Completing an SF424 (R&R) Application

1. Completing an SF424 (R&R) Application Updated October 16th, 2006 Office of Research and Development

2. Features of the SF424 (R&R) • Comprised of data elements common to the applications of the Federal agencies that fund Research and Research-Related programs • Enables consistent electronic submission through Grants.gov

3. Features of the SF424 (R&R) • Data are entered into documents (a.k.a. forms) for each component of the application • Agencies “construct” application packages specific to each Funding Opportunity (FO) • Applicant must complete the application using the package attached to that particular FO • The FO indicates which documents are required and which are optional for that application • NIH will use several “standard” packages • Download a sample at: http://grants.nih.gov/grants/funding/424/index.htm • Funding Announcements in the NIH Guide have a direct link to the Grants.gov FO

4. Features of the SF424 (R&R) • SF424 (R&R) documents include: • Application Package Header • SF424 (R&R)— Cover Page • Research & Related Project/Performance Site Location (s) • Research & Related Other Project Information • Research & Related Senior/Key Person Profile • Research & Related Budget • Research & Related Personal Data • Not used by NIH • R&R Subaward Budget Attachment Form • SBIR/STTR Information (when applicable)

5. Features of the SF424 (R&R) • Some agencies use “agency-specific” documents to collect data unique to that agency’s programs • NIH’s agency-specific documents include: • PHS398 Cover Letter File • PSH398 Cover Page Supplement • PHS 398 Modular Budget • PHS 398 Research Plan • PHS 398 Checklist

6. Features of the SF424 (R&R) • Read and follow agency instructions to determine what is mandatory and other requirements • All fields in YELLOW are mandatory • But...some fields that are NOT YELLOW are also mandatory for some agencies - CHECK INSTRUCTIONS • “Optional Documents” may not be optional for a particular agency or FO - CHECK INSTRUCTIONS • “Check Package for Errors” button may say “no errors” even if an agency-required attachment is missing • PDF files are recommended for attachments even if the agency does not require PDF files • For NIH and NSF all attachmentsMUSTbe PDF files • NIH has specific requirements for PDF files • http://era.nih.gov/ElectronicReceipt/pdf_guidelines.htm#

7. Features of the SF424 (R&R): NIH Application Guides • Download from NIH website: • http://grants.nih.gov/grants/funding/424/index.htm • Presented in 3 Parts (same as PHS 398 Instructions) • Part I: Instructions for Preparing and Submitting an Application • Part II: Supplemental Instructions for Preparing the Human Subjects Section of the Research Plan • Part III: Policies, Assurances, Definitions

8. SF424 (R&R) Application Package Header • The next slide shows the “Header” page with pre-filled data about the FO (e.g. FO title, CFDA #), which is attached to every posted application package • DO NOT change the pre-filled Header data • Lists mandatory and optional documents for the particular FO • Includes basic instructions at the bottom of page (NOT SHOWN)

9. Header Information Pre-filled from announcement

10. Features of the SF424 (R&R):Application Package Header • Saving an application package • Save to your hard-drive • You will get a warning message when you first save the package from the FO because no data have been entered yet • You will continue to get this message each time you save until all required data are entered • OK to ignore message until ready to submit

11. SF424 (R&R)—Cover Page • The next slide is the Cover Page, which is similar to the PHS398 Face Page • Captures general information about the applicant organization, contact information for the PD/PI and Authorized Organizational Representative (ORD) • Provides application-specific information (application type, project title etc.) • Complete this document FIRST as these data populate other documents

12. SF424 (R&R) Cover Page Page 1

13. SF424 (R&R)— Cover Page • Item 1, Type of Submission • Pre-application—use only if specifically noted in FO • Changed/Corrected application—used only when correcting an application that failed system validations This is NOT a resubmission (amendment) • Item 4, Federal Identifier • Usually left blank • Type-in agency Award No. for a Resubmission, Renewal, Continuation or Revision application • Type-in “NA” for a Changed/Corrected application • Item 5, Applicant Information • This information is about the applicant organization (UMB) --not the PI • Organizational DUNS: 188435911

14. SF424 (R&R)— Cover Page • Item 8, Type ofApplication--New Terminology • New = New • Resubmission = Revision (a revised or amended application) • Renewal = Competing Continuation • Continuation = Non-competing Continuation/ Progress Report • NIH is not using Grants.gov for Non-Competing continuation applications at this time • Revision = Competing Supplement

15. SF424 (R&R)— Cover Page • The next slide is page 2 of the Cover Page (in PureEdge, use the “NEXT” button to navigate to this page) • Item 16, Estimated Project Funding • Must type in amounts (i.e. not automatically generated from budget form) • Fields a and b will almost always match. Field b reflects mandatory cost-share other than over-salary-cap. Cost share is rarely required for NIH grants. • Item 17, E.O. 12372 Process • FO will indicate if the program is subject to this EO (doesn’t apply to NIH grants) • Item 19, Authorized Representative • ORD contact person

16. SF424 (R&R) Cover Page Page 2

17. PHS 398 Cover Page Supplement • The next two slides show the Cover Page Supplement, a companion form to the SF424 (R&R) Cover Page • (PD/PI info at the top is pre-filled) • Data fields for: • New Investigator Code & Degree(s) • Clinical Trial, Phase-III defined clinical trial • Human Embryonic Stem Cells information • Captures the title and mailing address of the Business Official Contact (ORD)

18. PHS 398 Cover Page Supplement Page 1

19. PHS 398 Cover Page Supplement Page 2

20. Research and Related Project/Performance Site Locations • Document accommodates up to 8 performance sites • Additional performance site information must be provided in an attachment • Format for this attachment is available on SF424 (R&R) Forms Page: http://grants.nih.gov/grants/funding/424/index.htm

21. Project/Performance Site Locations

22. Research and Related Senior/Key Person Profile • The form shown on the next slide captures personal profile information on the PD/PI, Key Personnel, and Other Significant Contributors • Document accommodates data for up to 8 individuals (PI and 7 others) • Data for additional individuals must be provided in an attachment • Format for this attachment available on SF424 (R&R) Forms Page: http://grants.nih.gov/grants/funding/424/index.htm

23. Senior/Key Person Profile

24. Research and Related Senior/Key Person Profile • Credential: Must enter the eRA Commons User ID for the PD/PI (field circled on previous slide) • mandatoryfield for NIH applications • #1 Validation Failure to date! • Attach Biosketch for each person • When required, attach Current & Pending Support • New terminology for “Other Support” • Usually not required by NIH at time of application unless specified in FO (collected Just-in-Time instead) • Other agencies may require at time of application

25. Research and Related Other Project Information • The form shown on the next slide captures information on involvement of Human Subjects, Vertebrate Animals, Environmental Impact, Foreign Involvement • IRB Human Subject Assurance Number is 00007145 • Includes upload buttons for separate PDF attachments: • Project Summary/Abstract • Project Narrative • NIH - this was the “Relevance” section of the PHS398 Abstract • Using no more than two or three sentences, describe in lay terminology the relevance of this research to public health. • Bibliography & References • Facilities & Other Resources • Equipment resources

26. Other Project Information

27. PHS 398 Research Plan • The Research Plan (see next slide for illustration) requires separate PDF attachments for each section • For each, include a section heading as part of the PDF file name; e.g., Specific Aims, Background, etc. • Check FO for page limits • Create your Research Plan in Word to meet the page limit, then break into sections and convert to PDF • Follow same formatting requirements as in the PHS398 • Font, margins, etc. • If your research involves human subjects, or animals, upload the required attachments

28. PHS 398 Research Plan

29. PHS 398 Research Plan (continued) • Resource sharing - required for all applications - see • http://grants.nih.gov/grants/guide/notice-files/NOT-OD-04-042.html and • for applications >$500,000 direct costs in any year or when required by the FO, http://grants.nih.gov/grants/guide/notice-files/NOT-OD-02-035.html

30. PHS398 Research Plan (continued) • Appendix Material • Captures up to 10 separate attachments • Accessible only to appropriate NIH staff and peer reviewers • Not included in the application grant image in eRA Commons • Follow NIH’s new policy for including publications as appendices: See NIH Guide Notice NOT-OD-06-053 http://grants.nih.gov/grants/guide/notice-files/NOT-OD-06-053.html

31. SF424 (R&R) The Budget

32. Budget forms • Prepare EITHER the PHS398 Modular Budget form OR the Research & Related Budget form • The next slide shows the Modular budget form • Modular budgets are applicable to certain research grant applications (R01, R03, R15, R21, and R34) requesting $250,000 or less per year for direct costs. • Consortium/contractual F&A costs are not factored into the direct cost limit. Consortium F&A costs may be requested in addition to the $250,000 limit.

33. PHS 398 Modular Budget

34. PHS 398 Modular Budget • Captures data for each budget period: • A. Direct Costs • Direct Costs excluding Consortium F&A • Consortium F&A • Total Direct Costs • B. Indirect (F&A) Costs • F&A base x rate = F&A Costs(like the current Checklist page) • Total Costs (A + B) • Use the “NEXT” button to get to subsequent years and the Cumulative budget • Cumulative Budget is system-generated • Internal detailed budget is still required for routing through the Dean’s Offices and ORD

35. PHS 398 Modular Budget - Justification • Scroll down on the 3rd page of the form (after the cumulative budget) to attach the budget justification document(s) • Personnel (required) • List all personnel, including names, number of person months devoted to the project (indicate academic, calendar, and/or summer) and roles on the project. • Information about person months: http://grants.nih.gov/grants/policy/person_months_faqs.htm

36. PHS398 Modular Budget - Justification (continued) • Consortium (if applicable) • Estimate total costs (direct plus F&A) for each year, rounded to the nearest $1,000. List the organizations and all personnel, with person-months committed and roles on the project. State whether the collaborating institution is foreign or domestic. • As in the past, the authorized official signature, scope of work, and detailed budget and justification for each proposed subrecipient is still required for internal routing, but is NOT submitted to NIH • Other (if applicable) • If there is a variation in the number of modules requested in a given period, explain the reason for the variation

37. Research & Related Budget • Used in all cases when the Modular Budget is not applicable. • Parts A & B capture Personnel data • Part C - Equipment • Part D - Travel • Part E - Participant/Trainee Support costs (not used by NIH yet) • Part F - Other Direct Costs (supplies, publications, consortium, etc. • Part H - Indirect Costs (F&A Costs) • Click the “Next” button to move to various sections of the budget

38. Research & Related Budget • Requires a detailed budget for every budget period • Click Next Period Button to create budget document for the next budget period • Next Period Button will not become active until all required data (i.e., those fields that are highlighted and noted with an “*”) are entered for the current budget period • If no funds are requested for a required field, enter “0.” • Data from prior budget period does not carry-forward to next period form; it must be re-entered • A detailed Cumulative budget is system-generated • HINT - DO NOT try to calculate the budget within this form. Prepare your budget using a standard spreadsheet, then transfer the data • Excel templates for budget calculation can be found at: http://www.ord.umaryland.edu/budgetdevelopment/budgettemplates.html

39. Research and Related Budget, Sections A & B • The next slide shows the Personnel portion of the budget form • Section A. Senior/Key Person • Lines for 8 named individuals • Information for additional individuals must be provided in an attachment • Info for PD/PI must be entered even if $ = 0 • B. Other Personnel • Postdocs, Technicians, Research Associates, Grad Students, Undergrads, etc • Captures number of individuals instead of names • NIH requires detail about these individuals in Budget Justification (e.g. names, roles, etc.)

40. R&R Budget Sections A & B

41. Research and Related Budget, Sections C - E • Sections C through E are shown on the next slide • Section C. Equipment • Captures up to 10 items • Insert total cost of additional items in line 11 and provide the details in an attachment • Section D. Travel • Captures Domestic & Foreign travel costs separately • NIH will continue to award as a single category • Section E. Participant/Trainee Support Costs • Captures data for Programs using this budget category (e.g. NSF’s REU program) • Not used for NIH applications unless specifically noted in FO

42. R&R Budget Sections C - E

43. Research and Related Budget, Sections F - K • Budget sections F through K are shown on the next slide • Section F. Other Direct Costs • Captures Supplies, Publication Costs, Consultants, ADP/Computer Services, Consortium Costs, Equipment or Facility Rental/User Fees, Alterations & Renovations • Use items 8 - 10 for patient care costs, subject payments, tuition remission, etc. • Section G. Total Direct Costs (A – F) • Section H. Indirect Costs (F&A) • Section I. Total Costs • Section J. Fee (Not applicable to UMB) • Section K. Budget Justification—a PDF text attachment

44. R&R Budget Sections F - K

45. R&R Subaward Budget Attachment Form (see next slide) • Captures detailed budgets from all proposed subrecipient institutions • Up to 10 separate budget attachments • One for each subrecipient institution • Consult agency for direction if there are more than 10 subrecipient institutions • Must still include the total costs for all subrecipients in UMB’s detailed budget as consortium costs in budget section F.5

47. R&R Subaward Budget Attachment Form • Click Extract button (circled on previous slide) to create Subaward Attachment(s) for each subrecipient • Creates a mini-PureEdge file of the budget section • Must come from the FO being used for this application • 2 Options for completing the Subaward Attachment(s) • Email the R&R subaward budget attachment to the subrecipient institution(s) for completion • Subrecipient completes and emails completed attachment to UMB • Complete the R&R subaward budget attachment for the subrecipient(s) • Subrecipient provides their budget, etc. to UMB and department enters the data into the mini-PureEdge file • Be sure to request the subrecipient’s DUNS number

48. R&R Subaward Budget Attachment Form (continued) • Upload the completed Subaward Attachment as one of the 10 subawards on the R&R Subaward Budget Attachment Form • We recommend that you name the Subaward budget attachment with the organization name, such as UMCP.xfd or UVirginia_sub.xfd

49. PHS 398 Checklist • The next two slides show the Checklist form • Captures additional information currently captured in the PHS398 Checklist • Change of PI • Change of Grantee Institution • Inventions & Patents • Program Income

50. PHS398 Checklist Page 1