AHRQ POLICY ON SUPPLEMENTAL AWARDS TO GRANTS
RELEASE DATE: July 7, 2003
NOTICE: NOT-HS-04-022
Update: The following updates relating to this announcement have been issued:
Agency for Healthcare Research and Quality (AHRQ)
(http://www.ahrq.gov)
BACKGROUND
The Agency for Healthcare Research and Quality (AHRQ) is updating the Agency
policy on grant supplement awards. Funded grantees can submit requests for
two types of supplemental funds as described below. This policy update
complies with the fundamental principle underlying the distribution of all
federal research funding, which is to ensure that competition for grant funds
is as open as possible.
POLICY
The Department of Health and Human Services (DHHS) has recently updated its
guidance on two types of supplemental awards to research grants,
administrative supplements and program expansion supplements. Administrative
supplements are funds requested by the grantee, which will be used to cover
costs of activities that fall within the original scope of the approved grant
project. Thus, this type of supplement is an add-on for costs that are of
the same level, type, or quality of effort, which results from unexpected
increases in current year costs. An example of an administrative supplement
is when the cost to purchase data or equipment, as planned and approved in
the research protocol, is higher than originally expected. Virtually all
other requests for additional support are program expansion supplements,
which are awards under an ongoing project to expand the project's scope.
Program expansion supplements may be requested by the grantee or initiated by
AHRQ. Examples of program expansion supplements are funds requested by an
investigator to include additional research subjects or to expand the number
of study sites. Requests for program expansion funds are subject to a
requirement to undergo an independent, objective review for merit and to
compete for available funds. Administrative supplements need not be competed
by the awarding office. For both of these types of supplemental awards,
funding requests for large research grant (e.g., R01, R18) supplements are
limited by AHRQ to 20 percent of the approved Federal direct costs for the
project period or $250,000, whichever is less. Small research grant (R03)
supplement requests are limited by AHRQ to 10 percent of the approved direct
costs for the project. For small grants, total cumulative funds awarded by
AHRQ may not exceed $100,000.
The updated AHRQ policy on grant supplements will take effect with the
publication of this notice. Generally, the Agency provides funding each
fiscal year to support supplemental awards. The amount of the set-aside is
dependent upon the availability of funds. Administrative supplements are
generally for one budget period, although multi-year requests may be approved
on an individual basis with sufficient justification. Program expansion
supplements may be for one or more years as justified and appropriate. All
supplemental awards will be made consistent with the Agency's mission and
research priority areas. Supplemental funds will not be awarded for
activities performed prior to the funding decision nor for activities to be
performed beyond the approved project period end date.
In addition to administrative and general program expansion supplements, AHRQ
supports a program in which grantees can request funds for minority
supplements to grants. Minority supplements are a type of program expansion
supplement, where the program goals are to expand research on topics relevant
to minority health issues and to increase the number of minority health
services researchers. Further details about the provisions of the AHRQ
minority supplement program will be published in a separate policy notice.
REVIEW PROCESS
Requests for administrative supplements may be submitted at any time during
the fiscal year. Grantee institutions should submit the request for
administrative supplement funds using the face page, pages 4 and 5 (budget
and budget justification) from the Application for Public Health Service
Grant (PHS 398, revised May 2001,
https://grants.nih.gov/grants/funding/phs398/phs398.html), and a brief
rationale explaining the need for additional funding. The budget request
should specify the period in which supplemental funds will be expended. The
request must be signed by the principal investigator and the authorized
institutional official. Administrative supplement requests will be evaluated
by the AHRQ Grants Management Officer in conjunction with the Grant Project
Officer.
As noted in the section above, all requests for program expansion supplements
will undergo a competitive review process in order to evaluate scientific and
technical merit. There are no specific receipt dates for program expansion
supplement requests. Although requests will be received on an ongoing basis,
program expansion supplement funding decisions will be made in December,
April, and July of each year.
Grantee institutions applying for program expansion supplement funds should
submit the request using the face page, pages 4 and 5 (budget and budget
justification) from the Application for Public Health Service Grant (PHS 398,
revised May 2001, https://grants.nih.gov/grants/funding/phs398/phs398.html).
The request should include appropriate specification of the period in which
supplemental funds will be expended. In addition, the application should
discuss the following:
o how the supplemental funds will be used to build upon the scope of the
current project, including details of the expanded study methodology
o revised project timeline if applicable (Note: if the timeline is revised,
it may not exceed the approved project period end date)
o how the supplemental funds will enhance and expand study results and
outcomes
o significance and importance of the supplemental funds to the project's
research goals
o relevance to AHRQ's research mission and goals
The narrative may be up to 10 pages in length. The request must be signed by
the principal investigator and the authorized institutional official.
The scientific and technical review for merit of program expansion requests
will consist of two types of processes, depending upon the dollar level of
request. Requests for program expansion supplement funds that are less than
$50,000 in direct costs will be evaluated by AHRQ staff along with the AHRQ
Grants Management Officer. Requests for program expansion supplement funds
that are greater than $50,000 in direct costs will undergo objective review
by external reviewers. The AHRQ Grants Management Officer will also evaluate
the request.
General Review Criteria
For all program expansion supplement requests, the review criteria are as
follows:
o appropriateness/fit of the supplement request to the original scope of
the project;
o consistency with the AHRQ mission and research priorities;
o significance and originality from a scientific or technical viewpoint;
o adequacy of the proposed methods;
o availability of data or adequacy of the plan to collect required data;
o adequacy and appropriateness of plans for organizing and carrying out the
project;
o qualifications and experience of the investigators;
o reasonableness of budget and the time frame relative to the proposed
work;
o ability of the grantee to complete the additional work within the
approved project period;
o adequacy of the facilities and resources available;
o representation of women, minorities, and AHRQ priority populations (as
appropriate);
o adequacy of the proposed means for protecting human subjects.
Following the review process, a recommendation regarding funding will be
made.
APPLICATION SUBMISSION PROCEDURES:
Requests for administrative or program expansion funds should be submitted
to:
Ms. Mable Lam
AHRQ Grants Management Officer
Agency for Healthcare Research and Quality
540 Gaither Road, Room 4216
Rockville, MD 20850
For administrative supplement requests, investigators should submit the
original and one copy. For program expansion requests, investigators should
submit the original and five copies.
INQUIRIES:
AHRQ welcomes the opportunity to clarify issues or discuss questions from
investigators about administrative or program expansion supplement funds. It
is strongly recommended that investigators consult with their AHRQ grant
project officer prior to submission of any application for supplemental
funding.
General questions about the grant supplement program can be directed to:
Debbie Rothstein, Ph.D.
Senior Advisor, Extramural Research
Office of Research Review, Education, and Policy
Agency for Healthcare Research and Quality
540 Gaither Road, Room 2030
Rockville, MD 20850
Telephone: (301) 427-1525
E-mail: drothste@ahrq.gov
Inquiries regarding fiscal and eligibility matters can be directed to:
Ms. Joan Metcalfe
Division of Grants Management
Agency for Healthcare Research and Quality
540 Gaither Road, Room 4214
Rockville, MD 20850
Telephone: (301) 427-1450
E-mail: jmetcalf@ahrq.gov
AWARD CRITERIA
Requests for grant supplements will compete for available funds with other
similar requests for AHRQ support. The following will be considered in
making funding decisions: assessment of technical merit, focus of the
proposed supplemental work, potential significance of the work, fit with AHRQ
priorities and overall program balance, contribution to the field of health
services research, and the availability of funds.
Weekly TOC for this Announcement
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