As PI, you play a large role in preparing reports during your grant, though you don't submit them. Instead, you give information to your business office so it can send the reports to us.
Still, it's good practice to keep abreast of your due dates. That way you'll know when your business office will need information from you and when to check that your business office has indeed sent it.
Table of Contents
- Ongoing Required Reports
- Know When to Submit Financial Reports
- Federal Financial Report
- Cash Transaction Report (Domestic Grantees Only)
- Report Subawards and Executive Compensation
- Invention Reporting
- Understand the Annual Progress Report
- Use the Research Performance Progress Report (RPPR)
- Report How You Share Data and Organisms
- Progress Reporting for Renewal Applications
- Meet Your Audit Requirements
Once your project is underway, you and your institution have these ongoing required reports:
- Financial reports
- Subaward reports
- Invention reports
- Progress reports
- Audit requirements
In some cases, you may have additional requirements. For example
- If you're working with human subjects, you need institutional review board approval every year and must send additional reports as described on Research Using Human Subjects.
- If you're working with animals, you need institutional animal care and use committee (IACUC) approval every three years and must send additional reports as described on Research Using Vertebrate Animals.
For a list of the most common reporting requirements, go to our table at Standard Reports for NIH-Funded Grants. Review your Notice of Award and contact your business office for a full listing of all reports required for your grant.
Along with the items described above, your institutional business official needs to submit an Annual Report on Possible Research Misconduct to the Office of Research Integrity. ORI will impose a bar on your award if it does not receive this report.
Depending on its size, structure, tax status, and amount of federal funding, your institution may also have to report the total compensation of its five most highly-compensated executives for itself and subawardees receiving $25,000 or more during the grant period.
You may also want to check the NIH Federal Funding Accountability and Transparency Act and Frequently Asked Questions on executive compensation, subaward reporting, and other requirements.
Some items go directly to HHS as a quarterly Cash Transaction Report.
As a term of award, your business office has to report expenditures. Make sure you know reporting schedules.
Your business office submits financial data to NIH using the Federal Financial Report (FFR) through the Payment Management System. The "Manage FFR" button in the eRA Commons also navigates to there.
Timing of this report depends on your terms of award. Most grants require one FFR within 120 days after your grant's end date. Some grants require more frequent reporting.
Check your Notice of Award to make sure, and contact your grants management specialist with any questions.
Additionally, send FFR inquiries to the Office of Policy for Extramural Research Administration (OPERA) FFR Reconciliation and Financial Closeout Support Center at OPERAFFRInquiries@od.nih.gov.
For more information, go to the eRA Commons Federal Financial Report (FFR) page.
In addition to the FFR, your business office sends a quarterly Cash Transaction Report (CTR) directly to the Department of Health and Human Services (HHS).
CTR includes items 10a, 10b, and 10c of the FFR, but your institution sends it separately using the Payment Management System, a secure non-NIH database.
Your CTR is due within 30 days after the end of each fiscal year quarter and within 90 days after the end of your project.
For due dates, use the following table, and contact your business office to find out your internal deadlines.
|Cash Transaction Report Due
As the primary awardee, check if you must report first-tier subawards and executive compensation based on the criteria in the NIH Grants Policy Statement (GPS) Section 22.214.171.124.5, Recipient Reporting of Subrecipient Data and Executive Compensation Information for Federal Funding Accountability and Transparency Act (FFATA).
You must report if your grant or cooperative agreement fits (or previously fit) all three of the following criteria:
- Was $25,000 or greater
- Was issued on or after October 1, 2010
- Was one of the following Types:
- Type 1. New competing award
- Type 6. Change of organization status (successor-in-interest)
- Type 7. Change of grantee or training institution
- Type 8. Change of awarding NIH institute or center (IC)
Once your award initially qualifies as described above, FFATA requirements continue throughout all subsequent Types of award actions. That includes any Type 5 or 9 noncompeting continuation years and Type 2 renewals.
For qualifying awards, you and your organization must complete FFATA reporting as follows:
- First-tier subawards. See the definition of subaward.
- This requirement kicks in when you make any subaward obligation equal to or greater than $25,000.
- You must file a report in the Federal Funding Accountability and Transparency Act Subaward Reporting System (FSRS) no later than the end of the following month.
- Executive compensation. See the definition of executive.
- Use the criteria and formula provided in NIH GPS Section 126.96.36.199.5.
- Compensation data must be in your applicant organization’s SAM.gov entity profile when you apply for an NIH award.
- Your applicant organization can Update Entity Registration to answer or revise answers to questions in the Executive Compensation section.
Since FFATA is about accountability and transparency, note that the information you report will be public:
- USASpending.gov shares subaward and primary award information for all federal grants and contracts.
- SEC.gov Fast Answers on Executive Compensation describes several types of public disclosure.
For more information, go to the following pages:
- Subawards (Consortium Agreements) for Grants SOP
- NIH Frequently Asked Questions on FFATA, including subaward reporting.
You must report any inventions made during your grant. Your business office must do the following through iEdison:
- Fully disclose an invention to us in writing within two months after you (the inventor) provide a written disclosure to your institutional official. Include the grant, inventor's name, and a complete technical description.
- When submitting a renewal or noncompeting application, include either
- A list of all inventions conceived or brought to practice during the preceding budget period.
- Certification that no inventions were made during the period.
- Submit an annual utilization report when you've elected title to an invention or begin to receive royalties or licensing fees from inventions that are not patented.
At the end of your project, submit a final invention statement and certification, HHS 568. Find instructions at Final Reports for Grant Closeout.
Learn more about invention reporting at the NIH Intellectual Property Policy site.
On a related note, also ensure you are familiar with the latest final regulations of the Bayh-Dole Act of 1980 (officially Public Law 96-517; 35 U.S.C. 200-212). Under these regulations, federal funding recipients of grants, cooperative agreements, and contracts must, for example:
- Disclose provisional patent applications to NIH through iEdison.
- Electronically file in iEdison invention disclosures, election of title, and all Bayh-Dole compliance documents.
- File a non-provisional application within 10 months after filing a provisional application unless there is an NIH-approved waiver or extension.
For more information, go to the Federal Register’s Right to Federally Funded Inventions and Licensing of Government Owned Inventions.
Make sure your business office turns in your progress reports on time or risk a late award.
To maintain support of your research each year, your business office submits a Research Performance Progress Report (RPPR) to NIH before the beginning of each budget period.
As you prepare this report, remember that NIH places emphasis on rigor and transparency, so you also need to describe how your research ensures reproducibility. Read more on Rigor and Reproducibility at NIH.
In your report, summarize your accomplishments and products, citing relevant publications. You may also cite interim research products, such as article preprints, to demonstrate progress and transparency as explained in NIH's Frequently Asked Questions on Interim Research Products.
Your program officer reviews this progress report to determine whether NIAID will continue funding your project, and your grants management specialist evaluates your grant's administrative and fiscal status.
You have several ways to find out when your progress report is due:
- Contact your business office.
- Check the eRA Commons for a list of your reports and their due dates.
- Go to Progress Report Search by IPF Number. If you don't know your institution's profile number (IPF), look it up at IPF Number Search.
Make sure your business office turns in your progress reports on time—late or incomplete progress reports cause late awards.
To see the "who, what, when, and how" of your reporting requirements, go to our table at Standard Reports for NIH-Funded Grants.
Access the RPPR through the eRA Commons. eRA automatically populates some information, but you should check for mistakes.
Follow the eRA RPPR Instruction Guide. It covers each section and includes supplemental instructions for specific grant types such as career development, fellowship, and small business.
Because your Project Outcomes section will be accessible to the public on NIH’s RePORT site, we advise you to write the section with a lay audience in mind. Do not include proprietary or confidential information.
If you created a new model organism, your program officer will assess how you have shared it, so include the number of requests you've received and fulfilled.
Describe data, research materials, and other information resulting from research and how they may be shared with other investigators. We summarized the requirements at Create a Resource Sharing Plan.
If you're preparing a competing renewal application, you must describe your progress in the application. Do so in the Research Strategy as a section with the header "Progress Report" so your program officer can easily find it. Learn more in the G.400 Research Strategy section of the application instructions.
In addition, you must submit a separate progress report for your existing grant. To determine whether to send an interim- or final-Research Performance Progress Report, see Research Performance Progress Report (RPPR).
Though you may use text from your RPPR in the renewal application’s progress report section, we advise you to edit your summary as needed. Pasting in the complete content from your RPPR could inflate your page count past NIH’s limits.
Even if your institution is exempt, you still need to maintain your grant records in case NIH wants to review or audit them.
Your institution will be audited if it spends $750,000 or more a year of HHS award money.
Educational and other nonprofit institutions are subject to Uniform Guidance (2 CFR part 200, subpart F)
For-profit organizations can satisfy audit requirements with either of the following:
- A financial audit. See the Government Auditing Standards (the "Yellow Book").
- An audit that meets the requirements of Uniform Guidance (2 CFR part 200, subpart F).
Audits are required annually. Grantees usually have 30 days after the receipt of the auditor's report to respond to audit findings.
Your institution should submit audit reports using the Federal Audit Clearinghouse's Internet Data Entry System.
If your institution is exempt from an audit, you should still maintain your grant records in case NIH needs to review or audit them.
Find more information online
When your award ends, you’ll need to file Final Reports for Grant Closeout.