Funds for Administrative Supplements

NIA: Availability of Recovery Act Funds for Administrative Supplements

This initiative is one of several initiatives in which NIA is participating to help fulfill the goals of the American Recovery and Reinvestment Act (ARRA) to stimulate the economy through support of biomedical and behavioral research. Additional information about the Recovery Act and related NIH opportunities is available through the NIH Office of Extramural Research.

The National Institutes of Health has announced (NOT-OD-09-056) the opportunity for investigators and institutions with active NIH Research Project Grants (and some other categories of award) to request administrative supplements for the purpose of increasing the tempo of approved and funded projects. Support for these supplements will come from funds available through the American Recovery and Reinvestment Act of 2009 (ARRA). The purpose of the program is to provide researchers supplementary funds that can be used to accelerate the tempo of scientific research on active grants with the ultimate goal of promoting job creation and economic development along with accelerating the pace of scientific research. Supplement requests may be for up to two years of support.

IMPORTANT: The funds requested by the NIA grantee in the supplement application must be within the general scope of the peer-reviewed activities and aims approved within the parent grant. The funding method being used to support this program, administrative supplements, can be used to cover cost increases that are associated with increasing the tempo of scientific research funded under the initial grant and/or achieving certain new research objectives as long as they are within the original scope of the project. Some examples include additional personnel, or investments in equipment and technology to leverage the goals of the project or to enhance efficiency of the project. Any cost increases need to result from making modifications to the project in order to take advantage of opportunities that would increase the value of the project consistent with its originally approved objectives and purposes or to accelerate the tempo of scientific research. Additionally, NIA anticipates that funds will be used to enhance employment opportunities in the conduct of NIA supported research. NIA will not consider requests which are solely to restore previously applied budget adjustments to a project nor to supplant institutional commitments supporting individuals and other costs that the institution previously committed to projects.

Areas of Priority

The National Institute on Aging is interested in receiving supplement requests for:

1. Employment for predoctoral and postdoctoral students including medical students who seek time off to gain research experience. The funds may be requested either to recruit to the grant someone new or to retain on the grant individuals who would be lost to it through cuts in other (non-federal and non-institutional) previously committed support. When requesting funds to replace funds lost from other sources, cite the original source of funds, the complementary work covered by these funds, and provide evidence that the funds are no longer available.
2. Employment for recent baccalaureate or master’s level graduates.
3. An additional year of support for K99 awardees
4. Equipment purchases (under $100,000)
5. Increasing clinical trial enrollment.

Additionally, NIA is prepared to make awards with ARRA funding under other existing programs that provide administrative supplements (such as PA-08-190 Research Supplements to Promote Diversity in Health-Related Research and PA-08-091 Research Supplements to Promote Re-Entry into Biomedical and Behavioral Research Careers). See those specific notices for more information.

Funding Priorities

Overall NIA expects to devote $15 million (over two years) to this ARRA supplement program in FY 2009 and FY 2010. NIA will give highest priority to requests up to $100,000 per year (direct costs) for up to two years. Applicants interested in requests above this amount should contact the program administrator for their award. If you do not know your program administrator contact the individual named in this announcement.

The National Institute on Aging considers awards with the following activity codes to be eligible for this supplement program: R01, R00, R03, R21, R15, R37, U01, R42, R44, P01, P30, P50, K01, K07, K08, K12, K23, K24, K25, K26, K99. In addition, awards (with the exception of K99 awards) should normally have project end dates, of July 31, 2010 (or 2011 for applications in FY 2010) or later in order to be eligible for award. Awards with earlier end dates need to submit additional justification (see below). Awards in no cost extension before July 31, 2010 (or 2011 for applications in 2010) also need additional justification to request a supplement. K99 awards are eligible for consideration of an extension of the award if they have end dates later than May 31, 2009.

Additional justification for awards with end dates prior to July 31, 2010 (or 2011, for FY 2010 applications).

The ARRA administrative supplement program is intended particularly for activities that will increase the pace of research or will achieve certain new objectives provided that they are within the scope of the already approved research. ARRA funds may not be used to complete work that has previously been approved and funded or to extend the period of an award, whether it is active or in no cost extension, in order to finish work that has been delayed.

Awards in their final year or in no cost extension are likely to be perceived as seeking funds either to extend the period or to complete work not yet finished. Therefore, investigators who are in the final stages of an active award or whose awards are in no cost extension must provide additional information to make clear that the work satisfies the goals of the ARRA. In particular, such investigators should provide (a) a detailed timeline showing how the proposed new work will be completed within the current period of the award, and (b) show how the proposed new work can be completed without delaying completion of the already approved aims.

These statements should be written as an addition to the material in Section 4(a) (below): Scope of the Overall project and the anticipated contribution of the requested supplement. This additional material is not part of the five page limit for the remaining material requested for section 4(a). An additional one page limit is allowed for each of the two additional components.

Awards with the following activity codes are not eligible: T32, T35, F30, F31, F32, F33, R13, U13, R24, R25, R34, R36, R41, R43, K02, R56, L30, L32.

The following restrictions apply:

• No requested budget may exceed the direct costs of the current year of the parent award
• Mentored career awards may not request more than $50,000 in direct costs per year. The requests may supplement research or research career development expenses.

Application Receipt Dates for Administrative Supplements

• May 1, June 1, and July 1, 2009. (for one or two year requests)
• March 1, May 3, and July 1, 2010 (for one year requests)

NIA expects to complete administrative review of applications within one month of the receipt date for the applications. Notification of award will be by September 30, 2009 for FY 2009 applications and by September 30, 2010 for FY 2010 applications.

Submitting an Administrative Supplement Request

To be considered for an administrative supplement, submit a request electronically (via pdf attachment) or in writing to NIA, not to the Division of Receipt and Referral, Center for Scientific Review. The request must be signed by the authorized institutional official and describe the need for additional funding and the categorical costs. Requests under this notice should use the PHS 398 forms (rev. 11/2007; available at: http://grants1.nih.gov/grants/funding/phs398/phs398.html) and include the following elements in the request packet. Font size restrictions apply as designated within the PHS398 instructions.

Please note that requests for ARRA-funded supplements for existing administrative supplement programs (such as PA-08-190 Research Supplements to Promote Diversity in Health-Related Research and PA-08-091 Research Supplements to Promote Re-Entry into Biomedical and Behavioral Research Careers) should apply using the submission deadlines described in this notice while following the specific application procedures described in those FOAs.

1) Cover Letter - Citing this Notice (NOT-OD-09-056), or PA-08-190 (for supplements to support diversity) or PA-08-091 for supplements to support re-entry) a request for a Recovery Act Administrative Supplement, and the following information:

• Project Director/Principal Investigator (PD/PI) name
• Parent grant number and title
• Amount of the requested supplement
• Name and title of the authorized institutional official, and
• Phone, email, and address information for both the PD/PI and the institutional official.

The cover letter must be signed by the authorized organizational representative.

For applicants responding to this Notice submit the following information. (Applicants responding to PA-08-190 or PA-08-091 should follow instructions in these FOAs. See particularly Section IV of these announcements)

2) PHS 398 Form Page 1 (Face page) MS Word (81K), PDF (500K)

• The title of the project (Box 1) should be the title of the parent award.
• This Notice (number and title, “Notice of Availability of Recovery Act Funds for Administrative Supplements”) should be cited in Box 2, and the “yes” box should be checked.
• The Project/Director/Principal Investigator (PD/PI) must be the same as the PD/PI on the parent award. For Multiple PD/PI parent awards, the Contact PD/PI must be the PD/PI listed on the supplement request. Administrative supplements cannot change the Multiple PD/PI team or convert a grant from a single PD/PI to a multiple PD/PI grant.
• The remaining items on the face page should be filled out in accordance with the PHS 398 application instructions.

3) PHS 398 Form page 2 MS Word (107K), PDF (313K)

Note: The project “summary” is that of the administrative supplement, not the parent grant. All other information requested on Form Page 2 should be provided.

4) A brief proposal describing the project, including:

a) Scope of the overall project and the anticipated contribution of the requested supplement (not to exceed five pages). Summarize the activities that were included in the parent grant that encompass those proposed in the supplemental request. This section should include a description of the supplement's specific aims, including research design and methods and data analysis. Describe the relationship of the supplement request to the parent grant.

b) The research project plan should discuss how the supplement will accelerate the tempo of scientific research and/or allow for job creation and retention. In order to ensure that all expenditures in support of an administrative supplement advance the objectives of the Recovery Act, all applications must address ARRA justifications, including how the supplement is expected to stimulate the economy by:

1. enabling hiring of additional staff;
2. enabling increased hours of current part-time staff;
3. procuring additional needed equipment (costing under $100,000); and/or
4. contracting for additional needed skills.

c) Budget for the supplement with a justification that details the items requested, including Facilities and Administrative costs and a justification for all personnel and their role(s) in this project. Note the budget should be appropriate for the work proposed in the supplement request. Applicants are encouraged to discuss budgets with their NIH Program Officer. To meet the various transparency, accountability, and reporting requirements of ARRA, all applications under this notice must include detailed budgets on the PHS 398 Form Pages 4 (MS Word (82K), PDF (294K)) and 5 (MS Word (75K), PDF (141K)). Modular budget pages will not be accepted even when the parent grant was funded as a modular grant. See Budget and Funding Information below for additional information.

d) Biographical Sketch for all new Senior/Key Personnel. There is no need to repeat information previously provided for other Senior/Key Personnel. MS Word PDF

e) Human Subjects/ Vertebrate Animal documentation (if applicable). Include a current Human Subjects/IRB or Vertebrate Animals/IACUC approval letter, if available. Otherwise, this will be required at the time of funding. All appropriate IRB and IACUC approvals must be in place prior to a supplement award being made.

Any differences in the involvement or use of human subjects or specimens, or use of vertebrate animals, between the administrative supplement activity and the parent grant should be noted. When appropriate, details should be provided on the protection of human subjects and inclusion of women, children, and minorities. Additional guidance on Human Subjects Research and Vertebrate Animals is provided under Part II of the PHS 398 instructions (http://grants1.nih.gov/grants/funding/phs398/phs398.html).

f) PHS 398 Checklist Form MS Word (37K), PDF (416K)

Selection Factors

Administrative supplement requests will be reviewed administratively by NIH Program and Grants management staff with expertise relevant to the supplement request but who have no conflict of interest with the supplement request. Awards will be determined on the basis of the merit of the supplement request, its applicability to the goals of the ARRA, and the availability of funds. Applicants will be notified regarding the review outcome.

Selection factors will include the following:

• Relevance of the proposed activities to the parent grant and determination that the proposed activities are within the existing peer-reviewed and approved scope of the project.
• Adequate progress of the parent grant appropriate to the current stage of the project.
• Appropriate and well-described plan to accomplish the goals within the timeframe proposed.
• Expertise of the research team proposed to conduct and achieve the goals of the supplemental study or accelerate the tempo of scientific research.
• Appropriateness of the request to achieve ARRA goals in promoting job creation, economic development, and accelerating the pace and achievement of scientific research.

Budget and Funding Information

Funding for administrative supplements to existing grants will be available from ARRA funds in FY 2009 and FY 2010. Due to the limited nature of ARRA funds, supplements may only be requested for up to two years, and it is anticipated that supplement funding will be awarded within a short period after receipt of the supplement request. Requests selected for funding in FY2010 will be limited to one year.

For supplements to Research Project Grants there is no maximum dollar limit on what may be requested in the budget; however, the requested budget must be in line with the work being proposed. Please note that in general NIA expects to award supplements of up to $100,000 or 50 percent of the amount of the parent grant, whichever is lower.

For supplements to Research Career Development Awards, NIA limits request to $50,000 in direct costs for Research Development Support. Requests for an additional year of support for Pathway to Independence awards (K99) may also be submitted.

In addition, domestic U.S. institutions planning to submit supplement requests that include foreign components should be aware that requested funding for any foreign component should not exceed 10% of the total requested direct costs or $25,000, whichever is less.

How to Apply

Application Receipt Dates for Administrative Supplements

• May 1, June 1, and July 1 2009. (for one or two year requests)
• March 1, May 3, and July 1, 2010 (for one year requests)

Address for sending Administrative Supplement Requests

We strongly encourage applicants to send the materials electronically via PDF attachment to the e-mail address listed. Applications received as hard copy may be delayed in administrative review and award.

Do not send applications to the NIH Center for Scientific Review.

Submit one original, copy of the request packet (with original signatures of the authorized business official) to the address listed below:

Address for sending Administrative Supplement Requests:

Ms. Lesa McQueen
Grants Management Specialist
National Institute on Aging
Gateway Building, Suite 2N212
Bethesda, MD 20892-2292
Telephone: 301-496-1472
FAX: 301-402-3672
E-mail: McQueenL@nia.nih.gov

Applications must be signed by the authorized institutional official and submitted to the address listed above. Applicants are strongly encouraged to submit applications electronically as an e-mail attachment in PDF format; however the signature of the institutional official must be clearly visible.

Applicants may also submit applications in paper format to the individual listed above.

Terms of Award

A formal notification in the form of a Notice of Award (NoA) will be provided to the grantee organization. The NoA signed by the grants management officer is the authorizing document. Once all administrative and programmatic issues have been resolved, the NoA will be generated via email notification from the awarding component to the grantee business official.

The terms of the NoA will reference the requirements of the Recovery Act.

In addition to the standard NIH terms of award, all funding provided under the Recovery Act will be subject to the HHS Standard Terms and Conditions for American Recovery and Reinvestment Act of 2009 (ARRA). The full text of these terms approved for NIH awards can be found in the following document: Standard Terms and Conditions for AARA Awards.

Selection of an application for award is not an authorization to begin performance. Any costs incurred before receipt of the NoA are at the recipient's risk. These costs may be reimbursed only to the extent considered allowable pre-award costs.

Administrative and National Policy Requirements

A Program Official from one or more of the participating NIH Institutes and Centers will be assigned to each funded application and will assume responsibility for normal stewardship of the awards.

All NIH grant and cooperative agreement awards include the NIH Grants Policy Statement as part of the NoA. For these terms of award, see the NIH Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards, Subpart A: General and Part II: Terms and Conditions of NIH Grant Awards, Subpart B: Terms and Conditions for Specific Types of Grants, Grantees, and Activities.

In addition, recipients of ARRA funds are reminded that such funds must be separately tracked and monitored independently of any non-ARRA funding.

Reporting

Awarded administrative supplements that include a commitment for funding in FY2010 will be required to submit a separate Non-Competing Continuation Grant Progress Report (PHS 2590) and financial statement as required in the NIH Grants Policy Statement. This will be in addition to any annual progress report required for the parent grant. The funded ARRA administrative supplement will also require separate closeout reports.

In addition, grantees must comply with the requirements set forth in the Recovery Act, including, but not limited to, the quarterly reporting requirements of Section 1512 of the Recovery Act as specified in HHS Standard Terms and Conditions for American Recovery and Reinvestment Act of 2009. The full text of these terms approved for NIH awards can be found at the following document: Standard Terms and Conditions for AARA Awards.

Recovery Act-related reporting requirements will be incorporated as a special term of award.

Inquiries

Inquiries and discussion of plans for responding to this Notice are strongly encouraged.

For scientific or technical questions relating to research that would be supported by this solicitation, contact the Program Administrator assigned to the parent grant. For administrative questions related to this solicitation, contact the Grants Management Specialist noted on the Notice of Award for the parent grant.