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.2 What was accomplished under these goals?
In addition to following Chapter 6:
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:
Section C. Products
C.1 Publications (reported via MyNCBI)
In addition to following Chapter 6:
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
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 UEI. For sites not required to have UEI (or as a temporary work-around if needed), all zeroes may be entered in the "UEI" field.
Obtain a UEI from the SAM.gov .
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 UEI on the budget form for your institution and for all first tier subaward budgets, including foreign entities.
Obtain a UEI from the Obtain a UEI from the SAM.gov .
Use the same budget forms for this progress report as you used for the last competing application you submitted for this grant.
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 March 1, 2023