Pathway to Independence Awards Parent K99/R00 and NIAID Physician-Scientist K99/R00 SOP

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

Some links will work for NIAID staff only.

Purpose

To help scientists and physician-scientists (PS) begin independent research earlier in their careers.

Procedure

Pathway to Independence Awards (K99/R00s) support salary and research expenses in the mentored, postdoctoral K99 phase for new investigators. The R00 phase provides salary and fringe benefits to continue the research project independently. In this 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 United States for the duration of the proposed independent research (R00) phase.

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

Note the following:

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

Investigators

Eligibility is restricted to people with a doctoral degree and no more than 4 years of postdoctoral biomedical research training as of the relevant application due date regardless of whether the application is new or a resubmission. To be eligible to apply, you must be in a mentored, postdoctoral training position.

  • NIAID may grant exceptions or extensions to the four-year postdoc rule for exceptional circumstances, such as family care responsibilities, childbirth, disability, illness, or active military duty. Also, time spent conducting postgraduate clinical training not involving research does not count toward the four-year eligibility limit. To request an extension, contact AITrainingHelpDesk@mail.nih.gov.   

K99 Mentored Phase

  • The mentored, postdoctoral (K99) phase is for at least 12 months and up to 24 months.
  • During the initial K99 phase, you must secure a tenure-track, full-time assistant professor position or equivalent at a U.S. academic institution.
  • Submit applications electronically. Read the appropriate Pathway to Independence Award (K99/R00) NOFO and supplemental instructions for K awards in the SF 424 Application Guide.
    • Note: Address rigor and reproducibility. Learn more at NIH’s Guidance: Rigor and Reproducibility in Grant Applications page.
    • Include an eRA Commons username for your primary mentor, and report it on the R&R Senior/Key Person Profile (Expanded) form, as follows:
      • List the primary mentor under the Profile for Senior/Key Person 1.
      • Insert "Other" or "Other Professional" in the Project Role field, and enter "Mentor" in the Other Project Role Category field.
      • Provide a valid eRA Commons username in the Credential field. If the primary mentor does not have an eRA Commons account, he or she should ask your business office to create one using any role (e.g., Project Personnel, Scientist).
  • The direct costs requested for each year may include the following:
    • Salary up to $75,000
    • Associated fringe benefits
    • Research development support (e.g., supplies, equipment, travel) up to $25,000
  • The indirect costs [also known as facilities and administrative (F&A) costs] are reimbursed at 8 percent of modified total direct costs.

R00 Independent Phase

  • K99 awardees must secure a qualified tenure-track faculty position and ask officials to submit their R00 Phase II application according to instructions that NIAID sends candidates. NIAID will consider R00 applications received after July 1 for potential funding the next fiscal year.
  • Read the appropriate Pathway to Independence Award (K99/R00) NOFO and supplemental instructions for K awards in the SF 424 Application Guide.
    • Note: Address rigor and reproducibility. Learn more at NIH’s Guidance: Rigor and Reproducibility in Grant Applications page.
    • Include an eRA Commons username for your primary mentor, and report it on the R&R Senior/Key Person Profile (Expanded) form, as follows:
      • List the primary mentor under the Profile for Senior/Key Person 1.
      • Insert "Other" or "Other Professional" in the Project Role field, and enter "Mentor" in the Other Project Role Category field.
      • Provide a valid eRA Commons username in the Credential field. If the primary mentor does not have an eRA Commons account, he or she should ask your business office to create one using any role (e.g., Project Personnel, Scientist).
  • The total cost amount (direct plus F&A) for each of the 2 years may not exceed $249,000. Use the currently effective F&A rate.

Office of Research Training and Special Programs (ORTSP)

K99 Mentored Phase

  • Monitor Council-reviewed K99 applications and work with DEA's Office of the Director and the Budget and Financial Management Branch (BFMB) to establish a payline each fiscal year.

R00 Independent Phase

  • Review initial R00 applications against the NIH-established criteria documented in the appropriate Pathway to Independence Award (K99/R00) NOFO.
  • Document approval or disapproval of the R00 application on the face page.
  • Deliver the reviewed R00 applications to the Grants Management Career Award Coordinator Contact for NIAID Staff, who will then identify the grants management specialist and forward it for award processing or notification of disapproval.
  • After the Center for Scientific Review creates an IMPAC II record, email BFMB 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 ORTSP.
  • 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

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 BFMB Contact for NIAID Staff, NIAID's Research Training Officer, and the Grants Management Program management team and team leaders.

Budget and Financial Management Branch

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 II 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 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 K99 award, email the PI about submitting the R00 application. 
    • 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 BFMB for funding. In an NIAID R00 application, the maximum number of years an investigator can request is 2. Create a record in IMPAC II, then ask NIAID's Research Training Officer to request a Release List from BFMB. 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 receiving the R00 application. The notification must provide the rationale for the disapproval. Work with NIAID's Research Training Officer 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 research project grant funding plan (e.g., 97.1 percent of the committed total costs).

Contacts

Applicants with questions should read Contacting Program Officers and Grants Management Specialists.

AITrainingHelpDesk@mail.nih.gov, Research Training Officer, ORTSP

Contact for NIAID Staff—Grants Management Career Award Coordinator

Contact for NIAID Staff—NIAID Budget and Financial Management Branch

Use the contacts listed above for questions about your specific situation. If you have a general question or a suggestion to improve this page, email the Office of Knowledge and Educational Resources at deaweb@niaid.nih.gov.

Links

NIAID Research Career Development (K) Awards

Career Development Grants SOP

Research Training at NIAID

NIH Research Career Development Awards

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