The University of Arizona

Reporting

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Financial Status Reporting
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

Sponsored Projects Services prepares a financial status report for the sponsor, according to the terms of the award. Before sending the financial status report to the sponsor, the project accountant will obtain written concurrence from the principal investigator. The principal investigator should review the financial report to ensure that the costs are allowable and accurately reported. Any unobligated balance is usually returned to the sponsor.

Progress Reports

The principal investigator is responsible for submitting interim progress reports to the sponsor within the specified timeframe and format indicated by the sponsor. If no format is indicated, the principal investigator is advised to use a standard 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.

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. RPPR has replaced old progress report formats such as eSNAP. This NIH RPPR page provides good information this reporting requirement as well as training webinars.

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 Services completes the patent form and obtains the Principal Investigator’s signature. The signed report is returned to Sponsored Projects.
  • Sponsored Projects forwards the report to Tech Launch Arizona for signature. The signed report is returned to Sponsored Projects.
  • Sponsored Projects mails the report to the sponsor.

If you have any questions, please contact your Sponsored Projects Services fund accountant.

Property Reporting

Sponsored Projects 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 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 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.