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Administrative Supplements to Grants and Cooperative Agreements SOP

This standard operating procedure (SOP) includes the following sections: PurposeProcedureContacts, and Links.

Lock icon: This link will not work for public visitors.Some links will work for NIAID staff only.

Purpose

To enable NIAID to add funds to a grant or cooperative agreement for defined purposes that do not significantly expand a project's scope.

Procedure

Administrative supplements are funds awarded above study section-recommended levels or outside the fiscal year funding policies. We generally pay only for items resulting from events unforeseen when the competing application was submitted.

PIs may apply for an administrative supplement at any time, as long as they meet the Requirements listed below.

However, NIAID awards administrative supplements under rare circumstances and only if extramural scientific divisions have sufficient funds in their discretionary pools. If no funds remain, a division may request an allocation from NIAID's budget office.

While there is no limit to the amount of funding applicants can request, they must justify their budgets and provide a scientific rationale. NIAID rarely funds requests larger than the parent grant.

Administrative supplements do not go through peer review. They are reviewed by NIAID staff with relevant expertise and no conflict of interest.

NIAID awards administrative supplements to do the following:

  • Reinstate grant funds that were approved by the scientific review group but cut due to NIAID’s 20 percent cap on renewal applications (first year only).
  • Reinstate scientific review group reductions of budget, time, or both. This can be done during any year of a grant except the last. A specific aim can be reinstated, but only with Council approval.
  • Support an unanticipated increase in approved direct costs, including items thought to be available at the time of award that later became unavailable to a PI. Examples include increases in animal costs and loss of equipment identified in an application.
  • Use or preserve a unique research material or resource that may otherwise be lost. Example: maintaining a unique knockout mouse model.
  • Add patients, populations, or other items related to a protocol—such as items related to safety issues or data and safety monitoring boards (DSMB) needs—due to enrollment issues, a need for statistically significant data, or responses to protocol and DSMB reviews. NIAID can supplement a grant to obviate threats to patients in a clinical trial by addressing issues in an FDA clinical hold for an investigational new drug application or investigational device exemption.
  • Provide an orderly termination or temporary continuation of support to prevent loss of research resources or hardship of personnel, which includes taking advantage of a rare event with an immediate need, e.g., salvaging a rare animal model.
  • Address special time-critical cases such as countering a major threat to public health, e.g., creating smallpox vaccines to counter a bioterrorism threat or developing the capacity to respond to a new epidemic, such as West Nile virus.
  • Replace equipment, supplies, and time lost due to a natural disaster.

Requirements

Grantees may ask for administrative supplements if the following requirements are met:

  • PI cannot pay for the requested resource by rebudgeting funds.
  • PI's unobligated balances either cannot cover the request or total less than 10 percent of the annual award.
  • Grant is not in the first or last year of the competitive segment. Exceptions are clinical trials, renewal applications, and reinstatement of scientific review group reductions.
  • Administrative supplement cannot pay for increased costs due to an investigator's transfer or promotion.

Administrative supplements may not pay for a PI to move in a new scientific direction or use a new technology. For example, beginning use of microarray technology or an animal model not specified in the application. If additional funds are needed for such purposes, investigators should apply for another R01 or a small grant such as an R03 or R21.

Requests must stay within the scope of the research. If grantees need additional funds for a significant expansion in project scope, they should request a revision (competing supplement) rather than an administrative supplement. See the Revision of a Grant SOP.

Principal Investigators

  • With your institutional official, contact your program officer to discuss requesting an administrative supplement.
    • Make sure you have read the criteria listed above.
    • Your program officer can advise you further about the circumstances in which NIAID awards supplements.
  • Do not use administrative supplements as a regular funding request.
  • Have your institutional official verify that required financial reporting is up to date.
  • Be sure to include the following with your request.
    • Reason for the request and justification for the funds.
    • Detailed budget and composite budget page if more than one year is requested.
    • Biographical sketch and human subjects documentation (if applicable) for any new key personnel.
  • Determine which method to use for your request.
    • If the parent award type (such as R01) has made the transition to electronic submission, you have three options:
      • Apply electronically through Grants.gov.
      • Apply electronically through the eRA Commons.
      • Apply using the PHS 398 forms.
        • On the face page, note the administrative supplement PA title and number from the FOA above.
        • Your signing official should send the signed original and the checklist directly to your NIAID program officer, preferably as a PDF file attached to an email.
    • If the parent award type has not made the transition to electronic submission, you may use only the PHS 398 forms option shown above.

Program Officers

  • Advise PIs about NIAID's criteria for administrative supplements. When unsure about a request, discuss it with a grants management specialist before advising a PI.
  • Watch for mailed paper requests as well as email notifications about electronic requests.
  • View electronic requests in the IMPAC Grant Folder. You may add notes to the Identifying Information field, which will not be shared outside of NIH.
  • Review requests for compliance with the NIAID guidelines listed above the roles in the Procedure section as well as fiscal and scientific need.
  • Check whether a PI repeatedly requests administrative supplements. If this is the case, advise the investigator on preparing a budget to cover fiscal needs.
  • Discuss a request according to division procedures, then do the following:
    • For electronic requests, go to the IMPAC Grant Folder.
      • "Accept for Consideration" means that the request is sufficient to proceed with internal review. It does not mean that the request has been approved for funding.
        • Choose "Accept for Consideration" in the Actions column.
        • Continue with the NIAID Planning and Reporting System (NPARS) steps below.
      • "Refuse" terminates the request. Warning: once you make this choice, it cannot be changed.
        • Choose "Refuse" in the Actions column.
        • Complete the form with comments for the grantee.
        • Select "Done."
        • The status changes to "Refused" and the system emails a notification to the PI, the signing official, and the NIAID Institute mailbox.
    • For accepted paper or electronic requests, use NPARS.
      • Create an administrative supplement request in NPARS.
      • Forward the grantee's request to your Program Division NPARS Coordinator.
      • Ask your NPARS coordinator to forward the NPARS request to the appropriate grants management specialist.
  • If the grants management specialist recommends disapproving the request, and you do not agree, work with him or her to resolve the issue.
  • If NIAID does not approve a supplement request, inform PI about alternative actions such as rebudgeting or carryover of funds.

DAIDS staff can see Lock icon: This link will not work for public visitors.Administrative Supplements for internal procedures and guidelines.

Grants Management Specialists

  • Receive NPARS requests from the Program Division NPARS Coordinators.
  • Review the supplemental request and NPARS justification to determine whether both the request and justification meet NIAID’s supplement eligibility criteria.
    • Review financial information:
      • Federal Financial Report (FFR) for grants that are required to submit annually.
      • Payment Management System for grants that do not submit FFRs annually.
    • Also review any explanation of unspent funds to determine the need for supplemental funds.
    • Prorate salary for number of months remaining in the budget period.
    • Check whether a PI repeatedly requests administrative supplements.
  • Approve or disapprove the supplement request in NPARS.
    • Include justification for your action along with any revisions to the dollar level.
    • If you plan to disapprove a request, discuss it with the GMP division coordinator and notify the program officer.
  • Issue the supplemental award once NIAID's budget office has issued a release list and all required assurances and approvals are in place. Restrict funds for the requested purpose.

GMP staff can see Lock icon: This link will not work for public visitors.Administrative Supplements SOP and Lock icon: This link will not work for public visitors.End-of-Year Funding SOP for more responsibilities.

Contacts

Ann Devine

Program Division NPARS Coordinators

DAIDS: Lock icon: This link will not work for public visitors.Contact for NIAID Staff (primary) or Lock icon: This link will not work for public visitors.Contact for NIAID Staff (backup)

DMID: Lock icon: This link will not work for public visitors.Contact for NIAID Staff

DAIT: Lock icon: This link will not work for public visitors.Contact for NIAID Staff

If you have knowledge to share or want more information on this topic, email deaweb@niaid.nih.gov with this link and your message. Thanks for helping us clarify and expand our knowledge base.

Links

NIAID's Lock icon: This link will not work for public visitors.Cooperative Agreements Staff Portal.

eRA's Lock icon: This link will not work for public visitors.Grant Folder Release Notes

NIAID Planning and Reporting System (NPARS) SOP

Lock icon: This link will not work for public visitors.NIAID Planning and Reporting System (NPARS)

Definitions of Special Issues Presented to Council

NIAID Funding Policy and Process SOP

Research Supplements

Special Issues Requiring Council Review SOP

Supplements to Grants—Administrative, Revision, and Research questions and answers

GMP staff can see GMP's Lock icon: This link will not work for public visitors.CAAP and NPARS SOP​

Last Updated March 14, 2012

Last Reviewed March 07, 2012