The Level of Effort and Max Funding Worksheet provided by DOE is prepopulated with formulas so that it calculates the percentage of work performed by the small business and the work performed by any other subcontractors, including any RIs, to ensure that the required percentages are met by the small business organization.   

In the case of an SBIR award, a minimum of 2/3 or 67% of the research or analytical effort must be carried out by the small business concern. 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).  

In both STTR Phase I and Phase II, at least 40% of the work must be performed by the small business concern 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, F&A/indirect, and fee) attributable to each party.  

Note that certain fields in the worksheet are prepopulated with formulas to calculate the percentage of effort.  Do not change these formulas.  When saving the form for upload, save it as an xls file and do NOT convert it to a pdf.  The worksheet should be uploaded to field 12 “Other Attachments” of the R&R Other Project Information Form.   

Level of Effort and Max Funding Worksheet Instructions 

Field 

Instructions 

Program 

From the dropdown list, select the appropriate program. 

Phase 

From the dropdown list, select the appropriate phase. 

A. Total Requested Funds 

Enter the total funds requested from Section K of the R&R Budget Form. 

B. Research Institution Subaward Amount  

  • If SBIR selected at Program field, this field is not applicable.  Proceed to Field C. 
  • If STTR or “Both” at Program level, this field is available.  Indicate the total amount entered at Section F.5. of the R&R Budget Form.   

C. Funding for Consultants & Other Subawards (NOT including Research Institution) 

  • If STTR or “Both” selected, enter the total amount of funding for all Consultants and Other Subawards, excluding funding for the Research Institution.  This total should be the sum of F.3. + F.5. + F.8. + F.9. + F.10. from the R&R Budget form. 
  • If SBIR selected, the total amount of funding for all Consultants and Other Subawards.  This total should be the sum of F.3. + F.5. + F.8. + F.9. + F.10. from the R&R Budget form. 

Small Business level of effort 

  • This field is pre-populated with a formula and will calculate percentage the based on the numbers entered in the previous fields. 
  • If the Requirement is met, the field will display “Yes.” 
  • If the Requirement is not met, the field will display “No.” 

Research Institution level of effort 

  • This field is pre-populated with a formula and will calculate percentage the based on the numbers entered in the previous fields. 
  • If the Requirement is met, the field will display “Yes.” 
  • If the Requirement is not met, the field will display “No.” 

Funds Requested for TABA Vendor 

  • If the applicant has chosen to use the DOE preferred TABA vendor, do NOT enter an amount in this field. 
  • If the applicant has chosen to use their own TABA vendor, enter the amount in this field.  Please note that the maximum allotted is $6,500. 

Maximum Award Amount for Topic 

Enter the maximum award amount allowed for the topic, which is listed in the Topics document under the Topic heading.  The Total Requested Funds (from field K of the R&R Budget Form) should not exceed the Maximum Award Amount plus TABA vendor funds.   


 

Blank & Sample Forms:

  • A Blank Level of Effort Worksheet Template
  • A Sample Level of Effort Worksheet:



  • No labels

Privacy Notice - Vulnerability Disclosure Program