Form 16 Attachment 10D Introduction to the Data Tables

OMB Number 0925-0001 and 0925-0002(Rev. 6/15 Approved Through 8/31/2015)

Introduction to the Data Tables

Public reporting burden for this collection of information is estimated to average 4 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burden, to: NIH, Project Clearance Branch, 6705 Rockledge Drive, MSC 7974, Bethesda, MD 20892-7974, ATTN: PRA (0925-0001 and 0925-0002). Do not return the completed form to this address.

Before completing these tables, please read the following documents carefully: 1) the appropriate Funding Opportunity Announcement (FOA) for the training grant to which you are applying; 2) the SF424 (R&R) Application Guidelines, paying particular attention to Section 8. Supplemental Instructions to the SF424 (R&R) for Preparing Institutional Ruth L. Kirschstein National Research Service Award (NRSA) Application; 3) the Individual Table Instructions (including Instructions, Sample Table, Rationale Statements); and 4) any NIH Institute-specific instructions listed in the Institute contact section of the FOA (accessible via hyperlink to the Institute’s website). Note that certain other HHS OPDIVS may also use these instructions and Data Tables for their applications. Please substitute the relevant agency in place of NIH in applying these instructions and refer to any OPDIV specific instructions in the FOA.

To ensure a complete submission, please check the appropriate FOA for any additional instructions and be sure to read the Institute-specific information in the FOA. Contact the Scientific/Research staff listed in the Table of IC-Specific Information, Requirements and Staff Contacts (example from PA-11-184) for additional guidance on which tables to include and how to complete them.

The data in these tables help present a detailed documentation of your Training Program. Please summarize the data in the body of your grant application and at the bottom of the data tables as indicated. Use the data to support the presentation of your training program as described in the body of the application.

Important Definitions and General Instructions that Apply to All Tables - Read this First!

List of Data Tables provides an overview of the tables and their contents. It also includes a tool for selecting which tables to complete depending on the application type (New versus Renewal/Revision) and whether the program includes predoctoral training, postdoctoral training, or both. The List of Data Tables submitted with your application should be the first page of the Data Tables attachment and will serve as a table of contents for that attachment.

The Instructions and Sample Data Tables include a full set of tables with example data and footnotes providing detailed instructions and a rationale statement for the data request. Chose the Instruction Set that corresponds to the type of application you are submitting, a New (Type 1) Application or a Renewal (Type 2) or Revision (Type 3) Application, and whether the program includes predoctoral training, postdoctoral training, or both.

For electronic application submission using the SF424 (R&R) form set, the Data Tables are to be saved as a single file. Start each numbered table on a new page. Bookmarks for each table are included in the subgroupings of tables. Other tables may be presented in the application; however, they should not be mixed with the Data Tables.

Definitions and General Instructions

New Application – Seeks support for a previously unfunded program (or a previously funded program that has been substantially restructured after unsuccessful attempts at Renewal).

Renewal Application (previous term Competing Continuation) – Seeks support for a current or recent previously funded program.

Revision Application (previous term Competing Supplement) – Seeks additional support for a currently funded program.

Resubmission Application (Amended Application) – Amended version of a previously submitted application for any of a New, Renewal, or Revision application.

The following terms must be used consistently by applicants, reviewers, and NIH staff.

Training Program: The training program is described in the text by the principal investigator/program director. It is a set of activities (courses, seminars, exams, retreats, research experiences, etc.) that will be undertaken by ALL participants supported by the training grant and that is provided through a defined administrative structure by a defined group of faculty mentors. The training program may also include individuals who are not supported by the training grant and the described activities may be a subset of a larger, institutionally-defined program. Participants in the training program may be drawn from several academic departments and interdepartmental programs.

Trainee: Refers to both predoctoral and postdoctoral individuals, regardless of their source of support. Thus, Tables 5A and 5B should include information about ALL previous trainees of the participating faculty members over the previous ten years. Trainee also refers more specifically to individuals associated with a particular training program. It is important to distinguish trainees associated with institutionally-defined departments or programs (i.e., as used in Tables 1 and 5) from those “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 have been appointed to the training grant, if sufficient training positions were awarded and they were eligible). First year students in feeder departments or 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. In contrast, Table 12 requests only information about students who are currently appointed to the training grant or have been appointed in the past.

Entering Year and Training Period (or Years in Program): For predoctoral training, Entering Year is the first year that the trainee began graduate studies at the applicant institution, even if they did not become associated with the training program until later. The training period is measured from the Entering Year through Completion of Degree requirements or departure from the program. Special notes may be needed to explain exceptions, such as trainees who move to an institution after several years of training at another institution. For postdoctoral training, Entering Year is the first year of postdoctoral research experience, excluding non-research clinical training.

Training grant eligible (TGE) trainees: Several tables request data on Kirschstein-NSRA training grant eligible (TGE) trainees. Only U.S citizens and permanent residents are eligible for Kirschstein-NRSA support. More restrictive eligibility requirements may be applied by the described training program (e.g., based on GPA, GRE scores, cumulative exams); however, the 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 (*).

Non-training grant eligible trainees: Individuals who participate in the training program but do not meet the NRSA definition of training grant eligible. These data provide information about the cadre of trainees at the institution who contribute to the overall training environment. Certain NIH training grant mechanisms (e.g., T90/R90, D43) allow for support of trainees who are not eligible for RLK-NRSA support. By reporting the total number of trainees, and the number of TGE trainees, it is clearer what numbers are being reported.

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: To fulfill the NIH requirement for a Recruitment and Retention Plan to Enhance Diversity, applicants 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 to item 4 of the Research Training Program Plan in Section 8.7 of the SF424(R&R) application guide 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 TGE trainees who match the diversity group definition. A single trainee may be counted in more than one group if they meet several diversity definitions, implying that the sum of diversity group A, B, and C data may exceed the total number of TGE trainees. 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. Institutions may not have historical data for Groups B and C, but they should be able to provide current data on recent trainee pools and should plan to capture more complete data in the future.

As NIH policy in this area may change, please refer to the most recent version of the FOA to which you are responding and any related NIH Guide Notices. See the Frequently Asked Questions page for the Recruitment and Retention Plan to Enhance Diversity for further discussion.

List of Data Tables

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

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

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

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

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

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

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

Different versions of Tables 1, 6AB, and 9AB are to be used for New Applications versus Renewal/Revision Applications. Instructions for New Applications and Renewal/Revision Applications also differ for some of the other tables. Use the appropriate set of Instructions and Sample Data Tables, and Blank Data Tables available on the SF424 index page appropriate for your situation.

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

Complete List of All Tables

Table 1 Membership of Participating Departments/Programs (New Applications)

Table 1 Membership of Participating Departments/Programs (Renewal/Revision Applications)

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 5A Predoctoral Trainees of Participating Faculty Members

Table 5B Postdoctoral Trainees of Participating Faculty Members

Table 6A Publications of Research Completed by Predoctoral Trainees (New Applications)

Table 6B Publications of Research Completed by Postdoctoral Trainees (New Applications)

Table 6A Publications of Research Completed by Predoctoral Trainees (Renewal Applications)

Table 6B Publications of Research Completed by Postdoctoral Trainees (Renewal Applications)

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 (New Applications)

Table 9B Qualifications of the Current Postdoctoral Trainees Clearly Associated with the Training Program (New Applications)

Table 9A Qualifications of the Current Predoctoral Trainees Clearly Associated with the Training Program (Renewal/Revision Applications)

Table 9B Qualifications of the Current Postdoctoral Trainees Clearly Associated with the Training Program (Renewal/Revision Applications)

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

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)

Introduction to Data Tables 4