Direct comparison
UG3/UH3 vs. R61/R33: NIH Phased Awards
UG3/UH3 (cooperative agreement) and R61/R33 (grant) are NIH's two larger-budget phased/milestone award tracks. See what actually differs and why.
Ask about UG3/UH3 vs. R61/R33: NIH Phased Awards
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How do UG3/UH3 (Cooperative Agreement), R61/R33 (Grant) compare side by side?
The table below compares UG3/UH3 (Cooperative Agreement), R61/R33 (Grant) across 8 procurement-relevant dimensions, from instrument type through budget/period ceiling.
Side-by-side comparison
| Dimension | UG3/UH3 (Cooperative Agreement) | R61/R33 (Grant) |
|---|---|---|
| Instrument type | Cooperative agreement — Federal Grant and Cooperative Agreement Act, 31 U.S.C. § 6305 | Grant — same Act, 31 U.S.C. § 6304 |
| Phase 1 code and role | UG3 — used in lieu of UH2 when a larger budget and/or longer project period is needed to establish feasibility | R61 — used in lieu of R21 when a larger budget and/or longer project period is needed to establish feasibility |
| Phase 2 code | UH3 (also the Phase 2 code for the standard-budget UH2/UH3 pair) | R33 (also the Phase 2 code for the standard-budget R21/R33 pair) |
| NIH involvement after award | Substantial — Program Official is a genuine partner in study design and milestone-setting throughout both phases | Administrative/consultative — Program Officer monitors progress; investigator retains control of research design and execution |
| How Phase 2 funding is released | Administratively, against pre-defined milestones set in the original application — no new peer review round | Administratively, against pre-defined milestones set in the original application — no new peer review round |
| Application process | Single application covering both phases, submitted in response to the FOA/NOFO | Single application covering both phases, submitted in response to the FOA/NOFO |
| Typical fit | Multi-site or coordinated efforts where NIH program staff expertise adds value to study direction | Investigator-led, self-contained projects where NIH oversight is arm’s-length |
| Budget/period ceiling | Set per FOA — larger than the standard UH2 ceiling; confirm the specific NOFO | Set per FOA — larger than the standard R21 ceiling ($275,000 total direct costs / 2 years); confirm the specific NOFO |
Common questions
Common questions about UG3/UH3 (Cooperative Agreement) vs R61/R33 (Grant)
Is a UG3 grant the same as a cooperative agreement?
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Yes. UG3 and its Phase 2 counterpart UH3 are both cooperative agreements under 31 U.S.C. § 6305, not grants — NIH describes UG3 as an "Exploratory/Developmental Cooperative Agreement Phase I" in its own activity-code listing. That means NIH anticipates substantial involvement in the funded activity, unlike a grant.
What is the difference between R61 and R21?
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Both are Phase 1 activity codes in NIH’s R-series phased-award structure and both feed into an R33 Phase 2. The difference is scale: NIH’s own activity-code description states the R61 "is used in lieu of the R21 activity code when larger budgets and/or project periods are required to establish feasibility for the project."
Do UG3/UH3 and R61/R33 use the same milestone process?
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The structural mechanics are the same — an applicant defines Phase 1-to-Phase 2 transition milestones in a single upfront application, and the awarding Institute or Center reviews progress against them administratively rather than through new peer review. What differs is how involved NIH program staff are in setting and monitoring those milestones day to day, which follows the general grant-versus-cooperative-agreement distinction: substantial NIH involvement on UG3/UH3, arm’s-length monitoring on R61/R33.
Can I choose between R61/R33 and UG3/UH3 for my project?
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Not directly. NIH issues a specific funding opportunity announcement using one activity-code pair or the other, based on how much programmatic involvement the Institute or Center intends to have in the work. Applicants respond to the FOA/NOFO as published rather than selecting a mechanism independently.
