Research and Sponsored Projects Manual (RSP)

Effective: 1/2/1987

Revised: 11/1/2008

RSP 509–02: Reports and Deliverables from Sponsored Projects

Purpose

To outline the responsibilities of the principal investigator and the Office for Research and Sponsored Projects Administration (ORSPA) for reports and deliverables required by the funding agency

Source

Office of the Vice President for Research and Economic Affairs (OVPREA)

Policy

The principal investigator (PI) is responsible for the preparation and timely submission of all technical reports and deliverables. The Office for Research and Sponsored Projects Administration (ORSPA) is authorized to prepare and be responsible for the timely submission of all expenditure reports. All expenditure reports must be supported properly by the official ASU file and underlying records. The principal investigator is responsible for maintaining source documents that support transactions recorded in the financial system. 

The principal investigator is responsible for any periodic technical progress reports, deliverables involving technical results, and the final technical report. For the official ASU file, the PI will provide ORSPA with one copy of the following, as applicable:

1. all progress reports
2. deliverable confirmations
3. the final technical report

   and

4. the submittal letter or e-mail confirmation to the funding agency

Most funding agencies withhold payments and will not approve subsequent awards to the principal investigator, department, or university if technical deficiencies, such as late or inadequate technical reports, occur. ORSPA will inform the principal investigator and/or department chair upon notification that a technical report deadline has not been met.

ORSPA is responsible for any expenditure reports, billings, and invoices. The office also coordinates the submission of other reports, including the Patents and Inventions Report, Contractor’s Release, Contractor’s Assignment of Refunds, Rebates and Credits, and Property Certification or Inventory Report.

If sponsored project funding is not received due to nonsubmission or a report’s technical deficiency (late or inadequate technical report or milestone report), the PI and/or department will be responsible for any deficit due to sponsor nonpayment. Any deficits will be processed as outlined in RSP 509-04, “Sponsored Project Agency/Org Deficit.”

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