Reminders and Updates: NIH Policy on Post-Submission Application Materials

Notice Number: NOT-OD-13-030

Release Date:  January 29, 2013  

NOT-OD-13-013
NOT-OD-12-141
NOT-OD-12-111
NOT-OD-10-115

National Institutes of Health (NIH)

This Notice serves to update the NIH policy on post-submission application materials issued in NOT-OD-10-115.  Since the policy was issued, questions have arisen concerning:

• News of promotions and positive tenure decisions;
• News of promotions and professional achievements for trainees and faculty members on training grant applications; and
• Post-submission materials for applications submitted for the last due date of a Request for Applications (RFA).

This Notice also serves as a reminder of these earlier updates to the post-submission materials policy:

• If an application proposed to use a human embryonic cell line(s) that is approved by the NIH Stem Cell Registry at least 30 days prior to the peer review meeting, the SRO can include this update to the reviewers as part of the post-submission materials (see NOT-OD-12-111). 
• Videos, within defined limits, will be accepted as non post-submission materials (see NOT-OD-12-141).  Devices and other non-traditional materials will not be accepted after submission, unless the application is submitted for a Funding Opportunity Announcement that specifies other types of allowable post-submission materials.

These clarifications do not modify the existing Just-In-Time requirements or any other requests for additional information after the initial peer review.

On occasion, exceptions will be made to the NIH policy on post-submission application materials to assist institutions and/or investigators affected by natural disasters or other catastrophes.  See, for example, NOT-OD-13-013.

Post-submission application materials are those submitted after submission of the grant application but prior to the initial peer review.  The NIH policy on post-submission application materials specifies that, for the majority of applications, the only post-submission materials that the NIH will accept are those resulting from unforeseen administrative issues, an option to be used when an unexpected event such as the departure of a participant, natural disaster, etc. has occurred, not to correct oversights/errors discovered after submission of the application. 

The list of acceptable post-submission materials in the policy includes:

• Revised budget page(s) (e.g., change in budget request due to new funding or institutional acquisition of equipment)
• Biographical sketches (e.g., change in senior/key personnel due to the hiring, replacement, or loss of an investigator)
• Letters of support or collaboration resulting from a change in senior/key personnel due to the hiring, replacement, or loss of an investigator
• Adjustments resulting from natural disasters (e.g., loss of an animal colony)
• Adjustments resulting from change of institution (e.g., PD/PI moves to another university)
• News of an article accepted for publication (a copy of the article should not be sent)

Effective immediately, the following changes will be implemented:

1.  News of a professional promotion or positive tenure decision for any Program Directors/Principal Investigators and Senior/Key Personnel also will be accepted as post-submission application material.  The news must be received by the Scientific Review Officer one month (30 calendar days) prior to the peer review meeting, and demonstrate concurrence from the Authorized Organization Representative (AOR) of the applicant organization.

2.  The policy provides exceptions for applications submitted in response to RFAs that have a single due date.  Because similar issues apply to the last due date of an RFA with multiple due dates, the policy is revised through this Notice to apply those exceptions to applications submitted for the last due date of an RFA.

3.  The policy lists acceptable post-submission materials for institutional training and training-related grants [not fellowships (F series) or career (K series)] applications, including "appointments and/or achievements".  With this policy, the following types of information will be accepted:

• News of a trainee's or former trainee's graduation, employment, promotion, funding, publication or other professional achievement since the training grant was submitted;
• News of a faculty member's promotion, funding, publication, or other professional achievement since the training grant was submitted; and
• News of an additional faculty member who will be involved in the training activity. 

All other requirements and exceptions specified in NOT-OD-10-115 remain in effect.

Please direct all inquiries to GrantsInfo@od.nih.gov.