February 6, 2013Feature Articles
- Answer the Call for Applications on Latent TB Infections in the Context of HIV Coinfections
- FOA Focuses on Immune Response to Virus Infection
- SHIFT SBIR Appeals to the Academic- and Business-Minded
- Resource Spotlight: National and Regional Biocontainment Laboratories
- New Reauthorization Act Provisions Affect SBIR and STTR Omnibus Funding Opportunities
- Volunteers Still Needed for Newsletter Focus Group
- Check Software Compatibility Before You Apply
- Reader Questions
There's more to the announcement—see the November 16, 2012, Guide notice—but read on here for additional information and advice on how to avoid public access problems with your progress report so you don't run into any delays.
Compliance: the Big Picture
Under the public access policy, you must submit to PubMed Central (PMC) final peer-reviewed journal manuscripts that arise from NIH funds upon acceptance for publication.
In your progress report, you have to demonstrate compliance with the policy for all applicable papers (see Determine Applicability) by including a PubMed Central identification number (PMCID) or other identifier at the end of full citations.
You can create citations manually using the following process, but we suggest generating citations with My NCBI, a feature we talk about in a section below.
Note: submission methods refer to four ways you can submit papers to PMC. See NIH's Submission Methods.
- For published papers, include the PMCID at the end of full citations.
- For papers in press in Submission Method A or B journals, indicate “PMC Journal - In Process."
- For papers in press in Submission Method C or D journals, provide the NIH Manuscript Submission reference number (e.g., NIHMSID97531) at the end of the citation.
Think About Compliance Early On
We encourage you to ensure compliance well before your annual reports are due. That means 1) ensuring all publications arising from your awards are posted to PubMed Central and 2) using your My NCBI account to track compliance for publications.
Posting to PMC
Starting as early as when you plan to submit papers for publication, think about how they will reach PubMed Central. At that point, consider the following:
- How will your paper be submitted to PMC?
- What version of the paper, e.g., final published article, final peer-reviewed manuscript, will be made available on PMC?
- Who will submit the paper?
- When will it be submitted?
- Who will approve the submission?
- When can the paper be made public on PMC?
Familiarizing yourself with My NCBI
Whether you use the Research Performance Progress Report (RPPR) or paper PHS 2590 progress report, you'll have to use My NCBI. Start using this feature now to avoid delays in progress report submissions.
My NCBI is an easy way to track compliance and identifiers as well as ensure your citations are in the correct format. It can also help you save time.
When authors link a paper to your grant in My NCBI, it will show up as a suggestion in your My NCBI account to help you track and report the paper. This can be particularly helpful when you do not author all papers arising from your award. It also helps you monitor whether a paper was wrongly affiliated with your award, so the error can be corrected in a timely manner. You can also delegate My NCBI tasks.
For paper progress reports, NIH recently introduced a My NCBI feature that generates a PDF report of publications; see the January 10, 2013, Guide notice. As it states there, the PDF report will be mandatory later this year, so you may want to check out the new feature sooner rather than later. Since paper progress reports are often used for complex applications where there are numerous papers, start ensuring papers are in My NCBI now.
To acquaint yourself with My NCBI, see My NCBI and My Bibliography Training Materials on the Training/Communications page of NIH's Public Access site. And learn about My NCBI's role in Managing Compliance to the NIH Public Access Policy. For additional information on reporting publications in the RPPR, see Frequently Asked Questions.
Answers to Your Compliance Questions
You may find the Q&As below helpful. For others, see our Copyright and Publication for Grantees questions and answers and NIH's Frequently Asked Questions About the NIH Public Access Policy.
Can I include manuscripts submitted for publication in my progress report?
No, not in the publications section. The publications section should include only manuscripts accepted for publication or published that directly arise from the award.
Can I include manuscripts accepted for publication in my progress report?
Yes, provided that they are directly supported by the award. If you use My NCBI to complete an RPPR or to generate the publication section of your PHS 2590, you do not need to worry about public access citation formats; My NCBI will format citations for you.
If you want to report publications manually, follow the guidance at Include PMCID in Citations on NIH's Public Access site.
Is a PubMed identifier (PMID) the same as a PCMID?
No. The PMCID links to full-text papers in PubMed Central (an index of full-text papers), while the PMID links to abstracts in PubMed (an index of abstracts). PMIDs have nothing to do with the NIH public access policy.
How do I know which submission method my journal uses?
You can enter the journal's name in the box "How do I submit my paper to PMC?" that's on the right side of the NIH Public Access site. However, this tool provides only general details and, for example, does not ensure that a publisher will post the version you want upon acceptance for publication.
Remember that what authors are allowed to do and what the publisher will do are specified in the publication agreement between the authors and publisher. We encourage you to understand how a publication agreement will affect how you comply with the public access policy before you sign it.
Is there a way that staff in my institution's office of sponsored research can track compliance of publications?
Yes. They can use the new Public Access Compliance Monitor, which NIH unveiled last month. See the January 9, 2013, Guide notice.
If I have a paper that is out of compliance, why don’t I just leave it off my progress report?
You would be noncompliant with the terms and conditions of award and putting you and your institution at risk. Both the RPPR and PHS 2590 include statements that describe the consequences of not completely and accurately reporting information.
From the PHS 2590:
I certify that the statements herein are true, complete and accurate to the best of my knowledge, and accept the obligation to comply with Public Health Service terms and conditions if a grant is awarded as a result of this application. I am aware that any false, fictitious, or fraudulent statements or claims may subject me to criminal, civil, or administrative penalties.The RPPR includes similar language:
… Deliberate withholding, falsification, or misrepresentation of information could result in administrative actions such as withdrawal of a progress report, suspension and/or termination of an award, debarment of individuals, as well as possible criminal penalties. The grantee institution may be liable for the reimbursement of funds associated with any inappropriate or fraudulent conduct of the project activity.
This R01 FOA will support studies that may lead to new assays and strategies to detect and quantitate latent Mycobacterium tuberculosis (MTB), predict or identify early reactivation, characterize drug resistance of latently infecting mycobacteria, and develop therapeutics (including immune-based therapy) to rapidly and effectively eradicate latent MTB organisms in the context of HIV coinfection.
Here are a few of the research areas we're interested in; see the December 20, 2012, Guide notice for others.
- Fundamental and translational preclinical studies of LTBI that address development, maintenance, reactivation, and improved characterization of latent MTB in the setting of HIV coinfection.
- Identifying and characterizing host factors (e.g., genetic and immunologic predispositions) responsible for developing persistence states and subsequent reactivation.
- New molecular/genetic approaches combined with computational methodologies to identify and develop predictive microbiologic or immunologic biomarkers for latent infection in humans to determine risk of reactivation, presence of very early reactivation, and adequacy of therapeutic response, including for infection with drug-resistant strains.
You may find what you need on the following pages:
- TB Services for Researchers
- Microbiology and Infectious Diseases Resources
- NIAID Resources for Researchers
The FOA renews NIAID's IMVC program, which has two primary goals: 1) discover and define novel basic immune mechanisms that provide a better understanding of the immune response to virus infection and 2) provide potential new targets for future vaccine and therapeutic drug development.
Consider applying if your project can help meet these goals and you want to take part in a network of research teams studying viruses of interest to the program. For those, see the list of NIAID Emerging and Re-Emerging Diseases.
For complete details, including what other viruses may be used, topics of interest, and requirements for your multiproject application, read the December 12, 2012, Guide notice. The application due date is April 16, 2013.
Companies get research dollars, expertise, and potentially, collaborators and resources. Academics benefit from a sustained period of support in a new environment and the opportunity to be a PI on an SBIR grant.
How Does SHIFT Work?
Academic investigators move to a company to use their research skills to develop products and their grant-writing skills to prepare grant applications. Companies apply for SHIFT SBIR funding, hiring academic investigators to serve as PIs.
If you’re interested, check that you meet small business requirements for this funding opportunity. Read the March 5, 2010, Guide announcement for details and pay special attention to Section III. Eligibility Information before you start writing an application.
Though several NIH institutes no longer support the program, we still participate.
Our Site Connects Businesses and PIs
If you're an academic investigator at any level—e.g., senior postdoc, research associate, faculty—find a company that is a good match for your skills or start your own company.
Keep in mind that your application must demonstrate extensive research knowledge and solid credentials, e.g., publications (including those "in press") or patents in the topic area you propose.
These SBIR awards do not affect your new investigator status and you do not benefit from being new when applying; neither do you lose your status if you get this award.
To help companies and academics find each other, we have a Web site that lets investigators list their proposed research projects and expertise and lets companies post their research interests.
Go to SHIFT Connector: Bringing Business Jobs to Academic Investigators, and follow the instructions on the page. It's open to all, regardless of scientific area or relevant institute.
Applicants are encouraged to contact program staff to determine whether their ideas fit NIAID’s areas of interest. For additional details, see the Small Business Awards Web site.
NBLs and RBLS provide BSL-4/3/2 and BSL-3/2 biocontainment facilities, respectively, for research on biodefense and emerging infectious diseases.
These labs are also available and prepared to assist national, state, and local public health efforts in the event of a bioterrorism or infectious disease emergency.
Investigators in academia, not-for-profit organizations, industry, and government studying biodefense and emerging infectious diseases may request the use of these biocontainment laboratories.
For site locations and contact information, go to Current National Biocontainment Laboratories (NBL) and Regional Biocontainment Laboratories (RBL).
Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) Omnibus funding opportunity announcements (FOAs), which contain some new provisions from the SBIR/STTR Reauthorization Act of 2011. These are outlined in a January 24, 2013, Guide notice.
We want to alert you to the provisions that are in the current FOAs and outline for you what the current FOAs do not allow.
New provisions the Omnibus FOAs DO allow:
- New award budget language implementing new award guidelines, maximum award size, and a waiver process to exceed the statutory award amount and project period written in the reauthorization.
- Applicants can subcontract with a federal laboratory without needing a Small Business Administration (SBA) waiver.
- Applicants can request up to $5,000 to obtain their own technical assistance vendor. If they do make a request, however, they cannot qualify for NIH’s Technical Assistance Programs.
- Applicants cannot apply for Phase II SBIR funding based on a Phase I STTR award, or conversely a Phase II STTR based on a Phase I SBIR award. Similarly, applicants cannot apply for a Phase IIB SBIR or STTR based on a Phase II STTR or SBIR award, respectively.
- Applicants cannot skip Phase I and apply directly for a Phase II SBIR award. NIH is updating its electronic systems and forms to allow applicants to apply for a Direct Phase II SBIR award and will pilot this provision by issuing targeted FOAs.
- Currently, small businesses that are majority-owned by multiple venture capital operating companies, hedge funds, or private equity firms cannot apply to the HHS SBIR program.
The Department of Health and Human Services also intends to revise, amend, or reissue these Omnibus FOAs in mid-2013 as it implements additional reauthorization provisions. As NIH receives guidance from SBA, and once NIH updates its electronic systems, forms, and application instructions, it will implement these provisions.
The input we receive from this focus group will help determine how—and if—we should change the way we present, distribute, and select topics for this newsletter.
Email us at firstname.lastname@example.org to volunteer.
Read more in our November 28, 2012, article "Put Our Newsletter in Focus—Join Our Focus Group."
- Adobe Software Version Compatibility—to confirm you have the correct version of Adobe Reader.
- Download Software page—to verify that your forms and computer are compatible with Grants.gov, and also get whatever missing software or updates you need.
- General FAQs—for answers to your software-related questions.
For more information, read the following sections of NIAID's Strategy for NIH Funding:
Feel free to send us a question at email@example.com. After responding to you, we may include your question in the newsletter, incorporate it into the NIAID Research Funding site, or both.
"Is there a limit on the percentage of my salary that can come from my R01 grant?"—anonymous reader
No. As long as your salary does not exceed NIH's cap, all of your salary can come from your R01. See PI Salary Cap and Stipends for salary limits.
You should base your salary request on your actual salary, making sure it does not exceed the time and effort you are devoting to the research. Your effort cannot be more than 100 percent. Use the formulas on NIH's Usage of Person Months questions and answers.
"Are H-1B visa holders eligible to apply for R01s and R03s, or is it necessary to have a residency card?"—anonymous reader
Investigators who have an H-1B visa are eligible, but the visa must allow them to stay in the U.S. long enough to complete their projects. The sponsoring applicant institution is responsible for ensuring that the PI has an appropriate visa.
For more information, see the Foreign Workers on NIH Awards SOP as well as Part 1. Qualify for NIH Funding in the Strategy for NIH Funding.
- BAA-NIAID-DAIDS-NIHAI2012151, Staged Vaccine Development
- PA-13-089, PHS 2013-02 Omnibus Solicitation for Small Business Technology Transfer Grant Applications (Parent STTR)
- PA-13-088, PHS 2013-02 Omnibus Solicitation for Small Business Innovation Research Grant Applications (Parent SBIR)