Quick Submission Information
Tax ID: 39-1805963
Cage/NCAGE code: 0M5A5
Cong. District: WI-006
Cognizant Federal Agency:
Dept. of Health and Human Services
F&A Rates (MTDC): 31% on campus; 12% off campus
Phone: (920) 424-3215
Office Location: Dempsey 214
800 Algoma Blvd.
Oshkosh, WI 54901-8627
The Pre-Award phase of the grant life cycle involves all activities from finding funding, proposal and budget development, internal review of the proposal, proposal submission to the sponsor, and tracking the status of the submitted proposal until the sponsor’s funding decision is received. Once award notice is received, our staff work with you to negotiate your award agreement, review the terms and conditions, and establish the award at the University. The main components of the pre-award phase are included below:
1. Develop Your Idea
Individuals planning to submit a proposal to a funding agency may find it useful to first develop a concept paper or whitepaper. A concept paper helps identify the intended specialization area and subsequently, appropriate funding sources. This document also allows the individual to obtain feedback from colleagues and the Program Officer regarding project’s uniqueness, feasibility, writing style, formatting and budget. A Grant Proposal Template can be found under the Forms page. The purpose of this step is to develop a comprehensive idea that can be turned into a competitive proposal with a good chance at funding. This step may take a few months depending on the length of time it takes your colleagues to review your idea and provide feedback. Plan to build in enough time for this step in your timeline. Discussion with your Program Officer is always strongly encouraged as they can provide valuable feedback on the sponsor’s funding priorities and how your proposed project would fit underneath that umbrella.
2. Contact OSP
Timely communication with the UW Oshkosh Office of Sponsored Programs (OSP), along with your department chair and college dean, will ensure a smoother submission process. To ensure the smoothest process during proposal development, it is highly encouraged that individuals contact OSP, their department chair, and dean well in advance of the submission deadline. OSP staff can provide a greater breadth of services to you if they are notified early in the development process. Our team is available to meet with you as you develop your proposal. We are also regularly involved in the budget development step and can help ensure that all institutional rates, such as fringe and indirect cost rates, are budgeted according to UWO policy. Our staff are available to meet in-person, via virtual meeting, phone call, or through e-mail.
3. Institutional Requirements & Guidelines
Internal Review Process
All requests for extramural support that involve the University’s name and/or resources must be approved through an internal review process prior to submission. Internal Review is the process that is completed once your proposal has been finalized and before it is submitted to the sponsor. The internal review phase allows institutional approvers a chance to “sign off” on the proposal and all associated documents before it is submitted to the sponsor. Institutional approvers include the Department Chairperson, Dean, Controller/AOR, Grants Accountant, and OSP Director. Proposals submitted without University approval have a smaller chance of being accepted by funding agencies and, if they are, the University is not obligated to comply with any commitment of its resources that did not receive prior approval via internal review.
Internal review is documented on the Internal Review Form (IRF). The PI is responsible for completing the Internal Review Form (IRF) and submitting the IRF along with the drafted budget, budget narrative and any other proposal components to OSP a minimum of five (5) business days prior to the sponsor’s submission deadline. Staff in OSP will perform a full review of the packet and will then circulate for signature to the institutional approvers. If OSP staff have suggested revisions to the budget or budget justification, the PI will be notified and asked to modify the document(s) as necessary before the IRF circulates. Once the IRF and proposal have received all internal approvals then OSP staff will notify you. This means the proposal has a “green light” for submission. OSP staff will then assist you in proposal submission to the sponsor. If it is a federal submission, OSP staff will submit the application for you, through one of the various e-submission platforms (Grants.gov, Research.gov, Fastlane). Our staff make all attempts to submit the final proposal through these systems at least two (2) business days prior to the deadline. This allows time to make adjustments if there are proposal errors identified upon submission, or system-to-system communication errors.
If your proposal involves human or animal subjects, biohazardous materials, or recombinant DNA, you will need to obtain approval by the appropriate oversight committee and/or complete additional forms following the information found on the Research Compliance page
In addition to the internal review, individuals requesting federal support are also required to complete the Financial Conflict of Interest (FCOI) disclosure form and training through CITI Program prior to submission in order to meet federal and institutional requirements for reporting FCOI. This is a requirement for any PI (and their Senior Personnel) who is requesting federal funding.
Additional information on our institutional FCOI policy can be found here:
For questions regarding institutional requirements, the internal review process, or financial conflict of interest requirements, please contact the Sponsored Programs Office at OSP@uwosh.edu or (920)-424-3215.
4. Meeting Sponsor Requirements
In nearly all cases the funding agency will provide detail on their proposal guidelines and submission instructions in a document known as the Request for Proposal, or “RFP.” Some sponsors call this the Funding Opportunity Announcement (FOA), or solicitation. You can find the RFP for a federal sponsor by searching Grants.gov. From there you can view and download the application and instruction packet directly from the website. It is important that both you and OSP are familiar with, and have reviewed the RFP for the sponsor’s specific submission requirements. While you are developing your proposal, OSP staff will be preparing the online application for submission. Both parties should be familiar with the RFP and the sponsor’s submission requirements to ensure the proposal is developed to be in compliance with the sponsor’s submission requirements.
In addition, some sponsors may also have an application guidelines or instruction document that the project team may need to obtain to ensure they meet all submission requirements. Sponsors such as NSF and NIH have these documents available to the submitter and expect they will be followed. See the Guidance Document section for the most current version of these documents.
5. Write the Proposal
While writing your proposal, pay particular attention to the Objectives, Methodology, Need and Purpose, Timeline, and the Broader Impacts of the proposed project or activity. This information should be strongly presented and in enough detail that gives a reviewer a clear and concise understanding of your intended project. Consider using SMART Objectives within your proposal. SMART objectives are: Specific, Measurable, Achievable, Relevant and Time-Oriented. Contact OSP for more information on how to build SMART objectives into your grant proposal.
In addition, it is important to build a strong and supportive budget and budget narrative that provide clear justification for your requested costs. Once your proposal makes it to the peer review phase, it is important to know that some reviewers may prefer to start their review by looking at the budget justification document before the proposal narrative. Therefore, it is highly recommended individuals provide a strong, organized, and clearly-explained budget justification that aligns with the categories asked in the budget. Following the sponsor’s requirements for proposal and budget development will increase the likelihood your proposal will be accepted for review and subsequently reviewed favorably. Please see the next section for more information on budget details to consider during development.
Staff in the OSP are available to schedule a face-to-face meeting with you to discuss the basics of developing your proposal. A meeting request can be sent to OSP@uwosh.edu
6. Budget Development
Below you will find information on items to consider when building your grant budget.
Compensation under External Grants
Several options are available for compensation (i.e. salary) payments on a grant project.
Buyout constitutes a portion of faculty or IAS workload that is “bought out” from teaching to work on a sponsored project. Buyout can be requested during the academic year for individuals who currently serve as instructors. Typically, buyout is calculated in terms of a percentage of teaching load, using semester credit hours (SCH) as the unit of measure. For example, a 3-credit hour course buyout would be calculated at 12.5% of institutional base salary if the employee has a full course load of 24 SCH. (3 SCH/24 SCH = 12.5%).
The majority of grant budgets build in compensation costs for full recovery of buyout costs for the faculty member and are based on that individual’s institutional base salary. Another, less common option is to build in replacement costs, rather than full recovery. Replacement costs are usually smaller and cover the salary of a replacement instructor while the faculty member is “bought out” from teaching duties. This option must be pre-approved in writing by the College Dean prior to building this option into the budget. Using replacement costs would be an option to consider when the sponsor caps the allowable compensation that can be requested in the budget.
Compensation for Additional Services (CAS), a.k.a. Summer Pay
Summer salary is typically paid as Compensation for Additional Service (CAS), which represents an extension of contract to add one or more new calendar period(s) outside of a faculty member’s normal 9-month contract. Summer CAS is a compensation option for faculty and academic staff on 9-month contracts. CAS cannot be requested for individuals on 12-month contracts.
Following institutional policy, CAS is restricted to 22.2% of base salary per fiscal year (2/9 months), or 11.1% of base salary per summer month across all types of grant funding. Special situations which require the PI to work more than two months CAS in a given fiscal year should be directed to OSP. OSP staff will work with you to submit an “Additional CAS Request” to the Provost and Dean for approval. Additional CAS Requests can request up to one additional month of summer compensation.
Reassigned Time is another option for compensation under a grant. Reassigned time allows the grant to pay for a portion of an individual’s time and relieves the home unit or department of some of the costs of compensation. This option is typically utilized by employees on 12-month contracts, where summer CAS or course buyout are not typical options for compensation.
Overload payments are for work of an unusual, short-term and non-recurring nature, by definition. The additional work requirements create a workload exceeding 100% of the employee’s time. There is a $18,000 limit on the amount a full-time employee may earn as “overload” per calendar year. Federal regulations do not permit payment for work in excess of 100% of one’s assigned workload on a federal grant. Use of the overload pay mechanism for grant-related work is discouraged, and should only be used when no other options for compensation are possible. Overload must receive prior approval from the Provost before it can be built into the grant budget. Compensation requests in excess of 100% of the employee’s time (overload) must be approved by the funding agency, either by approval of the grant proposal or afterward in writing. Please work with OSP staff during the pre-award phase to determine whether this route should be considered for compensation. Requests for overload must be approved by the Dean and Provost in the pre-award phase, prior to proposal submission to the sponsor. The sponsor then approves of the overload request when it is included in the grant proposal.
Fringe Benefit Rates
Wisconsin Statutes Sec. 20.865 requires that fringe benefits applicable to salaries and wages paid from grant funds shall be charged to such grant funds. Fringe benefits are a real cost to the institution, whether the financial support is from general or program revenue sources. Thus, all budgets submitted to extramural sponsors must contain a line item for associated fringe benefit costs.
- For some awards from UW System Funds (Fund 102, 115 or 190 accounts): Fringe benefits will be charged at actual cost. The negotiated fringe benefit rates below may not apply to UW System grants. For more information, proposers should consult with OSP staff.
- For all awards from federal, state (non-UW System) and external sponsors (Fund 133 or 144 accounts): UW System annually provides fringe benefit rates by category of employee. When assessing fringe benefit costs to an extramural account, the rates in effect for the current fiscal year must be applied to the actual salary amount expended regardless of the rates funded by the sponsor or the actual costs of fringe benefits for any specific employee.
Current and upcoming fringe benefit rates are found HERE
Cost Sharing & Matching Funds
Cost sharing is the portion of total project costs that are paid from sources other than the sponsor. Typically, cost sharing is a concept used to signify recipient’s willingness to share in the project’s expenses. Some agencies make a distinction between “cost sharing,” “in-kind” and “matching.” Generally, all these terms refer to the sharing of costs not charged to the sponsor. A cost share can include cash contributions, donated services or existing facilities. Some sponsors have mandatory Cost Sharing included as a proposal requirement and the RFP or solicitation will outline the requirement(s). Other agencies, such as the NSF, do not allow voluntary Cost Sharing. Under federal research proposals, voluntary committed cost sharing is typically not expected or requested in the solicitation/RFP. Cost sharing is rarely used as a review criteria under federal awards. If cost sharing is not a mandatory proposal item then it is UWO process that cost sharing will not be included in the proposal.
Indirect Costs (a.k.a “overhead” or F&A) are real costs incurred by the University but can’t be associated with a specific project. These include general administration expenses, building maintenance and operation, equipment depreciation, grant administration expenses, library expenses, and departmental and college expenses. Extramural grant proposals must request for reimbursement of indirect costs consistent with agency policies.
- Indirect cost rates are periodically negotiated by the University of Wisconsin System and the federal government for federal programs.
- UW Oshkosh indirect costs are calculated only on Modified Total Direct Cost base, also known as “MTDC”. The definition for MTDC under 2 CFR 200.68.
- Negotiated cost rates effective July 1, 2016 (until amended), are as follows:
- On-campus rate: 31%
- Off-campus rate: 12%
- The off-campus rate can only be requested if greater than 50% of all project activities are performed off-campus. Requests for utilization of the off-campus rate may require Provost approval.
Visit the “Hiring Student Employees” section of the HR website at www.uwosh.edu/hr/policies-procedures/supervisors-toolkit/ for information on hiring student employees under your grant. The Student Reference Hiring Guide at this link provides helpful information student eligibility to work, eligible work hours, hiring paperwork and the hiring process through Handshake. This guide also provides job titles and pay rates for students.
Guidance Documents and SOPs
SOP #10-Institutional Base Salary & Compensation in Grant Budgets (Coming Soon)
SOP #11-Export Control (Coming Soon)
SOP #12-Cost Transfers (Coming Soon)
SOP #17-Budget Revisions and Prior Approvals (Coming Soon)