Application Instructions for Phase II Type 4 Transition Applications: R33, UH3, R42 & R44

Phase II Type 4 Transition Application Instructions

Funding for the Phase II application is contingent upon (1) assessment of the Phase I progress report and determination that the Phase I milestones were achieved, (2) review and approval of other documents necessary for continuation, and (3) availability of funds.

The Phase II application must be prepared using the PHS 2590 forms found here completed in PDF format and submitted from the authorized official  to the Grants Management Specialist and Program Official no later than the due date referenced on the Notice of Award.

The Phase II application must include

  1. Form Page 1: Face Page
  2. Form Page 1 -continued:  Additional form if Multiple PIs are proposed
  3. Project/Performance Site Format Page - use only if additional space is needed
  4. Form Page 5: Progress Report Summary
  5. Form Page 7: All Personnel Report
  6. PHS Inclusion Enrollment Report 
  7. Other Support Format Page
  8. SBIR/ STTR only, R42/R44: Updated Commercialization Plan as necessary, if changes have been made from the original submission.

All Phase II applications must include the following in the Progress Report. See the RPPR instruction guide for explanations

  1. Accomplishments: (see RPPR Instruction Guide for Section B for explanations)
    • What are the major goals of the project?
    • Have the major goals changed since the initial competing award or previous report?
    • What was accomplished under these goals?
    • For this reporting period, is there one or more Revision/Supplement associated with this award for which reporting is required?
    • What do you plan to do for the next reporting period to accomplish the goals?
    • nclude in the Progress Report a section labeled "Milestones," describing the progress achieved in Phase I: a) identifying the approved milestones and b) describing the progress achieved relative to the milestones.
    • If the aims have not been modified from the original application, state this. If they have been modified, give the revised aims and the reason for the modifications.
  2. Will there be, in the next budget period, either (1) a reduction of 25% or more in the level of effort from what was approved by NIDA for the PD/PI(s) or other senior/key personnel designated in the Notice of Award, or (2) a reduction in the level of effort below the minimum amount of effort required by the Notice of Award?
  3. Has there been a change in the active other support of senior/key personnel since the last reporting period? If yes, upload updated active and pending support for senior/key personnel whose support has changed. List the award for which the progress report is being submitted and include the effort that will be devoted in the next reporting period.
  4. Are there publications or manuscripts accepted for publication in a journal or other publication (e.g., book, one-time publication, monograph) during the reporting period resulting directly from this award? If yes, please provide a My NCBI report

Please contact your Grants Management Specialist, located in the eRA Commons at the time of submission, to be certain of sending the package to the proper email address.

The Phase II continuation application will be reviewed by the appropriate grants management and program staff of the awarding component. Written notification will be sent to the applicant if the continuation request is not approved.