assistance is needed. 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. .com .org .net IGNORE email addresses EXCLUDE “Biographical Sketch” and “Bibliography & References Cited” attachments. The attachment contains a hyperlink. The receiving agency does not accept hyperlinks in W 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 E . attachments 4
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 This rule should be disabled for CDC Type 6 Amendment except for the following CDC Type 6 Amendment Budget Revision. CarryOver Request, Successor or Transfer, No-Cost Extenstion. , 7 8 Non- A, A,
Global validation Y N Incl: NIH, AHRQ Excl : Both Generate a warning if user submits an application package with a "-E" in the Competition ID You are using a FORMS-E application package. If you are submitting to a due date on or after January 25, 2018 you are using the correct forms and no action is needed If you are submitting to a due date on or before Jan 24, 2018, you are using incorrect forms and MUST move to for that due date. W October 2017 Release Modified rule trigger and message 0
Global Validation Y N Both Provide warning if applicant SAM expiration date is within 14 days of the current date. The SAM registration for your organization will expire on < expiration date>. An active SAM registration is required for submission. W May 24 Release Global Validation Y N Incl: Single For Non-Research applications, a warning is generated when a Post Award Action is submitted and does not contain the recommended set of forms. The Post Award application you are submitting does not contain the full set of forms by the agency guidance. Please review the guidance for additional information. E August 2016 Release SAMHSA Post Award Amendment 1
Global Validation Y N Single For CDC Post Award Amendments, an error is generated when a Post Award Action is submitted and does not contain the recommended set of forms The Post Award application you are submitting does not contain the full set of forms by the agency guidance. Please review the guidance for additional information. E Global Validation Y N Incl: Single Generate an error rejecting submission of any Post Award 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 E August 2016 Release SAMHSA Post Award Updated January 2017 Release SAMHSA Amendment Amendment Non- Non- Competing Competing
and navigate to your grant record to complete this process. Global Validation Y N Incl: CDC Single Generate an error rejecting submission of any Post Award or Continuation application which 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
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 Open Date is E Global Validation Y N Incl: Single Application is Continuation and SYSDATE ≥ of the next active Support Year This Continuation application is due. Next Support Year Due W
allowable appendix materials. will be withdrawn and not reviewed if they are determined to contain Appendix materials that are not specifically referenced in this notice or the FOA. Global Validation 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 FOA that 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 Note: This rule is parallel to 034.5.5 for Single Projects. 0
Global Validation 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 Global Validation N N Incl: NIH Both Both If opportunity is NIH and organization is not eligible, return error The organization Name] is ineligible to submit applications for this NIH FOA. Refer to E August 1, 2018 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 E <attachment 4 A,
the agency in PDF format with a .pdf extension. 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 encrypted. Please submit a application with the correct PDF attachment. Help with PDF attachments can be found at E
Please see our PDF guidelines at for additional information. 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, comma, semi colon, apostrophe, at sign, number sign, dollar sign, percent sign, plus sign, and equal sign. The attachment filename is invalid. Valid filenames may only include the following characters: A-Z, a-z, underscore ( _ ), hyphen (-), space, period, parenthesis, curly brackets({}), square brackets, tilde, exclamation point, comma, semi colon, apostrophe, at sign, number E >
sign, dollar sign, percent sign, plus sign and equal sign. No other special characters can be part of the filename. Attachment Validations N N Incl : NIH, CDC, FDA, AHRQ, VA, USU, Multi Both Y Provide error at the entire application level if a Biosketch attachment for the same Senior/Key Person is provided on multiple components on Research and Related Senior/Key Person Profile (Expanded). Senior Key Person entries will be determined to be for the same person if: Senior Key Person Profile or PD/PI Profile Credentials match. The grantor agency allows only one biosketch per Senior/Key Person to be submitted with this application. The application contains more than one biosketch for Senior/Key Person(s): <Last name, First name> on components <component ID>: Title>, <component ID>: E
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 Profile (Expanded). The system will consider person to be potential matches if Credentials are not provided for both entries, then if Senior Key Person Profile or PD/PI Profile First Name and Last Name and Organization Name match. The grantor agency allows only one biosketch per Senior/Key Person to be submitted with this application. The application contains more than one biosketch for Senior/Key Person(s) with the same last name, first name, and organization name. Specifically: <Last name, First name>; E
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 error if at the entire application level every unique senior key does not have at least one biosketch attachment included. A unique senior key entry is one that shares the same credential or the same first name, last name, and organization name. The grantor agency requires a biosketch attachment for each Senior/Key Person for this application. The following Senior/Key Person do not have a biosketch attachment: <Last name, First name>; on E
component <component ID>: Title> Attachment Validations N N Incl : NIH, CDC, FDA, AHRQ, VA, USU, Both Both Provide error if attachments file names are not unique within a form within a component. The filename> attachment has been uploaded multiple times on the <Form name>. Please make sure all files uploaded on the <Form name> have unique file names. E Attachment Validations N N Incl : NIH, CDC, FDA, AHRQ, VA, USU, Both Both Provide error if any attachments filenames are missing The file attached to label> on form <form name> does not have a specified filename. Please make sure all files E
submitted with your application have a distinct filename. Attachment validation N N Excl: NIH, CDC, FDA, AHRQ, VA, USU, Both Both If an attachment is empty (0 bytes), the following error should be returned The attachment is empty and does not contain any data or information. E 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, 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: CDC Excl: 666 Do not accept changed/ corrected application if the original application Your application has already been submitted for processing by Federal agency staff and can E March 2018 Release Incl Incl : Incl ) ) 4 4 4 4 / )
has been verified and not withdrawn no longer be changed through the electronic submission process. SF Type of N N : 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 SF Type of N N 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 March 2018 Release SF Type of N N Incl: CDC Do not accept 'Changed/Corrected" submission type for Type 6 CDC Post You selected Revision as the 'Type of Application' which indicates that this is a E Incl : Incl : Incl Change 4 4 4 4 ) ) ) )
App) Award Amendment applications Post Award Amendment request. Change/Corrected is not a valid 'Type of Submission' for Post Award Amendment requests. Please use Application for the ‘Type of Submission’ 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 SF 001.3 SF Date : Incl 0 4 4 4 ) ) )
by State SF State 001.5 SF Federal N N : 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 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 E : : Incl Incl 4 4 4 ) )
grant has been withdrawn without a summary statement application has been released by the agency. 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 SF Federal N N Incl: NIH, V 2.0 Both For resubmission, prior grant suffix code must not =’A2’ This application has exceeded the number of resubmissions permitted and cannot be accepted. The NIH and AHRQ resubmission policy was revised in April 2014 and you may have the option to submit a New application. See: E : : Incl : Incl Incl 4 4 4
SF Federal N N NIH, CDC, FDA, VA, USU V 2.0 Both For a revision, the prior grant number must exist in the NIH system (Matching is performed only on IC and serial number), the parent grant must be awarded and the application project dates must be within the parent grant. The Federal Identifier included in the application cannot be found. Please ensure you are using the institute code and serial number of the most recent awarded grant number. If the Federal Identifier is correct, the project period of the revision application must fall within the awarded project period of the parent grant. E SF Federal N N Incl: NIH, USU V 2.0 Both For Resubmission, if the prior Grant suffix code = A0 or A1 and resubmission created date is more than 40 months from prior grant created date, provide Error Resubmission applications must be submitted within 37 months of the previous submission. See: . E SF Federal N N Incl : NIH, CDC, FDA, VA, USU V 2.0 Incl: R42, UT2, R44, U44 For SBIR/STTR Renewal, provide Error if prior grant is an awarded SBIR/STTR Phase II B A Renewal SBIR/STTR submission is not allowed if an SBIR/STTR Phase II B has previously been awarded. E : : Incl : Incl Incl 4 4 4
SF Federal N N Excl: NIH, USU V 2.0 Both For a resubmission, if the prior grant suffix code=A1 or A2, display a warning Some funding agencies limit the number of Resubmission applications that may be submitted. This application may be returned after internal processing if additional Resubmissions are not within policy. W SF Federal N N : NIH, CDC, FDA, VA, USU V 2.0 Both For revision type of application, provide a warning if the application end date is greater than parent grant end date. The entire proposed project period must be within the awarded parent grant project period E SF Federal N N Incl NIH, CDC, FDA, VA, USU V 2.0 Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, K76, F99/K00 Provide error if Commons Account doesn’t match and last name of PI on prior grant doesn’t match last name for PI on current application. Ignore case, spaces, and punctuation on match. The PD/PI listed for this application does not match the PD/PI associated with the grant identified by the Federal Identifier. E January 14, 2016 Release, Update to Existing Rule (added K76, F99/K00) : : : Incl Incl Incl 4 4 4
SF Federal N N Incl : 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 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 SF DUNS Y N Incl 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 : : : Incl Incl Incl 4 4 4 4
City 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 State should not be provided for all countries other than the United States. 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 County/ Parish : : : Incl Incl Incl 4 4 4 4
K08, K18, K22, K23, K25, K99, K99/R00, R15, UA5, T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, T37, K12, R50, K76, F99/K00 Update to Existing Update to existing( added C06, UC6 and G20) Update to existing( Added R50) December 2015 Release January 16, 2016 Release, Update to Existing Rule (added K76, F99/K00) SF Country N N Incl: NIH, CDC, FDA, Incl: R13, U13, R18, U18 Provide a warning if country is not US The type of program you are applying to is typically restricted to US applicants. Please verify eligibility in the Funding Opportunity W 4
SF Person to be ZIP 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 Person to be ZIP 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 Person to be Phone Number SF Person to be Fax Number SF Person to be N N Incl : NIH, CDC, FDA, 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 W Contact Contact Contact Contact Contact : : : Incl Incl Incl 4.1
VA, USU 424 RR cover page will be used instead. SF Person to be N N 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 Incl 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 SF Type of (other, woman owned, N N : NIH, CDC, FDA, VA, USU V 2.0 Incl: R41, R42, UT1, UT2, R43, R44, U43, U44, For an SBIR/STTR application, must be ‘Small Business’. For an SBIR/STTR application, the Type of Applicant must be ‘Small Business’. E Contact : : : Incl Incl Incl
SB1, UB1 SF Type of (other, N N Incl 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 (other, N N Incl: CDC If “E. Other” is checked and Type of application is post award amendment (Type 6), the amendment name provided in the "Other(Specify)" field should be valid. If not exact match, it should be rejected. The Post Award Amendment name provided in the “Other(Specify)" section, is not a valid name. Please choose a valid name. 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 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
other (Y/N) SF to other Name of N N 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 This rule should be disabled for : : Incl Incl
start date FDA, VA, USU V 2.0 later than today's date. CDC Type 6 Amendment applications SF project ending date N N Incl : 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, ROO, 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, 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 W Update to existing rule (added DP1, DP5 and UP5) : Incl : Incl
ending date VA, USU = Y UA5, G08, G13 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. this FOA. Applications that do not comply 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 : 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 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 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
Code supplied for US addresses. SF PD/PI Contact 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 PD/PI Contact phone number SF PD/PI Contact fax number SF PD/PI Contact email 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 PD/PI {0}, is invalid. E SF Total Federal Funds N N NIH, CDC, Incl: S10 Provide warning if Total Federal Funds Total Federal Funds Requests of $500K or more need agreement W New rule : : 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 Incl 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
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
K76, F99/K00 SF Cover Letter N N : NIH, CDC, FDA, VA, USU R13, U13 Provide warning if a cover letter is not attached A covel letter should be attached for this application. Be sure that you have complied with the FOA instructions. W SF Cover Letter N N : NIH, CDC, FDA, VA, USU Do not allow cover letter attachment for type 3/6/7 applications. A cover letter cannot be attached for this application. E New rule SF 424 (R&R) MP ((Use only for Multi-project)
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 /
MP SF 424 MP Street 1 N N Incl : 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 Incl 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 Count
MP State Organization name, or DUNS if Org name is not available>, the State must be supplied for US addresses. SF 424 MP State Y Y 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 Y Y 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 Y Y 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 : : Incl : Incl Incl 0 0 0 0
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 Incl 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 Prefix SF 424 MP to be First Name N N Incl NIH, CDC, FDA, VA, USU Multi First Name is required The Component Person to be Contacted first name is required. E SF 424 MP to be Middle Name 002.23 SF 424 MP to be Last Name N N Incl NIH, CDC, FDA, VA, USU Multi Last Name is required The Component Person to be Contacted last name is required. E SF 424 MP to be Suffix 002.25 SF 424 to be 002.26 : : Incl Incl one one 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
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 NIH, Multi End date is required The Component Proposed Project E : : Incl : Incl : Incl : Incl Incl one one one one
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 state 002.67 SF 424 MP PD/PI 002.68 SF 424 MP PD/PI 002.69 SF 424 MP PD/PI Code 002.70 SF 424 MP PD/PI phone 002.71
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
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
give an error. valid province name. Project/ Site (R&R) Primary Location, 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) Primary Location, 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) Primary Location, 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) Primary Location, 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) Primary Location, Country 003.11 Project/ Site (R&R) Primary Location, District N N : NIH, CDC, FDA, AHRQ, VA, USU Incl; V2.0 Both Both Required if Country is US. For <Organization name or DUNS (if Org name not available)>, the Congressional District is required since country is United States. E Project/ Site (R&R) Primary Location, District N N Incl : NIH, CDC, FDA, AHRQ, VA, USU Incl; V2.0 Both Both Must be a valid district code (after truncating). Truncation logic: Parse from left to right, and take the first two digits skipping leading zeroes (return error if no digits are but no error if only zeroes are Congressional district <Congressional District> is invalid for <Organization name or DUNS (if Org name not available)>. To locate your district, visit If the applicant organization is a foreign institution, refer to the application guide for instructions. 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 Form 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 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 : 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. W 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: 1.4 and after 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 to exlclude version 1.4 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 and Other Project Exemption number 1-6 N N Incl: NIH, CDC, FDA, USU and after 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 to exclude version 1.4 AHRQ
and Other Project Vertebrate animals used? N N Incl : NIH, CDC, FDA, VA, USU Incl: V1.3 Both Overall If Vertebrate Animal Used is ‘Y’, then ONE of the following must be provided: Assurance Number + IACUC Approval Date OR Assurance Number + IACUC Approval Pending OR the word ‘None’ (case insensitive, don’t validate on punctuation) When Vertebrate Animals is “Yes”, you must provide of the following: (1) animal welfare assurance number + IACUC approval date, (2) animal welfare assurance number + an indication that IACUC approval is pending OR (3) the word ‘None’. E 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 Incl 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 Answering ‘Yes’ to Vertebrate Animals on the Overall component and ‘No’ to Vertebrate Animals on all other components is typically not allowed unless your W AHRQ AHRQ AHRQ AHRQ
Animals is Yes, provide Warning Revision application (or Resubmission of a Revision) does not include the components that involve vertebrate animals. and Other Project Vertebrate animals used? N N : NIH, CDC, FDA, VA, USU Incl: V1.3 Incl: S10 Provide warning if Vertebrate Animals Used is true. The answer to the Vertebrate Animals Used should be ‘No’ for this application. W New rule and Other Project Vertebrate animals used? N N Incl NIH, CDC, FDA, VA, USU Incl: V1.3 Incl: R50 Provide Error if Vertebrate Animals Used is true. The answer to the Vertebrate Animals Used question should be ‘No’ for this application. W New Rule December 2015 Release and Other Project IACUC review pending? N N NIH, CDC, FDA, VA, USU Incl: V1.3 Both Overall Provide a warning if Vertebrate Animals Used is ‘N’ and IACUC Approval Pending indicator is checked. When Vertebrate Animals is “No” IACUC Approval Pending indicator does not apply. W AHRQ AHRQ AHRQ
and Other Project IACUC approval date N N Incl NIH, CDC, FDA, VA, USU Incl: V1.3 Both Overall Provide a warning if Vertebrate Animals Used Question is false and approval date is provided When Vertebrate Animals is “No” IACUC Approval Date does not apply. W and Other Project Animal Welfare Assurance Number N N : 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. 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 W AHRQ AHRQ AHRQ
Other Project Exemption Indicator 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 AHRQ AHRQ
and Other Project Activities outside of US? N N Incl : NIH, CDC, FDA, VA, USU 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" 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 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 Incl : 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, 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 AHRQ
VA, USU and Other Project Optional explanation and Other Project Project N N 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 Incl : 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 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
Project 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 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 Incl : NIH, USU Incl: V1.3 Excl: DP1, ROO, 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 and 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 2.1
Other Project References Cited References Cited is more than pages and Other Project and References Cited N N Incl: NIH, CDC, FDA, AHRQ VA, USU Incl: V 1.3 Incl: DP1, ROO, DP2, DP4 Provide error if Bibliography attached. The Bibliography and References attachment cannot be included.. E New rule and Other Project Facilities and other resources N N Incl: NIH, CDC, FDA, AHRQ VA, USU Incl: V 1.3 Incl: T01, T02, T03, T14, T42, T90, T32, T34, T35, T36, T37, K12, D43, D71, U2R, R50 Provide error if Facilities and other resources attachment is not attached The Facilities & Other Resources attachment is required. E Update to existing rule (removed KM1) Update to existing (Added R50) December 2015 Release 15,
and Other Project Equipment N N Incl : NIH, CDC, FDA, VA, USU Incl: V1.3 Incl: S10 Equipment attachment is required The Equipment Attachment is required. E New rule and Other Project Other N N 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
and Other Project Other N N Incl: VA Incl: V1.3 Incl: I01 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 7 pages. The Research Plan, submitted as an Other Attachment on the Other Project Information page, is limited to 7 pages. and Other 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
Project Other Project Information page, titled and Other Project Other N N Incl: VA Incl: V1.3 E For VA applications where a file named has been submitted, it cannot be greater than 1 page. The Specific Aims, submitted as an ‘Other Attachment’ on the Other Project Information page, is limited to 1 page and Other Project Other N N Incl: VA Incl: V1.3 E For VA applications, a file named is required A Specific Aims is required for this application. Please submit it as an 'Other Attachment' on the Other Project Information page, titled and Other Project Other N N Incl: VA Incl: V1.3 Incl: IK1, IK2, IK3, IK4, IK5, IK6, I21 For VA applications and activity code is IK1, IK2, IK3, IK4, IK5, IK6 or I21 do not accept a file named ‘06_VA_Multiple_PI.pdf A Multiple PI Leadership Plan may not be submitted for this award type E Updated Message Text. October 2016 Release and Other N N Incl: VA Incl: V1.3 Incl: I01, I21, I50, IP1, For VA applications and activity code is I01, I21, I50, IP1, IK6, IK3 IS1, I34 or IU1 do not accept file named A Mentoring Plan may not be submitted for this application E
attachment Other Project IK6, IS1, I34, IU1 and Other Project Other N N Incl: VA Incl: V1.3 Incl I01, I21, I50, IP1, IK6, IS1, I34, IU1 For VA applications and activity code is I01, I21, I50, IP1, IK6, IK3, IS1, I34 or IU1 do not accept file named A Career Plan may not be submitted for this application. E and Other Project Other N N Incl: VA Incl: V1.3 Incl: IK1, IK2, IK3, IK4 ,IK5, For VA applications and activity code is IK1, IK2, IK4 or IK5, a file named is required A Career 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 Incl: is IK1, IK2, IK3, IK4, IK5 For VA applications and activity code is IK1, IK2, IK4 or IK5, a file named is required A Mentoring Plan is required for this application. Please submit it as an 'Other Attachment' on the Other Project Information page, titled E
Information page, titled 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 Other Project Information page, titled E 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', IK3 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 Project 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, it cannot be greater than pages The Research Plan, submitted as an Other Attachment on the Other Project Information page, is limited to pages E 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 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.
Form Field Rule Categories Validation Error Message Comments (Y/N) (Y/N) (Lists FOA Activity Specific Lists Activity Codes to or both to and Other Project Other N N Incl : NIH, CDC, FDA, VA, USU V 1.3 Incl: R41, R42, UT1, UT2 For STTR applications, provide a Warning if a file named like is attached. A VCOC Certification attachment should not be provided for STTR applications. W and Other Project Other N N : NIH, CDC, FDA, VA, USU Incl: R41, R42, UT1, UT2, R43, R44, U43, UB1 For SBIR/STTR applications, provide a Warning if a file named like ‘SBC_%.pdf' is not attached. SBIR and STTR applicants are required to register with SBA through the web site and must attach their registration confirmation files to their applications. This confirmation file (with the original file name from the SBA) must be attached as a PDF file to the Other Attachments section of the R&R Other Project Information form. Please follow application guide and FOA instructions for the registration attachment This W The error will be triggered for SBIR/STTR form v1.1 and will not be triggered for SBIR/STTR form version 1.2 : Incl Only one
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 Incl 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, 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 : 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, ZIP/Postal Code 005.17.1 Y Y Incl: V 2.0 Both Both ZIP Code is required if country is US. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, the ZIP Code must be supplied for US addresses. E Research and Related Senior/Key Person Profile PD/PI Profile, ZIP/Postal Code 005.17.2 Y Y Incl: V 2.0 Both Both ZIP Code must be 9 numeric digits if country is US. For < Person First, Last name or Organization name, or DUNS if Org name is not available>, a 9 digit ZIP Code must be supplied for US addresses. E Research and Related Senior/Key Person Profile PD/PI Profile, Phone Number 005.18 Research and Related Senior/Key Person PD/PI Profile, Fax Number 005.19
Profile Research and Related Senior/Key Person Profile PD/PI Profile, Email 005.20 Research and Related Senior/Key Person Profile PD/PI Profile, credential 005.21.1 Y N Incl: V2.0 Both Credential is required for PD/PI role The Commons Username must be provided in the PD/PI Credential field for the PD/PI <Last Name, First Name>. E Research and Related Senior/Key Person Profile PD/PI Profile, credential 005.21.2 Y N Incl: V2.0 Both If credential is specified, it must be a valid Commons account, The Commons Username <Credential> provided in the PD/PI Credential field for <Last Name, First Name> is not a recognized Commons account. E Research and Related Senior/Key PD/PI Profile, credential 005.21.3 Y N Incl: V2.0 Both For the PD/PI, this account must be affiliated with the organization (matching on the The Commons account provided in the Credential field for the PD/PI <Last Name, First Name> is E Updated Message text. all all all
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 Incl 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 005.21.6 N N : NIH, CDC, FDA, VA, USU Incl: V2.0 Both Provide a warning if there is both an SO and a PI role associated with the Commons account. The Commons account for <Last Name, First Name> has both ‘SO’ and ‘PI’ roles. This will not prohibit your submission, but may cause some Commons functions not to work properly. To address the issue, please create a separate Commons account for the ‘SO’, and then delete the ‘SO’ role from the account included in the submission. W Research and Related Senior/Key Person Profile PD/PI Profile, credential 005.21.7 N N Incl NIH, CDC, FDA, VA, USU Incl: V2.0 Both Provide a warning if the role associated with the Commons account is an SO with any other role than PI. The Commons account included for <Last Name, First Name> has an ‘SO’ role. Applications must be associated with a Commons account with a ‘PI’ role. This will not prohibit your submission, but may cause some Commons functions not to work properly. To address the issue, please add a ‘PI’ role to this account, create a separate ‘SO’ Commons account for the ‘SO’, and delete the ‘SO’ role from the original account. W all all
VA, USU Profile form must have the role PD/PI . Research and Related Senior/Key Person Profile PD/PI Profile, project role 005.22.2 N N NIH, CDC, FDA, VA, USU Incl: V2.0 Multi If PI role selected give Error The PD/PI role can only be selected on the Overall Component. Please specify a different Project Role for <Last Name, First Name>. E Research and Related Senior/Key Person Profile PD/PI Profile, other project role category 005.23 Research and Related Senior/Key Person Profile PD/PI Profile, Degree Type 005.24 Research and Related Senior/Key Person PD/PI Profile, Degree Year 005.25
Profile Research and Related Senior/Key Person Profile PD/PI Profile, Biosketch 005.26.2 N N Incl 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 This rule should be disabled for CDC Type 6 except for CDC Type 6 Change in PI 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, ROO, DP2, DP4 Current and Pending Support is required. The Current and Pending Support attachment for the PD/PI is required . E New rule
Profile Last Name VA, USU provide warning if last name and first name on account don’t match provided name. Comparison to ignore case and embedded spaces, but not embedded punctuation. the eRA Commons account name (<Commons profile first name last name>) provided in the credential. The application image will display the name as submitted. Research and Related Senior/Key Person Profile Profile, senior/ key person x, Last Name 005.31.2 N N NIH, CDC, FDA, VA, USU Incl: V2.0 Both Both Provide warning if more than one PD/PI profile or Senior/Key person with the same first, middle name and last name has been found within component. More than one Senior/Key person with the same first and last name has been found within the Snr/Key Person Profile form. Specifically: <Last name, First name>; <Last name, First name>; .. Senior/key individuals should be listed once on the Snr/Key Person Profile form. Duplicate entries should be removed. Please consider providing additional differentiating information (e.g., middle name, suffix) if the entries are not the same person. W Research and Related Senior/Key Person Profile, senior/ key
Profile person x, Suffix Research and Related Senior/Key Person Profile Profile, senior/ key person x, 005.33 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 Profile, senior/ key 005.36
Person Profile person x, Division Research and Related Senior/Key Person Profile Profile, senior/ key person x, Street 1 005.37 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 Profile, senior/ key 005.40
Senior/Key Person Profile person x, 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 Profile, senior/ key person x, ZIP/Postal Code 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 be supplied for US addresses. E 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, senior/ key 005.47
Related Senior/Key Person Profile key person x, credential CDC, FDA, VA, USU F05, F30, F31, F37, F38, FI2, 777, key person with a role of ‘Other’ or ‘Other Professional’ and a project role category of ‘Sponsor’, Provide a warning if the Commons account does not have a sponsor role associated with it. <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 to add the Sponsor role to the account. No change to the application is needed. 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 005.48.7 N N 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 Incl : 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 Profile, senior/ key 005.48.9 N N NIH, CDC, Incl: V2.0 For Diversity Admin Supplement (Type 3), all Senior The eRA Commons Username <Credential> provided E
Senior/Key Person Profile person x, credential FDA, VA, USU Key Persons should have valid credentials Note: Credentials is required and should be valid for <First name> <Last name> is not a recognized eRA Commons Account Research and Related Senior/Key Person Profile Profile, senior key person x, credential N N Incl: NIH, CDC, FDA, VA, USU Incl: v2.0 Incl: K01, K07, K08, K22, K23, K26, K43, K76, K99 Provide warning if commons ID is not provided for the SnrKey person with a project role of ‘Other’ or ‘Other Professional’ and other project role category of ‘Mentor’ A Commons Account should be provided in the Credential Field for <Last Name, First Name> listed as the Mentor for this application W New Rule, Sprint 32 SVS-112 Research and Related Senior/Key Person Profile Profile, senior/ key person x, project role 005.49.1 N N Incl : 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 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 Incl : NIH, CDC, FDA, VA, USU Incl: SC1, SC2, SC3, C06, UC6, G20 K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, . R50, K76, 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( 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 Profile, senior/ key person x, 005.49.4 N N NIH, CDC, FDA, Incl: R36, SC2 Provide error if there is not at least Snr/key person identified with a A Mentor must be identified for this application by specifying a Project E Update to Existing
Person Profile project role VA, USU project role of ‘Other’ or ‘Other Professional’ and an other project role category of ‘Mentor’. Role of ‘Other’ and an Other Project Role category of ‘Mentor’. Research and Related Senior/Key Person Profile Profile, senior/ key person x, project role 005.49.5 N N Incl: VA, USU Incl: V2.0 Incl: IK1, IK2, IK3, IK4IK5, IK6 ,I21 For VA applications and activity code is IK1, IK2, IK3, IK4IK5, IK6 or I21 provide error if the project role is ‘PD/PI’. For Pilot Project or Career Development mechanisms, applications that include multiple PIs cannot be submitted. E Research and Related Senior/Key Person Profile Profile, senior/ key person x, project role 005.49.6 N N Incl: V2.0 Incl: F05, F30, F31, F37, F38, FI2, For F Applications, there must be at least one key person identified with a project role of ‘Other’ or ‘Other Professional’ and a project role category of ‘Sponsor’. A Sponsor must be identified for this application. Provide the information for this person on the Senior/Key Person page. a project role of Other and an Other Project Role Category of ‘Sponsor’ E New January 14, 2016 Release, Update to Existing Rule (added F99/K00) Research and Related Senior/Key Person Profile Profile, senior/ key person x, other project 005.50.1 N N Incl : NIH, CDC, FDA, VA, USU Incl: V 2.0 Both Both Accept "Other Project Role Category" only when "Project Role" is "Other" or "Other Professional" For key person <First Name Last Name> on the Senior/Key Person page, an ‘Other Project Role Category’ was submitted for a project role of <project role>. This can be used only when Project Role is "Other" E
role category or "Other Professional". Research and Related Senior/Key Person Profile Profile, senior/ key person x, Degree Type 005.51 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, senior/ key 005.53.3 N N Incl : NIH, CDC, FDA, 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
Senior/Key Person Profile Sketch(es) attachment is provided and less than 100 senior/key person (including PD/PI) have been entered on the Sr Key Person Profile may be submitted only if 100 senior/key person (including PD/PI) have been entered on the Sr Key Person Profile. 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, ROO, 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, ROO, 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 Human Subjects Clinical Trial is No, provide Error The Human Subjects Clinical Trial question on the Overall Component must be marked as "Yes", in order for any Human Subjects Clinical Trial question in any component to be marked as "Yes". E PHS 398 Cover Page Human Subjects Clinical Trial (Y/N) N N 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 Defined all all
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, AHRQ, USU 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 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 Defined Defined all
PHS 398 Cover Page Human Subjects Phase III Clinical Trial (Y/N) N Incl 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 Phase III Clinical Trial is Yes on the Overall, then provide Error 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 components in the application. 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 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 Defined W all all all
involve Phase III clinical trial. 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, T35, T36, T37, K12, D43, D71, U2R 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 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 If the answer to Program Income Anticipated question is ‘No’, no program E Octobe 2017 Relese. Exclude version 4.0 from rule 25.1
Cells (HESC) Involved (Y/N) CDC, FDA, AHRQ, USU Involved is Yes on any Other Component, then the answer must be Yes on the Overall Component 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". 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 Cells (HESC) Involved (Y/N) N N NIH, CDC, FDA, AHRQ, USU V 2.0 Multi Y For Revision and Resubmission applications, If 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 Answering ‘Yes’ to HESC Involved on the Overall component 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. W all all
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 “Does the proposed project involve human embryonic stem cells?” question. E Rule updated to apply to Only. October 2016 Release PHS 398 Cover Page HESC Cell Lines N N NIH, CDC, FDA, AHRQ, USU V 2.0 Both If HESC involved=’N’, can’t include ‘HESC Cell Lines’ or can’t be referenced’ checkbox must not be checked You cannot provide specific human embryonic stem cell lines or check the “Specific stem cell lines cannot be referenced at this time” box if you answer No to the “Does the proposed project involve human E Rule updated to apply to Only. October 2016 Release 23.1 reference
embryonic stem cells?” question. PHS 398 Cover Page HESC Cell Lines N N NIH, CDC, FDA, AHRQ, USU V 2.0 Both If specific stem cell line is included, provide error if stem cell line is not in eRA database or is marked as invalid. Comparison should not be case-sensitive. Stem cell line <cell line number> is invalid. The cell line must be an approved line on the NIH Registry: E Rule updated to apply to Only. October 2016 Release PHS 398 Cover Page HESC Cell Lines N N NIH, CDC, FDA, AHRQ, USU V 2.0 Both If ‘Can’t Be Referenced’ is checked, no cell lines may be entered. You cannot provide specific human embryonic stem cell lines if you check the “Specific stem cell lines cannot be referenced at this time” box. E Rule updated to apply to Only. October 2016 Release 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 N N NIH, V 2.0 Both Required if the type of You must answer the “Inventions and E Update to existing rule over all 27.1
Patents, Yes/No CDC, FDA, AHRQ, USU application is either "Renewal". Patents” question if you select Renewal as the Type of Application on the SF424 (R&R) Form. (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, D71, U2R 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 PHS 398 Cover Page and Patents, Reported (Yes or No) N N NIH, CDC, FDA, AHRQ, USU V 2.0 Both Must be answered if response to Inventions and Patents is ‘Yes’ You must answer the “Previously Reported” queston if you answer Yes to the “Inventions and Patents” question E Update to existing rule (modified language on error message), Forms D, March 2016 Release PHS 398 Cover Page and Patents, N N NIH, CDC, FDA, V 2.0 Both Should not be answered if response to You cannot answer the “Previously Reported” question if you answer No to the E Update to existing rule (modified all all
Reported (Yes or No) AHRQ, USU Inventions and Patents is ‘No’ “Inventions and Patents” question language on error message), Forms D, March 2016 Release PHS 398 Cover Page Change of of Inst.: of PI N N NIH, FDA, USU V 2.0 Both Not accepted for revisions. A change of Project Director Principle Investigator is not allowed if you select Revision 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 PHS 398 Cover Page Change of of Inst.: Change of PI N N NIH, CDC, FDA, AHRQ, USU Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00 Provide error if Change of PI indicator is selected. A change of Project Director Principle Investigator is not allowed for this type of funding opportunity announcement. E 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 PI, First Name N NIH, CDC, FDA, AHRQ, USU Both First name must be included if application is for change of PI You must provide the first name of the former PD/PI if you check the “Change of Project Director / Priniciple Investigator” box. E Update to existing rule (modified language on error message), Forms D, March all all 31.1
2016 Release PHS 398 Cover Page Change of of Inst.: Name of former PI, Middle Name PHS 398 Cover Page Change of of Inst.: Name of former PI, Last Name N Incl: NIH, CDC, FDA, AHRQ, USU Both Last name must be included if application is for change of PI You must provide the last name of the former PD/PI if you check the “Change of Project Director Priniciple Investigator” box. E Update to existing rule (modified language on error message), Forms D, March 2016 Release PHS 398 Cover Page 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, 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 all 36.1
T34, T35, T36, T37, K12, D43, D71, U2R 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 consistent with American Medical (AVMA) guidelines N N Incl: NIH, USU Both Both An answer to “is method consistent with American Veterinary Medical Association (AVMA guidelines) is required if the answer to “Are vertebrate animals euthanized’ is “Yes”. You must answer the “Is method consistent with AVMA guidelines?” question if you answer Yes to the “Are animals euthanized?” question. E Forms D, March 2016 Release PHS 398 Cover Page Animals: If “No” to AVMA describe 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 E Forms D, March 2016 Release all 38.1
method and provide a scientific with AVMA guidelines?” question. 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 Modular Budget H, H,
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 1-5 (NIH) Start Date N N Incl: NIH, USU Incl: V 1.2 For budget period 1, if entered, for new and resubmissions applications, must be the same as the Project Start Date The modular budget start date for budget period <budget year> for W Only
listed on the SF 424 RR Face Page . 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 1-5 (NIH) End Date N N Incl: NIH, USU Incl: V 1.2 The Budget period end date must be greater than budget period start date and less than or equal to project period end date listed on the SF424 RR.. For Budget period <budget year> the budget dates must be within the E Year Year
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 limit> per period for this program. E Year Year Year
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. Note: Depending upon the type of application, generate the specific error message. For budget period <budget year>, the Direct Cost requests are limited to <direct cost limit> a year for this application. E New Rule Year Year
1-5 (NIH) Direct Costs, F&A Y N Incl: V 1.2 Must be less than 10,000,000,000. For budget period <budget year>, the Direct Cost Less Consortium provided exceeds the allowable limit. E 1-5 (NIH) Direct Costs, Total Direct Costs N N Incl: NIH, USU Incl: V 1.2 Must equal sum of Direct Cost Less Consortium, F&A and Consortium, F&A for the corresponding budget year (if both are submitted). If only Direct Cost Less Consortium, F&A is submitted for that budget year, must equal that. The ‘Total Direct Costs’ in budget period <budget year> must equal the ‘Direct Cost less Consortium F&A’ plus ‘Consortium F&A’. E 1-5 (NIH) Direct Costs, Total Direct Costs Y N Incl: V 1.2 Must be less than 10,000,000,000. For budget period <budget year>, the Total Direct Costs provided exceeds the allowable limit. E Year Year Year
1-5 (NIH) Indirect Costs, Agency 1-5 (NIH) Indirect Costs, Indirect Cost Rate Date 1-5 (NIH) Indirect Costs, Total Indirect Costs N N Incl: NIH, USU Incl: V 1.2 Must equal sum of Indirect Costs, Funds Requested 1-4 for the corresponding budget year, if any Indirect Costs were entered. The ‘Total Indirect Costs’ in budget period <budget year> must equal the sum of ‘Funds Requested’ for all ‘Indirect Cost Types’. E 1-5 (NIH) Indirect Costs, Total Indirect Costs Y N Incl: V 1.2 Must be less than 10,000,000,000. For budget period <budget year>, the Total Indirect Costs amount provided exceeds the allowable limit. E Year Year Year Year
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 Total Direct Cost less F&A for 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 E 3.2 Year Year Year
(NIH) Entire Project Period Project Period must equal the sum of ‘Total Direct Cost Less Consortium F&A’ values for all budget periods. (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 E
allowable limit. (NIH) Total Costs, Total Indirect Costs for Entire Project Period N N Incl: NIH, USU Incl: V 1.2 Must be equal to the sum of Total Indirect Costs for all budget years. The cumulative ‘Total Indirect Costs Requested for Entire Project Period‘ must equal the sum of ‘Total Indirect Costs’ values for all budget periods. E (NIH) Total Costs, Total Direct and Indirect Costs for Entire Project Period N N Incl: NIH, USU Incl: V 1.2 Must be equal to the sum of all Total Direct and Indirect Costs values for all budget years. The cumulative ‘Total Direct and Indirect Costs (A+B) for Entire Project ‘ must equal the sum of ‘Total Direct and Indirect Costs’ values for all budget periods. E (NIH) Total Costs, Total Direct and Indirect Costs for 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 E
Entire Project Period provided exceed the allowable limit. (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) CDC, FDA, VA, USU V 1.3 1, must be greater than or equal to the Proposed Project Start Date listed on the SF 424 RR. budget beriod < Budget Year>, the start date should the same or later than the proposed project start date listed on the SF 424 RR Cover. & 5YR, (R&R) End Date N Y : NIH, CDC, FDA, VA, USU Incl: V 1.3 The Budget end date must be greater than the budget start date and less than or equal to the Project Period End Date listed on the SF 424 RR Face Page For <Organization name> budget for budget period < Budget Year>, the end date must be later than the budget start date and less than or to the same as the proposed project end date listed on the SF 424 RR Cover. E & 5YR, (R&R) Person x Name, Prefix 020.6 & 5YR, (R&R) Person x Name, First Name 020.7
& 5YR, (R&R) Person x Name, Middle Name 020.8 & 5YR, (R&R) Person x Name, Last Name 020.9 & 5YR, (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 & Person Project Role N Y Incl : NIH, CDC, FDA, 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. 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, Cal. Months CDC, FDA, VA, USU V 1.3 academic months, or summer months is required for each senior/key person. The value may be zero. 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 . & 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 subaward budget. It is not required on both but can be provided. 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 academic and summer months. For information about calculating person months, see . E & Person N Y Incl : NIH, Incl: V 1.3 Provide warning if both academic and calendar For <Organization name> budget for Budget Period < W 2.3
5YR, (R&R) x Name, Acad. Months CDC, FDA, VA, USU months have been provided for a person for a budget year. 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. & 5YR, (R&R) Person x Name, Sum. Months & Person
5YR, (R&R) 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 & 5YR, (R&R) Total funds for Senior Key Persons in N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 Required if Additional Senior Key Persons Attachment is included. For <Organization name> budget for Budget Period < Budget Year>, the ‘Total Funds requested for all Senior Key Persons in the attached file’ is required since an attachment is provided. E
& 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 & 5YR, (R&R) Other Acad Months
& 5YR, (R&R) Total number other & 5YR, (R&R) Total Funds other & 5YR, (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 & item
5YR, (R&R) & 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 & 5YR, (R&R) total & N Y Incl: NIH, USU Incl: V 1.3 Provide error if attachment is provided and less than 10 For <Organization name> budget for Budget Period < Budget Year>, the E
5YR, (R&R) equipment items have been entered for that budget period Additional Equipment attachment cannot be provided unless all 10 Equipment item entries are used. & 5YR, (R&R) Travel, travel costs, funds req & 5YR, (R&R) Travel, foreign travel costs, funds req & 5YR, (R&R) Total travel cost, funds req & support costs:
5YR, (R&R) funds req & 5YR, (R&R) support costs: funds req & 5YR, (R&R) support costs: travel, funds req & 5YR, (R&R) support costs: funds req & support costs: stipends e,
5YR, (R&R) & Funds Req & 5YR, (R&R) Other Direct Costs Costs; Funds Req & 5YR, (R&R) Other Direct Costs Funds Req & 5YR, (R&R) Other Direct Costs Funds Req & Other Direct Costs N Y Incl : NIH, CDC, FDA, Incl: V 1.3 Provide warning for Project budget if Consortium cost A Budget form is included in the application. The total W Services Services
5YR, (R&R) Costs) VA, USU is Null or '0' for all budget periods and a subaward exists for the application 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. & 5YR, (R&R) Other Direct Costs or Facility Fees; Funds Req & 5YR, (R&R) Other Direct Costs and & Other Direct Costs (8. other 1)
5YR, (R&R) & 5YR, (R&R) Other Direct Costs (other1 funds & 5YR, (R&R) Other Direct Costs (9. other 2) & 5YR, (R&R) Other Direct Costs (other2 funds & Other Direct Costs (10. other 3)
5YR, (R&R) & 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 & 5YR, (R&R) Total Direct Costs (A-F) & Total Direct Costs (A-F) N Y Incl : NIH, CDC, FDA, Incl: V 1.3 Must be equal to the sum of total salary, wages and fringe benefits, total funds requested for equipment, For <Organization name> budget for Budget Period < Budget Year>, the Total Direct Costs Funds Requested (does not equal the E
5YR, (R&R) VA, USU total travel cost, total support costs, and total other direct costs sum of individual direct costs in Sections A through F. & 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 corresponding year with budget type An application with a direct cost request of $250K or less for each period should use the PHS 398 Modular Budget. W F-K, Total Direct Costs (A-F) N Y Incl: NIH, CDC, FDA, Incl: V 1.3 Excl: R41, R42, UT1, UT2., Provide warning if total direct cost is equal to or greater than Direct cost requests of $500 K or more a year need approval to accept assignment from Institute/Center W Update to existing (add exclusion of S21, S22)
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 percentage (e.g., ’25.5’, not ‘.255’). W & 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, 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) 2.4 3.2
5YR, (R&R) K12, K30 & 5YR, (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 & 5YR, (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 is greater than 0. For <Organization name> for budget period < Budget Year>, no indirect cost Funds Requested funds is allowed. E New rule & 5YR, (R&R) Total Indirect Costs N Y Incl : NIH, CDC, FDA, VA, USU 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 indirect costs for each indirect cost type. E & Total Indirect Costs
5YR, (R&R) & 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 & Total number other personnel 020.63 Age
& 5YR, Section G, Direct Costs total 020.87.1 N N Incl : NIH, FDA, VA, USU Incl: V 1.3 Incl: G08 For a 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 (1) budget period has been included. E New rule & 5YR, Section G, Direct Costs total 020.87.2 N N Incl : NIH, FDA, VA, USU Incl: V 1.3 Incl: G08 For a submission with two budget periods, must be less than or equal to $200k. The cumulative ‘Total Direct Costs for Entire Project Period’ is limited to $200K if two (2) budget periods have been included. E New rule Section G, Direct 020.87.3 N N Incl : NIH, Incl: Incl: G08 For a submission with The cumulative ‘Total Direct E New rule
5YR, VA, USU all budget periods. & 5YR, Section I, Total Direct and Indirect Costs 020.90 & 5YR, Section I, Total Direct and Indirect Costs (G + H) 020.91.1 N Y Incl : NIH, FDA, VA, USU Incl: V 1.3 Must be equal to the sum of Total Direct and Indirect Costs for every budget year for this budget. For <Organization name> budget, the Cumulative Total Direct and Indirect Costs does not equal the sum of Direct and Indirect Costs for all budget periods. E
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) VA, USU included with budget type of for each year of the STTR (project) budget. year of an STTR submission. & 10YR, (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 on the SF 424 RR. For <Organization name> for budget period < Budget Year>, the start date for new and resubmission applications must be the same as the proposed project start date listed on the SF 424 RR Cover. W & 10YR, (R&R) Start Date N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 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. For <Organization name> budget for budget period < Budget Year>, the start date should be the same or later than the proposed project start date listed on the SF 424 RR Cover. W & End Date N Y Incl : NIH, CDC, FDA, Incl: V 1.3 The Budget end date must be greater than the budget start date and less than or equal to the Project Period For <Organization name> budget for budget period < Budget Year>, the end date must be later than the budget start date and less 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
10YR, (R&R) Person Cal. Mos CDC, FDA, VA, USU V 1.3 submissions (R41, R42, UT1, UT2), a non-zero value for calendar months, academic months, or summer months is required on either the project budget or the subaward budget. It is not required on both but can be provided. 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 academic and summer months. For information about calculating person months, see . & 10YR, (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, W
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) VA, USU Senior/Key Person for the budget year. Senior/Key Person < Last Name, First Name> does not equal the sum of the Requested Salary and the Fringe Benefits. & 10YR, (R&R) Total funds for Senior Key Persons in N Y Incl : NIH, CDC, FDA, VA, USU Incl: V 1.3 Required if Additional Senior Key Persons Attachment is included. For <Organization name> budget for Budget Period < Budget Year>, the ‘Total Funds requested for all Senior Key Persons in the attached file’ is required since an attachment is provided. E & 10YR, (R&R) Total Funds for all persons & 10YR, (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 & Other
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) 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 material
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) 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
10YR, (R&R) VA, USU indirect costs for each indirect cost type. & 10YR, (R&R) Total Indirect Costs & 10YR, (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 & 10YR, (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 & Budget
& 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 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 &
entered for that budget period 100 Equipment item entries are used. & 10YR, (R&R) MP Travel, travel costs, funds req & 10YR, (R&R) MP Travel, foreign travel costs, funds req & 10YR, (R&R) MP Total travel cost, funds req & 10YR, support costs:
(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 & material
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)
(R&R) MP & 10YR, (R&R) MP Other Direct Costs (other1 funds & 10YR, (R&R) MP Other Direct Costs (9. other 2) & 10YR, (R&R) MP Other Direct Costs (other2 funds & 10YR, (R&R) MP Other Direct Costs (10. other 3)
& 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
& 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
Form Field Rule# Rule Categories Validation Error Message Comments (Y/N) FOA Lists Code & to or to Type (Multi Only) & MP Section A. Senior/Key Person, Totals ($) 006.72 & MP Section B. Other Personnel, Totals ($) 006.73 & Total number other personnel 006.74 , Age
MP & MP Total Salary, wages and fringe benefits (A+B), Totals ($) 006.75 & MP Section C. Equipment, Totals ($) 006.76 & Section D. Travel, Totals ($) 006.77
& MP 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 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
Field Rule Categories Validation Error Message (Y/N) (Lists FOA Activity Lists Activity Code & to or to or PHS Plan Plan N N Incl : NIH, CDC, FDA, USU Required for resubmission applications. The Introduction attachment is required for resubmissions. E PHS Plan Plan N N Incl : NIH, FDA, USU Required for revisions. The Introduction attachment is required for revisions. E PHS Plan Plan N N Incl : NIH, CDC, FDA, USU Must not be included for a new or renewal application. The Introduction should not be attached for a new or renewal type of application. E PHS Plan Plan N N Incl : NIH, CDC, FDA, USU Excl: RM1, UM1 Y Limited to 1 page for revisions. Exclude component type 'Complex Component' The Introduction attachment for revision application is limited to one (1) page. E PHS Plan Plan N N Incl : NIH, CDC, FDA, Excl: RM1, R25, R38 UM1, DP7 Y Limited to 1 page for resubmissions. Exclude component type 'Complex Component' The Introduction attachment for a resubmission application is limited to (1) page. E
USU PHS Plan Plan N N Incl : NIH, CDC, FDA, USU Y Give warning if not attached for revisions and Resubmissions type The Introduction is usually required for revisions and resubmissions. W PHS Plan Plan N N Incl : NIH, CDC, FDA, USU Incl: R25, R38, DP7 Limited to 3 pages for resubmissions The Introduction attachment for a resubmission application is limited to three (3) pages. E PHS Plan Plan Specific Aims N N Incl : NIH, CDC, FDA, USU Excl: DP1, ROO, DP2, DP4, X02 Required attachment The Specific Aims attachment is required. E Update to existing rule (Added DP1, DP2, DP4) 07/15: Updated to exlude X02 PHS Plan Plan Specific Aims N N Incl : NIH, CDC, FDA, USU Excl: RM1, UM1 Provide error if Specific Aims attachment is greater than 1 page. Exclude component type 'Complex Component' The Specific Aims attachment is limited to one (1) page . E PHS Plan N N Incl : NIH, Research Strategy Attachment must be The Research Strategy is limited to E
R34, U34, DP3, DP5, UP5, G08, G11, G13, UT2, UA5, RF1, UF1, (added G08, G11, G13) Update to existing (add SC1) Plan Plan Strategy N N Incl : NIH, FDA, ,USU = Y Incl: R01, U01, R18, U18, UH3, R34, U34, DP3, Research Strategy Attachment must be less than or equal to 30 pages The Research Strategy attachment is limited to thirty (30) pages. E
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, R38, 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, ROO, 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
and/or PHS Plan Plan N N Incl: NIH, USU Limited to 10 appendixes You have submitted more than 10 appendices. There is a limit of 10 appendix attachments allowed. E PHS Plan Plan N N Incl: NIH, CDC, FDA, USU Incl : R41, UT1, R43, U43 Appendixes are not allowed for SBIR or STTR Phase I applications, Exclude RFA Appendices may not be submitted for a Phase I SBIR or STTR application. E PHS Plan Plan N N Incl: NIH, CDC, FDA, USU Incl : R41, UT1, R43, U43 Provide a warning if an appendix is submitted for an SBIR or STTR Phase I application For RFA ONLY For most RFAs, the submission of appendices with a Phase I SBIR or Phase I STTR is not permitted. Be sure that you have complied with the guidance provided for appendices in this FOA. Applications that do not comply with these instructions may be W
(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)
(NIH) FDA, USU K08, K18, K22, K23, K25, K99, K99/R00, K76 attachments 2-4 and Research Strategy attachment is greater than 15 pages. sections together are limited to 12. This may span 15 pages due to page breaks Existing Rule (adding K76) Forms D, March 2016 Release Dev. (NIH) Career Dev. Award Career Goals and Objectives 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 Career Goals and Objectives attachment is required. E January 14, 2016 Release, Update to Existing Rule (adding K76) Forms D, March 2016 Release Dev. (NIH) Career Dev. Award Plan for Career Training Activities During Award Period 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 Plan for Career Development/ Training Activities During Award Period attachment is required. E January 14, 2016 Release, Update to Existing Rule (adding K76) Forms D, March 2016 Release Dev. Career Dev. Award N N Incl : NIH, Incl: K02, K05, K24, K26, Required attachment The Training in the Responsible Conduct of E January 14, 2016 Release, Update to 3.1
(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 Incl : 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)
Consultant Consultant guide instructions. 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 Limited to 6 pages Letters of Support from Collaborators, Contributors, and Consultants attachment is limited to 6 pages. E January 14, 2016 Release, Update to Existing Rule (added K76) Dev. (NIH) Career Dev. Award Description of Institutional N N : NIH, FDA, USU Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, K25, K99, K99/R00, K76 Required attachment The Description of Institutional Environment attachment is required. E January 14, 2016 Release, Update to Existing Rule (added K76) Dev. Career Dev. Award N N Incl NIH, FDA, Incl: K02, K05, K24, K26, K01, K07, K08, K18, K22, K23, Limited to 1 page The Description of Institutional Environment attachment on the PHS 398 Career W January 14, 2016 Release, Update to Existing Rule (added K76) Attachment
(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 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 Incl : 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 : 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 : 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
(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
Dev. (NIH) Career Dev. Award Candidate Information and Goals to Career N N Incl: NIH, USU Both Required Canididate Information and Goals for Career Development is required. E Forms D, March 2016 Release Dev. (NIH) Career Dev. Award Candidate Information and Goals to Career N N Incl: NIH, USU = “N” Both Provide a warning if the Candidate Information and Goals for Career Development and Research Strategy attachment are greater than 12 pages and less than or equal to 13 pages. The “Candidate Information and Goals for Career Development” and “Research Strategy” attachments are limited to a combined total of 12 pages. Your combined total for the two attachments is 13 pages. If the additional page is the result of page breaks and white space from splitting the information into two separate attachments, then no action is needed. If the additional page W 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
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 Plan to Application (for REVISION or only) 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 Y Limited to 1 page for revisions. The Introduction for a revision is limited to (1) page. E Update to existing rule (removed KM1) PHS 398 Plan to Application (for REVISION or only) 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 Y Limited to 3 pages for resubmissions. The Introduction for a resubmission is limited to three (3) pages. E Update to existing rule (removed KM1) PHS 398 Plan to Application (for REVISION or only) 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 Y Must not be included for a new or renewal type of application An Introduction cannot be included for new or renewal applications. E Update to existing rule (removed KM1) ,
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 table included unless it is specifically requested in the FOA. attachment. See . validation requirements in place. Table not exposed systematically. Avoid local enforcement of error. SVS validations will fire appropriately 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, 4.0 and Incl: T01, T02, T03, T14, T42, T90, Required if Human Subjects is ‘yes’ on the A Human Subjects attachment must E Update to existing rule (excluding v4.0), for
Plan FDA, , USU T90/R90, TU2,T15, T32, T34, T35, T36, T37, K12, D43, D71, U2R Other Project Info form within the same component be included if the response to the Human Subjects question on the Other Project Information form is ‘Yes’. Forms E, October Release 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 Plan Select Agent Research 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 Multiple PD/PI Leadership Plan (if applicable) N N Incl: NIH, FDA, Incl: T01, T02, T03, T14, T42, T90, T90/R90, TU2,T15, T32, T34, T35, T36, Return error if Leadership Plan is included and there is only one PD/PI identified with the submission For multiple PD/PI applications, be sure to mark each PD/PI with a project role of PD/PI on the Senior/Key E Update to existing rule (removed KM1)
Consortium Plan , USU T37, K12, D43, D71, U2R Person Profile form. If not intending to submit a multiple PD/PI application, 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 Plan Data Tables 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 Data Tables attachment may be required in whole or in part for this application. Check the announcement and application guide for requirements. W Update to existing rule (removed KM1) PHS 398 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 DUNS: N Y Incl : NIH, FDA, USU Incl: Budget marked as ‘Subaward’ cannot contain DUNS number for the component application organization on the 424 RR The <Organization Name> subaward’ budget cannot contain the DUNS number provided on the SF 424 RR Cover. E PHS 398 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, Incl: The Name of Organization is required The Organization name is required for <DUNS>. E
VA, USU 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 Proposed Project Start Date listed on the component SF 424 RR For <Organization name> for budget period < Budget Year>, the start date for new and resubmission applications must be the same as the proposed project start date listed on the SF 424 RR Cover. W PHS 398 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 proposed project end date listed on the SF 424 RR Cover. E 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, N N Incl : NIH, FDA, USU Incl: Incl: T15, T32, T35 Provide error if Number or Full time or short term undergraduate trainees is For <Organization name> for budget period < Budget Year>, the Undergraduate information E
Full Time provided (greater than 0) cannot be included for this application. 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, N N Incl : NIH, Incl: Incl: T34 Provide Error For <Organization name> for E
of Trainees, Single Degree: Full Time FDA, USU If total or total short term, or total requested, or total or total short term, or total requested, or number of other full-time, or other short term, or other stipends requested, is greater than 0. budget period < Budget Year>, the Predoctoral, Postdoctoral and Other Trainee information cannot be included. PHS 398 A. Stipends, of Trainees, Single doctoral doctoral doctoral
PHS 398 A. Stipends, of Trainees, Degree Seeking; Full Time PHS 398 A. Stipends, of Trainees, Degree Seeking; Short Term PHS 398 A. Stipends, of Degree Seeking
PHS 398 A. Stipends, of Trainees, Total Full Time PHS 398 A. Stipends, of Trainees, Total Short Term PHS 398 A. Stipends, Number of per stipend level (0-7) PHS 398 A. Stipends,
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 Requested ($) N N Incl : NIH, FDA, USU Incl: Excl: T02, T03 Provide error If number of undergrad or number undergrad short term, or total or total short term, or total or total short term, or number of other full-time, or number of other short term, is greater than and total stipends requested total is not greater than For <Organization name> for budget period < Budget Year>, if Number of Trainees information is then corresponding Stipends Requested information must also be included. E PHS 398 A. Stipends, N N Incl : NIH, Incl: Excl: T02, T03 Provide error If total stipends requested is For <Organization name> for E
Requested ($) PHS 398 A. Stipends, Stipends + Tuition/ Fees Requested ($) PHS 398 B. Other Direct Travel, Funds Requested ($) PHS 398 B. Other Direct Related Expenses, Funds Requested ($) N N Incl : NIH, FDA, USU Incl: Warning if Funds requested, training related expenses is not provided For <Organization name> for budget period < Budget Year>, the Funds Requested for Training Related Expenses should be provided. W
PHS 398 B. Other Direct CostsTotal Direct Costs from R&R Budget Form (if applicable), Funds Requested ($) N N Incl : NIH, FDA, USU Incl: Provide error if RR budget (project budget) is present in the application and if the Total Direct Costs from RR Budget for all budget periods is Null or '0' If an R&R Budget is part of the application, the Total direct costs from the R&R Budget should be provided in the Total direct Cost from R&R Budget form section. E PHS 398 B. Other Direct Training Costs (if applicable), Funds Requested ($) N N Incl : NIH, FDA, USU Incl: Excl: T02, T03 provide warning for Project budget if budget periods Consortium cost is Null or '0' and a subaward exists for the component A Budget form is included in the application. The total costs of all subawards submitted for this application should be reflected in the Other Direct Costs section of the Project budget in the Consortium W
training costs section. PHS 398 B. Other Direct CostsTotal Other Direct Costs Requested, Funds Requested ($) PHS 398 C. Total Direct Costs Requested (A + B) PHS 398 D. Indirect Costs Indirect Cost Type 1 PHS 398 D. Indirect Costs Indirect N N Incl : NIH, FDA, Incl: Provide warning if not 8 For <Organization name> budget for budget W
Cost Rate 1 (%) USU period < Budget Year>, the Indirect Cost Rate should be equal to 8. 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)
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 ($) 015.68 PHS 398 A. Stipends, Dual Degree, 015.69
Requested ($) PHS 398 A. Stipends, Total Stipends Requested ($) 015.70 PHS 398 A. Stipends, Total Requested ($) 015.71 PHS 398 A. Stipends, 015.72
Degree Seeking, Stipends Requested ($) PHS 398 A. Stipends, Degree Seeking, Requested ($) 015.73 PHS 398 A. Stipends, Degree Seeking, Stipends Requested ($) 015.74
PHS 398 A. Stipends, Degree Seeking, Requested ($) 015.75 PHS 398 A. Stipends, Total Stipends Requested ($) 015.76 PHS 398 A. Stipends, Total , 015.77
Requested ($) PHS 398 A. Stipends, Stipends Requested ($) 015.78 PHS 398 A. Stipends, Requested ($) 015.79 PHS 398 A. Stipends, 015.80
Stipends Requested PHS 398 A. Stipends, Tuition And Fees Requested 015.81 PHS 398 A. Stipends, Stipends + Requested 015.82 PHS 398 B. Other Direct Costs 015.83
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
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 Rule Disabled August 1, 2018 Release Application Type: N N Incl : NIH, Provide warning if Direct Phase II selected when Check Funding Opportunity Announcement E Rule Upgraded to Error
(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. (August 1, 2018 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 20.1