A sponsor of an award will typically require periodic reporting during the life of a research project as a means to receive information on the progress of the project as well as reporting at the end of the award to receive information on the final outcomes of the research. The frequency and due dates of the reporting, as well as any specifications on the content of the reporting, will differ between awards, as the needs of each sponsor differ. Additionally, depending upon the nature of the project, a sponsor may require physical deliverables at certain intervals.

Specific reporting and deliverable requirements are typically set forth in the sponsor's award documents or in policies or documents incorporated by reference. Both the award documents and the UCSB Award Synopsis will identify the specific reporting requirements or provide reference to the specific requirements for interim reporting.

The Principal Investigator(s) (PI) should review the provisions of each award and make sure that they are aware of such requirements and the dates for submission.  PIs should pay special attention to requirements that may require them to provide updated active proposal and award or other support information. Many sponsors have started requiring such updates in an effort to address foreign involvement concerns and failure to provide required updates can result in serious consequences for the PIs and the University. For more information, please refer to the links below for the different sponsors and review our Foreign Involvement Disclosure Requirements webpage.

The NSF has published memo number NSF 16-040, Meeting NSF's Technical Reporting Requirements. The memo contains answers to frequently asked questions and links to additional resources and information regarding NSF's reporting requirements.

The NIH public access policy requires scientists to submit final peer-reviewed journal manuscripts that arise from NIH funds to PubMed Central immediately upon acceptance for publication. The UCSB Library provides information and assistance regarding compliance with the NIH policy as well as general information on open-access policies.

Requirements to Update Award Support (Other Support, C&P, RPPRs)

The following message comes directly from NSF’s policy office:

“On October 5, 2020 NSF added the following question to the Edit Participants screen in the RPPR: Has there been a change in the active other support of the PI/PD(s) since the last reporting period? If Principal Investigators (PIs)/Project Directors (PDs) and co-PIs/co-PDs select “Yes,” they will be required to upload their most up-to-date Current and Pending Support document in an NSF-approved format to notify NSF that active other support has changed since the award was made or since the most recent annual report.” 

Please note that changes to active other support can be as simple as a previously pending grant getting awarded (now Current) or a previously active/current grant coming to a conclusion, thereby no longer being included in the Current and Pending document. For more detailed guidance about when a change is considered reportable, and for updated format rules, please refer to NSF’s Current and Pending Support website: https://www.nsf.gov/bfa/dias/policy/cps.jsp 

WHERE TO REPORT:

WHAT TO REPORT:

Post-Award Reports (RPPR)

Generally speaking, all new or previously unreported information in the categories listed in the Proposal Submission Stage section, above. The RPPR calls for detailed information with respect to PIs, co-PIs, senior personnel, and others working on the project, including information regarding both domestic and foreign sources of funding that supported their participation on the project.  The RPPR also requires disclosure of domestic and foreign collaborations and partnering organizations that have been involved with the project.  See additional, newly added requirements, below.

*New Question for Project Reports with Active Other Support Changes, effective October 5, 2020*
Effective October 5, 2020, PIs and co-PIs must include an NSF-approved format for Current and Pending Support when notifying NSF that active other support has changed since the award was made, or since the most recent annual report. 

  • On October 5, 2020, NSF added the following new question to the Edit Participants screen: Has there been a change in the active other support of the PI/PD(s) since the last reporting period? 
  • If Principal Investigators (PIs)/Project Directors (PDs) and co-PIs/co-PDs select “Yes,” they will be required to upload their most up-to-date Current and Pending Support document in an NSF-approved format to notify NSF that active other support has changed since the award was made or since the most recent annual report.
  • Current and Pending Support documents not in an NSF-approved format will trigger a compliance error preventing document upload and submission of the annual or final project report.
  • The NSF-approved formats for Current and Pending Support are SciENcv: Science Experts Network Curriculum Vitae <https://www.ncbi.nlm.nih.gov/sciencv/> and an NSF fillable PDF <https://www.nsf.gov/bfa/dias/policy/nsfapprovedformats/cps.pdf>.
  • The NSF Current and Pending Support <https://www.nsf.gov/bfa/dias/policy/cps.jsp> website includes additional information as well as links to system-related Frequently Asked Questions (FAQs) for both NSF-approved formats. A set of policy-related FAQs related to current and pending support <https://www.nsf.gov/bfa/dias/policy/papp/pappg20_1/faqs_cps20_1.pdf> is also available.
  • The complete lists of FastLane and Research.gov automated proposal compliance checks effective October 5, 2020, are available on the Automated Compliance Checking of NSF Proposals website <https://www.nsf.gov/bfa/dias/policy/autocompliance.jsp>.

This new requirement serves as NSF’s implementation of the revised RPPR, a uniform format for reporting performance progress on Federally-funded research projects and research-related activities.  All of the terms and conditions have been updated to include a new article which establishes a post-award disclosure requirement for undisclosed current support and in-kind contribution information.  Each set of terms and conditions is accompanied by a summary of changes made to that document.  The revised terms and conditions will apply to all new NSF awards and funding amendments to existing NSF awards made on or after October 5, 2020, except for the SBIR/STTR-I and SBIR/STTR-II CA-FATC which became effective July 6, 2020.

*Additional New Questions from the Revised RPPR, effective October 5th, 2020*
Beginning October 5, 2020, NSF will also add the following three questions to the "Impact" and "Changes/Problems" tabs:

  • What was the impact on teaching and educational experiences? (Impact tab);
  • What percentage of the award’s budget was spent in a foreign country? (Impact tab); and
  • Has there been a change in primary performance site location from that originally proposed? (Changes/Problems tab)

For details on what specific information is required to be reported in Current & Pending, please see the Current & Pending section above under "Proposal Submission Stage". 

New clarification regarding on reporting “person months committed to the project” (updated 2/24/2021)

NSF recently updated their Frequently Asked Questions on Current and Pending Support, to provide clarified information on reporting “person months committed to the project” when the individual does not have effort in a given year.  (See updated Questions 3 and 20.)

According to NSF: "It is important to note that NSF is not asking for how much time is budgeted for a particular individual(s), but rather how much time the individual(s) is/are planning to spend to complete the scope of work on the proposed project and/or award. If the individual(s) will be spending time on the proposed project or award, then that time must be reported."

Sources:

NSF Research Performance Progress Report (RPPR) Screenshots and Instructions (note: This page may take a minute or two to load)

Research.gov - About Project Reports

Frequently Asked Questions on Current and Pending Support (Updated February 24, 2021)  

 

Section D.2.c of the NIH RPPR asks the following question: Has there been a change in the active other support or senior/key personnel since the last reporting period? If there has been a change in active other support for any senior/key person since the last reporting period the PI(s) must upload a revised Other Support document for each senior/key person who has a change. Note that the approved NIH Other Support format must be used.

Senior/key personnel are listed in the NIH application in the Senior/Key Person Profile and are defined by NIH as “all individuals who contribute in a substantive, meaningful way to the scientific development or execution of the project, whether or not salaries are requested. Consultants should be included if they meet this definition.”

Please note that changes to active other support can be as simple as a previously pending grant getting awarded (now Active) or a previously active grant coming to a conclusion, thereby no longer being included in the Other Support document. For more detailed guidance about when a change is considered reportable, and for updated format rules, please refer to NIH’s Other Support website: https://grants.nih.gov/grants/forms/othersupport.htm. 

WHERE TO REPORT:

WHAT TO REPORT:


Post-Award Reports (RPPR)

NIH has added the following question to the RPPR:  "D.2.c Changes in Other Support - Has there been a change in the active other support of senior/key personnel since the last reporting period?"

If the answer is "yes" to this question, an Other Support form must be submitted with the RPPR.  See guidelines below, which address what must be reported.

Further, if Other Support is obtained after the initial NIH award period, from any source either through the institution or directly to senior/key personnel, the details must be disclosed in the annual research performance progress report (RPPR). See below for details. Note, however, that a new requirement for immediate reporting (before the RPPR period) will take effect May 25th, 2021.

ATTENTION: NEW CHANGES TO OTHER SUPPORT, EFFECTIVE MAY 25, 2021 AND ENFORCED JANUARY 25, 2022 (see NIH Notice No. NOT-OD-21-073, issued March 12, 2021 and NIH Notice No. NOT-OD-21-110, issued April 28, 2021)

Re-Organization of Form

  • The format page has been restructured, separating funded projects from in-kind contributions.

Signature Block Added

  • All PD/PIs and other senior/key personnel must electronically sign the Other Support form, prior to submission to NIH, certifying that the information is accurate and complete. Other Support forms must be submitted as a flattened PDF, after all signatures are obtained. Original electronic signatures must be maintained and make it available upon request

Supporting Documentation Relating to Foreign Activities or Resources

  • If the Other Support submission includes foreign activities or resources, copies of contracts, grants or any other agreements specific to the PD/PI or other senior/key-personnel's foreign appointments, affiliations, and/or employment with a foreign institution must be included with the Other Support submission. These documents must be translated into English if they are in a foreign language. Please contact your SPO team immediately if NIH has requested supporting documentation (contracts, agreements, etc.) relating to foreign activities and resources that are reported in Other Support, or if a PI is planning to provide such documents to NIH.

Immediate Notification of Undisclosed Other Support

  • If an organization discovers that a PD/PI or other senior/key personnel on an active NIH grant failed to disclose Other Support information outside of Just-in-Time or RPPR submissions, the institution must submit updated Other Support to the Grants Management Specialist named in the Notice of Award as soon as it becomes known.

Formatting & Future Transition to SciENcv

  • NIH anticipates that the SciENcv template for Other Support will be available beginning in FY 2022. Until then, the MS Word version of the Other Support form should be used. (It must be converted to PDF and electronically signed prior to submission.)

In addition to the above new requirements (which go into effect May 25, 2021 and enforced January 25, 2022), current, established NIH policies require that the following items must be reported as Other Support on the RPPR:

New or previously unreported resources that have been made available in support of the research endeavors of all principal investigators and persons designated as senior/key personnel1,  regardless of whether such resources:

  • are Federal or non-Federal
  • are commercial or institutional
  • are domestic or foreign
  • have monetary value or are in-kind
  • involve work is performed inside or outside of a researcher's appointment period
  • are awarded through UCSB, through another institution, or provided directly to the researcher

This includes research grants, cooperative agreements, contracts, and/or institutional awards2, along with in-kind resources, such as:

  • financial support for laboratory personnel
  • lab or office space
  • equipment
  • research materials
  • staff (including post-docs and visiting scholars, including those supported by a foreign institution)
  • high-value materials that are not freely available (such as  biologics, chemical, model systems, technology, etc.).
  • income, salary, consulting fees, and honoraria in support of an individual's research endeavors

New or previously unreported positions and scientific appointments that are relevant to an application, including:

  • academic, professional, and institutional appointments, regardless of whether they are:
    • domestic or foreign
    • paid or unpaid
    • full-time or part-time
    • voluntary, adjunct, visiting, or honorary
  • affiliations with foreign entities or governments
  • foreign ‘talents’ or similar-type programs 

New or previously unreported domestic and foreign research collaborations that directly benefit the researcher’s research endeavors.  

1Senior/key personnel is defined as “other contributors to the project’s scientific development or execution when their involvement is substantive and measurable, whether or not salaries or compensation is requested.”

2 Training awards, prizes, or gifts do not need to be included. Currently, it is not required to report support for attendance or hosting conferences, or travel expenses to give a talk, if they are unrelated to research activities.   

Sources:

Other Support Instructions (updated March 2021)

Frequently Asked Questions (FAQs) - Other Support and Foreign Components (updated August 2021)

Reminders of NIH Policies on Other Support and on Policies related to Financial Conflicts of Interest and Foreign Components

COGR - Commentary on Disclosing Other Support and Other Resources in Research Funded by the National Institute of Health

 

WHERE TO REPORT:

WHAT TO REPORT:

Post-Award Reports (RPPR)

All new or previously unreported information in required categories listed in biosketch or current and pending support sections.

Principal Investigators must also contact the Sponsored Projects Office if any of the responses on the China Questionnaire have changed.

WHERE TO REPORT:

WHAT TO REPORT:

Post-Award Reports (Technical Report)

Information regarding all participants on the project (including those who were not paid) must be reported, and countries of foreign participants must be identified.

Refer to Technical Report instructions for further details. 

WHERE TO REPORT:

WHAT TO REPORT:

Post-Award Reports (RPPR)

In connection with its ban on contractors participating in foreign talent recruitment programs (see above), DOE has implemented quarterly reporting requirements that seek certain information for senior or key personnel:

“With respect to the work being performed under this contract, the contractor must utilize due diligence to ensure that neither it nor any of its employees, applicable subcontractor employees or joint appointees, working at any level, participate in a foreign government talent recruitment program of a foreign country of risk while performing work within the scope of the DOE contract. The contractor must file reports with DOE on a quarterly basis stating whether it or any such employees or joint appointees are participants in a foreign government talent recruitment program of a foreign country of risk, or whether the contractor has a reasonable basis to report such employees or joint appointees as a participant in a foreign government talent recruitment program of a foreign country of risk”

Additionally, if it becomes known that someone working on the DOE contract has been involved in a foreign government talent recruitment program, the contractor have five days to notify the DOE.

“The contractor must notify the Office of Intelligence and Counterintelligence within 5 business days upon, at any time during the term of the contract, including options and extensions, learning that it or any of its employees, applicable subcontractor employees, or joint appointees are or are believed to be participants in a foreign government talent recruitment program of a foreign country of risk.”

Sources:

DOE Order DOE O 486.1 -  Department of Energy Foreign Government Talent Recruitment Programs