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U.S. Department of Health and Human Services
Public Health Service

Grant application

PHS 398 (REVISED May 2001) - Updated: 09/09/2003 (see below)


Downloadable Instructions and Form Files


Information and Instructions

See below for information on Notable Changes to form pages.

Notice:  Requirement of DUNS Numbers on NIH Applications - Effective October 1, 2003, use of the Dun and Bradstreet (D&B;) Data Universal Numbering System (DUNS) number will be required when applying for Federal grants or cooperative agreements. See NIH Guide Notice dated August 14, 2003 and the DUNS Q&A; (MS Word) document for more information.

See FAQs: Revised PHS 398 and PHS 2590 Forms and Instructions (PDF or RTF) for detailed information on using the new fillable PDF forms and other important information.

Instructions For Downloading Documents and Electronic Forms are also available with help on downloading and processing (printing and viewing) Acrobat and other files. Acrobat Reader software, which is free, must be obtained in order to view and print Acrobat files. Please see the Adobe Acrobat or PDF Forms section for information on using the fillable PDF forms.

NOTE: Other software packages for completing these applications may be available from other sources; however, it is essential that the type size and format specifications are met or the application will be returned without review.

DISCLAIMER: Reference to these software packages neither constitutes nor should be inferred to be an endorsement or recommendation of any product, service, or enterprise by the National Institutes of Health, any other agency of the United States Government, or any employee of the United States Government. No warranties are stated or implied.



Microsoft Word (MS Word) and Portable Document Format (PDF) Forms

Individual Form Files
Fillable Individual 398 Forms MS Word Format PDF Format
Form Page 1:  Face Page MS Word PDF
Form Page 2:  Description, Performance Sites, and Key Personnel MS Word PDF
Form Page 3:  Research Grant Table of Contents MS Word PDF
Form Page 4:  Detailed Budget for Initial Budget Period MS Word PDF
Form Page 5:  Budget for Entire Proposed Period of Support MS Word PDF
Modular Budget Format Page MS Word PDF
Modular Budget Sample: Same Modules MS Word PDF
Modular Budget Sample: Variable Modules MS Word PDF
Biographical Sketch Format Page MS Word PDF
Biographical Sketch Sample MS Word PDF
Resources Format Page MS Word PDF
Checklist Form Page MS Word PDF
Personal Data Form Page MS Word PDF
Continuation Page MS Word PDF
Targeted/Planned Enrollment Format Page MS Word PDF
Enrollment Report Format Page MS Word PDF
Mailing Address and RFA Labels MS Word PDF
Other Support Format Page: Example MS Word PDF
Personnel Report Format Page MS Word PDF
Fillable Research Career Award Forms MS Word Format PDF Format
Substitute Form Page 3: Research Career Award Table of Contents MS Word PDF
Research Career Award Reference Guidelines MS Word PDF
Fillable Institutional National Research Service Award (NRSA) Forms   MS Word Format PDF Format
Substitute Table of Contents for Institutional NRSA MS Word PDF
Substitute Detailed Budget for Initial Budget Period Direct Costs MS Word PDF
Substitute Budget for Entire Proposed Period of Support Direct Costs MS Word PDF
Small Business Innovation Research (SBIR)/
Small Business Technology Transfer (STTR) Forms
MS Word Format PDF Format
Full Set of SBIR and STTR Forms (Phase I and Phase II)
(DOES NOT include Continuation Page, Biographical Sketch,
or any Sample pages, all of which may be downloaded below.)
MS Word PDF
STTR Research Institution Budget Form Page (Non-Modular STTR Applications) MS Word PDF
STTR Research Institution Certification Format Page (Modular STTR Applications) MS Word PDF
Continuation Page MS Word PDF
Biographical Sketch Format Page MS Word PDF
Biographical Sketch Sample MS Word PDF
Modular Budget Sample - SBIR MS Word PDF
Modular Budget Sample - STTR MS Word PDF
Non-Modular Budget Sample - SBIR (STTR Under Development) MS Word PDF


Combined Form Files
[DOES NOT include the Biographical Sketch page, Continuation Page, or any of the Sample/Example pages (Biosketch Sample, Other Support Sample)]
See Individual Form Files Above
Fast FTP Links HTTP Links
PHS 398 Instructions (PDF) PHS 398 Instructions (PDF)
PHS 398 Forms (MS Word) PHS 398 Forms (MS Word)
PHS 398 Forms (PDF) PHS 398 Forms (PDF)

The files from the FTP and HTTP links above are identical. The FTP links provide a faster connection for downloading. However, if your browser experiences problems using these links, please try the HTTP links as an alternative. Note that, regardless of which links you select, these files are very large and may take a few minutes to download.


Table of Contents

IMPORTANT CHANGES
  Format and Availability
  Application Forms
  Instructions
    Human Subjects Research
    Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) Grant Programs
REMINDERS
FOREWORD
  Grants Information
  Grants Policy Statements
  NIH Guide for Grants and Contracts
 I.  PREPARING YOUR APPLICATION
  A.  Introduction
  Requests for Applications/ Program Announcements
Authorization
B. General Instructions
Format Specifications
Page Limitations and Content Requirements
Table 1.  Page Limitations and Content Requirements.
C. Specific Instructions
1. Face Page

2.  Description, Performance Sites, and Key Personnel

3. Research Grant Table of Contents
4. Detailed Budget for Initial Budget Period
5. Budget for Entire Proposed Period of Support
6. Biographical Sketch
7. Resources
8. Research Plan
Human Subjects
Vertebrate Animals
9. Appendix.
10. Checklist.
11. Personal Data
II. SUBMITTING YOUR APPLICATION
A. Instructions  
Number of Copies, Bindings, and Mailing Address
Application Mailing Address
B. The Peer Review Process
Overview
Research Project Evaluation Criteria  
C. Interactions Before Submission
D. Interactions After Submission
E. Interactions After Review
III. OTHER INFORMATION
A. Definitions
B. Other Support
Other Support Policy
Submission of Other Support Information
Information on other support should ONLY be submitted when requested by the NIH Institute/Center (I/C)
Instructions for Selected Items
C. Personnel Report
D. Grant Solicitations
E. Start Dates
F. Inventions and Patents
G. Assurances and Certifications
Human Subjects
Research on Transplantation of Human Fetal Tissue
Women and Minority Inclusion Policy
Inclusion of Children Policy
Research Using Human Pluripotent Stem Cells
Vertebrate Animals
Debarment and Suspension
Drug-Free Workplace
Lobbying
Nondelinquency on Federal Debt
Research Misconduct
Assurance of Compliance (Civil Rights, Handicapped Individuals, Sex
Discrimination, Age Discrimination)
Financial Conflict of Interest
H. PHS Metric Program
I. Smoke-Free Workplace
J. Prohibition on Awards to 501(c)4 Organizations That Lobby
K. Government Use of Information Under Privacy Act
L. Information Available to the Principal Investigator.
M. Information Available to the General Public
Access to Research Data
N. Recombinant DNA and Human Gene Transfer Research
O. Information Resources
Extramural Program Guidelines
Applications Available from Other Offices
IV. RESEARCH CAREER AWARD (RCA)
A. Introduction
B. Summary of Individual Career Awards Award Type
C. Basic Administrative Data
1. Face Page
2. Description and Personnel
3. Table of Contents
4. Detailed Budget for Initial Budget Period
5. Budget for Entire Proposed Period of Support
6. Biographical Sketch
7. Other Support
8. Resources
D. Specialized Information
1. Introduction to Revised Application
2. Letters of Reference
3. The Candidate
4. Statements by Sponsor(s), Co-Sponsor, Consultant(s), and Collaborator(s)
5. Environment and Institutional Commitment to the Candidate
6. Research Plan
7. Appendix
V. INSTITUTIONAL NATIONAL RESEARCH SERVICE AWARD
A. Introduction
B. Specific Instructions
1. Face Page
2. Description, Performance Sites, and Key Personnel
3. Table of Contents
4. Detailed Budget for Initial Budget Period
5. Budget for Entire Proposed Period of Support
6. Biographical Sketch
7. Resources
8. Research Training Program Plan
9. Appendix
10. Checklist
11. Personnel Report
VI. SMALL BUSINESS RESEARCH GRANT PROGRAMS
A. Introduction
B. General Instructions.
Grant Application Forms
Page Limitations
Type Size
Reminder Sheet
Information Required Prior to Award
Phase I/Phase II Fast-Track Applications (Applicable to NIH Only)
C. Specific SBIR/STTR Grant Application Instructions and Requirements
1. Face Page
2. Description, Performance Sites, and Key Personnel
3. Research Grant Table of Contents
4. Modular Applications: Special Instructions for Budgets of $100,000 Total Costs or Less
5.  Detailed Budget for Initial Budget Period
6.  Budget for Entire Proposed Period of Support
7. Biographical Sketch
8. Resources
9. Research Plan
10. Appendix
11.  Checklist
12. Personal Data
D. Submitting Your SBIR/STTR Grant Application
Receipt Dates
Number of Copies
Bindings and Packaging
Mailing and/or Delivery Addresses
Assignment of Grant Applications
Notification of Receipt
Incomplete Applications
Supplementary or Corrective Information
Method of Selection and Evaluation Criteria
Review Process
Funding Decisions
Revision and Resubmission of Grant Applications
Submission of Similar Grant Applications by the Applicant Organization
E. SBIR/STTR Policy and Additional Guidance
Audit Requirements of For-Profit Organizations
Time and Effort Reporting for Commercial Organizations

***********IMPORTANT CHANGES AND REMINDERS**********

IMPORTANT CHANGES

INVESTIGATORS SHOULD BOOKMARK THIS WEBSITE AND CHECK IT FOR UPDATED INSTRUCTIONS AND POLICY INFORMATION PRIOR TO SUBMISSION OF APPLICATIONS.

Format and Availability

The PHS 398 grant application instructions are available electronically in Rich Text File (RTF) and Portable Document File (PDF) format. The Table of Contents includes direct links to specific sections of the document, and text searches are possible using the "CTRL-F." Moreover, the revised format includes dynamic website links and cross-references, which enable readers to easily navigate through sections the document. The PHS 398 forms have been modified to enable the fields to be filled in directly using word processing programs (RTF) or Adobe Acrobat Reader software (PDF).  Note:  Form pages prepared using PDF documents can be saved only if you have obtained Adobe Acrobat.  

Application Forms

Note: All Form Pages and Format Pages have been renumbered.

Form Page 1: Face Page
Items for Social Security Number and Organizational Code have been eliminated.

Human Subjects Research box (Item 4) has been modified as follows:

      4a: No/Yes check boxes for “Research Exempt”
      4b: Human Subjects Assurance Number
      4c: No/Yes checkboxes for Phase III Clinical Trial

Modular Budget Format Page: Budget Justification Page for Modular Research Grant Applications.
A format page and specific instructions for preparing Modular Grant Applications are provided.

Biographical Sketch Format Page:
A standardized format for the Biographical Sketch (maximum of four pages for each key person) will be used for all (modular and other) research grant applications. A format page, including a sample biographical sketch, has been developed.

Resources Format Page:
A format page has been developed. See Section I, Item 7.

Checklist Form Page:
Assurances and Certifications
. This section has been updated to include Research on Transplantation of Human Fetal Tissue; Women and Minority Inclusion Policy; Inclusion of Children Policy; Research Using Human Embryonic Stem Cells; Non-Delinquency on Federal Debt; Recombinant DNA; and for STTR only, Certification of Research Institution Participation. See Section III. G, "Assurances and Certifications .”

Facilities and Administrative (F&A) costs. This section includes spaces to calculate F&A costs for the initial year through the entire budget period. (F&A costs were formerly referred to as Indirect Costs for some types of applications.)

Other Support Format Page:
A standardized format for the Other Support information will be used for all (modular and other) research grant applications. Do NOT submit Other Support information with the application. NIH staff will request this information at an appropriate time after peer review. See Section III-B.

Appendix Material:
Applicants may ONLY include manuscripts that have been accepted for publication. Manuscripts submitted for publication may no longer be included. See Section I-9.

Instructions

Human Subjects Research

Specific instructions regarding the use of human subjects in research, including new format pages for Women and Minority Inclusion enrollment and reporting and instructions regarding inclusion of a Data and Safety Monitoring Plan for clinical trials. Information about inclusion of women, minorities, and children are no longer part of the 25-page limit of the research plan. See Section I-8, Item E.

Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) Grant Programs

PHS 398 Application Forms and Instructions incorporate the SBIR and STTR Grant Programs. See instructions in Section VI.

reminders


Notable Changes Made to PHS 398 Form Pages (Revised 05/2001):



Go to NIH Forms and Applications Page


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