NIH Research Performance Progress Report (RPPR) Instruction Guide An Introduction for New Users

3/18/2013

Please note that this guide has been prepared by OSP as a general reference, using the NIH RPPR Instruction Guide along with materials shared with us by the University of Chicago and the University of Maryland, both participants in the eRA Commons RPPR pilot program. For more detailed and/or current information, please see the full NIH RPPR Instruction Guide or contact the eRA Help Desk at 1-866-504-9552 or http://era.nih.gov/help/.

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Table of Contents General Notes ......................................................................................................................................................................... 3

Accessing the RPPR ................................................................................................................................................................. 4

Managing the RPPR ................................................................................................................................................................. 5

A. Cover Page: ..................................................................................................................................................................... 6

B. Accomplishments ............................................................................................................................................................ 7

B.1 Major Goals .................................................................................................................................................................. 7

B.2 Accomplishments ......................................................................................................................................................... 7

B.3 Competitive Revisions/Administrative Supplements .................................................................................................. 8

B.4 Training and Professional Development ....................................................................................................................... 8

B.5 Dissemination of Results ............................................................................................................................................... 9

B.6 Next Reporting Period .................................................................................................................................................. 9

C. Products ............................................................................................................................................................................ 10

C.1 Publications ................................................................................................................................................................. 10

C.2 Websites ..................................................................................................................................................................... 11

C.3 Technologies ............................................................................................................................................................... 11

C.4 Inventions ................................................................................................................................................................... 11

C.5 Other Products and Resource Sharing ........................................................................................................................ 12

D. Participants ....................................................................................................................................................................... 13

D.1 Project Personnel........................................................................................................................................................ 13

D.2.a Level of Effort........................................................................................................................................................... 14

D.2.b New Senior/Key Personnel ...................................................................................................................................... 14

D.2c-e Other Personnel Changes ...................................................................................................................................... 15

E. Impact ............................................................................................................................................................................... 16

E.1 What is the impact on the development of human resources? ................................................................................. 16

E.2 Impact on infrastructure resources ............................................................................................................................ 16

E.3 Not applicable for most awards .................................................................................................................................. 16

E.4 Award budget spent in foreign countries. .................................................................................................................. 16

F. Changes ............................................................................................................................................................................. 17

F.1 Not applicable for most awards ................................................................................................................................. 17

F.2. Challenges .................................................................................................................................................................. 17

F. 3a-d Changes to Human Subjects, Vertebrate Animals, Biohazards, and/or Select Agents ......................................... 17

G. Special Reporting Requirements ...................................................................................................................................... 18

G.1 Special NOA or FOA reporting requirements ............................................................................................................ 18

G.2.Responsible Conduct of Research education received .............................................................................................. 18

G.3.Mentor’s report/sponsor comments ......................................................................................................................... 18

G.4 Human subjects .......................................................................................................................................................... 18

G.4.a Involvement of Human Subjects .......................................................................................................................... 18

G.4.b. Inclusion enrollment data .................................................................................................................................. 18

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G.4.c. ClinicalTrials.gov ................................................................................................................................................. 18

G.5 Human Subjects Education Requirement ................................................................................................................... 19

G.6 Human Embryonic Stem Cells..................................................................................................................................... 19

G.7 Vertebrate Animals ..................................................................................................................................................... 19

G.8 Project/Performance Sites ......................................................................................................................................... 20

G.9 Foreign Component .................................................................................................................................................... 20

G.10 Estimated Unobligated Balance ............................................................................................................................... 21

G.11 Program Income ....................................................................................................................................................... 21

G.12 F&A Costs [applicable to SNAP awards only] ........................................................................................................... 21

H. Budget ....................................................................................................................................................................... 22

Complete and Submit RPPR .............................................................................................................................................. 22

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General Notes The RPPR will replace the eSNAP tool in NIH eRA Commons. More detailed instructions can be found at http://grants.nih.gov/grants/rppr/rppr_instruction_guide.pdf.

• Use of the RPPR format is currently optional, but encouraged. • The RPPR format will become mandatory for certain types of awards in March/April 2013. • Either a RPPR or eSNAP may be submitted during the early access phase, but not both. • Attachments to the RPPR must be in PDF format and any data fields/text boxes must be completed with ASCCII

characters only. • Depending on the type of award, the required content of the RPPR may vary.

MIT delegates the authority to submit RPPRs and eSNAPs to the PD/PI. These reports do not need to be routed to your Contract Administrator for submission For applications with multiple PD/PIs (MPI applications), only the Contact PD/PI has access to the “Edit” feature unless the Contact PD/PI has granted progress report authority to other PD/PIs. Without this authority, MPIs can only view the RPPR PDF and its routing history. This document is meant as a tool to introduce PIs for the new RPPR format and to give some tips for navigating the new RPPR module on eRA Commons. It is not meant as a step-by-step tool for filling out the RPPR. MIT OSP would like to express special thanks to the University of Maryland, Office of Research Administration, and the University of Chicago, University Research Administration office, for allowing us to use training materials prepared by them in the development of this guide.

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Accessing the RPPR

• Log into Commons. • Select the “eSNAP” menu. • Select the Grant Number link for the Award.

• Select RPPR.

• Select

• Click on to begin the RPPR.

Select Grant Number

RPPR

Select “RPPR”

Initiate

Select “Initiate”to begin

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Managing the RPPR The RPPR consists of 8 sections: A. Cover Page B. Accomplishments C. Products D. Participants

E. Impact F. Changes G. Special Reporting Requirements H. Budget

• Once you have initiated the process, select to enter data.

• Complete each section and before moving on to the next section.

• Once complete, click on “Manage eSNAP” tab.

• Click on the button. If there are any errors, they must be corrected. Be certain to

the changes.

• Once there are no more errors, click the button to submit directly to NIH. MIT does not require

routing through OSP prior to submission.

More detailed instructions can be found at http://grants.nih.gov/grants/rppr/rppr_instruction_guide.pdf.

Edit

Save

Check for Errors Save

• Select “Edit” to enter data • Click “Check for Errors” when all sections complete • “Submit” when there are no more errors reported

Submit

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A. Cover Page:

• Confirm Data. Addresses, emails and phone numbers are pre-populated from the PI’s eRA Commons profile. If you want to change this information please update your eRA Commons profile first and the information will automatically be updated on the RPPR.

• Add Signing Official and Administrative Official – select OSP Contract Administrator and OSP’s Lead Liaison for NIH from drop down lists.

• Recipient ID can be left blank.

Add Signing Official and

Administrative Official

Information

Leave Blank

“Save” when

complete

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B. Accomplishments B.1 Major Goals

• List goals/specific aims as stated in the approved application. Significant changes in objectives and scope require prior approval of agency. Major goals must be provided in the initial RPPR and will pre-populate in subsequent reports. Goals may be amended by answering Yes to B.1.a.

B.2 Accomplishments • Upload a PDF attachment listing accomplishments towards goals. (PDF file name must not contain spaces or

special characters.)

Click “Yes” only if goals

have changed

Upload PDF

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B.3 Competitive Revisions/Administrative Supplements

• If Revision or Supplement has been submitted for the award, click “Yes” and complete data. For more than

one Revision or Supplement, click on .

B.4 Training and Professional Development

• Include participation in conferences, workshops, seminars, and/or mentoring not listed under major activities and accomplishments.

• Response required for T, F, K, R25, R13, D43 and other training awards. • Select “Nothing to Report” or upload PDF listing training and professional development opportunities. (PDF

file name must not contain spaces or special characters; no page limit)

If answer is “Yes” complete

information below

Enter the full award number or the title of the supplement, only one is required. Type 3s/ARRAs belong here.

Click to add additional

revisions or supplements

Response required

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B.5 Dissemination of Results • Did your award include a requirement to disseminate information to any particular community? If so,

please describe. “Routine” websites, press releases, scientific publications and the sharing of research resources do not apply.

• Select nothing to report or add text as to how results have been disseminated (max 8000 characters; NIH recommends 1 page length).

B.6 Next Reporting Period

• Add text as to plans for next reporting period (max 8000 characters; NIH recommends 1 page length). • Significant changes in objectives and scope require prior approval of the agency.

Response required

Don’t forget to “Save”

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C. Products

C.1 Publications • PD/PIs are required to report all publications that arise from their NIH award in this section. • If there are no publications to report, select No. • This is the only place to report on publications. Any publication information entered in other places of the

RPPR will not be recorded as publications. • All publications reported in this section are drawn from MyNCBI site. The PIs MyNCBI account and eRA

Commons accounts must be linked (“partnering accounts”) otherwise the publications will not auto-populate into RPPR.

• If your publication is not in compliance with the NIH Public Access Policy or in other words, does not have the PMCID number then you can still upload the RPPR and you have 10 days to bring those publications into compliance in MyNCBI. It will automatically change their status on RPPR.

More information on My NCBI: http://www.ncbi.nlm.nih.gov/books/NBK3842/#MyNCBI.Getting_Started

Must select one

Select publications to associate with this RPPR

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C.2 Websites • Select “Nothing to Report”, or list URLs that disseminate the results of the research activities.

C.3 Technologies • Select “Nothing to Report”, or list technologies that have resulted from the research activities.

C.4 Inventions • Answer questions about inventions.

Response required

Response required

Response required

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C.5 Other Products and Resource Sharing • Select “Nothing to Report” or upload PDF response. (PDF file name must not contain spaces or special

characters.)

Responses required

Don’t forget

to “Save”

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D. Participants

D.1 Project Personnel • Provide information for PD/PI and each person who has worked at least 1 person month on the project.

Participant effort must be rounded to the nearest whole person month. If a PD’s/PI’s effort is 0.4 or less, it should be marked as 0. NIH will compare it to the original proposal and will not consider the report non-compliant.

• To add person months for PI, select “Edit” next to PI name. after editing.

• Click to add other individuals as needed.

• Enter in Commons ID for other individuals to populate information from his/her Commons profile. • Indicate the nearest whole person month (Calendar, Academic, Summer) that the individual worked on the

project. • Indicate if the individual’s primary affiliation is with a foreign organization.

Save

Add/New

Must indicate foreign affiliation

May populate from eRA Commons Profile

Must indicate person months

Click to

edit

Click to add new individual

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D.2.a Level of Effort • Answer question and provide explanation.

D.2.b New Senior/Key Personnel • Answer question and upload biosketch for individual. • This field will accept only 1 attachment. For multiple new senior/key personnel, combine the PDFs outside of

Commons and upload together.

This is the only occasion in this report where significant change is allowed without prior approval from sponsor. Selecting “YES” is your request to the agency and the issuance of a subsequent year funding

constitutes agency approval of the request.

Must choose

one

Must choose

one

Upload biosketches in

ONE PDF

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D.2c-e Other Personnel Changes

• Answer questions and upload attachments as needed. • Attachments must be in PDF format; PDF file name must not contain spaces or special characters.

Answer questions and upload PDFs as

needed

Don’t forget

to “Save”

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E. Impact This section will be used to describe ways in which the work, findings, and specific products of the project have had an impact during this reporting period.

E.1 What is the impact on the development of human resources? • Not applicable for most awards. Only applicable to education awards (D24, K30, R13, R25, RL5, T14, T36,

U13, U2R)

E.2 Impact on infrastructure resources • Select nothing to report or add text of description. Limit of 8000 characters, NIH recommends 1 page.

E.3 Not applicable for most awards

E.4 Award budget spent in foreign countries. • Select nothing to report, or add dollar amount and country. • Click to add additional lines.

“Save” when complete

Check “Nothing to Report” or

provide description

Check “Nothing to Report” or provide dollar amount and

country

Click to add more

countries

Add/New

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F. Changes

F.1 Not applicable for most awards

F.2. Challenges • Select nothing to report or add text of description. Limit of 8000 characters, NIH recommends 1 page.

F. 3a-d Changes to Human Subjects, Vertebrate Animals, Biohazards, and/or Select Agents • Select no change or add attachment as needed. Attachments must be in PDF format; PDF file name must not

contain spaces or special characters.

Check box or provide

description

Check boxes or upload PDFs as

appropriate

Don’t forget to “Save”

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G. Special Reporting Requirements

G.1 Special NOA or FOA reporting requirements • Select “Nothing to Report” or add attachment as needed. Attachments must be in PDF format; PDF file name

must not contain spaces or special characters.

G.2.Responsible Conduct of Research education received • Only applicable to K, F and other education awards

G.3.Mentor’s report/sponsor comments • Only applicable to K, F awards

G.4 Human subjects

G.4.a Involvement of Human Subjects • If activities involving human subjects are planned at any time during the next budget period at the grantee

organization or at any other project/performance site or collaborating institution, select Yes. • Select Yes even if the project is exempt from the Regulations for the Protection of Human Subjects. • Select No if activities involving human subjects are not planned at any time during the next budget period.

G.4.b. Inclusion enrollment data • If your grant supports human subjects and a clinical trial then the system will display one of two messages:

o “The RPPR does not have any Inclusion Enrollment Reports or the report records have a status of Close”

o “You are required to complete Inclusion Enrollment Report for the following studies:[list of all protocols]”

• Follow their lead.

G.4.c. ClinicalTrials.gov • If it is a clinical trial it requires an NCT (ClinicalTrials.gov identifier) number.

Click “Nothing to Report” or upload PDF as needed

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G.5 Human Subjects Education Requirement

G.6 Human Embryonic Stem Cells • Requires hESC registration number from NIH registry. Link to the registry provided in the RPPR.

G.7 Vertebrate Animals

If you answer “Yes” here, be prepared to answer these additional questions, as

needed

Follow any instructions in this box

Provide NCT number for any clinical trials

Answer question. If “Yes” provide details of training

If “Yes”, provide hESC Registration number, and report any changes.

Click “Yes” or “No”

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G.8 Project/Performance Sites • If there are changes, edit as needed.

G.9 Foreign Component

Be prepared to provide all required information for any new

project/performance sites

IMPORTANT: Read definition of foreign activity

Click “No Foreign Component” or provide organization name, country

and brief description for each foreign component

Click “Add/New” to add additional foreign component s

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G.10 Estimated Unobligated Balance • Answer and provide information as required.

G.11 Program Income • Answer “Yes” if program income is anticipated in the next budget period, and provide amount and source(s).

G.12 F&A Costs [applicable to SNAP awards only] • Answer and enter explanation as needed.

If “Yes”, provide

estimated amount and explanations

as needed

If “Yes”, provide amount and source(s).

If “Yes”, provide explanation.

Don’t forget to

click “Save”

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H. Budget • Applicable to non-SNAP awards only. This section is reserved for when the non-SNAP awards are implemented

in RPPR. This section will use the SF424 budget, as required by the OMB RPPR final format.

Complete and Submit RPPR

• Once complete, click on “Manage eSNAP”.

• Click on the button. If there are any errors, they must be corrected. Be certain to

the changes.

• Once there are no more errors, click the button to submit directly to NIH.

Check for Errors

Save

Submit

Use the “Manage eSNAP” page to check for errors and submit the completed RPPR.