University Research Services

University Research Services
University Research Services

National Institutes of Health - NIH Applications where Queen's is a Sub-recipient

Jump To: Quick Intro | Important Information | Required Documents | Submission Process | Contact Info

Quick Intro


Important Information

  • What does the term 'sub-recipient' mean?: Queen's is a 'sub-recipient' on an NIH application in cases where the proposal is being led by another university, but some NIH funds will flow to Queen's if the project is funded.
  • Institutional Requirements: Queen's already meets the institutional requirements for participating in NIH grants (e.g., Queen's has a DUNS number, EIN number, and is registered in SAM). Queen's researchers DO NOT have to register as individuals in any of these systems.
  • Contact URS EARLY: It's recommended that researcher contact URS at least 3-weeks in advance of the NIH deadline. Jennifer Robinson (, can answer any questions researchers may have about NIH program requirements, will work with PIs to make sure that all the required documents get completed, and will collaborate with the lead university's research office as needed.
  • Budget Requirements: The lead university will ask the Queen's PI to create a "sub-recipient budget". The sub-recipient budget must include funds for both direct costs of research AND indirect costs (i.e., funding to support shared university services). The NIH indirect cost rate is 8% of the total direct costs.
    • For example --  $21,000 (MSc stipend) + $100,000 (consumables) + $4,000 (travel) = $125,000 (total direct costs). Indirect costs = 8% of the total direct costs = $10,000. The TOTAL budget request = $135,000.


Documents Required

Queen's faculty members participating in NIH grants being led by other universities are typically required to provide several documents to the lead institution. Some documents are completed by University Research Services, whereas others must be completed by the Queen's PI.



Completed by Researcher?

Completed by URS?

 URS Signature Required?

eRA Commons ID If a Queen's researcher has never applied to NIH before, University Research Services will create an eRA Commons ID for them. The eRA Commons ID gets placed in the applicant's NIH Biosketch (CV).   X  
Sub-recipient Commitment form Every university has its own template for a sub-recipient commitment form. These forms collect information about Queen's and its financial policies. Normally, the research office of the lead university will email a copy to the Queen's PI. The Queen's PI must then email Jennifer Robinson ( this form so that URS can complete the required information & sign-off.   X X
PHS 398 Face Page
(PDF, 413 KB)
This form is required for some NIH programs. It requires some basic information about the project (title, total budget request) and some Queen's institutional information (e.g., federal wide assurance number). The Queen's PI should complete the basic parts of the document (e.g., project tile) and then email the form to Jennifer Robinson so that URS can complete it & sign-off. X X X

Financial Conflict of Interest Form - MEMO Document (opens new window)
(PDF, 186 KB)

The memo document must be completed to comply with NIH financial conflict of interest policies (summarized in the MEMO document). On pages 12 & 13 of the document, cross out any statements that DO NOT apply and sign page 13. This form must be sent to Jennifer Robinson BEFORE the NIH grant is submitted. The form will be kept on file at Queen's. X    
Financial Conflict of Interest Form - Consent & Disclosure Form (opens new window)
(PDF, 159 KB)
The consent & disclosure form must be completed to comply with NIH financial conflict of interest policies. Complete all relevant sections and then return the completed form to Jennifer Robinson BEFORE the NIH grant is submitted. The form will be kept on file at Queen's. X    
Sub-recipient budget & budget justification The Queen's PI must draft a sub-recipient budget and budget justification. Some universities will ask the Queen's PI to complete an NIH R&R budget form (instructions here), whereas others will accept a budget in Word or Excel format. Remember: the budget must include the 8% indirect cost rate for Queen's. X    
Statement of Work A short summary of the research that will be conducted at Queen's or using Queen's resources. Generally < 1 page. X    
NIH Biosketch A short CV used for NIH programs. Researchers must use the required NIH template (Word, 31 KB). There are detailed instructions online, as well as a sample biosketch (Word, 42 KB). X    
Facilities & Resources Description This document describes the research environment at Queen's that will be used in the proposal (lab facilities, office space, etc.). The description can also include affiliated-hospital spaces, if applicable. Generally < 1 page. X    
Equipment Description This document summarizes the key pieces of Queen's equipment that will be used in the proposal (lab equipment, computer equipment, etc.). Generally < 1 page. X    


Submission Process

As summarized above, there are several documents that URS is required to sign-off on when a Queen's PI is involved in an NIH grant. Before URS can sign-off, please:

  1. Complete the NIH financial conflict of interest forms and email scanned copies to Jennifer Robinson (
  2. Submit a TRAQ DSS for the funding opportunity. The TRAQ must contain: i) the statement of work; ii) the Queen's budget and budget justification, and; iii) the Hospital impact form (PDF, 805 KB) (if the research is Hospital-based (PDF, 541 KB)). A copy of the full application being led by the US university is NOT required. The TRAQ DSS should be submitted at least 5-business days in advance of the NIH deadline, or 15-business days in advance of the deadline if the research is Hospital-based.


Contact Information

URS Contact:

Jennifer Robinson, Ph.D.
Research Projects Advisor (Health Sciences)
University Research Services / Faculty of Health Sciences

Phone: 613-533-6000 ext. 32944


Last Updated: August 2, 2018