SF-424 Research & Related (R&R)

Forms and Documents

Document Name	Status
Form 4040-0001 Research & Related Multi-Project 10 Year Budget Form	New
Form 4040-0001 5 Year R&R Subaward Budget Form 10 Attachments Form	New
Form 4040-0001 R & R Multi-Project Subaward Budget Attachment(s) Form 10 Years 30 Attachments Form	New
Form 4040-0001 5 Year R&R Subaward Budget (Fed/Non-Fed) Form 30 Attachments Form	New
Form 4040-0001 10 Year R&R Subaward Budget (Fed/Non-Fed) 10 Attachments Form Form	New
Form 4040-0001 5 Year R&R Subaward Budget (Fed/Non-Fed) Form 10 Attachments Form	New
Form 4040-0001 Application for Federal Assistance SF-424 Research and Related Multi-Project Form	New
Form 4040-0001 10 Year R&R Subaward Budget Attachment(s) Form (up to 30 attachments) Form	New
Form 4040-0001 10 Year R&R Subaward Budget Attachment(s) Form (up to 10 attachments) Form	New
Form 4040-0001 5 Year R&R Subaward Budget Attachment(s) Form (up to 30 attachments) Form	New
Form 4040-0001 R&R Federal/Non-Federal Budget (up to 10 years) Form	New
Form 4040-0001 R&R Federal/Non-Federal Budget (up to 5 years) Form	New
Form 4040-0001 R&R Budget (up to 10 years) Form	New
Form 4040-0001 R&R Budget (up to 5 years) Form	New
Form 4040-0001 SBIR/STTR Information Form	New
Form 4040-0001 R&R Other Project Information Form	New
Form 4040-0001 R&R Senior/Key Person Profile (Expanded) Form	New
Form 4040-0001 R&R Senior/Key Person Profile Form	New
Form 4040-0001 R&R Personal Data Form	New
Form 4040-0001 SF 424 Application for Federal Assistance Research and Related Cover Form	Modified
4040-0001 ICR SS.docx Supporting Statement A	2016-09-08

IC Document Collections

IC ID	Document Title	Status
223467	Research & Related Multi-Project 10 Year Budget Form	New
223130	5 Year R&R Subaward Budget Form 10 Attachments Form	New
223111	R & R Multi-Project Subaward Budget Attachment(s) Form 10 Years 30 Attachments Form	New
223075	5 Year R&R Subaward Budget (Fed/Non-Fed) Form 30 Attachments Form	New
223074	10 Year R&R Subaward Budget (Fed/Non-Fed) 10 Attachments Form Form	New
223073	5 Year R&R Subaward Budget (Fed/Non-Fed) Form 10 Attachments Form	New
223070	Application for Federal Assistance SF-424 Research and Related Multi-Project Form	New
222934	10 Year R&R Subaward Budget Attachment(s) Form (up to 30 attachments) Form	New
222933	10 Year R&R Subaward Budget Attachment(s) Form (up to 10 attachments) Form	New
222932	5 Year R&R Subaward Budget Attachment(s) Form (up to 30 attachments) Form	New
222930	R&R Federal/Non-Federal Budget (up to 10 years) Form	New
222929	R&R Federal/Non-Federal Budget (up to 5 years) Form	New
222928	R&R Budget (up to 10 years) Form	New
222927	R&R Budget (up to 5 years) Form	New
222926	SBIR/STTR Information Form	New
222925	R&R Other Project Information Form	New
222924	R&R Senior/Key Person Profile (Expanded) Form	New
222923	R&R Senior/Key Person Profile Form	New
222922	R&R Personal Data Form	New
185153	SF 424 Application for Federal Assistance Research and Related Cover Form	Modified

ICR Details

OMB Control No: 4040-0001	ICR Reference No: 201608-4040-009
Status: Historical Active	Previous ICR Reference No: 201305-4040-001
Agency/Subagency: EGOV	Agency Tracking No:
Title: SF-424 Research & Related (R&R)
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  Yes
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 12/01/2016
	Date Received in OIRA: 09/13/2016
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2019		11/30/2016
Responses	683,190	0	128,378
Time Burden (Hours)	683,190	0	128,378
Cost Burden (Dollars)	0	0	3,851,340

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Abstract: The SF-424 (R) is the government-wide data set for research grant applications.

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Authorizing Statute(s): PL: Pub.L. 109 - 282 2590 Name of Law: Federal Financial Accountability and Transparency Act of 2006
   PL: Pub.L. 106 - 107 468 Name of Law: Federal Financial Assistance Management Improvement Act of 1999
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

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Number of Information Collection (IC) in this ICR: 20

IC Title	Form No.	Form Name
SF 424 Application for Federal Assistance Research and Related Cover	4040-0001	SF424 Application for Federal Assistance Research and Related Cover
R&R Personal Data	4040-0001	Research and Related Personal Data
R&R Other Project Information	4040-0001	Research & Related Other Project Information
SBIR/STTR Information	4040-0001	SBIR/STTR Form
R&R Budget (up to 5 years)	4040-0001	Research & Related Budget
5 Year R&R Subaward Budget Attachment(s) Form (up to 30 attachments)	4040-0001	5 Year R&R Subaward Budget(Fed/Non-Fed) Attachments 30 Attachments
10 Year R&R Subaward Budget Attachment(s) Form (up to 10 attachments)	4040-0001	10 year Subaward Budget 10 Attachments
10 Year R&R Subaward Budget Attachment(s) Form (up to 30 attachments)	4040-0001	10 Year Subaward Budget 30 Attachments
R&R Budget (up to 10 years)	4040-0001	10 Year Research and Related Budget
R&R Federal/Non-Federal Budget (up to 5 years)	4040-0001	Research and Related Budget (Total Fed + Non-Fed)
R&R Federal/Non-Federal Budget (up to 10 years)	4040-0001	10 Year Research & Related (Total Fed + Non-Fed
R&R Senior/Key Person Profile	4040-0001	Research and Related Senior/Key Person Profile
R&R Senior/Key Person Profile (Expanded)	4040-0001	Research & Related Senior/Key Person Profile (Expanded)
Application for Federal Assistance SF-424 Research and Related Multi-Project	4040-0001	Application for Federal Assistance SF-424 Research and Related Multi-Project
5 Year R&R Subaward Budget Form 10 Attachments	4040-0001	R&R Subaward Budget Attachment(s) Form 5 Year 10 Attachments
5 Year R&R Subaward Budget (Fed/Non-Fed) Form 30 Attachments	4040-0001	5 Year R&R Subaward Budget(Fed/Non-Fed) Attachments 30 Attachments
10 Year R&R Subaward Budget (Fed/Non-Fed) 10 Attachments Form	4040-0001	10 Year R&R Subaward Budget (Fed/Non-Fed) 10 Attachments
R & R Multi-Project Subaward Budget Attachment(s) Form 10 Years 30 Attachments	4040-0001	R&R Multi-Project Subaward Budget Attachment(s) Form 10 Year 30 Attachments
Research & Related Multi-Project 10 Year Budget	4040-0001	Research and Related Multi-Project 10 Year Budget
5 Year R&R Subaward Budget (Fed/Non-Fed) Form 10 Attachments	4040-0001	5 Year R&R Subaward Budget (Fed/Non-Fed) Attachment(s) Form 10 Attachments

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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	683,190	128,378	0	554,812	0	0
Annual Time Burden (Hours)	683,190	128,378	0	554,812	0	0
Annual Cost Burden (Dollars)	0	3,851,340	0	-3,851,340	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: These ICs have been broken out by IC and therefore, burden hours are reported per IC within this ICR.

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Annual Cost to Federal Government: $26,645,580

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  Yes

OIRA authorizes any Agency to begin using a Common Form associated with this ICR automatically after 5 calendar days from the date the agency's RCF including the common form was received in OIRA.

Description/Changes for Common Form Usage:  The ICs associated with 4040-0001 are used by more than one Federal grant-making agency.

Approved RCFs using this ICR

Agency/Sub Agency	RCF ID	RCF Title	RCF Status	IC Title
ED/IES	201702-1850-002CF	Request for Common Form Usage	Historical Active	SF 424 Application for Federal Assistance Research and Related Cover, R&R Senior/Key Person Profile (Expanded), R&R Other Project Information, R&R Federal/Non-Federal Budget (up to 5 years), 5 Year R&R Subaward Budget (Fed/Non-Fed) Form 10 Attachments
USDA/NIFA	201701-0524-063CF	Request for Common Form Usage	Historical Active	R&R Other Project Information, R&R Budget (up to 5 years), 5 Year R&R Subaward Budget Attachment(s) Form (up to 30 attachments), R&R Personal Data, SF 424 Application for Federal Assistance Research and Related Cover, SBIR/STTR Information, R&R Federal/Non-Federal Budget (up to 5 years), 5 Year R&R Subaward Budget Attachment(s) Form (up to 30 attachments), 5 Year R&R Subaward Budget (Fed/Non-Fed) Form 30 Attachments, R&R Senior/Key Person Profile (Expanded)
USDA/FNS	201706-0584-017CF	Application for Federal Assistance (SF-424) Research & Related Projects (FNS)	Historical Active	SF 424 Application for Federal Assistance Research and Related Cover, SF 424 Application for Federal Assistance Research and Related Cover

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 09/13/2016

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