NHLBI Research Supplements to Promote Diversity in Health-Related Research - Guidelines for the Applicant
Submit PDF application:
For Grant Supplements
Copy: Division Representative for your application
Copy: Division Program Official for the parent grant
Copy: Office of Research Training and Minority Health at: CoenJ@nhlbi.nih.gov
For Contract Supplements
To: Office of Acquisitions at: TaylorJC@nhlbi.nih.gov
Copy: Division Representative for your application
Copy: Division Project Officer for the contract
Copy: Office of Research Training and Minority Health at: CoenJ@nhlbi.nih.gov
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).
Office of Research Training & Minority Health
Nara Gavini, PhD
Division of Extramural Research Activities, Office of Grants Management
Division of Extramural Research Activities, Office of Acquisitions
Division of Blood Diseases and Resources
Henry Chang, MD
Division of Cardiovascular Sciences, Program in Basic and Early Translational Research, Program in Adult & Pediatric Cardiac Research
Division of Cardiovascular Sciences, Epidemiology Branch
Division of Cardiovascular Sciences, Women’s Health Initiative Branch and Clinical Applications and Prevention Branch
Nancy O. Morris
Division of Lung Diseases
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)
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.
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.
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.
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.
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.
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.
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
Inclusion of Children as Participants in Research Involving Human Subjects
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.
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
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.
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).
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.
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.
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).
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.
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.
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.
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.
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.
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.
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):
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.
Documentation for the request of a supplement award indicated
under the Application Procedures must include the following:
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").
- 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.
Briefly describe and provide assurance that the Candidate can conduct her/his research in a well-equipped research environment with adequate space.
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
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.
For animal use: Institutional Animal Care and Use Committee (IACUC)
For human subjects' participation: Institutional Review Board (IRB)
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.
The items below must be included for the supplement application to be complete.