398/424 Forms and Instructions (Electronic)

PHS 398 Introduction to Data Tables

Background: Previous versions of the PHS 398 have required the submission of tabular data in support of the application, but not provided specific format templates or example data. Several of the Institutes of the NIH have offered recommended table formats and made them available on their web sites, but there has been variability in the formats. This version of the PHS 398 includes a set of table formats that all ICs have agreed to use as the standard format set. The use of a single standard set of Data Tables will make it easier for institutions to prepare applications for submission to the various ICs. It will also facilitate the collection and analysis of data across the ICs and across institutions for purposes of program evaluation. The tables and their instructions have been designed to capture the same information that has been required in previous versions of the PHS 398 and to implement changes in NIH-wide institutional training grant policies and program announcements that have been issued since the last revision. This has resulted in some regrouping of data elements and reordering of data tables. It has also involved the addition of data fields to capture Diversity Recruitment information and to place that data in comparison with data on the overall trainee pool and trainee environment.

These tables are designed to be used in conjunction with specific instructions that are included in the FOA. Please check the FOA for any additional instructions about which tables to include. For example, some ICs may not require the submission of all tables. Furthermore, these tables were designed to cover a wide range of program types and sizes. What makes sense for small programs with few applicants versus large programs with hundreds of applicants differs. For example, applications with large numbers of applicants may wish to truncate their data to focus attention of the reviewers on those that were seriously considered for admission. Kirschstein-NRSA training grant programs are only able to support U.S. citizens and permanent residents. In such cases, the data on non-eligible trainees provides information on the environment. However, some programs (e.g., T90), do allow for support of non-TGE trainees and so a more thorough reporting of applicants would be justified. Please check IC specific program information and contact the relevant IC program representative listed in the FOA for guidance on how to complete the Data Tables.

Important Definitions and General Instructions that Apply to All Tables [Please read the Definitions and General Instructions first, then return to this page.]

The List of Data Tables provides a comprehensive overview of the table numbering scheme and their contents. It also includes a tool for selecting which tables to complete depending on whether the application is for a New or a Renewal Application and whether the program includes predoctoral or postdoctoral training, or both.

The Data Tables provided here are to be used in conjunction with IC specific instructions included in each FOA. Each Data Table is available as a fill-able form in Word format. A completed Sample Data Tables file is available in both Word and PDF formats. The Sample Data Tables include the full set of tables with footnotes to each table providing detailed instructions and a statement of the rationale for requesting the data. Links are provided to navigate back and forth between fill-able forms and the sample tables. The Instructions for the Data Tables are gathered together for all of the tables in the section below and can be printed out as a single document.

The Data Tables are to be numbered exactly as shown and are to be gathered together at the end of the application, but placed before the Checklist. Other tables may be presented as part of the application; however, any additional tables should be referred to by letter to avoid confusion with the standard data set. Any such additional tables may be inserted AFTER the standard Data Tables or may be inserted in the body of the application. They should not be interspersed with the Data Tables. It is anticipated that SF424 (R&R) submission of training grant applications will provide for attachment of the Data Tables as a single bookmarked PDF attachment.

SUMMARY OF LINKED DOCUMENTS:

Important Definitions and General Instructions that Apply to All Tables

List of Data Tables

Instructions for all Data Tables

Data Tables

Sample Data Tables

Note: For best printing results, copy/paste the tables into a word processing program and print them in landscape mode. For example, using Word, you may change the page setup orientation by accessing [File > Page Setup > Orientation > Landscape].

Important Definitions and General Instructions that Apply to All Tables

Certain terms need to be defined and then used uniformly by applicants, reviewers, and NIH staff. Chief among these are: training program, trainee, training grant eligible, and underrepresented minority.

Training Program: The training program to be supported by the training grant is to be defined in the text by the program director. It should consist of a clearly distinguishable set of activities (courses, seminars, exams, retreats, research experiences, etc.) that will be undertaken by ALL participants in the training program. The training program may or may not include individuals who are not supported by the training grant. The training program may be a subset of a broader institutionally defined program. Alternatively, participants in the training program may be drawn from multiple institutionally defined departments and interdepartmental training programs (departments/programs).

Trainee: Trainee is used generically to refer to both predoctoral and postdoctoral individuals regardless of their source of support. Thus, Table 5 should include information about ALL previous trainees of the participating faculty members over the past ten years. Trainee is also used more specifically to refer to individuals associated with a particular training program. It is important to distinguish trainees associated with institutionally defined departments/programs (i.e., as used in Tables 1 and 5) from the cadre of trainees "clearly associated with the training program" (i.e., as used in Tables 9 and 10). NIH considers any individual appointed to a training grant to be "clearly associated with the training program" through the completion of their predoctoral or postdoctoral training (unless they explicitly leave the program). NIH considers individuals who have a training experience identical to those appointed to the training grant also to be clearly associated with the training program (i.e., they could be, or could have been, appointed to the training grant, if sufficient training positions were awarded and they were eligible). First year students in feeder departments/programs who have expressed a strong interest in the training program (in cases where program affiliation is not formally declared until the 2nd year) are also considered to be clearly associated with the training program. Thus, Table 9 should provide a measure of the total size of the training program, including trainees in all years of training regardless of their source of support.

Training grant eligible (TGE) trainees: Several tables request data on Kirschstein-NSRA training grant eligible (TGE) trainees. U.S citizens and permanent residents, only, are eligible for Kirschstein-NRSA support. A more restrictive definition of eligibility may be applied by the training program (e.g., based on GPA, GRE scores, cumulative exams); however, data must be reported using the NRSA definition. In tables that list data anonymously for individuals, please indicate those who are TGE by an asterisk (*). The recommended tables enable capture of the data on both types of trainees.

Previously supported trainees: For renewal applications, trainees who have been appointed to the training grant should be distinguished by a double asterisk (**), unless a separate column heading is provided to capture this data.

Diversity Recruitment: The NIH requirement of a Recruitment and Retention Plan to Enhance Diversity implies the need to present data on applications, admissions, and completion of training for three defined groups of individuals: A. Individuals identified as under-represented minorities (URM) in science; B. Individuals with disabilities; and C. Individuals with disadvantaged backgrounds. Please refer the Recruitment and Retention Plan to Enhance Diversity for detailed definitions of these groups. Several of the Data Tables request data on Diversity group A, B, or C. In all cases, these data should reflect the subset of Kirschstein-NRSA training grant eligible (TGE) trainees who match the diversity group definition. A single trainee may be counted in more than one of the diversity groups. The sum of diversity group A, B, and C data may exceed the number of TGE trainees. In contrast to previous versions of the PHS 398, no specific punctuation or annotation is required to identify underrepresented minority trainees in tables that list data anonymously for individual trainees. However, applicants should cross check data in their own tables to be sure that data presented on aggregate numbers of applications, admissions, and completions match their own individual trainee records for each of the diversity recruitment groups. It is recognized that institutions may not initially have historical data for Groups B and C, but they should be able to provide data on the current student pool and should plan to report more complete data in the future.

List of Data Tables

Depending on the type of application, submit the tables indicated.

New Predoctoral Training: 1, 2, 3, 4, 5, 6, 7A, 8A, 9A, 10 (optional)

New Postdoctoral Training: 1, 2, 3, 4, 5, 6, 7B, 8B, 9B, 10 (optional)

New Mixed Pre and Postdoctoral Training: 1, 2, 3, 4, 5, 6, 7AB, 8AB, 9AB, 10 (optional)

Renewal or Revision Predoctoral Training: 1, 2, 3, 4, 5, 6, 7A, 8A, 9A, 10, 11, 12A

Renewal or Revision Postdoctoral Training: 1, 2, 3, 4, 5, 6, 7B, 8B, 9B, 10, 11, 12B

Renewal or Revision Mixed Pre and Postdoctoral Training Grants: Submit All Tables

Please also check the FOA for any additional instructions about which tables to include. Specific instructions in the FOA take precedence over these instructions.

Table 1 Membership of Participating Departments/Programs

Table 2 Participating Faculty Members

Table 3 Institutional Training Grant Support Available to Participating Faculty Members, Departments, or Programs

Table 4 Grant and Contract Support of the Participating Faculty Members

Table 5 Pre and Postdoctoral Trainees of Participating Faculty Members

Table 6 Publications of Research Completed by Trainees (or Potential Trainees)

Table 7A Admissions and Completion Records for the Participating Departments and Programs During the Past Five Years (Predoctoral Applicants)

Table 7B Admissions and Completion Records for the Participating Departments and Programs During the Past Five Years (Postdoctoral Applicants)

Table 8A Qualifications of Recent Predoctoral Applicants

Table 8B Qualifications of Recent Postdoctoral Applicants

Table 9A Qualifications of the Current Predoctoral Trainees Clearly Associated with the Training Program

Table 9B Qualifications of the Current Postdoctoral Trainees Clearly Associated with the Training Program

Table 10 Admissions and Completion Records for Underrepresented Minority (URM), Trainees with Disabilities, and Trainees from Disadvantaged Backgrounds Clearly Associated with the Training Program

Table 11 Appointments to the Training Grant For Each Year of the Past Award (Renewal Applications Only)

Table 12A Predoctoral Trainees Supported by this Training Grant (Renewal Applications Only)

Table 12B Postdoctoral Trainees Supported by this Training Grant (Renewal Applications Only)

PHS 398: Introduction to Data Tables 6