What is a Phased Award?
Phased awards provide research support in two separate segments without a break in funding; award of the second phase is dependent on several factors, including achievement of any pre-specified milestones. This award type is used only for select programs/activity codes, and often (but not always) reflects a transition point in the award indicated by a change in activity code.
Common uses of phased awards at NINDS are to: support high-risk research and development activities, support career transitions, extend awards beyond the 5-year project period, and to separate two types of funding.
How do you know if your award is a phased award?
You will know if your award is a phased award by reviewing section III and IV of your NoA. NINDS uses several phased mechanisms often indicated via a “Phase 1/Phase 2” activity code, but with some important exceptions indicated below.
The following are some examples of award mechanisms (also known as activity codes) used by NINDS are phased awards that involve a transition from the first phase to a second phase:
| Research Gants | Cooperative Agreements | Training/Career Development Awards |
|---|---|---|
| R37 (Javits Award) | U44 (Fast-Track) | K01 |
| RF1/R01 | UH2/UH3 | K22 |
| R61/R33 | UG3/UH3 | K99/R00 |
| R42 (STTR Fast-Track) | F99/K00 | |
| R44 (SBIR Fast-Track) | ||
| RM1 (HEAL only) |
How phase transitions/extensions work – Type 4 Applications
It can take a significant amount of time to prepare a Type 4 application, and may require extensive discussions with NINDS staff, so you should start working on your transition application well in advance of the due date.
A Type 4 transition/extension application is a non-competitive application (it does not go to peer review and is reviewing administratively by NINDS staff), and requests additional years of support beyond those awarded in the first phase. This could be requesting the second phase of an award such as for an R33 as part of an R61/R33, or it could be an extension like that of an R37 (NINDS Javits Merit Award).
Principal investigators and institution staff/sponsored projects staff should read the NoA carefully upon receipt and note when a Type 4 application to is due which will be stated in Section IV of the NoA. Grantees may also be contacted by NINDS staff in advance of this to initiate preliminary discussions.
What is required in a Transition/Extension Application?
Using the correct application form, type 4 applications must include:
- PHS 2590 Application Face Page.
- PHS 398/424 Detailed Budget Pages with budget justifications where applicable (K00, R00, R37). If a detailed budget was included during the initial phase, please do not include a new budget. Note: if the original phase was issued as modular, phase two, if approved would also be modular.
- Scientific progress to date on specific aims
- Scientific progress to date on milestones if applicable
- Specific aims and research strategy for second phase/extension - see funding opportunity announcement (FOA), notice of award (NoA), and guidance from program staff for specific instructions
- Updated biographical sketches for all key personnel.
- MyNCBI Bibliography demonstrating compliance with NIH Public Access policy
- Updated Other Support information for the PI(s) or other Senior/Key Personnel IF named in the NoA
- Updated resource pages.
- Checklist page.
- Human Subjects (HS) Institutional Review Board (IRB) approval (where applicable.)
- If applicable, update any Inclusion Enrollment Reports (IER) electronically via eRA
- Vertebrate Animal Subjects (VAS) Institutional Animal Care and Use Committee (IACUC) approval (where applicable.)
- Updated Vertebrate Animal Subject (VAS) section (where applicable.)
How to submit a transition/extension application?
Complete Type 4 applications for all of the mechanisms above except R37 Javits awards should be submitted by an Authorized Organization Representative (AOR) to ninds_submissions@ninds.nih.gov by the date specified in the NoA. Please include the grant number and PI name in the subject.
R37 Javits awardees have distinct instructions, and should instead submit your extension request electronically by following the instructions in PAR-23-022
Please contact your Program Officer with scientific questions and your Grants Management Specialist with administrative questions. The contact information for these individuals can be found on in the Status section of the Commons. To find information on ‘Status’ sections see Status Information.
How are transition/extension applications reviewed once submitted?
- Applications are reviewed for completeness and that all NINDS and NIH budgetary policies and requirements are being adhered to
- NINDS program staff will review the application for adequate completion of the transition requirements and/or milestones as described in the NOFO and NoA
- Additional requirements will be defined in the NoA and will vary based on the program
- These will be evaluated often on a case-by-case basis in consultation with other NINDS staff and leadership
- You may be asked to provide additional information
Funding of phase two is contingent upon a successful progress review. The Type 4 transition/extension application request is not a guarantee from NINDS to fund phase two. Final, official approval of the transition or extension will be through a NoA.