Noncompeting Progress Reports and Program Officer Approval

Purpose

To document progress of a grant annually through a noncompeting progress report and document a program officer's evaluation of the progress report in IMPAC.

Procedure

Progress reports are a required part of annual reporting to document grant progress. They describe scientific progress and identify changes in objectives, scope, or key personnel. Grantees must submit annual progress reports using the PHS 2590.

The principal investigator does not sign progress reports. Instead, the PI will sign and date a PI signature assurance that the grantee organization will keep on file.

For eSNAP, the sign-off function can serve as the PI signature assurance. However, for multiple PI grants, investigators other than the contact PI must provide a separate signature assurance. For more information, read the May 1, 2007, Guide notice.

Generally, grantees with automatic carryover authority submit progress reports using the streamlined noncompeting award process (SNAP). A Notice of Award states whether a grantee can use SNAP.

SNAP progress reports include the following PHS 2590 forms:

• Form pages 1, 5, and 7 (face page, progress summary, key personnel report). The progress summary should not exceed two pages.
• Form page 6 (checklist) if a change in performance site affects facilities and administrative (F&A) costs or if the grantee anticipates program income.
• Biographical Sketches for any new other significant contributors.
• A revised Targeted/Planned Enrollment Page if demographic information for participants in a clinical trial has changed since the study was originally approved for funding.
• An Inclusion Enrollment Report Page for NIH-defined phase III clinical trials.

Be sure to read the PHS 2590 instructions for complete details.

SNAP progress reports may be paper or electronic (eSNAP). See Submit Your Report Electronically and Submit Your Report on Paper in the NIH Grant Cycle: Application to Renewal.

Grantees that do not have automatic carryover authority may not submit a SNAP progress report. A non-SNAP report includes all the information in a SNAP as well as pages 2 and 3 of the PHS 2590 (detailed budget and budget justification). Non-SNAP progress reports are always submitted on paper.

Printed progress reports, whether SNAP or non-SNAP, are due two months before the budget period start date, except for T32s and T35s which are due four months before. eSNAP progress reports are due 45 days before the budget period start date, instead of 60 days for paper submissions.

Program and Grants Management Program (GMP) staff must approve noncompeting progress reports before GMP can issue an award. IMPAC documents program officer approval or disapproval of progress reports.

Find more information in Send Us an Annual Progress Report in the NIH Grant Cycle: Application to Renewal, and Progress Reports and eSNAP questions and answers.

Grantees and PIs

Authorized organizational representatives

• You can find a list of due progress reports in the eRA Commons at Progress Report Search by Institutional Profile File (IPF) Number. To find your IPF number, use the IPF Number Search.
• Secure a PI signature assurance and keep it on file.
• Submit PI's progress report and other required documents. Use the PHS 2590 and read the instructions carefully. For more information on submitting, including instructions for multiple PI grants, read Send Us an Annual Progress Report in the NIH Grant Cycle: Application to Renewal.

PIs

• Once your institution creates a Commons account profile for you, access progress report due dates and links to pre-populated face pages.
• Check your Notice of Award and contact your authorized organizational representative to see if you may submit a progress report using SNAP. Go to What Forms to Fill Out for Your Annual Progress Report in the NIH Grant Cycle: Application to Renewal.
• Submit a categorical budget if you anticipate significant rebudgeting.
• Prepare a PHS 2590 and send it to your authorized organizational representative for review, signature, and submission to NIH. See Send Us an Annual Progress Report in the NIH Grant Cycle: Application to Renewal.
• Sign a PI signature assurance for your authorized organizational representative to keep on file.

Program Officers

• Review progress reports to do the following:
  • Evaluate scientific progress during the past budget period. Request additional information from the PI if necessary.
  • Determine whether there has been a change in scope due to documented changes in the use of human subjects.
  • Confirm that NIAID still has justification for funding the project.
• Document your review and approval or disapproval of progress reports electronically using the program officer checklist in IMPAC's Program module (PGM). The checklist documents your evaluation of scientific progress for the electronic grant file.
  • For all grants except for T32s and T35s, generate checklists by the 10th of the month before the grant anniversary date. For T32 and T35 grants, generate checklists two and a half months before the start date.
  • Use the Program Signoff Notes section to document approval or disapproval of changes in staffing, personnel effort, changes in scope, or plans to use funds in the upcoming budget period. Identify issues that may require follow-up by a grants management specialist.

For step-by-step instructions on using the PGM to review progress reports, see Complete a Program Official Checklist.

For more information on program officer responsibilities, see NIH Policy Manual Chapter 54444, Evaluation of Grant Progress Reports by Program Officials.

NIAID staff can obtain an IMPAC account by completing the IMPAC II Registration Form.

Grants Management Specialists

• Evaluate the grant's administrative and fiscal status.
• Perform an administrative evaluation using information in the progress report. Perform a fiscal evaluation if the grant is non-SNAP.
• Access the program officer checklist from the IMPAC Grants Management module. Review the checklist for the program officer's recommendations and for items that require follow-up.
• Do not issue an award without an electronically signed checklist.
• Issue the award at the committed total cost level, unless the following applies:
  • A different funding plan is in effect. For example, the NIAID Financial Management Plan may require that all noncompeting research project grant awards be reduced to a percentage of the committed total costs. All future years would be adjusted to this level also.
  • An error was made in calculating the total cost commitment.
  • An adjustment is required for a recently negotiated F&A rate and the date of the new agreement is more than 30 days before the budget period start date on the award which first provided the total cost commitments.
  • There is a case of significant rebudgeting or other circumstances where it would be unreasonable or unfair not to make the adjustment.
• Check with the NIAID Budget Office if a grant requires an increase of more than $3,000 over the committed level for an award during the fourth quarter (July, August, and September).
• Upload all official file grant documents into eGrants.
• You and a grants management officer must sign and release awards in IMPAC.

For more of your responsibilities, read GMP'sNon-Competing Progress Reports (eSNAPs and SNAPs) SOP.

Contacts

See the GMP Assignments by Geographic Region and Program Code for the appropriate GMP specialist.

If you have knowledge to share or want more information on this topic, email deaweb@niaid.nih.gov with the title of this page or its URL and your question or comment. Thanks for helping us clarify and expand our knowledge base.

Links

eSNAP (Electronic Streamlined Noncompeting Award Process) SOP

IMPAC and CRISP SOP

IMPAC II IC Operations System User's Guide

IMPAC II Program Module User's Guide

PHS 2590 Noncompeting Grant Progress Report

Program Officer Checklist SOP

Staff training -- Approve Noncompeting Continuation Progress Reports