Technical Reporting Procedures

PIs are required to understand and comply with the technical/programmatic reporting requirements of their awards, which involves becoming familiar with reporting formats, templates and any online submission portals. These reports may be referred to by the sponsor as: RPPR (Research Performance Progress Report), Technical Report, Performance Report, Project Report. In some cases (e.g. NIH RPPRs), the PI and the Office of Sponsored Programs (“OSP”) work together to complete and submit the report. In others, PIs are encouraged to discuss and share the report with OSP prior to submission (e.g. NSF).

OSP supports PIs with their technical reporting obligations by sending them automated email reminders from ovpr_myresearchgrants@stonybrook.edu 60, 30 days before technical reports are due, as well as on the due date. This applies to awards set up in myResearch after February 2020. The email subject line contains the words IMPORTANT ACTION REQUIRED REGARDING TECHNICAL REPORTING. PIs are encouraged to open these emails and follow the instructions. Here’s an example notification:

IMPORTANT ACTION REQUIRED REGARDING TECHNICAL REPORTING - PLEASE READ AND RESPOND ACCORDINGLY

• If you are no longer required to provide a written report by the sponsor according to the award schedule or if the reporting conditions have been modified by the sponsor, please provide the sponsor’s updated guidance and/or waiver in response to this email so that our records can be updated.
• If you have recently completed this reporting via informal communication with the sponsor, respond to this email so that our records can be updated. Provide proof of sponsor’s consent.
• If you have not completed the reporting, do so as soon as possible to avoid restrictive actions on your award and possible Sponsor action against the institution. Directions on how to submit are below.
• If you have completed the reporting through the sponsor portal, you still need to tag it as completed under the Manage Deliverables activity of your Award in myResearch. Copies of NIH and NSF reports can be uploaded but it is not mandatory.

Note that for awards set up prior to February 2020, the email notification to PIs will be from Razeema Sahib, Account Establishment & Maintenance Unit. A copy of the report needs to be provided to OSP via email, according to the email instructions.

If a PI cannot submit a technical report by a required due date, s/he should contact the sponsor, before the due date, and copy OSP, requesting an extension. If the PI provides suitable justification, OSP can also contact the sponsor to request an extension on the PIs behalf.

If a PI has not submitted a technical/performance report and provided OSP proof of submission prior to the due date, OSP will take the following corrective actions:

• When a technical report is 30 days overdue, the PI will receive an automated notification from ovpr_myresearchgrants@stonybrook.edu 30 days AFTER the technical reports are due. The email subject line contains the words TECHNICAL REPORTING NON-COMPLIANCE - IMMEDIATE ACTION REQUIRED. PIs are required to open these emails and follow the instructions.
• When a technical report is 45 days overdue, it is considered delinquent. The PI will receive an email from ovpr_myresearchgrants@stonybrook.edu with the subject line: From the desk of Alina Azzam-Stroia, Sr. Director Office of Sponsored Programs: DELINQUENT REPORT – YOUR AWARDS WILL BE FROZEN IF IMMEDIATE ACTION IS NOT TAKEN WITHIN 5 BUSINESS DAYS - PLEASE READ AND RESPOND PROMPTLY. If action is not taken as instructed, the PI will become ineligible to submit new proposals as a PI or CoPI until the technical report has been submitted, and all of the PI’s awards will be placed on hold in the financial system. OSP will place a “hold” on the setup of any new accounts for the PI. New accounts include, but are not limited to, new awards, continuations, and risk accounts. If a CoPI has a separate account and has a seriously delinquent report, this procedure will also apply. The Chair, Center Director, and/or Dean will be copied on the delinquent email correspondence so they are aware of reporting noncompliance and can become actively involved in resolving the problem. This procedure will continue until the reports are submitted. All such actions will be in full consultation with the Vice President for Research and/or the Associate Vice President for Research and will occur with the support of the VPR office.

Delinquent reporting is a significant issue and can negatively impact payment on individual awards and future funding for the entire university, and it can damage SBU’s reputation. Furthermore, audits, including our annual A-133 audit, encompass reporting compliance, so federal penalties and other consequences due to noncompliance are real possibilities. Among the actions sponsors can take when reports are not received by the deadline are the following:

- The loss of expanded authorities on current and future awards.

- Delays in the University receiving payments or sponsor’s refusal to pay outstanding invoices.

- Sponsor designation of the University as a high-risk awardee.

- The loss of external funding from that sponsor, not only to the individuals involved but to other University investigators as well. 

Lastly, federal sponsors have become much more reactive to technical reporting non-compliance. See NSF’s recentNotice # 148 sent to Presidents of Universities and Colleges and Heads of Other National Science Foundation Grantee Organizations requesting their assistance in improving their institution's compliance with NSF project reporting requirements. It’s important to note that failure to submit timely reports will delay NSF review and processing of pending proposals and processing of additional funding and administrative actions for all identified PIs and co-PIs on an NSF award. NIH takes a similar stand on delinquent reporting where the closeout of an award in such delinquent manner is a serious action that may result in a future enforcement action, such as withholding of support on another award based on reporting non-compliance. Lastly, AFOSR has released a memo outlining that failure to address and resolve expenditure rates (e.g. expend grant funding in substantial amounts throughout the year) and/or reporting problems could result in limited or no additional funding for grantees to include not fully funding annual award increments or contingent option years.  

Please refer to the Guidance and FAQs webpage for additional information on what a PI should do if due dates change or if due dates are not listed in the award, if the PI is no longer required to provide a written report by the sponsor according to the award schedule or if the reporting conditions have been modified by the sponsor, if a PI can’t meet technical report deadlines, and much more. 

For any questions, please contact the Office of Sponsored Programs at osp@stonybrook.edu.