91���Ҹ�

CU 91���Ҹ� must submit interim performance and final technical reports per , to comply with award terms. Each federal agency defines its own reporting requirements and deadlines. Individual federal contracts can also have their own requirements tailored to the contract’s Scope of Work.

The criteria for submission of performance/technical reports for non-Federal projects are defined by the sponsors and/or the specific award terms and conditions.��

It is the PI’s responsibility to follow the terms and conditions of their award. OCG uses InfoEd to track award requirements and relies on information from the PI to confirm their compliance with these reports.PIs are responsible for submitting their reports to the sponsor; however, in some cases, federal sponsors require an OCG signing official to complete the process. Review �����’s Guide to Sponsor Reporting Requirements for sponsor specific processes.��

InfoEd is also the official repository for documents that substantiate the sponsor’s authorization of the award and award actions. These documents must be saved following the University’s to confirm that CU 91���Ҹ� has met its award obligations. Sending the reports to OCG releases the PI from the responsibility of retaining these documents for the period specified by the retention schedule. Therefore:

• Upon submission, the PI should send a copy of the report to ocgreports@colorado.edu, or
• If the report is only available in a web format notify ocgreports@colorado.edu that it was submitted and when.��

OCG reviews each award document and associated modifications and lists the progress/technical reporting requirements in the Deliverables screen in the InfoEd system. If a report is more than 30 days late based on InfoEd records, and hasn’t been submitted as required by the sponsor, OCG begins the steps outlined below. Each notice sent to the PI allows ten (10) days to submit the report.

• OCG sends the first email notification to the PI’s Chair or Director and copies the PI, the project’s Fiscal Manager and ocgreports@colorado.edu.
• If the required report is not completed within ten days, a second notice is sent to the PI’s Chair or Director and copies the PI, the project’s Fiscal Manager and ocgreports@colorado.edu.
• If the report is not submitted by the second deadline, OCG sends a final notice to the PI’s Chair or Director with copies to the PI, the project Fiscal Manager, the Director of OCG, and either the 91���Ҹ� and Innovation Office (RIO) or the Associate Dean of the PI’s College or School.�� This notice makes clear it is the final warning and states that OCG will withhold all award actions for the PI’s active projects until the overdue report(s) is submitted.
• If the PI has repeated non-compliance with reporting deadlines, additional corrective actions will be included in the final notice. In these cases, OCG will not submit new proposals for the PI until the overdue report(s) is submitted.
• At this stage, the College, School, or RIO may take additional corrective actions, which could include withholding merit increases during the next merit cycle.��

OCG is often copied on email notifications sent to PIs about overdue reports. In some cases, the sponsor may also contact �����’s Director to request immediate action.

• If OCG or �����’s Director receives notice from a sponsor that a report is more than 30 days overdue, OCG may either:
  • Give the PI a 10-day deadline to submit the report, or
  • Notify the PI’s Chair or Director that OCG will immediately withhold any award action until the report(s) is submitted. This notice will also copy the PI, RIO and the Associate Dean of the PI’s College or School.
• If the sponsor directly requests immediate action, the PI could also be subject to additional corrective action by the College or School or RIO.

Part IV, Section D.1. in the Professional Rights & Duties of Faculty Members Policy states that sanctions for unprofessional conduct should be appropriate to address and correct the issue. The corrective actions outlined in this Procedural Statement are designed with the same intent. Overdue technical and/or progress reports, as identified by the sponsor, require prompt attention to avoid sponsor-imposed penalties.��Escalating Corrective Action Steps:

• First Corrective Step: OCG will place a hold on the PI’s active awards. OCG will not process any incoming requests (e.g., no cost extension) or sponsor actions (e.g., addition funding, period of performance extensions, new awards) until the overdue report(s) is submitted.
• Second Corrective Step: If the PI has a history of repeated non-compliance with reporting, OCG will also stop submitting new proposals for that PI until all overdue reports are submitted. ��
  • In alignment with National Science Foundation policy, this restriction includes any proposal where the individual is listed as PI or co-PI.
  • A faculty member will no longer be considered as having repeated non-compliance once:
    • All overdue reports have been accepted by the sponsor, and
    • No additional reports result in corrective action within the following 12 months
  • If another report becomes overdue within the 12-month period and leads to a First Corrective Step, the faculty member will again be considered non-compliant with reporting requirements. At that point, the proposal submission restriction may be re-applied. This action may also be initiated at the discretion of the PI’s College or School or RIO.��