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NIDCR Guidelines for Administrative Supplements Using Recovery Act Funds


New 4/20/09: See new information below about Administrative Supplement Application Format

The National Institutes of Health (NIH) announces the opportunity for investigators and United States institutions/organizations with active NIH Research Grants to request administrative supplements for the purpose of accelerating the tempo of scientific research on active grants. Support for these supplements will come from funds provided to NIH through the American Recovery and Reinvestment Act of 2009 ("Recovery Act" or "ARRA"), Public Law 111-5. Consistent with the intent of the Recovery Act, the purpose of this program is to promote job creation and economic development along with accelerating the pace and achievement of scientific research.

This initiative is one of several being offered by the NIDCR to help fulfill the goals of the American Recovery and Reinvestment Act (ARRA) to help stimulate the economy through support of biomedical and behavioral research. Additional information on the Recovery Act and related NIH opportunities is available through the Office of Extramural Research.


Areas of Scientific Priority:

For the Administrative Supplements opportunity, the supplement request should accelerate the scientific tempo yet remain within scope of the peer reviewed and approved project. Consistent with the NIH Notice, NIDCR intends to accept applications for supplements under this notice in all scientific areas relevant to the NIDCR mission. For an overview of areas considered of particular interest to the NIDCR mission, please refer to the NIDCR Strategic Plan 2009-2013.

NIDCR is particularly interested in awarding administrative supplements with Recovery Act funds in the areas listed below:

(1) Equipment purchases (costing under $100,000)

(2) Enhancing the activities of clinical trials including increasing enrollment and increasing the capacity for data analysis

(3) Enhancing data collection, biological assays, instrumentation or measurement in existing studies

(4) Providing additional funded time of up to one year to the K99 mentored phase of current NIDCR awardees under the K99/R00 program

(5) Providing supplements (up to $25,000 direct costs) to mentored K awards (K08, K23, K25, K99, K22 mentored phase) for the purpose of adding technical personnel

(6) Research employment opportunities for pre-doctoral students, including dental, medical, veterinary, clinical psychology, nursing and pharmacy students seeking extended time off for research experience

(7) Research employment opportunities for postdoctoral fellows, including extending support for senior postdoctoral fellows

(8) Research employment opportunities for recent (within 5 years) college and master's degree graduates

(9) Comparative effectiveness research

For administrative supplements described above, the NIDCR will accept requests for the following types of grants (activity codes):

  • R00, R01, R21, R03, R15, R37, R56, R41, R42, R43, R44, P01, P50, RL1, UL1, U01, U19, U54, SC2, K08, K22, K23, K25, K99

The following types of grants (activity codes) will not be accepted:

  • Fs, T32, L30/40, R13/U13, R25

(10) Administrative Supplements for Collaborative Science: These funds are intended to enhance ongoing research by enabling NIDCR-funded researchers to form new collaborations that were not anticipated at the time of submission, review and funding of the NIDCR parent grant. Complex dental, oral and craniofacial clinical and biological problems often require integrative and multidisciplinary approaches for their solution. The collaboration of investigators with different intellectual and technical approaches may promote the discovery of novel insights required to achieve significant research advances. These collaborative activities must be within the scope of the approved aims of the parent award and are expected to provide novel scientific approaches to the already funded research plan. Existing collaborative arrangements are not eligible for this supplement. For these Administrative Supplements for Collaborative Science, the amount that can be requested depends on the number of collaborating groups. The PD/PI proposing one collaborating group may request up to a maximum of $120,000 total annual direct costs. An additional $60,000 may be requested for a second collaborating group, for a maximum of $180,000 total annual direct costs per supplement. Maximum direct costs are exclusive of consortium/contractual Facilities and Administrative (F&A) costs. The term of the award for Administrative Supplements for Collaborative Research is up to the duration of the NIDCR-funded grant. ARRA funding is only available for up to 2 years. Supplement awards that exceed 2 years will be supported in the outer years with annual NIDCR appropriation.

For Administrative Supplements for Collaborative Science described above in (10), the NIDCR will accept requests only for the following types of grants (activity codes):

  • R01, R15, R37, P01, P50, R42, R44, U01, U19 and U54

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

Funding Priorities:

Overall, the NIDCR expects to allocate up to $12,000,000 to this ARRA supplement program, with approximately 65 percent devoted to Administrative Supplements for Collaborative Science. The NIDCR will give higher priority to applications requesting total annual costs not exceeding $100,000. Applicants interested in pursuing topics with higher requested costs should contact their NIDCR Program Director prior to application submission to discuss the rationale for the costs and ascertain Institute interest. Administrative supplements should not exceed 50% of the amount of the parent award. Also, supplements cannot be used to restore previously cut objectives and budget from the original application or to extend a project that does not meet the goals of the Recovery Act.

Administrative Supplement Application Format:

To streamline supplement applications, a single application containing all administrative supplement requests for areas (1) through (10) described above for any particular grant are encouraged.

Requests under this notice should use the PHS 398 forms (rev. 11/2007; available at: and include the following elements in the request packet. Font size restrictions apply as designated within the PHS398 instructions.

1) Cover Letter - Citing this Notice (NOT-OD-09-056), specify a request for a Recovery Act Administrative Supplement, including the following information:

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

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

2) PHS 398 Form Page 1 (Face page) MS Word PDF

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

3) PHS 398 Form page 2 MS Word PDF

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

4) A brief proposal describing the project, including:

a) Scope of the overall project and the anticipated contribution of the requested supplement (not to exceed five pages for areas of scientific priority (1) through (9) combined. An additional five pages may be used only if a supplement request includes scientific priority area (10): Administrative Supplement for Collaborative science.) Summarize the activities that were included in the parent grant that encompass those proposed in the supplemental request. This section should include a description of the supplement's purpose, including research design/proposed scientific activities and methods and data analysis. Describe the relationship of the supplement request to the parent grant.

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

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

c) Budget for the supplement with a justification that details the items requested, including Facilities and Administrative costs and a justification for all personnel and their role(s) in this project. Note the budget should be appropriate for the work proposed in the supplement request. Applicants are encouraged to discuss budgets with their NIH Program Officer. To facilitate review of the supplement request, please submit a composite budget page with the total supplement request (including direct cost and F&A costs from consortium/subcontract arrangements); along with a clearly labeled detailed budget page, for budget requests for scientific priority areas (1) through (9), and if applicable, a clearly labeled detailed budget page for budget requests for collaborative science (10). To meet the various transparency, accountability, and reporting requirements of Recovery Act, all applications under this notice must include detailed budgets on the PHS 398 Form Pages 4 (MS Word PDF) and 5 (MS Word PDF). Modular budget pages will not be accepted even when the parent grant was funded as a modular grant. If a supplement request is for equipment, please include three quotes for the equipment being requested.

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

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

No significant changes in the approved use of human subjects or vertebrate animals will be considered for administrative supplements. Instead, applicants proposing significant changes to the approved use of human subjects or vertebrate animals should consider applying for a competitive revision as described in NIH Guide Notice NOT-OD-09-058.

f) PHS 398 Checklist Form MS Word PDF

Application Receipt Dates for Administrative Supplements:

Date (s) in FY 2009: June 1, 2009

Address for Sending Administrative Supplement Applications:

NIDCR strongly encourages supplement requests be submitted as pdf attachments through the Sponsored Programs Office and emailed directly to Ms. Mary Daley at

Paper applications can also be submitted to the following address but must be received by 5:00 pm EST on June, 1, 2009:

NIDCR Grants Management Branch
6701 Democracy Blvd.
Rm. 658, MSC 4878
Bethesda, MD 20892-4878

Timeline for Review of Administrative Supplements:

For FY 2009: Administrative supplement applications will be reviewed by the end of August with notification of award by September 30, 2009.

Contact Information:

Program Contact(s): see Contacts by Research Area

Grants Management Contact:
Mary Daley, 301-594-4808,

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This page last updated: February 26, 2014