Phased and Transition Awards

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Deadline for FY2024

All Phased and Transition applications (Type 4) with budget start dates prior to September 1, 2024 must be received by August 1st, 2024 for guaranteed funding FY2024. Materials received after August 1st will be considered in FY2025 starting in October 2024.

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

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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 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?

What is required in your type 4 transition/extension application depends on the type of award you have. Find the program/activity code for your and follow the instructions below to submit a complete type 4 application.

F99/K00

F99 awardees wishing to submit a K00 transition application must follow the instructions as described below, referring to the Table of Page Limits and the instructions found in the SF424 (R&R) Application Guide, including Supplemental Instructions to the SF424 (R&R) for Preparing an Individual Research Career Development Award (CDA) Application ("K" Series).

A new face page signed by the K00 phase institutional representative
A brief description by the PD/PI of progress made during the F99 phase, which will serve as the Final RPPR for the F99 phase
A Final Evaluation statement by the F99 phase primary sponsor
Updated Project Summary and Project Narrative pages that describe the research proposed for the K00 phase
Detailed budget pages for a non-modular budget: K00 budgets consist of salary and fringe benefits, other program related expenses, and indirect costs, as described in Part II, Other Award Budget Information of this notice of funding opportunity. Other costs are not allowed;
An updated Research Plan section: The Specific Aims should be updated to reflect current plans for the K00 phase and the updated Research Strategy should be described in less than 6 pages;
A new Applicant Information section, including:
- Career Goals and Objectives
  - Describe the applicant's current and long-term research and career objectives. Present a scientific history that shows a logical progression from the applicant's prior research and training experiences (including the F99 phase) to the training and research experiences proposed for the mentored phase of the award (K00), which will ultimately lead to an independent research career. Describe how the applicant plans to separate scientifically from his/her F99 dissertation sponsor.
- Applicant's Plan for Career Development/Training Activities During Award Period
  - Describe current and proposed activities and how they relate to the applicant’s career development plans and career goals. Include proposed activities, e.g., those that will lead to new and/or enhanced research skills and knowledge, as well as related skills such as grant writing, communication, leadership, and laboratory management. The career development plan must be specifically tailored to meet the needs of the applicant and the goal of achieving independence as a researcher. Describe how the plan will promote the applicant’s ultimate success and transition to scientific independence. The applicant must include a timeline with milestones, for evaluation of his/her progress after the transition to the K00 phase.
Biosketches of K00 mentor(s)
Plans and Statements of K00 Mentor and Co-mentor(s): If the primary mentor has limited training experience, a co-mentor with a strong, successful track record as a mentor should be included. The transition application must include a statement from the primary mentor or mentoring team that provides:
- Information on his/her neuroscience research qualifications and previous experience as a research supervisor;
- A plan describing the nature of the supervision and mentoring that will occur during the proposed K00 award period, including how the applicant's scientific and professional career development will be promoted; and o A description of the elements of the planned research training and career development, including any formal course-work.
Facilities and other Resources and Equipment pages for the K00 Institution
Updated Protections for Human Subjects and Inclusion of Women, Minorities and Children (as appropriate)
Letters of Support from Collaborators, Contributors, and Consultants (if applicable)
- Signed statements must be provided by each consultant/collaborator confirming their participation and describing their specific roles in the project.
- Collaborators and consultants generally do not need to provide their biographical sketches. However, information should be provided in their statement that documents their expertise in the proposed areas of consulting/collaboration. Collaborators/consultants are generally not directly involved in the development of the career of the applicant as an independent investigator.
Description of Institutional Environment: The sponsoring institution must document a strong, well-established research and career development program related to the applicant 's area of interest.
- Describe the sponsoring institution's scientific environment including the resources and facilities that will be available to the applicant.
- Describe how the institutional research environment is particularly suited for the applicant's mentored research and career development during the K00 phase.
K00 Institutional Commitment to Applicant's Research Career Development:
- Provide a statement of commitment to the applicant 's career goal of developing into a productive, independent neuroscience-focused research investigator, i.e. conducting the proposed mentored neuroscience research and career development during the K00 phase.
- Provide assurance that the candidate will be able to devote a minimum of 9 person-months (75% of full-time professional effort) to the development of his/her research program. The remaining effort should be devoted to activities related to the development of the candidate's career as an independent scientist.
- Provide assurance that the research facilities, resources, and training opportunities will be available for the applicant's planned career development and research programs during the K00 award period.
- Provide assurance that appropriate time and support for any proposed mentor(s) and/or other staff consistent with the career development plan will be available during the K00 award period.
Updated Protections for Human Subjects and Inclusion of Women, Minorities and Children (as appropriate);
Updated Other Research Plan Sections (as appropriate), including:
- Updated Vertebrate Animals (as appropriate)
- Select Agent Research
- Resource Sharing Plans
- Authentication of Key Biological and/or Chemical Resources
- Updated Biohazards (as appropriate)
- Updated plan for Training in the Responsible Conduct of Research
- A new checklist

K01

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K22

Follow the instructions in Section VI (Award Administration Information) Part 2 (Administrative and National Policy Requirements), and "Transition to the Independent Phase."

Form PHS 2590 must include the following:

A new face page signed by the Phase II institutional representative.
A new project description page (the project summary or abstract should be updated to reflect current plans for the Phase II);
An updated research plan (the specific aims should be updated to reflect current plans for the Phase II and the updated research plan should be briefly described in less than 5 pages);
A description of the institutional environment, including: research facilities and the availability of appropriate educational opportunities, including collaborating faculty, when necessary; quality and relevance of the environment for scientific and professional development of the candidate.
Information about the sponsoring institution’s commitment to the candidate and to the candidate’s scientific independence, including: commitment to ensuring that the candidate’s effort required by the K22 program will be devoted directly to the research and career development activities described in the proposed career development and research plans; institutional commitment to fostering the career development of the candidate.
Position Description: the institution should provide a detailed description of the candidate’s position, responsibilities, and duties. The institution’s tenure-track policy should be defined or a description should be provided of the equivalent arrangements for institutions without a formal tenure-track.
Budget in detail, including justification for all requested funds:
- List the name, role on project and percent effort for all project personnel (salaried and unsalaried) and provide a narrative justification for each person;
- Provide a narrative justification for any major budget items, other than personnel, that are requested for the conduct of the project;
- Phase II budgets consist of salary and fringe benefits, other program related expenses, and indirect costs, as described in Part II, Other Award Budget Information of this notice of funding opportunity. Other costs are not allowed;
Letters of Support from Collaborators, Contributors, and Consultants (if applicable)
- Signed statements must be provided by each consultant/collaborator confirming their participation and describing their specific roles in the project.
- Collaborators and consultants generally do not need to provide their biographical sketches. However, information should be provided in their statement that documents their expertise in the proposed areas of consulting/collaboration. Collaborators/consultants are generally not directly involved in the development of the career of the applicant as an independent investigator;
Facilities and other Resources and Equipment pages for the Phase II Institution: Describe specific resources committed by the sponsoring institution to support the Candidate’s research.
In addition, a letter from the Phase II Department or Division Chairperson describing the institution’s commitment to the candidate and plans for his/her career development should be submitted (see below), as well as a final evaluation statement by the Phase I mentor, if not already provided.
Updated Other Research Plan Sections (as appropriate), including:
Updated Vertebrate Animals (as appropriate)
- Select Agent Research
- Resource Sharing Plans
- Authentication of Key Biological and/or Chemical Resources
- Updated Biohazards (as appropriate)
- Updated plan for Training in the Responsible Conduct of Research
- A new checklist