Policies & Compliance

Award Management

9.8 Reporting Responsibility

Sponsored projects - whether funded through grants, contracts, cooperative agreements, or other mechanisms - typically require periodic reporting to sponsors. These reports document project progress, financial activity, deliverables, and compliance and are essential to continued funding and successful closeout.

The format, frequency, content, and submission method for reports are determined by sponsor requirements and award terms. Responsibility for preparing and submitting reports is shared among the Principal Investigator (PI), the Office of Sponsored Projects (OSP), Grants and Contracts Accounting (GCA), and other University offices, depending on the type of report.

Additional guidance is available in Report under the Grant Life Cycle.

9.8.1 Interim Progress Reports

The Principal Investigator (PI) is responsible for preparing and submitting all required interim or progress reports within the sponsor-specified timeframe and format.

When a sponsor does not prescribe a specific format, progress reports should typically address:

Progress to date relative to the objectives, timeline, and milestones outlined in the approved proposal;
Challenges or delays encountered and steps taken to address them;
Supporting quantitative or qualitative data, as appropriate; and
Significant project-management activities, including staffing changes or materials developed.

Timely submission of interim reports is critical to maintaining good standing with sponsors and may be required for continuation or incremental funding.

9.8.2 Project Closeout Reporting

At the conclusion of a sponsored project, one or more final reports and deliverables are typically required, which may include:

Final technical or programmatic report(s);
Final financial report or invoice;
Patent or invention statement(s); and
Final property or equipment inventory, when applicable.

Closeout requirements are defined by sponsor guidelines and award terms and conditions. PIs should consult OSP well in advance of the project end date to confirm reporting obligations, due dates, and submission responsibilities.

Refer to Closeout in the Grant Life Cycle and Closing Out an Award Overview procedure for additional guidance.

9.8.2.1 Final Technical Reports and Deliverables

The PI is responsible for submitting finalized technical reports and all required deliverables within the sponsor-specified timeframe.

Failure to submit final technical reports may:
Delay or prevent final payment from the sponsor;
Adversely affect the PI's eligibility for future funding; and
Affect the University's standing with the sponsor.

PIs must provide OSP with confirmation of submission of final reports (e.g., a copy, submission receipt, or transmittal summary). If reports contain proprietary or confidential information, such materials must be clearly identified and appropriately marked before submission.

Submitting a thesis, dissertation, or equivalent document in lieu of a required final technical report is generally not acceptable, unless expressly approved by the sponsor.

See also Final Technical Reports in the Grant Life Cycle.

9.8.2.2 Final Financial Report

Grants & Contracts Accounting (GCA) is responsible for preparing and submitting all required final financial reports, invoices, and sponsor draws, in coordination with the administrative department.

At award expiration:

Cost-reimbursable awards may require refunding unexpended funds or collecting outstanding balances;
Fixed-price awards may permit transfer of allowable residual balances in accordance with University policy; and
Clinical trials may involve department-prepared financial summaries, with GCA oversight.

When required by a sponsor, a Contractor's Release may be executed by OSP to acknowledge that the University has no remaining financial claims.

9.8.2.3 Final Property and Equipment Reports

Sponsor requirements regarding title, disposition, and reporting of equipment must be followed at closeout. Many sponsors require a final property inventory report, regardless of title disposition.

Property Management, in coordination with OSP, prepares final inventory reports. PIs must assist with timely verification of equipment status, as unresolved property issues may delay final invoicing or payment.

9.8.2.4 Patent and Invention Report

When required, the Technology Licensing Office (TLO) submits final invention or patent reports on behalf of the University, even when no inventions were made ("negative" reports).

If a potentially patentable discovery arises during the project, the PI must promptly disclose the invention through TLO to preserve intellectual-property rights and comply with sponsor timelines.

See also Final Invention Reports in the Grant Life Cycle

9.8.3 Late Reports or Non-Reporting

Late or missing reports may result in delayed payments, enforcement actions, or restrictions on future funding. If a report cannot be submitted on time, the sponsor must be notified in advance, and any extension or modification must be confirmed in writing.

Industry-sponsored projects and contracts often include detailed deliverables and milestone schedules. Any changes require written approval or a contract amendment.

Federal sponsors, in particular, enforce reporting deadlines strictly and may withhold payments or suspend funding for noncompliance.

9.8.3.1 Sponsor Consequences for Late Reporting

Consequences imposed by sponsors may include:

Suspension or termination of awards;
Withholding of new awards to the PI or University;
Delayed or suspended payments; or
Ineligibility for future funding.

Refer to the Overdue Reporting Escalation Procedure and applicable sponsor policies for current enforcement practices. Federal regulations allow for corrective actions as referenced in §200.339 Remedies for Noncompliance.

9.8.3.2 University Response to Delinquent Reporting

If a PI is unable to complete required reports, the department chair or dean becomes responsible for ensuring submission.

When reporting is significantly delinquent:

OSP will notify the PI and copy department leadership;
Persistent noncompliance may be escalated to the Vice President for Research; and
OSP may suspend processing of new proposals or awards for the PI or department until reporting obligations are satisfied.

In some cases, sponsors may impose broader institutional restrictions until delinquent reports are accepted.

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