SF-424 Research & Related (R&R)

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
Form 4040-0001 Research and Related Multi-Project 10 Year Budget	Form	Unchanged	Available
Form 4040-0001 R&R Subaward Budget Attachment(s) Form 5 Year 10 Attachments	Form	Unchanged	Available
Form 4040-0001 R&R Multi-Project Subaward Budget Attachment(s) Form 10 Year 30 Attachments	Form	Unchanged	Available
Form 4040-0001 5 Year R&R Subaward Budget(Fed/Non-Fed) Attachments 30 Attachments	Form	Unchanged	Available
Form 4040-0001 10 Year R&R Subaward Budget (Fed/Non-Fed) 10 Attachments	Form	Unchanged	Available
Form 4040-0001 5 Year R&R Subaward Budget (Fed/Non-Fed) Attachment(s) Form 10 Attachments	Form	Unchanged	Available
Form 4040-0001 Application for Federal Assistance SF-424 Research and Related Multi-Project	Form	Unchanged	Repair queued
Form 4040-0001 10 Year Subaward Budget 30 Attachments	Form	Unchanged	Available
Form 4040-0001 10 year Subaward Budget 10 Attachments	Form	Unchanged	Available
Form 4040-0001 5 Year R&R Subaward Budget(Fed/Non-Fed) Attachments 30 Attachments	Form	Unchanged	Available
Form 4040-0001 10 Year Research & Related (Total Fed + Non-Fed	Form	Unchanged	Repair queued
Form 4040-0001 Research and Related Budget (Total Fed + Non-Fed)	Form	Unchanged	Available
Form 4040-0001 10 Year Research and Related Budget	Form	Unchanged	Repair queued
Form 4040-0001 Research & Related Budget	Form	Unchanged	Available
Form 4040-0001 SBIR/STTR Form	Form	Unchanged	Available
Form 4040-0001 Research & Related Other Project Information	Form	Unchanged	Available
Form 4040-0001 Research & Related Senior/Key Person Profile (Expanded)	Form	Unchanged	Repair queued
Form 4040-0001 Research and Related Senior/Key Person Profile	Form	Unchanged	Available
Form 4040-0001 Research and Related Personal Data	Form	Unchanged	Available
Form 4040-0001 SF424 Application for Federal Assistance Research and Related Cover	Form	Unchanged	Available
4040-0001_Non-Substantial Change Request 4040-0001.doc	Justification for No Material/Nonsubstantive Change	Uploaded 2017-08-23	Available
4040-0001 ICR SS.docx	Supporting Statement A	Uploaded 2016-09-08	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
223467	Research & Related Multi-Project 10 Year Budget	Form	Unchanged	Research and Related Multi-Project 10 Year Budget
223130	5 Year R&R Subaward Budget Form 10 Attachments	Form	Unchanged	R&R Subaward Budget Attachment(s) Form 5 Year 10 Attachments
223111	R & R Multi-Project Subaward Budget Attachment(s) Form 10 Years 30 Attachments	Form	Unchanged	R&R Multi-Project Subaward Budget Attachment(s) Form 10 Year 30 Attachments
223075	5 Year R&R Subaward Budget (Fed/Non-Fed) Form 30 Attachments	Form	Unchanged	5 Year R&R Subaward Budget(Fed/Non-Fed) Attachments 30 Attachments
223074	10 Year R&R Subaward Budget (Fed/Non-Fed) 10 Attachments Form	Form	Unchanged	10 Year R&R Subaward Budget (Fed/Non-Fed) 10 Attachments
223073	5 Year R&R Subaward Budget (Fed/Non-Fed) Form 10 Attachments	Form	Unchanged	5 Year R&R Subaward Budget (Fed/Non-Fed) Attachment(s) Form 10 Attachments
223070	Application for Federal Assistance SF-424 Research and Related Multi-Project	Form	Unchanged	Application for Federal Assistance SF-424 Research and Related Multi-Project
222934	10 Year R&R Subaward Budget Attachment(s) Form (up to 30 attachments)	Form	Unchanged	10 Year Subaward Budget 30 Attachments
222933	10 Year R&R Subaward Budget Attachment(s) Form (up to 10 attachments)	Form	Unchanged	10 year Subaward Budget 10 Attachments
222932	5 Year R&R Subaward Budget Attachment(s) Form (up to 30 attachments)	Form	Unchanged	5 Year R&R Subaward Budget(Fed/Non-Fed) Attachments 30 Attachments
222930	R&R Federal/Non-Federal Budget (up to 10 years)	Form	Unchanged	10 Year Research & Related (Total Fed + Non-Fed
222929	R&R Federal/Non-Federal Budget (up to 5 years)	Form	Unchanged	Research and Related Budget (Total Fed + Non-Fed)
222928	R&R Budget (up to 10 years)	Form	Unchanged	10 Year Research and Related Budget
222927	R&R Budget (up to 5 years)	Form	Unchanged	Research & Related Budget
222926	SBIR/STTR Information	Form	Unchanged	SBIR/STTR Form
222925	R&R Other Project Information	Form	Unchanged	Research & Related Other Project Information
222924	R&R Senior/Key Person Profile (Expanded)	Form	Unchanged	Research & Related Senior/Key Person Profile (Expanded)
222923	R&R Senior/Key Person Profile	Form	Unchanged	Research and Related Senior/Key Person Profile
222922	R&R Personal Data	Form	Unchanged	Research and Related Personal Data
185153	SF 424 Application for Federal Assistance Research and Related Cover	Form	Unchanged	SF424 Application for Federal Assistance Research and Related Cover

ICR Details

OMB Control No: 4040-0001	ICR Reference No: 201708-4040-009
Status: Historical Active	Previous ICR Reference No: 201608-4040-009
Agency/Subagency: EGOV	Agency Tracking No:
Title: SF-424 Research & Related (R&R)
Type of Information Collection: No material or nonsubstantive change to a currently approved collection	Common Form ICR:  Yes
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 09/20/2017
Retrieve Notice of Action (NOA)	Date Received in OIRA: 08/23/2017
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2019	12/31/2019	12/31/2019
Responses	683,190	0	683,190
Time Burden (Hours)	683,190	0	683,190
Cost Burden (Dollars)	0	0	0

---

Abstract: The SF-424 Research and Related 4040-0001 groups of ICs are a government-wide data set for research grant applications. The Research and Related Other Project Information IC is used as a supplementary form to the grant application.

---

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

---

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

---

Federal Register Notices & Comments

Did the Agency receive public comments on this ICR? No

---

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

table that charts list of burden

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

---

ICR Summary of Burden

table that charts list 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	683,190	0	0	0	0
Annual Time Burden (Hours)	683,190	683,190	0	0	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

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

Burden Increase Due to:

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.

---

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

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

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     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

---

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 SF-424 Research and Related 4040-0001 added two check boxes to an existing question that was cleared.

Approved RCFs using this ICR

table that charts list of RCF

Agency/Sub Agency	RCF ID	RCF Title	RCF Status	IC Title
ED/IES	201709-1850-003CF	Request for Common Form Usage	Historical Active	5 Year R&R Subaward Budget (Fed/Non-Fed) Form 10 Attachments, R&R Federal/Non-Federal Budget (up to 5 years), R&R Other Project Information, R&R Senior/Key Person Profile (Expanded), SF 424 Application for Federal Assistance Research and Related Cover
USDA/FNS	201709-0584-020CF	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
USDA/NIFA	201709-0524-068CF	Request for Common Form Usage	Historical Active	5 Year R&R Subaward Budget (Fed/Non-Fed) Form 30 Attachments, 5 Year R&R Subaward Budget Attachment(s) Form (up to 30 attachments), 5 Year R&R Subaward Budget Attachment(s) Form (up to 30 attachments), R&R Budget (up to 5 years), R&R Federal/Non-Federal Budget (up to 5 years), R&R Other Project Information, R&R Personal Data, R&R Senior/Key Person Profile (Expanded), SBIR/STTR Information, SF 424 Application for Federal Assistance Research and Related Cover
DOW/DODDEP	201802-0704-007CF	SF-424 Research & related (R&R)	Historical Active	SF 424 Application for Federal Assistance Research and Related Cover
ED/IES	201803-1850-004CF	Request for Common Form Usage	Historical Active	5 Year R&R Subaward Budget (Fed/Non-Fed) Form 10 Attachments, R&R Federal/Non-Federal Budget (up to 5 years), R&R Other Project Information, R&R Personal Data, R&R Senior/Key Person Profile (Expanded), SF 424 Application for Federal Assistance Research and Related Cover
USDA/FS	201802-0596-005CF	Application for Federal Assistance (SF-424) Research	Historical Active	SF 424 Application for Federal Assistance Research and Related Cover

---

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: 08/23/2017

---