Research OSPA:Progress Report Process

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Progress Report Process

Effective Date

September 1, 2013

Statement of the Issue

Progress reports are required annually to document grantee accomplishments and compliance with terms of award. They describe scientific progress, identify significant changes, report on personnel, and describe plans for the subsequent budget period or year.

Applicable Policy/Regulation

A. OMB Uniform Guidance (UG) 2 CFR 200.328 - Monitoring and Reporting Program Performance) a. The non-federal entity is responsible for oversight of the operations of the federal award supported activities. The non-federal entity must monitor its activities under federal awards to assure compliance with applicable federal requirements and performance expectations are being achieved. Monitoring by the non-federal entity must cover each program, function, or activity. See also 200.331 Requirements for pass-through entities. B. OMB Government Performance and Results Act of 1993 (GPRA) a. http://www.whitehouse.gov/omb/mgmt-gpra/gplaw2m C. OMB Government Performance and Results Modernization Act of 2010 a. http://www.whitehouse.gov/omb/performance/gprm-act D. Research Performance Progress Report (RPPR) Website a. http://www.nsf.gov/bfa/dias/policy/rppr/index.jsp

Process

A. Principal Investigators (PI) are responsible for knowing the deadlines for reports. Some sponsors, (e.g. National Science Foundation), email PI’s reminders of both the progress and final reports in advance of the deadline. If a report is overdue, an email reminder is sent to both the PI and the Office of Sponsored Projects (OSP) office. The Grants Specialist will follow-up with PIs to ensure timely submission.

B. PIs are responsible for the preparation and submission of their progress reports, unless it requires the institutional Authorized Organizational Representative (AOR) in the approval and submission process.

    • Elements of a progress report** – the content of a progress report will vary by sponsor. Be sure to review the award document detailing the content requirements.

A. NSF awardees will address the following topics in their progress reports: Accomplishments, Products, Participants, Impacts, Changes/Problems, and Special Requirements

B. NIH awardees will address the following topics in their progress reports: Specific Aims, Studies and Results, Significance, Plans, Publications, Project-Generated Resources (if applicable), Regulatory requirements, Assurances/Certifications, and All Personnel Report

C. DoD awardees require the use of a specific template/format in their annual progress reports: Introduction, Keywords, Overall Project Summary, Key Research Components, Conclusion, Publication, Abstracts, Presentations, Inventions, Patents, Licenses, Reportable Outcomes, Other Achievements, References, and Appendices (e.g. journal articles, reprints of manuscripts and abstracts, CV, patent applications, study questionnaires, and surveys, etc.)

D. DoD quarterly technical reports have a different template/format and will need to address the following topics: Project Status (accomplishments, reportable outcomes, progress detail), Future Plans, Problems/Issues, Financial Health, Personnel Effort, Protocol, and Activity Status

E. NASA awardees will address the following topics in their progress reports:

     a.	Accomplishments: Start by reminding us what are the major goals and objectives of the project and what did you achieve towards those goals? At first the emphasis will be on reporting activities but as the project progresses you will be reporting specific accomplishments. For example, describe major activities; significant results, major findings, developments, or conclusions (both positive and negative); and key outcomes or other achievements. Include a discussion of stated goals not met.      b.	How have the results been disseminated: For example, a list of publications that have appeared as a result of the award. All publications should acknowledge NASA support, including the name of the program, and the grant number(s).      c.	Future plans: If this is not your final report, what are you planning to do next? Is it different than what was in the original proposal?

F. CPRIT (non-federal) awardees will address the following topics in their progress reports: Major Findings/Progress, Summary of Goals, Publications, Patents (if applicable), and Economic Impact

Deadline

A. Annual progress report submission deadlines vary by sponsors: a. NSF – due 90 days prior to the end of the current budget period b. NIH – due the 15th day of the month preceding the month in which the current budget period ends c. NIH non-SNAP – due date is receipt of the progress report 60 days preceding the month in which the current budget period ends d. DoD – due 30 days after the reporting period end date e. NASA – due 60 days before the anniversary date of the grant f. CPRIT – due within 60 days of the anniversary of the effective date of the contract B. Final technical, project outcomes, and invention reports are usually due 90 days after the project period end date

  • Other Considerations:**

A. Submission portals vary by sponsors. These are the most common submission portals: a. NSF – Research.gov b. NIH – eRA Commons - https://commons.era.nih.gov/ c. DoD/Army – Extranet.aro.army.mil d. NASA – either email submission to NSSC-Grant-Report@mail.nasa.gov or upload via the Taskbook portal (award document will detail which method to use) e. CPRIT (non-federal) – CPRIT Grants Management System - https://cpritgrants.org/ B. Failure to submit a progress report in a timely manner can delay receipt of the non-competing continuation award for the subsequent year of the project

C. Late or missing final technical reports can trigger project-based audits, system-wide audit findings, and can also result in the University not being able to obtain payment of final invoices

D. Late reports can result in a sponsor refusing to accept proposals from the PI with a late report and can also prevent other investigators from submitting to that sponsor even if they were not primarily responsible for the report

E. Failure to submit any report at the end of a project could delay receipt of new and continuing awards from the federal agency whereby the report is delinquent for the University

F. Timely submission of reports are extremely important

Acronyms and Definitions

A. //CPRIT// - Cancer Prevention & Research Institute of Texas

B. //DoD// - Department of Defense

C. //NASA// - National Aeronautics and Space Administration

D. //NIH// - National Institutes of Health

E. //NSF// - National Science Foundation

F. //Final Technical Report// - Summarizes all work completed for the entire duration of the project

G. //Inventions Report// - Most sponsors require discoveries and inventions disclosed to them upon conception or reduction to practice. Most sponsors require invention reports at regular intervals, generally annually. Invention reports will need to be in accordance with [Intellectual Property policies].

H. //Progress Report// - Periodic, scheduled reports required by the sponsor summarizing research progress to date. Technical, fiscal, and invention reports may be required

I. //Project Outcomes Report// - This type of report is applicable to NSF Continuing Grant, Cooperative Agreement, and Standard award types. This report serves as a brief summary of the nature and outcomes of the project, prepared specifically for the public.

J. //RPPR// - The result of a mandate by OMB that federal agencies implement a federal-wide research performance progress report (RPPR) for submission of required annual or other interim performance reporting on research grant and cooperative agreement awards to standardize recipient reporting on federally-funded research projects.

K. //Uniform Guidance// - In effect December 26, 2014 and published by the federal Office of Management and Budget (OMB), this guidance supersedes and streamlines requirements from OMB Circulars A-21, A-87, A-110, and A-122; Circulars A-89, A-102, and A-133; and the guidance in Circular A-50 on Single Audit Act follow-up. This guidance provides a governmentwide framework for grants management which will be complemented by additional efforts to strengthen program outcomes through innovative and effective use of grant-making models, performance metrics, and evaluation. http://www.whitehouse.gov/omb/grants_docs