R&R Subaward Budget Attachment(s) Overview

R&R Subaward Budget Attachment(s) Overview 

In certain instances, as described below, it will be necessary to complete a subaward budget to accompany the primary organization’s R&R Budget.  The subaward budget can be completed either as a pdf and uploaded or it can be completed as a webform.  But in either case, the subaward budget includes the same categories and follows the same logic as the R&R Budget form.  In addition to the subaward budget, an accompanying Budget Justification Form, separate from the form completed by the applicant organization, must also be completed by the subawardee.  Instructions for completing the forms and adding them to the workspace are included below.   

Special Instructions for Preparing Applications with a Subaward/Consortium 

SBIR 

In an SBIR Phase I, a minimum of two-thirds 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 an SBIR Phase II, a minimum of one-half or 50% of the research or analytical effort must be carried out by the small business concern. The total amount of 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, F&A/indirect, and fee).  

The basis for determining the percentage of work to be performed by each of the cooperative parties in Phase I or Phase II will be the total of the requested costs attributable to each party.  

STTR 

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.  

In addition, a small business concern 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. This agreement is required to receive support under the STTR program but is NOT required to be submitted with the application. A copy of the Agreement must be furnished upon request of the DOE Contract Specialist.  

A small business concern 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 federal laboratory resources other than 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.