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Department of Contracts and Grants

PHS Assignment Request Form in Grant Applications

February 6, 2023

Announcement: ​ The National Institutes of Health is encouraging the use of the  Public Health Service (PHS) assignment request form  when putting together grant applications.

This form is available in nearly all competing NIH application form packages and allows you to provide specific application assignment and review information to referral and review staff.

Applicants may suggest NIH Institute/Center/Office (ICO) assignments, particular study sections, names of people who may have a conflict with reviewing the application, and areas of expertise needed for the review. The information provided is not included in the assembled application and is only shared with appropriate NIH review staff, not with reviewers or others at NIH.

Available resources to help identify which NIH ICO or study section may be appropriate:

• RePORTER  for grants where related research was funded and reviewed (see also  this blog ).
• Assisted Referral Tool  can help you identify potentially appropriate  study sections .

Please keep in mind that suggestions for peer reviewers are not allowed on the form (or the  cover letter  or anywhere else in the application). The PHS form clearly states “do not provide names of individuals” you would like to review your application as this could cause a potential  conflict of interest  between the applicant and reviewer.

Questions?  If you have any questions regarding the PHS form, please reach out to your  DCG Officer . 

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NIH Extramural Nexus

FORMS-H: Instructions, Forms, and a Handy Checklist

Hopefully, you’ve seen our notices ( NOT-OD-22-195 , NOT-OD-23-012 ),  tweets , and previous Nexus posts ( FORMS-H Coming for January 2023 Due Dates , Gearing Up for Transition to FORMS-H Application Forms , data sharing posts , genomic data sharing posts ) regarding our pending transition to an updated set of grant application forms we refer to as FORMS-H and the implementation of new Data Management and Sharing (DMS) requirements. If so, you already know that you must use FORMS-H forms for grant application due dates on or after January 25, 2023 and that our forms and instructions have been updated to support the new sharing requirements.

The FORMS-H application instructions are posted, FORMS-H application packages are starting to show up on active opportunities, and it’s time to get to work on your applications.

This checklist will help you navigate the changes.

FORMS-H Checklist

🗸 Use an application form package with a Competition ID that includes “FORMS-H”.

• Not sure how to identify the correct form version? See Do I Have the Right Forms for My Application?
• If you find you have started your application on the wrong form set, take advantage of copy features available in ASSIST, Grants.gov Workspace, and many institution system-to-system solutions.

🗸 Use the SF424 (R&R) – Version H application form instructions on the How to Apply – Application Guide page.

• Read the Significant Changes section to become familiar with recent updates.

🗸 Determine if your proposed research is subject to the DMS policy .

• The policy applies to all research that generates scientific data (e.g., single and multi-project research projects and centers), but not to some other activities (e.g., training, fellowship, construction, conference grants, resources).

🗸 Identify appropriate methods/approaches and repositories for managing  and  sharing scientific data .

🗸 Develop a Plan  for managing and sharing scientific data and submit this Plan within the funding application or proposal.

• Multi-project applications: include the DMS Plan in the Overall component only.

🗸 Estimate and request funds for data management and sharing activities if not already covered by the institution or other sources.

• Modular budgets: use the Additional Narrative Justification attachment of the PHS 398 Modular Budget Form.
• Detailed budgets: include “Data Management and Sharing Costs” line item under F. Other Direct Costs “8-17 Other” on the R&R Budget Form.
• Multi-project applications: at least one component must include a “Data Management and Sharing Costs” line item with either all DMS costs incurred, including personnel costs (e.g., personnel who will be curating data for the project) or 0 if no cost is incurred.
• Modular budgets: use the Additional Narrative Justification attachment of the PHS 398 Modular Budget Form
• Detailed budgets: use the Budget Justification attachment of the R&R Budget Form.
• Multi-project applications: include a justification within any component that includes the “Data Management and Sharing Costs” line item

🗸 Upon submission check all applicable application files in eRA Commons (e-Application; Data Management and Sharing (DMS) Plan; eSubmission-PHS Assignment Request Form; cover letter)

• Note: Unless indicated in the funding announcement, the Data Management and Sharing Plan is not evaluated at time of peer review but is evaluated prior to award. Although part of the official submission, when not considered during peer review the attachment is maintained as a separate “Data Management and Sharing (DMS) Plan” document in the grant folder viewable via the Status Information screen in eRA Commons. This document is viewable by authorized users and is not part of the assembled e-Application.

Additional Resources

• How to Apply – Application Guide
• Annotated Forms Sets
• High-level Summary of Form Changes in FORMS-H Application Packages
• Do I Have the Right Form Version For My Application?
• Applying Electronically FAQs
• NIH Data Sharing Website
• Genomic Data Sharing Policy
• Data Management and Sharing Policy
• Writing a Data Management & Sharing Plan – Applications for Receipt Dates ON/AFTER Jan 25 2023
• Scientific Data Sharing FAQs

RELATED NEWS

One comment.

The page referenced in this bullet: Use the SF424 (R&R) – Version H application form instructions on the How to Apply – Application Guide page

includes PDF downloads under “Step 3”. Those PDF downloads are all Forms F, rather than Forms H.

This is as of 11-11-2022.

Before submitting your comment, please review our blog comment policies.

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Additional Application Forms and Components

In addition to the Research Strategy and Specific Aims pages that describe your proposed research, standard NIH applications include many other components including but not limited to those listed below. Follow the instructions below to help determine which of these additional components are necessary for your application.  Some will be relevant to all or almost all grant mechanisms, while others may apply to only a subset .

The best way to determine what applies to your application is to closely review: NIH Application Instructions  referenced in the NOFO under the "Required Application Instructions" heading The intended NOFO, particularly: Section I: Related Notices Section IV: Application and Submission Information

Write a succinct summary of the project that both a scientist and a lay person can understand.

• Use Specific Aims as a template—shorten and simplify the language.
• In the first sentence, state the significance of your research to the field and relevance to NIND's mission: to better understand, treat, and prevent infectious, immunologic, and allergic diseases.
• Next state the hypothesis and the innovative potential of your research.
• Then list and briefly describe the Specific Aims and long-term objectives.
• Include appropriate keywords, e.g., immunotherapy, genetic risk factors.
• Do not include graphics or citations.
• Define or omit abbreviations.
• Be sure to omit confidential or proprietary information in these sections!

These sections may be small, but they're important.

• When your application is funded, NIH enters your title and Abstract in the public RePORTER database. 
• All peer reviewers read the Abstract and Narrative.
• Staff and automated systems in NIH's Center for Scientific Review use the Abstract and Narrative to decide where to assign your application, even if you requested an institute and study section.
• The Abstract and Narrative describe the importance and health relevance of the research to members of the public and Congress who are interested in what NIH is funding with taxpayer dollars.

What To Add and Not To Add in an Appendix NIH limits the information you may put in an Appendix (see list below of allowable materials) and will check that you did not try to bypass page limits by putting materials in the Appendix that belong in the Research Plan. Guidelines differ by grant type and notice of funding opportunity ( NOFO ), so check your NOFO carefully.

The list of allowable Appendix materials is limited to the following items:

Blank data collection forms, blank survey forms and blank questionnaire forms--or screenshots thereof

Simple lists of interview questions

Blank informed consent/assent forms

Other items  only if  they are specified in the NOFO as allowable Appendix materials

Applications that include unallowable Appendix materials will be withdrawn and not reviewed.

For additional details, see NIH 's  Frequently Asked Questions: Appendix Policy .

Submitting the Appendix Use the Appendix attachment of the PHS 398 Research Plan form. If you can't submit the materials electronically, contact the Scientific Review Officer listed in your chosen NOFO .

Assignment Request Form

Use of the PHS Assignment Request form is optional but can be helpful on a number of levels. The PHS Assignment Request Form contains four sections for receiving suggestions from applicants. This information is reviewed by the NIH ’s Center for Scientific Review (CSR)’s Division of Receipt and Referral (DRR). Note that DRR staff are not required to grant the suggestions made on this form, but often do when feasible and scientifically appropriate. Only NIH staff involved in the assignment and review process have access to this form.  Suggestion of IC Assignment  For applications to parent funding opportunities or those with multiple participating ICs (see “Components of Participating Organizations” in “Part 1. Overview Information” of the selected NOFO ), you may wish to recommend primary assignment to the IC whose mission most closely aligns with your proposed research. NIH’s Matchmaker may be helpful if you're unsure and reaching out to a NINDS Program Officer may also be helpful.   Study Section Assignment  Review “Section V,” Subcategory “2. Review and Selection Process” for information as to whether applications submitted to the NOFO you have selected will be reviewed by the Center for Scientific Review (CSR) or by an IC-convened panel.  You may also find this information in “Section VII. Agency Contacts,” under “ Peer Review Contact(s).” If your application will be reviewed by CSR, it may be helpful to use the CSR Assisted Referral Tool to get an idea for which standing study sections might be the best fit for your application. NINDS program staff can also provide some input on this topic. It can be very helpful to write an application with a specific audience (in this case, study section) in mind when possible, so making suggestions here can be helpful.   Individuals Who Should Not Review and Why  NIH review staff automatically review conflicts of interest carefully and note that a scientific competitor does not necessarily constitute a conflict of interest. Be sure to provide specific information as to why you think a person could NOT provide a fair and impartial review if you choose to suggest the exclusion of a reviewer. This should be specific details as to actions or observations that would suggest this person could not provide a fair or impartial review.  Areas of expertise needed to review your application  This section provides you the chance to help NIH facilitate the most fair and rigorous review of your application. Completing this section can be worthwhile even if you don’t utilize or complete other sections of the form. Use this section to highlight the disciplines involved in your project, and particularly if multidisciplinary. This will help CSR and the Scientific Review Officer (SRO) identify the types of expertise needed to rigorously evaluate your application and recruit and assign the most appropriate reviewers.    

Authentication of Key Biological and Chemical Resources

This section is an important part of NIH ’s Rigor and Reproducibility efforts and has been required in all applications since 2016. 

Note that reviewers are asked to comment on the suitability of this plan, and if not adequate, you will be asked to revise and submit an amended version addressing reviewer concerns via just-in-time procedures .  

In addition to the instructions for this section that can be found in the standard NIH application instructions , the below references may be useful for informing your development of this section: 

What Kind of Information Should I Include in the “Authentication of Key Biological and/or Chemical Resources” Attachment? 

Authentication Plan Examples  

NIH Policy Notices on the Authentication of Key Biological and/or Chemical Resources section.

Biosketches

Along with any principal investigators, include a biographical sketch with research support information for everyone you designate as senior/key personnel or other significant contributors (OSCs). This includes consultants and technical staff with senior/key personnel or OSC designations, even if they are not paid a salary from the grant. OSCs who contribute at least one person month or more effort must be designated as senior/key personnel.

Get the NIH   Biosketch Format Pages, Instructions and Samples , and learn more in the  Frequently Asked Questions on Biosketches . Use  SciENcv  to help you develop your biosketch and automatically format it according to NIH requirements. 

How Reviewers Use Biographical Sketches Reviewers check carefully to see whether the PI and others have enough experience with the techniques to execute the Research Plan. The personal statement and contributions to science can be big factors in how you rate on the Investigator review criterion.

Reviewers will check that you have asked for an appropriate number of people, amount of time, and level of expertise to conduct the research.

How To Create a Strong Biographical Sketch

• Make Your Personal Statement specific for this application. Use this section as well to explain any gaps in productivity or other aspects that may impact how a reviewer may score you as an investigator. Your personal statement can be a big factor in how you the PI rate on the Investigator review criterion. 
• All key personnel's biosketches have a personal statement too, which must explicitly state how their experience qualifies them for  their role on your project , including relevant education, expertise, and accomplishments.
• Carefully choose the publications you decide to highlight in your "Contributions to Science." Highlight your team's expertise by listing publications or manuscripts in press for each member. Reviewers will consider your seniority when they evaluate the scientific contributions in your biosketch. 

NIH offers the following advice for new scientists:

• If you have one publication, you could summarize the key finding of the paper and its importance in a short contribution.
• If you have no publications yet, you could provide a contribution that describes your efforts on other peoples’ papers and projects. For example, perhaps you used a certain method, provided the literature review for a paper, or cared for all the research animals.
• If you have no research or thesis experience yet, you may still be able to describe one contribution about your training to date. 

Note that you do not have to be an author on the publications you reference. It is up to you how you describe your contributions. As one way to do so, you could choose to list a key publication that builds on your work.

For further advice on biosketches, consult with your colleagues who serve as reviewers in your area of science. Learn more about NIH   Biosketch Format Pages, Instructions and Samples .

Cover Letter

Check required and optional reasons to write a cover letter for your application. Note that only the Scientific Review Officer—not peer reviewers or Program Officers—sees your cover letter.

When a Cover Letter Is Required You must have a cover letter for the following:

• Grants requesting $500,000 or more in direct costs for any year.
• Conference grants (R13 or U13).
• Late applications.  Include the reason your application is late. Learn more at  Late Applications and Post-Submission Materials .
• Continuous submission.  Indicate that you are a member of an NIH study section qualified to submit at a nonstandard time.
• Video.  Indicate that you plan to send video files later.  

Optional Uses for the Cover Letter You may choose to use a cover letter for the following purposes:

• Point out RFAs and PAs . State the title if you're responding to an initiative.
• Note special areas.  Note the involvement of human subjects, select agents, or other areas with special requirements.
• Note a subaward  that will be active for only some of the grant's years.

In the past, applicants also used the cover letter to list expertise needed to review the application and to request assignment. Use the PHS Assignment Request Form described above instead.

Creating Your Cover Letter Here's how to create and format your cover letter:

• Start with the title and a brief description of your application.
• Use the PHS 398 Cover Letter File in the grant application—don't confuse it with the mandatory PHS 398 Cover Page Supplement form.

Follow the format NIH gives you in the  SF 424 Form Instructions .

Data Management and Sharing Plan

See NINDS ' dedicated Data Management and Sharing Plan page

This section gives you a chance to demonstrate the equipment necessary to successfully complete the work is available to you. Follow the applicable SF424 NIH instructions

Facilities and Other Resources

Use this section to describe any additional facilities and other resources necessary for the successful completion of the work proposed in your application. Follow the applicable SF424 NIH instructions

Introduction to Application/Response to Reviewers

This section is required only if the application type is "resubmission" or "revision" or if the NOFO specifies that one is needed. Follow the applicable SF424 NIH instructions

Genomic Data Sharing

Genomic Data Sharing is now included under the following section, "Data Management and Sharing Plan." See important information on NINDS' interpretation of the NIH Genomic Data Sharing policy .

Letters of Support

Your application should include letters of support from your institution, key personnel, collaborators, and other significant contributors. Relevant letters of support will assure your peer reviewers that your collaborations and institutional commitments are on the right track.

What To Include

The letter text should demonstrate the commitment of your institution and contributors. Summarize the agreements you have in place to support your project.

Familiarize yourself with the recommendations  and instructions in the NIH SF424  Letters of Support  instructions.

In multi-component applications, you may include letters of support in the overall component, other components, or both unless stated otherwise in the notice of funding opportunity ( NOFO ). You may also be instructed to begin the Letters of Support attachment with a table of letter authors, their institutions, and the type of each letter (e.g., institutional commitment).

Specifics for Collaborator Letters

When you request a letter of support, consider providing your collaborator a summary of your agreement as a convenient starting point. Discuss with them what information you think needs to be included.

The letters of support should clearly describe what type of support your collaborators will provide (e.g., reagents, animals, human samples, technology). Make sure to indicate whether the support is available to anyone on request or if your collaborator will provide it to only you. Our staff consider the latter point as they determine who may review your application without conflict.

Note that this letter is not the same document as your formal written agreement with the collaborator. Do not include the text of the formal agreement itself with your letters of support or your application. The formal agreement is for your benefit. NIH does not request, use, or need a copy of it. 

Don’t Send Too Many Letters of Support

Include the letters as described in the NOFO ’s instructions, but don’t assume that even more letters would be better. We strongly advise against collecting letters of support solely as endorsements of your reputation, expertise, or research plans.

In some cases, applicants have provided over a thousand letters of support. Large quantities of letters pose a significant burden on peer reviewers as they try to determine which are truly relevant to the project.

Unnecessary letters can also limit the pool of experts who are allowed to review your application. Due to potential conflicts of interest, anyone who writes a letter may not review your application. You might unintentionally eliminate the scientists who could have been your best supporters on the review panel. 

Multi PD/PI Leadership Plan

This section is required for any multi-PD/PI applications. This section allows you to explain how your team is organized and how you will navigate conflicts if and when they emerge, among other topics. Follow the applicable SF424 NIH instructions .

In the Project Narrative, the limit is THREE SENTENCES to describe the project's potential to improve public health.

Plan for Enhancing Diverse Perspectives

Some NOFOs require this plan to describe how diverse perspectives will be included in the proposed work. If this plan is required, it will be indicated in the NOFO along with instructions provided in section IV of the NOFO if applicable.

References Cited

Put your research plans in scientific context for your reviewers and convince them that you know your field by citing wisely in your application, including a Bibliography. References show your breadth of knowledge of the field. If you leave out an important work, reviewers may assume you're not aware of it.

Cite publications that are current and relevant to the project or show that you or your collaborators used your proposed methods. You may also cite interim research products, such as article preprints, to demonstrate transparency as explained in NIH 's  Frequently Asked Questions on Interim Research Products . Do not include a copy of publications in the application.

If a publication is public, always link to it, or include its  NIH PubMed Central  identification number in the text. You will list all citations in your Other Project Information Form: Bibliography and References Cited form. Follow the applicable SF424 NIH instructions

Resource Sharing Plans

With the launch of the Data Sharing and Management Policy for applications submitted on or after January 25th, 2023, it is important to note that existing resource sharing requirements REMAIN in effect. 

Resource sharing can be thought of broadly as falling into two main categories: 

Model Organism Sharing Policy  

All NIH applications and proposals that will produce unique model organism research resources are expected to include a sharing plan for distributing these research resources in the application or proposal, or provide a justification for why such sharing is restricted or not possible. 

This policy statement applies to extramural investigators funded by NIH grants, cooperative agreements, and contracts, including Small Business Innovation Research ( SBIR ) and Small Business Technology Transfer ( STTR ) mechanisms. All investigators are expected to develop a model organism sharing plan. There is no cost threshold for this policy 

Research Tools Policy  

To determine whether a resource is a research tool in the context of the NIH Research Tools Policy, funding recipients should consider whether: 

The resource is primarily a tool for discovery rather than an FDA-approved product or an integral component of such a product; 

The resource is a broad, enabling invention that will be useful to many other users, rather than a project or product-specific resource; and 

The resource is readily useable or distributable as a tool, as opposed to an instance where private sector involvement is either a necessary means or the most expedient means for developing or distributing the resource. 

The NIH uses a broad definition of “research tool” which can the encompass full range of tools that scientists use in the laboratory, including: cell lines, monoclonal antibodies, reagents, animal models, growth factors, combinatorial chemistry and DNA libraries, clones and cloning tools (such as PCR), methods, laboratory equipment and machines 

If through the work of a proposed application, a unique resource you are generating could meet at least one of the numbered criteria above, you should include a resource sharing plan in your application for how the unique resource will be shared or why it cannot be. 

For details on what should be considered and included in the resource sharing plan, review the guidance provided in the NIH Research Tools Policy .

Team Management Plan

Some types of applications require Team Management Plans to provide further details on how teams will be managed. Follow instructions provided in section IV of the NOFO if applicable. 

comments Want to contact NINDS staff? Please visit our Find Your NINDS Program Officer page to learn more about contacting Program Officers, Grants Management Specialists, Scientific Review Officers, and Health Program Specialists.

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Encouraging Use of the PHS Assignment Request Form in Applications

Reinvention of gmas subagreements, gmas subagreement enhancement: monday, february 27, 2023.

The GMAS Subagreement Workflow enhancements are now available.  From this point forward, Departments requesting subagreement and subamendment drafts should do so in GMAS, rather than emailing their Central Office. If you have any questions, please contact Angie Suriel at ...

2023 IRS Mileage Rates

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An update to the EU’s and UK’s General Data Protection Regulation (GDPR) now requires certain standard contractual clauses be included in contracts that implicate data privacy issues. The Contract Management team is in the process of reaching out to clients and contacts across the university to work on amending certain contracts to bring them into compliance with GDPR.

Additionally, any new contracts that implicate the GDPR should include the current version of the ...

FY 2024 Fringe Benefit and Vacation Fringe Rates

Pending federal approval, Harvard will consolidate 6 fringe benefit rates into 3 for FY2024.  Note: The Staff rate has been consolidated and now includes both Exempt and Non-Exempt Staff. The Academic category includes faculty and post-docs.

• Federal  proposals should continue to use FY2023 rates until we have approval for the consolidated rates.
• Non-federal  proposals can use the consolidated rates starting immediately. 

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Other Support Reminders

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GMAS Subagreement Update for Participants in Operations Roles

There's a planned GMAS enhancement for participants ...

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Should multiple dms plans be submitted with each application.

Source: NIH Post

No. The Data Management and Sharing (DMS) Policy expects only one DMS Plan to be submitted with each application and does not expect separate Plans to be developed...

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