Part 1. Overview Information

Key Dates

No late applications will be accepted for this Notice of Funding Opportunity (NOFO).

It is critical that applicants follow the Fellowship (F) instructions in the How to Apply - Application Guide, except where instructed to do otherwise (in this NOFO or in a Notice from the NIH Guide for Grants and Contracts). Conformance to all requirements (both in the Application Guide and the NOFO) is required and strictly enforced. Applicants must read and follow all application instructions in the Application Guide as well as any program-specific instructions noted in Section IV. When the program-specific instructions deviate from those in the Application Guide, follow the program-specific instructions. Applications that do not comply with these instructions may be delayed or not accepted for review.

There are several options available to submit your application through Grants.gov to NIH and Department of Health and Human Services partners. You must use one of these submission options to access the application forms for this opportunity.

1. Use the NIH ASSIST system to prepare, submit and track your application online.
2. Use an institutional system-to-system (S2S) solution to prepare and submit your application to Grants.gov and eRA Commons to track your application. Check with your institutional officials regarding availability.
   
   
3. Use Grants.gov Workspace to prepare and submit your application and eRA Commons to track your application.



Table of Contents
Part 1. Overview Information
Key Dates
Part 2. Full Text of Announcement
Section I. Funding Opportunity Description
Section II. Award Information
Other Award Budget Information
Section III. Eligibility Information
Section IV. Application and Submission Information
Section V. Application Review Information
Section VI. Award Administration Information
Section VII. Agency Contacts
Section VIII. Other Information

Part 2. Full Text of Announcement

Section I. Funding Opportunity Description

Note: This Notice of Funding Opportunity (NOFO) does not allow candidates to propose to lead an independent clinical trial, but does allow candidates to propose research experience in a clinical trial led by a sponsor or co-sponsor.

This Notice of Funding Opportunity (NOFO) is an initiative of the NIH Blueprint for Neuroscience Research (http://neuroscienceblueprint.nih.gov/) and the NIH BRAIN Initiative (http://braininitiative.nih.gov).

The purpose of the NIH Blueprint and BRAIN Initiative Diversity Specialized Predoctoral to Postdoctoral Advancement in Neuroscience (D-SPAN) Award (F99/K00) is to support mentored research training for graduate students from diverse backgrounds, including those from groups that are underrepresented in neuroscience research, who have demonstrated potential and interest in pursuing careers as independent neuroscience researchers, and then to facilitate their successful transition to postdoctoral positions. The F99/K00 award will provide up to 6 years of support across pre- and postdoctoral research in two phases, described further below.

Award Details

The F99/K00 award is intended to support individuals who require 1-2 years to complete their Ph.D. dissertation research training (F99 phase) before transitioning to mentored postdoctoral research training (K00 phase). Individuals must have demonstrated an interest in a neuroscience research career in NIH Blueprint mission-relevant areas and/or BRAIN Initiative research areas (see Research Areas Supported).

The F99/K00 award provides up to 6 years of support in two phases. The initial (F99) phase will provide support for 1-2 years of dissertation research (final experiments, dissertation preparation, and selection of a postdoctoral mentor). The second (K00) phase will provide up to 4 years of mentored postdoctoral research and career development support, contingent upon successful completion of the doctoral degree requirements and securing a neuroscience-focused postdoctoral position. The two award phases are intended to be continuous in time. A K00 award will be made only to support a PD/PI who has successfully completed the F99-supported training, secured a neuroscience-focused postdoctoral appointment, and worked with the applicant institution to provide the D-SPAN oversight committee with a strong research and career development plan that will occur in a supportive and competitive research environment.

Prospective applicants are strongly encouraged to contact the Program Official prior to initiating plans for application submission. Additional resources and answers to frequently asked questions can also be found here: https://neuroscienceblueprint.nih.gov/training/nih-blueprint-d-span-award-f99k00.

Note: The four years of K00 support of this award will not preclude supported PD/PIs from working with their institutions to apply for other mentored career development (K) awards such as K99/R00. Supported PD/PIs  who can justify the need for additional mentored career development training beyond the four years of K00 may work with their institutions to apply for additional NIH mentored career development awards.

Need for the Program

The D-SPAN initiative will enhance the ability of predoctorates from diverse backgrounds, including those from underrepresented groups, to progress in what is often perceived as a challenging research career environment (Developing a 21st Century Neuroscience Workforce; National Academy of Medicine). The program will address these issues by providing support to neuroscience trainees at a critical juncture in their career decision-making pathway. Among underrepresented minority (URM) groups, compared to well-represented groups, research indicates that lower interest in faculty careers as a postdoctoral scholar is accompanied by lower feelings of intellectual and social belonging that starts in graduate school (Gibbs et al., 2015). Studies have suggested that mentoring on self-efficacy, identity as a scientist, and commitment to a science career may remediate these barriers (Chemers et al., 2011). Surveys of postdoctoral fellows have also shown that those trained in an environment with more structure, administrative oversight, and formal training are more likely to be satisfied with their postdoctoral experience, to rate their advisors highly, and be more productive (Davis, 2005; Scaffidi and Berman, 2011). Structured postdoctoral training programs have also been shown to help prepare these scholars for successful transition to academic positions (Derting et al., 2016; Rybarczyk et al., 2011).

The D-SPAN is a structured program that requires formalized and defined training plans and seeks to increase levels of participation of trainees from diverse backgrounds, including those from underrepresented groups, transitioning from predoctoral to postdoctoral positions. As cited above, the literature shows that intervening at this graduate time point could change the trainee's perception about the pursuit of an academic/research career. The D-SPAN program creates accountability and structured processes for ongoing assessment of the training environment. A key component of the program is enhanced mentorship; D-SPAN requires the involvement of a vetted mentor or mentor team in the graduate phase (F99) and after approval of the transition for the postdoctoral phase (K00). Note that at the time of application, identification of the postdoctoral mentor or mentor team is not required. D-SPAN also empowers trainees from diverse backgrounds, including those from underrepresented groups, to find postdoctoral environments that match their skills and scientific interests with minimal financial constraints by providing continuous support throughout the critical postgraduate career stage. The funding stability and professional development benchmarks will allow researchers who receive support through D-SPAN awards to structure a specific plan forward in their early career as a researcher. It is envisioned that F99 phase funding support paired with the K00 phase funding support will enhance the pool of well-trained researchers who can compete for and conduct independent neuroscience research.

Institutions are always encouraged to recruit potential student participants from diverse backgrounds, including those from underrepresented groups (for more information, see the Notice of NIH's Interest in Diversity), through means consistent with applicable law, such as:

A. Individuals from racial and ethnic groups that have been shown by the National Science Foundation to be underrepresented in health-related sciences on a national basis (see data at http://www.nsf.gov/statistics/showpub.cfm?TopID=2&SubID=27 and the report Women, Minorities, and Persons with Disabilities in Science and Engineering). The following racial and ethnic groups have been shown to be underrepresented in biomedical research: Blacks or African Americans, Hispanics or Latinos, American Indians or Alaska Natives, Native Hawaiians and other Pacific Islanders.  In addition, it is recognized that underrepresentation can vary from setting to setting; individuals from racial or ethnic groups that can be demonstrated convincingly to be underrepresented by the grantee institution should be encouraged to participate in NIH programs to enhance diversity. For more information on racial and ethnic categories and definitions, see the OMB Revisions to the Standards for Classification of Federal Data on Race and Ethnicity (https://www.govinfo.gov/content/pkg/FR-1997-10-30/html/97-28653.htm).

B. Individuals with disabilities, who are defined as those with a physical or mental impairment that substantially limits one or more major life activities, as described in the Americans with Disabilities Act of 1990, as amended.  See NSF data at, https://www.nsf.gov/statistics/2017/nsf17310/static/data/tab7-5.pdf.

C. Individuals from disadvantaged backgrounds, defined as those who meet two or more of the following criteria:

1. Were or currently are homeless, as defined by the McKinney-Vento Homeless Assistance Act (Definition: https://nche.ed.gov/mckinney-vento/);
2. Were or currently are in the foster care system, as defined by the Administration for Children and Families (Definition: https://www.acf.hhs.gov/cb/focus-areas/foster-care);
3. Were eligible for the Federal Free and Reduced Lunch Program for two or more years (Definition: https://www.fns.usda.gov/school-meals/income-eligibility-guidelines);
4. Have/had no parents or legal guardians who completed a bachelor’s degree (see https://nces.ed.gov/pubs2018/2018009.pdf);
5. Were or currently are eligible for Federal Pell grants (Definition: https://www2.ed.gov/programs/fpg/eligibility.html);
6. Received support from the Special Supplemental Nutrition Program for Women, Infants and Children (WIC) as a parent or child (Definition: https://www.fns.usda.gov/wic/wic-eligibility-requirements).
7. Grew up in one of the following areas: a) a U.S. rural area, as designated by the Health Resources and Services Administration (HRSA) Rural Health Grants Eligibility Analyzer (https://data.hrsa.gov/tools/rural-health), or b) a Centers for Medicare and Medicaid Services-designated Low-Income and Health Professional Shortage Areas  (qualifying zipcodes are included in the file). Only one of the two possibilities in #7 can be used as a criterion for the disadvantaged background definition.

Students from low socioeconomic (SES) status backgrounds have been shown to obtain bachelor’s and advanced degrees at significantly lower rates than students from middle and high SES groups (see https://nces.ed.gov/programs/coe/indicator_tva.asp), and are subsequently less likely to be represented in biomedical research. For background see Department of Education data at, https://nces.ed.gov/; https://nces.ed.gov/programs/coe/indicator_tva.asp; https://www2.ed.gov/rschstat/research/pubs/advancing-diversity-inclusion.pdf.

D. Literature shows that women from the above backgrounds (categories A, B, and C) face particular challenges at the graduate level and beyond in scientific fields. (See, e.g., From the NIH: A Systems Approach to Increasing the Diversity of Biomedical Research Workforce https://www.ncbi.nlm.nih.gov/pmc/articles/PMC5008902 /

Research Areas Supported

The proposed program needs to align with the neuroscience mission of the NIH Blueprint and/or BRAIN Initiative research areas. The NIH Blueprint and BRAIN Initiative will not support projects, regardless of the results of merit review, if they do not fulfill current programmatic priorities.

The National Institutes of Health (NIH) Blueprint for Neuroscience Research is a collaborative and coordinated effort across 12 institutes and centers that support research, research education, and research training with the goal of accelerating the pace of discovery in neuroscience research. By pooling resources and expertise, the NIH Blueprint for Neuroscience Research can take advantage of economies of scale, confront challenges too large for any specific institute or center, and develop research tools and infrastructure that will serve the entire neuroscience community. The NIH Blueprint seeks to provide educational opportunities and authentic neuroscience research experiences across career stages to a diverse pool of individuals, including those from underrepresented groups, at varied institutions and educational settings across the country. By doing this, the NIH Blueprint strives to ensure that the future generation of neuroscience researchers draws from the entire pool of talented individuals, bringing different aptitudes, perspectives, creativity, and experiences to address complex scientific problems.

The NIH BRAIN Initiative is aimed at revolutionizing our understanding of the human brain. By accelerating the development and application of innovative technologies, researchers will be able to produce a new dynamic picture of the brain that, for the first time, will show how individual cells and complex neural circuits interact in both time and space. It is expected that the application of these new tools and technologies will ultimately lead to new ways to treat and prevent brain disorders. A major goal of the BRAIN Initiative is to attract new investigators to neuroscience from quantitative disciplines such as computer science, mathematics, physics, statistics, materials science, and engineering.

Note that NIDCD participation is limited to BRAIN Initiative research areas only; NIDCD does not participate in the NIH Blueprint.

See Section VIII. Other Information for award authorities and regulations.

Section II. Award Information

Other Award Budget Information

ALLOWABLE COSTS: F99 PHASE 

Stipends are provided as a subsistence allowance to help defray living expenses during the research training experience. The stipend level for F99 predoctoral fellows is the same as for the F31 Ruth L. Kirschstein National Research Service Award (NRSA) fellows. See https://researchtraining.nih.gov/programs/fellowships 

ALLOWABLE COSTS: K00 PHASE 

The NIH Blueprint and BRAIN Initiative will contribute up to $60,000 in the first year toward the salary of the career award recipient. This will be increased to $63,300 for the second year, to $66,600 for the third year, and to $69,900 for a fourth year. 

Further guidance on budgeting for career development salaries is provided in the SF424 (R&R) Application Guide. 

The total salary requested must be based on a full-time staff appointment. The salary must be consistent both with the established salary structure at the institution and with salaries actually provided by the institution from its own funds to other staff members of equivalent qualifications, rank, and responsibilities in the department concerned. If full-time, 12-month salaries are not currently paid to comparable staff members, the salary proposed must be appropriately related to the existing salary structure. Confirmation of salary may be required prior to the issuance of an award. Fringe benefits, based on the sponsoring institution's rate and the percent of effort, are provided in addition to salary. The total salary, however, may not exceed the legislatively mandated salary cap if the source of the funds is federal. See: http://grants.nih.gov/grants/policy/salcap_summary.htm

ALLOWABLE COSTS: F99 PHASE

 The applicant should request an institutional allowance to help defray the cost of fellowship expenses such as health insurance, research supplies, equipment, books, and travel to scientific meetings. The annual institutional allowance level for the F99 phase is the same as that provided for the F31 Ruth L. Kirschstein National Research Service Award (NRSA) awards, plus an additional $1000 to defray the travel costs to attend a mandatory NIH Neuroscience Blueprint and BRAIN Initiative-sponsored conference. 

The most recent institutional allowance levels are described via a link on the Ruth L. Kirschstein National Research Service Award (NRSA) site. Requests for additional costs (such as to accommodate the disabilities of a fellow) must be explained in detail and justified in the application. Refer to the NIH Guide Notice on Ruth L. Kirschstein National Research Service Award stipends for more information. 

ALLOWABLE COSTS: K00 PHASE 

NIH Blueprint and BRAIN Initiative will contribute $3,000 per year toward the research development costs of the award recipient, which must be justified and consistent with the stage of development of the candidate and the proportion of time to be spent in research or career development activities, plus an additional $1,000 annually to defray the travel costs to attend a mandatory NIH Neuroscience Blueprint and BRAIN Initiative-sponsored conference. Salary for mentors, secretarial and administrative assistants, etc. is not allowed. 

As part of this award, funds may be requested to make changes or adjustments in the research setting that will make it possible for a qualified individual with a disability to perform the essential functions associated with their role on the project. The accommodations requested under this program must be directly related to the performance of the proposed role on the research project and must be appropriate to the disabilities of the individual. Some types of accommodations that might be provided under this award include: specialized equipment, assistive devices, and personnel such as readers, interpreters, or assistants. In all cases, the total funds for accommodations requested must be reasonable. These funds may be requested in addition to the $3,000 research development costs.

Stipend levels, as well as funding amounts for tuition and fees and the institutional allowance are announced annually in the NIH Guide for Grants and Contracts, and are also posted on the Ruth L. Kirschstein National Research Service Award (NRSA) webpage.

NIH grants policies as described in the NIH Grants Policy Statement will apply to the applications submitted and awards made from this NOFO.

Section III. Eligibility Information

1. Eligible Applicants

Higher Education Institutions

• Public/State Controlled Institutions of Higher Education
• Private Institutions of Higher Education

The following types of Higher Education Institutions are always encouraged to apply for NIH support as Public or Private Institutions of Higher Education:

• Hispanic-serving Institutions
• Historically Black Colleges and Universities (HBCUs)
• Tribally Controlled Colleges and Universities (TCCUs)
• Alaska Native and Native Hawaiian Serving Institutions
• Asian American Native American Pacific Islander Serving Institutions (AANAPISIs)

Nonprofits Other Than Institutions of Higher Education

• Nonprofits with 501(c)(3) IRS Status (Other than Institutions of Higher Education)
• Nonprofits without 501(c)(3) IRS Status (Other than Institutions of Higher Education)

For-Profit Organizations

• Small Businesses
• For-Profit Organizations (Other than Small Businesses)

Governments

• Eligible Agencies of the Federal Government

• None

F99 Eligibility: Domestic institution/organization types listed above that grant PhD or equivalent research degrees (e.g., Dr.P.H., Sc.D.) are eligible to submit an application. More than one F99 application per institution is allowed.

K00 Eligibility: Domestic institution/organization types listed above are eligible to submit K00 transition phase applications on behalf of individuals receiving support from F99 awards. There is no limit on the number of K00 applications an organization may submit. Note that if the individual receiving support under an F99 award accepts a postdoctoral position in the NIH intramural research program, the postdoctoral phase will be supported directly by NIH intramural funds and the K00 will not be awarded, since NIH intramural scientists are not eligible to receive support from NIH extramural grant awards. However, these researchers can still participate in the D-SPAN annual meeting, networking, and career development activities.

Foreign Organizations

Non-domestic (non-U.S.) Entities (Foreign Organizations) are not eligible to apply.

Non-domestic (non-U.S.) components of U.S. Organizations are not eligible to apply.

Foreign components, as defined in the NIH Grants Policy Statement, are allowed.

Applicant Organizations

Applicant organizations must complete and maintain the following registrations as described in the SF 424 (R&R) Application Guide to be eligible to apply for or receive an award. All registrations must be completed prior to the application being submitted. Registration can take 6 weeks or more, so applicants should begin the registration process as soon as possible. Failure to complete registrations in advance of a due date is not a valid reason for a late submission, please reference NIH Grants Policy Statement Section 2.3.9.2 Electronically Submitted Applications for additional information. 

• System for Award Management (SAM) – Applicants must complete and maintain an active registration, which requires renewal at least annually. The renewal process may require as much time as the initial registration. SAM registration includes the assignment of a Commercial and Government Entity (CAGE) Code for domestic organizations which have not already been assigned a CAGE Code.

• NATO Commercial and Government Entity (NCAGE) Code – Foreign organizations must obtain an NCAGE code (in lieu of a CAGE code) in order to register in SAM.

• Unique Entity Identifier (UEI) – A UEI is issued as part of the SAM.gov registration process. The same UEI must be used for all registrations, as well as on the grant application.

• eRA Commons - Once the unique organization identifier is established, organizations can register with eRA Commons in tandem with completing their Grants.gov registration; all registrations must be in place by time of submission. eRA Commons requires organizations to identify at least one Signing Official (SO) and at least one Program Director/Principal Investigator (PD/PI) account in order to submit an application.

• Grants.gov – Applicants must have an active SAM registration in order to complete the Grants.gov registration.

Program Directors/Principal Investigators (PD(s)/PI(s))

All PD(s)/PI(s) must have an eRA Commons account. PD(s)/PI(s) should work with their organizational officials to either create a new account or to affiliate their existing account with the applicant organization in eRA Commons. If the PD/PI is also the organizational Signing Official, they must have two distinct eRA Commons accounts, one for each role. Obtaining an eRA Commons account can take up to 2 weeks.

All PD(s)/PI(s) must be registered with ORCiD. The personal profile associated with the PD(s)/PI(s) eRA Commons account must be linked to a valid ORCID ID. For more information on linking an ORCID ID to an eRA Commons personal profile see the ORCID topic in our eRA Commons online help.

Any individual(s) with the skills, knowledge, and resources necessary to carry out the proposed research as the Program Director(s)/Principal Investigator(s) (PD(s)/PI(s)) is invited to work with their organization to develop an application for support. Individuals from diverse backgrounds, including underrepresented racial and ethnic groups, individuals with disabilities, and women are always encouraged to apply for NIH support. See, Reminder: Notice of NIH's Encouragement of Applications Supporting Individuals from Underrepresented Ethnic and Racial Groups as well as Individuals with Disabilities, NOT-OD-22-019. 

Multiple PDs/PIs are not allowed.

By the time of award, the individual must be a citizen or a non-citizen national of the United States or have been lawfully admitted for permanent residence (i.e., possess a currently valid Permanent Resident Card USCIS Form I-551, or other legal verification of such status).  

This NOFO is available to support predoctoral students who have a baccalaureate degree and are currently enrolled as a graduate student in a PhD or equivalent research doctoral degree program (e.g., EngD, DNSc, DrPH, DSW, PharmD, ScD) in the biomedical, behavioral, or clinical sciences at a domestic institution. The candidate must be conducting neuroscience research in a topic area relevant to NIH Blueprint mission-relevant areas and/or BRAIN Initiative research areas. Note that NIDCD participation is limited to BRAIN Initiative research areas only; NIDCD does not participate in the NIH Blueprint.

At the time of award, the candidate must be at the dissertation research stage of training and is expected to require 1-2 years to complete their PhD dissertation research training (F99 phase) before transitioning to mentored postdoctoral research training (K00 phase). At the time of application, the candidate will typically be in the third or fourth year of their graduate program. The candidate must show commitment to a career as an independent neuroscience research scientist.

The D-SPAN F99/K00 award may not be used to support studies leading to the MD, DDS, or other clinical, health-professional degree (e.g., DC, DMD, DNP, DO, DPM, DVM, ND, OD, AuD, clinical PhD). Students matriculated in a dual-degree program (e.g. MD/PhD, DO/PhD, DDS/PhD, or DVM/PhD) are not eligible for the F99/K00 program.

If a candidate begins a postdoctoral position or completes all PhD dissertation requirements before an F99 award is made, neither the F99 award nor the K00 award will be issued. 

2. Cost Sharing

This NOFO does not require cost sharing as defined in the NIH Grants Policy Statement Section 1.2 Definition of Terms.

3. Additional Information on Eligibility

Number of Applications

NIH will not accept duplicate or highly overlapping applications under review at the same time per NIH Grants Policy Statement Section 2.3.7.4 Submission of Resubmission Application. This means that the NIH will not accept:

• A new (A0) application that is submitted before issuance of the summary statement from the review of an overlapping new (A0) or resubmission (A1) application.
• A resubmission (A1) application that is submitted before issuance of the summary statement from the review of the previous new (A0) application.
• An application that has substantial overlap with another application pending appeal of initial peer review (see NIH Grants Policy Statement 2.3.9.4 Similar, Essentially Identical, or Identical Applications).

No more than one fellowship application in support of any one candidate may be submitted at a time: An individual may not be a candidate in two or more competing NIH individual fellowship applications pending review concurrently. A candidate for an NIH D-SPAN F99/K00 Award may not simultaneously be a candidate in an application pending review for any other PHS fellowship award (e.g. F31 or any other PHS award that duplicates any of the provisions of the F99/K00 award). Individuals receiving support under current F31 awards are allowed to work with their institutions to apply for the D-SPAN award.

Individuals may not exceed the aggregate limit of support shown above in the Award Project Period (see Section II. Award Information).

Individuals receiving support under an F99 are required to pursue their research training on a full-time basis, normally defined as 40 hours per week or as specified by the sponsoring institution in accordance with its own policies. 

Individuals receiving support under a K00 are required to have a full-time appointment at the applicant institution, and to commit a minimum of 9 person months (or 75% of their full-time professional effort at the applicant institution) to their career development and research training. K00 awardees may engage in other duties (e.g., other research, training, clinical and teaching activities) as part of the remaining 25% effort not covered by the award, as long as such duties do not interfere with or detract from the proposed career development program.

Before the application is submitted, the candidate must identify an F99 sponsor(s) who will supervise the proposed mentored training experience. Candidates are encouraged to identify more than one sponsor, i.e., a sponsor team, if this is deemed advantageous for their training program. When there is a sponsor team, one individual must be identified as the primary sponsor, and will be expected to coordinate the candidate’s overall training.

 The primary sponsor should be an active investigator in the area of the proposed research training and be committed both to the candidate’s research training and to direct supervision of their research. The primary sponsor must document the availability of sufficient research funds and facilities for high-quality research training. The primary sponsor, or a member of the sponsor team, should have a successful track record of mentorship. The candidate must work with the primary sponsor(s) in preparing the application. 

Applicants are not required to identify a sponsor for the K00 phase at time of the initial F99/K00 application.
 

Section IV. Application and Submission Information

1. Requesting an Application Package

The application forms package specific to this opportunity must be accessed through ASSIST, Grants.gov Workspace or an institutional system-to-system solution. Links to apply using ASSIST or Grants.gov Workspace are available in Part 1 of this NOFO. See your administrative office for instructions if you plan to use an institutional system-to-system solution.

2. Content and Form of Application Submission

It is critical that applicants follow the Fellowship (F) instructions in the How to Apply - Application Guide, except where instructed in this notice of funding opportunity to do otherwise. Conformance to the requirements in the Application Guide is required and strictly enforced. Applications that are out of compliance with these instructions may be delayed or not accepted for review.

Letter of Intent

Although a letter of intent is not required, is not binding, and does not enter into the review of a subsequent application, the information that it contains allows IC staff to estimate the potential review workload and plan the review.
By the date listed in Part 1. Overview Information, prospective applicant organizations are asked to submit a letter of intent that includes the following information:

• Descriptive title of proposed activity
• Name(s), address(es), and telephone number(s) of the PD(s)/PI(s)
• Names of primary sponsor and other key personnel
• Participating institution(s)
• Number and title of this funding opportunity

The letter of intent should be sent to:
Michelle Jones-London, PhD
National Institute of Neurological Disorders and Stroke (NINDS)
Telephone: 301-451-7966
Email: DSPANF99K00@nih.gov

All page limitations described in the How to Apply - Application Guide and the Table of Page Limits must be followed.

The following section supplements the instructions found in the How to Apply - Application Guide and should be used for preparing an application to this NOFO.

All instructions in the SF424 (R&R) Application Guide must be followed.

All instructions in the SF424 (R&R) Application Guide must be followed.

Other Project Information

All instructions in the SF424 (R&R) Application Guide must be followed, with the following additional instructions:

All instructions in the SF424 (R&R) Application Guide must be followed, with the following additional instructions:

IMPORTANT REMINDER: The personal profile associated with the eRA Commons username entered in the Credential field for the PD/PI (fellowship applicant) must include an ORCID ID. For more information on linking an ORCID ID to an eRA Commons personal profile see the ORCID topic in our eRA Commons online help

Biographical Sketch

Candidate

• The start date (month and year) of all the candidate's education/training experiences must be included.
• In the "Personal Statement" section, candidates should follow the instructions for "applicants for dissertation research awards" and include a description of their career goals, their intended career trajectory, and their interest in the specific areas of research supported by the NIH Neuroscience Blueprint or BRAIN Initiative. When relevant, candidates are encouraged to account for factors that affected past productivity.
• Under the section "Scholastic Performance," candidates should list undergraduate courses, but should not include undergraduate grades. Graduate courses and grades must be included.

Sponsor and Co-Sponsor(s)

• In the "Personal Statement" section, the sponsor and any co-sponsors should include a statement describing their past and current mentoring and training philosophy, including commitment to diversity and inclusion in their training environments.

The PHS Fellowship Supplemental Form is comprised of the following sections:

• Fellowship Applicant
• Research Training Plan
• Sponsor(s), Collaborator(s), and Consultant(s);
• Institutional Environment & Commitment to Training
• Other Research Training Plan Sections
• Additional Information
• Budget
• Appendix

All instructions in the SF424 (R&R) Application Guide must be followed, with the following additional instructions:

Fellowship Applicant Section

Candidate's Background and Goals for Fellowship Training

This section should address both phases of the F99/K00.

A. Doctoral Dissertation and Research Experience

• Follow instructions for “advanced graduate students”

B. Training Goals and Objectives

• Describe short- and long-term career goals that are integrated into a systematic plan that (1) shows a logical progression from prior research and training experiences to the research and career development experiences that will occur during the F99 and K00 periods and then to becoming a productive and independent neuroscience researcher; and (2) justifies the need for further career development to be a successful postdoc and subsequently become an independent investigator.
• For each phase, identify the skills, theories, conceptual approaches, etc., to be learned or enhanced during the award, including, as applicable, expertise in rigorous research design, experimental methods, quantitative approaches, and data analysis and interpretation. Explain how the plan will complement existing strengths and fill gaps in existing skills. If the K00 research direction is markedly different from the F99 research area, describe efforts and/or plans during the F99 phase training that provide preparation for the K00 research.
• For each phase, discuss how the proposed research training plan will facilitate transition to the next career stage.

C. Activities Planned Under this Award

The activities planned under this award should be individually tailored and well-integrated with your research project. This should not just be a list of activities; provide justification for planned activities based on your goals and existing strengths and weaknesses. The plan and timeline should span the entire award period, e.g. both the F99 and K00 phases.

• Describe, by year, the activities (research, coursework, professional development, etc.) you will be involved in during the proposed award. Estimate the percentage of time to be devoted to each activity. The percentage should total 100 for each year.
• Describe the research skills and techniques that you intend to learn during the award period.
• Provide a timeline detailing the proposed research training, professional development, and other activities for the duration of the award. Detailed timelines of research activities involving animals, human subjects, or clinical trials are requested in other sections of the fellowship application and should not be included here. The timeline you provide here should be distinct from the Study Timeline in the PHS Human Subjects and Clinical Trials Information form.

Research Training Plan

All instructions in the SF424 (R&R) Application Guide must be followed, with the following additional instructions:

Specific Aims: All   Candidates must use these two Specific Aims:

Specific Aim 1: The Dissertation Research Project.

Provide a detailed description of the overall dissertation research project, what has been accomplished to date (preliminary data may be included), and the research to be completed in the F99 phase.

Specific Aim 2: The Postdoctoral Research Direction.

Identify the research direction to be pursued for the K00 phase.

Research Strategy

 Candidates should individually address the Significance and Approach for each Specific Aim and address the Scored Review Criteria indicated in Section V.1.

Specific Aim 1:

Significance

Provide a thoughtful overview of the dissertation research, including the scientific question being addressed and its potential impact on the dissertation research field. The Research Strategy should offer a clearly stated rationale and hypothesis, go beyond just experimental details, and provide perspective about the work's expected outcomes and significance. Describe the strengths and weaknesses in the rigor of the prior research (both published and unpublished) that serves as the key support for the proposed project.

Approach

The Approach for this Aim should be organized into two sections:

1. A progress report on the dissertation research project thus far, including the approaches used, research outcomes obtained, and important methodologies learned and how they contribute to the long-term career goal;

2. A detailed research proposal for the work to be completed in the F99 phase, including experimental design, anticipated results, potential problems, alternative strategies, and potential follow-up studies. Highlight new technical and professional skills to be learned and their contribution to the long-term career goal. Applicants must outline research and career development milestones for the transition from the F99 phase of the award to the K00 award phase. If the candidate is to gain experience in a clinical trial as part of their research training, describe the relationship of the proposed research project to the clinical trial.

Specific Aim 2:

Significance

Describe a specific scientific question or observation that will be investigated. Explain the significance of and rationale for the K00 research direction. The postdoctoral research plan does not have to be a continuation or within scope of the predoctoral research, but should describe a logical trajectory from the predoctoral research to an independent neuroscience career. The K00 phase must have relevance to participating NIH Blueprint or BRAIN Initiative research areas. Explain how this question or observation is related to the candidate’s research interests and how this work will help advance this research direction.

Approach

Provide a general description of how the research will be conducted, including approaches and methodologies to be used, anticipated results, challenges that might arise and how to address them. Career and professional development skills to be acquired should also be detailed. Potential mentor(s) do not need to be named, but a plan for identifying and vetting a mentor or mentoring team should be included here, including specific characteristics, qualities, research expertise, mentoring philosophy, etc. of the K00 mentor and features of the postdoctoral scientific environment (resources, scientific specialization, size, etc.) that would benefit the proposed research and research training.

Sponsor(s), Collaborator(s), and Consultant(s)

All instructions in the SF424 (R&R) Application Guide must be followed, with the following additional instructions:

Training Plan, Environment, Research Facilities

• The research training plan for the F99 phase should be individualized for the candidate. This should not just be a list of activities; it should describe the candidate’s strengths and gaps in needed skills, and outline how the training plan will capitalize on the candidate’s strengths and fill any gaps to help them achieve their stated career goals.
• The F99 training plan should be coordinated with the Research Strategy and the goals and activities identified in the Fellowship Applicant section.
• The plan should describe how the sponsor will facilitate the candidate’s transition to the next stage of their career, including the search for the K00 mentor, and how the candidate’s research and career development progress will be monitored and evaluated throughout the F99 phase, with specific milestones listed.
• The plan should include the standards and expectations for productivity in the sponsor(s) lab. When relevant, sponsors are encouraged to address how they will provide support to address factors that affected past productivity of the fellow.
• The research environment and the availability and quality of needed research facilities and research resources (e.g., equipment, laboratory space, computing resources, subject populations) should be described for the F99 phase.
• The sponsor should also describe the roles and responsibilities that both they and the fellow are undertaking, including contributions to the research plan, the portion of the research ideas and plan that originated with the candidate, and the relationship between the proposed research plan and funded or unfunded research projects previously devised by the sponsor. The research must be sufficiently distinct from the sponsor’s funded research. 
• If the candidate is to gain experience in a clinical trial as part of their research training, the sponsor or co-sponsor must include a statement to document leadership of the clinical trial including source of funding, NCT# and appropriate expertise to guide the candidate in any proposed clinical trials research experience. The individual receiving support for the clinical trial (i.e., the sponsor/primary mentor or a co-sponsor) is the responsible individual of record for oversight of the trial though fellows can take part in all components of a clinical trial. Oversight includes (but is not limited to): interacting with relevant Institutional Review Board (IRB) staff; reviewing all informed consent documents; reporting potential serious adverse events; and maintaining responsibility for patient safety. However, the fellow can gain experience in all these components in conjunction with the sponsor or individual leading the trial.

Letters of Support from Collaborators, Contributors, and Consultants

Advisory committee members (if applicable): An advisory committee is optional. This committee may be the same as the Dissertation Committee, but that is not required. If included, signed statements must be provided by each member of the proposed advisory committee. These statements should confirm their participation, describe their specific roles, and document the expertise they will contribute. Unless also listed as senior/key personnel, these individuals do not need to provide their biographical sketches.

Institutional Environment and Commitment to Training Section

Description of Institutional Environment and Commitment to Training

In addition to the content described in the SF424 (R&R) Application Guide, institutions must include the Educational Information below.

Educational Information

• Describe the institution's graduate program in which the candidate is enrolled. This description should include the structure of the program, the required milestones and their usual timing, the number of courses, any teaching commitments or qualifying exams, and the average time to degree over the past 10 years.
• Describe the progress/status of the candidate in relation to the program's timeline, and the frequency and method by which the program formally monitors and evaluates a student's progress.
• Confirm that the candidate is in a PhD program in a neuroscience-relevant field (include month and year of entry into the PhD program) and has reached the dissertation phase (include month and year of transition to dissertation phase).
• Confirm that the candidate has 1-2 years from time of award before completion of their PhD (include month and year of anticipated graduation).
• Provide the name of the primary sponsor or mentor and an affirmation of the institution's commitment to the candidate's training and research career goals.
• Include the name of the individual providing this information at the end of the description. This information is typically provided by the director of the graduate program or the department chair.

Description of Candidate’s Contribution to Program Goals: The sponsoring institution must provide a document on institutional letterhead that explains, in a manner consistent with applicable law, how the candidate’s participation will further the goals of the NIH Blueprint and BRAIN Initiative Diversity Specialized Predoctoral to Postdoctoral Advancement in Neuroscience (D-SPAN) program.

The "Description of Candidate’s Contribution to Program Goals” attachment must be dated and signed by an institutional official. In most cases, this will be the dean or the chairman of the department. The signature must appear over the signer's name and title at the end of the statement.

See instructions in the SF424 (R&R) Application Guide.

Appendix

Limited items are allowed in the Appendix.  Follow all instructions for the Appendix as described in the SF424 (R&R) Application Guide; any instructions provided here are in addition to the SF424 (R&R) Application Guide instructions.

When involving human subjects research, clinical research, and/or NIH-defined clinical trials (and when applicable, clinical trials research experience) follow all instructions for the PHS Human Subjects and Clinical Trials Information form in the SF424 (R&R) Application Guide, with the following additional instructions:

If you answered “Yes” to the question “Are Human Subjects Involved?” on the R&R Other Project Information form, you must include at least one human subjects study record using the Study Record: PHS Human Subjects and Clinical Trials Information form or Delayed Onset Study record. 

Study Record: PHS Human Subjects and Clinical Trials Information

All instructions in the SF424 (R&R) Application Guide must be followed.

• Do not provide an NCT# in Section 1, item 1.5. See instruction for Sponsor(s), Collaborator(s), and Consultant(s) above.
• Do not complete Section 4 - Protocol Synopsis information or Section 5 - Other Clinical Trial-related Attachments.

Delayed Onset Study

Note: Delayed onset does NOT apply to a study that can be described, but will not start immediately (i.e., delayed start). 

All instructions in the SF424 (R&R) Application Guide must be followed.

Applicants must carefully follow the SF424 (R&R) Application Guide, including the time period for when reference letters will be accepted. Applications lacking the appropriate required reference letters will not be reviewed. This is a separate process from submitting an application electronically. Reference letters are submitted directly through the eRA Commons Submit Reference Letter link and not through Grants.gov.

3. Unique Entity Identifier and System for Award Management (SAM)

See Part 2. Section III.1 for information regarding the requirement for obtaining a unique entity identifier and for completing and maintaining active registrations in System for Award Management (SAM), NATO Commercial and Government Entity (NCAGE) Code (if applicable), eRA Commons, and Grants.gov

4. Submission Dates and Times

Part I. contains information about Key Dates and times. Applicants are encouraged to submit applications before the due date to ensure they have time to make any application corrections that might be necessary for successful submission. When a submission date falls on a weekend or Federal holiday, the application deadline is automatically extended to the next business day.

Organizations must submit applications to Grants.gov (the online portal to find and apply for grants across all Federal agencies). Applicants must then complete the submission process by tracking the status of the application in the eRA Commons, NIH’s electronic system for grants administration. NIH and Grants.gov systems check the application against many of the application instructions upon submission. Errors must be corrected and a changed/corrected application must be submitted to Grants.gov on or before the application due date and time.  If a Changed/Corrected application is submitted after the deadline, the application will be considered late. Applications that miss the due date and time are subjected to the NIH Grants Policy Statement Section 2.3.9.2 Electronically Submitted Applications.

Applicants are responsible for viewing their application before the due date in the eRA Commons to ensure accurate and successful submission.

Information on the submission process and a definition of on-time submission are provided in the How to Apply - Application Guide.

5. Intergovernmental Review (E.O. 12372)

This initiative is not subject to intergovernmental review.

6. Funding Restrictions

All NIH awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement. The National Research Service Award (NRSA) policies apply to this program.  An NIH fellowship may not be held concurrently with another federally sponsored fellowship or similar Federal award that provides a stipend or otherwise duplicates provisions of this award.

Pre-award costs are generally not allowable for Fellowships.

7. Other Submission Requirements and Information

Applications must be submitted electronically following the instructions described in the SF424 (R&R) Application Guide. Paper applications will not be accepted.

Applicants must complete all required registrations before the application due date. Section III. Eligibility Information contains information about registration.

For assistance with your electronic application or for more information on the electronic submission process, visit How to Apply – Application Guide. If you encounter a system issue beyond your control that threatens your ability to complete the submission process on-time, you must follow the Dealing with System Issues guidance. For assistance with application submission, contact the Application Submission Contacts in Section VII.

Important reminders:

All PD(s)/PI(s) and sponsor(s) must include their eRA Commons ID in the Credential field of the Senior/Key Person Profile form. Failure to register in the Commons and to include a valid PD/PI Commons ID in the credential field will prevent the successful submission of an electronic application to NIH.

The applicant organization must ensure that the unique entity identifier provided on the application is the same identifier used in the organization’s profile in the eRA Commons and for the System for Award Management. Additional information may be found in the SF424 (R&R) Application Guide.

See more tips for avoiding common errors.

Upon receipt, applications will be evaluated for completeness and compliance with application instructions by the Center for Scientific Review, NIH. Applications that are incomplete or non-compliant will not be reviewed. 

Applicants are required to follow the instructions for post-submission materials, as described in the policy.

Section V. Application Review Information

1. Criteria

Only the review criteria described below will be considered in the review process. Applications submitted to the NIH in support of the NIH mission are evaluated for scientific and technical merit through the NIH peer review system.

For this particular announcement, note the following:

• A fellowship application has a research project that is integrated with the training plan. The review will emphasize the candidate's potential for a productive career, the candidate's need for the proposed training, and the degree to which the research project and training plan, the sponsor(s), and the environment will satisfy those needs. The review will also evaluate the research and career development goals for the K00 phase, emphasizing the need for the career development and the potential to lead to a productive, independent neuroscience research career.

Reviewers will provide an overall impact score to reflect their assessment of the likelihood that the fellowship will enhance the candidate’s potential for, and commitment to, a productive independent scientific research career in a health-related field, in consideration of the scored and additional review criteria.

Reviewers will consider each of the review criteria below in the determination of scientific merit, and give a separate score for each. An application does not need to be strong in all categories to be judged likely to have major scientific impact.

As applicable for the project proposed, reviewers will consider each of the following items, but will not give scores for these items, and should not consider them in providing an overall impact score.

2. Review and Selection Process

Applications will be evaluated for scientific and technical merit by (an) appropriate Scientific Review Group(s) convened by NINDS, in accordance with NIH peer review policy and procedures, using the stated review criteria. Assignment to a Scientific Review Group will be shown in the eRA Commons.

As part of the scientific peer review, all applications will receive a written critique.

Applications may undergo a selection process in which only those applications deemed to have the highest scientific and technical merit (generally the top half of applications under review) will be discussed and assigned an overall impact score.

Appeals of initial peer review will not be accepted for applications submitted in response to this NOFO.

Applications will be assigned to the appropriate NIH Institute or Center. Applications will compete for available funds with all other recommended applications submitted in response to this NOFO. Following initial peer review, recommended applications will receive a second level of review by the National Advisory Neurological Disorders and Stroke Council. The following will be considered in making funding decisions:

• Scientific and technical merit of the proposed project as determined by scientific peer review.
• Availability of funds.
• Relevance of the proposed project to program priorities.

3. Anticipated Announcement and Award Dates

After the peer review of the application is completed, the PD/PI will be able to access their Summary Statement (written critique) via the eRA Commons. Refer to Part 1 for dates for peer review, advisory council review, and earliest start date.

Information regarding the disposition of applications is available in the NIH Grants Policy Statement Section 2.4.4 Disposition of Applications.

Section VI. Award Administration Information

1. Award Notices

If the application is under consideration for funding, NIH will request "just-in-time" information from the applicant as described in the NIH Grants Policy Statement.

A formal notification in the form of a Notice of Award (NoA) will be provided to the applicant organization for successful applications. The NoA signed by the grants management officer is the authorizing document and will be sent via email to the recipient's business official.

Recipients must comply with any funding restrictions described in Section IV.6. Funding Restrictions. Selection of an application for award is not an authorization to begin performance. Any costs incurred before receipt of the NoA are at the recipient's risk. These costs may be reimbursed only to the extent considered allowable pre-award costs.      

Any application awarded in response to this NOFO will be subject to terms and conditions found on the Award Conditions and Information for NIH Grants website. This includes any recent legislation and policy applicable to awards that is highlighted on this website.

Institutional Review Board or Independent Ethics Committee Approval: Grantee institutions must ensure that protocols are reviewed by their IRB or IEC. To help ensure the safety of participants enrolled in NIH-funded studies, the awardee must provide NIH copies of documents related to all major changes in the status of ongoing protocols.

2. Administrative and National Policy Requirements

All NIH grant and cooperative agreement awards include the NIH Grants Policy Statement as part of the NoA. For these terms of award, see the NIH Grants Policy Statement Part II: Terms and Conditions of NIH Grant Awards, Subpart A: General and Part II: Terms and Conditions of NIH Grant Awards, Subpart B: Terms and Conditions for Specific Types of Grants, Recipients, and Activities, including of note, but not limited to:

• Federal-wide Standard Terms and Conditions for Research Grants
• Prohibition on Certain Telecommunications and Video Surveillance Services or Equipment
• Acknowledgment of Federal Funding

If a recipient is successful and receives a Notice of Award, in accepting the award, the recipient agrees that any activities under the award are subject to all provisions currently in effect or implemented during the period of the award, other Department regulations and policies in effect at the time of the award, and applicable statutory provisions.

If a recipient receives an award, the recipient must follow all applicable nondiscrimination laws. The recipient agrees to this when registering in SAM.gov. The recipient must also submit an Assurance of Compliance (HHS-690). To learn more, see the HHS Office for Civil Rights website. 

HHS recognizes that NIH research projects are often limited in scope for many reasons that are nondiscriminatory, such as the principal investigator’s scientific interest, funding limitations, recruitment requirements, and other considerations. Thus, criteria in research protocols that target or exclude certain populations are warranted where nondiscriminatory justifications establish that such criteria are appropriate with respect to the health or safety of the subjects, the scientific study design, or the purpose of the research. For additional guidance regarding how the provisions apply to NIH grant programs, please contact the Scientific/Research Contact that is identified in Section VII under Agency Contacts of this NOFO.

Transition to the Postdoctoral Career Development K00 Phase

Transition from the predoctoral (F99) phase to the postdoctoral (K00) phase is not automatic. To activate the K00 phase of the grant, individuals must have successfully completed the Ph.D. degree and been offered and accepted a full-time postdoctoral position to carry out neuroscience-focused research. Individuals must also submit a K00 Transition Application (see below) for approval.

Candidates are encouraged to apply for postdoctoral positions at departments and institutions different from where they conducted their doctoral research. It is important for all candidates , but especially so for candidates  who intend to stay at the predoctoral phase institution for the postdoctoral phase, to provide a plan by which they will separate scientifically from their Ph.D. sponsor.

Upon starting the K00 phase of the award, the F99 phase of the award is terminated. The transition from the predoctoral phase to the postdoctoral phase is intended to be continuous in time and, except in unusual circumstances, the NIH Blueprint will not extend the F99 phase.

Institution

An eligible K00 institution must have appropriate infrastructure to support the proposed research program and a history of external research funding. Foreign institutions are not eligible. Candidates may apply for neuroscience-focused postdoctoral positions within the NIH intramural research program (IRP). However, should the individual accept such a position in the IRP, the postdoctoral phase of the award will not be activated. This is because NIH intramural scientists are supported directly by NIH intramural funds and are not eligible for NIH extramural grant awards. F99 fellows who accept a postdoctoral position in the IRP will be required to submit a final progress report and a final evaluation statement by the primary F99 mentor instead of a K00 application.

Submission
Prospective applicants are strongly encouraged to contact their Program Official as soon as a plan to assume a postdoctoral position develops, and not later than 3 months prior to the anticipated submission date of the K00 materials. At that time, individuals should discuss plans for transition to, and application for, the K00 phase with their NIH program official.

The K00 postdoctoral phase institution must submit the materials on behalf of the candidate for the K00 award, no later than 4 months prior to the proposed start date of the K00 award. The institution's Authorized Organizational Representative must email the application in a single, flattened PDF format to NINDS_Submissions@ninds.nih.gov and cc: DSPANF99K00@nih.gov. The K00 application will be evaluated by NIH Blueprint and BRAIN Initiative program staff for completeness and responsiveness to the program.

Review
Candidates who are approved to transition will receive a Notice of Award reflecting the new K00 activity code, the dollar amount, and the new grantee organization (if applicable). Candidates who are not approved to transition will receive written notification from the NIH awarding component communicating the rationale for the disapproval. This notification typically will be sent within 60 days of receipt of the K00 application.

Although the financial plans of NINDS provide support for this program, awards pursuant to this funding opportunity are contingent upon the availability of funds.

Instructions for the K00 Transition Award

F99 awardees wishing to submit a K00 transition application must follow the Career Development (K) Instructions in the SF424 (R&R) Application Guide, except where instructed in this funding opportunity announcement to do otherwise, as described below:

The K00 Transition Application must include the following components:

Required forms are indicated in italics and available in the Grants.gov “R&R Family” Forms Repository: https://www.grants.gov/forms/forms-repository/r-r-family.

• A new SF424 (R & R) cover page signed by the K00 phase institutional representative
• Updated PHS 398 Cover Page Supplement
• Updated Project/Performance Site Location(s) form
• A Final Progress Report for the F99 phase
• A final evaluation statement by the F99 primary sponsor
• Updated Research and Related Other Project Information, including K00 Project Summary and Abstract, Project Narrative, Bibliography & References Cited, Facilities & Other Resources, and Equipment sections
• Updated Research and Related Senior/Key Person Profile (Expanded), including Biographical sketches
  • Mentor’s personal statement should include a description of their past and current mentoring and training philosophy, including commitment to diversity and inclusion in their training environments;
• Updated Research & Related Budget forms
  • 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, Section II of this funding opportunity announcement. Other costs are not allowed;
• Updated sections of the PHS 398 Career Development Award Supplemental Form, which should include:
  • A new Candidate Section
    • In addition to the K application instructions, describe the candidate’s current and long-term research and career objectives.
    • Present a scientific history that shows a logical progression from the candidate’s prior research and training experiences (including the F99 phase) to the training and research experiences proposed for the K00 phase of the award, which will ultimately lead to an independent research career.
    • Describe how the candidate plans to separate scientifically from their F99 and K00 sponsors.
    • Describe the collaborative process between the candidate and mentor/co-mentor in the development, review, and editing of the research strategy.
    • Timeline with milestones for the research and career development experiences proposed.
    • Describe how the research training in the K00 phase of the award, combined with all previous research training and experiences, will provide the tools, skills and knowledge necessary to subsequently pursue an independent research career.
  • 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.
    • NIH application instructions related to rigor and transparency must be followed, (https://grants.nih.gov/policy/reproducibility/guidance.htm) along with additional guidance from NINDS (https://www.ninds.nih.gov/Funding/grant_policy);
    • Updated Responsible Conduct of Research;
  • A new Mentor, Co-Mentor, Consultant, Collaborators Section
    • Includes a detailed, specific, and tailored plan for fostering the candidate’s research career independence and transitioning the candidate to the next stage of their career by the end of the project award period.
      • The mentor(s) must describe previous experience as a mentor, including the career levels of mentees (e.g., graduate students, career development awardees, postdoctoral students), number of individuals mentored, and their career outcomes.
      • Clearly describe the role of each mentor, co-mentor, consultant, and collaborator (as applicable) in the K00 and commitment to the candidate.
      • Describe how the proposed research further expands upon and/or is distinct from ongoing projects in the mentor’s lab. Include a plan for transitioning the candidate to independence and a description of how the mentor will help the candidate achieve scientific independence from his/her mentor, including a statement identifying the components of the proposed research that the candidate can take when he/she transitions to research independence.
      • Expand on efforts by the mentor/co-mentor to enhance diversity and promote inclusion through an environment that promotes the success of individuals with a wide variety of backgrounds and perspectives.
      • It is acceptable to take a position with a mentor that has limited training experience, but in this case the candidate should integrate a co-mentor with a strong, successful track record as a mentor into their research training;
    • If the candidate is proposing to gain experience in a clinical trial as part of their research training, the mentor or co-mentor must include a statement to document leadership of the clinical trial including source of funding, NCT# and appropriate expertise to guide the candidate in any proposed clinical trials research experience. 
  • New Letters of Support from Collaborators, Contributors and Consultants
    • An advisory committee is recommended, but not required. If applicable: signed statements must be provided by each member of the proposed advisory committee. These statements should confirm their participation, describe their specific roles, and document the expertise they will contribute.
  • An updated Environment and Institutional Commitment to the Candidate Section:
    • Provide a statement of commitment to the candidate and their career goal of developing into a productive, independent neuroscience-focused research investigator, i.e., conducting the proposed mentored neuroscience research and career development activities 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 their 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 candidate’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.
    • Describe efforts by the institution to enhance diversity and promote inclusion through an environment that promotes the success of individuals with a wide variety of backgrounds and perspectives (i.e. institutional and departmental environments in which trainees from all backgrounds feel integrated into and supported by the biomedical community).
  • Updated Other Research Plan Sections (as appropriate), including:
    • Vertebrate Animals;
    • Select Agent Research;
    • Resource Sharing Plans;
    • Authentication of Key Biological and/or Chemical Resources; and
    • Data Management and Sharing Plan.
• Updated PHS Human Subjects and Clinical Trials Information, including Protections for Human Subjects and Inclusion of Women, Minorities and Individuals Across the Lifespan (as appropriate).

Termination of the F99 award phase

If the transition from the F99 phase to the K00 phase at an extramural institution occurs prior to the scheduled end date of the F99 award phase, then a revised Notice of Award will be issued to terminate the F99 phase award. Institutional Allowances: Carry-over of unspent funds from a partially completed year in the F99 phase into the K00 phase is not permitted.

Leave Policies

Individuals supported by D-SPAN awards follow the policies as outlined in the NIH Guide Policy Statement for Ruth L. Kirschstein National Research Service Awards (NRSA) Trainees and Fellows.

As specified in the NIH Revitalization Act of 1993, Kirschstein-NRSA recipients incur a service payback obligation for the first 12 months of postdoctoral support. Policies regarding the Kirschstein-NRSA payback obligation are explained in the NIH Grants Policy Statement; applicants may also wish to review Frequently Asked Questions for more details. The taxability of stipends is described in the NIH Grants Policy Statement.

F99 Phase: Fellowships funded primarily for educational purposes are exempted from the PHS invention requirements and thus invention reporting is not required. More details, including exceptions for fellows training at NIH are provided in the NIH Grants Policy Statement.

 K00 Phase: Recipients must complete the "Inventions and Patents" section when submitting the K00 Research Performance Progress Report (RPPR).

3. Data Management and Sharing

Consistent with the 2023 NIH Policy for Data Management and Sharing, when data management and sharing is applicable to the award, recipients will be required to adhere to the Data Management and Sharing requirements as outlined in the NIH Grants Policy Statement. Upon the approval of a Data Management and Sharing Plan, it is required for recipients to implement the plan as described.

Not applicable for fellowship awards. The K00 Transition Application must include a Data Management and Sharing Plan. 

4. Reporting

When multiple years are involved, recipients will be required to submit the Research Performance Progress Report (RPPR) annually and financial statements as required in the NIH Grants Policy Statement. The report is due two months before the beginning date of the next budget period and must include information describing the current year's progress as well as the research and training plans for the coming year.

NIH NOFOs outline intended research goals and objectives. Post award, NIH will review and measure performance based on the details and outcomes that are shared within the RPPR, as described at 2 CFR 200.301.

The Federal Funding Accountability and Transparency Act of 2006 as amended (FFATA), includes a requirement for recipients of Federal grants to report information about first-tier subawards and executive compensation under Federal assistance awards issued in FY2011 or later. All recipients of applicable NIH grants and cooperative agreements are required to report to the Federal Subaward Reporting System (FSRS) available at www.fsrs.gov on all subawards over the threshold. See the NIH Grants Policy Statement for additional information on this reporting requirement. 

Other Fellowship Reporting Requirements:

Individuals admitted to the United States as Permanent Residents must submit notarized evidence of legal admission prior to the award.

5. Evaluation

In carrying out its stewardship of human resource-related programs, NIH may request information essential to an assessment of the effectiveness of this program from databases and from participants themselves.  Participants may be contacted after the completion of this award for periodic updates on various aspects of their employment history, publications, support from research grants or contracts, honors and awards, professional activities, and other information helpful in evaluating the impact of the program.

Within ten years of making awards under this program, NIH will assess the program’s overall outcomes, gauge its effectiveness in enhancing diversity, and consider whether there is a continuing need for the program. Upon the completion of this evaluation, NIH will determine whether to (a) continue the program as currently configured, (b) continue the program with modifications, or (c) discontinue the program.

The overall evaluation of the program will be based on metrics that will include, but are not limited to, the following:

For the F99 phase (graduate students):

• Successful completion of a STEM graduate program
• Subsequent participation in a formal research training or career development program in a STEM field
• Subsequent participation in research or employment in a STEM field
• Authorship of scientific publications in a STEM field
• Subsequent independent research grant support from NIH or another source
• Transition to the K00 phase

For the K00 phase (postdoctorates):

• Subsequent participation in a formal research training or career development program in a STEM field
• Subsequent participation in research or employment in a STEM field
• Authorship of scientific publications in a STEM field
• Subsequent independent research grant support from NIH or another source

Section VII. Agency Contacts

We encourage inquiries concerning this funding opportunity and welcome the opportunity to answer questions from potential candidates.

eRA Service Desk (Questions regarding ASSIST, eRA Commons, application errors and warnings, documenting system problems that threaten submission by the due date, and post-submission issues)

Finding Help Online: https://www.era.nih.gov/need-help (preferred method of contact)
Telephone: 301-402-7469 or 866-504-9552 (Toll Free)

General Grants Information (Questions regarding application instructions, application processes, and NIH grant resources)
Email: GrantsInfo@nih.gov (preferred method of contact)
Telephone: 301-480-7075

Grants.gov Customer Support (Questions regarding Grants.gov registration and Workspace)
Contact Center Telephone: 800-518-4726
Email: support@grants.gov

Michelle Jones-London, PhD
National Institute of Neurological Disorders and Stroke (NINDS)
Telephone: 301-451-7966
Email: DSPANF99K00@nih.gov

Lauren Ullrich, PhD
National Institute of Neurological Disorders and Stroke (NINDS)
Telephone: 301-451-7964
Email: DSPANF99K00@nih.gov

Chief, Scientific Review Branch
National Institute of Neurological Disorders and Stroke (NINDS)
Telephone: 301-496-9223
Email: nindsreview.nih.gov@mail.nih.gov

Chief Grants Management Officer
National Institute of Neurological Disorders and Stroke (NINDS)
Email: ChiefGrantsManagementOfficer@ninds.nih.gov

Section VIII. Other Information

Recently issued trans-NIH policy notices may affect your application submission. A full list of policy notices published by NIH is provided in the NIH Guide for Grants and Contracts. All awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement.

Please note that the NIH Loan Repayment Programs (LRPs) are a set of programs to attract and retain promising early-stage investigators in research careers by helping them to repay their student loans. Recipients of fellowship awards are encouraged to consider applying for an extramural LRP award.

Awards are made under the authorization of Sections 301 and 405 of the Public Health Service Act as amended (42 USC 241 and 284) and under Federal Regulations 42 CFR 63A and 2 CFR Part 200.