Annual NIH Progress Reports

1. Annual NIH Progress Reports September 16, 2014 OGC Pre-Award Team

2. RPPR vs. Paper • There are currently two types of Progress Reports: • Non-SNAP (due to the NIH 60 days before current budget period end date – uses the PHS 2590 forms OR they can now be submitted through the eRA Commons) • SNAP (RPPR – due to the NIH 45 days before current budget period end date – submitted through the eRA Commons) BUT • NIH will require all grantee institutions to use the RPPR for non-SNAP progress reports submitted on or after October 17, 2014. See NIH Guide Notice OD-14-092.

3. RPPR vs. Paper • Soon, all progress reports will be submitted through the Commons but, the due dates will not change. • Non-SNAP progress reports – Due 60 days before the end of the budget period • SNAP progress reports – Due 45 days before the end of the budget period

4. RPPR vs. Paper • Check your NGA: • Under Section III – Terms and Conditions, if you see two sentences that read as follows: • Automatic Carryover and being subject to SNAP means you can submit your Progress Report through the Commons and it is due 45 days before the end of the current period.

5. RPPR vs. Paper • Check your NGA: • Under Section III – Terms and Conditions, if you see: OR then you are required to submit a paper progress report and it is due 60 days before the end of the current period.

6. RPPR vs. Paper • Key Differences: • “An unobligated balance may be carried over into the next budget period without Grants Management Officer prior approval” = automatic carryover which means the account number will stay the same from year to year • “Carry over of an unobligated balance into the next budget period requires Grants Management Officer prior approval” = carryover is not automatic and the account must be closed out at the end of each year and a new account number assigned

7. RPPR vs. Paper • The internal processing steps are the same for both RPPR and paper progress reports except for how the final report is submitted to the NIH • For paper progress reports the pre-award specialist will notify you once the face page is signed by the Office of Research • The project will be responsible for picking up the face page and for mailing the final paper progress report to the NIH

8. Getting Started • A pre-award specialist will send you a start-up email containing the following items/information: • Applicable internal due dates (including whether the report will be submitted via paper or electronically) • Draft budget for next year of funding • Table containing the current period Calendar Months for Psychiatry faculty and staff • PI Signature Template • Request for > 25% carryover justification (if applicable) • Various items we will need to process your report

9. Getting Started • Internal Due Dates: • The progress report must go through three business offices: • OGC – Pre-Award Specialist and Director • School of Medicine Dean’s Office • Office of Research • The Office of Research requires 5 business days for review and the OGC and Dean’s office share the other 3 for a total of 8 business days

10. Getting Started • Internal Due Dates – RPPR: • If your progress report is due October 15th, then it needs to be to the Office of Research by October 7th and to your pre-award specialist by October 3rd. • We require an additional week for the final budget which would be due to the OGC by September 26th. • This is to allow us time to prepare the internal paperwork and collect paperwork from various other Pitt departments (if applicable).

11. Budget • A draft budget is created for you on an excel version of the PHS 2590 NIH form. • To create the budget, we look at: • Last year’s budget • Current distribution report • Subaccount information • If subaccounts are present, we will contact the other departments and obtain updated salaries for their personnel.

12. Budget • The budget you receive is just a starting point! • Please let us know of any changes in personnel and/or effort and we will gladly help you get the necessary information. • Other expenses will also need to be added to zero out the budget.

13. Budget • Not enough funds available in next year’s budget? • If you have more expenses than you do new funding, keep in mind that you may have carryover available to cover any “extra” expenses. • Although carryover funds cannot be included in the internal budget, you can keep their availability in the back of your mind as you fill out the budget for next year. • One option is to create a budget that includes both the new funding plus carryover, add up all the expenses you will have next year to see what can be covered and then separate it out showing what will be paid with new funds and what will be covered with carryover funds.

14. Budget • If you don’t have enough new funding to cover all of your expenses, try to at least keep the effort for Key Personnel at their full amounts and then cut back the effort for staff and other expenses in order to meet the bottom-line. The difference between the staffs’ actual full effort and the reduced effort on the budget can then be covered by any available carryover.

15. Internal Budget Detailed Budget for Next Budget Period – Personnel Section % Effort on this award Total Requested = Salary + Fringe Fringe – automatic calculation based on salary requested Calendar Months populate automatically based on % effort input Current base salaries

16. Internal Budget Detailed Budget for Next Budget Period – Other Expense Section Total Direct Costs for Next Period

17. Internal Budget Detailed Budget for Next Budget Period – Balancing the Bottom-line Amount from current NGA - expected funding amount for next year When budget is balanced, the Difference should equal Zero

18. Internal Budget - F&A Calc Tab All expenses automatically feed from first page Any items that do not generate indirects need to feed into this section (pre-award can assist with this) Total Direct Costs – Exclusions = Modified Total Direct Cost Base Total Indirect Costs Total Costs – must match amount on NGA

19. Internal Budget is done – Now What? • You will send the finalized budget with a bottom line of zero to your pre-award specialist • They will review the budget to be sure that the formulas are still calculating correctly and notify you if any additional work needs to be done on the budget • Once the budget is final, we will process it for internal approval • If you haven’t already, you need to finalize the other documents your pre-award specialist requested as well as your progress report • The slides that follow discuss completing the RPPR progress report • For instructions on completing paper progress reports visit: http://grants.nih.gov/grants/funding/2590/2590.htm

20. RPPR Commons Module • Research Performance Progress Report • Allows for uniform reporting format and has replaced the eSNAP progress reports • Report initiated, completed and submitted through eRA Commons • All SNAP and Fellowship Awards must use this system for submitting progress reports • RPPR is now optional for non-SNAP grants – will be mandatory as of October 17, 2014 • RPPR is not used for submitting final progress reports • http://grants.nih.gov/grants/funding/finalprogressreport.pdf

21. RPPR Commons Module • Module consists of text entry boxes each with an 8,000 character (3 pages) limit • Text over this limit is automatically truncated to 8,000 if you use the cut and paste feature • System will allow you to enter non-ASCII characters; however, non-ASCII characters will not be displayed in the final report generated by the system • Attachments must be PDF with file names that only contain standard characters (letters, numbers or underscore) Text entry boxes display number of characters left

22. RPPR Commons Module • Only the PD/PI or PD/PI delegate may initiate RPPR • If multiple PI’s, only Contact PI or delegate can initiate the RPPR • PD/PI delegate cannot route an RPPR to the next reviewer or recall routed RPPR reports • Displayed and enabled buttons vary depending on the status of the RPPR and/or the limitations of the current user’s role • Use Manage RPPR to choose reports to work on

23. RPPR Commons Module • RPPR has separate screens for each section • Can work on various sections in any order but must click SAVE button before leaving a screen to retain entered data • RPPR displays appropriate questions and instructions based on the activity code and SNAP status of the award

24. Pre-populated data from Commons profile Optional internal tracking number/identifier for your own use

25. RPPR Section A: Cover Page • A.2 – Signing Official for the University of Pittsburgh: Allen A. DiPalma • A.3 – Administrative Official for Psychiatry: Brian Balich

26. RPPR Section B: Accomplishments • Goals equivalent to specific aims • B.1 What are the major goals of the project? • Once specific aims are provided in the initial RPPR, this section will pre-populate in subsequent RPPRs • Amend pre-populated aims/goals by answering Yes to question B.1.a. • B.2 What was accomplished under these goals? • For most NIH awards response is 2 page maximum • B.4. Opportunities for training/professional development • Response required (i.e. do not leave blank) for T,F, K, R25, R13, D43 and other awards designed to provide training/professional development • If nothing significant to report or question not applicable, select Nothing to Report (Questions B.4 & B.5)

27. RPPR Section C: Products Publication tables draw information from PD/PI’s My NCBI account “Associate with this RPPR” is automatically checked for all entries in this table only

28. RPPR Section C: Products • Until the progress report is submitted, publication data and compliance status will change based on updates made in the following sources • PubMed, PubMed Central, PD/PI’s My Bibliography account • Refresh data by saving or opening the RPPR in another session • Upon submission, all publication data will be frozen in the progress report • Must ensure Public Access compliance of all publications including those previously submitted • Reports with non-compliant publications will generate a warning message during an error check • Reports submitted with non-compliant publications will generate an automatic request (from NIH) to show correction of noncompliance or provide explanation by specified due date

29. For the in process publications it will say either “In Process – NIHMS” or “PMC Journal-In Process”

30. Non-compliant Publications • Two ways to submit corrected publications • Email response to GMS and PO from the SO assigned to the RPPR • Through PRAM feature in eRA Commons (method encouraged by NIH) • PD/PI or delegate can initiate PRAM • Enter response in text box and route to SO • Once routed to SO, PD/PI cannot edit PRAM • You will receive email notification once PRAM submitted to Agency

31. RPPR Section D: Participants • List PD/PI regardless of effort devoted to project and all individuals that worked at least one person month per year during reporting (ending) period • Round to nearest whole person month for each person • Show most senior role person held for any significant length of time • Commons user ID can be used to partially populate individuals information • Commons ID required for Post Docs; as of 10/18/13 will also be required for Graduate and Undergraduate student roles • Listing last four of SSN and month/year of birth is voluntary • Do not include Other Significant Contributors if no measurable effort

32. RPPR Section E: Impact RPPR Section F: Changes Question F.2 – describe challenges/delays in this reporting period and plans to resolve them Describe only significant challenges that may impede research and emphasize resolution Reminder: Significant changes in objectives/scope requires prior approval • E.2 What is the impact on physical, institutional, or information resources that form infrastructure? • Select Nothing to Report if not applicable to your award

33. RPPR Section G: Special Reporting Requirements • This section addresses agency-specific award terms and conditions as well as award specific reporting requirements • G.1 Space for reporting required information as specified in NOA or FOA • G4.b Inclusion Enrollment Data • Required unless otherwise notified by Program Officer or within RPPR itself • You may have more than one inclusion enrollment report • RPPR will automatically create a tracking table if inclusion enrollment data records exist from previous year, otherwise a default table will be generated • G.9 Foreign Component – foreign travel for consultation does not meet the definition of foreign component

34. RPPR Section H: Budgets • This section is required for non-SNAP grants only. • H.1 Select the SF424 Research and Related Budget from the drop down menu and follow the instructions - This will look very similar to the SF424 application packet budget form - Complete the form for the upcoming budget period – will match our internal excel file • H.2 Complete only if you have subawards • One budget per site • Subaward budgets will also look like the SF424 budget form

35. RPPR Section H: Budget • Follow instructions in SF424 Application Guide, Section I, 4.7 Budget Form • Complete R & R budget, sections A-K • Complete R & R Cumulative Budget • Upload budget justification • Should include detailed justification for line items and amounts only if there is a significant change ( > 25%) from previously budgeted levels

36. Choose SF424 Research and Related Budget in drop-down menu then hit Edit

38. RPPR: K-Awards & Fellowships • With some exceptions, follows the same rules for sections A-H as other awards • Many questions are not applicable to K or Fellowship awards, check the online guide for a complete list • K-Awards: Additional Guidelines • G.3 Mentor’s Report • Multiple letters should be attached as one pdf • Non-mentored K awards select “Not Applicable” • H. Budget • Applicable to non-SNAP awards only

39. RPPR complete – what next? • Perform an error check to verify the report passes the business rules and system validations • Any user with access to the RPPR can perform check • Select Error Check button from the RPPR Menu screen • All errors must be corrected prior to submission

40. RPPR complete – what next? • Email a pdf copy of the full RPPR report to your pre-award specialist for review before submitting to the Signing Official • Select View button from the RPPR Menu screen • The report pdf will show the status of Draft and the submission date will be blank Status should be “Work in Progress”

41. RPPR complete – what next? • Once the RPPR report draft has been approved by your pre-award specialist, you will be notified to route the RPPR to the Office of Research • The pre-award specialist will route the paperwork to the Dean’s Office for budget approval and to the Office of Research for review/submission • Once the Office of Research submits the RPPR • Current reviewer updated to NIH and status is updated to Submitted to Agency with submission date recorded • Routing history updated, associated citations are officially associated with RPPR in MyNCBI, and Inclusion Enrollment data is updated to eRA Population Tracking system for NIH staff review and acceptance • Email notification sent to PD/PI on the grant and the SO and AO assigned to the RPPR

42. Within a month… • You should receive the NGA from the NIH • Your pre-award and post-award specialist will be notified • The post-award specialist will process the NGA through the Office of Research and set up your account for the next budget period

43. NIH Notices • NOT–OD–13–097 • Graduate and undergraduate student roles who participate at least one person month will be required to establish eRA Commons ID • Beginning 10/18/13, paper forms and RPPR will prompt for Commons ID • Warning will generate if RPPR submitted that lists individuals in student roles who have not established ID (as of 10/18/13) • Beginning October 2014, RPPRs without this information will receive an error and not be accepted until Commons IDs provided • Also on 10/18/13 eRA Commons profiles will require certain demographic information be provided • Acceptable response, for some information, will be “I Do Not Wish to Provide” • Once phased in, this policy will be extended to existing eRA Commons ID for PD/PIs and Post Docs • Long term plan is for all personnel listed on the All Personnel List of the report to have eRA Commons accounts

44. NIH Notices • NOT-OD-14-113 • IDP reporting required as of October 1, 2014– Individual development plans (IDPs) are now required for all graduate students and Post Docs included in the Section D. list of Participants. Actual IDP will not be included. • Section B. Accomplishments, Question B.4. – Include brief description of whether IDPs are used at institution and if so, how they are used to help manage the career development of students and postdocs associated with award. • Training grants - use 5.1.6 Progress Report Summary, A. Training Program. • Response required for all T, F, K, R25, R13, D43 and other awards or award components designed to provide training and professional development opportunities for grad students and post docs.

45. QUESTIONS? RPPR Instruction Guide: http://grants.nih.gov/grants/rppr/rppr_instruction_guide.pdf OGC Website - Progress Reports: https://inet.psychiatry.upmc.com/OGC/Pages/PreAward/ProgressReports.htm