Overview
Sponsored projects are awarded to the university and assigned to a principal investigator (PI). The investigator is responsible and accountable to the sponsor for the proper conduct of the project or activity.
This requires day-to-day activities to monitor spending. Good stewardship of award funds helps maintain a relationship of trust between sponsors, the university and the public. Future awards, the reputation of the university and the investigator and avoidance of penalties may depend on the quality of management.
Roles and responsibilities
An award is an agreement between the sponsor and the university. The investigator, department/center, college and RSP all have responsibility for ensuring that the terms of the agreement are met.
Principal investigator(s)
The principal investigator is responsible for:
- Knowledge of the terms/conditions of the award and applicable university/state policies and assuring compliance with these terms and conditions
- Conduct of research
- Budget management (including cost sharing, sub-recipient monitoring and program income)
- Effort reporting
- Regulatory compliance
- Invention disclosures
- Technical reporting
- Project closure
Departments/centers
The department or center is responsible for:
- Knowledge of the terms/conditions of the award and applicable university/state policies and assuring compliance with these terms and conditions
- Assisting the PI with overall award management
- Reviewing expenditures
- Preparing paperwork and processing transactions in a timely and correct manner
- Submitting paperwork/transactions to the SMPH Research Division for review, approval and action
- Verifying fund availability and conducting monthly financial reconciliations
- Initiating closeout
College (SMPH Research Division)
The SMPH Research Division is responsible for:
- Knowledge of the terms/conditions of the award and applicable university/state policies and assuring compliance with these terms and conditions
- Providing reviews and approvals on behalf of the college
- Providing oversight of award management
- Assuring timely resolution of award management issues
- Providing final accounting of cost sharing/matching to RSP
Research and Sponsored Programs (RSP)
RSP is responsible for:
- Award management
- Review/approve transactions/expenditures
- Establish/administer sub-recipient agreements
- Establish/administer sub-accounts
- Coordinate award/agreement modifications
- Review/approve/submit no cost extension requests
- Review/approve cost transfers
- Manage effort reports (ECRT)
- Prepare financial reports
- Initiate cash requests through payment management systems (PMS)
- Manage cash advance accounts
- Administer grant, contract and other agreements
- Administer revenue/post cash receipts
- Financial compliance/award reconciliation (award closeout)
- Monitor/verify expenditures to ensure compliance with all applicable regulations
- Determine current (final balance) – budget = receipts = disbursements
- Review for unallowable expenditures
- Prepare final invoices or financial reports
- Document cost share
- Submit patents and invention statements
- Prepare closeout documents
- Deactivate and purge account
Resources
Online resources
- RSP chart of roles and responsibilities
- RSP Award Management page
- UW System Policy on Extramural Support Administration
Training opportunities
- Research Administrators Network (RAN): Contact Trish Barribeau or Christy Schulz at (608) 265-3386
- Office of Human Resource Development (OHRD) Classes: View the OHRD course catalog on the OHRD website. Choose “Research Administration” from the initial course catalog menu to see a list of relevant classes.
- RSP Training Materials: View available training materials on RSP’s Workshops, Training and Educational Resources page.