Monitoring/Oversight of Grant/Contract Awards

Page Updated: January 23, 2020

Grant and Contract Accounts at the UW-Madison are monitored by a combination of the Principal Investigator, the departmental or lab administrator, the Dean's office (often both pre-award and post-award), and Research and Sponsored Programs. The PRIMARY responsibility for various functions is extrapolated from the Roles and Responsibilities document. In summary:

RSP has primary responsibility for:

  • Accepting the award on behalf of the Regents.
  • Negotiating terms and conditions relating to University policies.
  • Developing and administering subagreements.
  • Preparing small business/minority subcontracting reports as required.
  • Reviewing expenditures in certain restricted budget categories.
  • Managing effort reports.
  • Reviewing and monitoring cost transfers.
  • Reviewing and processing non-monetary modifications.
  • Drawing funds on letters of credit and reconciling accounts as required.
  • Works with the Dean or Department Chair on clearing misplaced expenditures.
  • Prepares and submits sponsor financial reports and invoices as required.
  • Files appropriate close-out documents.
  • Maintains award database.

The Dean's Office has primary responsibility for:

  • Approving requests for assignment of Project ID number in advance of receipt and acceptance of the official award document (Form 88-1).
  • Providing oversight of sponsored project administration, including cost transfers and effort reporting.
  • Approving substantive modifications and rebudgeting.
  • Assures timely resolution of misplaced expenditures.
  • Provides final accounting of cost-sharing/matching to RSP.
  • Participates in negotiations when technical reports are incomplete and deliverables are lacking or unacceptable to the sponsor.

The Principal Investigator has primary responsibility for:

  • Agreeing to all terms and conditions, with emphasis on performance clauses, including the frequency of technical reports, special professional staff hourly reports, deliverables, termination conditions, etc.
  • Assures appropriateness, reasonableness, and allowability of expenditures.
  • Manages expenditures to not exceed available award balance.
  • Reviews and signs effort reports as required.
  • Initiates requests for rebudgeting and cost transfers.
  • Approves payment of subcontractor invoices.
  • Prepares technical reports and provides other deliverables as required.
  • Reviews interim financial reports provided by RSP as required.
  • Documents cost-sharing/matching funds as required.