Although a number of factors affected this decision, paramount was NIH's need for reliable data on the workforce supported by NIH awards to enhance our understanding of the research enterprise and allow NIH to better accommodate the evolving needs of the research community. The information will also offer a richer understanding of the training necessary for and disciplinary composition of the research workforce.
The NIH Reform Act of 2006 (P.L. 109-482) requires NIH to collect identifying and demographic information on postdocs who serve as research assistants or associates on research grants, and to report that information to Congress in the NIH Biennial Report. This is why the All Personnel Report requires a Commons UserID for anyone in a postdoctoral role on the project.
The All Personnel Report also aligns with Federal-wide efforts to create a common Research Performance Progress Report (RPPR) to create greater consistency in the administration of Federal research awards. Additional information about this initiative is available in the January 13, 2010 Federal Register at 75 FR 1816.
Accordingly, the report is now used as a reporting tool that enables NIH to collect and analyze certain information about the workforce involved in NIH supported research projects.
This data provides an additional level of verification and is particularly useful when there are two or more individuals with the same name. Note that providing the last four digits of the Social Security number is voluntary. Social security numbers and month/year of birth are strictly used for program management and evaluation purposes only.
The report provides the following categories for describing Role on Project: PD/PI; Co-Investigator; Faculty Collaborator; Staff Scientist (doctoral level); Postdoctoral Scholar, Fellow, or Other Postdoctoral Position; Graduate Research Assistant; Undergraduate Research Assistant; Research Assistant/Coordinator; Technician; Consultant; and Other. There are potentially hundreds of descriptions of roles. For purposes of simplicity NIH believes that most roles may be collapsed into one of these 10 roles. If not, then users should select “Other” and describe the role. Remember that these are roles, not titles, so it is necessary to consider in what capacity the person worked on the project.
Similarly to NIH's need for reliable data on the workforce supported by NIH awards, is the need to determine the number of individuals who are supported by the NIH reentry, diversity and ARRA supplements, and ARRA summer experience funding. In the case of reentry and diversity supplements this data will provide NIH with information on the necessity and successfulness of these programs. Data concerning the number of staff supported by ARRA supplemental funding will be useful in assessing the impact of ARRA on the workforce supported by NIH awards.
The Report is completed for the "current budget year." Since the report is due before the end of the current budget year, assuming the grantee completes the report 10 months into the budget year, it is retrospective for the previous 10 months and prospective for the remaining 2 months of the budget year.
Always report the PD/PI(s) regardless of their level of effort. Report other personnel who participated in the project during the current budget period (period for which the report covers) for one person month or more, regardless of compensation, salary, affiliation or Senior/Key status.
No. Only personnel who have one person month or more should be reported in the All Personnel Report. This does not diminish the significance of the Senior/Key Personnel identified in the NoA, but the level of effort must be at least one person month to be reported in the All Personnel Report. The level of effort of Senior/Key Personnel is still monitored by NIH through the SNAP question #2 (“Will there be, in the next budget period, a significant change in the level of effort for the PD/PI(s) or other Senior/Key Personnel designated on the Notice of Award from what was approved for this project?”). Remember that a reduction of effort by 25% or more by the PD/PI or other personnel specifically named in the NoA requires the prior approval of the Grants Management Officer.
Other significant contributors, by definition, do not have measurable effort, so they would not be reported. If their involvement has changed so that they are participating for one person month or more then they should be reported (and are no longer considered other significant contributors).
It depends. If the effort is directly charged to the grant, then yes, they should be reported (assuming they devote one person month or more to the project). Positions supported by indirect costs should not be reported.
If the temporary hourly employee’s effort cannot be directly connected to the grant, do not report them on the All Personnel report. For example, in most cases the effort of administrative/clerical staff such as secretaries, clerks, and receptionists cannot be directly connected to any specific grant project. Salaries for staff in these roles are normally included in the indirect cost pool. However, do report temporary hourly employees who are not in the indirect cost pool but are working directly on the grant for at least one person month or more, regardless of the source of compensation.
Yes, they should be reported regardless of their current affiliation. Report the individual and his/her role. If it is a postdoc who left and you cannot help them create a Commons ID, select “other” for “role” and indicate “Postdoc who left institution.”
Although at the time of award pilot projects are typically awarded as "Other Direct Costs" without identification of staff, at the time of submission of the Progress Report, if a pilot project has been funded then the grantee has the obligation to account for the pilot project’s funds and track personnel as they would on any other award. This would include reporting pilot project staff on the All Personnel Report if they participate for one person month or more.
Grantees should not report personnel if they have submitted a PHS 2271 Appointment form for those personnel. If there is no 2271 Appointment form then the personnel should be reported (assuming they work on the project for at least one person month). T32s are required to use the PHS2271; however, for other training mechanism, grantees should check with the awarding IC to determine if the PHS2271 is used for trainees.
Even if NRSA fellows have one person month effort on an NIH project, they should not be reported on the All Personnel Report for that project. This is important to ensure that NRSA fellows are not counted twice, since NIH will automatically include fellowships when counting personnel. University or other non-NIH fellows should be reported on the All Personnel Report for an NIH award. If they are postdoctoral fellows they should be placed in the category “Postdoctoral Scholar, Fellow, or Other Postdoctoral Position.” Note that individuals placed in this postdoctoral role must have a Commons ID reported on the form.
You may alphabetize the list or order it any way you wish. It is helpful to staff reviewing the report if you list the PD/PI first. Senior/Key Personnel do not need to be reported separately; the All Personnel Report does not distinguish Senior/Key Personnel from other personnel.
Contribution to the scientific process is not a criterion for reporting personnel who work on NIH grants. Rather, as indicated in the response to question 1. under Background, NIH is seeking to gain an understanding of the workforce supported by NIH awards. With regard to hourly wage personnel, a person month equals approximately 160 hours. Using this metric you can report the undergraduate students. Note that one of the categories you may select for describing Role on Project is “undergraduate research assistant.”
The one month rule is only for those to be included on the All Personnel Report. For the purposes of providing other support information, you must update other support for only those individuals identified by the PD/PI in the application as senior/key personnel (i.e., scientifically key to the project). They are not required to be listed on the All Personnel Report if they have less than one month of effort. The one month rule is only for those to be included on the All Personnel Report. Note that SNAP question #1 is: “Has there been a change in the other support of Senior/Key Personnel since the last reporting period?” This is where you would report a change in other support of senior/key personnel.
For the purposes of the All Personnel Report, report individuals who work on the project for at least one person month. However, remember that a reduction of effort by 25% or more by the PD/PI or other personnel specifically named in the NoA requires the prior approval of the NIH Grants Management Officer. See also the answer to question 15 above under Criteria for Reporting Staff on the All Personnel Report.
Person months is the metric used for expressing effort (amount of time) that personnel devote to a project. The effort is based on the type of appointment of the individual with the organization (e.g., 12 month calendar year appointment, nine month academic year appointment, three month summer term). To calculate person months, multiple the percentage of effort associated with the project times the number of months of the appointment. NIH FAQs Regarding the Usage of Person Months provides additional explanation of this metric. (Please check the link for NIH FAQs Regarding the Usage of Person Months)
There are several ways to calculate effort of individuals who do not have an academic appointment. For part-time employees, if the level of part-time work is already classified as a percentage, e.g., 50% for a half-time employee, you can consider it an appointment based on a 12 month year (50% of 12 months would be a 6 month appointment) and multiply the percent of effort associated with the project times the number of months of the appointment. For example, if someone has a 50% appointment and works 20% of their 50% on the project, you would calculate that they work 1.2 months (20% x 6 = 1.2) on the project and should be reported on the All Personnel Report. For students or other employees who are paid at an hourly rate, since one person month equals approximately 160 hours you can use payroll information to determine if a student works on a project for one person month or more.
The rate of pay is not relevant to this calculation.. If the students are paid according to hours worked, then you can use your payroll system to determine if they meet the threshold of one person month (approximately 160 hours).
Institutions may have their own definition of an individual who is serving in a postdoctoral role. Generally one in a postdoctoral role is being mentored and not yet in a permanent position. In 2007, NIH and the NSF agreed upon the following definition of postdoctoral scholar: An individual who has received a doctoral degree (or equivalent) and is engaged in a temporary and defined period of mentored advanced training to enhance the professional skills and research independence needed to pursue his or her chosen career path (http://grants.nih.gov/training/Reed_Letter.pdf). Grantees may utilize this definition or one of their own.
No. Only the PD/PI, undergraduate, graduate, in a postdoc role (postdoctoral scholar, fellow, or other postdoctoral position) are required to have a Commons ID and report that ID on the All Personnel Report (NIH Guide NOT-09-140 and NOT-OD-13-097).
An eRA Commons Postdoctoral Role has been established in eRA Commons, and NIH encourages grantee Commons account administrators to work with the individuals in a postdoctoral role at their institution to establish eRA Commons accounts. For individuals supported on a particular research grant, this could include project roles such as Postdoctoral Associate and other similar postdoctoral positions (NIH Guide NOT-09-140). Note this role is only for Postdocs on research grants. For those applying for NIH individual postdoctoral fellowship support, the individual must also have the PI role in the Commons.
Yes to the first question; no to the second. A Progress Report is required to include information about supplements, including competing revisions. The All Personnel Report permits the grantee to identify whether an individual is funded by a diversity, reentry, ARRA supplement, or ARRA summer award. Note that ARRA competitive revisions and supplements will require a separate Final Progress Report.
Report the personnel on the supplement, regardless of the supplement project period, in the All Personnel Report for the parent grant. Using the example provided, the All Personnel Report for the parent grant will include personnel with one month effort or more on the parent grant (7/1/09-6/30/10) and personnel working on the supplement (11/01/09 – 10/31/10).
The All Personnel Report is not applicable to institutional research training grants, including National Research Service Awards, and similar institutional training awards such as K12 and KL2 unless these do not require the use of the PHS2271. Grantees should check with the awarding IC to determine if the PHS2271 is used for supportees.
The All Personnel Report is required for individual K awards, and should include the awardee and any others with one person month effort on the award, e.g., technicians, graduate research assistants, mentor.