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Application Instructions for R00 Transition Applications

  1. Face page (PHS 398, Form Page 1) signed by the R00 phase Authorized Organization Representative.
  2. Updated Project Summary page (PHS 398, Form Page 2). A new project description page or abstract updated to reflect current plans for the R00 phase.
  3. 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.
    Allowable Costs: The total cost for the independent phase (R00) may not exceed $249,000 per year. This amount includes salary, fringe benefits, research costs, and applicable facilities & administrative (F&A or indirect) costs. F&A costs will be reimbursed at the R00 institution’s current F&A rate. F&A costs requested by consortium participants are included in the total cost limitation.
  4. Budget Justification (use Continuation Page): include your level of effort on the R00 project and the portion of the required 75% research effort to be supported by institutional funds. Also include an explanation for supplies, equipment purchased, and other research-related expenses.
  5. Biographical sketches (see Biosketch Format Page and instructions): Include updated biosketch of Candidate, and biosketches for any Key Personnel. Publication citations must show the PMCID numbers when applicable.
  6. New Resources Page(s) (PHS 398, Resources Format Page): Also include a detailed explanation of existing equipment purchased during the K99 phase that will transition to the R00 institution. Describe any special facilities used for working with biohazards or other potentially dangerous substances. Note: Information about Select Agents must be described in the Research Plan.
  7. New Checklist (PHS 398, Checklist Format Page).
  8. Final Progress report (PHS 398 Continuation Format Page): Describe the research accomplishments and training and career development during the K99 award. All training and career development goals should be completed. Please describe how the training and career development goals/objectives were met during the K99 award including proposed coursework and training in responsible conduct of research, or if all the goals/objectives were not accomplished, how you plan to meet them during the R00 award.
  9. Updated research plan (PHS 398 Continuation Format Page, 5 pages or less). Identify any changes from the original research project described in your K99/R00 application, i.e., update specific aims.
  10. Human Subjects: If the research will use human subjects, provide:
    • A complete updated Human Subjects section, including an "Inclusion Enrollment Report".
    • Current IRB approval or expected approval date. Award is not made until final IRB approval is granted.
    • Data and Safety Monitoring Plan (DSMP, see Human Subjects section 4.1.5) for clinical studies in human subjects that involve more than minimal risk. The DSMP needs to be approved by the IRB.
  11. Vertebrate Animals: If the research will use vertebrate animals, provide :
    • A complete updated Vertebrate Animals section (VAS, Worksheet for the VAS).
    • Current IACUC approval or expected approval date. Award is not made until final IACUC approval is granted.
  12. If applicable please include a Sharing Model Organisms Plan and a   Genomic Data Sharing Plan (GDS).
  13. Current Other Support page for the R00 candidate.
  14. A letter from the R00 Department or Division Chairman must be submitted that describes the R00 institution’s commitment to the candidate and plans for his/her career development. An institutional commitment agreement will be required at the time of activation of the independent phase of the award. This agreement should satisfy the criteria described in the Career Development Award Section of the SF424(R&R) Application Guide.
  15. If not already provided, the final evaluation statement by the K99 phase mentor, must be provided.

This page was last updated July 2016