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May 16, 2008
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Common NIH Proposal Errors


Application is late.
The receipt date policy, as well as the standard receipt dates for investigator-initiated applications, is found at:
http://grants.nih.gov/grants/funding/submissionschedule.htm
(Note that standard receipt dates for investigator-initiated applications are “send by” dates, whereas dates for solicited applications are “arrive by” dates.)

Submits a “revised” application when a new application is required.
If the initial application was to an RFA or if you are changing the mechanism, a new application is required and must be submitted on the scheduled due date for new applications.
http://grants2.nih.gov/grants/guide/notice-files/not-od-03-019.html

Submits a “revised” application but fails to include the required “Introduction” at the beginning of the Research Plan.

Submits a “new” application without sufficiently changing the aims and approaches from a prior application.
http://grants2.nih.gov/grants/guide/notice-files/not-od-03-041.html

Submits an application which is essentially the same as another pending application.

Fails to list a Program Announcement in submitting an R03 or R21 application.

Fails to follow page limitations, format (type size), or budgetary requirements.
The PHS398 lists a standard for these; applications in response to Program Announcements (for example R21 or R03 applications) or Requests for Applications must also adhere to the instructions in the announcement.

Fails to use a modular budget when one is required.
http://grants2.nih.gov/grants/guide/notice-files/NOT-OD-00-046.html

Submits an application with a budget which equals or exceeds $500,000 in any year without approval from an Institute or Center.
http://grants2.nih.gov/grants/guide/notice-files/NOT-OD-02-004.html

Checklist is incorrect

Checks “NEW” when the application is really a “REVISION” or “COMPETING CONTINUATION”

Lists the incorrect former grant or application number (or fails to list a former number) for a REVISION  or COMPETING CONTINUATION

Most of these errors can turn out to be “show-stoppers,” i.e. if the problem is not resolved, the application may be returned to the applicant.



The five review criteria for most grant applications are Significance, Approach, Innovation, Investigators and Environment.

Problems with Significance:
Neither significant nor exciting nor new research
Lack of compelling rationale
Incremental and low impact research

Problems with Specific Aims:
Too ambitious; too much work proposed
Unfocused aims; unclear goals
Limited aims and uncertain future directions

Problems with Experimental Approach:
Too much unnecessary experimental detail
Not enough detail on approaches, especially untested ones
Not enough preliminary data to establish feasibility
Feasibility of each aim not shown
Little or no expertise with approach
Lack of appropriate controls
Not directly testing hypothesis
Correlative or descriptive data
Experiments not directed towards mechanisms
No discussion of potential pitfalls and alternative models or hypotheses
No discussion of proper data analysis and interpretation of data

Problems with Investigator:
No demonstration of expertise or publications in approaches
Low productivity; few recent papers
No collaborators recruited or no letters from collaborators

Problems with Environment:
Little demonstration of institutional support
Little or no start-up package or necessary space and equipment

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