific stem cells lines in overall should reflect all stem cell lines included in the components. Provide error if cell lines are listed in other components but not in the overall component Specific stem cells lines in the Overall component should reflect all stem cell lines included in the components. E Rule disabled October 2016 Release Cover Page and Patents, Yes/No N N NIH, CDC, FDA, AHRQ, USU V 2.0 Both Required if the type of application is either "Renewal". You must answer the “Inventions and Patents” question if you select Renewal as the Type of Application on the SF424 (R&R) Form. E Update to existing rule (modified language on error message), Forms D, March 2016 Release Cover Page and Patents, Yes/No N N Incl: NIH, CDC, FDA, AHRQ, USU V 2.0 Incl: T01, T02, T03, T14, T42, T90, T90/R90, T32, T34, T35, T36, T37, K12, D43, Error if Inventions and Patents, Yes is selected Inventions and Patents are not allowed for this type of funding opportunity announcement. E Update to existing rule (modified language on error message), Forms D, March 2016 Release over all 27.1
PHS 398 Cover Page Change of of Inst.: Name of former PI, Suffix PHS 398 Cover Page Change of of Inst.: Change of institution indicator N N Incl: NIH, CDC, FDA, AHRQ, USU Incl: V 1.3 Incl: T01, T02, T03, T14, T42, T90, T90/R90, T32, T34, T35, T36, T37, K12, D43, D71, U2R 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 PHS 398 Cover Page Change of of Inst.: name of former inst. N Incl: NIH, CDC, FDA, AHRQ, USU Both 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 Animals: Is method N N Incl: NIH, USU Both Both An answer to “is method consistent with American You must answer the “Is method consistent with AVMA guidelines?” question E Forms D, March 2016 Release all 36.1 38.1
consistent with American Medical (AVMA) guidelines Veterinary Medical Association (AVMA guidelines) is required if the answer to “Are vertebrate animals euthanized’ is “Yes”. if you answer Yes to the “Are animals euthanized?” question. PHS 398 Cover Page Animals: If “No” to AVMA describe method and provide a scientific N N Incl: NIH, USU 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 Forms D, March 2016 Release PHS 398 Cover Page Program Income, Budget Period N N USU Exc: Both 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 Forms D, March 2016 Release PHS 398 Cover Page Program Income, Budget Period N N USU Exc: Both 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 Forms D, March 2016 Release H, H,
Modular Budget Form Field Rule# Rule Categories Validation Error Message Error/ Comments (Y/N) (Y/N) (Lists Form FOA Specific Activity Specific Lists Activity Code & to Multi or Both to or Both 1-5 (NIH) N N Incl: NIH, USU Incl: V 1.2 Do not accept a modular budget for an application where the applicant organization is foreign. Applications from foreign must use the R&R Budget form.. E 1-5 (NIH) N N Incl: NIH, USU Incl: V 1.2 Excl: C06, UC6, G20 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 1-5 (NIH) N N NIH, CDC, FDA, AHRQ, USU V 1.2 Incl: R15, RF1, UF1, UA5 Return error if more than one budget period has been included. All budget information for this funded application must be submitted in a single budget period. Be sure to comply with the Funding Opportunity (FOA) instructions E Start Date N N Incl: NIH, USU Incl: V 1.2 For budget period 1, if entered, for new and resubmissions The modular budget start date for W Only
1-5 (NIH) applications, must be the same as the Project Start Date listed on the SF 424 RR Face Page . budget period <budget year> for new and applications must be the same as the proposed project start date listed on the SF424 RR cover form. 1-5 (NIH) Start Date N N Incl: NIH, USU Incl: V 1.2 Single For budget years after budget year 1, if entered, must be greater than or equal to the Proposed Project Start Date listed on the SF 424 RR Face Page. The start date for budget period <budget year> must be equal to or later than the proposed project start date listed on the SF 424 RR cover form. W 1-5 (NIH) Start Date Y N Incl: NIH, USU Incl: V 1.2 Start date is required The start date for budget period <budget year> is required. E End Date N N Incl: NIH, USU Incl: V 1.2 The Budget period end date must be greater than budget period For Budget period <budget E Year
1-5 (NIH) start date and less than or equal to project period end date listed on the SF424 RR.. year> the budget dates must be within the proposed project period dates listed on the SF424 RR cover form. 1-5 (NIH) End Date Y N Incl: NIH, USU Incl: V 1.2 End date is required The end date for budget period <budget year> is required. E 1-5 (NIH) Direct Costs, Direct Cost Less F&A N N Incl: NIH, USU Incl: V 1.2 Must be <= 250K, must be a multiple of 25K for each budget year For budget period <budget year>, the Direct Cost Less Consortium, F&A must be in $25K increments and cannot exceed $250K. E 1-5 (NIH) Direct Costs, Direct Cost Less F&A N N Incl: NIH, USU Incl: V 1.2 = N Incl: R03, R21, UH2 Provide error if this value for any budget year is >50K for R03 or budget year is >200K for R21 or budget year is >200K for UH2 For budget period <budget year>, the Direct Cost Less Consortium, F&A requests are limited to <direct cost E Year Year Year Year
limit> per period for this program. 1-5 (NIH) Direct Costs, Direct Cost Less F&A N N Incl: NIH, USU Incl: V 1.2 = N Incl: R34, U34 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 (FOA) instructions. W 1-5 (NIH) Direct Costs, Direct Cost Less F&A N N Incl: NIH, USU Incl: V 1.2 Incl: SC1, SC2, SC3 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. For budget period <budget year>, the Direct Cost requests are limited to <direct cost E New Rule Year Year
1-5 (NIH) provided exceeds the allowable limit. 1-5 (NIH) Indirect Costs, Indirect Cost Type 018.6 1-5 (NIH) Indirect Costs, Indirect Cost Rate 1-4 N N Incl: NIH, USU Incl: V 1.2 Provide warning if greater than and less than 1. For budget period <budget year>, the Indirect Cost Rate must be represented as a percentage. (e.g., ’25.5’, not .255) W 1-5 (NIH) Indirect Costs, Indirect Cost Base Y N Incl: V 1.2 Must be less than 10,000,000,000. For budget period <budget year>, the Indirect Cost Base provided exceeds the allowable limit. E 1-5 (NIH) Indirect Costs, Funds 1-4 Y N Incl: V 1.2 Must be less than 10,000,000,000. For budget period <budget year>, the Funds Requested amount E Year Year Year Year
provided exceeds the allowable limit. 1-5 (NIH) Total Direct and Indirect Costs, Funds N N Incl: NIH, USU Incl: V 1.2 Must be greater than for first budget period. For Modular Budget period 1, Total Direct and Indirect Costs must be greater than zero. E 1-5 (NIH) Total Direct and Indirect Costs, Funds N N Incl: NIH, USU Incl: V 1.2 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 Costs’. E 1-5 (NIH) Total Direct and Indirect Costs, Funds Y N Incl: V 1.2 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 3.2 Year Year Year
(NIH) Total Direct Cost less F&A for Entire Project Period N N Incl: NIH, USU Incl: V 1.2 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 (NIH) Total Direct Cost less F&A for Entire Project Period N N Incl: NIH, USU Incl: V 1.2 Project Costs = N Incl: R03 Provide error if this value is >100K. The cumulative ‘Total Direct Costs for Entire Project Period’ is limited to $100K for this program. E (NIH) Total Direct Cost less F&A for Entire Project Period N N Incl: NIH, USU Incl: V 1.2 Project Costs = N Incl: R21, UH2 Provide error if this value is >275K. The cumulative ‘Total Direct Costs for Entire Project Period’ is limited to $275K for this program. E
(NIH Total F&A for Entire Project Period N N Incl: NIH, USU Incl: V 1.2 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’ values for all budget periods. E (NIH Total F&A for Entire Project Period Y N Incl: V 1.2 Must be less than 10,000,000,000. The Total Consortium F&A for Entire Project Period amount provided exceeds the allowable limit. E (NIH) Total Costs, Total Direct Costs for Entire Project Period N N Incl: NIH, USU Incl: V 1.2 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
(NIH) Total Costs, Total Direct and Indirect Costs for Entire Project Period Y N Incl: V 1.2 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 (NIH) Budget N N Incl: NIH, USU Incl: V 1.2 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 (NIH) Budget 019.7 (NIH) Budget 019.8
R&R Budget(5Year) (Use only for Single-project) Form Field Rule Categories Validation Error Message Comments (Y/N) (Lists FOA Activity Specific Lists Activity Code (Inclusion & to or to or Both (Multi Only) & 5YR, (R&R) Unless specifically stated, all project budget validations also apply to the subaward budget. & 5YR, (R&R) N Y Incl: NIH, USU Incl: V 1.3 Incl: R03, R21, R34, U34, UH2 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) N Y Incl: NIH, USU Incl: V 1.3 Exclude: 333, 666, 777, C06, UC6, G20 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. W & 5YR, (R&R) N Y Incl: NIH, CDC, FDA, VA, USU Incl: V 1.3 Incl: R15, RF1, UF1, UA5 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 & 5YR, (R&R) DUNS N Y : NIH, CDC, FDA, VA, USU Incl: V 1.3 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 & 5YR, (R&R) DUNS N Y : NIH, CDC, FDA, VA, USU Incl: V 1.3 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
& 5YR, (R&R) Name of N Y : NIH, CDC, FDA, VA, USU Incl: V 1.3 Name of Organization is required The Organization name is required for <DUNS>. E & 5YR, (R&R) Budget type (project, N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 There must be and only one occurrence of budget with a value of ‘Project’ in the application. Only budget with a budget type of ‘Project’ may be submitted for the application. E & 5YR, (R&R) Budget type (project, N Y Incl : NIH, CDC, FDA, VA, USU 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 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 N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 For budget year 1, for Budget Type ‘Project’, for new applications and resubmissions, must be the same as the Proposed Project Start Date listed 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 W
Exclude: STTR applications & 5YR, (R&R) Person Project Role N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 Excl: R41, R42, UT1, UT2 For budgets type ‘Project’, there must be at least 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 & 5YR, (R&R) Person x Name, Base Salary ($) Y Y Incl : NIH, CDC, FDA, VA, USU 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) Person x Name, Cal. Months N Y Incl : NIH, CDC, FDA, VA, USU 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 E
information about calculating person months, see & 5YR, (R&R) Person x Name, Cal. Months N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 Incl: R13, U13 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 academic and summer months. For information about calculating person months, see . E & 5YR, (R&R) Person Cal. Mos N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 For PD/PIs (submission of R41, R42, UT1, UT2) STTR submissions, a non-zero value for calendar months, academic months, or summer months is required on either the project budget or the For Budget Period <Budget Year>, at least person with the project role of PD/PI must include effort of a value greater then zero in calendar months, academic months or summer months. Note: use either calendar months or a combination of E 2.3
subaward budget. It is not required on both but can be provided. academic and summer months. For information about calculating person months, see . & 5YR, (R&R) Person x Name, Acad. Months N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 Provide warning if both academic and calendar months have been provided for a person for a budget year. For <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 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 month’s columns. W & Person x Name, Sum. Months
5YR, (R&R) & 5YR, (R&R) Person salary & 5YR, (R&R) Person x Name, Fringe Benefits ($) Y Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 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) Person Funds N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 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 N Y Incl : NIH, Incl: V 1.3 Required if Additional Senior Key Persons For <Organization name> budget for Budget Period < E
5YR, (R&R) for Senior Key Persons in CDC, FDA, VA, USU 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 for all persons & 5YR, (R&R) Senior Key Persons N Y Incl: NIH, USU 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, (R&R) Other Cal Months & Other
& 5YR, (R&R) item & 5YR, (R&R) x equip funds req. & 5YR, (R&R) total funds in N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 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 & total
5YR, (R&R) & 5YR, (R&R) N Y Incl: NIH, USU Incl: V 1.3 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, travel costs, funds req & 5YR, (R&R) Travel, foreign travel costs, funds req & Total travel cost, funds req
5YR, (R&R) funds req & 5YR, (R&R) support costs: of other & 5YR, (R&R) support costs: other, funds req & 5YR, (R&R) support costs: Number of N N Incl: NIH, CDC, FDA, AHRQ VA, USU Incl: V 1.3 Incl: K12 If Number of 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) & support costs:
5YR, (R&R) Total Support Costs & 5YR, (R&R) Other Direct Costs & Funds Req & 5YR, (R&R) Other Direct Costs Costs; Funds Req & 5YR, (R&R) Other Direct Costs Funds Req & Other Direct Costs Services
5YR, (R&R) Funds Req & 5YR, (R&R) Other Direct Costs Costs) N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 Provide warning for Project budget if Consortium cost is Null or '0' for all budget periods and a subaward exists for the application A 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 Funds requested Costs field. W & 5YR, (R&R) Other Direct Costs or Facility Fees; Funds Req & Other Direct Costs and Services
5YR, (R&R) & 5YR, (R&R) Other Direct Costs (10. other 3) & 5YR, (R&R) Other Direct Costs (other3 funds & 5YR, (R&R) Other Direct Costs, Total Other Direct Costs N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 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 & Total Direct Costs (A-F)
5YR, (R&R) & 5YR, (R&R) Total Direct Costs (A-F) N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 Must be equal to the sum of total salary, wages and fringe benefits, total funds requested for equipment, total travel cost, total 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 & 5YR, (R&R) Total Direct Costs (A-F) N Y Incl : NIH, USU Incl: V 1.3 Include: R03, R21, R01, U01, R34, U34, UH2,I80 For Project Budget, provide warning if 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 An application with a direct cost request of $250K or less for each period should use the PHS 398 Modular Budget. W
corresponding year with budget type F-K, x (R&R) Total Direct Costs (A-F) N Y Incl: NIH, CDC, FDA, VA, USU Incl: V 1.3 Excl: R41, R42, UT1, UT2., R43, R44, U43, U44, S21, S22, Provide warning if total direct cost is equal to or greater than 500K for any budget period Direct cost requests of $500 K or more a year need approval to accept assignment from Institute/Center staff, except for RFAs or PAs with budgetary limits. Applications without such approval may be delayed or not accepted for review. W Update to existing (add exclusion of S21, S22) Message text updated April 2016 Release (Message text updated) May 2016 Release Update to existing rule message and validation F-K, x (R&R) Total Direct Costs (A-F) N Y Incl : NIH, CDC, FDA, VA, USU V 1.3 Incl: R15, UA5 Provide warning if subtotal direct costs for any budget period is > $300K. Calculate subtotal direct costs as follows: Direct cost requests are typically limited to $300k for this type of application. Be sure to comply with the Funding Opportunity W
Total Direct Costs (A-F) minus the sum of Total Indirect Costs for all budgets for the corresponding year with budget type Announcement (FOA) instructions. F-K, x (R&R) Total Direct Costs (A-F) N Y Incl : NIH, CDC, FDA, VA, USU V 1.3 Incl: G13 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 Direct cost requests are typically limited to $50k. E New rule & 5YR, (R&R) Indirect Costs, Indirect Cost Rate N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 Provide warning if less than 1. For <Organization name> budget for Budget Period < Budget Year, the Indirect Cost Rate is less than 1. Please note that this figure represents a W 2.4
& 5YR, (R&R) Total Indirect Costs & 5YR, (R&R) Total Direct and Indirect Costs N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 Must be equal to the sum of Total Direct Costs and Total Indirect Costs For <Organization name> budget for Budget Period < Budget Year>, the Total Direct and Indirect Costs Funds Requested do not equal the sum of individual direct and indirect costs. E & 5YR, (R&R) Fee N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 A fee cannot be entered for a budget. For <Organization name> budget for Budget Period < Budget Year>, a fee has been entered. Fees are not allowed for budgets. E & 5YR, (R&R) Budget
R&R Budget(5Year) Cumulative Form Field Rule# Rule Categories Validation Error Message Comments (Y/N) FOA Lists Code & to or to Type (Multi Only) & 5YR, Section A. Senior/Key Person, Totals ($) 020.61 & 5YR, Section B. Other Personnel, Totals ($) 020.62 Age
& 5YR, Total number other personnel 020.63 & 5YR, Total Salary, wages and fringe benefits (A+B), Totals ($) 020.64 & Section C. Equipment, Totals ($) 020.65
5YR, & 5YR, Section G, Direct Costs total 020.87.3 N N Incl : NIH, FDA, VA, USU 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 & 5YR, Section G, Direct Costs (A thru F) 020.88.1 N Y Incl : NIH, FDA, VA, USU 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
& 5YR, Section Indirect Costs 020.89.1 N Y Incl : NIH, FDA, VA, USU 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 & 5YR, Section I, Total Direct and Indirect Costs 020.90 & Section I, Total Direct and Indirect Costs (G + H) 020.91.1 N Y Incl : NIH, FDA, Incl: V 1.3 Must be equal to the sum of Total Direct and Indirect Costs for every budget For <Organization name> budget, the Cumulative Total Direct and Indirect Costs E
5YR, VA, USU year for this budget. does not equal the sum of Direct and Indirect Costs for all budget periods. & 5YR, Section J, Fee 020.92 R&R Budget(10Year) (Use only for Single-project)
Form Field Rule Categories Validation Error Message Comments (Y/N) (Lists FOA Activity Specific Lists Activity Code (Inclusion & to or to or Both (Multi Only) Unless specifically stated, all project budget validations also apply to the subaward budget. & 10YR, (R&R) N Y Incl: NIH, USU Incl: V 1.3 Incl: R03, R21, UH2 R34. U34 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 & 10YR, (R&R) N Y Incl: NIH, USU Incl: V 1.3 Exclude: 333, 666, 777 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 & 10YR, (R&R) N Y Incl: NIH, CDC, FDA, VA, USU Incl: V 1.3 Incl: R15, RF1, UF1, UA5 Return error if more than 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 /
& 10YR, (R&R) DUNS N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 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 & 10YR, (R&R) DUNS N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 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 & 10YR, (R&R) Name of N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 Name of Organization is required The Organization name is required for <DUNS>. E & 10YR, (R&R) Budget type (project, N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 There must be and only occurrence of budget with a value of ‘Project’ in the application. Only budget with a budget type of ‘Project’ may be submitted for the application. E & Budget type (project, N Y Incl : NIH, CDC, FDA, Incl: V 1.3 Incl: R41. R42, UT1, UT2 For an STTR submission, there must be at least one budget A research institution Budget page must be included for each E
10YR, (R&R) VA, USU End Date listed on the SF 424 RR Face Page than or to the same as the proposed project end date listed on the SF 424 RR Cover. & 10YR, (R&R) Person x Name, Prefix 022.6 & 10YR, (R&R) Person x Name, First Name 022.7 & 10YR, (R&R) Person x Name, Middle Name 022.8 & 10YR, (R&R) Person x Name, Last Name 022.9
& 10YR, (R&R) Person Project Role N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 Excl R41, R42, UT1, UT2 For Budget type project, the first senior/key person with Project Role of PD/PI must match last name and first name on the PD/PI on the SF424 Cover Exclude: STTR applications For <Organization Name>, the PD/PI name for budget period <budget year>) does not match the PD/PI name on the SF 424 RR Cover. E & 10YR, (R&R) Person Project Role N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 Excl R41, R42, UT1, UT2 For budgets type ‘Project’, there must be at least 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 & 10YR, (R&R) Person x Name, Base Salary ($) Y Y Incl : NIH, CDC, FDA, VA, USU 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 & Person x Name, N Y Incl : NIH, CDC, FDA, Incl: V 1.3 Excl: R13, U13 A non-zero value for calendar months, academic months, or For <Organization name> budget for Budget Period < Budget Year>, Senior/Key Person E
10YR, (R&R) Cal. Months VA, USU summer months is required for each senior/key person. (except for PD/PIs on STTR (R41, R42, UT1, UT2) submissions), <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 & 10YR, (R&R) Person x Name, Cal. Months N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 Incl: R13, U13 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 academic and summer months. For information about calculating person months, see . E & N Y Incl : NIH, Incl: For PD/PIs on STTR For Budget Period <Budget Year>, at E
leave the calendar months column blank and use only the academic and summer month’s columns. & 10YR, (R&R) Person x Name, Sum. Months & 10YR, (R&R) Person salary & 10YR, (R&R) Person x Name, Fringe Benefits ($) Y Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 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 & Person Funds N Y Incl : NIH, CDC, FDA, Incl: V 1.3 Must be equal to the sum of Requested Salary and Fringe Benefits for the For <Organization name> budget for Budget Period < Budget Year>, the Funds Requested amount for E
10YR, (R&R) Cal Months & 10YR, (R&R) Other Acad Months & 10YR, (R&R) Other Sum Months & 10YR, (R&R) Other Salary & 10YR, (R&R) Other Fringe Benefits
& 10YR, (R&R) Other Funds & 10YR, (R&R) Total number other & 10YR, (R&R) Total Funds other & 10YR, (R&R) Total salary, wages and fringe benefits N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 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
& 10YR, (R&R) item & 10YR, (R&R) x equip funds req. & 10YR, (R&R) total funds in N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 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 & 10YR, (R&R) total & N Y Incl: Incl: Provide error if attachment is For <Organization name> budget for E
10YR, (R&R) NIH, USU V 1.3 provided and less than 10 equipment items have been entered for that budget period Budget Period < Budget Year>, the Additional Equipment attachment cannot be provided unless all 10 Equipment item entries are used. & 10YR, (R&R) Travel, travel costs, funds req & 10YR, (R&R) Travel, foreign travel costs, funds req & 10YR, (R&R) Total travel cost, funds req & support costs:
10YR, (R&R) support costs: of other & 10YR, (R&R) support costs: other, funds req & 10YR, (R&R) support costs: Number of N N Incl: NIH, CDC, FDA, AHRQ VA, USU Incl: V 1.3 Incl: K12 If Number of 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) & support costs: Total
10YR, (R&R) Support Costs & 10YR, (R&R) Other Direct Costs & Funds Req & 10YR, (R&R) Other Direct Costs Costs; Funds Req & 10YR, (R&R) Other Direct Costs Funds Req & Other Direct Costs Services
10YR, (R&R) Funds Req & 10YR, (R&R) Other Direct Costs Costs) N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 Provide warning for Project budget if Consortium cost is Null or '0' for all budget periods and a subaward exists for the application A 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 Funds requested Costs field. W & 10YR, (R&R) Other Direct Costs or Facility Fees; Funds Req & Other Direct Costs and Services ;
10YR, (R&R) & 10YR, (R&R) Other Direct Costs (8. other 1) & 10YR, (R&R) Other Direct Costs (other1 funds & 10YR, (R&R) Other Direct Costs (9. other 2) & Other Direct Costs
10YR, (R&R) (other2 funds & 10YR, (R&R) Other Direct Costs (10. other 3) & 10YR, (R&R) Other Direct Costs (other3 funds & 10YR, (R&R) Other Direct Costs, Total Other Direct Costs N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 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
& 10YR, (R&R) Total Direct Costs (A-F) & 10YR, (R&R) Total Direct Costs (A-F) N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 Must be equal to the sum of total salary, wages and fringe benefits, total funds requested for equipment, total travel cost, total 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 & 10YR, (R&R) Total Direct Costs (A-F) N Y Incl : NIH , USU Incl: V 1.3 Include: R03, R21, R01, U01, R34, U34, UH2,I80 For Project Budget, provide warning if subtotal direct costs for every budget period is < = $250K. Applications where the applicant organization is foreign are exempt from this validation. Calculate subtotal direct An application with a direct cost request of $250K or less for each period should use the PHS 398 Modular Budget. W
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 & 10YR, (R&R) Total Direct Costs (A-F) N Y Incl: NIH, CDC, FDA, VA, USU Incl: V 1.3 Excl: R41, R42, UT1, UT2, R43, R44, U43, U44, S21, S22, SB1,UB1 Provide warning if total direct cost is equal to or greater than 500K for any budget period Direct cost requests of $500 K or more a year need approval to accept assignment from Institute/Center staff, except for RFAs or PAs with budgetary limits. Applications without such approval may be delayed or not accepted for review. W Update to existing (add exclusion of S21, S22) Updated Message text May 2016 Release: Update to existing rule & Total Direct Costs (A-F) N Y Incl : NIH, CDC, FDA, VA, USU V 1.3 Incl: R15, UA5 Provide warning if subtotal direct costs for any budget period is > $300K. Calculate subtotal direct costs as follows: Total Direct Direct cost requests are typically limited to $300k for this type of application. Be sure to comply with the Funding Opportunity W
10YR, (R&R) Costs (A-F) minus the sum of Total Indirect Costs for all budgets for the corresponding year with budget type Announcement (FOA) instructions. & 10YR, (R&R) Total Direct Costs (A-F) N Y Incl : NIH, CDC, FDA, VA, USU V 1.3 Incl: G13 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 Direct cost requests are typically limited to $50k. E New rule & 10YR, (R&R) Indirect Costs, Indirect Cost Rate N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 Provide warning if less than 1. For <Organization name> budget for Budget Period < Budget Year, the Indirect Cost Rate is less than 1. Please note that this figure represents a percentage (e.g., ’25.5’, not ‘.255’). W
& 10YR, (R&R) Indirect Costs, Indirect Cost Rate N Y Incl : NIH, CDC, FDA, VA, USU Incl:K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, K12, K30, If Indirect Cost rate is provided and not equal to 8, generate warning For <Organization name> budget for budget period < Budget Year>, the Indirect Cost Rate should be equal to 8. W Update to existing rule (removed KM1) & 10YR, (R&R) Indirect Costs, x Indirect Cost Base N Y Incl : NIH, CDC, FDA, VA, USU Incl: G08, G13, S21, S22 Provide an error if Indirect Cost Base is greater than 0. For <Organization name> for budget period < Budget Year>, no indirect cost base is allowed. E New rule & 10YR, (R&R) Indirect Costs, x Funds N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 Incl: G08, G13, S21, S22 Provide an error if Indirect Cost Funds requested greater than 0. For <Organization name> for budget period < Budget Year>, no indirect cost base is allowed. E New rule & Total Indirect Costs N Y Incl : NIH, CDC, FDA, Incl: V 1.3 Must be equal to funds requested for all indirect cost types For <Organization name> budget for Budget Period < Budget Year>, the Total Indirect Costs does not equal the sum of individual E
Form Field Rule# Rule Categories Validation Error Message Comments (Y/N) FOA Lists Code & to or to Type (Multi Only) & Section A. Senior/Key Person, Totals ($) 022.70 & Section B. Other Personnel, Totals ($) 022.71 & Total number other personnel 022.72 Age
& 10. Other3 022.95 & Section G, Direct Costs total 022.96.1 N N Incl : NIH, FDA, VA, USU Incl: V 1.3 Incl: G08 For submission with 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 Section G, Direct 022.96.2 N N Incl : NIH, Incl: Incl: G08 For a submission with The cumulative ‘Total Direct E New rule
& Costs total FDA, VA, USU V 1.3 two budget periods, must be less than or equal to $200k. Costs for Entire Project Period’ is limited to $200K if two (2) budget periods have been included. & Section G, Direct Costs total 022.96.3 N N Incl : NIH, FDA, VA, USU 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 & Section G, Direct Costs (A thru F) 022.97.1 N Y Incl : NIH, FDA, VA, USU 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
& Section Indirect Costs 022.98.1 N Y Incl : NIH, FDA, VA, USU 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 & Section I, Total Direct and Indirect Costs 022.99 & Section I, Total Direct and Indirect Costs (G + H) N Y Incl : NIH, FDA, 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 E
Form Field Rule Categories Validation Error Message Comments (Y/N) (Lists FOA Activity Specific Lists Activity Code (Inclusion & to or to or Both (Multi Only) & 10YR, (R&R) MP DUNS Incl: V1.0 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 & 10YR, (R&R) MP DUNS Incl: V1.0 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 & 10YR, (R&R) MP Name of Incl: V1.0 N Name of Organization is required The Organization Name is required on the R&R Budget for <DUNS>. E & 10YR, Budget type (project, Incl: V1.0 Y There must be and only one occurrence with a value of ‘Project’ per component. Only budget with a budget type of ‘Project’ may be submitted on the 424 RR Budget for each component. E
(R&R) MP & 10YR, (R&R) MP Start Date Incl: V1.0 Y 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 MP for a given component. On the <Organization name> budget for Budget Period < Budget Year>, the start date should be equal to the proposed project start date listed on the Component SF 424 RR Cover page. W & 10YR, (R&R) MP Start Date Incl: V1.0 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 & End Date Incl: V1.0 Y The Budget end date must be greater than the budget start date and less than or On the <Organization name> budget for Budget Period < Budget Year>, the end date must be E
10YR, (R&R) MP equal to the Project Period End Date listed on the SF 424 RR MP for a given component. 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. & 10YR, (R&R) MP End Date Incl: V1.0 flag= 'No' Y End date of last budget period should not be later than 5 years after the start date of the first budget period if the flag is set to 'No' in rfa_pa_notices_t. The end date cannot be later than 5 years after the start date for <Organization name or DUNS (if Org name not available)> for Budget Period < Budget Year>. E & 10YR, (R&R) MP Person x Name, Prefix 006.6 & Person x Name, First Name 006.7
10YR, (R&R) MP & 10YR, (R&R) MP Person x Name, Middle Name 006.8 & 10YR, (R&R) MP Person x Name, Last Name 006.9 & 10YR, (R&R) MP Person x Name, Suffix & 10YR, Person Project Role
(R&R) MP & 10YR, (R&R) MP Person x Name, Base Salary ($) Incl: V1.0 N Cannot be greater than 99,999,999.99. On the <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 & 10YR, (R&R) MP Person x Name, Cal. Months Incl: V1.0 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
10YR, (R&R) MP x Name, Sum. Months & 10YR, (R&R) MP Person salary & 10YR, (R&R) MP Person x Name, Fringe Benefits ($) Incl: V1.0 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 & 10YR, (R&R) MP Person Funds Incl: V1.0 N Must be equal to the sum of Requested Salary and Fringe Benefits for the Senior/Key Person for the budget year. On the <Organization name> budget for Budget Period < Budget Year>, the Funds Requested amount for Senior/Key Person < Last Name, First Name> does not E
equal the sum of the Requested Salary and the Fringe Benefits. & 10YR, (R&R) MP Total funds for Senior Key Persons in Incl: V1.0 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 & 10YR, (R&R) MP Total Funds for all persons & 10YR, (R&R) MP Senior Key Persons Incl: V1.0 N Provide error if attachment is provided and less than 100 senior/key person have been entered for On the <Organization name> budget for Budget Period < Budget Year>, the Additional Senior/Key Person attachment cannot be provided unless 100 Sr/Key E
that budget period Person entries are used. & 10YR, (R&R) MP Other Number of & 10YR, (R&R) MP Other Cal Months & 10YR, (R&R) MP Other Acad Months & 10YR, Other Sum Months
(R&R) MP & 10YR, (R&R) MP Other Salary & 10YR, (R&R) MP Other Fringe Benefits & 10YR, (R&R) MP Other Funds & 10YR, (R&R) MP Total number other
& 10YR, (R&R) MP Total Funds other & 10YR, (R&R) MP Total salary, wages and fringe benefits Incl: V1.0 N Must equal the sum of Total Funds requested for 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 & 10YR, (R&R) MP item &
10YR, (R&R) MP x equip funds req. & 10YR, (R&R) MP total funds in Incl: V1.0 N Required if Additional Equipment Attachment is included. On the <Organization name> budget for Budget Period < Budget Year>, the ‘Total Funds requested for equipment listed in the attached file’ is required since an attachment is provided. E & 10YR, (R&R) MP total & 10YR, (R&R) MP Incl: V1.0 N Provide error if attachment is provided and less than 100 equipment items have been On the <Organization name> budget for Budget Period < Budget Year>, the Additional Equipment attachment cannot be provided unless E
(R&R) MP funds req & 10YR, (R&R) MP support costs: funds req & 10YR, (R&R) MP support costs: travel, funds req & 10YR, (R&R) MP support costs: funds req & 10YR, support costs: of other stipends
(R&R) MP & 10YR, (R&R) MP support costs: other, funds req & 10YR, (R&R) MP support costs: Number of & 10YR, (R&R) MP support costs: Total Support Costs & Other Direct Costs &
10YR, (R&R) MP Funds Req & 10YR, (R&R) MP Other Direct Costs Costs; Funds Req & 10YR, (R&R) MP Other Direct Costs Funds Req & 10YR, (R&R) MP Other Direct Costs Funds Req & 10YR, Other Direct Costs Incl: V1.0 N provide warning for Project budget if budget periods Consortium cost is Null or '0' and a subaward A Budget form is included in the component. The total costs of subawards submitted W Services Services ; ;
(R&R) MP Costs) exists for the component for this component should be reflected in the Other Direct Costs section of the Project budget in the Funds requested Costs field. & 10YR, (R&R) MP Other Direct Costs or Facility Fees; Funds Req & 10YR, (R&R) MP Other Direct Costs and & 10YR, Other Direct Costs (8. other 1)
& 10YR, (R&R) MP Other Direct Costs (other3 funds & 10YR, (R&R) MP Other Direct Costs, Total Other Direct Costs Incl: V1.0 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 & 10YR, (R&R) MP Total Direct Costs (A-F) Incl: V1.0 N Must be equal to the sum of total salary, wages and fringe benefits, total funds requested for equipment, total travel cost, total 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
& 10YR, (R&R) MP Indirect Costs, Indirect Cost Rate & 10YR, (R&R) MP Indirect Costs, Indirect Cost Rate Incl: V1.0 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 & 10YR, (R&R) MP Indirect Costs, x Indirect Cost Base & 10YR, Indirect Costs, x Funds
(R&R) MP & 10YR, (R&R) MP Total Indirect Costs Incl: V1.0 N Must be equal to funds requested for 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 & 10YR, (R&R) MP Indirect Costs, Federal Agency & 10YR, (R&R) MP Total Direct and Indirect Costs Incl: V1.0 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
& 10YR, (R&R) MP Fee Incl: V1.0 N A fee cannot be entered for a budget. On the <Organization name> budget for Budget Period < Budget Year>, a fee has been entered. Fees are not allowed for budgets. E & 10YR, (R&R) MP Budget R&R Budget(10Year) MP Cumulative
MP & MP Total Salary, wages and fringe benefits (A+B), Totals ($) 006.75 & MP Section C. Equipment, Totals ($) 006.76 & Section D. Travel, Totals ($) 006.77
MP & MP 10. Other3 006.97 & MP Section G, Direct Costs (A thru F) Incl: 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 budget periods. E
& MP Section Indirect Costs Incl: 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 & MP Section I, Total Direct and Indirect Costs (G + H) Incl: 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 budget periods. E & Section J, Fee 006.101
Plan Strategy CDC, FDA, USU 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) (x) pages for this application. PHS Plan Plan Strategy N N Incl : NIH, CDC, FDA, USU = N Incl: R03, R13, U13, R21, R36, SC2, SC3, Research Strategy Attachment must be less than or equal to pages. The Research Strategy attachment is limited to six (6) pages. E Update to existing SC2, SC3) Update to R50) 2015 Release Plan Plan Strategy N N Incl : NIH, CDC, FDA, USU = N Incl: for R01, U01, R15, R18, R24, U18, U24, R33, UH3, 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
G08, G11, G13, UH 2, SC1, U44, UT2, UA5, RF1, UF1, DP3, DP5. PHS Plan Plan Strategy N N Incl : NIH, CDC, FDA, USU = Y Incl: R03, R13, U13, R21, R36, SC2, SC3, R50 Research Strategy Attachment must be less than or equal to 12 pages. The Research Strategy attachment is limited to twelve (12) pages. E PHS Plan Plan Strategy N N Incl : NIH, CDC, FDA, USU Incl: R25, DP7 Research Strategy Attachment must be less than or equal to 25 pages. The Research Strategy attachment is limited to twenty five (25) pages. E
Phase I), U43 (SBIR Phase I), UT1 (STTR Phase I) PHS Plan Plan Strategy N N Incl: NIH, CDC, FDA, USU Incl: DP1, DP4 Research Strategy Attachment must be less than or equal to 5 pages. The Research Strategy attachment is limited to five (5) pages. E New rule PHS Plan Plan Strategy N N Incl: NIH, CDC, FDA, USU Incl: DP2 Research Strategy Attachment must be less than or equal to 10 pages The Research Strategy attachment is limited to ten (10) pages. E New rule PHS Plan Plan Strategy N N Incl: NIH, CDC, FDA, USU Incl: OT1 Provide a warning if Research Strategy Attachment is greater than 6 pages and less than or equal to12 pages The Research Strategy page limit for < Activity code> applications varies by opportunity. Be sure to comply with the Funding Opportunity Announcement (FOA) instructions . W New rule PHS Plan Plan N N Incl: NIH, CDC, FDA, Incl: X01, X02, OT1 Provide error if Research Strategy Attachment is greater than 12 pages You have exceeded the page limit for the Research Strategy. Be sure to comply with the Funding
Strategy USU Opportunity Announcement (FOA) instructions. PHS Plan Plan Strategy N N Incl: NIH, CDC, FDA, USU Incl: OT2 Provide a warning if Research Strategy Attachment is greater than 12 pages and less than or equal to 30 pages The Research Strategy page limit varies by opportunity. Be sure to compy with the Funding Opportunity Announcement (FOA) instructions. W New rule PHS Plan Plan Strategy N N Incl: NIH, CDC, FDA, USU Incl: OT2 Provide error if Research Strategy Attachment is greater than 30 pages. You have exceeded the page limit for the Research Strategy. Be sure to comply with the Funding Opportunity Announcement (FOA)instructions. E New Rule PHS Plan Plan Progress Report List N N Incl: NIH, USU Required for renewals. The Progress Report Publication List attachment is required for renewal applications. E Rule is currently disabled. PHS Plan Plan Progress Report List N N Incl: NIH, USU Must not be included for a new or revision application The Progress Report Publication List should not be attached for a new or revision type of application. E New Rule for Forms D, March 2016 Release PHS Plan N N Incl : NIH, Required, if Human Subjects is ‘yes’,on The Protection of Human Subjects E
Plan of Human Subjects CDC, FDA, USU 4.0 and Other Project Information form within the same component attachment is required if the response to the Human Subjects question on the Other Project Information is ‘Yes’. PHS Plan Plan Data Safety Plan N N Incl : NIH, USU 2.0, 4.0 and Required if “yes” is selected as the answer to the “Clinical Trial?” question on the PHS Cover Page Supplemental Form The Data Safety Monitoring Plan attachment is required if the response to the Clinical Trial question on the cover Page Supplement is “Yes”. E New Rule for Forms D, as part of March 2016 Release PHS Plan Plan Inclusion of Women and N N Incl : NIH, CDC, FDA, USU 4.0 and 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 Plan Inclusion of Children N N Incl : NIH, CDC, FDA, USU 4.0 and 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 Plan Animals N N Incl : NIH, CDC, FDA, USU Excl: S10 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 Plan Select Agent N N PHS Plan Plan Multiple PI Plan N N Incl : NIH, CDC, FDA, USU 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 Plan Multiple PI Plan N N Incl : NIH, CDC, FDA, USU Return error if Leadership Plan is included and there is only 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 Senior/Key Person Profile. If not intending to submit a multiple PD/PI application, remove the Multiple PI E
Leadership Plan attachment. PHS Plan Plan PHS Plan Plan Letters of Support N N Incl: NIH, CDC, FDA, USU Incl: R36 Required for an R36 application (activity code on funding opportunity = ‘R36’). Letters of Support must be included for this application. E PHS Plan Plan Sharing Plan PHS Plan Plan of Key
delayed or not accepted for review. Career Developement Award Supplemental Form Field Rule Categories Validation Error Message Error/ Comments (Lists FOA Activity Specific Lists Activity Code (Inclusion & Exclusion) to or to or Both (Multi Only) Dev. Career Dev. Award N N Incl : NIH, FDA, Incl: K02, K05, K24, K26, K01, K07, K08, K18, Required for resubmission applications. The Introduction attachment is E January 14, 2016 Release, Update to Existing Rule (added K76) ,
(NIH) USU K22, K23, K25, K99, K99/R00, K76 required for resubmissions. Dev. (NIH) Career Dev. Award N N Incl : NIH, FDA, USU Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00 Required for revision applications. The Introduction attachment is required for revisions. E Dev. (NIH) Career Dev. Award N N Incl : NIH, FDA, USU Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00 Y Limited to 1 page for revisions. The Introduction for revisions is limited to one page. E Dev. (NIH) Career Dev. Award N N Incl : NIH, FDA, USU Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, R50, K76 Y Limited to 1 pages for resubmissions The Introduction for resubmissions is limited to page. E Update to Existing ( Added R50) December 2015 Release January 14, 2016 Release, Update to Existing Rule (adding K76)
Dev. (NIH) Career Dev. Award N N Incl : NIH, FDA, USU Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, K76 Y Must not be included for new or renewal type of application The Introduction should not be attached for a new or renewal type of application. E January 14, 2016 Release, Update to Existing Rule (added K76) Dev. (NIH) Career Dev. Award N N Incl : NIH, FDA, USU 3.0 and Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, K76 Required attachment The Candidate’s Background attachment is required. E January 14, 2016 Release, Update to Existing Rule (adding K76) Forms D, March 2016 Release Dev. (NIH) Career Dev. Award N N Incl : NIH, FDA, USU 3.0 and Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, K76 Provide warning if Candidate Information section attachments 2-4 and Research Strategy attachment together are greater than 12 pages and less than or equal to 15 pages The Candidate Information and Research Strategy sections together are limited to 12 pages. This may span 15 pages due to page breaks W January 14, 2016 Release, Update to Existing Rule (adding K76) Forms D, March 2016 Release Dev. Career Dev. Award N N Incl : NIH, 3.0 and Incl: K02, K05, K24, K26, K01, K07, Provide error if Candidate Information section The Candidate Information and Research Strategy E January 14, 2016 Release, Update to
(NIH) Training in the Conduct of Research FDA, USU K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, K76 Research attachment is required. Existing Rule (added K76) Dev. (NIH) Career Dev. Award Training in the Conduct of Research N N Incl : NIH, FDA, USU Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, K76 Limited to 1 page The Training in the Responsible Conduct of Research attachment is limited to 1 page. E January 14, 2016 Release, Update to Existing Rule (added K76) Dev. (NIH) Career Dev. Award Plan to Provide Mentoring N N Incl : NIH, FDA, USU Incl: K05, K24 Limited to 6 pages The Candidate’s Plan to Provide Mentoring attachment is limited to 6 pages. E Dev. Career Dev. Award N N Incl NIH, Incl: K01, K07, K08, K18, K22, K23, Provide error if attachment is provided A Mentoring Plan should not be submitted for this application E January 14, 2016 Release, Update to
(NIH) Plan to Provide Mentoring FDA, USU K25, K99, K99/R00, K76 Existing Rule (added K76) Dev. (NIH) Career Dev. Award Plan to Provide Mentoring N N Incl : NIH, FDA, USU Incl: K05, K24 Required attachment The Candidate’s Plan to Provide Mentoring attachment is required on the PHS 398 Career Development Award Supplemental Form. E Dev. (NIH) Career Dev. Award Plans and Statements of Mentor and N N Incl : NIH, FDA, USU Incl: K01, K08, K18, K23, K25, K99, K99/R00, K76 Required attachment The Plans and Statements of Mentor and attachment is required . E Update to existing (removed K07, K22) January 14, 2016 Release, Update to Existing Rule (added K76) Dev. Career Dev. Award Plans and N N NIH, FDA, Incl: K01, K07, K08, K18, K22, K23, K25, K99, Limited to 6 pages The Plans and Statements of Mentor and E Update error message January 14, 2016 Release, Update to
(NIH) Statements of Mentor and USU K99/R00, K76 is limited to 6 pages. Existing Rule (added K76) Dev. (NIH) Career Dev. Award Plans and Statements of Mentor and N N Incl : NIH, FDA, USU 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 Dev. (NIH) Career Dev. Award Letters of Support from and N N Incl NIH, FDA, USU Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, K76 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 W January 14, 2016 Release, Update to Existing Rule (added K76)
(NIH) Description of Institutional USU K25, K99, K99/R00, K76 Development Award Supplemental Form is limited to 1 page. Dev. (NIH) Career Dev. Award Institutional to Research Career N N Incl : NIH, FDA, USU Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, K76 Required attachment The Institutional Commitment to Candidate’s Research Career Development attachment is required. E January 14, 2016 Release, Update to Existing Rule (added K76) Dev. (NIH) Career Dev. Award Institutional to Research Career N N Incl : NIH, FDA, USU Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, K76 Limited to 1 page The Institutional Commitment to Candidate’s Research Career Development attachment may be subject to a page limitation. Be sure to comply with announcement and application W January 14, 2016 Release, Update to Existing Rule (added K76) Attachment Attachment
guide instructions. Dev. (NIH) Career Dev. Award Specific Aims N N : NIH, FDA, USU Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, K76 Required attachment The Specific Aims attachment is required. E January 14, 2016 Release, Update to Existing Rule (added K76) Dev. (NIH) Career Dev. Award Specific Aims N N Incl : NIH, FDA, USU Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, K76 Limited to 1 page The Specific Aims is limited to 1 page. E January 14, 2016 Release, Update to Existing Rule (added K76) Dev. (NIH) Research Strategy Dev. Career Dev. Award Attachment Attachment Attachment
(NIH) Progress Report Dev. (NIH) Career Dev. Award Protection of Human Subjects N N Incl : NIH, FDA, USU Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, K76 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 Project Information is ‘Yes’. E January 14, 2016 Release, Update to Existing Rule (added K76) Dev. (NIH) Career Dev. Award Inclusion of Women and Minorities N N Incl : NIH, FDA, USU Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, K76 Required if Human Subjects is true and Exemption is not E4 on the Other Project Information’. The Inclusion of Women and Minorities must be included if the response to the Human Subjects question on the Other Project Information is ‘Yes’ and if the Exemption Number is not 4. E January 14, 2016 Release, Update to Existing Rule (added K76) Dev. (NIH) Career Dev. Award Inclusion of Children N N Incl : NIH, FDA, USU Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, K76 Required if Human Subjects is true and Exemption is not E4 on the Other Project Information’. The Inclusion of Children must be if the response to the Human Subjects question on the Other Project Information is E January 14, 2016 Release, Update to Existing Rule (added K76) Attachment Attachment Attachment
‘Yes’ and if the Exemption Number is not 4. Dev. (NIH) Career Dev. Award Vertebrate Animals N N Incl : NIH, FDA, USU Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, K76 Required if Vertebrate Animals is ‘yes’ on the Other Project Information’. A Vertebrate Animals attachment must be included if the response to the Subject Used Question on the Other Project Information is ‘Yes’ E January 14, 2016 Release, Update to Existing Rule (added K76) Dev. (NIH) Career Dev. Award Select Agent Research Dev. (NIH) Career Dev. Award Attachment Attachment Attachment
Dev. (NIH) Career Dev. Award Resource Sharing Plan(s) Dev. (NIH) Career Dev. Award Appendix N N Incl : NIH, USU Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, K76 Limited to 10 appendixes You have submitted more than 10 appendices. There is a limit of 10 appendix attachments allowed. E January 14, 2016 Release, Update to Existing Rule (added K76) Dev. (NIH) Citizenship N N Incl : NIH, FDA, USU 3.0 and Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K76 Provide warning if ‘Non-U.S. Citizen with temporary U.S. visa’ is checked You have selected a citizenship choice ‘Non-U.S. Citizen with temporary U.S. visa’. This is not a valid citizenship option for this application. W January 14, 2016 Release, Update to Existing Rule (added K76) Forms D, March 2016 Release Dev. Citizenship N N Incl : NIH, FDA, 3.0 and Incl: K43 A Citizenship selection is required. A Citizenship selection is required for this application. E New rule Attachment Attachment
(NIH) USU Dev. (NIH) no, select most appropriate Non-U.S. Citizen option N N Incl: NIH, USU Required if “No” is selected as the answer to the “U.S. Citizen or Non-Citizen National” question on the Career Development Award Supplemental Form If response to “U.S. Citizen or Non-Citizen National” is “No”, selection of the most appropriate Non-U.S. Citizen option is required. E Forms D, March 2016 Release Dev. (NIH) no, select most appropriate Non-U.S. Citizen option N N Incl: NIH, USU one Citizenship option should be selected. More than Non-U.S. Citizen option has been selected. Please review your selections and choose only one option. W Forms D, March 2016 Release Dev. (NIH) with a temporary U.S. Visa who has applied for a permanent resident status and expect to N N Incl: NIH, USU Incl: K02, K05, K24, K26, K01, K07, K08, K22, K23, K25 Provide a warning if Citizen with a Temporary U.S. Visa” is selected as the answer to the question, If no, select most appropriate Citizen option” on the Career You have sected Citizenship choice, Citizen with a temporary U.S. Visa” as your citizenship status. This is not a valid citizenship choice for this application unless you have W Forms D, March 2016 Release
hold a permanent resident visa by the earliest date of award. Development Award Supplemental form applied for permanent resident status and expect to hold a permanent resident visa at the time of award. Dev. (NIH) Citizen with a Permanent U.S. Resident Visa N N Incl: NIH, USU Incl: K43 Non-U.S. Citizen with a Permanent U.S. Resident Visa is not allowed for K43 applications Non-U.S. Citizen with a Permanent U.S. Resident Visa is not a valid selection for this type of application E Forms D, March 2016 Release Dev. (NIH) Citizen with a Temporary U.S. Resident Visa N N Incl: NIH, USU Incl: K43 Non-U.S. Citizen with a Temporary U.S. Resident Visa is not allowed for K43 applications Non-U.S. Citizen with a Temporary U.S. Resident Visa is not a valid selection for this type of application E Forms D, March 2016 Release Dev. (NIH) U.S. Citizen or National N N Incl; NIH, USU Incl: K43 If “Yes” is selected for K43 application provide error. U.S. Citizen or Non-Citizen National is not a valid option for this application E Forms D, March 2016 Release
is full of text, you must reduce your content to fit within the combined 12 page limit. Dev. (NIH) Career Dev. Award Candidate Information and Goals to Career N N Incl: NIH, USU = “N” Both Provide an error if the Candidate Information and Goals for Career Development plus the Research Strategy combined is greater than 13 pages. The “Candidate Information and Goals for Career Development” and “Research Strategy” attachments are limited to a combined total of 12 pages. This may span to 13 pages to accommodate page breaks and white space resulting from splitting the information into two separate attachments. Your combined total for the two attachments is 13 pages. E Forms D, March 2016 Release Dev. (NIH) Career Dev. Award Data Safety N N Incl: NIH, USU Required if “Yes” is selected as the answer to the “Clinical Trial?” question on the Cover Page The Data Safety Monitoring Plan attachment is required if the response to the Clinical Trial question on the Cover Page E Forms D, March 2016 Release
PHS 398 Plan N N Incl: NIH, FDA, USU 3.0 and Incl: T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, T37, K12, D43, D71, U2R Required attachment The Background attachment is required. E Update to existing rule (excluding v4.0), for Forms E, October Release PHS 398 Plan Incl: NIH, FDA, , USU 3.0 and Provide warning if Research Plan Attachments 2-4 together are equal to x() pages (determined from the FOA Attribute) plus 2 pages (to account for whitespace) The Research Training Program Plan attachments 2-4 are limited to x pages. W Update to existing rule (excluding v4.0), for Forms E, October Release PHS 398 Plan Incl: NIH, FDA, , USU 3.0 and Provide error if Research Plan Attachments 2-4 together together are are greater than x() pages (determined from the FOA Attribute) plus 3 The Research Training Program Plan attachments 2-4 are limited to x pages. E Update to existing rule (excluding v4.0), for Forms E, October Release
pages (to account for whitespace) PHS 398 Plan N N Incl: NIH, FDA, , USU 3.0 and = N Incl: T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, T37, K12, D43, D71, U2R Provide error if Research Plan Attachments 2-4 together are greater than 25 pages plus 3 pages (to account for whitespace) The Research Training Program Plan attachments 2 through are limited to a combined total of 25 pages. E Update to existing rule (excluding v4.0), for Forms E, October Release PHS 398 Plan N N Incl: NIH, FDA, , USU 3.0 and = Y Incl: T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, T37, K12, D43, D71, U2R Provide error if Research Plan Attachments 2-4 together are are greater than 30 pages plus 3 pages (to account for whitespace) The Research Training Program Plan attachments 2 through are limited to a combined total of 30 pages. E Update to existing rule (excluding v4.0), for Forms E, October Release PHS 398 Program Plan N N Incl: NIH, FDA, , USU Incl: T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, Required attachment The Program Plan attachment is required. E Update to existing rule (removed KM1)
Plan T37, K12, D43, D71, U2R PHS 398 Plan Program Plan N N Incl: NIH, USU 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 Plan and Retention Plan to Enhance Diversity N N Incl: NIH, FDA, , USU 3.0 and Incl: T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, T37, K12, , Required attachment The Recruitment and Retention Plan to Enhance Diversity attachment is required. E Update to existing rule (excluding v4.0), for Forms E, October Release PHS 398 Plan for Instruction in the Conduct of Research N N Incl: NIH, FDA, , USU Incl: T15, T32, T34, T35, T36 K12, T37, D71, D43, U2R T01, T02, T03, T14, T42, T90, T90/R90, Required attachment The Plan for Instruction in the Responsible Conduct of Research attachment is required. E Update to existing rule (removed KM1) 3.2
Plan T90/R90, TU2 PHS 398 Plan Plan for Instruction in the Conduct of Research N N Incl: NIH, FDA, , USU Incl: T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, T37, K12, D43, D71, U2R 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) PHS 398 Plan Plan for Instruction in Methods for Enhancing N N Incl: NIH, USU Required attachment. The Plan for Instruction in Methods for Enhancing Reproducibility is required. E New Rule for Forms D, March 2016 Release PHS 398 Plan for Instruction in Methods for Enhancing N N Incl: NIH, USU Provide an error if the Plan for Instruction in Methods for Enhancing Reproducibility attachment is Do not submit a Plan for Instruction in Methods for Enhancing Reproducibility E New Rule for Forms D, March 2016 Release
Plan included unless it is specifically requested in the FOA. attachment. See . PHS 398 Plan Progress Report (for RENEWAL only) N N Incl: NIH, USU Both Required for renewals. The Progress Report Publication List attachment is required for renewal applications. E New Rule for Forms D, March 2016 Release PHS 398 Plan Progress Report (for RENEWAL only) N N Incl: NIH, USU Both Must not be included for a new or revision application The Progress Report Publication List should not be attached for a new or revision type of application. E New Rule for Forms D, March 2016 Release PHS 398 Human Subjects N N Incl: NIH, FDA, 4.0 and Incl: T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, Required if Human Subjects is ‘yes’ on the Other Project Info form within the same component A Human Subjects attachment must be included if the response to the Human Subjects question on the E Update to existing rule (excluding v4.0), for Forms E, October Release
Plan , USU T37, K12, D43, D71, U2R Other Project Information form is ‘Yes’. PHS 398 Plan Data Safety Monitoring Plan N N Incl: NIH, USU 2.0, 4.0 and Required if “Yes” is selected as the answer to the “Clinical Trial?” question on the PHS Cover Page Supplemental Form The Data Safety Monitoring Plan attachment is required if the response to the Clinical Trial question on the Cover Page Supplement is “Yes” E Update to existing rule (excluding v4.0), for Forms E, October Release PHS 398 Plan Vertebrate Animals N N Incl: NIH, FDA, , USU Incl: T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, T37, K12, D43, D71, U2R 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 Select Agent Research
Plan PHS 398 Plan Multiple PD/PI Leadership Plan (if applicable) N N Incl: NIH, FDA, , USU 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 Plan Multiple PD/PI Leadership Plan (if applicable) N N Incl: NIH, FDA, , USU Incl: T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, T37, K12, D43, D71, U2R 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 Senior/Key Person Profile form. If not intending to submit a multiple PD/PI application, E Update to existing rule (removed KM1)
Consortium remove the Multiple PI Leadership Plan attachment. PHS 398 Plan PHS 398 Plan Faculty N N Incl: NIH, FDA, , USU Incl: T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, T37, K12, D43, D71, U2R Warning if not included The Participating Faculty Biosketches attachment should be included for this application. W Update to existing rule (removed KM1) PHS 398 Data Tables Incl: NIH, FDA, Incl: T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, Warning if not included The Data Tables attachment may be required in whole or in part for this application. Check the announcement W Update to existing rule (removed KM1)
Plan , USU T37, K12, D43, D71, U2R and application guide for requirements. PHS 398 Plan Letters of Support PHS 398 Plan Appendix Incl: NIH, FDA, , USU Incl: T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, T37, K12, D43, D71, U2R Limited to 10 appendixes 10 appendix attachments are allowed. E Update to existing rule (removed KM1)
PHS 398 Training Budget Form Field Rule Categories Validation Error Message Error/ Comments (Lists FOA Activity Specific Lists Activity Code (Inclusion & Exclusion) to or to or Both (Multi Only) PHS 398 PHS 398 Training Budget, Period "x" Unless specifically stated, project budget validations also apply to the subaward budget. PHS 398 DUNS: Incl: 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 DUNS: N Y Incl : NIH, FDA, USU Incl: Budget marked as ‘Subaward’ cannot contain DUNS number for the component application The <Organization Name> subaward’ budget cannot contain the DUNS number provided on the SF 424 RR Cover. E
organization on the 424 RR PHS 398 Budget type (project) PHS 398 Budget type N Y Incl : NIH, FDA, USU Incl: There must be and only one occurrence with a value of ‘Project’ per component. one budget with a budget type of ‘Project’ may be submitted for the application. E PHS 398 Name of N Y Incl : NIH, FDA, VA, USU Incl: The Name of Organization is required The Organization name is required for <DUNS>. E PHS 398 Start Date N Y Incl : NIH, FDA, USU Incl: For budget year 1, for budget type Project, for new applications and resubmissions, must be the same as the For <Organization name> for budget period < Budget Year>, the start date for new and resubmission W
Proposed Project Start Date listed on the component SF 424 RR applications must be the same as the proposed project start date listed on the SF 424 RR Cover. PHS 398 Start Date N Y Incl : NIH, FDA, USU Incl: 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 End Date N Y Incl : NIH, FDA, USU Incl: 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 E
proposed project end date listed on the SF 424 RR Cover. PHS 398 A. Stipends, of Trainees, Full Time N N Incl : NIH, FDA, USU Incl: Incl: T34 Provide error if Number of Full time and/or short term undergraduate trainees is not provided (0 or NULL) For <Organization name> for budget period < Budget Year>,the number of Full time and/or Short term Undergraduate trainees is required. E PHS 398 A. Stipends, Number of Trainees, Full Time N N Incl : NIH, FDA, USU Incl: Incl: T15, T32, T35 Provide error if Number or of Full time or short term undergraduate trainees is provided (greater than 0) For <Organization name> for budget period < Budget Year>, the Undergraduate information cannot be included for this application. E PHS 398 A. Stipends, of Trainees,
Short Term PHS 398 A. Stipends, of Trainees, Stipends Requested ($) N N Incl : NIH, FDA, USU Incl: Incl: T34 Provide error if undergraduate Stipends requested is not provided (0 or NULL) For <Organization name> for budget period < Budget Year>, the Undergraduate stipend requested is required. E PHS 398 A. Stipends, of Requested ($) PHS 398 A. Stipends, of
Number per stipend level, PHS 398 A. Stipends, of Number per stipend level, PHS 398 A. Stipends, of Trainees, Single Degree: Full Time N N Incl : NIH, FDA, USU Incl: Incl: T34 Provide Error If total or total short term, or total requested, or total For <Organization name> for budget period < Budget Year>, the Predoctoral, Postdoctoral and Other Trainee information cannot be included. E doctoral doctoral doctoral
Stipends Requested ($) PHS 398 A. Stipends, Trainees, Single Degree: Requested ($) PHS 398 A. Stipends, of Trainees, Dual Degree: Full Time PHS 398 A. Stipends,
Requested ($) PHS 398 A. Stipends, of Trainees, Total Full Time PHS 398 Number of Trainees, Total Short Term PHS 398 A. Stipends, of Trainees, Total Stipends 23
PHS 398 A. Stipends, of Trainees, Seeking; Short Term PHS 398 A. Stipends, of Seeking per stipend level (0-7) PHS 398 A. Stipends, of Trainees, degree degree
PHS 398 A. Stipends, of Trainees, Total Short Term PHS 398 A. Stipends, Number of per stipend level (0-7) PHS 398 A. Stipends, of Trainees, Total Degree Seeking: Stipends
Requested ($) PHS 398 A. Stipends, of Trainees, Total Requested ($) PHS 398 A. Stipends, of Trainees, Other: Full Time PHS 398 A. Stipends, of Trainees,
Other: Short Term PHS 398 A. Stipends, of Trainees, Other: Stipends Requested ($) PHS 398 A. Stipends, of Trainees, Other: Requested ($) PHS 398 A. Stipends, Stipends N N Incl : NIH, FDA, USU Incl: Excl: T02, T03 Provide error If number of undergrad or number undergrad short term, For <Organization name> for budget period < Budget Year>, if Number of Trainees E
Requested ($) or total or total short term, or total or total short term, or number of other full-time, or number of other short term, is greater than and total stipends requested total is not greater than information is then corresponding Stipends Requested information must also be included. PHS 398 A. Stipends, Stipends Requested ($) N N Incl : NIH, FDA, USU Incl: Excl: T02, T03 Provide error If total stipends requested is greater than and number of undergrad and number undergrad short For <Organization name> for budget period < Budget Year>, if Stipends Requested information is provided then corresponding E
term, and total and total short term, and total and total short term, and number of other full-time, and number of other short term, is not greater than 0. Number of Trainees information must also be included. PHS 398 A. Stipends, Tuition /Fees Requested ($) PHS 398 A. Stipends, 45
Stipends + Tuition/ Fees Requested ($) PHS 398 B. Other Direct Travel, Funds Requested ($) PHS 398 B. Other Direct Related Expenses, Funds Requested ($) N N Incl : NIH, FDA, USU Incl: Warning if Funds requested, training related expenses is not provided For <Organization name> for budget period < Budget Year>, the Funds Requested for Training Related Expenses should be provided. W PHS 398 B. Other Direct CostsTotal Direct Costs from N N Incl : NIH, FDA, Incl: Provide error if RR budget (project budget) is present in the application and if the Total Direct If an R&R Budget is part of the application, the Total direct costs from the R&R Budget E
R&R Budget Form (if applicable), Funds Requested ($) USU Costs from RR Budget for budget periods is Null or '0' should be provided in the Total direct Cost from R&R Budget form section. PHS 398 B. Other Direct Training Costs (if applicable), Funds Requested ($) N N Incl : NIH, FDA, USU Incl: Excl: T02, T03 provide warning for Project budget if all budget periods Consortium cost is Null or '0' and a subaward exists for the component A Budget form is included in the application. The total costs of subawards submitted for this application should be reflected in the Other Direct Costs section of the Project budget in the Consortium training costs section. W PHS 398 B. Other Direct CostsTotal Other Direct
Costs Requested, Funds Requested ($) PHS 398 C. Total Direct Costs Requested (A + B) PHS 398 D. Indirect Costs Indirect Cost Type 1 PHS 398 D. Indirect Costs Indirect Cost Rate 1 (%) N N Incl : NIH, FDA, USU Incl: Provide warning if not 8 For <Organization name> budget for budget period < Budget Year>, the Indirect Cost Rate should be equal to 8. W PHS 398 D. Indirect Costs
Indirect Cost Base 1 PHS 398 D. Indirect Costs Funds Requested 1 ($) PHS 398 D. Indirect Costs Indirect Cost Type 2 PHS 398 D. Indirect Costs Indirect Cost Rate 2 (%) PHS 398 D. Indirect Costs Indirect Cost Base 2
PHS 398 D. Indirect Costs Funds Requested 2 ($) PHS 398 D. Indirect Costs Total Indirect Costs Requested PHS 398 E. Total Direct and Indirect Costs Requested (C + D) PHS 398 F. Budget N N Incl : NIH, FDA, USU Incl: 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 Comments (Y/N) FOA Lists Code & to or to Type (Multi Only) PHS 398 A. Stipends, Stipends Requested ($) 015.64 PHS 398 A. Stipends, Requested ($) 015.65 PHS 398 A. Stipends, Single Degree, Stipends 015.66 Age
Requested ($) PHS 398 A. Stipends, Single Degree, Requested ($) 015.67 PHS 398 A. Stipends, Dual Degree, Stipends Requested ($) 015.68 PHS 398 A. Stipends, 015.69
Requested ($) PHS 398 A. Stipends, Degree Seeking, Requested ($) 015.75 PHS 398 A. Stipends, Total Stipends Requested ($) 015.76 PHS 398 A. Stipends, Total 015.77
PHS 398 B. Other Direct Costs Trainee Travel 015.83 PHS 398 B. Other Direct Costs Training Related Expenses 015.84 PHS 398 B. Other Direct Costs Total Direct Costs from R&R Budget 015.85
SBIR/STTR Form Form Field Rule Categories Validation Error Message Error/ Comments (Lists FOA Activity Specific Lists Activity Code (Inclusion & Exclusion) to or to or Both (Multi Only) (NIH) Program Type (SBIR, STTR, Both) N N Incl : NIH, FDA, VA 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) N N Incl : NIH, FDA, VA 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 Type (Phase I,
(NIH) Phase II, Fast-Track) (NIH) Question 1.a Small Business Eligibility (Y/N) N N Incl : NIH, FDA, VA 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 (NIH) Question 2. Are Included? (Y/N) (NIH) Name of For N N Incl : NIH, FDA, V 1.1 Incl: R41, R42, UT1, UT2, Required entry if response to ‘Are Subcontracts If it is indicated in question 2 that subcontracts are included, the E
(NIH) of Foreign N N Incl : NIH, FDA, VA V 1.1 Incl: R41, R42, UT1, UT2, R43, R44, U43, U44, SB1,UB1 Must be included if answer to ‘work to be performed in US’ question is ‘no’. If it is indicated in question that research is not to be performed in the US, an explanation attachment must be provided. E (NIH) of Foreign N N Incl : NIH, FDA, VA V 1.1 Incl: R41, R42, UT1, UT2, R43, R44, U43, U44 Cannot be included if answer to ‘work to be performed in US’ question is ‘yes’. If it is indicated in question that research is to be performed in the US, an explanation attachment cannot be provided. E (NIH) Question 5. Equivalent (Y/N) (NIH) Names of other Federal agencies for N N Incl : NIH, FDA, V 1.1 Incl: R41, R42, UT1, UT2, R43, R44, Required entry if answer to ‘submittal of equivalent work to other If it is indicated in question 5 that applications for essentially equivalent work E
equivalent work VA U43, U44, SB1, UB1 agencies’ question is ‘yes’. 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, FDA, VA 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 5 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, FDA, 1.2 Incl: R41, R42, UT1, UT2, R43, R44, U43, U44, SB1, UB1 Provide warning if Disclosure Permission Statement answer is different on The Disclosure Permission Statement answer provided on the PHS398 Cover Page W
VA SBIR/STTR form and the Cover Page Supplement form Supplement form does not match the answer provided on the SBIR/STTR Information form. Please verify and correct as needed. (NIH) Plan N N Incl : NIH, FDA, VA Incl: Plan attachment cannot be submitted for SBIR or STTR Phase I A Plan should not be submitted for Phase I applications. E Updated to exclude verson 1.2 (NIH) Plan N N Incl : NIH, FDA, VA Incl: R42, UT2, R44, U44 Plan attachment is required for Phase II, Direct Phase II and Fast Track submissions The Plan is required for Phase II and Fast Track submissions. E Updated to exclude version 1.2
(NIH) Plan N N Incl : NIH, FDA, VA V 1.1 Incl: R42, UT2, R44, U44 Limited to 12 pages The Plan is limited to twelve (12) pages. E (NIH) Agency to which you are applying N N Incl : NIH, FDA, VA Incl: R41, R42, UT1, UT2, R43, R44, U43, U44, SB1, UB1 If DOE or USDA checked, trigger error DOE and USDA are not valid agency selections for this funding opportunity announcement. E New Rule October 2017 Release (NIH) Application Type: Direct Phase II N N Incl : NIH, FDA, VA = ‘Y’ Provide warning if an application type other than Direct Phase II is selected when applying to a Direct Phase II FOA. You have applied using a Direct Phase II Funding Opportunity Announcement, but a selection other than Direct Phase II has been made. W New Rule October 2017 Release Application Type: N N Incl : NIH, Provide warning if Direct Phase II selected when Check Funding Opportunity Announcement W New Rule 20.1
(NIH) Direct Phase II FDA, VA = ‘N’ applying to a Non-Direct Phase II FOA to verify Direct Phase II is a valid application type selection. October 2017 Release (NIH) Application Type: Phase II B N N Incl : NIH, FDA, VA Incl: R42, UT2, R44, U44 Provide warning if there is not a previously awarded Phase II, Direct Phase II or Fast Track in the system and the applicant selects Phase IIB on the SBIR/STTR form A previously awarded Phase II, Direct Phase II or Fast Track could not be found. If your project was previously supported by a contract or another agency, contact the eRA Service Desk (). W New Rule October 2017 Release (NIH) Application Type: Phase II B N N Incl : NIH, FDA, VA Incl: R42, UT2, R44, U44 Provide warning when applicant selects Application Type as “New” on the SF424 R&R cover AND selects Phase II B on the SBIR/STTR form Phase II B is not a valid selection when Type of Application selected on the SF 424 R&R Cover is “New”. W New Rule October 2017 Release
(NIH) Application Type: Phase IIA N N Incl : NIH, FDA, VA Provide error if Phase IIA checked on the SBIR/STTR form and HHS is selected. HHS does not support Phase IIA E New Rule October 2017 Release (NIH) Readiness Program N N Incl : NIH, FDA, VA Incl: SB1, UB1 Provide warning if applicant selects Readiness Program but previously awarded Phase II, Direct Phase II, Fast Track or Phase IIB could not be found A previously awarded Phase II, Direct Phase II, Fast Track or Phase IIB could not be found. If your project was previously supported by a contract or another agency, contact the eRA Service Desk W New Rule October 2017 Release (NIH) Phase I Letter of Intent number N N Incl : NIH, FDA, Incl: R41, R42, UT1, UT2, R43, R44, U43, U44, SB1, UB1 Provide warning if Phase I Letter of Intent Number is provided Phase I Letter of Intent Number is not required for HHS agencies and will be ignored W New Rule October 2017 Release
VA vwhen HHS is checked. (NIH) 1.c. Is your small business majority owned by venture capital operating companies, hedge funds, or private equity firms? N N Incl : NIH, FDA, VA Incl: R43, R44, U43, U44, SB1, UB1 Provide warning if VCOC certification attachment is included and applicant does not select 'yes' in response to question 1c. You provided the VCOC certification attachment but have not selected 'Yes' to question 1c. for Venture Capital information. W New Rule October 2017 Release (NIH) 1.c. Is your small business majority by venture capital operating companies, hedge funds, or private N N Incl : NIH, FDA, VA Incl: R43, R44, U43, U44, SB1, UB1 Provide error if Program Type selected on the form is 'STTR' and the applicant selects 'Yes' to question 1c: Is your small business majority owned by venture capital operating If program type selected is STTR, the answer to "Is your small business majority owned by venture capital operating companies, hedge funds, or private equity funds cannot be 'Yes'. E New Rule October 2017 Release
equity firms? companies, hedge funds, or private equity firms. (NIH) plan N N NIH, FDA, VA Incl: R41, R42, UT1, UT2, R43, R44, U43, U44, SB1, UB1 A plan is required for all SBIR/STTR applications other than Phase I and not applying to DOE A Plan should not be submitted for Phase I applications unless the phase 1 is for DOE E New Rule October 2017 Release (NIH) Have you received SBIR Phase II awards from the Federal Company History N N NIH, FDA, VA Incl: R43, R44, U43, Provide error if Company history is not provided when response to the question, “ Have you receive SBIR Phase II awards from the Federal Company history is required, if your response to the question, “Have you received SBIR Phase II awards from the Federal Government?” is “Yes”. E New Rule October 2017 Release
Government” is “Yes”. (NIH) Will the Project have his/her primary with the small business at the time of award? N N NIH, FDA, VA Incl: R43, R44, U43, U44 ,SB1, UB1 Provide error if response to question , “Will the Project Investigator have his/her primary employment with the small business at the time of award?” is not provided You have selected “SBIR” or “Both” as your program Type. You must provide a response to the question, “Will the Project Investigator have his/her primary employment with the small business at the time of award?” E New Rule October 2017 Release (NIH) Please indicate whether the answer to BOTH of the following questions is TRUE: (1) Does the Project N N NIH, FDA, VA Incl: R41, R42, UT1, UT2, R43, R44, U43, U44, SB1, UB1 Provide error response to questions 10(1) and 10(2) are not provided when program type is “STTR” or “Both” You have selected “STTR” or “Both” as your program Type. You must indicate whether questions 10 (1) E New Rule October 2017 Release