May 13, 2014 - Small Business Grant Applications: Annotated SF424 ... Sample Grants.gov Grant Application Package manage
Small Business Grant Applications: Annotated SF424 (R&R) Form Set * FORMS-C Series *
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Form Sample Grant Application Package Management Screen SF424 (R&R) Cover Project/Performance Site Location(s) R&R Other Project Information R&R Senior/Key Person Profile (Expanded) R&R Budget R&R Subaward Budget Attachment(s) Form SBIR/STTR Information PHS 398 Cover Page Supplement PHS 398 Research Plan Planned Enrollment Report Cumulative Inclusion Enrollment Report
Important Notes •
The Application Guides and Supplemental Instructions found at http://grants.nih.gov/grants/funding/424/index.htm and the announcement text for the target Funding Opportunity Announcement (FOA) remain the official documents for defining application requirements. This resource is meant to compliment, not replace, those documents.
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Don’t forget to periodically check the Related Notices section of the FOA for any updates to instructions or policies since the opportunity was posted. At a minimum, check this section when you download the application and again a week or two before the due date.
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The red outlined boxes are fields required by Grants.gov for all federal agencies. The Application Guide and this resource describe NIH form field requirements above what is marked on the federal-wide forms.
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The blue boxes throughout this resource represent processing notes and eRA system business rule checks (i.e., validations).
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Upon submission, NIH eRA systems check submitted applications against many of the business rules defined in the Application Guide. Not all system validations are contained in this resource. For a complete list of validations that are systematically enforced see: http://grants.nih.gov/grants/ElectronicReceipt/files/SP-eSubvalidations.pdf. Be aware that additional manual application checks may be conducted by NIH staff – especially for FOA-specific requirements.
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All application attachments must be in PDF format. PDF Guidelines can be found at: http://grants.nih.gov/grants/ElectronicReceipt/pdf_guidelines.htm.
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FORMS-C Series Page 1 of 19
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Sample Grants.gov Grant Application Package management screen.
Grant Application Package Opportunity Title:
PHS 2014-02 Omnibus Solicitation of the NIH, CDC, FDA an
Offering Agency:
National Institutes of Health
CFDA Number: CFDA Description: Opportunity Number:
PA-14-071
Competition ID:
FORMS-C
Opportunity Open Date:
05/13/2014
Opportunity Close Date: Agency Contact:
Header information is pre-populated with Funding Opportunity Announcement information provided to Grants.gov by the funding agency and is not editable.
01/07/2015 eRA Commons Help Desk Monday to Friday 7 am to 8 pm ET http://grants.nih.gov/support/
This opportunity is only open to organizations, applicants who are submitting grant applications on behalf of a company, state, local or tribal government, academia, or other type of organization. Application Filing Name:
For applicant use and tracking in Grants.gov. Agency has no visibility to Filing Name.
Select Forms to Complete Mandatory
Mandatory forms are automatically included in your application and must be completed in order to submit to Grants.gov.
SF424 (R & R) PHS 398 Research Plan SBIR/STTR_Information Research and Related Senior/Key Person Profile (Expanded) Research And Related Other Project Information Research & Related Budget Project/Performance Site Location(s) PHS 398 Cover Page Supplement
Optional
Consult Application Guide and Supplemental instructions to determine which of the 'Optional' forms must be included with your application. R & R Subaward Budget Attachment(s) Form 5 YR 30 ATT Planned Enrollment Report
This sample screen is for an SBIR application. The STTR forms are the same, except the R&R Subaward Attachment form is listed with the Mandatory forms.
PHS 398 Cumulative Inclusion Enrollment Report Click the checkbox to include the appropriate Optional forms in your application.
Instructions
Show Instructions >> This electronic grants application is intended to be used to apply for the specific Federal funding opportunity referenced here. If the Federal funding opportunity listed is not the opportunity for which you want to apply, close this application package by clicking on the "Cancel" button at the top of this screen. You will then need to locate the correct Federal funding opportunity, download its application and then apply.
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Fill out SF 424 (R&R) form first. It populates fields in other forms. ü
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Generally, SBIR Phase I awards do not exceed 6 months and STTR Phase I awards do not exceed one year. Generally, SBIR and STTR Phase II awards do not exceed two years.
** Footer not part of forms
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FORMS-C Series Page 9 of 19
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30 subaward budgets, budgets 31 and above should be converted to PDF and included as part of the Budget Justification of the parent budget in Section K of the R&R Budget form. This form should only be used in conjunction with the R&R Budget form.
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1. Applicant requests budget information from subaward organization, extracts R&R Budget form, completes it with provided information and attaches it to their application using the Add Attachment button.
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The sum of all subaward budgets (e.g., those attached separately on this form and those provided as part of the budget justification), must be included in Line F.5 Subawards/Consortium/ Contractual Costs of the parent budget.
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When submitting subaward budgets that are not active for all periods of the project, fill out the subaward R&R Budget form and include only the number of budget periods for which the subaward is active. The budget period start/end dates reflected in each period of the subaward should match the project budget period start/end dates that correspond to the active periods. ò
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FORMS-C Series Page 12 of 19
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Updated December 8, 2014 **
SBIR/STTR Information * Program Type (select only one) SBIR
STTR
OMB Number: 4040-0001 Expiration Date: 6/30/2016
Must select SBIR or STTR (not Both).
Both (See agency-specific instructions to determine whether a particular agency allows a single submission for both SBIR and STTR) * SBIR/STTR Type (select only one) Phase I
Phase II
Select one.
Fast-Track (See agency-specific instructions to determine whether a particular agency participates in Fast-Track)
Questions 1-7 must be completed by all SBIR and STTR Applicants: Yes No
* 1a. Do you certify that at the time of award your organization will meet the eligibility criteria for a small business as defined in the funding opportunity announcement?
Must meet SBIR/STTR eligibility requirements at time of award (not submission).
* 1b. Anticipated Number of personnel to be employed at your organization at the time of award.
Yes No
* 2. Does this application include subcontracts with Federal laboratories or any other Federal Government agencies? * If yes, insert the names of the Federal laboratories/agencies:
Required if Yes. Cannot include if No.
No
* 3. Are you located in a HUBZone? To find out if your business is in a HUBZone, use the mapping utility provided by the Small Business Administration at its web site: http://www.sba.gov
Yes
* 4. Will all research and development on the project be performed in its entirety in the United States?
Yes
No Yes No
If no, provide an explanation in an attached file. * Explanation:
Required if Yes. Cannot include if No. Add Attachment
Delete Attachment
View Attachment
* 5. Has the applicant and/or Program Director/Principal Investigator submitted proposals for essentially equivalent work under other Federal program solicitations or received other Federal awards for essentially equivalent work? * If yes, insert the names of the other Federal agencies:
Required if Yes. Cannot include if No.
Yes No
Warning provided if answer is not consistent with similar disclosure statement question on the PHS 398 Cover Page Supplement form.
* 6. Disclosure Permission Statement: If this application does not result in an award, is the Government permitted to disclose the title of your proposed project, and the name, address, telephone number and e-mail address of the official signing for the applicant organization, to organizations that may be interested in contacting you for further information (e.g., possible collaborations, investment)? * 7. Commercialization Plan: If you are submitting a Phase II or Phase I/Phase II Fast-Track Application, include a Commercialization Plan in accordance with the agency announcement and/or agency-specific instructions. * Attach File:
Add Attachment
Delete Attachment
View Attachment
Required for Phase II and Fast Track submissions. Limited to 12 pages.
** Footer not part of forms
FORMS-C Series Page 13 of 19
Updated December 8, 2014 **
SBIR/STTR Information SBIR-Specific Questions: Questions 8 and 9 apply only to SBIR applications. If you are submitting ONLY an STTR application, leave questions 8 and 9 blank and proceed to question 10.
Required for SBIR applications only.
Yes No
* 8. Have you received SBIR Phase II awards from the Federal Government? If yes, provide a company commercialization history in accordance with agency-specific instructions using this attachment. * Attach File:
Add Attachment
Delete Attachment
View Attachment
Yes
* 9. Will the Project Director/Principal Investigator have his/her primary employment with the small business at the time of award?
No
Required for SBIR applications only.
STTR-Specific Questions: Questions 10 and 11 apply only to STTR applications. If you are submitting ONLY an SBIR application, leave questions 10 and 11 blank.
Required for STTR applications only. Yes No
Yes No
* 10. Please indicate whether the answer to BOTH of the following questions is TRUE: (1) Does the Project Director/Principal Investigator have a formal appointment or commitment either with the small business directly (as an employee or a contractor) OR as an employee of the Research Institution, which in turn has made a commitment to the small business through the STTR application process; AND (2) Will the Project Director/Principal Investigator devote at least 10% effort to the proposed project? * 11. In the joint research and development proposed in this project, does the small business perform at least 40% of the work and the research institution named in the application perform at least 30% of the work?
Required for STTR applications only.
** Footer not part of forms
FORMS-C Series Page 14 of 19
Updated December 8, 2014 **
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