University of Wisconsin-Madison Grants Project WISPER ... · PDF fileUniversity of Wisconsin-Madison Grants Project WISPER Manual WISPER_Manual.doc Last Updated on June 29, 2011 Page

University of Wisconsin-Madison Grants Project

WISPER Manual

WISPER_Manual.doc Last Updated on June 29, 2011 Page 1 of 65

I. BUSINESS PROCESS OVERVIEW ............................................................................................... 2 A. ASSUMPTIONS ..................................................................................................................... 2 B. PROCESS OUTLIERS/SUB-PROCESSES .................................................................................. 3 C. ROLES AND RESPONSIBILITIES .............................................................................................. 3 D. WISPER USER ROLES ........................................................................................................ 3 E. WISPER HIGH LEVEL BUSINESS PROCESS ............................................................................ 4 F. BUSINESS PROCESS MODEL .................................................................................................. 6

II. SYSTEM PROCESS STEPS .......................................................................................................... 8 A. WISPER MANAGEMENT .................................................................................................. 8 B. CAMPUS CREATION & ROUTING ..................................................................................... 17 C. RSP INTERNAL PROCESSING .............................................................................................. 41 D. CAMPUS AWARD ACCEPTANCE ............................................................................................ 48

A. WISPER Management ............................................................................................................. 10

1. MY WISPER 2. Search Page 3. User Preferences 4. Division Role Set up 5. Department Email Tables

B. Campus Creation and Routing ............................................................................................... 18

1. Create 2. General 3. Comments 4. Attachments 5. Approvals 6. PI Signature 7. Route 8. History 9. Division Action

C. RSP Internal Processing ........................................................................................................ 41

1. SPO Manager Worklist 2. SPO Action to Route to SPO Owner 3. SPO User Worklist 4. SPO Action Page

D. Campus Award Acceptance ................................................................................................... 49

1. Project Details i. Project Header ii. Combo Edit Information iii. Budget Details iv. Commitments v. Cost Share

2. Terms & Conditions 3. PI Award Signature 4. Division Action 5. Generate Award


WISPER Manual


I. BUSINESS PROCESS OVERVIEW

The purpose of the WISPER application and associated business processes is to assist in routing, approval, and negotiation of applications and agreements related to extramural funding on the UW campus. WISPER provides the data necessary to record information sufficient for internal tracking and reporting purposes and facilitates the Generation of Awards in the new PeopleSoft Grants system. WISPER is a flexible system to allow each record to be facilitated in its own unique process across campus. Each record is accessible only to users who have been asked to participate via their role as a Principal Investigator, Campus Contact, Routing Recipient, Approver, Division, or RSP. Each user performs his or her step in the process and can route the record on for additional processing while still maintaining access to track or support additional data or document collection. A. Assumptions

• WISPER will capture both potentially funded documents (Peoplesoft eligible) and non-award generating research related agreements such as Confidentiality & Material Transfer Agreements (non-Peoplesoft eligible).

• Signatures will remain a requirement of the WISPER solution for PIs and Administering Divisions. PI and Division signatures indicating approval of award or agreement Terms and Conditions and of project data will be required in addition to PI and Division signatures indicating approval of the integrity of the proposal submission.

• Out of office situations will be managed by division administrators having ownership redistribution capability and by each user having the ability to add a delegate user preference.

• Records that have not been submitted to RSP will be accessible on a “need to know” basis. See the participant security for more information.

• Validations will be available to ensure the accuracy and consistency of each record. • Once records have been routed to the SPO, they are available for query by all campus users. Only

Participants and Approvers can update the information and only then on pages as dictated by their security.

• The General page will track information at the stage of submission to the Sponsor and not updated with subsequent changes. Only corrections and not updates will be made to the General page. Subsequent modifications will be made to the Project Details or tracked via approvals.

• Only SPO will enter data into the SPO Action page to track negotiations. • Negotiate (SPO Action tracking) functionality will be available on every record. No changing of a

document type to a negotiable item is required • Standard Sponsor Terms and Conditions will default into the WISPER record from the Sponsor

Guidelines. RSP will modify those terms during review of the Sponsor’s award. • If an award is received directly at RSP, RSP will enter the initial data, if not already in WISPER, and route

it to campus. • An award may be generated (Advance Account) for spending purposes at any point during the proposal

lifecycle, if required for business operations and permitted by the sponsor. • A printed version of the Routing Form, populated with data from the WISPER record, will be available. • Emails will be generated when the record is routed to users, when users are added as an approver on a

document and when approvers respond to the approval request. In addition, emails to the PI, and to Department, and Division as indicated in the Department Email tables will be sent following the finalization of a document that is not eligible for Peoplesoft Grants (i.e. MTA, CDA). Division users will be responsible for managing the department users who will receive the emails at Finalization of non-Peoplesoft eligible agreements or for the Email Award Notification replacing the former Regent and Non-Regent Notices.

• Once a proposal record is transmitted from WISPER to PeopleSoft Grants, no changes will be permitted to the record within the WISPER system. Any changes to the award information will be entered by RSP in the PeopleSoft Grants module.


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B. Roles and Responsibilities • Campus Users responsible for entering appropriate data • Campus Users responsible for knowing routing chain • Division Administrator serves as first line of review and validation of data & must sign electronically • PI reviews data and signs electronically • Division Administrator signs electronically • RSP is responsible for maintaining comments and statuses in a timely manner. • Campus Users respond to requests and approvals in a timely manner.

C. WISPER User Roles

WISPER Role Description

Owner The user who currently has responsibility for the WISPER record. Ownership is transferred via the routing function; there can only be one owner on a WISPER record.

Participant Any user who has or has had responsibility for (e.g. creator, prior owner, Campus Contact) for or action on a WISPER record. Once you are a participant on a record, your access remains throughout the life of the record.

Contact PI The single PI (Principle Investigator) responsible for the administration of the WISPER record and for the administration of the work committed in the record.

Division Admin Role

The set of Administrators for the Administering Division who have responsibility for processing and signing WISPER records. The users with this role are maintained by RSP via the Division Role Member function. Determined by the parent Division of the Administering Department of the record.

Approver Any user asked to approve some aspect of a WISPER record.

SPO staff Sponsored Programs employees with the role of administering WISPER records.

SPO Management Selected SPO staff who have additional access to work lists and reporting.

CALS User Role similar to SPO staff, but with access to post “SUBMIT TO SPO” only for Document Type = USDA Formula Funds

GRAD User Role similar to SPO staff, but with access to post “SUBMIT TO SPO” only for Document Type = GRAD

SPO Admin Sponsored Programs employees responsible for limited interactions needing broader access than Users but not needing full update of SPO Staff.

View Only For campus personnel, typically with roles in compliance offices, who require access to all records and all attachments.


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D. WISPER High Level Business Process

I. CREATOR (also current OWNER) creates a new WISPER record A. By initiating a new record B. Required fields to SAVE record

1. PI 2. Sponsor 3. Short Title 4. Administering Department

II. Current OWNER and any subsequent participant can: A. Enter and/or edit any data B. Add Attachments

1. Attachments are visible at all times only to participants and approvers. 2. Foreseen documents to be uploaded are:

a. Statement of Work b. Budget c. Full application file to be submitted (pdf, doc, xls) d. XFD or PDF Grants.gov File e. Protocol Approvals f. Request for Proposals/Applications

3. Documents can be deleted by any participant. Approvers can not delete. SPO Admin can upload but not delete.

C. Transfer ownership of the record to any other user via ROUTE D. Add or respond to an approval request

1. APPROVERS receive email notification of the request. The record also appears on the user’s MY WISPER page to indicate the approval is pending.

2. List of preset common approvals is available to expedite (i.e. approve your department’s faculty involvement). An “other” type is available to enter any APPROVAL that is necessary for any record. Fields available:

a. Approval Type b. Comments (entered by requester and will visible to APPROVER) c. Requested of (APPROVER)

3. The APPROVER or any participant may respond to the approval by: a. Approve b. Deny c. Submit Comments

4. The authority regarding the necessity of the approval and acceptance of who approved the APPROVAL lies with the Administering Division. The Administering Division may submit the record to SPO without all approvals being in place.

III. Two SIGNATURES by the PI and two by the ADMINISTERING DIVISION are required. A. PI

1. Proposal signature a. Only available to employee ID logged in matching PI name on record b. Available at any time after saving the record and the completion of compliance

questions c. Required of the Contact PI or in the event of multiple PIs where Sponsor requires

their signatures, can be required of all PIs on record. 2. Award Signature

a. Available any time after the PI Proposal Signature is completed b. Is required only of the Contact PI c. If any user is concerned about a specific term of the award or about the PI’s

knowledge of the terms, an approval should be added B. Administering division signature

1. Proposal signature a. Only available to an employee ID matching an Administering Division Role


WISPER Manual


Member in WISPER maintained table b. Required before SUBMIT TO SPO is available

2. Award Signature a. Required before Advance Award, Finalized Award or Finalize Negotiations is

available C. Signature override

1. A signature override checkbox is available to the Dean’s office but only used in situations when all other options have been exhausted. If used, the hard copy form must be signed by the PI & Division.

2. May be used when the budget & project have been previously approved via signature but the SPO is requesting use of WISPER to collect additional information not previously provided (i.e. commitments).

IV. SUBMIT TO SPO A. Available after the Document Type is completed and the two Proposal signatures are made. B. Transfers ownership to appropriate SPO C. Print ability is available if hard copy is required. Data must be entered into system and printed.

V. NEGOTIATION A. When the document has been selected by the Sponsor for funding or for execution, the SPO will

update the status on the record. B. SPO will track the communications and ongoing negotiations using the SPO Action tab.

VI. AWARD SET UP A. When a PS eligible document is finalized, the SPO will notify the Division via an Approval. B. Division will facilitate collection of the Award set up information via the Projects Tab. C. When the record passes validation, the Division will notify the SPO by responding to the approval. D. SPO users can then proceed to generate the award or finalize and add funding to an existing

award.


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E. Business Process Model Routing, Approval & Signatures.

CREATOR (owner)WISPER Record is entered / modified

OWNER edits and/or ASSIGNs

New OWNER edits and/or ASSIGNS

PI SIGNATURE approving APPLICATION

ROUTE TO DIVISION

APPROVALS requested

APPROVALS made, denied,

commented

APPROVERS notified

DIVISION Review & Signature

Posts to Central RSP Worklist

WISPER validation &

SUBMIT TO RSP

RSP Management Assigns to RSP

Staff

RSP Staff review, negotiate, manage record (1.02 & 1.07

BPR)

WISPER record approved and COMPLETED

Document Type Eligible for Peoplesoft

Award?

Award Data Gathered Yes

Notification Email

No

Record require new award?

WISPER Status Updated. PS Award &

Projects updated

No

Generate Award

Finalize Record Finalize Record

(Can occur at any time after record is saved)


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Negotiation

Yes

Receive Award Document Review Document Need

Negotiation?

Proposal old? Requires check in

with PI?No

YesYes

Contact PI/Dept/

Division/OCT

UW Execute AgreementNo Has Sponsor

Executed? Done

Send to Sponsor Receive Executed Agreement

No

Yes

Communicate/Negotiate with

Sponsor

RSP & Sponsor come to terms?

Will they negotiate for

RSP?

Are negotiations successful?

Yes

No.

WARF/LEGAL

Yes

Withdraw RecordNo

Comments to RSP

No

RSP Negotiate

Can Third Party at UW help?

Is purchasing of additional insurance acceptable solution?

Risk Mgmt

Yes

No

Can PI agree to terms for

University?

PI

Yes

No

Modify WISPER’s Terms &

Conditions for Non-standard

Sponsor Terms

University of Wisconsin – Madison Grants Project

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WISPER_Manual.doc Page 8 of 65 Last Updated on December 16, 2011

II. SYSTEM PROCESS STEPS

A. WISPER Management

MY WISPER The MY WISPER worklist page will be the starting location for all (non-RSP) WISPER users and will display five sets of data: (1) In Box - records for which that user is the current OWNER (2) Approvals I Need to Complete - records where the current user has been requested to provide an approval (3) Records for which I am PI - records on which the user is listed as with the role of PI (4) Status 4.5 SPO Negotiation - records on which the user is the current OWNER and the record is under negotiation between the Sponsor & the University (5) Status 5 Setup - records on which the user is the current OWNER and the award is fully accepted and is pending completion of the required Project Details Selecting the Record ID in any of these sections will send the user to that record’s details allowing further action. Selecting any column header will allow the user to sort the section by that column. This includes Due Date and Action Date. If the user logged in has a Division Role, there will be two tabs at the top of the page, allowing them to alternate between their own user list and that of the Division Role. This page also has a “Create New Record” button that allows the user to quickly start a new record. A footer on this page allows users to quickly navigate to the Search function, WISDM to facilitate review of funded and no longer pending projects, and the Department Email contacts page if the user is a Division Authority.


WISPER Manual


Search & Copy Search Page The Search page allows the look up of existing records by selecting limiting search criteria. No wildcards such as % or * are necessary. Any text entered into the search box will perform a “contains” search function on that field. The user will only be allowed to see records for which that user has security access. Those records in a 1-In Process status are not able to be found by users who are not participants on them. Records in any later status are able to be located by anyone on campus. Only participants can edit the information on these records. Records in status 7 – Withdrawn are available but are only displayed in the results when the Withdrawn indicator is checked. These records are not editable. Clicking on the ID from the results list will launch that record in a second (pop-up) window.


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Copy The last column of the search results is a button allowing the user to create a duplicate of the existing record, allowing easy recreation of the core data for use on another routing or submission. Not all data will be copied; the dates, for example, are not copied as they are unlikely to be the same across a number of submissions.


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User Preferences The User Preferences page is accessible to all users via a link on the left navigation menu. This page allows the user to control two functions:

1. Delegate – If the user wishes to select another employee on campus to receive communications as if they were the user, the delegate function can be used. By selecting the Add User Delegate button, the user can lookup anyone in the UW person table and add them as your delegate. This will allow the delegate to receive emails every time the WISPER user receives an email (notifying routing or approvals) and to have access to those records via the search function. Note that signatures of a PI or a Division Role Member are not able to be delegated. Only the user with the role of PI or Division is able to sign.

2. Email Notifications – To turn email notifications from WISPER on or off, the user can check or uncheck the three email check boxes. It is STRONGLY not recommended to turn the emails from the system off.

Field Name Field

Description/Purpose UW Usage

Configuration Field Detail/Comments

WISPER User The user currently logged in.

Y

User Delegate The user with delegate authority for the WISPER User.

Y This person can receive emails and see the same records that the WISPER user does.

Remove Delegate Button

Removes the User Delegate from the WISPER User.

Y

Receive WISPER Email Updates Checkbox

Turns on and off all emails from the WISPER system.

Y

Receive WISPER Email on

Turns on and off the email notification sent

Y


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Assignment of Record Checkbox

when records are assigned to the WISPER User.

Receive WISPER Email on Approval Request Checkbox

Turns on and off the email notification sent when an approval is added for the WISPER User.

Y


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Division Role Set up The Division Role function is critical to the path of records from campus to SPO. Users with this role are allowed access to the Division Action page which drives submission of records to SPO and are responsible for management of the Department Email tables used in finalized negotiations and award notification. SPO Managers control the users who have this role via the “Division Role Members” link on the left navigation menu. Selecting this link allows the SPO Manager to see a list of all divisions on their campus.

When a Division is selected, the SPO Manager sees the list of campus users currently assigned to the Division Role for that Division. The SPO Manager can delete those users by selecting the icon. To add any additional user to have this Role, the Manager will select the icon and see the PeopleSoft person lookup page.

The Manager can look up any campus person and select them from the results list by selecting their Employee ID number. Upon selection the user is returned to the Div Role Members tab above and should select SAVE to complete the action.


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Field Name Field



EmplID The person who should have the Division Role

Y Lookup to UW person table

Employee Name

Name of person related to ID selected above.

Y


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Department Email Tables The function of these tables is for the facilitation of various electronic business processes including email notification of Award Modifications and Finalized non-PeopleSoft eligible documents, identification of approvers for Set up Projects Approval type, identification of approvers for Other Department Resource Approval type, and identification of post award contacts used for communication to campus for closeout of awards. The Department Email Tables are maintained by those users with the Division Role. Access to this page is via a link on the bottom of the Search Page or MY WISPER worklist page. Selecting this link will show the Division users a list of Divisions for which they are listed as the Division Role Member.

From this list, the Division Role Member can select the Division for which they want to update the email contacts. The resulting page is a list of all Departments or Nodes and Employees or Emails assigned within that Division. The notification can be sent to a specific person (to the email address on file with the University HR) or to a generic email address, in which case no user should be selected – only an email address in the “Or Email Box” column. The Division Role member can delete the email notification for a user or email address by selecting the icon next to that row. To add an Employee or an Email address, select the icon. This will add a row (see Row #4 below). Enter the Department or Node for which this user should receive notifications, and then select the user via the PeopleSoft lookup icon or by entering the email address in the “Or Email Address” field.


WISPER Manual


Field Name Field


Configuration

Field Detail/Comments

UDDS Begins With

Enter the first known digits for which the email should be sent to the user on this row.

Y If only 2 characters are entered, the user or address will get all email for that division. If 3 digits are entered, the user or email will receive email for only those departments within the division that start with these 3 digits.

Employee Person ID

The person to whom an email notification should be sent

Y Lookup to UW person table

Employee Name

If a person was selected above, the related name is displayed

Y

Employee Email

If a person was selected above, the email address from their HR record is displayed

Y

Or Email Box

If a generic email address, not specific to an individual person is to be used, that email can be entered here.

Y If sending to a generic email, do not use the employee lookup. Employee name and Employee email columns will remain blank.


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B. Campus Creation & Routing Create To create a record, a user will be required to enter a Short Title and select a PI, Department, and Sponsor. The user also has the option to select the “PI Email” checkbox to generate an email notifying the PI of the creation of the record and of the requirement to sign prior to submission to SPO (note this is available on subsequent pages as well). When the user selects the Create Record button, WISPER assigns the unique WISPER ID #, stores the data in the database, sends the email if check box is checked, and allows the user to continue on to the General Page. The business unit field is also required, but will default based on the user’s preferences. If you are creating a record for a campus outside of your primary campus, change it at this time.

Field Name Field Purpose UW

Usage Configuration Field Detail/Comments

Short Title A working title to help communicate about the project.

Y Is not used in any reporting or communication to Sponsor.

Contact PI Lookup to the employee table where the PI eligible indicator is Y.

Y If the user logged in is PI eligible, automatically defaults the user as the PI.

PI Email Checkbox

Determines whether email is sent to the PI informing them of the record creation and the requirement to sign the record.

Y

Department Lookup the Department responsible for administering the

Y


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project. Dept ID Displays the related Dept ID of the

Department selected. Y

Business Unit

Campus administering the project. Y Defaults from the user’s profile.

Sponsor Name

Displays the name of the organization providing the funding, materials, data, or collaboration with the UW.

Y

Create Record Button

Selecting this button stores the information in the database and allows the user to proceed with more data collection about the application or agreement.

Y


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General Page This page contains the core content of the routing form. Each user should enter all information that they know to expedite the review of the form. At a minimum, RSP requests the Submission Instructions and the Compliance Reponses to be completed as early as possible. Only participants can edit this page and only then until the record is Submitted to SPO at which time it becomes view only.

Field Name Field



HEADER Record ID Unique ID number used to

track the record. Y Read Only

Contact PI Person who has ultimate responsibility for this project at the University.

Y Read Only – editable in the body of the General Page

Short Title A working title to help communicate about the project.


Document Type

Indicator of the type of agreement or application being routed.


Sponsor Organization providing the Y Read Only – editable in the


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Field Name Field Description/Purpose

UW Usage


Name funding, materials, data, or collaboration with the University of Wisconsin.

body of the General Page

Status WISPER Document Status. Security limited only to RSP.

Y Read Only -- editable on SPO Action Page

Sign the Record

Link for those with PI role to the Signature page

Y Only available to those listed as the Contact PI (or with the role of PI when the Sponsor requires all PI’s to sign).

Route to Another Person

Button launching the route functionality and selection page

Y

MY WORKLIST

Link to send user to their MY WISPER worklist

Y

Search Link to send user to Search page

Y

Print Button to create printer friendly pdf

Y The pdf launches in a separate (pop-up) window.

Send PI Signature Request

Button to trigger PI Email request functionality

Y Launches a page allowing the user to see whether the PI has signed the record, what emails have been sent requesting email, and triggering the PI Signature email if necessary. If the user request an email to be sent to the PI, the user will receive an automated email response when the PI does sign.

BASIC INFO Contact PI Lookup to the employee

table where the PI eligible indicator is Y.

Y To change the contact PI selected on the create page, select the Change Contact PI button.

Outside Activities Report Submitted

Indicator of whether or not the PI has filed the required Outside Activities Report online.

Y On selection of PI, the emplID is matched to the Graduate School Outside Activities Report System. The value returned indicates whether or not the user has filed the OAR since May 15 of the required annual cycle.

Effort Training Completed?

Indicator of whether or not the Contact PI has completed the Mandatory Effort Training.

Y On selection of PI, the emplID is matched to the Graduate School Effort Training Tracking System. The value returned indicates whether or not the user has completed the training.

Official Title provided to the Y Used for matching


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UW Usage


Proposal Title Sponsor. communications and documentation from the Sponsor.

Short Title Working title Y Used for communicating internally about the project.

Administering Dept

Lookup the Department responsible for administering the project.

Y

Begin Date Start Date of the Award or Agreement

Y User can use the calendar tool or key in the date in any format.

End Date End Date of the Award or Agreement


Sponsor Lookup the organization providing the funding, materials, data, or collaboration with the University of Wisconsin.

Y

Sponsor Not In List

Checkbox indicator if Sponsor was manually entered in and not available in the selection tool.

Y User is not able to select this manually. It is automatically checked if on the Sponsor selection page, the user indicates the Sponsor is not in the table, keys in the name manually, and selects “Add non-listed Sponsor to Record.”

Primary Sponsor (Optional)

Lookup to Sponsor Table Y If the funding is passing from one Sponsor through another entity to the University, enter the originating Sponsor here.

Proposal Type Drop down of the types of applications routed.

Y Pre-proposal, New, Continuation, Competing Continuation, Supplement, Resubmission

Document Type

Drop down of the types of documents being routed.

Y CDA, CTA. CoopAgreement, CosReimCon, FixPriceCon, GradSchool, Grant, Hatch, IPA, Internal, MTA, Master, NFA, NIHTrain, Other

See table 1a following this matrix of fields for explanation of these items.

Related Lookup WISPER ID to Y Replaces the Supplement of,


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UW Usage


Record Button indicate a relationship between this record and another previously created.

Renewal of, and Continuation of lines on the existing t-form and allows the broader relationships of MTA to Project, CTA to CDA to be established.

Table 1a – Document Types Code Description Comments CDA Confidential Disclosure Agreement Also sometimes called Non-disclosure Agreement

or Confidentiality Agreement CTA Clinical Trial Agreement CoopAgreement Cooperative Agreement Application for funding which if awarded by the

Sponsor will be a Cooperative Agreement. Commonly used by USDA.

CosReimCon Cost Reimbursable Contract Application for funding which if awarded will be an agreement between the University and the Sponsor that requires RSP to invoice at some frequency for the funding. Actual costs incurred by the project will be reimbursed by the Sponsor. Most Wisconsin State & Federal Agency agreements are Cost Reimbursable.

FixPriceCon Fixed Price Contract Application for funding which if awarded will be an agreement between the University and the Sponsor that provides for a set price and does not require a refund of the balance upon project completion.

GradSchool Graduate School Application DO NOT SELECT this type. All Graduate School applications must be submitted to the Graduate School who will enter the information into WISPER.

Grant Grant Common name for “PROPOSAL” or “APPLICATION.” Most applications for funding should use this type. Use this type for direct grant applications to the Sponsor and when a subrecipient of a grant mechanism by another institution or organization.

Hatch USDA Formula Funds Award Hatch McIntire-Stennis

Applications for the UW annual USDA Formula Funds awards commonly known as Hatch. Administered by CALS.

IPA Intergovernmental Personnel Assignment

Agreements under which a UW employee is detailed to work for the Sponsor for a defined period of time.

Internal UW System Application to a UW System Entity which will not be funded via a Fund 133 or 144 project.

In – MTA Incoming Material Transfer Agreement

Agreement to arrange the transfer of third party materials used for research to the UW. If any payment for materials is required, the agreement should route through Purchasing not RSP.

MTA Material Transfer Agreement Is no longer used Master Master Agreement Agreement which itself doesn’t provide funding to

the University, but provides the terms under which subsequent tasks or addendums may be executed to efficiently pass funding to the UW.


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NFA No-Fund Agreement Any agreement where no funding is being provided to the University; however, in course of the Research mission, it is necessary to agree to additional terms. Examples include: Memorandums of Understanding, Collaboration Agreements, Licensing Agreements, Software Agreements, and Data Use Agreements.

NIHTrain NIH Training Grant Application for NIH T32 funding. NoCostExt No Cost Extension Other Other If you are unable to determine the type of

document you are working with or believe that your document is not represented above, please select other.

Out – MTA Outgoing Material Transfer Agreement

Agreement to arrange the transfer of UW owned materials to a third party.

SubProject New project under existing award To request that a new project be established under an existing award, select this type.

Field Name Field



SUBMISSION INSTRUCTIONS Sponsor Deadline

Date the Sponsor requires receipt of the documents.

Y User can use the calendar tool or key in the date.

Paper being sent to UW SPO

Checkbox to indicate whether or not paper is being routed to RSP despite the online routing of the record.

Y When selected, an indicator is displayed on the SPO Action page indicating that a paper copy is coming.

Submission Method

Dropdown selection of how the materials are to be transmitted from RSP to the Sponsor.

Y Grants.gov, NSF Fastlane, Email, Other Electronic Submission, Mail, Overnight Delivery, Fax, Will pick up,


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UW Usage


Internal Routing, Other

Sponsor Program Number

Sponsor announcement to which this application is in response.

Y

Sponsor Reference Number

Number assigned by the Sponsor for this particular application or agreement.

Y

Campus Contact

Lookup in the UW employee table for the person who has the ability to answer questions about the application.

Y This person gets access to the record. Please list the person most likely to facilitate this record on behalf of the PI in this location.

Campus Contact Phone

Displays the phone number from the University Directory for the person selected.

Y If the phone number is not correct, please contact HR to update. If the phone number needs to be adjusted for this project (i.e. cell), you can over-write the default with the number.

Campus Contact Email

Displays the email address from the University Directory for the person selected.

Y If the email address is not correct, please contact HR to update.

Submission Instructions

Text box to provide any other instructions regarding the submission.

Y Examples of instructions are: address to mail, fax number to send to, email address, and file type to be transmitted.


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Protocol Details Hyperlink


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UW Usage


COMPLIANCE Toxic, infectious or carcinogenic/mutagenic material of proven or potential hazard to humans, other animals, or plants? Use of recombinant DNA technology?

Yes/No Dropdown response to compliance questions

Y Required prior to PI routing signature. If yes response, a link to Protocol details will appear in the section allowing the user to enter the details about the protocol approval.

Use of human subjects or human tissue?



Use of vertebrate animals?



Use of human embryonic stem cells or transplantation of human pluripotent stem cells into animals with possible CNS integration or germline transmission?



Need additional space?


Y Required prior to PI routing signature.

Potential environmental impacts which require review under Wisconsin Environmental Policy Act?




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UW Usage


Funding primarily dedicated to building, renovations, or equipment?



Enter Protocol Certification Details Here Hyperlink

Sends user to Protocol Details page.

Y

PROTOCOL DETAILS Description Displays description of

Protocol Type. Y

Protocol Number

Protocol Approval Number Y For IRB approvals, use the format: SE2007-123. If the protocol is deferred to another organization, enter D00005790 where D indicates Deferred and 00005790 the FWA number of the organizations providing IRB review. For RARC approvals, do not include the hyphens in the number. Use the format: A012345. For Biosafety approvals, use the format SC11-123R For HESC approvals, use the format SC20110001

Protocol Status

Drop Down indicating the status of that protocol approval.

Y Pending, Not Appl, Approved

If Y, all fields (number, dates) required before Division Award Signature.

Protocol Approval Date

Date the protocol was approved.


Protocol Expiration Date

Date the protocol approval expires.



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Field Name Field



PERSONNEL Name Lookup for listing of other

personnel affiliated with the project.

Y Listing will allow unlimited number of personnel, but recommend limiting to Key Personnel and those persons who are named in the award. Fellows should be entered.

Role Dropdown selection of the role on the application or agreement.

Y Co-Investigator, Collaborator, Fellow, Key Person, Mentor, Other, Principal Investigator, Research Assistant, Trainee

Outside Activities Report Submitted

Indicator of whether or not the PI has filed the required Outside Activities Report online.

Y Only appears if user has role of PI. On selection of role, the emplID is matched to the Graduate School Outside Activities Report System. The value returned indicates whether or not the user has filed the OAR since May 15 of the required annual cycle.

Effort Training Completed?

Indicator of whether or not the Personnel have completed the Mandatory Effort Training

Y Only appears if role is PI. On selection of role, the emplID is matched to the Graduate School Effort Training Tracking System. The value returned indicates whether or not the user has completed the training.


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Field Name Field Description/Purpose UW

Usage Configuration Field Detail/Comments

PROPOSED BUDGET Direct Costs Total Direct Costs for all years

proposed in application. Y

F&A Costs Total F&A Costs for all years proposed in application.

Y

Total Costs Calculated Field adding the Proposed Direct Costs and Proposed F&A Costs.

Y

F&A Rate Enter the percent of the F&A applied on the application or agreement.

Y If the Sponsor has one single rate on their profile, it will default in otherwise, the user must enter it.

On Campus? Yes/No Radio Button allowing the user to indicate whether the project is on campus of off campus.

Y Default is Yes. If changed to no, the following three fields become available for entry.

Country Lookup to the Country table. Y Peoplesoft Country Table

City Enter the city where the project will take place.

Y

State Lookup to the State table based upon which country is selected.

Y Peoplesoft State Table

Cost Sharing Included

Dropdown selection of the type of cost sharing included in the application or agreement.

Y Mandatory, NSF, Voluntary, Blank

Cost Sharing Amount

Enter dollar amount of cost sharing committed in the application or agreement.

Y

Cost Sharing Comments

Enter information about the content of the cost sharing.

Y Useful information for later use such as the cost category or source of the cost sharing.

Outgoing Sub-agreements?

Yes/No Radio Button asking whether any portion of the scope of work will be subawarded to a third party.

Y Yes/No Required field.


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Field Name Field



KEYWORDS Keyword Enter scientific keywords to

facilitate reporting. Y Separate each word via a

comma. FOOTER Add Comments Button

Button to page showing comment field.

Y A large text field is provided to enter any information you would like to communicate to other users accessing this record. Without the ability to attach “sticky notes” to the record, such ad hoc communication is replaced with the “comments” button. User should include their name and date comment provided as this information is not stored automatically.

Print Button Button to create a pdf version of the record using existing information.

Y

Sign the Record Link

For those individuals listed as the Contact PI or with the role of PI when the Sponsor requires all PI’s to sign, the Sign the Record link is active. Users can use this link to provide the mandatory signatures.

Y

Route to Another Person Button

Button pops up the Routing function.

Y Use the Route to Another Person button to pass it along to the next responsible party.

Attachments Link

Link sends the user to the page allowing upload of any type of document for review by all other participants on the record.

Y Will generally be used for budgets, narratives, copies of the agreement, and full application packages.

My Worklist Link

Link returns the user to their MY WISPER Worklist.

Y

Search Page Link

Link sends the user to the Search page.

Y


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Comments The comments tab facilitates any ad hoc communication between WISPER users through the use of a free text field.

The Comments tab also tracks WISPER routing information in the “Routing History” section. This table captures route date/time, routed to, routed by, and routing notes.


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Attachments Attachments of ANY file type may be uploaded via this page. Any participant may add or remove attachments at any time. Budgets and narratives will be required. If the application is being sent from RSP, the complete application should be uploaded via this page. This page can be used to share draft or support documents to facilitate the completion of the WISPER record. You can also use these in concert with approvals or routing to seek specific feedback or authorization. This page will be secure to participants on the record so that the project work is safe to only those who need to review these documents. Although once submitted to RSP other sections of the application will be visible to all campus users, attachments will remain secure.

Field Name Field



Upload Attachment Button

Button launches a Browse and Upload window to allow users to attach documents to the record.

Y

Delete file button

Trashcan allows you to delete that file from the record.

Y Not available to Approvers or SPO Admin. A warning is provided before the file is deleted.

File Name Displays the file name uploaded to the record.

Y

File Description

User can enter a description of the file uploaded.

Y Use to indicate drafts, version, or final for submission

Uploaded By Displays the name of the user logged in who uploaded the file.

Y

Uploaded Date/Teim

Displays the date & time the user uploaded the file

Y

Add another attachment link

Link adds another line, thereby activating another Upload Attachment Button.

Y


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Approvals The Approval function is intended to allow participants with a need to review any portion of the document to be added to the document without transferring ownership from a party who wants to maintain tracking and control over the content. Approvals can happen parallel to all of the other creation, routing and tracking on the record. When an approval is added, an email is sent to the requested approver with a link that the approver can follow to respond to the request. The record also appears on that person’s MY WISPER Worklist. Any participant can respond to the request, not just the specified approver. The Approver only has the ability to view all pages, add attachments, respond to approvals and add approvals. The available actions are: 1) APPROVE, 2) DENY, or 3) SUBMIT COMMENT ONLY. The system will capture who performed the action and when. A SUBMIT COMMENTS ONLY response will leave the item on the user’s worklist and will store the comments. Additional comments can be added or any participant can return to perform responses 1, 2, or 3 at any time. After being approved or denied, a record will still have the SUBMIT COMMENTS button active for additional comments to be added. Each action triggers an email to the requester, the approver and all other participants who have acted at any time on the approval. Examples of some business processes that will be facilitated by this approval process are:

1. Revised budgets 2. Chair approval 3. Inter-division and department approvals 4. Project set up 5. Advance Award request

Approvals do not need to have a response submitted in order to move forward and submit the record to RSP. The set up projects approval type runs the validations indicated on page 62 before allowing the approval to accept. If the validations have not passed, cancel will be the only option to the user who must return to the record and clear all problems indicated. Approval Page

Field Name Field



Initiate New Approval Request

Button adds a new approval request to the record and launching the Approval Details screen

Y

Requested Approvals Approval Type

See Approval Details. Y

Requested Date and Time the Y


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approval request was added.

Requested By

User who requested the approval.

Y

Requested Approver

Person or Role who was requested to perform the approval.

Y

Actual Approver

User who performed action on the approval.

Y

Action Statement of whether the approval was APPROVED or DENIED.

Y

Review/Approve

Link to the Approval Details Page.

Y

Approval Record Details

Field Name Field



Approval Details Requested By

User who is entering the request.

Y

Request Date

Date and time the user presses the add approval button.

Y

Approval Type

Dropdown allowing selection of custom pre-configured approval types.

Y Based on Campus Configuration

Selection of the type will populate text in the approval request box and if configured, the Approver Type.

Approval Request

This text box allows the user to enter details about the type of request the Approver is being asked to make.

Y Initial text defaults in based on the Approval Type selected.

Approver Drop down selection of Y PI, Division,


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Type who is being asked to make the approval.

Employee

Requested Approver

The person or role who is being asked to make the approval.

Y Depending on the selection of Approver Type, either the Contact PI name, a lookup button stating select Employee, or a Drop down allowing selection of any Division on campus will appear.

RESPOND TO APPROVAL Submit Comment Only Button

Button when pressed stores the comments but does not indicate an approval or denial action taken on the record.

Y

Approve Button

Button indicating a positive response to the approval.

Y When Approval or Denial is performed, the button becomes inactive and the action taken, taken by, date, and time are documented.

Deny Button Button indicating a negative response to the approval.

Y When Approval or Denial is performed, the button becomes inactive and the action taken, taken by, date, and time are documented.

Comment Free text box allowing the approval responder to enter any response to the record. Is stored regardless of which action button is pressed.

Y


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PI Signatures Page Principal Investigator(s) are required to verify the information provided in a record twice during the document lifecycle. The first is prior to routing the document to RSP. This signature may take place after the record is created and requires the least validation. It is required only of the Contact PI unless the Sponsor on the record requires all PI’s to provide an institutional certification (i.e. NIH). The compliance questions must be answered in order for the first signature to be executed. Access to the page is limited to the PI only. Others may read determine if the PI has signed by viewing the History page or the Sent PI Signature Request page. If physical signatures are required on the record, the user should utilize the PRINT button on the General Information page. A check box on the Division Action page will indicate “Override Electronic Signatures”. (This is in addition to the “Paper Copy to RSP“ indicator on the General Information>Submission Instructions). This should be used only after all other options for gathering electronic signature have been exhausted.

For information on the Principal Investigator Signature for Award, please see Section D: Award Acceptance.


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Route Routing a document in WISPER is the equivalent of handing off paper forms. The user has the option to enter a comment or note to the next recipient. There are two different options available for routing a WISPER document accessible via the Route to Another Person button on the footer:

1) Route the record to a specific person – the user will see a custom lookup screen allowing them to select any person on campus. After selection, the new recipient receives an email indicating they have been routed the record. The record will also appear on the new owner’s worklist.

2) Route the document to the administering division – The administering division is determined based on the Administering Department on the General page. The division of this department can be automatically routed the record by selection of this button. The users who have Division role authority will receive an email and the record will appear on their Division role worklist.

Each routing action is captured in both the History and Comments pages.


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History The History Page will serve as a repository for key changes to a record. These changes will be tracked up to and including the generation of an award.

The following events will be tracked as part of the Record History:

1. Change in the value of the following fields: PI, Sponsor, Document Type, SPO Owner 2. PI Signature 3. Division Signature 4. Routing to a new owner 5. Change in WISPER Status 6. Change in Funding Status 7. Request of an Approval 8. Comments, Approval, or Denial of an Approval 9. Write back of Award & Project ID


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Division Action Division Administrators have the responsibility of controlling when records are forwarded to SPO for action. They will both indicate their Division’s certification by electronically signing the record and forward to SPO via the Division Action page. Access to the Division Action page is limited to those with any Division role. Others may determine if the signature or actions have occurred via the History tab. The page also allows the Division to withdraw the record from routing if the record is a duplicate, created in error, or it determined that the record will never be submitted to the Sponsor. The Division may withdraw a record only when it is in Status 1. They may do so by simply pressing the Withdraw Record button.

The first signature is to indicate validation of the routing information. The I SIGN Button indicates this approval. For information about the Award signature, please see Section D: Award Acceptance. After completion of the WISPER record, including signatures by the Division and PI, the Division can submit the proposal to the SPO. Any hard copy paperwork is sent manually to the SPO (with flag indicator on submission instructions that paper is forthcoming). The Submit to SPO button will trigger the move of the record off of the campus MY WISPER In Boxes and into a Central SPO worklist for further action. Several validations are done during the submission of the record to SPO. These validations may be run separately by selecting the left validation button prior to selecting the Submit to SPO. The validation checks for signatures and completeness of the record. It also provides warning if any approvals have not been responded to.


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C. RSP Internal Processing SPO Manager Worklist When the Submit to SPO selection is made, the record moves from the 1-In Process Status to 2-Forwarded to SPO. This removes it from any campus MY WISPR In Boxes and posts it to the SPO Manager Worklist. Those with the appropriate role at the SPO will access this list and view any documents in the New Document Submissions Section.

1. New Document Submissions - When new records are routed to the SPO, they will appear in the top section.

The responsible parties can access the details of the record by selecting the Record ID hyperlink or go directly to the SPO Action page by selecting the SPO Action hyperlink for the same record. This will allow responsible parties to direct the records quickly to the SPO staff who will process them.

2. Requested Approvals - The second section of the SPO Manager Worklist displays all records that need SPO Manager Approval. (See the SPO Action Page for indication of how records arrive on this section). Clicking on an individual Record ID opens the general page for the selected record. Selecting the Approval link for the same record sends the responsible party directly to the SPO Action page to be able to indicate approval. (See SPO Action Page). Once the Manager Approval is made, the record is removed from this section.

3. Project Set up Requests - The third section of the SPO Manager Worklist displays all Project Setup requests submitted by the Division, which are NOT on an SPO User worklist (in Status 4.5 or 5). The far right column indicates whether the record to be setup in Advance of Award or Finalized. Clicking on the individual Record ID opens the General Page. Selecting the SPO Action link will take you directly to the SPO action page.


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SPO Action Page to Change Owner This page is accessible for view by anyone in WISPER but is editable only by SPO Admin, User and SPO Manager roles. For the purposes of routing, only the top section of the page is addressed. When a manager arrives at this page from the SPO Manager Worklist, they will see the document in a 2-Forwarded to SPO status. The manager will assign the record to an SPO staff member for processing by selecting the SPO Owner Drop down and selecting the appropriate person. This will cause the Document Status to change to 3-Assigned at SPO. The Manager will save the record. The record now appears on the SPO User Worklist for processing.

For complete details on the rest of this page, please see the SPO Action section below.


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SPO User Worklist The SPO User Worklist will provide all SPO staff with a listing of the documents requiring their attention. There are five primary reasons an SPO user will need to work with a document, and these will be driven by RSP ownership, document ownership, document status, or approval requests.

1. In Process in RSP: Records where the user is identified as the SPO Owner and the status of the document is 3-In Process in SPO. When an SPO Manager assigns a record as described above, the record enters this section.

2. Campus Records I Own: Records where the user is the campus owner (not SPO owner) and currently

has a status of 1-In Process.

3. My Approvals: Records where the user has been added as an approver regardless of status.

4. Setup: Records where the user is assigned as the SPO Owner and the status is 5-SPO Setup. Records in this section are sorted first by the indication of Advance or Final Setup, then by PI, then by Sponsor.

5. Negotiation: Records where the user is assigned as the SPO Owner and the status is 4.5-SPO

Negotiation. Records in this section are sorted first by the indication of Advance or Final Setup, then by PI, then by Sponsor.

Clicking on the document ID for any of the documents listed on this page will send the user to the General page for that document. The SPO user is able to sort by any column header within a section. Each SPO User Worklist is visible to the SPO user and to any user with SPO Manager Role.


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SPO Action Page The SPO Action page is the primary interface for all SPO staff with individual WISPER records. Here they will indicate the status of records, change ownership of the records, indicate Manager Approval of the records, track negotiations on the record, and either finalize or generate an award from the record. More detailed instructions on how to executed each business process is available in the appropriate Desk References.

Field Name Field



Document Status

To indicate the current status of the processing of the record within WISPER.

Y 1-In Process, 2-Forwarded to SPO, 3-In Process in SPO, 4-Sent to Sponsor, 4.5 – Negotiation, 5-Setup, 6-Completed, 7-Withdrawn

See the table below for details.

Reference Award Number

The award number assigned by the Sponsor.

Y


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SPO Owner Drop Down selection of all users with the SPO User role.

Y Varies

SPO Ruleset

Lookup to the available Commitment Control Rulesets.

Y CALS_RES, GRAD_DIRFA, GRAD_RES, RSP_DIR_FA, RSP_R_CAT, RSP_TRAIN

Drives the categories visible on the project details page and subsequently the ruleset under which the budget posts in Commitment Control. Defaults based on business rules of Sponsor and Document Type. Should only be changed on approval of RSP Post award Assistant Director.

SPO Hard Copy Received

Indicator of whether or not RSP has received the hard copies from campus

Y Check box Only appears when the campus user selects Hard Copy to RSP on the General page. Used to trigger notification to the SPO user that materials are forthcoming in addition to the electronic record.

Proposal Funding Status

The status of the award or agreement.

Y Accepted, Closed, Holding, Pending, Pre-Award, Refused, Terminated, Transfer, Under Negotiation, Withdrawn

Default is Pending. Should be changed when funding notification is received from Sponsor to appropriate selection. Use only Pending, Refused, Withdrawn, Preaward & Accepted. Do not use Closed, Holding, Terminated, Transfer or Under Negotiation.

Request Manager Approval button

Button to indicate that the record is ready for the RSP Manager Approval.

Y Upon selection, the record indicates PENDING on the SPO User worklist and is visible on the SPO Manager Worklist.

Manager Approve button

Button updates the RSP Manager Approval to Approved Status.

Y Status of APPROVED Indicated on the SPO user worklist status. Record removed from the SPO Manager Worklist.

Approval/ Comments button

Button opens a large text box for comments between SPO users and managers through which comments can be communicated.

Y

Generate Award button

Selected when a new Award ID is necessary in PeopleSoft. When selected, validations will be run to ensure data integrity. The WISPER data will be moved to the appropriate PeopleSoft award and project

Y Validations: Provide ERROR if Document Type is not one which is eligible for generation. Provide warning if Proposal Type is not New.

Additional validations are as run on the Division Action “REQUEST FINALIZE ACCOUNT” button.


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locations. Finalize Record button

Button used to close a record when a new PeopleSoft award is not needed. Might not be eligible for PeopleSoft generation or may be a modification to an existing PeopleSoft Award.

Y When used for Non-PS eligible Document Types email is triggered to notify those on the Department Email Table of the completion of the record.

When used for PS eligible types where a new PS Award ID is not needed, a validation will be run to confirm the Award ID field is completed. An additional validation will run to provide a warning if Proposal Type is New.

Award ID/Contract ID

ID to which this award is generated or added.

Y If the award is generated using the Generate Award button, this field is automatically populated in that process. If the record is completed via the Finalize button, the RSP user will be responsible for updating this field before finalization.

Negotiation Status

Drop down selection to indicate which party is currently responsible for the next action on the record.

Y 01-Campus Response, 02-Compliance Approval, 03-Dean’s Office Negotiating Agre, 04-IP/Patent Office, 05-Legal, 06-OCT, 07-Other, 08-SPO Action, 09-Sponsor-First Check, 10-Sponsor Action

Status should be updated each time a user interacts with the record and a new party is responsible for the next action.

Negotiation Comments

Information to communicate the current status of the negotiation process.

Y


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WISPER STATUSES Status Security Worklist Changes When 1-In Process All participants, the Divisions, and

SPO have access. Campus user’s MY WISPER worklist.

Submit to SPO button is pressed on Division Action Page.

2-Forwarded to SPO Record is able to be found by anyone on campus. Comments, Attachments, Approvals & Projects pages are editable by participants. Attachments are not visible to non-participants. General page is editable by SPO Users.

SPO Manager

An SPO User is assigned to the record.

3-Assigned at SPO Record is able to be found by anyone on campus. Comments, Attachments, Approvals & Projects pages are editable by participants. Attachments are not visible to non-participants. General page is editable by SPO Users.

SPO User An SPO user changes the status.

4-Sent to Sponsor Record is able to be found by anyone on campus. Comments, Attachments, Approvals & Projects pages are editable by participants. Attachments are not visible to non-participants. General page is editable by SPO Users.

None An SPO user changes the status.

4.5 – SPO Negotiation

Record is able to be found by anyone on campus. Comments, Attachments, Approvals & Projects pages are editable by participants. Attachments are not visible to non-participants. General page is editable by SPO Users.

SPO User and Campus My WISPER Worklists, so that project details process and award negotiations can occur simultaneously.

An SPO user changes the status.

5-SPO Setup Record is able to be found by anyone on campus. Comments, Attachments, Approvals & Projects pages are editable by participants. Attachments are not visible to non-participants. General page is editable by SPO Users.

SPO User and Campus My WISPER Worklists, so that project details process and SPO tracking can occur simultaneously.

An SPO user changes the status.

6-Completed Record is able to be found by anyone on campus. No pages editable. Attachments are not visible to non-participants.

None An SPO user changes the status. Record has been fully negotiated. The Finalize or Generate button has been pressed.

7-Withdrawn Record is able to be found by anyone on campus when the check box on the Search page is checked. No pages editable. Attachments are not visible to non-participants.

None An SPO user changes the status.


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D. Campus Award Acceptance A number of actions must occur before SPO can finalize or generate the award. When the SPO or campus has been notified of the forthcoming award, they may begin this process. If campus is notified, they should inform the SPO user on the record, typically via an approval. The SPO user should perform validations on the number of projects required and should update the terms and conditions before changing the status to 4.5-Negotiation or 5-Setup. Such is the same if RSP is notified of or receives an award. The number of projects if multiple are required and terms should be updated before informing campus and beginning the formal acceptance process.

Note that the process of collecting details about the award and projects can be initiated at any time; however, it is required before the SPO generates the information into the PeopleSoft Financials System. Therefore, information which was pending may already be captured in the system. It should be validated and confirmed before generation of the award or updating PeopleSoft financials.

Projects The projects tab contains a listing of the projects to be set up. The SPO can facilitate this page by adding the required number of projects and the start and end dates before updating the document status to 5- Setup. Campus can request additional projects by selecting the Add Project button and completing the necessary details. The page is not accessible for document types that are not eligible for generating into awards (i.e. CDA, NFA, MTA). As each award is required to have one project, the first project is already created and accessible via the Project Description hyperlink.

Project General – Award Information Field Name Field



Direct Costs Total direct costs as awarded

Y Enter only the amount currently obligated by the Sponsor. If


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incrementally funded, only a portion is likely obligated at this time.

F&A Costs Total F&A costs as awarded

Y Enter only the amount currently obligated by the Sponsor. If incrementally funded, only a portion is likely obligated at this time.

Begin Date Begin date as awarded Y End Date End date as awarded Y For NIH SNAP projects, enter

the full award period even though only the first year budget will be entered.

Add Project Button which adds an additional project to the record and launches that additional project’s details page.

Y

Total Costs for all Projects

View only field indicating the total of all projects entered via the Project Details pages

Y Before generation of award, this must match the Award Total Costs

Enter Protocol Certification Details Here

Hyperlink sending user to the Protocol Details page.

Y

Validate to Submit

Button to allow user to run the edits to confirm all information necessary for proposal submission are completed.

Y See page 62 for validations run by selecting this button

Validate to Req Adv Account

Button to allow user to run the edits to confirm all information necessary for Advance Award setup are completed.


Validate to Req Project/Award Finalized

Button to allow user to run the edits to confirm all information necessary for Final Award Setup are completed.


Project Header Selecting the link under the Project Description launches the user to the Project Details page. The top portion of this page is called the Header and is used to capture demographic information about each project. The Description, PI, Owning Department, Start, and End Dates default from the WISPER General page.


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Project Details - Header Field Name Field



Description Short description of the project.

Y RSP will use the first few characters if need to have separate projects each budget year. Y1, Y2, Y3 should be used in these situations.

Project PI Defaults from the Contact PI on the General Tab. Is able to be changed using the Change Project PI button.

Y Lookup to entire UW directory –not limited to PI eligible individuals.

Project Type Lookup to Custom UW Project Type field.

Y See table below for additional information.

Fund Code Dropdown of funds currently available in SFS.

Y 101, 133, 135, 143, 144, 145, 146, 147, 148, 233

Customized to only allow those funds that are using the Grants Modules. Note that only UWMIL is using the 233 for Grants. UWMSN users should not select 233.

Owning Department

Defaults in from the Administering Department on the General page. Is editable using the “Change Owning Department on Project” button.

Y UW Department table

Start Date Begin date of this project Y End Date End date of this project Y For NIH SNAP projects, enter

the full award period even though only the first year budget will be entered.

F&A Rate Type

Dropdown of available types for the indication of the appropriate F&A.

Y Clinical Trials, Instruction and Training – On Campus, Off Campus,

This field is critical to calculation of F&A and of cost shared F&A on the project. Select the appropriate Rate Type in order for the calculation


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Primate Center Negotiated Rate, Public Service – On Campus, Research – On Campus, Wisconsin Center for Education Research, Wisconsin State Agency Rate, Wisconsin DPI-Tech Colleges

to perform. UWMSN RSP SPO Users should not use the NONE Type unless specifically instructed to do so.


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F&A Base Select the appropriate

basis for the F&A calculation.

Y Modified Total Direct Cost (G), NIH Training (Base D), NSF Resrch Exper for Undergrad, No F&A (Base A), Salaries Wages and Fringes (F), Salaries and Wages (Base B), Total Direct Costs (Base C)

Equipment grants should be set up as MTDC with a rate of 0%.

Funded F&A rate

Enter the numeric rate to calculate billable F&A on this project.

Y

Project Type Code Short Description Details/notes GM_05 Employee Interchange

Agreement Use for Intergovernmental Personnel Assignment Agreements (IPA)

GM_06 Named Professorships GM_10 Research GM_11 Doctoral Dissertation

Research

GM_12 Research Career Award GM_20 Research Training Program Use for NIH Institutional Research Service

Awards (NIH Training Grants) GM_25 Instruction-Training-General GM_30 Fellowship-Predoctoral GM_31 Fellowship-Postdoctoral GM_39 Fellowship-Miscellaneous GM_40 Construction-Remodeling-

Renovations Review the compliance question in WISPER regarding “Funding primarily dedicated to building, renovations or equipment?” to assist in selection of this type.

GM_44 Exhibits, Lectures, Performances

GM_45 Miscellaneous GM_49 Patient Care (Clinical Trials) GM_50 Equipment Review the compliance question in WISPER

regarding “Funding primarily dedicated to building, renovations or equipment?” to assist in selection of this type.

GM_60 Scholarships GM_68 Work-Study GM_70 Curriculum Improvement and

Development

GM_71 Libraries, Books, Journals Use for museum or scientific collections GM_74 Travel GM_90 Conference, Workshop,


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Symposium GM_98 Public Service/Outreach GM_99 Financial Aid All others All other codes are not to be used by Grants

users in setting up Project Types. They are for the Graduate School and Non-Sponsored (Project Lite) projects.

Combo Edit Departments

The addition of departments and nodes in the combo edit selection allows these departments to spend on the project. The Administering Department from the General Page will default but can be deleted if necessary. Using the custom department lookup and the ADD button, WISPER users will be able to add additional departments or nodes. Project Details – Combo Edit Departments and Nodes Field Name Field



Department ID of the department selected using the Add Combo Edit Department button.

Y Lookup to Acctg Services Department tables.

This DeptID is allowed to spend on this project.

Description Name of the department selected using the Add Combo Edit Department button.


This Department is allowed to spend on this project.

Add Combo Edit Department Button

Button to select additional departments eligible to spend on this project.

Y

Add Combo Edit Dept Node Button

Button to select additional nodes eligible to spend on this project.

Y Nodes are defined as departments or divisions not consisting of the full 6 digits of the department ID.

Department Node

ID of the node selected using the Add Combo Edit Department button.


This Node is allowed to spend on this project.

Description Name of the node selected using the Add Combo Edit Department button.


This Node is allowed to spend on this project.


WISPER Manual


Combo Edit Program Codes

The user will add allowable Program Codes using the Add Program Code button. Selecting the button adds a line with a dropdown box. The WISPER user will be able to select the code from the drop down box which will populate the Description. Users will be able to delete program codes as well. As many program codes as needed may be included. Leaving this selection blank will allow all program codes to be used on the project. This data will be passed to the callable edits module for editing Madison financial transactions.

Project Details – Combo Edit Program Codes Field Name Field



Program Code

Dropdown selection of the available SFS Program Codes.

Y 0, 1, 2, 3, 4, 5, 6, 7, 8, 9, F, R

This dropdown allows spending on this program code for all departments selected in the Edit Departments section detailed above.

Description Displays the description related to the above selected code.

Y 0 (Student Services), 1 (Institutional Support), 2 (Instruction), 3 (Hospitals), 4 (Research), 5 (Public Service), 6 (Academic Support), 7 (Physical Plant), 8 (Auxiliary Enterprises), 9 (Financial Aid), F (Farm Operations), R (Revenue)

Add Program Code Button

Pressing the button adds an additional dropdown which the user can select to add multiple codes.

Y

Budget Details A breakout of budget by project will be required prior to award generation. Users may break out the costs at any time but validation will be required prior to award generation. The level of detail that appears in the budget details section is driven by the Sponsor and Document Type.


WISPER Manual


Project Details – Budget Details Field Name Field



Budget Item Code for the budget category for which the budget amount must be entered.

Y Available budget categories are based on the Sponsor (Federal indicator checked) and the Document Type. If non-Federal, an attribute drives Category or Direct/F&A determination. If Federal, Document Type drives determination. RSP can over-ride the Budget Scheme on the SPO action page with the approval of the Assistant Director.

Description Related full description of the Budget Item above.

Y

Amount Amount of that category approved in the budget from the Sponsor.

Y In order to monitor rebudgeting requirements, this budget must match the Sponsor approved version.

Total Budget Calculated total of all amounts above.

Y

Project Commitments The Project Commitments section is used to capture committed effort related to approved sponsored projects. Only effort for the PI and Key Personnel as defined in the Effort Policy will be tracked. Multiple lines per person may be entered if the commitment is not continuous or if the effort changes throughout the life of the project. This information will feed into the Cost Share bolt-on system for tracking and updating during the life of the award and will eventually feed into the ECRT system for assistance in monitoring commitments. Additional Commitment guidance is available on the WISPER 201 Training, the Project Details Desk References & the RSP Effort Pages.


WISPER Manual


Project Details – Commitments Field Name Field



Name Name of person with commitment.

Y People are added via the Add Project Commitment button, which launches a custom search screen allowing lookup of any campus employee.

Project Role Dropdown selection of the role on the project.

Y Co-Investigator, Collaborator, Fellow, Key Person, Mentor, Other, PI, Research Assistant, Trainee

Start Date Date on which the commitment with the defined percent begins.

Y Defaults to the project start date, but is editable.

End Date Date on which the commitment with the defined ends.

Y Defaults to the project end date, but is editable.

Total % Calculated field. Equals the Sponsor % + Cost Shared %.

Y

Sponsor % Percent of the committed person’s effort for which the Sponsor on this project is paying.

Y

Cost Shared %

Percent of the committed person’s effort on this project for which the Sponsor is not paying.

Y

Add Project Commitment Button

Button to launch lookup to add another person with a Commitment on this project.

Y

Project Cost Share When the UW commits costs or effort for the work which is not recovered from the Sponsor, this is cost sharing and it is critical that this information be accurately captured, as it represents a binding legal commitment with our sponsors. The UW may commit to provide either salary based cost share (time spent by a research working on a grant, but not charged to the grant) or non-salary cost share (expenditures that are used for the grant, but not charged directly to the grant). The Non-salary portion will be tracked via a Term & Condition. The Salary portion will be entered by campus, based on the final agreement with the Sponsor. It may be entered at any time until the record is completed, but is required for RSP to generate award if cost share effort is indicated in the commitment section. If the cost sharing percent or source changes over time or must be split between two sources of funding, multiple lines can be entered for the same individual to capture the full future of expected cost sharing. If a line of commitment has been entered with cost share effort, it will be automatically copied into the cost share section.


WISPER Manual


Project Details – Commitments Field Name Field



Name Name of person whose salary is being cost shared.

Y People are added via the Add Project Cost Share button, which launches a custom search screen allowing lookup of any UW-Madison Employee.

Start Date Date on which the cost shared salary begins calculation.

Y Defaults to the award start date but is editable.

End Date Date on which the cost shared salary stops being calculated.

Y Defaults to the award end date but is editable.

From Project ID

Optional field. The Project ID from which the cost shared salary is being paid.

Y Lookup to all projects within the Financial System regardless of fund.

Only entered if the salary is being paid from another project.

From Fund Code

The Fund from which the cost shared salary is being paid.

Y Fund Chartfield

From Department

The Department from which the cost shared salary is being paid.

Y Department Chartfield

Cost Shared %

The percent of salary coming from this line of salary coding

Y

Cost Share Type

Drop Down to indicate the type of cost sharing this line is providing.

Y Mand, NSF, Vol

Only Mandatory, NSF Institutional, and Voluntary Committed Cost sharing should be entered. No Voluntary uncommitted cost sharing should be tracked.

Add Project Cost Share Button

Button to launch lookup to add another person with a Commitment on this project.

Y

Project Details Footer In the footer, the user can choose to save the details entered or cancel, not saving any of the updates. In addition, this is where the user returns to the Project General Tab.


WISPER Manual


Project Details – Footer Field Name Field



Save and Return to Record Button

Saves the details entered and returns the user to the Project General Tab.

Y

Cancel and Return to Record Button

Does not save the details entered but returns the user to the Project General Tab.

Y

Save Button Saves the details entered and remains on the Project Details page.

Y


WISPER Manual


Terms & Conditions To facilitate the PI and Division roles understanding their obligations when they indicate the award signatures, Terms & Conditions of each award will be entered on this tab. Only RSP can enter the terms but all participants can view them. The terms on the Sponsor profile default onto this list and RSP users will update or enter them as part of the updating of this award to Status 5 – Setup.

Field Name Field



Terms & Conditions

Code for the term applicable to this award.

Y See table below An equipment ownership term

must be entered on every WISPER record

Description The default description from the Terms & Conditions configuration.

Y

Explanation Additional details to further describe or clarify the term.

Y

Terms & Conditions available for selection Code Description

ARRA ARRA – Recovery Stimulus ARRAB ARRA Buy US Construction Mat’l ARRAC ARRA Carry-over Provisions ARRAF ARRA Fin’l Reports ARRAJ ARRA Job Reports ARRAP ARRA Progress Reports ARRAW ARRA Pay Prevailing Wages BR%00 All Re-Budget Needs Prior Approval BR%05 05% Budget Tolerance, Needs Prior Approval BR%10 10% Budget Tolerance, Needs Prior Approval


WISPER Manual


BR%15 15% Budget Tolerance, Needs Prior Approval BR%20 20% Budget Tolerance, Needs Prior Approval BR%25 25% Budget Tolerance, Needs Prior Approval BRNO No Re-budgeting Allowed BROTH Budget Tolerance Other, Needs Prior Approval BRUW Re-budgeting Internal Approval C/ONO Carryover Not Allowed C/OOK Carryover Automatic C/OPA Carryover Needs Prior Approval CLNBL RSP Responsible for Clinical Trial Billing CONF Confidentiality CS3P Cost Share Third Party CSMAN Mandatory Cost Sharing CSNPY Cost Share Non-Payroll CSNSF Institutional Cost Share CSPAY Cost Share Payroll EQFED Equipment Title with Federal Government EQPA Equipment Expense Needs Prior Approval EQSPN Equipment Title with Sponsor EQUW Equipment Title with UW EVRFY E-Verify requirements apply FDEMO FDP Demonstration FDP Federal Demonstration Partnership FIN Financial Restriction INVSP Special Invoice Instructions IP Intellectual Property NONRF Nonrefundable OTH 01, 02, or 03 Other Term & Condition - See Explanation PRADD Program Revenue Additive Method PRDED Program Revenue Deductive Method PRESS Publicity PROTH Program Revenue Other Method PSPND 90 Day Pre-Award Spending Allowed PUB Publications PYTPR Payment Tied to Progress Report of Deliverables RCRET Record Retention REFUB Refund of Unexpended Balances RESTC Research Terms & Conditions SNAP Streamlined Non-Competing Award TRAVR Travel Restricted TRNTM Termination Noticed Required UEDT Unallowable Expenditure – Domestic Travel UEEQ Unallowable Expenditure - Equipment UEFB Unallowable Expenditure - Fringe Benefits UEFT Unallowable Expenditure – Foreign Travel UEOTH Unallowable Expenditure - Other UETUR Unallowable Expenditure - Tuition Remission


WISPER Manual


PI Award Signature The Contact PI is required to sign the second of the two signatures before RSP accepts the award or agreement from the Sponsor. The Contact PI may have done so earlier in the process, but must do so before the SPO can accept the award. The PI logs into WISPER, navigates to the record via their MY WISPER page, scrolls to the Records for which I am a PI section, selects the record they wish to sign, and clicks the Sign the Record

link on the General tab. Only the Contact PI has access to this link. The signature indicates acceptance of both the University and award or agreement requirements.

If the PI has already signed, but there is reason to believe that the terms are such that the PI could not have known, the SPO or the Division may add an approval to request that the PI give explicit approval to the terms of the award, calling any details to the attention of the PI that are necessary. See the Approvals section of this manual for more information.


WISPER Manual


Division Action The Division Role Member is responsible for ensuring that all actions are completed on campus prior to requesting acceptance of the award or agreement, and if eligible set up of the projects by RSP. The Division is responsible for a second signature which can be performed any time after the PI award signature and the Division proposal signature is made. It indicates Divisional concurrence with the terms and conditions of the award and ensures the Division’s role in meeting those terms.

After all of the project details (if required) have been collected, the PI has signed the Award Signature or if necessary indicated acceptance of the terms of the award or agreement via the PI Terms Approval, and the Division has signed the Award Signature, the Division may inform the SPO by requesting one of the further actions. The buttons on the bottom of the Division Action page facilitate this request. The buttons on the left run validations to ensure that all information needed is included before making the request of the SPO. The same validations are run when the action button on the right is pressed. In addition, when the Request Advance Account of SPO or Request Project/Award Finalized of SPO button is selected, the record is flagged on either the current SPO Owner list (if status 4.5 or 5) or on the SPO manager list (if status 1-3).


WISPER Manual


Validations processed by the Submit to SPO and the corresponding Validate button: Error: Contact PI does not hold an appointment that is PI eligible Contact PI does not have a current active appointment Contact PI has not signed this Proposal PI has not signed this Proposal Division has not signed this Proposal All Compliance Questions have not been answered Outgoing Sub-agreement question not answered Warning: No Administering Department on Record No Begin Date on Record No End Date on Record No Sponsor found on Record The Sponsor on this record is not currently recognized. Please contact your Sponsored Projects Office with the record ID to proceed No Document Type selected on Record No Proposal Type selected on Record No Direct Costs entered on Record No Submission Method selected on General page You have not entered a Related Document for a Non-New Record Contact PI has not submitted Outside Activities Report (only a warning because the system updates overnight – if completion has occurred since the prior evening, it will not be updated here) Contact PI has not completed all Effort requirements (only a warning because the system updates overnight – if completion has occurred since the prior evening, it will not be updated here) Validations processed by the Request Advance Account of SPO and the corresponding Validate button. All of the above and in addition: Errors: The Sponsor on this record is not currently recognized. Please contact your Sponsored Projects Office with the record ID to proceed Contact PI has not signed this award Division has not signed this award You must enter a Description on Project You must enter a Project PI on Project You must enter a Project Type on Project You must enter a Fund Code on Project You must enter an Owning Department on Project You must enter a Start Date on Project You must enter an End Date on Project You must enter an F&A Rate Type on Project You must enter an F&A Base on Project You have not entered a Commitment Role for person on Project You have not entered a Commitment Start Date for person on Project You have not entered a Commitment End Date for person on Project You must enter a Start Date for every Cost Share Row on Project You must enter an End Date for every Cost Share Row on Project You must enter a Fund Code for every Cost Share Row on Project You must enter a Department ID for every Cost Share Row on Project You must enter a Cost Share Type for every Cost Share Row on Project You must enter a cost share row for every commitment with Cost Share greater than 0 on Project You Answered Yes to the Award involving Human Subjects and do not have approved Certifications entered.


WISPER Manual


You Answered Yes to the Award involving Animal Subjects and do not have approved Certifications entered. You Answered Yes to the Award involving 'toxic, infectious or carcinogenic/mutagenic material' and do not have approved Certifications entered You Answered Yes to the Award involving 'human embryonic stem cells' and do not have approved Certifications entered Other Personnel person is not PI / CoPI Eligible Project Start Date must be equal to or later than the Award Start Date on Project You must enter a Project End Date equal to or before the Award End Date on Project Contact PI has not signed this Award Division has not signed this Award Commitments for person on Project 1 total >100% starting on 07/01/2011 Warnings: You have not entered any commitments on Project Other Personnel person does not have a commitment on any projects under this award Contact PI does not have any commitment on any project Total costs equal 0. Please check total costs for all projects Validations processed by the Request Project/Award Finalized of SPO and the corresponding Validate button. All of the above and in addition: Errors: Award Total Costs does not equal the Total Costs for all Projects Warnings: Award Total Costs equal 0. Please check Total Costs for all Projects

Note: Warnings are informational and will not stop processing; however, all Errors from the list above must be resolved prior to moving the record forward in the process.


WISPER Manual


Validation & Finalize or Generate Award by RSP When the RSP user on record receives indication of a request from the Division to either set up an Advance Award or Finalize the Award, the RSP user must: 1. Complete negotiations of the award (if Finalize is requested) 2. Validate all data against the award or known proposal information, most critically: Number of projects

Commitments Cost sharing Budget details Start and end dates of each project Fund Certifications (Protocols) match the award 3. Upload the award or agreement to the Attachments section 4. Determine if Finalize or Generate is appropriate A. Finalize

(1) If the record is routed is to facilitate updating of an existing PeopleSoft award, the user will indicate which award is being updated via the Award ID/Contract ID lookup, finalize the record, and proceed with Business Process 2.04 Modify Award, Contract, Project. Finalize will not generate any email communication to campus.

(2) If the record is routed to negotiate a non-PeopleSoft eligible agreement, Finalize will generate an email to the PI and those on the Department Email table for the Administering Department.

B. Generate: If the record is to set up a new PeopleSoft award, select Generate.