TO-DO LIST
K99 Application – due [date]
"[title.]"
(I.)
THE CANDIDATE – Sections 2-5 (~3 pages)**
**this and the Research Plan together are limited to 12 pgs
Candidate Background (<1 page)
Show quality and potential to develop as an outstanding researcher
Show likelihood that the career development plan will contribute substantially to the scientific
development of the candidate
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Use your Biosketch as a guide to write a personal narrative of your career
Start with a summary statement about your long-term research goal.
Why did you make these career choices? Pursue specific training?
OK to use “I” and “me”.
Highlight early evidence of productivity
Highlight commitment to research
Describe formal research training
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Career Goals and Objectives (1-2 paragraphs)
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Make a compelling argument why you NEED a K award
Explain EXACTLY how additional training and mentored research experience will enable you to compete for
R01 funding
BE SPECIFIC. Give examples of areas needing training in order to conduct research that will move you
towards your research and career goals.
INCLUDE SPECIFIC CHALLENGES. These deficits become the focus of the plan as areas for development and
need for training.
Develop a plan that is UNIQUE to you!
Include short-term and long-term goals
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Career Development Activities (during award period) (1-2 pages)
Ensure consistency of career development plan with the career goals
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Mix didactic training, “hands-on” lab work, classwork
Show that you will exploit the resources around you!
Show appropriateness of the content and duration of the didactic and research phases of the award.
LIST SPECIFIC TRAINING AREAS
EXPLAIN WHY EACH AREA IS NEEDED
DESCRIBE in detail HOW THIS TRAINING WILL BE GAINED – specific courses, individualized tutorials, practical
experience gained from doing research
Training in the responsible conduct of research (~0.5 page)
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“Format”, “Subject Matter”, “Faculty Participation”, “Duration of instruction”, “Frequency of Instruction”
sections
(II.)
MENTOR STATEMENTS – Section 7
Primary Mentor (2 pages)
 Appropriateness of mentor’s research area/qualifications in the area of this application
 Quality and extent of mentor’s role in guiding and advising candidate
 Evaluation component (e.g., quarterly meetings/informal progress reports, including
milestones like submitted papers, presentations at conference)
 Previous history of productivity and support (including NIH track-record)
 Adequacy of support for the research project, e.g., resources available
 Info about candidate (potential for conducting research, originality, adequacy of
scientific background, quality of work/publications to date, commitment to patientoriented research, **NEED for further research training**)
 “re-frame” any potential weaknesses of the application, e.g., why the candidate
remains at the same institution for the mentored part of the K grant.
Co-mentor (1 page)
 As above
 How does co-mentor complement primary mentor’s strengths
 Describe role
Collaborators (1 page) – scientific & technical advisor and collaborator
 As above
 Show narrow area of responsibility and focus to justify listing as “collaborator”
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TO-DO LIST
K99 Application – due [date]
"[title.]"
(III.)
INSTITUTIONAL COMMITMENT TO CANDIDATE – Section 9
1 page – to show the institution intends the candidate to be “an integral part of its research
program”
Describe adequacy of research facilities and availability of educational opportunities while
committing to protect 75% of candidate’s effort towards career develop. activities
Quality and relevance of the environment for scientific & professional development AND
relevance to the career development plan
Letter from department chair (this will capture a lot of the expected statements above)
(IV.)
RESEARCH PLAN – Sections 10 & 11 (max. 9 pages)**
Specific Aims
Significance
Innovation
Approach
 Intro
 Background
 Preliminary Studies
 Research Design (Aim 1 & Aim 2)
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Design, procedures, measurements, quality & management, data analysis
 Expected Outcomes
 Potential Problems & Alternative Approaches/Outcomes
 TIMELINE chart
 Future Directions
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BUDGET
non-itemized, however justification for specific items is needed
75K/year (salary support) + 20-50K/year (research support)
BIOSKETCH
Primary Mentor (Key Personnel)
 Biosketch
 Personal statement - Briefly describe why your experience and qualifications make you particularly wellsuited for your role
 Up to 15 publications (most relevant and recent)
Co-mentor (Key Personnel)
 Biosketch
 Personal statement- Briefly describe why your experience and qualifications make you particularly wellsuited for your role
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Up to 15 publications (most relevant and recent)
Collaborator (Significant Contributor)
Candidate
 Biosketch
 Personal statement- Briefly describe why your experience and qualifications make you particularly wellsuited for your role
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Up to 15 publications (most relevant and recent) with headings:
Original research
Non-experimental articles (e.g., lit reviews, book chapters)
Books, pamphlets, manuals, etc.
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TO-DO LIST
K99 Application – due [date]
"[title.]"
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ABSTRACT & PROJECT NARRATIVE
Abstract: 30 lines of text – description of career development & research plan
Narrative: the punchline – 2 or 3 sentences to explain relation to public health
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FACILITIES AND OTHER RESOURCES / EQUIPMENT
describe the facilities
capacity, pertinent capabilities, relative proximity, extent of availability
use of “special agents”, e.g., biocontainment resources, safety, etc.
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ADDITIONAL CURRENT AND PENDING SUPPORT
Primary mentor grants now supporting candidate, and future plans for support,
including the reliability of funding –
list of active and pending grants must include $$ amounts
Co-mentor grants now supporting the candidate, and future plans for support,
including the reliability of funding –
list of active and pending grants must include $$ amounts
LETTERS OF RECOMMENDATION
From senior investigators who have NIH track-record and have trained junior scientists.
CAN NOT BE PRIMARY OR CO- MENTORS.
 potential for conducting research,
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originality,
 adequacy of scientific background,
 quality of work/publications to date,
 commitment to patient-oriented research,
 **NEED for further research training**
 should overall address the competence & potential of the candidate to become
an independent investigator
 all submissions of letters are through eRA commons (online)
COVER LETTER
REQUIRED FOR K-GRANTS!
 Requent assignment to institute and possibly also the specific IRG
 List names of referees
 Evaluation component (e.g., quarterly meetings/informal progress reports,
including milestones like submitted papers, presentations at conference)
 Previous history of productivity and support (including NIH track-record)
 Adequacy of support for the research project, e.g., resources available
 Info about candidate (potential for conducting research, originality, adequacy
of scientific background, quality of work/publications to date, commitment to
patient-oriented research, **NEED for further research training**)
 “re-frame” any potential weaknesses of the application, e.g., why the
candidate remains at the same institution for the mentored part of the K grant.
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TO-DO LIST
K99 Application – due [date]
"[title.]"
General advice
See the official application guidelines found here (http://grants.nih.gov/grants/funding/424/index.htm#inst ) for the
most up to date and official instructions.
1.
Project Summary/Abstract: (1 paragraph) This will be visible to the public through the NIH Reporter
website ( http://projectreporter.nih.gov/reporter.cfm ) if your grant is funded. You can use this website to see who
got funded in the past and what types of projects they were working on. I studied many of the published K99
abstracts and came up with a bare bones formula for what I think should be included. 1) State the
problem/question/health concern that you will address, i.e., the big picture. 2) Then provide two or three
sentences of background specific to your project. 3) Now state the overall goal of the proposed research in one
sentence. 4) Then state what will be done in the K99 phase. 5) Then use a transition such as “with this
information in hand, we will then…” or “having developed these techniques, we will then…” to state what will be
achieved in the R00 phase. 6) Conclude with a sentence tying all of this in to the major question from your first
sentence.
2.
Project Narrative: (2 sentences) What are you studying and what is lacking in the current understanding?
How will your study contribute? Of course, make these statements relevant to human health.
3.
Resources/Facilities: (1 page) Start with a paragraph about what equipment is available in your mentor’s
lab, i.e., hoods, centrifuges, microscopes, computer workstations, etc. Then state what core facilities will be
used. Mention support staff employed by the facilities and what training they provide. Then provide a specific list
of the equipment that will be used in each core facility. Include specific model numbers, availability of the
instrument (e.g., is it available for 24 h use?), and how this equipment will allow you to accomplish specific parts
of your research proposal.
4.
List of Referees: Name, title, institution, and city. At least 3, but no more than 5. One should be your
thesis advisor. Then pick the most famous scientists you know that will have something good to say about you.
Send them your current CV and a blurb about how great you're doing in terms of your science. Also, make sure
to send them the specific instructions for K99 recommendations. They need to comment on your ability to work
independently, etc. If they hesitate even slightly, then ask someone else.
5.
Biosketches: The K99 Candidate’s biosketch has a slightly different format than the standard NIH
biosketch. Name, title and education are in the standard order. Next is personal statement, employment/teaching
experience, awards/honors, publications, and current research support in this order. The mentors should have
their biosketches already prepared. Customize the personal statement for them if they have not already done this
for your particular purpose.
6.
Other support: This will come from your mentors. It is a list of active and pending grants. It also must
include dollar amounts of each award.
7.
Budget justification: Your grants office should help you with specific dollar amounts that you are
requesting as this is dependent on specific parameters negotiated by your institution and the NIH. However the
budget justification for this purpose is a separate document. The following statements are what I used in mine:
Dr. Candidate will dedicate 12.0 calendar months of his effort to the proposed research project. A fringe benefit
rate of ___% was applied to his salary.
Dr. Boss will serve as mentor for the proposed research project and will not receive any salary.
The supplies budget will be used for purchasing…
_____is requested for the 3 years of the R00 phase and specific budget justification will be provided once an
independent faculty position is obtained.
8.
Candidate’s background: (1 page) Start with a brief mention of research performed in college. Loosely
relate this to your current proposal, e.g., this experience gave me confidence to work with mice and helped me
develop a passion for in vivo biology. Then go on to your thesis research. Give a two sentence summary. Then
state why this is hugely important, how many publications/invited talks/awards/accolades you got, and who is
continuing this work, and whether or not since you’ve left the lab other people have corroborated and expanded
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TO-DO LIST
K99 Application – due [date]
"[title.]"
upon your findings. Also mention things like patent applications, news and views articles about your work, faculty
of 1000 citations, etc. You can basically do the same thing with your description of your postdoc work, except the
research description can be more thorough since this is likely what your current application is based on. You may
also want to describe why you chose your thesis and postdoc labs as this is your chance to show how much
interest you have in your field and also perhaps unique insights you brought to the group.
9.
Career Goals and Objectives: (1/2-¾ page) What techniques did you learn in your PhD lab? What new
techniques did you learn in your postdoc lab? Restate the main questions your proposed research will address
and the big picture question that you will structure your independent lab around. How will you use the techniques
you have already been trained in and what new things do you need to learn? What qualifies your mentor, comentor, and collaborators to guide you in obtaining these skills – you should be quite specific here about what
skills you need for each aim and exactly how your mentor will help you obtain them. How will learning these new
skills help you complete your independent phase aims? Briefly mention how your career development activities
which will be listed on the next page will also help you to establish a successful laboratory. Conclude with a
reiteration of how the K99 phase will allow you to learn scientific techniques and gain knowledge necessary to be
an independent leader in the field of _____.
10. Career development/training activities: (1 page) Make a numbered list. Some examples: 1) Formal
interaction with mentors, e.g., lab meeting presentations and one-on-one meetings. 2) Formal advisory
committee meetings, e.g., 3 or 4 times per year. Having proper mentorship and oversight is a very important part
of this application. A panel of 3 or 4 people including your mentor(s) is sufficient. The advisory committee
members should be highly respected/knowledgable in your field. Ask early for their support because they will
have to write a letter for you and provide you with their biosketch. 3) Learning new techniques. A great way to
do this is to visit another lab. A convenient way to set this up is to learn something new in the lab of one of your
advisory committee members. This gives them something to say in their letter of support and also will make them
feel more involved in your success. 4) Educational activities. These are imperative! Some suggestions for these
would be grant writing courses/workshops, formal coursework at your university (you can simply audit and your
institutional letter should include permission to attend these courses), seminar series that you will attend (include
past topics and any pertinent speakers who are already scheduled), and attendance at conferences/meetings
(give two examples of scheduled meetings that would be the type that you would attend and benefit from ). 5)
Mentored job search. How will you go about finding faculty positions? How will your university and mentor help
you to prepare? Will you give practice job talks? Is there a formal mechanism for this in your department? What
experience do your mentors and advisors have in helping their trainees get jobs (make sure their letters also state
these things)?
11 Training in RCR: (3/4 page) Write up a summary of the course you attended in grad school and the course
you will attend during your K99 period in order to stay current on ethical issues and standard procedures. Be very
specific about topics that have been included in the past and the format of the class. The reviewers judge based
on 5 criteria: format, subject matter, duration, faculty participation, and frequency. I gave a summary at the
bottom of the page for each of these in a bulleted format. This will immediately answer the reviewers’ questions
about whether or not your training meets the requirements. Another suggestion is to be sure you list faculty
members (and their titles) who have given lectures or led discussions in the past.
12 Mentor letters: (6 pages) Ask the mentors to write the letter and let you tweak the wording. They should
describe what you’ve done in their lab and how important it is. They should also include any mentoring you’ve
done within your lab. They should also clearly state where funding will come from for your supplies during the
K99 phase. Any overlap in terms of their own grants should also be explicitly addressed and they MUST state
that you will be free to take this project with you to your independent lab. They can also provide a list of
publications they think will result from your work including the estimated impact of each paper. They should also
list the same career activities that you outlined in your proposal but under each they should state what their role
will be in helping you to succeed. They must also state what percentage of your time will be devoted to research
and that you won’t have teaching responsibilities. They should conclude with a summary of their own past
mentoring accomplishments and their willingness to help you in the same way.
13. Description of Institutional Environment: (3/4 page) Describe how great your university is. What makes
it unique, particularly for your field? What seminar series do they have? Who has presented in the past and is
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TO-DO LIST
K99 Application – due [date]
"[title.]"
scheduled in the future? Who are the relevant famous people in your department or university – list these famous
people as they are likely the ones who draw the famous seminar speakers, etc. What seminar series can you
participate in to gain practice? Of the coursework you proposed, explain why this course is particularly great at
your university. End with a mention of the shared resource facilities that you will use and direct the reviewers to
the list of equipment that you included in the resources/facilities section.
14. Letter of institutional commitment: (2 pages) There is probably a standard template that your university
uses for this, but you should ask to customize it for your proposal. It needs to state that you will have no/minimal
teaching requirements. It needs to state the university’s commitment to career development, e.g., by having
workshops and seminars and a postdoctoral association. It needs to state resources that are available to you,
i.e., resource facilities and equipment specific to your proposal. It needs to state that you will be able to attend
the courses that you have proposed.
15. Aims page: (1 page) This needs to have specific sections and I’ll give my advice for each one. Context:
Write a short paragraph with background about the big picture question funneling down to what your question is
or what is still not understood. Summary: Summarize your aims being sure to explain how skills learned in the
mentored phase will be applied to the independent phase. Next list the actual aims in numbered format divided
into independent and mentored phase. Have no more than 3 aims total and not many subaims as being overly
ambitious is a huge problem for this type of grant. Outcomes and impact: Write a short paragraph hypothesizing
what your findings will be. You can even bold your overall hypothesis. What fields of biology or disease
conditions might your research impact? How will the research impact your longterm goal of understanding
question xyz in your own lab?
16. Significance: (1/2 page) This needs to be related to human health. Describe the disease state that your
research deals with and provide a statistic about how important it is. Then describe why current treatments are
inadequate. How will your research bridge this gap? How does your research in addition to potential clinical
applications also lead to advances in our understanding of basic biological phenomena?
17. Innovation: (1 page) There should be something innovative in your methods for you to write about here. If
you are not using completely novel technology you could highlight the the combination of classical methods or the
application of these methods to your novel question. This is also a good place to include some preliminary results
showing how great your methods are. Now move beyond the methods themselves and think about your
research. Why has no one done this before? What gives you a unique advantage over others who may be
asking similar questions? What unique or interdisciplinary insights might your mentors and advisors provide?
What paradigms will be shifted if your hypotheses are correct?
18. Approach: (7 pages) This will be unique to each proposal but a good rule of thumb is that you should have
at least some type of preliminary result for every aim, even those in your R00 phase. If you’re proposing to use
stable cell lines, show that this is possible to generate. If you’re proposing qPCR, show that the primers have
been validated. Show that all of the plasmid constructs you need to use have been generated and that the
proteins are expressed. If you are going to be learning a specific technique from another lab you could even use
one of their figures (do this once at most and only if warranted, and make it blatantly obvious that you are not
trying to take credit for their work). If you are making a mouse, show that the targeting constructs have been
generated. Feasibility is very important and the more preliminary reagents you have developed, the better. Also,
for your R00 phase aims, you may want to point out if any of the aims or subaims are exploratory and could
provide results for future R01 applications. I included a color-coded flow-chart explaining my proposed
experiments and also the technique that would be used and highlighted which techniques were something new
that I needed to learn how to do in the K99 phase. Conclude with an overall summary section that should be
one paragraph that briefly describes how important your work will be and how your mentors’ guidance is
imperative to your success.
19. Biohazards: Specific to your proposal.
20. Data/Resource Sharing Plan: State that you will publish your results in a timely manner, share your
reagents upon completion of appropriate material transfer agreements, and that you will present in meetings.
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TO-DO LIST
K99 Application – due [date]
"[title.]"
General comments:
1. Mentors: You need someone who is extremely well respected in your field to serve as a mentor. If your current mentor is
too junior, you absolutely must have a co-mentor.
2. Use Adobe InDesign software to format your grant. Type everything in Word and then as a final step add the text and
images using InDesign. Adding images in Word is a nightmare and you can never position things exactly where you want
them.
3. Coordinate mentor and co-mentor letters so that they say the same things regarding career & training activities.
4. Helpful blog: http://chemicalbilology.blogspot.com/2008/06/how-to-put-together-your-life-and.html
5. Forum that is full of good information: http://k99r00-land.motionforum.net/forum.htm
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