Grant Proposals and Agreements (Procedure #730.A)

Abiding by these internal deadlines helps to ensure a successful proposal submission and avoids missing deadlines for submission or not meeting other university procedures and policies. This procedure governs proposal development and submission for internal review and approval and submission to sponsors.

Director of the Office of Research and Sponsored Programs (ORSP)

Administrative Components: Final versions of all administrative forms/documents and unit approved documents. Common administrative forms include cover pages, budgets, bio-sketches (CV), facilities and equipment sections, supplementary materials, appendices, and all administrative forms.

Compliance Review: Abbreviated review focuses only on areas of proposal submission which, if incorrect, could cause noncompliance such as eligibility issues, F&A calculations, unallowable costs, institutional information, and reportable cost share. It excludes verifying completeness of submission package, formatting requirements, and accuracy of all budget calculations.

Export Control: The federal regulations governing the transfer of sensitive technology, software, and data from the U.S. to foreign countries or foreign nationals, even within the U.S.

Institutional Animal Care and Use Committee (IACUC): A federally mandated committee that oversees and evaluates an institution's animal care and use program for research, teaching, and testing to ensure the humane and ethical treatment of animals by reviewing and approving research protocols, overseeing animal facilities, and conducting inspections.

Institutional Biosafety Committee (IBC): A review board that assesses and approves research involving biohazardous materials, such as recombinant DNA, infectious agents, and toxins to ensure that such research is conducted safely and in compliance with federal guidelines to protect personnel, the public, and the environment.

Institutional Review Board for the Protection of Human Subjects (IRB): A group that has been formally designated to review and monitor research involving human subjects to protect the rights and welfare of human research subjects, with the authority to approve, require modifications in (to secure approval), or disapprove research.

Post Proposal Actions: Materials requested by a sponsor after a proposal has been submitted but prior to an award being made. Examples include sponsor-initiated requests such as progress reports and National Institutes of Health (NIH) Just In Time documents as well as sponsor prior approval requests such as no cost extension requests and budget revisions.

Principal Investigator (PI): A Principal Investigator and Co-Principal Investigator are UWW faculty or staff members who bear joint responsibility for the intellectual leadership of a project.

Research Administration Management Portal (RAMP): A software solution tailor-made for managing the business of sponsored research, enhancing work in the areas of proposal development and submission, research contracting, non-financial post-award management, employee compensation compliance, and export controls.

Research Security: The practice of safeguarding the research enterprise against the misappropriation of research and development, violations of research integrity, and foreign government interference to the detriment of national or economic security.

Technical Narrative: The final technical proposal, cited literature, and any component of which the writing is dependent on the science/research/scope of the project.

A. Finding Funding

The Office of Research and Sponsored Programs (ORSP) supports UWW faculty, staff, and students in identifying funding opportunities – both internal and external – and provides information on call for proposals to advance research and creative endeavors at UWW.

1. The Office of Research and Sponsored Programs (ORSP) shall track funding trends and share external funding opportunities with faculty and staff.
2. Principal Investigators (PI) may identify external and internal funding opportunities and initiate discussion with ORSP for proposal development.
3. Faculty and staff may explore external funding opportunities at common sites/tools, such as PIVOT, Grant Resource Center (GRC), Foundations Center Directory Online, National Institutes of Health (NIH), National Science Foundation (NSF), and the State of Wisconsin - Wisconsin.
4. Faculty, staff, and students may also explore internal funding opportunities by visiting the ORSP and URiCA websites.

B. Intent to Apply

1. A Principal Investigator shall submit to ORSP an intent to apply for a funding opportunity by completing the Proposal Intent to Submit.
   1. Researchers shall contact ORSP staff with their intent to submit a proposal and copy of or link to the sponsor proposal announcement a minimum of 3 weeks prior to the sponsor deadline date.
   2. Complex proposals (e.g., the proposal contains subcontracts or cost share/match, etc..) or solicitations containing terms and conditions may need additional preparation time (longer than 3 weeks). Therefore, researchers are encouraged to contact ORSP as soon as possible to facilitate the proposal submission.
2. ORSP staff shall arrange a meeting to discuss the opportunity, including discussion on:
   1. Eligibility and fit for the PIs research areas or interest.
   2. Interpretation and understanding of the funding opportunity.
   3. Specific sponsor requirements and due dates for internal and sponsor submissions.
   4. Required completion of a research compliance protocol for some research projects (see below).
   5. Securing buy-in and support from the PI’s School (department chair and/or dean).
3. ORSP staff shall support the Principal Investigator(s) to draft
   1. Project narrative – scope of work and programmatic content, including, as needed, monitoring and evaluation plan.
   2. Budget and budget justifications.
   3. Letters of intent to collaborate, letters of support, memorandum of understanding that requires university signatures, UWW capability statements (experiences), etc.

C. Required Training

1. All faculty or staff applicants for federally funded grants are required to take specific training.
   1. Proposers and individuals identified as senior/key personnel must complete a Research Security training certification. The training is available through Workday or request ORSP to assist.
   2. All faculty and students who are proposing research that involves human subjects or vertebrate animals shall complete the Social, Behavioral and Educational Sciences modules in the Collaborative Institutional Training Initiative (CITI) training.
   3. ORSP shall ensure completion of required training, and document certifications.
2. Depending on the funding agency/organization, faculty, staff, and students may be required to complete additional sponsor required training. Please consult with ORSP, if you have any questions.

D. Research Compliance Protocols and Prior-Approvals

1. Per B(b)(iv) above, faculty and students who wish to pursue a federally funded grant opportunity are required to get prior approvals on specific research compliance protocols.
   1. Any research that involves a human subject shall be reviewed by the Institutional Review Board for the Protection of Human Subjects (IRB)
   2. Any research that involves vertebrate animals shall be reviewed by the Institutional Animal Care and Use Committee (IACUC).
   3. Any research that involves biohazardous materials, such as recombinant DNA, infectious agents, and toxins shall be reviewed by the Institutional Biosafety Committee (IBC).
   4. A protocol approval may be pending until funding where the funding/sponsor organization does not require prior protocol approval.
2. Export Control
   1. All faculty or staff applicants for and/or implementers of federally funded grants are required to ensure meeting conditions for Export Control.
   2. All faculty or staff applicants should inform the Institutional Research Compliance Specialist in the Office of Research & Sponsored Programs if there is any transfer of controlled technology, information, equipment, software, or services to a foreign person in the U.S. (“deemed export’) or abroad by any means. These involve sending or taking anything out of the United States in any manner, including
      1. Actual shipment of any covered goods or items;
      2. The electronic or digital (i.e., e-mail, webcasts, social media, fax) transmission of any covered goods, items, or related goods or items;
      3. Any release or disclosure, including verbal disclosures or visual inspections, or any technology, software, or technical data to any foreign national; or
      4. Actual use or application of covered technology on behalf of or for the benefit of any foreign entity or person anywhere.
   3. Per the UWW Export Control Procedure (#734.A), all faculty or staff applicants should receive clearance from ORSP of meeting requirements of the procedure when planning an international travel.
3. Conflict of Interest (FCOI).
   1. All faculty or staff applicants must submit to ORSP a written disclosure of any actual or perceived Conflict of Interest (COI), with potential one or more contradictory interests, financial or other, related to an activity by the researcher(s) which might compromise their professional judgment or the integrity of the research.
   2. If a FCOI is determined, the faculty or staff applicant must submit, to ORSP, a Conflict-of-Interest Management Plan specifying the steps to be taken to manage, reduce or eliminate the FCOI.

E. Internal Submission Deadline

1. Deadlines
   1. The Principal Investigator is responsible for ensuring that documents are complete and submitted on time for internal or sponsor deadlines.
   2. Principal Investigators shall contact ORSP at least three (3) weeks prior to the external deadline for proposals that include Federal terms and conditions, multiple projects, and/or representation and certification documents. Please note that sponsors may require proposal submission through their own electronic systems, which may be slow or unresponsive during peak use as deadlines approach.
   3. The Principal Investigator shall submit to ORSP the complete proposal materials – program/technical narrative, budget, budget justifications, and other relevant documents, including letter of support, memorandum of understanding at least two (2) weeks prior to the sponsor/external deadline for proposals.
   4. ORSP staff shall review budget and budget justifications and confirm completeness of the application materials.
   5. Upon request from the PI(s), ORSP staff may assist in developing budget and budget justifications for the proposal.
   6. ORSP shall ensure that all applications materials and documents are uploaded on RAMP.
   7. ORSP shall submit a request for university authorities to approve final proposals, specifying whether the opportunity is federal or non-federal two (2) weeks prior to the external deadline for proposals.
   8. ORSP may set target deadlines when the sponsor does not have a firm due date aligned with the above considerations.
2. Late Proposals
   1. Proposals submitted by PI(s) after the internal deadlines stated above are at risk of not being submitted.
   2. While ORSP will take reasonable steps to accommodate late proposals, completing all tasks required to meet the external submission deadline may not be possible during periods of high activity or when diverting staff resources to submit the late proposal will adversely impact proposal submissions of other faculty that have submitted proposals on time.

F. Approvals

1. The Principal Investigator must submit to ORSP all proposal documents to be uploaded into RAMP, including materials that require an official signature by the appropriate UWW authority within the deadline specified above.
2. The Principal Investigator must submit to ORSP the scope of work, budget and other documents that require university signature with ORSP staff within the deadline specified above.
3. Upon receiving a scope of work, budget, and other appropriate documents for both internal and external funding opportunities, ORSP will upload these materials to RAMP, designate a proposal identification number, and initiate the process for approval.
4. As needed, Principal Investigators will grant ORSP access to external proposal submission systems (e.g., Grants.Gov, Research.gov, etc.), to facilitate submission of the proposal.
5. Documents – such as letters of support – can be signed by university authority ONLY IF complete documents are uploaded to RAMP and approved by the Department Chair(s) and the Dean(s).
6. The Principal Investigator and all key personnel, per 4(A)(III) and 4(A)(IV) above, must complete required training, submit required disclosure documents, and meet other requirements depending on the sponsor(s).
7. Proposals involving subawards must include a signed Letter of Support or Subrecipient Commitment form from all subaward institutions listed in the proposal.
8. Proposals or agreements for federal funding opportunities may require more time to review, in most cases requiring review by OGC.
9. ORSP shall confirm completion of approval by all university authorities, as applicable, before submission to sponsor(s).
   

G. Submission to Sponsors

1. ORSP is the office authorized for submitting proposals for external funding on behalf of Principal Investigators at the University of Wisconsin-Whitewater.
2. Any technical narratives submitted through Research.gov are encouraged to be uploaded to Research.gov in advance of the DEADLINE due to the submission validations implemented by some sponsors.

H. Award Negotiation and Setup

1. Award Routing and Review
   1. Award types include grants, cooperative agreements, subawards (both incoming and outgoing), contracts and service agreements, confidentiality agreements, and other agreements with special terms and conditions.
   2. ORSP is the office leading and facilitating award and contract agreements for external funding on behalf of the UWW and the Principal Investigator.
   3. ORSP must review and route the agreement to initiate review, negotiation, and approval by the appropriate university authority.
   4. Federal funding agreements may be required to be reviewed and cleared up by OGC and might take several days to complete.
   5. The application/proposal review and approval involve the offices of the Provost & Vice Chancellor for Academic Affairs, Finance & Administrative Affairs, and the Chancellor’s Office, as applicable.
2. Agreement Execution
   1. After review and approval, ORSP facilitates the signing of the agreement by an authorized official of the University.
   2. After UWW signing, ORSP sends the signed agreement to the sponsor and initiates an award setup in RAMP, automatically assigned an award number.
   3. ORSP must share a copy of the agreement with the PI.
      

OSRP Website

First approved: April 16, 2026

June 30, 2030

Questions regarding the interpretation of this procedure should be directed to:

Teshome Alemneh, PhD
Director, Office of Research and Sponsored Programs (ORSP)
800 West Main Street; Whitewater, WI 53190-1791
alemneht@uww.edu; orsp@uww.edu p 262-472-5212| f 262-472-5214

Becky Mueller
Associate Director, Office of Research and Sponsored Programs (ORSP)
800 West Main Street; Whitewater, WI 53190-1791
muellerr@uww.edu; orsp@uww.edu p 262-472- 1049 | f 262-472-5214