G.310 - R&R Subaward Budget Attachment(s) Form
Who should use the R&R Subaward Budget Attachment(s) Form?
The R&R Subaward Budget Attachment(s) Form is required if you have a subaward/consortium and are using the G.300 - R&R Budget Form.
Do not use this form if you are using the PHS Modular Budget Form or if you do not have a subaward/consortium.
Each consortium grantee organization that performs a substantive portion of the project must complete an R&R Subaward Budget Attachment, including the Budget Justification section.
Consortium/Contractual F&A Costs:
Additional Instructions for SBIR/STTR:
These instructions on Consortium/Contractual F&A Costs do not apply.
NIH policy provides for the exclusion of consortium/contractual F&A costs when determining if an applicant is in compliance with a direct cost limitation. However, you must include the full cost of subaward/consortium in the Subawards/Consortium Costs field (G.300 - R&R Budget Form, Section F. Other Direct Costs, Question 5). If a subaward/consortium is not performing a substantive portion of the project, they do not need to complete an R&R Subaward Budget Form; however, their costs must be included in the prime grantee's R&R Budget Form. All F&A costs count toward the direct cost limit.
Refer to the NIH Grants Policy Statement, Section 184.108.40.206: Applications That Include Consortium/Contractual F&A Costs for policy related to the exclusion of consortium/subaward amounts in determining whether an applicant is in compliance with a direct cost limitation.
Applicants should document how their budget falls below the direct cost limit in their Budget Justification on the R&R Subaward Budget Form.
Note on Project Roles for Consortium Lead Investigators:
It is appropriate and expected that someone may serve as the consortium lead investigator responsible for ensuring proper conduct of the project or program at each subaward or consortium site.
Unless you are submitting your application under the multiple PD/PI policy, consortium lead investigators are NOT considered PD/PIs for the "Project Role" field. This individual should be assigned some other project role on the G.300 - R&R Budget Form and in the G.240 - R&R Senior/Key Person Profile (Expanded) Form. However, the project role of "PD/PI" should be used for a consortium lead investigator if they also serve as PD/PI for the entire application under the multiple PD/PI policy.
Using the R&R Subaward Budget Attachment(s) Form:
The location of the R&R Subaward Budget Attachment(s) Form may vary with the type of submission (e.g., under an "Optional Forms" tab).
The steps needed to include a subaward budget in your application vary by submission method. If submitting using the Grants.gov Workspace, the prime applicant can extract a copy of the R&R Budget Form from the R&R Subaward Budget Attachment(s) Form and send the extracted file to the consortium for completion. After the consortium completes the R&R Budget Form, following the instructions here and in G.300 - R&R Budget Form, the prime grantee must then upload the R&R Budget Form to the R&R Subaward Budget Attachment(s) Form.
For all submission methods, the R&R Budget Form with a "Budget Type" of Subaward/Consortium is used to collect subaward budget data. However, ASSIST and other system-to-system solutions may present a different interface than the R&R Subaward Budget Attachment Form shown here.
This form accommodates a set number of separate subaward budgets. If you need to add more subaward budgets than the form allows, include the remaining budgets as part of Budget Justification in G.300 - R&R Budget Form.
Regardless of how many subaward budgets you include, the sum of all subaward budgets (those attached within the R&R Subaward Budget Attachment(s) Form and those provided as part of the project budget's Budget Justification), must be included in G.300 - R&R Budget Form, Section F. Other Direct Costs, Question 5. Subawards/Consortium/Contractual Costs of the project budget.
All attachments, including all Subaward Budget Forms and Budget Justifications, must be PDF files. The R&R Budget Forms are already PDFs when extracted. Do not alter the format. Use of hyperlinks and URLs in this section is not allowed unless specified in the funding opportunity announcement.
On this R&R Subaward Budget Attachment(s) Form, you will attach the R&R Subaward Budget files for your application. Each consortium should complete the Subaward Budget(s) in accordance with the G.300 - R&R Budget Form instructions.
Submitting Subaward Budgets that are not Active for all Periods of the Prime Grant:
The R&R Budget Forms do not allow for "empty" budget periods.
Subaward/consortiums organizations should complete all budget periods in the R&R Subaward Budget Form for their subaward budgets, aligning the budget period numbers, start dates, and end dates with the budget periods of the prime grant.
Example: The prime fills out an R&R Budget Form with the following periods:
- period 1 - Jan 1, 2017 - Dec 31, 2017
- period 2 - Jan 1, 2018 - Dec 31, 2018
- period 3 - Jan 1, 2019 - Dec 31, 2019
- period 4 - Jan 1, 2020 - Dec 31, 2020
- period 5 - Jan 1, 2021 - Dec 31, 2021
The budget period numbers and dates should be the same in all the R&R Subaward Budget Forms included in the R&R Subaward Budget Attachment(s) Form.
The R&R Subaward Budget Forms include several required fields which must be completed (even for inactive periods) in order to successfully submit the application. Provide the following information for inactive budget periods in subaward/consortium budgets:
- Unique Entity Identifier
- Budget Type = Subaward/Consortium
- Budget Period Start/End Dates (align with budget periods and dates of the prime budget)
- In Question "A: Senior/Key Person," provide a single entry including the following:
- PD/PI or subaward lead First and Last names
- Project Role (may default to PD/PI; can be adjusted as needed)
- Calendar Months = .01 (smallest amount effort allowed in the field)
- Requested Salary = $0
- Fringe Benefits = $0
- Explanation of the inactive budget periods in the Budget Justification of the subaward/consortium's R&R Subaward Budget Form
Additional Instructions for SBIR/STTR:
SBIR Work Requirements
Phase I and Phase II: The basis for determining the percentage of work to be performed by each of the cooperative parties will be the total of the requested costs (direct and F&A/indirect, and fee) attributable to each party, unless otherwise described and justified in G.400 - PHS 398 Research Plan Form, Consortium/Contractual Arrangements. Deviations from these requirements may be considered on a case by case basis. Please contact a program officer for additional information. Deviations must be approved in writing by the Grants Management Officer (GMO) after consultation with the agency SBIR Program Manager/Coordinator.
Phase I: Normally, a minimum of two-thirds or 67% of the research or analytical effort must be carried out by the small business. The total amount of all consultant and contractual arrangements to third parties for portions of the scientific and technical effort generally may not exceed 33% of the total amount requested (direct, F&A/indirect, and fee).
Phase II and Phase IIB: Normally, a minimum of one-half or 50% of the research or analytical effort must be carried out by the small business. The total amount of all consultant and contractual arrangements to third parties for portions of the scientific and technical effort generally may not exceed 50% of the total Phase II amount requested (direct and F&A/indirect, and fee).
Commercialization Readiness Pilot (CRP): A small business may subcontract a substantial portion of its CRP award to third parties through consultant and contractual arrangements. The small business must perform a substantive role in the conduct of the planned research and not merely serve as a conduit of funds to another party or parties. This includes being able to provide appropriate oversight of all scientific, programmatic, financial, and administrative matters related to the grant.
STTR Work Requirements
Phase I and Phase II: At least 40% of the work must be performed by the small business and at least 30% of the work must be performed by the single partnering research institution. The basis for determining the percentage of work to be performed by each of the cooperative parties will be the total of the requested costs (direct and F&A/indirect, and fee) attributable to each party, unless otherwise described and justified in G.400 - PHS 398 Research Plan Form, Consortium/Contractual Arrangements.
The single "partnering" research institution must provide a letter to the applicant small business certifying that at least 30% of the work of the STTR project will be performed by the research institution. The small business will include this letter as an attachment upload in G.400 - PHS 398 Research Plan Form, Consortium/Contractual Arrangements.
In addition, an SBC must negotiate a written agreement between the small business and the research institution allocating intellectual property rights to carry out follow-on research, development, or commercialization. See the STTR Model Agreement for the Allocation of Rights. This agreement is required to receive support under the STTR program but is NOT submitted with the application. A copy of the Agreement must be furnished upon request of the NIH awarding component.
SBIR / STTR
Contract Research Organizations (CRO) or Fee for Service providers: CROs or Fee for Service providers not operating in the capacity as a subaward or subrecipient may not be calculated in the total amount of all consultant and contractual arrangements to third parties for portions of the scientific and technical effort.
A subaward is an award provided by the small business to a subrecipient for that subrecipient to carry out part of the SBIR or STTR received by the small business. The subrecipient:
- Has responsibility for programmatic decision making;
- Contributes to the scholarly/scientific conduct of the project as described in the statement of work for the prime award;
- Uses the funding to carry out a program for a public purpose specified in the authorizing statute, as compared to providing goods or services for the benefit of the pass-through entity;
- Requires considerable discretionary judgment and the unique expertise of the subrecipient in the performance of the work;
- Investigator would be considered as a co-author of publications resulting from the work performed under the prime award;
- Performs work that involves human subjects or animal studies;
A consultant may provide advisory services related to an award.
A CRO or Fee for Service provider provides goods or services within normal business operations and operates in a competitive environment providing similar goods and services to a variety of customers. The contractor organization:
- Provides a routine service (e.g., equipment fabrication or repair, data processing, performing routine analytical testing services, etc.);
- Provides the goods or services as part of its normal business operations;
- Operates in a competitive environment (i.e., competes with others who can provide a similar service);
- Provides similar goods or services to many different purchasers;
Federal Laboratories: A small business may subcontract a portion of its SBIR or STTR award to a federal laboratory within the limits above. A federal laboratory, as defined in 15 U.S.C. § 3703, means any laboratory, any federally funded research and development center, or any center established under 15 U.S.C. §§ 3705 & 3707 that is owned, leased, or otherwise used by a federal agency and funded by the Federal Government, whether operated by the Government or by a contractor. A small business may subcontract a portion of its STTR award to a Federally Funded Research and Development Center (FFRDC), either in its capacity as the Research Institution or as a participant in the STTR project in another capacity. However, STTR funds may not be used to pay for laboratory resources of non-FFRDCs, and no STTR funds may be used to pay for subcontracting any portion of the STTR award back to the issuing agency or to any other federal government unit unless a waiver is granted by the Small Business Administration.
A fee cannot be entered for a subaward/consortium budget. A fee is allowable only for the SBC budget page.
STTR only: If more than one subaward is included in the STTR application, identify the single, partnering research institution (RI) on the RI Subaward Budget Justification page.