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					                                                                                                                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?

				
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