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From: Christine M. Ashdown
Sent: Monday, April 15, 2013 12:47 PM
Subject: NIH Public Access Policy and Research Performance Progress Reports

Good afternoon,

NIH has released a few related updates that address new requirements for Progress Reports and the Public Access Policy. Summaries of the changes are provided below, along with the links to the full Notices. As is always the case, should you have any questions about these changes or are experiencing any difficulties, please contact your OSP Grant & Contract Officer.

Since 2008, compliance with the NIH public access policy has been a requirement and a term and condition of all grant awards and cooperative agreements. NIH and its awardees have developed increasingly effective ways to track and report compliance with the public access policy. However, there is a need to improve grantee compliance.

For non-competing continuation grant awards with a start date of July 1, 2013 or beyond NIH will delay processing of an award if publications arising from it are not in compliance with the NIH public access policy. In addition, Investigators are required to use My NCBI to enter papers into progress reports. This change takes effect in tandem with NIH requiring the use of the Research Performance Progress Report (RPPRs) for all Streamlined Non-competing Award Process (SNAP) and Fellowship awards (see NIH NOT-OD-12-142). The RPPR requires grantees to report publications using a Commons linked My NCBI account. The RPPR publication section (C.1) is pre-populated with the PD/PI’s publications from My NCBI and the PD/PI simply checks the publications to be associated with that progress report.

Submitting an RPPR with a non-compliant publication will generate an automated email notifying the grantee that the progress report includes citations that are out of compliance with the public access policy and requesting a response by a specified due date two weeks prior to the next budget start date. The non-competing continuation award will be delayed until a reply to the e-notification is received from the grantee with evidence of compliance or a satisfactory explanation (e.g., the sole author has passed away before they were able to process the manuscript for posting to PubMed Central). Grantees can respond via a Progress Report Additional Materials (PRAM) link rather than by email. The link provides a text box in which the grantee may respond through the eRA Commons. The grantee will be able to view the PRAM submission in the grant folder. Grantees using email must respond to the Grants Management Specialist and Program Officer.

Procedural Change for Paper Progress Reports (PHS 2590)

If, however, you are submitting paper PHS 2590 progress reports you will be required to provide a My NCBI generated PDF list of publications as part of the progress report. These PDF reports will be required at the time the Research Performance Progress Report (RPPR) is required for all Streamlined Non-Competing Award Process (SNAP) and Fellowship awards, (see NIH NOT-OD-12-142).

The new My NCBI PDF report will serve as publications Section 2.2.6, Section E. Publications, of the PHS 2590. This PDF will standardize reporting of publications to NIH, facilitate grantee reporting by providing a computer generated publication list, and enhance compliance by clearly indicating the applicability of the public access policy and compliance status of each reported paper. If a publication is not compliant with the public access policy, NIH staff will email the PD/PI and business official to inform them that the award will be delayed until a reply to the email is received with evidence of compliance or a satisfactory explanation (e.g., the sole author has passed away before they were able to process the manuscript for posting to PubMed Central).

Reminders Regarding Completeness and Accuracy of Progress Reports

1) PD/PIs submitting an application, proposal or report to the NIH are required to include the PMC reference number (PMCID) or appropriate substitute every time a paper that falls under the public access policy is cited that they authored or that arose from their NIH-funded research. Listing one of these publications anywhere in a progress report without an appropriate identifier is not consistent with the requirements of the public access policy. Using My NCBI to report publications guarantees that the correct identifier is reported accurately, and the public access compliance status is clearly conveyed.

2) Grantees are reminded to only report publications in the relevant section of the progress report (Section 2.2.6 Section E of the PHS 2590 and section C.1 of the RPPR). Publications
listed in other sections of the report will not be recorded as productivity arising from the award in NIH systems (e.g., RePORT).

3) Grantees must report all publications arising from their award during the reporting period regardless of the public access status of the publication. Grantees are reminded that they certify the completeness and accuracy of the information in their progress reports when it is submitted to NIH.

NIH advises PD/PIs to use their My NCBI account to track compliance for their publications now, and to ensure all publications arising from their awards are posted to PubMed Central in accordance with the policy. For information on how to use My NCBI for public access compliance tracking, see:

Get Started with My NCBI: Access My NCBI, Register, and Sign In

Manage Compliance with the NIH Public Access Policy in My NCBI

Use a Delegate to help manage your My NCBI account and public access compliance

Using My NCBI to associate your papers with your PD/PI’s award

NIH has made changes to My NCBI to improve the workflow and communication between PD/PIs and non-PD/PI authors. It is now easier for PD/PIs to track compliance of all papers arising from their awards, even if they do not author those papers. (See for details).

Related Notices:

NOT-OD-13-042 Changes to Public Access Policy Compliance Efforts Apply to All Awards with Anticipated
Start Dates on or after July 1, 2013

NOT-OD-13-035 NIH Requires Use of RPPR for All SNAP and Fellowship Progress
Reports, and Expands RPPR Functionality

NOT-OD-12-160 Upcoming Changes to Public Access Policy Reporting Requirements and
Related NIH Efforts to Enhance Compliance



Christine M. Ashdown
Sr. Grant & Contract Officer
Office of Sponsored Programs
373 Pine Tree Road
Cornell University
Ithaca, NY 14850
Phone: 607-255-3843
Fax: 607-255-5058