Exploratory & Developmental Grants Phase I and Phase II Transition

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

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 NIAAA program staff before Phase I was awarded, as well as program priorities and the availability of funds.

Submission of Phase II (R33, UH3) Due date, 90 days before the termination date of phase I.

Electronic submission of the phase II through eRA, Grants.Gov and/or ASSIST is not yet available. The recipient institution shall submit the application package in PDF format by initially sending an “email of intent to submit” niaaaoea@mail.nih.gov. OEA/GMB will respond by providing instructions to the AOR on how to submit through NIH Secure mail. Grant applications must not be sent by regular emails to NIH Staff.

GMB/OEA processes the submitted phase II and arranges with CSR to create a record in eRA.

The phase II application (PDF forma) must include the following

• Completed face page using page 1 from Non-Competing Continuation Progress Report (PHS 2590)PDF
• In https://grants.nih.gov/grants/funding/phs398/phs398.html the packet must include
  • Abstract and Public Health narrative of the Phase Summary of the Phase I/II
  • Detailed budget/justification pages for each year of Phase II
  • Biosketches
  • Specific Aims and importance of the work accomplished
  • A section called “Milestones,” describing in detail the milestones and progress achieved in Phase I
  • If applicable, summary of the amendments to address reviewers’ comments from the initial peer review as justification that would provide additional information about Phase II and/or amendments related to alternate plans as originally described in the original application approved for funding (1 page)
  • Research Plan section describing the phase II of the original funded phase I/II application (not to exceed the phase II section in the original funded grant).

Administrative Review by Program Staff and Grants Management Specialist

• Program Officer assigned to the application shall conduct the scientific merit review of phase II as described in the review criteria in the NOFO.
• Grants Management Specialist conducts administrative and financial review and may request updated JIT and other pertinent information and/or documents.

Contact:

Dr. Philippe R Marmillot, Acting Director OEA
Email: marmillotp@nih.gov 

Judy S. Fox, GMO
Email: judy.fox@nih.gov

Updated February 23,2023