Updated Instructions Regarding Inclusion of Publications as Appendix Materials

Notice Number: NOT-OD-06-051

Key Dates
Release Date: March 16, 2006 (see update NOT-OD-06-053)

Issued by
National Institutes of Health (NIH), (http://www.nih.gov)

The purpose of this Notice is to inform applicants of a change in the approach and policy regarding the inclusion of publications as Appendix materials in NIH grant applications. This policy applies to all grant mechanisms for which publications are acceptable Appendix material, regardless of which application form is used (e.g., PHS 398, SF424 (R&R), PHS 416-1) or the mode of submission (paper or electronic).

Effective for applications intended for the May 10, 2006 submission date, the NIH standard policy regarding the inclusion of publications as acceptable Appendix material in grant applications is described below.

Publications, manuscripts ( accepted for publication), abstracts, patents, or other printed materials directly relevant to the proposed project. Do not include manuscripts submitted for publication. Applicants should refer to instruction guides and specific Funding Opportunity Announcements (FOAs) to determine the appropriate limit on the number of publications that may be submitted for a particular program. Note that not all grant mechanisms allow the inclusion of publications.

  • Publications in press: Include only a publication list with a link to the on-line journal article or the NIH PubMed Central (PMC) submission identification number. Do not include the entire article.

  • Manuscripts accepted for publication but not yet published: The entire article may be submitted electronically as a PDF attachment.

  • Manuscripts published but an online journal link is not available: The entire article may be submitted electronically as a PDF attachment.

Note at this time no changes are being made to the other Appendix components:

  • Surveys, questionnaires, data collection instruments, clinical protocols, and informed consent documents.

  • No images may be included in the Appendix that are not also represented within Items 2-5 of the Research Plan.

Applicants are cautioned not to use the Appendix to circumvent the page limitations of the Research Plan. An application that does not observe the relevant policies and procedures may be delayed in the review process.

Applicants are reminded to review specific FOAs for any additional program-specific guidance on Appendix material and other application requirements.

Application instructions for the PHS 398, SF424 (R&R), and PHS 416-1 will be revised to reflect this new policy for inclusion of publications in Appendix


Please direct inquiries regarding this Notice to:

Office of Extramural Research
National Institutes of Health
Phone: 301-945-7573
TTY: 301-451-5936
Email: grantsinfo@nih.gov