AGENCY UPDATES
Office of Research Services
February 7th, 2013
University of Pennsylvania
ORS Brown Bag - Agency
1
Updates
1
Federal Research Performance
Progress Reports (RPPR)
NIH and NSF Requirements
University of Pennsylvania
ORS Brown Bag - Agency
2
Updates
2
RPPR Initiative
• PURPOSE: create consistency in Federal research
awards administration
• Used by agencies that support research and related
activities for submission of interim progress reports
• Replaces other interim performance reporting formats
currently used (eg. Esnap)
• Does not change reporting requirements
University of Pennsylvania
ORS Brown Bag - Agency
3
Updates
3
RPPR Initiative
• Template created for use by agencies
• Consists of categories. Each category is a separate
reporting component
• MANDATORY component  Accomplishments
• Optional components are identified by each agency, with
specific questions to be answered included (standard
template)
• Agency or program-specific components may be
developed (minimal use requested)
University of Pennsylvania
ORS Brown Bag - Agency
4
Updates
4
Implementation
• Each agency created an implementation plan(available
at: http://www.nsf.gov/bfa/dias/policy/rppr/)
• NIH Implementation: October 19,2012
– For SNAP and Fellowship Progress reports
– Activity codes identified for which use will be required in Spring,
2013 (available at: http://grants.nih.gov/grants/rppr/)
– Pilot for non-SNAP awards during 2013
• NSF Implementation: January, 2013
University of Pennsylvania
ORS Brown Bag - Agency
5
Updates
5
RPPR Implementation - NIH
Activity Codes Requiring Use In Spring
2013:
R01-like SNAPs
• D71, DP1, DP5, G08, G11, G13, P40, R00, R01, R03, R18, R21, R33,
R34, R36, R37, R56, RC1, RC2, RL1, S10, S21, S22, SC1, SC2, SC3,
UB1, UC2, UH1, UH2, UH3, UP5, P01, P20, P30, P40, P41, P50, PL1,
R24, S11, U01, U10, U19, U24, U34, U54
Individual K SNAPs
• K01, K02, K05, K06, K07, K08, K18, K22, K23, K24, K25, K26, K99, KL1
Education SNAPs
• D43, K30, R13, R25, RL5, T14, T36, U13, U2R
Fellowships
• F05, F30, F31, F32, F33, F34, F37
SBIR/STTR SNAPs
• R41, R42, R43, R44, U43, U44
University of Pennsylvania
ORS Brown Bag - Agency
6
Updates
6
RPPR Implementation - NIH
Replaces:
• PHS 2590 - Non-competing Progress
Report
• PHS 416-9 – NIH and AHRQ
Individual Fellowship Progress Report
for Continuation Support
• Submitted via era Commons only
University of Pennsylvania
ORS Brown Bag - Agency
7
Updates
7
RPPR Implementation - NIH
• Until mandatory, decide whether you will use RPPR or
eSnap BEFORE starting the process in eRA Commons
• Differences from eSnap include separate reporting
components: Accomplishments, Products, Participants,
Impact, Changes, Special Reporting Requirements
University of Pennsylvania
ORS Brown Bag - Agency
8
Updates
8
RPPR Implementation - NIH
• New Information to be reported includes:
– Foreign component information
– Dollars spent in foreign countries through subs
– Organization affiliation of personnel at foreign sites
• Other features include:
– Ability to report on revisions/supplements
– Public access compliance status displayed
– NOA link
– Streamlined reporting of ClinicalTrials.gov Information
INSTRUCTION GUIDE available here:
http://grants.nih.gov/grants/rppr/rppr_instruction_guid
e.pdf
University of Pennsylvania
ORS Brown Bag - Agency
9
Updates
9
RPPR Implementation - NIH
• Guide Notice for RPPR changes (Feb 2013)
 Progress reports for SNAP and Fellowships with
budget start dates on or after 7/1/13 must be
submitted using the RPPR;
 Progress Report Additional Materials (PRAM)
functionality expanded to include requests from ICs.
• RPPR for non-SNAP awards

Implementation timeline TBD.
University of Pennsylvania
ORS Brown Bag - Agency
10
Updates
10
RPPR Implementation - NSF
• Replaces annual and interim project
reports in Fastlane
• RPPR is submitted within the
Research.gov portal
• Format to include Mandatory
Category (‘Accomplishments’) and
Optional Categories
University of Pennsylvania
ORS Brown Bag - Agency
11
Updates
11
RPPR Implementation - NSF
• OPTIONAL Categories include:
–
–
–
–
–
–
Products: What has the project produced?
Participants & Other Collaborating Organizations
Impact: How has it contributed?
Changes/Problems
Special Reporting Requirements as applicable
Demographic Information for Significant Contributors
University of Pennsylvania
ORS Brown Bag - Agency
12
Updates
12
RPPR and MY NCBI
• Reporting publications is required.
• Use the eRA Commons My Bibliography link to access My NCBI
(National Center for Biotechnology Information)
• Information includes publications linked by other co-investigators to
the award
• The RPPR will be pre-populated with publications and the
investigator(s) select the related publications.
• 11/16/12 NIH Notice (includes 2013 updates):
http://grants.nih.gov/grants/guide/notice-files/not-od-12-160.html
University of Pennsylvania
ORS Brown Bag - Agency
13
Updates
13
RPPR RESOURCES
• The final format document including definitions for each
category and reporting components is available here:
http://www.nsf.gov/bfa/dias/policy/rppr/format_ombostp.pdf
• The RPPR Data Dictionary defines all the data elements
and attributes to assist in streamlining data entry and
collection. Available here:
http://www.nsf.gov/bfa/dias/policy/rppr/data_dictionary_guid
e_aug12.pdf
University of Pennsylvania
ORS Brown Bag - Agency
14
Updates
14
QUESTIONS?
University of Pennsylvania
ORS Brown Bag - Agency
15
Updates
15
National Science Foundation (NSF)
Proposal Submission
For proposals due on or after January 14, are
summarized below:
• Project summary - must now be provided in three
separate text boxes - one for project overview and one
each for statements on the intellectual merit and the
broader impacts of the project.
• Biosketch - this section has been changed to enable the
submission of products instead of publications. The
intent is to reflect the changing nature of scientific work,
and allow for listing of patents, data sets, software, and
copyrights, to name a few, in addition to publications.
University of Pennsylvania
ORS Brown Bag - Agency
16
Updates
16
National Science Foundation (NSF)
Proposal Submission
• The facilities, equipment and other resources section
must include a full description of internal and external,
physical and personnel, resources available to the
project. A new format for this section is available in
Fastlane.
• Regarding budget preparation, if no person months and
no salary are being requested for senior personnel they
should not be included on the budget pages (Section A
on the budget form). The names will remain on the cover
sheet with the roles described in the facilities, equipment
and other resources section.
University of Pennsylvania
ORS Brown Bag - Agency
17
Updates
17
National Science Foundation (NSF)
Proposal Submission
• FAQ
http://www.nsf.gov/bfa/dias/policy/papp/papp13_1/pappg
fastlane_faqs.jsp#top
• PPG download site
http://www.nsf.gov/publications/pub_summ.jsp?ods_key
=nsf13001
University of Pennsylvania
ORS Brown Bag - Agency
18
Updates
18
QUESTIONS?
University of Pennsylvania
ORS Brown Bag - Agency
19
Updates
19
The NIH Public Access Policy Is
Mandatory
• The Policy implements Division G, Title II, Section 218 of PL
110-161 (Consolidated Appropriations Act, 2008) which states:
The Director of the National Institutes of Health shall require
that all investigators funded by the NIH submit or have
submitted for them to the National Library of Medicine’s
PubMed Central an electronic version of their final, peerreviewed manuscripts upon acceptance for publication, to be
made publicly available no later than 12 months after the official
date of publication: Provided, That the NIH shall implement the
public access policy in a manner consistent with copyright law.
•
NIH Guide Notice NOT-OD-08-033
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-033.html
•
NIH Guide Notice NOT-OD-09-071 announces the policy is permanent, per the
Consolidated Appropriations Act, 2009
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-071.html
20
University of Pennsylvania
ORS Brown Bag - Agency
20
Updates
20
Implications of a Successful NIH Public Access Policy
Easy access to published research funded by NIH will help advance
science and improve human health.
– Meets the public’s expectation that articles based on NIH-funded
research are publicly available1.
– NIH can monitor, mine, and develop its portfolio of taxpayer funded
research more effectively.
– NIH-funded research becomes more prominent, integrated and
accessible, making it easier for all scientists to pursue NIH’s research
priority areas competitively.
1. Harris Poll (2006) Most Americans back online access to federally funded research. Wall Street J Online
Retrieved on July 20, 2006, from http://online.wsj.com/article_email/SB114893698047965609IMyQjAxMDE2NDM4MTkzMzE2Wj.html.
21
University of Pennsylvania
ORS Brown Bag - Agency
21
Updates
21
NIH Enforcement of Public Access Policy
NIH PUBLIC POLICY ACCESS POLICY
The National Institutes of Health (NIH) announced that it will begin a more
rigorous enforcement of its public access policy in Spring 2013.
NIH will delay processing of noncompeting continuation awards if the
investigator(s)’ publications arising from that award are not in compliance
with the access policy.
The award will not be processed until the investigator(s) are in compliance.
The enforcement will be implemented as a part of the required use of the
Research Performance Progress Report (RPPR) form for all Streamlined NonCompeting Award Process (SNAP) and fellowship awards, expected in Spring
2013.
University of Pennsylvania
ORS Brown Bag - Agency
22
Updates
22
My NCBI
The Research Performance Progress Report (RPPR) requires reporting publications;
Investigators can use their eRA Commons My Bibliography link to access My NCBI
(National Center for Biotechnology Information) information including publications
linked by other co-investigators to the award;
All grantees submitting paper PHS 2590 progress reports will be required to provide a
My NCBI generated PDF report of publications as Section 2.2.6, Section E.
Publications, of the progress report. These PDF reports will be required when the
RPPR is required for all Streamlined Non-Competing Award Process (SNAP) and
Fellowship awards. Grantees are encouraged to begin using the PDF report
immediately on a voluntary basis;
The RPPR will be pre-populated with publications and the investigator(s) select the
related publications. In the event an investigator submits a RPPR with non-compliant
publications, an email notification will be sent to the investigator requesting a response
by a specified due date two weeks prior to the next budget start date.
University of Pennsylvania
ORS Brown Bag - Agency
23
Updates
23
My NCBI
Facilitates grantee reporting in two ways;
•quickly provides the public access compliance status of each publication
arising from the award in an easy to understand format;
•ensures grant-paper associations reported on the PHS 2590 are captured in
RePORTER and other NIH electronic systems.
Instructions for the PDF report are available at
http://www.nlm.nih.gov/pubs/techbull/nd12/nd12_myncbi_pdf.html
More at: NOT-OD-13-017
University of Pennsylvania
ORS Brown Bag - Agency
24
Updates
24
Resources
The enforcement notice, Upcoming Changes to Public Access Reporting
Requirements and Related NIH Efforts to Enhance Compliance (NOT-OD12-160, November 16, 2012 http://grants.nih.gov/grants/guide/noticefiles/not-od-12-160.html)
includes helpful links to policies and resources.
Training/Communications
http://publicaccess.nih.gov/communications/htm
University of Pennsylvania
ORS Brown Bag - Agency
25
Updates
25
QUESTIONS?
University of Pennsylvania
ORS Brown Bag - Agency
26
Updates
26
ASSIST
ASSIST
ASSIST
University of Pennsylvania
ORS Brown Bag - Agency
27
Updates
27
Electronic Submission of Multi-Project
Applications
Can We ASSIST You?
NIH plans to transition all multi-project applications
to electronic submission using the SF 424 (R&R) form
set by January 2014
University of Pennsylvania
ORS Brown Bag - Agency
28
Updates
28
May We ASSIST You?
ASSIST (Application Submission System and Interface
for Submission Tracking)
ASSIST can only accept multi-project applications,
currently (e.g. P01s)
Initially piloting ASSIST with a few FOAs that have receipt
dates between January and September. Goal is to have all
multi-project applications use electronic submission by
January 2014.
University of Pennsylvania
ORS Brown Bag - Agency
29
Updates
29
ASSIST
• NIH will post 6-9 pilot Funding Opportunity
Announcements (FOAs) with deadlines between
January and September 2013
• Electronic submission will be required
• Paper PHS 398 applications will not be
accepted
• Participating FOAs will clearly state that they are
part of the pilot and require electronic
submission
University of Pennsylvania
ORS Brown Bag - Agency
30
Updates
30
ASSIST
• NIH will post 6-9 pilot Funding Opportunity
Announcements (FOAs) with deadlines between
January and September 2013
• Electronic submission will be required
• Paper PHS 398 applications will not be
accepted
• Participating FOAs will clearly state that they are
part of the pilot and require electronic
submission
University of Pennsylvania
ORS Brown Bag - Agency
31
Updates
31
ASSIST
• September 25, 2013 —All applications submitted in
response to FOAs with the following activity codes
intended for September 25, 2013 due dates and
beyond will require electronic submission: P01, P20,
P50, R24, U24, U19;
• January 25, 2014 —All applications submitted in
response to FOAs with the following activity codes
intended for January 25, 2014 due dates and beyond
will require electronic submission: G12, P30, P40,
P41, P42, P51, P60, R28, U10, U41, U42, U45, U54,
U56, UC7, UM1.
University of Pennsylvania
ORS Brown Bag - Agency
32
Updates
32
Benefits to ASSIST
• ASSIST automatically provides access to some
individuals based on their Commons roles or role on the
application
• All Signing Officials (SOs) and Administrative Officials
(AOs) at the applicant institution have edit access for the
entire application
• All PD/PIs listed on the Overall application have edit
access for the entire application
• Project Leads have edit access for their components
• The person that initiates the application has edit access
for the entire application
University of Pennsylvania
ORS Brown Bag - Agency
33
Updates
33
ASSIST
• Please be sure to contact your ORS Pre-Award
representative and the PennERA Help Desk
(PennERAhelp@lists.upenn.edu) as soon as
possible if an application is planned in response
to any of the pilot Funding Opportunity
Announcements.
• ASSIST can be accessed at
https://public.era.nih.gov/assist using your NIH
eRA Commons credentials
University of Pennsylvania
ORS Brown Bag - Agency
34
Updates
34
QUESTIONS
Thank You
University of Pennsylvania
ORS Brown Bag - Agency
35
Updates
35