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University of Colorado Denver

Office of Grants and Contracts

New and Competing Checklist

Office of Grants and Contracts


NIH New and Competing -
Use PHS 398 forms and instructions revised 11/07

Please Note:

As of February 5, 2007, most "R" series research grants must be submitted electronically to NIH using Grants.Gov. For a list of award mechanisms and transitions dates, please see the NIH Transition Plan.

Other types of solicited grants applications also my require electronic submission. Please check the instructions for the particular announcement to which you are responding.

For any application involving consortium/contractual facilities and administrative (F&A) costs, regardless of amount of budget or budget format (e.g., modular and non-modular), consortium F&A costs will not be counted as a direct cost when determining if an applicant is in compliance with a direct cost limitation on an application. Please see NIH Notices NOT-OD-04-040 and NOT-OD-05-004 for additional information.

Documents required for NON-modular PAPER applications, and the order in which they should be submitted:

Face Page (Form Page 1 and Form Page 1-Continued)

  • A sample Face Page with UC Denver administrative information is available on the Grants and Contracts Sponsor Forms page.
  • Item 3h, eRA Commons User Name, is a required field. Please send requests for User Names to
  • The Principal Investigator no longer needs to sign the Face Page (NIH Notice NOT-OD-06-054). However, NIH requires the applicant organization to keep a PI signature for each application on file. The PI's signature on the OGC internal Routing Form covers the certifications and assurances formerly noted on the Face Page.
  • Form Page 1-Continued is for applications with multiple PIs. Do not submit unless responding to a specific funding opportunity which clearly indicates multiple PIs are an option.

Description, Performance Sites, Key Personnel, Other Significant Contributors, and Human Embryonic Stem Cells (Form Page 2)

  • NIH defines Key Personnel as "individuals who contribute to the scientific development or execution of the project in a substantive, measurable way, whether or not salaries are requested."
  • Key Personnel must devote measurable effort to the project whether or not salaries are requested
  • Other Significant Contributors are individuals who will contribute to the scientific development or execution of the project, but are not committing any specified measurable effort to the project.
  • Individuals with measurable effort cannot be listed as Other Significant Contributors.

Research Grant Table of Contents (Form Page 3)

Detailed Budget for Initial Budget Period (Form Page 4)

  • The "Type of Appointment" and "Percent Effort" columns have been replaced with "Person Months" columns (calendar, academic, summer).
  • Person Months: percentage of the total institutional appointment, based on the organization’s regular academic-year, summer or calendar-year. For example, someone with a 12-month appointment contributing 10% effort to the project now will be listed as contributing 1.20 calendar person months (10% effort x 12 months).
  • Most HSC campus personnel have 12-month appointments; only the Calendar Months column should be used for these individuals.

Budget for Entire Proposed Period of Support and Budget Justification (Form Page 5)

  • NIH FY2006 Financial Policy (NOT-OD-06-025) limits escalation of future years' budget costs to 3% for non-modular applications.
  • Use Continuation pages as needed for the budget justification.

Subrecipient Budget Information, if applicable:

  • Face Page (Form Page 1) relative to, and signed by subrecipient organization.
  • Detailed Budget for Initial Budget Period (Form Page 4)
    • Use Consortium/Contractual section's line for F&A costs to list subrecipient's F&A.
    • Total Direct Costs line for the subrecipient should include subrecipient's direct plus F&A costs.
  • Budget for Entire Proposed Period of Support (Form Page 5)
    • Consortium/Contractual section F&A line should include subrecipient's F&A costs.
    • Total Direct Costs for Entire Proposed Period of Support should include Direct and F&A costs for subrecipient.
  • Budget Justification (use Continuation pages as necessary)
  • Checklist (Checklist Form Page) relative to subrecipient organization.
  • A Consortium Letter is no longer required by NIH.

Biographical Sketches (Biographical Sketch Format Page)

  • All Key Personnel and Other Significant Contributors listed on Form Page 2 (prime, subrecipient, consultants, collaborators), regardless of whether funding is requested.
  • Maximum 4 pages in length
  • Do not include award amounts or percent effort for projects in Section C (Research Support)
  • Submit in the same order as listed on Form Page 2.

Other Support (Other Support Format Page)

  • Do not submit with the initial application unless specifically requested (e.g., RFA instructions). It will be requested just-in-time for the release of the award to determine overlap for likely award candidates.

Resources (Resources Format Page)

  • Prime and subrecipient, if applicable.

Research Plan

  1. Specific Aims
  2. Background and Significance
  3. Preliminary Studies/Progress Report
  4. Research Design and Methods
  5. Human Subjects
    • Data and Safety Monitoring Plan, if applicable
    • Targeted/Planned Enrollment Form, if applicable (Targeted/Planned Enrollment Format Page)
  6. Vertebrate Animals
  7. Select Agent Research
  8. Literature Cited
  9. Multiple PI Leadership Plan
  10. Consortium/Contractual Arrangements
  11. Resource Sharing
  12. Letters of Support (e.g., Consultants)

Checklist (Checklist Form Page)

Appendix (Maximum of 10 pages)

Personal Data (Personal Data Form Page)


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