Timely Submission of Sponsor Reports
Reporting to Sponsors on Externally Funded Research
Timely Submission of Sponsor Reports
Principal Investigators (PIs) are responsible for ensuring that all required technical, progress, final, financial, and other sponsor-mandated reports are submitted by the deadlines specified in the award terms and conditions.
Award reporting is a critical component of federal award compliance. Required reports document project progress, support accountability for the use of sponsor funds, and demonstrate adherence to award terms and conditions. Late or incomplete reporting can jeopardize current and future funding and may delay funding, restrict future awards, or otherwise impact the university’s standing with the sponsor.
NOTE: Many sponsors are taking actions to unilaterally close awards that have not submitted reports. This type of closeout is non-reversable and puts researchers and the University at risk from receiving future awards due to non-compliance. To avoid this scenario, the Vice President for Research has implemented the following escalation process to help ensure compliance.
To support compliance with this sponsor requirement, Sponsored Research Services (SRS) monitors report due dates and follows an escalating notification process when reports become overdue.
The general process is as follows:
- If submitting via sponsor website, submit the report to the sponsor by the due date and provide a PDF of the report to SRS at postaward@rit.edu.
- If submitting the report to the sponsor via email, copy postaward@rit.edu on the submission.
- In cases where SRS is assisting with report submissions (i.e. NIH, NASA) SRS will use the versions provided for the award record.
While many sponsors provide email confirmations of report submissions as well as their own report reminders, SRS may still request copies of project reports for retention, compliance, and audit purposes. As delinquency duration for unsubmitted reports increases, the PI’s department head and dean (and eventually the Vice President for Research) are included on notices as outlined below.
Late Project Reporting Escalation Process
30 Days Before the Due Date
Reminder Notice
The Novelution system sends a courtesy reminder to the PI approximately thirty days before the report due date.
Action Required:
- Submit the report to the sponsor within the thirty-day window 30 Days Overdue
First Notice
If SRS has not received confirmation that the report was submitted, the PI may receive a first overdue notice after thirty days have elapsed.
Action Required:
- Submit the overdue report to the sponsor within the next five business days.
- Copy postaward@rit.edu on the submission.
- Contact SRS if the report was already submitted or if the notice was received in error.
45 Days Overdue
Second Notice
The PI, the PI’s Department Head, and the assigned SRS Post-Award Representative are notified that the report remains outstanding.
Why This Matters:
- Overdue reports are a compliance issue.
- Delinquent reporting may negatively affect RIT's relationship with sponsors and future funding opportunities.
Action Required:
- Submit the report immediately and provide a copy and confirmation of submission to SRS at postaward@rit.edu .
60 Days Overdue
Third Notice
If the report remains outstanding, an additional escalation notice is sent to the PI and university leadership, including:
- Vice President for Research (or designee)
- Dean
- Department Head
- SRS Post-Award Representative
- Sponsored Programs Accounting (SPA) Post-Award Representative
Why This Matters:
- Continued non-compliance may create audit risks for both the project and the university.
- Immediate corrective action is expected.
Action Required:
- Submit the report immediately and provide a copy and confirmation of submission to SRS at postaward@rit.edu .
75 Days Overdue
Final Notice
A final notice will be issued by the Vice President for Research.
Action Required:
- The report must be submitted the day of the notice.
- Failure to comply may result in a requirement to suspend project activities until reporting obligations have been satisfied.
Stop Work Directive
Failure to Resolve Reporting Delinquency
If the report remains outstanding after the final notice period, RIT may issue a Stop Work Notice.
Under a Stop Work Notice:
- The PI must cease work on the affected project.
- Project activities may not resume until the report has been submitted.
- To release a Stop Work directive, the PI must provide:
- A copy of the completed report.
- Proof of submission to the sponsor.
- Documentation must be sent to postaward@rit.edu.
Once SRS verifies compliance, notification will be provided authorizing the resumption of project activities.
Escalation Summary
| Timeline | Notification | Recipients | |
|---|---|---|---|
| 7 Days Before Due Date | Automated Reminder Notice from Novelution | PI | |
| 30 Days Overdue | First Notice | PI | |
| 45 Days Overdue | Second Notice | PI, Department Head, SRS Post-Award Representative | |
| 60 Days Overdue | Third Notice | PI, Dean, Department Head, SRS, SPA, SRS Executive Director | |
| 75 Days Overdue | Final Notice |
|
|
| 90+ Days Overdue | Stop Work Notice | All of the above and pertinent University Leadership |
Best Practices
To avoid escalation:
- Track all sponsor reporting deadlines.
- Begin report preparation well in advance of due dates.
- Retain proof of submission.
- Copy postaward@rit.edu when reports are submitted.
- Contact your SRS Post-Award Representative if you anticipate delays or need assistance meeting reporting requirements.
Important: Timely report submission is a responsibility of the Principal Investigator and a key component of maintaining sponsor compliance and protecting RIT's ability to receive future funding.
Frequently Asked Questions
This escalation process applies to any sponsor-required report that Sponsored Research Services (SRS) tracks for compliance purposes. Depending on the award, this may include:
- Technical or progress reports
- Scientific reports
- Interim reports
- Final reports
- Project performance reports
- Other sponsor-required deliverables identified in the award terms and conditions
SRS endeavors to include all reports and due dates in the PI's Novelution record. Some awards do not have specific due dates or are deliverables based, and the award document will contain the necessary dates/schedule. Novelution monitors report due dates and sends a reminder approximately seven days before a report is due. However, the Principal Investigator remains responsible for complying with all reporting requirements, regardless of whether a reminder is received.
This is sponsor specific. For example, the National Science Foundation still requires an annual report, however, on many National Institutes of Health awards the annual report prior to the extension year is deferred if you have a NCE. Be sure to check your award documentation for specifics or reach out to your assigned post award representative.
SRS may not have received documentation confirming that the report was submitted.
If you receive a notice after submitting your report:
- Forward a copy of the submitted report or the sponsor confirmation email to postaward@rit.edu.
- Include the award number and sponsor name in your communication.
SRS will review the information and update its records as appropriate.
If a report becomes overdue, please submit the report as soon as possible. If the report is still not filed after a period of time, SRS follows a structured escalation process that includes reminders to the PI and, if necessary, notifications to departmental and university leadership.
The escalation path includes:
- 30-Day Overdue Notice
- 45-Day Overdue Notice
- 60-Day Overdue Notice
- 75-Day Final Notice
- Stop Work Directive
The purpose of the process is to achieve compliance before more significant actions become necessary.
Sponsors rely on timely reporting to assess project progress and compliance with award requirements. Delinquent reports can:
- Delay sponsor payments
- Delay award closeout
- Impact future funding opportunities
- Create compliance concerns
- Result in sponsor findings or audit issues
Timely reporting helps protect both the individual project and RIT's research enterprise.
The notification list expands as a report remains overdue.
Depending on the stage of escalation, notifications may include:
- Principal Investigator (PI)
- Department Head
- Dean
- Sponsored Research Services (SRS)
- Sponsored Programs Accounting (SPA)
- Vice President for Research (or designee)
If circumstances arise that may affect your ability to meet a reporting deadline, contact your SRS Post-Award Representative as soon as possible.
Early communication may allow SRS to:
- Assist with sponsor communications
- Confirm reporting requirements
- Discuss possible extensions where permitted by the sponsor
In most cases, no.
Technical, scientific, and project performance reports are generally the responsibility of the Principal Investigator because they require project-specific knowledge and certification of work completed.
SRS can assist with understanding sponsor requirements and submission procedures but cannot prepare the technical content of the report.
A Stop Work Directive is the final step in the escalation process and may be issued when required reports remain outstanding despite repeated reminders and notifications.
Under a Stop Work Directive:
- Project work must cease.
- Expenses should not be incurred on the project.
- The PI must submit the overdue report and provide proof of submission.
- Work may resume only after SRS confirms that compliance requirements have been satisfied.
Recommended best practices include:
- Reviewing award reporting requirements at project start-up.
- Tracking sponsor deadlines in a calendar or project management system.
- Beginning report preparation well before the due date.
- Maintaining records of report submissions.
- Copying postaward@rit.edu when reports are submitted.
- Contacting SRS promptly if issues arise.
For questions regarding reporting requirements, due dates, overdue notices, or the escalation process, contact:
Sponsored Research Services (SRS)
SRS staff are available to help investigators understand sponsor requirements and maintain compliance with award terms and conditions.
✅ Report reminders begin 7 days before the deadline
✅ Escalation begins at 30 days overdue
✅ Leadership notifications increase as reports remain outstanding
✅ A Stop Work Directive may be issued for persistent non-compliance
✅ Copy postaward@rit.edu on all report submissions to help prevent unnecessary reminders