RPPR/Non-SNAP

RPPR (Research Performance Progress Report) - Electronic

Non-SNAP (Streamlined Non-Competing Award Process) - Paper

The eRA electronic Research Performance Progress Report (RPPR) facilitates the ability of Type 5 (non-competing) progress reports to be annually submitted through the eRA Commons RPPR module by grantees. To determine if RPPR or non-SNAP (Streamlined Non-Competing Award Process) provisions apply to a grant award, please refer to the Notice of Award (NoA) Section III - Terms and Conditions. The NoA will specifically state in this Section III, "This grant is subject to Research Performance Progress Report (RPPR for electronic submissions) or Non-Streamlined Noncompeting Award Procedures (SNAP for paper submissions)" for RPPR provision indication.

For Duke RPPR submissions, please review the following information to facilitate a smooth submission.

Basics
RPPR Preparation
SPS Guidance
Submission Process
Progress Report Planning
Duke Guidance Documents

Basics

Progress reports under RPPR are due 45 days prior to the next grant year budget period start date.
Institutional Review Board (IRB) and Institutional Animal Care and Use Committee (IACUC) assurance approvals will need to remain active as applicable to human subject and vertebrate animal involvement.
When there is human subject involvement, CITI certifications will need to be maintained and attached in the SPS record Internal Documentation to demonstrate active training compliance for all personnel working with human subjects on the grant.
Progress reports for Multi-year Funded (MYF) awards have unique content and deadline requirements for submission through eRA Commons. Refer to NIH Instructions for Progress Reports for MYF awards for further details (link located in the NIH Resources section on the right column of this page).

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RPPR Preparation

Instruction

Refer to the RPPR User Guide for delegation of authority, selecting/routing/recalling of the report, RPPR/SNAP tab section requirements, and password change instructions (link located in the NIH Resources section on the right column of this page).
Refer to the 2590 Non-Competing Grant Progress Report Instructions and Forms for continuation report content guidance (link located in the NIH Resources section on the right column of this page).

Role Management and Access for RPPR report completion

PIs must have an eRA Commons account with Duke University as the affiliation. Refer to NIH's tutorial on How to create a PI Account in eRA Commons if they do not have an existing account. If they have an account without a Duke affiliation, refer to NIH's tutorial on Creating Affiliations for Users (links located in the NIH Resources section on the right column of this page).
PIs may delegate authority to department personnel who have an eRA Commons account with an ASST role to manage their Personal Profile (Delegate PPF Edit tab) and/or RPPR/SNAP report development (Delegate PI tab). Refer to NIH's RPPR User Guide for assistance with delegation instruction (link located in the NIH Resources section on the right column of this page).
The Personal Profile should be maintained for all account users with up-to-date information. Current relevant information in the Personal Profile is important as the Profile is checked against electronic application submissions for matching data in the validation process.

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Section A - Cover Page

A.2 Signing Official should be Laurie Henry.
A.3 Authorized Official should be John Michnowicz.
A.4 Recipient ID - Please enter the SPS record for the RPPR.

Section C - Products

C.1 Publications - Please make sure that the publications are in compliance. If they are not compliant and the RPPR is submitted, an automated email will be sent to the PI (ccing AO or SO) allowing for the additional materials to be submitted to bring the publications up to compliance. Please see the NIH Public Access Policy for more detail on the policy.

For help on-campus with compliance, please see the Duke Univeristy Medical Center Library & Archives.

Also, please review the Duke School of Medicine Policy on Compliance with the NIH Public Access policy.

Section D - Participants

D.1 What individuals have worked on the project?

Whole numbers must be used on the personnel report.
For the PD/PI and Sponsor key ONLY, a number must be entered If their effort is 0 - 0.4, please enter zero. If their effort is 0.5 - 0.9, please enter one.
All other personnel should be listed when their effort is at least one calendar month (8.3% effort) regardless of salary support. If their effort is 0 - 0.4, DO NOT list them on the personnel report. If their effort is 0.5 - 0.9, please enter one.
Please DO NOT list any personnel with less than one calendar month (8.3% effort) on the report regardless of key designation, unless it is the PD/PI or Sponsor Key that is pre-populated.
PI and Postdoc roles must have a Commons account username. It is not necessary for other roles to have a Commons account username.

Person months reported on the RPPR are intentionally rounded to the nearest whole number to provide for generalized reporting consistent across federal agencies that support research activities.

Is the individual's primary affiliation with a foreign organization?

Check No if the individual's primary affiliation is with a foreign organization but the individual is working on this award solely while in the U.S.

If Yes, provide the name of the organization and country.

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D.2 Personnel Updates

D.2.a Level of Effort.

Will there be, in the next budget period, either (1) a reduction of 25% or more in the level of effort from what was approved by the agency for the PD/PI(s) or other senior key/personnel designated in the Notice of Award, or (2) a reduction in level of effort below the minimum amount of effort required by the Notice of Award?

Significant effort change for PI or Key Personnel identified on Notice of Award (Key Personnel designation is listed on NoA Section IV - Special Terms and Conditions) is based on an effort change level of 25% or more in reduction from the original or last level approved by NIH. If there will be a significant change in effort level for a key individual, please explain how the science will not be adversely impacted by less time of the individual's role on the project. Any addition to key personnel will require a Biographical Sketch and Other Support document for the new key individual to be imported into the report by the Participants tab Other File field.

D.2.b New senior/key personnel

Are there, or will there be, new senior/key personnel?

If yes, upload biosketches and other support for all new senior/key personnel.

Follow the biosketch instructions in the competing application guide and provide active other support for all new senior/key personnel. Combine all biosketches and other support into asingle PDF.

D.2.c Change in other support

Has there been a change in active other support of senior/key personnel since the last reporting period?

If yes, upload active other support for senior/key personnel whose support has changed and indicate what the change has been.

Select Yes only if active support has changed for the PD/PI(s) or senior/key personnel. If a previously active grant has terminated and/or if a previously pending grant is now active, submit complete Other Support information using the suggested format and instructions found at http://grants.nih.gov/grants/funding/2590/2590othersupport.doc. Annotate this information so it is clear what has changed from the previous submission. Submission of other support information is not necessary if support is pending or for changes in the level of effort for active support reported previously. Other support information should be submitted only for the PD/PI and for those individuals considered by the grantee to be key to the project for whom there has been a change in other support. Senior/key personnel are defined as individuals who contribute in a substantive measurable way to the scientific development or execution of the project, whether or not a salary is requested. Do not include other support information for Other Significant Contributors; those that may contribute to the scientific development or execution of the project, but are notcommitting any specified measurable effort to the project.

Sample Other Support to be used for RPPR

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Section F - Changes

F.3 Significant changs to human subject, vertebrate animals, biohazards, and/or select agents

Describe significant deviations, unexpected outcomes, or changes in approved protocols for human subjects, vertebrate animals, biohazards and/or select agents during this reporting period.

Remember that significant changes in objectives and scope require prior approval of the agency (e.g., NIH Grants Policy Statement, 8.1.2.). If there are changes in any of the following areas, check the appropriate box and provide a description of the changes.

F.3.a Human Subjects

If human subject protocols are or will be different from the previous submission, include a description and explanation of how the protocols differ and provide a new or revised Protection of Human Subjects Section as described in the competing application instructions.

F.3.b Vertebrate Animals

If there are or will be significant changes to the uses of vertebrate animals from the previous submission, provide a description of the changes. Examples of changes considered to be significant include, but are not limited to, changing animal species, changing from noninvasive to invasive procedures, new project/performance site(s) where animals will be used, etc. If studies involving live vertebrate animals are planned and were not part of the originally proposed research design, provide a new or revised Vertebrate Animal Section as described in the competing application instructions.

F.3.c Biohazards

If the use of biohazards is or will be different from that in the previous submission, provide a description and explanation of the difference(s).

F.3 d Select Agents

If the possession, use, or transfer of Select Agents is or will be different from that proposed in the previous submission, including any change in the select agent research location and/or the required level of biocontainment, provide a description and explanation of the differences. If the use of Select Agents was proposed in the previous submission but has not been approved by regulatory authorities, provide an explanation. If studies involving Select Agents are planned and were not part of the originally proposed research design, provide a description of the proposed use, possession, transfer, and research location as described in the competing application instructions.

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Section G - Special Reporting Information

G.5 Human Subjects Education Requirement.

Are there personnel on this project who are or will be newly involved in the design or conduct of human subjects research?

If yes, provide the following:

· names of individuals,

· title of the human subjects education program completed by each individual, and

· a one-sentence description of the program.

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Non-SNAP Preparation (Paper Submission)

Instruction

Refer to the RPPR User Guide for delegation of authority, selecting/routing/recalling of the report, RPPR/Non-SNAP tab section requirements, and password change instructions (link located in the NIH Resources section on the right column of this page).
Refer to the 2590 Non-Competing Grant Progress Report Instructions and Forms for continuation report content guidance (link located in the NIH Resources section on the right column of this page).

Basics

Progress reports under RPPR are due 60 days prior to the next grant year budget period start date.
Institutional Review Board (IRB) and Institutional Animal Care and Use Committee (IACUC) assurance approvals will need to remain active as applicable to human subject and vertebrate animal involvement.
When there is human subject involvement, CITI certifications will need to be maintained and attached in the SPS record Internal Documentation to demonstrate active training compliance for all personnel working with human subjects on the grant.
Progress reports for Multi-year Funded (MYF) awards have unique content and deadline requirements for submission through eRA Commons. Refer to NIH Instructions for Progress Reports for MYF awards for further details (link located in the NIH Resources section on the right column of this page).

Research Subject - Human Subject and Vertebrate Animal use should reflect accurate activity.

The Human Subject Ethics Language represented below should be inserted into the Human Subject Education text box when human subjects are involved.

[Insert as a list all the names of personnel who have CITI certification and will be working with human subjects on the project here]

Duke Medicine has adopted the Collaborative Institutional Training Initiative (CITI) biomedical modules for certification in Human Subject Protection Training. All Duke Medicine personnel who participate in the conduct of research with human subjects fulfill this training requirement. In addition, all Duke Medicine staff involved in the review, approval, or oversight of research involving human subjects completes this training. The training meets the October 1, 2000 National Institutes of Health requirements for education and training in the protection of human subjects.

Additional information is available from the Clinical Research Support Office.

SNAP Questions -

Question 1: Other Support answer determination is dependent on Duke Key personnel project activity. Answer Yes when a Duke key individual has a change in activity by either a previously active project terminate and / or a pending project become awarded since the last reporting year cycle. A SPOC approved Other Support (Active support ONLY) document will need to be provided when the answer is Yes. Please remember this question does not address effort changes.
Question 2:
Question 3: Unobligated balance greater than 25% of the current year's total approved budget (including carryover) will need to be determined by a two part analysis of reviewing the current balance in SAP and the burn rate of planned encumbrances on the project up to the current budget year end date. Refer to the unobligated balance worksheet in the Duke Guidance Documents section of this page for SAP balance assistance.
- If the balance > 25%, but less than 50%, please provide the unobligated amount and explain the plans for expending the balance.
- When a current > 25% balance has planned costs that will be encumbered before the start of the next budget cycle which will change the current unobligated balance to be < 25%, please indicate the current unobligated amount and provide the explanation of how the planned encumbrances will bring down the balance NIH will view in the Payment Management System which demonstrates how much support has been drawn down.
- If the balance is > 50%, please provide the following information:

a) Amount of funds that remain unobligated

b) Justify why the unobligated balance has not been spent

c) Provide a detailed justification of the plans intended to expend the funds

d) Provide a detailed budget of the current year's remaining funds along with a detailed budget for the upcoming year's allocation from the NoA Spreadsheet Summary with import into the report by Upload Science tab Other File field.

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Science

Progress report summary should not exceed two pages with content following the guidelines stated in the PHS 2590 Non-Competing Grant Progress Report Instructions (link located in the NIH Resources section on the right column of this page).
If grant is ARRA funded, please ensure PI has included an ARRA progress report within the main progress report summary.
List publications that have been downloaded into My Bibliography within the My NCBI database when they are relevant to the grant. Refer to the My NCBI web resources for further assistance with the My NCBI database (links are located in the NIH Resources section on the right column of this page).

All Personnel Report

All Personnel - Effort listed should reflect the elve worked in the current grant year budget period.

1. Please ensure the PI's effort is listed on the report regardless of level of effort. All personnel should be listed when their effort is at least 1.0 calendar months (8.3% effort) regardless of salary support.

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SPS Guidance

The SPS record will need to be completed and routed to the Pending Central Approval (PCA) state for ORA receipt 7 business days prior to the RPPRreport 15th of the month deadline. Data entry of the SPS record does not populate the eRA Commons RPPR module for report development. Therefore, each system will need separate and complete entry of the progress report details. As part of the ORA review, data represented in the SPS record will need to MATCH the RPPR/SNAP report information provided in the module of eRA Commons. Refer to the Checklist for Non-Competing RPPR Report in the Duke Guidance Documents section for further SPS instruction.

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Submission Process

SPS record at PCA state for ORA receipt must occur 7 business days prior to the 15th of the month RPPR report deadline which includes SPOC approved Other Support documents attached within Internal Documentation (when applicable).
RPPR report must have the following sections complete 7 business days prior to the 15th of month deadline:

Cover Page
Products
Participants
Impact
Changes
Special Reporting Requirements

ORA will review the SPS record and the RPPR report in DRAFT state with the above administrative sections complete. ORA will complete the ORA certification of Other Support documents at this stage and will import approved compiled documents into the RPPR report once report is routed to ORA. ORA will not be held liable for any changes made to the administrative sections after the time of this review when the report is routed with the included completed Accomplishments section.

Accomplishments section must be at a Complete state (Progress Report File field must contain FINAL progress report summary) and routed to the appropriate / assigned ORA Grants Specialist 3 business days prior to the 15th of the month deadline. The RPPR report will be submitted through the ORA office without additional review via the eRA Commons system.

Example for determining 7 business day calculation to meet ORA submission guideline:

NIH June 15th deadline

ORA 7 business day timeline would fall on June 6th by 8:00 a.m. for SPS record to be completely routed to the Pending Central Approval (PCA) in order to avoid requesting a grant proposal submission waiver. Please note: The Show History screen within SPS indicates which user is reviewing the record for approval. When record is routed to a Pending Non-Central Approval (PNCA) reviewer, the record will remain in that Non-Central reviewer's in-box for two days and will auto advance if no action is applied to the record in that time frame.

Sunday	Monday	Tuesday	Wednesday	Thursday	Friday	Saturday
3	4	5	6	7	8	9
10	11	12	13	14	15	16

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Progress Report Planning

Departments and PIs may run an eRA Commons Progress Report Query for Duke University which will produce a list of progress reports that are indicated as "due" within the next 4 months. Refer to the 2590 Non-Competing Grant Progress Report Instructions and Forms (link located in the NIH Resources section on the right column of this page) for the link to perform this query named "Progress Report Due Dates - By IPF Number." The Institutional Profile File (IPF) Number is the unique number NIH utilizes for tracking and reporting of grant awards to grantee organizations. Duke University's IPF Number is 2221101.

Please note: Any project record indicating Yes to "SNAP" is actually due on the 15th of the month instead of the 1st as shown in the query results.
The query does not demonstrate Multi-year Funded (MYF) awards. Refer to NIH Instructions for Progress Reports for MYF awards for further details (link located in the NIH Resources section on the right column of this page).

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