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Financial Status Reporting and Invoicing
Progress Reports
NIH Research Performance Progress Reports
Patent/Invention Reporting
Property Reporting
Small Business Reporting
Reporting requirements vary in frequency, format, and content depending on the sponsor rules and agreement specific requirements. Principal investigators should take responsibility for understanding the reporting requirements of their particular sponsor. The following is an explanation of expectations, policies, and support services for general reporting guidelines.
Failure to fulfill reporting requirements may result in:
- Delay or termination of current awards
- Delay or cancellation of continuation and new awards
- University of Arizona may have to repay the sponsor, up to a full refund
- University of Arizona may not get paid
- University may be debarred from future awards
Financial Status Reporting and Invoicing
Sponsored Projects & Contracting Services generally prepares financial status reports and invoices for the sponsor as a separation of duties measure. Certain projects may have reporting or invoicing delegated directly to the department with Sponsored Projects approval.
Before sending a financial status report to the sponsor that will prompt a budget deobligation, Sponsored Projects will obtain written concurrence from the fiscal officer and principal investigator. The fiscal officer and principal investigator should review the financial report to ensure that the costs are allowable and accurately reported.
Progress Reports
The principal investigator is responsible for tracking and submitting required progress reports to the sponsor. Reports that do not require institutional signature may be submitted directly by the investigator to the sponsoring agency. Reports that require institutional approval, such as NIH RPPRs, will be approved by Sponsored Projects postaward on behalf of the institution.
The sponsor may specific a format in the award notice or incorporated terms and conditions. If no format is indicated, the principal investigator is advised to use a format that addresses the following program management concerns:
- A review of accomplishments to-date as compared with schedule and objectives as outlined in the original proposal or as modified when the contract was awarded.
- A review of the challenges faced by the project in attempting to meet the schedule and objectives laid out in the original proposal or the most recent modification. If the project is either behind schedule or significantly off budget (high or low) it is not enough to say so - include a mitigation plan.
- Supporting statistical data or documentation on overall project health.
- Management activities, such as documentation or materials produced, personnel issues, etc.
Overdue reports may result in award holds or terminations. Please reference the 1/4/21 Progress Report Memo from the Senior Vice President for Research Office regarding tracking and follow up requirements. Departments/Colleges may also consider withholding proposal approvals for PIs with overdue reports as an corrective action measure.
National Institutes of Health (NIH)
Research Performance Progress Report (RPPR)
The Research Progress Performance Report is the standard format for progress reporting used by all federal agencies that provide sponsored funding. The report is prepared by the PI or PI assistant within NIH eRACommons and routed to a Sponsored Projects postaward signing official for review and submission.
- Three-Day Deadline policy:
- RPPRs should be submitted in accordance with the Three-Day Deadline Policy.
- RPPR Cover Page:
- Please set the administrative official to Marcel Villalobos, and the signing official to the postaward team manager that partners with your unit (Ashley Taylor, Yohana Orduno, or Carmen Raffensparger). You can locate the postaward team manager by college from our directory.
- Please route the RPPR in eRA Commons to the postaward manager – signing official.
- Notify SPS the report is ready for review:
- The PI or research administrator should send an email to sponsor@arizona.edu to request submission after the RPPR is routed to the signing official. This is necessary in case the signing official is out of office. Please reference the UA account number and/or grant number.
- If the RPPR has warnings, your email should indicate SPS may submit despite them.
- If the RPPR has a significant unobligated balance, include the internal UA unobligated balance worksheet, as NIH will ask about the balances.
- If you need a corresponding ASSIST record updated to “work in progress” for updates, or returned to “submitted” status, please include that information.
- The PI or research administrator should send an email to sponsor@arizona.edu to request submission after the RPPR is routed to the signing official. This is necessary in case the signing official is out of office. Please reference the UA account number and/or grant number.
Other Guidance:
- UAccess Analytics RPPR support dashboard: This is a tool for guidance, but requires careful review, particularly the effort calculations. Access requires provisioning for UAccess Research.
- NIH RPPR Website
Public Access Requirement
The NIH requires that all peer reviewed journal articles arising from NIH-funded research and accepted for publication on or after April 7, 2008 must be deposited in PubMed Central.
As of July 1, 2013 the NIH will delay processing of non-competing continuation grant awards if publications arising from them are not in compliance with the NIH Public Access Policy.
The Arizona Health Sciences Library maintains a webpage with step by step compliance information on the NIH Public Access Policy.
Patent/Invention Reporting
The principal investigator is responsible for disclosing all inventions, discoveries and new technology to Tech Launch Arizona throughout the life of the award. The University of Arizona is responsible for announcing inventions, discoveries and new technologies to the sponsor. The process for disclosing and reporting new inventions, patents, etc. is as follows:
- Sponsored Projects & Contracting Services completes the patent form and obtains the Principal Investigator’s signature. The signed report is returned to Sponsored Projects.
- Sponsored Projects & Contracting Services forwards the report to Tech Launch Arizona for signature. The signed report is returned to Sponsored Projects.
- Sponsored Projects & Contracting Services mails the report to the sponsor.
If you have any questions, please contact your Sponsored Projects & Contracting Services fund accountant.
Property Reporting
Sponsored Projects & Contracting Services prepares interim, annual and final property reports as stipulated in the agreement and submits them to the sponsor. Annual reports must be filed within sixty (60) days of the project-year end. Final reports must be filed within ninety (90) days of the project close date.
Sponsored Projects & Contracting Services will determine if the title to the property resides with the sponsor or the University of Arizona based on the Title and Equipment Clauses in the agreement.
Any questions regarding the acquisition or title to equipment acquired on the sponsored agreement may be directed to Sponsored Projects & Contracting Services.
Small Business Reporting
Some sponsors require periodic reporting to show that the principal investigator or the institution is making an effort to purchase/subcontract small businesses. If your sponsor requires such a report, contact Procurement and Contracting Services. Procurement will generate the report and send it to the appropriate sponsor.