Research Performance Progress Reports

This page provides information on the standardized format that federal agencies may use for interim and final progress reporting.

By standardizing the types of information required in performance reports for grants and cooperative agreements, the Research Performance Progress Report (RPPR) is intended to:

  • Benefit award recipients by reducing their administrative effort for project reporting.
  • Make it easier to compare the outputs and outcomes of research and research-related programs across the government.

The following sections detail the RPPR format, as approved by the Office of Management and Budget (OMB) and Office of Science and Technology Policy (OSTP).

Background

Effective with publication of this Notice in the Federal Register, agencies will be able to utilize a uniform format for reporting performance progress on federally-funded research projects and research-related activities. The Research Performance Progress Report (RPPR) directly benefits award recipients by making it easier for them to administer Federal grant and cooperative agreement programs through standardization of the types of information required in performance reports—thereby reducing their administrative effort and costs. The RPPR also will make it easier to compare the outputs, outcomes, etc. of research and research-related programs across the government.

The RPPR resulted from an initiative of the Research Business Models (RBM), an Interagency Working Group of the Social, Behavioral & Economic Research Subcommittee of the Committee on Science (CoS), a committee of the National Science and Technology Council (NSTC). One of the RBM Subcommittee’s priority areas is to create greater consistency in the administration of Federal research awards. Given the increasing complexity of interdisciplinary and interagency research, it is important for Federal agencies to manage awards in a similar fashion. The RPPR is to be used by agencies that support research and research-related activities for use in submission of progress reports. It is intended to replace other performance reporting formats currently in use by agencies. The RPPR does not change the performance reporting requirements specified in 2 CFR § 200.

The original version of the RPPR format was implemented by several agencies during FY2013. The format was subsequently revised to incorporate lessons learned by agencies during the initial implementation. The approach also was changed from using the format for interim progress reports only, to using the format for both interim and final progress reports.

Standard Cover Page Data Elements and Reporting Categories

The standard cover page data elements shown below, as well as mandatory and optional components comprise the complete research performance progress report format. If an agency has an electronic reporting system that can identify the award and the recipient, it is not required to collect the standard institutional information included in the cover page data elements.

Each category in the RPPR is a separate reporting component. Agencies will require award recipients to report on "Accomplishments." As needed, agencies also may use optional components of the format to request additional information. Within a particular component, agencies should direct recipients to complete only those questions that are relevant to the award or agency. If recipients have nothing significant to report during the reporting period on a question or item, they will be asked to state "Nothing to Report."

Agencies will utilize the standard instructions that have been developed for each category, but may provide additional program-specific instructions, but only where necessary to clarify a requirement for a particular program.

Agencies may develop additional agency- or program-specific reporting components and instructions (e.g., the National Institutes of Health may need to collect information on clinical trials in certain types of awards); however, to maintain maximum uniformity, agencies will be instructed to minimize the degree to which they supplement the standard categories. Such agency- or program-specific requirements will require review and clearance by OMB.

In some cases, agencies may require demographic information about significant contributors to this project1. In such cases, information should be reported directly from significant contributors, rather than the recipient. The Appendix includes standard instructions that agencies will provide for collection of demographic information from significant contributors. When data is collected from significant contributors, such collection should be made through a system that assures the data is provided directly from only the specific individual and not through a third party. Further, agencies will assure protection of such data following all applicable Federal policies concerning Personal Identifiable Information.

Agencies also may use other OMB-approved reporting formats, if those formats are better suited to the agency's reporting requirements: for example, for research centers/institutes, clinical trials, or fellowship/training awards or in connection to reporting on program performance. Note: Agencies will be required to submit, through the Paperwork Reduction Act, revisions to their currently approved performance progress reporting information collections in order to comply with the uniform RPPR format.

1. A significant contributor is a PD/PI or an individual who has worked at least one person month per year on the project during the reporting period, regardless of the source of compensation (a person month equals approximately 160 hours of effort).

Cover Page Data Elements

  • Federal Agency and Organization Element to Which the Report is Submitted
  • Federal Grant or Other Identifying Number Assigned by Agency
  • Project Title
  • Project Director/Principal Investigator (PD/PI) Name, Title and Contact Information (e-mail address and phone number)
  • Name of Submitting Official, Title, and Contact Information (e-mail address and phone number), if other than PD/PI
  • Submission Date
  • DUNS and EIN Numbers
  • Recipient Organization (Name and Address)
  • Recipient Identifying Number or Account Number, if any
  • Project/Grant Period (Start Date, End Date)
  • Reporting Period End Date
  • Report Term or Frequency (annual, semi-annual, quarterly, other)
  • Final Report? Select Yes or No
  • Signature of Submitting Official (signature shall be submitted in accordance with agency- specific instructions)

Mandatory Reporting Category

Accomplishments: What was done? What was learned?

The information provided in this section allows the awarding agency to assess whether satisfactory progress has been made during this reporting period.

The PD/PI is reminded that the recipient organization is required to obtain prior written approval from the awarding agency grants official whenever there are significant changes in the project or its direction. See agency specific instructions for submission of these requests.

  • What were the major goals and objectives of this project?
  • What was accomplished under these goals?
  • What opportunities for training and professional development has the project provided?
  • How were the results disseminated to communities of interest?
  • What do you plan to do during the next reporting period to accomplish the goals and objectives?

State "Nothing to Report" if this is the final report.

What were the major goals and objectives of this project?

List the major goals of the project as stated in the approved application or as approved by the agency, including the scientific or technological objectives of this effort. Describe the proposed technical approach to obtain those goals. If the application listed milestones/target dates for important activities or phases of the project, identify these dates and show actual completion dates or the percentage of completion.

Generally, the goals will not change from one reporting period to the next and are unlikely to change during the final reporting period. However, if the awarding agency approved changes to the goals during the reporting period, list the revised goals and objectives. Also explain any significant changes in approach or methods from the agency approved application or plan.

What was accomplished under these goals?

For this reporting period describe: 1) major activities; 2) specific objectives; 3) significant results or key outcomes, including major findings, developments, or conclusions (both positive and negative); and/or 4) other achievements. Include a discussion of stated goals not met. As the project progresses to completion, the emphasis in reporting in this section should shift from reporting activities to reporting accomplishments.

What opportunities for training and professional development has the project provided?

If the project was not intended to provide training and professional development opportunities or there is nothing significant to report during this reporting period, state "Nothing to Report."

Describe opportunities provided for training and professional development to anyone who worked on the project or anyone who was involved in the activities supported by the project for this reporting period. "Training" activities are those in which individuals with advanced professional skills and experience assist others in attaining greater proficiency. Training activities may include, for example, courses or one-on-one work with a mentor. "Professional development" activities result in increased knowledge or skill in one's area of expertise and may include workshops, conferences, seminars, study groups, and individual study. Include participation in conferences, workshops, and seminars not listed under major activities.

How were the results disseminated to communities of interest?

If there is nothing significant to report during this reporting period, state "Nothing to Report."

Describe how the results were disseminated to communities of interest for this reporting period. Include any outreach activities that were undertaken to reach members of communities who are not usually aware of these project activities, for the purpose of enhancing public understanding and increasing interest in learning and careers in science, technology, and the humanities.

What do you plan to do during the next reporting period to accomplish the goals and objectives?

If there are no changes to the agency-approved application or plan for this project or if this is the final report, state "Nothing to Report."

Describe briefly what you plan to do during the next reporting period to accomplish the goals and objectives.

Optional Categories

Products: What has the project produced?

Agencies evaluate what the products demonstrate about the excellence and significance of the project and the efficacy with which the results are being communicated to colleagues, potential users, and the public, not the number of publications.

Many projects (though not all) develop significant products other than publications. Agencies assess and report both publications and other products to Congress, communities of interest, and the public.


Participants and Other Collaborating Organizations: Who has been involved?

Agencies need to know who worked on the project to gauge and report performance in promoting partnerships and collaborations.


Impact: What was the impact of the project? How has it contributed?

Over the years, the base of knowledge, techniques, people, and infrastructure created from research and research-related programs is drawn upon again and again for application to commercial technology and the economy, to health and safety, to cost-efficient environmental protection, to the solution of social problems, to numerous other aspects of the public welfare, and to other fields of endeavor.

The taxpaying public and its representatives deserve a periodic assessment to show them how the investments they make benefit the nation. Through this reporting format, and especially this section, recipients support that assessment.

Agencies use this information to assess how their research and research-related programs:

  • increase the body of knowledge and techniques;
  • enlarge the pool of people trained to develop knowledge and techniques or put it to use; and
  • improve the physical, institutional, and information resources that enable those people to get their training and perform their functions.


Changes/Problems

The PD/PI is reminded that the recipient organization is required to obtain prior written approval from the awarding agency grants official whenever there are significant changes in the project or its direction. See agency specific instructions for submission of these requests. If not previously reported in writing, provide the following additional information, if applicable:

  • Changes in approach and reasons for change.
  • Actual or anticipated problems or delays and actions or plans to resolve them.
  • Changes that had a significant impact on expenditures.
  • Significant changes in use or care of human subjects, vertebrate animals, biohazards, and/or select agents.
  • Change of primary performance site location from that originally proposed.


Special Reporting Requirements

Respond to any special reporting requirements specified in the award terms and conditions, as well as any award specific reporting requirements.


Budgetary Information

This component will be used to collect budgetary data from the recipient organization. The information will be used in conducting periodic administrative/budgetary reviews. One of the following budgetary formats, as identified by the agency, will be used to submit this information.

*Please note that these budgetary forms are identical to those included in the SF 424 R&R forms family, as implemented by Grants.gov. As these forms are updated in Grants.gov, these budget forms will change accordingly.


Project Outcomes: What were the outcomes of the award?

Agencies use this information at the completion of the award to ascertain the cumulative outcomes or findings of a project. Describe project outcomes specifically for the public to provide insight into the outcomes of Federally-funded research, education, and other activities. Agencies may make this information available to the public in an electronic format.

Appendix

Demographic Information for Significant Contributors

Agencies may require that recipients provide demographic data about significant contributors for a variety of purposes, including the following:

  • to gauge whether our programs and other opportunities are fairly reaching and benefiting everyone regardless of demographic category;
  • to ensure that those in under-represented groups have the same knowledge of and access to programs, meetings, vacancies, and other research and educational opportunities as everyone else;
  • to gauge and report performance in promoting partnerships and collaborations;
  • to assess involvement of international investigators or students in work we support;
  • to track the evolution of changing science, technology, engineering and mathematics (STEM) fields at different points in the pipeline (e.g., medicine and law demographics have recently changed dramatically);
  • to raise investigator and agency staff awareness of the involvement of under-represented groups in research;
  • to encourage the development of creative approaches for tapping into the full spectrum of talent of the STEM workforce;
  • to respond to external requests for data of this nature from a variety of sources, including the National Academies, Congress, etc.; and
  • to respond to legislatively-required analysis of workforce dynamics. Legislation requires at least one agency to routinely estimate scientific workforce needs. This analysis is accomplished through reviewing demographic data submitted for the existing workforce.

Demographic data (i.e., gender, ethnicity, race, and disability status) should be provided directly by significant contributors, with the understanding that submission of such data is voluntary. There are no adverse consequences if the data are not provided. Confidentiality of demographic data will be in accordance with agency's policy and practices for complying with the requirements of the Privacy Act.

  • Gender:
    • Male
    • Female
    • Do not wish to provide
  • Ethnicity:
    • Hispanic or Latina/o
    • Not-Hispanic or not-Latina/o
    • Do not wish to provide
  • Race (select one or more):
    • American Indian or Alaska Native
    • Asian
    • Black or African American
    • Native Hawaiian or other Pacific Islander
    • White
    • Do not wish to provide
  • Disability Status:
    • Yes (check yes if any of the following apply to you)
      • Deaf or serious difficulty hearing
      • Blind or serious difficulty seeing even when wearing glasses
      • Serious difficulty walking or climbing stairs
      • Other serious disability related to a physical, mental, or emotional condition.
    • No
    • Do not wish to provide

      This measure is designed as a binary measure; it encompasses all self-reported disabilities. Please do not use it to report the number of individuals who have different types of disabilities (e.g., hearing impairments).

      Note: This construct is not designed to be used at an individual-level (i.e., it should not be used for determining accommodation needs or disability status for particular individuals associated with the project).

RPPR Data Dictionary

The RPPR data dictionary provides a common data platform for systems and provides agencies an efficient means to share and receive information. It defines all the data elements that may be collected per the RPPR policy.