Technical reports document the progress and outcomes of your research activities. These may include:

• Interim or Annual Technical Reports: Required at regular intervals (monthly, quarterly, annually, or as defined by the sponsor) to update on progress, deviations from scope, and remaining tasks.
• Final Technical Reports: Summarize all work completed for the entire project duration and must be submitted separately from interim reports.

Responsibilities

1. Preparation

• The Principal Investigator (PI) and/or Co-PI is responsible for completing technical reports.
• If the report requires expenditure data, please contact GCA@uta.edu for financial information.

2. Submission

• Technical reports are generally completed and submitted independently by the PI.
• For reports that require a director’s signature (e.g., DoEd, Welch) or submission through PostAward, the PI must route the report to PostAward at least five (5) business days before the due date to allow sufficient time for review, signature, and submission.

3. Documentation

• Regardless of who submits the report, a copy must be provided to PostAward along with confirmation of submission for documentation purposes.

 Delayed or missing reports can result in sponsors withholding funding or prohibiting future proposals from the PI or even the university. It is crucial to adhere to all reporting deadlines to maintain compliance and good standing with funding agencies.

These reports summarize equipment purchased with award funds.

Responsibilities:

• PostAward will identify if a property report is due and initiate the process for timely submission
• The PostAward Specialist will work with UTA’s Property Management Department to retrieve equipment data and confirm information with the PI.
• Completed forms will be reviewed, signed by the Authorized Representative, and submitted by PostAward per sponsor guidelines.

The PI/Department must coordinate with Asset Management to ensure that all equipment items are properly tagged in a timely manner. This ensures that complete and accurate equipment information is available for submission when reports are due.

These reports disclose any patentable ideas arising from research activities funded by the award.

Responsibilities:

• The PI must promptly disclose any new patentable idea to the Office of Innovation and Commercialization.
• PostAward will identify if a Patent/Invention report is due and initiate the process for timely submission.
• If patent reports are needed as a requirement of the award. The PostAward Specialist will coordinate with the Innovation and Commercialization Office to complete the necessary documentation and confirm information with the PI.
• Reports will be signed and submitted in accordance with sponsor guidelines. PostAward office will facilitate this process upon receipt of all required confirmation. Some agencies, like the Department of Defense and NASA, require a report even if no patentable outcomes are identified.

• New Award : Upon receiving a new award or amendment, the PostAward Specialist will identify reporting requirements and include this information in the new award email sent to PIs.
• PI Responsibility & Courtesy Reminders: While it is ultimately the PI’s responsibility to track and submit technical reports on time, the PostAward team will provide courtesy reminders to assist with compliance:
• Most Interim and Annual Reports: Initial reminder sent two (2) weeks prior to the due date.
• DHHS RPPR Reports/ Reports submitted through PostAward: Initial reminder sent 30 days prior to the due date.
• Follow-ups: Weekly follow-ups will be sent after the due date until confirmation of submission is received.
• SPA Analysis: Report due dates will also be included in the SPA analysis, which is sent to the PI on an annual basis.

The Research Performance Progress Report (RPPR) is a required annual report for NIH-funded awards. It provides updates on project progress, significant accomplishments, and financial expenditures. Timely submission is crucial to ensure continued funding and compliance with NIH guidelines.

Responsibilities

• The Principal Investigator (PI) is responsible for completing and submitting the RPPR draft in the NIH eRA Commons system.
  • Once completed, the PI must route the RPPR draft to PostAward via Era Commons at least five (5) business days before the due date to ensure sufficient time for review and submission.
• The PostAward Team assists with:
  • Sending reminders (30 days prior)
  • Provides unobligated balance data and payroll data from the financial system
  • Coordinates with subrecipients if applicable.
  • Completes final review and submission of the report

Types of RPPRs & Due Dates

• Streamlined Noncompeting Award Process (SNAP) RPPR: Due 45 days prior to the next budget period (applicable to most K and R awards, except R35).
• Non-SNAP RPPR: Due 60 days prior to the next budget period.
• Fellowship RPPR: Due 45 days prior to the next budget period (for F05, F30, F31, F32, and F33 awards).
• Multi-Year Funded (MYF) RPPR: Due annually on or before the anniversary of the award start date.
• Final RPPR: Due 120 days after the project end date.

RPPR Submission Process

1. Reminders & Notifications:
   • 30 days prior to the due date, the PostAward Team will contact the PI with:
     • A reminder of the RPPR due date and reporting period.
     • A payroll report from Mentis for review and completion of Section D (Participants).
     • Screenshots from UT Share regarding the unobligated balance for Section G.
     • Updated Other Support documentation, if applicable.
     • For subawards, PostAward will contact subrecipients for their Section D participant list.
   • NIH may also send automated reminders.
2. PI Responsibilities in RPPR Submission:
   • Section A: Cover Page – Verify project details.
   • Section B: Accomplishments – Provide an overview of project progress, significant findings, and deviations from the original scope.
     • Significant changes in objectives and scope require prior approval of the agency.
     • The RPPR is not an appropriate vehicle to request such a change.
     • Section B4 is a required section for training grants and must include diversity statement
   • Section C: Products – Ensure publications comply with the NIH Public Access Policy and review auto-populated NCBI publications.
     • For section C4. iEdison reporting is facilitated through UTA’s Innovation and Commercialization Office (innovation@uta.edu) . Please reach out to them early if an invention or patent may result from the award
   • Section D: Participants – List all individuals contributing effort, ensuring compliance with NIH personnel reporting guidelines.
     • For section D1:
       1.  PIs must be listed regardless of level of effort
       2. A Commons ID is required for all individuals with a postdoctoral, graduate or undergraduate role
       3. Each person who has worked at least 1 person month per year (approx. 160 hours or 8.3% of annualized effort) regardless of compensation
       4. Ensure there is not an overlap of commitment with participants in another grant source
       5. Final RPPR will report on individuals who worked on the project during the last budget period minus any no-cost extensions
       6. YES to D.2.a will require prior approval from the sponsor
       7. YES to D.2.b and D.2.d will require biosketches and other support for new additions
       8. YES to D.2.c if there have been any new awards during this reporting period
   • Section E: Impact – Document the significance of research outcomes.
     • Foreign subaward are required to provide copies all lab notebooks, all data, and all documentation relating to grant research activities with a frequency of no less than once per year
     • Guidance can be found here: https://grants.nih.gov/grants/guide/notice-files/NOT-OD-23-182.html
   • Section F: Changes – Disclose any significant project modifications, including changes to human subjects, vertebrate animals, or biohazards.
     • F.1 Changes in approach and reasons for change. Not applicable to most awards. See chapter 7 supplemental instructions. 
     • F.2 Actual or anticipated challenges or delays and actions or plans to resolve them. Describe challenges or delays encountered during the reporting period and plans to resolve. 
     • F.3 Significant changes to human subjects, vertebrate animals, biohazards, and/or select agents. Describe significant deviations, unexpected outcomes or changes in approved protocols for these areas.  Significant changes in objectives and scope require prior approval of the agency. 
     • F.3.a Human Subjects. If human subject studies are or will be different from the previous submission, provide a description and explanation detailing the differences.  Additional or revised inclusion enrollment reports may also be required and should be submitted by clicking the Human Subjects link in Section. G.4 of the RPPR to make necessary updates in the Human Subjects System (HSS).
     • F.3.b Vertebrate Animals. If there are or will be significant changes in the use of vertebrate animals from previous submission, provide a detailed description of the changes.
     • If studies involving live vertebrate animals are planned and were not part of the originally proposed research design, provide a new or revised Vertebrate Animal Section as described in the competing application instructions.
     • F.3.c Biohazards. If the use of biohazards is or will be different from that in the previous submission, provide a description and explanation of the difference(s).
     • F.3.d Select Agents. If the possession, use, or transfer of Select Agents is or will be different from that proposed or has not been approved by regulatory authorities in the previous submission, provide a description and explanation of the differences. 
   • Section G: Special Reporting Requirements – Address any specific terms outlined in the Notice of Award (NOA).
     • G.1 Special Notice of Award Terms and Funding Opportunity Announcement Reporting Requirements. Address any special reporting requirements specified in the award terms and conditions in the Notice of Award (NoA) or Funding Opportunity Announcement (FOA).
     • G.2 Responsible Conduct of Research. Not applicable to most awards.
     • G.3 Mentor’s Report or Sponsor Comments. Not applicable to most awards.
     • G.4 Human Subjects. Clicking the link opens the Human Subjects System (HSS) to report data which is required. 
     • G.4.a Does the project involve human subjects? Select yes or no.
     • G.4.b Inclusion Enrollment Data If inclusion enrollment reporting is required, download and complete the Cumulative Inclusion Enrollment Report, and upload it in Section G.4. If inclusion enrollment reporting is not required, select “Nothing to Report.”
     • G.5 Human Subjects Education Requirement. Are there any newly personnel involved in the design or conduct of human subjects research? If yes, provide each individual’s name, title of the human subjects education program they completed, and a one- sentence description of the program. 
     • G.6 Human Embryonic Stem Cell(s). Does this project involve human embryonic stem cells? If yes, identify the hESC Registration number(s) from the NIH Registry. Select the Add hESC Number button to add the data to the table. If there is a change in the use of hESCs provide an explanation.
     • G.7 Vertebrate Animals. Does this project involve vertebrate animals?
     • G.8 Project/Performance Sites. If there are changes to the project/performance site(s) displayed, edit as appropriate. One of the sites indicated must be identified as the Primary Performance Site.
     • G.9 Foreign Component. Provide the organization name, country, and description of each foreign component.
     • G.10 Estimated unobligated balance.
       1. Estimates are based on all expenses (including anticipated) through the end of the reporting period
       2. PostAward provides a spreadsheet of the project expenses and current unobligated balance, to be returned with the anticipated expenses through the end of the reporting period.
       3. PI reviews the balances in UT Share and accounts for anticipated expenses through the end of the reporting period 
       4. PI’s can contact PostAward to assist with estimated IDC adjustments and final calculations to identify if the remaining balance will be above 25%
     • G.10.a Is it anticipated that an estimated unobligated balance (including prior year carryover) will be greater than 25% of the current year’s total approved budget? The total approved budget equals the current fiscal year award authorization plus any approved carryover of funds from a prior year(s). The numerator equals the total amount available for carryover and the denominator equals the current year’s total approved budget. If yes, provide the estimated unobligated balance. Include the total
     • G.10.b Provide an explanation for unobligated balance. If the estimated unobligated balance exceeds 25% of the current fiscal year award authorization, provide an explanation of why this significant balance remains. If the estimated cumulative total cost dollar amount of the unobligated balance is less than 25% of the current fiscal year award authorization, enter “N/A” in G.10.b. 
     • G.10.c. If authorized to carryover the balance, provide a general description of how it is anticipated that the funds will be spent. To determine carryover authorization, see the NOA.
       1. Recipients not authorized to carryover unobligated balances automatically must submit a prior approval request. 
     • G.11 Program Income. Is program income anticipated during the next budget period? If yes, provide the amount and source(s).
     • G.12 F&A Costs. Is there a change in the performance sites that will affect F&A costs? If yes, provide an explanation.
   • Section H: Budget – Select SF424 Research and Related Budget and follow instructions in the SF424 (R&R) Application Guide. This section is not always required.
     • This section is not available for the Final RPPR
   • Section I: Outcomes – Provide a public summary of project findings.
     • Only required on Final and Interim RPPR
     • Project outcome information will be made public in NIH RePORTER

Key Considerations

• Human Subjects & Foreign Components: Ensure compliance with NIH guidelines, including required documentation for foreign subawards and human subjects’ research.
• Prior Approval Requirements: Any significant changes, including a 25% or greater reduction in PI effort, require prior NIH approval.
• Subaward Reporting: PostAward will coordinate with subrecipients to gather necessary documentation for RPPR submission.

• Error Check: Before submission, an error check should be performed to ensure compliance with NIH system validations.