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Purpose

The primary purpose of this procedure is to ensure compliance with the US Office of Management and Budget Uniform Guide 2 CFR 200.328 Uniform Administration Requirements, Monitoring and reporting program performance.

Progress/technical reports are generally required at least annually to document recipient accomplishments and compliance with terms of award. Information is collected on scientific progress, to identify significant changes, report on personnel, and describe plans for the subsequent budget period or year.

Scope

This procedure applies to all sponsored projects where progress/technical reporting is required regardless of the source of funds.

Procedure

The Principal Investigator/Project Director (PI/PD) is responsible for executing and complying with the reporting requirements of the sponsor. It is important to read the grant award terms and conditions and/or guidelines for the reporting schedule and format necessary to comply with the sponsor requirements.

Sponsor notifications of pending report deadlines are typically sent directly to the PI/PD. Any sponsor notifications sent to the Office of Research and Sponsored Programs (ORSP) will be forwarded to the PI/PD by the Sponsored Projects Manager (SPM).

Delegation of responsibility by the PI/PD to other persons to complete the progress/technical report is limited to individuals with adequate knowledge about the project to complete the report.

Electronic Systems

Many sponsors require progress/technical reports to be submitted through an electronic system. ORSP will assist with access to these systems when requested. For links to specific agency system portals, please contact the ORSP Service Center.

Financial Component

When the sponsor requires a financial component to the progress/technical report, it is the PI/PD responsibility to verify the numbers are correct with Grants Accounting before submitting the report to the agency. In certain cases,Grants Accounting will submit the progress report to the sponsor on behalf of the PI/PD. All financial information must be validated by the official Financial Management System (FMS).

Reports that Require Institutional Signatures

When the sponsor requires signature of the Authorized Organizational Representative (AOR) or the Fiscal Officer (FO) before submission of the progress/technical report, the PI/PD must submit the complete report to ORSP for AOR signature and Grants Accounting for FO signature.

Notification of Delinquent Reports

The first notification of a delinquent report received by ORSP will be forwarded to the PI/PD upon receipt from the sponsor. The second notification will be forwarded to the PI/PD, the Department Chair, Associate Dean of Research (ADR), and the Assistant Vice President for Research (AVP). The third notification will be forwarded from the AVP to the PI/PD, Department Chair, Associate Dean of Research (ADR), and the College Dean.

Timely submission of a progress/technical report is a term and condition of the award and therefore, critical to the outcome of the project. The consequences for not submitting a progress/technical report are serious and may include:

• Loss of future funding from the agency to 91探花
• Audit finding for non-compliance to terms and conditions of the award
• Agency audit resulting in refunds and penalties

ORSP will not submit new awards, supplements, extensions, or any other requests for funding to an agency on behalf of the PI/PD where the respective agency system indicates progress reports are delinquent.

Questions

Questions regarding this procedure can be sent to orsp@ohio.edu.

Forms/Templates

There are no forms or templates for this procedure.

Roles and Responsibilities 

OWNER:PI/PD

CONTRIBUTOR: ORSP, Grants Accounting

APPROVER: Agency/Sponsor

References

OMB Circular 2 CFR 200.328 Monitoring and reporting program performance