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Pathway to Independence Awards (K99/R00) SOP

Lock icon: This link will not work for public visitors.Some links will work for NIAID staff only.

This standard operating procedure (SOP) includes the following sections: PurposeProcedureContacts, and Links.

Purpose

To help scientists begin independent research earlier in their career.

Procedure

The NIH Pathway to Independence Award (K99/R00) supports salary and research expenses in the mentored K99 phase for new investigators.

The R00 phase provides salary and fringe benefits to continue the research project independently. In the second phase the investigator must have a tenure-track, full-time assistant professor position or equivalent.

For non-U.S. citizen and permanent residents, the applicant institution is responsible for determining and documenting in the application that the applicant investigator's visa will allow him or her to remain in this country long enough to be productive on the research project in the U.S. for the duration of the proposed independent research (R00) phase.

An institute's intramural laboratory may use its funds to support the applicant during the K99 phase. Principal investigators who want to continue into the R00 phase must obtain an extramural institution position.

Note the following:

  • NIAID policy is to award three years of support—one year for the K99 and two for the R00—instead of the five years that NIH allows. This also applies to intramural investigators at NIAID and other ICs.
  • We make very few awards.
  • The transition from a K99 to an R00 is not automatic.

As with other K awards, investigators may request part-time appointments and other adjustments. For more information, see the Career Development Grants SOP.

Investigators

K99 Mentored Phase

  • Eligibility for the K99 is restricted to people with a doctoral degree and a limited number of years in postdoctoral training as follows:
    • Starting with the February 12, 2014 receipt date, no more than four years of postdoctoral experience will be allowed at the time of submission.
      • If you submitted a new application for the June 12, 2013—or September 7, 2013, AIDS-related—receipt date, you may resubmit for the one-time January 13, 2014, receipt date only, if you're within the five-year postdoc limit.
      • If you submit a new application for the November 12, 2013—or January 7, 2014, for AIDS related—receipt date and exceed the four-year postdoc limit by the next due date, you will not be able to resubmit.
    • NIAID may grant exceptions or extensions to the postdoc rule for exceptional circumstances, such as family leave and extended sick leave. We decide on a case-by-case basis. In order to request an extension due to family or sick leave, please contact AITrainingHelpDesk@niaid.nih.gov.
  • During the initial mentored (K99) phase, you must secure a tenure-track, full-time assistant professor position at an academic institution.
  • Submit applications electronically. Read the K99/R00 funding opportunity announcement and supplemental instructions for K awards in the SF 424 Application Guide.
  • The direct costs requested for each year may include the following:
    • Salary up to $75,000.
    • Associated fringe benefits.
    • Research development support (i.e., supplies, equipment, travel) up to $25,000.
  • Request facilities and administrative costs (F&A) at 8 percent of total direct costs less equipment and any other excludable items, such as tuition remission.

R00 Independent Phase

  • Ask your institution to submit your R00 application no later than two months from the K99 project period end date. NIAID will consider R00 applications received after July 1 for funding the next fiscal year.
  • Read the K99/R00 funding opportunity announcement and supplemental instructions for K awards in the SF 424 Application Guide.
  • The total cost amount (direct plus F&A) for each of the two years may not exceed $249,000. Use the currently effective F&A rate.

Director, Office of Research Training and Special Programs

K99 Mentored Phase

  • Monitor Council-reviewed K99 applications and work with DEA's Office of the Director and the budget office to establish a payline each fiscal year.

R00 Independent Phase

  • Review initial R00 applications against the NIH-established criteria documented in the K99/R00 funding opportunity announcement.
  • Document approval or disapproval of the R00 application on the face page.
  • Deliver the reviewed R00 applications to the Grants Management Career Award Coordinator (Lock icon: This link will not work for public visitors.Contact for NIAID Staff), who will then identify the grants management specialist and forward it on for award processing or notification of disapproval.
  • After the Center for Scientific Review creates an IMPAC record, email the budget office (Lock icon: This link will not work for public visitors.Contact for NIAID Staff) documenting approval of the R00 applications and requesting a Release List authorizing funding.

Program Officers

K99 Mentored Phase

  • Complete the Program Officer Checklist for K99 applications released for funding.
  • Assist PIs during the K99 mentored award (e.g., when PIs are attempting to submit their R00 application early, determine whether the staff position is appropriate for the R00 phase, and resolve any scientific issues in the K99 or R00 phase).

R00 Independent Phase

  • Complete a Program Officer Checklist for each Type 4 (extension) R00 application that is approved for funding by the director, Office of Research Training and Special Programs.
  • Review Type 5 (noncompeting) R00 applications and complete the Program Officer Checklist.
  • Work with the grants management specialist on prior approval requests, e.g., change of mentor (K99 phase) or institution (usually only in the R00 phase).

Grants Management Career Award Coordinator

K99 Mentored Phase

  • Create a K99 tracking spreadsheet for each fiscal year and enter K99 applications released for funding.
  • Email the updated spreadsheet to the budget office, ORTSP director, and the Grants Management Program management team and team leaders (Lock icon: This link will not work for public visitors.Contact for NIAID Staff).

R00 Independent Phase

  • Monitor the R00 application receipt due dates and ensure that specialists are following up with the PIs regarding submission of the R00 applications.
  • Check the status of each R00 application (e.g., funded, pending receipt of application, carried over to next fiscal year for funding once application is received and approved).
  • Email the updated spreadsheet to the budget office, ORTSP director, and the GMP management team and team leaders (Lock icon: This link will not work for public visitors.Contact for NIAID Staff).

Budget Office

K99 Mentored Phase

  • Issue Release Lists for Type 1 (new) K99 applications within the NIAID-established K99 payline.

R00 Independent Phase

  • Create Type 4 (extension) R00 IMPAC records and issue Release Lists for Type 4 R00 applications approved and recommended for funding by the ORTSP director.

Grants Management Specialist

K99 Mentored Phase

  • Issue the one-year mentored award after receiving a Release List.
  • Adjust the K99 funding if the R00 application is submitted and funded before the K99 award has ended.
  • NIAID may allow a no-cost extension for the following reasons:
    • We will not fund the R00 application.
    • There is a reasonable cause for delay between the end of the K99 and the submission of the R00 application, and the PI remains at the K99 awardee institution.
  • If the K99 application is from an NIAID intramural investigator, do the following:
    • Work with the NIAID Administrative Office to assure that salary is funded according to provisions of the K99 program.
    • Send the investigator a letter advising him or her of the award.
  • If the K99 application is from an intramural investigator from another IC, do the following:
    • Work with the IC's intramural administrative office to assure that salary is funded according to provisions of the K99 program.
    • Once you've confirmed salary with the funding IC, send the investigator a letter advising him or her of the award.

R00 Independent Phase

  • Six months before the end of the one-year K99 award, email the PI regarding submission of the R00 application. GMP staff can see GMP's Lock icon: This link will not work for public visitors.Pathway to Independence (K99-R00) Awards SOP for a sample email.
    • For applications from another IC's intramural investigator, work with the other IC's administrative office about the timing of the R00 submission so that funding responsibility can move to NIAID.
  • Award Type 4 R00 applications approved by the ORTSP director and released by the budget office for funding. Two years is the maximum number of years for an NIAID R00 application. Create a record in IMPAC, then ask Lock icon: This link will not work for public visitors.(Contact for NIAID Staff) to request a release list from the budget office. Note: all requests for release lists must come from ORTSP.
  • If the R00 application is not approved for funding, send written notification to the PI within 60 days of receipt of the R00 application. The notification must provide the rationale for the disapproval. Work with the ORTSP director to draft the notification.
  • If the R00 application is approved for funding, based on the estimated balance of funds, revise the budget, the budget end dates, and project period end dates.
  • Type 5 R00 applications are subject to the NIH noncompeting RPG funding plan (e.g., 97.1 percent of the committed total costs).

For more information, GMP staff can see GMP's Lock icon: This link will not work for public visitors.Pathway to Independence (K99-R00) Awards SOP.

Contacts

Applicants with questions should read Communicating With NIAID—How to Get Help.

AITrainingHelpDesk@niaid.nih.gov—Office of Research Training and Special Programs

Chernay Mason for career (K) awards

Lock icon: This link will not work for public visitors.Contact for NIAID Staff—Grants Management Career Award Coordinator

Lock icon: This link will not work for public visitors.Contact for NIAID Staff—NIAID Budget Office

If you have knowledge to share or want more information on this topic, email deaweb@niaid.nih.gov with the title of this page or its URL and your question or comment. Thanks for helping us clarify and expand our knowledge base.

Links

Career Development Awards

Career Development Grants SOP

NIAID Training and Career portal

NIH's Pathway to Independence Award FAQs

 

Last Updated October 25, 2013

Last Reviewed February 11, 2013