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Award reporting requirements are outlined either in the general terms and conditions incorporated into an award or are specifically detailed in the award document itself (usually in the case of contracts). The Institute expects that all reports will be prepared accurately and submitted in a timely manner consistent with award obligations and that any reporting problems will be rectified as soon as possible once they have been identified.
OSR is in the process of developing a project termination notice system whereby principal investigators will be notified that a sponsored project is due to end within sixty days. The investigator will be reminded of the final report obligations (usually the report is due within 90 days after termination—or within 45 or 60 days in the case of subrecipient agreements) or, alternatively, that a no-cost extension of the project can be requested through expanded authorities or from the sponsor depending upon the award terms and conditions. An approved project no cost extension defers the final report submission for a concomitant period of time.
Technical Reports
Principal investigators are responsible for preparing all required progress and final technical reports in accordance with the terms of the award. They also are responsible for the timely transmission of those reports to the appropriate sponsor officials (usually, but not limited to, the technical/program officer named in the award document). For awards involving more complex technical reporting requirements, the Summary of Research Agreement (SRA) form prepared and distributed by OSR includes a section that details these reporting obligations in order to facilitate compliance. A copy of the transmittal correspondence and/or final technical report should be sent to OSR simultaneously with its transmission to the sponsor for the Institute’s official files and for audit purposes.
Financial and Other Administrative Reports
OSR is responsible for preparation and timely submission to the sponsor of all financial, invention & patents, and contract closeout reports, and coordinates submission of property and small business subcontracting reports with the appropriate offices in Finance. The reports will be prepared in formats that are sponsor/award specifically directed or reflect generally accepted business practice.
The Research Accounting unit of OSR is responsible for preparation of invoices and interim and final financial reports and contract closeout documents, working with investigators as required. Research Accounting maintains a reporting/billing schedule and handles final voucher and account closeout procedures consistent with award requirements (usually within 90 days of the period of performance termination date). Research Accounting also coordinates with the Finance Office on preparation and submission of property and small business subcontracting plan reports.
The Sponsored Research Administration unit of OSR works with investigators and the Office of University Research and Enterprise Development to prepare and submit invention and patent reports. Sponsored Research Administration also has primary responsibility for addressing overdue report issues raised by sponsors.
Overdue Reports
OSR responds to requests from sponsors regarding any reports that are overdue. In the case of overdue technical reports, OSR will contact the principal investigator to make sure a report is submitted, or, if a report was submitted but the sponsor has no record of receipt, to make sure a duplicate report is transmitted. Copies of the transmittal correspondence and/or the report must be submitted to OSR for the official record. In the case of financial or other administrative reports, OSR will pursue immediate preparation and submission. In all cases OSR will report back on the submission status to the sponsor official who initially notified OSR of the overdue report(s).
OSR is developing more detailed guidelines and procedures on sponsored project reporting that will be shared with the community later this year.
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