RPPR guidance for Fogarty education awards (D43, R25, U2R)

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

Except where modified here, progress reports for Fogarty education awards (using funding mechanisms D43, R25 and U2R) should follow of 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. Please pay particular attention to the following sections:

  • Updated > B.4 Opportunities for training and professional development
    (including new requirements for NIH Research Training Table formats)
  • C.5 Other Products and Resource Sharing
  • D.1 What individuals have worked on the project?
    (including new requirements for eRA Commons User IDs for additional project personnel)
  • D.2.c Other support
  • E.4 Dollars spent in foreign countries
  • F.3 Human and animal research subjects
  • Updated > G.1 Special NOA terms and FOA reporting requirements
  • G.8 Project/performance sites
  • G.9 Foreign components
  • G.10 Unobligated balance
  • H Budget

Updated January 3, 2017

 

Education Awards Progress Report 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.

    • Include examples contributions of former trainees related to their previous training in the program and anything 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?
    In addition to following Chapter 6 and 7.5:

    • Include a paragraph for each trainee/scholar supported by the award in the reporting period.

      • Identify: trainee name, institution/city/country where the mentored research activity occurred, mentor name, mentor institution, research project title, description of the research project, course work completed and status of the progress (e.g. designing, enrolling, completing enrollment, following-up, analyzing data, completed and writing manuscript(s), publication(s), etc.).

      • If the trainee's research project includes human or animal research subjects, refer to updated guidance in Section G.1 Special NOA terms and reporting requirements.

      • Include conference presentations, honors, fellowships, workshops and related activities. This description should be sufficient to allow evaluation of the trainees' progress towards the goals of the research training grant.

    • Trainee Diversity Reports are generally not applicable for Fogarty D43, R25 or U2R awards, except for U.S. trainees in the Frame Innovation and Fellows and Scholars programs.

    • Research Training Tables

      • New research training data tables are required for RPPRs due on or after December 1, 2015; and for competing applications submitted for due dates on or after May 25, 2016.

      • Table 8 (Program Outcomes) should be used for progress reporting on the RPPR. Table 8I (International) is now available for International Training Programs. Access blank data tables, instructions and sample completed data tables from the NIH Office of Extramural Research.

      • Doctoral Training

        • Grantees with NIH institutional training grant awards with activity codes of D43 or U2R, are required to provide program statistics for doctoral training. If your grant is supporting trainees for doctoral degrees, report:

          • Percentage of trainees supported by your grant for a doctoral degree within the last 10 years who completed the doctoral degree.

          • Average time to doctoral degree for trainees supported by your grant for a doctoral degree within the last 10 years (not including leaves of absence).

  • 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?
    Follow Chapter 6.

Section C. Products

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

    • Report all trainee publications or manuscripts accepted for publication in a journal or other publication during the reporting period that resulted from work conducted while a trainee was supported by the award. Do not report any publications that arose from work that the trainee conducted prior to or following grant support.

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

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

  • C.3 Technologies or techniques
    Follow Chapters 6 and 7.5.

  • C.4 Inventions, Patents Applications, and/or Licenses
    Follow Chapters 6 and 7.5.

  • C.5 Other Products and Resource Sharing
    Follow Chapters 6 and 7.5.

  • Insitutional training grants (FIC D43, D71 and U2R grants) are excluded from the Genomic Data Sharing (GDS) policy. See the related NIH notice, Implementation of the NIH Genomic Data Sharing Policy for NIH Grant Applications and Awards (NOT-OD-14-111), released August 27, 2014

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.

    • A Commons ID is required for all individuals with a postdoctoral, graduate, or undergraduate role. A Commons ID is strongly encouraged (but optional) for all other project personnel. A Commons ID needs to be reported in Section D for all trainees who received one month (160 hours) or more of training in the past reporting year (not cumulative over several years).

      See the related NIH notice, Extension of eRA Commons User IDs to Individuals in Graduate and Undergraduate Student Project Roles with Measurable Effort on an NIH Annual Progress Report (PHS2590 & RPPR) (NOT-OD-13-097), released August 2, 2013.

    • For Trainees:

      • Estblishing a Commons ID:

        • If the trainee already has a Commons Account, you can use that Commons ID to report the trainee in Section D. An individual typically should only have one eRA Commons ID.

        • If the trainee does not have a Commons Account, you (or their home institution) needs to create one for them:

          • When creating the Commons accounts for trainees, only select the appropriate education level (Graduate, Postdoc or Undergraduate) or Project Personnel for the Commons User Role. (See role descriptions in the eRA Commons User Guide Chapter 1.)

          • Do not select the "Trainee" Commons User role for any user when creating their Commons account. This is the "Commons xTrain Trainee" role and is specific to NRSA programs. Fogarty training programs are not NRSA programs.

      • Reporting a Trainee Commons ID in RPPR Section D:

        • When adding trainee participants to the RPPR, select the appropriate Project Role from the Drop-down list, or select "Other" and specify that the participant is a "Non-NRSA Trainee."

        • Regarding "Primary affiliation with a foreign institution": Check "Yes" if the individual has primarily conducted grant-funded research and/or training activities at a foreign site. Otherwise check "No."

  • 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) 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 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 7.5

  • 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?
    Not applicable.

  • 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 7.5.

  • 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
    Follow Chapter 6.

Section G. NIH Special Reporting Requirements

  • G.1 Special Notice of Award terms and Funding Opportunity Announcement reporting requirements
    In addition to following Chapter 6:

  • Trainee Research Projects

    • If a trainee had training-related research supported in the last budget period which includes humans or animal research subjects not previously reported:

      • Provide the IRB or IACUC approval date and expiration date (if approval is pending, state as such). NIH requires IRB approvals to be renewed annually and IACUC approvals to be renewed every 3 years.

      • Be sure each institution at which human or animal subjects activity was conducted during the reporting period and/or is planned for the next period is included in section G.8 and, if foreign, section G.9.

      • If the trainee's research project includes the use of biohazards and/or select agents not previously reported, provide the information described in the SF424 (R&R) Application Guide Section 5.5 field 9 Select Agent Research.

  • Co-funding Partners, if applicable:

    • Include a description of how the grant activities are addressing the mission of co-funding partners.

  • G.2 Responsible Conduct of Research
    This section is required for Fogarty awards. Follow Chapter 7.5.

  • G.3 Mentor's report
    Not applicable for Fogarty D43, R25 or U2R awards.

  • G.4 Human Subjects
    Follow Chapter 6.
    • G.4.a Does the project involve human subjects?
      • Enter "yes" if the overall project and/or any trainee project will involve human subjects activity at any time during the next budget period at your institution or at any other performance site or collaborating institution.
      • Enter "no" if neither the overall project nor any trainee project will involve human subjects activity at any time during the next budget period.
    • Is the project exempt from Federal regulations?
      Follow Chapter 6.
      • Not applicable (so, enter "no") unless the answer to G.4.a is "yes."
      • If applicable, usually the answer is "no" unless all trainee projects and the overall project are all exempt.
    • Does the project involve clinical trial?
      Follow Chapter 6.
      • For trainees participating in a mentor's clinical trial, usually the answer is "no."
      • If you believe your project involves clinical trials, contact your Fogarty Program Officer to confirm.
    • G.4.b Inclusion enrollment data
      Not applicable for Fogarty D43, R25 or U2R awards.
    • G.4.c. Clinical Trials.gov
      Follow Chapter 6.
    • For trainees participating in a mentor's clinical trial, usually the answer is "no."
    • If you believe your project involves clinical trials, contact your Fogarty Program Officer to confirm.
  • 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
    • Enter "yes" if the overall project and/or any trainee project will involve animal subjects activity at any time during the next budget period at your institution or at any other performance site or collaborating institution.
    • Enter "no" if neither the overall project nor any trainee project will involve animal subjects activity at any time during the next budget period.
  • G.8 Project/Performance sites
    In addition to following Chapter 6:
    • Fogarty prior approval is required for adding or removing 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.
  • G.9 Foreign Component
    In addition to following Chapter 6:
    • Fogarty prior approval is required for adding or removing 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 no trainees were at the site during the reporting period and/or 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.
  • G.10 Estimated unobligated balance
    In addition to following Chapter 6:
    • G.10.a Estimated balance amount
      • If reporting an estimated unobligated balance greater than 25 percent of the current year’s total approved budget, 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% 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 authorized to carryover balance, provide description of how the funds 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% 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
    Not applicable to Fogarty D43, R25 or U2R because these are non-SNAP awards. Instead, you must provide a detailed budget complete with F&A information (section H). This section G.12 is only applicable to SNAP awards.

Section H. Budget

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.

    • Trainee costs should be itemized in detail using either the regular R&R Budget Component form in the "Participant/Trainee Support Costs" section or the SF424 R&R Training Component Budget form (i.e. the PHS 398 Training Budget form).

    • Access instructions and forms for each budget type:

      • If completing the SF424 R&R Budget Component 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.

      • If completing the PHS 398 Training Budget form for trainee costs, follow the instructions in the SF424 R&R Application Guide for NIH and Other PHS Agencies, section I, 8.5 PHS 398 Training 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).

    • When providing justification for any projected trainee costs, include as much information as possible, e.g. trainee name, trainee type (e.g. long-term, short-term, pre-doc, post-doc, junior faculty, first year, second year), amount of time being devoted to the project by the trainee (in person months) and country where the trainee project will take place.

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

Updated January 3, 2017

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