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Administrative Supplements to Grants and Cooperative Agreements

Revised June 2013

Purpose

This notice describes the new procedure that NIDA grantees must use when submitting requests for administrative supplements. Administrative supplements are used by NIDA to add funds to a grant or cooperative agreement for defined purposes that do not expand a project's scientific scope.

Background

On Feb. 8, 2012, NIH published a program announcement in the NIH Guide for Grants and Contracts (PA-12-100) entitled “Administrative Supplements to Existing NIH Grants and Cooperative Agreements (Parent Admin Supp)”, which expires on 1/31/2014 per NOT-OD-13-031. This PA provides grantees the option to electronically submit administrative supplement requests through Grants.gov or through the eRA Commons for grant activity codes that have transitioned to electronic submission. Activity codes that have not transitioned to electronic submission will continue to apply using the PHS 398 forms as described below. 

In addition to this administrative supplement program, NIDA participates in at least two other supplement programs:

For these two programs, NIDA will accept requests for administrative supplements according to the guidelines described in these two PAs. Policies and procedures for these two PAs differ from the administrative program described in PA-12-100. Potential applicants are strongly encouraged to review these PAs in detail before submitting an administrative supplement request.  

Policy

NIDA will consider requests for administrative supplements, in response to PA-12-100, to add funds to a grant or cooperative agreement for defined purposes that do not expand a project's scientific scope. The grantee must obtain prior approval from NIDA in order to submit a request for an administrative supplement. No request will be accepted for consideration without prior approval from NIDA.

Administrative supplements are restricted to requests for increased costs due to unforeseen circumstances in high priority research programs. Consistent with existing NIDA policies, it is anticipated that NIDA administrative supplements will be awarded only under rare circumstances.  The request must be strongly justified and must address the criteria detailed in PA-12-100, Section V., Application Review Information.  

Grantees may not request additional funds if the unforeseen costs can be paid for by rebudgeting funds or from utilization of unobligated balances from prior year awards. Administrative supplements cannot pay for increased costs due to an investigator's transfer or promotion, nor can they be used to expand research aims.

No administrative supplement submitted under this PA will be accepted for consideration without prior approval from NIDA. Grantees must obtain written approval from their NIDA program official and grants management specialist before applying. This written approval must accompany the supplement application at the time of submission.

NIDA staff will review the application and consider whether the budget and the requested period of support are fully justified and reasonable in relation to the proposed research.

Administrative supplements are reviewed by NIDA program and grants management staff. In some cases, additional expertise may be called upon to assist in the review. Administrative supplement requests above $100,000 in direct costs will also be reviewed by and recommendations obtained from the National Advisory Council on Drug Abuse. Administrative supplement requests will be considered for funding four times during the fiscal year; December, February, May, and August, regardless of the need for Council review. 

Budgets

The supplement budget request should only include funds for the additional supplement activities. All requested costs in the supplement request must be strongly justified and meet the tests of allowability as defined in the NIH Grants Policy Statement (rev. 10/2012), “Cost Considerations.”

Please note that for those grant mechanisms that receive full facilities & administrative costs, the supplement request should reflect the current F&A rate, even if the rate differs from the rate used to calculate F&A costs for the parent award.

Key Dates

Administrative supplement requests must be submitted at least thirty days before the requested activity is to begin. 

Administrative supplement requests will be accepted throughout the year, but will only be considered for funding four times during the fiscal year; December, February, May and August. . The NIH fiscal year begins October 1 and no awards are issued before December 1 in a new fiscal year.  The final submission date for each fiscal year is July 1. Supplements received after July 1 will be considered for funding in the following fiscal year. The earliest possible award date for requests submitted after the final submission date for each fiscal year (July 1) is December 1. 

Eligibilty

In general, the parent grant must remain active at least for the entire period of the supplemental funding. Please note that a no-cost extension cannot be used to accommodate this requirement. All no-cost extensions must be in place before submitting a request for an administrative supplement.

Activities proposed in the administrative supplement request must be within the general scope of the parent grant. The following are examples of supplemental requests that might be considered for funding:

  • Preservation of a unique research material or resource that may otherwise be lost, such as maintaining a unique knockout mouse model.
  • Addition of patients, populations, or other items related to a protocol due to enrollment issues, a need for statistically significant data, or responses to protocol and data and safety monitoring board (DSMB) reviews.
  • Provision for an orderly termination or temporary continuation of support to prevent loss of research resources or hardship of personnel, which includes taking advantage of a rare event with an immediate need, such as salvaging a rare animal model.
  • Replacement of equipment, supplies, and time lost due to a natural disaster.

Administrative supplements may not pay for a principal investigator (PI) to move in a new scientific direction, to obtain preliminary data for another contemplated research effort, or to use a new technology or an animal model not specified in the application. If additional funds are needed for such purposes, investigators should consider submitting a competitive revision application or apply for another grant.

Requests must stay within the original Council-approved scope of the research. If grantees need additional funds for an expansion in project scope, they should request a revision (competing supplement) rather than an administrative supplement. Revision applications undergo the same peer review process as regular competing grant applications. Revision applications are usually peer reviewed by the initial review group that reviewed the parent grant application. For further information, please contact your program official.  

Application Procedure

The process for submitting an application varies depending on whether the activity code of the parent award requires electronic submission (as of the submission date of the supplement application). Visit the list of Activity Codes Processed Electronically by eRA (PDF, 45KB) 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 PHS398 Application Forms and follow the PHS398 Application Guide.
  • If the parent award’s activity code has transitioned to electronic submission, then you may either (A) electronically submit using the SF424 (R&R) Application Forms and Grants.gov/Apply, (B) electronically submit using the streamlined submission process of eRA Commons, or (C) submit using the paper-based PHS398 Application forms and the PHS398 Application Guide.

Instructions for Submissions using Grants.gov/Apply for electronic-based submissions

For grants with activity codes that have transitioned to electronic submission (PDF, 45KB) using the SF424 (R&R) application forms, administrative supplement requests may be submitted electronically through grants.gov. Prepare applications using the SF424 (R&R) application forms associated with this announcement.  Administrative supplement requests submitted through this method should be marked as a "Revision" in Field 8 (Type of Application) on the R&R Cover Page. Please note that some components marked optional in the application package are required for submission of applications for this announcement. Follow all instructions in the SF424 (R&R) Application Guide to ensure you complete the appropriate required and optional components.

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

NIH now offers a streamlined system through the eRA Commons for submitting administrative supplements. All applications eligible for electronic submission through Grants.gov may also be submitted through the streamlined system.  Login to the eRA Commons, identify the parent award, and prepare an administrative supplement request.  A user’s guide for this system is available at http://era.nih.gov/commons/user_guide.cfm. Budget information should be entered for the grantee institution in the fields provided. There is no template or form available for subaward information; instead, all subaward 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 subawardee institution in the same file.

Instructions for Submissions using the PHS398 Application Forms (for paper-based submissions)

Applications must be prepared using the PHS398 research grant application forms and instructions for preparing a research grant application. The grantee institution, on behalf of the PD(s)/PI(s) of the parent award, must submit the request for supplemental funds directly to the awarding component that supports the parent award. Submit a signed, typewritten original of the application, including the checklist, and two signed photocopies in one package to:
On the face page of the application form, note that your application is in response to a specific program announcement, and enter the title and number of this announcement.

PHS398 Research Plan Component (Research Plan)

All instructions in the Application Guide must be followed for all Research Plan sections applicable to the proposed supplement activities. At a minimum, the Research Strategy section should be completed and must include a summary or abstract of the funded parent award or project. Other sections should also be included if they are being changed by the proposed supplement activities.

PHS398 Career Development Award Supplemental Form

All instructions in the Application Guide must be followed for all Research Plan sections applicable to the proposed supplement activities. At a minimum, the Research Strategy section should be completed and must include a summary or abstract of the funded parent award or project. Other sections should also be included if they are being changed by the proposed supplement activities.

PHS398 Research Training Program Form

All instructions in the Application Guide must be followed for all Research Training Program Plan sections applicable to the proposed supplement activities. At a minimum, the Program Plan section should be completed and must include a summary or abstract of the funded parent award or project.

PHS398 Fellowship Supplemental Form

All instructions in the Application Guide must be followed for all Research Training Plan, Additional Information, and Sponsor(s) and Co-Sponsor(s) sections applicable to the proposed supplement activities.  At a minimum, the Research Strategy section should be completed and must include a summary or abstract of the funded parent award or project. Additionally, the Budget section should only include additional funds requests for the proposed supplement activities.

Project/Performance Site Locations (Project/Performance Sites)

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

Senior/Key Personnel Form

List the PD(s)/PI(s) as the first person (regardless of their role on the supplement activities). List any other Senior/Key Personnel who are being added through this supplement, or for whom additional funds are being requested through this supplement; include a biographical sketch for each. Follow all instructions in the Application Guide.

Budget Forms (for use with electronic submissions through Grants.gov)

R&R Detailed Budget Form

Budgets for all NIH research (R-series) and career development (K-series) applications should be submitted using the R&R Detailed Budget form, regardless of the form used for the parent award, and should only include funds requested for the additional supplement activities.

PHS 398 Training Budget Form

Budgets for all NIH Training (T-series and D-series) applications should be submitted using the R&R Training Budget and R&R Detailed Budget forms (as appropriate), and should only include funds requested for the additional supplement activities.

SF424 Budget Information – Construction Programs Form

Budgets for all NIH construction (C06) applications should be submitted using the SF424 Budget Information – Construction Programs form and should only include funds requested for the additional supplement activities.

Budget for the Entire Proposed Period of Support (for use with paper-based submissions)

A proposed budget should be submitted using the PHS398 budget forms, in accordance with the PHS398 Application Guide, and should only include funds requested for the additional supplement activities.

Other Project Information Component (for applications submitted electronically); Appendix (for applications submitted on paper)

All instructions in the Application Guide must be followed, with the following additional instructions:

IACUC Documentation and IRB Documentation (Uploaded via the Other Attachments Section for electronic submissions)

If applicable, include documentation that the proposed research experience was approved by the Institutional Animal Care and Use Committee (IACUC) or human subjects Institutional Review Board (IRB) at the grantee institution. Adherence to the NIH policy for including women and minorities in clinical studies must also be ensured, if additional human subjects’ involvement is planned for the supplement component. The filename provided for each “Other Attachment” will be the name used for the bookmark in the electronic application in eRA Commons.

Foreign Institutions

Foreign (non-US) institutions must follow policies described in the NIH Grants Policy Statement, and procedures for foreign institutions described throughout the Application Guide.

Contacts

For specific questions about administrative supplements, contact the program official or grants management specialist of the parent grant.

For general questions about administrative supplements contact:

Ms. Pamela Fleming
Chief, Grants Management Officer
Office of Management
Grants Management Branch
National Institute on Drug Abuse
National Institutes of Health
301- 443-6710
pfleming@nida.nih.gov

References

This page was last updated June 2013

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