Administrative Supplements for U.S. - China Biomedical Collaborative Research on Cancer, Mental Health, Allergy, Immunology, and Infectious Diseases including HIV/AIDS and its Co-morbidities

Notice Number: NOT-CA-12-002

Key Dates
Release Date: December 2, 2011
Receipt Date: February 21, 2012 
Earliest Anticipated Start Date: July 2, 2012

Issued by
National Institutes of Health (NIH)
National Cancer Institute (NCI)
National Institute of Allergy and Infectious Diseases (NIAID)
National Institute of Mental Health (NIMH)


This Notice announces an opportunity for eligible investigators receiving research funding from The National Institutes of Health (NIH) of the United States (U.S.) Department of Health and Human Services (HHS) to request administrative supplement support (additional funds to grants or cooperative agreements ). The “parent” awards and the proposed administrative supplements may be in various areas of cancer, mental health, or allergy, immunology and infectious diseases (including HIV/AIDS and its co-morbidities). The overall goal of this supplement program is to enhance ongoing research efforts through collaborations with Chinese scientists in these scientific areas under the new U.S.-China Program for Biomedical Research Cooperation.

This Administrative Supplement opportunity is available only to active research projects that are supported by specified NIH funding mechanisms. To be eligible, these awards must also be issued by the participating Institutes and Centers (I/C) (except for research related to HIV/AIDS and its co-morbidities). All the requests for supplemental funding must be based on collaborations involving eligible awardees and qualifying Chinese investigators. Additional specific requirements and eligibility conditions apply (see full details below).

The NIH supports international collaborative biomedical research to advance science and expand biomedical knowledge. Scientific cooperation between the U.S. and the People’s Republic of China was initiated over 30 years ago and has grown rapidly in recent years. Recognizing that enhanced cooperative biomedical research would be of mutual benefit to the U.S. and China, the NIH Director and the President of the National Natural Science Foundation of China (NSFC) signed a Memorandum of Understanding (MOU) in October 2010.

NIH and NSFC further signed an Implementing Arrangement in December 2010 to develop a new U.S.-China Program for Biomedical Research Cooperation. A Joint Working Group (JWG), consisting of members from both NIH and NSFC, will develop strategic plans for collaboration and facilitate the expedited review and clearance of proposed bilateral projects. Both the NIH and NSFC have allocated funds to support joint activities pursued under this program.

The NIH and NSFC each plan to contribute funding for every collaborative project selected under the joint program (see details below).

General Requirements for Collaborative Arrangements
U.S. and Chinese collaborating investigators should work together to submit corresponding supplement requests in response to this Notice and NSFC applications to the corresponding NSFC announcement. The U.S. administrative supplement request to NIH and the linked Chinese application to NSFC must use the same title for the collaborative project (written in English).

Supplement requests from eligible U.S. investigators must be submitted in response to this Notice for administrative review and at NIH as outlined below. In the “Letter of Confirmation “ (see below), the U.S. applicant must expressly agree to provide directly a complete English copy of the request to their Chinese counterpart. The NIH will not consider for funding any request that has not met this sharing requirement. Potential U.S. applicants concerned about confidentiality or proprietary information should take this requirement into account before deciding what information to submit in their supplement request to NIH.

Eligibility for NSFC funding under these collaborative projects is limited to Chinese scientists who are current or former NSFC grantees. For eligible Chinese investigators, NSFC will publish a corresponding funding announcement (in Chinese) for Chinese investigators to apply for funding under the joint U.S.-China Program in Biomedical Research Cooperation (see Applications from Chinese investigators will be reviewed in parallel by NSFC using selection factors that are harmonized with NIH selection factors. Chinese applicants will also be required to submit as part of their applications a copy of the NIH supplement request (that must be provided to them by their U.S. collaborator). Therefore, it is expected that the Chinese collaborator will contact the U.S. Project Director(s)/Principal Investigator(s) [PD(s)/PI(s)] and request copies of their supplement request in response to this announcement for submission of the Chinese application. This Chinese application will also be reviewed confidentially during the NSFC review process.

Funding decisions will be made by NIH and NSFC with consideration of the research priorities of both agencies. Both the U.S. and Chinese applications must be determined to be eligible and responsive (in the parallel processes conducted by the NIH and NSFC) to be considered for funding under the program.

Eligibility Requirements
Eligible “Parent” Grants or Cooperative Agreements. This supplement program is limited to current (active) grants or cooperative agreements using the following NIH funding mechanisms: R01, P01, U01, U19, U54, P30 (only for pilot projects to the Developmental Core with no additional funding to infrastructure), and P50. Moreover, to be eligible as a “parent” award, the grant or cooperative agreement must either be:

In addition:

NOT eligible as “parent” awards are grants or cooperative agreements that:

NOTE: The U.S. PD(s)/PI (s)can only submit one administrative supplement request, even if the U.S. PD/PI has more than one active, eligible grant or cooperative agreement.

Research Objectives and Requirements for Supplement Requests
General Requirements

The parent grant/cooperative agreement must meet all the criteria stated above and the research proposed in the supplement must be accomplished within the competitive segment of the parent award. 

The proposed supplement must be within the scope of the peer reviewed activities and aims approved within the parent grant.

IMPORTANT:  The research proposed by the NIH grantee in the supplement application must be within the original scope of the NIH-supported grant project.  The funding mechanism being used to support this program, i.e., administrative supplements, can be used to cover cost increases that are associated with achieving certain new research objectives as long as they are within the original scope of the project.  Any cost increases need to result from making modifications to the project in order to take advantage of opportunities that would increase the value of the project consistent with its originally approved objectives and purposes.

Supplement Scope and Specific Requirements

1. Supplemental funding under this program may be requested only to support research activities enhancing existing eligible "parent" grants or cooperative agreements through collaboration between U.S. and Chinese scientists.

A collaboration with an eligible NSFC Chinese investigator in China (submitting a corresponding Chinese application to NSFC) must be properly documented and formalized as instructed in this Notice. The Chinese collaborating investigator must also carefully follow all of NSFC’s application procedures to be considered eligible for review. Both U.S. and Chinese applications have to be considered eligible and responsive (by the NIH and NSFC, respectively). If these requirements are not met, administrative supplement requests will not be considered.

2. Funding under this program will support collaborative research projects only. Applications requesting funds for research infrastructure will not be considered.

3. Nature of Collaborative Research Activities. The intent of this initiative is to foster, stimulate, and/or expand collaborative basic, translational, and applied research between eligible NIH awardees and eligible Chinese researchers in the areas of cancer, mental health, allergy, immunology, and infectious diseases including HIV and its comorbidities.

4. Restrictions to Scientific Activities. The following activities are not allowed for these administrative supplements:

NOTE: Investigators considering application for these administrative supplements are strongly encouraged to contact the NIH Program Official assigned to the parent award for feedback about the eligibility of that award and whether the activities to be proposed meet the requirements defined for these administrative supplements.

Examples of Research Areas
Provided that supplements remain within the scope of eligible “parent” awards, supplemental projects may be focused on various areas relevant to cancer, mental health, or allergy, immunology and infectious diseases (including HIV/AIDS and its co-morbidities). Examples of research areas that are of interest to this collaborative program include (but are not limited to):

In cancer:

Studies of:

In mental health:

In allergy, immunology, and infectious diseases:


Funding Information
The number of administrative supplements awarded will be based on the merit of the requests received and the availability of funds. Up to $4,000,000 total costs (i.e., direct costs plus all applicable Facilities and Administration costs) will be available for this program from NIH in Fiscal Year 2012. Individual Administrative Supplements will be limited to $100,000 direct costs (or to 25 percent of the direct costs for the current budget year of the "parent" award, if that amount is lower than $100,000).

NSFC will provide complementary funds (approximately 300,000 Renminbi [Chinese currency] per project) for the Chinese co-investigators to engage in these projects. Five percent of the NSFC total award amounts can be used for indirect costs by Chinese institutions. The NIH and NSFC each plan to contribute funding for every project selected under the joint program.

Note 1: Whereas the U.S. parts of these collaborative projects will be funded as administrative supplements, the Chinese parts will be funded as new 1-year awards.

Note 2: In addition to the required standard budget for NIH funding (for expenses on the U.S. side), U.S. applicants are encouraged to include in their requests also a copy of the budget to be requested by their Chinese counterparts for NSFC funding (for expenses on the Chinese side in Chinese currency).

Preparation of Administrative Supplement Request
The administrative supplement request must describe the need for additional funding and categorical costs. Requests should be submitted on the PHS398 Application Guide forms (font size and other formatting rules apply as designated in the instructions) but following the instructions indicated below.

The requests must contain only the following elements:

1. Cover Letter, which cites this Notice (NOT-CA-12-002) and contains the following information:

2. PHS 398 Form Page 1 (Face Page)  MS Word PDF

3. PHS 398 Form Page 2  MS Word PDF

Note: The project “summary” is that of the administrative supplement, not the parent grant. The name of the U.S.-China collaboration project should be included at the beginning of the project summary section. An identical title (in English) must be included in the corresponding application to NSFC.

4. A brief description of the project that is being proposed in collaboration with the Chinese co-investigator, containing:

  1. Introduction (limit 1 page) describing how the proposed supplemental activities relate to the parent award.

  2. Specific Aims for the supplement (limit 1 page).

  3. Research Strategy for the supplement (limit 6 pages):
    Describe the proposed research explaining how it relates to the priority areas defined for this Administrative Supplement Program.
    Explain also how the proposed supplemental activities will enhance research conducted under the parent award.
    If the parent grant is a U01 cooperative agreement award, outline how the supplemental project will fit within the terms and conditions of the cooperative agreement award.
    Include sufficient detail (e.g., on research design, methods, and data analysis) to allow assessment of the scientific merit of the proposed plans and the appropriateness of the request for supplemental funding in the context of the priorities of this Administrative Supplement Program.

5. Letter of Confirmation co-written and co-signed by the PD(s)/PI(s) of the “parent” NIH award and the Chinese co-investigator, and co-signed by the U.S. and Chinese AORs on the same page (limit 3 pages).

6. Biographical Sketches for all new key personnel who are additions on the supplemental project (two-page limit for each biographical sketch).

7. Itemized Budget for the Supplement (for the U.S. research expenses) with a justification that details the items requested, including personnel, travel, and Facilities and Administrative (F&A) costs.

Individual administrative supplement requests must not exceed $100,000 direct costs and are limited to 25 percent of the Institute Advisory Council-approved direct costs for the current budget year (the lower of these amounts is the maximum allowable). Awards will be for 1 year and the existing "parent" grant/cooperative agreement must have at least one (1) year of active funding remaining at the time that the supplement is awarded on July 2, 2012.

NOTE: The NIH requestors are encouraged to also include the budget for NSFC funding (for expenses on the Chinese side in Chinese currency [Renminbi]).

8. Human Subjects/Vertebrate Animal Documentation (if applicable).

9. PHS 398 Checklist Form.

10. Import of Biospecimens (if applicable).
Include a written statement indicating whether or not biospecimens from China will be imported to the U.S.
If the proposed research requires exporting of biospecimens out of China, specify the type of biospecimens to be exported and provide evidence that you have already applied for the required Chinese government approval to export these materials (half-page limit). Also please specific whether or not the work can be completed if this approval is not granted. No funds will be awarded until you have approval to export samples outside of China or you indicate that the work can be performed within China.

Submitting an Administrative Supplement Request

  1. NCI, NIAID and other NIH I/C awardees in the area of HIV/AIDS research are strongly encouraged to submit requests electronically as an attachment in pdf format via e-mail to the appropriate NIH I/C contact included below. These administrative supplement requests should include the parent grant number and identify this Notice (NOT-CA-12-002) in the e-mail subject field; the signature of the Authorized Organizational Representative (AOR) and the PD/PI must be clearly visible. The U.S. PD/PI (or a team of multiple PDs/PIs) can only submit one administrative supplement request, even if they have more than one active, eligible grant.

  2. All NIMH administrative supplement requests should be submitted by the PD/PI of the parent grant electronically via the following link:

    When prompted, please log into the system with your eRA Commons ID and Password.  Please select US-China Admin Supplements when prompted for the type of supplement.

As an alternative, administrative supplement requests can be submitted via CD to be mailed to the point of contact listed below (with the signature of the AOR clearly visible in the supplement request) and must be postmarked no later than February 21, 2012.

Administrative supplement requests may be submitted at any time, but must be received by no later than 5:00PM in the applicant’s local time zone on February 21, 2012.

Late submissions will not be considered.

All supplement requests must be submitted to the following contacts:

For administrative supplement requests for parent grants funded ny the NCI:

Bryan Baker
Office of Grants Administration
National Cancer Institute
6120 Executive Boulevard, EPS Suite T-44, MSC 7111
Bethesda, MD 20892-7111 (for U.S. Postal Service regular and express mail
Rockville, MD 20852 (for non-U.S. Postal Service delivery)
Telephone: (301) 496-9356

For administrative supplement requests for parent grants funded by NIMH:

Rebecca Claycamp, MS, CRA
Chief, Grants Management Officer
National Institute of Mental Health
6001 Executive Blvd, Rm 6115
Bethesda, MD  20892-9605
Telephone: 301-443-2811

For administrative supplement requests for parent grants funded by NIAID:

Maggie C. Wells
Grants Management Specialist
National Institute of Allergy and Infectious Diseases
6700B Rockledge Drive, Room 2250, MSC 7614
Bethesda, MD 20892-7614
Telephone: (301) 594-9847
Fax: (301) 493-0597   

For administrative supplement requests for parent grants from other NIH Institutes and Centers in the area of HIV/AIDS and its co-morbidities:

Robert W. Eisinger, Ph.D.
Director of Scientific and Program Operations
and Chair, Therapeutics Coordinating Committee
Office of AIDS Research
National Institutes of Health
5635 Fishers Lane, Room 4015, MSC 9310
Bethesda, Maryland 20892-9310
Telephone: (301)-496-0358
Fax: (301)402-8638

Administrative supplement requests will be evaluated administratively by NIH Staff. Selection factors will include the following:

Reviewers also will examine the appropriateness of the budgets in consideration of the study proposed and the research environment for the scientific projects.

Additional selection factors include:

Significance. Does the project address an important problem or a critical barrier to progress in the field? If the aims of the project are achieved, how will scientific knowledge, technical capability, and/or clinical practice be improved? How will successful completion of the aims change the concepts, methods, technologies, treatments, services, or preventative interventions that drive this field?

Investigator(s). Are the PD(s)/PI(s), collaborators, and other researchers well suited to the project? If submitters are Early Stage Investigators or New Investigators, do they have appropriate experience and training? If established, have they demonstrated an ongoing record of accomplishments that have advanced their field(s)? Do the investigators have complementary and integrated expertise; are their leadership approach, governance and organizational structure appropriate for the project?

Innovation. Does the proposed research challenge and seek to shift current understanding or clinical practice paradigms by utilizing novel theoretical concepts, approaches, or methodologies, instrumentation, or interventions? Are the concepts, approaches or methodologies, instrumentation, or interventions novel to one field of research or novel in a broad sense? Is a refinement, improvement, or new application of theoretical concepts, approaches or methodologies, instrumentation, or interventions proposed?

Approach. Are the overall strategies, methodology, and analyses well-reasoned and appropriate to accomplish the specific aims of the project? Are potential problems, alternative strategies, and benchmarks for success presented? If the project is in the early stages of development, will the strategy establish feasibility and will particularly risky aspects be managed?
If the project involves research in human populations, are the plans for: 1) protection of human subjects from research risks; and 2) inclusion of minorities and members of both sexes/genders, as well as the inclusion of children, justified in terms of the scientific goals and research strategy proposed?

Environment. Will the scientific environment in which the work will be done contribute to the probability of success? Are the institutional support, equipment and other physical resources available to the investigators adequate for the project proposed? Will the project benefit from unique features of the scientific environment, subject populations, or collaborative arrangements?


Inquiries and discussion of plans for responding to this Notice are strongly encouraged. You may also refer to the Frequently Asked Questions (FAQ) page:

For parents awards funded by the NCI:

Geraldina Dominguez, Ph.D.
Office of HIV and AIDS Malignancy
National Cancer Institute
Telephone: (301) 496-3204


Julie A. Schneider, Ph.D.
Program Director, Center for Global Health
National Cancer Institute
Phone 301-496-6343

For parents awards funded by the NIMH:

Phuong Kim Pham, Ph.D.
Office for Research on Disparities & Global Mental Health
National Institute of Mental Health
Telephone: 301-443-3724

For parents awards funded by the NIAID:

Gayle Bernabe, M.P.H.
Regional Program Officer
Office of Global Research (OGR)
National Institute of Allergy and Infectious Diseases
Telephone: (301) 451-1018


Ray Chen, M.D., M.S.P.H.
Medical Officer
Office of Global Research
National Institute of Allergy and Infectious Diseases



Lara R. Miller, M.S.
Program Officer
Basic Immunology Branch
National Institute of Allergy and Infectious Diseases
Telephone: (301) 496-7551

For parent awards funded by other NIH Institutes and Centers in the area of HIV/AIDS and its co-morbidities:

Robert W. Eisinger, Ph.D.
Director of Scientific and Program Operations
and Chair, Therapeutics Coordinating Committee
Office of AIDS Research
National Institutes of Health
Telephone: (301)-496-0358

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