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

INTRODUCTION
APPLICATION RECEIPT
NUMBER OF APPLICATION COPIES AND WHERE TO SEND
NHLBI DIVISION REPRESENTATIVES

Contents

Section A. GENERAL INFORMATION

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

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

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

Section C. APPLICATION PROCEDURES

The Supplement Application

Part 1: Prepared by the Principal Investigator or Contractor

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

Part 2: Prepared by the Candidate

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

Section D. APPLICATION REVIEW AND AWARD

Review Criteria for Prioritizing Applications
Supplement Award Funding Policy

Section E. POST AWARD PROCEDURES

Required Supplement Progress Reports (Interim and Final)

Section F. SUPPLEMENT EXTENSIONS

No-cost Extension
Cost Extension for Varying Periods
Early Termination of Supplement Award
Send Progress Reports to:

INTRODUCTION

The National Heart, Lung, and Blood Institute (NHLBI) participates in the NIH Research Supplements to Promote Diversity in Health-Related Research, which is designed to attract and encourage individuals who are underrepresented in biomedical, behavioral, biometric, clinical, social, and nursing research careers by providing a continuum of research opportunities, from high school student to faculty levels. The overall goal is to increase diversity in the research workforce by providing training opportunities to individuals whose basic or clinical research interests and skills are grounded in the advanced methods and experimental approaches needed to solve research problems. The NHLBI encourages diversity on all research training support mechanisms. Before submitting a supplement application, individuals and their mentors should explore new and existing training and career development programs at their institution which also provide research training opportunities (e.g., F31, F32, K08, K23, K01, T32, and T35).

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

APPLICATION RECEIPT

An application for a new supplement may be submitted at any time. However, applications should arrive at least three months before the requested start date, to allow time for review. Principal Investigators are encouraged to synchronize the requested start date for the supplement award and the budget start date for the parent grant/contract particularly for postdoctoral and investigator level supplements. Applications seeking awards before the end of a fiscal year (September 30) must be received no later than June 30. 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.

NUMBER OF APPLICATION COPIES AND WHERE TO SEND

NHLBI Diversity Supplement and Re-Entry Supplement applications may be submitted in hard copy or as electronic (PDF only) files.

Hard Copy Submissions: Applications submitted in hard copy should include:

one signed original sent directly to NHLBI's Office of Grants Management (for grant supplements) to

Mr. Robert Vinson
Division of Extramural Research Activities
Office of Grants Management
Two Rockledge Centre
6701 Rockledge Drive, MSC 7926
Bethesda, MD 20892-7926
Bethesda, MD 20817 (for express/courier non-USPS services)

OR the NHLBI's Office of Acquisitions (for contract supplements) to

Mr. John Taylor
Division of Extramural Research Activities
Office of Acquisitions
Two Rockledge Centre
6701 Rockledge Drive, MSC 7902
Bethesda, MD 20892-7902
Bethesda, MD 20817 (for express/courier non-USPS services)

WITH a copy to the appropriate NHLBI Division Representative

AND a copy to the Office of Research Training and Minority Health to

Ms. Janita Coen
Office of Research Training and Minority Health
Two Rockledge Centre
6701 Rockledge Drive, MSC 7913
Bethesda, MD 20892-7913
Bethesda, MD 20817 (for express/courier non-USPS services)

Electronic Submissions: The NHLBI encourages the submission of Diversity Supplement and Re-Entry Supplement applications as PDF electronic files. Electronic 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. The application must be a scanned PDF document so that the appropriate signature of the authorized institutional representative is clearly legible. 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 scanned as PDF files and included in the application as a single PDF file. The subject line of the email must contain only the phrase, "NHLBI DIVERSITY SUPPLEMENT APPLICATION PDF", or "NHLBI RE-ENTRY SUPPLEMENT APPLICATION PDF" all in caps.

If the applicant institution chooses to submit an electronic file, please submit PDF supplement applications directly to NHLBI's Office of Grants Management (for grant supplements):

• Office of Grants Management: Robert Vinson, at VinsonR@nhlbi.nih.gov

OR the NHLBI's Office of Acquisitions (for contract supplements):

• Office of Acquisitions: John Taylor, at TaylorJC@nhlbi.nih.gov

WITH a copy to the appropriate Division Representative:

• Division Representatives:
  Division of Cardiovascular Diseases: Michael Commarato, Ph.D., at CommaraM@nhlbi.nih.gov
  Division of Blood Diseases and Resources: Henry Chang, M.D., at ChangH@nhlbi.nih.gov
  Division of Lung Diseases: Ann Rothgeb, at RothgebA@nhlbi.nih.gov
  Division of Prevention and Population Sciences: Nancy O. Morris, at MorrisN@nhlbi.nih.gov

AND a copy to the Office of Research Training and Minority Health:

• Office of Research Training and Minority Health: Janita Coen, at CoenJ@nhlbi.nih.gov

NHLBI DIVISION REPRESENTATIVES

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

Section A. GENERAL INFORMATION

1. Eligible Grants and Contracts

1. Principal Investigators of the following NHLBI supported grants/contracts can request Research Supplements:




R01: Research Project
R15: Academic Research Enhancement Award (AREA)
R18: Research Demonstration and Dissemination Project
R21: Exploratory/Developmental Grant
R37: Method to Extend Research in Time (MERIT)
K24: Midcareer Investigator Award in Patient-Oriented Research
U01: Cooperative Agreement
U10: Cooperative Clinical Research Agreement
UH1: Research Scientist Award for Minority Institutions
P01: Program Project
N01: Research and Development Contract


The R15 Academic Research Enhancement Award (AREA) and the R21 Exploratory/Developmental Grant may support high school, undergraduate, and post-baccalaureate/post-masters students only.

An NHLBI-supported grant or contract at a foreign institution may also request a supplement for a Candidate who fulfills the U.S. citizenship requirements (see 2., below).

The following NHLBI supported grant mechanisms are not eligible for research supplement support:



P50: Specialized Centers of Research (SCOR)
and Specialized Clinical Centers of Research (SCCOR)
P60: Comprehensive Center
R03: Small Grants
R43, R44: Small Business Innovation Research Grants (SBIR)
R41, R42: Small Business Technology Transfer Grants (STTR)



2. Length of Supplement Award 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, post baccalaureate/masters, and graduate level supplements.The Post Baccalaureate/Post Masters (PBS/PMS) and Graduate (GRS) supplement levels require at least one year remaining at the time of award unless otherwise specified.

To be eligible to receive the Postdoctoral or the Investigator Supplement, the NHLBI-supported grant/contract should have adequate time (usually two years or more) remaining at the time the supplement is awarded. The two year minimum is an attempt to ensure the candidate has adequate time to develop/enhance a research skill set and acquire publishable data. As noted in Section D, the Postdoctoral and Investigator level supplements are awarded 4 times per year in December, March, June, and September.

The Post-Baccalaureate and Post-Master's supplements may request a duration of one year with full-time effort, but the research experience can be extended for an additional year if evidence is provided to show that the candidate is actively pursuing entry into a graduate or a health professionals school. The NHLBI only awards the Post-Baccalaureate and Post-Master's supplements June through September to coincide with entry into graduate/medical school after completion of the research experience.

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

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

2. Candidate and Citizenship Requirements

   For the purpose of this announcement, institutions are encouraged to identify candidates who will increase diversity on a national or institutional basis. The strength of an institution’s description and justification for the appointment of an identified candidate will be judged along with all other aspects of the proposed experience. Please see the following specific instructions in the National Institutes of Health (NIH) program announcement for Research Supplements to Promote Diversity in Health-Related Research at:
   
   http://grants.nih.gov/grants/guide/pa-files/PA-05-015.html
   Awards under this program are limited to citizens or non-citizen nationals of the United States or to individuals who have been lawfully admitted for permanent residence in the United States (i.e., in possession of an Alien Registration Receipt Card) or some other legal evidence of admission for permanent residence at the time of application.
   
   Noncitizen nationals are individuals who owe permanent allegiance to the U.S. and are born in lands under U.S. sovereignty, jurisdiction, or administration such as Guam, the U.S. Virgin Islands, or any other U.S. territory or possession.
   
   Permanent residents of the U.S. are people who have a currently valid Alien Registration Receipt Card (I 155) or some other legal documentation of such status, a copy of which is required as part of the supplement application. Individuals with student or other non-immigrant visas are not eligible to receive support under this program.




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

   Each research grant, subproject of a program project grant (P01), or contract is eligible to request up to two HSS, two URS, one PBS or PMS, one GRS, one PDS, and one IRS awards provided adequate laboratory space and mentorship are assured. A separate application must be submitted for each candidate.
   
   

4. Number of Supplements Candidates May Have During Their Career

   A candidate can receive consecutively, a high school (HSS), an undergraduate (URS), a post-baccalaureate (PBS), a graduate (GRS), a post-master's degree (PMS), a postdoctoral (PDS), and an investigator (IRS) supplement during his/her career advancement. However, supplement awards may not overlap each other. These awards may be from different awarding research components of the NIH.
   
   NHLBI will award another supplement at the same level to the same individual to allow the maximum of up to 4 years of support to complete her/his research experience. Please contact the Program Administrator/Project Officer of the parent grant/contract or the NHLBI Division Representative for the Supplements Program for more information.
   
   

5. MERIT Extensions

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




6. Guidelines for Research Proposed for a Supplement

   Design of the Candidate’s research plan should take into consideration the research readiness of the Candidate and the goals of the IRG-approved parent grant.
   
   The research proposed must be either part of the IRG-approved research plan (for HSS, URS, PBS, PMS only) or a logical extension of the goals and objectives of the parent grant, subproject, or contract (GRS, PDS, IRS) - see below, but not sufficiently different to constitute new research, program expansion, or change in scope (see the NIH Grants Policy Statement on Change of Scope—and see in these Guidelines: Section C, Part 1, prepared by Principal Investigator or contractor, under Research Plan).
   
   
   1. No project deleted during the initial peer review may be proposed as the research basis for research supplement support. Research proposed for a supplement to a contract that is determined by the NHLBI as being outside the scope of the parent contract will not be approved.
   
   
   
   2. HSS, URS, PBS, PMS candidates, generally are not expected to conduct independent research. However, Candidates who indicate readiness for some degree of independent research should be encouraged to do so, provided their research is part of or a logical extension of the parent grant or contract’s original research plan or goals. All students should be encouraged to participate in ongoing team discussions of research findings and directions.
   
   
   
   3. GRS candidates are expected to conduct a defined research project (i.e., a logical extension of the goals and objectives of the parent grant, subproject, or contract) that will lead toward completion of their graduate degree. Generally, the Principal Investigator of the grant/contract serves as the graduate student’s research thesis advisor.
      
      Medical or students of other allied health professions, who seek a GRS for short-term research training and not for obtaining a degree, may assume partial or complete responsibility for some aspects of the parent grant or contract’s original research plan or goals.
      
      
   4. PDS and IRS candidates are expected to have defined research projects (i.e., a logical extension of the goals and objectives of the parent grant, subproject, or contract) that will lead to publishable data and significantly enhance the candidate’s ability to compete for independent grant support from NIH and other sources.
      
      Mentors applying for support at the postdoctoral and in particular the investigator levels must provide, after developing in conjunction with the Candidate, a projected time line delineating specific research milestones and other activities that will be made in an attempt to secure independent research funding (i.e., anticipated publications, grantsmanship workshops, timeframe for grant submissions and type of independent research support the candidate seeks).
      
   
   

7. Research Involving Animals or Human Subjects

   In grants, P01 subprojects, or contracts:
   
   
   1. using the same animals or humans: If animal or human research is approved in the parent award, research proposed for the supplement will use the same animals or humans as is in the parent grant. Thus, the supplement will use the same animal or human research protocols that were approved for the parent award by the Institutional committees--no new approval document is necessary.
   
   
   
   2. using additional animals or human subjects: A new Institutional Review Board (IRB) and/or Institutional Animal Care and Use Committee (IACUC) approval document from the appropriate institutional committee is required. The additional animals must be of the same species and humans will generally possess the same gender, age, and reproductive status characteristics as those being studied in the parent award. Changes from the above are rarely permitted and only with compelling justification and after prior discussion with the NHLBI Program Administrator or Project Officer. In such rare cases, the Principal Investigator must submit a new approval document from the IRB/IACUC as part of the supplement application or later under “Just-in-Time" procedures and a detailed description of the proposed changes.
   
   
   A detailed description of the involvement of human subjects must be included in accordance with the instructions provided in the standard grant application, PHS Form 398 (revised 09/2004), at:
   
   
   Part I: “Preparing Your Application”,
   Section C: “Specific Instructions”,
   Item 7: “Research Plan”,
                  e: “Human Subjects Research”.
   
   
   
   3. changing the animal or human model, from those approved in the parent grant, P01 subproject, or contract may constitute program expansion (or change of scope) and is rarely permitted for a supplement. Changes in model include changes in age, gender, and reproductive state, as well as in species. Any proposed changes should be discussed with the NHLBI Program Administrator/Project Officer for the parent grant, P01 subproject, or contract, well in advance of submitting a supplement application.
      
      
   Inclusion of Women, Minorities, and Children in Research
   If research involving human subjects is proposed, the supplement application must adequately address the NIH policies on the:
   
   Inclusion of Women and Minorities in Clinical Research Studies
   http://grants1.nih.gov/grants/funding/women_min/guidelines_amended_10_2001.htm
   
   Inclusion of Children as Participants in Research Involving Human Subjects
   http://grants.nih.gov/grants/guide/notice-files/not98-024.html
   
   Documentation that the Candidate has completed the required education in the protection of human research participants may be submitted with the application or may be provided just prior to funding.
   



8. Required Education in the Protection of Human Research Participants

   For all NHLBI supplement awards involved in human subjects research, Candidates are considered “key personnel” and are required to submit documentation that they have received this education.
   
   The website, http://grants1.nih.gov/grants/guide/notice-files/NOT-OD-01-061.html, contains links to the NIH web-based tutorial and frequently-asked-questions. They may take either the institution’s training or equivalent, or may use the one the NIH has provided at http://ohsr.od.nih.gov





9. Required Instruction in the Responsible Conduct of Research

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



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

    The PI should fully describe in the application, his/her commitment to the Candidate under the following headings:
    
    1. Mentorship: The mentoring plan is an essential part for the research supplement application. Mentors should identify plans such as frequency of one-on-one and group meetings to discuss progress and problems with Candidate; to encourage oral scientific presentations; instructions on how to critically evaluate the literature and experimental design; training in scientific writing (including grant proposal preparation), such as manuscripts, abstracts; how to design experiments; instruction in responsible conduct of research, etc.
       
       Mentors applying for support at the postdoctoral and in particular the investigator levels must provide, after developing in conjunction with the Candidate, a projected time line delineating specific research milestones and other activities that will be made in an attempt to secure independent research funding (i.e., anticipated publications, grantsmanship workshops, timeframe for grant submissions and type of independent research support the candidate seeks).
    
    
    
    2. Research Team: how the Candidate will interact with other members of the team and how the PI proposes to support the Candidate's career development; any planned outside laboratory experiences or collaborations for the Candidate.
    
    
    
    3. Travel and Scientific Presentations: a plan to attend at least one scientific meeting each year of the award. Encouraged for all levels, but is required for the URS, PBS, GRS, PMS, PDS, and IRS Candidates. Up to 1,000 a year may be requested for travel for scientific meeting purposes. The Candidate should be encouraged to participate in poster sessions or oral presentations at these meetings.
    
    
    
    4. Publications: how opportunities will be provided for the Candidate to participate in writing and publishing scientific papers and making presentations at scientific meetings (particularly for the higher level supplements such as the PDS and IRS).
       



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

    The application must list: (1) the Candidate’s pending, and current private- and public-sector research support (grants, awards, scholarships, other sources) and the level of commitment (percent effort) to these activities; and (2) the project start and end date for each source of support. The candidate can receive funds from other sources, both federal (other than the parent grant/contract) and non-federal, provided she/he can devote the required level of effort to the supplement and if it is determined by NHLBI staff that the Candidate’s activities supported by these other sources will not interfere or overlap with the research being conducted on the supplement. The NIH encourages full utilization of all funding mechanisms to increase diversity. Therefore, an individual cannot be taken off a grant and/or substantially reduce his or her effort on a grant in order to apply for the Diversity Supplements Program.
    



12. Special Conditions, Restrictions, and Limitations

    • A Supplement awardee may participate in a federal or non-federal 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 Grant Administrator or Project Officer is required to ensure that this activity will not interfere with the research training proposed under the supplement and the required percent effort for the specific supplement level is met.
    
    
        Eligible Candidates:
    • Individuals from underrepresented groups who are or have been Principal Investigators of the following are eligible to receive support from a PDS or IRS supplement:
      
      Minority Biomedical Research Support (MBRS: S06GM grants)
      Minority Access to Research Careers (MARC: F34GM grants)
      Academic Research Enhancement Award (AREA: R15)
      Small Grant Award (R03)
      Minority - Research Infrastructure Support Program (M-RISP)
      Career Opportunities in Research Education and Training (COR)
      F31(predoctoral) and F32(postdoctoral) fellowships
      
        Ineligible Candidates:
    • Individuals who have received previous funding from NIH as an independent Principal Investigator on a regular research grant (e.g., R01, R29), or as the project leader on a component of a program project or center grant (e.g., P01, P50, G12), or as Principal Investigator on an individual research career award (e.g., K01, K02, K07, K08, and K12) are not eligible.
      
    • Candidates may have had support on a National Research Service Award (NRSA) grant (T or F) however, a supplement will not start until the candidate's appointment on a NRSA training grant (generally a two-year commitment for Post Doctoral individuals in order to satisfy a payback obligation) has been completed. A Candidate's current NRSA training grant support cannot be terminated early to place the Candidate on a research supplement.
      
    • The supplement awardee can accept DHHS or non-DHHS support (e.g., an American Heart Association fellowship) while receiving support from a supplement, depending on the percent effort commitments to the various support mechanisms. It is the responsibility of the Principal Investigator/Contractor to inform the NHLBI of any changes in non-supplement support to the candidate during the course of the supplement. No salary may come from the parent grant/contract.
      
    • Funds for a supplement are made to the parent grant/contractor’s institution and are not transferable to another Candidate, contract, grant, or institution.
      
    • Support under the supplement program is not transferable to another individual or transportable to another institution.

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

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

1. High School Student Supplement (HSS)

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

2. Undergraduate Research Supplement: URS

   This supplement program provides an opportunity for undergraduate students interested in health-related research to participate in a research project during the summer months and/or during the academic school year. This experience is separate from any requirement of the regular academic program. The student may be affiliated with either the applicant institution or another academic institution. Any eligible undergraduate student interested in health-related research is encouraged to participate in this program.
   

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

   This supplement will provide opportunities for recent baccalaureate or master's degree graduates who wish to spend up to two years engaged in health-related research while applying for admission to graduate or medical school. The duration of the program is normally one year, but the research experience can be extended for an additional year if evidence is provided to show that the candidate is actively pursuing entry into a graduate or a health professions school. This program may not be used to provide technical support to NIH-supported investigators. Recent graduates who have earned either a bachelor's or master's degree in a health-related science are eligible for consideration. Students who plan to attend medical, dental or other professional schools are encouraged to use this program to gain research experience.

   The NHLBI encourages applications from recently completed Bachelor's or Master degree (within 18 months) with expressed intent of completing graduate/medical degree. The NHLBI only awards the Post-Baccalaureate and Post-Master's supplements June through September to coincide with entry into graduate/medical school after completion of the research experience.

4. Graduate Research Assistant Supplement: GRS

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

5. Postdoctoral Supplement: PDS

   These supplements provide research support to permit individuals in the postdoctoral phase of their training to participate in ongoing research projects. This experience must serve as a means of assisting the postdoctoral fellow's development into productive researcher in a health-related science. Postdoctoral fellows who are currently being supported on research or training grants may not be supported on research supplements. Supported candidates should be encouraged to submit applications for fellowships, research grants, and other sources of independent support before the supplement period ends. The individual in postdoctoral training may be affiliated with either the applicant institution or some other institution. Only under extraordinary circumstances, which must be well justified in the application, would it be acceptable for the postdoctoral candidate to work with his/her former predoctoral mentor.

   The NHLBI supports the PDS for a minimum of two years as transition funding to other sources of research support. Support may be provided for a supplement for up to 4 years with a specified percent time or equivalent each year with justification. Candidates with prior postdoctoral research experience must provide justification for the additional training requested. The PDS requires full-time research effort (at least 40 hrs/wk). However, individuals with clinical, other research, or teaching responsibilities may request a minimum of 50% research effort.
   

6. Investigator Research Supplement (IRS)

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

   Short-term Investigator Research Supplement

   This supplement provides short-term support for faculty members to conduct full-time research for three to five months each year during the summer or another portion of the academic year, over a maximum period of four years. The NHLBI does not encourage the Short-term Investigator Research Supplement.

   Long-term Investigator Research Supplement

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

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

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

   Supplements for Established Investigators Who Become Disabled

   Established investigators on NIH research, program project, or center grants who become disabled during the current project period may request funds for reasonable accommodations to permit completion of the currently funded research project. Any currently funded Principal Investigator or Co-Investigator (hereinafter referred to as Established Investigator) on an NIH research project grant, program project grant, or center grant 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.

Section C. APPLICATION PROCEDURES

The Supplement Application

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

• Candidate's demographic data: "Personal Data" (recommended,
  (such as ethnicity, etc) although optional)
• Supplement Application Face Page: "Form Page 1"
• Supplement Budget: "Form Pages 4 and 5"
• Candidate's biographical sketch: "Biographical Sketch Page"

Part I: Prepared by the Principal Investigator or Contractor

• Cover Letter

  • Parent Grant/Contract number and title
  • Type and level of supplement requested, eligibility of candidate (e.g., citizenship status, nature of disability, disadvantaged status, ethnicity)
  • states that the Candidate has never received the type of PHS support prohibited by Supplements Program
  • provides a current email address for the Principal Investigator/Contractor and Candidate
  • is signed by the Principal Investigator/Contractor, and Institutional Business Official. Post-baccalaureate and Post-master supplement must address the reason for the 1 year research hiatus and provide a statement of the candidate’s intention to attend graduate/medical school in the cover letter.
    
    

• Face Page

  For supplements to grants, P01 subprojects, or contracts, complete a new grant application face page (Form Page 1), form PHS 398.
  
  

• Research Plan

  This section of the application should include:
  
  
  • a summary of the parent grant, P01 subproject, or contract. Contractors may choose to use the "Summary of Objectives", which is obtainable from the NHLBI Project Officer.
  • scope of the research planned for the Candidate: a two- to three-page description of the Candidate’s research in keeping with the supplement’s level. See Section A, Item 6.
  • 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; a brief statement of assurance that the supplement’s research is not an expansion (change in scope) requiring peer review
    
    
  Change in Scope: The following is taken from the "NIH Grants Policy Statement, Part II, Terms and Conditions, Change in Scope"

  http://grants2.nih.gov/grants/policy/nihgps_2001/part_iia_5.htm

  In general, the PI may make changes in the methodology, approach, or other aspects of the project objectives. However, the grantee must obtain prior approval from the NIH for changes in scope that constitute a significant change from the aims of the approved project. The grantee must make the initial determination of the significance of a change and should consult [NHLBI staff] as necessary. However, as noted, certain actions in the following list always require NIH prior approval under the circumstances specified. As the necessary requirements (for example, IRB approval) may take time, the supplement award may be restricted until the change in scope is approved.
  
  Actions likely to be considered a change in scope include, but are not limited to:
  

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

• Plans to Enhance the Candidate’s Research Capabilities

  • Describe:
    

  1. specific skills to be acquired and milestones reached during the supplement experience.
  2. opportunities to interact with research team.
  3. opportunities to develop independence and to acquire presentation and publication skills.
  4. milestones that will be reached during the supplement experience (e.g., acquisition of preliminary data, new research skills, and presentation of research findings at local/national meetings).
  5. how this experience will help the candidate move toward achieving his/her stated career goals.
     
     

• Research Environment

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

• Mentoring plan

1. Provide a detailed mentoring plan for the Candidate that describes the approaches to be used such as frequency of one-on-one and group meetings to discuss research progress with Candidate; to encourage oral scientific presentations; instructions on how to critically evaluate the literature and experimental design; training in scientific writing (including grant proposal preparation), such as manuscripts, abstracts; how to design experiments; instruction in responsible conduct of research, etc.).
   

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

3. The mentoring plan must include guidance in the ethical conduct of research (including training in animal and human subjects' protection, if applicable).
   
   
4. The PI should provide evidence of mentoring experience and success, e.g., a list of past trainees and their current positions. If the PI is a junior faculty member, it may be appropriate to include an experienced co-mentor in the development plan.
   
   
5. In addition, if the PI has previously been awarded a research supplement(s), he/she must describe: a)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); b) the outcomes of the prior development/mentorship plan; c) any unexpected positive or negative occurrences that affected specific aspects of the development/mentorship plan or success of the candidate(s); and d) how these prior experiences influenced the development/mentorship plan proposed for the current candidate(s).
   
   
6. The role of other investigators who will contribute to the research mentoring should be described in the application and their biosketches must be included with the application.

• Candidate's Pending, Current, and Prior PHS Support

  • Provide:

  1. all pending, current, or previous PHS research grant/contract support with start and end dates and associated percent effort devoted to each activity
  2. assurance that ongoing commitments will not interfere with the Candidate's research experience
     
     

• Candidate's Other Pending, Current, and Prior Non-PHS Support

  • Provide:

  1. 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
  2. Information on current support from all other sources--private and public--jobs, university positions, etc.
  3. assurance that these commitments will not interfere with the supplement's research
     
     

• Supplement's Budget

  Direct costs may be requested for all categories except equipment (but see IRS), depending on the type of supplement being requested and provided that the ceilings established are not exceeded for each category in each kind of supplement.
  
  
  
  • direct costs requested are only for Candidate
  • for a grant supplement: the initial budget period ends on the parent grant's budget end date
  • the initial budget period, if less than 12 months, is prorated for all categories except travel
  • for a contract supplement: the initial budget period requested is for one year
  • PBS/PMS budget is to be specified for a total of 12-months (requested start date must be June through September 30)
  • Candidate's percent effort during each year or part is stated
  • "salary and fringe benefits" are in accord with the institution's salary compensation structure
  • supplies, travel, and other category does not exceed the supplement's ceiling and is justified
  • "travel" category does not exceed $1,000 for undergraduate- and higher-level supplements and states what it is intended for
  • "travel" category for a high school supplement (HSS), if requested, is very well justified
  • "consortium/contractual" category is well justified
  • "equipment" category for the investigator supplement (IRS) only is very well justified
    
    
    

    Funding Restrictions

    All awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement. The Grants Policy Statement can be found at http://grants.nih.gov/grants/policy/policy.htm (see also Section VI.3. Award Criteria, PA-05-015).
    
    Awards are based on the current programmatic needs of the NIH awarding component, therefore investigators must contact their program administrators at the NIH before applying. The decision to fund a supplement will take approximately ten weeks from receipt of a complete application.
    
    Continuation of Support
    
    In competing renewal applications, funds for continuation of support of the supplemental award will depend on the successful renewal of the parent grant and will be handled as follows:
    
    For students who have not yet completed their research experience, funds for the continuation of support must be requested as a 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 letter with information on research progress and accomplishments of the candidate. The request must be addressed to the program administrator of the parent grant and must be submitted promptly in anticipation of a renewal award to avoid an interruption of support. Support for individual students by the supplement mechanism will be limited to five years. Additional time may be considered, particularly for students and investigators who have disabilities, but must be well justified.
    
    Funds for the continuation of support for a postdoctoral fellow or an investigator must be requested by name in the parent grant application at the time of renewal and may not be requested as a research supplement. Postdoctoral fellows and investigators are expected to be fully integrated in the research laboratory when considered for continuation of support.
    
    Supplement awards must be consistent with the goal of strengthening the existing research program and with the overall programmatic balance and priorities of the NIH. Awards will be made according to the policies and provisions stated in this announcement or as further specified by the NIH component funding the parent grant. The award limits listed in this document for each career level represent the support the NIH will provide. An award does not preclude the institution's use of funds from other sources to supplement the award.
    
    Appointments for Summer only
    
    Applicants for summer-only research appointments must submit early enough to ensure that funding is in place by the time the summer experience is scheduled to begin. In most cases, during the first budget period, funds will be provided as an administrative supplement to the parent grant. In subsequent years, continued funding for the supplement is contingent on continued funding of the parent grant and cannot extend beyond the current competitive segment of the parent grant and the availability of funds.
    
    Reasonable Accommodations: As part of these awards, funds may be requested to make changes or adjustments in the research setting that will make it possible for a qualified individual with a disability to perform the essential functions associated with his/her 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.
    
    High School Students: The salary for a high school student, whether full- or part-time, should be consistent with the institutional salary policies. Institutional salary rates for high school students, which exceeds the hourly minimum wage must be justified. An additional amount of $1,000 per year may be requested for supplies and travel to scientific meetings, home, school, and/or research site. Equipment may not be purchased with these funds. Students are expected to devote sufficient effort to the research project and related activities during the period of support to gain insight into the process of scientific discovery. Support for at least three months is encouraged during any one year. This may include a mixture of full-time summer experience and part-time experience during the school year. Principal Investigators are encouraged to seek high school students who will devote at least two years to this program (i.e., equivalent to two three-month, full-time periods). Exceptions to the latter will be considered, depending on the circumstances of the applicant, the parent grant, and the specific request.
    
    Undergraduate Students: The salary for an undergraduate student should be consistent with the institutional salary policies. Institutional rates for undergraduate salary that exceeds $10 per hour must be justified. An additional amount of $200 per month for supplies and travel may also be requested. Up to $1,000 per year of this amount should be for travel to scientific meetings or between home, school, and/or research site. Equipment may not be purchased using these funds. Students are expected to devote the equivalent of at least three months of full-time effort to the research project and related activities in any one year and, in most cases, the period of support for any individual should last at least two years. Exceptions to these requirements will be considered, depending on the circumstances of the applicant, the parent grant, and the specific request.
    
    Post-Baccalaureate And Post-Master's Degree Students: The salary for students at the post-baccalaureate and post-master's degree levels should be reasonable and consistent with the institutional salary policies and can not exceed the amount allowed for graduate students (see NIH Guide announcement, http://grants1.nih.gov/grants/guide/notice-files/NOT-OD-02-017.html). Additional funds up to $3,000 per year may be requested for supplies and travel. Up to $1,000 per year of this amount should be for travel to scientific meetings. Funds may not be used to purchase equipment.
    
    Graduate Research Assistants: The NIH will provide salary support in addition to other necessary expenses, such as supplies and travel, to enable the individual to participate as a graduate research assistant in a funded research project. The NIH will provide compensation that (1) conforms to the established, consistently applied salary and wage policies of the institution and (2) reflects the percentage of time devoted to the PHS-funded project. For graduate students this compensation may include tuition remission paid as, or in lieu of, wages provided that the student is in a bona fide employer-employee relationship with the institution for the work performed, and payment is made explicitly for performance of necessary work. The total amount requested for salary, tuition and fringe benefits can not exceed the amount allowable for a first year postdoctoral fellow at the same institution performing comparable work (see NIH Guide announcement, http://grants1.nih.gov/grants/guide/notice-files/NOT-OD-02-017.html). Additional funds up to $4,000 per year may be requested for supplies and travel. Up to $1,000 per year of this amount should be for travel to scientific meetings. Funds may not be used to purchase equipment.
    
    Individuals in Postdoctoral Training: The NIH will provide support for salary in addition to other necessary expenses, such as travel and supplies, to enable the candidate to participate as a postdoctoral research assistant or associate on the funded research project. The requested salary and fringe benefits must be in accordance with the salary structure of the grantee institution, consistent with the level of effort, and may not exceed $50,000 per year. However, exceptions to this rule may be made. Applicants must check with their program administrators at the NIH before submitting an application. The supplement budget may include up to $6,000 per year for supplies and travel for the candidate. Up to $1,000 per year of this amount should be for travel to scientific meetings. These funds may not be used to purchase equipment.
    
    Investigators Developing Independent Research Careers: The requested salary and fringe benefits for an investigator should be consistent with the level of support provided by NIH Career Development Awards. When that is not appropriate, the requested salary and fringe benefits can be up to $85,000 total direct cost. This includes the candidate's salary of up to $75,000 per year plus fringe benefits, in accordance with the salary structure of the grantee institution, and must be consistent with the level of effort. Additional funds of up to $10,000 per year may be requested for supplies and travel. Up to $1,000 per year of this amount should be used for travel to scientific meetings. Equipment may not be purchased except in unusual circumstances and not without prior approval of the NIH awarding component. The maximum period of support for any investigator is usually two years. Applicants must contact the NIH staff listed under inquiries prior to submission to obtain specific information about preparing and submitting an application.
    
    Supplements for Established Investigators Who Become Disabled: Support will be limited to items that will permit the investigator to complete the remaining years of a currently funded research project. This might include: salary support for an individual who can assist the Established Investigator in meeting the goals of the research project, specialized equipment such as computers, or modifications of the working environment. In all cases, the requested support must be consistent with the type of disability and the nature of the approved research. The total amount of support requested under this supplement must be reasonable in relationship to the direct costs of the parent award and the Established Investigator's role and effort on the project. In future competing applications, funds for continuation of the accommodations provided under this supplement must be requested in the parent grant application and may NOT be requested as a research supplement.

    Cost extensions should be requested for a minimum of 3 months with costs prorated. Requests for cost extensions should be submitted at least 1 month prior to the end period.

   

• Animal or Human Use Description and Documentation

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

  • proposed use of human subjects or vertebrate animals must follow the guidelines provided in Section C, Part 1 of form PHS 398 (revised 09/2004)
  • if the same human subjects/animals will be used in the supplement's research as in the parent grant, provide the IACUC, IRB, or MA number
  • if additional animals or a different animal model will be used in the supplement's research, either a new documented IACUC approval must be included or a statement that the NIH "Just-in-Time" procedure will be used
  • if additional human subjects are proposed for the supplement's research, either a new documented IRB approval must be included or a statement that the NIH "Just-in-Time" procedure will be used
  • if additional human subjects are proposed for the supplement's research, statements are included that are responsive to the federal requirements to include women, minorities, and children in clinical studies (see PHS 398, revised 09/2004, Part 1, Section C, Item 7e).
  • Required Instruction in Education for the Protection of Human Subject: If any human subjects (same or additional) will be used by the Candidate, include certification that she/he has received education in the protection of human subjects. An NIH Web page contains links to the NIH web-based tutorial and frequently asked questions at: http://grants.nih.gov/grants/guide/notice-files/NOT-OD-00-039.html
    
    

• Required Instruction in the Responsible Conduct of Research

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

• Approval to Conduct Research Away from Grantee Institution

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

Part 2: Prepared by the Candidate

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

• Candidate's Biographical Sketch

  • Complete "Biographical Sketch Format Page", form PHS 398 (revised 09/2004), and include:
    

  1. degree(s), majors/area of concentration, year(s) awarded/expected,
     awarding institution(s)
  2. name of home/training institution
  3. evidence of scientific interest, research experience, and accomplishments
  4. list honors, awards, publications, and presentations, if applicable

  
  

• Candidate's Statement: Career Goals

  • Provide:

  1. a one- to two-page statement prepared and signed by the Candidate outlining his/her career goals and how the supplement award will assist in achieving them. PBS/PMS should address the reason for the one year research hiatus and provide any steps taken to gain admittance into a graduate/medical school
  2. where relevant, the Candidate's work/experience/personal background may be included
  3. for postdoctoral (PDS) and investigator (IRS) supplements, career goals should be focused and specific.
     1. Cumulative Postdoctoral research experience must not exceed 6 years (i.e., Individuals with 2 years prior postdoctoral research training on another training support mechanism may request up to 4 years of supplement support). Individuals with more than 2 years postdoctoral research experience must justify the need for the additional training requested.
     2. The IRS applicant should specifically address how the supplement award will assist in achieving both short-term and long-term (securing independent research support) career goals.
  4. a current address, telephone number and email address

  
  

• Certification that the Candidate Has Time to Conduct Research

  For Candidates (high school, undergraduate) who wish to do their research during the academic year at another institution:
  
  Provide a letter from an appropriate official at the student's institution certifying that the student's participation at the stated level of effort is approved and will not interfere with the student's academic performance (not required for high school and undergraduate students participating in a summer-only research experience).

• Letters of Acceptance/Documentation of Further Education Intention

  • if the Candidate is a recently graduated high school, undergraduate, or graduate student (Master's level) and is seeking the next level of supplement, a letter of acceptance for higher-level education at an academic institution must be included with the supplement application.
  • if the Candidate wishes to start a supplement experience before commencing on a higher-level of education (i.e., the summer before entering undergraduate/graduate school), a letter of acceptance from the admitting academic institution must be included with the supplement application.
  • if a post-baccalaureate or post-master's supplement candidate wishes to extend their research experience for an additional year, evidence needs to 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 for the additional year must be well documented. The request for funding must be submitted 3 months before the current supplement ends.

• Transcript Requirements/References/Letters of Support

  For high school, undergraduate, post-baccalaureate, or post-master's candidates:

  • Provide copy of most recent transcript that shows C+ average or better - do not send separately in a sealed envelope
  • references/letters of support: entirely optional but may be included in the supplement application

  Applications should be sent electronically to the NHLBI, and NOT to the NIH Center for Scientific Review.
  
  If applications are submitted electronically, please follow instructions for electronic submissions.

   

Section D. APPLICATION REVIEW AND AWARD

The application review is a two-tier administrative review by NHLBI staff.

First: Applications judged to be complete are reviewed by the Division’s Review Committee (division level). The divisional Supplements Review Committee meets once a month to review and establish funding priorities for all eligible applications. Additional information may need to be requested from the applicant. This Committee can choose to send the application forward for NHLBI-level review, defer it pending receipt of additional material, or declare it ineligible. The Division Representative will notify the Principal Investigator if the application is ineligible.

Second: The NHLBI Supplements Review Committee (institute level) generally meets once a month to review and establish funding priorities for all eligible applications. Supplement applications are ranked within the academic/career level (e.g., post doctoral, investigator). Applications are funded based on priority within the academic career level. The ORTMH sends out award letters. Awards are generally made each month for the lower level supplements and 4 times per year in December, March, June, and September for the postdoctoral and investigator level supplements. The NHLBI only awards the Post-Baccalaureate and Post-Master's supplements June through September to coincide with entry into graduate/medical school after completion of the research experience. Applications that are not funded due to their relative ranking among other applications will be notified after the second level of review. The supplement award decision cannot be appealed.

• Review Criteria for Prioritizing Applications

  Three criteria are used for prioritization:

1. The qualifications of the Candidate including grades, career goals, prior research training, previous publications, and research potential.
   
2. The plan for the proposed research experience in the supplement request and its relationship to the parent grant and evidence from the Principal Investigator that the activities of the Candidate are an integral part of the project.
   
3. Evidence from the Principal Investigator that the experience will enhance the research potential, knowledge, and/or skills of the Candidate, and the provision of a well defined mentoring plan.

• Supplement Award Funding Policy

  Funding for supplement applications is not guaranteed. Meritorious high school, undergraduate, and graduate supplement applications are awarded throughout the year. Although supplement applications may be submitted at any time 3 months prior to the requested start date, awards at the PDS and IRS supplement levels, are made four (4) times per year in the months of December, March, June, and September. The PBS/PMS level supplement awards for 12 months will be made June through September to coincide with entry into graduate/medical school after completion of the research experience. All applications seeking support by the end of a fiscal year (September 30) must be received no later than June 30. Applications that arrive after this date will be held and considered for funding in the next fiscal year. Due to the Federal budget cycle, awards are NOT made in October and November.

Section E. POST AWARD PROCEDURES

• Required Supplement Progress Reports (Interim and Final)

  Two kinds of progress report are required for the supplement component of the parent grant or contract: interim and final. These must be included in the non-competing continuation application or the final reports of the parent award/contract under the appropriate heading.
  
  Interim Supplement Progress Report
  
  For supplements to grants: every year, a noncompeting continuation application (Type 5), containing a satisfactory progress report, is required before funding is awarded for the next year of support. As part of this process and included in the Type 5 application, the Principal Investigator must provide a separate progress report (as a separate document or section, clearly labeled) for the supplement component. This supplement progress report should consist of two parts, one prepared by the Principal Investigator, the other by the individual.
  
  For supplements to contracts: every year on or just before the anniversary date of the supplement award, a supplement progress report must be provided, as described for grants.
  
  The Principal Investigator or Contractor provides:
  
  

  • dates for the period of support covered in the progress report (usually a year)
  • a summary of major research objectives/experiences achieved in the supplement

  The Supplementee provides:

1. a summary of the research experience from his/her perspective, to date (from the start of the supplement).
2. details of any new techniques learned.
3. a summary of participation at national and local meetings, workshops, poster sessions, and presentations. List any publications (as author or as part of the research team). Discuss any literature research.
4. provide update on status of attempts to secure independent research support.

Final Progress Reports

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

The Principal Investigator or Contractor provides:

1. dates for the entire period of support provided for the supplement
2. a summary of major research objectives achieved in the supplement
3. any comments or suggestions about the strengths or shortcomings of the supplement program

1. a summary of the entire supplement research experience from the candidate’s perspective.
2. details of any new techniques learned.
3. a summary of participation at national and local meetings, workshops, poster sessions, and presentations. List any publications experience (as author or as part of the research team).
4. 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.
5. a future forwarding address, email contact.
6. any comments or suggestions about the strengths or shortcomings of the supplement program.
7. if a post-baccalaureate (PBS) or post-master's (PMS) Supplementee:
   documentation on the outcome of the graduate/health professional school admission process on letter head from the organization to which the candidate submitted an application.
   
   When the supplement ends, Principal Investigators/contractors are encouraged to maintain contact with the supplement awardees, particularly students and post-doctoral individuals, to encourage their continued involvement in biomedical research and promote their research careers.

Section F. SUPPLEMENT EXTENSIONS

No-Cost Extension

Provided adequate time remains on the parent grant/contract, a no-cost extension may be requested by letter from the institutional business official. This letter is sent to the Office of Grants Management for grants, and the Office of Acquisitions for contracts; with copies to the NHLBI Division Representative and the Office of Research Training and Minority Health. The extension will not be given beyond the end date of the parent grant/contract.

Cost Extension for Varying Periods

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/contract and the maximum time permitted for an NHLBI supplement is not exceeded. An application for a cost extension may be submitted at any time and is permissible when the parent grant is on a no-cost extension although this does not apply to contracts. Cost extensions will not be made for less than three months. Support for cost extensions is not guaranteed. Applications must arrive at least three months before the requested start date, to allow adequate time for review and notification of the outcome. The Cost Extension application must include:

• A letter from the Principal Investigator/Contractor, countersigned by the institutional business official and the Candidate, justifying the extension and its critical importance in the supplementee's career.
• A new completed face page, with appropriate signatures, from PHS Grant Application Form 398 that includes the title and grant/contract number of the parent grant/contract.
• A detailed budget (PHS 398 form page 4).
• A summary of the Candidate's research progress and a brief description of the research that will be conducted during the extension, with assurance that the research to be conducted during the extension is a part of the research proposed in the original supplement application. No new aims may be proposed (an exception, however, would be if the supplement is awarded until the end date of the parent grant/contract, and the parent grant/contract is renewed, the cost extension might extend with new aims related to the parent grant up to the maximum time permitted for the supplement).
• A list of publications resulting directly from the supplement award, including manuscripts submitted or accepted for publication.
• The steps taken and timeline for career advancement, such as other grants awarded, pending awards, and their status and/or outcomes.

Early Termination of Supplement Award

The Office of Grants Management must be informed no later than 30 days of award termination. The PI must submit a correspondence letter and copying the Supplementee indicating the reason for the termination, effective date of termination, and follow-up contact information for the supplementee. If the supplement has been in effect at least 6 months, a final progress report must also be submitted. Please submit the letter and if applicable, the final progress report to the Office of Grants Management and a copy of the materials to the Office of Research Training and Minority Health at the addresses indicated below.

Send Progress reports to:
Copies of the Supplement Progress Reports should be separately sent to:

For Grant Reports:

Mr. Robert Vinson
Office of Grants Management
Division of Extramural Research Activities, NHLBI
Two Rockledge Centre
6701 Rockledge Drive, MSC 7926
Bethesda, MD 20892-7926
Bethesda, MD 20817 (for express/courier non-USPS services)
Telephone: 301-435-0144
Fax: 301-480-3310
Email: VinsonR@nhlbi.nih.gov

For Contract Reports:

Please check the contract award for mailing instructions and the number of copies to be sent to the Office of Acquisitions.

And send an additional copy of Grant/Contract Reports (hard or electronic) to:

Ms. Janita Coen
Office of Research Training and Minority Health, NHLBI
Two Rockledge Centre
6701 Rockledge Drive, MSC 7913
Bethesda, MD 20892-7913
Bethesda, MD 20817 (for express/courier non-USPS services)
Telephone: 301-451-5081
Fax: 301-480-0862
Email: CoenJ@nhlbi.nih.gov