PHS Research Performance Progress Report and Other Post-award Reporting (OD)

Forms and Documents

Document Name	Status
Form 28 PHS 416-7 Form and Instruction	Modified
Form 21 Trainee Diversity Report (part of Final RPPR) Form	Unchanged
Form 13 Data Tables (Part of Final RPPR) Form and Instruction	Modified
Form 23 PHS Human Subjects and Clinical Trial Information (Part of Final RPPR, includes inclusion/enrollment) Form and Instruction	Modified
Form 13 Final RPPR - Core Data Form and Instruction	Modified
Form 22 PHS Human Subjects and Clinical Trial Information (Part of RPPR, includes inclusion enrollment report) Form and Instruction	Modified
Form 27 SBIR/STTR Life Cycle Certification Form and Instruction	Modified
Form 26 SBIR/STTR Phase II Final Progress Report Form and Instruction	Unchanged
Form 25 Final Progress Report Form and Instruction	Removed
Form 21 Trainee Diversity Report (part of RPPR) Form and Instruction	Unchanged
Form 20 PHS 374 Form and Instruction	Unchanged
Form 19 Publication Reporting Form and Instruction	Modified
Form 18 Data Tables (Part of RPPR) Form and Instruction	Modified
Form 13 Biosketch (part of RPPR) Form	Unchanged
Form 17 RPPR Core Data Form	Modified
Form 14 PHS 2590 Form	Unchanged
Form 9 PHS 2271 Form	Modified
Form 4 iEdison Form and Instruction	Unchanged
Form 3 PHS 568 Form and Instruction	Unchanged
Form 2 PHS 6031-1 Form and Instruction	Unchanged
Supporting Statement A for 0925-0002 revised February.docx Supporting Statement A	2020-02-05
30-day 0002.pdf Supplementary Document	2019-12-30
Attachment 23 0002 60-day Comment Tracking Log FINAL.doc Supplementary Document	2019-12-27
Attachment 22 HHS Approved PIA - Electronic Research Administration 7152019.docx Supplementary Document	2019-12-27
Attachment 1 Former, Revised, and New Content of Information Collections.docx Supplementary Document	2017-01-25
Attachment 21 Prior Approval Screen Shots.docx Supplementary Document	2017-01-25
Attachment 2 CFDA.xlsx Supplementary Document	2017-01-25

IC Document Collections

IC ID	Document Title	Status
225309	PHS 416-7 Form and Instruction	Modified
225128	Trainee Diversity Report (part of Final RPPR) Form	Unchanged
225116	Data Tables (Part of Final RPPR) Form and Instruction	Modified
225115	PHS Human Subjects and Clinical Trial Information (Part of Final RPPR, includes inclusion/enrollment) Form and Instruction	Modified
225114	Final RPPR - Core Data Form and Instruction	Modified
225112	PHS Human Subjects and Clinical Trial Information (Part of RPPR, includes inclusion enrollment report) Form and Instruction	Modified
217452	SBIR/STTR Life Cycle Certification Form and Instruction	Modified
217451	SBIR/STTR Phase II Final Progress Report Form and Instruction	Unchanged
217450	Final Progress Report Form and Instruction	Removed
217449	Trainee Diversity Report (part of RPPR) Form and Instruction	Unchanged
217440	PHS 374 Form and Instruction	Unchanged
217439	Publication Reporting Form and Instruction	Modified
217430	Data Tables (Part of RPPR) Form and Instruction	Modified
217420	Biosketch (part of RPPR) Form	Unchanged
217419	RPPR Core Data Form	Modified
217418	PHS 2590 Form	Unchanged
217417	PHS 2271 Form	Modified
217416	iEdison Form and Instruction	Unchanged
217415	PHS 568 Form and Instruction	Unchanged
217413	PHS 6031-1 Form and Instruction	Unchanged

ICR Details

OMB Control No: 0925-0002	ICR Reference No: 201912-0925-004
Status: Historical Active	Previous ICR Reference No: 201708-0925-003
Agency/Subagency: HHS/NIH	Agency Tracking No: 20860
Title: PHS Research Performance Progress Report and Other Post-award Reporting (OD)
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved with change	Conclusion Date: 02/07/2020
	Date Received in OIRA: 12/31/2019
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	02/28/2023	36 Months From Approved	03/31/2020
Responses	413,029	0	220,983
Time Burden (Hours)	533,579	0	519,408
Cost Burden (Dollars)	0	0	0

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Abstract: Since the last OMB approval, NIH has worked on enhancing the reporting requirements on new policies through the RPPR, which are necessary to continue enhancing the quality of basic and preclinical research, as well as NIH-funded clinical trials. The National Institutes of Health (NIH) and other Public Health Service (PHS) grantees are required to submit interim and final progress reports and other post-award documents associated with the monitoring, oversight, and closeout of an award. This 0925-0002 revision submission represents a collection of post-award reporting requirements previously collected under 0925-0002. Pre-award reporting requirements are simultaneously consolidated under 0925–0001 (expiration March 31, 2020 ) and the changes to the collection here are related. These updates fully implement the final and interim RPPR, and make updates to align with system enhancements and changes to key policies, including the requirement to submit SBIR/STTR Life Cycle Certification forms.

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Authorizing Statute(s): US Code: 42 USC 288 Name of Law: National Research Act
  

Citations for New Statutory Requirements: None

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Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 14958	04/12/2019
30-day Notice:	Federal Register Citation:	Citation Date:
	84 FR 71965	12/30/2019
Did the Agency receive public comments on this ICR? Yes

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Number of Information Collection (IC) in this ICR: 19

IC Title	Form No.	Form Name
PHS 568	3	HHS 568
Final RPPR - Core Data	13	Research Performance Progress Report (RPPR) and Final RPPR
Data Tables (Part of RPPR)	18	Introducation to the Data Tables
Publication Reporting	19	Attachment 11 MY BIB screenshot
PHS 374	20	Attachment 18 PHS 374
Data Tables (Part of Final RPPR)	13	Research Performance Progress Report (RPPR) and Final RPPR
Trainee Diversity Report (part of RPPR)	21	Attachment 7 Trainee Diversity Report
iEdison	4, 5, 6, 7, 8	iEdison Burden Statement ,   iEdison Screen Shot Manage Utilization Report ,   iEdison screen shot Invention Disclosure Report ,   iEdison screen shot Patent Record ,   iEdison screen shot Registration Request Form
PHS 2271	10, 9	PHS 2271 ,   Post-Award eRA Commons Screen Shots
PHS 2590	11, 16, 14, 12, 15, 13	Fellowship Applicant Biographical Sketch Format Page ,   Fellowship Applicant Biographical Sketch Postdoctoral Sample ,   Fellowship Applicant Biographical Sketch Predoctoral Sample ,   PHS 2590 Forms ,   Trainee Diversity Report ,   General Biographical Sketch Format Page
Biosketch (part of RPPR)	14, 13	General Biographical Sketch Format Page ,   Fellowship Applicant Biographical Sketch Format Page
SBIR/STTR Phase II Final Progress Report	26	Final Progress Report
SBIR/STTR Life Cycle Certification	28, 27	SBIR Life Cycle Certification ,   STTR Life Cycle Certification
PHS 6031-1	2	PHS 6031-1
Trainee Diversity Report (part of Final RPPR)	21	Trainee Diversity Report
PHS Human Subjects and Clinical Trial Information (Part of RPPR, includes inclusion enrollment report)	24, 22, 23	Landing Page ,   HSCT Sections 1-6 ,   Inclusion Enrollment Report
PHS Human Subjects and Clinical Trial Information (Part of Final RPPR, includes inclusion/enrollment)	23, 24, 22	PHS Human Subjects and Clinical Trial Information- Inclusion Enrollment Report ,   PHS Human Subjects and Clinical Trial Information Sections 1-6 ,   PHS Human Subjects and Clinical Trial Information Landing Page
PHS 416-7	1, 28	Post Award eRA Commons Screen Shots xTrain, xTRACT ,   National Research Service Award Termination Notice
RPPR Core Data	17	Research Performance Progress Report (RPPR) and Final RPPR Screenshots
Final Progress Report	25	Attachment 17 Final Progress Report

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ICR Summary of Burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	413,029	220,983	0	194,046	-2,000	0
Annual Time Burden (Hours)	533,579	519,408	0	16,171	-2,000	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement: In the burden table the frequency for Publication Reporting was being calculated as 1 instead of 3 in previous submissions, as well as in the current submission. A decrease of 2,000 burden hours is due to the Final Progress Report no longer being accepted. Overall, the burden hour estimates for other PHS forms did not change.

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Annual Cost to Federal Government: $222,054

Does this IC contain surveys, censuses, or employ statistical methods? No

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     Yes

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     Yes

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

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Common Form ICR:  No

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On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 12/31/2019

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