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University of Wisconsin–Madison

Award Administration

General Information

All expenditures forms (payroll, requisitions, eReimbursement reports, direct payments, transfers, etc.) for awards should be sent by the administrating department directly to their own Dean’s Office for signature and further processing. Expenditure forms for these awards are not processed in the Office of the Vice Chancellor for Research.

While the Office of the Vice Chancellor for Research will not see individual expenditure forms, this does not lessen our fiduciary responsibility to assure that funds are used in accordance with the sponsor’s requirements. The administering department has primary responsibility for the award, which includes appropriateness of each expenditure as well as the responsibility to not allow expenditures to exceed the awarded individual budget category amounts.

The Office of the Vice Chancellor for Research will audit activity on these awards to insure that they conform to all terms and conditions set by our Research Committee, the Wisconsin Alumni Research Foundation (WARF) and the State, and will follow up with departments as needed. This includes the Research Committee Policies as well as any conditions that have been included in individual award letters.

Award Status and Conditions of Award

Many OVCR awards are made with conditions that must be met before the award can be activated for use. The status of the award can be found in the Research Administration Management Portal (RAMP). All conditions need to be cleared through the Office of the Vice Chancellor for Research. Once conditions have been cleared, the award will appear in the RAMP.

Period of Award: Most research awards are one year awards (fiscal year) that must be used during the one year time limit. The Research Committee rarely approves requests to extend the award period. Department administrators need to always keep in mind the fiscal year end processing deadlines. It is the department’s responsibility to make sure all transactions are completed prior to the end of the fiscal year.

Budget Allocations: All expenditures must be made only in the approved budget categories, and must not exceed the amount awarded for that budget category. Refer to the original award letter for approved budget categories and amounts or view the approved budget breakdown in the RAMP. In the event that the budget needs to be modified a formal request should be made by completing the Change Request for OVCR Funds form  prior to a change in spending.

Disposition of WARF Grants Upon Faculty Departure: When a faculty member named as PI on any WARF funded account (any 135 project) leaves the University, the unspent balance reverts to the OVCR for support of other faculty and projects. This includes Fall Competition awards, Faculty fellowships/professorships, Research Forward projects, book subventions, strategic initiatives, start-up funds, and retention funds (please see the policy regarding retention awards as well, below).

Between the date of the faculty member’s acceptance of another position and their departure for the new institution, faculty fellowship/professorship (Romnes, Kellett, WARF Named Professorships) funds remain available, but must be used to support UW–Madison research expenses and may not be spent on equipment or supplies that will be taken to the new institution. Large expenditures during this period require prior approval of the relevant Associate Vice Chancellor.

For all other categories, if a faculty member decides to leave the University the 135 account will be closed as of the date that the faculty member accepts, either verbally or in writing, an employment offer from a non-UW–Madison employer. If extenuating circumstances exist where the faculty member believes the fund should remain available for spending please complete the Change Request for OVCR Funds form. Change requests will be reviewed by the relevant Associate Vice Chancellor.

For non-Fall Competition research projects, a PI change may be requested as appropriate through submission of the Change Request for OVCR Funds form.

Transfer of Funds to Other Institutions: WARF funds are provided to the University to enhance our research enterprise and sustain our competitive edge. We cannot transfer funds to other institutions through subawards or other transfer mechanisms. Funds should be expended for UW–Madison research and scholarship expenses (these costs may include purchase of defined services from other institutions.)

University Equipment and Supplies: Any equipment or major supplies purchased with OVCRGE funds remain the property of the UW–Madison. Further information regarding University Titled Property can be found on the Accounting Services website.

Note: A condition of receiving research funding administered by the OVCR is the obligation to disclose and assign to WARF resulting patentable intellectual property.

Administration of Awards

Processing Expenditure forms: All expenditures forms (payrolls, requisitions, eReimbursement reports, etc.) should be processed by your department through your own college/school.

Allowable and Non-allowable Items: Please refer to our Research Committee Policies for this information. In general terms, these awards are made with the understanding that they must only be used for research. Instructional expenses and classroom supplies must not be charged to these awards. WARF funding cannot be used for course buy-outs. Items generally viewed as departmental responsibilities (such as phones, phone line charges, office furnishings, computers, and supplies, etc.) also should not be charged to these awards. In the event that an item within this category is necessary for the research project, approval from OVCR Accounting for the individual expense should be obtained prior to purchase.

Changes to Awards

Re-budget requests, award extensions, and changes to conditions of award must all be requested in advance using the Change Request for OVCR Funds form. The request should provide details explaining why the change is needed, how the change will enhance the research, the necessary budget changes (including dollar amounts), the timing of these changes and the impact on the research. Please note that when re-budgeting salaries to non-salary items (e.g., supplies, equipment, etc.) the fringe benefit and tuition remission amounts that would have been provided if salary were paid, are not available for the re-budget. The request will be submitted to the Research Committee for their review and a decision.

No Cost Extensions for Strategic Initiatives: A PI or research administrator requesting a no cost extension (NCE) for a strategic initiative project (e.g. Research Forward, Promoting Industry Collaboration Initiative, Increasing Social and Economic Inclusion etc.) must fill out the change request form and provide a brief update on their progress and information on why their project has been delayed.  A member of the accounting team may extend the project for six months.  Any additional NCE requests (after that six month timeframe) or requests for a NCE longer than a six month period must be sent to the appropriate OVCR Associate Vice Chancellor for approval.  In their email message, a PI  should provide the following:  a brief update on their progress, a general timeline for spending the remaining funds, information on why their project has been delayed and how long of a NCE they are requesting (e.g. end date).  The Associate Vice Chancellor will determine whether to allow this extension and then notify the PI and Russell Schwalbe of their decision.

(It should be noted that even though a project is scheduled to close on a specific date, we realize there may be outstanding invoices to process, payroll obligations, or encumbrances to clear. OVCR policy allows for 60 days post-project close date for these transactions to post prior to closing the project. Deficits should be addressed and encumbrances cleared.  Project surplus will revert back to the OVCR to continue to fund other research initiatives.)

Any no cost extensions will be considered within 3 months prior to the project’s end date.  We request that PIs refrain from contacting the OVCR earlier than that time period.

Changes in Employment

Should a faculty member decide to leave the University it is their responsibility to submit a plan for the use of WARF-funded projects other than retention funds within 30 days of their informing the institution that they will be leaving.

Please submit the Change Request for VCRGE Funds form.

WARF funded professorships (Romnes, Kellett, WARF Named Professorships) may be retained by the faculty recipient and used for expenses related to his/her research program, up until departure from the University without providing the Change Request for OVCR Funds form to the Office of the Vice Chancellor for Research.

Retention Awards

Policy Regarding OVCR Retention Awards

The retention of outstanding faculty is one of the key elements necessary to preserve UW–Madison’s reputation as a premier world-class research institution. WARF retention funds are an investment in the University’s future. The purpose of this policy is to ensure that WARF retention dollars are expended to retain outstanding faculty who are committed to remaining at UW–Madison to continue to develop their program of research excellence.

  • Those faculty awarded WARF retention funds by the OVCR will have an account established for this purpose. These retention fund accounts are typically set up for a five year period, and such funds are ordinarily expected to be expended during that time. Expenditure of such funds beyond this five-year period must be approved by the divisional Associate Vice Chancellor for Research.
  • OVCR start-up funds are expected to be expended before utilizing retention funds.
  • Should a faculty member decide to leave the University after receiving an OVCR retention/start-up fund award, the account will be terminated as of the date that the faculty member accepts, either verbally or in writing, an employment offer from a non-UW–Madison employer. If extenuating circumstances exist where the faculty member believes the retention/start-up fund should remain available for spending please submit the Change Request for OVCR Funds form.

Faculty Summer Salary Payments

Faculty summer salary can be paid only during the July and August pay periods.

Please note: Even though an award may have a July 1 start date it will accept payroll expenses for the days in June that are part of the July Academic pay period.

Research Assistant (RA) and Project Assistant (PA) Salaries

While the awards are generally made for a given appointment percentage and a specific number of months, the Office of the Vice Chancellor for Research  controls RA and PA salary spending by the total budgeted amount available. The salaries do not have to be spent exactly as it was written in the award letter (e.g., Annual RA – 12 months @ 50% time).

Fringe Benefit and Tuition Remission Costs

When salary is specifically awarded, the Office of the Vice Chancellor for Research will provide the associated fringe benefit and tuition remission multipliers for that salary amount. Fund 135 accounts will have Fringe Benefit and Tuition Remission budget categories covering these costs. OVCR Fund 101 accounts that have salary expenditures are NOT charged Fringe Benefit and Tuition Remission multiplier amounts.

Please note: When the Fringe and Tuition Remission amounts are budgeted, they should not be considered part of the overall available funds. They are only available on an award when the associated salary payment is made. If an award is re-budgeted from salary, the fringe and tuition remission amounts are not available for other expenditures associated with the project.

Salary Updates for Fall Competition Awards

At the time the award letters are written, we do not yet know the Research Assistant, Project Assistant, or Faculty salaries for the future fiscal year. These salaries (unless the award was a fixed amount of salary) will be updated when the new rates are available.

Flexible Research Funds and Using Them for Salary Support

Flexible funds may be used for any research expenditures that support the approved project. When flexible funds are used to provide salary support, the associated fringe benefit and tuition remission amounts will also be paid from the flexible fund. The Office of the Vice Chancellor for Research will not provide additional funds to cover these multiplier amounts.

Flexible funds may not be used to provide salary support, or additional salary support, for faculty without prior approval from the Office of the Vice Chancellor for Research. If approved, the faculty salary and related fringe benefit amount will be removed from the Flexible fund budget and become part of the Faculty Salaries and Fringe Benefit budget lines. To obtain approval please see Changes to Awards section above.

WARF Acknowledgement for Reports and Publications

Through the Office of the Vice Chancellor for Research, funding for fund 135 awards has been provided by the Wisconsin Alumni Research Foundation (WARF) and utilizes income generated by patents filed through WARF by UW–Madison faculty and staff. Sponsorship of these awards by WARF should be acknowledged in any reports/publications that may arise from use of these funds, with the following language: “Support for this research was provided by the University of Wisconsin-Madison, Office of the Vice Chancellor for Research with funding from the Wisconsin Alumni Research Foundation.”