1. University of Pennsylvania 1 1 AGENCY UPDATES Office of Research Services February 7 th, 2013 ORS Brown Bag - Agency Updates

2. University of Pennsylvania 2 Federal Research Performance Progress Reports (RPPR) NIH and NSF Requirements 2ORS Brown Bag - Agency Updates

3. University of Pennsylvania 3 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 3ORS Brown Bag - Agency Updates

4. University of Pennsylvania 4 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) 4ORS Brown Bag - Agency Updates

5. University of Pennsylvania 5 Implementation Each agency created an implementation plan(available at: http://www.nsf.gov/bfa/dias/policy/rppr/)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/)http://grants.nih.gov/grants/rppr/ –Pilot for non-SNAP awards during 2013 NSF Implementation: January, 2013 5ORS Brown Bag - Agency Updates

6. University of Pennsylvania 6 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 6ORS Brown Bag - Agency Updates

7. University of Pennsylvania 7 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 7ORS Brown Bag - Agency Updates

8. University of Pennsylvania 8 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 8ORS Brown Bag - Agency Updates

9. University of Pennsylvania 9 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 http://grants.nih.gov/grants/rppr/rppr_instruction_guid e.pdf 9ORS Brown Bag - Agency Updates

10. University of Pennsylvania 10 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. 10ORS Brown Bag - Agency Updates

11. University of Pennsylvania 11 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 11ORS Brown Bag - Agency Updates

12. University of Pennsylvania 12 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 12ORS Brown Bag - Agency Updates

13. University of Pennsylvania 13 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 http://grants.nih.gov/grants/guide/notice-files/not-od-12-160.html ORS Brown Bag - Agency Updates 13

14. University of Pennsylvania 14 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 14ORS Brown Bag - Agency Updates

15. University of Pennsylvania 15 QUESTIONS? 15ORS Brown Bag - Agency Updates

16. University of Pennsylvania 16 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. 16ORS Brown Bag - Agency Updates

17. University of Pennsylvania 17 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. 17ORS Brown Bag - Agency Updates

18. University of Pennsylvania 18 National Science Foundation (NSF) Proposal Submission FAQ http://www.nsf.gov/bfa/dias/policy/papp/papp13_1/pappg fastlane_faqs.jsp#top 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 http://www.nsf.gov/publications/pub_summ.jsp?ods_key =nsf13001 18ORS Brown Bag - Agency Updates

19. University of Pennsylvania 19 QUESTIONS? 19ORS Brown Bag - Agency Updates

20. University of Pennsylvania 20 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, peer- reviewed 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 ORS Brown Bag - Agency Updates

21. University of Pennsylvania 21 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 available 1. –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/SB114893698047965609- IMyQjAxMDE2NDM4MTkzMzE2Wj.html.http://online.wsj.com/article_email/SB114893698047965609- IMyQjAxMDE2NDM4MTkzMzE2Wj.html ORS Brown Bag - Agency Updates

22. University of Pennsylvania 22 NIH Enforcement of Public 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 Non- Competing Award Process (SNAP) and fellowship awards, expected in Spring 2013. NIH PUBLIC POLICY ACCESS POLICY 22ORS Brown Bag - Agency Updates

23. University of Pennsylvania 23 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. My NCBI ORS Brown Bag - Agency Updates

24. University of Pennsylvania 24 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 http://www.nlm.nih.gov/pubs/techbull/nd12/nd12_myncbi_pdf.html More at: NOT-OD-13-017 ORS Brown Bag - Agency Updates

25. University of Pennsylvania 25 The enforcement notice, Upcoming Changes to Public Access Reporting Requirements and Related NIH Efforts to Enhance Compliance (NOT-OD- 12-160, November 16, 2012 http://grants.nih.gov/grants/guide/notice- files/not-od-12-160.html)http://grants.nih.gov/grants/guide/notice- files/not-od-12-160.html includes helpful links to policies and resources. Training/Communications http://publicaccess.nih.gov/communications/htm Resources ORS Brown Bag - Agency Updates

26. University of Pennsylvania 26 QUESTIONS? 26ORS Brown Bag - Agency Updates

27. University of Pennsylvania 27 ASSIST 27ORS Brown Bag - Agency Updates ASSIST

28. University of Pennsylvania 28 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 28ORS Brown Bag - Agency Updates

29. University of Pennsylvania 29 May We ASSIST You? ASSIST (Application Submission System and Interface for Submission Tracking) ASSIST can only accept multi-project applications, currently (e.g. P01s)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. 29ORS Brown Bag - Agency Updates

30. University of Pennsylvania 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 30ORS Brown Bag - Agency Updates

31. University of Pennsylvania 31 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 31ORS Brown Bag - Agency Updates

32. University of Pennsylvania 32 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. 32ORS Brown Bag - Agency Updates

33. University of Pennsylvania 33 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 33ORS Brown Bag - Agency Updates

34. University of Pennsylvania 34 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 34ORS Brown Bag - Agency Updates

35. University of Pennsylvania 35 ORS Brown Bag - Agency Updates QUESTIONS Thank You