Updated 12/17/08 NIH SF424 Fundamentals 1 Read the Submission Requirements of the RFA/RFP (Request for Application or Proposal), PA (Program Announcement), or FOA (Funding Opportunity Announcement). This is critical for a successful application. - Write down the Special Requirements you need to follow, or highlight the RFA/PA. Examples: - Are the biosketches the appropriate length? Are they properly formatted per instructions? - Is there a special page limit for various sections? - Are special letters or attachments required? Are they allowed? - Is this a modular or a detailed budget submission? - Will any subcontracts be involved? If so, start early. Allow a minimum of 2 extra weeks of admin. prep. time for the other institution(s). 2 Font size, Margins, Spacing - Use Arial, Helvetica, Palatino Linotype or Georgia Typeface, black font size of 11 point or larger. - Type density, including characters & spaces, must be no more than 15 characters per inch. - No more than 6 lines per inch. - Margins: At least 1/2 inch margins (all 4 sides) for all pages, with no info in the margins. - Abstracts must not exceed 30 lines. - Special language symbols in the abstract or other locations may cause grants.gov to add a question mark which may put you over the text limit. If using these double-check to ensure you are within allowable length. - No headers, no footers allowed in the attachments. 3 Attachments in SF424 Applications - Must be a PDF file. No headers or footers. - File naming conventions are being standardized with the change to Adobe: - No spaces, no hyphens, no underscores, no slashes. - Use only standard characters: - A through Z, a through z, and 0 through 9 Examples: Budget or budget but not Budget-123 UCSFsubcontract not UCSF Subcontract not UCSF/Subcontract - No symbols allowed. 4 Adobe-based Application Packages - When your application requires the new Adobe forms - You must use Adobe Reader version 8.1.3 or later, available at no cost. See link below: http://www.grants.gov/help/download_software.jsp - Using the wrong version could corrupt your application. Then it will not be accepted by Grants.gov. - Install and test the new software before you begin working on the application. - Grants.gov has a test page that checks your Acrobat compatibility: http://www.grants.gov/applications/AdobeVersioning TestOnly.jsp - You will need Adobe Acrobat Professional to easily modify and create PDF files. See link below: http://www.grants.gov/assets/UsingAcrobatPro.pdf 5 Pure-Edge Viewer Applications - For those grants that have not migrated to the new Adobe packages - For those grants still using PureEdge Viewer, you will need to download this free software along with Adobe Reader. http://grantsgov.tmp.com/static2007/help/download_software.jsp#pureedge 6 Re-check your Funding Opportunity Announcement to download new forms. NIH is periodically updating them. - After December 5, 2008 most NIH applications will be migrated to the new Adobe based system. - Check Grants.gov and OSP's website for more detailed and up-to-date information about transitions in forms. http://www.washington.edu/research/osp/index.php 7 Attaching the SF424 form set to the eGC1 - If you revise the SF424 after the eGC1 is in routing, click "UPDATE" on the eGC1 to add the revised document. DO NOT select "attach new document"; this could slow down UW's review processes. Updated 12/17/08 SF424 for NIH Applications - Checklist for Common Problems & Solutions This list is not meant to replace the NIH SF424 or PHS 398 Instructions. Please refer to them for complete instructions. Links to NIH SF424 instructions and other resources are listed on the "Resources" tab of this workbook. Attachments to SF424 Attachments must always be PDF - and no space in the filename Exceptions: Draft Science can be a word doc, but must be PDF when grant is Ready to Submit R&R Additional Instructions # 2 Applicant Identifier Enter eGC1 number from SAGE, i.e., A44046 4 Federal Identifier Only complete if this is NOT a NEW application or if directed to by Program Announcement. Must be in alpha-numeric format AANNNNNN with no hyphens or spaces. That is: 2 letters and 6 digits (e.g.. CA123456). 5 Address / DUNS # LEGAL NAME: University of Washington; DEPT: Office of Sponsored Programs DIVISION: Research Division; STREET 1: Box 354972; STREET 2: 4333 Brooklyn Ave NE Seattle WA 98195 DUNS # FOR UW IS: 605799469 8 Type of Application Resubmission = Revision of previously submitted but unfunded grant. Renewal = Competing Continuation. Continuation - NIH does not use this box. Revision = Supplement or change to an existing award. 13 Proposed Project Dates Ensure that they are correct. Revisions made on budget pages do not transfer here. ALL DATES must be consistent w/ all budgets, any spreadsheets and eGC1. 14 Congressional Districts WA-007 15 PI If there are multiple PI's - the CONTACT PI goes here. 16a Project Funding This should match the total on your budget pages. 16b Total Fed & Non Fed This should match 16a unless there is cost-sharing or matching funds. Subject to review by state 17 executive order Check "NO". 18 "I agree" "I agree" box must be checked. 19 Authorized Representative Lynne Chronister List her Title as: Asst Vice Provost/Research Due to 30 character limit COVER PAGE SUPPLEMENT PI degree needs to be added even if the PI is not a new investigator. PROJECT/PERFORMANCE SITE LOCATIONS(s) Primary Location Use UW and OSP address: University of Washington 4333 Brooklyn Ave NE Seattle, WA 98195-9472 County: King Site Location 1 Provide the address of the actual physical location of the research. OTHER PROJECT INFORMATION 1 Human Subj Assur. No 00006878 Do not include the "FWA" as part of the number. 2 Animal Welfare Assur. No. A3464-01 7 Project Narrative 2-3 sentences maximum. Describe relevance of this research to public health. Be succinct & use lay language. 8 Bibliography & References Cited These are the references cited from the science. 10 Equipment This is equipment available to the project, not equipment you are requesting in your budget. SENIOR/KEY PERSON PROFILE Credential This is the ERA Commons User Name. Project Role Do NOT use the Co-PI/PD option for NIH applications. For Co-Investigator select "Other", then type in Co-Investigator in next field. For Multiple PI application select: PI/PD for the additional PI(s). Other Project Role Category This is where you can type in Co-investigator, if applicable. BUDGET PAGES Start and End Dates If updates are made to this module after it has been saved, all extra spaces must be eliminated to ensure no errors are detected. [All dates must be consistent for the SF424 Face page, budget page and eGC1.] Institutional Base Salary Actual salary as per GIM 35. You can calculate budget request based on the NIH cap, however the IBS you list here must be actual salary. Budget Amounts Dollars in proposal budget must be consistent with budget on eGC1 and all other budgets. Cognizant Fed. Agency Dept Health and Human Services, Mr. Wallace Chan, 415-437-7820 or Mr. Patrick Smith, same phone number Budget Justification For Modular budget only - Personnel Only, with calendar months. For Regular Grants (Non-Modular) R&R - Provide full Justification for the entire budget. Consortium Justification List total costs (direct plus F&A) for each Subcontract, rounded to nearest $1000. For each, list personnel, calendar months & roles. State if organization is foreign or domestic. Addtl. Narrative Justification For Modular budgets: required if there is a variation in the number of modules requested. Provide an explanation of why there is a variation (equipment, personnel, subs, work-flow, etc.). The CONTACT PI and MULTIPLE PI(s) role should be listed as PD/PI, in Section A of R&R Budget. Attach your Excel spreadsheet budget to eGC1 Internal document section for Dept/School/College review process. RESEARCH PLAN 1 Introduction See specific RFA/PA for length. Specify the kind of marks used in the text to identify substantive changes. (Resub or Revision) Mark by bracketing, indenting, or change in typography (continue to follow NIH rules re: type size). DO NOT underline or shade the changes. Describe deleted sections, do not mark them as deletions. If changes are so great that essentially all the text would be marked, explain this in the Intro. Research Plan Investigators are recommended to insert a 'hard' page break between sections of the draft word document to assist with PDF/extraction process. From 424 instructions: "While each section of the Research Plan needs to eventually be uploaded separately, applicants are encouraged to construct the Research Plan as a single document, separating sections into distinct PDF attachments just before uploading the files. In this way the applicant can better monitor formatting requirements such as page limits. When validating for page limits, the eRA Commons will not count the white space created by breaking the text into separate files for uploading." Be aware that if following the NIH suggestion, when the single document is separated into sections, often graphs, figures and tables will be affected. The total page count may also increase as graphs are realigned automatically in Word. To prevent this, a section or page break can be added between each research plan section before adding graphics. Length of Research Plan Check your specific instructions. Usually either 10 or 25 pages is the limit. Rule of thumb for a 25 page limit: If over 28 pages when divided into separate files, then it may exceed limit of 25 pages. 16 Letters of Support Must be combined into 1 PDF file. 17 Resource Sharing Plan Closely review your Funding Announcement. If not specified then: - Required if ≥ $500K Direct Costs in any year: brief paragraph about how final research data will be shared or why it is not possible. - See SF424 Instructions section III-4 (1.5.1). - See NIH Data Sharing Policy: http://grants.nih.gov/grants/policy/data_sharing/ - See http://grants.nih.gov/grants/guide/notice-files/NOT-OD-03-032.html Model Organisms: not linked to $ amount. If any development of model organisms is anticipated then must include a specific plan for sharing and distributing or explain why not possible. - See SF424 Instructions Section III-5 (1.5.3). - See NIH Guide NOT-06-04-042. GWAS (Genome Wide Association Studies); If grant includes a GWAS project, provide plan for submission of GWAS data to the NIH-designated GWAS data repository. - See NIH Guide NOT-06-077-088. - See http://grants.nih.gov/grants/gwas/ 18 Appendix See separate instructions in Appendix tab. NIH changed their rules recently. CHECKLIST - 10-DAY DRAFT & 5-DAY FINAL (READY-TO-SUBMIT) Updated 12/17/08 This list details what SOM & OSP require for the 10-Day Draft & 5 Day Final (Ready To Submit) deadlines. YOUR GRANT WILL BE RETURNED IF YOU DO NOT MEET THESE REQUIREMENTS ALL SECTIONS MUST BE COMPLETE & FINAL AT 5-DAY FINAL "READY-T0-SUBMIT" Remember: use "Update" in SAGE, not "attach new documents" when loading revised attachments. BUSINESS & ADMIN. SECTIONS must be FINAL at 10-Day DRAFT. Do not make changes to them 5--Day unless directed by a reviewer or OSP. FINAL 10-Day Ready-to- SF424 Draft Submit Item #s BUSINESS/ADMIN. SECTIONS: SF424 R&R FINAL Project/Performance Site Locations(s) FINAL Other Project Information FINAL 8 Bibliography & Reference Cited - only complete this Ref. Section when the grant is final. not needed FINAL Senior Key Person Profile FINAL Biosketches - OSP will contact you if placeholder listed or draft used at 10-Day Draft. draft FINAL BUDGET - If full budget (non-modular): FINAL Budget Justification FINAL Subaward Budget Attachments - if project has subcontracts. See boxed note 1 below. FINAL Subcontrs Require: Attach separate sub-budget for each institution. FINAL Scope of Work Budget Budget amounts, justification - FINAL at 10 day. Final letters may be in process. See boxed Budget Just. note 2 below. FINAL Signed lnst'l. Letter If using PHS 398 Modular BUDGET format: FINAL Personnel Justification FINAL Consortium Justification FINAL Additional Narrative Justification FINAL For Modular Budgets - Attach Detailed Budget Spreadsheet to eGC1 under School forms. FINAL PHS 398 Cover Letter - if you are sending one not needed FINAL PHS 398 Cover Page Supplement FINAL PHS 398 Checklist FINAL PHS 398 RESEARCH PLAN: 1 Introduction to Application (resub or revisions only) not needed FINAL 2 Specific Aims draft FINAL Sections #2-7 can be 3 Background & Significance in one document at draft FINAL 4 Preliminary Studies/Progress Report 10-day Draft for ease draft FINAL 5 Research Design & Methods of tracking page draft FINAL length, etc. 6 Inclusion Enrollment Report (renewals only, if relevant) draft FINAL 7 Progress Report Publication List (renewals only) draft FINAL IF APPLICABLE TO YOUR PROJECT: 8 Protection of Human Subjects draft FINAL 9 Inclusion of Women and Minorities draft FINAL 10 Targeted/Planned Enrollment draft FINAL 11 Inclusion of Children draft FINAL 12 Vertebrate Animals draft FINAL 13 Select Agent Research draft FINAL 14 Multiple PI Leadership Plan draft FINAL 15 Consortium/Contractual Arrangements draft FINAL 16 Letters of support - These must be combined into ONE PDF document. draft FINAL 17 Resource Sharing Plans - check your specific announcement & general guidelines. draft FINAL 18 Appendix - See separate instructions on Appendix Checklist. not needed FINAL For SUBCONTRACTS: 1) OSP requires Scope of Work, Budget, Budget Justification, & Signed Institutional Letter. - Attach (1 PDF file) to eGC1 as internal documents for OSP: Sub's Scope of Work, Budget, Budget Justification, and Letter o f Commitment from Subcontractor's OSP equivalent. 2) Insert final Letters of Commitment at #16 (Letters of Support) for all Subcontractors. AT 5-DAY FINAL (READY TO SUBMIT) Remember: - On the eGC1 change RTS to YES - this signals OSP to electronically submit. - Finalize the previously draft scientific sections in the Research Plan. - Have you divided all sections into the appropriate PDF files? - Have you loaded those files into the correct location on the SF424 forms? - Have you finalized your Bibliography (in Other Project Info)? - Have you combined your letters of support into ONE PDF document? - Are there only 10 PDF files in the Appendix? See Appendix Checklist for instructions if >10 files. - From this point on: DO NOT MAKE ANY ADDITIONAL CHANGES to these documents unless directed by a reviewer or OSP. Updated 12/17/08 WEB RESOURCES FOR NIH SF424 SF424 Instructions: http://grants1.nih.gov/grants/funding/424/index.htm OSP webpage for institutional #s: http://www.washington.edu/research/osp/facts.html#id NIH "Writing Your Application": http://grants.nih.gov/grants/writing_application.htm UW Grant.gov Peer Mentors: http://www.washington.edu/research/osp/gg/peer.html NIH 398 Instructions: http://grants1.nih.gov/grants/funding/phs398/phs398.html NIH Glossary & Acronym List: http://grants.nih.gov/grants/glossary.htm#P Grants.gov Home Page: http://www.grants.gov/index.jsp Grants.gov Applicant Resources: http://www.grants.gov/applicants/app_help_reso.jsp OSP webpage 5 Days, 5 Ways: http://www.washington.edu/research/osp/gg/5days/?page=1 Updated 12/17/08 APPENDIX Instructions The information below is directly from SF424 Instructions: Only one copy of appendix material is necessary. Use the add attachments button to the right of this field to complete this entry. A maximum of 10 PDF (Portable Document Format ..created by Adobe) attachments is allowed in the Appendix. If more than 10 appendix attachments are needed, combine the remaining information into attachment #10. Note that this is the total number of appendix items, not the total number of publications. When allowed there is a limit of 3 publications that are not publicly available (see below for further details and check the FOA [Funding Opportunity Announcement] for any specific instructions), though not all grant mechanisms allow publications to be included in the appendix. Do not use the appendix to circumvent the page limitations of the research plan. Appendix material may not appear in the assembled application in the order attached, so it is important to use filenames for attachments that are descriptive of the content. A summary sheet listing all of the items included in the appendix is also encouraged but not required. When including a summary sheet, it should be included in the first appendix attachment. Applications that do not follow the appendix requirements may be delayed in the review process. New, resubmission, renewal, and revision applications may include the following materials in the Appendix: Publications – No longer allowed as appendix materials except in the circumstances noted below. Applicants may submit up to 3 of the following types of publications: o Manuscripts and/or abstracts accepted for publication but not yet published: The entire article should be submitted as a PDF attachment. o Manuscripts and/or abstracts published, but a free, online, publicly available journal link is not available: The entire article should be submitted as a PDF attachment. o Patents directly relevant to the project: The entire document should be submitted as a PDF attachment. (Do not include unpublished theses, or abstracts/manuscripts submitted (but not yet accepted) for publication.) Surveys, questionnaires, and other data collection instruments; clinical protocols and informed consent documents may be submitted in the Appendix as necessary. For materials that cannot be submitted electronically or materials that cannot be converted to PDF format (e.g., medical devices, prototypes, DVDs, CDs), applicants should contact the Scientific Review Officer for instructions following notification of assignment of the application to a study section. Applicants are encouraged to be as concise as possible and submit only information essential for the review of the application. Items that must not be included in the appendix: Photographs or color images of gels, micrographs, etc., are no longer accepted as Appendix material. These images must be included in the Research Plan PDF. However, images embedded in publications are allowed. Publications that are publicly accessible. For such publications, the URL or PMC (PubMed Central) submission identification numbers along with the full reference should be included as appropriate in the Bibliography and References cited section, the Progress Report Publication List section, and/or the Biographical Sketch section. Updated 12/17/08 DEPARTMENT APPROVER CHECKLIST - NIH SF424 EGC1: 1 Did you perform a full review of the EGC1? 2 Is the organizational code receiving funding correct? 3 Are there Faculty/Key Personnel with Joint Appointments? Add joint appointments via FG-9. 4 Is there Significant Financial Disclosure (SFI)? 5 If SFI exists, is a GIM-10 in process? Needs sealed envelope. 6 Is this an existing or modified award? List NIH award number, current budget # and last eGC1#. 7 Is NIH grant announcement number listed? BUDGET: 8 Is the correct F&A Rate used (on-campus, South Lake Union, etc.)? 9 Is F&A Rate applied consistently in budgets & justification? 10 If an off campus rate is used, are rent costs properly included? 11 Are budget amounts consistent between eGC1, spreadsheets, proposal budgets, and SF424 page 2? 12 For Modular grants only - Are there internal budget spreadsheets attached? 13 Is subcontract documentation attached? 14 Are Institutional Base Salaries (IBS) correct? 15 Are there any physician faculty in clinical depts? Contact the dept. to get entire institutional base salary. 16 Are there salary promotions that have been included? 17 Did you review faculty effort on this grant? COST-SHARING 18 Is there cost-sharing? If yes, see GIM-21. 19 Are addendums properly calculated, and $ included in eGC1? For the Addendum go to: http://www.washington.edu/research/osp/forms/gc1add.dot See link in the Cost Sharing Addendum for the cost-share calculator. SPACE: 20 Is the Space, for all faculty, listed in the proposal available, suitable and assigned to the Dept./PI? 21 Are there research sites other than UW On-campus/Harborview which should be noted in FG2? 22 Space Requirements - Are there statements re any new, additional, alternations, renovations? 23 Other Resources - Are there heavy computer resources, special services, etc. listed as available or required? 24 Discuss in advance with RGE & Facilities if unusual or new space or resources are required. OTHER: 25 If Multiple PI's, have they been added to the eGC1 grid w/ documenting statement on eGC1 or attached? 26 Are any letters to the Dean needed? Are they attached? See SOM web-page for eligibility for PI status: http://uwmedicine.washington.edu/Research/GrantsAndFunding/GrantProposalProcessing/EligibilityInformation.htm 27 Are there any other special Issues/Questions for Department/Division review? SF424 - Full Departmental Review for 10-Day Draft or 5-Day Final 28 Did you do a Quality Control Review for the 10-day Final Requirements (or 5-day Final)? 29 Did you use the SF424 Common Problems & Solutions Checklist? 30 Did you use the 5-Day/10-Day Checklist?