It is critical that applicants follow the instructions in the Application Guide (SF424 (R&R) Application Guide, eRA Commons Administrative Supplement User Guide) except where instructed to do otherwise (in this FOA or in a Notice from the NIH Guide for Grants and Contracts). Conformance tall 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.

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

The National Institutes of Health (NIH) hereby notifies all Program Director(s)/Principal Investigator(s) (PD(s)/PI(s)) holding research grants with activity codes listed in "Part 1 Overview Information" that funds are available for administrative supplements to recruit and support high school, undergraduate and graduate/clinical students, postdoctorates (including health professional), 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 demonstrated to have 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 underrepresentation remains an important problem that the entire research enterprise must actively address.

This administrative supplement is designed to provide support for research experiences for individuals from the identified groups throughout the continuum from high school to the faculty level. Continuation of this program in the future will depend on the 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.

In all cases, the proposed research experience must be an integral part of the approved, ongoing research of the parent award, and it must have the potential to contribute significantly to the research career development of the candidate.

Enhancing Diversity

Fostering diversity by addressing underrepresentation in the scientific research workforce is a key component of the NIH strategy to identify, develop, support and maintain the quality of our scientific human capital.

Every facet of the United States scientific research enterprise from basic laboratory research to clinical and translational research to policy formation requires superior intellect, creativity and a wide range of skill sets and viewpoints. NIH's ability to help ensure that the nation remains a global leader in scientific discovery and innovation is dependent upon a pool of highly talented scientists from diverse backgrounds, particularly those from underrepresented groups, who will help to further NIH's mission.

Research shows that diverse teams working together and capitalizing on innovative ideas and distinct perspectives outperform homogenous teams. Scientists and trainees from diverse backgrounds and life experiences bring different perspectives, creativity, and individual enterprise to address complex scientific problems. There are many benefits that flow from a diverse NIH-supported scientific workforce, including: fostering scientific innovation, enhancing global competitiveness, contributing to robust learning environments, improving the quality of the researchers, advancing the likelihood that underserved or health disparity populations participate in, and benefit from health research, and enhancing public trust.

In spite of tremendous advancements in scientific research, information, educational and research opportunities are not equally available to all. NIH encourages institutions to diversify their student, postdoctorate and faculty populations to enhance the participation of individuals from groups identified as underrepresented in the biomedical, clinical, behavioral and social sciences, such as:

A. Individuals from racial and ethnic groups that have been shown by the NSF 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 report 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: Blacks or African Americans, Hispanics or Latinos, American Indians or 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 demonstrated convincingly to be underrepresented by the grantee institution should be encouraged to participate in this program. For more information on racial and ethnic categories and definitions, see NOT-OD-15-089.

B. Individuals with disabilities, who are defined as those with a physical or mental impairment that substantially limits one or more major life activities, as described in the Americans with Disabilities Act of 1990, as amended. See NSF data at http://www.nsf.gov/statistics/wmpd/2013/pdf/tab7-5_updated_2014_10.pdf.

C. Individuals from disadvantaged backgrounds, 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 http://aspe.hhs.gov/poverty/index.shtml.

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

The disadvantaged background category (C1 and C2) refers to the financial and educational status of individuals while residing in the United States, and is only applicable to programs focused on high school and undergraduate candidates.

It should be noted that literature also shows that women from the above backgrounds (categories A, B, and C) face particular challenges at the graduate level and beyond in scientific fields (e.g., Inside the Double Bind, A Synthesis of Empirical Research on Undergraduate and Graduate Women of Color in Science, Technology, Engineering, and mathematics http://her.hepg.org/content/t022245n7x4752v2/fulltext.pdf).

Note: This FOA is designed specifically for applicants proposing research that does not involve leading an independent clinical trial, a clinical trial feasibility study, or an ancillary study to a clinical trial. Applicants to this FOA are permitted to propose research experience in a clinical trial led by a mentor or co-mentor.

Special Note: Because NIH ICs may have varying degrees of flexibility in interpreting and implementing the Diversity Supplement program, potential applicants should consult with the appropriate contact at the NIH awarding component at the earliest possible stage to discuss his or her unique situation (see Table of IC-Specific Information, Requirements and Staff Contacts).

See Section VIII. Other Information for award authorities and regulations.

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

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.

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 allowed.

Applicant Organizations

Applicant organizations must complete and maintain the following registrations as described in the SF 424 (R&R) Application Guide to be eligible to apply for or receive an award. Since administrative supplements are made against active grants and cooperative agreements, many of these registrations may already be in place. All registrations must be completed prior to the application being submitted. Registration can take 6 weeks or more, so applicants should begin the registration process as soon as possible. The NIH Policy on Late Submission of Grant Applications states that failure to complete registrations in advance of a due date is not a valid reason for a late submission.

• Dun and Bradstreet Universal Numbering System (DUNS) - All registrations require that applicants be issued a DUNS number. After obtaining a DUNS number, applicants can begin both SAM and eRA Commons registrations. The same DUNS number must be used for all registrations, as well as on the grant application.
• System for Award Management (SAM) (formerly CCR) Applicants must complete and maintain an active registration, which requires renewal at least annually. The renewal process may require as much time as the initial registration. SAM registration includes the assignment of a Commercial and Government Entity (CAGE) Code for domestic organizations which have not already been assigned a CAGE Code.
• NATO Commercial and Government Entity (NCAGE) Code Foreign organizations must obtain an NCAGE code (in lieu of a CAGE code) in order to register in SAM.
• eRA Commons - Applicants must have an active DUNS number and SAM registration in order to complete the eRA Commons registration. Organizations can register with the eRA Commons as they are working through their SAM or Grants.gov registration. eRA Commons requires organizations to identify at least one Signing Official (SO) and at least one Program Director/Principal Investigator (PD/PI) account in order to submit an application.
• Grants.gov Applicants must have an active DUNS number and SAM registration in order to complete the Grants.gov registration. Grants.gov registration is required for 'Electronic Application Submission through Grants.gov.'

Program Directors/Principal Investigators (PD(s)/PI(s))

All PD(s)/PI(s) must have an eRA Commons account. PD(s)/PI(s) should work with their organizational officials to either create a new account or to affiliate their existing account with the applicant organization in eRA Commons. If the PD/PI is also the organizational Signing Official, they must have two distinct eRA Commons accounts, one for each role. Obtaining an eRA Commons account can take up to 2 weeks.

Individual(s) must hold an active grant or cooperative agreement, and the research proposed in the supplement must be accomplished within the competitive segment of the active award.
For supplements to parent awards that include multiple PDs/PIs, the supplement may be requested by any or all of the PDs/PIs (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 PDs/PIs listed on the parent award. Visit the Multiple Program Director/Principal Investigator Policy in the SF424 (R&R) Application Guide for more information.

In addition, subproject directors 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 Are or Become Disabled: Established investigators (PDs/PIs) on an NIH research, program project, or center grant who are or 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.

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

A parent award 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 award 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 administrative supplement at a time, but may be supported by more than one supplement during the development of their research careers. Support under the supplement is not transferable to another individual or transportable to another institution.

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 Candidates for the Supplement Program

For the purpose of this announcement, institutions are encouraged to identify candidates who will enhance diversity on a national basis. In addition, it is recognized that underrepresentation can vary from setting to setting; individuals from racial or ethnic groups that can be demonstrated convincingly to be underrepresented by the grantee institution should be encouraged to participate in this program. 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 announcement 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 a Permanent Resident Card, Form I-551). This program may not be used to provide technical support to NIH-supported investigators.

Note: PD(s)/PI(s) should encourage candidates to submit applications for fellowships, career development awards, research grants, and other sources of independent support before the supplement period ends.

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/health professional (e.g., PhD, MD, DDS, DVM, etc.) 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 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 may be supported by the parent grant for short periods, at the recipient’s risk, pending Institute/Center decision on the supplement application. (See Pre-Award (Pre-Agreement) Costs in the Section 7.9.1 of the NIH Grants Policy Statement for further information).

Individuals in Postdoctoral Training: These supplements support individuals in the postdoctoral research 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 researcher'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 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. Individuals may be supported by the parent grant for short periods, at the recipient’s risk, pending Institute/Center decision on the supplement application. (See Pre-Award (Pre-Agreement) Costs in the Section 7.9.1 of the NIH Grants Policy Statement for further information). 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 (post-residency and specialty training), 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), is not eligible. However, individuals appointed as Scholars on Institutional Career Development Award (K12, KL2) are eligible for this supplement program.

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. PD(s)/PI(s) 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 award. 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), Exploratory/Developmental Grants (R21), or Research Transition Awards (R00) for supplements under this program, grantees holding those awards must check with the appropriate awarding component before submitting an application for a supplement. Supplements to the R15, R03, R21, and R00 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 researchers 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 award must have support remaining for a reasonable period (usually two years or more).

Applicants must prepare applications using current forms in accordance with the Application Guide.

You must access, prepare, and submit a full set of forms using one of the submission options listed above in the Table of Contents Part 1 of this FOA or take advantage of the eRA Commons streamlined submission method described below. Since your institution may have a preferred submission method (i.e., system to system), please consult with your administrative office for instructions before initiating an application.

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

It is critical that applicants follow the instructions for their submission option (SF424 (R&R) Application Guide or eRA Commons Administrative Supplement User Guide], as appropriate) except where instructed in this FOA to do otherwise. Conformance to documented requirements 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. Please also see Notice of Requirement for Electronic Submission of Research Supplements to Promote Diversity in Health-Related Research and Upcoming System Validation

All page limitations applicable to the parent award as described in the Application Guide and the Table of Page Limits must be followed.

Administrative supplement requests for all activity codes must be submitted using electronic submission processes.

Instructions for Electronic Application Submission through the NIH ASSIST system, an institutional system-to-system (S2S) solution, or Grants.gov Workspace

If presented with more than one form package, use the Competition ID and Competition Titles provided to determine the most appropriate application forms package for your situation.

Prepare applications using the SF424 (R&R) forms associated with the chosen package. Please note that some forms 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 forms, with the following additional guidance:

• R&R Cover form: Select Revision in the Type of Application field.
• Research Plan form: At a minimum, the Research Strategy section should be completed and must include a summary or abstract of the funded parent award or project. Other sections should also be included if they are being changed by the proposed supplement activities. 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 student, postdoctorate, or faculty member and that the research experience is intended to provide opportunities for career development as a productive researcher. In addition, it must demonstrate that the PD(s)/PI(s) is willing to provide appropriate mentorship to facilitate the research and career development of the candidate.
• Project/Performance Site Locations form: 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 Profile (Expanded) form: List the PD/PI as the first person (regardless of their role on the supplement activities). List any other Senior/Key Personnel who are being added through this supplement.
• Note: Candidates for supplement support must have an eRA Commons account and the candidate's Commons Username must be entered in the Credential field. Do not list any other senior/key personnel on this form.
• Biographical Sketch: Include a biographical sketch. The personal statement of the candidate's biographical sketch should address:
  • Evidence of scientific achievement or interest.
  • Any source(s) of current funding.
  • A statement from the candidate outlining her/his research objectives and career goals.
• Budget forms (e.g., R&R Budget, PHS 398 Training Budget): Only include funds requested for the additional supplement activities.
• R&R Other Project Information form:
• If applicable, attach PDF documents in the Other Attachments field indicating 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. Name the documents IACUC Documentation.pdf and/or IRB Documentation.pdf . 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.
• Candidate 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 and a description of how the appointment of this specific candidate will address the issue of diversity within the national scientific workforce (i.e., what underrepresented group the candidate falls into). 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 applicant and mentor 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 PD/PI, the candidate, and the appropriate institutional business official.
• Sub-recipient 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 candidate, the PD/PI, and the appropriate institutional business official.
• PHS Human Subjects and Clinical Trials Information form: Only include a new or revised human subjects study record if these items do not change the scope of the approved project (e.g., new clinical trials cannot be added through an administrative supplement). If new recruitment or use of an additional existing dataset or resource is proposed in the supplement application, Section 2.4 should be revised and new Inclusion Enrollment Reports created, as appropriate.

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

  NIH 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. A User s Guide for submitting through this system is available, with the following additional guidance:

  • After initiating the administrative supplement request form, answer "Yes" to the question, "Is this request for a diversity or re-entry supplement?"
  • Note: Candidates for this supplement support must have an eRA Commons account and the candidate's Commons Username must be entered in the Credential field.
  • Budget information should be entered for the grantee institution in the tabs provided for each selected budget period.
  • Since there is no template or form available for subaward budget information, all subaward information must be included as a PDF attachment in the Subrecipient Budgets section showing the funds requested (by budget period) and using the same categories provided for the grantee institution. The attachment must also include any related budget justification information.
  • Use the Add Other Attachments function to include the following PDF documents:
  • Research Experience Plan: At a minimum, the Research Strategy section should be completed and must include a summary or abstract of the funded parent award or project. 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 student, postdoctorate, 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.
  • Biographical Sketch: Provide a biographical sketch for each candidate proposed to be added through this supplement, or for whom additional funds are being requested through this supplement. The personal statement of the candidate's biographical sketch should address:
    • Evidence of scientific achievement or interest.
    • Any source(s) of current funding.
    • A statement from the candidate outlining her/his research objectives and career goals.
  • Appendix - Include the following:
  • If applicable, attach documentation in the Appendix section indicating 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.
  • Candidate 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 and a description of how the appointment of this specific candidate will address the issue of diversity within the national scientific workforce (i.e., what underrepresented group the candidate falls into). The strength of this statement will be considered by the NIH administrative review committee along with all other material provided.
  • Provide documentation of Home Institution Approval: Under unusual circumstances where the applicant and mentor 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 PD/PI, the candidate, and the appropriate institutional business official.
  • Provide documentation of Sub-recipient Approval: If any of the research is to be conducted at an organization other than the grantee institution, a signed letter from the institution where the research is to be conducted must be submitted. The request must be signed by the candidate, the PD/PI, and the appropriate institutional business official.
  3. Unique Entity Identifier and System for Award Management (SAM)

  See Part 1. Section III.1 for information regarding the requirement for obtaining a unique entity identifier and for completing and maintaining active registrations in System for Award Management (SAM), NATO Commercial and Government Entity (NCAGE) Code (if applicable), eRA Commons, and Grants.gov.

  4. Submission Dates and Times

  Part I. Overview Information contains information about Key Dates and Times. Applicants are encouraged to submit electronic applications before the due date to ensure they have time to make any application corrections that might be necessary for successful submission. When a submission date falls on a weekend or Federal holiday, the application deadline is automatically extended to the next business day.

  Applicants are responsible for viewing their electronic application before the due date 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.

  5. Intergovernmental Review (E.O. 12372)

  This initiative is not subject to intergovernmental review.

  6. 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.

  Awards are based on the current programmatic needs of the NIH awarding component, therefore investigators must contact their program officials at the NIH before applying (see Table of IC-Specific Information, Requirements and Staff Contacts).

  Supplements for Established Investigators Who Are or 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, 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.

  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. 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. 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 compensation allowed for graduate students. Additional funds up to $3,000 per year may be requested to support supplies and travel for the candidate.

  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 to support supplies and travel for the candidate.

  Individuals in Postdoctoral Training: The NIH will provide support for salary and fringe benefits in addition to other necessary expenses, such as travel and supplies, to enable the candidate to participate as a postdoctoral research associate on the funded research project. The requested annual salary must be in accordance with the salary structure of the grantee institution, consistent with the level of effort. Requested salary may not exceed the maximum allowable NRSA stipend level for postdoctoral fellows in effect at the time of appointment (see: https://grants.nih.gov/training/nrsa.htm). Fringe benefits are provided in addition to salary, and should be in accordance with the fringe benefits provided to other postdoctorates at the awardee institution.. The supplement budget may include up to $6,000 to support supplies and travel for the candidate.

  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 for the candidate. Equipment may be purchased but requires prior approval of the NIH awarding component. The maximum period of support for any investigator is usually two years.

  Initial and Continued Funding

  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:

  • Funds for the continuation of support for students must be requested as a new diversity supplement. The request must be submitted promptly in anticipation of a renewal award to avoid an interruption of support. Additional time may be considered for individuals with disabilities, but must be well justified.
  • Funds for continued support for a postdoctoral researcher or an investigator must be requested by name in the parent grant application at the time of renewal and may not be requested as a research supplement. Postdoctoral researchers and investigators are expected to be fully integrated in the research laboratory when considered for continuation of support.
  7. Other Submission Requirements and Information

  Applications must be submitted using the instructions specified above.

  Applicants must complete all required registrations prior to submission. 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. If you encounter a system issue beyond your control that threatens your ability to complete the submission process on-time, you must follow the Guidelines for Applicants Experiencing System Issues. For assistance with application submission contact the Application Submission Contacts in Section VII.

  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 form 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 (SAM). Additional information may be found in the Application Guide.

  See more tips for avoiding common errors.

  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

  NIH staff will consider the ability of the proposed supplement activities to increase or preserve the parent award’s overall impact within the original scope of award:

  • The qualifications of the candidate including career goals, prior research training, research potential, and any relevant experience.
  • Evidence of educational achievement and interest in science (if the candidate is a student).
  • The strength of the description of how this particular appointment will promote diversity in biomedical, behavioral, or clinical research nationally, in accordance to the guidelines provided in Section I, Enhancing Diversity.
  • The plan and timeline for the proposed research and career development experiences in the supplemental request and their relationship to the parent grant.
  • Evidence that the proposed experience will expand and foster the research capabilities, knowledge, and/or skills of the candidate.
  • Evidence that the activities of the candidate will be an integral part of the project.
  • Evidence of adequate mentoring experience and success.
  • Evidence that the candidate will receive research career mentoring.

  In addition, each of the following criteria will be evaluated as applicable for the proposed supplement.

  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 Guidelines for the Review of Human Subjects.

  Inclusion of Women, Minorities, and Children

  When the proposed project involves human subjects and/or NIH-defined clinical research, the committee will evaluate the proposed plans for the inclusion (or exclusion) of individuals on the basis of sex/gender, race, and ethnicity, as well as the inclusion (or exclusion) of children to determine if it is justified in terms of the scientific goals and research strategy proposed. For additional information on review of the Inclusion section, please refer to the Guidelines for the Review of Inclusion in Clinical Research.

  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) description of proposed procedures involving animals, including species, strains, ages, sex, and total number to be used; (2) justifications for the use of animals versus alternative models and for the appropriateness of the species proposed; (3) interventions to minimize discomfort, distress, pain and injury; and (4) justification for euthanasia method if NOT consistent with the AVMA Guidelines for the Euthanasia of Animals. Reviewers will assess the use of chimpanzees as they would any other application proposing the use of vertebrate animals. 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.
  
  

  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 terms and conditions found on the Award Conditions and Information for NIH Grants website. This includes any recent legislation and policy applicable to awards that is highlighted on this website. When calculating the award for additional funds, NIH will 1) prorate funding if the requested budget period is adjusted at the time of award, and 2) use the institution’s current F&A rate; i.e., the rate in effect when the new funding is provided.

  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.

  Recipients of federal financial assistance (FFA) from HHS must administer their programs in compliance with federal civil rights law. This means that recipients of HHS funds must ensure equal access to their programs without regard to a person’s race, color, national origin, disability, age and, in some circumstances, sex and religion. This includes ensuring your programs are accessible to persons with limited English proficiency. HHS recognizes that research projects are often limited in scope for many reasons that are nondiscriminatory, such as the principal investigator’s scientific interest, funding limitations, recruitment requirements, and other considerations. Thus, criteria in research protocols that target or exclude certain populations are warranted where nondiscriminatory justifications establish that such criteria are appropriate with respect to the health or safety of the subjects, the scientific study design, or the purpose of the research.

  For additional guidance regarding how the provisions apply to NIH grant programs, please contact the Scientific/Research Contact that is identified in Section VII under Agency Contacts of this FOA. HHS provides general guidance to recipients of FFA on meeting their legal obligation to take reasonable steps to provide meaningful access to their programs by persons with limited English proficiency. Please see https://www.hhs.gov/civil-rights/for-individuals/special-topics/limited-english-proficiency/index.html. The HHS Office for Civil Rights also provides guidance on complying with civil rights laws enforced by HHS. Please see http://www.hhs.gov/ocr/civilrights/understanding/section1557/index.html; and https://www.hhs.gov/civil-rights/for-providers/laws-regulations-guidance/index.html. Recipients of FFA also have specific legal obligations for serving qualified individuals with disabilities. Please see http://www.hhs.gov/ocr/civilrights/understanding/disability/index.html. Please contact the HHS Office for Civil Rights for more information about obligations and prohibitions under federal civil rights laws at https://www.hhs.gov/ocr/about-us/contact-us/index.html or call 1-800-368-1019 or TDD 1-800-537-7697. Also note it is an HHS Departmental goal to ensure access to quality, culturally competent care, including long-term services and supports, for vulnerable populations. For further guidance on providing culturally and linguistically appropriate services, recipients should review the National Standards for Culturally and Linguistically Appropriate Services in Health and Health Care at http://minorityhealth.hhs.gov/omh/browse.aspx?lvl=2&lvlid=53.

  In accordance with the statutory provisions contained in Section 872 of the Duncan Hunter National Defense Authorization Act of Fiscal Year 2009 (Public Law 110-417), NIH awards will be subject to the Federal Awardee Performance and Integrity Information System (FAPIIS) requirements. FAPIIS requires Federal award making officials to review and consider information about an applicant in the designated integrity and performance system (currently FAPIIS) prior to making an award. An applicant, at its option, may review information in the designated integrity and performance systems accessible through FAPIIS and comment on any information about itself that a Federal agency previously entered and is currently in FAPIIS. The Federal awarding agency will consider any comments by the applicant, in addition to other information in FAPIIS, in making a judgement about the applicant’s integrity, business ethics, and record of performance under Federal awards when completing the review of risk posed by applicants as described in 45 CFR Part 75.205 Federal awarding agency review of risk posed by applicants. This provision will apply to all NIH grants and cooperative agreements except fellowships.

  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 non-competing continuation applications, 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 Research Performance Progress Report (RPPR) 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.

  In accordance with the regulatory requirements provided at 45 CFR 75.113 and Appendix XII to 45 CFR Part 75, recipients that have currently active Federal grants, cooperative agreements, and procurement contracts from all Federal awarding agencies with a cumulative total value greater than $10,000,000 for any period of time during the period of performance of a Federal award, must report and maintain the currency of information reported in the System for Award Management (SAM) about civil, criminal, and administrative proceedings in connection with the award or performance of a Federal award that reached final disposition within the most recent five-year period. The recipient must also make semiannual disclosures regarding such proceedings. Proceedings information will be made publicly available in the designated integrity and performance system (currently FAPIIS). This is a statutory requirement under section 872 of Public Law 110-417, as amended (41 U.S.C. 2313). As required by section 3010 of Public Law 111-212, all information posted in the designated integrity and performance system on or after April 15, 2011, except past performance reviews required for Federal procurement contracts, will be publicly available. Full reporting requirements and procedures are found in Appendix XII to 45 CFR Part 75 Award Term and Conditions for Recipient Integrity and Performance Matters.

  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.

  In evaluating this program, NIH expects to use the following evaluation measures:

  Undergraduate Students:

  • Aggregate number and demographic characteristics of participants
  • Subsequent educational/career progress, including:
  • Successful completion of an undergraduate degree in a STEM field
  • Enrollment in an advanced degree program in a STEM field

  Graduate Students:

  • Aggregate number and demographic characteristics of participants
  • Subsequent educational/career progress of participants, including:
  • Successful completion of a STEM graduate program
  • Subsequent participation in a formal research training or career development program in a STEM field
  • Subsequent participation in research
  • Subsequent employment in a research or research-related field
  • Subsequent authorship of scientific publications in a STEM field
  • Subsequent independent research grant support from NIH or another source

  Postdoctorates and Early Career Investigators:

  • Aggregate number and demographic characteristics of participants
  • Subsequent educational/career progress of participants, including:
  • Subsequent participation in research
  • Subsequent employment in a research or research-related field
  • Subsequent authorship of scientific publications in a STEM field
  • Subsequent independent research grant support from NIH or another source.
  Section VII. Agency Contacts

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

  Application Submission Contacts

  eRA Service Desk (Questions regarding ASSIST, eRA Commons registration, submitting and tracking an application, documenting system problems that threaten submission by the due date, post submission issues)
  Finding Help Online: http://grants.nih.gov/support/ (preferred method of contact)
  Telephone: 301-402-7469 or 866-504-9552 (Toll Free)

  Grants.gov Customer Support (Questions regarding Grants.gov registration and submission, downloading forms and application packages)
  Contact Center Telephone: 800-518-4726
  Email: [email protected]

  GrantsInfo (Questions regarding application instructions and process, finding NIH grant resources)
  Email: [email protected] (preferred method of contact)
  Telephone: 301-945-7573
  
  

  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)

  See: 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 Part 75.