Managing Your Award
Administration of Approved Projects
The receipt of funding from outside sources requires the principal investigator to take on a series of administrative duties and responsibilities related to project coordination, accounting, purchasing, personnel, etc. The following guidelines provide general information regarding the performance of these duties. It is important to note, however, that individual funding agencies have specific administrative requirements that must be followed. Check with a representative of the funding agency for information on agency-specific requirements.
- Budget Negotiations
After a proposal has been approved for support and an award has been granted, official notification is sent to the UW-Green Bay Controller's Office and the principal investigator. In all cases, official acceptance of funds on behalf of the Board of Regents, of the University of Wisconsin System is required. The UW-Green Bay Controller sends the approval notice to UW-Madison Research Administration where an official signature of acceptance is provided, an account is established, and a "Notice of Gift, Grant, or Contract" is prepared for the Regents.
- Administrative Responsibilities
The principal investigator, operating within the policies of the University and assisted by appropriate University administrative offices and officials, is responsible for the day-to-day administration and direction of an approved project. In order to discharge these primary responsibilities effectively, you should be cognizant of all contract or grant provisions and give special attention to those pertaining to patents, inventions and copyrights; safety and security; budget limitations; and required reports and recordkeeping. It is expected that you will inform the department Chairperson, the Dean, Office of Business and Finance, and the Office of Grants and Research of any developments which necessitate deviation from the original terms and conditions of the approved grant or contract. Correspondence with the funding agency regarding such deviations should be submitted to these individuals for review prior to mailing.
- Financial Records
A separate accounting control ledger is established for each UW fund account number. All of the financial transactions involving an account (e.g., budget receipts, encumbrances, payments, and balances) are recorded on this ledger. A copy of the ledger is sent to the principal investigator at the end of each month. You are expected to keep sufficient records in your own department to provide an itemized listing of all expenditures, especially those in budget categories which may not be exceeded without agency approval (e.g., travel). Some grants require supplementary records. These are usually defined in the grant or contract document or in published agency regulations.
- Changes in Research Plan
Major changes in the research plan which constitute a redirection of the statement of purpose or work included in the original proposal should be discussed in advance with a program representative of the funding agency. A letter should then be sent to the agency detailing the proposed changes. Once the proposed changes are approved by the funding agency, a copy of the correspondence confirming approval should be sent to the appropriate Dean and the OGR.
- Change of Principal Investigator
Whenever an individual is unable to continue serving as principal investigator for a grant project, formal approval from both the funding agency and the University is required before a new project director can be designated. Contact the Coordinator of the OGR for specific requirements.
- Transfer of Grant or Contract to Another Institution
If a principal investigator terminates his/her association with the University and requests that the extramural project and funds be transferred to another institution, formal approval must be obtained from both the funding agency and the University.
- Program Income
Federal regulations require that any income generated by activities related to projects funded in whole or part by federal agencies be accounted for in great detail. These regulations also require prior agency approval before expending any income acquired from grant activities. The rules, regulations, and laws which govern sales of goods and services and the handling of resulting income are quite complex. If income is expected from any activities supported by extramural funds, you should meet with the Controller and the University legal counsel to discuss proper procedures for handling such income.
- Final Reports
Most funding agencies require submission of a final report at the conclusion of a grant project. Generally, agencies ask for a summary of the work completed, a description of the primary findings of the project, an evaluation of the extent to which the original goals and objectives of the project were achieved, and a final financial accounting of grant funds. It is your responsibility to submit the final report by the agency deadline (e.g., 90 days after the end of the grant period for the Department of Education). A copy of the final report must also be sent to the Office of Grants and Research. You should consult the Controller's Office to make sure that all financial reporting requirements are met.
Most funding agencies require that any publications, reports, or presented papers resulting from sponsored research activities acknowledge the funding source. It is recommended that acknowledgement of the University of Wisconsin-Green Bay also be included whenever matching funds or support services have been provided by the University.