RPPR guidance for Fogarty career awards (K01, K02)

Fogarty and NIH require grantees to submit annual progress reports to document grantee accomplishments and compliance with the terms of the award.

Progress reports for Fogarty career awards (using funding mechanisms K01 and K02) should follow the NIH RPPR Instruction Guide Chapter 6 (Instructions for RPPR sections A-H) and Chapter 7.5 (Supplemental Instructions for Education RPPRs).

In addition to the NIH RPPR Instruction Guide, use this supplemental guidance specific to your Fogarty award. Pay particular attention to the sections noted below:

  • D.2.c Other support
  • E.4 Dollars spent in foreign countries
  • F.3 Human and animal research subjects
  • G.8 Project/performance sites
  • G.9 Foreign components
  • G.10 Unobligated balance
  • H Budget

Career Awards Progress Report Section Guidance

Section A. Cover Sheet

Follow Chapter 6.

Section B. Accomplishments

  • B.1 What are the major goals of the project?
    Follow Chapter 6.

    • B.1.a Have the major goals changed since the initial competing award or previous report?
      Follow Chapter 6.

  • B.2 What was accomplished under these goals?
    In addition to following Chapter 6:

    • Include examples of significant contributions to research and public health capacity at the lower- and middle-income country (LMIC) site(s) not discussed in any other section of the report.

  • B.3 Competitive Revisions/Administrative Supplements
    Follow Chapter 6.

  • B.4 What opportunities for training and professional development has the project provided?
    Follow Chapter 6 and Chapter 7.1.

  • B.5 How have the results been disseminated to communities of interest?
    Follow Chapter 6.

  • B.6 What do you plan to do during the next reporting period to accomplish the goals?
    In addition to following Chapter 6 and Chapter 7.1:

    • Use this section B.6 to describe in detail any significant changes to human subjects, animal subjects, biohazards and/or select agents. Do not use section F.3 to describe these changes.

Section C. Products

  • C.1 Publications (reported via MyNCBI)
    In addition to following Chapter 6:

    • In order for a publication to be associated with this award, it must be included in the PD/PI's "My Bibliography" section of the PD/PI's MyNCBI account, even if the PD/PI is not an author.

  • C.2 Website(s) or Other Internet Site(s)
    Follow Chapter 6.

  • C.3 Technologies or techniques
    Follow Chapter 6.

  • C.4 Inventions, Patents Applications, and/or Licenses
    Follow Chapter 6.

  • C.5 Other Products and Resource Sharing
    Follow Chapter 6.

Section D. Participants

  • D.1 What individuals have worked on the project?
    In addition to following Chapter 6:

    • For each foreign component listed in section G.9, at least one person must be named in this section D.1.

  • D.2 Personnel Updates:

    • D.2.a Level of effort
      Follow Chapter 6.

    • D.2.b New senior/key personnel?
      Follow Chapter 6.

    • D.2.c Changes in other support
      Follow Chapter 6 for format and process. For determining for whom to provide other support, follow these Fogarty instructions:

      • Submit a complete list of all active support for those named at the top of the most recent Notice of Award (NOA) as Principal Investigator(s). Submit other support for the PI(s) even if no changes since last year.

      • Submit a complete list of all active support for any person (if any) named by Fogarty as Key Personnel in section IV of the most recent NOA. Submit other support for these personnel even if no changes since last year.

      • Submit a complete list of all active support for any other people you consider to be senior/key personnel only if there has been a change in support during the reporting period.

      • On all lists of active support, be sure to include this Fogarty grant (i.e. the one on which you are progress reporting).

    • D.2.d New Significant Contributors
      Follow Chapter 6.

    • D.2.e Multi-Pi Leadership Plan
      In addition to following Chapter 6:

      • This section is applicable only to NIH-defined multiple PD/PI awards.

      • To determine if your award is an NIH-defined multiple PD/PI award, look at the top of the most recent Notice of Award (NOA). If more than one person is named under the heading "Principal Investigator(s)" then your award is an NIH-defined multiple PD/PI award.

Section E. Impact

  • E.1 What is the impact on the development of human resources?
    Follow Chapter 6.

  • E.2 What is the impact on physical, institutional, or information resources that form infrastructure?
    Follow Chapter 6.

  • E.3 What is the impact on technology transfer?
    Usually not applicable for Fogarty awards. If you believe this may be applicable to your award, contact your Fogarty Program Officer (who is named at the end of your Notice of Award).

  • E.4 What dollar amount of the award's budget is being spent in foreign country(ies)?
    In addition to following Chapter 6:

    • For each country named in this section E.4, there must be at least one foreign component site listed in section G.9.

    • If there is more than one first-tier subaward in a single country, the dollar amount entered in this section E.4 should be the sum of the dollar amounts for all first-tier subawards within that country.

    • If both your institution and a first-tier subaward(s) are in a single country, the dollar amount entered in this section E.4 should be the sum of the dollar amounts spent at your institution and at the first-tier subaward institution(s) within that country.

    • Do not include any foreign country unless it is your institution's country or unless it is part of a first-tier subaward.

Section F. Changes

  • F.1 Changes in approach and reasons for change
    Follow Chapter 6.

  • F.2 Actual or anticipated challenges or delays and actions or plans to resolve them
    Follow Chapter 6.

  • F.3 Significant Changes to Human Subjects, Animal Subjects, Biohazards and/or Select Agents
    These changes should be described in section B.6 instead of in this section F.3.

    • F.3.a Human Subjects
      Use section B.6 to describe any changes.

    • F.3.b Vertebrate Animals
      Use section B.6 to describe any changes.

    • F.3.c Biohazards
      Use section B.6 to describe any changes.

    • F.3.d Select Agents
      Use section B.6 to describe any changes.

Section G. NIH Special Reporting Requirements

  • G.1 Special NOA terms and FOA reporting requirements
    Follow Chapter 6.

  • G.2 Responsible Conduct of Research
    This section is required for Fogarty awards. Follow Chapter 7.1.

  • G.3 Mentor's report
    Follow Chapter 7.1.

  • G.4 Human Subjects
    Follow Chapter 6.

    • G.4.a Does the project involve human subjects?
      Follow Chapter 6.

    • Is the project exempt from Federal regulations?
      Follow Chapter 6.

    • Does the project involve clinical trial?
      Usually not applicable for Fogarty awards. If you believe this may be applicable to your award, contact your Fogarty Program Officer (who is named at the end of your Notice of Award).

    • G.4.b Inclusion enrollment data
      Follow Chapter 6.

    • G.4.c. ClinicalTrials.gov
      Not applicable for Fogarty awards. If you believe this may be applicable to your award, contact your Fogarty Program Officer (who is named at the end of your Notice of Award).

  • G.5 Human Subjects Education Requirement
    In addition to following Chapter 6:

    • This section applies to domestic personnel, foreign personnel, investigators, mentors and trainees alike if they are or will be newly involved in the design and conduct of human subjects research.

  • G.6 Human Embryonic Stem Cells (hESCs)
    Follow Chapter 6.

  • G.7 Vertebrate Animals
    Follow Chapter 6.

  • G.8 Project/Performance sites
    In addition to following Chapter 6:

    • Fogarty prior approval is required for adding or deleting a foreign performance site (i.e. site located outside the U.S.). The RPPR is not the appropriate vehicle through which to request prior approval. You should include the changes in this section G.8 and also make a formal request from your business office separate from the RPPR.

    • Your institution and any first tier subaward institutions, including foreign entities, are required to have a DUNS. For sites not required to have DUNS (or as a temporary work-around if needed), all zeroes may be entered in the "DUNS" field. Obtain a DUNS from the D&B DUNS Request Service for US Federal Government Contractors and Grantees.

    • For the "congressional district" field, all zeroes may be entered for foreign sites.

    • This section G.8 must include all sites named in section G.9.

    • This section G.8 must include all sites at which human subjects and/or animal subjects activities happened during the reporting period or will happen during the next period.

    • Delete any duplicate sites from the list.

  • G.9 Foreign Component
    In addition to following Chapter 6:

    • Fogarty prior approval is required for adding or deleting a foreign component. The RPPR is not the appropriate vehicle through which to request prior approval. You should include the changes in this section G.9 and also make a formal request from your business office separate from the RPPR.

    • Fogarty awards almost always have at least one foreign component. Except perhaps in highly unusual situations, this section should not be blank. Do not click the "No foreign component" box.

    • If your institution is a foreign institution, then it is a foreign component and must be included in this section G.9.

    • All foreign partners associated with this project during the reporting period should be entered in this section G.9.

    • Only foreign components from this section G.9 that also are your institution or a first-tier subaward institution should also be represented in section E.4.

    • Foreign partners should be entered even if zero dollars were spent there during the reporting period.

    • This section G.9 must include at least 1 foreign component site for each country named in section E.4.

    • All foreign components named in this section G.9 must also be included in section G.8.

    • This section G.9 must include all foreign sites at which human subjects and/or animal subjects activities happened during the reporting period or will happen during the next period.

    • For each foreign component listed in this section G.9, at least one person must be named in section D.1.

    • Delete any duplicate sites from the list.

  • G.10 Estimated unobligated balance
    In addition to following Chapter 6:

    • G.10.a Estimated balance amount
      Always provide an estimated amount of all grant funds not spent to date. Even if the amount is very small, provide as accurate an estimate as possible. Provide this estimate as a dollar amount (not as a percentage).

    • G.10.b Explanation for balance

      • Provide this explanation only if the unobligated balance amount is greater than 25 percent of the current year's total approved budget.

      • Include reasons for the spending delay and how the delay was resolved, managed and/or will be avoided in the future.

    • G.10.c If carryover authority, description of how it will be used

      • Fogarty awards almost always have carryover authority. Check section III "Terms and Conditions" of your most recent Notice of Award (NOA) to verify your carryover status.

      • Provide this description only if the unobligated balance amount is greater than 25 percent of the current year's total approved budget. Include a timeline for using the carryover funds.

      • It is expected that carryover funds will be used for the originally budgeted purposes. Confirm no budget changes or provide a detailed description of how the carryover funds will be rebudgeted.

      • Do not include any carryover funds in the detailed budget provided for the next period (section H of this progress report). Contain all discussion of carryover funds to this section G.10.c.

  • G.11 Program income
    Follow Chapter 6.

  • G.12 F&A costs
    This section G.12 is applicable only to awards issued under the Streamlined Non-competing Application Process (SNAP). To determine if you award is a SNAP award, see section III of your most recent Notice of Award.

    • If your award is a SNAP award, follow Chapter 6.

    • If your award is a non-SNAP award, this section G.12 is not applicable. Instead, you must provide a detailed budget complete with F&A information in section H.

Section H. Budget

This section H is applicable only to awards not issued under the Streamlined Non-competing Application Process (non-SNAP). To determine if you award is a non-SNAP award, see section III of your most recent Notice of Award.

  • If your award is a SNAP award, this section H is not applicable.

  • If your award is a non-SNAP award, in addition to following Chapter 6:

    • Prepare a budget for this award and for any subaward(s).

    • You must enter a DUNS on the budget form for your institution and for all first tier subaward budgets, including foreign entities. Obtain a DUNS from the D&B DUNS Request Service for US Federal Government Contractors and Grantees.

    • Use the same budget forms for this progress report as you used for the last competing application you submitted for this grant.

      • For most Fogarty progress reports, you will use the SF424 R&R Budget forms.

    • Access instructions and forms for each budget type:

      • If completing the SF424 R&R Budget form, follow the instructions in the SF424 R&R Application Guide for NIH and Other PHS Agencies, section I, 4.7 R&R Budget Component.

  • Always include a detailed budget justification (PDF attachment) for every line item even if there has been no change since the previous year.

    • The justification should show exactly how the projected cost is calculated, how the projected cost is directly allocable to the project and how the projected cost is requested in a manner consistent with how your institution would support the cost if a grant were not involved.

    • If you have any subaward budget(s), prepare separate budget justifications for your budget and the subaward(s) budget(s).

  • Do not include any carryover funds in this section H. Contain all discussion of carryover funds to section G.10.c.

Updated February 26, 2014

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