This document provides information about the K99/R00 Career Transition Award program from the National Institutes of Health (NIH). The K99 phase provides 1-2 years of mentored support for postdoctoral researchers, while the R00 phase provides 1-3 years of independent research support contingent on securing an independent research position. Eligible candidates must have a terminal degree and no more than 4 years of postdoctoral experience. The program aims to support highly motivated researchers in transitioning to independent research careers through a period of mentored research followed by independent funding.

1. K99/R00 - Awards
“Pathway to Independence”
Chris Evans
310 206 7884
cevans@ucla.edu
1-2 years of
Mentored
Research
3 years of
Independent
Research
+

2. PURPOSE:
K99 - To support the initial phase of a Career/Research Transition award program
that provides 1-2 years of mentored support for highly motivated, advanced (but
not too advanced) postdoctoral research scientists.
R00 - To support the second phase of a Career/Research Transition award program
that provides 1 -3 years of independent research support (R00) contingent on
securing an independent research position. Award recipients will be expected to
compete successfully for independent R01 support from the NIH during the R00
research transition award period.
Bottom Line
2 years mentored research – move to faculty slot – 3 years R01-like funding
Guidelines
https://grants.nih.gov/grants/guide/pa-files/PA-16-077.html
Questions and Answers
https://grants.nih.gov/grants/new_investigators/QsandAs.htm
Blog spot
http://k99advice.blogspot.com

3. REQUIREMENTS/ELIGIBILITY:
K99 – is a rare training grant in that it will support non-US citizens but one must be in the US to conduct all
phases of training grant.
- Candidate must be at the time of application submission (or resubmission) in mentored, postdoctoral
training positions.
- Candidates for this award must have earned a terminal clinical or research doctorate (including Ph.D.,
M.D., D. O., D.C., N.D., D.D.S., D.V.M., Sc.D., D.N.S., Pharm. D., or equivalent doctoral degree, or a
combined degree); and have no more than 4 years of postdoctoral research experience since completing
the requirements of the doctoral degree (resubmissions must also comply with this requirement). Note:
this time can be extended due pregnancy, parenting, military service and other personal issues reducing
ability to work.
If an applicant achieves independence (any faculty or non-mentored research position) before a K99
award is made, neither the K99, nor the R00 award, will be made. Evidence for independence, and
therefore lack of eligibility, includes: The candidate has a full-time faculty position. The candidate received
a start-up package for support of his/her independent research. The candidate has research space
dedicated to his/her own research. The candidate may attend faculty meetings, be the responsible
supervisor for graduate students, and/or hire technical support or postdoctoral fellows. The candidate is
eligible to apply for independent research funding as the PD/PI of an NIH research grant.
-The second (R00) phase will provide up to 3 years of independent research support, which is contingent
on satisfactory progress during the K99 phase and an approved, independent, tenure-track (or equivalent)
faculty position. The two award phases are intended to be continuous in time. Therefore, although
exceptions may be possible in limited circumstances, R00 awards will generally only be made to those K99
PDs/PIs who accept independent, tenure-track (or equivalent) faculty positions by the end of the K99
award period. Note: NIH can get sticky giving R00 awards for faculty staying in the same institution as
their R00 and with questionable job titles…consider getting an independent job is now tough and job
seeking needs to occur pretty soon after receiving the award…. Check with an NIH project officer.

4. National Cancer Institute (NCI) National Eye Institute (NEI) National Heart, Lung, and Blood Institute (NHLBI) National
Human Genome Research Institute (NHGRI) National Institute on Aging (NIA) National Institute on Alcohol Abuse and
Alcoholism (NIAAA) National Institute of Allergy and Infectious Diseases (NIAID) National Institute of Arthritis and
Musculoskeletal and Skin Diseases (NIAMS) National Institute of Biomedical Imaging and Bioengineering (NIBIB) Eunice
Kennedy Shriver National Institute of Child Health and Human Development (NICHD) National Institute on Deafness and
Other Communication Disorders (NIDCD) National Institute of Dental and Craniofacial Research (NIDCR) National
Institute of Diabetes and Digestive and Kidney Diseases (NIDDK) National Institute on Drug Abuse (NIDA) National
Institute of Environmental Health Sciences (NIEHS) National Institute of General Medical Sciences (NIGMS) National
Institute of Mental Health (NIMH) National Institute of Neurological Disorders and Stroke (NINDS) National Institute of
Nursing Research (NINR) National Institute on Minority Health and Health Disparities (NIMHD) National Library of
Medicine (NLM) National Center for Complementary and Integrative Health (NCCIH) Division of Program Coordination,
Planning and Strategic Initiatives, Office of Research Infrastructure Programs (ORIP)
Special Note: Not all NIH Institutes and Centers participate in Parent Announcements. Applicants should carefully note
which ICs participate in this announcement and view their respective areas of research interest and requirements at the
Table of IC-Specific Information, Requirements and Staff Contacts website. ICs that do not participate in this
announcement will not consider applications for funding. Prior consultation with NIH staff is strongly encouraged.
(CRITCAL – TALK TO PROGRAM STAFF!)
PARTICIPATING INSTITUTES:

6. 0
10000000
20000000
30000000
40000000
50000000
60000000
70000000
NIMH NIDA NINDS NIDCR NIDCD NICHD NEI NCI NIA NIEHS NIAAA NHGRI3/2 3/4 6/7 5/8 32/8 17/12 17/16 22/20 14/23 20/28 54/40 66/44
RANKING 2012/2014
UCLA NEUROSCIENCE- RELATED
NIH FUNDING: $ and Ranking
(NIH REPORTER 2012 and 2014)
NIMH
MentalHealth
NIDA
DrugAbuse
NINDS
NeurologicalDisorders/Stroke
NCI
Cancer
NIA
Aging
NIDCR
Dental
NHGRI
HumanGenome
NEIHS
Environment
NIAAA
Alcohol
NICHD
Development
NIDCD
Deafness
NEI
Vision
High Low
$70,000,000
$60,000,000
$50,000,000
$40,000,000
$30,000,000
$20,000,000
$10,000,000
0
Figure 1
UCLA K99 (funded/applied)
NATIONAL DATA 2012 (%)
NCI = 1 / 7 apps 25.4%
NEI = 0 / 1 app 14.3%
NHLBI = 7 /18 apps 22.3%
NIA = 0 / 6 apps 35.5%
NIAAA = 0 / 4 apps 38.9%
NIAMS = 0 / 4 apps 14.3%
NIBIB = 0 / 1 app 15.2%
NICHD = 0 / 7 apps 16.4%
NIDA = 2 / 3 apps 50.0%
NIDCR = 2 / 7 apps 21.4%
NIDDK = 0 / 2 apps 18.5%
NIGMS = 0 / 6 apps 11.0%
NIMH = 3 / 12 apps 22.6%
NIHMD = 0 / 1 app ?
NINDS = 1 / 12 apps 17.6%
NINR = 0 / 1 app 60%

7. What Reviewers Will Look For?
1) Good track record – high impact publications –and publications that have
primary authorship. Explain contributions to “team science” multi-author
publications. Highlight success in different environments.
2) Preliminary data –innovation, potential impact, rigor of the research project to
the NIH institute you are applying to. Remember this is a training grant and
needs to demonstrate good rationale for acquiring new
techniques/methodologies, and creating a base for accomplishing the desired
project and transitioning to the ROO phase. Avoid acronyms and explain the
importance of the problem and your hypothesis rigorously.
3) The training plan – which is probably more/just as important than the research
ideas. This is a place in which reviewers can get very picky, especially if they are
not swayed by the science. Staying in one location and area of research for all
training is considered a negative.
4) Good reference letters from well-established and high-impact researchers in the
field. Don’t go to your friends down the hall – cultivate letters from faculty that
are relevant in your area and ask your mentor to help out here.
5) Mentor/training environment is critical. Positives NIH grants for mentor,
training track record (use co-mentor if any weaknesses), institutional
opportunities, different from Ph.D. mentor/environment.

8. THE NIH CV
Snapshot of who
you are, what you
are good at, what
you have done,
what you want to
do and where you
want to be.
Big deal for 1st
impression that
usually stays with
reviewers!

10. In C allowed 5 contribution Categories max 4 publications/category.
I would advise
using as many
contribution
categories as you
can and explain
your role on each
paper, especially
if not first author.

11. Critical to include
Complete Biography
Upload to either:
MyBibliography or
SciENcv.
Use reverse
chronological –
most recent first.

12. Make yourself known to a PO and ask advice in the institute you are applying to!
https://bcmp.med.harvard.edu/sites/bcmp.med.harvard.edu/files/administration/Tips%20for%20K99-R00%20applications_Jan%202015.pdf

13. Candidate Background (1page): Review your
undergraduate/graduate/postdoc. Include (briefly)
publications/invited talks/awards/accolades, and how this work
contributed to ongoing research in your lab after you left. Include
any patent applications, news and views articles etc. Describe how
your past experiences have led to your current postdoc training
and K99 application.
Career Goals and Objectives(1/2page): How will the
training you receive in your K99 contribute to your research career?
Restate the main questions proposed in your research and the big
picture questions that you will ask in your independent lab. How
will the training you receive during the K99 contribute to your
development into an independent researcher?
Career Development/Training (1page): Be specific! 1)
Formal meetings with your mentor (How often will you meet?
Where? What are the benchmarks for progress?) 2) Assemble an
advisory committee including your mentor and several other PIs at
your institute. Outline a specific schedule when you will meet and
what you will discuss. You will need letters of support from your
advisory committee 3) Training in new techniques 4) Educational
activities (grant writing/career development/ethics). Be very
specific in duration, type (didactic?), course names, instructors,
level etc. 5) Mentored job search (How will your mentor and
advisory committee help? Are there resources at the university?)
Training in Responsible Conduct for Research (3/4
page): 5 criteria: format, subject matter, duration, faculty
participation, and frequency. Include past and future training
opportunities (formal lectures and hands-on discussion based
format, some meetings). All online training is unacceptable. Be
specific.
K Critique Template Last Updated March 21, 2016 Page 1 of 4
K01/K07/K08/K18/K22/K23/K25/K43/K99!Review!
If you cannot access the hyperlinks below,
visit http://grants.nih.gov/grants/peer/critiques/k_D.htm.
Application #:
Principal Investigator(s):
OVERALL IMPACT
Reviewers will provide an overall impact score to reflect their assessment of the likelihood for
the candidate to maintain a strong research program, in consideration of the following five
scored review criteria, and additional review criteria. An application does not need to be strong
in all categories to have a major impact.
Overall Impact Write a paragraph summarizing the factors that informed your Overall Impact score.
SCORED REVIEW CRITERIA
Reviewers will consider each of the five review criteria below in the determination of scientific
and technical merit, and give a separate score for each.
1. Candidate
Strengths
·
Weaknesses
·
2. Career Development Plan/Career Goals & Objectives/Plan to Provide Mentoring
Strengths
·
Weaknesses
·
3. Research Plan
Strengths
·
Weaknesses
·
4. Mentor(s), Co-Mentor(s), Consultant(s), Collaborator(s)
Strengths

14. ·
Weaknesses
·
5. Environment and Institutional Commitment to the Candidate
Strengths
·
Weaknesses
·
ADDITIONAL REVIEW CRITERIA
As applicable for the project proposed, reviewers will consider the following additional items in the
determination of scientific and technical merit, but will not give separate scores for these items.
! A response for Protections for Human Subjects, Vertebrate Animals, and Biohazards is
required from reviewers for all applications.
! A response for Inclusion of Women, Minorities and Children is required from reviewers for
Human Subjects Research Applications.
Protections for Human Subjects
Click Here to Select
Comments (Required Unless Not Applicable):
·
Data and Safety Monitoring Plan (Applicable for Clinical Trials Only):
Click Here to Select
Comments (Required Unless Not Applicable):
o
Inclusion of Women, Minorities and Children Applicable Only for Human Subjects research
and not IRB Exemption #4.
· Sex/Gender: Click Here to Select
· Race/Ethnicity: Click Here to Select
· For NIH-Defined Phase III trials, Plans for valid design and analysis: Click Here to Select
· Inclusion/Exclusion of Children under 18: Click Here to Select
Comments (Required Unless Not Applicable):
·
Vertebrate Animals
K Critique Template Last Updated March 21, 2016 Page 1 of 4
3. Research Plan
Strengths
·
Weaknesses
·
4. Mentor(s), Co-Mentor(s), Consultant(s), Collaborator(s)
Strengths
K Critique Template Last Updated March 21, 2016 Page 1 of 4
·
Weaknesses
·
3. Research Plan
Strengths
·
Weaknesses
·
4. Mentor(s), Co-Mentor(s), Consultant(s), Collaborator(s)
Strengths
Aims page (1 page): Several subsections: Context – Write
Anatomy of a specific aims page (really good):
http://www.biosciencewriters.com/NIH-Grant-Applications-The-
Anatomy-of-a-Specific-Aims-Page.aspx
Vital: Watch for overly ambitious aims and those which are
dependent on previous aims. R00 aims should be defined, but can
be less detailed than the K99 aims. Cover innovative and aspects in
this page.
Significance (Suggest 1/2page): Should be related to
human health.
Innovation (up to 1page): What is innovative in your
methods or your approach? What gives you a unique
advantage/insights that set you apart from the field? What
paradigms will be shifted if your hypothesis is correct? What helps
with rigor.
Research Proposal (7pages): You should have preliminary
results for every aim (even R00 – at least showing you can do or will
be able to do the methodology after training!). Feasibility is very
important.
There is a 12 page limit for Candidate Background,
Training plan, Aims and Research Plan
Blank space is subtracted-check for this before
submission!

15. Is the proposed research involving vertebrate animals scientifically appropriate, including the
justification for animal usage and protections for research animals described in the Vertebrate
Animal section?
Click Here to Select
Comments (Required Unless Not Applicable):
·
Biohazards
Click Here to Select
Comments (Required Unless Not Applicable):
·
Resubmission
Comments (if applicable):
·
Renewal (Applicable only for K02 and K24)
Comments (if applicable):
·
Revision
Comments (if applicable):
·
Page 2 of 4
ADDITIONAL REVIEW CRITERIA
As applicable for the project proposed, reviewers will consider the following additional items in the
determination of scientific and technical merit, but will not give separate scores for these items.
! A response for Protections for Human Subjects, Vertebrate Animals, and Biohazards is
required from reviewers for all applications.
! A response for Inclusion of Women, Minorities and Children is required from reviewers for
Human Subjects Research Applications.
Protections for Human Subjects
Click Here to Select
Comments (Required Unless Not Applicable):
·
Data and Safety Monitoring Plan (Applicable for Clinical Trials Only):
Click Here to Select
Comments (Required Unless Not Applicable):
o
Inclusion of Women, Minorities and Children Applicable Only for Human Subjects research
and not IRB Exemption #4.
· Sex/Gender: Click Here to Select
· Race/Ethnicity: Click Here to Select
· For NIH-Defined Phase III trials, Plans for valid design and analysis: Click Here to Select
· Inclusion/Exclusion of Children under 18: Click Here to Select
Comments (Required Unless Not Applicable):
·
Vertebrate Animals
Page 3 of 4
ADDITIONAL REVIEW CONSIDERATIONS
As applicable for the project proposed, reviewers will address each of the following items, but will
not give scores for these items and should not consider them in providing an overall impact score.
Training in the Responsible Conduct of Research
Click Here to Select
Comments on Format (Required):
·
Comments on Subject Matter (Required):
·
Comments on Faculty Participation (Required; not applicable for mid- and senior-career awards):
·
Comments on Duration (Required):
·
Comments on Frequency (Required):
·
Select Agents
Click Here to Select
Comments (Required Unless Not Applicable):
·
Resource Sharing Plans
Click Here to Select
Comments (Required if Unacceptable):
·
Authentication of Key Biological and/or Chemical Resources
Click Here to Select
Comments (Required if Unacceptable):
·
Budget and Period of Support
Click Here to Select
Recommended budget modifications or possible overlap identified:
·
ADDITIONAL COMMENTS TO APPLICANT
Reviewers may provide guidance to the applicant or recommend against resubmission without
fundamental revision.
Additional Comments to Applicant (Optional)
·

16. Project Summary (1/2page): State the problem, 2-3 sentences of background information, then
the goal of the project. Next, summarize what you will do in your K99 phase, then transition
(“Following my K99 training, I will …”) and summarize your R00 phase. End with a concluding
sentence.
Project Narrative: 2 sentences. What is your area of research? What is lacking in the current
understanding and how will your study contribute? (make relevant to human health!)
Resources/Facilities and Equipment: Review equipment available in your mentor lab (hoods,
centrifuges, microscopes, computers), core facilities (support staff and the training they will
provide, specific equipment (model number!, availability of the instrument)
List of referees: obvious
Biosketches: Include sketches for yourself and your mentor(s). Make sure your mentor’s
personal statement is tailored to your K99 application!
Budget Justification: Follow the guidance of your grant office

17. Mentor Letter(s) (5-10 pages): Clearly state where the funding will come from for your
supplies during the K99.
-Any overlap in research interests should be addressed, and your independence should
be stressed. They should state that you will be free to take this project with you when you
start your own lab.
-They should list some of the same career opportunities that you listed in your career
development plan (make sure your stories line up!).
-They should emphasize their training record and mentoring accomplishments (how
many successful postdocs/grad students).
-They must also state what percentage of your time will be devoted to research and that
you wont have teaching responsibilities.
Description of Institutional Environment (3/4 page): Describe the resources available at
your institute (seminar series, other faculty, coursework, shared resource facilities)
Letter of Institutional Commitment (2 pages): You will likely draft a letter – should
confirm that you will have no/minimal teaching requirements, state commitment to
career development, confirm the resources available to you. Give yourself lots of time to
get the required signatures!

18. Rigor and Authentication of Reagents:
https://ctsi.ucla.edu/funding/files/view/docs/RigorandReproducibility_Rochester.pdf
https://grants.nih.gov/grants/guide/notice-files/NOT-OD-16-004.html
https://grants.nih.gov/reproducibility/module_1/presentation.html