Phased and Transition Awards

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 UG3/UH3   K22
R61/R33 UH2/UH3   K99/R00
R42 (STTR Fast-Track)   F99/K00
R44 (SBIR Fast-Track)     
RM1 (HEAL only)    

*See special instructions for R37 Javits Award below

How phase transitions/extensions work – Type 4 Applications 

 

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When Are They Due?
At a time specified in section IV of your NoA (usually 60 days before the budget end date for the first phase but check your NoA for the exact date), you will need to submit what is called a Type 4 application. You may (but not necessarily or always) also receive reminders from NINDS staff including from the email address NINDS_submissions@ninds.nih.gov.


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. Grantees may also be contacted by NINDS staff in advance of this to initiate preliminary discussions. 

Note that the solicitation of, or submission of, a type 4 application does not guarantee phase transition and continued funding. This is dependent on adequate completion of the transition criteria or milestones. You will work closely with NINDS program and grants management staff to ensure a thorough and complete review of your transition/type 4 application. 

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 (where 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.  
  • Updated resource pages.  
  • Checklist page.  
  • Human Subjects (HS) Institutional Review Board (IRB) approval (where applicable.)  
  • Vertebrate Animal Subjects (VAS) Institutional Animal Care and Use Committee (IACUC) approval (where applicable.)  
  • Updated Vertebrate Animal Subject (VAS) section (where applicable.)  
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Special Instructions for R37 Javits Award Extension Request
NOTE: R37 Javits awardees requesting an extension have a distinct application and submission process from that described here. Follow the instructions outlined in PAR-23-022 for electronic submission of your extension / phase 2 request.

How to submit a transition/extension application? 

Complete Type 4 applications 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.    

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.  

R37 Javits awardees have distinct instructions, and should instead submit your extension request electronically by following the instructions in PAR-23-022

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 FOA and NoA. While sufficient scientific progress is almost always assessed, additional requirements will vary based on the program and 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. Final, official approval of the transition or extension will be through a NoA. 

 

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Want to contact NINDS staff?
Please visit our Find Your NINDS Program Officer page to learn how to find and when to contact a Program Officer, when to contact a Grants Management Specialist, and to learn more about Program Officer and Health Program Specialists.