NHLBI Research Supplements to Promote Diversity in Health-Related Research - Guidelines for the Applicant

National Heart, Lung, and Blood Institute
Revised October 2011

Update:

For NHLBI consideration of these supplemental applications for funding in FY 2012, applications must be received by the NHLBI by June 1, 2012.

Contents

INTRODUCTION
APPLICATION RECEIPT DATES
APPLICATION SUBMISSION
NHLBI STAFF CONTACTS

Section A. GENERAL INFORMATION

1. Eligibility
2. Candidate and Citizenship Requirements
3. Number of Supplements to a Grant, Subproject, or Contract
4. Number of Supplements Candidates May Have During Their Career
5. MERIT Extensions
6. Research Involving Animals or Human Subjects
7. Required Education in the Protection of Human Research Participants
8. Required Instruction in the Responsible Conduct of Research
9. Principal Investigator's (PI) Commitment to the Candidate
10. Pending and Current PHS and Non-PHS Support of the Candidate
11. Special Conditions, Restrictions, and Limitations

Section B. SPECIFIC NHLBI REQUIREMENTS and FUNDING RESTRICTIONS for DIFFERENT LEVELS of RESEARCH SUPPLEMENTS

Summary Table of education levels for research supplements (Note: please view table in conjunction with Section B., 1-6 of the Guidelines for the Applicant).

1. High School Student Supplement: HSS
2. Undergraduate Research Supplement: URS
3. Post-Baccalaureate: PBS and Post-Master's Degree Supplement: PMS
4. Graduate Research Assistant Supplement: GRS
5. Postdoctoral Supplement: PDS
6. Investigator Research Supplement: IRS

Section C. APPLICATION PROCEDURES

The Supplement Application

Part 1: Prepared by the Principal Investigator or Contractor

Cover Letter
Face Page
Research Plan
Plans to Enhance the Candidate's Research Capabilities
Candidate's Pending, Current, and Prior PHS or Non-PHS Support
Supplement Budget and Justification
Funding Restrictions
Animal or Human Use Description and Documentation
Approval to Conduct Research Away from Grantee Institution

Part 2: Prepared by the Candidate

Candidate's Biographical Sketch
Candidate's Statement: Career Goals
Certification that the Candidate Has Time to Conduct Research
Letter of Acceptance/Documentation of Further Education Intention
Transcript Requirements/References/Letters of Support

Section D. APPLICATION REVIEW AND AWARD

Review Criteria for Prioritizing Applications
Supplement Award Funding Policy

Section E. POST AWARD PROCEDURES

Required Supplement Progress Reports (Interim and Final)
Early Termination of Supplement Award

Section F. SUPPLEMENT EXTENSIONS

Cost Extension for Varying Periods for Supplements supported by grants (not contracts)
No-cost Extension

INTRODUCTION

The National Heart, Lung, and Blood Institute (NHLBI) Guidelines for the Applicant, have been prepared to assist Principal Investigators, Project Leaders of Program Project grants, and Contractors with preparation of supplement applications. The National Institutes of Health (NIH) program announcement for Research Supplements to Promote Diversity in Health-Related Research is found at: http://grants.nih.gov/grants/guide/notice-files/NOT-OD-11-113.html. NHLBI participates in the NIH Research Supplements to Promote Diversity in Health-Related Research, which is designed to attract and encourage individuals who are underrepresented in biomedical, behavioral, biometric, clinical, social, and nursing research careers by providing a continuum of research opportunities, from high school student to faculty levels. The overall goal is to increase diversity in the research workforce by providing training opportunities to individuals whose basic or clinical research interests and skills are grounded in the advanced methods and experimental approaches needed to solve research problems. The NHLBI encourages diversity on all research training support mechanisms. Before submitting a supplement application, individuals and their mentors should explore new and existing training and career development programs at their institution which also provide research training opportunities (e.g., F30, F31, F32, K01, K08, K23, T32, and T35).

The research emphasis in the NHLBI program is on cardiovascular, pulmonary, and blood diseases; transfusion medicine; sleep disorders; and any other areas supported under the NHLBI's mission.

APPLICATION RECEIPT

An application for a new supplement may be submitted at any time. However, please note the instructions on different supplement award dates for specific supplement levels, with particular emphasis on Post- baccalaureate/Master's, Postdoctoral, and Investigator level supplements under Section B. SPECIFIC NHLBI REQUIREMENTS for DIFFERENT LEVELS of RESEARCH SUPPLEMENTS. All applications should arrive at least three months before the requested start date to allow time for review. Principal Investigators are strongly encouraged to synchronize the requested start date for the supplement award and the budget start date for the parent grant (this does not apply to contracts) for postdoctoral and investigator level supplements. The NHLBI may synchronize the requested start date if it is within three months of the budget start date of the parent grant to eliminate more than one award being made in a single fiscal year. Applications seeking awards before the end of a fiscal year (September 30) must be received no later than June 1, 2012. Applications that arrive after this date will be considered for the next fiscal year funding. Due to our budgetary cycle, awards are not made in October and November.

APPLICATION SUBMISSION

Email Submissions: The NHLBI requires submission of Diversity and Re-Entry Supplement applications as a single PDF file. The Supplement application elements from the PHS 398 application package are available from the NIH Website at: http://grants1.nih.gov/grants/forms.htm.

All elements of the application, including elements not available for download from the PHS 398 application package, namely, transcripts, letters of recommendation, etc., should be clearly scanned as PDF files and included in the application as a single PDF file sent by the Administrative Organizational Representative. The subject line of the email must contain the phrase, NHLBI DIVERSITY SUPPLEMENT APPLICATION and include PI NAME and GRANT OR CONTRACT NUMBER, or NHLBI RE-ENTRY SUPPLEMENT APPLICATION and include PI NAME and GRANT OR CONTRACT NUMBER.

NHLBI STAFF CONTACTS

For clarification of the provisions of the NHLBI Supplements Program, Principal Investigators planning to apply are encouraged to consult the appropriate Division Representative named below, the Program Official/Project Officer responsible for the parent grant/contract, or the Office of Research Training and Minority Health (ORTMH).

Section A. GENERAL INFORMATION

1. Eligibility
   
   Principal Investigators (including PIs of Multi-PI grants and P01 subprojects) of the following NHLBI supported grants/contracts can request Research Supplements:

   R00 phase of the K99/R00: NIH Pathway to Independence
   R01: Research Project
   R15: Academic Research Enhancement Award (AREA)
   R21: Exploratory/Developmental Grant
   R33: Exploratory/Developmental Grant
   R37: Method to Extend Research in Time (MERIT)
   U01: Cooperative Agreement
   UH1: Research Scientist Award for Minority Institutions
   P01: Program Project
   N01: Research and Development Contract
   RL1: Linked Research Project Grant
   
   The R00 phase of the NIH Pathway to Independence, R15 Academic Research Enhancement Award (AREA) and the R21 and R33 Exploratory/Developmental Grants may support high school, undergraduate, and post-baccalaureate/post-master's students only.
   
   The following NHLBI supported grant mechanisms are not eligible for research supplement support:
   
   P30: Center Core Grants
   P50: Specialized Centers of Research (SCOR)
   and Specialized Clinical Centers of Research (SCCOR)
   P60: Comprehensive Center
   R03: Small Grants
   R43, R44: Small Business Innovation Research Grants (SBIR)
   R41, R42: Small Business Technology Transfer Grants (STTR)
   U54: Specialized Center (Cooperative Agreements)

Eligible Candidates:

Candidates who are eligible for support under this supplement program include individuals at various career levels who come from groups that have been shown to be underrepresented in science. Such candidates include individuals from underrepresented racial and ethnic groups, individuals with disabilities, and individuals from disadvantaged backgrounds. Institutions are encouraged to identify candidates who will increase diversity on a national or institutional basis. The strength of an institution's description and justification for the appointment of an identified candidate will be judged along with all other aspects of the proposed experience. Please see the detailed eligibility criteria described in the full announcement: PA-08-190/NOT-OD-11-113.

Individuals from underrepresented groups who are or have been Principal Investigators on the following mechanisms are eligible to receive support from a PDS or IRS supplement:

• Academic Research Enhancement Award (AREA: R15)
• Small Grant Award (R03)
• Predoctoral (F31) and Postdoctoral (F32) fellowships

Candidates may have had support on a National Research Service Award (NRSA) grant (T or F) however, a supplement will not start until the candidate's appointment on a NRSA training grant (generally a two-year commitment for Post-Doctoral individuals in order to satisfy a payback obligation) has been completed. A Candidate's current NRSA training grant support cannot be terminated early to place the Candidate on a research supplement.

The supplement awardee can accept DHHS or non-DHHS support (e.g., an American Heart Association fellowship) while receiving support from a supplement, depending on the percent effort commitments to the various support mechanisms. It is the responsibility of the Principal Investigator/Contractor to inform the NHLBI of any changes in non-supplement support to the candidate during the course of the supplement. No salary may come from the parent grant/contract.

Ineligible Candidates:

Individuals who have received previous funding from NIH as an independent Principal Investigator on a research project grant (e.g., R01, R21), or as the project leader on a component of a program project or center grant (e.g., P01, P50), or as Principal Investigator on an individual research career award (e.g., K01, K02, K07, K08, K12, and K23) are not eligible.

Length of Supplement Award:

The NHLBI support for individual students by the supplement mechanism will be limited to four years. Grants/contracts with adequate time for a summer research experience or one year remaining at the time of award are eligible to apply for high school, undergraduate, and graduate level supplements. The post-baccalaureate/post-master's (PBS/PMS) supplement levels require at least one year remaining at the time of award unless otherwise specified.

To be eligible to receive the Postdoctoral or the Investigator Supplement, the NHLBI-supported grant/contract should have adequate time (preferably two years or more but not less than 18 months) remaining at the time the supplement is awarded. Two years remaining on the grant is recommended to help ensure the candidate has adequate time to develop/enhance a research skill set and acquire publishable data. As noted in Section D, the Postdoctoral and Investigator level supplements are awarded 4 times per year in December, March, June, and September.

The Post-Baccalaureate and Post-Master's supplement applicants can request duration of one year or up to two years with full-time effort. However, the Research Plan should reflect the time requested. Milestones should be provided to show active pursuit of entry into a graduate or a health-professional school and/or where the candidate expects to be upon completion of the supplement award. The NHLBI awards the Post-Baccalaureate and Post-Master's supplements from June through September to coincide with entry into graduate/medical school after completion of the research experience. Awards may also be made in January to accommodate Post-Baccalaureate and Post-Master's students who meet the above criteria and have graduated on other academic cycles.

The NHLBI may support other supplement levels for up to 4 years with a specified percent time or equivalent each year (see individual supplement levels for complete information) with justification. The length of an award varies but in almost all cases it may not exceed the current project period of the parent grant (but see "MERIT Extension"-circumstances in which support may be extended).

Applications for supplements to grants or contracts, with less than one year of research support remaining, will only be considered for high school, undergraduate, and medical or other health professional students research support for a summer experience.

Individuals may not be transferred to a supplement to increase the availability of funds to the parent grant or contract for other uses.

2. Candidate and Citizenship Requirements

For the purpose of this announcement, institutions are encouraged to identify candidates who will increase diversity on a national or institutional basis. The strength of an institution’s description and justification for the appointment of an identified candidate will be judged along with all other aspects of the proposed experience. Please see the following specific instructions in the National Institutes of Health (NIH) program announcement for Research Supplements to Promote Diversity in Health-Related Research at: http://grants.nih.gov/grants/guide/notice-files/NOT-OD-11-113.html. Awards under this program are limited to citizens or non-citizen nationals of the United States or to individuals who have been lawfully admitted for permanent residence in the United States (i.e., in possession of an Alien Registration Receipt Card) or some other legal evidence of admission for permanent residence at the time of application.

Noncitizen nationals are individuals who owe permanent allegiance to the U.S. and are born in lands under U.S. sovereignty, jurisdiction, or administration such as Guam, the U.S. Virgin Islands, or any other U.S. territory or possession.

Permanent residents of the U.S. are people who have a currently valid Alien Registration Receipt Card or some other legal documentation of such status, a copy of which is required as part of the supplement application. Individuals with student or other non-immigrant visas are not eligible to receive support under this program.

3. Number of Supplements to a Grant, Subproject, or Contract

Usually, a parent grant or contract may support only one individual on a supplement. However, investigators are encouraged to recruit more than one high school or undergraduate student for support by a supplemental award. Appointment of more than one individual to a single grant or contract above the high school or undergraduate level depends on the nature of the parent grant/contract, the circumstances of the request, and the program balance of the NIH awarding component. A separate application must be submitted for each candidate provided adequate laboratory space and mentorship are assured.

4. Number of Supplements Candidates May Have During Their Career

A candidate can receive consecutively, a high school (HSS), an undergraduate (URS), a post-baccalaureate (PBS), a graduate (GRS), a post-master's degree (PMS), a postdoctoral (PDS), and an investigator (IRS) supplement during her/his career advancement. Candidates may receive support from only one supplement program at a time as supplement awards may not overlap each other, but they may be supported by more than one supplement during the development of their research careers. These awards may be from different awarding research components of the NIH.

NHLBI will award another supplement at the same level to the same individual to allow the maximum of up to 4 years of support to complete her/his research experience. Please contact the Program Official/Project or Contract Officer of the parent grant/contract or the NHLBI Division Representative for the Supplements Program for more information.

5. MERIT Extensions

For Method to Extend Research in Time (MERIT: R37) grant awards, the parent grant need not have two years of research support remaining to be eligible to support the postdoctoral or investigator award providing the NHLBI has sent a letter to a MERIT awardee stating that the award will be extended. The PI can apply for a supplement that begins in the current MERIT project period but continues into the extended period, subject to all other requirements for the award of a supplement. This is the only situation where a supplement award may cross from one project period to another without the need to submit a new application.

6. Research Involving Animals or Human Subjects

In grants, P01 subprojects, or contracts:

• Using the same animals or human subjects: If animal or human research is approved in the parent award, research proposed for the supplement will use the same animals or human subjects as is in the parent grant. Thus, the supplement will use the same animal or human research protocols that were approved for the parent award by the Institutional committees--no new approval document is necessary.
  
  
• Using additional animals or human subjects: A new Institutional Review Board (IRB) and/or Institutional Animal Care and Use Committee (IACUC) approval document from the appropriate institutional committee is required. The additional animals must be of the same species and humans will generally possess the same gender, age, and reproductive status characteristics as those being studied in the parent award. Changes from the above are rarely permitted and only with compelling justification and after prior discussion with the NHLBI Program Official/Project or Contract Officer. In such rare cases, the Principal Investigator must also submit a new approval document from the IRB/IACUC as part of the supplement application or later under “Just-in-Time" procedures and a detailed description of the proposed changes.
  
  A detailed description of the involvement of human subjects must be included in accordance with the instructions provided in the standard grant application, PHS Form 398.
  
  
• Changing the animal or human model, from those approved in the parent grant, P01 subproject, or contract may constitute program expansion (or change of scope) and is rarely permitted for a supplement. Changes in model include changes in age, gender, and reproductive state, as well as in species. Any proposed changes should be discussed with the NHLBI Program Official/Project or Contract Officer for the parent grant, P01 subproject, or contract, well in advance of submitting a supplement application.
  
  
• Inclusion of Women, Minorities, and Children in Research
  If research involving human subjects is proposed, the supplement application must adequately address the NIH policies on the:
  
  Inclusion of Women and Minorities in Clinical Research Studies
  http://grants1.nih.gov/grants/funding/women_min/guidelines_amended_10_2001.htm
  
  Inclusion of Children as Participants in Research Involving Human Subjects
  http://grants.nih.gov/grants/guide/notice-files/not98-024.html
  
  Documentation that the Candidate has completed the required education in the protection of human research participants may be submitted with the application or may be provided just prior to funding.

7. Required Education in the Protection of Human Research Participants

For all NHLBI supplement awards involved in human subjects research, Candidates are considered “key personnel” and are required to submit documentation that they have received this education.

The website, http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-054.html, links to the NIH web-based tutorial (http://phrp.nihtraining.com) and frequently-asked-questions, (http://grants.nih.gov/grants/policy/hs_educ_faq.htm). They may take either the institution’s training or equivalent, or may use the one the NIH has provided at http://phrp.nihtraining.com

8. Required Instruction in the Responsible Conduct of Research

Every Candidate for a supplement must receive instruction (from the applicant institution) on scientific integrity and ethical principles in research including conflict of interest, responsible authorship, policies for handling misconduct, policies regarding the use of human and animal subjects, and data management. The supplement application must address the format and subject matter of this instruction (including a detailed list of the topics), as well as the frequency and degree of participation of the supplement Candidate. A separate paragraph must address all aspects of the Required Instruction in the Responsible Conduct of Research.

A plan that employs only on-line coursework for instruction in the responsible conduct of research will not be considered acceptable, except in instances of short-term training (HSS, URS, GRS health professional student), or unusual and well-justified circumstances. For these levels, examples of online programs that have been regarded as good models for online instruction in the responsible conduct of research are available at: http://ori.hhs.gov/education/products/rcr_general.shtml.

9. Principal Investigator's (PI) Commitment to the Candidate

The PI should fully describe in the application, her/his commitment to the Candidate under the following headings:

Mentorship: The mentoring plan is an essential part for the research supplement application. More details provided in Part 1: Prepared by the Principal Investigator or Contractor under "Mentoring Plan".

Research Team: How the Candidate will interact with other members of the team and how the PI proposes to support the Candidate's career development; any planned outside laboratory experiences or collaborations for the Candidate.

Travel and Scientific Presentations: A plan to attend at least one scientific meeting each year of the award. Encouraged for all levels, but is required for the URS, PBS, GRS, PMS, PDS, and IRS Candidates. Up to $1,000 a year may be requested for travel for scientific meeting purposes. The Candidate should be encouraged to participate in poster sessions or oral presentations at these meetings.

Publications: How opportunities will be provided for the Candidate to participate in writing and publishing scientific papers and making presentations at scientific meetings (particularly for the higher level supplements such as the PDS and IRS).

10. Pending and Current PHS and Non-PHS Support of the Candidate

The application must list: (1) the Candidate’s pending, and current private- and public-sector research support (grants, awards, scholarships, other sources) and the level of commitment (percent effort) to these activities; and (2) the project start and end date for each source of support. The candidate can receive funds from other sources, both federal (other than the parent grant/contract) and non-federal, provided she/he can devote the required level of effort to the supplement and if it is determined by NHLBI staff that the Candidate’s activities supported by these other sources will not interfere or overlap with the research being conducted on the supplement.

11. Special Conditions, Restrictions, and Limitations

A Supplement awardee may participate in a federal or non-federal grant/contract other than the parent grant/contract as a non-key investigator, during support on the supplement award, providing the supplement percent effort requirement is met. Approval of the NHLBI Program Official/Project or Contract Officer is required to ensure that this activity will not interfere with the research training proposed under the supplement and the required percent effort for the specific supplement level is met.

Funds for a supplement are made to the parent grant/contractor's institution and are not transferable to another candidate, contract, or grant.

Section B. SPECIFIC NHLBI REQUIREMENTS and FUNDING RESTRICTIONS for DIFFERENT LEVELS of RESEARCH SUPPLEMENTS

In addition to eligibility provisions discussed in the general procedures, there are special considerations associated with different career levels. The following describes special requirements for High School Students; Undergraduate Students; Post-Master's and Post-Baccalaureate Degree Students; Graduate Students; Postdoctoral Researchers; Faculty Level Researchers, and Individuals who Become Disabled.

Guidelines for Research Proposed for a Supplement

Design of the Candidate's research plan should take into consideration the research readiness of the Candidate and the goals of the IRG-approved parent grant.

The research plan should be appropriate to the academic level of the candidate and discussed in sufficient detail to clarify the goals and objectives of the work proposed.

For HSS, URS only - the research proposed must be part of the IRG-approved research plan.

PBS, PMS, GRS, PDS, and IRS - the research proposed must be a logical extension of the goals and objectives of the parent grant, subproject, or contract -see below, but not sufficiently different to constitute new research, program expansion, or change in scope (see the NIH Grants Policy Statement on Change of Scope and see Section C, Part 1, prepared by Principal Investigator or Contractor, under Research Plan).

No project deleted during the initial peer review may be proposed as the research basis for research supplement support. Research proposed for a supplement to a contract that is determined by the NHLBI as being outside the scope of the parent contract will not be approved.

HSS and URS candidates are generally not expected to conduct independent research. However, candidates who indicate readiness for some degree of independent research should be encouraged to do so, provided their research is part of or a logical extension of the parent grant or contract's original research plan or goals. All students should be encouraged to participate in ongoing team discussions of research findings and directions.

PBS, PMS, and GRS candidates are expected to conduct a defined research project (i.e., a logical extension of the goals and objectives of the parent grant, subproject, or contract) that will lead toward a new or more advanced research skill set or graduate degree. Generally, the Principal Investigator of the grant/contract serves as the graduate student's research thesis advisor.

Medical students or students of other allied health professions who seek a GRS for short-term research training and not for obtaining a degree may assume partial or complete responsibility for some aspects of the parent grant or contract's original research plan or goals.

PDS and IRS candidates are expected to have defined research projects (i.e., a logical extension of the goals and objectives of the parent grant, subproject, or contract) that will lead to publishable data and significantly enhance the candidate's ability to compete for independent grant support from NIH and other sources.

Mentors applying for support at the postdoctoral and in particular, the investigator levels, must provide, after developing in conjunction with the Candidate, a projected time line delineating specific research milestones and other activities that will be made in an attempt to secure independent research funding (i.e., anticipated publications, grantsmanship workshops, timeframe for grant submissions and type of independent research support the candidate seeks).

1. High School Student Supplement: HSS

The purpose of this program is to provide high school students with an opportunity to obtain a meaningful experience in various aspects of health-related research to stimulate their interest in careers in biomedical, behavioral, clinical, or social sciences. Any eligible high school student who is currently enrolled and in good standing at her/his high school and is interested in biomedical, behavioral, clinical or social research is encouraged to participate in this program.

The salary for a high school student, whether full- or part-time, should be consistent with the institutional salary policies. Institutional salary rates for high school students, which exceed the hourly minimum wage, must be justified. An additional amount of $1,000 per year may be requested for supplies and travel to scientific meetings, home, school, and/or research site. Equipment may not be purchased with these funds. 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 mixture of full-time summer experience and part-time experience during the school year. Principal Investigators 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/contract, and the specific request.

Please review Summary Table, HSS in conjunction with these specific NHLBI requirements.

2. Undergraduate Research Supplement: URS

This supplement program provides an opportunity for undergraduate students interested in health-related research to participate in a research project during the summer months and/or during the academic school 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.

The salary for an undergraduate student should be consistent with the institutional salary policies. Institutional salary rates for undergraduates that exceed $10 per hour must be justified. An additional amount of $200 per month for supplies and travel may also be requested. Up to $1,000 per year of this amount should be for travel to scientific meetings or between home, school, and/or research site. Equipment may not be purchased using these funds. Students are expected to devote the equivalent of at least three months of full-time effort to the research project and related activities in any one year and, 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.

Please review Summary Table, URS in conjunction with these specific NHLBI requirements.

3. Post-Baccalaureate Supplement: PBS and Post-Master's Degree Supplement: PMS

This supplement will provide opportunities for recent baccalaureate or master's degree graduates who wish to spend up to two years engaged in health-related research while applying for admission to graduate or medical school. The duration of the program can be for one year initially, and 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 professional school. If submitting for a 2 year supplement initially, research aims should be addressed one year at a time, with additional aims for year 2. This program may not be used to provide technical support to NIH-supported investigators. Recent graduates who have earned either a bachelor's or master's degree in a health-related science are eligible for consideration. Students who plan to attend medical, dental or other health professional schools are encouraged to use this program to gain research experience.

The Research Plan, which should be a logical extension of the parent grant/contract, should reflect the time requested. Milestones should be provided to show active pursuit of entry into a graduate or a health-professional school, and/or where the candidate expects to be upon completion of the supplement award. If a cost extension is requested after the initial one year, the instructions under Section F. Supplement Extensions should be followed. The cost extension must be requested at least 3 months in advance. The NHLBI accepts applications from candidates who have recently completed a Bachelor's or Master's degree (within 24 months) with expressed intent of completing a graduate/medical degree. The NHLBI awards the Post-Baccalaureate and Post-Master's supplements from June through September to coincide with entry into graduate/medical school after completion of the research experience. Awards may also be made in January to accommodate Post-Baccalaureate and Post-Master's students who meet the above criteria and have graduated on other academic cycles.

A minimum of one year research experience is important to the NIH as it helps establish the candidate's research design and implementation skills. It may also provide an opportunity for authorship on publications. Therefore, to obtain maximum benefit from this program, a minimum one full year of research experience is a requirement.

The salary for students at the post-baccalaureate and post-master's degree levels should be reasonable and consistent with the institutional salary policies and cannot exceed the amount allowed for Graduate Research Assistants, as below (see NIH Guide announcement, http://grants.nih.gov/grants/guide/notice-files/NOT-OD-11-067.html). Additional funds up to $3,000 per year may be requested for supplies and travel. Up to $1,000 per year of this amount should be for travel to scientific meetings. Funds may not be used to purchase equipment.

Please review Summary Table, PBS/PMS in conjunction with these specific NHLBI requirements.

4. Graduate Research Assistant Supplement: GRS

The objective of this program is to reach out to graduate students already in biomedical, behavioral, clinical, or social sciences and provide an opportunity to further develop their research capabilities. However, students who are currently supported on research or training grants may not be supported on research supplements. Any eligible graduate student who is enrolled in a master's or a research doctoral degree program in biomedical, behavioral, clinical, or social sciences is eligible for consideration. Students in medical school or other professional schools are encouraged to use this program to gain research experience. Students in Ph.D. degree programs who are supported on supplements are encouraged to apply for the Ruth L. Kirschstein National Research Service Award or similar types of support (e.g., dissertation grants) from the NIH, other federal agencies, or private organizations.

A supplement may be funded up to 4 years with full-time research effort required for graduate students enrolled in a doctoral program or up to 2 years for a master's program. However, a minimum of 3 months full-time research effort each year or equivalent is required for medical or students of other allied health professions. The GRS will be terminated when the candidate obtains their graduate degree. 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://grants.nih.gov/grants/guide/notice-files/NOT-OD-11-067.html). Additional funds up to $4,000 per year may be requested for supplies and travel. Up to $1,000 per year of this amount should be for travel to scientific meetings. Funds may not be used to purchase equipment.

Please review Summary Table, GRS in conjunction with these specific NHLBI requirements.

5. Postdoctoral Supplement: PDS

These supplements provide research support to permit individuals in the postdoctoral phase of their training to participate in ongoing research projects. This experience must serve as a means of assisting the postdoctoral fellow's development into a productive researcher in a health-related science. Postdoctoral fellows who are currently being supported on research or training grants may not be supported on research supplements. Supported candidates should be encouraged to submit applications for fellowships, research grants, and other sources of independent support well before the supplement period ends. 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 her/his former predoctoral mentor.

The NHLBI supports the PDS for a minimum of 18 months. Support may be provided for a supplement up to four years with a specified percent time or equivalent each year with justification. Cumulative Postdoctoral research experience must not exceed 6 years. Candidates with prior postdoctoral research experience must provide justification for the additional training requested. The PDS requires full-time research effort (at least 40 hours per week). However, individuals with clinical, other research, or teaching responsibilities may request a minimum of 50% research effort.

The NIH will provide support for salary in addition to other necessary expenses, such as travel and supplies, to enable the candidate to participate as a postdoctoral research assistant or associate on the funded research project. The requested salary and fringe benefits must be in accordance with the salary structure of the grantee institution, consistent with the level of effort, and may not exceed $50,000 per year. Applicants must check with their Program Official/Project or Contract Officer at the NIH before submitting an application. The supplement budget may include up to $6,000 per year for supplies and travel for the candidate. Up to $1,000 per year of this amount should be for travel to scientific meetings. These funds may not be used to purchase equipment.

Please review Summary Table, PDS in conjunction with these specific NHLBI requirements.

6. Investigator Research Supplement: IRS

The NIH IRS supplements provide either short or long-term research support for faculty members to enhance their research skills and establish an independent research career.

The NHLBI does not support the Short-term Investigator Research Supplement.

Long-term Investigator Research Supplement

This supplement provides long-term research support for faculty members to conduct research in the biomedical or behavioral sciences. Support is usually provided for up to two years at a minimum of 75 percent effort during each 12-month period. Note below: The NHLBI supports the IRS for a maximum of four years.

The NHLBI supports the IRS for a minimum of 18 months and a maximum of four years as transition funding to other sources of research support. Eligible candidates are recently appointed junior faculty (within 24 months) who can document at least one full year of postdoctoral research experience. The IRS requires full-time research effort (at least 40 hours per week or 75% effort). However, individuals with clinical, other research, or teaching responsibilities may request a minimum of 50% research effort.

In both cases, the investigator may be affiliated with the applicant institution or some other institution. The investigator must have a doctoral degree, be beyond the level of a research trainee, typically employed at the junior faculty level (instructor or assistant professor) with at least one year of postdoctoral or equivalent research experience. The candidate is still eligible if they have previously received support from these programs: the Small Grants (R03), National Research Service Award (NRSA) predoctoral (F31) and postdoctoral (F32) fellowships, or the Academic Research Enhancement Award (AREA) Program (R15). On the other hand, an individual who has received previous funding from NIH as an independent Principal Investigator on a regular research grant (e.g., R01, R29), or as the project leader on a component of a program project or center grant (e.g., P01, P50, G12), or as Principal Investigator on an individual research career award (e.g., K01, K02, K07, K08, K12, K22 and K23) is not eligible.

The requested salary and fringe benefits for an investigator should be consistent with the level of support provided by NIH Career Development Awards. When that is not appropriate, the requested salary and fringe benefits can be up to $85,000 total direct cost. This includes the candidate's salary of up to $75,000 per year plus fringe benefits, 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 per year may be requested for supplies and travel. Up to $1,000 per year of this amount should be used for travel to scientific meetings. Equipment may not be purchased except in unusual circumstances and not without prior approval of the NIH awarding component. The maximum period of support for any investigator is up to four years. Applicants must contact the NIH staff listed under inquiries prior to submission to obtain specific information about preparing and submitting an application.

Please review Summary Table, IRS in conjunction with these specific NHLBI requirements.

Supplements for Established Investigators Who Become Disabled

Established investigators on NHLBI research grants/contracts or program project grants who become disabled during the current project period may request funds for reasonable accommodations to permit completion of the currently funded research project. Any currently funded Principal Investigator or Co-Investigator (hereinafter referred to as Established Investigator) on an NHLBI research project grant/contract or program project grant may request support for special equipment, an assistant, or other modifications to facilitate reasonable accommodation (see Funding Restrictions) to a disabling injury or illness that has occurred during the current project period.

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.

Section C. APPLICATION PROCEDURES

The Supplement Application

PHS Grant Application Form Pages Included in the Supplement Application
Both grant and contract supplement applications require form pages from the standard grant application form, PHS 398 (http://grants.nih.gov/grants/forms.htm):

• Candidate's demographic data: "Personal Data" (recommended,
  (such as ethnicity, etc.) although optional)
• Supplement Application Face Page: "Form Page 1"
• Supplement Budget: "Form Pages 4 and 5"
• Candidate's biographical sketch: "Biographical Sketch Page". If relevant, documentation that all requirements for graduation/degree have been completed at the time of application must be provided by the Institution.
• A copy of the most recent official transcripts only if the candidate is a high school, undergraduate, post-baccalaureate degree, post-master's degree, or graduate student.
• Biographical sketch of the parent grant PI. Co-PI Biosketches are not necessary.

The Supplement Application consists of Part 1, prepared by the Principal Investigator or Contractor and Part 2, prepared by the Candidate. The format outlined below and a suggested checklist are provided for the Principal Investigator or Contractor's use (since any omissions in a supplement application may delay review). Please note the suggested maximum page lengths for each component below.

Part 1: Prepared by the Principal Investigator or Contractor

Documentation for the request of a supplement award indicated under the Application Procedures must include the following:

• Cover Letter - 1 page
  • Parent Grant/Contract number and title
  • Type and level of supplement requested (e.g., High School, Undergraduate, etc.), eligibility of candidate (e.g., citizenship status, nature of disability, disadvantaged status, ethnicity)
  • Statement that the Candidate has never received the type of PHS support prohibited by Supplements Program
  • Current email addresses for the Principal Investigator/Contractor, Authorized Organization Representative (AOR) (Business Official) and the Candidate
  • Must be signed by the Principal Investigator/Contractor, and AOR on Institutional letterhead. Post-baccalaureate and Post-master's supplement must address the reason for the minimum 1 year research hiatus and provide a statement of the candidate’s intention to attend graduate/medical school in the cover letter.
  • Do NOT include the candidates full SSN anywhere in the application. Only include the last 4 digits of the SSN.
    
    
• Face Page - 1 page
  • For supplements to grants, P01 subprojects, or contracts, complete a new grant application face page (Form Page 1), form PHS 398 if different.
  • Principal and Primary Mentor Biographical Sketch
    
    
• Research Plan - 2 pages
  
• A brief summary of the parent grant, P01 subproject, or contract. Contractors may choose to use the "Summary of Objectives", which is obtainable from the NHLBI Project Officer.
• Scope of the research planned for the Candidate: a two- to three-page description of the Candidate’s research in keeping with the supplement level.
• Must address how the supplement's research is related to the parent grant or contract's goals or how it is a logical extension of that research, depending on the level of the supplement; a brief statement of assurance that the research delineated in the supplement is not an expansion (change in scope) requiring peer review.
  
  

Change in Scope: The following is taken from the "NIH Grants Policy Statement, Part II, Change in Scope" .

In general, the PI may make changes in the methodology, approach, or other aspects of the project objectives. However, the grantee must obtain prior approval from the NIH for changes in scope that constitute a significant change from the aims of the approved project. The grantee/contractor must make the initial determination of the significance of a change and should consult NHLBI staff as necessary. However, as noted, certain actions in the following list always require NIH prior approval under the circumstances specified. As the necessary requirements (for example, IRB approval) may take time, the supplement award may be restricted until the change in scope is approved.

Actions likely to be considered a change in scope include, but are not limited to:

• change in the specific aims approved at the time of award
• substitution of one animal model for another
• any change from the approved use of animals or human subjects
• shifting the research emphasis from one disease area to another
• a clinical hold by FDA under a study involving an IND or an IDE
• applying a new technology, e.g., changing assays from those approved to a different type of assay
• transferring the performance of substantive programmatic work to a third party through a consortium agreement, by contract, or any other means. NOTE: This type of action always requires NIH prior approval for grants not subject to expanded authorities
• change in key personnel
• significant rebudgeting whether or not the particular expenditure(s) require prior approval. Significant rebudgeting occurs when expenditures in a single direct cost budget category deviate (increase or decrease) from the categorical commitment level established for the budget period by more than 25 percent of the total costs awarded
• incurrence of patient costs if not previously approved by NIH or if a grantee desires to rebudget additional funds into or out of the patient care category. NOTE: These types of actions always require NIH prior approval for grants not subject to expanded authorities.
• proposed use of human subjects or vertebrate animals must follow the guidelines provided in SF 424 and provide the IACUC, IRB, or MA number (see section on "Animal or Human Use Description and Documentation").
  

• Plans to Enhance the Candidate’s Research Capabilities - 2 pages

• Specific skills to be acquired and milestones reached during the supplement experience.
• Opportunities to interact with research team.
• Opportunities to develop independence and to acquire presentation and publication skills.
• Milestones that will be reached during the supplement experience (e.g., acquisition of preliminary data, new research skills, presentation of research findings at local/national meetings, and publications).
• How this experience will help the candidate move toward achieving her/his stated career goals.

• Research Environment - 1 page
  
  

  Briefly describe and provide assurance that the Candidate can conduct her/his research in a well-equipped research environment with adequate space.
  
  

• Mentoring Plan with PI History of Mentoring - 4 pages
  
  
  
  • Provide a detailed mentoring plan for the Candidate that describes the approaches to be used such as frequency of one-on-one and group meetings to discuss research progress with Candidate; oral scientific presentations; instruction on how to critically evaluate the literature and experimental design; training in scientific writing (e.g., grant proposal preparation, manuscripts, and abstracts); designing experiments, and instruction in the responsible conduct of research, etc. Applications for support at the postdoctoral and the investigator levels must provide, after developing in conjunction with the Candidate, a projected time line delineating specific research milestones and other activities that will be undertaken in an attempt to secure independent research funding (i.e., anticipated publications, grantsmanship workshops, timeframe for grant submissions and type of independent research support the candidate seeks).
    
    
• The mentoring plan must include guidance in the ethical conduct of research (including training in animal and human subjects' protection, if applicable).
  
  
• The PI should provide evidence of mentoring experience and success. Please provide three separate lists: (1) current trainees, (2) past trainees (going back 10 years), and (3) any current and past awarded Diversity/Re-entry research supplement(s). For the current and past trainees, please provide their current positions.
  
  
• For current and past Diversity/Re-entry research supplement(s), please provide:
  
  
  • Supplement level;
  • Start and end date of the award;
  • Describe the outcome of the previous supplement(s) including the current status of the candidate(s) (i.e., title of current position and name of institution);
  • Describe the outcomes of the prior development/mentorship plan;
  • Describe any unexpected positive or negative occurrences that affected specific aspects of the development/mentorship plan or success of the candidate(s);
    
  • Describe how these prior experiences influenced the development/mentorship plan proposed for the current candidate(s).
  • If the PI is a junior faculty member, it may be appropriate to include an experienced co-mentor in the development plan.
    
    
  • The role of other investigators who will contribute to the research mentoring should be described in the application. Their biosketches need not be included with the application. However, biosketches of the mentor and co-mentors must be included.
    
    
• Candidate's Pending, Current, and Prior PHS or Non-PHS Support - 1 page
  
  
  
  • All pending, current, or previous PHS research grant/contract support with start and end dates and associated percent effort devoted to each activity
  • All pending, current, or previous non-PHS grant or contract support (e.g., from the Howard Hughes Institute, the American Heart Association, etc.) with start and end dates and associated percent effort devoted to each activity
  • Information on current support from all other sources - private and public - jobs, university positions, etc.
  • assurance that these commitments will not interfere with the supplement's research
  
  
• Supplement Budget and Justification - 3 pages

Direct and indirect costs may be requested for all categories except equipment (see IRS), depending on the type of supplement being requested and provided that the ceilings established are not exceeded for each category in each kind of supplement.

• Direct costs requested are only for Candidate
• For a grant supplement: the initial budget period ends on the parent grant's budget end date
• The initial budget period, if less than 12 months, is prorated for all categories except travel
• For a contract supplement: the initial budget period requested is for one year
• PBS/PMS budget is to be specified for a total of one year or up to 2 years (requested start date must be June through September 30 or January)
• Candidate's percent effort during each year or part is stated
• "Salary and fringe benefits" are in accord with the institution's salary compensation structure
• Supplies, travel, and other category does not exceed the supplement's ceiling and is justified
• "Travel" category does not exceed $1,000 for undergraduate- and higher-level supplements and states what it is intended for
• "Travel" category for a high school supplement (HSS), if requested, is very well justified
• "Consortium/Contractual" category is well justified
• "Equipment" category for the investigator supplement (IRS) only is very well justified
• Laptops, computers, and office supplies are not allowable expenses for supplements

• Funding Restrictions
  

All awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement. The Grants Policy Statement can be found at http://grants.nih.gov/grants/policy/policy.htm (see also Section VI.3. Award Criteria, PA-08-190/NOT-OD-11-113).

Awards are based on the current programmatic needs of the NIH awarding component, therefore investigators must contact their Program Official/Project or Contract Officer at the NIH before applying. The decision to fund a supplement will take approximately ten weeks from receipt of a complete application.

In competing renewal 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:

For students who have not yet completed their research experience, funds for continuation of support must be requested as a cost extension research supplement to ensure continued tracking of the individual supported. The request for continued support should NOT be included in the competing renewal, but instead, should be prepared as a Supplement Extension as described in Section F. NHLBI support for individual students by the supplement mechanism will be limited to four years. Additional time may be considered, particularly for students and investigators who have disabilities, but must be well justified.

Funds for the continuation of support for a postdoctoral fellow 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 fellows and investigators are expected to be fully integrated in the research laboratory when considered for continuation of support.

Supplement awards must be consistent with the goal of strengthening the existing research program and with the overall programmatic balance and priorities of the NIH. Awards will be made according to the policies and provisions stated in this announcement or as further specified by the NIH component funding the parent grant. The award limits listed in this document for each career level represent the support that the NIH will provide. An award does not preclude the institution's use of funds from other sources to supplement the award.

Applicants for summer-only research appointments must submit early enough to ensure that funding is in place by the time the summer experience is scheduled to begin. In most cases, during the first budget period, 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.

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 her/his 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.

• Animal or Human Use Description and Documentation - 1 page
  

For animal use: Institutional Animal Care and Use Committee (IACUC)
For human subjects' participation: Institutional Review Board (IRB)

• proposed use of human subjects or vertebrate animals must follow the guidelines provided in PHS 398.
• if the same human subjects/animals will be used in the supplement's research as in the parent grant, provide the IACUC, IRB, or MA number.
• if additional animals or a different animal model will be used in the supplement's research, either a new documented IACUC approval must be included or a statement that the NIH "Just-in-Time" procedure will be used.
• if additional human subjects are proposed for the supplement's research, either a new documented IRB approval must be included or a statement that the NIH "Just-in-Time" procedure will be used.
• if additional human subjects are proposed for the supplement's research, statements are included that are responsive to the federal requirements to include women, minorities, and children in clinical studies (see PHS 398).
• Required Instruction in Education for the Protection of Human Subject: If any human subjects (same or additional) will be used by the Candidate, include certification that she/he has received education in the protection of human subjects. An NIH Web page contains links to the NIH web-based tutorial and frequently asked questions at: http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-054.html.
  
  
• Approval to Conduct Research Away from Grantee Institution - 1 page

If any of the research is to be conducted at a site other than the grantee or contractor's institution, a letter of agreement from the research site institution must be submitted.

Part 2: Prepared by the Candidate

The items below must be included for the supplement application to be complete.

• Candidate's Biographical Sketch - up to 4 pages
  
  
• Complete "Biographical Sketch Format Page", form PHS 398 (revised 11/2007), and include:
  
• Degree(s), majors/area of concentration, year(s) awarded/expected (including month), awarding institution(s)
• Name of home/training institution
• Evidence of scientific interest, research experience, and accomplishments
• List honors, awards, publications, and presentations, if applicable
  
  
• Candidate's Statement: Career Goals - up to 2 pages
• Provide:
• A one- to two-page statement prepared and signed by the Candidate outlining her/his career goals and how the supplement award will assist in achieving them. PBS/PMS should address the reason for the one- two year research hiatus and provide any steps taken to gain admittance into a graduate/medical school.
• Where relevant, the Candidate's work/experience/personal background may be included.
• For postdoctoral (PDS) supplements, career goals should be focused and specific; cumulative postdoctoral research experience must not exceed 6 years (i.e., individuals with 2 years prior postdoctoral research training on another training support mechanism may request up to 4 years of supplement support). Individuals with more than 2 years postdoctoral research experience must justify the need for the additional training requested.
• For investigator (IRS) supplements, career goals should be focused and specific; the IRS candidate should specifically address how the supplement award will assist in achieving both short-term and long-term (securing independent research support) career goals.
  
• A current address, telephone number and email address.
  
  
• Certification that the Candidate Has Time to Conduct Research - 1 page
  
  
  
  • For Candidates (high school, undergraduate) who wish to do their research during the academic year at another institution:
    
    Provide a letter from an appropriate official at the student's institution certifying that the student's participation at the stated level of effort is approved and will not interfere with the student's academic performance (not required for high school and undergraduate students participating in a summer-only research experience).
    
    
• Letters of Acceptance/Documentation of Further Education Intention - 1 page
• If the Candidate is a recently graduated high school, undergraduate, or graduate student (Master's level) and is seeking the next level of supplement, a letter of acceptance for higher-level education at an academic institution must be included with the supplement application.
• If the Candidate wishes to start a supplement experience before commencing on a higher-level of education (i.e., the summer before entering undergraduate/graduate school), a letter of acceptance from the admitting academic institution must be included with the supplement application.
• If a post-baccalaureate or post-master's supplement candidate wishes to extend their research experience for a second year, evidence must be provided to show that the candidate is actively pursuing entry into a graduate or a health professions school. In addition, research progress and research proposed with additional aims for the additional year must be well documented. The request for funding must be submitted 3 months before the current supplement ends.


• Transcript Requirements/References/Letters of Support
  
  
  
  • A strong emphasis is placed on the GPA as it is a reflection of academic performance. Only for high school, undergraduate, post-baccalaureate, post-master's, medical students or graduate students:
    
  • Provide scanned copy of most recent transcript and block out all but the last 4 digits of SSN, if applicable.
  • References/letters of support are optional: and if included, should be submitted with the Supplement application. Please do not send letters to the NIH Center for Scientific Review.
    



Section D. APPLICATION REVIEW AND AWARD



• The application review is a two-tier administrative review by NHLBI staff.
  
  First: Applications judged to be complete are reviewed by the Division’s Review Committee (division level). The divisional Supplements Review Committee meets once a month to review and establish funding priorities for all eligible applications. Additional information may need to be requested from the applicant. This Committee can choose to send the application forward for NHLBI-level review, defer it pending receipt of additional material, or declare it ineligible. The Division Representative will notify the Principal Investigator if the application is ineligible.
  
  Second: The NHLBI Supplements Review Committee (institute level) generally meets once a month to review and establish funding priorities for all eligible applications. Supplement applications are ranked within the academic/career level (e.g., post-doctoral, investigator). Applications are funded based on priority within the academic career level. The ORTMH sends out award letters. Awards are generally made each month for the lower level supplements and four (4) times per year in December, March, June, and September for the postdoctoral and investigator level supplements. The NHLBI only awards the Post-Baccalaureate and Post-Master's supplements June through September to coincide with entry into graduate/medical school after completion of the research experience. Awards may also be made in January to accommodate Post-Baccalaureate and Post-Master's students who meet the required criteria and have graduated on other academic cycles. Applications that are not funded due to their relative ranking among other applications will be notified after the second level of review. The supplement award decision cannot be appealed.
  
• Review Criteria for Prioritizing Applications
  1. The qualifications of the Candidate including grades, career goals, prior research training, previous publications, and research potential.
  2. The plan for the proposed research experience in the supplement request and its relationship to the parent grant and evidence from the Principal Investigator that the activities of the Candidate are an integral part of the project.
  3. Evidence from the Principal Investigator that the experience will enhance the research potential, knowledge, and/or skills of the Candidate, and the provision of a well defined mentoring plan.
• Supplement Award Funding Policy
  
  
  
  • Funding for supplement applications is not guaranteed. Meritorious high school, undergraduate, and graduate supplement applications are awarded throughout the year. Although supplement applications may be submitted at any time 3 months prior to the requested start date, awards at the PDS and IRS supplement levels, are made four (4) times per year in the months of December, March, June, and September. Principal Investigators are strongly encouraged to synchronize the requested start date for the supplement award and the budget start date for the parent grant (this does not apply to contracts) for postdoctoral and investigator level supplements. The NHLBI may synchronize the requested start date if it is within three months of the budget start date of the parent grant to eliminate more than one award being made in a single fiscal year. The PBS/PMS level supplement awards will be made June through September to coincide with entry into graduate/medical school after completion of the research experience. Awards may also be made in January to accommodate Post-Baccalaureate and Post-Master's students who have graduated on other academic cycles. All applications seeking support by the end of a fiscal year (September 30) must be received no later than June 1st. Applications that arrive after this date will be held and considered for funding in the next fiscal year. Due to the Federal budget cycle, awards are NOT made in October and November.




Section E. POST AWARD PROCEDURES

Required Supplement Progress Reports (Interim and Final

• Two kinds of progress reports are required for the supplement component of the parent grant or contract: interim and final. These must be included in the non-competing continuation application or the final reports of the parent award/contract under the appropriate heading.
• Copies of Interim and Final Progress Reports should be sent to the NHLBI contacts listed for either the grants or contract supplements under Application Submission Section.
1. Interim Supplement Progress Report
• Supplements to grants: Every year, a noncompeting continuation application (Type 5), containing a satisfactory progress report, is required before funding is awarded for the next year of support. As part of this process and included in the Type 5 application, the Principal Investigator must provide a separate progress report (as a separate document or section, clearly labeled) for the supplement component. This supplement progress report should consist of two parts, one prepared by the Principal Investigator, the other by the candidate.
• Supplements to contracts: Every year on or just before the anniversary date of the supplement award, a supplement progress report must be provided, as described for grants.
• Components of Interim Progress Report:
• The PI or Contractor provides:
  • Dates for the period of support covered in the progress report (usually a year)
  • A summary of major research objectives/experiences achieved in the supplement
• Candidate provides:
  • A summary of the research experience from her/his perspective, to date (from the start of the supplement)
  • Details of any new techniques learned
  • A summary of participation at national and local meetings, workshops, poster sessions, and presentations. List any publications (as author or as part of the research team). Discuss any literature research.
  • HSS, URS, and GRS should provide evidence (updated transcript and statement from the PI) that the Candidate is maintaining good academic standing.
  • Provide update on status of attempts to secure independent research support, particularly at the higher levels.
• 2. Final Progress Reports
• Within three months of the end of the supplement, the final supplement progress report should be provided to the NHLBI. The final report is critical to the continuing success of the program as a whole at the NIH.
• Components of Final Progress Report:
• Principal Investigator or Contractor provides
  • Dates for the entire period of support provided for the supplement.
  • A summary of major research objectives achieved during the supplement.
  • Any comments or suggestions about the strengths or shortcomings of the supplement program.
• Candidate's Final Report provides:
  • A summary of the entire supplement research experience from the candidate’s perspective.
  • Details of any new techniques learned.
  • A summary of participation at national and local meetings, workshops, poster sessions, and presentations. List any publications experience (as author or as part of the research team).
  • The impact the supplement program has had on future career plans; indicate all research support being sought or already obtained; professional appointments and honors; brief description of any new research responsibility the individual will assume.
  • A future forwarding address, email contact.
  • Any comments or suggestions about the strengths or shortcomings of the supplement program.
  • If a post-baccalaureate (PBS) or post-master's (PMS) Candidate:
    must provide documentation on the outcome of the graduate/health professional school admission process on letterhead from the organization to which the candidate submitted an application.
• When the supplement ends, Principal Investigators/contractors are encouraged to maintain contact with the supplement awardees, particularly students and post-doctoral individuals, to encourage their continued involvement in biomedical research and promote their research careers.
• Early Termination of Supplement Award
• The Office of Grants Management/Office of Acquisitions must be informed no later than 30 days of award termination. The AOR must submit a letter by email, copying the Candidate indicating the reason for the termination, effective date of termination, and follow-up contact information for the candidate. If the supplement has been in effect at least six months, a Final Progress Report must also be submitted. Please submit the letter and the Final Progress Report to the NHLBI contacts listed for either the grants or contract supplements under Application Submission Section.




Section F. SUPPLEMENT EXTENSIONS

• Requests for extensions should follow the submission procedures (under Application Submisssion Section) and must be submitted at least three months before the requested start date. Submission of an updated biosketch will ascertain if the candidate is still eligible for the supplement level when applying for an extension.




Cost Extension for Varying Periods for Supplements supported by grants (not contracts)

• An extension with additional funds for a limited period of time may be requested only under extenuating circumstances, provided that adequate time remains on the parent grant and the maximum time permitted for an NHLBI supplement is not exceeded. An application for a cost extension is permissible when the parent grant is on a no-cost extension. Cost extensions will not be made for less than three months. Support for cost extensions is not guaranteed. Applications must arrive at least three months before the requested start date, to allow adequate time for review and notification of the outcome. The Cost Extension application must include:
• A letter from the Principal Investigator, countersigned by the institution Authorized Organization Representative and the Candidate, justifying the extension and its critical importance in the Candidate's career.
• A new completed face page, with appropriate signatures, from PHS Grant Application Form 398 that includes the title and grant number of the parent grant.
• A detailed budget (PHS 398 form page 4).
• A summary of the Candidate's research progress and a brief description of the research that will be conducted during the extension, with assurance that the research to be conducted during the extension is a part of the research proposed in the original supplement application. No new aims may be proposed (an exception, however, would be if the supplement is awarded until the end date of the parent grant, and the parent grant is renewed, the cost extension might extend with new aims related to the parent grant up to the maximum time permitted for the supplement).
• HHS, URS, and GRS should provide evidence (updated transcript and statement from the PI) that the Candidate is maintaining good academic standing.
• A list of publications resulting directly from the supplement award, including manuscripts submitted or accepted for publication.
• The steps taken and timeline for career advancement, such as other grants awarded, pending awards, and their status and/or outcomes.
• If a post-baccalaureate or post-master's supplement candidate wishes to extend their research experience for a second year, evidence must be provided to show that the candidate is actively pursuing entry into a graduate or a health professions school. In addition, research progress and research proposed with additional aims for the additional year must be well documented.




No-Cost Extension

• No-cost extensions will be allowed on supplements to grants.
• Provided adequate time remains on the parent grant, a no-cost extension may be requested by email from the institution Authorized Organization Representative. This letter is sent to the Office of Grants Management; with copies to the NHLBI Division Representative and the Office of Research Training and Minority Health (ORTMH). The extension will not be given beyond the end date of the parent grant.
• Effective FY 2011, "no-cost extensions" will NOT be allowable on supplements to contracts.