Department of Health and Human Services

Part 1. Overview Information
Participating Organization(s)

National Institutes of Health (NIH)
Centers for Disease Control and Prevention (CDC)
National Institute for Occupational Safety and Health (NIOSH/CDC)

Components of Participating Organizations

National Cancer Institute (NCI)
National Eye Institute (NEI)
National Heart, Lung, and Blood Institute (NHLBI)
National Human Genome Research Institute (NHGRI)
National Institute on Aging (NIA)
National Institute on Alcohol Abuse and Alcoholism (NIAAA)
National Institute of Allergy and Infectious Diseases (NIAID)
National Institute of Arthritis and Musculoskeletal and Skin Diseases (NIAMS)
National Institute of Biomedical Imaging and Bioengineering (NIBIB)
Eunice Kennedy Shriver National Institute of Child Health and Human Development (NICHD)
National Institute on Deafness and Other Communication Disorders (NIDCD)
National Institute of Dental and Craniofacial Research (NIDCR)
National Institute of Diabetes and Digestive and Kidney Diseases (NIDDK)
National Institute on Drug Abuse (NIDA)
National Institute of Environmental Health Sciences (NIEHS)
National Institute of General Medical Sciences (NIGMS)
National Institute of Mental Health (NIMH)
National Institute of Neurological Disorders and Stroke (NINDS)
National Institute of Nursing Research (NINR)
National Institute on Minority Health and Health Disparities (NIMHD)
National Library of Medicine (NLM)
Fogarty International Center (FIC)
National Center for Complementary and Alternative Medicine (NCCAM)
National Center for Advancing Translational Sciences (NCATS)
Office of Research Infrastructure Programs (ORIP)
Office of Dietary Supplements (ODS)
Office of Strategic Coordination (Common Fund)

Funding Opportunity Title

Research Supplements to Promote Diversity in Health-Related Research (Admin Supp)

Activity Code

Administrative Supplement

Additional funds may be awarded as supplements to parent awards using the following Activity Code(s). Note, however, that not all participating components support all the activity codes listed below. Applicants must therefore consult the Table of IC-Specific Information, Requirements and Staff Contacts for more details.

DP1 NIH Director’s Pioneer Award (NDPA)
DP2 NIH Director’s New Innovator Awards
DP3 Type 1 Diabetes Targeted Research Award
DP4 NIH Director’s Pathfinder Award- Multi-Yr Funding
DP5/UP5 Early Independence Award/Cooperative Agreement
G12 Research Centers in Minority Institutions Award
P01/PL1 Program Project Grant/Linked Program Project
P20 Exploratory Grants
P30 Center Core Grants
P40 Animal (Mammalian and Nonmammalian) Model, and Animal and Biological Material Resource Grants
P41 Biotechnology Resource Grants
P50 Specialized Center
P51 Primate Research Center Grants
P60 Comprehensive Center
R00 Research Transition Award
R01/RL1 Research Project Grant/Linked Research Grant
R03 Small Grant Program
R15 Academic Research Enhancement Award (AREA)
R18 Research Demonstration and Disseminations Projects
R21 Exploratory/Developmental Research Grant Award
R24 Resource-Related Research Projects
R34/U34 Clinical Trial Planning Grant/Cooperative Agreement
R37 Method to Extend Research in Time (MERIT) Award
R41 Small Business Technology Transfer (STTR) Grant - Phase I
R42 Small Business Technology Transfer (STTR) Grant - Phase II
R43 Small Business Innovation Research (SBIR) Grant - Phase I
R44 Small Business Innovation Research (SBIR) Grant - Phase II
RC1 NIH Challenge Grants and Partnerships Program
RC2 High Impact Research and Research Infrastructure Programs
RC3 Biomedical Research, Development, and Growth to Spur the Acceleration of New Technologies (BRDG-SPAN) Program
RC4 High Impact Research and Research Infrastructure Programs—Multi-Yr Funding
SC1 Research-Enhancement Award
SC2 Pilot Research Project
SC3 Research Continuance Award
U01/UL1 Research Project/Linked Cooperative Agreements
U10 Cooperative Clinical Research – Cooperative Agreements
U18 Research Demonstration – Cooperative Agreements
U19 Research Program – Cooperative Agreements
U41 Biotechnology Resource Cooperative Agreements
U42 Animal (Mammalian and Nonmammalian) Model, and Animal and Biological Materials Resource Cooperative Agreements
U54 Specialized Center- Cooperative Agreements
UM1 Multi-Component Research Project Cooperative Agreements

Announcement Type

Reissue of PA-08-190

Related Notices
  • August 11, 2014 - Updated Forms and Instruction Clarification for Re-entry (PA-12-150) and Diversity (PA-12-149) Administrative Supplements. See Notice NOT-OD-14-118.
  • June 4, 2014 - Notice NOT-14-074 supersedes instructions in Section III.3 regarding applications that are essentially the same.
  • March 5, 2013 - See Notice NOT-RM-13-012. Notice of Participation of the NIH Common Fund.
  • September 28, 2012 – See Notice NOT-OD-12-161. NIH Announces Plans to Transition to Electronic Submission of Multi-Project Applications
  • July 18, 2012 - See Notice NOT-AT-12-005. Notice to Update Submission and Review Dates of NCCAM's Administrative Supplements.
  • June 22, 2012 - Addendum: Administrative Supplements to Existing NIH Grants and Cooperative Agreements, and Research Supplements to Promote Diversity in Health-Related Research. See Notice NOT-OD-12-117.
Funding Opportunity Announcement (FOA) Number

PA-12-149

Companion FOA

None

Number of Applications

See Section III. 3. Additional Information on Eligibility.

Catalog of Federal Domestic Assistance (CFDA) Number(s)

93.398, 93.867, 93.233, 93.837, 93.838, 93.839, 93.172, 93.866, 93.273, 93.855, 93.856, 93.846, 93.286, 93.173, 93.121, 93.847, 93.279, 93.859, 93.242, 93.853, 93.361, 93.879, 93.213, 93.350, 93.351, 93.307, 93.113, 93.989, 93.310

FOA Purpose

The National Institutes of Health (NIH) and the Centers for Disease Control and Prevention (CDC) hereby notify Program Director(s)/Principal Investigator(s) (PD(s)/PI(s)) holding specific types of NIH research grants, listed in the full Funding Opportunity Announcement (FOA) that funds are available for administrative supplements to improve the diversity of the research workforce by supporting and recruiting students, postdoctorates, and eligible investigators from groups that have been shown to be underrepresented in health-related research. This supplement opportunity is also available to PD(s)/PI(s) of research grants who become disabled and need additional support to accommodate their disability in order to continue to work on the research project.  Administrative supplements must support work within the scope of the original project.

Key Dates
Posted Date

April 6, 2012

Open Date (Earliest Submission Date)

Due dates may vary by awarding IC.  See Table of IC-Specific Information, Requirements and Staff Contacts for more details.

Letter of Intent Due Date

Not Applicable

Application Due Date(s)

Due dates may vary by awarding IC.  See Table of IC-Specific Information, Requirements and Staff Contacts for more details.

AIDS Application Due Date(s)

Not Applicable

Scientific Merit Review

Not Applicable

Advisory Council Review

Not Applicable

Earliest Start Date(s)

Due dates may vary by awarding IC.  See Table of IC-Specific Information, Requirements and Staff Contacts for more details.

Expiration Date

September 30, 2015

Due Dates for E.O. 12372

Not Applicable

Required Application Instructions

It is critical that applicants follow the instructions in the Application Guide (SF 424 (R&R) Application Guide or PHS398 Application Guide, as appropriate) except where instructed to do otherwise (in this FOA or in a Notice from the NIH Guide for Grants and Contracts). Conformance to all requirements (both in the Application Guide and the FOA) is required and strictly enforced. Applicants must read and follow all application instructions in the Application Guide as well as any program-specific instructions noted in Section IV. When the program-specific instructions deviate from those in the Application Guide, follow the program-specific instructions. Applications that do not comply with these instructions may be delayed or not accepted for review.


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Table of Contents

Part 1. Overview Information
Part 2. Full Text of the Announcement
Section I. Funding Opportunity Description
Section II. Award Information
Section III. Eligibility Information
Section IV. Application and Submission Information
Section V. Application Review Information
Section VI. Award Administration Information
Section VII. Agency Contacts
Section VIII. Other Information

Part 2. Full Text of Announcement

Section I. Funding Opportunity Description

Research Objectives

The National Institutes of Health (NIH) and the Centers for Disease Control and Prevention (CDC) hereby notify all Program Director(s)/Principal Investigator(s) (PD(s)/PI(s)) holding any of the NIH research grants listed in “Part 1 Overview Information” that funds are available for administrative supplements to support and recruit students, postdoctorates, and eligible investigators. Administrative supplements must support work within the scope of the original project.

The NIH currently provides multiple opportunities to develop research careers and improve participation for individuals from groups with low representation in the biomedical, behavioral, clinical and social sciences. Nevertheless, reports from the National Science Foundation (NSF) (see http://www.nsf.gov/statistics/wmpd/) and others provide strong evidence that diversity remains an important problem that the entire research enterprise must actively address.

This program is designed to provide support for research experiences for individuals from the identified groups throughout the continuum from high school to the faculty level; all NIH awarding components participate. Continuation of this program in the future will depend on evaluation of the career outcomes of the supported individuals as well as continuing assessments of the diversity of the scientific workforce as reported by the NSF and others.

Recruitment and Retention to Enhance Diversity

The NIH recognizes a unique and compelling need to promote diversity in the biomedical, behavioral, clinical and social sciences workforce.  The NIH expects efforts to diversify the workforce to lead to the recruitment of the most talented researchers from all groups; to improve the quality of the educational and training environment; to balance and broaden the perspective in setting research priorities; to improve the ability to recruit subjects from diverse backgrounds into clinical research protocols; and to improve the Nation’s capacity to address and eliminate health disparities.

Accordingly the NIH continues to encourage institutions to diversify their student and faculty populations and thus to increase the participation of individuals currently underrepresented in the biomedical, behavioral, clinical and social sciences such as:  individuals from underrepresented racial and ethnic groups, individuals with disabilities, and individuals from socially, culturally, economically, or educationally disadvantaged backgrounds that have inhibited their ability to pursue a career in health-related research.  Institutions are encouraged to identify candidates who will increase diversity on a national or institutional basis.  The NIH is particularly interested in encouraging the recruitment and retention of the following classes of candidates:

A.    Individuals from racial and ethnic groups that have been shown by the National Science Foundation to be underrepresented in health-related sciences on a national basis (see data at http://www.nsf.gov/statistics/showpub.cfm?TopID=2&SubID=27 and the most recent report on Women, Minorities, and Persons with Disabilities in Science and Engineering). The following racial and ethnic groups have been shown to be underrepresented in biomedical research: African Americans, Hispanic Americans, American Indians, Alaska Natives, Native Hawaiians, and other Pacific Islanders. In addition, it is recognized that underrepresentation can vary from setting to setting; individuals from racial or ethnic groups that can be convincingly demonstrated to be underrepresented by the grantee institution should be encouraged to participate in this program.

B.    Individuals with disabilities, who are defined as those with a physical or mental impairment that substantially limits one or more major life activities.

C.    Individuals from disadvantaged backgrounds who are defined as:

1.    Individuals who come from a family with an annual income below established low-income thresholds. These thresholds are based on family size; published by the U.S. Bureau of the Census; adjusted annually for changes in the Consumer Price Index; and adjusted by the Secretary for use in all health professions programs. The Secretary periodically publishes these income levels at HHS - Poverty Guidelines, Research, and Measurement. For individuals from low income backgrounds, the institution must be able to demonstrate that such participants have qualified for Federal disadvantaged assistance or they have received any of the following student loans: Health Professions Student Loans (HPSL), Loans for Disadvantaged Student Program, or they have received scholarships from the U.S. Department of Health and Human Services under the Scholarship for Individuals with Exceptional Financial Need.

2.    Individuals who come from a social, cultural, or educational environment such as that found in certain rural or inner-city environments that have demonstrably and recently directly inhibited the individual from obtaining the knowledge, skills, and abilities necessary to develop and participate in a research career.  

Recruitment and retention of individuals from disadvantaged background (C1 and C2) are most applicable to high school and perhaps undergraduate candidates, but would be more difficult to justify for individuals beyond that level of achievement.  Under extraordinary circumstances the PHS may, at its discretion, consider an individual beyond the undergraduate level to be from a disadvantaged background.  Such decisions will be made on a case-by-case basis, based on appropriate documentation.

Section II. Award Information
Funding Instrument

Grant

Cooperative Agreement

Application Types Allowed

Non-competing Administrative Supplements

Funds Available and Anticipated Number of Awards

The number of awards is contingent upon NIH appropriations, and the submission of a sufficient number of meritorious applications.

Award Budget

Application budgets are limited to no more than the amount of the current parent award, and must reflect actual needs of the proposed project. Direct costs for individual administrative supplements vary from less than $5,000 to more than $100,000 depending on the career level of the candidate. Administrative supplements end with the competitive cycle of the parent grant. Budget requests may also be limited by the awarding IC.  See Table of IC-Specific Information, Requirements and Staff Contacts for more details.

Award Project Period

The project and budget periods must be within the currently approved project period for the existing parent award.

NIH grants policies as described in the NIH Grants Policy Statement will apply to the applications submitted and awards made in response to this FOA.

Section III. Eligibility Information

1. Eligible Applicants

Eligible Organizations

This announcement is for supplements to existing projects. To be eligible, the parent award must be active and the research proposed in the supplement must be accomplished within the competitive segment. All additional costs must be within the scope of the peer-reviewed and approved project.

IMPORTANT: The research proposed by the NIH grantee in the supplement application must be within the original scope of the NIH-supported grant project. See Table of IC-Specific Information, Requirements and Staff Contacts for details on any specific eligibility criteria at the awarding IC.

Foreign Institutions

Non-domestic (non-U.S.) Entities (Foreign Institutions) are not eligible to apply.
Non-domestic (non-U.S.) components of U.S. Organizations are not eligible to apply.

Foreign components, as defined in the NIH Grants Policy Statement, are not allowed.

Required Registrations

Applicant organizations must complete the following registrations as described in the Application Guide to be eligible to apply for or receive an award. Applicants must have a valid Dun and Bradstreet Universal Numbering System (DUNS) number in order to begin each of the following registrations.

All Program Director(s)/Principal Investigator(s) (PD(s)/PI(s)) must also work with their institutional officials to register with the eRA Commons or ensure their existing eRA Commons account is affiliated with the eRA Commons account of the applicant organization.

All registrations must be completed by the application due date. Applicant organizations are strongly encouraged to start the registration process at least 4-6 weeks prior to the application due date.

Eligible Individuals (Program Director(s)/Principal Investigator(s))

Program Director(s)/Principal Investigator(s) must hold an active grant or cooperative agreement.

For supplements to parent awards that include multiple PD(s)/PI(s), the supplement may be requested by any or all of the PD(s)/PI(s) (in accordance with the existing leadership plan) and submitted by the awardee institution of the parent award. Do not use this administrative supplement application to add, delete, or change the PD(s)/PI(s) listed on the parent award. Visit the Multiple Program Director(s)/Principal Investigator(s) Policy in the SF424 (R&R) Application Guide for more information.

In addition, subproject PD/PIs on multi-component research grants (e.g., P01, P50, U54) may request supplements to their project through the overall PD/PI of the grant.

Established Investigators Who Become Disabled: Established investigators (PDs/PIs) on an NIH research, program project, or center grant who become disabled during the current project period may request funds for reasonable accommodations to permit completion of the currently funded research project. Any currently funded PD(s)/PI(s) on an NIH research project grant, program project grant, or center grant may request support for special equipment, an assistant, or other modifications to facilitate reasonable accommodation to a disabling injury or illness that has occurred during the current project period.

Eligible Candidates for the Supplement Program

For the purpose of this announcement, institutions are encouraged to identify candidates who will increase diversity on a national or institutional basis. The strength of an institution's description and justification for the appointment of an identified candidate will be judged along with all other aspects of the proposed experience (see Review Criteria in Section V. Application Review Information).

Supplemental awards under this program are limited to citizens or non-citizen nationals of the United States or to individuals who have been lawfully admitted for permanent residence in the United States (i.e., in possession of an Alien Registration Receipt Card or some other legal evidence of admission for permanent residence at the time of application). This program may not be used to provide technical support to NIH-supported investigators.

Note: Candidates supported by these supplements should be encouraged to submit applications for fellowships, career development awards, research grants, and other sources of independent support before the supplement period ends.

Before submitting an application for a research supplement, applicants are strongly encouraged to contact their program official to discuss the program (see Table of IC-Specific Information, Requirements and Staff Contacts).

PD(s)/PI(s) are encouraged to consider administrative supplements under this program for candidates at the following career levels:

High School Students: The purpose of this program is to provide high school students who have expressed an interest in the health-related sciences with an opportunity to obtain a meaningful experience in health-related research to stimulate their interest in research careers in biomedical, behavioral, clinical or social sciences. Any eligible high school student who is currently enrolled and in good standing at her or his high school and is interested in these areas of science is encouraged to participate in this program.

Undergraduate Students: As part of this supplement program, undergraduate students with a demonstrated interest in or desire to pursue research training in health-related sciences, may participate in a research project during the summer months and/or the academic year. This experience is separate from any requirement of the regular academic program. The student may be affiliated with either the applicant institution or another academic institution. Any eligible undergraduate student interested in health-related research is encouraged to participate in this program.

Baccalaureate and Master's Degree Holders: This supplement will provide opportunities for baccalaureate or master's degree holders who have demonstrated an interest in and wish to pursue research training in health-related sciences while applying for admission to graduate or medical school. The duration of the program is normally 1 year, but the research experience can be extended for an additional year if evidence is provided to show that the candidate is actively pursuing entry into a graduate or a health professions school. Students who plan to attend medical, dental or other professional schools are encouraged to use this program to gain research experience.

Graduate (Predoctoral) and Health Professional Students: The objective of this program is to support graduate students in biomedical, behavioral, clinical or social sciences, and health professional students who wish to develop their research capabilities. However, because this program is not intended to provide an alternative or additional means of supporting individuals who already receive support from an NIH research grant, a Ruth L. Kirschstein National Research Service Award (Kirschstein-NRSA), or any other PHS funding mechanism, students who are supported by an institutional Kirschstein-NRSA may not be transferred to supplemental support prior to the completion of their appointed period of training. In addition, individuals may not be transferred to a supplement to increase the availability of funds to the parent grant for other uses.

Individuals in Postdoctoral Training: These supplements support individuals in the postdoctoral phase of their training who wish to participate as researchers in ongoing research projects and career development experiences in preparation for an independent career in health-related research. This experience must serve as a means of assisting the postdoctoral fellow's development into a productive researcher in health-related science. Because this program is not intended to provide an alternative or additional means of supporting individuals who already receive support from PHS funding mechanisms, individuals in postdoctoral training who are supported by an institutional Kirschstein-NRSA may not be transferred to supplemental support prior to the completion of their appointed period of training. In addition, individuals may not be transferred to a supplement to increase the availability of funds to the parent grant for other uses. The individual in postdoctoral training may be affiliated with either the applicant institution or some other institution. Only under extraordinary circumstances, which must be well justified in the application, would it be acceptable for the postdoctoral candidate to work with his/her former predoctoral mentor.

Investigators Developing Independent Research Careers: These supplements provide either short or long-term research support for faculty members who wish to participate in ongoing research projects while further developing their own research potential, to enhance their research skills and establish an independent research career.

1.    Short-term Investigator Research Supplement: This supplement provides short-term support for faculty members to conduct full-time research in the biomedical, behavioral, clinical or social sciences for three to five months each year during the summer or another portion of the academic year, over a maximum period of four years.

2.    Long-term Investigator Research Supplement: This supplement provides long-term research support for faculty members to conduct research in the biomedical, behavioral, clinical or social sciences. Support is usually provided for up to two years at a minimum of 9 person months (equivalent to 75% effort) during each 12-month period.

In either case (1 or 2 above), the investigator may be affiliated with the applicant institution or some other institution. The investigator must have a doctoral degree, be beyond the level of a research trainee, typically employed at the junior faculty level (instructor or assistant professor) with at least one year of postdoctoral or equivalent research experience. An individual who has received previous funding from NIH as an independent PD/PI on a research grant (e.g., R01), as the project leader on a component of a program project or center grant (e.g., P01, P50, G12), or as PD/PI on an individual research career development award (e.g., K01, K02, K07, K08, and K23), or as a Scholar on an Institutional Career Development Award (K12, KL2) is not eligible.

2. Cost Sharing

This FOA does not require cost sharing as defined in the NIH Grants Policy Statement.

3. Additional Information on Eligibility

Number of Applications

A parent grant may support more than one individual on a supplement; however, each request must be strongly justified and include assurances that each candidate will receive appropriate mentoring. Investigators are encouraged to recruit more than one high school or undergraduate student for support by a supplemental award. Appointment of more than one individual to a single grant above the high school or undergraduate level depends on the nature of the parent grant, the circumstances of the request, and the program balance of the NIH awarding component. Candidates may receive support from only one supplement program at a time, but may be supported by more than one supplement during the development of their research careers. Support under the supplement program is not transferable to another individual or transportable to another institution.

Applicants are strongly encouraged to contact the NIH institute staff prior to submission to obtain specific information about eligibility and preparing and submitting an application (see Table of IC-Specific Information, Requirements and Staff Contacts)

Since applications in response to this announcement will only receive administrative review by the awarding Institute or Center, and will not receive peer review, the NIH policy on resubmissions will not apply. However, applications not accepted by the Institute or Center for review, or not funded by the Institute or Center, should not be submitted again without either responding to any written concerns or contacting the awarding Institute or Center for instructions first.

Eligible Awards

For eligible awards, see the listing of Activity Codes under “Part 1. Overview Information.” Note however that not all participating components support all the activity codes listed in this FOA. Applicants must therefore consult the Table of IC-Specific Information, Requirements and Staff Contacts for more details. PD(s)/PI(s) at domestic institutions who hold an active grant or cooperative agreement may be eligible to submit a request for an administrative supplement to the awarding component of the parent grant. Because policies may vary among awarding components regarding eligibility of Small Grant Awards (R03), Academic Research Enhancement Awards (R15), Support of Continuous Research Excellence (SC1, SC2, SC3), or Exploratory/Developmental Grants (R21) for supplements under this program, grantees holding those awards must check with the appropriate awarding component before submitting an application for a supplement (see Table of IC-Specific Information, Requirements and Staff Contacts). Supplements to the R15, R03 and the R21 may provide support above the established dollar limits for the parent grant award. The P20, P30, and P60 award mechanisms are eligible for supplements only if they contain research components. The Support of Continuous Research Excellence (SC1, SC2, SC3) award mechanisms are only eligible for supplements to support postdoctoral fellows and faculty. In all cases, the mechanism of support under this program is the supplemental award.

At the time of a supplemental award, the parent grant must have support remaining for a reasonable period (usually two years or more).

Proposed Research

In all cases, the proposed research experience must be an integral part of the approved, ongoing research of the parent grant, and it must have the potential to contribute significantly to the research career development of the candidate. Applications for supplements must include a plan for the candidate to interact with other individuals on the parent grant, to contribute intellectually to the research, and to enhance her/his research skills and knowledge regarding the selected area of biomedical, behavioral, clinical or social sciences science. It must also provide evidence of a focus on the enhancement of the research capability of the underrepresented or disadvantaged student or faculty member and that the research experience is intended to provide opportunities for development as a productive researcher. In addition, it must demonstrate that the PD(s)/PI(s) is willing to provide appropriate mentorship.

Section IV. Application and Submission Information

1. Requesting an Application Package

Applicants are required to prepare applications according to the current application forms in accordance with the Application Guide.

For electronic submissions, applicants must download the SF424 (R&R) application package associated with this funding opportunity using the “Apply for Grant Electronically” button in this announcement, or use the eRA Commons streamlined submission process.

2. Content and Form of Application Submission

All forms should be completed for the supplemental activities only and should not reflect funding or activities for the previously awarded parent award.

It is critical that applicants follow the instructions in the Application Guide (SF424 (R&R) Application Guide or PHS398 Application Guide, as appropriate) except where instructed in this funding opportunity announcement to do otherwise. Conformance to the requirements in the Application Guide is required and strictly enforced. Applications that are out of compliance with these instructions may be delayed or not accepted for review.

For information on Application Submission and Receipt, visit Frequently Asked Questions – Application Guide, Electronic Submission of Grant Applications.

Page Limitations

All page limitations described in the Application Guide and the Table of Page Limits must be followed.

Application Submission

All requests for a supplemental diversity award must include the following, regardless of submission method.  Only one candidate may be included on each administrative supplement request, though multiple requests may be submitted for different candidates. All candidates for supplemental diversity award support must also have a profile in the eRA Commons.

Method of Submission

Text revised, see NOT-OD-14-118.

The process for submitting an application varies depending on whether the activity code of the parent award requires electronic submission (as of the submission date of the supplement application). Visit the list of Activity Codes Processed Electronically by eRA to determine if the activity code of the parent award has transitioned to electronic submission.

Special Instructions for Submissions using Grants.gov/Apply for electronic-based submissions

For grants with activity codes that have transitioned to electronic submission using the SF424 (R&R) application forms, administrative supplement requests may be submitted electronically. Prepare applications using the SF424 (R&R) application forms associated with this announcement. Please note that some components marked optional in the application package are required for submission of applications for this announcement. Follow all instructions in the SF424 (R&R) Application Guide to ensure you complete all appropriate required and optional components.

Special Instructions for Streamlined Submissions using the eRA Commons for electronic-based submissions

NIH now offers a streamlined system through the eRA Commons for submitting administrative supplements. Login to the eRA Commons, identify the parent award, and prepare an administrative supplement request.

Include the candidate’s eRA Commons Username and attach the Research Experience Plan (described below in the PHS 398 Research Plan Form), Candidate Biosketch (described in the Senior/Key Personnel Form, also called the Applicant Biosketch), and the Candidate Eligibility Statement (described in Other Project Information/Appendix, also called the Applicant Eligibility Statement) in the fields provided.  Although only one candidate may be supported under each request submitted using this system, grantees may submit multiple requests on the same parent award. 

Budget information should be entered for the grantee institution in the fields provided. There is no template or form available for subaward information; instead, all subaward information should be included as a separate attachment showing the funds requested (by budget period) using the same categories provided for the grantee institution. Also include a budget justification for the subawardee institution in the same file.

Instructions for Submissions using the PHS398 Application Forms for paper-based submissions

Applications must be prepared using the PHS398 research grant application forms and instructions for preparing a research grant application. The grantee institution, on behalf of the PD/PI of the parent award, must submit the request for supplemental funds directly to the awarding component that supports the parent award. Submit a signed, typewritten original of the application, including the checklist, and two signed photocopies in one package to:

REPLACE WITH STAFF CONTACT NAME
REPLACE WITH FULL ADDRESS, INCLUDE FEDEX ADDRESS AND ZIPCODE WHEN DIFFERENT
Telephone: 301-NNN-NNNN
Email: xxxx@mail.nih.gov

On the face page of the application form, note that your application is in response to this program announcement, and enter the title and number of this announcement.

PHS398 Research Plan Component (Research Plan)

All instructions in the Application Guide must be followed for all Research Plan sections applicable to the proposed supplement activities. At a minimum, the Research Strategy section should be completed and must include the candidate's Research Experience Plan. Other sections must also be included if they are being changed by the proposed supplement activities.

Research Experience Plan: A brief description of the research experience, not to exceed six pages, prepared by the Principal Investigator of the parent grant that includes:

Project/Performance Site Locations (Project/Performance Sites)

Include the primary site where the proposed supplement activities will be performed. If a portion of the proposed supplement activities will be performed at any other site(s), identify the locations in the fields provided.

Senior/Key Personnel Form

List the PD/PI as the first person (regardless of their role on the supplement activities). List any other Senior/Key Personnel (with a role on the supplement), followed by the Candidate who is being added through this supplement, or for whom additional funds are being requested through this supplement. Include a biographical sketch for the candidate.

Candidates for diversity supplement support must have a profile in the eRA Commons, and the candidate’s Commons Username should be entered on the Senior/Key Personnel form.   

Biographical Sketch: A biographical sketch of the candidate should follow the format available at http://grants.nih.gov/grants/funding/424/SF424R-R_biosketch_VerB.doc.  Submit as a single attachment under “Applicant Biosketch.”  The biosketch must not exceed 4 pages and should include the following additional information:

R&R Detailed Budget Form (for use with electronic submissions)

All budgets should be submitted using the R&R Detailed Budget form, regardless of the form used for the parent award, and should only include funds requested for the additional supplement activities.

A proposed budget including:

Senior/Key Personnel: Starting with the PD/PI first and the diversity candidate second, provide the name, role, person-months requested, base salary, requested salary, fringe benefits, and total funds requested for each person. If the initial budget period requested is less than 12 months, the budget must be prorated accordingly.

Other Personnel: Costs for Other Personnel should not be requested for this supplement program.

Equipment: In general, equipment may not be purchased as a part of this supplement. For Established Investigators who become disabled, the application may request specialized equipment such as computers, or modifications of the working environment (see below for additional details under “5. Funding Restrictions”).  When applicable, list each item of equipment separately along with the estimated cost of each item of equipment, including shipping any maintenance costs and agreements.  Justify each item of equipment in the budget justification.  Equipment is defined as an item of property that has an acquisition cost of $5,000 or more (unless the organization has established lower levels) and an expected service life of more than one year.

Additional funds may be requested for the total materials and supplies (Item F.1), domestic travel (Item D.1), and publication costs (Item F.2) relevant to the proposed research. See below “5. Funding Restrictions” for allowable amounts.

Budget for the Entire Proposed Period of Support (for use with paper-based submissions)

A proposed budget should be submitted using the PHS398 budget forms, in accordance with the PHS398 Application Guide, and should only include funds requested for the additional supplement activities.

Personnel: Starting with the PD/PI first and the diversity candidate second, provide the name, role, person-months requested, base salary, requested salary, fringe benefits, and total funds requested for each person. If the initial budget period requested is less than 12 months, the budget must be prorated accordingly.

Equipment: In general, equipment may not be purchased as a part of this supplement. For Established Investigators who become disabled, the application may request specialized equipment such as computers, or modifications of the working environment (see below for additional details under “5. Funding Restrictions”).  When applicable, list each item of equipment separately along with the estimated cost of each item of equipment, including shipping any maintenance costs and agreements.  Justify each item of equipment in the budget justification.  Equipment is defined as an item of property that has an acquisition cost of $5,000 or more (unless the organization has established lower levels) and an expected service life of more than one year.

Additional funds may be requested for the total supplies, domestic travel, and publication costs (Other Expenses) relevant to the proposed research. See below “5. Funding Restrictions” for allowable amounts.

Other Project Information Component (for applications submitted electronically); Appendix (for applications submitted on paper)

All instructions in the Application Guide must be followed, with the following additional instructions:

IACUC Documentation and IRB Documentation (Uploaded via the Other Attachments Section for electronic submissions)

If applicable, include documentation that the proposed research experience was approved by the Institutional Animal Care and Use Committee (IACUC) or human subjects Institutional Review Board (IRB) at the grantee institution. Adherence to the NIH policy for including women and minorities in clinical studies must also be ensured, if additional human subjects’ involvement is planned for the supplement component.

Applicant Eligibility Statement

A signed statement from the PD(s)/PI(s) and an institutional official establishing the eligibility of the candidate for support under this program. The statement must include clearly presented information on citizenship. The statement must also include a convincing description of how the appointment of this specific candidate will address the issue of diversity within the national scientific workforce or within the workforce or the relevant population at the grantee institution (see Section I: Recruitment and Retention to Enhance Diversity). Finally, the statement must additionally describe any current or previous PHS research grant support the candidate has received. The strength of this statement will be considered by the NIH administrative review committee along with all other material provided.

Home Institution Approval

Under unusual circumstances where the candidate and mentor (usually the PD/PI of the parent grant) would be at a site other than the grantee institution, an appropriately signed letter from the institution where the research is to be conducted must also be submitted.  The request must be signed by the Principal Investigator, the diversity candidate, and the appropriate institutional business official.

Subrecipient Approval

IF any of the research is to be conducted at an organization other than the grantee institution, an appropriately signed letter from the institution where the research is to be conducted must be submitted.  The request must be signed by the diversity candidate, the Principal Investigator, and the appropriate institutional business official.

Candidate Transcript

A copy of the most recent official transcript if the candidate is a high school, undergraduate, baccalaureate or master's degree holder or graduate student.

Reasonable Accommodations

If the request is for a supplement based on disability, the institution should indicate what, if any, reasonable accommodations the institution has supported or plans to provide along with a full description of how any additional support for accommodation might be used. The relationship of the proposed accommodation to the proposed project must be described.

Be sure to use a descriptive title for each PDF file attachment.  The filename provided for each “Other Attachment” will be the name used for the bookmark in the electronic application in eRA Commons.

3. Submission Dates and Times

Part I. Overview Information contains information about Key Dates. Applicants are encouraged to submit in advance of the deadline to ensure they have time to make any application corrections that might be necessary for successful submission. Please note that applicants for summer-only appointments must submit early enough to ensure that funding is in place by the time the summer experience is scheduled to begin.

Organizations must submit applications as described above. Applicants must then complete the submission process by tracking the status of the application in the eRA Commons, NIH’s electronic system for grants administration.

Applicants are responsible for viewing their application in the eRA Commons to ensure accurate and successful submission.

For electronic application submission, information on the submission process and a definition of on-time submission are provided in the SF424(R&R) Application Guide.

For paper-based application submission, information on the process of receipt and determining if your application is considered “on-time” is described in detail in the PHS398 Application Guide.

4. Intergovernmental Review (E.O. 12372)

This initiative is not subject to intergovernmental review.

5. Funding Restrictions

All NIH awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement.

Pre-award costs are allowable only as described in the NIH Grants Policy Statement.

Supplement awards must be consistent with the goal of strengthening the existing research program and with the overall programmatic balance and priorities of the funding component of the NIH. Awards will be made according to the policies and provisions stated in this announcement or as further specified by the NIH component funding the parent grant. The award limits listed in this document for each career level represent the support the NIH will provide. An award does not preclude the institution's use of funds from other sources to supplement the award. Applicants are strongly encouraged to contact their Program Officials at the NIH before applying (see also Table of IC-Specific Information, Requirements and Staff Contacts). The decision to fund a supplement will take approximately ten weeks from receipt of a complete application.

Eligible Individuals – PD(s)/PI(s)

Supplements for Established Investigators Who Become Disabled: Support will be limited to items that will permit the investigator to complete the remaining years of a currently funded research project. This might include: salary support for an individual who can assist the Established Investigator in meeting the goals of the research project, specialized equipment such as computers, or modifications of the working environment. In all cases, the requested support must be consistent with the type of disability and the nature of the approved research. The total amount of support requested under this supplement must be reasonable in relationship to the direct costs of the parent award and the Established Investigator's role and effort on the project. In future competing applications, funds for continuation of the accommodations provided under this supplement must be requested in the parent grant application and may NOT be requested as a research supplement.

Eligible Candidates

In most cases, during the first budget period for the supplement, funds will be provided as an administrative supplement to the parent grant. In subsequent years, continued funding for the supplement is contingent on continued funding of the parent grant and cannot extend beyond the current competitive segment of the parent grant and the availability of funds.

In Renewal (Type 2) applications, funds for continuation of support of the supplemental award will depend on the successful renewal of the parent grant and will be handled as follows:

Reasonable Accommodations: As part of these awards, funds may be requested to make changes or adjustments in the research setting that will make it possible for a qualified individual with a disability to perform the essential functions associated with his/her role on the project. The accommodations requested under this program must be directly related to the performance of the proposed role on the research project and must be appropriate to the disabilities of the individual. Some types of accommodations that might be provided under these awards include: specialized equipment, assistive devices, and personnel such as readers, interpreters, or assistants. In all cases, the total funds for accommodations requested from the supplement must be reasonable in relationship to the direct costs of the parent grant and the nature of the supplement award.

High School Students: The salary for a high school student, whether full- or part-time, should be consistent with institutional salary policies. Institutional salary rates for high school students which exceed the hourly minimum wage must be justified. Funds for equipment are not allowed under this supplement program. Students are expected to devote sufficient effort to the research project and related activities during the period of support to gain insight into the process of scientific discovery. Support for at least three months is encouraged during any one year. This may include a combination of full-time summer experience and part-time experience during the school year.  PD(s)/PI(s) are encouraged to seek high school students who will devote at least two years to this program (i.e., equivalent to two three-month, full-time periods). Exceptions to the latter will be considered, depending on the circumstances of the applicant, the parent grant, and the specific request.

Undergraduate Students: The salary for an undergraduate student should be consistent with institutional salary policies. Institutional rates for undergraduate salary that exceed $12 per hour must be justified. An additional amount of $200 per month for supplies and travel may also be requested. Equipment may not be purchased using supplement funds. Students are expected to devote the equivalent of at least three months of full-time effort to the research project and related activities in any one year; in most cases, the period of support for any individual should last at least two years. Exceptions to these requirements will be considered, depending on the circumstances of the applicant, the parent grant, and the specific request.

Baccalaureate and Master's Degree Holders: The salary for baccalaureate and master's degree holders should be reasonable and consistent with the institutional salary policies and cannot exceed the amount allowed for graduate students. Additional funds up to $3,000 per year may be requested for supplies and travel. Funds may not be used to purchase equipment.

Graduate (Predoctoral) and Health Professional Students: The NIH will provide salary support in addition to other necessary expenses, such as supplies and travel, to enable the individual to participate as a graduate research assistant in a funded research project. The NIH will provide compensation that (1) conforms to the established, consistently applied salary and wage policies of the institution and (2) reflects the percentage of time devoted to the PHS-funded project. For graduate students this compensation may include tuition remission paid as, or in lieu of, wages provided that the student is in a bona fide employer-employee relationship with the institution for the work performed, and payment is made explicitly for performance of necessary work. The total amount requested for salary, tuition and fringe benefits cannot exceed the amount allowable for a first year postdoctoral fellow (i.e., level zero) at the same institution performing comparable work (see NIH Guide announcement, http://grants1.nih.gov/grants/guide/notice-files/NOT-OD-02-017.html). Additional funds up to $4,000 per year may be requested for supplies and travel. Funds may not be used to purchase equipment.

Individuals In Postdoctoral Training: The NIH will provide support for salary in addition to other necessary expenses, such as travel and supplies, to enable the candidate to participate as a postdoctoral research assistant or associate on the funded research project. The requested annual salary and fringe benefits must be in accordance with the salary structure of the grantee institution, consistent with the level of effort, and may not exceed the maximum allowable NRSA stipend level for postdoctoral fellows in effect at the time of appointment (see: http://grants.nih.gov/training/nrsa.htm). However, exceptions to this rule may be made. Applicants must check with their program officials at the NIH before submitting an application. The supplement budget may include up to $6,000 for supplies and travel for the candidate. These funds may not be used to purchase equipment.

Investigators Developing Independent Research Careers: The requested salary and fringe benefits for an investigator should be consistent with the level of support provided by NIH Career Development Awards. Participating NIH Institutes and Centers have varying salary caps (see: Table of IC-Specific Information, Requirements and Staff Contacts). Salary and fringe benefits must be in accordance with the salary structure of the grantee institution, and must be consistent with the level of effort. Additional funds of up to $10,000 may be requested for supplies and travel. Equipment may not be purchased except in unusual circumstances and not without prior approval of the NIH awarding component. The maximum period of support for any investigator is usually two years.

6. Other Submission Requirements and Information

Applications must be submitted using the instructions specified above

Applicants must complete all required registrations before the application due date. Section III. Eligibility Information contains information about registration.

For assistance with your electronic application or for more information on the electronic submission process, visit Applying Electronically.

Important reminders:
For applications submitted electronically on the SF424 (R&R) Application forms, all PD(s)/PI(s) must include their eRA Commons ID in the Credential field of the Senior/Key Person Profile Component of the SF 424(R&R) Application Package. Failure to register in the Commons and to include a valid PD/PI Commons ID in the credential field will prevent the successful submission of an electronic application to NIH.

The applicant organization must ensure that the DUNS number it provides on the application is the same number used in the organization’s profile in the eRA Commons and for the Central Contractor Registration (CCR). Additional information may be found in the Application Guide.

See more tips for avoiding common errors.

Upon receipt, applications will be evaluated for completeness by the awarding Institute or Center. Applications that are incomplete and/or nonresponsive will not be reviewed.

Post Submission Materials

Not Applicable.

Section V. Application Review Information

1. Criteria

Administrative Supplements do not receive peer review. Instead, the administrative criteria described below will be considered in the administrative evaluation process.

The staff of the NIH awarding component will evaluate requests for a supplement to determine its overall merit. The following general criteria will be used:

Budget and Period of Support

NIH Staff will consider whether the budget and the requested period of support are fully justified and reasonable in relation to the proposed research.

Overall Impact

Only the administrative review criteria described below will be considered in the review process:

The Program staff of the NIH awarding component will review requests for a supplement to determine their overall merit. The following general criteria will be used:

In addition, each of the following criteria will be evaluated when they will be impacted by the proposed activities.

Protections for Human Subjects:

For research that involves human subjects but does not involve one of the six categories of research that are exempt under 45 CFR Part 46, NIH staff will evaluate the justification for involvement of human subjects and the proposed protections from research risk relating to their participation according to the following five review criteria: 1) risk to subjects, 2) adequacy of protection against risks, 3) potential benefits to the subjects and others, 4) importance of the knowledge to be gained, and 5) data and safety monitoring for clinical trials.

For research that involves human subjects and meets the criteria for one or more of the six categories of research that are exempt under 45 CFR Part 46, NIH staff will evaluate: 1) the justification for the exemption, 2) human subjects involvement and characteristics, and 3) sources of materials. For additional information on review of the Human Subjects section, please refer to the Human Subjects Protection and Inclusion Guidelines.

Inclusion of Women, Minorities, and Children

When the proposed project involves clinical research, NIH staff will evaluate the proposed plans for inclusion of minorities and members of both genders, as well as the inclusion of children. For additional information on review of the Inclusion section, please refer to the Human Subjects Protection and Inclusion Guidelines.

Vertebrate Animals

NIH Staff will evaluate the involvement of live vertebrate animals as part of the scientific assessment according to the following five points: 1) proposed use of the animals, and species, strains, ages, sex, and numbers to be used; 2) justifications for the use of animals and for the appropriateness of the species and numbers proposed; 3) adequacy of veterinary care; 4) procedures for limiting discomfort, distress, pain and injury to that which is unavoidable in the conduct of scientifically sound research including the use of analgesic, anesthetic, and tranquilizing drugs and/or comfortable restraining devices; and 5) methods of euthanasia and reason for selection if not consistent with the AVMA Guidelines on Euthanasia. For additional information on review of the Vertebrate Animals section, please refer to the Worksheet for Review of the Vertebrate Animal Section.

Biohazards

NIH Staff will assess whether materials or procedures proposed are potentially hazardous to research personnel and/or the environment, and if needed, determine whether adequate protection is proposed.

2. Review and Selection Process

Administrative supplement requests will undergo an administrative evaluation by NIH staff, but not a full peer review. Applications submitted for this funding opportunity will be assigned to the awarding component for the parent award and will be administratively evaluated using the criteria shown above.  While the number of supplemental awards is not limited, each Institute/Center’s decision will be based on the nature of the parent grant, the circumstances of the request, and the program balance and budgetary constraints of the awarding component.

3. Anticipated Announcement and Award Dates

Not Applicable.

Section VI. Award Administration Information

1. Award Notices

A formal notification in the form of a Notice of Award (NoA) will be provided to the applicant organization for successful applications. This may be as an NoA for the supplemental activities only; alternatively, it may be as either a revision to the current year NoA or included as part of a future year NoA. The NoA signed by the grants management officer is the authorizing document and will be sent via email to the grantee’s business official.

Awardees must comply with any funding restrictions described in Section IV.5. Funding Restrictions. Selection of an application for award is not an authorization to begin performance. Any costs incurred before receipt of the NoA are at the recipient's risk. These costs may be reimbursed only to the extent considered allowable pre-award costs.    

Any application awarded in response to this FOA will be subject to the DUNS, CCR Registration, and Transparency Act requirements as noted on the Award Conditions and Information for NIH Grants website.

2. Administrative and National Policy Requirements

All NIH grant and cooperative agreement awards include the NIH Grants Policy Statement as part of the NoA. For these terms of award, see the NIH Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards, Subpart A: General and Part II: Terms and Conditions of NIH Grant Awards, Subpart B: Terms and Conditions for Specific Types of Grants, Grantees, and Activities. More information is provided at Award Conditions and Information for NIH Grants.

Cooperative Agreement Terms and Conditions of Award

Any supplements to Cooperative Agreements will be subject to the same Cooperative Agreement terms and conditions as the parent award.

3. Reporting

Reporting requirements will be specified in the terms and conditions of award as applicable to the supplemental activities. In most Resubmission applications (Type 5), the progress report and budget for the supplement must be included with, but clearly delineated from, the progress report and budget for the parent award. The progress report must include information about the activities supported by the supplement even if support for future years is not requested. Continuation of support for the supplement activities in the remaining years of the competitive segment of the grant will depend upon satisfactory review by the NIH awarding component of progress for both the parent award and the supplement project, the research proposed for the next budget period, and the appropriateness of the proposed budget for the proposed effort. This information is submitted with the PHS Non-Competing Grant Progress Report, Form 2590, and financial statements as required in the NIH Grants Policy Statement.

The Federal Funding Accountability and Transparency Act of 2006 (Transparency Act), includes a requirement for awardees of Federal grants to report information about first-tier subawards and executive compensation under Federal assistance awards issued in FY2011 or later. All awardees of applicable NIH grants and cooperative agreements are required to report to the Federal Subaward Reporting System (FSRS) available at www.fsrs.gov on all subawards over $25,000. See the NIH Grants Policy Statement for additional information on this reporting requirement.

4. Evaluation

In carrying out its stewardship of human resource-related programs, the NIH may request information essential to an assessment of the effectiveness of this program from databases and from participants themselves. Participants may be contacted after the completion of this award for periodic updates on various aspects of their employment history, publications, support from research grants or contracts, honors and awards, professional activities, and other information helpful in evaluating the impact of the program.

Within ten years of making awards under this program, NIH will assess the program’s overall outcomes, gauge its effectiveness in enhancing diversity, and consider whether there is a continuing need for the program.  Upon the completion of this evaluation, NIH will determine whether to (a) continue the program as currently configured, (b) continue the program with modifications, or (c) discontinue the program. 

Section VII. Agency Contacts

We encourage inquiries concerning this funding opportunity and welcome the opportunity to answer questions from potential applicants.

Application Submission Contacts

Grants.gov Customer Support (Questions regarding Grants.gov registration and submission, downloading or navigating forms)
Contact Center Phone: 800-518-4726
Email: support@grants.gov

GrantsInfo (Questions regarding application instructions and process, finding NIH grant resources)
Telephone 301-435-0714
TTY 301-451-5936
Email: GrantsInfo@nih.gov

eRA Commons Help Desk(Questions regarding eRA Commons registration, tracking application status, post submission issues)
Phone: 301-402-7469 or 866-504-9552 (Toll Free)
TTY: 301-451-5939
Email: commons@od.nih.gov

Scientific/Research Contact(s)

Before submitting an application for a research supplement, applicants are strongly encouraged to contact their program official to discuss the program (see Table of IC-Specific Information, Requirements and Staff Contacts).

Peer Review Contact(s)

Not Applicable.

Financial/Grants Management Contact(s)

Table of IC-Specific Information, Requirements and Staff Contacts

Section VIII. Other Information

Recently issued trans-NIH policy notices may affect your application submission. A full list of policy notices published by NIH is provided in the NIH Guide for Grants and Contracts. All awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement.

Authority and Regulations

Awards are made under the authorization of Sections 301 and 405 of the Public Health Service Act as amended (42 USC 241 and 284) and under Federal Regulations 42 CFR Part 52 and 45 CFR Parts 74 and 92.


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