U.S. Department of Health and Human Services
Public Health Service
SF424 (R&R)
Application Guide
for NIH and Other PHS
Agencies
A guide developed and maintained by NIH for preparing
and submitting applications via Grants.gov to NIH and
other PHS agencies using the SF424 (R&R)
Adobe Forms Version B Series (to be used with FOAs specifying
use of Adobe-Forms-B-1 and B-2 application packages)
Updated July 25, 2011
,PHS SF424 (R&R) Adobe Forms Version B Application Guide
TABLE OF CONTENTS
PART I. INSTRUCTIONS FOR PREPARING AND SUBMITTING AN APPLICATION
1. Foreword ...................................................................................................................................... I-1
1.1 Application Guide Format......................................................................................................I-2
1.2 NIH Extramural Research and Research Training Programs ...................................................I-3
1.3 Research Grant Activity Codes and Program Guidelines ........................................................I-3
1.4 Interactions with PHS Staff ....................................................................................................I-4
1.5 Grants Policy Statements .......................................................................................................I-7
1.6 References .............................................................................................................................I-7
1.7 Authorization.........................................................................................................................I-8
1.7.1 Collection of Personal Demographic Data ................................................................I-9
1.8 Paperwork Burden .................................................................................................................I-9
2. Process for Application Submission via Grants.gov.................................................................... I-9
2.1 Overview ............................................................................................................................. I-10
2.2 Registration Processes ......................................................................................................... I-10
2.2.1 Grants.gov Registration ......................................................................................... I-10
2.2.2 eRA Commons Registration................................................................................... I-11
2.3 Software Requirements ........................................................................................................ I-13
2.3.1 Adobe Reader ........................................................................................................ I-13
2.3.2 Creating PDFs for Text Attachments ...................................................................... I-13
2.3.3 Special Instructions for Macintosh Users................................................................ I-13
2.4. Funding Opportunities ......................................................................................................... I-13
2.4.1 NIH Guide for Grants and Contracts ...................................................................... I-14
2.4.2 Grant and Cooperative Agreement Announcements ............................................... I-14
2.4.3 Finding a Funding Opportunity Announcement (FOA) for Grants.gov
Submission ............................................................................................................ I-15
2.5 Components of an Application to NIH or Other PHS Agencies ............................................ I-19
2.6 Format Specifications for Text (PDF) Attachments .............................................................. I-20
2.7 “Resubmission” Applications............................................................................................... I-22
2.8 “Revision” Application ........................................................................................................ I-24
2.9 Similar, Essentially Identical, or Identical Applications ........................................................ I-24
2.10 Submitting Your Application Via Grants.gov ....................................................................... I-25
2.11 After You Submit Your Application Via Grants.gov ............................................................ I-25
2.12 Correcting Errors ................................................................................................................. I-28
2.13 Post-Submission Application Materials ................................................................................ I-30
2.14 Application Submission Dates ............................................................................................. I-31
2.15 Submission, Review and Award Cycles ............................................................................... I-33
2.16 Resources for Finding Help.................................................................................................. I-34
SF424 (R&R) ii
,PHS SF424 (R&R) Adobe Forms Version B Application Guide
2.16.1 Finding Help for Grants.gov Registration or Submissions ...................................... I-34
2.16.2 Finding Help for the eRA Commons Registration or eRA Commons
Validation Processes .............................................................................................. I-34
2.16.3 Finding Help for Application Preparation............................................................... I-35
3. Using the Grant Application Package ....................................................................................... I-35
3.1 Verify Grant Information ..................................................................................................... I-35
3.2 Enter the Name for the Application ...................................................................................... I-36
3.3 Open and Complete Mandatory Documents ......................................................................... I-37
3.4 Open and Complete Optional Documents ............................................................................. I-37
3.5 Submitting the Application via Grants.gov ........................................................................... I-37
4. Completing the SF424 Research and Related (R&R) Forms .................................................... I-38
4.1 Overview ............................................................................................................................. I-38
4.2 Cover Component ................................................................................................................ I-39
4.3 Project/Performance Site Locations Component ................................................................... I-53
4.4 Other Project Information Component ................................................................................. I-57
4.5 Senior/Key Person Profile (Expanded) Component .............................................................. I-64
4.6 Selecting the Appropriate Budget Component ...................................................................... I-73
4.7 R&R Budget Component ..................................................................................................... I-73
4.7.1 Section A and B ..................................................................................................... I-74
4.7.2 Sections C through E ............................................................................................. I-80
4.7.3 Sections F through K ............................................................................................. I-83
4.7.4 Cumulative Budget ................................................................................................ I-88
4.8 Special Instructions for Preparing Applications with a Subaward/Consortium ...................... I-89
5. Completing PHS 398 Components............................................................................................. I-91
5.1 Overview ............................................................................................................................. I-91
5.2 Cover Letter Component ...................................................................................................... I-92
5.3 Cover Page Supplement Component .................................................................................... I-94
5.4 Modular Budget Component ................................................................................................ I-99
5.4.1 Periods 1 through 4 .............................................................................................. I-100
5.4.2 Period 5 and Cumulative ...................................................................................... I-104
5.5 PHS 398 Research Plan Component ................................................................................... I-107
5.6 Checklist Component ......................................................................................................... I-120
6. Peer Review Process ..................................................................................................................I-123
7. Supplemental Instructions to the SF 424(R&R) for Preparing an Individual Research
Career Development Award (CDA) Application (“K” Series) ................................................I-127
7.1 Introduction ....................................................................................................................... I-127
7.2 Individual Career Development Award Programs............................................................... I-127
7.3 Letters of Reference (must be submitted electronically through the eRA Commons) .......... I-128
7.4 K- Specific Instructions for K Applications using the SF424 (R&R) Application ............... I-130
SF424 (R&R) iii
, PHS SF424 (R&R) Adobe Forms Version B Application Guide
7.4.1 Special Instructions for 4.2 Cover Component .................................................... I-131
7.4.2 Special Instructions for 4.3 Research & Related Project/Performance Site
Locations Component .......................................................................................... I-131
7.4.3 Special Instructions for 4.4 Other Project Information Component ...................... I-131
7.4.4 Special Instructions for 4.5 Senior/Key Person Profile(s) Component ................... I-131
7.4.5 Special Instructions for 4.6 Selecting the Appropriate Budget Component............ I-134
7.4.6 Special Instructions for 4.7 R&R Budget Component ........................................... I-135
7.4.7 Special Instructions for 5. Completing PHS 398 Components.............................. I-136
7.5 PHS 398 Career Development Award Supplemental Form ................................................. I-138
7.6 Career Development Award Peer Review Process .............................................................. I-156
8. Supplemental Instructions to the SF424 (R&R) for Preparing Institutional Ruth L.
Kirschstein National Research Service Award (NRSA) Application .......................................I-157
8.1 Introduction ....................................................................................................................... I-157
8.2 Institutional Research Training Programs ........................................................................... I-158
8.3 Reserved ............................................................................................................................ I-159
8.4 Specific Instructions for Institutional Training Grant Applications using the SF424
(R&R) Application ............................................................................................................ I-159
8.4.1 Special Instructions for 4.2 Cover Component ..................................................... I-159
8.4.2 Special Instructions for 4.3 Research & Related Project/Performance Site
Locations ............................................................................................................. I-159
8.4.3 Special Instructions for 4.4 Research & Related Other Project Information
Component .......................................................................................................... I-159
8.4.4 Special Instructions for 4.5 Senior/Key Person Profile (Expanded)
Component .......................................................................................................... I-161
8.4.5 Special Instructions for 4.7 Research & Related Budget ....................................... I-161
8.4.6 Special Instructions for 4.6 PHS 398 Cover Page Supplement .............................. I-162
8.4.7 Special Instructions for 5.6 PHS 398 Checklist .................................................... I-162
8.5 PHS 398 Training Budget .................................................................................................. I-162
8.6 PHS 398 Training Subaward Budget Attachment(s) Form .................................................. I-168
8.7 Research Training Program Plan Component ..................................................................... I-171
8.8 Training Grant Peer Review Process .................................................................................. I-186
PART II. SUPPLEMENTAL INSTRUCTIONS FOR PREPARING THE HUMAN
SUBJECTS SECTION OF THE RESEARCH PLAN
1. Introduction ................................................................................................................................ II-1
2. Scenarios...................................................................................................................................... II-1
3. Instructions for Preparing the Section on Protection of Human Subjects ................................ II-3
4. Instructions Pertaining to Non-Exempt Human Subjects Research.......................................... II-7
4.1 Protection of Human Subjects .............................................................................................. II-7
4.1.1 Risks to Human Subjects ....................................................................................... II-7
SF424 (R&R) iv
Public Health Service
SF424 (R&R)
Application Guide
for NIH and Other PHS
Agencies
A guide developed and maintained by NIH for preparing
and submitting applications via Grants.gov to NIH and
other PHS agencies using the SF424 (R&R)
Adobe Forms Version B Series (to be used with FOAs specifying
use of Adobe-Forms-B-1 and B-2 application packages)
Updated July 25, 2011
,PHS SF424 (R&R) Adobe Forms Version B Application Guide
TABLE OF CONTENTS
PART I. INSTRUCTIONS FOR PREPARING AND SUBMITTING AN APPLICATION
1. Foreword ...................................................................................................................................... I-1
1.1 Application Guide Format......................................................................................................I-2
1.2 NIH Extramural Research and Research Training Programs ...................................................I-3
1.3 Research Grant Activity Codes and Program Guidelines ........................................................I-3
1.4 Interactions with PHS Staff ....................................................................................................I-4
1.5 Grants Policy Statements .......................................................................................................I-7
1.6 References .............................................................................................................................I-7
1.7 Authorization.........................................................................................................................I-8
1.7.1 Collection of Personal Demographic Data ................................................................I-9
1.8 Paperwork Burden .................................................................................................................I-9
2. Process for Application Submission via Grants.gov.................................................................... I-9
2.1 Overview ............................................................................................................................. I-10
2.2 Registration Processes ......................................................................................................... I-10
2.2.1 Grants.gov Registration ......................................................................................... I-10
2.2.2 eRA Commons Registration................................................................................... I-11
2.3 Software Requirements ........................................................................................................ I-13
2.3.1 Adobe Reader ........................................................................................................ I-13
2.3.2 Creating PDFs for Text Attachments ...................................................................... I-13
2.3.3 Special Instructions for Macintosh Users................................................................ I-13
2.4. Funding Opportunities ......................................................................................................... I-13
2.4.1 NIH Guide for Grants and Contracts ...................................................................... I-14
2.4.2 Grant and Cooperative Agreement Announcements ............................................... I-14
2.4.3 Finding a Funding Opportunity Announcement (FOA) for Grants.gov
Submission ............................................................................................................ I-15
2.5 Components of an Application to NIH or Other PHS Agencies ............................................ I-19
2.6 Format Specifications for Text (PDF) Attachments .............................................................. I-20
2.7 “Resubmission” Applications............................................................................................... I-22
2.8 “Revision” Application ........................................................................................................ I-24
2.9 Similar, Essentially Identical, or Identical Applications ........................................................ I-24
2.10 Submitting Your Application Via Grants.gov ....................................................................... I-25
2.11 After You Submit Your Application Via Grants.gov ............................................................ I-25
2.12 Correcting Errors ................................................................................................................. I-28
2.13 Post-Submission Application Materials ................................................................................ I-30
2.14 Application Submission Dates ............................................................................................. I-31
2.15 Submission, Review and Award Cycles ............................................................................... I-33
2.16 Resources for Finding Help.................................................................................................. I-34
SF424 (R&R) ii
,PHS SF424 (R&R) Adobe Forms Version B Application Guide
2.16.1 Finding Help for Grants.gov Registration or Submissions ...................................... I-34
2.16.2 Finding Help for the eRA Commons Registration or eRA Commons
Validation Processes .............................................................................................. I-34
2.16.3 Finding Help for Application Preparation............................................................... I-35
3. Using the Grant Application Package ....................................................................................... I-35
3.1 Verify Grant Information ..................................................................................................... I-35
3.2 Enter the Name for the Application ...................................................................................... I-36
3.3 Open and Complete Mandatory Documents ......................................................................... I-37
3.4 Open and Complete Optional Documents ............................................................................. I-37
3.5 Submitting the Application via Grants.gov ........................................................................... I-37
4. Completing the SF424 Research and Related (R&R) Forms .................................................... I-38
4.1 Overview ............................................................................................................................. I-38
4.2 Cover Component ................................................................................................................ I-39
4.3 Project/Performance Site Locations Component ................................................................... I-53
4.4 Other Project Information Component ................................................................................. I-57
4.5 Senior/Key Person Profile (Expanded) Component .............................................................. I-64
4.6 Selecting the Appropriate Budget Component ...................................................................... I-73
4.7 R&R Budget Component ..................................................................................................... I-73
4.7.1 Section A and B ..................................................................................................... I-74
4.7.2 Sections C through E ............................................................................................. I-80
4.7.3 Sections F through K ............................................................................................. I-83
4.7.4 Cumulative Budget ................................................................................................ I-88
4.8 Special Instructions for Preparing Applications with a Subaward/Consortium ...................... I-89
5. Completing PHS 398 Components............................................................................................. I-91
5.1 Overview ............................................................................................................................. I-91
5.2 Cover Letter Component ...................................................................................................... I-92
5.3 Cover Page Supplement Component .................................................................................... I-94
5.4 Modular Budget Component ................................................................................................ I-99
5.4.1 Periods 1 through 4 .............................................................................................. I-100
5.4.2 Period 5 and Cumulative ...................................................................................... I-104
5.5 PHS 398 Research Plan Component ................................................................................... I-107
5.6 Checklist Component ......................................................................................................... I-120
6. Peer Review Process ..................................................................................................................I-123
7. Supplemental Instructions to the SF 424(R&R) for Preparing an Individual Research
Career Development Award (CDA) Application (“K” Series) ................................................I-127
7.1 Introduction ....................................................................................................................... I-127
7.2 Individual Career Development Award Programs............................................................... I-127
7.3 Letters of Reference (must be submitted electronically through the eRA Commons) .......... I-128
7.4 K- Specific Instructions for K Applications using the SF424 (R&R) Application ............... I-130
SF424 (R&R) iii
, PHS SF424 (R&R) Adobe Forms Version B Application Guide
7.4.1 Special Instructions for 4.2 Cover Component .................................................... I-131
7.4.2 Special Instructions for 4.3 Research & Related Project/Performance Site
Locations Component .......................................................................................... I-131
7.4.3 Special Instructions for 4.4 Other Project Information Component ...................... I-131
7.4.4 Special Instructions for 4.5 Senior/Key Person Profile(s) Component ................... I-131
7.4.5 Special Instructions for 4.6 Selecting the Appropriate Budget Component............ I-134
7.4.6 Special Instructions for 4.7 R&R Budget Component ........................................... I-135
7.4.7 Special Instructions for 5. Completing PHS 398 Components.............................. I-136
7.5 PHS 398 Career Development Award Supplemental Form ................................................. I-138
7.6 Career Development Award Peer Review Process .............................................................. I-156
8. Supplemental Instructions to the SF424 (R&R) for Preparing Institutional Ruth L.
Kirschstein National Research Service Award (NRSA) Application .......................................I-157
8.1 Introduction ....................................................................................................................... I-157
8.2 Institutional Research Training Programs ........................................................................... I-158
8.3 Reserved ............................................................................................................................ I-159
8.4 Specific Instructions for Institutional Training Grant Applications using the SF424
(R&R) Application ............................................................................................................ I-159
8.4.1 Special Instructions for 4.2 Cover Component ..................................................... I-159
8.4.2 Special Instructions for 4.3 Research & Related Project/Performance Site
Locations ............................................................................................................. I-159
8.4.3 Special Instructions for 4.4 Research & Related Other Project Information
Component .......................................................................................................... I-159
8.4.4 Special Instructions for 4.5 Senior/Key Person Profile (Expanded)
Component .......................................................................................................... I-161
8.4.5 Special Instructions for 4.7 Research & Related Budget ....................................... I-161
8.4.6 Special Instructions for 4.6 PHS 398 Cover Page Supplement .............................. I-162
8.4.7 Special Instructions for 5.6 PHS 398 Checklist .................................................... I-162
8.5 PHS 398 Training Budget .................................................................................................. I-162
8.6 PHS 398 Training Subaward Budget Attachment(s) Form .................................................. I-168
8.7 Research Training Program Plan Component ..................................................................... I-171
8.8 Training Grant Peer Review Process .................................................................................. I-186
PART II. SUPPLEMENTAL INSTRUCTIONS FOR PREPARING THE HUMAN
SUBJECTS SECTION OF THE RESEARCH PLAN
1. Introduction ................................................................................................................................ II-1
2. Scenarios...................................................................................................................................... II-1
3. Instructions for Preparing the Section on Protection of Human Subjects ................................ II-3
4. Instructions Pertaining to Non-Exempt Human Subjects Research.......................................... II-7
4.1 Protection of Human Subjects .............................................................................................. II-7
4.1.1 Risks to Human Subjects ....................................................................................... II-7
SF424 (R&R) iv
