Handling Sponsor Requests for Documentation

Occasionally, a department may receive a request for documentation from a sponsor or an auditor working on behalf of a sponsor. These requests can be called many different names: an audit, a desk review, a justification of expenses, etc. Regardless of the name, anytime documentation is requested, you should contact CGA immediately at [email protected] so that we can guide you through the process. The only time you should respond to a request without CGA involvement is if the sponsor is requesting something that has already been provided to them, such as a previously provided invoice or financial statement. When in doubt, contact CGA. It is always better to consult CGA immediately and avoid potential problems that often result when CGA is not involved in relevant interactions.

If the request comes via telephone, do not respond to any questions or requests immediately. Simply inform the sponsor or auditor that you need to coordinate with the University Financial Officer, and note the requestor’s contact and other key information, such as the award and period under inspection, any timeline provided, etc. After the call, immediately inform your manager and contact CGA. If the request comes via email, forward it to your manager and CGA. Immediate notification is critical, as both accuracy and responsiveness are typically judged throughout the process. CGA will work with you to ensure that the correct documentation is provided and that the documentation provided demonstrates adherence to University, sponsor and applicable government policies and regulations. Once the engagement is underway, always respond to CGA requests expeditiously so we can work together as a team to resolve the issue or audit favorably.

CGA is here to help with sponsor documentation requests and we are very happy to do so. By working together as a team and leveraging a department’s intimate knowledge of their operations and CGA’s oversight of sponsored research compliance and accounting, we put ourselves in the best possible position to demonstrate our strong control environment and adherence to key internal controls. We look forward to working with you in this area.