Roles, Responsibilities and Reporting Requirements
Roles and Responsibilities
The responsibility for accepting awards and the successful administration of awards is a shared responsibility. It includes the Principal Investigator (PI), Department Business Office (DBO), and the Office of Sponsored Projects (OSP).
To better understand these shared responsibilities the University developed a Roles and Responsibilities Matrix. This matrix identifies individual activities and the person(s) having a responsibility for that activity. Also included in this matrix are the policies that support the administration of sponsored projects. Further details of one’s role and responsibility as it relates to the policy, is further elaborated at the end of most policies. Sections IV – VII of the matrix are specific to award management.
In order to satisfy the terms and conditions required by most awards, the Principal Investigator (PI) must furnish the Sponsor with a final technical report at the end of the project period. Funding agencies consider the technical report to be a useful tool in monitoring and evaluation of the research project.
Timely submission of these reports is an important responsibility of the Principal Investigator. Failure to do so could result in the agency withholding new funding for Yale University and could jeopardize the PI’s ability to obtain future awards from this sponsor as generally agencies will not make a new award unless all previous awards are in compliance. It is important to review the terms and conditions of your award notice to understand your reporting requirements.
The submission of an annual progress report is often a requirement imposed by federal and non-federal sponsors. To determine what a sponsor requires, review the award’s terms and conditions.
The Office of Management and Budget (OMB) has mandated that federal agencies (NIH, NSF, DoD, etc.) implement a federal-wide research performance progress report (RPPR) for submission of required annual or other interim performance reporting on research grant and cooperative agreement awards to standardize recipient reporting on federally-funded research projects.
Click here to access key points regarding the NSF and NIH RPPR format requirements. For additional information regarding NIH RPPR format, visit the NIH grants and funding website.
NIH Progress Report Due Dates
NIH requires use of the RPPR module to submit progress reports for Streamlined Non-competing Award Process (SNAP), fellowship, and multi-year funded awards. The NIH will require all grantee institutions to use the RPPR for non-SNAP progress reports submitted on or after October 17, 2014.
SNAP progress reports are due the 15th of the month preceding the month in which the budget period ends (e.g., if the budget period ends 11/30, the SNAP progress report due date is 10/15).
Please note that the due dates for non-SNAP RPPRs have not changed. The non-SNAP progress report is due the first of the month preceding the month in which the budget period ends (e.g., if the budget period ends 11/30, the due date is 10/1).
Click here to generate a list of pending NIH progress report due dates using Yale’s Institutional Profile File (IPF) number. Use IPF number 9420201.
The end date of the project period of a grant, grant agreement or incoming subaward determines the timeframe in which the research or project should be complete and the closeout process should begin.
Generally, for federal and federal pass-through awards, the closeout period is 90 days after the end date, but award terms may vary and should be checked to verify the requirements of each award. State and private agency deadlines also vary. The Department Business Office (DBO) working with the Principal Investigator (PI) is responsible for ensuring the award is prepared for closeout. Commonly, there are technical or progress and financial reporting obligations to the sponsor, financial reconciliations, forms and reports for the institution, and account closeout tasks which must be completed.
The Office of Sponsored Projects (OSP) can assist you with any questions regarding the completion of final technical or progress report requirements. When an authorized institutional signature or confirmation is required, your OSP Award or Contract Manager will be responsible to sign the documentation and submit to the sponsor. Additionally, when there is a requirement for reporting final inventions, the OSP will work with the Office of Cooperative Research (OCR) to confirm any inventions. OSP also assists with the filing of final financial reports.
National Institutes of Health (NIH)
The requirement for timely closeout is a grantee responsibility. Failure to submit timely and accurate closeout documents may affect future funding to the organization. NIH may impose sanctions on institutions that fail to correct recurring reporting problems. Such sanctions may include, but are not limited to, corrective actions, removal of authorities, and/or delay or withholding of further awards to the project or program. NIH will close out a grant as soon as possible after expiration if the grant will not be extended or after termination as provided in 45 CFR parts 74.71 through 74.73 and in 45 CFR 92.50. Closeout includes ensuring timely and accurate submission of all required reports and adjustments for amounts due the grantee or NIH. Closeout of a grant does not automatically cancel any requirements for property accountability, record retention, or financial accountability. Following closeout, the grantee remains obligated to return funds due as a result of later refunds, corrections, or other transactions, and the Federal government may recover amounts based on the results of an audit covering any part of the period of grant support.
Grantees must submit a final FFR, final progress report, and Final Invention Statement and Certification within 90 calendar days of the end of grant support.
Final NIH Progress Report: Please refer to NIH Grants Policy Statement, Section 8.6.2
Final Invention Statement and Certification: Please refer to NIH Grants Policy Statement, Section 8.6.3
Submission of Closeout Documents:
Use of the Closeout feature in the eRA Commons is strongly encouraged. Submission of non-financial closeout documents (such as the final progress report and HHS 568 Final Invention Statement and Certification) not submitted through the eRA Commons may be e-mailed as PDF attachments to the NIH Central Closeout Center. Paper copies of the final progress report and HHS 568 may be faxed or mailed to the NIH Central Closeout Center at the contact information provided in Part III.
National Science Foundation (NSF)
Grant closeout is the process by which NSF determines that all applicable administrative actions and all required work of the grant have been completed. Grants will be financially closed based on final costs reported on the Federal Financial Report (FFR) one full quarter after the expiration of the grant. During April, 2013 NSF will implement the Award Cash Management $ervice (ACM$) and stop using the FFRs. Under ACM$ grants will be financially closed 3 months after their award expiration date based on the costs recorded at that time. Grants are administratively closed after receipt of the Final Project Report and after determination that any other administrative requirements in the grant have been met. In the event a final audit has not been performed prior to the closeout of the grant, NSF reserves the right to recover appropriate amounts after fully considering the recommendations on disallowed costs resulting from the final audit.
PIs must submit final technical reports within the time period specified. Failure to provide these reports on a timely basis will delay NSF review and processing of pending proposals for all identified PIs and co-PIs on a given award
Final NSF Technical Report: Please refer to NSF Proposal and Award Policies and Procedures Guide, Section II.E.2
Please review the terms and conditions of the Award notice. Contact your OSP Award or Contract Manager for any questions you may have in determining the requirements of the sponsor.
Incoming Subawards (Yale as subrecipient):
The Yale University PI is responsible for submitting any required technical and invention reports and/or any other required deliverables specified in the subaward or subcontract to the awarding institution. OSP is responsible for preparing and submitting final financial reports to the awarding institution, in cooperation with DBO.
Outgoing Subawards (Yale as Prime awardee):
The Yale University PI is responsible for ensuring that each subrecipient under a prime award has submitted all required reports and deliverables to Yale prior to submission of final technical or progress reports to the sponsor. The PI should also ensure all financial reports have been received and the final invoice submitted for payment. Any subawards or subcontracts under a prime award are financially closed by OSP as part of the primary award closeout process. For information on the financial subaward closeout process, see OSP (Link 2).