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Responsibilities & Compliance

Information about responsibilities, compliance, policies, procedures and regulations concerning grants and research.

The University seeks to further its objectives of providing higher education, advancing knowledge, and contributing to the welfare of the state by accepting funds and entering into agreements with extramural agencies for programs of development, research, training, construction and other projects. This support must be for programs that are compatible with the goals, objectives and policies of UW Oshkosh.

Proposals may be initiated and projects may be administered by University employees with faculty or academic staff status. Where special considerations warrant, the Chancellor may permit an individual other than those just noted to solicit and administer projects.

Your Responsibilities as a Primary Investigator

As the primary investigator (PI) or Project Director for a research project or grant, you have a number of responsibilities and you must comply with a number of policies and procedures. These include:

  • Delivering the original award letter to the Office of Grants and Faculty Development if mailed to you. 
  • Delivering checks received to the Office of Grants and Faculty Development.
  • Don’t sign anything! Grant agreements and contract documents can legally be signed only by authorized institutional officials.
  • Approving all expenditures of grant funds and maintaining appropriate records of expenditures to ensure responsible stewardship of funds.
  • Monitoring expenditure records at least monthly and reporting discrepancies to Grants Accounting in a timely manner.
  • Anticipating long-term financial needs and spending or conserving accordingly.
  • Tracking cost sharing as needed (to be determined by Office of Grants and Faculty Development and Grants Accounting).
  • Minimizing cost transfers across university accounts to the extent possible; providing appropriate documentation for all cost transfers; and contacting Grants Accounting if your need for transfers is frequent. 
  • Allowing Grants Accounting to submit all financial reports and billings.
  • Reviewing financial reports to ensure agreement with project programmatic records.
  • Obtaining the Office of Grants and Faculty Development’s approval for any pre-award spending and budget revisions or reallocations.
  • Responsibly meeting all scope of work commitments; maintaining records as needed to document performance of scope of work.
  • Reporting significant problems promptly to Office of Grants and Faculty Development (scheduling delays, personnel turnovers, anticipated budget revisions, unusual costs, difficulties with collaborators or subcontractors, etc.)
  • Consulting with the Office of Grants and Faculty Development before contacting program officials.
  • Preparing and submitting all required performance reports to the Office of Grants and Faculty Development for review, any required institutional signatures and mailing.
  • Maintaining appropriate records as required by the funding agency.
  • Retaining all records for the period of time specified by grant award.
  • Cooperating with the Office of Grants and Faculty Development and Grants Accounting to ensure the timely and smooth closeout of completed projects.
  • IMMEDIATELY reporting announced or unannounced programmatic site visits or audits to the Office of Grants and Faculty Development and to Grants Accounting.

Human and Animal Subjects, Biohazardous Material and DNA

You must also abide by all regulations and institutional policies governing the research of human subjects, animal subjects, biohazardous material and DNA.

Please see the following for more information about:

Financial Conflict of Interest in Federal Research

Consistent with federal regulations (42 CFR Part 50, 45 CFR Part 94) the Financial Conflict of Interest regulations were established to promote objectivity in research for which federal funding is sought.  Please see the following for more information:

Purchasing, Subcontracting and Personnel

See our Purchasing, Subcontracting and Personnel page.

Copyrights, Patents and Intellectual Property

See our Copyrights, Patents and Intellectual Property page.

Proposals for Extramural Support

Each chancellor is authorized, without prior UW System review, to submit proposals and execute contract and grant documents for federal and non-federal extramural support unless:

  1. The proposal contemplates or commits establishment of an academic program that has not been previously approved.

  2. The proposal involves construction or modification of facilities that requires State Building Commission approval.

  3.  A contract or grant involves support of more than $200,000 from a private profit-making organization.

Copies of proposals referenced in the first two items above shall be forwarded to the Office of the Vice President for Business and Finance at the same time they are sent to the prospective sponsor. Grants or contracts referred to in item three must have Board of Regents formal acceptance prior to execution.


  • Gifts-in-kind from all sources, including private donors, foundations, corporations, etc., require the same formal acceptance by the Board of Regents as monetary gifts. The recipient of each gift-in-kind is responsible for routing the item through the University's internal review process for approval (including a review for hazardous materials) prior to Regents acceptance. Gifts-in-kind receiving institutional approval are reported by the University’s Grants Accountant to the Regents at their subsequent meeting.

  • By Board policy, the University may not participate in establishing the monetary value of the gift, nor should any value be assigned when the gift is forwarded to the Board of Regents for acceptance.

  • An inventory value should be established based upon fair market value on the date of the gift for financial reporting purposes. An insurance value should be determined in accordance with procedures established by the System Administration Risk Management Office.

Grant Accounting Policies & Compliance Regulations

Please see these additional Federal Grant Accounting Policies.

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by Reinke, Heidi last modified Sep 25, 2014 11:19 AM