Reporting

Review information on managing various types of reports for sponsored programs.

Contents

External Reporting

Progress / Performance / Technical Reports

Progress, Performance, or Technical reports help sponsors determine eligibility for non-competing renewal/continuation funding.

These reports:

  • Document accomplishments and compliance with the terms of awards.
  • Are often required on an annual basis, though a sponsor may request them at different intervals.
  • When required annually, reports should: describe scientific progress, identify significant changes, report on personnel and plans for next budget period.

Review the award and sponsor terms & conditions to determine frequency, content, and other requirements.

Late or missing progress reports can lead to delayed funding. In most cases, funding agencies will not release incremental funding without timely submission of a progress report.

Most sponsors allow the Principal Investigator (PI) to submit their annual progress reports directly to the sponsor.

Examples:

Looking for guidance on your Final Progress Reports? Review guidance and information on Closeout Reporting.

Progress Reports and Award Modification Requests

If the sponsor allows direct submission, an Award Modification in SAGE is not required.

It is the PI’s responsibility to retain a copy within departmental files according to UW Records Retention. OSP does not need a copy.

If the sponsor does not allow a PI to submit their progress reports directly (such as USDA), you will need to submit a Modification Request in SAGE for Progress report Submission.

When do I need to create a Modification Request for a progress report?

Research Performance Progress Report (RPPR)

Most federal agencies require the PI to submit Annual, Interim and Final RPPRs for grants. Some awards allow the PI to submit their RPPR directly, while others require the PI to initiate their RPPR and route it to the Signing Official, your OSP reviewer.

Information needed to complete an RPPR:

  • Basic institutional and project identifying data
    • Signing Official (SO) field: Should list the current OSP Interim Director, Amanda Snyder or your OSP reviewer
  • Accomplishments from past activity period and goals for upcoming activity period
  • Outcomes or “products” from the activity such as technologies and publications
  • Effort of all personnel, including all collaborators
  • Impact of the project and major contributions
    • for example: to the discipline, human resources (teaching, training), public knowledge, social conditions
  • Changes to the project: delay in plans, changes in approach, compliance (animal use, human subject involvement, biohazards), other support, etc.
  • Budget information (if required)
  • If applicable: protocol for Animal Subjects or Human Subjects Enrollment data
  • When Other Support training is required by sponsors such as NIH:
    • All individuals identified or added as senior/key personnel after award must complete the Financial Conflict of Interest & Other Support Disclosure training before a Research Performance Progress Report (RPPR) is submitted. This training is tracked and visible in MyResearch Training Transcript.
    • If the PI submits an RPPR directly to a sponsor, the PI is certifying that information is accurate and will comply with sponsor terms and conditions which may include this training requirement for all senior/key personnel.
      • As a reminder, the PI retains personal responsibility and accountability for all portions of the proposal, including post-submission revisions. See GIM 1 and the UW’s Current and Pending or Other Support policy.
    • For NIH and NIH pass-through awards, OSP verifies training completion by senior/key personnel at the time an award or noncompeting continuation funding

We recommend PIs reach out to their departmental Grant / Research Administrators for help completing the RPPR or locating more details for personnel calendar months, unobligated balances etc.

Consider delegating the ASST role in eRA Commons to someone who can help initiate or complete the RPPR in eRA Commons.

NIH RPPR & Additional Materials Submission Instructions

NIH requires RPPR submission through eRA Commons.

All individuals identified or added as senior/key personnel after award must complete the Financial Conflict of Interest & Other Support Disclosure training before a Research Performance Progress Report (RPPR) is submitted. This training is tracked and visible in MyResearch Training Transcript.

If the PI submits an RPPR directly to a sponsor, the PI is certifying that information is accurate and will comply with sponsor terms and conditions which may include this training requirement for all senior/key personnel.

As a reminder, the PI retains personal responsibility and accountability for all portions of the proposal, including post-submission revisions. See GIM 1 and the UW’s Current and Pending or Other Support policy.

For NIH and NIH pass-through awards, OSP verifies training completion by senior/key personnel at the time an award or noncompeting continuation funding

Featured Resources:

Accessible Accordion

In addition to UW guidance, the NIH RPPR User Guide provides instructions from NIH that apply to the Annual, Interim, and Final RPPR.

Initiate NIH RPPR

  • Login to eRA Commons
  • Click Status tab to view a list of your grants
  • Select RPPR link from Action column
  • Click Initiate to create the RPPR for that grant. The status will be “Work in Progress”
  • Alert your departmental grant / research administrator
  • Consider delegating the ASST role to someone in your unit.
    • Use ‘Route’ for a Work in Progress RPPR so individuals delegated the ASST role can help complete it.
    • More on eRA Commons Roles at the UW.

When do I need to create a Modification Request for a progress report?

Completing the NIH RPPR

Is the award a SNAP eligible award?

How do I know if an award is SNAP eligible?

SNAP Eligible RPPRs:
  • PIs will see be able to access ‘Submit’ from the three-dot ellipsis menu after the award number on their RPPR menu within eRA Commons.
  • Review Information Needed to Complete an RPPR.
  • Fill out all fields and upload all attachments.
  • When applicable use Human Subjects System (HSS).
  • All information in the RPPR must be complete, accurate, and follow NIH guidelines.
  • No eGC1 is needed.
  • Submit the RPPR directly to NIH.
  • Retain a copy within departmental files according to UW Records Retention. OSP does not need a copy.
NON-SNAP RPPRs:

Many awards are not SNAP eligible including Training Grants (see the Training Grant specific instructions), follow these Non-SNAP RPPR instructions.

  • Alert your departmental grant / research administrator.
  • Consider delegating the ASST role to someone in your unit.
    • Use ‘Route’ button for a Work in Progress RPPR so individuals delegated ASST role can help complete.
    • More on eRA Commons Roles at the UW.
  • Review Information Needed to Complete an RPPR.
  • Fill out all fields and upload all attachments.
  • When applicable use Human Subjects System (HSS).
    • Complete HSS records & mark ‘Ready for Submission’
    • If the Submit button is active for the PI, PI submits the HSS record
    • If the Submit button is not active for the PI, twice a week (Tues & Thurs) OSP will submit all HSS records ‘Ready for Submission’.
      • Send special requests for HSS submission to osp@uw.edu.
    • Once HSS records have been submitted, you should see the HSS data within the RPPR.
    • Do not submit the RPPR until after HSS updates appear within the RPPR.
  • All information in the RPPR must be complete, accurate, and follow NIH guidelines.
  • Route the RPPR to the Signing Official (SO), your OSP reviewer, in eRA Commons.
  • Attach a PDF copy of the completed RPPR from eRA Commons on an Award Modification Request in SAGE.
  • The Modification should be ‘In OSP’ at least 5 business days before the NIH RPPR due date.
  • Review Progress Report guidance on Award Changes
Check for Errors and Warnings

Use ‘Check for Errors’ from RPPR Menu and address all errors.

Review how to address common errors and warnings in eRA Commons RPPRs (including Interim and Final RPPRs).

NIH – Tool Tip: Human Subjects System (HSS) Quick Guide for Warnings and Errors

If the award is eligible for a competing renewal, a link to initiate an Interim RPPR will be available on the eRA Commons “Status” screen. NIH requires an Interim report for the final year of a competitive segment.

An Interim RPPR must be submitted, even if:

  • The Interim RPPR is due after the start date of renewal.
  • Renewal has already been awarded.

If a renewal is funded the Interim RPPR serves as the annual RPPR for final year of previous competitive segment. If renewal is not funded the Interim RPPR becomes the Final RPPR for the project.

Completing the Interim NIH RPPR

Initiate and complete Interim RPPRs 90 days from the project end date.

When do I need to create a Modification Request for a progress report?

Is the award a SNAP eligible award?

How do I know if an award is SNAP eligible?

SNAP Eligible RPPRs:
NON-SNAP RPPRs:

Many awards are not SNAP eligible including Training Grants (see Training Grant specific instructions), follow these Non-SNAP RPPR instructions.

  • Alert your departmental grant / research administrator.
  • Consider delegating the ASST role to someone in your unit.
  • Review Information Needed to Complete an RPPR.
  • Fill out all fields and upload all attachments.
  • When applicable use Human Subjects System (HSS).
    • Complete HSS records & mark ‘Ready for Submission’.
    • If ‘Submit’ button is active for the PI, submit the HSS record.
    • If the Submit button is not active for the PI, twice a week (Tues & Thurs) OSP will submit all HSS records that are ‘Ready for Submission’.
      • Send special requests for HSS submission to osp@uw.edu.
    • Once HSS records have been submitted, you should see the HSS data within the RPPR.
    • Do not submit the RPPR until after HSS updates appear within the RPPR.
  • Within eRA Commons RPPR Menu, choose Route to Next Reviewer and select “Adelia Yee” from the Next Reviewer Drop Down
  • All information in the RPPR must be complete, accurate, and follow NIH guidelines.
  • No eGC1 is needed. Submit an Award Modification request in SAGE.
Check for Errors and Warnings

Click Check for Errors On RPPR Menu and address all errors.

Review How to address common errors and warnings in eRA Commons RPPRs (including Interim and Final RPPRs).

NIH – Tool Tip: Human Subjects System (HSS) Quick Guide for Warnings and Errors

If the Project Outcomes of an I-RPPR didn’t use plain language, shared proprietary information, or included Personally Identifiable Information (PII), NIH will request a revised Project Outcomes. To complete the request, navigate to the award in the Commons. Select IRAM from the additional actions.

Enter revised Project Outcomes in the IRAM Project Outcomes text box. Do not upload as an attachment.
Learn more about the NIH RPPR: IRAM and FRAM.

An eRA Commons email request for Progress Report Additional Materials (PRAM) is often sent to resolve follow up questions on RPPR materials or when there are non-compliant publications – NIH Public Access Policy. This email should include information on what is required.

Who can submit PRAM? 

PD/PIs with SNAP eligible awards can verify publication compliance or responding to an Agency Requested PRAM via the eRA Commons PRAM feature.

PD/PIs with non-SNAP awards must coordinate with the UW Signing Official, the Office of Sponsored Programs.
How do I know if an NIH award is SNAP eligible?

Trouble submitting a PRAM for a SNAP award? Contact the eRA Commons Service desk

  • Internal data tracking is imperative to production of your progress reports.
  • PIs and managing departments should begin preparing progress report materials at least three months in advance of the sponsor due date.
  • There are additional progress report instructions for training grants when preparing the RPPR. Note that this includes a Training Diversity Report section and additional tables (8A , 8B, and/or 8C) to be completed.
  • The Trainee Diversity Report is automatically generated but needs to be submitted by the PI in the RPPR module prior to routing the RPPR.

Data tables must be completed using the xTRACT system.

    • Alert your departmental grant / research administrator.
    • Consider delegating the ASST role to someone in your unit.
    • Review Information Needed to Complete an RPPR.
    • Fill out all fields and upload all attachments.
    • When applicable use Human Subjects System (HSS).
      • Complete HSS records & mark ‘Ready for Submission’.
      • If ‘Submit’ button is active for the PI, submit the HSS record.
      • If the Submit button is not active for the PI, twice a week (Tues & Thurs) OSP will submit all HSS records that are ‘Ready for Submission’.
        • Send special requests for HSS submission to osp@uw.edu.
      • Once HSS records have been submitted, you should see the HSS data within the RPPR.
      • Do not submit the RPPR until after HSS updates appear within the RPPR.
    • All information in the RPPR must be complete, accurate, and follow NIH guidelines.
    • Route the RPPR to the Signing Official (SO), your OSP reviewer, in eRA Commons.
    • The Institutional Animal Care and Use Committee (IACUC) and Institutional Review Board (IRB) protocols are no longer needed for the RPPR, but they are needed when you fill out the eGC1. If you have several IACUC protocol numbers you may want to put them in a table for ease of reading.
    • Attach a PDF copy of the completed RPPR from eRA Commons on a SAGE Modification Request.
    • The Modification should be ‘In OSP’ at least 5 business days before the NIH RPPR due date.

Check for Errors and Warnings

Click Check for Errors On RPPR Menu and address all errors.

Review How to address common errors and warnings in eRA Commons RPPRs (including Interim and Final RPPRs)

NIH – Tool Tip: Human Subjects System (HSS) Quick Guide for Warnings and Errors

Training Grants Guidance

Need to update or change eRA Commons login or account credentials?
Contact your department administrator with eRA Commons AO access. If no local administrator is available, contact osp@uw.edu.

SNAP Eligible RPPR Submit Delegation

OSP as the UW Signing Official (SO) has delegated submission authority for SNAP eligible RPPRs to all active PIs affiliated with the UW in eRA Commons. OSP checks eRA Commons the last business day of the month for newly affiliated PIs needing this delegation.

If a new PIs needs delegated submit authority before the last business day of the month, email osp@uw.edu.

SNAP eligible awards are submitted directly to NIH via eRA commons by the PI. Review instructions that follow for more details.

Internal-UW Reports

Financial Conflict of Interest (FCOI)

Significant Financial Interests (SFIs) are required to be disclosed using the Financial Interest Disclosure System (FIDS), step-by-step instructions are available to request SFI review for sponsored research progress report submission.

Innovation Reports

Principal Investigators must report all innovations to CoMotion, using a Record of Innovation Form (ROI).

Financial Reporting

When a new budget is established, Grant and Contract Accounting (GCA) reviews the award agreement to determine financial reporting requirements and deadlines.

  • Interim reports: Required quarterly, semi-annually or, in the case of multi-year awards, annually.
  • Final reports: Required after an award is completed.

Not all awards require financial reporting. Invoice transaction details may serve the same function as a financial report for the sponsor. The award will detail if financial reporting is required. More information on financial reporting from Grant and Contract Accounting.

Reporting Cost Share

Cost Share Reporting 

Effort Reporting

Forms, Tools, and Resources

Policy, Regulation, and Guidance

Frequently Asked Questions

Related Announcements

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Research Administration
NIH SNAP Eligible RPPR Delegation
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