Department of Health and Human Services


Part 1. Overview Information
Participating Organization(s)

National Institutes of Health (NIH)

Components of Participating Organizations

National Cancer Institute (NCI)
National Eye Institute (NEI)
National Heart, Lung, and Blood Institute (NHLBI)
National Human Genome Research Institute (NHGRI)
National Institute on Aging (NIA)
National Institute on Alcohol Abuse and Alcoholism (NIAAA)
National Institute of Allergy and Infectious Diseases (NIAID)
National Institute of Arthritis and Musculoskeletal and Skin Diseases (NIAMS)
National Institute of Biomedical Imaging and Bioengineering (NIBIB)
Eunice Kennedy Shriver National Institute of Child Health and Human Development (NICHD)
National Institute on Deafness and Other Communication Disorders (NIDCD)
National Institute of Dental and Craniofacial Research (NIDCR)
National Institute of Diabetes and Digestive and Kidney Diseases (NIDDK)
National Institute on Drug Abuse (NIDA)
National Institute of Environmental Health Sciences (NIEHS)
National Institute of General Medical Sciences (NIGMS)
National Institute of Mental Health (NIMH)
National Institute of Neurological Disorders and Stroke (NINDS)
National Institute of Nursing Research (NINR)
National Institute on Minority Health and Health Disparities (NIMHD)
National Library of Medicine (NLM)
Fogarty International Center (FIC)
National Center for Complementary and Alternative Medicine (NCCAM)
National Center for Advancing Translational Sciences (NCATS)
Division of Program Coordination, Planning and Strategic Initiatives, Office of Research Infrastructure Programs (ORIP)
Office of Behavioral and Social Sciences Research (OBSSR)
Office of Dietary Supplements (ODS)
Office of Research on Women’s Health (ORWH)
Office of Strategic Coordination (Common Fund)

Funding Opportunity Title

NIH Administrative Supplements to Recover Losses Due to Hurricane Sandy Under the Disaster Relief Appropriations Act – Non-Construction (Admin Supp)

Activity Code

Administrative Supplement

Additional funds may be awarded as supplements to parent awards using the following Activity Code(s):

http://grants.nih.gov/grants/ElectronicReceipt/files/Timeline_NIH_Complex_Transition.pdf

G12 Research Centers in Minority Institutions Award
P01 Research Program Projects
P20 Exploratory Grants
P30 Center Core Grants
P40 Animal (Mammalian and Nonmammalian) Model, and Animal and Biological Material Resource Grants
P41 Biotechnology Resource Grants
P50 Specialized Center
P51 Primate Research Center Grants
P60 Comprehensive Center
PN2 Research Development Center
R24 Resource-Related Research Projects
S06 Research-Related Programs
U10 Cooperative Clinical Research – Cooperative Agreements
U19 Research Program – Cooperative Agreements
U24 Resource-Related Research Projects – Cooperative Agreements
U41
Biotechnology Resource Cooperative Agreements
U42 Animal (Mammalian and Nonmammalian) Model, and Animal and Biological Materials Resource Cooperative Agreements
U45 Hazardous Waste Worker Health and Safety Training Cooperative Agreements
U54 Specialized Center- Cooperative Agreements
U56 Exploratory Grants – Cooperative Agreements
UC2 High Impact Research and Research Infrastructure Cooperative Agreement Programs
UC3 Biomedical Research, Development, and Growth to Spur the Acceleration of New Technologies (BRDG-SPAN) Cooperative Agreement Program
UC7 National Biocontainment Laboratory Operation Cooperative Agreement
UM1 Multi-Component Research Project Cooperative Agreements
C06 Research Facilities Construction Grant
D43 International Training Grants in Epidemiology
D71 International Training Program Planning Grant
DP1 NIH Director’s Pioneer Award (NDPA)
DP2 NIH Director’s New Innovator Awards
DP3 Type 1 Diabetes Targeted Research Award
DP4 NIH Director’s Pathfinder Award- Multi-Yr Funding
DP5/UP5 Early Independence Award/Cooperative Agreement
F05 International Research Fellowships
F30 Individual Predoctoral NRSA for MD/PhD Fellowships
F31 Predoctoral Individual National Research Service Grant Award
F32 Postdoctoral Individual National Research Service Award
F33 National Research Service Awards for Senior Fellows
G08 Resources Project Grant (NLM)
G13 Health Sciences Publication Support Awards (NLM)
G20 Grants for Repair, Renovation and Modernization of Existing Research Facilities
K01 Research Scientist Development Award - Research & Training
K02 Research Scientist Development Award – Research
K05 Research Scientist Award
K06 Research Career Awards
K07 Academic/Teacher Award (ATA)
K08 Clinical Investigator Award (CIA)
K12 Physician Scientist Award (Program) (PSA)
K18 Career Enhancement Award
K22 Career Transition Award
K23 Mentored Patient-Oriented Research Career Development Award
K24 Midcareer Investigator Award in Patient-Oriented Research
K25 Mentored Quantitative Research Career Development Award
K26 Midcareer Investigator Award in Biomedical and Behavioral Research
K99/R00 Career Transition Award/Research Transition Award
KL2 Mentored Career Development Award
KM1 Institutional Career Enhancement Awards
RC2 High Impact Research and Research Infrastructure Programs
RC3 Biomedical Research, Development, and Growth to Spur the Acceleration of New Technologies (BRDG-SPAN) Program
RC4 High Impact Research and Research Infrastructure Programs – Multi-Yr Funding
R01 Research Project Grant
R03 Small Grant Program
R13 Support for Conferences and Scientific Meetings
R13/U13 Support for Conferences and Scientific Meetings
R15 Academic Research Enhancement Award (AREA)
R18 Research Demonstration and Disseminations Projects
R21 Exploratory/Developmental Research Grant Award
R21/R33 Phased Innovation Award
R25 Education Projects
R33 Exploratory/Developmental Grants Phase II
R34 Clinical Trial Planning Grant Program
R36 Dissertation Award
R37 Method to Extend Research in Time (MERIT) Award
R41 Small Business Technology Transfer (STTR) Grant - Phase I only
R41/R42 Small Business Technology Transfer (STTR) Grant - Phase I, Phase II, and Fast-Track
R41/R42 Small Business Technology Transfer (STTR) Grant - Phase I and Phase II
R42 Small Business Technology Transfer (STTR) Grant - Phase II only
R43 Small Business Innovation Research (SBIR) Grant - Phase I only
R43/R44 Small Business Innovation Research (SBIR) Grant - Phase I, Phase II, and Fast-Track
R43/R44 Small Business Innovation Research (SBIR) Grant - Phase I and Phase II
R44 Small Business Innovation Research (SBIR) Grant - Phase II only
S07 Biomedical Research Support Grants
S10 Biomedical Research Support Shared Instrumentation Grants
S11 Minority Biomedical Research Support Thematic Project Grants
S21 Research and Institutional Resources Health Disparities Endowment Grants – Capacity Building
SC1 Research-Enhancement Award
SC2 Pilot Research Project
SC3 Research Continuance Award
T14 Conferences
T15 Continuing Education Training Grants
T32 Institutional National Research Service Award (NRSA)
T34 MARC Undergraduate NRSA Institutional Grants
T35 National Research Service Award (NRSA) Short -Term Research Training
T36 MARC Ancillary Training Activities Grant
T37 Minority International Research Training Grants
T90/R90 Interdisciplinary Research Training Award/Interdisciplinary Regular Research Training Award
TL1 Linked Training Award
U01 Research Project – Cooperative Agreements
U18 Research Demonstration – Cooperative Agreements
U2R International Training Cooperative Agreement
U34 Clinical Planning Grant Cooperative Agreement
UC4 High Impact Research and Research Infrastructure - Cooperative Agreement Programs
UH2 Exploratory/Developmental Cooperative Agreement Phase I
UH2/UH3 Phase Innovation Awards Cooperative Agreement
UH3 Exploratory/Developmental Cooperative Agreement Phase II
UL1 Linked Specialized Center Cooperative Agreement

Announcement Type

New

Related Notices
  • July 30, 2014 - Notice of Annual Reporting Requirements and Revised Financial Closeout Requirements for NIH Administrative Supplements Awarded to Recover Losses Due to Hurricane Sandy under the Disaster Relief Appropriations Act. See Notice NOT-OD-14-112.
  • August 28, 2013 - See Notice NOT-OD-13-106. Notice of Special Terms and Conditions for NIH Hurricane Sandy Recovery Awards.
  • July 3, 2013 - See Companion RFA-OD-13-007. Limited Competition: Extramural Research Facilities Restoration Program: Hurricane Sandy Disaster Relief (C06).
  • May 16, 2013 - See Notice NOT-OD-13-067. Change in the Application Due Date.
  • April 17, 2013 - Clarification of the Funded Extension Option in RFA-OD-13-199. See NOT-OD-13-060.
Funding Opportunity Announcement (FOA) Number

RFA-OD-13-199

Companion Funding Opportunity

RFA-OD-13-005, R21 Exploratory/Developmental Research Grant Award
RFA-OD-13-008, R24 Resource-Related Research Projects
RFA-OD-13-006, S10 Biomedical Research Support Shared Instrumentation Grants
RFA-OD-13-007, C06 Research Facilities Construction Grant

Number of Applications

See Section III. 3. Additional Information on Eligibility.

Catalog of Federal Domestic Assistance (CFDA) Number(s)

93.095  

Funding Opportunity Purpose

The purpose of this funding opportunity is for investigators and institutions impacted by Hurricane Sandy and with active NIH grants to request:  1) a 24-month extension of the current budget period, with 12-months of funding at the same funding level as the current year of the grant; and/or, 2a) one-time administrative supplements of up to $50,000 in direct costs (excluding consortium F&A costs) to replace lost and/or damaged research resources; and/or 2b) up to $100,000 to replace a single item of equipment so long as that request is accompanied by well-documented support for the need to replace that item of equipment.  Applicable F&A costs should also be requested.

Benefits of this opportunity are restricted to the FEMA declared major disaster states, which are: Connecticut, Delaware, Maryland, Massachusetts, New Hampshire, New Jersey, New York, Ohio, Pennsylvania, Rhode Island, Virginia, West Virginia, and the District of Columbia.  Grants at NIH-supported institutions impacted by Hurricane Sandy will be eligible for both the funded extension and/or administrative supplements. If a grant has relocated or relocates prior to the award of the funded extension, the funded extension may be withdrawn.

Applications submitted in response to this announcement will be considered for funding only with funds appropriated from the Disaster Relief Appropriations Act of 2013, P.L. 113-2.  This opportunity does not preclude additional requests for administrative supplements on other NIH grant programs or for these mechanisms. Institutes and Centers will still consider such requests on a case-by-case basis.

These funds cannot duplicate nor overlap with reimbursement provided by FEMA, under a contract for insurance, or by self-insurance.  Self-insurance is a formal plan, pursuant to law or regulation, in which amounts are set aside in a fund to cover losses of specified types and amounts, typically by a commercial insurance company.  Appropriated funds are precluded from expenses that are or can be reimbursed by the formal self-insurance plan.

This opportunity applies to awards active at the time of the storm (October 29, 2012).

Key Dates
Posted Date

April 15, 2013

Open Date (Earliest Submission Date)

May 12, 2013

Letter of Intent Due Date(s)

Not Applicable

Application Due Date(s)

June 12, 2013; January 14, 2014

Applications must be received by 5:00 PM local time of applicant organization.

AIDS Application Due Date(s)

Same as Application Due Dates above.

Scientific Merit Review

Not Applicable

Advisory Council Review

Not Applicable

Earliest Start Date

Not Applicable

Expiration Date

(Now Expiring September 28, 2013 per NOT-OD-13-067), Originally January 15, 2014.  All subsequent applications must be submitted through the Parent Administrative Supplement FOA (currently PA-12-100) for consideration of funding using NIH base Appropriation Funds.

Due Dates for E.O. 12372

Not Applicable

Required Application Instructions

It is critical that applicants follow the instructions in the Application Guide (SF424 (R&R) Application Guide or PHS 398 Application Guide, as appropriate) except where instructed to do otherwise (in this FOA or in a Notice from the NIH Guide for Grants and Contracts). Conformance to all requirements (both in the Application Guide and the FOA) is required and strictly enforced. Applicants must read and follow all application instructions in the Application Guide as well as any program-specific instructions noted in Section IV. When the program-specific instructions deviate from those in the Application Guide, follow the program-specific instructions. Applications that do not comply with these instructions may be delayed or not accepted for review.

Table of Contents

Part 1. Overview Information
Part 2. Full Text of the Announcement
Section I. Funding Opportunity Description
Section II. Award Information
Section III. Eligibility Information
Section IV. Application and Submission Information
Section V. Application Review Information
Section VI. Award Administration Information
Section VII. Agency Contacts
Section VIII. Other Information

Part 2. Full Text of Announcement


Section I. Funding Opportunity Description

Applications submitted in response to this announcement will be considered for funding only with funds appropriated from the Disaster Relief Appropriations Act of 2013, P.L. 113-2. 

This funding opportunity is for those investigators and institutions impacted by Hurricane Sandy and with NIH grants active at the time of the storm.  Benefits of this award are restricted to the FEMA declared major disaster states, which are: Connecticut, Delaware, Maryland, Massachusetts, New Hampshire, New Jersey, New York, Ohio, Pennsylvania, Rhode Island, Virginia, West Virginia, and the District of Columbia.  

Two options are available: 

1) Funded Extension:  Grantees may request a funded extension at the same funding level as the current year of the grant.   The active grant can have multiple future years still committed; e.g., it need not be in the final year.  For those approved for funding, the extension will be funded as an 24-month extension; however, the funding provided will be equivalent to 12 months of support based on the funding level of the current budget period. 

2)  One-time Administrative Supplements:  Grantees may request, a) up to $50,000 in direct costs (excluding consortium F&A costs) to replace lost and/or damaged research resources such as small pieces of equipment or their repair, supplies, reagents, animals, etc.  and/or; b)up to $100,000 to replace a single item of equipment so long as that request is accompanied by well-documented support for the need to replace that item of equipment.  If a grantee makes such a request for a single item of equipment, the total amount requested in the application may not exceed $100,000.  This $100,000 limit includes dollars requested to replace lost and/or damaged research resources as described above.  Applicable F&A costs should also be requested.  Excluded from the one-time supplement options are salaries, training costs, alterations and renovation, travel and recurring supplies (only replacement supplies can be requested). 

Grants at NIH-supported institutions impacted by Hurricane Sandy will be eligible for the funded extension option and/or both administrative supplement options.  If a grant has relocated or relocates prior to the award of the additional support, the additional support may be withdrawn.

This funding opportunity includes training and training-related programs at otherwise eligible institutions.  Such programs include individual research career development awards (Ks), individual fellowships (Fs), institutional training and scientist development grants (Ts, Ds, K12s/KL2) and Education grants (R25s).  Since the options available for these programs are very program-specific, contact the Program Official Contact identified in your Notice of Award before considering submitting an administrative supplement request.  In all cases involving training and training-related programs, as part of any supplement request a justification must address how the training and/or educational plan has been disrupted.  

This opportunity does not preclude additional requests for administrative supplements on other NIH grant programs or for these mechanisms. Institutes and Centers will still consider such requests on a case-by-case basis.

Funds provided by NIH through these supplements cannot duplicate nor overlap with reimbursement provided by FEMA, under a contract for insurance, or by self-insurance.

Funds for all options will be provided in a single award with a 24-month budget period.  No-cost extensions will not be available.  Therefore the applicant must assure that the scope of work proposed and outlays of awarded funds can be completed within this 24-month period.

Section II. Award Information
Funding Instrument

The funding instrument will be the same as the parent award. 

Application Types Allowed

Non-competing Administrative Supplements

Funds Available and Anticipated Number of Awards

The number of awards is contingent upon funds received by NIH from the Disaster Relief Appropriations Act of 2013 (P.L. 113-2), and the submission of a sufficient number of meritorious applications.

Award Budget

This funding mechanism provides for the following options:  1) a funded extension of the current budget period at the same funding level as the current year of the grant, with 24 months to expend the awarded funds; and/or,  2a) one-time administrative supplements of up to $50,000 in direct costs (exclusive of any consortium F&A) to replace lost and/or damaged research resources such as small pieces of equipment or their repair, supplies, reagents, animals, etc. ; and/or 2b) up to $100,000 to replace a single item of equipment so long as that request is accompanied by well-documented support for the need to replace that item of equipment.  If an applicant chooses to request funds using both options 2a and 2b, the total amount requested may not exceed $100,000. Applicable F&A costs should also be requested.   Excluded from the one-time supplement options are salaries, training costs, alterations and renovation, travel and recurring supplies (only replacement supplies can be requested).  If both a funded extension and one-time administrative supplement(s) are approved and awarded, the amount of the supplement(s) will be deducted from the amount provided for the funded extension of support.   

For both options, funds must be obligated and expended within 24 months of issuance of the initial supplement Notice of Award.  No-Cost Extensions are prohibited.

Award Project Period

1) For the funded extension option, the application will request 24 months of additional time.

2) For the one-time administrative supplement options, the project and budget periods may be within the currently approved project period for the existing parent award if at least 24 months remain.  However an extension of the current project period should be requested if less than 24 months remain in the current period.  The requested budget period may not exceed 24 months.

NIH grants policies as described in the NIH Grants Policy Statement will apply to the applications submitted and awards made in response to this FOA.

Section III. Eligibility Information


1. Eligible Applicants


Eligible Organizations

Eligibility is limited to research institutions located in the FEMA declared major disaster states, which are: Connecticut, Delaware, Maryland, Massachusetts, New Hampshire, New Jersey, New York, Ohio, Pennsylvania, Rhode Island, Virginia, West Virginia, and the District of Columbia.

Applicants should first assess the impact of Sandy on a particular project, including time lost and the additional work necessary to restore the project in order to address the approved aims and objectives. Grantees will need to wait until after such an assessment has been completed before applying.

IMPORTANT: The research proposed by the NIH grantee in the supplement application must be within the original scope of the NIH-supported grant project.  However, for the funded extension option, additional time can be requested.

Foreign Institutions

Non-domestic (non-U.S.) Entities (Foreign Institutions) are not eligible to apply.

Required Registrations

Applicant organizations must complete the following registrations as described in the Application Guide to be eligible to apply for or receive an award. Applicants must have a valid Dun and Bradstreet Universal Numbering System (DUNS) number in order to begin each of the following registrations.

All Program Directors/Principal Investigators (PD(s)/PI(s)) must also work with their institutional officials to register with the eRA Commons or ensure their existing eRA Commons account is affiliated with the eRA Commons account of the applicant organization.

All registrations must be completed by the application due date. Applicant organizations are strongly encouraged to start the registration process at least 6 weeks prior to the application due date.

Eligible Individuals (Program Director/Principal Investigator)

Individual(s) must hold an active grant or cooperative agreement, and the research proposed in the supplement must be accomplished within the competitive segment of the active award. Individuals are invited to work with their organizations to develop applications for support.

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

2. Cost Sharing

This FOA does not require cost sharing as defined in the NIH Grants Policy Statement.

3. Additional Information on Eligibility


Number of Applications

Applicant organizations may submit more than one application, provided that each is sufficiently distinct from any other administrative supplement currently under consideration by the awarding NIH Institute or Center.  When a PD/PI has more than one grant eligible for this opportunity, if multiple applications are submitted for the same PD/PI, additional documentation will be required to assure no overlap requests are being submitted. 

Since applications in response to this announcement will only receive administrative review by the awarding Institute or Center, and will not receive a peer review, the NIH policy on resubmissions will not apply. However, applications not accepted by the Institute or Center for review, or not funded by the Institute or Center, should not be submitted again without either responding to any written concerns or contacting the awarding Institute or Center for instructions first.

Section IV. Application and Submission Information


1. Requesting an Application Package

Applicants are required to prepare applications according to the current application forms in accordance with the Application Guide.

For electronic submissions, applicants must download the SF424 (R&R) application package associated with this funding opportunity using the “Apply for Grant Electronically” button in this announcement, or use the eRA Commons streamlined submission process.

2. Content and Form of Application Submission

All forms should be completed for the supplemental activities only and should not reflect funding or activities for the previously awarded parent award.

It is critical that applicants follow the instructions in the Application Guide (SF424 (R&R) Application Guide or PHS 398 Application Guide, as appropriate) except where instructed in this funding opportunity announcement to do otherwise. Conformance to the requirements in the Application Guide is required and strictly enforced. Applications that are out of compliance with these instructions may be delayed or not accepted for review.

For additional information regarding funded extensions and administrative supplements for training and training-related programs, please contact the Program Official identified in your Notice of Award.

For information on Application Submission and Receipt, visit Frequently Asked Questions – Application Guide, Electronic Submission of Grant Applications.

Page Limitations

All page limitations described in the Application Guide and the Table of Page Limits must be followed.

Application Submission

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 to determine if the activity code of the parent award has transitioned to electronic submission.

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

For grants with activity codes that have transitioned to electronic submission using the SF424 (R&R) application forms, administrative supplement requests may be submitted electronically as a Revision application type on the R&R Cover Component. Prepare applications using the SF424 (R&R) application forms associated with this announcement. 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 all appropriate required and optional components.

Note, Grants.gov submission may be used for both Supplement Options:  1) Extension with Funds and/or, 2) One-time administrative supplements.   

Note also that, as indicated in the previous section, applicants should disregard the following warning:  “Unless specifically allowed in the FOA, the Anticipated End Date must be after the Anticipated Start Date and within the currently approved project period of the parent grant.”  This is a warning and not an error.

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. Login to the eRA Commons, identify the parent award, and prepare an administrative supplement request. A User’s Guide for submitting through this system is available.

Note, this streamlined submission is only available for use for the One-Time Supplement Option.  Those requesting an extension with funds must use only Grants.gov submission or paper submission.

Include the Research Strategy and any other required documentation (described below) as a PDF file using the “Add Other Attachments” function.  Budget information should be entered for the grantee institution in the fields provided.

Instructions for Submissions using the PHS 398 Application Forms (for paper-based submissions)

Applications must be prepared using the PHS 398 research grant application forms and instructions for preparing a research grant application. The grantee institution, on behalf of the PD/PI of the parent award, must submit the request for supplemental funds directly to the awarding component that supports the parent award. Submit to the awarding IC a signed, typewritten original of the application, including the checklist, and two signed photocopies in one package.  For a specific mailing address, contact the Grants Management Specialist identified on your Notice of Award.   

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.

PHS 398 Research Plan (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.   Include in the Letters of Support section, other Sandy related support previously requested or anticipated to be requested.  For all supplement options, the Research Plan should address the following points, as applicable:

i. Assessment of the impact of Sandy on the project including time lost and the additional work necessary to restore the project in order to address the project’s aims and objectives;

ii. Status of vertebrate animal research – availability of research organisms and status of IACUC approval of facility and research protocol;

iii. Status of human subjects research – availability of subject population, feasibility of achieving recruitment goals, status of IRB approval of project;

iv. Scope of research – if the specific aims are changed from the original proposal, the new aims should be listed and the changes justified;

v. Milestones – include specific milestones that could be used for judging progress on the project in the extended project period;

vi. A current estimate of the unobligated balance for the project.

PHS398 Career Development Award Supplemental Form

Only use this form for a funded extension or one-time administrative supplement to a Career Development Award.  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.  As part of any supplement request a justification must address how the career development training plan has been disrupted.  

PHS398 Research Training Program Form

Only use this form for a funded extension or one-time administrative supplement to a Training Program Award.  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.  As part of any supplement request a justification must address how the training plan has been disrupted.  

PHS398 Fellowship Supplemental Form

Only use this form for a funded extension or one-time administrative supplement to a Fellowship Award.  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.  As part of any supplement request a justification must address how the training plan has been disrupted. 

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.

SF424(R&R) Other Project Information (for use with electronic submissions)

All instructions in the SF424 (R&R) Application Guide must be followed, with the following additional instructions:

Facilities and Other Resources: Provide a letter from the institution attesting that funds requested will not be used for costs that are reimbursed by FEMA, under a contract for insurance, or by self –insurance.  This letter must be signed by an institutional Signing Official.  If, during the award, a claim is paid which provides duplication of benefits by FEMA, insurance, or self-insurance, the grantee will be required to pay back funds to NIH.  In addition, this document must also include information on any other requests expected to be submitted on behalf of this same PD/PI.  When multiple requests are being considered, the institution must assure that each request is unique and that overlapping support is not being requested.

Other Attachments: 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.

Resources (for use with paper-based submissions)

List any changes from the original application and discuss the impact of the storm-related damage on the proposed research.  Regarding the status of vertebrate animal research, describe the housing facility, the status of that facility, and the timeline for facility re-opening (if applicable). 

Provide a letter from the institution attesting that funds requested will not be used for costs that are reimbursed by FEMA, under a contract for insurance, or by self –insurance.  This letter must be signed by an institutional Signing Official.  If, during the award, a claim is paid which provides duplication of benefits by FEMA, insurance, or self-insurance, the grantee will be required to pay back funds to NIH.  In addition, this document must also include information on any other requests expected to be submitted on behalf of this same PD/PI.  When multiple requests are being considered, the institution must assure that each request is unique and that overlapping support is not being requested.

Senior/Key Personnel Form

List the PD/PI as the first person (regardless of their role on the supplement activities). List Senior/Key Personnel on project, justification for changes in Senior/Key Personnel from previous grant period, status/availability of Senior/Key Personnel.

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.

R&R Detailed Budget Form (for use with electronic submissions)

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 PHS 398 budget forms, in accordance with the PHS 398 Application Guide, and should only include funds requested for the additional supplement activities.

Appendix (for applications submitted on paper)

IACUC Documentation and IRB Documentation: 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.

3. Submission Dates and Times

Part I. Overview Information contains information about Key Dates. Applicants are encouraged to submit applications before the deadline to ensure they have time to make any application corrections that might be necessary for successful submission.

Organizations must submit applications as described above. For electronically-submitted requests, applicants must then complete the submission process by tracking the status of the application in the eRA Commons, NIH’s electronic system for grants administration.

Applicants are responsible for viewing their application before the due date in the eRA Commons to ensure accurate and successful submission.

For electronic application submission, information on the submission process and a definition of on-time submission are provided in the SF424(R&R) Application Guide.

For paper-based application submission, information on the process of receipt and determining if your application is considered “on-time” is described in detail in the PHS 398 Application Guide.

4. Intergovernmental Review (E.O. 12372)

This initiative is not subject to intergovernmental review.

5. Funding Restrictions

This funding opportunity is for those investigators and institutions impacted by Hurricane Sandy and with NIH grants active at the time of the storm.  Eligibility is limited to research institutions located in the FEMA declared major disaster states, which are: Connecticut, Delaware, Maryland, Massachusetts, New Hampshire, New Jersey, New York, Ohio, Pennsylvania, Rhode Island, Virginia, West Virginia, and the District of Columbia.    All NIH awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement with the exceptions noted below.

Pre-award costs are allowable only as described in the NIH Grants Policy Statement. For the Funded Extension Option, funds are restricted to the same level of funding as the current year of the grants.

For the One-Time Supplement Options:  a) funds are restricted to $50,000 in direct costs (exclusive of any consortium F&A) to replace lost and/or damaged research resources such as small pieces of equipment or their repair, supplies, reagents, animals, etc.; b) grantees may request up to $100,000 to replace a single item of equipment so long as that request is accompanied by well-documented support for the need to replace that item of equipment.  If a grantee makes such a request for a single item of equipment, the total amount requested in the application may not exceed $100,000.  This $100,000 limit includes dollars requested to replace lost and/or damaged research resources as described above.   Applicable F&A costs should also be requested in accordance with the current negotiated rate established by the cognizant agency.   Excluded from this option are salaries, training costs, alterations and renovation, travel and recurring supplies (only replacement supplies can be requested).

For all options, funds will be awarded in a single action using a 24-month budget and project period, will be restricted solely for support of relief from Hurricane Sandy, and must be expended within 24 months of the Initial Issue Date on the Supplement Notice of Award.  Carryover of funds into the parent grant is prohibited.   A no-cost extension of the supplement award is also prohibited. 

Awards will be subject to quarterly financial and programmatic reporting requirements.  Details for submitting these required reports will be provided in the Terms of Award.

Funds will be restricted so that they cannot duplicate costs reimbursed by FEMA, under a contract for insurance or self insurance.  If during the period of the award a claim is paid which provides such duplication, the grantee will be required to pay back the funds to the NIH.

6. Other Submission Requirements and Information

Applications must be submitted using the instructions specified above

Applicants must complete all required registrations before the application due date. Section III. Eligibility Information contains information about registration.

For assistance with your electronic application or for more information on the electronic submission process, visit Applying Electronically.

Important reminders:
For applications submitted electronically on the SF424 (R&R) Application forms, all PD(s)/PI(s) must include their eRA Commons ID in the Credential field of the Senior/Key Person Profile Component of the SF 424(R&R) Application Package. Failure to register in the Commons and to include a valid PD/PI Commons ID in the credential field will prevent the successful submission of an electronic application to NIH.

The applicant organization must ensure that the DUNS number it provides on the application is the same number used in the organization’s profile in the eRA Commons and for the System for Award Management (SAM). Additional information may be found in the Application Guide.

See more tips for avoiding common errors.

Upon receipt, applications will be evaluated for completeness by the awarding Institute or Center. Applications that are incomplete will not be reviewed.

Post Submission Materials

Not Applicable

Section V. Application Review Information


1. Criteria

Administrative Supplements do not receive peer review. Instead, the administrative criteria described below will be considered in the administrative evaluation process.

The staff of the NIH awarding component will evaluate requests for a supplement to determine its overall merit. The following general criteria will be used:

Budget and Period of Support

NIH Staff will consider whether the budget and the requested period of support are fully justified and reasonable in relation to the proposed research.

Overall Impact

NIH staff will consider the ability of the proposed supplement activities to increase or preserve the parent award’s overall impact within the original scope of award:

Additionally, applications will be reviewed administratively by NIH program and grants management staff of the appropriate Institute or Center (IC) to determine that:

Preference will be given to applications which:

Staff will then make a funding recommendation to the senior leadership of the relevant IC that they represent.

In addition, each of the following criteria will be evaluated as applicable for the proposed supplement.

Protections for Human Subjects:

For research that involves human subjects but does not involve one of the six categories of research that are exempt under 45 CFR Part 46, NIH staff will evaluate the justification for involvement of human subjects and the proposed protections from research risk relating to their participation according to the following five review criteria: 1) risk to subjects, 2) adequacy of protection against risks, 3) potential benefits to the subjects and others, 4) importance of the knowledge to be gained, and 5) data and safety monitoring for clinical trials.

For research that involves human subjects and meets the criteria for one or more of the six categories of research that are exempt under 45 CFR Part 46, NIH staff will evaluate: 1) the justification for the exemption, 2) human subjects involvement and characteristics, and 3) sources of materials. For additional information on review of the Human Subjects section, please refer to the Human Subjects Protection and Inclusion Guidelines.

Inclusion of Women, Minorities, and Children

When the proposed project involves clinical research, NIH staff will evaluate the proposed plans for inclusion of minorities and members of both genders, as well as the inclusion of children. For additional information on review of the Inclusion section, please refer to the Human Subjects Protection and Inclusion Guidelines.

Vertebrate Animals

NIH Staff will evaluate the involvement of live vertebrate animals as part of the scientific assessment according to the following five points: 1) proposed use of the animals, and species, strains, ages, sex, and numbers to be used; 2) justifications for the use of animals and for the appropriateness of the species and numbers proposed; 3) adequacy of veterinary care; 4) procedures for limiting discomfort, distress, pain and injury to that which is unavoidable in the conduct of scientifically sound research including the use of analgesic, anesthetic, and tranquilizing drugs and/or comfortable restraining devices; and 5) methods of euthanasia and reason for selection if not consistent with the AVMA Guidelines on Euthanasia. For additional information on review of the Vertebrate Animals section, please refer to the Worksheet for Review of the Vertebrate Animal Section.

Biohazards

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

2. Review and Selection Process

Administrative supplement requests will undergo an administrative evaluation by NIH staff, but not a full peer review. Applications submitted for this funding opportunity will be assigned to the awarding component for the parent award and will be administratively evaluated using the criteria shown above.

3. Anticipated Announcement and Award Dates

Not Applicable

Section VI. Award Administration Information


1. Award Notices

A formal notification in the form of a Notice of Award (NoA) will be provided to the applicant organization for successful applications.

For funded extensions, the funding will be added to the current budget period as a funded extension.  While 12-months of funding consistent with the current budget period will be provided, the budget period will be 24 months in length. 

For one-time supplements, this will be as an NoA for the supplemental activities only. 

For both options, the award for the supplemental funds will be separate from any award for the parent grant.  The award will be for a 24-month budget period.  A no-cost extension is prohibited; therefore, the grantee will be required to expend all awarded funds within 24 months of the Initial Issue Date on the Supplement Notice of Award. The NoA signed by the grants management officer is the authorizing document and will be sent via email to the grantee’s business official.

Awardees must comply with any funding restrictions described in Section IV.5. Funding Restrictions. 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.    

Any application awarded in response to this FOA will be subject to the DUNS, SAM Registration, and Transparency Act requirements as noted on the Award Conditions and Information for NIH Grants website.

Awards will be subject to additional quarterly financial and programmatic reporting requirements.    Details will be provided in the Notice of Award.

2. Administrative and National Policy Requirements

Funds will be awarded using a single 24-month budget and project period.  Awarded funds shall be expended within 24-months of the Initial Issue Date listed on the Notice of Award. No-cost extensions will not be available. With the exceptions noted above, 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. More information is provided at Award Conditions and Information for NIH Grants.

Due to the need for Hurricane Sandy funds to be separately awarded and managed, carryover and re-budgeting of funds into the parent grant is prohibited.

Quarterly financial and programmatic reporting is required of all grantees.  NIH will closely monitor all grants.

Cooperative Agreement Terms and Conditions of Award

Any supplements to Cooperative Agreements will be subject to the same Cooperative Agreement terms and conditions as the parent award.

3. Reporting

Separate Federal Financial Reports (SF425s) will be required for each Hurricane Sandy administrative supplement award.  This will be in addition to any financial reports required for the parent grant.  In addition, the Hurricane Sandy administrative supplement will be closed out independent of the parent grant.   Therefore, grantees will be required to submit a final progress report and a final invention statement in addition to the FFR.  These closeout reports for Hurricane Sandy funding are required even when the parent grant continues. 

Reporting requirements will be specified in the terms and conditions of award as applicable to the supplemental activities. In most non-competing continuation progress reports, the progress report for the supplement must be included with, but clearly delineated from, the progress report for the parent award. The progress report must include information about the activities supported by the supplement even if support for future years is not requested.  When the supplement is provided to the final year of the current project period, such information will be provided in a final progress report. This information is submitted with the Non-Competing Grant Progress Report, PHS 2590 or RPPR, and financial statements as required in the NIH Grants Policy Statement.

The Federal Funding Accountability and Transparency Act of 2006 (Transparency Act), includes a requirement for awardees of Federal grants to report information about first-tier subawards and executive compensation under Federal assistance awards issued in FY2011 or later. All awardees of applicable NIH grants and cooperative agreements are required to report to the Federal Subaward Reporting System (FSRS) available at www.fsrs.gov on all subawards over $25,000. See the NIH Grants Policy Statement for additional information on this reporting requirement.

Awards will be subject to additional quarterly financial and programmatic reporting requirements.  Details for submission of these quarterly reports will be provided in the terms of award.

Section VII. Agency Contacts

We encourage inquiries concerning this funding opportunity and welcome the opportunity to answer questions from potential applicants.

Application Submission Contacts

Grants.gov Customer Support (Questions regarding Grants.gov registration and submission, downloading or navigating forms)
Contact Center Phone: 800-518-4726
Email: support@grants.gov

GrantsInfo (Questions regarding application instructions and process, finding NIH grant resources)
Telephone 301-435-0714
TTY 301-451-5936
Email: GrantsInfo@nih.gov

eRA Commons Help Desk (Questions regarding eRA Commons registration, tracking application status, post submission issues)
Phone: 301-402-7469 or 866-504-9552 (Toll Free)
TTY: 301-451-5939
Email: commons@od.nih.gov

Scientific/Research Contact(s)

Please contact the Scientific/Research Contact identified in your Notice of Award.  You may also wish to contact:

James Griffin, Ph.D.
Eunice Kennedy Shriver National Institute of Child Health and Human Development (NICHD)
Phone: 301-435-2307
Email: griffinj@mail.nih.gov

Barbara Sina
Fogarty International Center (FIC)
Phone: 301-402-9467
Email: sinab@mail.nih.gov

Stephen T. White
National Cancer Institute (NCI)
Phone: 240-276-6180
Email: SW219T@nih.gov

Bernard Talbot, M.D. Ph.D.
National Center for Advancing Translational Sciences (NCATS)
Phone: 301-435-0793
Email: talbotb@mail.nih.gov

John Williamson, Ph.D.
National Center for Complementary and Alternative Medicine (NCCAM)
Phone:  301-496-2583    
Email: williamsonjs@mail.nih.gov

Lisa A. Neuhold, Ph.D. (NEI)
National Eye Institute
Phone: 301-451-2020
Email: lneuhold@mail.nih.gov

Robert Musson, Ph.D.
National Heart, Lung and Blood Institute (NHLBI)
Phone:  301-435-0261
Email:  mussonr@mail.nih.gov

Bettie J. Graham, Ph.D.
National Human Genome Research Institute (NHGRI)
Phone: 301-496-7531
Email: Bettie_graham@nih.gov

Robin A. Barr, D. Phil.
National Institute on Aging (NIA)
Phone: 301-496-9322
Email: rb42h@nih.gov

Abraham P. Bautista, Ph.D.
National Institute on Alcohol Abuse and Alcoholism (NIAAA)
Phone: 301-443-9737
Email: bautista@mail.nih.gov

David Shurtleff, Ph.D.
National Institute on Drug Abuse (NIDA)
Phone: 301-443-6480
Email: dshurtle@mail.nih.gov

Patricia Haggerty, Ph.D.
National Institute of Allergy and Infectious Diseases (NIAID)
Phone: 301-451-2615
Email: haggertp@nih.gov

Laura K. Moen, Ph.D.
National Institute of Arthritis and Musculoskeletal and Skin Diseases (NIAMS)
Phone: 301-451-6515
Email: moenl@mail.nih.gov

Christina H Liu, Ph.D. P.E.
National Institute of Biomedical Imaging and Bioengineering (NIBIB)
Phone: 301-451-7638
Email: liuch2@mail.nih.gov

Judith A. Cooper, Ph.D.
National Institute on Deafness and Other Communication Disorders (NIDCD)
Phone:  301-496-5061
Email: Cooperj@nidcd.nih.gov

Lillian Shum, Ph.D.
National Institute of Dental and Craniofacial Research (NIDCR)
Phone: 301-594-0618
Email: ShumL@mail.nih.gov

Teresa L. Z. Jones, M.D.
National Institute of Diabetes and Digestive and Kidney Diseases (NIDDK)
Phone: 301-435-2996
Email: jonester@mail.nih.gov

Pat Mastin
National Institute of Environmental Health Sciences (NIEHS)
Phone: 919-541-3289
Email: mastin@niehs.nih.gov

Darren Sledjeski, Ph.D.
National Institute of G
eneral Medical Sciences (NIGMS)
Phone: 301-594-0943
E-mail: Darren.Sledjeski@NIH.gov

Rebecca Claycamp
National Institute of Mental Health (NIMH)
Phone: 301-443-2811
Email: rclaycam@mail.nih.gov

Nathan Stinson, Jr., Ph.D., M.D., M.P.H
National Institute on Minority Health and Health Disparities (NIMHD)
Phone: 301-594-8704
Email:  stinsonn@mail.nih.gov

David F Owens, Ph.D.
National Institute of Neurological Diseases and Stroke (NINDS)
Phone: 301-496-1447
Email: do47h@nih.gov

Karen Huss, PhD, RN, ANP-BC, FAAN, FAAAAI, FAHA
National Institute of Nursing Research (NINR)
Phone: 301-594-5970
Email: hussk@mail.nih.gov

Hua-Chuan Sim, M.D.
National Library of Medicine (NLM)
Phone: 301-594-4882
Email: simh@mail.nih.gov

Franziska Grieder, D.V.M., Ph.D.
Office of Research Infrastructure Programs (ORIP)
Phone:  301-435-0744
Email: griederf@mail.nih.gov

Peer Review Contact(s)

Not Applicable

Financial/Grants Management Contact(s)

Please contact the Financial/Grants Management Contact identified in your Notice of Award.  You may also wish to contact:

Bryan S. Clark, MBA
Eunice Kennedy Shriver National Institute of Child Health and Human Development (NICHD)
Phone: 301/435-6975
Email: clarkb1@mail.nih.gov

Liz Cleveland Whittington
Fogarty International Center (FIC)
Phone: 301-451-6830
Email: elizabeth.cleveland@nih.gov

Crystal Wolfrey
National Cancer Institute (NCI)
Phone: 240-276-6277
Email: Crystal.Wolfrey@nih.gov

Christina Fleming
National Center for Advancing Translational Sciences (NCATS)
Phone: cf40x@nih.gov
Email: 301-435-0850

Shelley M. Carow
National Center for Complementary and Alternative Medicine (NCCAM)
Phone:  301-594-3788
Email: carows@mail.nih.gov

William W. Darby
National Eye Institute (NEI)
Phone: 301-451-2020
Email: darbyw@mail.nih.gov

Jayanthi Regunathan
National Heart, Lung and Blood Institute (NHLBI)
Phone: 301-435-0175
Email: jayanthi.regunathan@nih.gov

Ms. Cheryl Chick
National Human Genome Research Institute (NHGRI)
Phone: 301-435-7858
Email: chickc@mail.nih.gov

Ms. Traci Lafferty
National Institute on Aging (NIA)
Phone: 301-496-8987
Email: laffertt@nia.nih.gov

Judy Fox
National Institute on Alcohol Abuse and Alcoholism (NIAAA)
Phone:  301-443-4704
Email:  Judy.Fox@nih.gov

Pamela Fleming
National Institute on Drug Abuse (NIDA)
Phone: 301-443-6710
Email: pfleming@mail.nih.gov

Gregory P. Smith
National Institute of Allergy and Infectious Diseases (NIAID
Phone: 301-402-5540
Email: gs225y@nih.gov

Mr. Andrew Jones
National Institute of Arthritis and Musculoskeletal and Skin Diseases (NIAMS)
Phone: 301-435-0610
Email: jonesan@mail.nih.gov

Mr. James Huff
National Institute of Biomedical Imaging and Bioengineering (NIBIB)
Phone: 301-451-4786
Email: huffj@mail.nih.gov

Christopher Myers
National Institute on Deafness and Other Communication Disorders (NIDCD)
Phone:  301-435-0713
Email: myersc@nidcd.nih.gov

Dede Rutberg, MBA
National Institute of Dental and Craniofacial Research (NIDCR)
Phone: 301-594-4798
Email: rutbergd@mail.nih.gov

Bob Pike
National Institute of Diabetes and Digestive and Kidney Diseases (NIDDK)
Phone: 301-594-8854
Email: pikera@niddk.nih.gov

Lisa Moeller, CRA
National Institute of General Medical Sciences (NIGMS)
Phone:  301-594-3914 
E-mail:  moellerl@mail.nih.gov

Dorothy Duke
National Institute of Environmental Health Sciences (NIEHS)
Phone: (919) 541-2749
Email: duke2@niehs.nih.gov

Rebecca Claycamp
National Institute of Mental Health (NIMH)
Phone: 301-443-2811
Email: rclaycam@mail.nih.gov

Priscilla Grant, J.D.
National Institute on Minority Health and Health Disparities  (NIMHD)
Phone: (301) 594-8412
Email:  pg38h@nih.gov

Tijuanna Decoster
National Institute of Neurological Diseases and Stroke (NINDS)
Phone: 301-496-9231
Email: decostert@mail.nih.gov

Ron Wertz
National Institute of Nursing Research (NINR)
Phone: 301-594-2807
Email: Wertzr@mail.nih.gov

Amy Keener
National Library of Medicine (NLM)
Phone: 301-496-6131
Email: akeener@mail.nih.gov

Christina Fleming
National Center for Advancing Translational Sciences (ORIP/NCATS)
Phone:  301- 435-0850
Email: fleminch@mail.nih.gov  

Section VIII. Other Information

Recently issued trans-NIH policy notices may affect your application submission. A full list of policy notices published by NIH is provided in the NIH Guide for Grants and Contracts. All awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement.

Authority and Regulations

Awards are made under the authorization of Sections 301 and 405 of the Public Health Service Act as amended (42 USC 241 and 284) and under Federal Regulations 42 CFR Part 52 and 45 CFR Parts 74 and 92.


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