Reporting Requirements

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Learn about the four most common types of reporting requirements for your award.

What are the reporting requirements for my award?

NIH has several reporting requirements that recipients must adhere to. The requirements that pertain to you can be found in Section VI Part 3 of the NOFO you applied to, as well as in Section III and IV of your Notice of Award (NoA). While principal investigators play a large role in preparing reports during the life of their grants, the ability to submit this information is reserved for the recipient organization’s business office. 

Research Performance Progress Report

The RPPR is often referred to as a progress report and is one of the main ways recipients report on the activity of their awards. These are typically annual, but can sometimes be required more frequently. This would be noted as such in section IV of your NoA. 

When are RPPRs due? 

  • Streamlined Non-Competing Award Process (SNAP) RPPRs are due approximately 45 days before the next budget period start date. You can determine if this applies to you by reviewing Section III of your NoA.
  • Non-SNAP RPPRs are due approximately 60 days before the next budget period start date. 
  • Multi-year funded (MYF) RPPRs are due annually on or before the anniversary of the budget/project period start date of the award. 
  • The exact start date for a specific award may be found in the Grants Status section in eRA Commons. 

What should be included in your RPPR? 

Instructions for preparing and submitting RPPRs can be found on the NIH site for RPPRs.  The RPPR consists of a cover page and 6 main sections, as well as Other Support. The information below provides some practical tips and guidance on common questions and issues with RPPRs to help ensure you have submitted a complete and accurate report.

Section A – Cover Page 

Section B – Accomplishments 

B.1 - What are the major goals of the project? This is often the same as your specific aims. It’s helpful if the formatting here matches any reference to aims in Section B.2 
B.2 - Accomplishments While there’s no required format here, it’s often helpful to organize your accomplishments by aims. Program staff review your entire RPPR closely, and specifically are required to document tangible indicators of progress. It is appropriate and encouraged to report on challenges and setbacks as well. Program staff understand that biomedical research does not always proceed according to plan. It is critical to report on overall progress (positive and negative). Note that any publications referenced in this section must also be reported in Section C.1 Publications of the RPPR as well. If not, your RPPR will be out of compliance for the NIH Public Access Policy. 
B.3 - Competitive Revisions / Administrative Supplements Competitive Revisions/Administrative Supplements. Note that if you had a competitive revision (sometimes referred to as a competitive supplement) or any kind of administrative supplement, you are required to report on the progress attributed to that supplement here. 

 

Section C – Products 

C.1 Publications Learn more about why properly acknowledging NIH support in your papers is important along with guidance about how to do so.   This section is used for compliance with the NIH Public Access Policy. Any publication that has a status of “Non-Compliant” is out of compliance and must be addressed before subsequent funding can be awarded. 
C.5. Other Products and Resource Sharing Recipients should provide information on relevant data and resource sharing in this section. This should be based on any data and resource sharing plans in their final form that were approved for funding. Content for reporting in this section could include high-level descriptions of the number and types of requests received and filled, including any reasons for the decline of requests. Note that NIH policy expects that data and resources/research tools resulting from NIH funding should be shared except in a limited number of circumstances. Program staff will be reviewing the content here and in section B.2. for indicators that these sharing policies are being complied with.

Section D – Participants 

D.2.a-b Personnel Updates If percent effort for any senior/key personnel has changed 25% or more from the competing year, you must acknowledge and describe it here. All future reductions will be measured against the initial or most recently approved levels.
D.2.c.  Other Support 
  • Other support is required in an RPPR only for senior/key personnel NAMED and only if your active other support has changed over the course of the last year. 
  • You can follow the guidance for Other Support as described on the NINDS Just-in-Time page. 
    • To facilitate review, you should use the Overlap section of the recommended NIH Other Support Template to clarify any support that might appear to be similar or overlapping, and clarify how there is no scientific or budgetary overlap. 
  • NIH scientific program and grants management staff review Other Support information to ensure that: 
    • All resources, domestic or foreign, directly supporting the individual’s research endeavors have been reported.
    • Sufficient levels of effort are committed to the project.
    • There is no scientific, budgetary, or commitment overlap.
    • Only funds necessary to the approved project are included in the award.
    • Any foreign resources that meet the definition of a foreign component have received appropriate prior approval. 
  • Follow all standard NIH RPPR instructions.
   

Section E – Impact 

Section F – Changes 

  • It is critical to document any changes to human subjects, vertebrate animals, biohazards, and/or select agents here. NINDS program staff will determine what, if any, further steps or documentation may be needed 

Section G – Special Reporting Requirements 

G.1. Special Notice of Award Terms and Funding Opportunities Announcement Reporting Requirements
  • This is a good place to document or reference where in Section B.1. you have included any special reporting requirements as defined in Section IV of your NoA.
  • You may also be required to submit detailed budgets or other documents as specified in section III and IV of your NoA.
  • Follow standard NIH RPPR instructions.
Human Subject Report
  • If your study includes non-exempt human subject work, you will be required to report on inclusion of human subjects via the NIH Human Subjects System.  
  • NIH program staff will closely review your inclusion and enrollment records as it pertains to the inclusion of women and minorities and inclusion across the lifespan and insure that your work is compliant with these policies. Program staff will also look for indicators of sufficient progress in enrollment.
G.10. Estimated Unobligated Balance

This should include the total amount that is unobligated (not just the current year's estimated unobligated balance). If balance is >25%, please give a specific plan on how you intend to use the unobligated funds

 

The next year’s funding will not be issued until the annual RPPR is submitted to NIH and approved. Annual RPPRs are also required for multi-year funded awards. Delays in submitting the annual RPPR may result in a delay in receiving the next year’s award or transitioning to future phases of the award.

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Final or Interim RPPRs
Find instructions on preparing and submitting final or interim RPPRs, such as FRPPR or IRPPR.


Financial Conflict of Interest Reporting 

Reporting on financial conflicts of interest (FCOIs) as described in NIH policy is an important part of ensuring your award is in compliance with all NIH reporting requirements. FCOI reporting consists of an initial report and subsequent annual reports, in addition to any required revised or mitigation reporting.

When do FCOI reports need to be submitted? 

  • New or Initial FCOI Reports are required as defined in NIH policy as prior to the expenditure of funds or within 60 days of any subsequently identified FCOI
  • Annual Reports are due at the same as annual progress reports or at  the time of extension

What should be in an FCOI report? 

Use the NIH eRA FCOI module and related NIH guidance to submit your report, which will walk you through the elements and information required. NIH staff will review the report for completeness and also to ensure that the institution has processes in place to manage any identified FCOI.

Invention Reporting 

You must report any inventions made during your grant. Your business office must do the following through the iEdison module: 

  1. 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. 
  2. When submitting a renewal or noncompeting application, include either a list of all inventions conceived or brought to practice during the preceding budget period OR Certification that no inventions were made during the period. 
  3. 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. 
  4. At the end of your project, submit a final invention statement and certification, HHS 568. Find instructions at Final Reports for Grant Closeout. 

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. 

Resources For More Information

Federal Financial Report

  • Annual FFR (SF 425) 

    • If your award is not subject to the Streamlined Noncompeting Award Process (SNAP), an annual Federal Financial Report (FFR) is required for each budget period no later than 90 days after the end of the calendar quarter in which the budget period ends. 
    • Failure to submit these reports in a timely manner may result in delays of future awards. 

  • Final FFR (SF 425) 

    • At the end of the award’s project period, recipients are required to submit a final FFR. The final FFR must be submitted within 120 days after the end of the competitive segment. 

Beginning April 1, 2022, recipients are no longer required to submit quarterly cash transaction reports 30 days after the end of each calendar quarter. Instead, the PMS will pre-populate the cash transaction section of the FFR using recipient real-time cash expenses information. See NOT-OD-22-099 for additional information on this recent change.

 

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