Notice of Intent to Publish the Reissuance of PAR-18-422, NINDS Efficacy Clinical Trials (UG3/UH3 Clinical Trial Required)
Notice Number:

Key Dates

Release Date:
April 02, 2021
Estimated Publication Date of Funding Opportunity Announcement:
May 04, 2021
First Estimated Application Due Date:
June 05, 2021
Earliest Estimated Award Date:
February 01, 2022
Earliest Estimated Start Date:
April 01, 2022
Related Announcements

PAR-18-422 - NINDS Efficacy Clinical Trials (U01 Clinical Trial Required)

Issued by

National Institute of Neurological Disorders and Stroke (NINDS)


This notice informs the research community that the National Institute of Neurological Disorders and Stroke (NINDS) intends to reissue Funding Opportunity Announcement (FOA) PAR-18-422 "NINDS Efficacy Clinical Trials (UG3/UH3 Clinical Trial Required)".

The FOA is expected to be published in May 2021 with an expected application due date in June 2021.

This FOA will no longer utilize the U01 activity code. Instead, it will be reissued using the UG3/UH3 grant mechanism. This Notice is being published now to inform prospective applicants in advance of this modification and to allow potential applicants sufficient time to develop meaningful collaborations and responsive projects.  Details of the planned FOA are provided below.

Research Initiative Details

The purpose of this Funding Opportunity Announcement (FOA) is to encourage grant applications for investigator-initiated efficacy clinical trials to the National Institute of Neurological Disorders and Stroke (NINDS). The trials must address questions within the mission and research interests of the NINDS and may include studies of drugs, biologics, and devices, as well as behavioral or other types of interventions meant to prevent or treat a neurological disorder. This FOA uses the UG3/UH3 mechanism. Only projects that provide satisfactory progress in the UG3 phase may move to the UH3 phase.

NIH defines a clinical trial as "a research study in which one or more human subjects are prospectively assigned to one or more interventions (which may include placebo or other control) to evaluate the effects of those interventions on health-related biomedical or behavioral outcomes." Note the following:

  • For purposes of this FOA, the proposed study should be intended to prevent or treat a disorder of the nervous system within the NINDS mission.
  • An application involving a clinical experiment that is not directly intended to develop a preventative or therapeutic intervention is not suitable for this FOA. This would include, for instance, an experiment where the objective is to elucidate the pathogenesis of the disease or to identify potential therapeutic targets for future trials.
  • Under this FOA NINDS will accept renewal applications to request additional years or funds to complete the original scientific aims of the efficacy clinical trial.
  • This FOA will only support Phase 3 or Phase 4 clinical trials conducted to provide a definitive answer regarding the safety and efficacy of an intervention or to compare the effectiveness of two or more interventions. The proposed research must address a scientifically important question, provide valuable information to the existing knowledge base, and have public health relevance. The trial design should ensure that high quality, complete data regarding the primary outcome will be collected in the most efficient manner in terms of time, resources, and burden to subjects. Secondary outcomes should be included only when they are anticipated to provide important supportive or explanatory data. The necessity of each secondary endpoint must be justified in light of cost and burden. Pragmatic trials requiring minimal data collection and low cost per subject are encouraged.
  • This FOA also may be used for the submission of an adaptive trial utilizing a seamless Phase 2/3 transition where data from subjects in Phase 2 are included in the analysis of Phase 3.
Funding Information
Estimated Total Funding

The number of awards is contingent upon NIH appropriations and the submission of a sufficient number of meritorious applications.

Expected Number of Awards
Estimated Award Ceiling

Application budgets are not limited but need to reflect the actual needs of the proposed project.

Primary CFDA Numbers


Anticipated Eligible Organizations
Public/State Controlled Institution of Higher Education
For-Profit Organization (Other than Small Business)
Eligible Agencies of the Federal Government
Regional Organization
Indian/Native American Tribal Government (Other than Federally Recognized)
Non-domestic (non-U.S.) Entity (Foreign Organization)
U.S. Territory or Possession
Independent school districts
Indian/Native American Tribally Designated Organization (Native American tribal organizations (other than Federally recognized tribal governments)
Public housing authorities/Indian housing authorities
County governments
Small Business
Indian/Native American Tribal Government (Federally Recognized)
Nonprofit with 501(c)(3) IRS Status (Other than Institution of Higher Education)
State Government
Private Institution of Higher Education

Applications are not being solicited at this time. 


Please direct all inquiries to:

Jeremy Brown, MD

National Institute of Neurological Disorders and Stroke (NINDS)


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