Questions and Answers

Quick Facts on Research Grant Applications

Which form do I use to apply for an NIH research grant?

Depending on whether the grant type you are applying for has made the transition to electronic submission, you will use either the PHS 398 or PHS 416-1 paper application or the Grant Application Package in a funding opportunity announcement.

For dates in NIH's Transition Plan, go to the Electronic Submission page, and for more on applying, see Applying for a Grant questions and answers.

How do I apply for an investigator-initiated human subjects research grant?

NIAID uses a mandatory, two-step approach to funding investigator-initiated clinical trials: a Clinical Trial Planning Grant (R34) followed by a Clinical Trial Implementation Cooperative Agreement (U01).

R34s give PIs funds to prepare a) materials NIAID needs to determine a project's feasibility and b) documentation for applying for a U01. For more information, go to Investigator-Initiated Clinical Trial Planning and Implementation Grants.

Always call an NIAID program officer before planning a human subjects research application.

For an R34 application, read the human subjects instructions in your funding opportunity announcement. For a U01 application, read the Human Subject Supplement of the PHS 398 and follow all instructions.

You'll also have to fulfill Institute-specific requirements in the NIAID Clinical Terms of Award. See our How to Write a Human Subjects Application tutorial for help.

Should I include a cover letter?

Yes. A cover letter helps the NIH Center for Scientific Review assign your application to a study section for initial peer review and an institute for possible funding. You also can request these assignments. Go to CSR's Scientific Areas of Integrated Review Groups, and find advice in Consider Requesting an Institute and Study Section in the NIH Grant Cycle: Application to Renewal.

Your cover letter can also provide names of people you don't want to review your application, e.g., a competitor or someone with whom you have a long-standing scientific disagreement. Read Do You Need a Cover Letter? in the NIH Grant Cycle: Application to Renewal for details.

A cover letter is required for a late submission.

Where do I send my paper application?

For investigator-initiated applications, including some program announcements (read the NIH Guide notice for specifics), send the original plus five copies in one package to:

Center for Scientific Review
National Institutes of Health
6701 Rockledge Drive, Room 1040 - MSC 7710
Bethesda, MD 20892-7710 (Use this ZIP code for the U.S. Postal Service, including express mail.)
Bethesda, MD 20817 (Use this ZIP code for commercial carriers such as FedEx and UPS.)

You cannot hand deliver it; send it by mail or commercial courier.

How do I send my electronic application?

See the Grant Application -- Electronic -- Submitting and Validating questions and answers.

When is my application due?

NIH receives R01 and most other investigator-initiated applications three times a year.

See NIH's Standard Due Dates for Competing Applications for deadlines for small business awards, fellowships, and others. If a deadline lands on a weekend or federal holiday, it moves to the next business day.

NIAID has one exception to these dates: T32 training awards are due by September 25, NIAID's only annual submission date. Also see How to Submit Electronically on Time and Rules for Late Applications in the NIH Grant Cycle: Application to Renewal.

I've heard that NIH doesn't require PI signatures. Is this true?

Yes. A principal investigator signature assurance replaces the signature. See Part 5. Research Plan and Part 6. Other Application Sections in the NIH Grant Cycle: Application to Renewal for more information.

What does CSR do with my application?

CSR makes two assignments for your application for two purposes:

1. Initial peer review. CSR assigns your application to either one of its integrated review groups or to an institute for review. (For more information, see next question.
2. Administration. CSR also forwards a copy to the institute that will manage your application and your grant, if it's funded.

See CSR's The Peer Review Process and CSR Study Section Roster Index for more details on review assignment. For more information, read Applications Are Assigned to an Institute and IRG.

How do I know if CSR or an IC will review my application?

CSR conducts initial peer review of investigator-initiated applications, including R01s, fellowships, applications responding to program announcements, and other awards that are not reviewed by institutes.

NIAID reviews applications that address Institute-specific needs, e.g., program projects, cooperative agreements, career awards, institutional training awards, and conference grants as well as contract proposals. See Who Peer Reviews Your Application?

How long will I have to wait for notification of assignment?

NIH doesn't mail assignment notifications. Log in to the eRA Commons to get this information, which should be ready within two weeks after your application reaches CSR. For further details, go to Applications Are Assigned to an Institute and Integrated Review Group the NIH Grant Cycle: Application to Renewal.

What if I don't like the assignments?

If you are not satisfied with your application's assignments, you can request a change. See Call If You Are Not Satisfied With a CSR Assignment in the NIH Grant Cycle: Application to Renewal.

How long will I have to wait for my summary statement?

You will receive a summary statement through the eRA Commons about eight weeks after initial peer review. Read When You Can Expect to Hear Back.

Whom do I contact at NIAID before the initial review of my application?

Call the scientific review officer of the scientific review group reviewing your application. For a CSR study section, go to the Study Section Roster Index; for an NIAID review group, go to our Scientific Review Program staff list.

Whom do I contact at NIAID after the review of my application?

Call the program officer listed on your summary statement. See When to Contact an NIAID Program Officer.

What happens if my application receives a fundable score?

NIAID's main advisory Council performs second-level review for policy issues to make a funding recommendation to NIAID. If approved, NIAID's Grants Management Program will send you a Notice of Award. Read How NIAID Determines Which Applications to Fund and subsequent pages.

How long will I have to wait for my Notice of Award?

Usually within six weeks of Council approval, you can find the Notice of Award listed in the Status module of the eRA Commons. Or you can use the Issued Notice of Award query.

You may be able to start spending funds before getting your Notice of Award. Your business official must approve, since doing so is at your institution's risk. For more information, see Negotiation Determines Your Final Terms of Award.

What do I do if there is a code 44 bar to award?

If you see a code 44, a bar to award, on your summary statement, call your program officer to learn what it's about, and then send him or her the following information.

1. A revised and dated Human Subjects Research section for your research plan, addressing the study section's concerns.
2. A letter signed by you and your business official documenting how you resolved the issues.

Research using animals

1. A revised and dated Vertebrate Animals section for your research plan, addressing the study section's concerns.
2. A letter signed by you and your business official documenting how you resolved the issues.

Your program officer will forward your documents to the appropriate NIH office to request lifting the bar. When that office agrees you have resolved the problem, it will change your award's status in the NIH grants database, indicating your award can be processed.

This procedure usually takes a few weeks. For other codes, see our Human Subjects Involvement Codes and Research Animals Involvement Codes, and call your program officer for advice. For details, see What Happens If Reviewers Have Concerns? and the Bars to Grant Awards SOP.

What do I do if my application is deferred for funding?

We defer funding decisions for many high-quality applications that rank above the payline until after the third review cycle in June or July. We then fund these applications in percentile or priority score order until funds are used up for that fiscal year.

We usually advise you not to wait to see if you are funded later in the year but to revise and resubmit your application. Hopefully, this approach will let you correct issues identified by peer reviewers, so you can improve your score.

Your program officer can advise you on the likelihood of your getting an award and your options earlier in the fiscal year. Also read Second-Level Review Yields Four Possible Outcomes.

What happens if my application did not receive a fundable score?

You have several options if you do not succeed in getting an award, and you should weigh them carefully to determine what solution best fits your situation.

Go to Part 11b. Not Funded, Reapply in the NIH Grant Cycle: Application to Renewal to determine if your application's issues are correctable and, whether they are or not, what to do next. Also call your program officer for advice.

How do I submit my noncompeting application?

If your institution is participating in eSNAP, go to Progress Report Search by IPF Number to access a list of due progress reports using your institutional profile number.

If your institution is not participating in eSNAP, you will need to mail your progress report to NIAID:

Division of Extramural Activities Support, OER
National Institutes of Health
6705 Rockledge Drive, Room 2207, MSC 7987
Bethesda, MD 20892-7987 (Use this ZIP code for the U.S. Postal Service, including express mail.)
Bethesda, MD 20817 (Use this ZIP code for commercial carriers such as FedEx and UPS.)

Phone number: 301/594-6584

Read more in Send Us an Annual Progress Report in the NIH Grant Cycle: Application to Renewal.

What if my question wasn't answered here, or I'd like to suggest a question?

See our main Grants and Contracts page and our All About Grants tutorials.

If you still can't find the answer, email deaweb@niaid.nih.gov with this link and your question or suggestion. We answer questions by email and post them here. Thanks for helping us clarify and expand our knowledge base.