A. Negotiating the Funding
B. Awards Acceptance
C. Award File Maintenance
D. Report Requirements
E. Continuation Funding
F. Project Closeout
G. Intellectual Property
When a potential sponsor funds your proposal, OSP will work with you during the negotiation of an award. This might include verification of salary levels and equipment costs, and you may be required to submit a revised budget. If a contract is to be awarded, then the terms of that contract must be acceptable to Western Kentucky University. The OSP will provide guidance regarding those terms and will negotiate directly with the sponsor on your behalf.
Once the terms of an award are acceptable, the OSP will execute all necessary documents (e.g., contracts) on behalf of Western Kentucky University. Next, the OSP will prepare a chart of accounts, route it to you for verification and routing to your department head and dean/vice president, secure the approval of Grants and Contracts Accounting (GCA) which will establish a 5-ledger account, and then notify you of your account number. An executed chart of accounts contains all approvals (PD/PI, head, dean or vice president, and OSP). It contains a 5-ledger account number for the different object codes funded by the sponsor and, if the university cost shared part of the project, a 2-ledger account and breakdown of funds by object code. The OSP will notify you of these account numbers and send you a copy of the chart of accounts for your project. The official copy will remain with Grants and Contracts Accounting as required by auditors.
The OSP will also notify your head and dean/vice president of the award, as well as the Office of University Relations for publicity on and off campus.
Once an account is established, and the OSP notifies you of your account number, you can make expenditures in order to conduct your project. The signoff form that you completed when you submitted your proposal, with any updates made during negotiation of the award with the sponsor, is the official reference for the project. Many of these details, but not all, will also be contained in the chart of accounts.
A monthly ledger report will be sent to you by GCA indicating that month's expenditures and the cumulative amount spent to date. Should you have any questions regarding this ledger report, please call GCA.
The OSP maintains a record of all proposal submissions and awards in both hard-copy files and a computerized database. Information entered into the database is reported to the university community on a monthly and quarterly basis, and is summarized in an annual report each year. This information is also posted on the OSP Web site as it becomes available. University departments requiring customized reports on external funding activity can also request a special, individualized report from the office. Contact Phil Myers at 6257 for additional information.
As the Project Director (PD) or Principal Investigator (PI) of a project, you will probably be required periodically to supply information regarding the technical progress of your research. Pay careful attention to your award document for the frequency with which you must report this information.
GCA will report your expenditures directly to the sponsor. Requests to revise budgets, add new funding that may be received for the project, for carry over of funds, and for extensions of the project should be directed to the OSP for approval and coordination with GCA. GCA will also oversee all fiscal aspects of your award. However, as the investigator, you will ultimately be responsible for all expenditures associated with your project.
Often you will be funded for a project period but must request the individual budget periods at a pre-determined interval. Remember, continuation proposals must also be routed through the sign-off procedure.
Technical Closeout
The project's PI is required to deliver any final technical reports that may be required by the agency. The OSP will send you an alert about two months before the project end date, and is prepared to assist you with reports if you so desire. As a minimum, however, please supply one copy of this report to the OSP, along with your transmittal letter for our files.
Fiscal Closeout
The fiscal closeout of your award will be made by GCA. Remember that you will receive a preliminary notification of your expenditure amounts from GCA. You should carefully review this information to ensure accurate reporting of your expenses.
Normally, the PI must report to the sponsor whether or not any research has led to a patentable discovery. You may be required to file a report even if no invention has been developed. You must have the endorsement of the institution, which is obtained at the OSP. Contact OSP for the proper report form.
For information about disclosing inventions and copyrights, contact Phil Myers in the OSP at 5-6257 or send email to
phillip.myers@wku.edu
Many other functions are performed by the OSP each day that have not been mentioned. The OSP is also involved with contracts; memoranda of agreement; subcontracts; review of material transfer, nondisclosure, and consulting agreements; review of all research involving human subjects or animal subjects; affiliation agreements to assist our faculty and students with external placements; and in developing all necessary agreements for transfer of your research to or from this institution. The OSP offers a series of workshops each semester to allow WKU faculty, staff, and graduate students to learn more about proposal development and award administration.
Sponsored Programs activity at Western Kentucky University has increased in recent years and is recognized as an important element of this educational institution. Many people and departments contribute to supporting your sponsored instructional, research, and creative activities, and public service efforts that result from external funding. We hope that you will fully use the OSP's services so that we may continue to work together for Western Kentucky University. Feel free to contact us with your questions or for referral to a more appropriate office.
Questions related to cash and in-kind cost sharing, indirect costs, budget revisions, no-cost project extension, contracts, memoranda of agreement, policies and procedures, final technical reports, intellectual property (inventions and copyrights), supplementary pay, Form 16's, grant-funded Form 4's, animal subjects, WKU Research Foundation, and The Western Scholar:
Dr. Phillip E. Myers, Director, tel. 6257, or email phillip.myers@wku.edu
Questions related to workshops and training sessions, as well as developing proposals, budgets, contracts, subcontracts, or agreements:
Pamela Napier, Associate Director, tel. 5-5328, or email pamela.napier@wku.edu
Questions related to locating funding opportunities, developing proposal ideas and budgets, preparing your proposal for submission, electronic research administration, locating funding opportunities, using the OSP Web Site, Grants.gov, NSF FastLane, and internal grant programs:
Lindsey Hampton, Proposal Development Coordinator, tel. 5-2160, or email proposal.development@wku.edu
Questions related to requesting an account for an awarded project, charts of accounts, and the proposals and awards database:
Regina Allen, Operations Coordinator, tel. 5-5852, or email regina.allen@wku.edu
Questions related to human subjects of research:
Sean Rubino, Compliance Manager, tel. 5-2129 or email sean.rubino@wku.edu
Questions about routing of proposals or other documents for internal signatures, general information about the OSP, and on who in the office can best answer your questions:
Office of Sponsored Programs, tel. 5-4652, or email sponsored.programs@wku.edu
Questions relating to account numbers, the chart of accounts, invoicing sponsors, monthly ledger reports, closeout and final reports, any fiscal question associated with your award may be addressed to Grants and Contracts Accounting:
Sharon Young, sharon.young@wku.edu, tel. 5-5338
or
Paula Mattison, paula.mattison@wku.edu, tel. 5-5077
or
Dottie Lake, dottie.lake@wku.edu, tel. 5-5340
or
Mary Nunn, mary.nunn@wku.edu, tel. 5-8882
| ||| return to TOP of this page ||| return to OSP home page ||| return to WKU home page ||| |
Last update made February 25, 2008.
Send comments to: Sponsored Programs Webmaster sponsored.programs@wku.edu
All contents copyright (C) 1997. Western Kentucky University.