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Contract and Grant Administration

Report Submission Roles & Responsibilities

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These tables describe the roles and responsibilities of the individuals at MSU involved in preparing, reviewing and submitting reports related to sponsored projects.  The categories are not all-inclusive, but rather provide the primary activities and services needed for timely and accurate reporting of financial and program information.

Typically, the college/department Research Administrator (RA) is the liaison between the Office of Sponsored Programs (OSP) and Contract and Grant Administration (CGA) and the PI; however, in some instances, the PI may act in that lead role.

Contents:

Legend:

  • L = Lead
  • R = Reviewer
  • * = Communicator with CGA

Interim Financial Report

Step CGA PI RA Compliance Task
1.1 L   R*    Determine who prepares financial report, CGA or department. Departments prepare financial reports that include budget detail not obtainable from the account operating statement. If department is to prepare, CGA sends email to department with report information, including date due and length of time needed by CGA to review report before submission.
1.2     L    If department prepares report:  Prepare report and send to CGA Reports for review.
1.3 L   R*    Review expenses processed during the report period.  If applicable, request additional information from the Research Administrator:  supporting documentation for expenses, detailed budget itemization, cost share (non- effort), information for carryforward request, and/or progress information.
1.4     L    Need Supporting Documentation:  If applicable, provide supporting documentation for expenses, budget itemization and/or cost share as requested by CGA.
1.5 L        CGA Review of Supporting Documentation:  If applicable, review supporting documentation obtained from the PI and RA in step 1.4.
1.6   L R    Need to Provide Progress Information:  If applicable, provide progress information to include in report form or to submit simultaneously with financial report.
1.7 L        CGA Review of Progress Information:  If applicable, review progress information obtained from the PI and RA obtained in Step 1.6.
1.8 L        Cost share.  If effort is to be included as cost share, run cost share summary report.
1.9 L        Prepare financial report, or review report if already prepared by the department, and reconcile to the operating statement.
1.10 L        If CGA is to submit report(s):  Submit report(s).  If funds are requested and submission is via email, include CGA Accounts Receivable (A/R) in the submission. If submission is completed via a system, print a pdf copy of the report and forward to A/R.  If funds are not being requested save a copy of the report submission in the account notes (email or system).
1.11 R L R    If PI is to submit report(s): Submits report(s), copying CGA if submission is completed via email. If not submitted via email forward copy of submission confirmation to CGA for account file. 
1.12 L        If PI is to submit report(s):  CGA receives copy of report(s) from PI as indicated in step 1.11, reviews and saves in account notes then forwards to A/R, if necessary.
1.13 L        If funds were requested, record invoice in A/R and track payment.

Final Financial Report

Step CGA PI RA Compliance Task
2.1 L        Send email to RA with closeout memo attached, indicating the final report due date and request confirmation that a final financial report should be prepared.
2.2     L    Review email from step 2.1 and send response to CGA regarding project completion.  If a no cost extension is needed include in response to CGA. 
2.3 L        Review email and if project is not complete, review agreement to determine if an interim financial report is required.  If required, go to step 1.1 above. If a no cost extension is needed send department response from step 2.2 to Awards.
2.4 L        If project is complete, determine if CGA or department will prepare the report and review agreement to determine if any additional closeout reports are required.
2.5 L        Review expenses processed during the report period.
2.6 L        Cost share.  If effort is to be included as cost share, run and review cost share summary report.
2.7 L        Request additional information (CGA): Email RA and PI, as applicable: supporting documentation for expenses, encumbrances or expenses not yet in process, cost share, progress information, detailed budget itemization and/or equipment report
2.8   R L    Provide additional information (RA):  As applicable, provide information requested related to expenses, encumbrances, cost share, and/or equipment report, and complete and return closeout memo.
2.9   L R    Provide additional information (PI):  If applicable, provide final progress information.
2.10 L        Review information received from RA and PI.
2.11 L        If required per the agreement, send IP form to MSUT.
2.12 R     L - MSUT  Complete IP report and return to CGA.
2.13 L        Prepare draft financial report, or review department prepared report, reconcile to operating statement and send to RA for final review and/or comments.
2.14   R L    If CGA prepared report:  Review report and confirm accuracy with department records.
2.15   R L    If CGA prepared report:  Notify CGA if changes are necessary or with approval that report can be submitted.
2.16 L        Make changes as needed from step 2.15.  If no changes, prepare report.
2.17 L        If CGA is to submit report(s):  Submit report(s) including financial, IP and equipment reports, as applicable.  Copy CGA A/R on submission if funds are being requested and submission is completed via email. If submission is via an online system send pdf copy of submission to A/R. If funds are not being requested, save copy of report and submission to account notes.
2.18   L R    If PI is to submit report(s):  Submit report(s) including financial, IP and equipment reports as applicable, copying CGA if submission is completed via email. If not submitted via email, forward copy of submission confirmation to CGA for account file. 
2.19 L        Receive copy of report(s) from PI from step 2.18, review and forward financial report to A/R, if applicable. Save copy in account notes. 
2.20 L        If funds were requested, record invoice in A/R and track payment.

Progress Report

Step CGA PI RA Compliance Task
3.1   L      Prepare progress report.
3.2   L R    If submission requires an authorized signature, send report to CGA. If report does not require signature, submit report.
3.3 L        If an authorized signature is required, CGA will receive report as instructed in step 3.2.  Review report, sign and determine who, CGA or PI, is to submit the report.
3.4   L      If PI is to submit report to sponsor: Receive signed report from CGA.  Submit report, copying CGA if submission is completed via email. If not submitted via email, forward copy of submission confirmation to CGA for account file.
3.5 L        If CGA is to submit report to sponsor: Submit report via email or appropriate portal to electronically authorize and submit. CGA to file report submission confirmation in account notes (copy of email or screen print).

Other Reporting and Transparency

Step CGA PI RA Compliance Task
4.1   L      Comply with the Public Access Policy.

General References

 

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