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Reporting to the Sponsor

Performance/Technical Reporting

The main product of most university research is a written report or series of reports, and principal investigators (PIs) should ensure that reports are completed and submitted in a timely manner. Typically, sponsors require annual progress and final reports.  It is the responsibility of the PI to know sponsor requirements for performance reporting.

Reports should be prepared according to the instructions provided by the sponsor. If no specific format is provided, the PI should, at a minimum, provide a statement of progress in achieving the stated goals and a list of results (both positive and negative).

The three most common performance reporting problems are late submission, lack of completeness and inaccuracy. If delays beyond your control prevent a timely report, the sponsor should be notified and an extension requested.

A copy of the transmittal letter and final report MUST be provided to Sponsored Projects Services (SPS) in order to complete the close out process of the project.

Delinquent reports may cause a sponsor to:

• Postpone action on further awards, continuations or extensions until all reports are received. (This action is usually directed at individual investigators, but also may be directed at the institution as a whole),
• Withhold payment of invoices, and
• Suspend the award.

Failure to submit reports within a reasonable time will necessitate SPS notifying the PI’s department head or dean, who may take such tardiness into consideration when evaluating the performance of faculty.

Any deficit resulting from a sponsor's refusal to reimburse the University of Oregon (UO) for allowable expenditures due to the failure of a PI to submit the required, acceptable technical report(s) will be the department’s responsibility.

While final reports are directed chiefly to the sponsor, PIs should recognize other interest areas and the UO's ultimate accountability to the public. Since the UO is committed to making research results available without restriction, it is reasonable to budget for informational services in addition to formal reports to sponsors. All reports should be circulated wherever appropriate to achieve the desired impact.

Most sponsors require that written materials contain an acknowledgement of their support, including the award number. Some sponsors require a disclaimer as well. This requirement can usually be found in the award document. If you are not familiar with your sponsor's requirements, contact SPS.

Federal regulations require that final financial reports be submitted within ninety (90) days of the project completion date (official period of performance end date stated in the award).  Certain awards, such as those where the UO is a subrecipient to another institution, will impose shorter reporting periods. This may leave the UO only (60) or (45) days within which to submit the final financial report in order for the prime recipient to meet the 90-day requirement.

Sponsoring agencies and auditors are increasing their monitoring of recipients for compliance with both program and financial reporting requirements. Along with the increased emphasis on timeliness of report submission, sponsors are often unwilling to accept "revised" final reports. Requests to submit revised final reports reflect poorly on the institution as well as the PI; it is viewed as an indication that project management is less than adequate. Consequently, it is extremely important that PI and their units ensure that all project charges are complete and accurate at the time a project ends.

If the final fiscal report includes inappropriate charges, the UO risks disallowance; if it does not include all appropriate charges, the UO is not collecting all costs to which entitled and other UO funds must cover the shortfall. Whenever adjustments are needed to establish the correct project amounts to be reported to the sponsor after the project end date, it is the responsibility of the PI and/or the responsible unit to immediately notify the SPS Grants Financial Coordinator of this fact and to complete all necessary transactions within sixty (60) days after the project end date.

Sponsored Projects Services
August 20 2008