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Notice Number: NOT-OD-17-098
Release Date: August 2, 2017
This Notice alerts the scientific research community of plans to eliminate Appendix materials related to clinical trials for applications submitted to the NIH, AHRQ, or NIOSH for due dates on or after January 25, 2018. Clinical trial-related materials will be specified and required in the new PHS Human Subjects and Clinical Trials Information Form and no longer allowed in the Appendix unless specifically stated as required in the funding opportunity announcement (FOA). This Notice clarifies the types of Appendix materials allowable after this date.
The NIH, AHRQ, and NIOSH strive to ensure fairness in peer review for all grant applicants by specifying the types and amount of application material that will be accepted for peer review. At the same time, these agencies appreciate both the need for applications to provide sufficient information to allow for an informed, expert review process, and the importance of limiting burden on peer reviewers.
Restriction of Appendix materials is intended to rectify inequities in the peer review process that can arise from submission of inappropriate or excessive appendix materials by some applicants and consideration of Appendix materials in peer review by some, but not all, reviewers.
Appendix Materials in Peer Review
All information submitted with an application except the cover letter, assignment request form, and appendix information is assembled into a single application image for funding consideration. The different sections within the application image are specified in the application instructions and correspond to the standard review criteria.
Allowable Appendix Materials
The following information applies to all competing NIH, AHRQ, and NIOSH applications and activity codes.
Beginning with applications submitted to the NIH, AHRQ, or NIOSH for due dates on or after January 25, 2018, the only allowable Appendix materials are:
For clarification, these blank forms and lists are not and do not include items such as: data, data compilations, lists of variables or acronyms, data analyses, publications, manuals, instructions, descriptions or drawings/figures/diagrams of data collection methods or machines/devices.
Some FOAs further restrict allowable appendix materials and/or may specify that some materials listed above must be provided in another part of the application. Applications submitted to those FOAs must follow instructions in the FOA and must not put those items in the Appendix.
No other items are allowed in the Appendix. Simply relocating disallowed materials to other parts of the application will result in a noncompliant application.
Consequence for Submitting Disallowed Materials:
Applications submitted for due dates on or after January 25, 2018 will be withdrawn as noncompliant if they are submitted with Appendix materials that are not specified in this Notice or specified in the individual FOA as allowed or required.
Please see our Frequently Asked Questions resource for additional information
FAQs on the NIH/AHRQ/NIOSH Appendix Policy
Please direct all inquiries to:
Division of Receipt and Referral
Center for Scientific Review
Sally A. Amero, Ph.D.
NIH Office of Extramural Research
Lisa Scott-Morring, M.S., M.S.H.S., C.R.A.
Agency for Healthcare Research and Quality
Viji Potula, Ph.D.
National Institute for Occupational Safety and Health
Centers for Disease Control and Prevention