Notice Number: NOT-OD-18-197
Release Date: July 23, 2018
Effective immediately, this Notice consolidates and clarifies policy concerning submission and resubmission of applications for grants and cooperative agreements submitted to the National Institutes of Health (NIH) and the Agency for Healthcare Research and Quality (AHRQ) for funding consideration. In addition, this Notice updates the few situations in which NIH and AHRQ policy allows for changes of activity codes upon resubmission or renewal.
This Notice does not impact the following policies, which are not changed and still apply:
This Notice addresses two related needs. First, this Notice consolidates previous Notices related to application submission. In 2014, the NIH and AHRQ announced a major change in application submission policy, to allow investigators to continue to seek funding for productive research programs without introducing substantial changes to their applications. However, previous Notices had not been rescinded, so some old Notices contained incorrect information.
Second, this Notice explains limited, defined circumstances whereby an application may change activity code at the time of resubmission or renewal. In 2003, NIH announced that applications must be submitted as new when they are submitted to a funding opportunity announcement (FOA) of a different activity code. However, some longstanding NIH programs have evolved over time in a direction better represented by a different activity code, and those changes are explained below.
Unless noted otherwise, the policy below applies to all types of competing applications (new,renewal, resubmission, and revision) and all types of activity codes, including but not limited to applications for research grants, the NIH Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs, Career Development Awards, Individual Fellowships, Institutional Training Grants, Resource Grants, Program Projects, and Center Grants.
Only a single resubmission (A1) of an original application (A0) will be accepted.
An A0 application may be submitted following an unsuccessful A0 or resubmission A1 application, with the following exceptions:
NIH and AHRQ encourage applicants to update each subsequent application submission to reflect the status of the field over the interim period and to incorporate new preliminary data, literature citations, letters of reference, etc. as time passes.
Change of Activity Code
A change of activity code(e.g., R01, K01, U01) between the original A0 application and the A1 resubmission, or a funded application and the renewal application, is not allowed, with one exception. Some FOAs will change activity code at the time they are re-issued. In that specific circumstance, the following activity code changes are allowed:
This exception applies to resubmission applications that were submitted as new or renewal A0 applications to any previous issuances of that FOA and to renewal applications funded through all previous issuances of that FOA. In all other cases, A1 resubmission and renewal applications submitted to FOAs of a different activity code must be submitted as new applications (see Allowable Submissions, above, and Addendum B).
Applications will be withdrawn as noncompliant if they do not conform to this policy.
For more information about this and related policies, see Frequently Asked Questions.
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
Addendum A. Compliance with Requirements for New Applications
Whether it follows an unsuccessful application or not, a New Application is neither a ResubmissionApplication nor a RenewalApplication, and must comply with the requirements for a NewApplication.
The following content is NOT allowed anywhere in a New A0 Application or its associated components (e.g., the appendix, letters of support, other attachments):
This means that:
Addendum B. Overlapping Applications
Applications are considered to be under review until the summary statement has been issued or an appeal of initial peer review has been resolved (see the NIH appeals policyfor more information). This means that the NIH and AHRQ will not accept:
The NIH and AHRQ will not review essentially identical applications, except for:
Addendum C. Submission of AIDS and AIDS-Related Applications
NIH established (NIH Guide Vol 17 No 9 March 11, 1988) an expedited submission/review/award schedule for AIDS and AIDS-related applications. Such applications have submission dates several months later than non-AIDS applications. If AIDS and AIDS-related applications are submitted on non-AIDS due dates, they will be withdrawn so that NIH complies with the requirement that the interval between submission and funding not be longer than six months. Therefore, submission of an AIDS or AIDS-related application at an earlier date will not result in an earlier review and applicants may wish to take full advantage of the additional time to work on their applications. AIDS and AIDS-related applications may opt out of the expedited review cycle and also be submitted for regular due dates established for all applications. In those cases, a clear indication of this intention in the form of an assignment request to a non-AIDS review group is strongly encouraged.