PI/
Chair

Dean/
Designee

RSP

Proposal Submission

Encouraging the pursuit of extramural funding and identifying funding opportunities

Provides institutional leadership through ongoing training and advising to assure the University's continuing success in obtaining funding and managing sponsored projects.

X

Identifies databases of grant information and makes them available to the University community

X

Works with faculty and staff to match funding opportunities with sponsored projects

X

Identifies extramural funding opportunities

X

Proposal Preparation

Prepares technical proposal

X

Assures that the proposed project is appropriate in nature and scope and consistent with the departmental and institutional mission

X

Assures that the proposed project has qualified personnel and adequate space

X

Develops an adequate and accurate budget to accomplish the scope of work

X

Requests and documents approval for cost sharing/matching funds as required

X

Approves and provides documentation to RSP for cost sharing/matching

X

Works with Purchasing to develop Small Business/Minority Subcontracting Plans as required

X

Submits Small Business/Minority Subcontracting Plan

X

Routes proposal for campus approval, allowing sufficient time for review before submission to meet the sponsor's deadline

X

Provides general oversight for sponsored project proposals, including budget review

X

Approves indirect cost waivers

X

Prepares final version of the approved proposal and multiple copies as required by sponsor

X

Submits all proposals on behalf of the University as designated by Board of Regent's policy

X

Identifies change in sponsors' terms and conditions for grant administration and notifies the University community

X

Negotiates material transfer agreements (MTAs)

X

Negotiates agreements for clinical trials

X

Prepares and negotiates the indirect cost proposal and negotiates final rates

X

Maintains a proposal database

X

Regulatory Compliance

Approves project PI status (as delegated)

X

Prepares and submits protocols for research involving human subjects, research animals and biosafety hazards

X

Verifies submission of protocols to appropriate committee for research involving human subjects, research animals and biosafety hazards

X

Assures and provides documentation of certifications and representations to sponsor (For approval of research involving human subjects, research animals and biosafety hazards. This occurs following committee approval.)

X

Assures compliance with federal regulations regarding financial disclosure of potential conflicts of interest

X

Grant and Contract Awards

Setting-up the Award Account

Accepts awards on behalf of the Board of Regents

X

Approves requests for assignment of account number in advance of receipt and acceptance of official award document (Form 88-1)

X

Negotiates terms and conditions relating to University policies (Includes sovereign immunity, indemnification, publication restrictions, transfer of data ownership, jurisdiction outside of Wisconsin, binding arbitration, certificate of insurance, classified research, appropriate indirect cost rates, audit requirements, payment terms and schedules, report forms, financial report schedules, and level of detail, patents and copyrights.)

X

Agrees to all terms and conditions, with emphasis on performance clauses (Includes frequency of technical reports, special professional staff hourly reports, deliverables, termination conditions, etc.

X

Prepares and sends gift acknowledgment letters as required

X

Develops and administers subagreements

X

Prepares Small Business/Minority Subcontracting Reports as required

X

Managing the Award

Assures appropriateness, reasonableness and allowability of expenditures

X

Manages expenditures to not exceed available award balance

X

Provides oversight of sponsored project administration, including cost transfers and PARs

X

Reviews expenditures in certain restricted budget categories

X

Reviews and signs Personnel Activity Reports (PARs) as required

X

Manages the Personnel Activity Reporting (PAR) System

X

Initiates requests for rebudgeting and cost transfers

X

Reviews and monitors cost transfers

X

Reviews and processes non-monetary modifications (substantial changes should be routed for approval through the Dean's office)

X

Approves substantive modifications and rebudgeting

X

Approves payment of subcontractor invoices

X

Assures timely resolution of overdrafts and revenue shortfalls

X

Draws funds on letters of credit and reconciles accounts as required

X

Works with Dean or Department Chair on clearing overdrafts and revenue shortfalls

X

Reporting and Close-out

Prepares technical reports and provides other deliverables as required

X

Reviews interim financial reports provided by RSP as required

X

Documents cost sharing/matching funds as required

X

Provides final accounting of cost sharing/matching to RSP

X

Prepares and submits to sponsor financial reports and invoices as required

X

Participates in negotiations when technical reports are incomplete and deliverables are lacking or unacceptable to the sponsor

X

Files appropriate close-out documents

X

Maintains award database

X