Funding News Edition: July 20, 2022 See more articles in this edition
Have you ever wondered what it means when NIH staff or publications refer to a grant application as “type 1” through “type 9”? The type of application matters for your due dates, submission requirements, and relevant NIH rules.
The first digit of a grant application’s unique identification number is the type code. For example, in the number “1 R01 AI 86753-01A1,” the prefix “1” means that the application is type 1.
NIH uses the following codes to indicate Types of Applications by grant stage or administrative action:
- Type 1—New Project. Initial request for NIH to fund a project that has not been funded before. Type 1 applications compete with other applications in peer review for funding.
- Type 2—Renewal. Requests an additional funded project period after the current award. Type 2 applications compete with other applications in peer review for funding.
- Type 3—
- Competing Revision. Requests additional funds during an ongoing project period to support new activities that were not identified in the current award. Because the request expands the scope of the award, revision applications need peer review.
- Administrative Supplement. Requests additional funds during an ongoing project period to pay for necessary items or activities required due to unforeseen circumstances. Because the request is within the scope of the original award, administrative supplements do not require external peer review.
- Type 4—Extension. Requests additional years of support beyond the previously awarded project period. Type 4 does not require external peer review. NIAID makes type 4 awards rarely, e.g., to complete the administrative closeout of a clinical trial.
- Type 5—Noncompeting Continuation. Through the Research Performance Progress Report (RPPR), a grantee requests a subsequent budget period within a previously approved project. NIH uses type 5 to support the out years of a grant. Type 5 does not compete with other applications.
- Type 6—Change of Organization Status (Successor-in-Interest). Transfers the rights to and obligations of a grant due to legislative or legal action, e.g., when one organization acquires or merges with another.
- Type 7—Change of Recipient or Training Institution. In situations other than type 6, transfers the rights to and obligations of a grant from one entity to another before the end of the project period.
- Type 8—Change of NIH Institute or Center (IC). Before award, transfers funding responsibility for a type 5 (noncompeting continuation) grant to a different NIH IC.
- Type 9—Change of NIH IC. Before award, transfers funding responsibility for a type 2 (renewal) grant to a different NIH IC.
As you likely noticed, the list above does not mention “resubmission.” In this context, resubmission is not considered a separate type. A resubmitted type 1, 2, or 3 application gets the same type code as the original because they both request the same type of funding. (To track whether your application is resubmitted, NIH instead uses a separate code in the last part of the grant identification number, as eRA details at Understanding Grant Numbers.)
In the example at the top of this article, the “A1” notation at the end of the grant number signifies a resubmission. An application submitted for the first time would instead have an “A0” notation. The word “new” in the context of an application can mean “type 1” or “A0” (or both).
Beyond the type codes listed above, other application descriptors also exist. For example:
- “International,” “Clinical Trial,” “Multiple PIs,” “Big Grants,” and other applications for Research With Special Considerations all carry important connotations for which forms to use and rules to follow when you apply.
- You have different degrees of freedom to choose your scientific topic when your application is “Unsolicited” (most flexible for topics) or “Solicited” (NIH requests only certain topics).