NIDCR Dual Degree Dentist Scientist Pathway to Independence Award (K99/R00) FAQs

What are the eligibility criteria for K99/R00 applicants?

Less than 4 years of postdoctoral research by submission/resubmission deadline. NIDCR encourages applicants to apply sooner rather than later to maximize the window of eligibility timeline for submission/resubmission. K99 eligibility is measured from the official date of graduation, not dissertation defense, or start of postdoc. Breaks with less than 50% research effort for clinical training/personal circumstances may not count towards postdoctoral research experience. Contact the assigned Program Official for consideration.

For individuals with a D.D.S./Ph.D. (or other dual clinical-Ph.D. doctoral degree), eligibility is measured from the most recent doctoral degree. NIDCR will consider dental degrees from other countries as equivalent to a D.D.S. or D.M.D. degree (e.g., B.D.S.). In all cases an applicant’s professional and doctoral degrees must be verified by the application institution.

Are eligibility extensions available due to childbirth?

Yes, an applicant may have a one year extension for childbirth during the 4-year window of K99 eligibility. The applicant should email the date of childbirth to the Program Official prior to applying. See NOT-OD-20-011 for more details.

Are those who have adopted children, or are partners of individuals who have given birth eligible for the automatic one year extension for childbirth?

The one-year extension automatically applies to women giving birth during the 4-year eligibility window and who have provided the date of childbirth to the assigned Program Official. Individuals adopting children and partners of individuals giving birth can apply for an extension by contacting the Program Official.

Can a K99 awardee engage in teaching or other activities in addition to their appointment at their university/institution?

A minimum of 75% research effort must be devoted to K99 activities, based on a full-time appointment of 40 hours per week. The remaining 25% effort may be devoted to other duties that support career development, such as clinical and teaching activities.

Are there salary limits on the K99 and R00 phases?

For the K99 phase, NIDCR provides salary support up to $100,000 for a minimum of 75% effort, and maximum of 100% effort, plus fringe benefits per year for the K99 phase. The requested salary must be consistent both with the established salary structure at the institution and with salaries provided by the institution from its own funds to other staff members with equivalent qualifications, rank, and responsibilities in the department concerned.

The total salary may not exceed the legislatively mandated salary cap.

There are salary limits for the R00 phase, see the Notice of Funding Opportunity for details. One can supplement their R00 institutional salary with the funds from the R00, if it remains within the salary limits.

What actions are required if there is a change in the mentorship plan during the K99 phase?

If key personnel, such as a primary mentor, and/or objectives or specific aims are changed, this is considered a change in scope and requires a Request for Prior Approval.

Can a K99 recipient on unpaid maternity leave use the unused K99 funds (originally allocated towards salary) as an additional salary support without changing % effort?

No. Unused K99 funds cannot be used for additional salary support during maternity leave. See the NIH grants Leave policy for more details.

Can a K99 recipient who requested 2-years of postdoc training transition to a faculty position prior to completing the 2-year postdoctoral phase?

The K99/R00 award is intended for individuals who require at least 12 months of mentored research career development (K99 phase) before transitioning to the R00 award phase of the program. If an applicant achieves independence prior to initiating the K99 phase, neither the K99 nor the R00 phase will be awarded. Recipients are advised to contact the awarding IC if early transition is being considered. In all cases, early transition is considered a prior approval request and therefore subject to the approval of NIH in accordance with Requests for Prior Approval.

What are some suggested elements that should be included in an offer letter?

Some of the suggested elements that should be included in the offer letter are the appropriate percent research effort, non-dependency on R00 transition, and assurance that the offer is equivalent to an offer made to someone without an R00. Details regarding any teaching commitments, lab and office space, access to core facilities, availability of a mentoring team, and resources needed to establish a successful independent research program should be included.

Can a no-cost extension (NCE) be requested for the K99 phase of the award?

Yes, an NCE can be requested for the K99 phase of a K99/R00 award. NCE request to extend the K99 is not automatic and requires prior approval. In such cases, K99 recipients may be encouraged to request a full year that can be terminated early with no penalty. It is important to note that the K99 must be active for transition to R00 phase.

For an NCE, follow policy in the NIH Grants Policy Statement: 8.1 Changes in Project and Budget and 8.1.3 Requests for Prior Approval.

What is the process for submitting a Prior Approval request for an NCE during K99 phase?

Grantees can submit the prior approval request via eRA Commons Prior Approval Module. Regardless of the mechanism, requests for NCEs should include, at the minimum:

• Detailed explanation of why the project could not be completed by the originally approved end date.
• Scientific rationale for continuing the project.
• A brief progress report that communicates the scientific progress made after the last Research Performance Progress Report was submitted.
• The estimated unobligated balance (total direct cost and Facilities & Administrative remaining).
• Detailed proposed budget, based on the estimated unobligated balance.
• Budget justification
• Level of effort of key personnel named in the Notice of Award.
• Updated certifications and assurances, including Institutional Review Board and Institutional Animal Care and Use Committee approvals, if applicable.

During a K99 NCE, is it allowable to re-budget allocated funds for reagents, supplies, and travel to pay for salary?

There are no restrictions on rebudgeting if the reallocation of funds is not significant and does not represent a change of scope. NIDCR encourages the recipient to consult with the Program Official and Grants Management Specialist.

Does NIH cover salary gaps between K99 and R00?

No, salary can be covered by institutional or non-federal funding. Since the K99 must be active for the transition to R00, a salary gap is not expected.

Can K99 funds carry over to the R00 phase?

Carryover from the K99 phase to the R00 phase may be allowed provided the K99 phase was funded by extramural support (NIH/NIDCR). The K99 recipient should consult with the awarding IC as to its practices regarding carryover. Carryover of K99 unobligated funds into the R00 phase is not automatic, it requires a Request for Prior Approval.

Are Carnegie defined R2 research institutions eligible for R00?

Yes, there are no restrictions on institutional eligibility. Any eligible institution that offers an independent tenure track or equivalent faculty position that will support a competitive, independent research career may apply.

How to terminate a K99 award?

The Principle Investigator (PI) must submit a Request for Prior Approval to terminate a K99 award early. If transition from the K99 phase at an extramural institution to the R00 phase occurs at the originally scheduled end date of the K99 award, then no specific steps to terminate the K99 award are necessary. If the transition at an extramural institution occurs prior to the scheduled end date, then a revised Notice of Award will be issued to terminate the K99 phase award.

If the R00 application is submitted after the start date, can the PI draw salary from remaining funds on the K99?

Yes, funds leftover in the K99 phase may be used prior to the R00 start dates. If there are no funds left, pre-award costs are available:

Does the faculty position start date and the start of the R00 have to be the same?

No, the faculty position start date and the start of the R00 do not have to be the same. An individual can start at the new institution and then initiate the R00. Note, this will require some advance planning to make sure that there is not a funding gap in the period between the start date and the R00 start date. If there are funds left in the K99 these can be used. If there are no funds left, there is a pre-award mechanism, but there is some risk inherent in that option. The R00 institute will be responsible, so it may be prudent to discuss this with them.

Remember to request a no-cost extension for the K99, if the R00 will start after the initial end date of the K99. The K99 must be active for the R00 transfer to occur. NCE for a K99 requires prior approval and can be requested 90 days before the end of the award (see related notice NOT-OD-16-092).

Is there a last date to submit an R00 package, or a black-out period when new R00 awards will not be issued?

The R00 package should be submitted at least 60 days prior to the requested start date. Due to the budgetary cycle, no awards are usually made in October and November.

For the R00 award, can funds be re-budgeted across categories?

Rebudgeting between categories is allowed in the R00 at any time if it is under 25 percent of the total approved budget for a budget period. A Request for Prior Approval is required for this action. One should consult the Notice of Award for any restrictions.

Does the PI have to take 75% salary from the budget to align with the research effort?

No, PIs can take up to $249,000 per year in total cost for the R00 phase. This amount includes salary, fringe benefits, research costs, and applicable indirect costs. Indirect costs will be reimbursed at the extramural sponsoring institution’s indirect cost rate. Indirect costs requested by consortium participants are included in the total cost limitation.

Can funds be automatically carried over from year to year during the R00 phase?

No, if there is more than 25% of unspent total funds to carry over, a justification and a revised budget is required. The R00 recipient should consult with the awarding IC as to its practices regarding carryover. NIDCR requires a Request for Prior Approval to authorize a carryover.

Do K99 applications require a Data Management and Sharing Plan?

Yes, a Data Management and Sharing Plan is required for all K99/R00 applications after January 25th, 2023 receipt date. For guidance refer to Writing a Data Management & Sharing Plan.

For more information on the K99/R00 Pathway to Independence Award please refer to these FAQs.