The SF 424 (R&R) Form is used in all grant applications. This form collects information including type of submission, applicant information, type of applicant, and proposed project dates.
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Quick LinksOverall Component: Fill in all the SF424 (R&R) Form fields, as they are all collected.
Other Components: You need to fill in only a subset of fields in the SF424 (R&R) Form. Skip the other fields, as any information provided in them will be discarded. The fields you must fill in are:
This field is required. Check one of the "Type of Submission" boxes:
The pre-application option is not used by NIH or other PHS agencies unless specifically noted in a funding opportunity announcement (FOA).
An "Application" is a request for financial support of a project or activity submitted on specified forms and in accordance with NIH instructions. (See NIH Types of Applications for an explanation of the types of applications).
Check this box if you are correcting either system validation errors or application assembly problems that occurred during the submission process. Changed/corrected applications must be submitted before the application due date.
When you submit a changed/corrected application, follow these guidelines:
SBIR/STTR Phase II, Phase IIB and CRP Applications: To maintain eligibility to seek Phase II, Phase IIB, or CRP support for a specific project, awardees should submit within the first six due dates following the expiration of their budget period.
The "Date Submitted" field will auto-populate upon application submission.
Fill in the "Applicant Identifier" field, if applicable. The Applicant Identifier is reserved for applicant use, not the federal agency to which the application is being submitted.
Skip the "Date Received by State" and "State Application Identifier" fields.
New Applications without Pre-application: Leave this field blank.
New Applications following Pre-application: Enter the agency-assigned pre-application number.
Resubmission, Renewal, and Revision Applications: The Federal Identifier is required. Include only the IC and serial number of the previously assigned application / award number (e.g., use CA987654 from 1R01CA987654-01A1).
When submitting a Phase II application, enter the Phase I SBIR/STTR grant number in this field. When submitting a Phase IIB or CRP application, enter the Phase II SBIR/STTR grant number in this field.
NIH SBIR Contract recipients: When submitting a Phase II, Phase IIB, or CRP grant application connected to a Phase I or Phase II contract, the applicant should submit a New application (as opposed to a Renewal) with a predetermined 'alternative' Grant Number used for the Federal Identifier. The Federal Identifier will be the awarding IC code, followed by six 0s. For example, if the applicant would like for NHLBI to be the awarding institute, they'd enter HL000000. It is critically important for the applicant to inform the appropriate NIH SBIR/STTR Program Manager before they apply. The applicant should also include a cover letter indicating that the application is a Phase II or Phase IIB, and that the Phase I was from an NIH SBIR contract.
For more information on applying for SBIR/STTR Phase II, Phase IIB or CRP awards, see the following link, and the SBIR / STTR Frequently Asked Questions.
Skip the "Agency Routing Identifier" field unless otherwise specified in the FOA or notice in the NIH Guide for Grants & Contracts.
Applications in response to a NIH Notice of Special Interest require the notice number (e.g., NOT-IC-FY-XXX) to be entered into this field in order to assign and track applications and awards for the described initiative.
The "Previous Grants.gov Tracking ID" field is required if you checked the "Changed/Corrected Application" box in "Field 1. Type of Submission." A Tracking ID number is of the form, for example, GRANT12345678.
The "Applicant Information" fields reflect information for the applicant organization, not a specific individual.
Other Components: The "Applicant Information" section is required and applies to the lead organization of the component.
The small business is always the applicant organization for an SBIR or STTR award (e.g., ABC Incorporated).
The small business must be located in the United States.
This field is required.
Enter the UEI of the applicant organization.
This UEI must match the number entered in the eRA Commons Institutional Profile (IPF) for the applicant organization. The applicant's Authorized Organization Representative (AOR) is encouraged to confirm that a UEI has been entered into the eRA Commons IPF prior to application submission. The same UEI should be used in the eRA Commons IPF, Grants.gov, System for Award Management (SAM) registration, and in the UEI field in the application.
If your organization does not already have a UEI, you will need to go to the System for Award Management (SAM.gov) to register and obtain a UEI.
Other Components: If a component is led by an organization other than the applicant organization, then you must provide the lead organization's4UEI. If the organization does not already have a UEI, you will need to go to the System for Award Management (SAM.gov) to obtain a UEI. However, the lead organization does not need to be registered in SAM or in eRA Commons at the time of application. SAM registration is encouraged since it helps staff process your application if you are selected for funding.
Enter the legal name of the organization.
Enter the name of the primary organizational department, service, laboratory, or equivalent level within the organization.
Enter the name of the primary organizational division, office, major subdivision, or equivalent level within the organization.
This field is required. Enter the first line of the street address for the applicant organization.
Enter the second line of the street address for the applicant organization.
This field is required. Enter the city for the address of the applicant organization.
Enter the county/parish for the address of the applicant organization.
This field is required if the applicant organization is located in the United States or its territories. Enter the state or territory where the applicant organization is located.
If "Country" is Canada, enter the province of the applicant organization; otherwise, skip the "Province" field.
This field is required. Select the country for the address of the applicant organization.
The ZIP+4 is required if the applicant organization is located in the United States. Otherwise, the postal code is optional. Enter the ZIP+4 (nine-digit postal code) or postal code of the applicant organization.
This information is for the administrative contact (e.g., AOR or business official), not the PD/PI. This person is the individual to be notified if additional information is needed and/or if an award is made.
Enter or select the prefix, if applicable, for the name of the person to contact on matters related to this application.
This field is required. Enter the first (given) name of the person to contact on matters related to this application.
Enter the middle name of the person to contact on matters related to this application.
This field is required. Enter the last (family) name of the person to contact on matters related to this application.
Enter or select the suffix, if applicable, for the name of the person to contact on matters related to this application.
Enter the position/title for the person to contact on matters related to this application.
This field is required. Enter the first line of the street address for the person to contact on matters related to this application.
Enter the second line of the street address for the person to contact on matters related to this application.
This field is required. Enter the city for the address of the person to contact on matters related to this application.
Enter the county/parish for the address of the person to contact on matters related to this application.
This field is required if the person to contact on matters related to this application is located in the United States or its Territories. Enter the state or territory where the person to contact on matters related to this application is located.
If "Country" is Canada, enter the province for the person to contact on matters related to this application; otherwise, skip the "Province" field.
Select the country for the address of the person to contact on matters related to this application.
The ZIP+4 is required if the person to contact on matters related to this application is in the United States. Otherwise, the postal code is optional. Enter the ZIP+4 (nine-digit postal code) or postal code of the person to contact on matters related to this application.
This field is required. Enter the daytime phone number for the person to contact on matters related to this application.
Enter the fax number for the person to contact on matters related to this application.
Enter the e-mail address for the person to contact on matters related to this application. Only one e-mail address is allowed, but it may be a distribution list.
This field is required.
Enter either the organization's Taxpayer Identification Number (TIN) or Employer Identification Number (EIN) as assigned by the Internal Revenue Service. If your organization is not in the United States, enter 44-4444444. Your EIN may be 12 digits (e.g., Payment Management System (PMS) Entity Identification Number), and if this is the case, enter all 12 digits.
The small business must be located in the United States or a U.S. territory.
This field is required.
In the first field under "7. Type of Applicant," enter the appropriate applicant type. If your applicant type is not specified (e.g., for eligible Agencies of the Federal Government), select "X: Other (specify)," and indicate the name (e.g., the appropriate federal agency) in the space below.
The information in "7. Type of Applicant" is for the applicant organization, not a specific individual authorized organization representative (AOR) or fellowship PD/PI.
Other Components: You may fill out "7. Type of Applicant," but it is optional.
Select "R. Small Business."
The applicant organization must certify (through Just-in-Time pre-award procedures) that it will qualify as a small business at the time of award.
Complete only if "X. Other (specify)" is selected as the "Type of Applicant."
Do not use the "Women Owned" checkbox.
Do not use the "Socially and Economically Disadvantaged" checkbox.
Note: NIH, CDC, and FDA use the Business Type information provided in the System for Award Management entity record for the applicant organization, rather than the "Woman Owned" and "Socially and Economically Disadvantaged" checkboxes, to determine the small business organization type. For more information, see the NIH Guide Notice on Small Business Organization Type Information Pulled from System for Award Management Record Rather than Grant Application Form.
This field is required.
Select the type of application. Check only one application type. Use the following list of existing definitions to determine what application type you have. For more information, see NIH Types of Applications.
The applicant should generally check "New" or "Resubmission." Unless otherwise specified in the FOA, individual career development awards usually cannot be renewed, supplemented, or revised. Contact the awarding component staff or refer to the FOA if clarification is needed.
The applicant should generally check "New" or "Resubmission." Unless otherwise specified in the FOA, individual fellowship awards usually cannot be renewed, supplemented, or revised. Contact the awarding institute or center staff or refer to the FOA if clarification is needed.
Small Business Program Phases and Their Associated Application Types
Phase I: New/Resubmission
Phase II: Renewal/Resubmission. Phase II applications should not be listed as "New" unless they are Direct to Phase II applications. Only one Phase II application may be awarded for a specific project supported by a Phase I award
Direct to Phase II (SBIR Only): New/Resubmission. Direct to Phase II awards should be submitted as "New" applications and not continuations of Phase I SBIR or STTR projects. Small businesses that are eligible to submit Phase II applications for projects that were supported with a Phase I SBIR or STTR award are expected to submit the regular Phase II application as a "Renewal" application based on the awarded Phase I SBIR or STTR project.
Phase IIB: Renewal/Resubmission
Commercialization Readiness Pilot (CRP) Program: New/Renewal/Resubmission. The "New" application designation utilized by the CRP PAR program announcements allows active Phase II grants or contracts to receive a CRP concurrently with their active award. This does not allow for a "New" CRP application after an unsuccessful resubmission of a CRP application.
For more information about SBIR/STTR application types, see the SBIR/STTR Frequently Asked Questions.
You may select more than one.
If "E. Other (specify)" is selected, specify in the space provided.
The boxes for options B, C, D, and E will generally not be used and should not be selected unless specifically addressed in a particular FOA.
In the field "Is this application being submitted to other agencies?" check "Yes" if one or more of the specific aims submitted in your application is also contained in a similar, identical, or essentially identical application submitted to another federal agency.
Otherwise, check "No."
If you checked "Yes," indicate the agency or agencies to which the application has been submitted.
The "Name of Federal Agency" field is pre-populated from the opportunity package and reflects the agency from which assistance is being requested with this application.
This field is pre-populated from the opportunity package and reflects the Catalog of Federal Domestic Assistance (CFDA) number of the program under which assistance is requested.
This field may be blank if you are applying to an opportunity that references multiple CFDA numbers. When this field is blank, leave it blank. The appropriate CFDA number will be automatically assigned by the agency once the application is assigned to the appropriate awarding component.
This field is required.
Other Components: The "Descriptive Title of Applicant's Project" section is required.
Enter a brief descriptive title of the project.
The descriptive title is limited to 200 characters, including spaces and punctuation.
New Applications: You must have a title different than any other NIH or other PHS Agency project submitted for the same application due date with the same Project Director/Principal Investigator (PD/PI).
Resubmission or Renewal Applications: You should normally have the same title as the previous grant or application; however, if the specific aims of the project have significantly changed, choose a new title.
Revision Applications: You must have the same title as the currently funded grant.
An SBIR/STTR Phase II application should have the same title as the previously awarded Phase I grant.
Other Components: The "Proposed Project" section is required.
This field is required. Enter the proposed start date of the project. The start date is an estimate, and is typically at least nine months after application submission. The project period should not exceed what is allowed in the FOA.
The usual start date for an institutional training grant is July 1, but there are other possible start dates. Refer to the Table of IC-Specific Information, Requirements and Staff Contacts in your FOA or contact the awarding component staff for further information.
This field is required. Enter the proposed ending date of the project.
Phase I: SBIR and STTR Phase I awards typically last for 6-12 months and generally do not exceed two years.
Phase II and Commercialization Readiness Pilot (CRP): Both SBIR and STTR Phase II awards typically last for two years and generally do not exceed three years. Applicants are encouraged to propose a project duration that is reasonable and appropriate for completion of the research project.
Enter the Congressional District as follows: a 2-character state abbreviation, a hyphen, and a 3-character district number. Examples: CA-005 for California's 5th district, VA-008 for Virginia's 8th district.
If outside the United States, enter 00-000.
For States and U.S. Territories with only a single congressional district, enter "001" for the district number.
For jurisdictions with no representative, enter "099."
For jurisdictions with a nonvoting delegate, enter "098" for the district number. Example: DC-098 or PR-098.
If you do not know your Congressional District: Go to The United States House of Representatives website and search for your Congressional District by entering your ZIP+4. If you do not know your ZIP+4, look it up on the USPS Look Up Zip Code website.
This information is for the PD/PI. The PD/PI is the individual responsible for the overall scientific and technical direction of the project.
In the eRA Commons profile, the person listed here in "14. Project Director/Principal Investigator Contact Information" must be affiliated with the applicant organization entered in "5. Applicant Information." If you are proposing research at an institute other than the one you are currently at, do not create a separate Commons account with the proposed applicant organization. For additional information on creating affiliations for users in the eRA Commons, see eRA Account Management System's Online Help.
If submitting an application reflecting multiple PD/PIs, the individual listed here as the Contact PD/PI in "14. Project Director/Principal Investigator Contact Information" will be the first PD/PI listed in G. 240 - R&R Senior/Key Person Profile (Expanded) Form.
See G. 240 - R&R Senior/Key Person Profile (Expanded) Form for additional instructions for multiple PD/PIs. To avoid potential errors and delays in processing, ensure that the information provided in this section is identical to the PD/PI profile information contained in the eRA Commons.
Provide the name of the individual candidate (considered the PD/PI for career development award programs). If the PD/PI is not located at the applicant organization at the time the application is submitted, the information should reflect where the candidate can be reached prior to the requested award start date. If the PD/PI is not located at the applicant organization at the time of submission, the Commons account for the PD/PI must be affiliated with the applicant organization.
If your proposed career award is at a different site than your current institution, the proposed sponsoring institution will be the applicant organization. You must affiliate your Commons account with the institution so that you have access to records submitted on your behalf. Do not create a separate Commons account with the proposed sponsoring institution.
Note: For some career transition award programs (e.g., K22) the applicant may apply without an institutional affiliation. These individuals should refer to the specific FOA for application instructions.
Multiple PD/PIs cannot apply for individual career development awards.
Provide the name of the individual fellowship applicant (considered the PD/PI for fellowship award programs). If the PD/PI is not located at the applicant organization at the time the application is submitted, the information should reflect where the fellowship applicant can be reached prior to the requested award start date.
If your proposed fellowship is at a different site than your current institution, the proposed sponsoring institution will be the applicant organization. You must affiliate your Commons account with the institution so that you have access to records submitted on your behalf. Do not create a separate Commons account with the proposed sponsoring institution.
Multiple PD/PIs cannot apply to fellowship applications.
For Single PD / PI Applications: Name the one person responsible to the applicant small business for the scientific and technical direction of the project in the "14. PD/PI Contact Information" section.
For Multiple PD / PI Applications: Name the contact PD/PI here in "14. PD/PI Contact Information." The Contact PD/PI (as designated here in "14. PD/PI Contact Information") must be listed first in the G. 240 - R&R Senior/Key Person Profile (Expanded) Form and must be affiliated with the applicant organization in the PD/PI's eRA Commons profile.
NIH and PHS staff conduct official business only with the named PD/PIs and organizational / institutional officials listed on the application.
A revision / supplemental application must have the same contact PD/PI as the currently funded grant.
Phase I, Phase II, and CRP: The primary employment of the PD/PI must be with the small business at the time of award and during the conduct of the proposed project. Primary employment means that more than one half (greater than 50%) of the PD/PI's time is spent in the employ of the small business. Primary employment with a small business precludes full-time employment at another organization.
Phase I, Phase II, and CRP Multiple PD / PI applications: The PD/PI listed here in "14. PD/PI Contact Information" must be affiliated with the applicant small business organization submitting the application and will serve as the contact PD/PI. The primary employment of the "Contact PD/PI" must be with the small business at the time of award and during the conduct of the proposed project.
PD / PI Definition: As defined in 42 CFR 52, the PD/PI(s) is or are the "…individual(s) judged by the applicant organization to have the appropriate level of authority and responsibility to direct the project or program supported by the grant and who is or are responsible for the scientific and technical direction of the project." When the proposed PD/PI clearly does not have sufficient qualifications to assume this role, the application is not likely to receive a favorable evaluation.
Verification of PD / PI Eligibility: The awarding component will require documentation to verify the eligibility of the PD/PI, if at the time of submission of the application, the PD/PI meets any of the following criteria:
If the PD/PI is employed or appears to be employed by an organization other than the applicant organization in any capacity (such as Research Fellow, Consultant, Adjunct Professor, Clinical Professor, Clinical Research Professor, or Associate), a letter must be provided by each employing organization confirming that, if an SBIR grant is awarded to the applicant small business, the PD/PI is or will become a less-than-half-time employee of such organization and will remain so for the duration of the SBIR project. If the PD/PI is employed by a university, such a letter must be provided by the Dean's office or equivalent; for other organizations, the letter must be signed by a corporate official.
This requirement applies also to those individuals engaged currently as the PD/PI on an active SBIR project. All current employment and all other appointments of the PD/PI must be identified in his or her "Biographical Sketch" required as part of the application. Be certain that correct beginning and ending dates are indicated for each employment record listed.
Phase I and Phase II: The primary employment of the principal investigator must be with the small business or the research institution at the time of award and during the conduct of the proposed project. Primary employment means that more than one half (greater than 50%) of the PD/PI's time is spent in the employ of the small business or the research institution. Primary employment with a small business or research institution precludes full-time employment at another organization. A small business may replace the principal investigator on an STTR Phase I or Phase II award, subject to approval in writing by the Funding Agreement Officer. For purposes of the STTR Program, personnel obtained through a Professional Employer Organization or other similar personnel leasing company may be considered employees of the awardee. This is consistent with the Small Business Administration (SBA) size regulations, 13 CFR 121.106-Small Business Size Regulations.
For Multiple PD / PI Applications: The PD/PI listed here in "14. PD/PI Contact Information" must be affiliated with the applicant small business submitting the application and will serve as the Contact PD/PI. The Contact PD/PI may be from either the small business or the single partnering research institution.
Note: The Contact PD/PI must have a formal appointment with or commitment to the small business, which must be in the form of an official relationship between the parties, but need not include a salary or other form of remuneration.
PD / PI Eligibility: The PD/PI must commit a minimum of 10% (1.2 calendar months) effort to the project and must have a formal appointment with or commitment to the applicant small business, which is characterized by an official relationship between the small business and that individual. Such a relationship does not necessarily involve a salary or other form of remuneration. In all cases, however, the PD/PI's official relationship with the grantee must entail sufficient opportunity for the PD/PI to carry out his or her responsibilities for the overall scientific and technical direction of the project. Although documentation (e.g., consortium and contractual arrangements) describing the official relationship of the PD/PI with the applicant small business should NOT be submitted with the grant application, a copy must be furnished upon the request of the NIH awarding component.
Following is guidance for such documentation (describing the official relationship of the PD/PI with the applicant small business), which is required prior to award. The letter should be prepared on the letterhead of the independent PD/PI and addressed to the small business. One page is recommended. At a minimum, the letter should (1) verify the PD/PI's commitment to the project; (2) refer to the specific project by name; and (3) specify what assets or services the PI will contribute (e.g. expertise, number of hours/percent effort) as well as the PD/PI's remuneration. The letter should also indicate that the PD/PI and the small business have reached an agreement on proprietary interests (e.g., intellectual property).
Signatures of the authorized organization representative (AOR or signing official) for the applicant organization on the Authorized Representative section and the signature of the duly authorized representative of the research institution certifies, among other things, that the PD/PI has a formal relationship with / commitment to the small business when the PD/PI is an employee of the Research Institute.
The following are examples of situations describing the official relationship of the PD/PI with the applicant small business organization:
As responsible stewards of funds, the NIH is concerned that the PD/PI has the time available to carry out the proposed STTR research activities. Therefore, it should be clear in the application that the time proposed for the PD/PI on a particular project is reasonable and it should be clear that the PD/PI has sufficient time (minimum 10% effort, which is 1.2 calendar months) from among his or her total professional commitments to devote to this project.
Enter or select the prefix, if applicable, for the name of the PD/PI.
This field is required. Enter the first (given) name of the PD/PI.