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Fact Sheet: NHLBI K99 Awards (NIH Pathway to Independence,
PI, Award)
Transitioning to R00 Phase
Overview
As indicated in the K99/R00
program announcement (http://grants1.nih.gov/grants/guide/pa-files/PA-09-036.html),
transition from the mentored phase (K99) to the independent
scientist phase (R00) is NOT automatic. Transition to the independent
phase is subject to NHLBI’s review of your research progress
and training/career development accomplishments during the K99
award, evaluation of your research plan, and proof of commitment
from the sponsoring institution to which you have been recruited.
Transition is intended to be continuous in time. An important
transition resource can be found on the NIH webpage “New
Investigators Program/Pathway to Independence Award, Questions
and Answers”, http://grants.nih.gov/grants/new_investigators/QsandAs.htm.
All applicants should be aware that:
- It is expected that the awardee will complete at least
one full year of mentored training under the K99 phase before
transitioning to the R00 phase.
- K99 awardees must submit their R00 transition package
to NHLBI by June 30 if they plan to transition to the R00
phase before September 30.
- R00 transition awards will not be issued in October or
November.
Before the R00 transition application deadline, you need to
(1) find a suitable position as a tenure-track, full-time assistant
professor (or equivalent) at an eligible institution, and once
that is accomplished, (2) provide us with the required documentation
to initiate the R00 phase of the award. When you are ready to
prepare the R00 application, please use the following instructions
and notify your NHLBI program director of your intentions.
Transition to R00 Instructions:
During the final year of the K99 phase and no later
than 2 months before its anticipated end date, send
the original application plus four copies to the NHLBI Grants
Management Specialist listed in the eRA Commons account for
the grant, and one copy to your NHLBI program director:
- A copy of the official offer letter for a faculty
position and any additional correspondence from the Chairperson
or Dean of the institution where you have been recruited
that addresses the following issues:
- Independent position: Your status
as a tenure-track, full-time Assistant Professor
(or equivalent). The appointment must NOT be
contingent on the transfer (or continuation) of the
R00 award to the sponsoring institution.
- Level of effort: Documentation that
you will have a minimum of 9 person months (75% full-time
professional effort) devoted to research as required
by the R00 award for its entire duration, and a description
of your level of effort spent on teaching, clinical
and/or administrative duties.
- Institutional Commitment: The institution’s
plans for providing start-up funding, technical personnel,
research resources and facilities, and/or paying your
salary. The start-up package must be similar to that
which is typically offered to new faculty members at
that institution.
- Research and Office Space: Describe
the laboratory and office space that will be provided
to you for conducting the proposed research.
- Clinical Space: For patient-oriented
research projects, describe the clinic space that will
be accessible to you for conducting the proposed research.
Include details of other research support services (e.g.
core facilities, research coordinators, statistical
support, nurse coordinators, etc.). For clinical projects
performed within an institutional General Clinical Research
Center (GCRC) or Clinical and Translational Science
Award (CTSA) submit a letter from the GCRC or CTSA Director
indicating support of your R00 research project.
- Plan to independence: If the applicant
intends to stay at the mentored phase institution during
the independent phase, this letter should describe the
plan by which the applicant will separate from the postdoctoral
mentor and advance to independence.
- Grant application submission plan:
Include a plan and timeline for submitting an independent
research grant application in a research area relevant
to the mission of an NIH awarding component.
- New NIH Grant application from your proposed
R00 grantee institution:
- Face page with the appropriate institutional
signatures.
- Budget pages: detailed budget page
(PHS 398 Form Page 4) required for the first year of
the R00 award, and categorical budget (PHS 398 Form
Page 5) for the entire project period. The budget may
include salary to support your research effort on the
R00 award. However, the portion of your base salary
provided by the hiring institution must be consistent
with that provided routinely to newly appointed, independent
faculty members.
- Budget Justification: include your
level of effort on the R00 project and the portion of
the required 75% research effort to be supported by
institutional funds.
- New Resources Format Page.
- Biographical sketches.
- Progress report, and K99 mentor’s final
evaluation statement, describing the research
accomplishments and training and career development
during the K99 award. We expect you to have accomplished
all training and career development goals. Please describe
how the training and career development goals/objectives
were met during the K99 award, or if all the goals/objectives
were not accomplished, how you plan to meet them during
the R00 award.
- Updated Project Summary page (Form
Page 2).
- Updated research plan (2-3 pages).
Identify any changes from the original research project
described in your K99/R00 application.
- Just-in-time information including updated
other support, IRB, and IACUC approvals. A
co-signed Institutional Cover Letter should also be
included.
- Data and Safety Monitoring Plan (DSMP)
for clinical studies in human subjects that involve
more than minimal risk. The DSMP needs to be approved
by the IRB.
- Copy of a sharing plan for any new model organisms
that you propose to generate: All NIH applications and
proposals that will produce new, genetically modified
variants of model organisms and related resources are
expected to include a sharing plan or to state why such
sharing is restricted or not possible. Examples
of Plans for Sharing of Model Organisms and Related
Resources are available at: http://grants.nih.gov/grants/policy/model_organism/index.htm.
- New Checklist Form Page.
- The following information is needed from the
K99 grantee institution for those R00 grants transferring
to a new institution:
- Final Invention Statement and Certification (Form
HHS 568).
- Final Financial Status Report (within 90 days of
terminating the K99 grant). Forms
are available at: http://grants.nih.gov/grants/forms.htm.
December 2008
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