NINDS Administrative Supplements for Collaborative Activities to Promote Translational Research (CAPTR)

Notice Number: NOT-NS-07-003

Key Dates
Release Date:  November 17, 2006                                                                                                                                                                   
Receipt Date:  March 12, 2007
Earliest Anticipated Start Date:  July 1, 2007   

Issued by
National Institute of Neurological Disorders and Stroke (NINDS), (


The National Institute of Neurological Disorders and Stroke (NINDS) announces the availability of one-year administrative supplements for NINDS-funded grantees to stimulate new interdisciplinary collaborations in translational research.  The proposed studies must be within the scope of the peer-reviewed activities specified within the NINDS parent award and collaborators may not have a previous history of joint interactions.


Collaborative activities are, by nature, more difficult to coordinate and oversee than activities led by a single investigator.  The fiscal constraints of the current climate make it increasingly difficult for individual investigators to advance in their careers or remain productive without outside collaborations.  The NIH is in the process of implementing a new policy to recognize multiple principal investigators on grant submissions ( in support of team-led science. 

The wealth of basic research discoveries on numerous neurological disorders makes this an opportune time to stimulate the translation of these discoveries into clinical applications.  The success of this type of collaboration is often dependent upon the pairing of investigators with different backgrounds and expertise.  This program seeks to support new interactions of this type that will move basic research activities towards translational outcomes.  It is anticipated that these administrative supplements will be successful in generating pilot data for translational R21s, U01s, or U54s, such as those overseen by NINDS’ Technology Development group (, or for new joint investigator-initiated R01 or P01 grant submissions to the NIH.

At the end of the activity, supported investigators will be required to submit a brief (1-2 page) summary of the findings, relevant publications, and future plans for the collaboration.  Sharing of any resource developed with these funds should also be described within the summary.   


Before submitting an application for a collaborative administrative supplement, all grantees must communicate with his/her Program Director to discuss the planned application. 

The proposed collaboration must be new.  Investigators with a prior history of collaboration (including co-authored publications) in the past five years are not eligible to apply jointly for this supplement.  Likewise, the collaboration should not already be apparent and supported through a funded NIH activity.  The new, collaborating investigator must have an independent appointment with his or her own laboratory space and not be a postdoctoral fellow or other research personnel within the laboratory of the NINDS funded Principal Investigator (PI).  The pairing of a basic with an applied (clinical, epidemiologic) investigator is encouraged, but not required.  The pairing of a senior with a more junior investigator is also not required; investigators at all stages in their careers are encouraged to participate. 

The application should propose either functional, mechanistic, or pre-clinical activities designed to move a basic discovery towards a translational endpoint in the near future.  Proposals focused on understanding the biological mechanism underlying a clinical observation would also be responsive.  Importantly, the clinical relevance should be well-defined and movement towards this goal should be supported within the proposal.  The uniqueness and interdisciplinary nature of the research activity should also be highlighted, as well as its relationship to the parent grant.  The proposed studies must be within the scope of the peer-reviewed activities specified on the parent award.  Proposals should not be designed to recover funds from review-recommended or administrative cuts to the parent award or provide cost extensions to activities that failed to re-compete in the peer review process.  In addition, they should not be used to support incremental basic advances in a field (e.g., refinement of a signaling pathway), technology development, or generation of a standard transgenic animal model.  These supplements are also not intended to support clinical interventions.

This program will support administrative supplements to Research Project (R01), conditional seven-year Javits award for highly meritorious applications (R37), and Program Project (P01) awards to NINDS grantees.  Parent awards must have at least one year remaining in the project period on September 30, 2007, in order to be eligible.  Grants that are in a no-cost extension will not be considered for support under this supplement program.  Only one CAPTR supplement request may be submitted per PI.

How to Apply

This is a one-time announcement.  Applications must be received on or before March 12, 2007.  Do not send applications to the Center for Scientific Review.  Applicants should submit one electronic copy as an e-mail attachment in PDF format and one hard copy (with original signatures of the PI and institutional official) of the application to the individual and address below.  Collaborative activities that involve more than one administrative supplement request (associated with different NINDS grants and, potentially, different institutions) should note this clearly in the e-mail communication.  In these cases, only one complete application should be submitted along with a separate cover letter, budget page with justification, facepage, and any biosketches/letters/resource pages pertinent to the additional site.  The role of each site should be clearly delineated within the body of the application.   

Ms. Donna James
National Institute of Neurological Disorders and Stroke
Neuroscience Center, Room 2141
6001 Executive Blvd.
Rockville, MD 20892

Submitting an Application

Applications for an administrative supplement under this program should use the PHS 398 form (rev. 4/2006; available at, and must include the following:

1. Cover letter requesting the supplement, identifying this notice, the number and title of the parent grant, and providing full contact information on the PI.  A separate title for the collaborative activity should also be provided in this letter.  (If the activity involves the submission of two independent administrative supplement requests, the name, institution, and NINDS grant number of the collaborating PI should also be provided, as well as the additional documents listed under “How to Apply” above.)

2. Face page.

The title of the project (Box 1) should be the title of the parent award.

This Notice (number and title) should be cited in Box 2, and the “yes” box should be checked.

The Principal Investigator (PI) must be the same as the PI on the parent award.  Subproject PIs on P01 awards are not eligible to apply for these supplements.

The remaining items on the face page should be filled out according to the PHS 398 application instructions.

3. Form page 2 (Description, Performance Sites, Key Personnel, Other Significant Contributors, and Human Embryonic Stem Cells) from PHS 398. The project description is that of the administrative supplement, not the parent grant.  The new co-investigator(s) or collaborator(s) should be noted under performance sites, along with their institution(s).

4. Biosketch(es) for any new key co-investigator(s) or collaborator(s) should be provided which are not listed within the parent grant(s).  Letters of commitment from these new participants should be included in section L (Consultants) of the Research Plan.

5. Resources page(s) for new key personnel not named in the parent grant(s).

6. Proposed budget for the supplement with a budget justification that details the items requested.  See “Budget Information” section below.

7. Research Plan for the supplement, items A-D not to exceed five pages.  Font size restrictions apply as designated within the PHS398 (rev. 4/2006) instructions.

This section should include a description of the supplement's specific aims (A), background and significance (B), preliminary studies (C), and research design and methods (D).  The relationship of the collaborative activity to the parent grant should be included under background and significance in section B.  If the collaboration involves more than one administrative supplement request, the contribution of each laboratory should be clearly delineated within the research plan.

Human subjects research (item E of the Research Plan) section should be included and involvement of human subjects or specimens should be specified here.  Any differences in the use of human subjects or specimens between the administrative supplement activity and the parent grant should be noted.  When appropriate, details should be provided on the protection of human subjects and inclusion of women, children, and minorities.  Additional guidance on Human Subjects Research is provided under Part II of the PHS 398 instructions ( ).  

Item F (Vertebrate animals): follow PHS 398 instructions

Items G (Select Agent Research), H (Literature Cited), J (Consortium/Contractual Arrangements), K (Resource Sharing) and L (Consultants) should be completed as described in the PHS 398 Instructions.

Item I Multiple Project Directors/Principal Investigators (PDs/PIs) Leadership Plan is not required.

Appendices and supplemental material will not be accepted.

Review Criteria

Applications will be reviewed administratively by a committee of NIH staff.  Awards will be determined on the basis of scientific merit, translational impact, potential to promote new interdisciplinary interactions, innovation, programmatic relevance, and availability of funds.  The added value of the underlying activity to the parent grant(s) and its realistic scope given the one year commitment will also be taken into consideration.  All funding decisions are final and not subject to appeal.  The anticipated awards will be made no later than September 30, 2007.

All appropriate IRB and IACUC approvals must be in place prior to a supplement award being made. 

Budget Information

Applicants may request up to $50,000 in direct costs for the one-year duration of an administrative supplement under this program.  At least one investigator within the collaboration must be the Principal Investigator on an NINDS supported grant.  This PI can either use the funds to support his or her part of the collaborative activity, the participation of a collaborator/co-investigator at their home institution, or subcontract to an outside investigator(s) to support their involvement.  The maximum direct cost request for an individual NINDS grantee is $50,000.  If two NINDS grantees are submitting a joint CAPTR application, each can request up to $50,000 direct costs as an administrative supplement to each of two independent grants.  The maximum direct cost request for a joint CAPTR application can not exceed $100,000.  The duration of each award is limited to one year.  Facilities and Administrative (F&A) costs will be paid at the full, negotiated rate.  Applicants should provide a detailed budget justification for personnel costs, supplies, and other expenses.  Salary support for the PI, co-investigators, and collaborators is not permitted.  Likewise, the purchase of equipment is not allowed.  In fiscal year 2007, the NINDS plans to commit approximately $1,000,000 total costs towards this administrative supplement program, with up to 13 awards anticipated.   


Applicants are encouraged to discuss their plans for responding to this Notice by phone or e-mail.  Scientific inquiries should be directed to the NINDS Program Director who oversees the parent grant associated with the administrative supplement request.  General inquiries about the CAPTR supplement program can be directed to:

Dr. Jane W. Fountain
Program Director
National Institute of Neurological Disorders and Stroke
Neuroscience Center, Room 2110
6001 Executive Blvd
Rockville, MD 20892
(301) 496-1431

Weekly TOC for this Announcement
NIH Funding Opportunities and Notices

Office of Extramural Research (OER) - Home Page Office of Extramural
Research (OER)
  National Institutes of Health (NIH) - Home Page National Institutes of Health (NIH)
9000 Rockville Pike
Bethesda, Maryland 20892
  Department of Health and Human Services (HHS) - Home Page Department of Health
and Human Services (HHS) - Government Made Easy

Note: For help accessing PDF, RTF, MS Word, Excel, PowerPoint, Audio or Video files, see Help Downloading Files.