Important Updates

Pre-Award Staff Shortage to Impact the Proposal Submission Process

Posted 4/12/2019

OSP is currently recruiting for two Pre-Award Specialists to replace one staff member who has departed and another whose last day will be April 19. These vacancies will represent a significant strain on Pre-Award operations. Other staff members are being cross-trained to assist with proposal submissions, but from April 22 through early summer, Ann Shiras will be the primary person reviewing and submitting grant applications.

Five-Day Internal Deadline

During this period, delays in the review and submission of proposals should be expected. OSP can guarantee a smooth, complete, and timely process only if proposals are received five business days before their deadlines. It will be impossible to provide full service and guarantee error-free, on-time submissions for last-minute proposals.

Plan Ahead and Strategize

Don’t get caught in the deadline crush! Even during full staffing periods, here is the best strategy for trouble-free proposal submissions:

  • Inform your Pre-Award Specialist early of your submission plans, especially if you are responding to a complicated funding opportunity.
  • Focus on completing the administrative detail of the application. Questions to OSP during this process are encouraged.
  • Submit all the administrative portions of the application, including your budget and subaward documentation, with a draft of your research plan or program description to OSP five days before the application deadline. While OSP is reviewing your proposal for administrative compliance, you can continue working on your program narrative until a day or two before the deadline. By that point your proposal should be administratively sound, programmatically complete, and ready to submit to the sponsor.

We greatly appreciate your cooperation and patience during this transition. Questions? Contact Tom Marcussen, Director, Office of Sponsored Programs, at marcusse@aufdemsofa.com.

Grants.gov Workspace: Lessons Learned and Helpful Tips

Posted 2/28/2018 | By Ann Shiras

On January 1, 2018, Grants.gov retired its legacy Adobe-based grant application packages and launched Workspace, its new web-based application development and submission system. Since implementing new policies and procedures in anticipation for this change, including our mandatory two-business-day internal deadline, the Office of Sponsored Programs has successfully submitted 17 proposals to four different federal agencies using the new Workspace system for Grants.gov submissions, and several more are in process.

Since January 1 we have identified some particular quirks with the Workspace system and learned valuable strategies for using Workspace more effectively. In this special issue of the . If you have specific questions, please contact Ann Shiras, Pre-Award Specialist and Workspace Lead, at ashiras@aufdemsofa.com大奖娱乐官方网站主页 or 229-3077.

For All Workspace Applications

Mandatory Internal Deadline for Grants.gov Applications
Although most Grants.gov applications have been completed smoothly, OSP has experienced issues with specific forms, and our two-business-day internal deadline has made this transition considerably less stressful than previous submission system changes by providing us with sufficient time to review, research, and correct problems. The internal deadline remains necessary in order to provide OSP with sufficient time to work around problems and resubmit if necessary, with less risk of missing the sponsor deadline. We sincerely thank the UWM research community for adhering to the internal deadline and working with OSP to ensure your applications are submitted correctly and without errors.

Application Filing Name
Unless the Sponsor guidelines require otherwise, please use our Grants.gov naming convention for the Application Filing Name: PI Last Name_Agency Abbreviation_WISPER Record Number-Pre-Award Specialist Initials (e.g., Shiras_NIH_MIL107732-AS). This helps OSP Pre-Award staff to search for Workspaces and track the emails associated with your Grants.gov submission status. Note that the Application Filing Name is different from your Project Title. The Project Title is entered separately on the forms submitted to the Sponsor.

Creating A Workspace
You must enter an Application Filing Name to Create a Workspace. If you have not started a WISPER record, you can use the file convention PI Last Name and Agency Acronym (e.g., Shiras NSF), then update it later by selecting Edit Name. If you Copy大奖娱乐官方网站主页 a Workspace to start a new one, remember to change the Application Filing Name.

Starting A Workspace
To begin a new Workspace, first complete the SF424 or SF424 R&R form. The information entered in these forms populates information in the other forms in the Workspace. See the sample SF424 R&R form on the .

Preparing Workspace Forms
There are several options for preparing most of the Workspace forms: Webform, Download, Upload, and Reuse. Use the Download option to view Attachments made to forms (see below for additional options for there is a Reopen option available after an application is submitted to the sponsor. Please use Reopen only when submitting a Changed/Corrected Application. Once reopened, the Workspace status returns to Forms Passed and it cannot be changed back to Submitted/Agency Received. (about three minutes) and (about 9.5 minutes). Please work with your Pre-Award Specialist大奖娱乐官方网站主页 if you encounter problems with this form. .

Grantor Image and Preview Grantor Validation
Currently for NIH submissions only, the Grantor Image and Preview Grantor Validation options become available when all the forms have a status of Passed. These two options allow you to preview the assembled image that will appear in the NIH eRA Commons and the expected results from the Commons validation checks. This means no longer having to wait until after the submission to NIH for those activities! Our experience to date has been that both the Grantor Image and the Grantor Validations match what will result in eRA Commons, so please take advantage of both of these options before clicking Complete and Notify AOR.


Mandatory Internal Deadline for Grants.gov Workspace Applications

Posted 1/4/2018

Starting January 1, 2018, you will no longer be able to download PDF application packages for Grants.gov submissions. All new Grants.gov applications MUST be initiated through the new . PDF packages will be discontinued on January 1.Recent testing of Workspace by UWM大奖娱乐官方网站主页 Pre-Award staff and colleagues at other institutions have revealed some technical complexities, and extra time will be required to ensure submissions are submitted properly.

Therefore, OSP is implementing a mandatory internal deadline: Effective January 1, Grants.gov submissions must be completed and OSP notified no less than two business days (48 hours) prior to the sponsor deadline.

大奖娱乐官方网站主页The internal deadline is necessary because there will likely be technical problems with the new Workspace system and thus additional time will be needed to resolve them.

A two business-day internal deadline provides OSP with sufficient time to work around problems and resubmit if necessary, with less risk of missing the sponsor deadline. Submissions received by OSP less than two business days prior to the sponsor deadline are at greater risk of missing the submission deadline if OSP does not have sufficient time to resolve technical issues.

To facilitate successful submission, all Grants.gov submissions must follow this process:

  1. Submissions must have all internal approvals completed in WISPER.
  2. Submissions must be marked as “Completed and Notify AOR” in Grants.gov by 4:30pm two business days before the sponsor’s submission deadline. For example, if your proposal is due Wednesday, it must be with OSP by 4:30pm on Monday.
  3. If your proposal is due on Monday, it must be with OSP by 4:30pm on Thursday.
  4. Submissions will be handled by Pre-Award Specialists on a first-come, first-served basis. Priority will be given to submissions received by OSP two business days before the sponsor deadline. For submissions received less than two business days before the sponsor deadline, OSP will determine the level of service that can be provided before applications are submitted.Even if you are just considering applying for a grant, please inform your Pre-Award Specialist so that they add it to their worklist and follow-up with you.

We appreciate your cooperation with this new policy as we transition to the new Workspace system. If you have any questions, please contact Tom Marcussen, Director, Office of Sponsored Programs at marcusse@aufdemsofa.com or 229-4537.


Roles and Responsibilities in Developing and Managing Extramural Awards

Posted 4/12/17

One of the best practices in research administration involves the creation of Roles and Responsibilities matrices for the preparation, submission, acceptance, management, and close-out of sponsored projects. In line with UWM achieving R1 status last year, the Office of Sponsored Programs created a Roles and Responsibilities Matrix for the development and management of extramural awards.

Not only is the purpose of this matrix to better identify the roles and responsibilities of the Office of Sponsored Programs and the Office of Research, but it also provides UWM departments and divisions the ability to identify how their own support systems and personnel assist the research enterprise within their area.

We are excited to release this document to the campus community. Please send questions or comments related to the Roles and Responsibilities Matrix to Tom Marcussen, Director (marcusse@aufdemsofa.com). The Office of Sponsored Programs also plans to host a session for the campus community in Fall 2017 to discuss the document.


Reporting Preprints and Other Interim Research Products

Posted 4/12/17

OThe National Institutes of Health () regarding the inclusion of preprints and other interim research products in grant applications and Research Performance Progress Reports (RPPRs). ; and

  • This Notice does not apply to clinical trial registrations.
  • Citing Interim Research Products in Applications, Proposals, and Reports
    Interim research products may be cited in any section of an application where research products are cited. To cite the product, applicants and awardees must include the Digital Object Identifier and the Object Type (e.g., preprint, protocol) in the citation. Also list any information about the document version (e.g., most recent date modified), and if relevant, the date the product was cited. For example:

    Bar DZ, Atkatsh K, Tavarez U, Erdos MR, Gruenbaum Y, Collins FS. Biotinylation by antibody recognition- A novel method for proximity labeling. BioRxiv 069187 [Preprint大奖娱乐官方网站主页]. August 11, 2016 [cited 2017 Jan 12]. Available from: .

    Claiming Interim Research Products as Products of ) license or dedicate their work to the .

  • In the text of the document, acknowledge , clearly state the work is not peer-reviewed, and declare any competing interests.
  • Effective Date
    大奖娱乐官方网站主页 For applications submitted for the May 25, 2017 due date and thereafter, awardees may claim these products on their progress report publication list. These interim research products may also be included in RPPRs as of May 25, 2017 and may be linked to a PI’s award in their My Bibliography account.

    Questions? Please contact your Pre-Award Specialist.


    Reminder: . Instead, grantees must submit Final RPPR through eRA Commons.
  • Good Clinical Practice Training: . . Results of the clinical trials .
  • Effective January 25, 2017:

    • Appendix Materials: due on or after this date, unless specifically required under a funding opportunity announcement.
    • Post-Submission Materials: following a proposal submission.
    • Updated Font Guidelines: and no longer requires that black text be used within grant application attachments.

    Effective February 9, 2017:

    • Interim RPPRs: Applicants that submitted a renewal application (Type 2) no later than 120 calendar days from the period of performance end date of the existing award.

    Can I sign this?

    Posted 3/29/17

    Have you received a document from a principal investigator for a signature? Did you look at the document and ask whether you should sign? It happens all the time—sponsors send our principal investigators documents for signatures all the time, thinking that individual PIs or department-/division-level personnel have the authority to sign documents. At UWM, only certain individuals have the authority to sign on behalf of the institution大奖娱乐官方网站主页—and for documents that involve funding for grants and contracts, most of the signatories are employed in the Office of Research.

    Why is this important? Only Chancellor Mone has the authority to sign documents on behalf of the institution under state law. The Chancellor, under state law, has the authority to delegate signature authority to certain individuals on campus—hence the signature list. In so doing, UWM follows Wisconsin law in terms of signature authority.


    (PMC). But did you know that the 大奖娱乐官方网站主页requires scientists to submit final peer-reviewed journal manuscripts that arise from , , a , and instructions on how to add and maintain citations in and the . It also includes detailed instructions on using the ) system.

    Questions? Contact your Pre-Award Specialist.


    Limited Submission Opportunities

    Posted 3/27/17

    Many federal and non-federal sponsors are increasing their use of limited-submission programs, which limit the number of letters of intent, pre-proposals, and/or proposals that UWM may submit. Research Development Services posts grant opportunities on the UWM Research Listservs and identifies those with limited-submission requirements. To help prevent UWM from being disqualified for exceeding the number of submissions allowed, the UWM Office of Research requires researchers to submit a Notice of Intent to Apply; if we receive more notices than the number of submissions allowed, an internal competition will be held to select the proposal(s) that best aligns with the grant program goals and objectives and meets the sponsor’s review criteria.

    Problems with Limited-Submission Programs
    Sometimes researchers submit proposals to limited-submission programs without realizing it, mostly because the funding opportunity was not listed on the UWM Research Listservs or the requirement was not clearly stated in the program solicitation. We’re also seeing sponsors that rarely limit submissions use this mechanism with much greater frequency, particularly the U.S. Department of Energy and U.S. Department of Justice, catching researchers and institutions off-guard.

    Without carefully reviewing the program solicitation and informing the Office of Research of your intent to submit to a limited-submission program, proposal submissions run the risk of (1) disqualifying UWM from the grant competition, and (2) disqualifying UWM大奖娱乐官方网站主页 colleagues who have been selected to submit through the internal competition process. Thus, it is critical to review solicitations carefully.

    How to Quickly Check Solicitations for Limited-Submission Requirements
    Depending on the file type of the program solicitation (e.g., Word, PDF, HTML) use the Search function to quickly find the following words that are usually found within a limited-submission program solicitation:

    • Limit (e.g., “Limit on Number of Submissions”, “Institutions are limited to three submissions”)
    • Multiple (e.g., “Multiple submissions are not allowed”)
    • Not more than (e.g., “Not more than one proposal per institution”)
    • Only (e.g., “Only 1 proposal per institution”)
    • One (e.g., “One proposal per institution allowed”)

    Questions? If you need help interpreting a program solicitation or if you have questions about a limited-submission program, please contact Michelle Schoenecker (schoene7@aufdemsofa.com) or Kari Whittenberger-Keith (kariwk@aufdemsofa.com).


    Declined about deciding whether or not to resubmit a declined proposal. Because there are many factors that influence the decision to resubmit (e.g., reviewers’ comments, deadlines, collaborators), , , and .
  • Don’t give up. For most investigators, achieving funding success usually comes from persistence and patience. The typical applicant who was successful in obtaining was 13.1%, but the success rate for resubmissions was 33.5%.
  • In addition to these tips, another key strategy is to contact Research Development Services—we can help you interpret the Summary Statement, develop a resubmission strategy, and find new funding opportunities that might be a better fit for your project. Our services are free of charge! Contact Michelle Schoenecker (schoene7@aufdemsofa.com) or Kari Whittenberger-Keith (kariwk@aufdemsofa.com) for assistance.


    Two New SAAPs Approved

    Posted 12/19/16

    UWM governance groups have approved two new Selected Academic and Administrative Policies (SAAPs) regarding research and sponsored projects at UWM.

    1. SAAP 23: Use of Facilities – Policies and Procedures addresses the use of shared research facilities at UWM to ensure the effective use of shared research facilities and to allow for efficient and effective resolution of issues and conflicts that may arise between users.
    2. SAAP 74:UWM Policy on Sponsored Program Fixed Price Contract Close Out discusses the policy for the closeout of fixed-price contracts and residual balances greater than 25% of the total award amount or $10,000, whichever is greater.

    Questions? Contact Rachel Schiffman, Associate Vice Provost for Research (schiffma@aufdemsofa.com).


    Use of Labor Hours in Proposal Budgets

    By Jessica Stroud, Senior Contracts Administrator | Posted 12/5/16

    In order to comply with Uniform Guidance , labor hours or hourly rates cannot be used to determine salary applied to an extramural project. However, there are certain instances in which a federal sponsor requires personnel costs to be broken down by labor hours. While this is undesirable as it does not conform to UWM大奖娱乐官方网站主页’s official effort reporting record policy, a proposal can be submitted using hourly rates as long as the following statement is provided to the sponsor:

    The estimated number of [hours and/or hourly rates OR days and/or daily rates] are provided for evaluation purposes as required in the funding opportunity announcement. Rates are not auditable in the UWM financial system of record. It is understood that the University will not be required to maintain a record of hours of effort under any resultant award nor required to invoice personnel effort by hours.

    Labor hours should never be provided to a non-federal sponsor. Instead, industry sponsors should be provided a fully-burdened budget, also known as fully-loaded (see the “Industry” tab of the Budget Tool大奖娱乐官方网站主页). Fully burdened means that both direct and indirect costs have been combined for each budget line item to reflect one total cost per line item, as opposed to including indirect costs as a separate budget line item in most “typical” sponsored project budgets.

    Questions? Please contact your Pre-Award Specialist.


    Lessons from the to the National Science Board regarding the agency’s Merit Review Process. Not only does the report contain a wealth of information about found that, on average, , funded largely through publication fees or article processing charges to authors or their institutions, has created many opportunities for researchers to share their peer-reviewed work with free access in online journals. Unfortunately, it has also given rise to an exploitative publishing business model that involves charging fees to authors without providing the services associated with legitimate academic journals, such as editorial and publishing services, and in particular, appropriately conducted peer review. Disreputable publishers actively solicit manuscripts for the purpose of generating revenue; to give the impression of academic authenticity, such publishers are known to invite established scholars to be named as editorial board members.

    Predatory conferences also exploit researchers’ need to share and present their research. These are enterprises that organize low-quality academic meetings for profit, attracting paying participants with famous keynote speakers or presenting themselves under the guise of similarly named reputable conferences.

    There are several valuable resources for determining the integrity of publications and conferences. The website provides extensive information about open-access publishing standards and the publishers that adhere to them. University of Colorado Denver librarian and researcher Jeffrey Beall, who coined the term “predatory publishing,” maintains a list of “potential, possible, or probable predatory scholarly open-access publishers.” The list is available on his website, , which provides “critical analysis of scholarly open-access publishing” as well as information about predatory conferences.

    The UWM Libraries also have resources to assist faculty with identifying and responding to offers from predatory publishers and other topics relating to open-access publishing. For assistance, please contact Kristin Woodward, Online Programs and Instructional Design Coordinator, at kristinw@aufdemsofa.com.


    , even if the projects are unrelated. Please remind your NSF PIs and Co-PIs to keep current on all NSF project reports and that their actions may have an impact on their colleagues’ NSF awards—awards and non-competing continuations will be delayed.


    What Compliance Tasks are Required… and When?

    Posted 5/24/16

    Specific compliance tasks, informed by federal regulation, state law, and UW System and UWM policy, are required at certain points during the proposal submission, award, continuation, and no-cost extension phases of a project. Additionally, the May 20th deadline has come and passed for researchers to complete their effort, training, and disclosure tasks in order to receive OSP services. To help researchers to comply with these requirements, the following process describes the tasks due at each OSP transaction:

    At Proposal Submission:

    • All senior/key persons in the proposal (PI, Co-PI, Co-Investigator, or other individual designated as senior/key person) must have completed their Outside Activities Report (OAR) during the last disclosure cycle (due annually by April 30).
    • For submissions to the Public Health Service (PHS) and other non-federal agencies that subscribe to the PHS Financial Conflict of Interest [FCOI] regulations, a completed Significant Financial Interest Disclosure [SFID] must be completed within the last 12 months.

    At Award Stage:

    • All must be complete for all .
    • An OAR must be on file for the last disclosure cycle (due annually by April 30) for the PI, Co-PI, Co-Investigators, other individuals designated as senior/key persons, and for any other personnel included in the Notice of Grant Award (NoGA).
    • For awards from PHS agencies (and those that ascribe to their FCOI regulations), an SFID must be on file within the last 12 months for all PIs, Co-PIs, Co-Investigators, other individuals designed as senior/key persons, and NoGA personnel.
    • For awards from PHS agencies (and those that ascribe to their FCOI regulations), all PIs, Co-PIs, Co-Investigators, other individuals designed as senior/key persons, and NoGA personnel must have completed FCOI Training within the last four years.

    During Non-Competing Continuations and No-Cost Extensions:

    • An OAR must be on file for the last disclosure cycle (due annually by April 30) for the PI, Co-PI, Co-Investigators, other individuals designated as senior/key persons, and for any other personnel included in the NoGA.
    • For awards from PHS agencies (and those that ascribe to their FCOI regulations), an SFID must be on file within the last 12 months for all PIs, Co-PIs, Co-Investigators, other individuals designed as senior/key persons, and NoGA personnel.
    • For awards from PHS agencies (and those that ascribe to their FCOI regulations), all PIs, Co-PIs, Co-Investigators, other individuals designed as senior/key persons, and NoGA personnel must have completed FCOI Training within the last four years.

    It is important to note that the OSP transactional points listed above may be delayed if project personnel have not completed all compliance-related tasks.

    How can delays be minimized? By contacting OSP early and often! Our staff have access to tools that can quickly verify if project personnel have completed all compliance-related tasks. If you are working with a researcher on a submission, notify your Pre-Award Specialist early about the planned proposal. We can verify that all project personnel have completed their compliance tasks so as to not delay proposal submission. The same holds true for new awards, non-competing continuations, and no-cost extensions: if you have planned actions on an award, contact our staff early and often to verify that all compliance-related tasks are complete.


    Division WISPER Approvals

    Posted 5/24/16

    大奖娱乐官方网站主页WISPER is a convenient, efficient mechanism for departments and divisions to review and approve extramural proposals and awards. WISPER allows divisions to approve both a proposal and a subsequent award at the proposal stage.

    OSP strongly encourages divisions to refrain from approving an award at the proposal stage. Why? For several reasons, but most notably:

    • The project scope may change between the proposal stage and final award stage;
    • The project budget may differ;
    • The amount of match funding from a department or division may differ;
    • The project start and end date may change, impacting other department or division functions (course scheduling, student advising, other service/research commitments, etc.); and/or
    • Project personnel may differ.

    大奖娱乐官方网站主页By waiting until an award is issued to provide the final approval, the division has a better opportunity to review all relevant award materials and confirm final approval. Please note that waiting to provide division approval of award in WISPER will not delay or impact the proposal submission process.

    If you have any questions related to WISPER division approvals, please contact Tom Marcussen, Director (marcusse@aufdemsofa.com).

    Award Notifications

    Posted 10/28/15

    Did you receive notice of award for a submission? Did a program officer send an e-mail indicating that your proposal will likely be selected for funding? If so, please contact your Pre-Award Specialist as soon as possible. We can help identify tasks that may need completion to avoid project delays.

    For example, if your project involves research with animals, OSP will need approval documentation from UWM’s Animal Care Program. Our goal is to minimize project delays and allow us to setup your project account quickly. Questions? Contact Tom Marcussen at marcusse@aufdemsofa.com.


    Procedures for Submitting UW System Grant Proposals

    Posted 12/15/14

    Applications to UW System grant programs often have administrative requirements, such as institutional signatures, that require campus coordination. To help streamline the submission process for UWS applications and better coordinate campus efforts, the UWM Office of Sponsored Programs (OSP) has developed the following procedure. This gives Principal Investigators additional time to finalize the proposal rather than coordinating administrative review and signatures. It also allows WISPER to handle the review and approval process rather than using disparate processes across campus.

    1. For each UWS grant opportunity, OSP will publish internal deadlines for Principal Investigators (PIs) to submit their applications to OSP and for their review and approval by the PI’s department and Division/School/College via WISPER. PIs should work closely with their assigned Pre-Award Specialist regarding and proposal/budget reviews and WISPER routing.
    2. Applications must be submitted to
    3. Staff Directory

    Office of Research

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