Responsibilities for submitting documents to meet award terms and conditions are a shared responsibility at the University of Maine (UM), but ultimately the PI has responsibility for timely submission. Typically, reports are due annually 30-, 60-, or 90- days post-anniversary date of the award, with some awards allowing longer or requesting on the anniversary date of the award. Requirements for reporting will be specified in the award document. A copy of any final report submitted to the sponsor should be provided to the Office of Research Administration (ORA) as well.
Technical progress reports are often mandated by sponsors. The PI (Principal Investigator) and department administrators should consult each award’s terms and conditions to confirm specific reporting requirements.
Preparation & Submission Timeline
Applicable for reports requiring AOR (Authorized Organizational Representative) approval
Annual or Interim Reports (Federal): PIs must submit technical reports to ORA at least 5 business days before the sponsor’s deadline.
Final Technical Reports: Final reports should be submitted to ORA at least 5 business days before the deadline to allow time for review.
Federal-Wide Research Performance Progress Reports (RPPR)
The PI is responsible for preparing RPPRs according to agency-specific guidelines. Refer to the Federal Research Terms and Conditions andFederal Agency Specific RTCsfor detailed requirements.
PI prepares and submits to sponsor, or sends to ORA for approval if required by the award terms
ORA Review and Submission to Sponsor
ORA will review progress reports within 5 business days of receipt and communicate any necessary revisions.
Upon approval, ORA will submit the report to the sponsor and notify the PI of submission.
These timelines are designed to ensure compliant and timely reporting, supporting the effective administration of sponsored awards. For any report containing financial information or for guidance on sponsor-specific requirements, contact our office at ora@maine.edu.
Review each award’s terms and conditions to confirm reporting requirements, including deadlines and submission guidelines.
Preparation of Progress/Technical Reports
Prepare technical and progress reports, following specific agency requirements:
Federal-Wide RPPR: Prepare reports according to agency guidelines, referring to Federal Research Terms and Conditions and Agency Specific RTCs.
Agency-Specific: Prepare reports according to agency-specific submission protocols (e.g. NSF, NIH, DOE).
Submission Timeline Compliance
Submit all technical reports to ORA at least 5 business days before the sponsor’s deadline if ORA review and approval are required
For final technical reports, ensure submission to ORA 5 days before the deadline to allow time for review.
Direct Submissions and ORA Copies
For agencies like NASA and NEH, submit reports directly to the Program Officer and copy ORA at ora@maine.edu
For non-federal sponsors, submit purely technical reports directly to the sponsor with a copy to ORA. If financial details are included, submit first to ORA for review.
Review of Reports
Review all submitted reports requiring AOR approval within 5 business days of receipt, ensuring compliance with award terms and conditions.
Communicate necessary changes to the PI if any adjustments are needed for compliance.
Submission to Sponsor
Upon review and approval, ORA will:
Submit technical reports to the sponsor for federal agencies (e.g. NIH, DOE, DOJ, NOAA).
Notify the PI once the report is submitted.
Agency-Specific Support
Provide guidance on agency-specific submission requirements, including specific submission platforms (e.g. Research.gov for NSF, NIH guidelines) and any required procedural details outlined in the award.
Financial Review
For reports that include financial information, review submissions to ensure they meet sponsor-specific financial requirements and confirm they are accurate before submission.
Support and Communication
Act as a point of contact for sponsor-related guidance and reporting questions, and provide oversight to facilitate timely and compliant submission practices across all sponsored awards.
