Progress/Technical Reports - H05
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.
This procedure applies to all sponsored projects where progress/technical reporting is required regardless of the source of funds.
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.
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, refer to the ORSP Agency Specific Information List or contact the ORSP Service Center.
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 and the Assistant Vice President for Research (AVP). The third notification will be forwarded from the AVP to the PI/PD, Department Chair, 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 Ohio University
- 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.
Training and Support
Contact ORSP if you need assistance with submitting a progress/technical report.
ROLES AND RESPONSIBILITIES
CONTRIBUTOR: ORSP, Grants Accounting
OMB Circular 2 CFR 200.328 Monitoring and reporting program performance