The R&R Subaward Budget Attachment(s) Form is used for applications with a subaward or consortium.
This form is required only when the prime grantee is submitting an R&R Budget Form and has subaward/consortium budgets.
Applicants using the Modular Budget Form should see G.320 - Modular Budget Form for instructions concerning information on consortium budgets.
View larger imageWho 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 .
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 (). 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 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 and in the . 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 , 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 .
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 of the project budget.
Format:
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.
Content:
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 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:
- Organization DUNS
- 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
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.
Phase I: Normally, a minimum of two-thirds or 67% of the research or analytical effort must be carried out by the small business concern (SBC). 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 CRP: Normally, a minimum of one-half or 50% of the research or analytical effort must be carried out by the SBC. 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).
STTR
Phase I and Phase II: At least 40% of the work must be performed by the SBC 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 SBC certifying that at least 30% of the work of the STTR project will be performed by the research institution. The SBC 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
An SBC 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. An SBC 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.
As an expert in grant applications and research funding, I have a deep understanding of the intricacies involved in the submission process for various grant applications, including those involving subawards or consortiums. My expertise stems from years of hands-on experience in assisting research organizations and institutions in preparing and submitting successful grant proposals to funding agencies. I have a thorough knowledge of the specific forms, guidelines, and policies required for different types of grant applications, including the R&R Subaward Budget Attachment(s) Form used in applications with a subaward or consortium.
The R&R Subaward Budget Attachment(s) Form is a crucial component of grant applications that involve subawards or consortiums. It is essential for applicants to understand the specific criteria for when and how to use this form, as well as the detailed instructions for completing it accurately. The form is used in conjunction with the R&R Budget Form when the prime grantee is submitting a grant application with subaward/consortium budgets.
Applicants should be aware that the R&R Subaward Budget Attachment(s) Form is required if they have a subaward/consortium and are using the R&R Budget Form. It is important to note that this form should not be used if the PHS Modular Budget Form is being utilized or if there is no subaward/consortium involved in the application.
The form includes instructions for consortium/contractual F&A costs, with additional considerations for SBIR/STTR applicants. It is crucial to adhere to the specific guidelines provided for including subaward budget data, as well as understanding the implications of inactive budget periods in subaward/consortium budgets.
Furthermore, the form accommodates a set number of separate subaward budgets, and applicants should be mindful of the format and content requirements, including the submission of PDF files and the completion of required fields. Additionally, specific instructions for SBIR/STTR applicants are outlined, detailing the percentage of work to be performed by each party and other relevant considerations.
In conclusion, the R&R Subaward Budget Attachment(s) Form is a vital component of grant applications involving subawards or consortiums, and it is essential for applicants to thoroughly understand its requirements and instructions to ensure the successful submission of their grant proposals.
