1. eRA Commons and Progress Reports How PIs and the NIH Communicate Elisa Woodhouse Division of Cancer Biology New Grantee Workshop March 12, 2014

2. What do PIs and the NIH communicate about? About you, the PI About your research –Status updates on applications and grants –Research Performance Progress Report (RPPR) on funded research

3. What does the NIH need to know about you? Information about you, the PI: via the “Personal Profile” section of eRA Commons –Your name, your degrees, your institution, your department, your academic rank, your address, your phone number, your email, etc. –If we can’t find you, we can’t pay you, so please keep the information current.

4. What does the NIH need to tell you? –Status updates on your applications and grants, via the “Status” section of eRA Commons Documents received/accepted, study section assignment, study section SRO, NIH IC assignment, NIH Program Director/Officer, score, Summary Statement, Notice of Grant Award, etc. You can follow the status of an application as it moves through the system.

5. What does NIH need to know about your research? About your progress (both published and unpublished) over the most recent funding period. Progress reports are required annually to document grantee accomplishments and compliance with terms of award. They describe scientific progress, identify significant changes, report on personnel, and describe plans for the subsequent budget period or year. The Office of Management and Budget (OMB) has mandated that federal agencies implement a federal-wide research performance progress report (RPPR) for submission of required annual or other interim performance reporting on research grant and cooperative agreement awards to standardize recipient reporting on federally-funded research projects. I’ll highlight elements of the scientific write-up.

6. What’s “Normal” for an R01 Progress Report? Most are about 2-5 pages Most list and follow order of Specific Aims Some have figures, some don’t All discuss successes, some discuss problems/failures Publications (We will talk more about this!) Most take the PI a day or two to prepare --not an hour and not a week

7. What’s “Not Normal” for an R01 Progress Report? “Too much” data/progress -Is this really an accounting of just one year of progress? Does it make clear what is prior years’ vs. most recent year’s progress? -Is this really an accounting of progress from just this grant? Does it make clear whether some data come from other funding to PI’s lab, which may synergize with this project?

8. What’s “Not Normal” for an R01 Progress Report? “Too little” data/progress - Is this really an accurate account of PI’s total progress for the grant’s most recent year? Will require contact with PI to answer this. -If No, then PI needs to revise to provide sufficient information on progress, results, difficulties, etc. - If Yes, then PD and PI need to discuss problems PI is encountering, PI’s plans for getting back on track, what PD can do to help, etc., especially for New PIs. PD should explore/consider whether this is a recurring issue with this grant and/or PI.

9. What are some special cases? Grants requesting/proposing a change in scope –Significantly increasing the work proposed, due to rapid progress, new trainees, etc. –Significantly shifting the work proposed, due to new techniques, reagents, collaborators, etc. –Increases and shifts may require new IRB, IACUC, and/or biohazard approvals –Decreasing the work proposed, due to major budget cuts (normally occurs when the grant is initially awarded) These changes require pre-approval by the NIH

10. What are some more special cases? Grants with supplements requiring progress reports: -Administrative supplements, in response to a PA or initiated by PI: for new research opportunity within the scope of parent project -Diversity training supplements: for students, post-docs, junior faculty, re-entry -“Revision” supplements: major increase in scope and funding of grant; reviewed by study section, very rare Report should describe progress and plans, plus relationship to parent grant

11. Having trouble submitting a report or updating your profile?  eRA Commons Helpdesk:  http://era.nih.gov/help/ http://era.nih.gov/help/  1-866-504-9552 or 301-402-7469

12. NIH Public Access Policy 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. The NIH Public Access Policy Is Mandatory 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

13. Public Access Policy: Key steps for awardees 1) Address Copyright –Institutions and investigators are responsible for ensuring full compliance with the Public Access Policy (e.g., that any publishing or copyright agreements are consistent with submitting to PMC). 2) Deposit Paper Upon Acceptance for Publication –Method A: Publish in a journal that deposits all NIH-funded final published articles in PMC without author involvement.journal –Method B: Make arrangements to have a publisher deposit a specific final published article in PMC.publisherPMC –Method C: Deposit the final peer-reviewed manuscript in PMC yourself via the NIHMS. PMCNIHMS –Method D: Complete the submission process for a final peer-reviewed manuscript that the publisher has deposited via the NIHMS.NIHMS 3) Cite Article –Include the PMC number (PMCID) for applicable papers in applications, proposals and reports, as described at http://publicaccess.nih.gov/citation_methods.htm. http://publicaccess.nih.gov/citation_methods.htm

14. Public Access Compliance Awards will be placed on hold until grantees have demonstrated compliance My NCBI will be required to report papers for all non- competing awards For RPPRs, the My NCBI is an integral part of the reporting process For PHS 2590s, the My NCBI PDF report must be run separately and included in the application. It replaces the publication section. http://www.ncbi.nlm.nih.gov/sites/myncbi/ See http://publicaccess.nih.gov/policy.htm for relevant guide noticeshttp://publicaccess.nih.gov/policy.htm

15. How to cite papers in press, or within 3 months of publication… For Method A and B Journals, use “PMC Journal - In Process”. For Method C and D Journals, use the NIHMSID. PMCIDs are assigned around the time of publication. Please use the PMCID once it is assigned.

16. Evidence of Compliance Compliance codes in the RPPR and My NCBI report FundableNot Fundable Complete N/A (not applicable) PMC Journal In Process In process at NIHMS Non-compliant

17. PIs are encouraged to: ◦ Understand that Public Access is their responsibility ◦ Check their compliance on My NCBI periodically ◦ Develop systems to ensure they can notify collaborators about public access requirements in advance ◦ Using their existing supports (Office of Sponsored Research) and internal publication policies ◦ Refer questions to the public access help desk, at http://publicaccess.nih.gov/contact.htm http://publicaccess.nih.gov/contact.htm

18. Thank you!