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

  • Form Page 1: Face Page
  • Form Page 1 -continued:  Additional form if Multiple PIs are proposed
  • Project/Performance Site Format Page - use only if additional space is needed
  • Form Page 5: Progress Report Summary
  • Form Page 7: All Personnel Report
  • PHS Inclusion Enrollment Report 
  • Other Support Format Page
  • (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:

  1. Please include a page to state the following questions with responses:
    • Will there be, in the next budget period a significant change in the level of effort for the PD/PI or other Senior/Key Personnel designated on the Notice of Award from what was approved for this project?
      • If yes, please explain (e.g., decreased level of effort from 4.8 calendar year (CY) months to 3.6 CY months); if no, so state. A significant change in level of effort is defined in Federal regulations as a 25 percent reduction in time devoted to the project, from what was approved at the time of award. For example, if a NoA-specified individual on the project is expected to reduce his/her effort from 4.8 CY months to 3.6 CY months, which represents a 25 percent reduction in the level of effort, an explanation must be provided.
  2. Progress Report Summary: excluding the research plan.
  3. Include 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.
  4. Research Plan for Phase II – Follow the instructions in the PHS 398, “5.5 Content of Research Plan” .
    • 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.

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.