4040-0001 Icr Ss 2021

Supporting Statement

Data Collection for

SF-424 Application for Federal Assistance Research and Related Forms
SF-424 4040-0001

The SF-424 Application for Federal Assistance Research and Related ICs are an OMB-approved collection (4040-0001). This information collection will be utilized by 26 Federal agencies and additional grant-making entities.

Grants.gov is requesting a revision of this form and classification as a Common Form.

Grants.gov seeks to include a question regarding the use of SBIR/STTR funds for Technical and Business Assistance (TABA).

A. Justification

1. Need and Legal Basis

The Office of Federal Financial Management (OFFM) leads efforts at government-wide grants management to assure that Federal grants to non‑Federal entities are managed properly and spent in accordance with laws and regulations. Working cooperatively with Federal grant‑making agencies and non‑Federal entities, OFFM establishes policies and guidelines through OMB's Uniform Administrative Requirements. Grants.gov serves as a repository for Federal grant-related forms on behalf of OMB OFFM.

OMB Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, establish the reporting requirements fulfilled by this form.

2. Information Users

The form is used by non-Federal entities to apply for grants, and by Federal grants management staff to evaluate applicants for Federal financial assistance.

3. Improved Information Technology

Federal awarding agencies have the option of allowing recipients to use electronic submission of alternate forms. Although agencies can allow recipients to submit electronically, or via other forms, they are only approved to collect the information approved under this information collection.

4. Duplication of Similar Information

There is no other source for the information reported on this form.

5. Small Businesses

The information requirements do not pertain to small business or other small entities.

6. Less Frequent Collection

No less frequent collection is feasible.

7. Special Circumstances

OMB Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards establish the requirements fulfilled by this form.

8. Federal Register Notice/Outside Consultation

The Grants.gov Program Management Office managed by HHS published the current SF-424 Research and Related forms collection (4040-0001) for public comment in the Federal Register for 60-day comment on July 07, 2021 (86 FR 35812) Interested individuals were invited to send comments regarding any aspect of this collection of information. No public comments were received.  

9. Payment/Gift to Respondents

Not applicable since there is no payment to respondents, other than remuneration of grantees.

10. Confidentiality

The grant-making agencies will maintain the authoritative copy of all application materials and data.  The information will be consistent with OMB policies related to the administration of Federal grants as well as agency policies and practices for access to electronic and paper records.  If application forms are submitted through the Grants.gov Apply mechanism, Grants.gov will maintain only transmission records pertaining to the files.  Grants.gov will not maintain application materials and data. 

11. Sensitive Questions

Not applicable since there are no sensitive questions.

12. Burden Estimate

As this is a Common Form, burden is reported only for HHS. By aggregating the agency’s estimates as reported from the Grants.gov data call, an estimate of the total burden of the information collection was developed.

4040-0001 is composed of 21 ICs: R&R Multi-Project Subaward Budget Attachment(s) Form 10 Year; R&R Subaward Budget Attachment(s) Form; R&R Subaward Budget Attachment(s) Form 10 Year 10 Attachments; R&R Subaward Budget Attachment(s) Form 10 Year 30 Attachments; R&R Subaward Burget Attachment(s) Form 5 Year 30 Attachments; Research & Related Budget; Research & Related Budget 10 Year; Research & Related Multi-Project 10 Year Budget; Research & Related Personal Data; Research & Related Senior Key/Person Profile; Research & Related Subaward Budget (Total Fed + Non-Fed) 10 Year 10 Attachments; Research & Related Subaward Budget (Total Fed + Non-Fed 10 Year 30 Attachments; Research & Related Subaward Budget (Total Fed + Non-Fed) Attachment(s) Form; Research and Related Other Project Information; Research and Related Senior/Key Person Profile (Expanded); Research and Related Fed + Non-Fed Budget; SBIR/STTR Information Form; SF-424 R&R Multi-Project Cover; SF-424 (R&R).

HHS receives approximately 394,031 applications annually and estimate that it takes applicants approximately 1 hour on average to complete each application. Cumulatively, HHS reports that the total burden to applicants to be approximately 394,031 hours.

Section A. Estimated Annualized Burden Hours to Respondents

SF-424 Research and Related Multi-Project Cover Estimated Annualized

Burden to Respondents

AGENCY	IC NAME	Number of Annual Respondents	Number of Responses per Respondent	Total Annual Responses	Average Burden on Respondent per Response in Hours	Total Burden Hours
HHS	R & R Multi-Project Subaward Budget Attachment(s) Form 10 Year 30 Attachments	1023	1	1023	1	1023
	R & R Subaward Budget Attachment(s) Form	271	1	271	1	271
	R & R Subaward Budget Attachment(s) Form 10 Year 10 Attachments	0	1	0	1	0
	R & R Subaward Budget Attachment(s) Form 10 Year 30 Attachments	1023	1	1023	1	1023
	R & R Subaward Budget Attachment(s) Form 5 Year 30 Attachments	59767	1	59767	1	59767
	Research & Related Budget	63909	1	63909	1	63909
	Research & Related Budget 10YR	0	1	0	1	0
	Research & Related Multi-Project 10 Year Budget	3847	1	3847	1	3847
	Research & Related Personal Data	0	1	0	1	0
	Research & Related Senior/Key Person Profile	695	1	695	1	695
	Research & Related Subaward Budget (Total Fed + Non-Fed) 10 Year 10 Attachments	0	1	0	1	0
	Research & Related Subaward Budget (Total Fed + Non-Fed) 10 Year 30 Attachments	0	1	0	1	0
	Research & Related Subaward Budget (Total Fed + Non-Fed) 5 Year 30 Attachments	0	1	0	1	0
	Research & Related Subaward Budget (Total Fed + Non-Fed) Attachment(s) Form	0	1	0	1	0
	Research And Related Other Project Information	37603	1	37603	1	37603
	Research and Related Senior/Key Person Profile (Expanded)	108543	1	108543	1	108543
	RR FedNonFed Budget	0	1	0	1	0
	SBIR/STTR_Information	6376	1	6376	1	6377
	SF-424 R&R Multi-Project Cover	1519	1	1519	1	1519
	SF424 (R & R)	109455	1	109455	1	109455
TOTAL		394031		394031		394032

Section B. Burden Cost

SF-424 Research and Related Forms Estimated Annualized

Cost to Respondents

Cost To Respondents
AGENCY	Type of Respondent	Hourly Wage Rate	Total Burden Hours	Total Respondent Cost
HHS	Grant Writer	$ 30.00	394031	$11820930
TOTAL			394031	$11820930

The Estimated Annualized Cost to Respondents assumes that the Hourly Wage Rate for a grant writer is $30. The Total Burden Hours times the Hourly Wage Rate produces the Total Respondent Cost which is $11,820,930.

13. Capital Costs

There is no projected incremental increase in the cost burden to respondents and record keepers associated with the use of the SF-424 Research and Related family of forms.

14. Cost to the Federal Government

The proposed SF-424 Research and Related family of forms is based on an OMB-approved from currently in use. There is no projected incremental increase in the cost burden to the Federal Government with the implementation of the renewed SF-424 Research and Related family of forms.  Each agency currently has existing personnel, systems and processes (or other resources) in place to receive and review their grant applications.  Any additional cost for agency system development, maintenance and enhancements should not be attributed to use of the SF-424 Research and Related family of forms, and therefore its use is not expected to alter annualized Federal costs. 

Cost to Government
Total Annual Responses	Agency Personnel Time to Review (Hours)	Total Burden Hours on Agency Personnel	Average Grants Administrative Hourly Salary	Estimated Annual Cost to Federal Government for Form Review
394031	1	394031	$39	$15367209

Agency personnel time to review the form is estimated at 1 hour per form. Based on 394,031 responses per year, then 394,031 hours are estimated personnel hours to review. Grants administrative personnel generally are in the GS9 - 15 range. Based on a step one average of these grades, an average hourly salary is $39 per hour. Therefore, 394,031 hours x $39 = $15,367,209 of estimated annual cost to the federal government to review the form.  

15. Program or Burden Change

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.

This is due to an adjustment of one question that was added into SBIR/STTR Information Form. This question has increased the number of burden hours by one minute. Below is the question that was added into this form:

*7. Does the application include a request of SBIR or STTR funds for Technical and Business Assistance (TABA)? If yes, please follow the agency specific instructions to provide the budget request and justification. (Please answer no if you plan to use the agency TABA vendor, which does not require you to include a request for TABA funds in your application.)

16. Publication and Tabulation Dates

There are no publication plans for collected data including summarizing or tabulating by Grants.gov.

17. Expiration Date

Three years from OMB approval.

18. Certification Statement

Not applicable since there are no exceptions to the certification.

B. Collections of Information Employing Statistical Methods

No statistical methods are employed in this information collection.