National Institutes of Health - Queen's as a Sub-recipient

Important Information

  • What does the term 'sub-recipient' mean?: Queen's is a sub-recipient on an NIH application when the proposal is being led by another university, but some NIH funds will flow to Queen's if the project is funded. This is referred to as a subaward.
  • Institutional Requirements: Queen's meets the institutional requirements for participating in NIH grants (e.g., Queen's is registered in SAM and has DUNS, UEI, and EIN numbers). Queen's researchers do not have to register as individuals in any of these systems. Applicants will require an eRA Commons ID, which can be created by Research Services.
  • Contact Research Services EARLY: It's recommended that researchers contact a Research Projects Advisor  at least 3-weeks before the NIH deadline. Research Projects Advisors can answer questions about NIH program requirements, work with PIs to make sure that all the required documents are completed, and liaise 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 includes funds for both direct and indirect costs. Queen’s NIH indirect cost rate is 8% of the total direct costs (excluding equipment over $5000 tuition, patient care costs, rent, and sub-award costs (after the first $25,000)).

Required Documents

Queen's faculty members participating in NIH grants led by other universities are typically required to provide several documents to the lead institution. Some documents are completed by Research Services, whereas others must be completed by the Queen's Principal Investigator (PI). Below is an overview of some required documents:

Document/Form

Details

Completed by Researcher?

Completed by Research Services?

 Research Services Signature Required?

eRA Commons ID  All applicants require an eRA Commons ID. Please contact a Research Projects Advisor if you do not have an eRA Commons ID.    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. Please contact a Research Projects Advisor for assistance in completing this form and obtaining institutional sign-off.   X X

 Financial Conflict of Interest Form - MEMO Document (PDF 332 KB)

The memo document must be completed by any senior/key personnel named on the grant, prior to application submission to NIH, in order to comply with NIH financial conflict of interest policies  . The form will be kept on file at Queen's.

X    
 Financial Conflict of Interest Form - Consent & Disclosure Form (PDF 331 KB)

The consent & disclosure form must be completed by any senior/key personnel named on the grant, prior to application submission to NIH, in order to comply with NIH financial conflict of interest policies . 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. Most universities will ask the Queen's PI to complete an NIH R&R budget form (instructions here ). 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 Biosketch. There are detailed instructions  online, as well as a sample  biosketch (WORD 38 KB). Note that the NIH Biosketch will be transitioning to a new format as of January 25, 2022 X    
Facilities & Resources Description A description of the research environment at Queen's and facilities and resources relevant to the proposal (e.g. lab space, core facilities, office space, etc.). The description can also include affiliated-hospital spaces, if applicable. Generally < 1 page. X    
Equipment Description A description of the key pieces of Queen's equipment that will be used in the proposal (e.g. lab equipment, computer equipment, etc.). Generally < 1 page. X    

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

  1. Complete the NIH financial conflict of interest forms and email them to a Research Projects Advisor.
  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 564 KB) (if the research is Hospital-based . A copy of the full application being submitted by the lead 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.

The NIH requires the disclosure of all sources of research support, foreign components, and financial conflicts of interest by all senior/key personnel named on a grant application. These disclosures are made prior to grant submission, and throughout the duration of the award.

Financial Conflict of Interest (FCOI): All senior/key personnel must complete the following FCOI forms prior to grant submission, and yearly if awarded, in order to comply with NIH financial conflict of interest policies. These forms will be kept on file at Queen’s.

Biosketch and Other Support Documents: All senior/key personnel must disclose all positions and scientific appointments, and all resources and financial support for research activities, as part of the NIH Biosketch  and Other Support  documents.

Contact Information

Jennifer Robinson, Ph.D. Andrea Hiltz, M.Sc.

Research Projects Advisor (Health Sciences)
Research Services / Faculty of Health Sciences

Phone: 613-533-6000 ext. 32944
Email j.robinson@queensu.ca

Research Projects Advisor (Health Sciences)
Research Services 

Phone: 613-533-6000 ext. 33108
Email ahiltz@queensu.ca