RPPR guidance for Fogarty standard awards (D71, G11, R01, R03, R21, U01)

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

The federal Research Performance Progress Report (RPPR) is required for all awards. Progress reports for Fogarty standard non-SNAP awards (using funding mechanisms D71, G11, R01, R03, R21 and U01) should follow the NIH RPPR Instruction Guide Chapter 6 (Instructions for RPPR sections A-H) except where modified here.

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

Standard Awards Progress Report Section Guidance

Section A. Cover Sheet

Follow Chapter 6 of the NIH RPPR Instruction Guide.

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.
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:

Provide a scientific justification for any changes involving research with human subjects, vertebrate animals, biohazards and/or select agents planned for the next reporting period. Use section F.3 to describe in detail any significant changes to human subjects, animal subjects, biohazards and/or select agents.

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.
Note: D71 grants are excluded from the Genomic Data Sharing (GDS) policy.

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
Has there been a change in the active other support of senior/key personnel since the last reporting period?
If yes, upload active other support for senior/key personnel (defined as the PI/MPI or other key person named in the NOA) whose support has changed and indicate what the change has been. List the award for which the progress report is being submitted and include the effort that will be devoted in the next reporting period.
Select Yes only if active support has changed for the PD/PI(s) or senior/key personnel.
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?
If applicable to your project, 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?
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
If applicable to your project, 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
Scientific justification for any changes involving research with human subjects, vertebrate animals, biohazards, and/or select agents planned for the next reporting period should be described in Section B.6.

F.3.a Human subjects
Follow Chapter 6.
F.3.b Vertebrate Animals
Follow Chapter 6.
F.3.c Biohazards
Follow Chapter 6.
F.3.d Select agents
Follow Chapter 6.

Section G. NIH Special Reporting Requirements

G.1 Special NOA terms and FOA reporting requirements
Follow Chapter 6.
G.2 Responsible Conduct of Research
Not applicable to Fogarty R01, R03, R21, D71 and G11 awards.
G.3 Mentor's report
Not applicable for Fogarty R01, R03, R21, D71 and G11 awards.
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
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.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

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 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 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.

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 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