SF-424 Research & Related (R&R)

Forms and Documents

Document Name	Status
Form 4040-0001 Research & Related Multi-Project 10 Year Budget Form	Modified
Form 4040-0001 5 Year R&R Subaward Budget Form 10 Attachments Form	Modified
Form 4040-0001 R & R Multi-Project Subaward Budget Attachment(s) Form 10 Years 30 Attachments Form	Modified
Form 4040-0001 5 Year R&R Subaward Budget (Fed/Non-Fed) Form 30 Attachments Form	Modified
Form 4040-0001 10 Year R&R Subaward Budget (Fed/Non-Fed) 10 Attachments Form Form	Modified
Form 4040-0001 5 Year R&R Subaward Budget (Fed/Non-Fed) Form 10 Attachments Form	Modified
Form 4040-0001 Application for Federal Assistance SF-424 Research and Related Multi-Project Form	Modified
Form 4040-0001 10 Year R&R Subaward Budget Attachment(s) Form (up to 30 attachments) Form	Modified
Form 4040-0001 10 Year R&R Subaward Budget Attachment(s) Form (up to 10 attachments) Form	Modified
Form 4040-0001 5 Year R&R Subaward Budget Attachment(s) Form (up to 30 attachments) Form	Modified
Form 4040-0001 R&R Federal/Non-Federal Budget (up to 10 years) Form	Modified
Form 4040-0001 R&R Federal/Non-Federal Budget (up to 5 years) Form	Modified
Form 4040-0001 R&R Budget (up to 10 years) Form	Modified
Form 4040-0001 R&R Budget (up to 5 years) Form	Modified
Form 4040-0001 SBIR/STTR Information Form	Modified
Form 4040-0001 R&R Other Project Information Form	Modified
Form 4040-0001 R&R Senior/Key Person Profile (Expanded) Form	Modified
Form 4040-0001 R&R Senior/Key Person Profile Form	Modified
Form 4040-0001 R&R Personal Data Form	Modified
Form 4040-0001 SF 424 Application for Federal Assistance Research and Related Cover Form	Modified
4040-0001 ICR SS 2019.docx Supporting Statement A	2019-10-08

IC Document Collections

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

ICR Details

OMB Control No: 4040-0001	ICR Reference No: 201907-4040-002
Status: Active	Previous ICR Reference No: 201708-4040-009
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: 12/31/2019
	Date Received in OIRA: 10/21/2019
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2022	36 Months From Approved	12/31/2019
Responses	394,031	0	683,190
Time Burden (Hours)	394,031	0	683,190
Cost Burden (Dollars)	0	0	0

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Abstract: The SF-424 Research and Related 4040-0001 group of ICs serve as grant application forms utilized by all federal research agencies.

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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
60-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 16678	04/22/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 34907	07/19/2019
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
R&R Federal/Non-Federal Budget (up to 5 years)	4040-0001	Research and Related Budget (Total Fed + Non-Fed)
5 Year R&R Subaward Budget Form 10 Attachments	4040-0001	R&R Subaward Budget Attachment(s) Form 5 Year 10 Attachments
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	R&R Subaward Budget Attachment(s) Form 5 Year 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 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 (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
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

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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	394,031	683,190	0	-289,159	0	0
Annual Time Burden (Hours)	394,031	683,190	0	-289,159	0	0
Annual Cost Burden (Dollars)	0	0	0	0	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: Yes

Burden Reduction Due to: Miscellaneous Actions

Short Statement: The burden hours reported for this ICR only reflects that of HHS. As these ICs are Common Forms, Grants.gov is only required to report the burden for HHS. All other agencies using this IC are required to report their own burden hours which will cause an increase or decrease of individual IC burden hours.

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Annual Cost to Federal Government: $15,367,209

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

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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 4040-0001 collection of ICs are used by multiple research agencies in grant applications. Grants.gov is only responsible for reporting the burden hours for HHS. All other agencies must report their burden hours in ROCIS.

Approved RCFs using this ICR

Agency/Sub Agency	RCF ID	RCF Title	RCF Status	IC Title
USDA/NIFA	201912-0524-001CF	Request for Common Form Usage	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	201912-0584-002CF	Application for Federal Assistance (SF-424) Research & Related Projects (FNS)	Active	SF 424 Application for Federal Assistance Research and Related Cover, SF 424 Application for Federal Assistance Research and Related Cover
DOD/DODDEP	201912-0704-001CF	SF-424 Research & related (R&R)	Active	SF 424 Application for Federal Assistance Research and Related Cover
USDA/FS	201912-0596-001CF	Application for Federal Assistance (SF-424) Research	Active	SF 424 Application for Federal Assistance Research and Related Cover
ED/IES	201912-1850-001CF	Request for Common Form Usage	Active	R&R Personal Data, 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

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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: 10/21/2019

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