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<< Part 6. Receiving and Spending Money · Training Index · Part 8. Other Reporting Requirements >>

Learning Points

  • Types of progress reports.
  • What NIAID looks for in a progress report.
  • How to prepare a progress report.
  • Sending a progress report.

Part 7. Annual Progress Report

This is Part 7 of the Grants Policy and Management Training for Foreign Investigators.

To continue funding each year, NIAID grantees must complete a progress report. For domestic grants, read Strategy for Your Grant in the Strategy for NIH Funding.

For more reporting requirements, see Part 8. Other Reporting Requirements.

Table of Contents

Send a Yearly Progress Report

Your initial award established the planned length of your grant and your first year of funding. Keep in mind that the approval of your initial award does not commit the U.S. to an additional award or dollar amount.

NIAID will fund the next year of the grant only after we approve your progress report.

Your progress report is the official request for funding. It explains the grant's progress, detailed budget, and any other changes such as key personnel, and it is just as important to your funding as was your original application.

NIAID uses this report to decide whether to continue funding your grant and if so, at what level.

If you need help with your progress report, contact your grants management specialist or program officer listed in the eRA Commons.

Be on Time

For foreign grantees, progress reports are due 60 days before the start of the next budget period.

As a foreign grantee, your progress reports are due 60 days before the start of the next budget period of your grant. For example, for a budget start date of April 1, your report is due to NIH on February 1.

Make sure you are fully aware of all of your due dates. You won't get warnings or reminders from us or NIH. We won't contact you about it until two weeks after your progress report was due.

It's a good idea for the principal investigator (PI) to keep track of the dates when he or she must send the institution's business office information and to check that the business office has sent it to us.

Find a list of your institution's due progress reports in the eRA Commons. First, find the Institutional Profile File (IPF) number using the IPF Number Search. Then use that number to run a Progress Report Search by IPF Number.

Remember that late progress reports result in late and possibly reduced awards.

And if we contact you about missing information, respond as quickly as possible. We won't fund your next award if we receive an incomplete progress report.

Use eRA Commons

Complete your RPPR in eRA Commons.

Complete your Research Performance Progress Report (RPPR) in eRA Commons.

You'll use the Commons to send your report to NIAID, too, once you've completed the forms.

Follow the instructions in NIH and Other PHS Agency Research Performance Progress Report (RPPR) Instruction Guide and read the rest of our information below.

For clinical trials or research involving human subjects, take additional steps described in Supplemental Grant Application Instructions For All Competing Applications and Progress Reports.

Contact your grants management specialist if you have any questions about the forms.

NIAID will contact your business office directly if we need further information. At that time, we'll provide additional instructions to complete our request.

Complete the Detailed Budget

Justify items and amounts that significantly changed from what you proposed in your application.

For the budget part of the progress report, provide a detailed budget.

Include a justification for items and amounts that have significantly changed from what you proposed. For example:

  • Rebudgeting more than 25 percent of funds within a category.
  • Significant changes in level of effort for the PI.

Also explain if an unobligated balance is likely to be more than 25 percent of the current year's total award.

You cannot request more for direct costs and total costs than the level shown on your most recent Notice of Award unless NIAID has contacted your institution with different funding information, as we do for clinical trial unit (CTU) awards.

Highlight New Key Personnel

Report on the key personnel listed in the Notice of Award only. Do not include information for other significant contributors unless their involvement has changed and they are now listed in the Notice of Award as key personnel.

If you want to add new key personnel, provide your business office with the following:

  • A biosketch for each person.
  • Documentation of training in the protection of human subjects—for anyone involved in the design or conduct of human subjects research. See our sample letter.
  • Other support—update this information when there has been a significant change in effort (e.g., greater than 25 percent) for key personnel listed on the Notice of Award. Include the following as part of a short Progress Report Summary. See the next page.
    • Active support only.
    • Source.
    • Goals.
    • Dates.
    • Annual direct costs of the project.
    • Time commitment for each project—use calendar months.
    • Potential overlap.

Your business office sends the request for NIAID's approval through the grants management specialist listed in the eRA Commons.

Do Not Send Assurances and Certifications

You do not need to send federalwide or animal welfare assurances, IRB approvals, or IACUC documents.

For research involving human subjects or vertebrate animals, you must report additional information in section G of the RPPR.

However, you do not need to send federalwide or animal welfare assurances, IRB approvals, or IACUC documents.

If NIAID needs to see these documents, we will ask.

How Does NIAID Use Your Progress Report?

Your program officer reviews the progress report to make sure you have made sufficient progress to justify our continued funding of the project. Grants management specialists perform an administrative and sometimes a fiscal evaluation of the progress report.

Here are some of the items they will consider:

  • Is progress satisfactory?
  • Have there been or do you propose changes in the scope, goals, or objectives of the project? See Importance of Scope of Research in Part 3. Actions You Can Take as the Project Leader.
  • Are there any changes in key personnel or their level of effort?
  • Is there evidence of scientific overlap?
  • For human subjects, is gender and minority information provided? Are human subject enrollment tables provided, if required?
  • Are there changes or concerns regarding human subjects research or research animal care and use?
  • Are there changes in other support?
  • Did you comply with NIH's public access requirements?

<< Part 6. Receiving and Spending Money · Training Index · Part 8. Other Reporting Requirements >> ​​​​

Last Updated October 31, 2014

Last Reviewed August 13, 2014