and Human Services (HHS)
RESCINDED
This Notice was RESCINDED on July 23, 2018, please see NOT-OD-18-197 that replaces it.
REMINDER - POLICIES ON APPLICATION SUBMISSION Release date: September 7, 1999 National Institutes of Health This notice addresses several issues regarding application submission. It does not contain any new policies, but is a reminder and further explanation of existing policies. 1) Submission of Duplicate Applications The PHS has a long-standing policy not to review the same or very similar applications more than once. There are many reasons for this policy, particularly the need to avoid added burdens on the review system, as well as on principal investigators and their institutions. Therefore, the submission of identical or of very similar applications to the agencies of the PHS or to different Institutes/Centers within an agency is not allowed, even if the duplicate submissions occur for different review rounds or in response to different initiatives such as Program Announcements or Requests for Applications. The only exceptions for this policy are: 1) applications for an Independent Scientist Award (K02) proposing essentially identical research as proposed in an application for an individual research project; and 2) an individual research project that is identical to a subproject of a program project or center grant application. Thus, the Division of Receipt and Referral, Center for Scientific Review (CSR) will not accept any application that is essentially the same as one currently pending initial review, unless the applicant first withdraws the pending application. Nor will CSR accept any application that is essentially the same as one already reviewed. Applicants may submit substantial revisions of applications already reviewed, but such applications must include an Introduction addressing the previous critique and indicating how the amended application differs from the previous version. 2) Limitation on Submission of Amended/Revised Applications In June 1996 (http://grants.nih.gov/grants/policy/amendedapps.htm) NIH announced a policy limiting the number of amended versions of an application that will be accepted to two. The amended versions must be submitted within two years of the initial, unamended application. If an applicant is not successful after three attempts at funding (the initial submission and two revisions), she/he is expected to make a significant change in the direction and approach for subsequent research applications. It is not appropriate to submit an essentially identical or only slightly changed application as a new application. Such applications identified by the Division of Receipt and Referral, Center for Scientific Review will be withdrawn from the review process. 3) Type Size and Page Limitations The application kits (PHS 398, PHS 416, SBIR, and STTR) to be used in submitting grant applications to the NIH include instructions and limitations on the type size to be used in preparing applications and page limitations. In all cases, the type size is to be no smaller than 10 point, the type density no more than 15 characters per inch, and there are to be no more than 6 lines of type within a vertical inch. Page limitations are specified in each application kit and may be modified in specific instructions for Program Announcements or Requests for Applications. Peer reviewers (who are themselves applicants) expect that all applications they are asked to review will conform to these requirements. Applications that do not conform to these instructions may be returned to the applicant organization before assignment or withdrawn from the review process after assignment. Therefore, applicants are urged to be sure that their applications conform to these requirements. 4) Submission of AIDS and AIDS-related Applications NIH has established an expedited receipt/review/award schedule for AIDS and AIDS-related applications. Such applications have receipt dates several months later than nonAIDS applications (May 1 submission for peer review in July and October Council consideration, September 1 submission for peer review in October and January Council consideration, and January 2 submission for peer review in March and May Council consideration). If applications are submitted earlier, they will not be assigned earlier, but applicants will be contacted regarding the special AIDS dates and asked if they wish the applications returned for further work or held for the next receipt date. This is done so that NIH complies with the requirement that the interval between submission and funding decision not be longer than six months. Therefore, the submission of an AIDS 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. Questions on any of these policies should be directed to the Division of Receipt and Referral, Center for Scientific Review at 301-435-0715.
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