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Recovery Act: Diversity Administrative Supplements to Currently Funded Projects

American Recovery and Reinvestment Act of 2009

NIH Announces the Availability of Recovery Act Funds for Administrative Supplements (NOT-OD-09-056 )

Applications for administrative supplements may be requested by Principal Investigators (PIs) of active NIMH grants who plan to serve as mentors for candidates of diversity who are nominated for support. Applications will be accepted in all research areas supported by the eligible NIMH grants. Candidates eligible for support under this supplement program include individuals at various career levels who come from groups that have been shown to be underrepresented in science. Such candidates include individuals from underrepresented racial and ethnic groups, individuals with disabilities, and individuals from disadvantaged backgrounds. The activities proposed in a supplement application must both advance the objectives of the parent grant and support the research training and career advancement of the candidate. Award decisions are based on the merit of the research training potential of the applications and on relevance to the research priorities of the NIMH as outlined in the Institute’s Strategic Plan. The candidate’s support must occur within the current competitive segment or 2-years, whichever is less. Requests can be made for more than one candidate.

To be eligible for a Diversity Administrative Supplement:

  • The parent grant must be active (any research “R”, center/program project “P” or cooperative agreement “U” award may be supplemented) and the research proposed in the supplement must be able to be accomplished within the current competitive segment
  • Supplement requests cannot exceed 2 years or the time remaining on the parent grant, whichever is less
  • The proposed administrative supplement MUST be within the general scope of the peer-reviewed activities and aims approved for the parent grant
  • Funds must be used to provide research training and career advancement to individuals of diversity

The different career level of candidates include: High School Students, Undergraduate students, Post-Baccalaureate and Post-Master’s Degree Students, Graduate Research Assistants, Individuals in Postdoctoral Training, Investigators Development Independent Research Careers, Short-term Investigator Research Supplement, and Long-term Investigator Research supplement (see Other Special Eligibility Criteria for further definition, , Section III.3.)

A Diversity Administrative supplement request package should be submitted and/or signed by the institutional official and must include:

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

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

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

  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, For Diversity”) 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” should be a summary of the research and career development experiences for the candidates. All other information requested on Form Page 2 should be provided.

  4. A brief proposal describing the project and training/career experience (4a and 4b not to exceed 5 pages), including:

    1. Scope of the overall project and the anticipated contribution of the requested supplement. 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 very brief research design and methods and data analysis and mentorship plan. Describe the level (i.e., high school, undergraduate, etc.) of individual(s) of diversity recruited for the research experience(s Describe how this research experience will help to advance the candidate(s) to the next level of their research career (e.g. when appropriate, the plan to submit an NIH grant application.) Describe how the individual(s) were identified. For candidates at early career stages, describe how the supplement will encourage them to pursue research careers in health-related science.
    2. A statement from the candidate of their research objectives and career goals

  5. 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 in this project. Note the budget and the number of positions being created should be appropriate for the work proposed in the supplement request. Applicants are encouraged to discuss budgets with their NIH Program Officer. To meet the various transparency, accountability, and reporting requirements of the 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. See Budget and Funding Information  below for additional information.

    Detailed budget (form page 4) and composite budget page if more than one year is requested (form page 5). The detailed budget can be submitted using either the SF4249(R&R) Budget Component or the PHS 398 Form Pages 4 & 5, whichever is easier for your institution to quickly generate

  6. Biographical Sketch for all new Senior/Key Personnel. There is no need to repeat information previously provided for other Senior/Key Personnel on the Biographical Sketch Format Page. MS Word  PDF 

  7. 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 .

  8. PHS 398 Checklist Form MS Word  PDF 
    The PHS398 Form pages can be found in a Word and PDF-fillable formats at: 

Selection factors:

Administrative supplement requests will be reviewed administratively by NIH Program and Grants Management Staff with expertise relevant to the project. Awards will be determined on the basis of the merit of the project, its applicability to the goals of the Recovery Act, and the availability of funds. Applicants will be notified regarding the review outcome.

Selection factors will include the following:

  • Relevance of the proposed activities to the parent grant and determination that the proposed activities are within the existing peer-reviewed and approved scope of the project.
  • Adequacy of the career development/mentorship plan and likelihood that the experience will foster the short and long-term goals of the candidate(s)
  • The potential for continued research progress of the candidate to the next level of career development
  • Appropriateness of the request to achieve Recovery Act goals in promoting job creation, economic development, and accelerating the pace and achievement of scientific research.


NIMH will allocate approximately $5 million per year for all administrative supplements including diversity supplements. In general, requests for administrative supplements should not exceed 50% of the direct costs for the parent grant. Awarded supplements will be subject to extensive reporting requirements, as stipulated by the Recovery Act (see NOT-OD-09-054 ).

For all Recovery Act administrative supplement requests, parent grants with an end date on or after June 30, 2009 without a previous no cost extension, are eligible for up to the remaining number of months on the parent grant plus 12 months (grantee can request a 1 year no cost extension), up to a maximum of two years. The no cost extension request DOES NOT need to be in place at the time of submission. Applications should request a start date no sooner than July 1, 2009

Application Receipt Dates for All Administrative Supplements is April 21, 2009.

Submit applications for Administrative Supplements to:

Electronic (Email) Submissions:

Paper Submissions: 
Rebecca Claycamp, M.S., CRA
Chief Grants Management Officer
National Institute of Mental Health
6001 Executive Boulevard, Room 6115, MSC 9605
Bethesda, MD 20892-9605
Telephone: 301-402-7111
FAX: 301-480-1956

For Specific questions regarding eligibility or questions about the science to be proposed, please contact your Program Official on the parent grant.

For General Information on NIMH’s Recovery Act Supplements, Contact:
Tracy Waldeck, Ph.D.
Associate Director for Special Projects
National Institute of Mental Health
National Institutes of Health
Phone: (301) 435-0322

For Financial or Grants Management Questions, Contact:
Rebecca Claycamp, M.S., CRA
Chief Grants Management Officer
National Institute of Mental Health
6001 Executive Boulevard, Room 6115, MSC 9605
Bethesda, MD 20892-9605
Telephone: 301-402-7111

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