NHLBI Research Supplement Application Guidelines

Research Supplements to Promote Diversity in Health-Related Research (Administrative Supplement), PA- 12-149;

Research Supplements to Promote Re-Entry into Biomedical and Behavioral Research Careers (Administrative Supplement), PA-12-150.

Revised October 2012

Note:
Please see section 2.2.1 for application receipt and award start schedule.

CONTENTS

1. INTRODUCTION

1.1. Diversity
1.2. Established Investigators Who Become Disabled
1.3. Re-Entry

2. NHLBI APPLICATION SUBMISSION AND RECEIPT DATES

2.1 SUBMISSION
2.2. RECEIPT DATES
2.2.1 Application Receipt and Award Start Schedule – FY 2013

3. NHLBI STAFF CONTACTS

4. ELIGIBILITY

4.1. Eligible Program Director(s)/Principal Investigator(s)
4.2. Eligible Grants or Contracts
4.3. Candidates
4.3.1. Eligible Candidates
4.3.2. Ineligible Candidates
4.3.3. Citizenship Requirements

5. GENERAL REQUIREMENTS

5.1. Number of Supplements Candidates May Have During Their Career
5.2. Number of Supplements to a Grant, Subproject, or Contract
5.3. Length of Supplement Award

6. SUPPLEMENTS BY ACADEMIC LEVELS

6.1. Overview
6.2. High School Student (HSS)
6.3. Undergraduate Research Student (URS)
6.4. Post Baccalaureate (PBS) and Post Master's (Degree Holders) (PMS)
6.5. Graduate (Predoctoral) and Health Professional Students (GRS)
6.6. Postdoctoral Supplement (PDS)
6.7. Investigators Developing Independent Research Careers/Investigator Research Supplement (IRS)
6.8. Supplements for Established Investigators Who Become Disabled - PA-12-149
6.9. Research Supplements to Promote Re-Entry into Biomedical and Behavioral Research Careers - PA-12-150

7. APPLICATION PROCEDURES

7.1. Part 1: Prepared by the Principal Investigator or Contractor
7.2. Part 2: Prepared by the Candidate

8. APPLICATION REVIEW AND AWARD

8.1. Review Process
8.1.1. Review Consideration for Prioritizing Applications
8.2. Supplement Funding Policy

9. POST AWARD PROCEDURES

9.1. Supplement Progress Reports (Interim and Final)
9.2. Early Termination of Supplement Award

10. EXTENSIONS ON A SUPPLEMENT

10.1. Cost Extension for Varying Periods for Supplements supported by grants (not contracts)
10.1.1. Cost Extension Application Procedures
10.2. No-Cost Extension

1. INTRODUCTION

The National Heart, Lung, and Blood Institute (NHLBI) participates in the NIH Research Supplements to Promote Diversity in Health-Related Research (PA-12-149). This document has been prepared to assist Principal Investigators, Project Leaders of Program Project grants, and Contractors with active NHLBI grants and contracts, and their prospective candidates with the preparation of research supplement applications. This program is designed to attract and encourage individuals who are underrepresented in biomedical, behavioral, biometric, clinical, social science, 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. These guidelines should also be used for applications by Established Investigators who Become Disabled and for Re-Entry (PA-12-150) applicants. The research emphasis in the NHLBI program is on cardiovascular, pulmonary, and blood diseases; transfusion medicine; sleep disorders; and all other mission areas supported by the NHLBI. The NHLBI encourages diversity on all research training support mechanisms. Before submitting a supplement application, individuals and their mentors should explore training and career development programs which may provide research training opportunities (e.g., F30, F31, F32, K01, K08, K23, T32, and T35).

The list of eligible grant and contract mechanisms is provided in SECTION 4.2.

As with all supplement requests, a financial review to determine the need for additional funds will take place by the Office of Grants Management before a final funding decision is made. Therefore, all applicants must include a statement addressing the bona fide need for additional funds and why the use of current grant funds cannot be utilized for this supplement.

1.1. Diversity

The NIH recognizes a unique and compelling need to promote diversity in the biomedical, behavioral, clinical and social sciences workforce. The NIH expects efforts to diversify the workforce to lead to the recruitment of the most talented researchers from all groups; to improve the quality of the educational and training environment; to balance and broaden the perspective in setting research priorities; to improve the ability to recruit subjects from diverse backgrounds into clinical research protocols; and to improve the Nation’s capacity to address and eliminate health disparities.

Accordingly the NIH continues to encourage institutions to diversify their student and faculty populations and thus to increase the participation of individuals currently underrepresented in the biomedical, behavioral, clinical and social sciences such as: individuals from underrepresented racial and ethnic groups, individuals with disabilities, and individuals from socially, culturally, economically, or educationally disadvantaged backgrounds that have inhibited their ability to pursue a career in health-related research. Institutions are encouraged to identify candidates who will increase diversity on a national or institutional basis. The NIH is particularly interested in encouraging the recruitment and retention of the following classes of candidates:

A. Individuals from racial and ethnic groups that have been shown by the National Science Foundation to be underrepresented in health-related sciences on a national basis (see data at http://www.nsf.gov/statistics/showpub.cfm?TopID=2&SubID=27 and the most recent report on Women, Minorities, and Persons with Disabilities in Science and Engineering). The following racial and ethnic groups have been shown to be underrepresented in biomedical research: African Americans, Hispanic Americans, American Indians, Alaska Natives, Native Hawaiians, and other Pacific Islanders. In addition, it is recognized that underrepresentation can vary from setting to setting; individuals from racial or ethnic groups that can be convincingly demonstrated to be underrepresented by the grantee institution should be encouraged to participate in this program.

B. Individuals with disabilities, who are defined as those with a physical or mental impairment that substantially limits one or more major life activities.

C. Individuals from disadvantaged backgrounds who are defined as:

C.1. Individuals who come from a family with an annual income below established low-income thresholds. These thresholds are based on family size; published by the U.S. Bureau of the Census; adjusted annually for changes in the Consumer Price Index; and adjusted by the Secretary for use in all health professions programs. The Secretary periodically publishes these income levels at HHS - Poverty Guidelines, Research, and Measurement. For individuals from low income backgrounds, the institution must be able to demonstrate that such participants have qualified for Federal disadvantaged assistance or they have received any of the following student loans: Health Professions Student Loans (HPSL), Loans for Disadvantaged Student Program, or they have received scholarships from the U.S. Department of Health and Human Services under the Scholarship for Individuals with Exceptional Financial Need.

C.2. Individuals who come from a social, cultural, or educational environment such as that found in certain rural or inner-city environments that have demonstrably and recently directly inhibited the individual from obtaining the knowledge, skills, and abilities necessary to develop and participate in a research career. Recruitment and retention of individuals from disadvantaged background (Sections C .1. and C.2.) are most applicable to high school and perhaps undergraduate candidates, but would be more difficult to justify for individuals beyond that level of achievement. Under extraordinary circumstances the PHS may, at its discretion, consider an individual beyond the undergraduate level to be from a disadvantaged background. Such decisions will be made on a case-by-case basis, based on appropriate documentation.

1.2. Established Investigators Who Become Disabled

Established investigators (PDs/PIs) on an NHLBI research grant, program project grant, or contract 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 PI(s)/PD(s) of an NHLBI research project grant, program project grant, or contract may request support for special equipment, an assistant, or other modifications to facilitate reasonable accommodation to a disabling injury or illness that has occurred during the current project period. Refer to Section 6.8.

1.3. Re-Entry

The Re-Entry Program supports individuals with high potential to re-enter an active research career after taking time off for family responsibilities or other qualifying circumstances. The aim of these supplements is to encourage such individuals to re-enter research careers within the NHLBI mission areas. This program will provide administrative supplements to existing NHLBI research grants for the purpose of supporting full-time or part-time research by these individuals to update their existing research skills and knowledge. It is anticipated that at the completion of the supplement, the re-entry scientist will be in a position to apply for a career development (K) award, a research award (R), or some other form of research support. Refer to Section 6.9.

2. NHLBI APPLICATION SUBMISSION AND RECEIPT DATES

2.1. SUBMISSION

NHLBI Diversity Supplement and Re-Entry Supplement applications must be submitted using one of the following methods: Email as a PDF, through Grants.gov, or eRA Commons. Supplements to contracts may only be submitted by email as a PDF.

Prepare supplement applications according to instructions in Section 7. APPLICATION PROCEDURES.

The process for submitting an application varies depending on whether the activity code of the parent grant requires electronic submission (as of the submission date of the supplement application). Visit the list of Activity Codes Processed Electronically by eRA(20 KB) to determine if the activity code of the parent award has transitioned to electronic submission.

If the parent award’s activity code has not transitioned to electronic submission, then you must use the Email Submission instructions (PHS 398 Application Forms and attachments) . If the parent award’s activity code has transitioned to electronic submission, then you may either electronically submit using the SF424 (R&R) Application Forms and Grants.gov/Apply ; electronically submit using the streamlined submission process of eRA Commons; or submit using the Email Submission instructions (PHS 398 Application Forms and attachments).

All requests for a supplemental diversity award must include the following, regardless of submission method. All forms should be completed for the supplemental activities only and should not reflect funding or activities for the previously awarded parent grant. Only one candidate may be included on each administrative supplement request, though more than one request may be submitted for different candidates. All candidates for supplemental diversity award support must also have a profile in the eRA Commons.

2.1.1. Email Submissions

PDF files of the 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 Authorized Organization Representative (AOR). The subject line of the email must contain the phrase, ‘NHLBI DIVERSITY SUPPLEMENT APPLICATION’ and include PI/PD NAME and GRANT OR CONTRACT NUMBER, or ‘NHLBI RE-ENTRY SUPPLEMENT APPLICATION’ and include PI/PD NAME and GRANT OR CONTRACT NUMBER.

2.1.2. Grants.gov Submissions

Prepare applications using the SF424 (R&R) application forms associated with this announcement. For applications submitted electronically using the SF424 (R&R) Application forms, all PD(s)/PI(s) must include their eRA Commons ID in the Credential field of the Senior/Key Person Profile Component of the application package. Failure to register in the Commons and to include a valid PD/PI Commons ID in the credential field will prevent the successful submission of an electronic application to the NIH. Please note that some components marked optional in the application package are required for submission of applications for this announcement. Refer to tips for avoiding SF424 errors at Electronic Receipt – Avoiding Errors.

2.1.3. eRA Commons Submissions

Login to the eRA Commons, identify the parent award, and prepare an administrative supplement request.

Include the candidate’s eRA Commons Username and attach the Research Experience Plan (in the PHS 398 Research Plan Form), Candidate Biosketch (in the Senior/Key Personnel Form, also called the Applicant Biosketch), and the Candidate Eligibility Statement (in Other Project Information/Appendix, also called the Applicant Eligibility Statement) in the fields provided. Although only one candidate may be supported on each request, grantees may submit more than one request on separate applications for the same parent grant.

Budget information should be entered for the grantee institution in the fields provided. There is no template or form available for sub award information; instead, all sub award information should be included as a separate attachment showing the funds requested (by budget period) using the same categories provided for the grantee institution. Also include a budget justification for the sub awardee institution in the same file.

2.2. RECEIPT DATES

An application for a new supplement may be submitted at any time. However, please note the instructions for supplement award dates for specific supplement levels, with particular emphasis on the Post- Baccalaureate/Master's, Postdoctoral, and Investigator level supplements. (See Section 6. SUPPLEMENTS BY ACADEMIC LEVELS). All applications should arrive at least three months before the requested start date to allow time for review. Applications seeking awards before the end of a fiscal year (September 30) must be received no later than May 31. 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.

For postdoctoral and investigator level supplements - Principal Investigators are strongly encouraged to synchronize the start date for the supplement award and the budget start date for the parent grant. 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. Synchronization does not apply to contracts.

2.2.1. Application Receipt and Award Start Schedule – FY 2013

3. NHLBI STAFF CONTACTS

For clarification of the provisions of the NHLBI Supplements Program, Principal Investigators/Program Directors 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).

4. ELIGIBILITY

4.1. Eligible Principal Investigator(s)/Program Director(s)

Program Director(s)/Principal Investigator(s) must hold an active NHLBI research grant, cooperative agreement, program project grant, or contract.

For supplements to parent grants that include multiple PI(s)/PD(s), the supplement may be requested by any or all of the PD(s)/PI(s) (in accordance with the existing leadership plan) and submitted by the awardee institution of the parent grant. Do not use this administrative supplement application to add, delete, or change the PD(s)/PI(s) listed on the parent award. Visit the Multiple Program Director(s)/Principal Investigator(s) Policy in the SF424 (R&R) Application Guide for more information.

In addition, subproject PI(s)/PS(s) on multi-component research grants (e.g., P01) may request supplements to their project through the overall PD/PI of the grant.

Established Investigators Who Become Disabled: Established investigators (PDs/PIs) on an NHLBI research or program project grant, or contract who become disabled during the current project period may request funds for reasonable accommodations to permit completion of the currently funded research project.

4.2. Eligible Grants or Contracts

The following NHLBI supported mechanisms (grants/contracts) are eligible for research supplement support, at domestic institutions only (See Eligible Organizations - Foreign Institutions in Section III - in PA-12-149):

R00 phase of the K99/R00: NIH Pathway to Independence*
R01: Research Project
R15: Academic Research Enhancement Award (AREA)*
R21: Exploratory/Developmental Grants*
R33: Exploratory/Developmental Grants Phase II award*
R37: Method to Extend Research in Time ( MERIT) Award,
U01:Research Project - Cooperative Agreements
UH1: HBCU Research Scientist Awards
P01: Research Program Projects
N01: Research and Development Contracts
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 students, undergraduate students, and post-baccalaureate/post-master's degree holders only.

4.3. Candidates

4.3.1. Eligible Candidates

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 refer to the following sections: Section 1.1. Diversity
, Section 8.1. Review Criteria in Application Review and the Recruitment and Retention to Enhance Diversity in Section I. in the PA-12-149)

The candidate may be affiliated with either the applicant institution or another academic institution.

Principal Investigators/Program Directors on the following mechanisms are eligible to receive support from a PDS or IRS supplement:

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

Candidates may have had support on a National Research Service Award (NRSA) grant (T32 or F30, F31, or F32) 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. Please see Section 5.1. for the number of supplements candidates may have during their career.

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 level of commitment (percent effort) to the various sources of support. It is the responsibility of the Principal Investigator/Program Director/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 may not be transferred to a supplement to increase the availability of funds to the parent grant or contract for other uses. Individuals who are currently supported on the parent grant are not eligible.

4.3.2. Ineligible Candidates

An individual who has received previous funding from NIH as an independent PD/PI on a research grant (e.g., R01, R21), as the project leader on a component of a program project or center grant (e.g., P01, P50), or as PD/PI on an individual research career development award (e.g., K01, K02, K07, K08, and K23), or as a Scholar on an Institutional Career Development Award (K12, KL2) is not eligible.

4.3.3. Citizenship Requirements

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, and 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.

5. GENERAL REQUIREMENTS

5.1. Number of Supplements Candidates May Have During Their Career

A candidate may be consecutively supported by, 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 his/her career advancement. Candidates may receive support from only one supplement program at a time as supplement awards may not overlap each other. These awards may be from different awarding 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 Administrator/Project Officer of the parent grant/contract or the NHLBI Division Representative in Section 3 - for the Supplements Program for more information.

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

A parent grant or contract may support more than one individual on a supplement with the exception of Re-Entry candidates (see Section 6.9), however, each request must be strongly justified and include assurances that each candidate will receive appropriate mentoring. Investigators are encouraged to recruit more than one high school or undergraduate student for support on 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. Candidates may receive support from only one supplement program at a time, but may be supported by more than one supplement during the development of their careers. (Section 5.1.) Supplement awards are not transferable to another individual or transportable to another institution, grant, or contract. A separate application must be submitted for each candidate provided adequate laboratory space and mentorship are assured.

5.3. Length of Supplement Award

Parent 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 on the parent grant/contract at the time of award unless otherwise specified. Postdoctoral (PDS) and Investigator (IRS) supplement applicants should have adequate time (preferably 2 years or more but not less than 18 months) remaining on the parent grant/contract at the time of award. The length of an award varies but may not exceed the current project period of the parent grant. The NHLBI support may not exceed four years at each supplement level with the exception of the PBS/PMS level (2 year maximum). Refer to the individual supplement levels in Section 6. for complete information.

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.

PI(s)/PD(s) can support supplements through the duration of an active parent grant. This does NOT include time remaining for “no-cost” extensions or anticipated renewals. New supplement awards cannot be requested for grants in a no-cost extension status but supplement extensions can be requested while the parent grant is on a no-cost extension. See Section 10.

6. SUPPLEMENTS BY ACADEMIC LEVELS

6.1. Overview

In addition to eligibility provisions discussed in the general procedures, there are special considerations associated with different career levels. The tables below describe special requirements for High School Students (HSS); Undergraduate Students (URS); Post-Baccalaureate (PBS) and Post-Master's (PMS) Degree Holders; Graduate (Predoctoral/Health Professional) Students (GRS); Postdoctoral Researchers (PDS); Investigators Developing Independent Research Careers/Investigator Research Supplement (IRS); Established Investigators who Become Disabled; and Re-Entry Candidates (PDS/IRS).

Candidates. These programs are designed to attract individuals from underrepresented groups into research careers and are not intended to provide an alternative or additional means of supporting individuals who already receive support from an NIH research grant, an NIH National Research Service Award (NRSA), or any other DHHS funding mechanism. Individuals may not be transferred to a supplement to increase the availability of funds to the parent grant for other uses. Individuals who are currently supported on the parent grant are not eligible. Individuals who are supported by an Institutional NRSA (T32) may not be transferred to supplemental support prior to the completion of their appointed period of training. This program may not be used to provide technical support to NIH-supported investigators.

Supplement awards are not transferable to another individual or transportable to another institution, grant, or contract.

Research Plan. 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. Refer to specific levels in the tables below. No project deleted during the initial peer review may be proposed as the basis for any research supplement. The proposed research experience must be an integral part of the approved, ongoing research of the parent grant, and it must have the potential to contribute significantly to the research career development of the candidate. Applications for supplements must include a plan for the candidate to interact with other individuals on the parent grant, to contribute intellectually to the research, and to enhance her/his research skills and knowledge regarding the selected area of biomedical, behavioral, biometric, clinical, nursing, or social sciences. It must also provide evidence of a focus on the enhancement of the research capability of the underrepresented or disadvantaged student or faculty member and that the research experience is intended to provide opportunities for development as a productive researcher. In addition, it must demonstrate that the PD(s)/PI(s) is willing to provide appropriate mentorship.

Research proposed for a supplement to a grant or contract that is determined by the NHLBI as being outside the scope will not be approved - See Section 7.1.4.

Budget. PDs/PIs can apply for support through the duration of an active parent grant. This does NOT include time remaining for “no-cost” extensions or anticipated renewals (except for MERIT awards). New supplement awards cannot be requested for grants in a no-cost extension status. However, “cost” extensions of previously awarded supplements may be requested while the parent grant is on a “no-cost” extension - See Section 10. Requests for indirect costs (F&A) must be at the same rate in effect for the parent grant.

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. See Section 7.1.10.5

6.2. High School Student Supplement (HSS)

6.3. Undergraduate Research Supplement: (URS)

6.4. Post Baccalaureate (PBS) and Post Master's (PMS) Degree Holders

6.5. Graduate (Predoctoral) and Health Professional Students: (GRS)

6.6. Postdoctoral Supplement/Individuals in Postdoctoral Training: PDS

6.7. Investigators Developing Independent Research Careers/Investigator Research Supplement (IRS)

6.8. Supplements for Established Investigators Who Become Disabled - PA-12-149

6.9. Research Supplements to Promote Re-Entry into Biomedical and Behavioral Research Careers - PA-12-150

7. APPLICATION PROCEDURES

The instructions below apply to all grants or contracts requesting Diversity Supplements, Established Investigators Who Become Disabled Supplements, and Re-Entry Supplements. Applications must be submitted via the parent grant or contract, thus subproject leaders/consortium PIs will submit their application through the PI/PD and the Authorized Organization Representative (AOR) listed on the parent grant. See Section 2.1. Prior to submission, Principal Investigators are strongly encouraged to contact the appropriate NHLBI Division Representative for the grant/contract (Section 3). Although only one candidate may be supported under each request, grantees may submit more than one request on separate applications for the same parent award within the limits in Section 5.2.

7.1. Part 1: Prepared by the Principal Investigator/Program Director

7.1.1. Face Page: (email submissions only) use PHS 398, “Form Page 1” (All other submissions use system forms/fields as applicable) – All grant and contract supplement email submissions require form pages from the standard grant application form, PHS 398 (http://grants.nih.gov/grants/forms.htm) with the following details:

• A new grant application face page from the PHS 398 for the supplement with the PI(s)/PD(s) grant/contract information;
• The “Proposed Period of Support” dates to reflect the Supplement start and end dates (not the parent grant dates);
• The period of support cannot extend beyond the end date of the parent grant/contract. Do not include periods for anticipated competing renewals or “no-cost” extensions of the parent grant.
• Please note that supplements that support a student’s pursuit of a degree will terminate at the time the degree is awarded;
• Although cost extensions are allowed, NEW supplement applications will not be accepted during a ”no cost” extension period of the parent grant.

7.1.2. Candidate/Applicant Eligibility Statement – included as part of “Other Project Information” (Section 7.1.10.) - 1 page

• Parent Grant /Contract number and title;
• Type of supplement (Diversity, Investigator Who Becomes Disabled, or Re-Entry);
• Level of supplement requested (e.g., High School, Undergraduate, etc.);
• Statement verifying candidate’s U.S. citizenship or Permanent Resident status;
• Describe the basis for eligibility of the candidate (see Section 4.3. - Eligible Candidates);
• Describe how this particular appointment will promote diversity within the institution or in science nationally, See Section 1.1.;
• Include a statement addressing the bona fide need for additional funds and why the use of current grant funds cannot be utilized for this supplement. All supplement requests will have a financial review to determine the need for additional funds before a funding decision is made;
• Statement that the Candidate has never received the type of PHS support prohibited by the Supplements Program (See Section 4.3.2. - Ineligible Candidates);
• Current email addresses for: Principal Investigator/Contractor, Authorized Organization Representative (AOR), Candidate, and Mentor if different from PI ;
• Must be signed by the Principal Investigator/Program Director, 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;
• Include only the last 4 digits of the candidate’s SSN. Do NOT include full SSN anywhere in the application.

7.1.3. Senior/Key Personnel - Biographical sketch of the Primary Mentor

List the PI/PD as the first person (regardless of their role on the supplement activities). List any other Senior/Key Personnel (with a role on the supplement) i.e., Primary Mentor if not the PI/PD, followed by the Candidate who is being added through this supplement, or for whom additional funds are being requested through this supplement.

The biographical sketch should follow the format according to: http://grants.nih.gov/grants/funding/424/SF424R-R_biosketch_VerB.doc or http://grants.nih.gov/grants/funding/phs398/phs398.html. Co-PI Biosketches are not necessary. Include PMCID numbers for publications. See http://publicaccess.nih.gov/index.htm for details.

7.1.4. Research Plan/Research Experience Plan/Research Strategy – 4 pages

• A brief summary of the parent grant, P01 subproject, or contract (typically the abstract or a summary paragraph). 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 - 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;
• Describe how the proposed research experience will be an integral part of the approved, ongoing research of the parent grant;
• While many Supplement levels require that the research be “a logical extension” of the parent grant, supplements must support work within the scope of the original project. Include a brief statement of assurance that the research delineated in the supplement is not an expansion (change in scope) requiring peer review (See "NIH Grants Policy Statement, 8.1.2.5 - Change in Scope";
• Include a statement that the research proposed was not deleted by the Initial Review Group.

7.1.5. Research Environment/Project Performance Site – 1 page

Include the primary site where the proposed supplement activities will be performed. If a portion of the proposed supplement activities will be performed at any other site(s), identify the locations;

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

7.1.6. Supplement Budget and Justification – 3 pages

For email submissions use the following: (PHS 398, “Form Pages 4 and 5”) (http://grants.nih.gov/grants/forms.htm). All other submissions use system forms/fields as applicable. There is no template or form available for sub award information; instead, all subproject award information should be included as a separate attachment showing the funds requested (by budget period) using the same categories provided for the grantee institution. Also include a budget justification for the sub awardee institution in the same file.

• Direct costs requested are only for the Candidate. The Budget Justification section should provide details about the costs requested for each budget item;
• For a grant supplement: the initial budget period ends on the parent grant's budget end date;
• For a contract supplement: the initial budget period requested is for one year;
• Refer to Section 7.1.6.1. for Funding Restrictions;
• The initial budget period, if less than 12 months, is prorated for all categories except travel;
• Indirect Costs (F&A): The budget is to request F&A at the same rate in effect for the parent grant. Please include a copy of the current F&A rate agreement with the application;
• Specify candidate's percent effort for each budget period ;
• "Salary and fringe benefits" are in accord with the institution's salary compensation structure, but not to exceed the NHLBI’s salary cap or policy detailed for each academic level in Section 6. Details should be described in the Budget Justification section of the Budget Form;
• "Consortium/Contractual" category should be justified;
• Equipment is not an allowable cost except on Investigator-level supplements. "Equipment" category for the investigator supplement (IRS) is applicable only if very well justified;
• Laptops, computers, and office supplies are not allowable expenses for supplements.

Budget forms must contain the following:

Senior/Key Personnel information: PI/PD, primary mentor, and diversity candidate (name, role, person-months effort requested, base salary, requested salary, fringe benefits, and total funds requested for candidate only).

Other Personnel: Costs for Other Personnel should not be requested with the exception of supplements requiring reasonable accommodations or Supplements for Established Investigators Who Become Disabled.

Equipment: In general, equipment may not be purchased as a part of this supplement except for IRS and For Established Investigators who become Disabled. See Sections 6.7. & 6.8.

Additional Funds: Additional funds may be requested for supplies, domestic travel, and publication costs relevant to the proposed research. See Section 6.

7.1.6.1. 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 V. Application Review, Criteria - PA-12-149/PA-12-150).

An award does not preclude the institution's use of funds from other sources to supplement the award.

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.

7.1.8. Mentoring Plan – 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 meeting ; 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, etc.

Plans to enhance the candidate’s research capabilities should include:

• Specific skills to be acquired during the supplement experience;
• 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);
• Opportunities to interact with research team;
• Opportunities to develop independence and to acquire presentation and publication skills;
• The mentoring plan must include guidance in the ethical conduct of research (including training in animal and human subjects' protection, if applicable). See Section 7.1.10.1.;
• A plan to attend and participate in poster sessions or oral presentations in at least one scientific meeting during each year of the award (particularly for the higher level supplements such as the PDS and IRS). (How opportunities will be provided for the Candidate to participate in writing and publishing scientific papers);
• If the PI is a junior faculty member, it may be appropriate to include an experienced co-mentor in the development plan;
• Describe any planned outside laboratory experiences or collaborations for the Candidate;
• 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;
• How this experience will help the candidate move toward achieving her/his stated career goals;
• PDS and IRS candidates must provide, after developing in conjunction with the mentor, 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).

7.1.9. History of Mentoring

The PI/PD /Primary Mentor should provide evidence of mentoring experience and success. Please provide a list containing: (1) Current Trainees, (2) Past Trainees (≤ 10 years), and (3) any current and past awarded Diversity/Re-entry research supplement awardee(s). For each of the individuals listed, please provide their current positions.

For the PI(s)/PD(s) s with current and past Diversity/Re-entry research supplement awardee(s), please also 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).

7.1.10. Other Project Information/Appendix:

This section must include the items listed below and the Candidate/Applicant Eligibility Statement from Section 7.1.2.

7.1.10.1. Required Education in the Protection of Human Research Participants

For all NHLBI supplement awards involved in human subject 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 NIH web-based tutorial.

7.1.10.2. Candidate's Pending, Current, and Prior PHS or Non-PHS Support (“Other Support”) – 1 page

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 in the supplement application and the required percent effort for the specific supplement level.

• List all pending, current, or previous PHS research grant/contract support with grant/contract numbers, start and end dates and associated percent effort devoted to each activity;
• List 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;
• Include information on current support from all other sources - private and public - jobs, university positions, etc;
• Provide assurance that these commitments will not interfere with the research proposed in the supplement application.

7.1.10.3. IACUC/IRB Documentation (Animal or Human Use Description and Documentation) - Number of pages as necessary.

A detailed description of the involvement of human subjects and animals must be included in accordance with the instructions provided in the standard grant application, PHS Form 398.

Using the same animals or human subjects: If animal or human research is approved in the parent award, research proposed for the supplement will normally use the same animals or human subjects as is in the parent grant. Thus, if 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. It may be necessary to modify the IRB or IACUC approval to add the Candidate as a participating investigator; check with your organization.

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. In some 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 with a detailed description of the proposed changes.

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 not permitted for a supplement. (See "NIH Grants Policy Statement, 8.1.2.5 - Change in Scope")

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:

NIH Policy and Guidelines on the Inclusion of Women and Minorities as Subjects in Clinical Research
NIH Policy and Guidelines on the Inclusion of Children as Participants in Research Involving Human Subjects

Biohazard: NIH Staff will assess whether materials or procedures proposed are potentially hazardous to research personnel and/or the environment, and if needed, determine whether adequate protection is proposed.

7.1.10.4. Home Institution Approval/Approval to Conduct Research Away from Grantee Institution – 1 page

Under unusual circumstances where the candidate and mentor (usually the PD/PI of the parent grant) would be at a site other than the grantee institution, an appropriately signed letter from the institution where the research is to be conducted must also be submitted. The request must be signed by the Principal Investigator, the diversity candidate, and the appropriate authorized organization representative.

7.1.10.5. Reasonable Accommodations – 1 page

If the request is for a supplement based on disability, the institution should indicate what, if any, reasonable accommodations the institution has supported or plans to provide along with a full description of how any additional support for accommodation might be used. The relationship of the proposed accommodation to the proposed project must be described – See Section 6.1.

7.2. Part 2: Prepared by the Candidate

7.2.1. Biographical sketch of the Candidate - additions to Senior/Key Personnel form – 4 pages:

For eRA submissions: Candidates for diversity supplement support must have a profile in the eRA Commons, and the candidate’s Commons Username should be entered on the Senior/Key Personnel form. Submit the biographical sketch below as a single attachment under “Applicant Biosketch”. A biographical sketch should follow the format available at http://grants.nih.gov/grants/funding/424/SF424R-R_biosketch_VerB.doc or http://grants.nih.gov/grants/funding/phs398/phs398.html - for email submissions . Include PMCID numbers on each publication as applicable. See http://publicaccess.nih.gov/index.htm for details.

Provide the following details:

• Degree(s), majors/area of concentration, month/year(s) awarded/expected, awarding institution(s);
• Name of home institution;
• Evidence of scientific interest, research experience, and accomplishments;
• List honors, awards, publications, and presentations, if applicable. Include PMCID numbers for each publication. See http://publicaccess.nih.gov/index.htm for details.

7.2.2. Additional Items

The items below must be included as part of “Other Project Information” (Section 7.1.10.) for the supplement application to be complete.

7.2.2.1. Candidate's Statement: Career Goals - up to 2 pages

Provide a signed statement with the following applicable details depending on supplement level:

• 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; 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;
• The Candidate’s Statement must include a current address, telephone number and email address for the Candidate.

7.2.2.2. Certification that the Candidate Has Time to Conduct Research - 1 page

Only for high school or undergraduate students 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).

7.2.2.3. 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 (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 professional 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.

7.2.2.4. Transcript Requirements/References/Letters of Support

If relevant, documentation that all requirements for graduation/degree have been completed at the time of application must be provided by the Institution. A strong emphasis is placed on the GPA as it is a reflection of academic performance. High school, undergraduate, post-baccalaureate, post-master's, medical students or graduate students applications are to include a scanned copy of their most recent transcript. Please block out all but the last 4 digits of the candidate’s Social Security Number if it appears on the transcript.

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.

8. APPLICATION REVIEW AND AWARD

8.1. Review Process

Supplement applications will undergo an administrative evaluation by NHLBI staff, but not a full peer review. Applications will be evaluated using the criteria in Section 8.1.1. Decisions will be based on the nature of the parent grant, circumstances of the request, the program balance and budgetary constraints. The ORTMH emails the PI, candidate, and AOR informing them of the outcome of the review. The supplement award decision cannot be appealed.

8.1.1. Review Considerations for Prioritizing Applications

• The qualifications of the candidate including grades, career goals, prior research training, previous publications, research potential, and any relevant experience;
• Evidence of educational achievement and interest in science, if the candidate is a student;
• The strength of the description of how this particular appointment will promote diversity within the institution or in science nationally;
• The plan for the proposed research and career development experiences in the supplement application and its relationship to the parent grant;
• Evidence that the proposed experience will enhance the research potential, knowledge, and/or skills of the candidate and that adequate mentorship will be provided;

8.2. Supplement Funding Policy

Funding for supplement applications is not guaranteed. As with all supplement requests, a financial review to determine the need for additional funds will take place by the Office of Grants Management before a final funding decision is made. Therefore, all applicants must include a statement addressing the bona fide need for additional funds and why the use of current grant funds cannot be utilized for this supplement.

9. POST AWARD PROCEDURES

9.1. 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 (Interim) or the final reports of the parent award/contract under an appropriate heading. Copies of Interim and Final Progress Reports should also be sent to the NHLBI contacts in Section 2.1.1.

9.1.1. Interim Supplement Progress Report

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.

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 -

PI /PD:

• Dates for the period of support covered in the progress report (usually a year);
• A summary of major research objectives/experiences achieved in the current supplement award period.

Candidate:

• A summary of the research experience during the current supplement award period from her/his perspective;
• Details of any new techniques learned ;
• A summary of participation at national and local meetings, workshops, poster sessions, and oral presentations;
• List any publications (as author or as part of the research team). Include PMCID if applicable. 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;
• Update on status of attempts to secure independent research support, particularly at the higher levels (PDS and IRS).

9.1.2. Final Progress Reports

Within three months of the end of the supplement, the final supplement progress report must be submitted to NHLBI. This is critical to the continuing success of the program as a whole at the NIH.

Components of Final Progress Report -

PI /PD:

• Dates for the entire period of support provided for the supplement;
• A summary of major research objectives/experiences achieved during the supplement;
• Any comments or suggestions about the strengths or shortcomings of the supplement program.

Candidate:

• 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 oral 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 and email contact;
• Any comments or suggestions about the strengths or shortcomings of the supplement program;
• Post-baccalaureate (PBS) or post-master's (PMS) candidate - must provide documentation on the outcome of the graduate/health professions school admission process on letterhead from the organization to which the candidate submitted an application;
• When the supplement ends, Principal Investigators/Program Directors 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.

9.2. Early Termination of Supplement Award

NHLBI 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. Submit the letter and the Final Progress Report to the NHLBI contacts listed in Section 2.1.1.

10. EXTENSIONS ON A SUPPLEMENT

Requests for extensions should follow the submission procedures (See Section 10.1.1.) and must be submitted at least three months before the requested start date. To avoid gaps in support, extensions must begin immediately following the end date of the initial supplement award.

10.1. Cost Extension for Varying Periods for Supplements supported by grants (not applicable to contracts)

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. Funds for continued 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.

NHLBI support for individual students by the supplement mechanism will be limited to four years at each Supplement level with the exception of PMS and PBS – Section 6.4. Additional time may be considered, particularly for students and investigators who have disabilities, but must be well justified.

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.

Cost extensions are not allowable for supplements on contracts.

10.1.1. Cost Extension Application Procedures

The cost extension application must include the following:

• Resubmit a new completed face page (PHS 398 for email submissions) with appropriate signatures, title and grant number of the parent grant; or enter a new supplement request for all other submissions. See Section 2.1. SUBMISSION;
• Updated Research Experience Plan/Research Plan with 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);
• Updated Senior/Key Personnel information – with an updated biographical sketch for the Candidate which includes a list of publications resulting directly from the supplement award, including manuscripts submitted or accepted for publication. Include the PMCID, if applicable;
• A detailed budget (PHS 398 form page 4 for email submissions); All other submissions submit new budget details along with justification in appropriate fields;

Other Project Information:

• A letter from the Principal Investigator/Program Director, countersigned by the institution’s Authorized Organization Representative and the Candidate, justifying the extension and its critical importance in the Candidate's career;
• HHS, URS, and GRS should provide evidence (updated transcript and statement from the PI) that the Candidate is maintaining good academic standing. If a post-baccalaureate or post-master's supplement candidate who initially applied for one year 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 in the Research Experience Plan/Research Plan Section;
• Updated Mentoring Plan: The steps taken and timeline for career advancement, such as other grants awarded, pending awards, and their status and/or outcomes. If the initial supplement plan included any coursework, provide an update on the status of each course, especially those pertaining to Protection of Human Subjects.

10.2. 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 via email from the institution’s AOR. This letter is sent to OGM; with copies to the NHLBI Division Representative and the ORTMH, See Section 3. The extension will not be given beyond the end date of the parent grant.

Effective FY 2011, "no-cost extensions" are NOT allowed on supplements to contracts.

Last Updated October 2012