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SF424 (R&R) Cover Component Page 1. SF424 (R&R) Cover Component Page 2. Component: SF424 (R&R) – A Cover Component. Similar to the PHS 398 Face Page Provides general information about the applicant organization, contact information for the PD/PI and AOR/SO

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SF424 (R&R)

Cover Component

Page 1

component sf424 r r a cover component
Component: SF424 (R&R) – A Cover Component
  • Similar to the PHS 398 Face Page
  • Provides general information about the applicant organization, contact information for the PD/PI and AOR/SO
  • Provides application-specific information (type, title etc.)
sf424 r r a cover component a few data issues
SF424 (R&R) - A Cover Component: A Few Data Issues
  • Item 1, Type of Submission
    • Pre-application - do not use unless specifically noted in FOA
    • Changed/Corrected Application—To be used only when correcting an application that failed system validations. This is NOT a resubmission (amendment).
  • Item 5, Applicant Information: This is for the applicant organization
sf424 r r a cover component a few data issues1
SF424 (R&R) - A Cover Component: A Few Data Issues
  • Item 5, Organizational DUNS: Must match DUNS in eRA Commons profile for Applicant Institution
    • AOR should verify DUNS in Commons profile before submission
    • Use Organizational DUNS (not any DUNS for a specific individual)
    • If Organization has multiple DUNS, pick a single one for NIH grants
sf424 r r a cover component a few data issues2
SF424 (R&R) - A Cover Component: A Few Data Issues
  • Item 8, Type of Application--New Terminology
    • New is the same
    • Resubmission is equivalent to a Revision (a revised or amended application)
    • Renewal is equivalent to a Competing Continuation
    • Continuation is equivalent to a Progress Report. For the purposes of NIH and other PHS agencies, the box for Continuation will not be used and should not be checked.
    • Revision is somewhat equivalent to a Competing Supplement
  • Terminology crosswalk provided in instructions
sf424 r r a cover component a few data issues3
SF424 (R&R) - A Cover Component: A Few Data Issues
  • Item 10, CFDA Number & Title
    • CFDA = Catalog of Federal Domestic Assistance
    • Fields are pre-filled based on the specific announcement
    • Fields may be blank for applications in response to an FOA that includes multiple CFDAs
    • When multiple CFDAs are listed in an announcement, a CFDA will be assigned by the eRA system once a specific Institute assignment is made
r r project performance site locations
R&R Project/Performance Site Locations
  • Equivalent to the PHS 398 Form Page 2 Performance Site section
  • Collects individual data for up to 8 locations
  • >8 locations – information is provided in an attachment (not structured data, just text)
  • Format for the >8 attachment available on SF424 (R&R) Forms Page:
r r other project information
R&R Other Project Information
  • Includes information on involvement of Human Subjects, Vertebrate Animals, Environmental Impact, Foreign Involvement
  • Includes separate PDF attachments for
    • Project Summary/Abstract (Description)
    • Project Narrative
      • NIH will use this upload for the “Relevance” section of the Abstract
      • Separate component developed for Research Plan
    • Bibliography & References (previously section G. Literature cited)
    • Facilities & Other Resources
    • Equipment Resources
r r senior key person
R&R Senior/Key Person

Version 1 & 2

  • Captures personal profile information on the PD/PI, Key Personnel, and Other Significant Contributors
  • Captures structured data for 8 individuals (PI and 7 others)
  • >8 information is provided in an attachment (not structured data, just text)
  • Format for the >8 attachment available on SF424 (R&R) Forms Page:
research related senior key person expanded
Research & Related Senior/Key Person (Expanded)

Version 2A

  • This is the only change in the forms for packages noted as Version 2A.
  • Captures structured data for up to 40 Senior/Key Persons.

Senior/Key Person Profile (Expanded)

Additional Senior/Key Person Form Attachments

version 2a research related senior key person expanded
Version 2A: Research & Related Senior/Key Person (Expanded)
  • Enter Senior/Key Person 1, click the Next Person button to display the fields for Profile – Senior/Key Person 2.
  • After the first 8 are entered (PI + 7 others), the Select to Extract the R&R Additional Senior/Key Person Form button becomes active.
  • Click to open a new page that allows up to four additional Senior/Key Person (PureEdge) components to be attached (each containing another 8 individuals).

Senior/Key Person Profile (Expanded)

Additional Senior/Key Person Form Attachments

Clicking on the “Select to Extract the R&R Additional Senior/Key Person Form” button produces the PureEdge form shown above.

r r senior key person sr key expanded
R&R Senior/Key Person & Sr./Key Expanded
  • Credential: Must enter the eRA Commons User Name - for the PD/PI, this is a mandatory field for NIH submissions. (Most common validation failure to date)
  • Biosketch is attached for each person
    • Same data requirements exist; however, page limits slightly change to just 4 pages
    • Eliminated the 2-page limit for subsections
r r senior key person sr key expanded1
R&R Senior/Key Person & Sr./Key Expanded
  • Attachment for Current & Pending Support (a.k.a. Other Support) is not required at submission unless specified in FOA.
  • For most applications, this will continue to be a Just-In-Time submission
r r budget sections a b
R&R Budget, Sections A & B

Personnel separated into 2 sections

  • A. Senior/Key Person
    • Allows 8 as named individuals & structured data
    • > 8 information is provided in an attachment (not structured data, just text)
    • Info for PD/PI must be entered, even if $ = 0
  • B. Other Personnel
    • Postdocs, Grad Students, Undergrads: captures # only
    • NIH will request more detail in Budget Justification
r r budget sections a b1
R&R Budget, Sections A & B
  • Change from Percent Effort to Person Months
    • Must enter either Calendar, Academic and/or Summer for all Senior/Key Persons
    • Incorporated this business process change throughout--See 4/2006 Interim change to PHS 398 & PHS 2590 Progress Report, including Budget Pages, Other Support documentation, Key Personnel Reports, etc.
    • FAQs and Calculator available at:

R&R Budget

Sections C - E

r r budget sections c d
R&R Budget, Sections C - D
  • C. Equipment
    • Allows itemization of up to 10
    • >10 equipment items: details provided in an attachment – total funds requested in attachment are entered in Line 11
  • D. Travel
    • R&R separates out Domestic & Foreign
    • This will not change any NIH policy/practice. We will continue to award as a single category.
r r budget section e
R&R Budget, Section E
  • E. Participant/Trainee Support Costs
    • Will not be used by NIH unless specifically noted in an announcement
    • Tuition Remission will continue to be included in Section F Other Direct Costs

R&R Budget

Sections F - K

r r budget sections f i
R&R Budget, Sections F - I
  • F. Other Direct Costs
    • Itemizes: Supplies, Publication Costs, Consultants, ADP/Computer Services, Consortium Costs, Equipment or Facility Rental/User Fees, Alterations & Renovations
    • Have included agency-specific instructions to use this section to also account for patient care costs & tuition remission
  • G. Total Direct Costs (A – F)
  • H. Indirect Costs
  • I. Total Costs (G+H)
r r budget sections j k
R&R Budget, Sections J - K
  • J. Fee
  • K. Budget Justification – a PDF text attachment
  • Next Period Button: At the top of the last budget page. All required data fields in this component must be entered before this button is available. This includes the Budget Justification.
r r budget general notes
R&R Budget, General Notes
  • Applicant prepares a detailed budget for every budget period
  • There is no summary budget page like the PHS 398 Form Page 5
  • A detailed Cumulative budget is system-generated
r r subaward budget attachment form
R&R Subaward Budget Attachment Form
  • Use for detailed budget from any consortium grantee only when the prime is submitting detailed budget
  • Do not use if prime is submitting Modular Budget
  • Consortium grantee(s) must have PureEdge installed
r r subaward budget attachment form1
R&R Subaward Budget Attachment Form
  • Allows up to 10 separate budget attachments—one for each consortium grantee
  • Applicant sends the R&R budget component to the consortium grantee for completion; it is returned to the applicant; applicant attaches it in this component
  • Applicant still needs to include the total costs for all consortiums in their own detailed budget, Section F.5
sbir sttr information
SBIR/STTR Information
  • Includes eligibility questions answered by both SBIR & STTR applicants as well as separate sections for SBIR & STTR-specific questions
  • Includes Commercialization Plan as PDF Attachment
agency specific components a k a phs 398 components
Agency-specific Components (a.k.a. PHS 398 Components)
  • PHS 398 Cover Letter File
  • PHS 398 Cover Page Supplement (supplements the R&R Cover)
  • PHS 398 Modular Budget
  • PHS 398 Research Plan
  • PHS 398 Checklist
phs 398 cover letter
PHS 398 Cover Letter
  • Provides a text attachment for a cover letter
  • Instructions to applicant remain the same as in the PHS 398
  • Is stored separately in the eRA Grant Folder, not as a part of the main application grant image
phs 398 cover letter1
PHS 398 Cover Letter
  • Is seen only by appropriate NIH staff; not peer reviewers
  • Required when submitting a Changed/Corrected Application after submission date
  • If revising the cover letter for a Changed/Corrected application, include all previously submitted letter text

PHS 398

Cover Page Supplement

Page 1


PHS 398

Cover Page Supplement

Page 2

phs 398 cover page supplement
PHS 398 Cover Page Supplement
  • Companion form to the (R&R) Cover Component
  • For the PI, includes New Investigator Code & Degree fields (Note, PD/PI info at the top is pre-filled. Provided here for reference only.)
  • Includes Clinical Trial & Phase-III defined clinical trial indicators
phs 398 cover page supplement1
PHS 398 Cover Page Supplement
  • For the Business Official Contact, includes complete contact information (title & mailing address missing from section 5 of the R&R Cover)
  • Includes Human Embryonic Stem Cells section
phs 398 modular budget
PHS 398 Modular Budget
  • Provides data entry for each budget period
    • A. Direct Costs
      • DC less consortium F&A
      • Consortium F&A
      • Total DC
    • B. Indirect Costs Calculation section
    • C. Total Costs (A + B)
  • Cumulative Budget is system-generated
  • Budget Justification: PDF text attachments for Personnel, Consortium and Other
phs 398 research plan
PHS 398 Research Plan
  • Separate PDF attachments for each section (designed to maximize benefits of system validations & to accommodate bookmarking of the image)
  • Same formatting requirements in the PHS 398 continue here – margins, page limits, etc.
phs 398 research plan1
PHS 398 Research Plan
  • Appendix Material
    • Allows up to 10 separate attachments
    • Will be stored separately in the eRA Grant Folder, not as a part of the main application grant image
    • Will be accessible to appropriate NIH staff and peer reviewers
    • See recent changes in Appendix Material, Guide Notice NOT-OD-07-018:

phs 398 research plan helpful hints
PHS 398 Research PlanHelpful Hints
  • Create as a single document using any word processing software. Separate at the end before uploading.
  • Do not include headers or footers
  • Include a section heading as part of the text (i.e., Specific Aims, Background & Significance)
  • Avoid 2-column format for text (difficult for reviewers to read electronically)

PHS 398

Checklist Page 1


PHS 398


Page 2

phs 398 checklist
PHS 398 Checklist
  • Captures additional information currently in the PHS 398 Checklist
    • Change of PI
    • Change of Grantee Institution
    • Inventions & Patents
    • Program Income
    • PDF text upload for an Assurances/Certifications explanation

Be sure to “Save” the completed application package to your local hard drive.

Be sure all Mandatory Documents are completed and moved to the submission list.

Refer to the agency-specific instructions for which Optional Documents are required.


The Check Package for Errors button will ONLY show errors.

You must Submit the application for it to go through the NIH validation process. NIH errors will be shown in the eRA Commons.


The AOR submits the application to Registration with and eRA Commons must be complete to successfully submit.

the aor signs submits
The AOR Signs & Submits

Only the AOR may sign and submit the application on behalf of the organization.

submit application
Submit Application

Scroll to the bottom of the confirmation screen to receive your Tracking Number and Date/Time Stamp.

Applications are due 5 p.m. local time of the applicant org. on day of submission deadline.

expected turnaround times
Expected Turnaround Times
  • response to an application submission – generally within hours, up to 2 weekdays
  • eRA Commons response to an application submission – generally within hours, up to 1 weekday
  • AOR/SO and PI review of application image – within 2 weekdays of availability in eRA Commons
grants gov validations Validations
  • All mandatory fields have been completed
  • All mandatory documents have been completed and moved to the Completed Documents box (Submission List)
  • Checks the DUNS #
  • Checks date format, email address format, and scans for viruses
email notifications grants gov
Email Notifications –
  • AOR receives emails
  • Submission Receipt – app received and is being validated
  • Rejection Notice – app is not validated because of errors
  • Submission Validation Receipt – app has been validated
  • Grantor Agency Retrieval Receipt – app has been retrieved by the agency
  • Agency Tracking Number – app has been assigned a tracking number by the grantor agency
check status in era commons
Check Status in eRA Commons

After submission, the eRA Commons system will:

  • Apply the NIH validations
  • Assemble the grant image
  • Generate a Table of Contents
  • Include headers (PI name) & footers (page numbers) on all pages
era commons validations
eRA Commons Validations
  • The eRA Commons checks the application against NIH business rules
    • Detailed check against the instructions in the application guide
    • Validates against the instructions in the specific FOA
    • For a detailed list of NIH validations:
email notifications era commons
Email Notifications - eRA Commons

AOR/SO and PI receive emails

check status in commons pd pi
Check Status in Commons – PD/PI

1. Click the Status tab to view the PI Status.

2. Find application that shows “eSubmission Error” in the Application Status column.

3. Follow the link on the Application ID to see specific Error/Warning messages.

errors warnings
Errors & Warnings
  • Errors must be addressed before the application can move on to Referral.
  • Warnings may be fixed at the applicant’s discretion but do not require action for the application to move on.
  • If the PI corrects any Warnings or Errors, they should contact the AOR/SO. The AOR/SO must submit the entire changed/corrected application again through
check status in commons aor so
Check Status in Commons AOR/SO

Search screen allows the AOR/SO to narrow the list of results. Click Show Prior eSubmission Errors to view application errors.

check assembled application
Check Assembled Application

View the Application Image by clicking on the Application ID

check assembled application1
Check Assembled Application

Next, click on the e-Application link to view the image.


Application Image

Be sure to review the entire application carefully!

Your application is not considered received by NIH until you see the application image in the eRA Commons.

check assembled application2
Check Assembled Application

The AOR/SO has a 2 weekday viewing window to reject an application that has system formatting errors. If the application is not rejected within the 2 weekdays it will automatically proceed to Receipt & Referral.


Electronic Submission Information:


Sample Document: “eRA Assembly of the SF424 (R&R) Application”

  • Includes a sample Table of Contents, and;
  • a chart cross-referencing the location in the forms components for each piece of the grant image.


Application Guide(s), Sample Application Packages, Additional Format Pages found at:

training tools
Training Tools


  • eRA Commons Registration – Automated Training Demo

Working with the Application Form

  • A “Walk Through the SF424 (R&R)” - Video

  • “Completing an Application Package” – Automated Demo

training tools1
Training Tools

Learning the Electronic Submission Process

  • Interacting Electronically with NIH
    • Part I & II – Videos

Hands-On Learning

  • Creating a Commons Demo Account – Learn the system and get familiar with the forms BEFORE you submit!
    • Check the status of sample applications in various stages of submission
    • View errors & warnings
    • See application images


training tools2
Training Tools


  • Archive of this training session will be available in streaming video and downloadable formats:

Review the Application Guides & Sample Application Packages

  • SF424 (R&R) application guides, sample application packages and related resources
training tools3
Training Tools
  • Registration in the eRA Commons (Demo)
  •’s “How to Complete An Application Package” Demo
  • SF424 (R&R) application guides, sample application packages and related resources
other tools
Other Tools
  • Frequently Asked Questions
  • Electronic Submission Transition Timeline
  • Avoiding Common Errors
  • Communications and Outreach Resources (brochures, presentations, drop-in newsletter articles)
finding help grants gov
Finding Help:

Registration & Submission

If help is needed with the registration process or with technical aspects of submitting through the system or PureEdge:

  • Check the resources available on the website ( )
  • help is also provided by the following office: Customer Support

Contact Center Phone: 1-800-518-4726

Business Hours M-F 7 a.m.- 9 p.m. EST

Email [email protected]

finding help era commons
Finding Help: eRA Commons

Registration & Validations Processes

If help is needed with eRA Commons registration or validations after submission through

  • Check the eRA Commons website:

  • eRA Commons Help Desk

Phone: 301-402-7469

Toll Free: 866-504-9552

TTY: 301-451-5939

Business hours M-F, 7am-8pm EST

Web support:

Use the web support! Enter your own help ticket!

finding help application preparation
Finding Help: Application Preparation
  • Review the Application Instruction Guide(s)
  • Contact Grants Info:

Grants Info

Phone: 301-435-0714

TTY: 301-451-0088

Email [email protected]

finding help
Finding Help

All of these resources and forms are found on the Electronic Submission website at:

nih electronic submission panel of experts
NIH Electronic SubmissionPanel of Experts

Megan Columbus, NIH Program Manager for Electronic Submission of Grant Applications

Suzanne Fisher, Director, Division of Receipt and Referral, Center for Scientific Review

Jennifer Flach, eSubmission Technical Development Manager

Scarlett Gibb, Manager, eRA Help Desk

Marcia Hahn, Director, Division of Grants Policy, Office of Policy for Extramural Research Administration

lessons learned
Lessons Learned
  • Work with your Office of Sponsored Research to determine your internal process flow (review, approval, document sharing etc.)
  • Register now to be prepared
    • All PIs and Fellows need to be registered
    • Can take 2 – 4 weeks; up to 8 weeks for newly established organizations
  • Read and follow all instructions in the FOA & the application package instructions!
lessons learned1
Lessons Learned
  • All non-PureEdge attachments MUST be in PDF format


  • Use special characters in file names
  • Write-protect the PDF file; you should disable all security features in the PDF
  • Scan text attachments. Generate using word processing package and then convert to PDF.

For more information:

lessons learned2
Lessons Learned
  • Organizational DUNS in the application must match DUNS in the eRA Commons profile for the Applicant Institution
  • The “credential e.g., agency login” field on the R&R Senior/Key Person Profile component MUST contain the PI’s eRA Commons User ID for NIH to process the application submission
lessons learned3
Lessons Learned
  • When submitting a Changed/Corrected application, make sure you check the “Changed/Corrected” box in Field #1 Type of Submission
  • Allow extra time for corrections
lessons learned4
Lessons Learned
  • Take time to closely review the grant image within 2 weekdays of availability
    • Ensure ALL PDFs are attached
    • Check each one for proper conversion & formatting
  • New Process…but It’s Still About the Science!Our philosophy and policy has not changed!
how to submit questions
Videocast Audience

Submit questions online using the Live Event Feedback Form or;

Send an email to the NIH Electronic Submission mailbox

[email protected]

How To Submit Questions
  • Live Audience
    • Index cards in your folder
    • One question per card please!
collecting user feedback
Collecting User Feedback
  • NIH has established an email address to collect comments and/or suggestions from users:

[email protected]

  • Share specific suggestions for improvement
  • Share what resources are most useful (Targeted Emails, FAQs, Avoiding Common Errors, Commons Alerts, Training Tools etc.)