Frequently Asked Questions


1.    What types of NIH grant submissions require PHS form 398?
PHS 398 is required for all applications for new, revised, competing continuation, and supplemental research grant, research training grant, and cooperative agreement support. In addition, PHS 398 packet contains information on applications for Research Career ("K") Awards and Institutional National Research Service Awards (NRSA).

2.    What are the page limitations for NIH grant applications?
Introduction: revised applications (3 pages), supplemental applications (1 page).

Research Plan: new, revised, competing continuation, supplemental applications (25 pages). For the Small Grant (R03) mechanism, check with institute for restrictions.

Biographical Sketches: for each "key" person (2 pages in non-modular grants, 3 in modular grants).

3. Who are the "key personnel?"

NIH defines Key Personnel as individuals who contribute in a substantive way to the scientific development or execution of the project, whether or not salaries are requested. Click HERE for further info from the PHS 398.

4.    How many copies of the appendix must accompany the application?
Five collated sets of all appendix materials must be sent in the same package as the application.

5.   My work only involves the review of patient records. Is IRB review still required?
Yes. In general, never assume that your human-related research project is exempt from full IRB review. The rules governing eligibility for "expedited" IRB review are quite strict. Contact the IRB for further clarification.

6.    Is new IRB and IACUC approval needed for a revised, supplemental or competing continuation submissions?
Yes; even when the protocol remains the same.

7.    For budget purposes (in Federal applications), what constitutes "equipment"?
Only individual items costing more than $5,000 are considered "equipment". All other items are termed "supplies".

8.    What documents relating to subcontracts must be included in my NIH application?
For all consortium/contractual arrangements with other institutions (including Columbia University), the following documents from the subcontracting institution are required:

For further information, consult the PHS 398 Instructions.

Need an NIMH staffer's phone # or e-mail address? Click HERE.

See also: