NIH GUIDE, Volume 25, Number 32, September 27, 1996


P.T. 34


  Grants Administration/Policy+ 


National Institutes of Health


As part of the design and implementation of Electronic Research

Administration, the National Institutes of Health (NIH) is assessing

measures for protecting private information, including the Social

Security Number (SSN), currently collected about personnel identified

in research grant and cooperative agreement applications.  Although

the provision of the SSN is voluntary, it is critically important to

NIH for the accurate identification, referral, and review of

applications and for management of NIH grant programs.  NIH is

pursuing long-term strategies in this area.  Interim measures are

being implemented immediately, however, to further enhance the

protection of this private information.  Thus, effective with the

October 1, 1996, submission date, instructions for submitting

competing applications to the NIH are modified as follows:


1.  The Social Security Number (SSN) of the Principal Investigator,

Program Director, or Fellowship applicant should be provided along

with the applicant~s name at the top of the Personal Data form page

only (PHS Form 398, page KK, and PHS Form 416-1, page GG).  The SSN

should not be listed on the face page of the application, nor

provided elsewhere in the application, e.g., top of each application



2.  In accordance with the instructions for completing the Personal

Data form page, do not attach copies of that form to the duplicated

copies of the application.  Upon receipt of the application by NIH,

this form is separated from the application and the data, including

the SSN, are encrypted in the NIH database.  A partially completed

Personal Data form page is acceptable to NIH, i.e., applicants may

elect to provide some items but not all.


3.  When submitting competing renewal applications using the PHS 398

grant application kit, do not complete or submit the Personnel Report

form page (JJ).  This form page will be requested, if necessary, at

time of award.


Effective immediately, instructions for submitting non-competing

applications have also changed as follows:


1.  The Social Security Number of the Principal Investigator, Program

Director, or Fellow should not be provided on the face page of the



2.  When using the PHS 2590 kit, the Personnel Report form page (G)

should be completed and submitted only with the original application.

Do not attach copies of that form to the duplicated copies of the



Similar changes affecting Small Business Innovation Research Grant

and Small Business Technology Transfer Grant application forms will

be implemented for the Fiscal Year 1997 solicitations.  Applicants

are strongly encouraged, to the extent possible, to follow the new

procedures for the October 1 submission date.




Questions regarding these procedures may be directed to the Referral

Office, Division of Research Grants at 301/435-0715 for issues

relating to receipt of competing applications, or to Institute or

Center grants management offices for issues relating to noncompeting




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