The Office of Research Support and Operations teams with other University entities to administer sponsored proposals and awards and to ensure regulatory compliance.
Individuals and units involved in research administration include:
Charts below identify the individual(s) or unit(s) responsible at each stage in the research administration process. Please note that some colleges offer similar services; check with your unit and area for other resources that may be available.
Administration
Role
ORSO
ORAP
ORA
SPS
PI
DEPT
DEAN/VP/CH
Gathers and reviews information on funding programs--private and governmental--that award grants and contracts to support scholarly, instructional, and community service activities; keeps abreast of agency interests and funding patterns. (SEE NOTE 1)
X
X
Disseminates information on funding programs and sponsors to appropriate university personnel, by means of an email notification system and its newsletter, the Informer OnLine. (SEE NOTE 1)
X
Performs database searches for funding opportunities and fellowships on behalf of faculty, graduate students, and staff.
X
Subscribes to web-based services, providing grants databases, grants newsletters, and the Community of Science/Scholars to the university community on the ORAP web site.
X
Supplies application forms, guidelines, grant program announcements, requests for proposals, and program interests to faculty, students and staff.
X
Provide expert guidance on funding opportunities
X
Role
ORSO
ORAP
ORA
SPS
PI
DEPT
DEAN/VP/CH
Furnishes proposal development services such as workshops on proposal writing and grant administration, meetings with visiting agency personnel, and feedback on proposals.
X
Ensure commitment of each investigator(s) time does not exceed a total combined effort above 12 person months or 100% FTE for all sponsored project activity
X
X
X
Ensures all proposal development activities are funded on appropriate allowable funding sources (100% soft funded issue).
Send notification to department and other administrative departments
X
Negotiate terms and conditions with sponsor (SEE NOTE 4)
X
Review and approve terms and conditions (SEE NOTE 4)
X
Prepares and executes standard agreements, subcontracts, and other agreements related to extramural funding.
X
Role
ORSO
ORAP
ORA
SPS
PI
DEPT
DEAN/VP/CH
Record award information for tracking
X
X
Prepare award summary documents
X
Establish accounts in central data base and code accounts for budget allocations, funding mechanisms facilities and administrative (F&A) costs, and other fiscal-related codes
Obtain proposal documents (SOW, budget, Letter of Support, etc.), from subrecipient and review for applicability at proposal stage
X
X
Prepare and submit subaward initiation sheet and proposal documents to ORSO once prime award is funded
X
X
Review and verify subaward initiation sheet and proposal documents
X
Run Visual Compliance check and initial financial risk assessment on subrecipient organization and PI
X
X
Draft and negotiate subcontract agreement, including incorporation of applicable Attachments
X
Review completed subcontract and translate into WSU post-award systems
X
Annually review the subcontractor’s most current audit document, monitor for risk and follow up on any findings
X
Process and approve subcontract invoices for payment, including review for allowability
X
X
X
Review technical/progress reports to ensure progress is sufficient
X
Submit copy of property, invention and cost-share reports to SPS
X
Assist with desk reviews and/or site visits
X
X
X
X
Role
ORSO
ORAP
ORA
SPS
PI
DEPT
DEAN/VP/CH
Develops an overall plan for the commitment of grant and contract funds, working with the authorized person(s) in the department, college, or newer campus, and consults other University officers as appropriate.
X
Establishes systematic procedures in the department, college, or newer campus for supervision of grant and/or contract accounts
X
X
Provides administrative support for the management of grant or contract accounts. Often, this responsibility is delegated to the departmental manager, fiscal officer, administrative assistant, or other administrative official.
X
X
Fiscal administration for grants and/or contracts, cooperative agreements, sub-contracts, and financial assistance agreements negotiated with federal, state, and private sponsors at the central level.
X
Track carryforward and any sponsor requirements to utilize in future budget periods
X
X
X
Maintain central internal systems for monitoring status of all sponsored projects, for receivables, overdrafts, revenue, effort certification, cost sharing, letters of credit, electronic funding, and financial reporting
X
Approves all expenditures requests to be charged against the grant or contract account.
X
Review and approve expenditures for allowability and allocability (SEE NOTE 13)
X
Oversee expenditures for allowability and allocability (SEE NOTE 13)
Notify SPS of any program income (such as revenue
from sales and services of goods developed in conjunction with a sponsored project).
X
X
Post program income to appropriate account code
X
X
Report program income on financial status report
X
Role
ORSO
ORAP
ORA
SPS
PI
DEPT
DEAN/VP/CH
Identify the need to bill
X
X
X
Create and submit the invoice
X
Provide institutional approval
X
Track submission of invoices
X
Department approval and signoff on final invoice
X
X
Role
ORSO
ORAP
ORA
SPS
PI
DEPT
DEAN/VP/CH
Manage cash (handling of checks, etc.)
X
Produce and record a letter of credit draw request based on the disbursement of cash for expenses of awards for a specific period of time for a specific funding agency
X
Monitor and pursue the collections of overdue payments from sponsors (SEE NOTE 6)
Identify the need for submission of a financial status report
X
Prepare financial status reports
X
Obtain agreement from PI or department on final figure
X
X
Submit financial status reports to sponsors
X
Role
ORSO
ORAP
ORA
SPS
PI
DEPT
DEAN/VP/CH
Identify the need for submission of a technical report
X
X
Prepare and approve technical reports
X
Submit technical reports to sponsor
X
X
Maintain and track the submission dates of the official copy of the technical report
X
Role
ORSO
ORAP
ORA
SPS
PI
DEPT
DEAN/VP/CH
Prepare and distribute effort certification reports
X
X
Obtain necessary supervisory reviews and approvals and complete the document
X
Certifies, or has someone with first-hand knowledge of her/his effort, certify her/his effort and the effort of other employees working on her/his project via the University's Effort Certification System.
X
Review effort certification reports completed by PI's or designee
X
Resolve problems or follow up on certifications not submitted
X
Complete necessary adjustments to award charges and/or payroll distribution
X
Retain/store the documentation supporting the certification process
Determine whether there are unresolved items that need to be resolved before closing account and communicate to impacted parties
X
X
Ensure expenditures/cost transfers have been posted to accounts (SEE NOTE 8)
X
X
Resolve issues related to unreconciled accounts (SEE NOTE 8)
X
X
Oversee the resolution of unreconciled accounts and make necessary entries for accounts that are past closeout period
X
Prepare and submit financial reports, invoices, property reports, and patent reports in accordance with award terms and conditions
X
Ensure that all technical reports have been submitted to sponsor
X
Ensure that all final invention reports have been submitted to sponsor
X
X
X
Ensure that the Office of Commercialization (WSU OC) has submitted all patent reports to sponsor
X
Inactivate award account(s) in financial accounting system
X
Maintain official award documents for sponsored projects
X
Assumes accountability for overdrafts, deficits, uncollectibles, and/or disallowances that occur under a grant or contract account.
X
Consults with principal investigator concerning the resolution of an overdraft, deficit, uncollectible, and/or disallowance incurred under a grant or contract account and is responsible for settling the problem. In the case of uncollectibles and/or disallowances it may be necessary to communicate with SPS for assistance in obtaining an appropriate resolution.
Provide training to the research community regarding changes to policies and regulations (SEE NOTE 9)
X
X
X
X
X
X
Regulatory Compliance
Role
ORSO
ORAP
ORA
SPS
PI
DEPT
DEAN/VP/CH
Management and oversight of the Institutional Review Board (IRB)
X
Management and oversight of the Institutional Animal Care and Use Committee (IACUC).
X
Management and oversight of the Institutional Biosafety Committee (IBC).
X
Management and oversight of Radioactive Materials and Radiation Producing Machines.
X
Management and oversight of the Conflict of Interest Committee.
X
Role
ORSO
ORAP
ORA
SPS
PI
DEPT
DEAN/VP/CH
Agree to disclose inventions to the WSU OC under the University's policy on Intellectual Property (IP).
X
Ensure compliance with University IP Policy and Federal patent regulations by project personnel.
X
Initiate invention disclosure process, obtains appropriate signatures & files Invention Disclosure Form with WSU OC. Important to make a comprehensive disclosure, includes: Funding sources, prior obligations, prior art knowledge, etc.
X
Maintain confidentiality.
X
Assist in invention evaluation & marketing invention to industry.
X
Preserve & maintains primary data related to inventions.
X
Secure a Material Transfer Agreement, approved by WSU OC and ORSO, prior to transfer of research-related materials.
X
X
Disclose activities in annual review.
X
Complete invention portion of Continuing Grant Applications and Final Invention Report.
Adhere to federal regulations (i.e. NIH guidelines, BMBL), state and local laws, institutional policies, and WSU procedures regarding the safety and protection of using potentially biohazardous materials.
X
X
Obtain approval from Institutional Biosafety Committee prior to conducting research using recombinant DNA or infectious disease.
X
Issues also related to proper use of techniques, facility approvals, communication, reporting, training, complying with policy, etc.
X
Ensure that incoming MTA's involving recombinant DNA or infectious agents receive approval from the Institutional Biosafety Committee.
X
Management and oversight.
X
X
Role
ORSO
ORAP
ORA
SPS
PI
DEPT
DEAN/VP/CH
Adhere to federal regulations, state and local laws, institutional policies, and WSU procedures regarding the safety and protection of human subjects.
X
X
Includes IRB approval, communication, reporting, recruitment, consent, document management, supervising, training, etc.
X
X
Prepares and submits human subjects research applications (HSRA) or changes in accordance with federal regulations and university and sponsoring agency policies and procedures. Ensures no research involving human participants begins prior to IRB approval.
X
X
Submits proposed changes to the HSRA for approval as required and assures that changes are not implemented prior to approval.
X
X
Reviews protocol at inception and as required thereafter for completeness, accuracy, and improvement opportunities.
X
X
Ensures the approved HSRA(s) are congruent with the human participant related research described in their grants.
X
X
Verifies that protocol complies with the terms and conditions of the award and that Institutional Review Board (IRB) protocol approval is in place prior to the start of research.
X
X
Reports deviations, adverse events, potential non-compliance or unanticipated problems (UPIRSO's) associated with an approved protocol to the IRB.
X
X
Conducts research in accordance with current, approved human subjects research protocol for the duration of the sponsored project.
Adhere to all federal regulations, PHS policy, state and/or local laws, institutional policies and IACUC procedures regarding humane care and use of animals.
X
X
Includes IACUC approval, communication, reporting, document management, required training, etc.
X
X
Bottom line = Responsible use of animals in research
X
X
Prepares and submits animal subjects approval forms (ASAFs) or changes in accordance with federal regulations and university and sponsoring agency policies and procedures. Ensures no animal related research begins prior to IACUC approval.
X
Submits proposed changes to the ASAF for approval as required and assures that changes are not implemented prior to approval.
X
Reviews protocol at inception and as required thereafter for completeness, accuracy, and improvement opportunities.
X
Ensures the approved ASAF(s) are congruent with the animal related research described in their grants.
X
Verifies that protocol complies with the terms and conditions of the award and that Institutional Animal Care and Use Committee (IACUC) protocol approval is in place prior to acceptance of award and the start of research.
X
Reports serious violations of approved protocol or any unanticipated adverse outcomes to the IACUC.
X
Conducts research in accordance with current, approved animal studies protocol for the duration of the sponsored project.
Has knowledge of institutional, local, state, and federal environmental health and safety policies applicable to research.
X
Includes maintaining inventory of materials, safety, standard operating procedures, manages equipment, internal and external inspections, supervising, required training, reporting, and communication.
X
Management and oversight.
X
X
Role
ORSO
ORAP
ORA
SPS
PI
DEPT
DEAN/VP/CH
Adhere to federal regulations, state (i.e. broadscope license) and local laws, institutional policies, and WSU procedures regarding the safety and protection of using potentially biohazardous materials.
X
X
Disclose use of radioactive materials on the eREX form.
X
Follow the safety procedures outlined for materials that contain radioactivity (Radiation Safety website: https://rso.wsu.edu/)
X
Management and oversight.
X
X
Role
ORSO
ORAP
ORA
SPS
PI
DEPT
DEAN/VP/CH
Has knowledge of and complies with any and all federal, state, and University laws, regulations, policies and practices pertaining to HRS and EO (SEE NOTE 16)
X
Management and oversight, including all NIH, NSF, and other sponsor harassment policies.
Note 1: The Principal Investigator (PI) is ultimately responsible for identifying funding opportunities, but the Advancement and Strategy team assists in this process by periodically sending lists of opportunities to the PIs and providing custom searches by the Advancement and Strategy team Faculty Support Coordinator.
Note 2: A PI who needs assistance with the preparation of a proposal should normally seek advice from the department or financial administrator for the PI’s department. However, the PI may also contact OR with questions regarding the preparation of a proposal. In addition, the proposal budget approval is provided either by an OR certified departmental administrator or directly from an OR Grant/Contract Coordinator if a departmental administrator is unavailable. The SPS office is another resource that can provide guidance on budget item allowability.
Note 3: The PI and the department administrator(s) work together to make any necessary fundamental changes to the proposal. OR may make minor changes to the proposal with verbal approval from the PI.
Note 4: When negotiating the terms and conditions of an award, the OR representative should be in frequent discussion with the PI to ensure that the PI is aware of the changes being made. The OR representative will ensure that the PI is in agreement with necessary changes.
Note 5: OR and SPS are responsible for coordinating issue resolution with the sponsors. To determine which unit has responsibility, identify the topic and look for who has responsibility for that topic in the roles and responsibilities matrix.
Note 6: SPS is responsible for monitoring the collections of overdue payments for sponsored projects. When SPS determines that WSU is unable to collect the payment, SPS coordinates with other units to resolve any issues related to the inability to collect the payment. These units may include, but are not limited to, the AG’s office, OR, and the departments.
Note 7: While many units track the end dates of awards to determine when awards need to be closed out, SPS has the ultimate responsibility for identifying close out situations and working through the tasks that need to be completed to close an award.
Note 8: The department must ensure that all expenditures/cost transfers have been posted and that the accounts are reconciled, but SPS will assist them in completing these tasks when department initiates need for assistance or upon SPS discovery of need for cost transfer and post audit review.
Note 9: OR and SPS share responsibility for these tasks. Depending on the topic of the regulation, policy, procedure or training, one of the units will have primary responsibility. For example, OR would be responsible for regulations on proposal submission, SPS would be responsible for regulations on financial status reports as well as being responsible for regulations on effort reporting. To determine which unit has responsibility, identify the topic and look for who has responsibility for that topic in the roles and responsibilities matrix. In some circumstances, responsibility for training or policy development may not follow the matrix. However, the matrix should be used as a starting point for which office to contact with questions.
Note 10: OR, SPS, the Department and the PI all share the primary responsibility for the monitoring of subrecipients. The Department assists the PI with this task hands-on, and OR and SPS ensure that the University’s subrecipient monitoring procedures are compliant.
Note 11: While OR has the ultimate responsibility for mailing the proposal to the sponsor, the PI may request that they or the department mail the proposal. OR can facilitate the request if the original proposal and final research plan is delivered to OR with all necessary corrections and hard copies by 5pm the day before delivery is to be made.
Note 12: OR reviews & submits all requests that require sponsor approval, with input from SPS as necessary. SPS typically manages all the grantee approved changes, but some actions may require OR involvement, e.g., scope changes, required budget revisions, etc.
Note 13: This responsibility includes the following:
That funds are used only for purposes directly related to the activity supported and that these funds are reasonable, allowable, and allocable as defined in 2 CFR 200.
That expenditures are consistent with all special terms, conditions, or limitations applicable under the particular grant or contract.
That expenditures do not exceed the total funds authorized for a given period under the grant or contract. In many cases, the grant or contract may also specify expenditure limits by budget category or line item.
Note 14: Responsibility for the following compliance activities, including but not limited to, technology transfer, financial conflict of interest, biosafety, human subjects, animal care and use, environmental health and safety, radiation safety, personnel issues, equal opportunity, information security, data management, etc.
Note 15: Primary responsibility of financial management and oversight is provided by PI. OR provides FCOI compliance checks for applicable proposals and awards as appropriate.
Note 16: Although the primary responsibility complying with HRS regulations resides with the PI, all units should be aware and comply with HRS regulations throughout the University.