NOT-OD-10-052: Clarification of SF424 (R&R) Application Instructions for Resubmissions of Revision and Renewal Applications

Clarification of SF424 (R&R) Application Instructions for Resubmissions of Revision and Renewal Applications

Notice Number: NOT-OD-10-052

Update: The following update relating to this announcement has been issued:

September 29, 2010 - See Notice NOT-OD-11-008 Updated Electronic Application Forms Required for F, K, T and D Submissions with Due Dates of January 25, 2011 and Beyond.

Key Dates
Release Date: January 22, 2010

Issued by
National Institutes of Health (NIH), (http://www.nih.gov)

Purpose

This notice clarifies instructions for institutions submitting grant applications with application types that qualify as both resubmissions (A1 or A2) and renewals (type 2) or as both resubmissions and revisions.

Background

A resubmission is an application that has been previously submitted to NIH for consideration, but was not funded and is now being resubmitted for further consideration. A renewal requests additional funding for a period subsequent to that provided by a previous award and competes with all other applications. A revision proposes a change in 1) the Federal government’s financial obligations or contingent liability from an existing organization, or 2) any other changes in the terms and conditions of the existing award, including requests for additional specific aims.

Currently, applicants must make a single selection in the Type of Application field (Item 8) of the SF424 (R&R) Cover component, even though some applications qualify as more than one application type. For example, the forms will not allow a resubmission application to also be considered as a renewal. Since the choice of application type affects which form fields are available to applicants for inserting information, selecting only one application type will not allow the submission of all necessary information for the other application type. So even though many renewal applications are required to include additional pieces of information (such as a progress report, inclusion enrollment report, and/or progress report publication list), they may not be available for collection on some resubmission applications.

Instructions

Until the actual forms can be revised to fix these issues, NIH is providing interim instructions. Consistent with existing practice, institutions submitting revision or renewal applications that are also resubmissions (A1, or A2 if allowed, see http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-003.html) are instructed to select Resubmission in the Type of Application field (Item 8) of the SF424 (R&R) Cover component. However, for those that are not able to provide required information on the forms due to selecting the resubmission application type, the following special instructions should be followed:

Any required Inventions and Patents information normally provided in Item 3 of the PHS398 Checklist component should instead be provided on the HHS568 Final Invention Statement (http://grants.nih.gov/grants/forms.htm) and submitted as part of the standard closeout process of the parent award (as described in NIH Guide Notice NOT-OD-09-128, available at http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-128.html). For those applications subsequently selected for funding, invention and patent information will continue to be reported on subsequent progress reports.

Additionally,

Institutional Training (T) Grants: The Progress Report required in Item 6 of the PHS398 Research Training Program Plan should be saved as a single pdf file titled Progress_Report.pdf and attached in Item 12 (Other Attachments) of the SF424 (R&R) Other Project Information component.
Career Development Award (K) Grants: The Inclusion Enrollment Report required in Item 2.12 of the PHS 398 Career Development Supplemental Form component and Progress Report Publication List required in Item 2.13 should be saved as individual pdf files titled Inclusion_Enrollment_Report.pdf and Progress_Report_Publication_List.pdf and attached in Item 12 (Other Attachments) of the SF424 (R&R) Other Project Information component. Please note that renewals to individual career development awards are not common.
Individual Fellowship (F) Grants: The Inclusion Enrollment Report required in the PHS Fellowship Supplemental Form component (Item 4) and Progress Report Publication List (Item 5) should be saved as individual pdf files titled Inclusion_Enrollment_Report.pdf and Progress_Report_Publication_List.pdf and attached in Item 12 (Other Attachments) of the SF424 (R&R) Other Project Information component. Please note that renewals to individual fellowship awards are not common.
Research Project Grants: No additional special instructions required.

Updates reflecting these new instructions will be made in the near future to the SF424 (R&R) Application Guides (available at http://grants.nih.gov/grants/funding/424/index.htm).

Inquiries

Questions should be directed to grantsinfo@od.nih.gov.