Grants Project Reference Manual WISPER

Grants Project Reference Manual WISPER
Grants Project Reference
Manual
WISPER
Grants Project Reference
Manual
WISPER
Revised 11/18/2009
Table of Contents
BUSINESS PROCESS OVERVIEW.......................................................................................................................... 1
Assumptions ............................................................................................................................................... 1
Key Impacts ................................................................................................................................................. 2
Related Forms and Reports ....................................................................................................................... 2
Process Outliers/Sub-Processes .............................................................................................................. 2
Roles and Responsibilities ........................................................................................................................ 2
WISPER User Roles .................................................................................................................................... 3
WISPER High Level Business Process..................................................................................................... 4
SYSTEM PROCESS STEPS ..................................................................................................................................... 6
Campus Creation & Routing ...................................................................................................................... 6
Create .............................................................................................................................................. 6
General Page .................................................................................................................................. 7
Attachments ................................................................................................................................. 19
Approvals...................................................................................................................................... 20
PI Signatures Page....................................................................................................................... 22
Route ............................................................................................................................................. 23
History........................................................................................................................................... 24
Division Action ............................................................................................................................. 25
RSA Internal Processing .......................................................................................................................... 26
SPO Manager Worklist ................................................................................................................ 26
SPO Action Page to Assign Owner ............................................................................................ 27
SPO User Worklist ....................................................................................................................... 28
SPO Action Page.......................................................................................................................... 29
Campus Award Acceptance..................................................................................................................... 35
Project Details .............................................................................................................................. 35
Terms & Conditions ..................................................................................................................... 44
PI Award Signature ...................................................................................................................... 46
Division Action ............................................................................................................................. 47
Validation & Finalize or Generate Award by RSA..................................................................... 49
WISPER Management ............................................................................................................................... 50
MY WISPER................................................................................................................................... 50
Search & Copy.............................................................................................................................. 51
User Preferences.......................................................................................................................... 52
Division Role Set up .................................................................................................................... 53
Department Email Tables ............................................................................................................ 55
University of Wisconsin-Milwaukee
Grants Project Reference Manual
WISPER
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 UWM campus. WISPER
provides the data necessary to record information sufficient for internal tracking and reporting purposes and
facilitates the Generation of Awards in the PeopleSoft Grants system.
WISPER pages will assist in the following: tracking the approval, routing, and submission status of proposals to
sponsors; gather and organize proposal data; and facilitate the administration of proposals, negotiations, awards,
and reports. WISPER will allow for the capture of a significant portion of the data required for tracking
submissions, negotiations and setting up of awards and projects.
WISPER is a flexible system that allows 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, Approver, Division (School/College), or RSA. 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
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WISPER will capture both potentially funded documents (PeopleSoft eligible) and non-award generating
research related agreements such as 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 contents of the
proposal submission.
Open and flexible approvals of records will be driven by division administrators and will not be required to
be completed for proposal submission or award generation.
Approval screens within WISPER will be used for campus communications.
Out of office situations will be managed by division administrators having ownership redistribution
capability and by each user having the ability to appoint a delegate.
Records that have not been submitted to RSA will be accessible on a “need to know” basis. See the
participant security for more information.
The contents of the WISPER record will be validated for completion when the Division elects to Submit to
RSA.
Once records have been routed to RSA, they are available for query by all campus users. Only
participants can update the information and then only on the Projects, Approvals, and Attachment pages.
Only RSA will enter data into the SPO Action page to track negotiations.
Negotiate functionality will be available on every record
Standard Sponsor Terms and Conditions will default into the WISPER record from the Sponsor
Guidelines. RSA may modify and/or add to those terms during review of the Sponsor’s award.
When an award is received at RSA, RSA will enter the initial data, if not already in WISPER, and route it
to campus.
An award may be generated (Advance Account or Backstop) for spending purposes at any point during
the proposal lifecycle, if required for business operations and guaranteed by the division.
On the SPO Action page, check boxes indicate work to be done or terms to be considered.
A printed version of the WISPER record, will be available for situations where an electronic signature is
impossible or a physical signature is required or for inclusion in a paper file.
Emails will be generated when the record is routed to users or a user is added as an approver on a
document. 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 tables of 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 (MIL) 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 RSA
in the PeopleSoft Grants module.
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B. Key Impacts (Organizations, Technology, etc.)
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Campus and RSA may experience delays due to becoming familiar with WISPER, but will have improved
single system tracking of their records
Campus will need to adjust to monitoring routing electronically rather than via paper, email or phone.
Improved campus tracking by knowing status of record from moment of access
Electronic signatures depend on PantherID and computer access by PI and Division staff.
Electronic worklists will indicate work awaiting action.
PI must approve the terms of all awards. The PI will be able to indicate acceptance any time after signing
the routing of the WISPER record. If there is concern with the PI’s acceptance of terms, the approval
process will be used.
Scanning of additional award documents will require monitoring of technical capabilities.
PI, Department, and Division will have more responsibility in the capture of data and responding to
requests for approvals.
More data availability means more traffic to look up tools. Web and warehouse data will be used more.
C. Related Forms and Reports
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Printable output form for routing as needed
D. Process Outliers/Sub-Processes
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Multiple PIs -- WISPER can handle multiple PIs, including any Sponsor requirement for signatures for
more than one PI.
Routing of paper WISPER forms when PI does not have PantherID and therefore must print and
physically sign
UWM Foundation Gifts and Grants will be routed through WISPER; non-UWM Foundation Gifts will be
routed via WISPER
Gift-in-Kinds will be routed via WISPER
Non-Sponsored Projects will not be routed via WISPER
E. Roles and Responsibilities
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Campus Users responsible for entering appropriate data
Campus Users responsible for knowing routing chain.
Division (School/College) Administration serves as first line of review and validation of data
PI reviews data and signs electronically
Division (School/College) Administrator signs electronically
RSA is responsible for maintaining comments and statuses in a timely manner.
Campus Users are responsible for responding to requests for approvals in a timely manner.
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F. WISPER User Roles
WISPER Roles
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 (e.g. creator, prior owner, approver,
Campus Contact) for an action on a WISPER record. A participant on a record has
access to the record throughout the life of the record.
Administering
Division
The parent Division of the Administering Department based on the current tree
structure of UWM Department IDs.
Contact PI
The single PI (Principal 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
RSA via the Division Role Member function.
Approver
Any user asked to approve some aspect of a WISPER record.
RSA Staff
Research Services and Administration (RSA) employees with the role of
administering WISPER records.
RSA
Management
Selected identified RSA staff that has additional access to work lists and reporting in
WISPER.
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G. WISPER High Level Business Process
I.
II.
III.
IV.
V.
CREATOR (also current OWNER) creates a new WISPER record
A. By initiating a new record
B. Entering required fields to SAVE record
1. PI
2. Sponsor
3. Short Name
4. Administering Department
Current OWNER and any subsequent participant can:
A. Enter and/or edit any data
1. General Tab Information
2. Project Details
B. Add Attachments
C. Transfer ownership of the record to any other user via ROUTE
D. Add an approval request
Any participant can add APPROVALS.
A. APPROVERS receive email notification of the request. The record also appears on the
requested approver’s MY WISPER page to indicate the approval is awaiting action.
B. 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 but is not on the preset list. Fields available for each requested APPROVAL are::
1. Approval Type
2. Comments (entered by requester and visible to APPROVER)
3. Requested of (APPROVER)
C. The APPROVER or any participant may link to the record via the link in the notification email or
on their MY WISPER Page and respond to the request for approval. Available actions are:
1. Approve
2. Deny
3. Submit Comments only
D. Approvals may be added or responded to at any point following creation of the record through
completion of the record.
E. 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 or responses to approvals being in place.
Any participant can add ATTACHMENTS.
A. Attachments are visible at all times only to participants.
B. Potential documents to be uploaded include:
1. Statement of Work
2. Budget
3. Full application file to be submitted
4. XFD or PDF Grants.gov File
5. PDF File
6. Protocol Approvals
7. Request for Proposals/Applications
C. Attached documents can be deleted by any participant
Two SIGNATURES by the PI and two by the ADMINISTERING DIVISION are required on each record.
A. PI signature
1. Proposal signature
a. Only available to employee ID logged in matching PI name on record
b. Required before Administering Division Signature
c. Signature option available at any time after saving the record and the completion
of compliance questions
d. 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 of only the Contact PI
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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
Member in WISPER maintained table
b. Required before SUBMIT TO SPO is available
2. Award Signature
a. Available after PI Award Signature completed.
b. Required before Advance Account or Finalized Record is available
C. Signature override
1. A signature override checkbox is available to the Division office in the event that a user
does not have a PantherID or the paperwork requires physical signatures.
VI. SUBMIT TO SPO
A. Available after the Document Type is completed and the two Proposal signatures are made.
B. Transfers ownership to RSA
C. Print ability is available if hard copy is required. Data must be entered into system and printed.
Hard copy signatures are allowed.
Business Process by Proposal Type
Type
Action in WISPER
Pre-proposal
New WISPER record
New proposal
New WISPER record
Continuation
New WISPER record
Competing Continuation
New WISPER record
Supplemental Funding
where financial reporting is
cumulative
New WISPER record
Supplemental Funding
New WISPER record
Resubmission (truly rejected
by sponsor) of existing
Proposal
New WISPER record
Revised Budget
Use “Approvals” to re-route the
revised budget through the Division
Administrator to RSA.
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Notes
If accepted, submit revised budget via
approval to pre-proposal so that success
ratios do not show as rejection.
Unless follows pre-proposal. See above.
University of Wisconsin-Milwaukee
Grants Project Reference Manual
WISPER
II. SYSTEM PROCESS STEPS
A. Campus Creation & Routing
1. Create
To create a record, a user will be required to enter a Short Title and select a Contact PI, Department, and
Sponsor. When the user selects the Create Record button, WISPER assigns the unique WISPER ID #, stores the
data in the database, 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.
Field Name
Short Title
Field Purpose
A
Configuration
B
Contact PI
Displays the related HR ID number of the
selected PI.
C
Change PI
on Record
The person creating the record can choose
a different PI.
D
Department
Lookup the Department responsible for
administering the project.
E
Dept ID
Displays the related Dept ID of the
Department selected.
F
Sponsor
Displays the name of the Sponsor selected.
G
Add
Sponsor to
Record
Lookup the organization providing the
funding, materials, data, or collaboration
with UWM.
H
Sponsor Not
in List
Sponsor is not found in list.
I
Business
Unit
Campus administering the project.
J
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.
Field Detail/Comments
A working title to help communicate
internally about the project.
If the user logged in is PI
eligible, automatically defaults
the user as the PI.
Defaults from the user’s profile.
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WISPER
2. General Page
This page contains the core content of the WISPER record. Each user should enter all information that they know
to expedite the review of the record. At a minimum, RSA requests the Submission Instructions and the
Compliance Reponses to be completed as early as possible. Only users who have been invited to view the
record by being PI, the Campus Contact, an Approver, or a recipient via routing can access this page. They can
edit the data only until the record is submitted to RSA at which time it becomes view only.
General Header
Field Name
A Record ID
Field Description/Purpose
Unique ID number used to track the
record.
Configuration
Field Detail/Comments
Read Only
B
Contact PI
Person who has ultimate responsibility for
this project at the University.
Read Only – editable in the
body of the General Page
C
Short Title
A working title to facilitate on-campus
communication about the project.
Read Only – editable in the
body of the General Page
D
Document
Type
Indicator of the type of agreement or
application being routed.
Read Only – editable in the
body of the General Page
E
Sponsor
Name
Organization providing the funding,
materials, data, or collaboration with
UWM.
Read Only – editable in the
body of the General Page
F
Status
WISPER Document Status. Security
limits edits only to RSA.
Read Only -- editable on SPO
Action Page
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Basic Info
Field Name
Field Description /
Purpose
Lookup to the
employee table where
the PI eligible indicator
is Y.
Configuration
Field Detail/Comments
A
Contact PI
To change the contact PI selected on
the create page, select the Change
Contact PI button.
B
Outside
Activities
Report
Submitted
Indicator of whether or
not the PI has filed the
required Outside
Activities Report
online.
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.
C
Effort Training
Completed?
Indicator of whether or
not the Contact PI has
completed the Effort
Training.
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.
D
Official
Proposal Title
Title provided to the
Sponsor.
Used for matching communications
and documentation from the Sponsor.
E
Short Title
Working title
Used for communicating internally
about the project. This field is
editable.
F
Administering
Dept
Lookup the
Department
responsible for
administering the
project.
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Field Name
Field Description /
Purpose
Start Date of the
Award or Agreement
Configuration
Field Detail/Comments
G
Begin Date
User can use the calendar tool or key
in the date in any format.
H
End Date
End Date of the Award
or Agreement
I
Sponsor
Lookup the
organization providing
the funding, materials,
data, or collaboration
with UWM.
J
Sponsor Not In
List
Checkbox indicator if
Sponsor was manually
entered in and not
available in the
selection tool.
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.”
K
Primary
Sponsor
(Optional)
Lookup on Sponsor
Table
If the funding is passing from one
Sponsor through another entity to the
University, enter the originating
Sponsor here.
L
Proposal Type
Drop down of the
types of applications
routed.
Pre-proposal, New,
Continuation,
Competing
Continuation,
Supplement,
Resubmission
M
Document
Type
Drop down of the
types of documents
being routed.
CDA,
CTA,
CoopAgreement,
CosReimCon,
FixPriceCon,
Grant,
IPA,
Internal,
MTA,
Master,
NFA,
Other
N
Related Record
Button
Lookup WISPER ID to
indicate a relationship
between this record
and another
previously created
WISPER record.
User can use the calendar tool or key
in the date in any format.
See table 1a following this matrix of
fields for explanation of these items.
Replaces the Supplement of,
Renewal of, and Continuation of lines
on the existing t-form and allows the
broader relationships including MTA
to Project, CTA to CDA to be
established.
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Table 1a – Document Types
Code
Description
Comments
CDA
Confidential
Disclosure Agreement
Non-disclosure
Agreement
Confidentiality
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 RSA to invoice at some frequency for
the funding. Actual costs incurred by the project will be reimbursed by the
Sponsor.
FixPriceCon
Fixed Price Contract
Application for funding which if awarded will be an agreement between the
University and the Sponsor that involves payment of fixed increments of funding
at fixed time periods or completion of deliverables.
GIK
Gift in Kind
Non-Monetary contribution of personal or real property which requires annual
reporting by the institution.
Gift
Gift
Monetary contribution to provide general or unrestricted support for broadly
defined activities in one or more program areas, such as research, public
service, instruction, fellowships/traineeships, etc. where there are no reports
required, provisions imposed by donor, copyright or patent rights, or time limits
on expenditures of funds
Grant
Grant
Common name for “PROPOSAL” or “APPLICATION.” Most applications for
funding should use this type.
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.
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MTA
Material Transfer
Agreement
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 UWM.
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.
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.
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Submission Instructions
Field Name
Field Description /
Purpose
Date the Sponsor requires
receipt of the documents.
Configuration
Field Detail/Comments
A
Sponsor
Deadline
User can use the calendar tool or
key in the date
B
Paper being
sent to UWM
SPO
Checkbox to indicate
whether or not paper is
being routed to RSA despite
the online routing of the
record.
C
Submission
Method
Dropdown selection of how
the materials are to be
transmitted from RSA to the
Sponsor.
D
Sponsor
Program
Number
Sponsor announcement to
which this application is in
response.
E
Sponsor
Reference
Number
Number assigned by the
Sponsor for this particular
application or agreement.
F
Campus
Contact
Lookup in the UWM
employee table for the
person who has the ability to
answer questions about the
application.
This person gets access to the
record. Please list the person
most likely to facilitate this record
on behalf of the PI.
G
Campus
Contact
Phone
Displays the phone number
from the University Directory
for the person selected.
If the phone number is not correct,
please contact HR to update.
Phone number can be adjusted for
this project (i.e. cell), if necessary.
H
Campus
Contact Email
Displays the email address
from the University Directory
for the person selected.
If the email address is not correct,
please contact HR to update.
I
Submission
Instructions
Text box to provide any
other instructions regarding
the submission.
Examples of instructions are:
address to mail, fax number to
send to, email address, and file
type to be transmitted.
When selected, an indicator is
displayed on the SPO Action page
indicating that a paper copy is
coming.
Grants.gov, NSF Fastlane,
Email, Other Electronic
Submission, Mail, Overnight
Delivery, Fax, Will pick up,
Internal Routing, Other
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Compliance
Description
Toxic, infectious or carcinogenic/mutagenic material of
proven or potential hazard to humans, other animals, or
plants? Use of recombinant DNA technology?
Field Detail/Comments
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?
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 vertebrate animals?
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.
Involve Human pluripotent stem cells?
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.
Action involving space, remodel, or construction?
Required prior to PI routing signature.
Potential environmental impacts which require review under
Wisconsin Environmental Policy Act?
Required prior to PI routing signature.
Funding primarily dedicated to building, renovations, or
equipment?
Required prior to PI routing signature.
Enter Protocol Certification Details Here Hyperlink
See next table
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Protocol Details Hyperlink
Protocol Details
Field Name
Field Description/Purpose
Configuration
Field Detail/Comments
Protocol
Type
Lookup of Certification
Codes
HUMN1 through
HUMN15, ANIM1
through ANIM9,
BIOS1 through
BIOS5
User can enter multiple protocols per
type but each selection must be unique,
hence HUMN1, HUMN2, HUMN3, etc.
Select one type then enter the additional
details about that protocol.
Description
Displays description
related to Protocol Type.
Protocol
Number
Protocol Approval
Number
Protocol
Status
Drop Down indicating the
status of that protocol
approval.
Pending, Not Appl,
Approved
If Y, all fields (number, dates) required
before Division Award Signature.
Protocol
Approval
Date
Date the protocol was
approved.
User can use the calendar tool or key in
the date in any format.
Protocol
Expiration
Date
Date the protocol
approval expires.
User can use the calendar tool or key in
the date in any format.
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Personnel
Field Name
Name
Field Description/Purpose
Lookup for listing of other
personnel affiliated with the
project.
Configuration
Role
Dropdown selection of the
role on the application or
agreement.
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.
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 PI has completed the
Effort Training
Only appears if user has role of 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 Detail/Comments
Listing will allow unlimited number of
personnel, but we recommend limiting
only to those persons who are named
in the award or would facilitate tracking
this record (Co-I, Fellows, Mentors).
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Proposed Budget
Field Name
A Direct Costs
Field Description / Purpose
Total Direct Costs for all years
proposed in application.
Configuration
Field Detail / Comments
B
F&A Costs
Total F&A Costs for all years
proposed in application.
C
Total Costs
Calculated Field adding the
Proposed Direct Costs and
Proposed F&A Costs.
D
F&A Rate
Enter the percent of the F&A
applied on the application or
agreement.
If the Sponsor has one single
rate on their profile, it will default
in otherwise, the user must enter
it.
E
On Campus
Yes/No Radio Button allowing
the user to indicate whether the
project is on campus or off
campus.
Default is Yes. If changed to no,
the following three fields
become available for entry.
F
Country
Lookup to the Country table.
G
City
Enter the city where the project
will take place.
H
State
Lookup to the State table based
upon which country is selected.
PeopleSoft State
Table
I
Cost Sharing
Included
Dropdown selection of the type
of cost sharing included in the
application or agreement.
Mandatory, NSF,
Voluntary, Blank
J
Cost Sharing
Amount
Enter dollar amount of cost
sharing committed in the
application or agreement.
K
Cost Sharing
Comments
Enter information about the
content of the cost sharing.
PeopleSoft
Country Table
NSF is not used by Milwaukee
Useful information for later use
such as the cost category or
source of the cost sharing.
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Keywords
Field
Name
Keyword
Field Description/Purpose
Configuration
Enter “RGI” if this record is related to “Return on
Investment” for RGI Award and/or scientific
keywords to facilitate reporting.
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Field Detail/Comments
Separate each keyword by
a comma or semi-colon.
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At the bottom of the page, there are buttons to allow you to take further action:
Footer
Field Name
Field Description
/ Purpose
Configuration
Field Detail/Comments
1
Add
Comments
Button
Button to open page displaying
comment field.
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
on any comment provided as this
information is not stored automatically.
2
Print Button
Button to create a pdf version of
the record as it currently exists.
When selected, will launch a pdf of the
content of the record that may be printed
or saved for further use.
3
Sign the
Record Link
For those individuals listed as the
Contact PI or with the role of PI
when the Sponsor requires all
PIs to sign, the Sign the Record
link is active. Users can use this
link to provide the mandatory
signatures.
4
Route to
Another
Person Button
Button opens the Routing
function.
Use the Route to Another Person button
to pass it along to the next responsible
party.
5
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.
Will generally be used for budgets,
narratives, copies of the agreement, and
full application packages.
6
My Worklist
Link
Link returns the user to their MY
WISPER Worklist.
7
Search Page
Link
Link sends the user to the
Search page.
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3. Attachments
Attachments of ANY 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 RSA, the complete application
should be uploaded via this page. This page can be used to share documents between PI and Division, PI and
Collaborator, Division and RSA, or any other parties that will facilitate the completion of the WISPER record. This
sharing of documents may be used with the “Request Approval” functionality at early stages of proposal
development to obtain review of proposal elements. For example, review of a draft budget by an RSA staff
member may be obtained by attaching the draft budget and requesting approval by the RSA staff member.
This page will be secure to participants on the record so that the project work is available to only those who need
to review these documents. Although once submitted to RSA other sections of the application will be visible to all
campus users, attachments will remain secure only to participants on the record.
Attachments
Field Name
Field Description / Purpose
Configuration
Upload
Attachment Button
Button launches a Browse and Upload window to
allow users to attach documents to the record.
Trashcan
Trashcan allows you to delete that document
from the record.
File Name
Displays the file name uploaded to the record.
File Description
User can enter a description of the uploaded file.
Add another
attachment link
Link adds another line, thereby activating another
Upload Attachment Button.
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4. 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 in parallel to all of the other creation, routing and tracking activities 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 for approval. The record also appears on that person’s MY WISPER
Worklist. Any participant can respond to the request, not just the specified approver.
The available responses are: 1) APPROVE, 2) DENY, or 3) SUBMIT COMMENTS 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.
Business processes that will be facilitated by this approval process are:
1. Revised budgets
2. Chair approval
3. Inter-division and department approvals
Approvals do not need to have a response submitted in order to move forward and submit the record to RSA.
Approval Tracking
Field Name
Field Description/Purpose
Configuration
Approval Type
See Approval Details.
Requested
Date and Time the approval request was added.
Requested By
User who requested the approval.
Requested
Approver
Person or Role who was requested to perform
the approval.
Actual Approver
User who performed action on the approval.
Action
Statement of whether the approval was
APPROVED or DENIED.
Details
Link to the Approval Details Page.
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Approval Record Details
Approval Details
Field Name Field Description /
Purpose
Requested
User who is entering the
By
request.
Request
Date
Date and time the user
presses the add approval
button.
Approval
Type
Dropdown allowing
selection of custom preconfigured approval types.
Approval
Request
This text box allows the user to
enter details about the type of
request the Approver is being
asked to make.
Approver
Type
Drop down selection of who
is being asked to make the
approval.
Requested
Approver
The person or role who is
being asked to make the
approval.
Configuration
Field Detail/Comments
Budget Review
Center Director
Chair
Compliance
Dean sign after L&S Approv
Dept Chair
Dept Credit
Div Approv Terms
Div to RSA Preproposal
L&S Business Office
Legal Review
Other
Other Dept or Div Resource
PI Approve Terms
PI Signature
Preproposal to Full App.
Request Backstop
Revised Budget
Revised Budget to RSA
Risk Mgmt Review
School/College F&A Split
UWMF Approval
UWMRF
Selection of the type will populate
text in the approval request box and
if configured, the Approver Type.
Initial text defaults in based on the
Approval Type selected and may be
added to or overwritten.
PI, Division, Employee
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.
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5. 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 RSA. 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 PIs 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 only on the Document History page whether or not
a signature has been performed along with the date and time performed.
If physical signatures are required on the record due to a PI not being in the appointment tables at the time of
routing (it will strongly be encouraged that PIs be entered into appointment tables to allow PantherID access), 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 RSA“ indicator on the
General Information>Submission Instructions).
For information on the Principal Investigator Signature for Award, please see Section 3: Award Acceptance.
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6. Route
Routing a document in WISPER is the equivalent of handing off the paper t-form. 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 that
a record has been routed to him/her. 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.
As a result of routing, the recipient becomes the record owner and the role of the person who routed changes
from owner to participant.
Note: At UWM, “Route to Division” will the be only routing option used in the vast majority of cases.
“Route to a Specific Person” will rarely be used.
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7. 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.
2.
3.
4.
5.
6.
7.
8.
9.
Change in the value of the following fields: PI, Sponsor, Document Type
PI Signature
Division Signature
Routing to a new owner
Change in WISPER Status
Change in Funding Status
Request of an Approval
Response to Request for Approval
Generation of Award & Project ID
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8. Division Action
Division Administrators have the responsibility of controlling the forwarding to RSA for action. They will both
indicate their approval of the record and forward to RSA 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 Document History page.
The first approval is to indicate validation of information on the record. The I SIGN Button indicates approval and
is available any time after the PI signs the record.
For information about the Award signature, please see Section 3: Award Acceptance.
After completion of the WISPER record, including signatures by the Division and PI, the Division can submit the
proposal to RSA (SPO). Any hard copy paperwork is sent manually to RSA (with flag indicator on submission
instructions that paper is forthcoming). The Submit to SPO (RSA) button will trigger the move of the record off of
the campus MY WISPER In Boxes and into a Central RSA worklist for further action. Several validations are
done during the submission of the record to RSA. 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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B. RSA Internal Processing
1. SPO Manager Worklist
When the Submit to SPO selection is made, the record moves from the On Campus Status to Forwarded to SPO
status. This removes it from any campus MY WISPER In Boxes and posts it to the SPO Manager Worklist.
Those with the appropriate role at RSA will access this list and view any documents in the New Document
Submissions Section.
When new records are routed to RSA, 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
RSA staff who will process them.
The second section of the SPO Manager Worklist displays all records that need RSA Manager Approval. (See
the next two action sections 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.
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2. SPO Action Page to Assign Owner
This page is accessible for view by anyone in WISPER but is editable only by RSA User and RSA Manager roles.
For the purposes of routing, only the top section of the page is addressed. For Milwaukee, all RSA Pre-Award
staff will be assigned RSA Manager roles.
When an RSA Pre-Award staff member arrives at this page from the SPO Manager Worklist, he/she will see the
document in a “2-Forwarded to SPO” status. RSA Pre-Award staff will assign the record to him or herself for
processing as appropriate by selecting his or her name from the SPO owner drop-down and saving the record.
This will cause the Document Status to change to “3-Assigned at SPO.” The record now appears on the SPO
owner’s Worklist for processing.
For complete details on the rest of this page, please see the SPO Action section below.
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3. SPO User Worklist
The SPO User Worklist will provide all RSA staff with a listing of the documents requiring their attention. There
are four primary reasons an RSA user will need to work with a document, and these will be driven by RSA
ownership, document ownership, document status, or approval requests.
1. In Process in RSA: 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. Clicking on the document ID for any of the documents listed in this section will
send the user to the General page for that document.
2. Campus Records I Own: Records where the user is the document owner (not SPO owner) and currently
has a status of 1-On Campus. Clicking on the document ID for any of the documents listed in this section
will launch the record General page.
3. My Approvals: Records where the user has been added as an approver regardless of status. Clicking
on the document ID for any of the documents listed in this section will launch that record.
4. Negotiation and Setup: Records where the user is assigned as the SPO Owner and the status is “5RSA Negotiation/Setup.” Clicking on the document ID for any of the documents listed in this section will
launch the record General Page.
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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4. 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. Below are the primary
business processes executed on this page.
Manager Approval
This approval is the equivalent of providing institutional signature on T-form and should be executed by the RSA
Director. To request approval from the RSA Director, the SPO user will access the SPO Action page and select
the “Request Manager Approval” button. This will trigger the record appearing on the SPO Manager Worklist in
the Approvals section. The Manager can link to this page from the record and approve by selecting the “Manager
Approve” button. Both buttons provide an indicator below them of the user who performed the action and the date
and time of the action.
Submit Proposal
After the proposal documentation has been reviewed and submitted to the Sponsor per the instructions on the
General page, the RSA staff indicates the transmission of the proposal on this page by changing the Document
Status to Status “4-Sent to Sponsor.” This removes the record from any campus and RSA users’ In Boxes. In
addition, the users should provide any comments in the Comments Box on this screen and include any Sponsor
provided tracking number in the Reference Award Number field.
Negotiation
RSA users will enter the tracking of their negotiations on the bottom half of this page. Using the dropdown
”Negotiation Status” field, the user will indicate which party is currently responsible for the next action on the
record. Any comments to facilitate tracking (and these will be visible by campus) should be entered in the
comments section. Press the “Update” button to store these comments.
In addition, the check boxes on the right of the page indicate items which are required to be completed. RSA
users will indicate when the item has been reviewed or completed by checking off the appropriate boxes. These
boxes are informational only.
Rejections/Withdrawn records
If the Sponsor notifies UWM that the record has not been selected for funding or if the campus notifies RSA that
the record is being withdrawn after submission to Sponsor, the appropriate status is entered on this page using
the Proposal Funding Status dropdown selection. The record should also be changed to a “6-Completed” status.
Finalize Documents – Not new Awards
When all negotiations are complete on a document that will not generate into PeopleSoft (Material Transfer
Agreement, Confidentiality Agreement, or a Supplement for which an Award already exists), the RSA user will
ensure the record information is accurate and reflects the final status, upload a final copy of the award or
agreement to the Attachments section, and then select Finalize. For records that are not eligible to be generated
(CDA, MTA, Master, NFA, Internal), an overnight email will be generated letting the PI, Department, and Division
know that the negotiations were finalized and providing them a link to this record.
New Award Setup
The Generate Award process is performed via this page. Only after all processes detailed under the Campus
Award Acceptance Phase are completed should RSA use the Generate Award button. No emails will be triggered
at this point. The email notification will occur via the Award Modification screens in PeopleSoft Award.
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SPO Action
Field Name
A Document
Status
B
C
Reference
Award
Number
Proposal
Funding
Status
Field Description/Purpose
To indicate the current status of
the processing of the record
within WISPER.
Configuration
Field Detail/Comments
See the table below for details.
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.
The award number assigned by
the Sponsor.
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Field Name
SPO Owner
Field Description/Purpose
Drop Down selection of all users
in the campus with the SPO
User role.
Configuration
Varies
Field Detail/Comments
D
E
SPO Ruleset
Lookup to the available
Commitment Control Rulesets.
MIL_R_CAT
MIL_DIR_FA
Drives the categories visible on
the project details page and
subsequently the ruleset which
the budget posts under in
Commitment Control. Defaults
based on business rules of
Sponsor and Document Type.
Should only be changed on
approval of RSA Director.
F
Request
Manager
Approval
button
Button to indicate that the record
is ready for the RSA Manager
Approval.
Upon selection, the record
indicates PENDING on the SPO
User worklist and is visible on
the SPO Manager Worklist.
G
Manager
Approve
button
Button updates the RSA
Manager Approval to Approved
Status.
Status of APPROVED Indicated
on the SPO user worklist status.
Record removed from the SPO
Manager Worklist.
H
Approval/
Comments
button
Button opens a large text box for
comments among SPO users
through which comments can be
communicated.
I
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 locations.
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.
J
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.
When used for Non-PS eligible
Document Types email is
triggered during the nightly
batch run to notify campus 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.
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Field Name
Award
ID/Contract
ID
Field Description/Purpose
ID to which this award is
generated or added.
Configuration
L
Negotiation
Status
Drop down selection to indicate
which party is currently
responsible for the next action
on the record.
1-RSA
2-Dean’s Office
3-Legal
4-Office of Clinical
Trials
5-Principal
Investigator
6-Risk Mgmt
7-Sponsor,
8-Other
M
Negotiation
Comments
Information to communicate the
current status of the negotiation
process.
N
Tracking
checkboxes
Items which are required to be
completed. RSA users will
indicate when the item has been
reviewed or completed by
checking off the appropriate
boxes.
K
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Field Detail/Comments
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 RSA user will be
responsible for updating this
field before finalization.
Information only
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Document Status
Status
Security
Worklist
1-In Process
All participants, the
Divisions, and RSA have
access.
Is on a campus user’s
worklist. Is not on an
RSA worklist.
2-Forwarded to
SPO
Record is able to be found
by anyone on campus.
Attachments, Approvals &
Projects pages are
editable by participants.
Attachments are not
visible to non-participants.
SPO Manager
An SPO User
is assigned
to the record.
3-Assigned at
SPO
Record is able to be found
by anyone on campus.
Attachments, Approvals &
Projects pages are
editable by participants.
Attachments are not
visible to non-participants.
SPO User
An SPO user
changes the
status.
4-Sent to
Sponsor
Record is able to be found
by anyone on campus.
Attachments, Approvals &
Projects pages are
editable by participants.
Attachments are not
visible to non-participants.
None
An SPO user
changes the
status.
5-RSA (SPO)
Negotiation/Setup
Record is able to be found
by anyone on campus.
Attachments, Approvals &
Projects pages are
editable by participants.
Attachments are not
visible to non-participants.
RSA User and Campus
My WISPER Worklists, so
that award collection,
award signatures, and
award negotiations can
occur simultaneously.
An SPO user
changes the
status.
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Changes
When
Submit to
SPO button
is pressed on
Division
Action Page.
Notes
Is system default.
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Status
Security
Worklist
6-Completed
Record is able to be found
by anyone on campus.
No pages editable.
Attachments are not
visible to non-participants.
None
7-Withdrawn
Record is able to be found
by anyone on campus.
No pages editable.
Attachments are not
visible to non-participants.
None
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Changes
When
An SPO user
changes the
status.
An SPO user
changes the
status.
Notes
Record has been
fully negotiated.
The Finalize or
Generate button
has been
pressed.
Documents are
no longer in any
active processing
status, but can be
found via Search.
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C. Campus Award Acceptance
A number of actions must occur before RSA can finalize or generate the award. When RSA or campus has been
notified of the forthcoming award, they may begin this process. If campus is notified, they should inform the RSA
user on the record. Whether RSA or campus is first notified of or receives the award, the RSA user should
perform validations on the number of projects required and should update the terms and conditions before
changing the status to “5-Negotiation/Setup.” Projects 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 RSA 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.
1. Project Details
The projects tab contains a listing of the projects to be set up. RSA can facilitate this page by adding the required
number of projects and the start and end dates before updating the document status to “5-Negotiation/Setup.”
Campus can request additional projects by selecting the Add Project button and completing the necessary details.
The projects page is not accessible for document types that are not eligible for generating into awards (i.e. CDA,
NFA, MTA).
RSA will enter most of the information on the Projects Page except for the Commitments and Cost Share sections
that must be entered by campus.
As each award is required to have a minimum of one project, the first project is already created and accessible via
the Project Description hyperlink.
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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 (Administering) Department, Start, and End Dates default from the WISPER General
page.
Note: Campus will be responsible for choosing the correct Project Type and Fund Code on this page
Project Details - Header
Field Name
Field Description/Purpose
Configuration
Field
Detail/Comments
RSA will use the
first few characters
if needed to have
separate projects
each budget year.
Y1, Y2, Y3 should
be used in these
situations.
Description
Short description of the project.
Project PI
Defaults from the Contact PI on
the General Tab. Is able to be
changed using the Change Project
PI button.
Lookup to entire
UWM directory –
not limited to PI
eligible individuals.
Project Type
Lookup to Custom UW Project
Type field.
See table below for
additional
information.
Fund Code
Dropdown of funds currently
available in SFS.
101, 133, 135, 142, 144, 145,
146, 147, 148, 233
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Customized to only
allow those funds
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Field Name
Field Description/Purpose
Configuration
Owning
(Administering)
Department
Defaults in from the Administering
Department on the General page.
Is editable using the “Change
Owning Department on Project”
button.
UWM Department table
Start Date
Begin date of this project
End Date
End date of this project
F&A Rate Type
Dropdown of available types for
the indication of the appropriate
F&A.
Clinical Trials
Instr. and Training – on campus
Off Campus
Primate Center Negotiated Rate
Public Service – On Campus
Research – On Campus
Sponsor Approval Rate
WI State Agency Rate
F&A Base
Select the appropriate basis for
the F&A calculation.
G – Modified Total Direct
Costs
D – NIH training
A – No F&A
F – Salaries Wages and
Fringes
B – Salaries and Wages
C – Total Direct Costs
Funded F&A
rate
Enter the numeric rate to calculate
billable F&A on this project.
Field
Detail/Comments
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 to
perform.
The Combo Edit Departments and Nodes Section is not used for Milwaukee
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Project Types
Code
Short Description
GM_05 Employee Interchange
Agreement
GM_06
Named Professorships
GM_10
Research
GM_11
Doctoral Dissertation
Research
GM_12
Research Career Award
GM_20
Research Training Program
GM_25
Instruction-Training-General
GM_30
Fellowship-Predoctoral
GM_31
Fellowship-Postdoctoral
GM_39
Fellowship-Miscellaneous
GM_40
Construction-RemodelingRenovations
GM_44
Exhibits, Lectures,
Performances
GM_45
Miscellaneous
GM_49
Patient Care (Clinical Trials)
GM_50
Equipment
GM_60
Scholarships
GM_68
Work-Study
GM_70
Curriculum Improvement
and Development
GM_71
Libraries, Books, Journals
GM_74
Travel
GM_90
Conference, Workshop,
Symposium
GM_98
Public Service/Outreach
GM_99
Financial Aid
All
others
Details/notes
Use for Intergovernmental Personnel Assignment Agreements (IPA)
Use for NIH Institutional Research Service Awards (NIH Training
Grants)
All other codes are not to be used by Grants users in setting up
Project Types. They are for the Non-Sponsored (Project Lite) projects.
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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 other details on the record. Most projects will be budgeted at the category level although
fixed-price contracts and gifts will be budgeted at the Direct and F&A level.
Project Details – Budget Details
Field
Field Description/Purpose
Name
Budget
Code for the budget category
Item
for which the budget amount
must be entered.
Description
Related full description of the
Budget Item above.
Amount
Amount of that category
approved in the budget from
the Sponsor.
Total
Budget
Calculation of all amounts
above.
Configuration
Field Detail/Comments
Available budget categories are based on the
Sponsor and the Document Type. RSA can
over-ride the Budget Scheme on the SPO
action page with the approval of the Director.
In order to monitor rebudgeting requirements,
this budget must match the Sponsor approved
version.
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Effort Commitments - Information in this section must be entered by campus.
The Effort Commitments section will be 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 certification.
Project Details – Commitments
Field Name
Field Description /
Purpose
Name
Name of person with
commitment.
Configuration
Field Detail/Comments
People are added via the Add
Project Commitment button, which
launches a custom search screen
allowing lookup of any UWM
Employee.
Project Role
Dropdown selection of
the role on the project.
Co-Investigator,
Collaborator, Fellow, Key
Person, Mentor, Other, PI,
Research Assistant,
Trainee
Start Date
Date on which the
commitment with the
defined percent begins.
Defaults to the award start date, but
is editable.
End Date
Date on which the
commitment with the
defined ends.
Defaults to the award end date, but
is editable.
Total %
Calculated field. Equals
the Sponsor % + Cost
Shared %.
Sponsor %
Percent of the
committed person’s
effort for which the
Sponsor on this project
is paying.
Cost Shared %
Percent of the
committed person’s
effort on this project for
which the Sponsor is
not paying.
Add Project
Commitment
Button
Button to launch lookup
to add another person
with a Commitment on
this project.
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Project Cost Share - Information in this section must be entered by campus.
Sponsors will often require or request that UWM provide financial support for activities they are funding. This is
referred to as cost share, and it is critical that this information be accurately captured, as it represents a binding
legal commitment with our sponsors. UWM may commit to provide either salary based cost share (time spent by
personnel 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 Terms &
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 RSA to generate an 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.
Project Details – Cost Share
Field Name
Field Description /
Purpose
Name
Name of person
whose salary is being
cost shared.
Configuration
Field Detail/Comments
People are added via the Add Project Cost
Share button, which launches a custom
search screen allowing lookup of any UWM
Employee.
Start Date
Date on which the
cost shared salary
begins calculation.
Defaults to the award start date but is
editable.
End Date
Date on which the
cost shared salary
stops being
calculated.
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.
Lookup to all projects
within the Financial
System regardless of
fund.
From Fund
Code
The Fund from which
the cost shared salary
is being paid.
Fund Chartfield
From
Department
The Department from
which the cost shared
salary is being paid.
Department Chartfield
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Only entered if the salary is being paid from
another project.
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Field Name
Field Description /
Purpose
The percent of salary
coming from this line
of salary coding
Configuration
Field Detail/Comments
Cost Share
Type
Drop Down to indicate
the type of cost
sharing this line is
providing.
Mand, NSF, Vol
Only Mandatory, NSF Institutional, and
Voluntary Committed Cost sharing should be
entered. No Voluntary uncommitted cost
sharing should be tracked. Note that NSF
Cost Share will not be used for Milwaukee.
Add Project
Commitment
Button
Button to launch
lookup to add another
person with a
Commitment on this
project.
Cost Shared %
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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.
Project Details – Footer
Field Name
Field Description/Purpose
Configuration
Save and Return to
Record Button
Saves the details entered and returns the user to
the Project General Tab.
Cancel and Return
to Record Button
Does not save the details entered but returns the
user to the Project General Tab.
Save Button
Saves the details entered and remains on the
Project Details page.
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Field
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2. 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 RSA can enter the terms but all participants
can view them. The terms on the Sponsor profile default onto this list and RSA users will update or enter them as
part of the updating of this award to Status “5 – Negotiation/Setup.”
Terms & Conditions
Field Name
Field Description/Purpose
Terms &
Code for the term applicable to this
Conditions
award.
Configuration
See table
below
Description
The default description from the
Terms & Conditions configuration.
Explanation
Additional details to further describe
the term.
Field Detail/Comments
An equipment ownership term must
be entered on every WISPER record
Note: The Terms & Conditions entered on this tab point out important aspects of the award.
However, this summary of Terms & Conditions is not an exhaustive list of relevant elements in
the award. In addition, it does not alleviate the need for the PI to carefully read the award
document in order to carry out responsibilities related to the performance of this project.
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Terms & Conditions available for selection
Code
BR%00
BR%05
BR%10
BR%15
BR%20
BR%25
BRNO
BROTH
BRUW
C/ONO
C/OOK
C/OPA
CS3PM
CS3PV
CSM
CSV
EQFED
EQNO
EQSPN
EQUW
FDEMO
FDP
FIN
INCS
INSUR
INVDT
IP
OTH01
OTH02
PRADD
PRDED
PRESS
PROTH
PSPND
PUB
RCRET
REFUB
TRNAP
TRNPO
TRNPR
TRNST
TRNTM
UEFB
UEOTH
UETUR
Description
No Budget Tolerance, Needs Prior Approval
05% Budget Tolerance, Needs Prior Approval
10% Budget Tolerance, Needs Prior Approval
15% Budget Tolerance, Needs Prior Approval
20% Budget Tolerance, Needs Prior Approval
25% Budget Tolerance, Needs Prior Approval
No Re-budgeting Allowed
Budget Tolerance Other, Needs Prior Approval
Re-budgeting Internal Approval
Carryover Not Allowed
Carryover Automatic
Carryover Needs Prior Approval
Mandatory Third Party Cost Share
Voluntary Committed Third Party Cost Share
Mandatory Cost Share
Voluntary Committed Cost Share
Equipment Title with Federal Government
Equipment Not Allowed
Equipment Title with Sponsor
Equipment Title with UW
FDP Demonstration
FDP
Financial Restriction
Institutional Cost Share
Additional Insurance Coverage Required
Invoicing Detail Needed
Intellectual Property
Other Term & Condition - See Explanation
Other Term & Condition - See Explanation
Program Revenue Additive Method
Program Revenue Deductive Method
Publicity
Program Revenue Other Method
90 Day Pre-Award Spending Allowed
Publications
Record Retention
Refund of Unexpended Balances
Statement of Training Appointment Due On or Before the Appointment Date
Available Post-Doc Training Slots
Available Pre-Doc Training Slots
Available Short Term Training Slots
Termination Noticed Required Within 30 Days of Termination
Unallowable Expenditure - Fringe Benefits
Unallowable Expenditure - Other
Unallowable Expenditure - Tuition Remission
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3. PI Award Signature
The Contact PI is required to sign the second of the two signatures before RSA accepts the award or agreement
from the Sponsor. The Contact PI may have done so earlier in the process, but must do so before RSA 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 bottom of 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
understood the implications at the time of signing, RSA 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 Approvals under Section 1 above for more information.
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4. 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 RSA. The Division is
responsible for providing a second signature (award 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 RSA by requesting one of the further actions of
RSA. 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 RSA.
The same validations are run when the action button on the right is pressed. In addition, when the Request
Advance Account (Backstop) of SPO button is selected, the document will change to status “5-Negotiation/Setup”
thereby appearing on the worklist of the SPO user who is listed as the current SPO owner. It will also set the
ADVANCE ACCOUNT flag which will be indicated in a column on the SPO Negotiation/Setup section of the SPO
user worklist.
If the Request Project/Award Finalized of SPO button is pressed, the record status will change to “5Negotiation/Setup” thereby appearing on the SPO user worklist with a flag indicating the Finalize request has
been selected.
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Validations processed by the Submit to SPO and the corresponding Validate button:
Warning: You are not the Administering Division
Warning: No Contact PI on Record
Warning: No Administering Department on Record
Warning: No Begin Date on Record
Warning: No End Date on Record
Warning: No Sponsor found on Record
Warning: No Document Type selected on Record
Warning: No Proposal Type selected on Record
Warning: No Direct Costs entered on Record General page
Warning: No F&A Rate entered on Record General page
Warning: No Submission Method selected on Record General page
Warning: There is an Approval that has not been responded to for the Record
Warning: You have not entered a Related Document for a Non-New Record
Warning: Contact PI has not submitted Outside Activities Report
Error: Other Personnel, PI has not Signed this Proposal
Error: Contact PI has not Signed this Proposal
Error: Division has not Signed this Proposal
Error: All Compliance Questions have not been answered
Validations processed by the Request Advance Account of SPO and the corresponding Validate button
Warning: Other Member PI does not have any commitment on any projects under this award
Warning: Contact PI does not have any commitment on any projects under this award
Warning: You have not entered an Effort Commitment for each Project in the Record
Error: You must enter a Description for each Project on the Record
Error: You must enter a Project PI for each Project on the Record
Error: You must enter a Project Type for each Project on the Record
Error: You must enter a Project Fund for each Project on the Record
Error: You must enter an Owning Department for each Project on the Record
Error: You must enter a Start Date for each Project on the Record
Error: You must enter a End Date for each Project on the Record
Error: You must enter a F&A Rate Type for each Project on the Record
Error: You must enter an F&A Base for each Project on the Record
Error: You must enter a F&A Rate for each Project on the Record
Error: You must enter a Project Cost Share row for every Project Commitment with Cost Share greater than 0
Error: You Answered Yes to the Award involving Human Subjects and do not have approved Certifications
entered
Error: You Answered Yes to the Award involving Animal Subjects and do not have approved Certifications
entered
Error: You Answered Yes to the Award involving 'toxic, infectious or carcinogenic/mutagenic material' and do not
have approved Certifications entered
Error: You Answered Yes to the Award involving Stem Cells and do not have approved Certifications entered
Validations processed by the Request Project/Award Finalized of SPO and the corresponding Validate
button
Error: Contact PI has not signed this Award
Error: Division has not signed this Award
Error: Award Total Costs not equal Total Costs for all Projects
Error: Award Total Costs can not 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.
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5. Validation & Finalize or Generate Award by RSA
When the RSA user on record receives indication of a request from the Division to either set up an Advance
Award (Backstop) or Finalize the Award, the RSA 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 (except for Advance Award - Backstop).
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.
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D. WISPER Management
1. MY WISPER
The MY WISPER worklist page will be the starting location for all (non-RSA) WISPER users and will display three
sets of data: (1) all records for which that user is the current OWNER (“In Box”), (2) all non-generated records
where the current user has been requested to provide an approval (“Approvals I Need to Complete”), and (3) all
records on which the user is listed as with the role of PI (“Records for which I am PI”).
Selecting the Record ID in any of these sections will send the user to that record’s details allowing further action.
If the user logged in has a Division Role, they will also see a drop down box 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.
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2. Search & Copy
Search Page
The Search page allows the look up of existing records by selecting limiting search criteria. Any text entered into
the search box will perform a “contains” search function on that field. No wildcards are necessary.
The user will only be allowed to see records for which that user has security access. Those records in a “1-On
Campus” status are able to be found only by users who are participants on them. Records in any later status are
able to be located by anyone on campus. However, only participants can edit the information on these records.
Copy Function
The last column of the search results is a button allowing the user to copy the 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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3. User Preferences
The User Preferences page is accessible to all users via a menu item on the UWM WISPER page. This page
allows the user to control two functions:
1.
2.
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 UWM person table and add them as his/her 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 and MY WISPER functions. Note
that signatures of a PI or a Division Role Member are not able to be delegated. Only a user with the
role of PI or Division is able to sign.
Email Notifications – To turn email notifications from WISPER on or off, the user can check or
uncheck the three email check boxes.
Field Name
WISPER User
Field Description
/ Purpose
The user currently logged in.
User Delegate
The user with delegate authority for
the WISPER User.
Remove Delegate Button
Removes the User Delegate from
the WISPER User.
Receive WISPER Email
Updates Checkbox
Turns on and off all emails from the
WISPER system.
Receive WISPER Email
on Assignment of Record
Checkbox
Turns on and off the email
notification sent 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.
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Configuration
Field Detail/Comments
This person can receive emails and
see the same records that the
WISPER user does.
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WISPER
4. Division Role Set up
The Division Role function is critical to the path of records from campus to RSA. Users with this role are allowed
access to the Division Action page which drives submission of records to RSA.
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
icon. To add any additional
Role for that Division. The SPO Manager can delete those users by selecting the
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 Description/Purpose
Configuration
EmplID
The person who should have the
Division Role
Lookup to UWM person
table
Employee
Name
Name of person related to ID selected
above.
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5. Department Email Tables
The function of this table is for the email notification of Award Modifications and Finalized non-PeopleSoft eligible
documents not for email for routing and approvals within WISPER. The Department Email Table is
maintained by those users with the Division Role. Access to this page is via a link on the bottom of the Division
Role Members 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, Employees, and 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. 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. In the graphic above, within the
Division of Letters & Science, two individuals are chosen to receive notifications for Biological Sciences award
work, and one individual is chosen to receive notifications for Chemistry/Biochemistry award work.
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Field
Name
UDDS
Begins
With
Field Description/Purpose
Configuration
Enter the first 2 to complete 6
department ID digits for which the
email should be sent to the user
on this row.
Employee
Person ID
The person to whom an email
notification should be sent
Employee
Name
If a person was selected above,
the related name is displayed
Employee
Email
If a person was selected above,
the email address from their HR
record is displayed
Or Email
Box
If a generic email address, not
specific to an individual person is
to be used, that email can be
entered here.
Field Detail / Comments
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.
Lookup to UWM
person table
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Q:\Desk References\WISPER_Manual Grayscale EMpv.doc
February 15, 2008
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