Procedures Activating the R00 phase of the K99/R00 Pathway to Independence Award

Before transitioning into the R00 phase the K99 recipient must secure a tenure-tenure track, full time assistant professor (or equivalent) at an institution eligible to receive NIH funds.

In the final year of the K99, the institution where the R00 phase will be activated, shall alert the NIAAA OEA that an R00 application will be submitted by sending an email addressed to the NIAAA Office of Extramural Activities (NIAAAOEA@mail.nih.gov). OEA will reply through NIH Secure Mail.  The PDF file should be attached by the AOR in response to OEA/NIAAA’s email. NIAAA must receive the application package not later than 90 days before the termination of the K99 phase. 

In preparing the application follow the instructions described in https://grants.nih.gov/grants/funding/phs398/phs398.html (includes, face page with institutional signature, abstract, relevance, performance sites, key personnel, budget pages and justification, biosketches, new resources & environment, final progress report of the K99, R00 specific aims, research strategy section, new checklist).

The application package must include the following: 

A copy of the official offer letter (with signed acceptance by the applicant PI) for a faculty position and any additional correspondence from the Chairperson or Dean of the institution where the K99 awardee has been recruited that addresses the following issues: 

• Independent position: Describe the employment status as a tenure-track, full-time Assistant Professor (or equivalent). The appointment must NOT be contingent on the transition (or continuation) of the R00 award to the sponsoring institution. 
• Institutional Commitment:  Describe the institution's plans for providing start-up funding, technical personnel, research resources and facilities, and/or paying the salary. The start-up package and other institutional support must be similar to that which is typically offered to new faculty members at that institution, and the institutional letter should state whether this is the case. 
• Research and Office Space: Describe the laboratory and office space (size and whether you will share equipment with others, be charged for use of equipment, etc.) that will be provided for conducting the proposed research. 
• Clinical Space: For patient-oriented research projects, describe the clinical 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. 
• K99 Mentor's Final Evaluation Statement. 
• Timeline to Submit R01: 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. 
• Level of effort: R00 awardee must devote a minimum of 9 person-months/year (75% full-time professional effort) devoted to research as required by the R00 award for its entire duration, and a description of the level of effort spent on teaching, clinical and/or administrative duties. Teaching, clinical and/or administrative duties should be minimal during the R00 phase. Please specify the number of hours per week in preparation and contact time for teaching , administrative and other duties outside the scope of the R00 phase. 

JIT information for R00 Phase: The following is not required at the time of review, but will be required before any funding can be released. 

• Updated other support 
• IRB approvals 
• IACUC approval