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Phased Award SOP

This standard operating procedure (SOP) includes the following sections: Purpose, Procedure, Contacts, and Links.

Some links will work for NIAID staff only.

Purpose

To support a two-phased award without a break in funding in which transition to the second phase depends on several factors, including the achievement of negotiated milestones.

Currently this applies to the following activity codes:

  • R21/R33
  • R61/R33
  • UH2/UH3
  • UG3/UH3

Procedure

A phased award includes: 1) Phase I for milestone-driven exploratory or feasibility studies with a possible transition to 2) Phase II for expanded development.

Transition to Phase II depends on the awardee's completing milestones evaluated in peer review and negotiated with NIAID program staff before Phase I was awarded, as well as program priorities and the availability of funds.

NIAID accepts phased award applications in response to a program announcement (PA) or request for applications (RFA).

Investigators

Use the following guidelines to prepare your application, accept your award, and transition to Phase II of your award.

Preparing the Application

  • Prepare a single application with the following information:
    • A face page
    • Research Plan for both Phase I and Phase II
      • Clearly state the Specific Aims for each phase, indicating under which phase each Aim belongs.
      • Include a section labeled "Milestones" describing milestones to be achieved during Phase I to qualify for the transition to Phase II.
    • Detailed budget for both phases, clearly indicating in the justification pages which phase applies in each fiscal year
    • Any other items required in the funding opportunity announcement (FOA)
  • Preliminary data are not needed unless required in the FOA. However, you must provide enough information to enable reviewers to assess the rationale of your hypothesis. 

Phased Award

  • After initial peer review, your program officer may contact you to negotiate your transition milestones, which will include recommendations from reviewers, NIAID staff, or possibly both. 
  • If your application is funded:
    • Read the Notice of Award, including the phased award terms and conditions of award.
    • Read and keep for future reference the phased award informational letter, which gives you detailed instructions on the transition application and the deadline for applying without a break in funds. You will receive it shortly after getting the Phase I award.
  • The Phase I award will reflect the budget period for only Phase I, although you can submit a transition package for Phase II at any time; see next section.

Transition to Phase II

  • When you believe you have successfully accomplished your milestones, prepare a transition package.
    • Fill out a Non-Competing Continuation Progress Report (PHS 2590). Include the following items:
      • Summary of the Phase I Specific Aims and importance of the work accomplished
      • A section called “Milestones,” describing in detail the milestones and progress achieved in Phase I
      • Detailed budget pages for each year of Phase II
      • Revisions to address reviewers’ comments from the initial peer review if you feel that doing so would provide additional information about Phase II
    • Complete any additional documentation requested by NIAID staff.
    • Note: PHS 2590 instructions direct you to use the Research Performance Progress Report (RPPR). While you will use RPPR for all other progress reporting, do not use it for your Phase II transition package. NIAID will use PHS 2590 until NIH provides an acceptable substitute.
  • Follow these additional formatting guidelines:
    • Keep the narrative portion of your transition package to approximately 10 pages. You may include additional materials, including photos, graphs, and unpublished manuscripts in an appendix.
    • Use a file format that we can print, since we may need to print your transition package for the internal review.
  • Email your transition package to Jenna Briggs, Grants Management Program (GMP) phased award coordinator. If the document is too large for an email attachment, send the files on a CD to:

Jenna Briggs
GMP, DEA, NIAID, NIH
5601 Fishers Lane, Room 4E58, MSC 9833
Bethesda, MD 20892-9833
(*use Rockville, MD 20852 for overnight and courier deliveries)

  • Submit your transition package by the deadline date as outlined in the phased award informational letter. The deadline is generally two months before the end of Phase I. 
    • Keep in mind that Phase II can begin only at the end of a Phase I budget year. Phase I will not be terminated early to fund Phase II. 
  • NIAID will review your transition package.
    • Your program officer may contact you for additional information if he or she cannot assess whether you have met your milestones.
    • We may recruit outside consultants for their scientific expertise to help assess whether you have met your milestones.
    • Everyone involved in this review will be held to NIH standards of confidentiality and conflict of interest.
    • Once NIAID program staff approve the other documents necessary for transition and determine that you have met your milestones, they will assess the priority of the project and availability of funds in the NIAID budget. 
  • If your transition package is approved, your award will transition to Phase II. 
  • If your transition package is not approved, the GMP phased award coordinator will email you, your institutional business official, your grants management specialist, and your program officer. NIAID will close out your award at the end of the Phase I award period.

Program Officers, Scientific Review Officers, and Grants Management Specialists

For internal roles, see the Phased Award, Milestone-Driven Grant Mechanisms: Staff Roles SOP.

Contacts

GMP Phased Award Coordinator—Jenna Briggs

Applicants with questions should read Contacting Program Officers and Grants Management Specialists.

If you have knowledge to share or want more information on this topic, email deaweb@niaid.nih.gov with the title of this page or its URL and your question or comment. Thanks for helping us clarify and expand our knowledge base.

Links

Types of Funding Opportunities

Content last reviewed on September 27, 2017