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pdfNIH RPPR Instruction Guide
NIH and Other PHS Agency
Research Performance
Progress Report (RPPR)
Instructional Guide
June 23, 2022
1
June 23, 2022
NIH RPPR Instruction Guide
CONTACT US
Document Comments:
We value your feedback on this document. Please email your comments to
[email protected].
For policy-related questions:
Please email [email protected].
Support and Service Desk:
To contact the eRA Service Desk:
Web: https://era.nih.gov/need-help (Preferred method of contact)
Toll-free: 1-866-504-9552
Phone: 301-402-7469
Email: [email protected] (for System-to-System support)
Hours: Mon-Fri, 7:00 a.m. to 8:00 p.m. Eastern Time, except for Federal Holidays
DISCLAIMER STATEMENT
No data shown in illustrations represents any real account, project, or individual. Any resemblance
to actual accounts, projects, or individuals is purely coincidental.
DOCUMENT HISTORY
Date
Document
Version
Description of Change
Author
4/25/2012
1.0.0
Develop initial draft of document
1/31/2014
7.0.0
Updated for AHRQ and multiyear funded eRA
awards
Communications
eRA Documentation
Team
June 23, 2022
2
NIH RPPR Instruction Guide
4/25/2014
7.1.0
Corrected text and screen prints
eRA
Communications
7/18/2014
8.0.0
Updated PA PRAM feature; inclusion
forms
10/17/2014
9.0.0
Updated for Inclusion Enrollment; NCT
selection on multi-projects; Agency
Requested PRAM changes
eRA
Communications
eRA
Communications
2/5/2015
9.2.0
Added Recall for PRAM; Additional
Indirect Cost budget form
eRA
Communications
3/11/2015
9.3.0
Minor text edits
eRA
Communications
4/17/2015
9.4.0
AHRQ updates
7/17/2015
9.5.0
Modified instructions for question B.4
11/3/2015
9.6.0
Modified instructions in Chapter 7;
replaced policy links throughout
eRA
Communications
eRA
Communications
eRA
Communications
1/25/2016
9.7.0
eRA
Communications
11/22/2016
9.7.1
Modified instructions for Section 6.2,
questions B.2 and B.6; Section 7.4,
question B.2
Updates to Figures 86,87
Update Section 6.3, C.2, C.3, and C.5.a,
regarding the new selection menus on the
left and updated language regarding
selections.
02/14/2017
9.7.2
Added information regarding the new
Section I – Program Outcomes which is
used with Final and Interim RPPR
eRA
Communications &
Documentation
03/02/2017
9.7.3
Updated screenshots for Sections A-H
and added I. Outcomes.
Updated hyperlink for sample outcomes
for Section I. Outcomes Updated
hyperlink for F.3.d – Select Agents
eRA
Communications &
Documentation
05/22/2017
9.7.4
Updated text in sections B.2, C.1,
and C.5.
Updated screen shot for question
C.1 (Figure 85)
3
eRA
Communications
eRA Communications
& Documentation
June 23, 2022
NIH RPPR Instruction Guide
11/5/2018
9.7.5
05/13/2022 9.7.6
06/23/2022 9.7.7
Added note on cover page
eRA Communications
& Documentation
regarding the updated form
approval date and to use the online
help until the instructional guide is
brought up to date.
eRA Communications
• Minor text edits
& Documentation
• Updated 1.2 Agency for Healthcare
Research and Quality (AHRQ)
purpose statement
• Added 1.3 Department of Veterans
Affairs (VA) purpose statement
• Added reminder do not include
Personal Identifiable Information (PII)
or Protected Health Information (PHI)
in the RPPR
• Inclusion/Human Subjects updates
• Participants section D.1 Updated
screenshot
• Updated instructions in section B.4 for
Trainee Diversity Report, Participants
section D.1
• Updated instructions in sections D.2.b
and D.2.c to align with updated Other
Support format instructions
• Updated instructions for section G.4
Human Subjects
• Updated instructions for G.1 Special
NOA and FOA Reporting
Requirements for Fellowship RPPR
• Updated instructions for G.1 Special
NOA and FOA Reporting
Requirements for Training RPPR
• Updated instructions for B.4 for
Training and Education RPPRs
OPERA, eRA
• Minor text edits
Communications &
• Updated directions for Editing
Documentation
Inclusion Enrollment Data (section
5.3.4)
• Added references to new element
Unique Entity Identifier (UEI)
throughout document
• Added section 5.2 Access RPPR from
Closeout
• Added section 5.12 Final Progress
Report Additional Materials (FRAM)
• Added section 5.13 Interim Report
Additional Materials (IRAM)
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June 23, 2022
NIH RPPR Instruction Guide
•
•
•
•
Updated instructions for SBIR/STTR
RPPRs
Updated text in 5.11 and 6.9
Updated 6.8 Section H Budget form
instructions
Updated screenshots and instructions
to reflect the new “look and feel” of
eRA screens.
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NIH RPPR Instruction Guide
Table of Contents
1
Purpose .......................................................................................................................................... 11
1.1
NIH ........................................................................................................................................... 11
1.2
Agency for Healthcare Research and Quality (AHRQ) ........................................................... 11
1.3
Department of Veterans Affairs (VA) ...................................................................................... 11
2
Background and Paperwork Burden .......................................................................................... 11
3
RPPR Due Dates ........................................................................................................................... 12
4
5
3.1
NIH ........................................................................................................................................... 12
3.2
Agency for Healthcare Research and Quality (AHRQ) ........................................................... 13
Data Entry, PDF Attachments, and Style................................................................................... 13
4.1
Data or Text Box, and PDF Size Limits................................................................................... 13
4.2
PDF Attachments ..................................................................................................................... 13
4.3
Style.......................................................................................................................................... 14
Navigation...................................................................................................................................... 14
5.1
Initiate the RPPR ...................................................................................................................... 15
5.2
Accessing the RPPR From Closeout ........................................................................................ 20
5.2.1 Submitting Your Final Research Performance Progress Report ......................................... 22
5.3
Edit the RPPR........................................................................................................................... 23
5.3.1 Access RPPR From Status ................................................................................................... 23
5.3.2 Access RPPR From the RPPR Module in eRA Commons.................................................. 26
5.3.3 Accessing a Single-Project RPPR for Editing ..................................................................... 26
5.3.4 Accessing a Multi-Project and Single-Project with Complicated Structure RPPR for Editing
27
5.3.5 Editing the RPPR Forms ...................................................................................................... 30
5.3.6 Editing Inclusion Enrollment Data ....................................................................................... 33
5.3.7 Editing the RPPR Budget Forms ......................................................................................... 38
5.4
Check RPPR for Errors and Warnings ..................................................................................... 41
5.4.1 Checking for Errors on Single-Project RPPRs ..................................................................... 41
5.4.2 Checking for Errors on a Multi-Project RPPR .................................................................... 42
5.5
Route the RPPR........................................................................................................................ 43
5.6
Recall the RPPR ....................................................................................................................... 45
5.7
Submit the RPPR to Agency .................................................................................................... 46
5.7.1 Submission Errors and Warnings for Multi-Project RPPRs ................................................ 48
5.8
View the RPPR......................................................................................................................... 48
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NIH RPPR Instruction Guide
5.9
View Routing History .............................................................................................................. 49
5.10 Viewing the Completed RPPR in Commons ........................................................................... 50
5.11 Public Access Progress Report Additional Materials (PRAM) ............................................... 53
5.11.1 Initiate Public Access PRAM ............................................................................................... 53
5.11.2 Recall Public Access PRAM ............................................................................................... 56
5.11.3 Submit Public Access PRAM .............................................................................................. 57
5.11.4 View Public Access PRAM for Multi-Year Funded Awards .............................................. 59
5.12 Final Progress Report Additional Materials (FRAM) .............................................................. 60
5.12.1 Uploading Final Report Additional Materials ..................................................................... 62
5.12.2 Submitting FRAM ............................................................................................................... 64
5.13 Interim Report Additional Materials (IRAM) .......................................................................... 66
5.14 Agency Requested Progress Report Additional Materials (PRAM) ........................................ 69
5.14.1 Initiate Agency Requested PRAM ....................................................................................... 69
5.14.2 Recall Agency Requested PRAM......................................................................................... 72
5.14.3 Submit Agency Requested PRAM ....................................................................................... 73
5.14.4 View Agency Requested PRAM from Status Information ................................................... 75
6
7
Instructions for RPPR Sections A–I ........................................................................................... 77
6.1
Section A – Cover Page ........................................................................................................... 78
6.2
Section B – Accomplishments ................................................................................................. 80
6.3
Section C – Products ................................................................................................................ 83
6.4
Section D – Participants ........................................................................................................... 90
6.5
Section E – Impact ................................................................................................................... 96
6.6
Section F – Changes ................................................................................................................. 97
6.7
Section G – Special Reporting Requirements ........................................................................ 100
6.8
Section H – Budget [Applicable to non-SNAP awards only] ................................................ 113
6.9
Section I – Outcomes ............................................................................................................. 116
Supplemental Instructions for Specific Grant RPPR Types .................................................. 117
7.1
Individual Career Development (K) RPPRs .......................................................................... 118
7.2
Fellowship RPPRs .................................................................................................................. 121
7.3
SBIR/STTR RPPRs ................................................................................................................ 122
7.4
Training RPPRs ...................................................................................................................... 124
7.5
Education RPPRs ................................................................................................................... 128
7.6
Multi-Project RPPRs and Single-Project RPPRs with Complicated Structure ...................... 130
7.6.1 Overall ............................................................................................................................... 130
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7.6.2 Component Instructions ..................................................................................................... 133
8
Assurances/Certifications .......................................................................................................... 136
9
Government Use of Information Under the Privacy Act ........................................................ 137
Table of Figures
Figure 1 RPPR Navigation Links from Cover Page ................................................................................. 15
Figure 2 Status Screen and List of Applications/Grants Links ................................................................. 15
Figure 3 RPPR Link on Status Result – List of Applications/Grants ....................................................... 16
Figure 4 Multi-Year Award RPPR Link ................................................................................................... 17
Figure 5 Manage RPPR List of Grant Applications .................................................................................. 17
Figure 6 RPPR Menu for Initiating the Report ......................................................................................... 20
Figure 7 Requires Closeout Button ........................................................................................................... 21
Figure 8 Closeout Status Screen................................................................................................................ 21
Figure 9 Final RPPR Menu ....................................................................................................................... 22
Figure 10 Status Screen and List of Applications/Grants Links ............................................................... 24
Figure 11 RPPR Link on Status Result – List of Applications/Grants ..................................................... 25
Figure 12 Multi-Year Funded Award RPPR Link .................................................................................... 26
Figure 13 Manage RPPR List of Grant Applications................................................................................ 26
Figure 14 RPPR Actions ........................................................................................................................... 27
Figure 15 RPPR Menu Options for Multi-Project RPPRs ........................................................................ 28
Figure 16 Edit Option for Overall ............................................................................................................. 29
Figure 17 Add New Component Popup .................................................................................................... 30
Figure 18 RPPR Cover Page and Section Navigation Links .................................................................... 31
Figure 19 Add Button ................................................................................................................................ 31
Figure 20 Total Remaining Characters ..................................................................................................... 32
Figure 21 Table Tools ............................................................................................................................... 32
Figure 22 Filter Table Field ...................................................................................................................... 32
Figure 23 Column Sort Options ................................................................................................................ 32
Figure 24 Download Tool ......................................................................................................................... 33
Figure 25 Grid Tool................................................................................................................................... 33
Figure 26 Navigation Tools ...................................................................................................................... 33
Figure 27 Human Subjects Link in Question G.4 ..................................................................................... 34
Figure 28 Manage IERs for Single Project ............................................................................................... 34
Figure 29 Adding/Editing an Inclusion Enrollment Report ...................................................................... 35
Figure 30 Inclusion Enrollment Report Fields .......................................................................................... 36
Figure 31 Cumulative (Actual) Enrollment Table .................................................................................... 37
Figure 32 RPPR H. Budget - Questions H.1 Budget Form & H.2 Subaward Budget Form .................... 39
Figure 33 Organizational UEI on SF 424 Research & Related Budget .................................................... 40
Figure 34 SF 424 R&R Budget Form - Question F.5 ............................................................................... 41
Figure 35 Check for Errors option on RPPR Menu for a Single-Project RPPR ....................................... 42
Figure 36 RPPR Error Messages (Examples) ........................................................................................... 42
Figure 37 Check for Errors Links for Multi-Project RPPRs ..................................................................... 43
Figure 38 Errors and Warnings for One Component of a Multi-Project RPPR ........................................ 43
Figure 39 RPPR Menu – Route Option..................................................................................................... 44
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Figure 40 Route RPPR to Next Reviewer ................................................................................................. 44
Figure 41 Route RPPR to Next Reviewer Success Message .................................................................... 45
Figure 42 RPPR Menu – Recall Option .................................................................................................... 45
Figure 43 RPPR Successfully Recalled .................................................................................................... 46
Figure 44 Submit Option on RPPR Menu................................................................................................. 46
Figure 45 Successful Submission Message ............................................................................................... 48
Figure 46 Sample of Multi-Project RPPR Error Messages ....................................................................... 48
Figure 47 RPPR Menu – View the RPPR Option ..................................................................................... 49
Figure 48 RPPR Menu – View Routing History Option........................................................................... 49
Figure 49 RPPR Routing History .............................................................................................................. 49
Figure 50 Status Menu Option – List of Applications/Awards ................................................................. 50
Figure 51 Application ID hyperlink .......................................................................................................... 51
Figure 52 Status Information Screen – e-Application Link ...................................................................... 52
Figure 53 Status Information Screen for Multi-Year RPPR ..................................................................... 52
Figure 54 Public Access PRAM Link ....................................................................................................... 54
Figure 55 Routing the Public Access PRAM ............................................................................................ 54
Figure 56 Route Public Access PRAM to Next Reviewer ........................................................................ 55
Figure 57 Public Access PRAM PD/PI Assurance Statement .................................................................. 55
Figure 58 Successfully Routed Public Access PRAM .............................................................................. 56
Figure 59 Recall Button for Public Access PRAM ................................................................................... 56
Figure 60 Public Access PRAM Link for SO ........................................................................................... 57
Figure 61 Submitting Public Access PRAM ............................................................................................. 58
Figure 62 SO Certification of Public Access PRAM ................................................................................ 58
Figure 63 Public Access PRAM Submitted to Agency............................................................................. 58
Figure 64 Status Results Showing Hyperlink for Application ID ............................................................. 59
Figure 65 MYF Award PRAM Link in Status Information ...................................................................... 60
Figure 66 Final Progress Report Additional Materials ............................................................................. 61
Figure 67 Closeout Status ......................................................................................................................... 62
Figure 68 Closeout Final Report Additional Materials Request in Status Information ............................ 63
Figure 69 Final Progress Report Additional Materials Success Message ................................................. 63
Figure 70 Closeout Status FRAM Uploaded message in Status column .................................................. 64
Figure 71 Closeout Status FRAM Update link in Action column ............................................................ 64
Figure 72 Final Progress Report Additional Materials ............................................................................. 65
Figure 73 Submit FRAM to Agency ......................................................................................................... 65
Figure 74 Final Progress Report Additional Materials ............................................................................. 66
Figure 75 Interim Progress Report Additional Materials .......................................................................... 66
Figure 76 IRAM Button ............................................................................................................................ 67
Figure 77 IRAM option on Grouped and Flat View of Status .................................................................. 67
Figure 78 Interim Progress Report Additional Materials .......................................................................... 68
Figure 79 Interim Progress Report Additional Materials .......................................................................... 68
Figure 80 Agency Requested PRAM Link ............................................................................................... 69
Figure 81 Add Attachment Button for Agency Requested PRAM ........................................................... 70
Figure 82 Routing the Agency Requested PRAM .................................................................................... 70
Figure 83 Route Agency Requested PRAM to Next Reviewer ................................................................ 71
Figure 84 Agency Requested PRAM PD/PI Assurance Statement........................................................... 71
Figure 85 Successfully Routed Agency Requested PRAM ...................................................................... 72
Figure 86 Recall Button for Agency Requested PRAM ........................................................................... 72
Figure 87 Agency Requested PRAM Link for SO.................................................................................... 73
Figure 88 Submitting Agency Requested PRAM ..................................................................................... 74
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Figure 89 SO Certification of PRAM ....................................................................................................... 74
Figure 90 Agency Requested PRAM Submitted to Agency ..................................................................... 75
Figure 91 Grant Number Hyperlink on PRAM Screen ............................................................................. 76
Figure 92 Application ID Hyperlink on Status Result for PIs .................................................................. 76
Figure 93 Application ID Hyperlink on Status Result for SOs ................................................................. 76
Figure 94 Status Information with PRAM Link ....................................................................................... 77
Figure 95 PDF of Multiple Submitted PRAM .......................................................................................... 77
Figure 96 Section A, cover page ............................................................................................................... 79
Figure 97 RPPR Section B. Accomplishments – Question B1 ................................................................. 80
Figure 98 RPPR Section B. Accomplishments – Questions B2 & B3...................................................... 81
Figure 99 RPPR Section B. Accomplishments – Question B4 ................................................................. 82
Figure 100 RPPR Section B. Accomplishments – Question B5 ............................................................... 83
Figure 101 RPPR Section B. Accomplishments – Question B6 ............................................................... 83
Figure 102 RPPR Section C. Products – Question C1 .............................................................................. 86
Figure 103 RPPR Section C. Products – Questions C2 & C3 .................................................................. 88
Figure 104 RPPR Section C. Products – Questions C4 & C5 .................................................................. 90
Figure 105 RPPR Section D. Participants – Question D1 ........................................................................ 93
Figure 106 RPPR Section D. Participants – Questions D2a & D2b ......................................................... 94
Figure 107 RPPR Section D. Participants – Questions D2c – D2e .......................................................... 96
Figure 108 RPPR Section E. Impact – Questions E1 through E4 ............................................................. 97
Figure 109 RPPR Section F. Changes – Questions F1 & F2 .................................................................... 98
Figure 110 RPPR Section F Changes- Question F3................................................................................ 100
Figure 111 RPPR Section G. Special Reporting Requirements – Questions G1 through G3 ................ 101
Figure 112 Human Subjects Link............................................................................................................ 101
Figure 113 HSCT Post Submission tab in ASSIST (for Human Subjects) ............................................. 102
Figure 114 Question G.4 for AHRQ Recipients Only ........................................................................... 103
Figure 115 Section 1: Basic Information of HSCT Tab in ASSIST with Populate Button .................... 105
Figure 116 Clinical Trial Milestone Plan, which is on the HSCT form in the Human Subjects System
(HSS) ....................................................................................................................................................... 106
Figure 117 RPPR Section G. Special Reporting Requirements – Question G.4 .................................... 108
Figure 118 RPPR Section G. Special Reporting Requirements – Questions G5 through G7 ................ 109
Figure 119 RPPR Section G. Special Reporting Requirements – Question G8 ..................................... 110
Figure 120 RPPR Section G. Special Reporting Requirements – Question G9 ..................................... 111
Figure 121 RPPR Section G. Special Reporting Requirements – Questions G10 through G12f ........... 113
Figure 122 Section H.Budget of RPPR for a Non-SNAP Award ........................................................... 114
Figure 123 SF 424 Research & Related Budget Form Opened for Editing ............................................ 115
Figure 124 SF 424 R&R Budget Form - Question F.5 ........................................................................... 116
Figure 125 Section I. Outcomes .............................................................................................................. 117
Figure 126 SF 424 R&R Budget Form - Question F.5 ........................................................................... 120
Figure 127 SF 424 R&R Budget Form - Question F.5 ........................................................................... 128
Figure 128 D.1 Specifying the Components for an Added Individual ................................................... 131
Figure 129 SF 424 R&R Budget Form - Question F.5 ........................................................................... 133
Figure 130 Sample of Section A. Cover Page for a Component............................................................. 134
Figure 131 SF 424 R&R Budget Form - Question F.5 ........................................................................... 136
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NIH RPPR Instruction Guide
1
Purpose
The purpose of this document is to provide those preparing the Research Performance Progress Report
(RPPR) with an explanation of the RPPR module in the eRA Commons and the information required in
the report. This document also provides the steps for accessing and completing the report in eRA
Commons, as well as navigating, validating, routing, and submitting the RPPR to the awarding agency.
1.1
NIH
The RPPR is required for all annual non-competing (Type 5) NIH awards and final progress reports
(Final-RPPR), including SBIR/STTR awards. NIH requires the submission of an “Interim-RPPR” if the
recipient organization has submitted a renewal application (Type 2) on or before the due date by which a
Final-RPPR would be required for the current competitive segment. Annual, interim, and final progress
reports submitted in any format other than the RPPR will not be processed by the NIH and will require
resubmission through the RPPR. Refer to notices NOT-OD-17-022, NOT-OD-17-037, NOT-OD-17085, NOT-OD-13-035, NOT-OD-14-026 and NOT-OD-14-092 and NOT-OD-15-014 for more
information.
1.2
Agency for Healthcare Research and Quality (AHRQ)
All Agency for Healthcare Research and Quality (AHRQ) recipients are required to use the eRA
Commons RPPR module. The RPPR includes numerous references to the NIH Grants Policy Statement
8.1.2 requirement that significant changes in objectives and scope require prior approval of the agency;
for AHRQ recipients the analogous requirement is in the HHS Grants Policy Statement under “Prior
Approval Requirements.”
1.3
Department of Veterans Affairs (VA)
Progress reports (RPPRs) are required to continue support of a VA-ORD award for each budget year
within a competitive segment. Interim reports are due when the project period is over and the award is
not in Closeout (i.e., a renewal application is pending or has been selected for funding). If the pending
renewal application is not funded, the Interim report becomes the Final report. Final reports are required
for any funded award that has ended and will not be extended through renewal. Note: For VA awards the
outcomes are not published. Guidance on completing report content specific to VA-ORD requirements,
as well as navigating, validating, routing and submitting the report to VA-ORD for review and approval
can be found at: https://www.research.va.gov/resources/RPPR.cfm. It is important to review the VAORD instructions as there are sections where specific VA-ORD information is requested that differs
from that noted within the NIH progress report template:
https://grants.nih.gov/grants/guide/notice-files/NOT-OD-17-022.html
https://grants.nih.gov/grants/guide/notice-files/NOT-OD-17-037.html
2
Background and Paperwork Burden
The NIH Research Performance Progress Report (RPPR) implements the uniform reporting format for
interim research progress reporting developed under the auspices of the National Science and
Technology Council, through the Committee on Science and the Research Business Models
Subcommittee, and established by the Office of Management and Budget for use by agencies that
support research and research-related activities.
For NIH and AHRQ, all progress reports must be submitted using the RPPR. Other PHS agencies that
may eventually utilize the NIH RPPR are the Food and Drug Administration, and Centers for Disease
Control and Prevention.
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Non-NIH agencies may have requirements that differ from those for NIH recipients; refer to the Notice
of Award (NoA) or contact the Grants Management Specialist named in the NoA.
Progress reports are required to continue support of a PHS grant for each budget year within a
competitive segment. NIH has implemented the Final and Interim-RPPR for final progress reporting
here: https://grants.nih.gov/grants/funding/finalprogressreport.pdf.
AHRQ recipients can find instructions for submitting a Final Progress Report at
https://www.ahrq.gov/funding/grant-mgmt/reptemp.html.
PHS estimates that it will take approximately 15 hours to complete this progress report. 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. If you have comments regarding the burden estimate or
other aspect of the collection of information, including suggestions for reducing the burden, send
comments to: NIH, Project Clearance Office, 6705 Rockledge Drive MSC 7974, Bethesda, MD 208927974, ATTN: PRA (0925-0002). Do not send progress reports to this address.
3
RPPR Due Dates
Recipients can determine which progress reports are due through the website located at:
https://public.era.nih.gov/commons/public/quickqueries/progressReportByIpf.era and should
periodically check the site, which is updated on or around the 30th of each month. Progress report due
dates are also available in the eRA Commons Status system. In addition, automatic e-mail notifications
are sent to the PD/PI prior to due date.
3.1
NIH
•
SNAP: If an award is issued under the SNAP (Streamlined Noncompeting Award Process)
provisions, the progress report is due the 15th of the month preceding the month in which the
budget period ends (e.g., if the budget period ends 11/30, the due date is 10/15). If the 15th falls
on a weekend or Federal holiday, the due date is automatically extended to the next business day.
Recipients should consult the NoA to determine when SNAP procedures apply.
•
Non-SNAP: If an award is not issued under the SNAP provisions, the progress report is due the
first of the month preceding the month in which the budget period ends (e.g., if the budget period
ends 11/30, the due date is 10/1).
•
Fellowships: For Fellowships, the progress report is due two months before the beginning date of
the next budget period. Occasionally, the Notice of Award (NoA) will indicate a different due
date which will supersede these dates.
•
MYF: Progress Reports for MYF awards are due annually on or before the anniversary of the
budget/project period start date of the award. The reporting period for a MYF progress report is
the calendar year preceding the anniversary date of the award.
•
Final RPPR: Final progress reports are due within 120 days of the end of the period of
performance.
•
Interim RPPR: Interim progress reports are due within 120 days of the end of the period of
performance. Interim progress reports are only required when a renewal application (Type 2) has
been submitted to the NIH for consideration on or before the due date by which a F-RPPR would
be due for a competitive segment. If the Type 2 is not funded, the Interim-RPPR will serve as the
Final-RPPR for the project. If the Type 2 is funded, the Interim-RPPR will serve as the annual
RPPR for the final year of the previous competitive segment.
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3.2
Agency for Healthcare Research and Quality (AHRQ)
All AHRQ RPPRs are due 3 months before the anniversary of the award. For example, for an FY2021
award issued with a start date of 2/1/2021, the annual progress report (RPPR) for the award to be issued
in FY2022 is due 11/1/2021 (i.e., three months before the FY2022 budget period start date of 2/1/2022).
If the due date falls on a weekend or federal holiday, the due date is automatically extended to the next
business day.
Please note that AHRQ does not participate in the SNAP (Streamlined Noncompeting Award Process)
initiative. AHRQ recipients are to submit detailed budgets for the parent organization and for each
consortium involved in the project.
4
Data Entry, PDF Attachments, and Style
4.1
Data or Text Box, and PDF Size Limits
Most text entry boxes have an 8,000 character limit (~3 pages); this limit is standardized across federal
agencies implementing the RPPR and entry of more than 8,000 characters is prevented by the system. In
an effort to reduce recipient burden and encourage concise responses NIH has stated the recommended
length of the response for some questions and, for agency-specific questions has limited the length of the
response with text boxes with a limit of less than 8,000 characters. AHRQ recipients should follow NIH
recommended lengths for text entries.
Warning: Text exceeding 8,000 characters is cut to 8,000 when using the cut and paste feature.
PDF file uploads (attachments) do not have page limits, but may not be more than 6 megabytes (6MB).
PDF attachments are utilized when there may be a need for a recipients to provide considerable detail
(e.g., change in human subject protocols that requires a new or revised Protection of Human Subjects
section as described in Part II of the competing application instructions). Even when developing PDF
responses, recipients are encouraged to be concise and avoid unnecessary detail.
IMPORTANT: Do Not Include Personal Identifiable Information (PII) Or Protected Health
Information (PHI) In the RPPR
Sensitive PII (e.g., Social Security Number, personal financial information, Alien Registration Number)
and PHI (e.g., personal medical conditions) require strict handling due to the increased risk to an
individual if the data is compromised. Documents containing sensitive PII or PHI must not be included
in the RPPR.
NIH GRANTS ONLY: Additional information on this topic can be found in this FAQ or by contacting
your IC Privacy Coordinator.
4.2
PDF Attachments
Recipients should generate text attachments using any word processing software and then convert those
files to PDF before attaching the files to the appropriate section in the progress report. PDF files
uploaded to RPPR in sections D.2.b and D.2.c are required to be flattened PDFs; see more information
on flattened PDFs.
The PDF format is used to preserve document formatting. All PDF attachments must be submitted as
individual files. Although some software packages allow bundling of multiple PDFs into a single file,
eRA systems cannot support “Bundling” or “Portfolio” features at this time. Use of these features may
result in delays in agency acceptance of the progress report. Paginated PDF files are also discouraged
since they can interfere with system pagination of the entire RPPR document upon submission to the
agency. File names will be used and displayed in the assembled PDF submitted to the agency.
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NIH RPPR Instruction Guide
Save all files with descriptive file names of 50 characters or less and be sure to only use standard
characters in file names: A through Z, a through z, 0 through 9, and underscore (_). Do not use any
special characters (example: &, -, *, %, /, and #) or spacing in the file name, and for word separation use
an underscore (e.g., My_Attached_File.pdf).
Use an Arial, Helvetica, Palatino Linotype, or Georgia typeface, a black font color, and a font size of 11
points or larger. (A Symbol font may be used to insert Greek letters or special characters; the font size
requirement still applies.) Type density, including characters and spaces, must be no more than 15
characters per inch. Type may be no more than six lines per inch.
Use standard paper size (8 ½" x 11). Use at least one-half inch margins (top, bottom, left, and right) for
all pages. No information should appear in the margins, including the PI’s name and page numbers.
4.3
Style
Use English and avoid jargon. Abbreviations and language that may not be known to the broader
scientific community should be avoided unless clearly defined. Internet Web site addresses (URLs)
should not be used unless provided under C.2.
5
Navigation
The RPPR is completed using the eRA Commons system. The report in Commons consists of separate
screens for each of the sections listed below:
•
A Cover Page
•
B Accomplishments
•
C Products
•
D Participants
•
E Impact
•
F Changes
•
G Special Reporting Requirements
•
H Budget
•
I Outcomes
To open an RPPR for editing, users click the three-dot ellipsis icon next to Award Number and select
Edit RPPR. Users may work on various sections in any order, however, it is important to click the Save
button in the navigation bar before leaving a screen in order to retain data entered on that screen. Upon
submission to the awarding agency, the system will generate a PDF of the progress report, which may be
viewed from the RPPR Menu screen using the View button.
Once submitted, the final RPPR, in PDF format, is accessible in Commons via the Status Information
screen. Refer to the section titled Viewing the Completed RPPR in Commons for detailed steps.
Note that a link to a site outside the RPPR (e.g., U.S. Select Agency Registry in F.3.d, or the NIH human
embryonic stem cell Registry in G.6) opens a site in a new browser window. You must close that
window to return to the RPPR. Do not close the browser or use the browser’s back button.
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Figure 1 RPPR Navigation Links from Cover Page
5.1
Initiate the RPPR
Only the PD/PI or the PD/PI delegate may initiate an RPPR. When there are multiple PIs (MPI), only the
Contact PI or the PD/PI delegate of the Contact PI may initiate the report. To initiate, the user can
choose from one of two ways to access the RPPR functionality:
1. Access RPPR from Status:
a. Select the Status tab from the Commons menu options.
b. Select the List of Applications/Grants option from the Status screen.
Figure 2 Status Screen and List of Applications/Grants Links
c. From the Status Result – List of Applications/Grants screen, locate the grant and
select the RPPR link from the Action column for the specific grant. The RPPR
link for the current reporting period is available once the Notice of Award for the
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prior year has been issued. This link remains available until the RPPR for the
current reporting year has been submitted.
For multi-year funded awards, the link will display as RPPR Year , the representing the
reporting year. The link for a multi-year funded award is available two months prior to the RPPR due
date for the current reporting period and remains available until the RPPR is submitted. Note that AHRQ
has not yet implemented the RPPR for multi-year funded awards.
NOTE: While RPPR Year links for multiple years may appear at the same time in Status, you
are prevented from initiating a reporting year’s progress report until the progress report(s) of the
previous year(s) has been submitted.
Figure 3 RPPR Link on Status Result – List of Applications/Grants
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Figure 4 Multi-Year Award RPPR Link
–OR–
1. Access RPPR from RPPR tab:
a. Select the RPPR tab from the Commons menu options.
The Manage RPPR screen displays. Manage RPPR is used to view the progress reports to which the user
has access and allows the user to select a progress report in order to perform various actions. PD/PIs or
users delegated PD/PI updating authority uses the Manage RPPR screen to view their own progress
reports. SOs and AOs use the screen to search for grants from their institutions and/or for grants routed
to them for review.
b. Select the specific grant by clicking the hyperlink in the Grant Number column on
the Manage RPPR screen.
Figure 5 Manage RPPR List of Grant Applications
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If an RPPR exists already, Commons displays the report for editing.
The RPPR Menu screen displays. The options for the uninitiated report are Initiate and Cancel. Once an
RPPR is in progress, other options are enabled. These options are discussed later, following the steps for
initiation.
NOTE: For multi-year funded awards, the following message displays when attempting to initiate an
RPPR if the previous year’s report has not been submitted:
The Multi-Year RPPR for the previous year must be submitted prior to initiating this Multi- Year
RPPR.
The RPPR Menu screen includes the following fields:
Award Number
This is the complete number of the grant
PD/PI Name
The PD/PI of the grant award for which the progress report is being prepared. In the case of MPIs, a list
of PD/PI names displays with the Contact PD/PI indicated by the word Contact.
Project Title
The project title of the grant
Due Date
NIH
The due date of the progress report for awards issued under the SNAP (Streamlined Noncompeting
Award Process) provisions is the 15th of the month preceding the month in which the budget period ends
(e.g., if the budget period ends 11/30, the due date is 10/15). If the award is not issued under SNAP
provisions, the progress report is due the first of the month preceding the month in which the budget
period ends (e.g., if the budget period ends 11/30, the due date is 10/1). If the due date falls on a
weekend or federal holiday, the due date is automatically extended to the next business day. Progress
reports for Fellowships are due two months before the beginning date of the next budget period.
Occasionally the Notice of Award (NoA) will indicate a different due date which will supersede these
dates. Recipients should consult the NoA to determine when SNAP procedures apply.
AHRQ
All AHRQ RPPRs are due 3 months before the anniversary of the award. For example, for an FY2021
award issued with a start date of 2/1/2021, the annual progress report (RPPR) for the award to be issued
in FY2022 is due 11/1/2021 (i.e., three months before the FY2022 budget period start date of 2/1/2022).
If the due date falls on a weekend or federal holiday, the due date is automatically extended to the next
business day.
Current Reviewer
The name of the current reviewer or organization (e.g., PD/PI name, NIH). This value is blank before the
RPPR is initiated.
Status
The current state of the progress report. Possible values are as follows: Not Started, PD/PI Work in
Progress, Reviewer Work in Progress, and Submitted to Agency.
Buttons or Actions Available in Three-Dot Ellipsis Menu
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Available actions, most of which are found by clicking the three-dot ellipsis icon next to the Award
Number, vary depending on the status of the RPPR and/or the limitations of the current user’s role. The
possible available actions include the following:
•
Initiate button: Begins the RPPR process. Available for grants with a status of Not Started.
Access is granted to PD/PIs and PD/PI delegates. An RPPR can be initiated even if required
information in the Personal Profile and Institution Profile sections is missing. If any of this
information is incorrect or missing, a prompt will appear to correct/complete the information
after initiating the report. Processing may continue on the RPPR without making the corrections;
however, the RPPR will not pass validations for submission to the agency until the errors are
corrected.
•
Edit RPPR: Click the three-dot ellipsis icon next to Award Number and select Edit RPPR to
open the RPPR for edits. Available for progress reports with a status of Work in Progress (WIP).
Access is granted to PD/PIs or PD/PI delegates when the PD/PI is the current reviewer, AOs
when the AO is the current reviewer, and SOs when the SO is the current reviewer. The Edit
RPPR option allows the user to view and edit RPPR information.
•
View RPPR as PDF: Click the three-dot ellipsis icon next to Award Number and select View
RPPR as PDF to open the RPPR report in PDF format, as it will be seen by the agency.
Available for progress reports with a status of Work in Progress (WIP) or Submitted to Agency.
Access is granted to PD/PIs, PD/PI delegates, and reviewers. Until the RPPR is submitted to
agency, the PDF report shows a status of Draft and a blank submission date.
•
Check for Errors: Click the three-dot ellipsis icon next to Award Number and select Check
for Errors to check the RPPR for any errors or warnings. Available for progress reports with a
status of Work in Progress (WIP). Access is granted to any user with access to the grant. The
RPPR can be validated at any time while in the status of WIP and can be validated multiple times.
•
View Routing History: Click the three-dot ellipsis icon next to Award Number and select View
Routing History to open a page that displays a routing history table. Available for progress
reports with a status of Work in Progress (WIP) or Submitted to Agency. Access is granted to
PD/PIs, PD/PI delegates, and reviewers.
•
Route to Next Reviewer: Click the three-dot ellipsis icon next to Award Number and select
Route to Next Reviewer to route the RPPR to the next reviewer for further review or corrections.
Available for progress reports with a status of Work in Progress (WIP). Access is granted to the
current reviewer. A PD/PI delegate cannot route an RPPR to the next reviewer.
•
Recall: Click the three-dot ellipsis icon next to Award Number and select Recall to recall
RPPRs that have been forwarded to another reviewer and resets the user as the current reviewer.
Available for reports with a status of Work in Progress (WIP). Access is granted to the last
reviewer (who recalls the report from the current reviewer). Signing Officials and PD/PIs can
recall an RPPR even if they are not the last reviewer whenever it has a status of Reviewer Work in
Progress. This is useful in situations when a RPPR has been routed to the wrong person or to
someone who is unavailable.
•
Submit: Click the three-dot ellipsis icon next to Award Number and select Submit to submit
the RPPR to the Agency. Available for reports with a status of Work in Progress (WIP). Access is
granted to the SO when the SO is the current reviewer and to the PD/PI when the PD/PI has been
delegated Progress Report authority.
NOTE: A PD/PI with Progress Report authority cannot submit a non-SNAP or F RPPR.
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•
Cancel button: Closes the RPPR Menu screen and returns the user to the previous screen.
2. Click the Initiate button to begin the RPPR.
Figure 6 RPPR Menu for Initiating the Report
Once initiated, Commons creates the report in a PD/PI Work in Progress status and sets the current
reviewer. A message displays as follows:
The RPPR has been successfully initiated.
NOTE: If at any time initiation fails due to business rules validations, error or warning messages
display on the screen.
Once initiated, begin editing by clicking the three-dot ellipsis icon next to Award Number and selecting
Edit RPPR. The RPPR is accessed for editing via the RPPR Menu screen. The editing feature for singleproject RPPRs is different from those of multiproject RPPRs. The steps for accessing each type of RPPR
are outlined in the sections that follow. Refer to Accessing the RPPR From Closeout, Accessing a
Single-Project RPPR for Editing or Accessing a Multi-Project and Single-Project with Complicated
Structure RPPR for Editing as appropriate.
5.2
Accessing the RPPR From Closeout
You can access the RPPR from Closeout. The following procedure is from the point of view of a signing
official.
To access the RPPR from Closeout:
1. Go to the Status module, click the Requires Closeout button in the Actions column for a
grant.
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Figure 7 Requires Closeout Button
2. On the Closeout Status screen that appears, click the Process Final RPPR link.
Figure 8 Closeout Status Screen
3. On the Final RPPR Menu screen that appears, click the Initiate button to start the RPPR.
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Figure 9 Final RPPR Menu
Once initiated, Commons creates the report in a PD/PI Work in Progress status and sets you as the
current reviewer. A message displays as follows:
The RPPR has been successfully initiated.
5.2.1 Submitting Your Final Research Performance Progress Report
As of January 1, 2017, a Final Research Performance Progress Report (Final RPPR) is required for any
grant that has ended and any grant that is not to be extended through award of a new competitive
segment. The report is due within 120 days of the end of the project period. This report should be
prepared in accordance with instructions provided by the awarding component. See NIH Implementation
of Final Research Performance Progress Reports (Final RPPR) — Guide Notice NOT-OD-17-022
Effective February 9, 2017, if the recipient organization has submitted a renewal application on or before
the date by which a Final Research Performance Progress Report (Final-RPPR) would be required for
the current competitive segment, then submission of an "Interim RPPR" via eRA Commons is now
required. The Interim RPPR (IRPPR) will be used for the submission of a Competing Renewal
application (Type 2). See NIH Implementation of the Interim RPPR while a Renewal Application is
Under Consideration — Guide Notice NOT-OD-17-037.
Both the Interim RPPR and the Final RPPR are currently identical in process and information
required. The difference between the two is when and where they are made available to initiate and
submit. The Interim RPPR link will be made available to the Signing Official (SO) in the Status screen
when a grant is eligible for submission of a Competing Renewal application.
The Final RPPR is only available as part of the Closeout process and the Process Final RPPR link only
appears on the Closeout Status screen.
The format of the Interim RPPR and the Final RPPR are the same as the annual RPPR, making it easier
for recipients to navigate through both the Interim and the Final RPPR, based on familiarity with the
format of the annual RPPR.
Differences between Interim/Final RPPR and the annual RPPR are few:
•
In the Interim/Final RPPR, only Section D.1 is required in the Participants section
•
Sections F: Changes and Section H: Budget are not part of the Interim/Final RPPR
•
Section I: Outcomes. Section I is required for both the Interim/Final RPPR
Note about Interim RPPR and Final RPPR
The Interim RPPR (IRPPR) is used when you are submitting a Competing Renewal application (Type 2).
If you opt NOT to apply for a Competing Renewal, complete the Final RPPR as you normally would
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within 120 days of the project end date. If you are going to complete a Competing Renewal application
(or have already submitted such an application), you will submit an Interim RPPR. This must be
submitted within 120 days of the project end date.
If you are awarded the renewal, the Interim RPPR will be treated as your annual RPPR and no other
progress reporting will be needed for that segment of the study. If the application is NOT awarded, then
the Interim RPPR will be accepted as the Final RPPR.
To submit your Final RPPR:
1.
Select the Requires Closeout link for the grant from Status search results.
The Closeout Status screen displays. Final RPPR is listed in the Closeout Submission
Requirement column. The Action column should include a link for Process Final RPPR.
2.
From Closeout Status, select the Process Final RPPR link.
3.
Clicking the Process Final RPPR link opens the Final RPPR Menu screen:
4.
Click the Initiate button to create the Final RPPR.
The Final RPPR Menu will then change, providing the user with the option to Edit the Final
RPPR:
5.3
5.
Selecting Edit RPPR from the three-dot ellipsis menu opens the navigation to the various
sections of the Final RPPR:
6.
Complete each section as required.
7.
Be sure to click SAVE when moving between sections or unsaved data may be lost.
8.
When done, click Cancel to return Final RPPR Menu screen.
9.
In the Final RPPR Menu screen, there are several actions in the three-dot ellipsis menu
next to the Award Number that you can use to complete the Final RPPR: For more
information on these options, see RPPR online help.
Edit the RPPR
Once an RPPR is initiated, its status becomes PD/PI Work in Progress and it becomes available for
editing. The PD/PI or delegate uses the Edit RPPR option in the three-dot ellipsis menu for viewing and
completing the report. Additionally, this option is available to the SO or AO when that user is the current
reviewer of the report.
NOTE: For RPPRs with multiple PD/PIs (MPI awards), only the Contact PD/PI has access to the
Edit RPPR option unless the Contact PD/PI has granted progress report authority to other PD/PIs.
Without this authority, MPIs can only view the RPPR PDF and its routing history.
There are two means of accessing the progress report for editing. These are similar methods used for
initiating the report and are as follows:
5.3.1 Access RPPR From Status
1. Select the Status tab from the Commons menu options.
2. Select the List of Applications/Grants link from the Status screen.
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Figure 10 Status Screen and List of Applications/Grants Links
3. From the Status Result – List of Applications/Grants screen, locate the grant and select the
RPPR, Interim RPPR, or Final RPPR link from the Action column for the specific grant.
For multi-year funded awards, the link will display as RPPR Year , the
representing the reporting year.
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Figure 11 RPPR Link on Status Result – List of Applications/Grants
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Figure 12 Multi-Year Funded Award RPPR Link
5.3.2 Access RPPR From the RPPR Module in eRA Commons
1. Select RPPR from the Commons menu options.
2. Select the specific grant by clicking the hyperlink in the Award Number column on the
Manage RPPR screen. SOs/AOs must perform a query first.
Figure 13 Manage RPPR List of Grant Applications
The appropriate RPPR Menu screen – either for single-project or multi-project RPPRs – displays with
editing options. To see the actions available on the RPPR, including the Edit RPPR option, click the
three-dot ellipsis icon next to Award Number and a menu appears.
5.3.3 Accessing a Single-Project RPPR for Editing
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For single-project awards, the RPPR Menu screen displays with a three-dot ellipsis menu next to Award
Number. Only those options which are currently possible appear; for instance, if you are editing the
RPPR, the Route.. action appears, but not the Recall, whereas if you just routed the RPPR, the Recall
action appears, but not the Route.. action. The following options are available either under the three-dot
ellipsis menu or as a button:
Edit RPPR
Check for Errors
View RPPR as PDF
View Routing History
Route to Next Reviewer
Cancel button
NOTE: Once an RPPR has been routed for review, the Recall action appears in the three-dot ellipsis
menu, while the Submit option disappears. These functions are covered in subsequent chapters.
Figure 14 RPPR Actions
Select Edit RPPR from the three-dot ellipsis menu to open the RPPR for editing.
Refer to the section of this document titled Editing the RPPR Forms for more information on editing the
forms.
5.3.4 Accessing a Multi-Project and Single-Project with Complicated Structure
RPPR for Editing
A multi-project RPPR is a progress report submitted for a funded program (activity code) which has
multiple, interrelated components sharing a common focus or objective.
A component (for the purposes of applications and progress reports) is a distinct, reviewable part of the
multi-project application or progress report for which there is a business need to gather detailed
information identified in the funding opportunity announcement (FOA).
Components typically include general information (component organization, project periods, project
title, etc.), performance sites, personnel, and budget. The FOA defines the construction and naming
convention for the application; the funded application defines the construction and naming convention
for the progress report.
For multi-project awards, the RPPR Menu screen displays the following available options under the
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three-dot ellipsis icon on the Application Information section of the screen:
View RPPR as PDF
View Routing History
Route to Next Reviewer
Cancel button
NOTE: Once an RPPR has been routed for review, the Recall and Submit buttons are enabled. These
functions are covered in subsequent chapters.
Figure 15 RPPR Menu Options for Multi-Project RPPRs
Overall
Below the Overall RPPR is a table showing components. For multi-component awards, the Yes radio
button on the Has components? field is selected.
The RPPR Menu for a multi-project RPPR without components does not include the component table
and the No radio button is selected for Has components?
To edit the RPPR for the Overall, click the three-dot ellipsis menu for the overall award in the top
section of the screen below) and select Edit RPPR.
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Figure 16 Edit Option for Overall
Individual Components
If the award has individual components (e.g., a multi-project award), each component must be reported in the
RPPR. To add components, select the Yes radio button next to the question Has components? Selecting Yes
displays the Add Component button for the individual components.
NOTE: Any individual components previously added will already be displayed in a table beneath
this feature. In this scenario, the “Has components?” option is set to Yes and disabled. This includes
components which were part of a previously submitted progress report for the grant.
To add an individual component:
1. Click the Add Component button. The Add New Component popup appears.
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Figure 17 Add New Component Popup
2. Enter the Component Project Title and select a Component Project Type from the
dropdown.
3. Click the Add Component button in the popup.
Added individual components display in a table beneath the Overall, showing the ID, Date,
Type, Title, and available actions under the three-dot ellipsis icon.
4. To edit a component’s RPPR, click its three-dot ellipsis menu, and select Edit
RPPR.
Refer to the section of this document titled Editing the RPPR Forms for more information on editing the
RPPR forms.
Individual components can be removed from the RPPR by clicking that component’s three-dot ellipsis
menu and selecting Delete; the component is deleted immediately. The delete option is not available for
Overall.
IMPORTANT: If you choose to delete a component, all data related to this component – including
all budget data – will be lost. This data cannot be recovered once it has been deleted.
5.3.5 Editing the RPPR Forms
After selecting the appropriate editing option, the RPPR section A. Cover Page displays. The Cover
Page includes information about the grant, PD/PI, signing and administrative officials, organization, and
project/reporting/budget periods. Some of this information may be auto- populated. For more
information on the Cover Page, refer to the section of this document titled Section A – Cover Page
located in the the Instructions for RPPR Sections A–I.
1. Update the information as necessary and select the Save button.
The Cover Page includes tabs at the top and links at the bottom of the page for navigating to the
other sections (e.g., Accomplishments, Participants), which may be completed in any order.
Before navigating to and from any of these sections, it is always necessary to select the Save
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button to save all changes on the current page. Navigating away from any page on the RPPR
without selecting Save results in the loss of any information entered prior to the last save.
Figure 18 RPPR Cover Page and Section Navigation Links
2. Sections can be completed in any order. To navigate and populate the other sections of the
RPPR, select the appropriate link from the top or bottom of the page.
The same navigational links appear on each section of the RPPR. For information on the
specific fields in each section refer to Chapter 6 Instructions for RPPR Sections A–I.
3. Complete the appropriate fields of the report.
Details for completing each section are discussed later in this document. Many of the fields on these
pages, however, behave in a similar manner and are discussed below.
+ Add Button
To use an Add button, click it to see a popup, then enter or select data into the appropriate fields.
Figure 19 Add Button
Items can be edited or deleted from the table using the actions listed under the three-dot ellipsis menu.
Text Box
All text boxes on the RPPR have character limits. The number of characters available is reflected
beneath each text box as characters are entered.
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Figure 20 Total Remaining Characters
Changing Saved Responses
While in WIP status, answers may be changed. A warning message displays as follows:
The entered/uploaded response will be deleted. Do you wish to continue?
The user editing the information can choose to Continue or Cancel the action. Choosing Continue
deletes the previous response, removes any attachments, and disables the relevant fields associated with
the question. Choosing Cancel cancels the change.
1. Select the Save button before navigating to the next page.
2. To return to the RPPR Menu, select the Cancel button.
When an RPPR is ready for review and submission, it is routed to the next reviewer. Refer to the section
of this document titled Route the RPPR for steps on routing to the next reviewer.
Table Tools
You might notice various icons above tables in RPPR. Several built-in table tools let you work with data
in tables.
Figure 21 Table Tools
Filter
Figure 22 Filter Table Field
Entering filter text to see instant filtering of the list as you type, with the number of found results
updated as you type. The text you type in filter is highlighted in the table.
Sorting Columns
Figure 23 Column Sort Options
Click column headers to sort by that column. Gray up and down triangles indicated a non-sorted column.
A solid black up arrow indicates the table is sorted by that column-descending and solid black down
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arrow indicates the table is sorted by that column ascending.
Download/Print Tool
Figure 24 Download Tool
Use the download tool to export table data to Excel or PDF, or to print. Data from all columns is
exported/printed even if only a subset of columns are visible.
Grid Tool
Figure 25 Grid Tool
To help avoid scrolling, use the grid tool to specify how many table rows appear per page.
Search Results Navigation
Figure 26 Navigation Tools
Navigate to each page of search results using the above tool.
5.3.6 Editing Inclusion Enrollment Data
The following chapter discusses inclusion data in the Human Subjects System (HSS) as accessed and
processed via your RPPR. For more information on HSS, please refer to the HSS Online Help or the HSS
Training website.
To update inclusion enrollment data, select the Human Subjects link from question G.4 of section G.
Special Reporting Requirements. For additional information on inclusion procedures in the RPPR,
please review Section G – Special Reporting Requirements.
IMPORTANT: Before selecting the Human Subjects link, click the Save button on the RPPR to save
all of your work in Section G. Failure to do so will result in a loss of data on your report.
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Figure 27 Human Subjects Link in Question G.4
The Human Subjects link will take you to the Application Information screen. Click on the HSCT Post
Submission tab. This will take you to the Study Record(s) screen that displays all the study records and
delayed onset records for the grant. You may view the information within a study record, including the
last inclusion enrollment report (IER) by clicking on the View button under the Action column within
the list of study records.
To edit the inclusion information, click the Edit button at the top of the screen. You will now see an
Edit button under the Action column within the list of study records. Click on this Edit button to make
changes to the study record information, including the inclusion enrollment data.
Figure 28 Manage IERs for Single Project
The Inclusion Enrollment Report (IER) is within the Study Record and can be found in Section 2- Study
Population Characteristics. Here, you can add a new inclusion enrollment report, or edit a report that was
previously created.
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Figure 29 Adding/Editing an Inclusion Enrollment Report
Select the Edit button in the Action column to edit the Inclusion Enrollment Report.
The Inclusion Enrollment Report screen contains the following information:
Inclusion Enrollment Report Fields
• Using an Existing Dataset or Resource
Displays Yes/No as indicated by radio buttons
• Enrollment Location Type
Displays Domestic/Foreign as indicated by radio buttons
• Enrollment Country(ies)
Displays the country of enrollment as identified from a dropdown list
• Enrollment Location(s)
Displays a location entered by the user.
• Comments
An optional text field for entering cumulative enrollment comments. If any comments for
cumulative form were entered before, this field is pre-populated when editing an existing
IER.
See the application guide instructions for more information about Inclusion Enrollment report fields.
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Figure 30 Inclusion Enrollment Report Fields
The cumulative enrollment table includes racial categories along the left side the of the table and ethnic
categories, divided by sex/gender, along the top of the table. The individual enrollment count cells are
editable and set to zero by default, when populating a new IER. When editing an existing form, these
values are pre-populated with any other value previously entered. The total fields are calculated by HSS
and sum up as rows and columns accordingly. The total values are not editable fields.
NOTE: The cumulative inclusion table includes fields for entering Unknown/Not Reported race,
ethnicity, and sex/gender data.
There are two ways to edit the existing Inclusion Enrollment Report (IER) data for Cumulative (Actual)
counts:
1. You can update the cells online in the existing report itself.
2. You can download a template for entering participant-level data by clicking on the
Download Participant Level Data Template button.
This will download a spreadsheet file in the proper CSV format to be used by the system.
• Fill the template out with data, save the changes, and then upload the spreadsheet by clicking
on the Upload Participant Level Data Attachment button. This uploaded data will
populate the cells in the report.
• You can click on the Download Current Participant Level Data button to download the
file containing the data for your own records.
• If you need to clear the current records, use the Remove Current Participant Level Data
button.
Update the values in the individual enrollment count cells as necessary, and select the Save and Release
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Lock button. To leave the form without saving any changes, select the Cancel and Release Lock button
instead. Saving and canceling both return you to the Study Record(s) screen.
POLICY: Individual-level participant data on sex/gender, race, ethnicity and age at enrollment is
required in progress reports for competitive applications submitted for due dates on or after January 25,
2019 (See NIH Guide Notice NOT-OD-18-116). Inclusion data for subsequent RPPRs must be provided
using the file upload option.
Figure 31 Cumulative (Actual) Enrollment Table
5.2.4.1 Changes to Planned Enrollment
If there are changes from the planned enrollment originally approved for funding, contact the program
officer to discuss updating/revising the planned enrollment. See Section G – Special Reporting
Requirements of this guide for more information.
From the Study Record(s) screen, select the Edit link in the Action column of the Inclusion Enrollment
Report section to edit the Inclusion Enrollment Report.
The planned enrollment table includes racial categories along the left side of the table and ethnic
categories, divided by sex/gender, along the top of the table. The individual enrollment count cells are
editable and set to zero by default, when populating a new IER. When editing an existing form, these
values are pre-populated with any other value previously entered. The total fields are calculated by HSS
and sum up as rows and columns accordingly. The total values are not editable fields.
POLICY: For additional information on racial and ethnic categories or inclusion policy, refer to
Inclusion of Women and Minorities as Participants in Research Involving Human Subjects and Inclusion
- Basis of Sex/Gender and Race/Ethnicity.
Update the values in the individual enrollment count cells as necessary, and select the Save and Release
Lock button. To leave the form without saving any changes, select the Cancel and Release Lock button
instead. Saving and cancelling both return you to the Study Record(s) screen.
5.2.4.2 No Inclusion Data Records Provided
When inclusion monitoring is required and no IERs exist, RPPR system will NOT allow the submission
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of the progress report without IER(s). For the current FY it will display an error message and require that
you submit a new enrollment record.
This is true for the current FY of a multi-year award as well. For the past FYs (when the progress report
is late), a standard message is displayed in lieu of the error message as follows:
NIH policy requires inclusion to be monitored, but no inclusion data record(s) (IERs) have been
provided.
This standard message will appear on both the screen and the PDF version of the progress report.
Submit New Planned Inclusion Record
From the Study Records(s) screen, select the Add New Inclusion Enrollment Report to create a new IER.
If no study records exist, first add a study record using instructions in the online help.
Upon a successful save of a new IER, attributes (Foreign/domestic indicator/planned comments),
Planned Inclusion Data (as entered), and Cumulative Inclusion Data (as zeros) are also created; the new
IER is assigned a unique IER #.
5.3.7 Editing the RPPR Budget Forms
Budget Form (H.1)
To add a budget, choose an option from the drop-down list and click the Add Budget button. The added
budget type appears in the first table. Click the budget’s three-dot ellipsis menu and select Edit to open
the form for editing. Most awards now use the SF424 R&R budget form. However, training awards may
use the SF424 and/or the PHS 398 training budget. The PHS Additional Indirect Costs budget form is
available as an optional form for the Overall component of a multi-project award with multiple
institutions/organizations.
Please contact the Grants Management Specialist assigned to your grant if you have questions on the
appropriate form to use.
Budget types include:
•
SF 424 Research & Related Budget form
•
PHS 398 Training Budget
•
PHS Additional Indirect Costs form
NOTE: Budget types can be deleted by clicking the budget’s three-dot ellipsis icon and selecting
Delete. After deleting a form, be sure to save the RPPR before navigating away from the H.Budget
tab. The Save button is at bottom of the screen.
Subaward Budget Form (H.2)
To add a subaward budget, choose an option from the drop-down list and select the Add Subaward
Budget button. A table appears listing the subaward budget you added. To edit the subaward budget,
click its three-dot ellipsis icon and select Edit, which opens the form for editing. Click the Save button
before exiting the form.
Subaward budget types include:
•
SF 424 Research & Related Subaward Budget form
•
PHS 398 Subaward Training Budget
The recipient may select up to 30 subaward budgets.
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NOTE: Subaward budget types can be deleted by clicking the subaward’s three-dot ellipsis icon and
selecting Delete.
Figure 32 RPPR H. Budget - Questions H.1 Budget Form & H.2 Subaward Budget Form
NOTE: Remember to save the information before exiting the form by clicking the Save button at
bottom of the form.
For single-component grants, and for the OVERALL component of a multi-component grant, the UEI
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automatically populates the Unique Entity Identifier and Organization Name fields of the recipient
organization on the budget form, but these fields are NON-editable.
For a multi-component grant, the component’s UEI and organization name are prepopulated with the
grantee organization’s data, but both the Unique Entity Identifier and Organization Name fields are
editable, so you can choose to change them.
Figure 33 Organizational UEI on SF 424 Research & Related Budget
To change either the UEI or the organization name associated with this budget:
1. Click one of the magnifying glass icons next to the Unique Entity Identifier (UEI) or
Organization Name fields.
The Search Organization popup appears.
2. Enter information in either field (Unique Entity Identifier or Organization Name) and click
Search.
A list of matches appears.
NOTE: If no matches appear, you can click the Add New Organization button to type the
UEI and organization name manually and click Save. Whatever you entered will then
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populate the Unique Entity Identifier or Organization Name fields.
3. Select the organization you are searching for and click Save.
Both the Unique Entity Identifier or Organization Name field are updated with the
information of the organization you selected.
NOTE: If subaward budgets are completed, the system will not calculate the budget line item F.5
for the main budget (see figure below). Total consortium costs for the main budget MUST be
computed and entered manually into budget line item F.5.
Figure 34 SF 424 R&R Budget Form - Question F.5
5.4
Check RPPR for Errors and Warnings
At any time before an RPPR is submitted to agency, an error check can be performed to verify that the
report passes the business rules and system validations in place. Any user who has access to the RPPR
may perform the error check.
5.4.1 Checking for Errors on Single-Project RPPRs
To perform an error check on the RPPR for single-project RPPRs, click the three-dot ellipsis menu next
to the Award Number and select Check for Errors.
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Figure 35 Check for Errors option on RPPR Menu for a Single-Project RPPR
If errors or a warning exist, the appropriate error or warning message displays for each failed occurrence.
All errors must be corrected prior to submission; the system will prevent submission of an RPPR
containing errors. However, the system will not prevent submission of an RPPR when a warning
message is displayed.
Figure 36 RPPR Error Messages (Examples)
If all validations pass, a message displays indicating: No errors found on validation.
5.4.2 Checking for Errors on a Multi-Project RPPR
To perform an error check on the Overall or individual component of a multi-project RPPR, select the
Check for Errors option from the three-dot ellipsis menu on the RPPR Menu screen for the Overall or
individual component being validated.
NOTE: Refer to section Accessing a Multi-Project and Single-Project with Complicated Structure
RPPR for Editing for information on adding individual components to the RPPR.
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Figure 37 Check for Errors Links for Multi-Project RPPRs
If errors or a warning exist for the chosen component, the appropriate error or warning message displays
for each failed occurrence. Select the Check for Errors option for the other components to perform a
check against them.
All errors must be corrected prior to submission; the system will prevent submission of an RPPR
containing errors. However, the system will not prevent submission of an RPPR when a warning
message is displayed.
Figure 38 Errors and Warnings for One Component of a Multi-Project RPPR
If all validations pass, a message displays indicating: No errors found on validation.
5.5
Route the RPPR
Progress reports in Work in Progress (WIP) status can be routed to others for review or corrections by
the current reviewer of the report. The routing feature is found on the RPPR Menu screen.
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NOTE: A person who is delegated a role of PD/PI cannot route an RPPR to the next reviewer.
To route an RPPR to the next reviewer:
1. On the RPPR Menu screen, click the three-dot ellipsis icon and select Route to Next
Reviewer.
Figure 39 RPPR Menu – Route Option
NOTE: The figure above shows the RPPR Menu for a single-project RPPR, however,
multiproject RPPRs have a similar Route option on their own RPPR Menu screen.
The Route RPPR to Next Reviewer screen displays. From this screen, the next reviewer can
be chosen from a list of reviewers, and comments can be added.
2. Select a reviewer from the Next Reviewer dropdown.
3. Optional: Enter comments in the Comments field to provide information to the next
reviewer.
4. Required for PD/PI ONLY: Click the checkbox that certifies statements are true.
Signing officials do not see the “I certify that the statements herein are true…”
checkbox.
Figure 40 Route RPPR to Next Reviewer
5. Click the Route to Next Reviewer button.
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Figure 41 Route RPPR to Next Reviewer Success Message
A success message appears. Click the Close link in the success message and the RPPR Menu displays
once again.
The person who routed the RPPR can no longer edit the report (the Edit RPPR option disappears from
the three-dot ellipsis menu). The editing feature is now available only to the new reviewer. The RPPR
status is updated to Reviewer Work in Progress.
5.6
Recall the RPPR
RPPRs that have been routed to a reviewer can be recalled by the person who performed the routing
action. This is useful in situations when the report was routed to the wrong person or the reviewer is
unavailable. The last reviewer of the report is able to recall it; however, Signing Officials at the
Institution and the Contact PD/PI who are not the last reviewer can also recall the report when it is in a
status of Reviewer Work in Progress.
NOTE: A person who has been delegated the PD/PI role does not have the ability to recall the
RPPR.
To recall an RPPR, on the RPPR Menu screen, click the three-dot ellipsis icon and select Recall. The
Recall option is only present if you routed the RPPR.
Figure 42 RPPR Menu – Recall Option
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A message displays indicating: The RPPR has been successfully recalled. You have been set as the
Current RPPR Reviewer.
Figure 43 RPPR Successfully Recalled
The status of the RPPR is updated to PD/PI Work in Progress or Reviewer Work in Progress, the
reviewer from whom the RPPR is recalled receives an email about this action, and the RPPR routing
audit history is updated to reflect the action.
Additionally, the Edit RPPR and Route to Next Reviewer options appear under the three-dot ellipsis
menu, providing the new reviewer with the ability to continue editing the RPPR or to route it to another
reviewer.
5.7
Submit the RPPR to Agency
Recipients are strongly encouraged to view the RPPR prior to submission to ensure that the correct
information and attachments are provided (see View RPPR as PDF).
Completed and validated RPPRs in a status of Work in Progress can be submitted to the Agency for
acceptance. This act is performed by the Signing Official (SO) when the SO is the current reviewer of
the report. For SNAP awards only, PD/PIs may also submit the report if they have been delegated submit
authority by the SO.
NOTE: A PD/PI with Progress Report authority cannot submit a non-SNAP or F RPPR.
To submit the RPPR to agency:
6. Click the three-dot ellipsis menu for an RPPR and select Submit. You can do this from the
RPPR Menu, Interim RPPR Menu, or Final RPPR Menu screens.
Figure 44 Submit Option on RPPR Menu
The Submit RPPR to Agency screen displays a certification statement as follows:
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In submitting this RPPR, the SO (or PD/PI with delegated authority), certifies that, for all
clinical trials funded under this NIH award, the recipient and all investigators conducting NIHfunded clinical trials are in compliance with the recipient's plan addressing compliance with
the NIH Policy on Dissemination of NIH-Funded Clinical Trial Information. Any clinical trial
funded in whole or in part under this award has been registered in ClinicalTrials.gov or will be
registered not later than 21 calendar days after enrollment of the first participant. Summary
results have been submitted to ClinicalTrials.gov or will be submitted not later than one year
after the completion date, even if the completion date occurs after the period of performance.
-
OR –
In submitting this Progress Report, the SO (or PD/PI with delegated authority), certifies that
the awardee organization is in compliance with the terms and conditions specified in the Notice
of Award and Awards Policy Statement, and verifies the accuracy and validity of all
administrative, fiscal, an scientific information in the progress report. The SO (or PD/PI with
delegated authority) further certifies that the awardee organization will be accountable for the
appropriate use of any funds awarded and for the performance of the award-supported project
or activities resulting from the progress report. Deliberate withholding, falsification, or
misrepresentation of information could result in administrative actions such as withdrawal of a
progress report, suspension and/or termination of an award, debarment of individuals, as well
as possible criminal penalties. The awardee institution may be liable for the reimbursement of
funds associated with any inappropriate or fraudulent conduct of the project activity.
7. Click the I Agree button to sign off on the certification.
The RPPR [Interim-RPPR or Final RPPR] is validated for systemic and business rules. If there are any
validation failures, they are indicated by error messages on the RPPR Menu screen. Errors must be
corrected in order to submit the RPPR [Interim-RPPR or Final RPPR].
If warnings exist, they are displayed on the RPPR Menu screen. Although the RPPR can be submitted
with warnings present, the warning messages should be reviewed to determine if an issue should be
addressed.
8. If Warnings Exist: To address issues associated with warnings, click the Cancel button,
correct the issue, and resubmit the RPPR again. To continue with submission despite the
warnings, click the OK button.
If all validations pass, the RPPR Menu screen displays the following message: The RPPR [InterimRPPR or Final RPPR] has been successfully submitted to PHS.
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Figure 45 Successful Submission Message
The current reviewer is updated to the awarding agency, the RPPR status is updated to Submitted to
Agency, and the RPPR Submission date is recorded. The routing history is updated to reflect the
submission to Agency.
Any citations associated with the RPPR in “C.1. Publications” are officially associated with the award in
MyNCBI.
When an RPPR is submitted to Agency, email notification is sent to the PD/PI (Contact PI) on the grant
and the SO and AO assigned to the RPPR.
5.7.1 Submission Errors and Warnings for Multi-Project RPPRs
Upon submission, multi-project RPPRs are validated for systemic and business rules just as are singleproject RPPRs. However, for multi-projects, the errors and warnings are displayed differently. When
errors and/or warnings are found on multi-project RPPRs, the RPPR Menu screen displays the Overall
messages followed by the messages of the other components.
All errors must be corrected to submit the RPPR.
If warnings exist, they are displayed on the RPPR Menu screen under the errors. Although the RPPR can
be submitted with warnings present, the warning messages should be reviewed to determine if an issue
should be addressed.
Figure 46 Sample of Multi-Project RPPR Error Messages
5.8
View the RPPR
As indicated in Submit the RPPR to Agency, recipients are strongly encouraged to view the RPPR prior
to submission to ensure that the correct information and attachments are provided (see Submit the RPPR
to Agency).
PD/PIs, PD/PI delegates, and reviewers can view a PDF version of an RPPR in Work in Progress (WIP)
or Submitted to Agency status to see how it will be seen by the Agency. Until the RPPR is submitted to
agency, the PDF report shows a status of Draft and a blank submission date.
To view the RPPR form:
1
On the RPPR Menu screen, click the three-dot ellipsis icon and select View RPPR as PDF.
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Figure 47 RPPR Menu – View the RPPR Option
5.9
View Routing History
From initiation to submission to Agency, the routing of an RPPR is captured for auditing purposes.
PD/PIs, PD/PI delegates, and reviewers can view the routing history for Work in Progress or Submitted
to Agency RPPRs at any time, even when they are not the current reviewer.
To view the routing history:
1. On the RPPR Menu screen, click the three-dot ellipsis icon and select View Routing History.
Figure 48 RPPR Menu – View Routing History Option
The RPPR Routing History screen displays showing the Reviewer Name, Action Taken, Notification
Sent (date and time), Date of Action, Next Reviewer Name, and Comments (when available).
Figure 49 RPPR Routing History
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2. To close the screen, click the Close link.
5.10 Viewing the Completed RPPR in Commons
The completed RPPR, in PDF format, is accessible in Commons within the Status Information screen.
To view the completed RPPR, perform the following steps:
1. From Commons, select the Status menu option.
2. Select the link for List of Applications/Grants.
Figure 50 Status Menu Option – List of Applications/Awards
3. From the Status Result – List of Applications/Grants screen, select the hyperlink for the
specific Application ID.
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Figure 51 Application ID hyperlink
The Status Information screen displays with the Other Relevant Documents section in the top right
corner.
4. The progress reports for incrementally-funded and multi-year funded awards are
displayed differently in Other Relevant Documents.
a.
For an incrementally-funded RPPR: Select the e-Application link
from the Other Relevant Documents section of the Status
Information screen.
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Figure 52 Status Information Screen – e-Application Link
b.
For multi-year funded awards: Select the appropriate year’s link in
the Research Performance Progress Report section. Links will
appear as follows: RPPR Year
Figure 53 Status Information Screen for Multi-Year RPPR
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The PDF version of the RPPR opens in a separate window.
NOTE: The submitted RPPR can also be accessed from the RPPR Menu screen. The View the
RPPR option under the three-dot menu opens the PDF version of the RPPR.
5.11 Public Access Progress Report Additional Materials (PRAM)
The Public Access Progress Report Additional Materials (PRAM) feature provides a means for the
recipient to enter, review, and submit information in response to the automated notification sent when an
NIH recipient organization submits an RPPR with non-compliant publications. The system sends the
automated email to the PD/PI requesting verification that all publications are in compliance with the NIH
Public Access Policy. The SO and AO assigned to the RPPR on the cover page (see Section A – Cover
Page) will receive a copy (cc:) of the email. While an email response to the GMS and PO is acceptable at
this time, the recipient is encouraged to respond using the Public Access PRAM feature in eRA
Commons. AHRQ does not currently use the PRAM feature for public access compliance notifications.
Using the PRAM feature, recipients can upload and submit a My NCBI PDF report demonstrating that
previously non-compliant papers reported on the RPPR are now compliant. Compliant papers have a
status of Complete, N/A (not applicable), PMC Journal in Process, or In process at NIHMS. Please see
http://publicaccess.nih.gov/include-pmcid-citations.htm for additional information. If unable to provide
the verification of compliance, recipients can upload and submit justification for why specific
publications cannot be brought into compliance.
As with the RPPR, a PD/PI (or Contact PI in the case of multiple PIs) can enter the Public Access
PRAM, but can only submit it if the PD/PI is delegated with Submit Progress Report authority.
Otherwise, only the SO can submit the PRAM to Agency.
The following sections cover the steps for initiating and submitting Public Access PRAM.
5.11.1
Initiate Public Access PRAM
The PD/PI (Contact PI) or PD/PI Delegate can initiate Public Access PRAM by following the steps
below:
1. Access the eRA Commons Status Result – List of Applications/Grants screen.
2. Select the Public Access PRAM link from the Action column of the appropriate grant.
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Figure 54 Public Access PRAM Link
The Progress Report Additional Materials (PRAM) screen displays. Grant Information including Grant
Number, PD/PI Name, Project Title, Institution, Status, and Current Reviewer displays at the top of the
screen. The Public Access Compliance section at the bottom contains guidance for responding to the
automated email requesting evidence of compliance with a field and buttons for uploading and
maintaining attachments.
3. Use the Add Attachment button to browse and select the My NCBI PDF or another PDF
document providing justification. Note that selecting the Cancel button closes the screen
instead.
4. Select the Route button at the bottom of the screen.
Figure 55 Routing the Public Access PRAM
NOTE: The options for Delete Attachment and View Attachment display once an attachment has
been uploaded.
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5. Optional: Select the View Attachment button to view the document. Select the Delete
Attachment button to remove the document.
When the Route button is selected, the Route PRAM to Next Reviewer screen displays. A
list of all available reviewers exists in the drop-down for Next Reviewer.
6. Select an SO from the Next Reviewer drop-down list.
7. Enter text into the Comments field as necessary. This is not a mandatory field.
8. Select the Submit button to continue.
Figure 56 Route Public Access PRAM to Next Reviewer
The Route PRAM to Next Reviewer screen displays the PD/PI Assurance statement.
9. Read the assurance statement and select the Submit button to agree to the content and
continue routing the PRAM to the next reviewer.
Figure 57 Public Access PRAM PD/PI Assurance Statement
The Progress Report Additional Materials (PRAM) screen displays with a message indicating that the
PRAM was successfully routed to the selected reviewer. Additionally, the status is updated and shown as
Reviewer Work in Progress. At this point, the PD/PI can only view the PRAM and may not edit it. To be
able to allow the PD/PI to edit the PRAM, the SO needs to route the PRAM back to the PD/PI using
steps similar to those above.
At the time of routing, an email is sent to the PD/PI and the selected SO (or other Next Reviewer) to
notify them of the event.
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Figure 58 Successfully Routed Public Access PRAM
5.11.2
Recall Public Access PRAM
Public Access PRAM that has been routed to a reviewer can be recalled by the person who performed
the routing action until the PRAM has been submitted to the Agency. This is useful in situations when the
report was routed to the wrong person or the reviewer is unavailable. The last reviewer of the report is
able to recall it; however, Signing Officials at the Institution and the Contact PD/PI who are not the last
reviewer can also recall the report when it is in a status of Reviewer Work in Progress.
NOTE: A PD/PI delegate does not have the ability to recall the PRAM.
To recall Public Access PRAM, select the Recall button from the Progress Report Additional Materials
(PRAM) screen.
Figure 59 Recall Button for Public Access PRAM
A message displays on the screen indicating: The PRAM has been successfully recalled. You have been
set as the Current PRAM Reviewer.
The status of the PRAM is updated to PD/PI Work in Progress if recalled by the PI or Reviewer Work in
Progress if recalled by the SO; the reviewer from whom the PRAM is recalled receives an email about
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the action; and the PRAM routing audit history is updated to reflect the action.
Additionally, the ability to delete the attachment is restored and the Route button is enabled, providing
the current reviewer the ability to update the PRAM and route it again.
5.11.3
Submit Public Access PRAM
When the Public Access PRAM is in Reviewer Work in Progress status, the Signing Official (SO) can
submit it to the Agency. PD/PIs may also submit the information if they have been delegated Submit
Progress Report authority by the SO.
To submit the Public Access PRAM:
10. Access the Status screen on eRA Commons.
11. Enter the appropriate query parameters to locate the grant and select the Search button.
The Status Result – General Search screen displays with the matching information.
12. From the Action column, select the link for PRAM.
Figure 60 Public Access PRAM Link for SO
The Progress Report Additional Materials (PRAM) screen displays. The screen displays Grant
Information on top and the PD/PI comments in the text box at the bottom of the screen. In addition to
submitting the PRAM, from this screen, the SO also may Preview the PRAM as a PDF, Route it to
another reviewer (or back to the PD/PI), and view the Routing History. Select any of the appropriate
buttons to perform these actions. Follow the steps below to continue submitting the PRAM.
13. Click the Submit button.
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Figure 61 Submitting Public Access PRAM
The Submit PRAM to Agency screen displays. By continuing from this screen, the SO certifies that the
submitting organization is in compliance with the terms and conditions specified in the Notice of Award
and Grants Policy Statement. The SO also verifies that the information provided in the PRAM is valid
and accurate.
14. Read certification agreement. Select the I Agree button to continue submitting the
information. (Selecting the Cancel button closes the screen and returns the Progress
Report Additional Materials screen without submitting the material.)
Figure 62 SO Certification of Public Access PRAM
The Progress Report Additional Materials (PRAM) screen displays with a message indicating that the
PRAM was successfully submitted. The current reviewer is updated to the awarding agency, the PRAM
status is updated to Submitted to Agency, and the PRAM submission date is recorded. The routing
history is updated to reflect the submission to Agency.
Figure 63 Public Access PRAM Submitted to Agency
When PRAM is submitted to Agency, an email notification is sent to the PD/PI (Contact PI) on the
grant, the submitting SO, the SO assigned to the RPPR, Interim-RPPR, or Final RPPR and AO assigned
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to the RPPR and the Public Access PRAM link will no longer be available.
NOTE: To view the submitted PRAM, select the View button on the Progress Report Additional
Materials (PRAM) screen. This option opens the PRAM PDF in a separate window. The Public
Access PRAM will appear as the final page of the PDF document. See below for display of IC
Requested PRAM.
5.11.4
View Public Access PRAM for Multi-Year Funded Awards
After submitting Public Access PRAM for multi-year funded awards, users with access to the grant
information may view the PRAM via the Status Information screen. Status Information is accessed by
selecting the Application ID hyperlink from the Status Result – General Search (SOs) and Status Result
– List of Applications/Grants (PIs) screens.
Figure 64 Status Results Showing Hyperlink for Application ID
From the Status Information screen, select the hyperlink in the area marked Progress Report
Additional Material (PRAM) in the Other Relevant Documents section. The PRAM links for multiyear funded awards display as PRAM Year .
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Figure 65 MYF Award PRAM Link in Status Information
5.12 Final Progress Report Additional Materials (FRAM)
A Final Research Performance Progress Report (Final RPPR) is required for any grant that has ended
and any grant that is not to be extended through award of a new competitive segment. This report should
be prepared in accordance with instructions provided by the awarding component.
The Final Progress Report Additional Materials (FRAM) feature provides a means for recipients to
enter, review, route, and submit information in response to specific request(s) by the Program Official
(PO) for additional information related to the Final RPPR.
While reviewing a submitted Final RPPR, the PO may determine that additional materials related to the
submitted report are required. In this case, the PO will submit a request for this information referred to as
a FRAM request. When a FRAM request is made, the PI is notified via email; Final RPPR status on
Closeout Status is updated to FRAM Requested; and a FRAM Update link appears in the Closeout
Status screen. The link is located as an action on the Final RPPR Report line for Closeout Submission
Requirement.
This section discusses the steps for uploading, viewing, and submitting FRAM.
For Revised Project Outcomes, please review the following information.
To submit revised Project Outcomes, SOs should follow the IRAM process for outcomes for Interim
RPPRs and the FRAM process for outcomes for Final RPPRs with the exception that a text box will be
provided to enter the new Outcomes text and then select Upload instead of an Add Attachment button
as with other RAM requests.
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Figure 66 Final Progress Report Additional Materials
Project Outcomes provide information regarding the cumulative outcomes or findings of the project. Per
the 1993 NIH Revitalization Act, PL 103-43, enacted June 10, 1993, and the 21st Century Cures Act, PL
114-255, enacted December 13, 2016, NIH requires entities conducting NIH-defined Phase III Clinical
Trials to include results of valid analyses by sex/gender, race, and ethnicity, in addition to submission in
ClinicalTrials.gov.
Note that outcomes will be made publicly available, allowing recipients to provide the general public
with a concise summary of the cumulative outcomes or findings of the project at the end of a competitive
segment. The name of the Primary Investigator/Project Director will be attached to the public posting in
RePORTER.
For NIH awards the length of the Outcome statement should not exceed half a page. In addition, the
summary of outcomes or findings of the award must be written in the following format:
*** Is written for the general public in clear, concise, and comprehensible language
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*** Is suitable for dissemination to the general public, as the information may be available electronically
*** Does not include proprietary, confidential information or trade secrets
Please refer to the following link for samples of acceptable project outcomes:
https://grants.nih.gov/grants/rppr/sample_project_outcomes_RPPR.htm
See NIH notices NOT-OD-17-022 and NOT-OD-17-037 for additional details on this requirement.
5.12.1
Uploading Final Report Additional Materials
When FRAM is requested by the reviewing PO, an email notification will be sent to the PI (and SO)
describing the additional information being requested. It is the PI who is responsible for uploading this
requested FRAM via the Closeout module in Commons.
To upload FRAM:
1. Navigate to the Closeout Status screen.
2. Locate the Final RPPR line item under the Closeout Submission Requirement column.
If a PO has requested additional material related to the Final RPPR, the Status will show
FRAM Requested, the Result of Action column will show FRAM Requested By , and the FRAM Update link will appear in the Action column of this line item. If
this information is not there, the request was not made.
3. Click the FRAM Update button, as shown below.
Figure 67 Closeout Status
The Final Progress Report Additional Materials (FRAM) screen appears. From this screen, the PI has
the ability to either; upload an attachment meeting the requirements of the requested information or, for
Revised Outcomes (Section I of the RPPR), a text field in which to enter the Revised Outcomes text.
NOTE: You can view the original request for information from the Status Information screen. The
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Closeout Final Report Additional Materials Request (FRAM) link located in Other Relevant
Documents section of Status Information will show the original request.
Figure 68 Closeout Final Report Additional Materials Request in Status Information
4. Use the Add Attachment button to search for and select the appropriate document from
your local computer. The attached document must be in PDF format and no larger than
6MB.
After passing system validations, the screen will display a message as follows: FRAM was successfully
uploaded and is ready for processing by the SO in your institution.
FRAM attachments can be viewed at any time using the View Attachment or View button on the
screen. Before being submitted to Agency, FRAM attachments can be deleted using the Delete
Attachment button.
Figure 69 Final Progress Report Additional Materials Success Message
When FRAM is attached, the Closeout Status screen updates to show FRAM Uploaded in the Status
column and FRAM Uploaded By in the Result of Action column. You will notice that the
FRAM Update link remains as an available action. Attachments for additional requests can be uploaded
using this link and following the same steps described above. Subsequent uploads will be appended in
the stored PDF document viewable in Status Information.
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Figure 70 Closeout Status FRAM Uploaded message in Status column
The SO is now able to submit FRAM. Refer to the steps in the section titled Submitting FRAM for
details on how an SO submits FRAM to Agency.
NOTE: After the SO submits FRAM, the FRAM Update link on Closeout Status will be replaced
by the View FRAM link and updates can no longer be made.
5.12.2
Submitting FRAM
Once a response to a FRAM request has been uploaded by the PI using the Final Progress Report
Additional Materials (FRAM) screen, the SO can submit the material to Agency. Only those with an SO
role in Commons can submit FRAM.
To submit FRAM:
1. Navigate to the Closeout Status screen for the specific grant.
2. Locate the Final Research Performance Progress Report line item under the Closeout
Submission Requirement column.
If the PI has uploaded the additional material successfully, the Result of Action column
will show FRAM Updated By . The FRAM Update link will appear in the
Action column of this line item.
3. Select the FRAM Update link.
Figure 71 Closeout Status FRAM Update link in Action column
The Final Progress Report Additional Materials (FRAM) screen appears with the Submit button
enabled.
4. Optional: To view the FRAM response before submitting it, select the View Attachment
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button.
5. To submit the FRAM, select the Submit button.
Figure 72 Final Progress Report Additional Materials
6. Before the submission is completed, a certification message will appear on the screen. Click
the I Agree button to confirm this certification and to complete the process.
Figure 73 Submit FRAM to Agency
After a successful submission, the screen will display a message as follows: The final progress report
additional materials have been successfully submitted to Agency. The Closeout Status screen will show
FRAM Submitted By in the Result of Action column, and the FRAM Update link
available before the submission is replaced by the View FRAM link. FRAM cannot be edited after
submission to Agency.
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Figure 74 Final Progress Report Additional Materials
Additionally, email notification is sent to both the SO who submitted the FRAM and to the PI of the
grant. A separate notification is sent to the PO of the grant. Commons will generate a PDF document
containing all documents adding for the FRAM request. This document can be accessed within the
Status Information screen under Other Relevant Documents.
The PO may rescind the approval of the Final RPPR submission at any time. If this event occurs, the
FRAM Update link will be made available for submitting FRAM.
SOs can continue to add additional attachments even after submission to Agency (before acceptance of
the Final RPPR). Any subsequent documents will be added to the PDF generated by Commons.
5.13 Interim Report Additional Materials (IRAM)
The Agency may use Interim Report Additional Materials (IRAM) to provide a means for the recipient
to enter, review, route, and submit information in response to specific request(s) by the Program Official
at the IC (or AHRQ, if applicable) for additional information following the submission of an Interim
RPPR.
As with the RPPR, a PD/PI (or Contact PI in the case of multiple PIs) can enter the IRAM.
However, only the SO can submit the IRAM to the agency.
IMPORTANT For Revised Project Outcomes, please review the following information:
To submit revised Project Outcomes, SOs should follow the IRAM process for outcomes for Interim
RPPRs and the FRAM process for outcomes for Final RPPRs with the exception that a text box will be
provided to enter the new Outcomes text and select Upload instead of an Add Attachment button as
with other RAM requests. See an example below.
Figure 75 Interim Progress Report Additional Materials
Project Outcomes provide information regarding the cumulative outcomes or findings of the project.
Note that outcomes will be made publicly available, allowing recipients to provide the general public
with a concise summary of the cumulative outcomes or findings of the project at the end of a competitive
segment. The name of the Primary Investigator/Project Director will be attached to the public posting in
RePORTER.
For NIH awards the length of the Outcome statement should not exceed half a page. In addition, the
summary of outcomes or findings of the award must be written in the following format:
* Is written for the general public in clear, concise, and comprehensible language
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* Is suitable for dissemination to the general public, as the information may be available electronically
* Does not include proprietary, confidential information or trade secrets
Please refer to the following link for samples of acceptable project outcomes:
https://grants.nih.gov/grants/rppr/sample_project_outcomes_RPPR.htm
See NIH notices NOT-OD-17-022 and NOT-OD-17-037 for additional details on this requirement.
The link for the request will be displayed in the Available Actions column as "IRAM". Below are both
the Grouped View and the Flat View in Status Results.
Figure 76 IRAM Button
Figure 77 IRAM option on Grouped and Flat View of Status
When the link is clicked, the IRAM screen will open and provide an Upload button. Click this button to
select the PDF file that satisfies the agency request as well as any appropriate comments related to the
request and/or file.
For Revised Outcomes, the text box will be used to directly enter (or copy and paste) the Revised
Outcomes text and then it may be uploaded as per the IMPORTANT: information box above. The text
box caption will read, "Please provide Revised Outcomes here. Note, text in this field will be publicly
available in RePORTER."
The character limit for the comments is 2,000 characters. See the Upload button below.
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Figure 78 Interim Progress Report Additional Materials
After selecting the appropriate document, you will be returned to the IRAM screen where you may enter
comments and then use the buttons at the bottom of the page to:
•
Cancel - No changes will be made and you will be returned to the Status Results page
•
Preview - This will open the submission to allow you to view the uploaded document and
comments that will be sent to the Agency.
•
Save - The selected document and comments (if any) will be saved for future submission.
•
Delete - The selected document will be removed and a different document may be
uploaded.
•
Submit - Send the document and comments to the Agency.
You may also upload additional documents [limit 10] as well as View or Delete individual documents.
Below, see the IRAM screen with attached document and comments.
Figure 79 Interim Progress Report Additional Materials
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5.14 Agency Requested Progress Report Additional Materials (PRAM)
The Agency Requested Progress Report Additional Materials (PRAM) feature provides a means for the
recipient to enter, review, route, and submit information in response to specific request(s) by the Grants
Management Specialist at the IC (or AHRQ, if applicable) for additional information following the
submission of an RPPR.
As with the RPPR, a PD/PI (or Contact PI in the case of multiple PIs) can enter the PRAM, but can only
submit it if the PD/PI is delegated with Submit Progress Report authority. Otherwise, only the SO can
submit the PRAM to Agency.
The following sections cover the steps for initiating and submitting Agency Requested PRAM.
NOTE: Agency requested PRAM is not available for multi-year funded awards at this time.
5.14.1
Initiate Agency Requested PRAM
The PD/PI (Contact PI) or PD/PI Delegate can initiate Agency Requested PRAM by following the steps
below:
1. Access the eRA Commons Status Result – List of Applications/Grants screen.
2. Select the Agency Requested PRAM link from the Action column of the appropriate
grant.
Figure 80 Agency Requested PRAM Link
The Progress Report Additional Materials (PRAM) screen displays. Grant Information,
including Grant Number, PD/PI Name, Project Title, Institution, Status, and Current
Reviewer, displays at the top of the screen. The Additional Materials Requested by
Agency section at the bottom provides a means for adding the requested materials. Up to
100 attachments can be submitted, but all attachments must be in the form of PDF files.
3. Select the Add Attachment button in the Additional Materials Requested by Agency
section of the screen.
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Figure 81 Add Attachment Button for Agency Requested PRAM
4. Use the browse dialog to search for and attach the appropriate file. Repeat for all
necessary attachments.
The Additional Materials Requested by Agency section updates to show a table of all
attachments. The table displays the Document Name and Action links of View and Delete
for each attachment.
5. Optional: Select the document’s View link in the Action column to view the attachment.
6. Optional: Select the document’s Delete link in the Action column to remove the
attachment.
NOTE: The options for View and Route History may be selected at this time. Selecting the option
for Cancel closes the screen without saving or routing the PRAM information.
7. Select the Route button to send the PRAM for review.
Figure 82 Routing the Agency Requested PRAM
When the Route button is selected, the Route PRAM to Next Reviewer screen displays. A list of all
available reviewers exists in the drop-down for Next Reviewer.
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8. Select a name from the Next Reviewer drop-down list.
9. Enter text into the Comments field as necessary. This is not a mandatory field.
10. Select the Submit button to continue.
Figure 83 Route Agency Requested PRAM to Next Reviewer
The Route PRAM to Next Reviewer screen displays the PD/PI Assurance statement.
11. Read the assurance statement and click the Submit button to agree to the content and
continue routing the PRAM to the next reviewer.
Figure 84 Agency Requested PRAM PD/PI Assurance Statement
The Progress Report Additional Materials (PRAM) screen displays with a message indicating that the
PRAM was successfully routed to the selected reviewer. Additionally, the status is updated and shown as
Reviewer Work in Progress. At this point, the PD/PI can only view the PRAM, the attachments, and the
Route History; the PD/PI may not edit the PRAM. To be able to allow the PD/PI to edit the PRAM, the
SO needs to route the PRAM back to the PD/PI using routing steps similar to those above.
At the time of routing, an email is sent to the PD/PI and the selected SO (or other Next Reviewer) to
notify them of the event.
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Figure 85 Successfully Routed Agency Requested PRAM
5.14.2
Recall Agency Requested PRAM
Agency Requested PRAM that has been routed to a reviewer can be recalled by the person who
performed the routing action up until the submission of the current PRAM attachment(s) to the Agency.
This is useful in situations when the report was routed to the wrong person or the reviewer is
unavailable. The last reviewer of the report is able to recall it; however, Signing Officials at the
Institution and the Contact PD/PI who are not the last reviewer can also recall the report when it is in a
status of Reviewer Work in Progress.
NOTE: A PD/PI delegate does not have the ability to recall the PRAM.
To recall Agency Requested PRAM, select the Recall button from the Progress Report Additional
Materials (PRAM) screen.
Figure 86 Recall Button for Agency Requested PRAM
A message displays on the screen indicating: The PRAM has been successfully recalled. You have been
set as the Current PRAM Reviewer.
NOTE: Only items which have not already been submitted can be recalled. If prior Agency
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Requested PRAM submissions to the Agency exist, these attachments are not included in the recall.
The status of the PRAM is updated to PD/PI Work in Progress if recalled by the PI or Reviewer Work in
Progress if recalled by the SO; the reviewer from whom the PRAM is recalled receives an email about
the action; and the PRAM routing audit history is updated to reflect the action.
Additionally, the ability to delete the attachment is restored and the Add Attachment and Route buttons
are enabled, providing the current reviewer the ability to update the PRAM and route it again.
5.14.3
Submit Agency Requested PRAM
When the Agency Requested Progress Report Additional Materials (PRAM) is in Reviewer Work in
Progress status, the Signing Official (SO) can submit it to the Agency. PD/PIs may also submit the
information if they have been delegated Submit Progress Report authority by the SO.
To submit the PRAM:
12. Access the Status screen on eRA Commons.
13. Enter the appropriate query parameters to locate the grant and select the Search button.
The Status Result – General Search screen displays with the matching information.
14. From the Action column, select the link for Agency Requested PRAM.
Figure 87 Agency Requested PRAM Link for SO
The Progress Report Additional Materials (PRAM) screen displays. The screen displays Grant
Information on top and the files attached by the PD/PI in the Additional Materials Requested by
Agency portion at the bottom. The attached files may be viewed or removed and additional PDF files
may be added if necessary.
15. Optional: Select the document’s View link in the Action column to view the attachment.
16. Optional: Select the document’s Delete link in the Action column to remove the
attachment.
17. Optional: Select the Add Attachment button to attach additional files. Up to 100 PDF
files may be attached.
Before submitting, the SO also may View the PRAM as a PDF, Route it to another reviewer (or back to
the PD/PI), and view the Route History. Select any of the appropriate buttons to perform these actions.
Follow the steps below to continue submitting the PRAM.
18. Select the Submit button.
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Figure 88 Submitting Agency Requested PRAM
The Submit PRAM to Agency screen displays. By continuing from this screen, the SO certifies that the
submitting organization is in compliance with the terms and conditions specified in the Notice of Award
and Grants Policy Statement. The SO also verifies that the information provided in the PRAM is valid
and accurate.
19. Read certification agreement. Select the I Agree button to continue submitting the
information. (Selecting the Cancel button closes the screen and returns the Progress
Report Additional Materials screen without submitting the material.)
Figure 89 SO Certification of PRAM
The Progress Report Additional Materials (PRAM) screen displays with a message indicating that the
PRAM was successfully submitted. The current reviewer is updated to NIH, the PRAM status is updated
to Submitted to Agency, and the PRAM submission date is recorded. The routing history is updated to
reflect the submission to Agency.
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Figure 90 Agency Requested PRAM Submitted to Agency
When PRAM is submitted to Agency, an email notification is sent to the PD/PI (Contact PI) on the
grant, the submitting SO, the SO assigned to the RPPR, and AO assigned to the RPPR.
Once the IC Requested PRAM is submitted, the View button remains on the PRAM screen to provide a
preview of the latest PRAM submission; however, the ability to view or delete the individual
attachments is removed. The ability to upload and submit additional attachments remains until the grant
is awarded. Follow the steps provided in the Initiate Agency Requested PRAM section to add additional
attachments (starting with Step 3).
NOTE: If multiple PRAM submissions were completed, selecting the View button only provides a
preview of the latest PRAM submission. To view all submissions as one document, access the Status
Information screen for the grant and select the PRAM link. For more information, refer to the next
section, View Agency Requested PRAM from Status Information.
5.14.4
View Agency Requested PRAM from Status Information
After submitting Agency Requested PRAM, Commons users with access to the grant information may
view the PRAM via the Status Information screen. The Status Information is accessed by selecting the
Grant Number hyperlink from the Progress Report Additional Materials (PRAM) screen or by
selecting the Application ID hyperlink from Status Result – General Search (SOs) and Status Result –
List of Applications/Grants (PIs) screens.
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Figure 91 Grant Number Hyperlink on PRAM Screen
Figure 92 Application ID Hyperlink on Status Result for PIs
Figure 93 Application ID Hyperlink on Status Result for SOs
From the Status Information screen, select the hyperlink in the area marked Progress Report
Additional Material (PRAM) in the Other Relevant Documents section.
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Figure 94 Status Information with PRAM Link
The Progress Report Additional Materials file opens as a PDF document. The file is formatted to provide
an information header section for each PRAM submission followed by the attached documents provided
during that submission. If multiple submissions of Agency Requested PRAM were completed, the
additional materials are separated in the document with the most recent submission displayed first
followed by earlier submissions in reverse chronological order. Information in the document can be
navigated using the provided bookmarks on the left.
Figure 95 PDF of Multiple Submitted PRAM
6
Instructions for RPPR Sections A–I
The instructions in chapter 6 apply to the following awards: D71, DP1, DP5, G08, G11, G13, P40, R00,
R01, R03, R18, R21, R33, R34, R36, R37, R56, RC1, RC2, RL1, S21, S22, SC1,
SC2, SC3, U1B, UC2, UH1, UH2, and UH3; and also to the following NIH multi-year funded awards,
including: C06, DP2, DP3, DP4, R15, R55, RC3, RC4, RF1, UA5, UC4, UC6, UF1.
Note that AHRQ has not yet implemented the RPPR for any AHRQ multi-year funded awards.
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Many of these instructions apply to other awards, but there may be exceptions (items that are not
applicable, replace, or are in addition) for awards not listed above. Refer to the table in chapter
Supplemental Instructions for Specific Grant RPPR Types, and follow the appropriate instruction for the
applicable activity code of other awards. Activity codes listed in Multi-Project RPPRs and Single-Project
RPPRs with Complicated Structure that are issued under the Streamlined Non-competing Award Process
(SNAP) will complete the RPPR as described in this section. The electronic RPPR display is dynamic
and shows the appropriate questions and instructions based on the activity code and SNAP status of the
award.
Agency-specific reporting requirements and instructions are denoted by the HHS logo
displayed to the left of the requirement or instruction, as illustrated here.
Not Applicable next to a particular item indicates that item does not apply to the particular kind of
award, and the item should be ignored.
References to competing application instructions means either the SF424 (R&R) Application Guides
(http://grants.nih.gov/grants/funding/424/index.htm) or the PHS 398 Grant Application
(http://grants.nih.gov/grants/funding/phs398/phs398.html).
The RPPR may not be used for prior approval requests, with the exception of requesting prior approval
for a reduction in the level of effort of the PD/PI or other senior/key personnel named in the Notice of
Award under D.2 of the RPPR. All other prior approval requests must be submitted directly to the Grants
Management Officer of the awarding component in accord with the Grants Policy Statement, 8.1.2.
IMPORTANT: Do Not Include Personal Identifiable Information (PII) Or Protected
Health Information (PHI) In the RPPR
Sensitive PII (e.g., Social Security Number, personal financial information, Alien Registration
Number) and PHI (e.g., personal medical conditions) require strict handling due to the
increased risk to an individual if the data is compromised. Documents containing sensitive PII
or PHI must not be included in the RPPR.
NIH GRANTS ONLY: Additional information on this topic can be found in this FAQ or by
contacting your IC Privacy Coordinator.
6.1
Section A – Cover Page
The RPPR section A. Cover Page includes information about the award, PD/PI, organization, and
project/reporting/budget periods. Much of this information is pre-populated from data in eRA systems,
but certain fields are editable.
The addresses, emails and phone numbers are pre-populated from the Commons Profile. To update
contact information as displayed, go to the Commons Profile and save the changes there.
To select a Signing Official and Administrative Official, choose a name from the associated drop-down
box. The SO and AO may be the same individual. The SO need not be the SO that submits the RPPR.
If there is a change to the Contact PD/PI (Multiple-PD/PI awards only), select the Yes radio button and
enter the Commons ID of the new Contact PD/PI in the associated field. The change in Contact PD/PI
does not take effect until the agency accepts the report and issues a NoA. The Contact PD/PI must have a
PD/PI role in the eRA Commons and must be associated with the recipient institution. The RPPR is not
an appropriate vehicle for a prior approval request to change, add, or delete PD/PIs.
The Recipient ID field allows the recipient to record an internal tracking number or identifier for its own
use. It is not a mandatory field and the awarding agency will disregard the information.
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NOTE: As of April 4, 2022, the Unique Entity Identifier (UEI) replaced the Dun & Bradstreet
(DUNS) number as the official entity identifier required for an organization/institution to apply for
and receive federal funding from NIH and other federal agencies. (See NIH Guide Notice NOT-OD21-170.) The UEI, a 12-character alpha numeric identifier, is issued as part of the System for Award
Management (SAM) registration process. As of the June 23, 2022 release of the RPPR module, the
DUNS remains on only a few screens for historic and data retention reasons.
Figure 96 Section A, cover page
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6.2
Section B – Accomplishments
The RPPR section B. Accomplishments allows the agency to assess whether satisfactory progress has
been made during the reporting period.
PD/PIs are reminded that the recipient is required to obtain prior written approval from the awarding
agency grants official whenever there are significant changes in the project or its direction. See agencyspecific instructions for submission of these requests.
B.1 What are the major goals of the project?
List the major goals of the project as stated in the approved application or as approved by the agency. If
the application lists milestones/target dates for important activities or phases of the project, identify these
dates and show actual completion dates or the percentage of completion.
Generally, the goals will not change from one reporting period to the next. However, if the awarding
agency approved changes to the goals during the reporting period, list the revised goals and objectives.
Also explain any significant changes in approach or methods from the agency approved application or
plan.
Goals are equivalent to specific aims. Significant changes in objectives and scope require
prior approval of the agency (e.g., NIH Grants Policy Statement, 8.1.2).
NOTE: The specific aims must be provided in the initial RPPR (i.e., first non-competing type 5
submission). In subsequent RPPRs this section will pre-populate with the aims/goals previously
entered, and may be amended by answering Yes to question B.1.a.
B.1.a Have the major goals changed since the initial competing award or previous
report?
Select Yes if the major goals/specific aims have changed since the initial competing award or previous
report, and provide a revised description of major goals/specific aims. Remember that written prior
approval from the awarding agency grants official is required for significant changes in the project or its
direction. The RPPR is not an appropriate vehicle to request such a change.
The first year that an RPPR is submitted any revised goals should be entered into the text box for B.1. In
subsequent years, if the user selects Yes the text box under B.1.a for entering revised major goals will be
provided.
Figure 97 RPPR Section B. Accomplishments – Question B1
B.2 What was accomplished under these goals?
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For this reporting period describe: 1) major activities; 2) specific objectives; 3) significant results,
including major findings, developments, or conclusions (both positive and negative); and 4) key
outcomes or other achievements. Include a discussion of stated goals not met. As the project progresses,
the emphasis in reporting in this section should shift from reporting activities to reporting
accomplishments. (Note: If citing references in this section, please provide a full citation. List all
products from this reporting period in section C.)
Goals are equivalent to specific aims. In the response, emphasize the significance of the
findings to the scientific field. Include the approaches taken to ensure robust and unbiased
results. For most NIH awards, the response should not exceed 2 pages.
B.3 For this reporting period, is there one or more Revision/Supplement associated with this award
for which reporting is required?
If yes, identify the Revision(s)/Supplements(s) by grant number (e.g., 3R01CA098765-01S1) or title and
describe the specific aims and accomplishments for each Revision/Supplement funded during this
reporting period. Include any supplements to promote diversity or re-entry, or other similar supplements
to support addition of an individual or a discrete project.
The NoA will indicate any reporting requirements. Be advised that the NoA incorporates requirements
of the FOA that may also include reporting requirements.
Select the Add/New button to add the data to the table.
Figure 98 RPPR Section B. Accomplishments – Questions B2 & B3
For SBIR/STTR Awards specific aims and accomplishments are equivalent to specific aims
and/or milestones.
B.4 What opportunities for training and professional development has the project provided?
If the research is not intended to provide training and professional development opportunities or there is
nothing significant to report during the reporting period, select Nothing to Report.
Describe opportunities for training and professional development provided to anyone who worked on the
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project or anyone who was involved in the activities supported by the project. Training activities are
those in which individuals with advanced professional skills and experience assist others in attaining
greater proficiency. Training activities may include, for example, courses or one-on-one work with a
mentor. Professional development activities result in increased knowledge or skill in one’s area of
expertise and may include workshops, conferences, seminars, study groups, and individual study.
Include participation in conferences, workshops, and seminars not listed under major activities.
For all projects reporting graduate students and/or postdoctoral participants in Section D.,
describe whether your institution has established Individual Development Plans (IDPs) for
those participants. Do not include the actual IDP, instead include information to describe
how IDPs are used, if they are used, to help manage the training for those individuals. This
information is not required for AHRQ recipients.
For T, F, K, R25, R13, D43 and other awards or award components designed to provide
training and professional development opportunities, a response is required. Follow the
instructions found in the Supplemental Instructions for Training, Education, and Career
RPPRs. Do not reiterate what is reported under Accomplishments. Limit the response to this
reporting period.
Figure 99 RPPR Section B. Accomplishments – Question B4
B.5 How have results been disseminated to communities of interest?
Describe how the results have been disseminated to communities of interest. Include any outreach
activities that have been undertaken to reach members of communities who are not usually aware of
these research activities, for the purpose of enhancing public understanding and increasing interest in
learning and careers in science, technology, and the humanities.
Reporting the routine dissemination of information (e.g., websites, press releases) is not
required. For awards not designed to disseminate information to the public or conduct similar
outreach activities, a response is not required and the recipient should select Nothing to
Report. A detailed response is only required for awards or award components that are
designed to disseminate information to the public or conduct similar outreach activities. Note
that scientific publications and the sharing of research resources will be reported under
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Products.
Figure 100 RPPR Section B. Accomplishments – Question B5
B.6 What do you plan to do for the next reporting period to accomplish the goals?
Describe briefly what you plan to do during the next reporting period to accomplish the goals and
objectives.
Discuss efforts to ensure that the approach is scientifically rigorous and results are robust and
unbiased.
Remember that significant changes in objectives and scope require prior approval of the
agency (e.g., NIH Grants Policy Statement, 8.1.2.).
Include any important modifications to the original plans. Provide a scientific justification for any
changes involving research with human subjects or vertebrate animals. A detailed description of such
changes must be provided under Section F. Changes.
Not applicable for Interim and Final RPPRs.
Figure 101 RPPR Section B. Accomplishments – Question B6
For SBIR/STTR Awards progress reports should include a one-page abstract describing the
research plan. For Fast-Track and Phase II, as necessary, an updated commercialization plan
should also be included.
6.3
Section C – Products
The RPPR section C. Products allows agencies to assess and report both publications and other products
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to Congress, communities of interest, and the public.
The product types listed in Sections C.1 – C. 5 below are not mutually exclusive. Please select
one primary product type under which to provide a description for the product, and assign
additional product types, if applicable. Limit the response to this reporting period.
C.1 Publications.
Are there publications or manuscripts accepted for publication in a journal or other publication
(e.g., book, one-time publication, monograph, preprint) during the reporting period resulting
directly from the award?
What to Report
Recipients must report publications in section C.1 if: (1) the publication was accepted for publication or
made public during the initial reporting period and the period since the last progress report was
submitted and (2) the publication directly arises from the award (e.g., the award supported trainees or
personnel activity that contributed to the publication, such as authorship, consulting with authors,
preparing manuscripts, running analyses reported in the publication). Publications listed in other parts of
the RPPR will not be tracked as award products.
Publications can include preprints, which are complete and public draft of a scientific document.
Preprints are typically un-reviewed versions of peer-reviewed journal articles. Publications that are not
peer-reviewed are not covered by the NIH Public Access Policy. See FAQs for more information.
To claim an interim research product as a product of an NIH award, the NIH expects that the awardee
has:
•
•
Made the product publicly available. To maximize the impact of an interim research product,
the NIH strongly encourages awardees to select a Creative Commons Attribution (CC-BY)
license or dedicate their work to the public domain.
In the text of the document:
o Acknowledged NIH funding in accordance with NIH Grants Policy Statement
Chapter 8.2.1
o Clearly stated that the work is not peer-reviewed
o Declared any competing interests, as an author would do for any journal article
Publications that fall under the NIH Public Access Policy and are non-compliant must be reported. NIH
awardees are responsible for public access compliance of all the publications listed in section C1.
Generally, it takes weeks to bring non-compliant publications into compliance; PD/PIs are advised to do
so as soon as possible to ensure their award is renewed in a timely manner. For more information, see
Manage Compliance with the NIH Public Access Policy in My NCBI and the NIH Public Access
website.
When an award’s only contribution to a publication is non-personnel resources (e.g., materials,
equipment, data), applicants should not list the paper in section C. The awardee is neither responsible for
providing a full listing of these publications, nor for ensuring compliance of these publications with the
public access policy. Awardees submitting an RPPR may list these papers in Section B.2 which requests
a description of accomplishments, including other achievements. These publications will not count
against the section B.2's two-page limit and will not be tracked as a product of this award.
How to Report
If there are publications to report select Yes and ensure that the Associate with this RPPR box is
checked as appropriate. If there are no publications to report select No. The tables draw information
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from the PD/PI’s My NCBI account.
Note that the publication data in these tables is dynamic until the progress report is submitted to the
agency. Any change to the data occurring in PubMed, PubMed Central, the PD/PI’s My Bibliography
account, or in the compliance status of a publication, will refresh upon saving the C.1 Products section,
or opening the RPPR in another session. When the progress report is submitted to the agency, the
publication data is frozen in the progress report.
Table 1: All Publications Associated with this Project in My NCBI
The first table, All Publications Associated with this Project in My NCBI, lists all publications that
are in the PD/PI’s My Bibliography collection, are associated with this award, and have not been
reported in previous electronic progress reports for this award.
The first column Associate with this RPPR is automatically checked. Leaving the box checked upon
submission does the following: (1) associates the publication with this progress report; (2) results in the
publication being displayed in RePORT; and (3) makes the award-publication association in My NCBI
permanent and the association will be reported in PubMed. Unchecking the box does the following: (1)
disassociates the publication with this progress report, and (2) upon submission of the RPPR to NIH,
removes the award-publication association in My NCBI.
The second column, NIH Public Access Compliance, indicates the current compliance status with the
NIH Public Access Policy. This information is from My NCBI.
AHRQ recipients should refer to NOT-HS-16-008 (https://grants.nih.gov/grants/guide/notice-files/noths-16-008.html) for AHRQ’s Policy for Public Access to AHRQ-Funded Scientific Publications.
Table 2: Publications Not Associated with this Project in My NCBI
The second table, Publications not associated with this project in My NCBI, lists all other
publications that are listed in the PD/PI’s My Bibliography collection with no association to this award.
Checking Associate with this RPPR box will associate a publication with the award both in the
progress report and in My NCBI.
Refreshing this screen (i.e., clicking the Save button) will also move the newly associated publications
from this table to the first table. Similarly, publications disassociated in the first table will appear in this
table when the screen is refreshed.
Table 3: Publications Previously Reported for this Project
The final table, Publications previously reported for this project, only lists publications reported in a
previous electronic progress report for this award. Recipients are responsible for ensuring that these
publications comply with the Public Access policy even if they were provisionally compliant (listed as in
Process) when previously reported.
Submitting an RPPR with Noncompliant Publications
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Figure 102 RPPR Section C. Products – Question C1
Publications that fall under the NIH Public Access Policy and are non-compliant still must be reported.
When non-compliant papers are reported, the system will generate an automated email to the PD/PI
(with cc to the AO and SO) requesting that the recipient provide evidence of compliance or an
explanation by a specified due date two weeks prior to the next budget start date.
Responding to Non-compliance Notifications
To bring a publication into compliance, please follow the submission instruction wizard at
http://publicaccess.nih.gov/determine-applicability.htm. NIH cannot accept anything other than
compliance with the policy except in the rarest of circumstances, such as a death of the sole author.
The recipient must respond to this non-compliance notification either via an email to the GMS and PO,
or may respond via the Progress Report Additional Materials (PRAM) link found on the eRA Commons
Status page. The simplest way to provide evidence of compliance is to generate a My NCBI PDF report
(https://www.ncbi.nlm.nih.gov/books/NBK53595/#mybibliography.Creating_an_Award_Complia) of
the formerly non- compliant publications. The PRAM link provides a text box in which the recipient
may respond through the eRA Commons and link to attach the My NCBI PDF report. The recipient will
be able to view the PRAM in the grant folder. See the topic in this document titled Public Access
Progress Report Additional Materials (PRAM) for more information.
My NCBI Management
PD/PIs can log in to their My NCBI account. PD/PIs that do not have a My NCBI account can create one
by simply logging in to My NCBI with their eRA Commons credentials, which will automatically create
a My NCBI account. Any changes made to their My Bibliography collection will be reflected in the
RPPR once the screen is refreshed (i.e., by clicking the Save button). For more information on My
NCBI, see http://publicaccess.nih.gov/communications.htm, and My NCBI Help.
C.2 Website(s) or other internet site(s).
List the URL for any Internet site(s) that disseminates the results of the research activities. A short
description of each site should be provided. It is not necessary to include the publications already
specified above.
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A description is only required for awards designed to create or maintain one or more
websites. Limit the response to this reporting period. If the website disseminates a product
that falls into one or more of the other product categories, please click the Add
Web/Internet Site button and select the appropriate category(ies) in the popup that appears
(select multiple categories, if appropriate, by holding down the Ctrl button while selecting
the categories). For awards not designed to create or maintain one or more websites, select
Nothing to Report.
A description is only required for awards designed to create or maintain one or more websites. Limit the
response to this reporting period. If the website disseminates a product that falls into one or more of the
other product categories, please click the Add Web/Internet Site button and select the appropriate
category(ies) in the popup that appears (select multiple categories, if appropriate, by holding down the
Ctrl button while selecting the categories). For awards not designed to create or maintain one or more
websites, select Nothing to Report.
C.3 Technologies or techniques.
Identify technologies or techniques that have resulted from the research activities. Describe the
technologies or techniques and how they are being shared.
PD/PIs are required to report all technologies or techniques that arise from their NIH award
in this section. If there are technologies or techniques to report, select Yes and enter a short
description. If the technology or technique falls into one or more of the product categories,
please click the New Technology/Technique button and select the appropriate category(ies)
in the popup that appears (select multiple categories, if appropriate, by holding down the
Ctrl button while selecting the categories). If there are no technologies or techniques to
report select Nothing to Report. Limit the response to this reporting period.
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Figure 103 RPPR Section C. Products – Questions C2 & C3
C.4 Inventions, patent applications and/or licenses.
Have inventions, patent applications and/or licenses resulted from the award during this
reporting period?
If yes, has this information been previously provided to the PHS or to the official responsible for
patent matters at the grantee organization?
Reporting of inventions through iEdison is mandatory.
C.5 Other products and resources.
C.5.a Other products
Identify any other significant products that were developed under this project.
For SBIR/STTR Awards commercial technologies will be addressed under Impact.
PD/PIs are required to report all products that arise from their NIH award in section C. If
there are other products to report not covered in Sections C1 – C4, select Yes and click the
New Product/Resource button, then choose the appropriate product category(ies) in the popup
that appears (select multiple categories, if appropriate, by holding down the Ctrl button while
selecting the categories). If there is more than one product to report, click the New
Product/Resource button again to add an additional product. Limit the response to this
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reporting period.
Please assign products reported in Sections C.3 Technologies and Techniques and C.5a Other Products
to the following categories. Please choose as many categories as applicable for each of the product(s)
reported. If the product(s) has been reported or shared through a publication, please include the full
reference and/or PubMed ID in the product description.
Product Categories (click on hyperlinks to review additional guidance for each category):
1) Audio or video
2) Data or Databases
3) Research Material
4) Educational aids or curricula
5) Evaluation Instruments
6) Instruments or equipment
7) Models
8) Physical collections
9) Protocols
10) Software
11) Survey Instruments
12) Interventions (e.g., clinical or educational)
13) New Business Creation
14) Other
The Other category can include interim research products, which are complete, public research products
that are not final. Do not report interim versions of these products unless they are complete drafts and
public.
For example, if an awardee made a draft of their survey public, it would be an interim research product/
listed under product category #. If the draft was not public, or was missing key questions, do not report it.
Citations for interim products must include the Digital Object Identifier and the Object type (e.g.
preprint, protocol) in the citation. Also list any information about the document version (e.g. most recent
date modified), and if relevant, the date the product was cited. For more information, see the FAQs.
Example: Bar DZ, Atkatsh K, Tavarez U, Erdos MR, Gruenbaum Y, Collins FS. Biotinylation by
antibody recognition- A novel method for proximity labeling. BioRxiv 069187 [Preprint]. August 11,
2016 [cited 2017 Jan 12]. Available from: https://doi.org/10.1101/069187.
Specifically, to claim an interim research product as a product of an NIH award, the NIH expects that the
awardee will:
•
Make the product publicly available. To maximize the impact of an interim research
product, the NIH strongly encourages awardees to select a Creative Commons Attribution
(CC-BY) license or dedicate their work to the public domain.
•
In the text of the document:
o
Acknowledge NIH funding in accordance with NIH Grants Policy Statement
Chapter 8.2.1
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o
Clearly state that the work is not peer-reviewed
o
Declare any competing interests, as an author would do for any journal article
C.5.b Resource Sharing
PD/PIs and recipient organizations are expected to make the results and accomplishments of
their activities available to the research community and to the public at large. For additional
information on NIH Sharing Policies and Related Guidance on NIH-Funded Research
Resources see http://grants.nih.gov/grants/sharing.htm.
If the initial research plan addressed, or the terms of award require, a formal plan for sharing final
research data, model organisms, Genome Wide Association Studies data, or other such project-specific
data, describe the progress in implementing that plan. For sharing model organisms, include information
on the number of requests received and number of requests fulfilled during this reporting period. If the
sharing plan is fully implemented, provide a final statement on data sharing.
Figure 104 RPPR Section C. Products – Questions C4 & C5
6.4
Section D – Participants
The RPPR Section D. allows the agency to know who has worked on the project to gauge and report
performance in promoting partnerships and collaborations.
D.1 What individuals have worked on the project?
Provide or update the information for: (1) program director(s)/principal investigator(s) (PDs/PIs); and (2)
each person who has worked at least one person month per year on the project during the reporting
period, regardless of the source of compensation (a person month equals approximately 160 hours or
8.3% of annualized effort).
Provide the name and identify the role the person played in the project. Indicate the person months,
rounded to the nearest one-tenth (Calendar, Academic, Summer) that the individual worked on the
project.
Show the most senior role in which the person has worked on the project for any significant length of
time. For example, if an undergraduate student graduates, enters graduate school, and continues to work
on the project, show that person as a graduate student.
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NIH Instructions:
• An individual's Commons user ID may be used to partially populate
information
•
A Commons ID is required for all individuals with a postdoctoral, graduate or
undergraduate role (NOT-OD-13-097). The Commons ID is also required for individuals
supported by a Reentry or Diversity Supplement. For all other project personnel with an
established Commons ID, it should be provided; the Commons ID is strongly encouraged
but currently optional. AHRQ recipients should refer to NOT-OD-21-109
(https://grants.nih.gov/grants/guide/notice-files/NOT-OD-21-109.html) for information
regarding what Personnel are required to have a Commons ID.
•
Individuals with a postdoctoral-like role should be identified as Postdoctoral
(scholar, fellow, or other postdoctoral position)
•
Do not include Other Significant Contributors who are not committing any
specified measurable effort to this project
•
Do not report personnel for whom a PHS 2271 Appointment form has been
submitted through xTrain
•
Required fields are marked with an *
•
eRA Commons User ID: Entering the User ID allows selection of “Populate from
Profile” which will partially populate the individual’s information. Those with an
Administrator role in the eRA Commons may search for user IDs by following the
instructions at: Search for Commons User Accounts
Senior/key personnel are defined as the PD/PI and other individuals who contribute to the scientific
development or execution of a project in a substantive, measurable way, whether or not they receive
salaries or compensation under the grant. Typically these individuals have doctoral or other professional
degrees, although individuals at the masters or baccalaureate level may be considered senior/key
personnel if their involvement meets this definition. Consultants and those with a postdoctoral role also
may be considered senior/key personnel if they meet this definition.
Project Role: PD/PI names and information from their Commons Profile(s) will be prepopulated. To
update the PD/PI information as displayed, go to the Commons Profile and save the changes there. For
all other personnel, select from a dropdown menu of the following options:
•
Co-Investigator
•
Faculty
•
Postdoctoral (scholar, fellow or other postdoctoral position)
•
Technician
•
Staff Scientist (doctoral level)
•
Statistician
•
Graduate Student (research assistant)
•
Non-Student Research Assistant
•
Undergraduate Student
•
High School Student
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•
Consultant
•
Other (specify)
Supplement Support: If personnel are supported by a Reentry or Diversity Supplement indicate type of
supplement in this field.
Person Months: The metric for expressing the effort (amount of time) devoted to a specific project. The
effort is based on the type of appointment of the individual with the organization; e.g., calendar year,
academic year, and/or summer term; and the organization's definition of such. For instance, some
institutions define the academic year as a 9-month appointment while others define it as a 10-month
appointment.
Include (1) the PD/PI regardless of effort devoted to the project and (2) each person who has worked at
least one person month per year on the project during the reporting period, regardless of the source of
compensation.
Round to the nearest one-tenth (i.e., one decimal place) of a person month that the individual worked on
the project. For example, if the individual worked 2.25 person months, indicate 2.3 person months. If the
individual worked 2.24 person months, indicate 2.2 person months. If the PD/PI worked 0.74 person
months, round down to 0.7 person months. If the PD/PI worked 0.76 person months, round up to 0.8
person months. For any amount less than 0.05 for a PD/PI (who by definition must contribute
measurable effort), enter 0.1 person months. For all others, round down to zero (0.0) when the amount is
less than 0.05 person months.
To calculate person months, multiply the percentage of effort associated with the project by the number
of months of the appointment. For example:
•
25% of a 9 month academic year appointment equals 2.25 (academic year) person
months (.25 x 9 = 2.25). Round up to 2.3
•
90% of a 12 month calendar appointment equals 10.8 (calendar year) person months
(0.90 x 12 = 10.8).
•
35% of a 3 month summer term appointment equals 1.05 (summer) person months (0.35
x 3= 1.05). Round up to 1.1
If the regular pay schedule of an institution is a 9 month academic year and the PD/PI
will devote 9 academic months at 30% time/effort and 3 months summer term at 30%
time/effort , then 3 academic months (0.30% x 9 = 2.7), and 1 summer month (0.30 x
3 = 0.9) should be reported
•
Note that a PD/PI must have measurable effort. Change in Level of Effort for the PD/PI(s) and
other senior key/personnel designated in the NoA is reported under D.2.a below.
For Final and Interim RPPR under D.1 recipients should only report on the
individuals/staff that worked on the project during the last budget period minus any
approved no-cost extensions.
Is the individual’s primary affiliation with a foreign organization?
Check No if the individual’s primary affiliation is with a foreign organization but the
individual is working on this award solely while in the U.S.
If Yes, provide the name of the organization and country. Select the Add Participant button
to add the data to the table.
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Figure 105 RPPR Section D. Participants – Question D1
D.2 Personnel Updates
D.2.a Level of effort.
Will there be, in the next budget period, either (1) a reduction of 25% or more in the level of effort
from what was approved by the agency for the PD/PI(s) or other senior/key personnel designated in
the Notice of Award, or (2) a reduction in level of effort below the minimum amount of effort required
by the Notice of Award?
Reductions are cumulative, i.e., the 25% threshold may be reached by two or more successive reductions
that total 25% or more. Once agency approval has been given for a significant change in the level of
effort, then all subsequent reductions are measured against the approved adjusted level. Selecting Yes
constitutes a prior approval request to the agency and the issuance of a subsequent year of funding
constitutes agency approval of the request.
D.2.b New senior/key personnel.
Are there, or will there be, new senior/key personnel?
Senior/key personnel are those identified by the recipient institution as individuals who contribute in a
substantive measurable way to the scientific development or execution of the project, whether or not
salaries are requested. Typically these individuals have doctoral or other professional degrees, although
individuals at the masters or baccalaureate level may be considered senior/key personnel if the
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involvement meets this definition. Consultants may be considered senior/key personnel if they meet this
definition.
If yes, upload biosketches and other support for all new senior/key personnel.
Follow the biosketch instructions in the competing application guide and provide active and pending
other support for all new senior/key personnel. Combine all biosketches and other support into a single
PDF.
Figure 106 RPPR Section D. Participants – Questions D2a & D2b
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?
Select Yes only if active support has changed for the PD/PI(s) or senior/key personnel.
If yes, upload updated active and pendingsupport for senior/key personnel whose support has changed.
List the award for which the progress report is being submitted and include the effort that will be
devoted in the next reporting period.
Submit complete Other Support information using the suggested format and instructions found at
https://grants.nih.gov/grants/forms/othersupport.htm.
Other support information should be submitted only for the PD/PI and for those individuals considered
by the recipient to be key to the project for whom there has been a change in other support. Senior/key
personnel are defined as individuals who contribute in a substantive measurable way to the scientific
development or execution of the project, whether or not a salary is requested. Do not include other
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support information for Other Significant Contributors; e.g., those that may contribute to the scientific
development or execution of the project, but are not committing any specified measurable effort to the
project.
D.2.d New other significant contributors.
Are there, or will there be, new other significant contributors?
Other significant contributors are individuals who have committed to contribute to the scientific
development or execution of the project, but are not committing any specified measurable effort (i.e.,
person months) to the project.
If yes, upload biosketches for all new other significant contributors.
D.2.e Will there a change in the MPI Leadership Plan for the next budget period?
Change in status of PD/PI requires prior approval of the agency (e.g., NIH Grants Policy Statement,
8.1.2.6). In accord with the NIH GPS, 9.5, revision of the Leadership Plan during the project period may
be accomplished through a joint decision of the PD/PIs and reported in the RPPR. Prior approval of a
change in the MPI Leadership Plan is not required.
If yes, upload a revised MPI Leadership Plan that includes a description of the change(s).
All multiple PD/PI awards have a Leadership Plan that describes the roles and areas of responsibility of
the named PD/PIs, the process for making decisions concerning scientific directions, allocation of
resources, disputes that may arise, and other information related to the management of the proposed
team science project. If there has been any change in the governance and/or organizational structure of
the Leadership Plan, provide a description, including communication plans and procedures for resolving
conflicts, and any changes to the administrative, technical, and scientific responsibilities of the PD/PIs. If
the progress report includes a change in the Contact PD/PI (Cover Page, A.1) address this change and
the impact, if any, the change has on the administrative, technical, and scientific responsibilities of the
PD/PIs. A request to change from a multiple PD/PI model to a single PD/PI model, or a change in the
number or makeup of the PD/PIs on a multiple PD/PI award, requires the prior approval of the GMO.
The progress report is not the appropriate vehicle to request such a change.
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Figure 107 RPPR Section D. Participants – Questions D2c – D2e
6.5
Section E – Impact
The RPPR Section E Impact will be used to describe ways in which the work, findings, and specific
products of the project have had an impact during this reporting period.
E.1 Not Applicable for most awards. See chapter 7 Supplemental Instructions.
E.2 What is the impact on physical, institutional, or information resources that form infrastructure?
Describe ways, if any, in which the project made an impact, or is likely to make an impact, on physical,
institutional, and information resources that form infrastructure, including:
•
physical resources (such as facilities, laboratories, or instruments);
•
institutional resources (such as establishment or sustenance of societies or organizations);
or
•
information resources, electronic means for accessing such resources or for scientific
communication, or the like.
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If the award or award component(s) is not intended to support physical, institutional, or
information resources that form infrastructure, select Nothing to Report.
E.3 Not Applicable for most awards. See chapter 7 Supplemental Instructions.
This section is applicable to SBIR/STTR Awards. See Supplemental Instructions for Specific Grant RPPR
Types.
E.4 What dollar amount of the award’s budget is being spent in foreign country(ies)?
For domestic awardees provide the dollar amount obligated to first-tier subawards to foreign
entities for this reporting period. For foreign awardees provide the dollar amount of the
award, excluding all first-tier subawards to U.S. entities, for this reporting period.
Dollars provided should reflect total costs.
If more than one foreign country identify the distribution between the foreign countries.
Report only cumulative first-tier subawards dollars by country. Do not report foreign travel, purchases,
etc., unless part of a first-tier subaward to a foreign country.
Select the Add Amount button to add the data to the table.
Figure 108 RPPR Section E. Impact – Questions E1 through E4
6.6
Section F – Changes
The RPPR Section F addresses Changes. Recipients are reminded that significant changes in objectives
and scope require prior approval of the agency.
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F.1 Not Applicable to most awards. See chapter 7 Supplemental Instructions.
F.2 Actual or anticipated challenges or delays and actions or plans to resolve them.
Describe challenges or delays encountered during the reporting period and actions or plans to resolve
them.
Describe only significant challenges that may impede the research (e.g., accrual of patients,
hiring of personnel, need for resources or research tools) and emphasize their resolution.
Figure 109 RPPR Section F. Changes – Questions F1 & F2
F.3 Significant changes to human subjects, vertebrate animals, biohazards, and/or select
agents.
Describe significant deviations, unexpected outcomes, or changes in approved protocols for human
subjects, vertebrate animals, biohazards and/or select agents during this reporting period.
Remember that significant changes in objectives and scope require prior approval of the agency (e.g.,
NIH Grants Policy Statement, 8.1.2.). If there are changes in any of the following areas, check the
appropriate box and provide a description of the changes.
F.3.a Human Subjects
If human subject studies are or will be different from the previous submission, include a description and
explanation of how the studies differ and provide new or revised Protection of Human Subjects Section
and Inclusion of Women, Minorities, and Children sections as described in the competing application
instructions. Additional or modified inclusion enrollment reports may also be necessary and should be
provided by clicking the Human Subjects link in Section. G.4 of the RPPR to make necessary updates in
the Human Subjects System (HSS).
F.3.b Vertebrate Animals
If there are or will be significant changes to the uses of vertebrate animals from the previous submission,
provide a description of the changes. Examples of changes considered to be significant include, but are
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not limited to, changing animal species, changing from noninvasive to invasive procedures, new
project/performance site(s) where animals will be used, etc. If studies involving live vertebrate animals
are planned and were not part of the originally proposed research design, provide a new or revised
Vertebrate Animal Section as described in the competing application instructions.
F.3.c Biohazards
If the use of biohazards is or will be different from that in the previous submission, provide a description
and explanation of the difference(s).
F.3.d Select Agents
If the possession, use, or transfer of Select Agents is or will be different from that proposed in the
previous submission, including any change in the select agent research location and/or the required level
of biocontainment, provide a description and explanation of the differences. If the use of Select Agents
was proposed in the previous submission but has not been approved by regulatory authorities, provide an
explanation. If studies involving Select Agents are planned and were not part of the originally proposed
research design, provide a description of the proposed use, possession, transfer, and research location as
described in the competing application instructions.
U.S. Select Agent Registry information: https://www.selectagents.gov
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Figure 110 RPPR Section F Changes- Question F3
6.7
Section G – Special Reporting Requirements
The RPPR Section G Special Reporting Requirements address agency-specific award terms
and conditions, as well as any award specific reporting requirements.
G.1 Special Notice of Award and Funding Opportunity Announcement Reporting Requirements
Address any special reporting requirements specified in the award terms and conditions in the Notice of
Award (NoA) or Funding Opportunity Announcement (FOA).
For Ruth L. Kirschstein National Research Service Award (NRSA) Institutional Training
Awards an attachment must be provided that specifies the number of trainees who used
childcare costs in the reporting period. Follow the instructions found in the Supplemental
Instructions for Training RPPRs.
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NIH requires SBIR/STTR grant recipients to submit the Life Cycle Certifications within the
Interim and Final RPPR in this section. Forms must be uploaded directly and SBIR/STTR
recipients should not select the “Nothing to Report” box in this section. The I-RPPR or FRPPR will not be accepted unless all completed Life Cycle Certification(s) are received. Life
Cycle Certification forms are available for SBIR and STTR applicants and awardees in
fillable format at: https://grants.nih.gov/grants/forms/manage_a_small_business_award.htm.
G.2 Not Applicable to most awards.
See Supplemental Instructions for Specific Grant RPPR Types.
G.3 Not Applicable to most awards.
See Supplemental Instructions for Specific Grant RPPR Types.
Figure 111 RPPR Section G. Special Reporting Requirements – Questions G1 through G3
G.4 Human Subjects.
NIH applicants only:
In RPPR, for question G.4, click the Human Subjects link:
Figure 112 Human Subjects Link
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Clicking the Human Subjects link opens up the Human Subjects System (HSS), shown below:
Figure 113 HSCT Post Submission tab in ASSIST (for Human Subjects)
If conducting NIH-defined clinical research, reporting the cumulative enrollment of subjects and the
distribution by sex/gender, race, and ethnicity is required, as defined in the competing application
instructions. If there are details or concerns related to inclusion enrollment progress, or if the cumulative
enrollment data does not reflect the planned enrollment by sex/gender, race, and/or ethnicity, the reasons
for this should be addressed in Section F.3.a of the RPPR.
Update the inclusion enrollment with the total cumulative enrollment data collected to-date on the
inclusion enrollment report(s) for each study record. If the last competing application was submitted for
due dates January 25, 2019 or later, recipients must update enrollment data by submitting deidentified
individual-level participant data using the spreadsheet template available in the Human Subjects System
(HSS). See the Inclusion Across the Lifespan policy page for more information. Recipients should
follow instructions in the HSS online help to edit studies as appropriate.
Recipients can edit the inclusion enrollment record(s) in the Human Subjects System using the “How Do
I Edit Studies?” instructions in the HSS Online Help.
Recipients may have more than one inclusion enrollment report. Each inclusion enrollment report must
have a unique title. If new clinical studies have started and planned enrollment was not previously
provided, create a new Planned Enrollment record in the Human Subjects System. Inclusion enrollment
data updates must be submitted in the Human Subjects System prior to submitting the RPPR. Recipients
will receive a warning if inclusion enrollment data are not updated prior to submitting the RPPR.
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AHRQ recipients only: If inclusion enrollment reporting is required, download and complete the
Cumulative Inclusion Enrollment Report, and upload it in Section G.4. If inclusion enrollment
reporting is not required, select “Nothing to Report.”
Figure 114 Question G.4 for AHRQ Recipients Only
Guidance for Collecting and Reporting Inclusion Data: Below are instructions for how to collect and
report data on the basis of sex/gender, race, age, and ethnicity with additional guidance for handling
subpopulations, non-U.S. populations, changes to planned enrollment data, and NIH-defined Phase III
clinical trials.
For questions about the NIH policies for inclusion, please refer to:
http://grants.nih.gov/grants/funding/women_min/women_min.htm or contact the program officer.
Standards for Collecting Data from Study Participants: The Office of Management and Budget (OMB)
Directive No. 15 defines minimum standards for maintaining, collecting and presenting data on ethnicity
and race for all Federal (including NIH) reporting purposes. The categories in this classification are
social-political constructs and should not be interpreted as being anthropological in nature. The standards
were revised in 1997 and now include two ethnic categories: Hispanic or Latino, and Not Hispanic or
Latino. There are five racial categories: American Indian or Alaska Native, Asian, Black or African
American, Native Hawaiian or Other Pacific Islander, and White. Reports of data on ethnicity and race
should use these categories. The definitions below apply for the ethnic and racial categories.
Ethnic Categories:
Hispanic or Latino: A person of Cuban, Mexican, Puerto Rican, South or Central American,
or other Spanish culture or origin, regardless of race. The term, “Spanish origin,” can be used
in addition to “Hispanic or Latino”. Not Hispanic or Latino
Racial Categories:
American Indian or Alaska Native: A person having origins in any of the original peoples
of North, Central, or South America and maintains tribal affiliation or community.
Asian: A person having origins in any if the original peoples of the Far East, Southeast Asia,
or the Indian subcontinent including, for example, Cambodia, China, India, Japan, Korea,
Malaysia, Pakistan, the Philippine Islands, Thailand, and Vietnam.
Black or African American: A person having origins in any of the black racial groups of
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Africa. Terms such as “Haitian” or “Negro” can be used in addition to “Black or African
American.”
Native Hawaiian or Other Pacific Islander: A person having origins in any of the original
peoples of Hawaii, Guam, Samoa, or other Pacific Islands.
White: A person having origins in any of the original peoples of Europe, North Africa, or the
Middle East.
Reporting Data on Race and Ethnicity: NIH is required to use the above standards and definitions for
race and ethnicity to allow comparisons to other federal databases, especially the census and national
health databases. Federal agencies shall not present data on detailed categories if doing so would
compromise data quality or confidentiality standards.
When collecting data on ethnicity and race, as well as sex/gender, use the categories listed to obtain the
data from individuals on the basis of self-identification. Participants should be asked to identify their
ethnicity and their race. The OMB recommends collecting this information using two separate questions,
with ethnicity information collected first followed by race, with the option to select more than one racial
designation (https://www.govinfo.gov/content/pkg/FR-1997-10-30/pdf/97-28653.pdf). The NIH
inclusion enrollment format is not designed for use as a data collection instrument. Collect the data
using instruments prepared for the study, and use that information to complete the NIH inclusion
enrollment form(s). Study participants who self-identify with more than one of the racial categories
should be reported in the aggregate in the "More Than One Race" category.
Collecting and Reporting Data on Subpopulations: Each ethnic/racial group contains subpopulations
that are delimited by geographic origins, national origins, and/or cultural differences. It is recognized
that there are different ways of defining and reporting racial and ethnic subpopulation data. The
subpopulation to which an individual is assigned depends on self-reporting of specific origins and/or
cultural heritage. Attention to subpopulations also applies to individuals who self-identify with more
than one ethnicity or race. These ethnic/racial combinations may have biomedical, behavioral, and/or
social-cultural implications related to the scientific question under study. The collection of greater detail
is encouraged, e.g., on ethnic/racial subpopulations; however, any collection that uses more detail needs
to be organized in such a way that the additional categories can be aggregated into the OMB categories
for reporting data on ethnicity, race, and more than one race. Investigators who have data on
subpopulations are encouraged to provide that information in the Comments field of the inclusion
enrollment forms and/or in the text of their progress report.
Collecting and Reporting Data on Non-U.S. Populations: If conducting NIH-defined clinical research
outside of the United States, design culturally appropriate data collection instruments that allow
participants to self-identify their ethnic and/or racial affiliation in a way that is meaningful in the cultural
and scientific contexts of the study. However, investigators will need to use the OMB-defined categories
for reporting sex/gender, race and ethnicity to NIH (see definitions for each ethnic and racial category
above), which will allow for completion of the inclusion enrollment form(s). Since OMB categories
reference world-based geographic origin, this should facilitate completion of the form(s). Enrollment of
participants at non-U.S. sites should be reported to NIH on a separate inclusion enrollment form
from that for reporting participants at U.S. sites, even if they are part of the same study. For
additional guidance and FAQs related to this topic, please refer to:
http://grants.nih.gov/grants/funding/women_min/women_min.htm or contact the program officer.
Reporting Data on Age: Recipients who submitted the last competing application January 25, 2019 or
later must include deidentified data on sex/gender, race, ethnicity and age at enrollment for each study
participant. Age may be reported in units ranging from minutes to years. Data must be provided in .csv
format using the template provided. See tip sheet and video for additional details.
Changes to Planned Enrollment: If there are changes from the planned enrollment originally approved
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for funding, contact the program officer to discuss updating/revising the planned enrollment, address the
change in Section F.3.a of the RPPR, and revise the existing Planned Enrollment for that study by
clicking the Human Subjects link to update the record in the Human Subjects System.
Reporting Data on NIH-defined Phase III Clinical Trials: If conducting an NIH-defined Phase III
Clinical Trial, report on the cumulative enrollment (as described above) and indicate in Section F.3.a if
any data analysis has begun for the trial. If analysis has begun or data have been published, report any
progress made in evaluating potential differences on the basis on sex/gender, racial, and/or ethnicity.
Additional Instructions for Clinical Trials:
Studies involving clinical trials must provide the Clinicaltrials.gov identifier (NCT) in Section 1 of the
PHS Human Subjects and Clinical Trials Information Form within 21 days of enrollment of the first
participant. Recipients may use the “populate” button to bring forward data from Clinicaltrials.gov once
the NCT is entered. See the HSS Online Help for additional information about using this feature.
Figure 115 Section 1: Basic Information of HSCT Tab in ASSIST with Populate Button
See What NIH Recipients Need to Know About FDAAA & NIH Clinical Trial Policy, and FAQ When
must an applicable clinical trial be registered? If the grant number was entered into ClinicalTrials.gov,
the https://clinicaltrials.gov/ct2/home identifier (NCT number) may be readily identified by using the
ClinicalTrials.gov Advanced Search and entering the grant number in the Study IDs field.
NOTE: Recipients will receive an error preventing submission of an RPPR if there are studies
involving clinical trials associated with the RPPR where the registration is due under FDAAA
and/or NIH Policy on Dissemination of NIH-Funded Clinical Trial Information (e.g., study is 21
days after enrollment of the first participant) and no NCT has been entered into the Human Subject
Clinical Trial (HSCT) form. To address this error the recipient will need to either provide the NCT
number issued by ClinicalTrials.gov, or provide the registration receipt that is received upon
submission of the trial registration to ClinicalTrials.gov.
To provide the ClinicalTrials.gov registration receipt, the recipient must upload the receipt to the other
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attachments section of the HSCT form (Section 5.1) as a PDF document. The file name must be
CTgov_Registration_Receipt.pdf.
Recipients must complete Section 6 – Clinical Trial Milestone Plan (shown below) for all studies
involving clinical trials. Note: All anticipated dates entered in Section 6 must be future dates. All actual
dates must be the current date or a later date.
Figure 116 Clinical Trial Milestone Plan, which is on the HSCT form in the Human Subjects System (HSS)
6.1 Study Primary Completion Date
Enter the date (MM/DD/YYYY) that the final participant was examined or received an intervention
for the purposes of final collection of data for the primary outcome, whether the clinical study
concluded according to the pre-specified protocol or was terminated. In the case of clinical studies
with more than one primary outcome measure with different completion dates, this term refers to
the date on which data collection is completed for all of the primary outcomes. Select whether this
date is anticipated or actual. This date cannot be modified once set to actual.
6.2 Study Final Completion Date
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Enter the date (MM/DD/YYYY) the final participant was examined or received an intervention for
purposes of final collection of data for the primary and secondary outcome measures and adverse
events (for example, last participant’s last visit), whether the clinical study concluded according to
the pre-specified protocol or was terminated. Select whether this date is anticipated or actual.
6.3 Enrollment and randomization
Enrollment of the first participant (Study Start Date): Enter the date (MM/DD/YYYY) of the
enrollment of the first participant into the study. From the dropdown menu, select whether this date
is anticipated or actual. This date cannot be modified once set to actual.
25% of planned enrollment recruited by: Enter the date (MM/DD/YYYY) by which 25% of
participants were or will be enrolled. Select whether this date is anticipated or actual.
50% of planned enrollment recruited by: : Enter the date (MM/DD/YYYY) by which 50% of
participants were or will be enrolled. Select whether this date is anticipated or actual.
75% of planned enrollment recruited by: : Enter the date (MM/DD/YYYY) by which 75% of
participants were or will be enrolled. Select whether this date is anticipated or actual.
100% of planned enrollment recruited by: : Enter the date (MM/DD/YYYY) by which 100% of
participants were or will be enrolled. Select whether this date is anticipated or actual.
6.4 Completion of primary endpoint analyses
Enter the date (MM/DD/YYYY) by which the primary endpoint analysis was or will be
completed. Select whether this date is anticipated or actual.
6.5 Reporting of results in Clinicaltrials.gov
Enter the date (MM/DD/YYYY) by which results were or will be submitted to Clinicaltrials.gov.
Results may be submitted but not yet be posted because they are pending quality control (QC)
review by the National Library of Medicine (NLM) or the sponsor or investigator is addressing QC
review comments provided by NLM. Select whether this date is anticipated or actual.
6.6 Is this an applicable trial under FDAAA?
Indicate whether the trial is an applicable trial is subject to the registration and reporting
requirements in Title VIII of the Food and Drug Administration Amendments Act of 2007
(FDAAA) (PL 110-85). See What NIH Recipients Need to Know About FDAAA & NIH Clinical
Trial Policy.
Note: Clinical Trials Reporting Requirement: Recipients will receive an error preventing submission of
an RPPR if there are studies involving clinical trials associated with the RPPR where results are due
under FDAAA and/or NIH Policy on Dissemination of NIH-Funded Clinical Trial Information (e.g.,
study is one year after the primary completion date) and have not been submitted in ClinicalTrials.gov.
To address this error the applicant will need to submit the results to ClinicalTrials.gov. This error can
also be addressed by providing the submission receipt for a (1) Good Cause extension request or (2)
Certification of Delayed Submission of Results Information from ClinicalTrials.gov.
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To provide the ClinicalTrials.gov Good Cause Extension request submission receipt or Certification of
Delayed Submission Results Information from ClinicalTrials.gov, the applicant will need to upload the
receipt to other attachments section of the HSCT form (Section 5.1) as a PDF document. The file name
must be CTgov_Extension_Receipt.pdf.
Per the 1993 NIH Revitalization Act, PL 103-43, enacted June 10, 1993, and the 21st Century Cures Act,
PL 114-255, enacted December 13, 2016, NIH requires entities conducting NIH-defined Phase III
Clinical Trials to include results of valid analyses by sex/gender, race, and ethnicity, in addition to
submission in ClinicalTrials.gov.
Clicking the Human Subjects link opens up the Human Subjects System, shown below:
Figure 117 RPPR Section G. Special Reporting Requirements – Question G.4
G.5 Human Subjects Education Requirement.
Are there personnel on this project who are or will be newly involved in the design or conduct of
human subjects research?
If yes, provide the following:
•
names of individuals,
•
title of the human subjects education program completed by each individual, and a onesentence description of the program.
G.6 Human Embryonic Stem Cell(s).
Does this project involve human embryonic stem cells?
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Only hESC lines listed as approved in the NIH Registry may be used in NIH funded research.
If yes, identify the hESC Registration number(s) from the NIH Registry.
Select the Add hESC Number button to add the data to the table.
If there is a change in the use of hESCs provide an explanation.
G.7 Vertebrate Animals
Does this project involve vertebrate animals?
Figure 118 RPPR Section G. Special Reporting Requirements – Questions G5 through G7
G.8 Project/Performance Sites.
If there are changes to the project/performance site(s) displayed, edit as appropriate.
One of the sites indicated must be the identified as the Primary Performance Site. If including a new
Project/Performance Site where either human subjects or vertebrate animals will be involved, address the
change under F.3.a or F.3.b. If a Project/Performance Site is engaged in research involving human
subjects, the recipient organization is responsible for ensuring that the Project/Performance Site operates
under an appropriate Federal Wide Assurance for the protection of human subjects and complies with 45
CFR Part 46 and other NIH human subject related policies described in Part II of the competing
application instructions and the NIH Grants Policy Statement.
For research involving live vertebrate animals, the recipient organization must ensure that all
Project/Performance Sites hold OLAW-approved Assurances. If the recipient organization does not have
an animal program or facilities and the animal work will be conducted at an institution with an
Assurance, the recipient must obtain an Assurance from OLAW prior to the involvement of vertebrate
animals.
Select the Add Project/Performance Sites button to add the data to the table.
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Figure 119 RPPR Section G. Special Reporting Requirements – Question G8
G.9 Foreign component.
Provide the organization name, country, and description of each foreign component.
Foreign component is defined as significant scientific activity that was performed outside of the United
States, either by the recipient or by a researcher employed by a foreign organization, whether or not
grant funds were expended. The following grant-related activities are significant and must be reported:
•
involvement of human subjects or research with live vertebrate animals;
•
extensive foreign travel by recipient project staff to collect data, or conduct surveys
or sampling activities; or
• any recipient activity that may have an impact on U.S. foreign
policy. Examples of other grant-related activities that may be significant
are:
•
collaborations with investigators at a foreign site anticipated to result in co-authorship;
•
use of facilities or instrumentation at a foreign site; or
•
receipt of financial support or resources from a foreign entity.
Foreign travel for consultation does not meet the definition of foreign component. Select the Add
Foreign Component button to add the data to the table.
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Figure 120 RPPR Section G. Special Reporting Requirements – Question G9
G.10 Estimated unobligated balance.
G.10.a Is it anticipated that an estimated unobligated balance (including prior year carryover) will be
greater than 25% of the current year’s total approved budget? If yes, provide the estimated
unobligated balance.
The total approved budget equals the current fiscal year award authorization plus any approved
carryover of funds from a prior year(s). The numerator equals the total amount available for carryover
and the denominator equals the current year’s total approved budget.
AHRQ ONLY: The RPPR is automatically set to “yes” for an AHRQ award because AHRQ
recipients must provide the estimated cumulative total cost dollar amount of any unobligated
balance that is anticipated, regardless of whether the percentage of unobligated funds is over
or under 25%. Only if the estimated cumulative total cost dollar amount of the unobligated balance
is actually zero should the recipient enter “0” in G.10.a. For AHRQ awards, the total approved
budget equals the current fiscal year award authorization and does NOT include any approved
carryover of funds from a prior year(s). In the estimated unobligated balance calculation, the
numerator equals the total amount available for carryover and the denominator equals the
current fiscal year award authorization.
G.10.b Provide an explanation for unobligated balance.
AHRQ ONLY: If the estimated unobligated balance exceeds 25% of the current fiscal year award
authorization, provide an explanation of why this significant balance remains. If the estimated
cumulative total cost dollar amount of the unobligated balance is less than 25% of the current fiscal
year award authorization, enter “N/A” in G.10.b.
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G.10.c If authorized to carryover the balance, provide a general description of how it is anticipated
that the funds will be spent. To determine carryover authorization, see the Notice of Award.
Recipients not authorized to carryover unobligated balances automatically must submit a prior approval
request to the awarding IC. See instructions in NIH Grants Policy Statement Section 8.1.2.4 Carryover
of Unobligated Balances, or HHS GPS, Part II, Prior Approval Requirements, as applicable.
G.11 Program Income.
Is program income anticipated during the next budget period? If yes, provide the amount and
source(s).
Program Income is defined as gross income earned by the recipient organization, a consortium
participant, or a contractor under the grant that is directly generated by the grant-supported project or
activity or earned as a result of the award. Program income includes, but is not limited to, income from
fees for services performed; charges for the use or rental of real property, equipment or supplies acquired
under the grant; the sale of commodities or items fabricated under an award; charges for research
resources; registration fees for grant-supported conferences, and license fees and royalties on patents and
copyrights. Program income from license fees and royalties from copyrighted material, patents, and
inventions is exempt from reporting requirements unless otherwise specified in the terms and conditions
of award.
Select the Add/New button to add the data to the table.
G.12 F&A Costs [applicable to SNAP awards only]
Is there a change in performance sites that will affect F&A costs? If yes, provide an explanation.
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Figure 121 RPPR Section G. Special Reporting Requirements – Questions G10 through G12
6.8
Section H – Budget [Applicable to non-SNAP awards only]
H.1 Budget Form
Select the SF424 Research and Related Budget from the drop down menu and follow the instructions in
the SF424 (R&R) Application Guide for NIH and Other PHS Agencies, Section G.300 R&R Budget
Form, to complete the R&R budget, sections A-L, and the R&R Cumulative Budget, for the remainder
of the project period. The budget justification should be uploaded as item L and must include detailed
justification for those line items and amounts that represent a significant change from previously
recommended levels (e.g., total re-budgeting greater than 25 percent of the total award amount for this
budget period).
AHRQ Recipients only: Total costs (direct and indirect) should not exceed the committed level
listed on the current NoA for the upcoming budget period. A detailed budget is required because
AHRQ does not utilize the NIH SNAP process. If consortia are involved, include a detailed budget
for each in H.2.
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Figure 122 Section H.Budget of RPPR for a Non-SNAP Award
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Figure 123 SF 424 Research & Related Budget Form Opened for Editing
NOTE: If subaward budgets are completed, the system will not calculate the budget line item F.5 for
the main budget (see figure below). Total consortium costs for the main budget MUST be computed
and entered manually into budget line item F.5.
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Figure 124 SF 424 R&R Budget Form - Question F.5
H.2 Subaward Budget Form
For awards with subaward/consortium budgets, select the SF424 Research and Related Budget
Subaward Budget from the dropdown menu and follow instructions for the Subaward Budget
Attachment(s) Form.
6.9
Section I – Outcomes
I.1 What were the outcomes of the award?
This component is used to provide information regarding the cumulative outcomes or findings of the
project.
For NIH Section I. Outcomes will be made publicly available, thus allowing recipients to
provide the general public with a concise summary of the cumulative outcomes or findings of
the project at the end of a competitive segment. For NIH awards the length should not
exceed half a page. In addition, for the interim or final RPPR the summary of outcomes or
findings of the award must be written in the following format:
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•
•
Is written for the general public in clear, concise, and comprehensible language;
Is suitable for dissemination to the general public, as the information may
be available electronically;
• Does not include proprietary, confidential information or trade secrets
Please refer to the following link for samples of acceptable project outcomes.
Per the 1993 NIH Revitalization Act, PL 103-43, enacted June 10, 1993, and the 21st Century Cures Act,
PL 114-255, enacted December 13, 2016, NIH requires entities conducting NIH-defined Phase III
Clinical Trials to include results of valid analyses by sex/gender, race, and ethnicity, in addition to
submission in ClinicalTrials.gov.
NOTE: This section is only applicable to the Interim and Final RPPR. See NOT-OD-17-022 and
NOT-OD-17-037.
Figure 125 Section I. Outcomes
* This section was added based on the updated version of the Federal-wide performance progress reporting format published in the Federal
Register on November 16, 2016.
7
Supplemental Instructions for Specific Grant RPPR Types
The RPPR Instructions in chapter 6, Sections A–H, apply to the following awards: D71, DP1, DP5, G08,
G11, G13, P40, R00, R01, R03, R18, R21, R33, R34, R36, R37, R56, RC1, RC2,
RL1, S21, S22, SC1, SC2, SC3, U1B, UC2, UH1, UH2, UH3, and awards listed in Section 7.6 if they
issued under SNAP. For all other awards, see Table 1 below and applicable supplemental instructions for
specific grant award types that either replace or are in addition to the Instructions for RPPR Sections A–
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I.
Table 1: Applicable Supplemental Instructions
Applicable Supplemental Instructions
Award Activity Codes
7.1 Individual Career Development (K)
Awards
K00, K01, K02, K05, K06, K07, K08,
K18, K22, K23, K24, K25, K26, K99,
KL1
7.2 Fellowship Awards
F05, F30, F31, F32, F33, F99
7.3 SBIR/STTR Awards
R41, R42, R43, R44, U43, U44, UT1,
UT2, SB1, UB1
7.4 Training Awards
K12, KL2, R90, RL9, T15, T32, T34, T35,
T37, T90, TL1, TL4, TU2
7.5 Educational Awards
D43, DP7, K30, R13, R25, R38, RL5,
T14, T36, U13, U2R
7.6 Multi-Project Awards and
SingleProject Awards with Complicated
Structure
G12, R34, M01, P01, P20, P2C, P30, P41,
P42, P50, P51, P60, PL1, PM1, PN1, PN2,
R24, R28, RM1, S06, S11, U01, U10,
U19, U24, U2C, U34, U41, U42, U45,
U54, U56, UC7, UL1, UM1, UM2
Table 1 Applicable Supplemental Instructions
IMPORTANT: Do Not Include Personal Identifiable Information (PII) Or Protected Health
Information (PHI) In the RPPR
Sensitive PII (e.g., Social Security Number, personal financial information, Alien Registration Number)
and PHI (e.g., personal medical conditions) require strict handling due to the increased risk to an
individual if the data is compromised. Documents containing sensitive PII or PHI must not be included
in the RPPR.
NIH GRANTS ONLY: Additional information on this topic can be found in this FAQ or by contacting
your IC Privacy Coordinator.
7.1
Individual Career Development (K) RPPRs
For Career Development Awards (i.e., K00, K01, K02, K05, K06, K07, K08, K18, K22, K23, K24, K25,
K26, K76, K99, and KL1) follow the Instructions for RPPR Sections A–I in chapter 6, with the
exceptions noted below:
B.4 What opportunities for training and professional development has the project provided?
Describe activities such as teaching, clinical care, professional consultation, service on advisory groups,
and administrative activities. Indicate percent of time spent in each of these activities and the
relationship to the awardee's research career development.
For mentored career development awards to postdoctoral researchers (e.g., K00, K01, K22, K99),
indicate whether the institution uses Individual Development Plans (IDPs), and if so, describe how they
were used in this reporting period to help manage the career development of the awardee (do not include
the actual IDP). This information is not required for AHRQ recipients.
For awards that include a requirement to mentor others (e.g., K05 and K24), indicate the percent of time
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devoted to mentoring activities, individuals mentored during the reporting period, the frequency and
kinds of mentoring, financial and other support provided to mentees, and the productivity of the
mentoring relationship.
B.6. What do you plan to do for the next reporting period to accomplish the goals?
Provide a timeline for the activities planned for the next year, including plans to apply for subsequent
grant support. Recipients of transition awards (e.g., K22, K99) should report on progress in identifying
an independent research position. Additionally, awardees charged with mentoring others (e.g., K05,
K24) should provide information describing planned mentoring activities and proposed mentees (e.g.,
backgrounds, interests, professional levels, etc.) sufficient to evaluate the quality of the mentoring.
C.2. Not Applicable.
C.3. Not Applicable.
D.2.e Not Applicable.
E.1 Not Applicable.
E.2 Not Applicable.
E.3 Not Applicable.
F.1 Not Applicable.
G.2 Responsible Conduct of Research
Describe the responsible conduct of research instruction received (or instruction given as a course
director, discussion leader, etc., in the case of mid-career or senior career awardees) by formal and/or
informal means, during this reporting period. If instruction or participation as a course
director/discussion leader occurred in a prior budget period, note the dates of occurrence. Any activities
undertaken to individualize instruction appropriate to career stage should be discussed. Address the five
components: Format, Subject Matter, Faculty Participation, Duration, and Frequency. Additional
detailed guidance on this requirement is found in the competing application instructions.
G.3 Mentor’s Report
For mentored K awards, provide a letter signed by the mentor, in PDF format, assessing the awardee's
progress and performance during this reporting period, both in research and in terms of development into
an independent investigator in the area of the award. Include information on the continued commitment
of the required minimum professional effort by the awardee (for most mentored K awardees this will be
nine person months, or 75% effort) to the career development award and the availability of support for
the candidate’s research project during the next budget segment. For applicable career transition awards
(e.g., K22, K99), the mentor should describe the awardee’s efforts to transition into a permanent research
position and the mentor’s contributions to that process. If required to submit letters from more than one
mentor, letters should be assembled in one PDF file. For non-mentored K awards, select “Not
Applicable.”
G.11 Not Applicable.
G.12 Not Applicable.
H. Budget. [Applicable to non-SNAP awards only.]
H.1 Budget Form
Follow the instructions for SF 424 (R&R) for K awards in SF424 Career Development Instructions,
section K-300. Base the awardee's salary and fringe benefits request on a full-time, 12-month
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appointment following the guidelines in the appropriate career award instructions. Support for other
personnel and amounts in other budget categories may be requested in accordance with applicable CDA
guidelines.
NOTE: If subaward budgets are completed, the system will not calculate the budget line item F.5 for
the main budget (see figure below). Total consortium costs for the main budget MUST be computed
and entered manually into budget line item F.5.
Figure 126 SF 424 R&R Budget Form - Question F.5
H.2 Subaward Budget Form
For awards with subaward/consortium budgets, the recipient may select up to 30 subaward budgets. To
complete a detailed budget for a subaward/consortium, follow the SF424 (R&R) Application Guide for
NIH and Other PHS Agencies, Subaward Budget Attachments Form for applications with a subaward or
consortium.
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7.2
Fellowship RPPRs
For Fellowship Awards (i.e., F05, F30, F31, F32, F33, and F99), follow the Instructions for RPPR
Sections A–I in chapter 6, with the exceptions noted below:
B.4 What opportunities for training and professional development has the project provided?
Indicate whether the institution uses Individual Development Plans (IDPs), and if so, describe how they
were used in this reporting period to help manage the fellow’s training (do not include the actual IDP).
This information is not required for AHRQ recipients.
B.6 What do you plan to do during the next reporting period to accomplish the goals?
Include any course work and any important modifications to the original plans. Provide a scientific
justification for any changes involving research with human subjects or vertebrate animals. A detailed
description of such changes must be provided under Changes.
C.2 Not Applicable.
C.3 Not Applicable.
C.4 Not Applicable.
D.1 Not Applicable.
D.2.a Not Applicable
D.2.b Not Applicable.
D.2.e Not Applicable.
E.1 Not Applicable.
E.2 Not Applicable.
E.3 Not Applicable.
F.1 Not Applicable.
G.1 Special Notice of Award and Funding Opportunity Announcement Reporting Requirements
Ruth L. Kirschstein National Research Service Award (NRSA) Individual Fellows (i.e. F30, F31, F32,
and F33, as detailed at https://researchtraining.nih.gov/programs/fellowships), may request childcare
costs in accordance with NOT-OD-21-074. Recipients must upload a PDF named
“Childcare_Cost_Request.pdf” (without quotation marks). The attachment must specify the requested
childcare costs amount and number of years requested. Applicants are strongly encouraged to request
childcare costs for all remaining years that the project will be funded based on the dependent(s)’ age
eligibility factor. If childcare costs were previously requested and awarded, recipients must report on
their annual RPPR if childcare costs continue to be needed or not.
Recipients are not required to submit supporting documentation with each request. Recipients must
maintain all supporting documentation (e.g., proof provider is licensed). NIH reserves the right to
request proof at any time.
Refer to NOT-OD-21-074 for additional information. FAQs are available at:
https://grants.nih.gov/faqs#/funding_programs_childcare_costs.htm.
AHRQ Only:
AHRQ Fellowship recipients should refer to https://grants.nih.gov/grants/guide/notice-files/NOT-HS-22013.html for additional information.
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G.2 Responsible Conduct of Research
Describe the responsible conduct of research instruction received (or instruction given as a course
director, discussion leader, etc., in the case of senior fellows) by formal and/or informal means, during
this reporting period. If instruction or participation as a course director/discussion leader occurred in a
prior budget period, note the dates of occurrence. Any activities undertaken to individualize instruction
appropriate to career stage should be discussed. Address the five components: Format, Subject Matter,
Faculty Participation, Duration, and Frequency. Additional detailed guidance on this requirement is
found in the competing application instructions.
G.3 Sponsor Comments
Provide a letter signed by the sponsor, in PDF format, assessing the progress of the research training
(including academic work) and the fellow’s accomplishments during this reporting period. For
fellowships supporting dual-degree training (e.g. F30) the sponsor should report on the fellow’s progress
with respect to the proposed dual-degree timeline and whether the fellow is expected to complete the
requirements for the research doctoral degree in the upcoming budget period.
G.10 Not Applicable.
G.11 Not Applicable.
G.12 Not Applicable.
H. Not Applicable.
7.3
SBIR/STTR RPPRs
For SBIR/STTR Awards (i.e., R41, R42, R43, R44, U43, U44, UT1, UT2, SB1, and UB1), follow the
Instructions for RPPR Sections A–I in chapter 6, with the exceptions noted below:
B.2 What was accomplished under these goals?
Goals is equivalent to specific aims and/or milestones.
B.3 Competitive Revisions/Administrative Supplements
For this reporting period, is there one or more Revision/Supplement associated with this award for which
reporting is required?
If yes, identify the Revision(s) by grant number (e.g., 3R01CA098765-01S1) or title and describe the
specific aims and/or milestones for each Revision. Include any supplements to promote or enhance
diversity and re-entry, or other similar supplements to support addition of an individual or a discrete
project.
B.6 What do you plan to do during the next reporting period to accomplish the goals?
Progress reports include a one-page abstract describing the research plan. Fast-Track and Phase II should
include an updated commercialization plan, as necessary.
C.5.a Other products
Commercial technologies will be addressed under Impact.
E.1 Not Applicable.
E.3 What is the impact on technology transfer?
Describe ways in which the project made an impact, or is likely to make an impact, on commercial
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technology or public use, including:
•
transfer of results or products to entities in government or industry;
•
instances where the research has led to the initiation of a start-up company; or
adoption of new practices.
E.3.a Commercialization Activities.
Report on the status of commercialization activities resulting from the award:
Nothing to report or select one or more of the following:
Sales = $
Licensing revenue = $
3rd Party investment since award start (Non-federal) = $
Sale of company
Sale of technology rights
Company merger related to product
Joint venture agreement
Marketing/Distribution agreement(s)
Manufacturing agreement(s)
R&D agreements
Customer alliance(s)
Other
[60 character limit]
E.3.b FDA Interactions.
Report on interactions with the Food and Drug Administration during the reporting period related to the
technology that is the subject of the award:
Not applicable to this technology or select one or more of the following:
Discussion with FDA not initiated
Discussion with the FDA initiated
Approval in Progress
•
Applied for approval
•
Review ongoing
•
In human clinical trials
•
Other
•
Approval Granted: Type
•
Not approved
F.1 Not Applicable.
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G.1: Special Notice of Award and Funding Opportunity Announcement Reporting Requirements.
NIH requires SBIR/STTR grant recipients to submit the Life Cycle Certifications within the Interim and
Final RPPR in this section. Forms must be uploaded directly and SBIR/STTR recipients should not
select the “Nothing to Report” box in this section. The I-RPPR or F-RPPR will not be accepted unless all
completed Life Cycle Certification(s) are received. Life Cycle Certification forms are available for SBIR
and STTR applicants and awardees in fillable format at:
https://grants.nih.gov/grants/forms/manage_a_small_business_award.htm.
G.2 Not Applicable.
G.3 Not Applicable.
7.4
Training RPPRs
For Training Awards (i.e., K12, KL2, R90, RL9, T15, T32, T34, T35, T37, T90, TL1, TL4, and TU2)
and multi-year funded training awards (i.e., KM1) follow the Instructions for RPPR Sections A–I in
chapter 6, with the exceptions noted below.
AHRQ Recipients only: T32 recipients should consult their AHRQ Program Official for additional
requirements.
B.1. What are the major goals of the project?
Provide a description of the training objectives and goals. List the major goals of the project as stated in
the approved application or as approved by the agency. If the application lists milestones/target dates for
important activities or phases of the project, identify these dates and show actual completion dates or the
percentage of completion.
Since the last report or application, describe implementation of training and other specific programmatic
objectives, and the recruitment and retention of trainees, including those from diverse groups.
B.4 What opportunities for training and professional development has the project provided?
For all awards, provide a PDF that includes a paragraph for each trainee/scholar appointed to the award
summarizing his or her training and progress during the reporting period or period since the last progress
report. Include the following information for each trainee/scholar, as applicable:
•
Degrees working toward or received
•
Mentor(s)
•
Description of the trainee/scholar’s research project and progress
•
Career development related activities (e.g., individualized coursework or workshops attended)
•
Conference presentations
•
A description of the trainee/scholar’s role in any planned or published papers resulting from
research conducted while supported by this award (e.g., designed or conducted experiment,
analyzed data, drafted paper)
Note that full citations of all publications arising from work conducted while the trainee/scholar
was supported by the award should not be reported here, as they will be collected in Section
C.1.
•
Honors, awards, fellowships, and any support received during the period of training (note that
support before and after the appointment is reported on Table 8 and should not be reported
here)
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This description should be sufficient to allow evaluation of the appointees’ progress towards the goals of
the training grant.
Indicate whether the institution uses Individual Development Plans (IDPs), and if so, describe how they
were used to help manage the training and career development of the trainees/scholars. This
information is not required for AHRQ recipients.
For T awards, provide updated information in Table 8A, 8B and/or 8C, reflecting new appointments and
other changes over the initial reporting period or period since the last progress report .
For D43, TU2, T15, T32, T37, T90, U2R, U90, and TL1 awards, include program statistics for doctoral
training in Table 8A.
In addition to the written summary of trainee/scholar activities and progress, submit a Trainee Diversity
Report covering the individuals appointed to the award during the reporting period (generally not
application for FIC awards). For grants that are required to make appointments through xTrain, the
report must be generated electronically, either through the RPPR or through xTrain modules, and
submitted for the RPPR.
Do not include the following, unless specified as Reporting Requirements in the FOA:
•
Biosketches of current or former trainees/scholars;
•
Any sensitive or personally identifiable information, such as photographs or other
individual demographic information;
•
Actual IDPs or blank IDP forms;
•
Promotional material for workshops, seminars, or other events (flyers, agendas, etc.);
•
Course syllabi;
•
Program brochures.
For grants that are required to make appointments through xTrain, assistance with generating and
submitting an automated Trainee Diversity Report within the RPPR and xTrain Module may be found at
https://era.nih.gov/grantees/submit-reports/trainee-diversity-report.htm.
B.6 What do you plan to do during the next reporting period to accomplish the goals?
Include plans for any modification based on the findings of your internal evaluations.
C.1 Publications
Recipients must report trainee publications associated with the training award in section C.1 of the RPPR
if: (1) the publication was accepted for publication or made public during the “the initial reporting period
and the period since the last progress report was submitted.; and (2) the publication resulted from work
conducted while a trainee was supported by the award (i.e., receiving a stipend or salary from the
award). Publications resulting from work the trainee conducted while not actively supported by the
training grant should not be reported in section C.1.
Trainee publications must be entered into My Bibliography to display in section C.1 of the RPPR
electronic interface. PD/PIs have the option in My NCBI to hide trainee papers for which they were not
involved as an author from public display. (See the My Bibliography guide for instructions on how to
hide citations from display for a public collection.) PD/PIs can also create a collection in My NCBI,
name the collection, make it public, and generate a public URL to share the collection with others.
C.2 Not Applicable.
C.3 Not Applicable.
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C.4 Not Applicable.
C.5.b Not Applicable.
D.1 What individuals have worked on the project?
Provide or update the following information only for K12 and KL2 progress reports: (1) program
director(s)/principal investigators(s) (PDs/PIs); and (2) each person who has worked at least one person
month per year on the project during the reporting period, regardless of the source of compensation (a
person month equals approximately 160 hours or 8.3% of annualized effort).
Do not report personnel for whom a PHS 2271 Appointment form has been submitted through xTrain. If
not reporting on a K12 or KL2 award, disregard this section.
D.2.b New senior/key personnel.
Are there new training faculty?
If yes, provide biosketches and other support for all new training faculty.
E.1 Not Applicable.
E.2 Not Applicable.
E.3 Not Applicable.
F.1 Changes in approach and reasons for change
Describe changes in the program for the next budget period, including changes in training faculty.
Include, as appropriate, the role of external advisory committees, significant new training content,
procedures or experiences, and indicate how these aid in strengthening and realizing the objectives and
goals of the program.
F.2 Not Applicable.
F.3 Significant changes to Human Subjects, Vertebrate Animals, Biohazards, and/or Select Agents
Complete this section only if the use or care of human subjects, vertebrate animals, biohazards and/or
select agents is not reported under another NIH award.
G.1 Special Notice of Award and Funding Opportunity Announcement Reporting Requirements
Ruth L. Kirschstein National Research Service Award (NRSA) Institutional Training Awards supporting
full-time pre- and post-doctoral trainees (i.e. T32, TL1, TU2, and T90, as detailed at
https://researchtraining.nih.gov/programs/training-grants), will be provided funds to support childcare
costs for eligible trainees in accordance with NOT-OD-21-177. Recipients must upload a PDF named
“Childcare_Costs.pdf” (without quotation marks). The attachment must specify the number of trainees
who used childcare costs in the reporting period.
Recipients are not required to submit supporting documentation. Recipients must maintain all supporting
documentation (e.g., proof provider is licensed). NIH reserves the right to request proof at any time.
Refer to NOT-OD-21-177 for additional information. FAQs are available at:
https://grants.nih.gov/faqs#/funding_programs_childcare_costs.htm.
AHRQ Only:
AHRQ Training grant recipients should refer to https://grants.nih.gov/grants/guide/notice-files/NOT-HS22-014.html for additional information.
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G.2 Responsible Conduct of Research
Describe the nature of the responsible conduct of research instruction and the extent of trainee (or
scholar, in the case of the Institutional Career Development Programs) and faculty participation. Include
a description of any enhancements and/or modifications to the five instructional components (Format,
Subject Matter, Faculty Participation, Duration, and Frequency) from the plan described in the
competing application. Faculty members who were contributors to formal instruction in responsible
conduct of research during the last budget period must be named. Additional detailed guidance on this
requirement is found in the competing application instructions.
G.3 Not Applicable
G.6 Human Embryonic Stem Cells (hESCs)
Complete this section only if the use of hESCs is not reported under another NIH award.
G.11 Not Applicable.
G.12 Not Applicable.
H. Budget
For training awards, recipients should select the applicable RPPR budget type (e.g., SF424 (R&R) or
PHS 398 Training Budget) from the drop down menu. For a small number of NIH training programs the
recipient is required to submit both the SF424 (R&R) and PHS 398 Training Budget; the RPPR will
accommodate this.
H.1 Budget Form
If completing the SF424 (R&R), follow the instructions in the SF424 (R&R) Application Guide for NIH
and Other PHS Agencies, Section G.300 R&R Budget Form A-J. The budget justification should be
uploaded as item K, and must include detailed justification for those line items and amounts that
represent a significant change from previously recommended levels (e.g., total rebudgeting greater than
25 percent of the total award amount for this budget period).
If completing the PHS 398 Training Budget, follow the instructions in the SF424 (R&R) Application
Guide for NIH and Other PHS Agencies, Section G.330 Training Budget Form. The budget justification
should be uploaded as item F, and must include detailed justification for those line items and amounts
that represent a significant change from previously recommended levels (e.g., total re-budgeting greater
than 25 percent of the total award amount for this budget period).
NOTE: If subaward budgets are completed, the system will not calculate the budget line item F.5 for
the main budget (see figure below). Total consortium costs for the main budget MUST be computed
and entered manually into budget line item F.5.
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Figure 127 SF 424 R&R Budget Form - Question F.5
H.2 Subaward Budget Form
For awards with subaward/consortium budgets, the recipient may select up to 30 subaward budgets. To
complete a detailed budget for a subaward/consortium, follow the SF424 (R&R) Application Guide for
NIH and Other PHS Agencies.
7.5
Education RPPRs
For Education Awards (i.e., D43, DP7, K30, R13, R25, R38, RL5, T14, T36, U13, and U2R), follow the
Instructions for RPPR Sections A–I in chapter 6, with the exceptions noted below:
B.4 What opportunities for training and professional development has the project provided?
Describe opportunities for training and professional development provided to anyone who worked on the
project or anyone who was involved in the activities supported by the project. Training activities are
those in which individuals with advanced professional skills and experience assist others in attaining
greater proficiency. Training activities may include, for example, courses or one-on-one work with a
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mentor. Professional development activities result in increased knowledge or skill in one’s area of
expertise and may include workshops, conferences, seminars, study groups, and individual study.
Include participation in conferences, workshops, and seminars not listed under major activities.
Programs that involve participants should also provide the following information, as applicable:
•
A completed Training Diversity Report covering the individuals appointed to the award
during the reporting period (generally not applicable for FIC awards). For Education
Awards that are required to make appointments through xTrain, the report must be
generated electronically, either through the xTrain or RPPR modules, and submitted
for the RPPR. For Education Awards that are not required to make appointments
through xTrain, but for which there are identifiable participants (e.g., awards that
support participants for less than 8 weeks), the report must be generated manually,
using the format page available at http://grants.nih.gov/grants/funding/2590/2590.htm .
•
If relevant to the goals of the program, indicate whether the institution uses Individual
Development Plans (IDPs) for graduate students and postdoctoral researchers, and if so,
describe how they were used to help manage the training and career development of
participants (do not include actual IDPs). This information is not required for AHRQ
recipients.
•
Recipients with NIH grant awards with the following activity codes are required to
provide program statistics for doctoral training in Table 8A: D43 and U2R.
C.3. Not Applicable.
C.4 Not Applicable.
C.5.b Not Applicable.
E.1 What is the impact on the development of human resources?
Describe how the project made an impact or is likely to make an impact on human resource development
in science, engineering, and technology. For example, how has the project: 1) provided opportunities for
research and teaching in the relevant fields; 2) improved the performance, skills, or attitudes of members
of underrepresented groups that will improve their access to or retention in research, teaching, or other
related professions; 3) developed and disseminated new educational materials or provided scholarships;
or 4) provided exposure to science and technology for practitioners, teachers, young people, or other
members of the public?
E.2 Not Applicable.
E.3 Not Applicable
F.1 Changes in approach and reasons for change
Describe changes for the next budget period. Include, as appropriate, the role of external advisory
committees, significant new content, procedures or experiences, and indicate how these aid in
strengthening and realizing the objectives and goals of the award.
G.2 Responsible Conduct of Research
If required in the FOA for this award, describe the nature of the responsible conduct of research
instruction and the extent of participant and faculty involvement. Include a description of any
enhancements and/or modifications to the five instructional components (Format, Subject Matter,
Faculty Participation, Duration, and Frequency) from the plan described in the competing application.
Faculty members who were contributors to formal instruction in responsible conduct of research during
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the last budget period must be named. Additional detailed guidance on this requirement is found in the
competing application instructions.
G.3 Not Applicable.
G.12 F&A Costs [Applicable to SNAP awards only.]
7.6
Multi-Project RPPRs and Single-Project RPPRs with Complicated
Structure
For the purposes of the RPPR, the following activity codes are always categorized as multiproject
awards or single-project awards with complicated structures: G12, M01, P01, P20, P2C. P30, P41, P42,
P50, P51, P60, PL1, PM1, PN1, PN2, R24, R28, RM1, S06, S11, U01, U10, U19, U24, U2C, U34, U41,
U42, U45, U54, U56, UC7, UL1, UM1, and UM2. These
activity codes awards may or may not include multiple components (projects, cores), but they all could
potentially include multiple components. For multi-project awards, the recipient will follow the
instructions for the overall portion of the RPPR below and for each component of the RPPR the recipient
will follow the instructions under component instructions in section 7.6.2.
The Instructions for RPPR Sections A–I in chapter 6 are applicable to these activity codes (even if the
award does not include multiple components) with the following exceptions.
7.6.1 Overall
B.1 What are the major goals of the project?
Emphasize the synergy, collaboration and integration of major activities of the project. Report the major
goals specific to an individual component under that component.
B.2 What was accomplished under these goals?
For this reporting period describe for the overall award: 1) major activities; 2) significant results,
including major findings, developments, or conclusions (both positive and negative), and 3) key
outcomes or other achievements. Include a discussion of stated goals not met. Report the
accomplishments of individual projects and cores under that component.
B.3 Is there one or more Revision associated with this award or a project under this award for which
reporting is required?
If the Revision is associated with a specific project or core, identify the component.
B.5 How have the results been disseminated to communities of interest?
If there are individual projects/cores designed to disseminate information or conduct outreach activities,
report those activities under that component.
B.6 What do you plan to do during the next reporting period to accomplish the goals?
Report goals and objectives of individual projects or cores under that component.
C.5.a Other products
Identify any other significant products that were developed under the overall project. Report other
products and resources resulting from an individual project or core under that component.
C.5.b Resource sharing
Report resource sharing for an individual project or core under that component.
D.1 Participants
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In addition to the instructions in Section D – Participants, specify the component(s) on which the
individual worked by clicking a participant’s three-dot ellipsis icon and clicking Edit, which opens a
popup. This personnel information is for the entire project. Use the Ctrl key to select multiple
components.
Figure 128 D.1 Specifying the Components for an Added Individual
D.2 Personnel Updates
Personnel questions (D.2.a.-e.) are applicable to entire project. For D.2.b, new senior/key personnel,
identify the component(s) on which the individuals worked or will work. For D.2.e, new other
significant contributors, identify the component(s) on which the individual worked or will work.
E.1 Not Applicable.
E.3 Not Applicable.
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F.1 Not Applicable.
F.3 Significant changes to Human Subjects, Vertebrate Animals, Biohazards, and/or Select Agents.
If there are changes in any of the following areas, check the appropriate box and provide a description of
the changes. If applicable, report the change under the relevant component.
G.2 Not Applicable.
G.3 Not Applicable.
G.12 F&A Costs [Applicable to SNAP awards only.]
H. Budget
For multi-project RPPRs complete the budget for each component and for each subaward; see the
section in this document titled, “7.6 Multi-Project RPPRs and Single-Project RPPRs with Complicated
Structure“. A summary budget will be system-generated based on the budgets completed for the
components and will be included in the final .pdf submitted to the Agency. The composite budget
summaries will reflect the direct costs for the recipient. Although the direct and indirect costs for
subawards are direct costs to the recipient institutions, these costs will be listed as a separate line item,
called “consortium” and will include all consortium costs. The total consortium costs for the summary
budget are automatically calculated by the system and reflect the sum of the consortium costs (budget
line item F.5 of the project budget) for the project budgets with the grantee institution UEI and the total
direct and indirect costs (budget line item I.) for project budgets with a UEI different from that of the
recipient institution.
H.1 Budget Form [Single-Project RPPRs with Complicated Structure only]
For Single-Project RPPRs with Complicated Structure , follow the instructions in the SF424 (R&R)
Application Guide for NIH and Other PHS Agencies. The budget justification should be uploaded as
item L, and must include detailed justification for those line items and amounts that represent a
significant change from previously recommended levels (e.g., total re-budgeting greater than 25 percent
of the total award amount for this budget period).
NOTE: If subaward budgets are completed, the system will not calculate the budget line item F.5 for
the main budget (see figure below). Total consortium costs for the main budget MUST be computed
and entered manually into budget line item F.5.
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Figure 129 SF 424 R&R Budget Form - Question F.5
H.2 Subaward Budget Form[Single-Project RPPRs with Complicated Structure only]
For awards with subaward/consortium budgets, the recipient may select up to 30 subaward budgets. To
complete a detailed budget for a subaward/consortium, follow the instructions for R&R Subaward
Budget Attachments Form in Multi-Project Instructions in follow the SF424 (R&R) Application Guide
for NIH and Other PHS Agencies.
7.6.2 Component Instructions
For each component, click the Add Component button, and complete the instructions. The Instructions
for RPPR Sections A–I in chapter 6 are applicable to each individual component with the following
exceptions:
A. Provide the title or identifying number of the component.
A.1 Provide the name, email, phone number and address of the PI of the component.
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Figure 130 Sample of Section A. Cover Page for a Component
B.3 Not Applicable.
B.5 How have the results been disseminated to communities of interest?
Reporting the routine dissemination of information (e.g., websites, press releases) is not required. If the
Component is not designed to disseminate information to the public or conduct similar outreach
activities, select Nothing to Report. If the Component is designed to disseminate information or
conduct outreach activities, report those activities here. Note that scientific publications and the sharing
of research resources will be reported under Products.
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C.1 Not Applicable.
C.2 Not Applicable.
C.4 Not Applicable.
D. Not Applicable.
E.1 Not Applicable.
E.2 Not Applicable.
E.3 What is the impact on technology transfer?
Describe ways in which the component made an impact, or is likely to make an impact, on commercial
technology or public use, including:
•
transfer of results to entities in government or industry;
•
instances where the research has led to the initiation of a start-up company; or adoption of
new practices.
E.4 Not Applicable.
F.1 Not Applicable.
G.1 Not Applicable.
G.2 Not Applicable.
G.3 Not Applicable.
G.5 Not Applicable.
G.7 Not Applicable.
G.8 Not Applicable.
G.9 Not Applicable.
G.10 Not Applicable.
G.11 Not Applicable.
G.12 Not Applicable.
H. Budget
H.1 Budget Form [Multi-Project RPPRs only]
When a recipient institution is the lead on the Component, follow the instructions in the SF424 (R&R)
Application Guide for NIH and Other PHS Agencies, and take note of the “Additional Instructions for
Multi-Project” instructions. The budget justification should be uploaded as item L, and must include
detailed justification for those line items and amounts that represent a significant change from previously
recommended levels (e.g., total re-budgeting greater than 25 percent of the total award amount for this
budget period).
When a collaborating institution is the lead on the Component, the information from the collaborating
institution should be used to complete the project budget, following the instructions in the Application
Guide for NIH and Other PHS Agencies.
For a multi-component grant, the component’s UEI and organization name are prepopulated with the
grantee organization’s data, but both the Unique Entity Identifier and Organization Name fields are
editable, so you can choose to change them.
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NOTE: If subaward budgets are completed, the system will not calculate the budget line item F.5 for
the main budget (see figure below). Total consortium costs for the main budget MUST be computed
and entered manually into budget line item F.5.
Figure 131 SF 424 R&R Budget Form - Question F.5
H.2 Subaward Budget Form [Multi-Project RPPRs only]
If the component has subaward/consortium budgets, follow the SF424 (R&R) Application Guide for
NIH and Other PHS Agencies instructions for the R&R Subaward Budget Attachment(s) Form.
8
Assurances/Certifications
The list of Assurances, and Certifications, and other Policies to which applicants and recipients must
comply, which apply to progress reports submitted to NIH and other PHS agencies, are referenced in the
NIH Grants Policy Statement (http://grants.nih.gov/grants/policy/policy.htm), or the HHS Grants Policy
Statement (https://www.hhs.gov/sites/default/files/grants/grants/policies-regulations/hhsgps107.pdf ), as
applicable.
The policies, assurances and certifications listed may or may not be applicable to the project, program,
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NIH RPPR Instruction Guide
or type of applicant organization. If unable to certify compliance, provide an explanation and upload it in
G.1 Special Notice of Award and Funding Opportunity Announcement Reporting Requirements.
Submission of the RPPR to the agency includes the following certification:
In submitting this Progress Report, the SO (or PD/PI with delegated authority), certifies that
the awardee organization is in compliance with the terms and conditions specified in the Notice
of Award and Awards Policy Statement, and verifies the accuracy and validity of all
administrative, fiscal, an scientific information in the progress report. The SO (or PD/PI with
delegated authority) further certifies that the awardee organization will be accountable for the
appropriate use of any funds awarded and for the performance of the award-supported project
or activities resulting from the progress report. Deliberate withholding, falsification, or
misrepresentation of information could result in administrative actions such as withdrawal of a
progress report, suspension and/or termination of an award, debarment of individuals, as well
as possible criminal penalties. The awardee institution may be liable for the reimbursement of
funds associated with any inappropriate or fraudulent conduct of the project activity.
9
Government Use of Information Under the Privacy Act
Privacy Act Statement. The NIH maintains application and grant records as part of a system of records
as defined by the Privacy Act: NIH 09-25-0036, Extramural Awards and Chartered Advisory
Committees (IMPAC 2), Contract Information (DCIS), and Cooperative Agreement Information,
HHS/NIH: Federal Register record of the Privacy Act 09-25-0036.
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| File Type | application/pdf |
| File Title | NIH and Other PHS Agency Research Performance Progress Report (RPPR) Instruction Guide |
| Subject | Guide for completing the RPPR |
| Author | eRA Communications |
| File Modified | 2022-07-27 |
| File Created | 2022-06-23 |