UW Research

Reporting

External Reporting

Progress / Performance Reports

Progress or Performance 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:

Progress Reports and the eGC1

If the sponsor allows direct submission, an eGC1 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.

When do I need to prepare an eGC1 for progress reports/RPPRs?

While you do not have to prepare an eGC1 when the sponsor allows direct submission of a progress report, an eGC1 is still required for many other types of progress reports.

OSP will return eGC1s without review if submitted when they are not needed.

When is an eGC1 needed for a progress report?

Route a Non-Competing Renewal eGC1 when a sponsor requires OSP signature or submission on a progress report such as:

  • NIH non-SNAP eligible awards
  • Some federal flow-through awards IF the pass through entity requires signature or a Letter of Intent
    • Don’t assume they require a signature. Confirm with the pass-through entity before preparing an eGC1.

eGC1s are NOT needed for progress reports when:

  • Sponsor allows direct submission of the progress report by the PI.
  • NIH: SNAP eligible Annual, Interim, and Final RPPRs
  • Fred Hutchinson Cancer Research Center (FHCRC)
    • FHCRC does not require OSP signature on progress report materials / Letter of Intent for non-competing years.

Whether an eGC1 is required for a progress report or not, don’t forget to update the personnel section of the original eGC1 whenever personnel join or leave a research project.

Personnel added to an eGC1 will need to complete a disclosure in Financial Interest Disclosure System (FIDS).

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 Director, Carol Rhodes 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

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 Submission Process

NIH requires RPPR submission through eRA Commons.

Featured Resources from NIH:

NIH Annual, Interim, and Interim Report Additional Materials Instructions

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

Annual RPPR Instructions

Initiate the 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 the ‘Route’ button for a Work in Progress RPPR so individuals delegated the ASST role can help complete it.
    • More on eRA Commons Roles.

Complete the RPPR

  • Review Information Needed to Complete an RPPR.
  • Fill out all fields and upload all attachments.
  • When applicable use Human Subjects System (HSS) to add/update human subjects study information; create new inclusion enrollment reports; or view/edit/update existing enrollment data.
  • All information in the RPPR must be complete, accurate, and follow NIH guidelines.

Check for Errors and Warnings

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

Is the award a SNAP eligible award?

How do I know if an award is SNAP eligible?

YES

PIs will see a submit button in eRA commons. Submit the RPPR directly to NIH. No eGC1 is needed. Retain a copy within departmental files according to UW Records Retention. OSP does not need a copy.

NO 

If the award is NOT SNAP eligible:

  • Alert your departmental grant / research administrator.
  • Consider delegating the ASST role to someone in your unit.
    • Use the ‘Route’ button for a Work in Progress RPPR so individuals delegated the ASST role can help complete it.
    • More on eRA Commons Roles.
  • Route the RPPR to the Signing Official, your OSP reviewer, in eRA Commons.
  • Attach a PDF copy of the completed RPPR from eRA Commons on a Non-Competing Renewal eGC1 and route to your OSP reviewer.
  • The eGC1 should be “Ready to Submit” and “In OSP” at least 5 business days before the NIH RPPR due date.
  • eGC1s that have multiple office reviewers and approvals in SAGE take longer. Plan ahead.
  • OSP reviews and submits within 5 business days of the RPPR being Ready to Submit. The GIM 19 waiver process does not apply to RPPRs.

Interim RPPR Instructions

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.

Both the Interim RPPR and the Final RPPR are identical in process and information required.

Complete the RPPR

  • Initiate and Complete Interim RPPRs 90 days from the project end date .
  • Information Needed to Complete an RPPR
  • Fill out all fields and upload all attachments.
  • Use plain language in the Project Outcomes section. NIH reviews & approves this section before it is made publicly available through the NIH RePORTER.
  • When applicable use Human Subjects System (HSS) to add/update human subjects study information; create new inclusion enrollment reports; or view/edit/update existing enrollment data.
  • All information in the RPPR must be complete, accurate, and follow NIH guidelines.

Check for Errors and Warnings

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

Is the award a SNAP eligible award?

How do I know if an award is SNAP eligible?

YES

PIs will see a submit button in eRA commons. Submit the RPPR directly to NIH. No eGC1 is needed. Retain a copy within departmental files according to UW Records Retention. OSP does not need a copy.

NO 

If the award is NOT SNAP eligible:

  • Alert your departmental grant / research administrator
  • Consider delegating the ASST role to someone in your unit.
    • Use the ‘Route’ button for a Work in Progress RPPR so individuals delegated the ASST role can help complete it.
    • More on eRA Commons Roles.
  • Route the RPPR to the Signing Official, your OSP reviewer, in eRA Commons
  • Attach a PDF copy of the completed RPPR from eRA Commons on a Non-Competing Renewal eGC1 and route to your OSP reviewer
  • The eGC1 should be “Ready to Submit” and “In OSP” at least 5 business days before the NIH RPPR due date.
  • eGC1s that have multiple office reviewers and approvals in SAGE take longer. Plan ahead.
  • OSP reviews and submits within 5 business days of the RPPR being Ready to Submit. The GIM 19 waiver process does not apply to RPPRs.

Submitting Interim Report Additional Materials / IRAM

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.

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 

Faculty & Non Faculty Effort Reporting

Contact Management Accounting & Analysis with questions.