Pre-Award Policies and Procedures

To request advance account setup for a research project, please contact your ORS research administrator for assistance in drafting the request letter. 

The request must include:

• A copy of the official JIT request (or for subawards to UW, an email confirming the intent to award that includes the project dates and the anticipated funding amount.)
• Justification for the advance account
• Explanation for why advance account is necessary
• Statement recognizing that the department/division will take full responsibility for costs if award is not issued or is declined by UW.
• This PI attestation: “As the principal investigator for this funding proposal, I attest those funds from this proposal will not be used to conduct human participant research until IRB approval from the commercial IRB is received and have uploaded that approval notice into RAMP.”
• Full IRB approval, UW IRB PDA approval, or a statement addressing what work can be done prior to IRB approval
• If using an outside IRB, include UW Reliance team approval
• Initiation of an APPROVAL in RAMP for an advanced award, including the advance request letter
• PI acknowledgement as an OTHER approval
• Routing to SMPH for Dean approval and submission to RSP

Does your research require a letter of support from the department chair or the institution? 

DO NOT email the chair or RSP directly. Here is what to do:

1. Draft a copy of the letter of support. Seek assistance and language guidance from your mentors and ORS research administrator, as needed.
2. One month (4 weeks) before the proposal due date, send the drafted letter, your CV/biosketch, and Specific Aims page to your OTS research administrator.
3. The ORS research administrator will review the letter to ensure it addresses sponsor criteria and perform standard proofreading/editing.
4. The ORS research administrator will submit the letter, and associated documents, to the chair or RSP for review and/or signature. Additionally, your ORS research administrator will coordinate any requests for changes or updates.
5. The ORS research administrator will provide the fully signed letter to you and assist with the submission of your proposal application.

Questions? Email ResearchServices@medicine.wisc.edu.

When RSP receives a contract, they will review it for any problematic legal or administrative language.  The PI will review the contract for any problematic technical language.  RSP strongly prefers that PI’s communicate technical issues to RSP so we can request all changes, both legal and administrative ones, as well as technical ones, of the sponsor at the same time.

Issues with contract language can delay setting up a project, so RSP recommends that the PI request an advance if contract negotiations may adversely affect a project.  To request an advance, see the Advance Request Process.

If the sponsor is unwilling to fix problematic language, DOM ORS, in cooperation with RSP, will draft an unfavorable terms (UFT) memo. When the PI, Chair, and Dean sign a UFT memo, they agree to be responsible for any consequences arising from the problematic language, such as additional costs, inability to publish, and additional security measures, etc.  DOM ORS will provide RSP with the signed UFT memo so award setup can continue, once the PI, Chair, and Dean have signed.

RSP will sign the award once all problematic language is removed or covered with a UFT, and once RSP has all other internal approvals, such as IRB, IACUC, and cost share.

UW’s policy is to only cost share when required by the sponsor or the competitive nature of the award. Cost share should be budgeted only to the extent necessary to meet the sponsor’s requirements. 

If the PI has a reason to cost share, a request must be submitted to the division chief for division funding support. If the division does not have sufficient funds to cover the request, the division chief may submit a request for funding support to the DOM associate director for research.

All proposed cost sharing must be adequately documented and approved by all parties listed on the forms. This documentation includes: 

• DOM cost share commitment form (university contributions)
• Third-party commitment form (non-university contributions)
• Cost share budget and justification

Questions? Email ResearchServices@medicine.wisc.edu.

There are a variety of funding resources available to DOM faculty, staff and trainees.  Programs like PIVOT provide access to searchable funding databases that include private and public funding opportunities. Similar opportunities can be found through Proposal Central, Candid, and Wisconsin Grant Watch for private, foundation, non-profit, and local research funding opportunities. Faculty, research staff, and trainees are encouraged to explore these databases to search for funding specific to their research interests.

For more funding databases, visit our pre-award resources. Once you identify a funding opportunity, contact your ORS research administrator for assistance with proposal development and submission.

Questions? Email ResearchServices@medicine.wisc.edu.

Intergovernmental Personnel Agreements (IPAs) allow a UW employee (excluding faculty) to remain on UW payroll while providing services to the Veterans Hospital. 

Follow these steps to establish an IPA, and contact your ORS research administrator for assistance with document preparation and submission.

1. The individual to be covered by the IPA must have a VA appointment prior to the start date of the IPA. The individual may have a paid or “without compensation (WOC)” appointment to qualify. The appointment will allow the individual to perform work (tasks, research, etc.) in the VA. If the individual does not have a paid or WOC appointment with the VA, we can help submit a request to the VA Research or Human Resources Office.
2. While the VA appointment is being set up, we can work on the UW paperwork for the IPA.  Please contact your ORS research administrator for assistance with obtaining the current forms and submitting the request in RAMP. Items to keep in mind:
   1. Once submitted, IPAs can take up to six weeks to be approved by the VA and UW. Keep these timelines in mind and request accordingly!
   2. Physical signatures are required on most forms submitted to the VA. Both the individual listed on the IPA, and the PI requesting the IPA, need to be aware of this requirement. Individuals are allowed to print the form, sign it, and scan a copy back to the ORS research administrator. Originals are not required.
   3. Individuals must be employed at the UW for at least 90 days before an IPA can be requested. Keep this in mind, as it relates to timelines for approval, as well.
   4. Individuals are allowed to be covered by an IPA for up to four consecutive years. After that, covered individuals are required to take a one-year ‘break in service’ before another IPA can be issued. To avoid the full one-year break in service, we recommend PIs limit the IPA to one to two years before instituting a minimum of 60-day break in service. These shorter breaks in service reset the clock for subsequent contracts.

For more information, visit RSP Award Acceptance and Setup > IPA Agreements and Forms. 

Questions? Contact your ORS research administrator or email ResearchServices@medicine.wisc.edu. 

After a proposal is submitted, the sponsor may have questions or require additional information before making an award. Some sponsors call this a Just-In-Time (JIT) request. Certain sponsors only accept JIT responses from an authorized official, such as RSP.

Automated emailed JIT requests from NIH do not need to be acted upon. If you receive an automated JIT request, please forward the email to your ORS research administrator. They will work with the PI to begin pulling together information in anticipation of a formal JIT request from the NIH GMS.

This preparatory work from the automated notification is essential because when the NIH GMS issues a formal JIT request, PIs will have a limited time to submit requested documents.

JIT and additional information requests may ask for the following information:

1. Other support for all key personnel (this may also be called "current and pending support")
2. Regulatory approvals, such as IRB, IACUC, or Biosafety
3. Human subjects education information. This document is required for key personnel (all individuals responsible for the design and conduct of the study) that are involved in human subject research. Please upload a PDF file that includes:
   1. The names of the key personnel who are responsible for the design and conduct of the study
   2. The title of the education program completed by each named person plus a brief description of the program

Questions? Email ResearchServices@medicine.wisc.edu.

ORS research administrators should submit limited PI status requests to ORS leadership for review and approval prior to RAMP entry and proposal development/submission. Faculty and researchers should contact their ORS research administrator for assistance in completing the required forms appropriate for their research goals.

DOM approves limited PI status on a proposal-by-proposal basis for academic staff members to serve as principal investigators on extramural grants and contracts. The limited PI status form must be uploaded in RAMP for each proposal submission. Provided DOM continues to approve RAMP records for subsequent submissions, SMPH will process.

Undergraduate students, graduate students, postdoctoral scholars, visiting professors, and visiting academic staff are not eligible to apply for limited PI status. For these individuals, an appropriate faculty member should serve as PI, and the student, postdoctoral or visiting scholar be listed as co-investigator.

Exceptions will be granted when the visiting title is temporary pending resolution of a visa issue. In addition, postdoctoral scholars may be listed as PI when it is expected that, should the grant be awarded, they would move from the employee-in-training category into an appropriate research academic staff or faculty position.

A proposed change in status requires DOM approval prior to the submission of a blanket limited PI status request.

Questions? Email ResearchServices@medicine.wisc.edu.

Eligibility Guidelines

The division chief and immediate supervisor in the staff member’s division must approve granting of PI status to the individual. The approval and the justification should address the following criteria at a minimum:

Additional Qualification Guidelines by Title

Staff having the qualifications listed in sections A through D below are generally considered to be in appropriate positions to request limited PI status. Research faculty/professors do not require approval to submit proposals.

1. Record of increasing responsibility serving as co-investigator or collaborator on grants or contracts awarded to and carried out at UW–Madison.
2. Demonstrated ability to carry out responsibilities of PI, including:
   1. Meeting stated programmatic objectives of projects
   2. Administrative management of projects (financial and personnel management
   3. Research academic staff qualifications:
      1. Earned research doctorate (PhD) or other terminal degree in the field, such as an MFA, and
      2. Holds an academic staff appointment in the following series: Scientist, Innovator, or Researcher.
   4. Clinical Health Sciences (CHS) academic staff qualifications:
      1. Earned MD or equivalent terminal degree, and
      2. Holds an academic staff appointment in the Professor (CHS) series.
   5. Clinical academic staff qualifications:
      1. Earned degree requirement varies by discipline:
         1. In the Medical School, a MD is required.
         2. In Veterinary Medicine, a DVM is required.
         3. In Pharmacy, a Doctor in Pharmacy or Masters in Pharmacy is required.
         4. In Nursing, a PhD, DNSc, DSN, or EdD are required, and
      2. Holds an academic staff appointment in the Clinical Instructor or Professor series.

ORS research administrators should submit permanent PI status requests to ORS leadership for review and approval prior to RAMP entry and proposal development/submission. Faculty and researchers should contact their ORS research administrator for assistance in completing the required forms appropriate for their research goals.

All permanent PI status requests are submitted to SMPH and reviewed by a PI committee twice a year.

Questions? Email ResearchServices@medicine.wisc.edu.

Criteria for Permanent Principal Investigator (PI) Status

Any academic staff member who has fulfilled one of the following research accomplishments at UW–Madison may be eligible for permanent PI status (emeritus faculty/staff are not eligible to apply for or retain permanent PI status):

1. Successfully served at least twice as a principal investigator on nationally or internationally competitive research grants and/or research contracts awarded to and carried out to completion at UW–Madison. Competitive renewals meet the criteria for two grants. The two grant criteria can also be met by serving at least once as principal investigator AND at least once as co-principal investigator, or
2. Successfully served at least once as principal investigator on a nationally or internationally competitive research grant and/or research contract awarded to and carried out to completion at UW–Madison having a duration of five years or more, or
3. Secured and successfully administered at least two competitive externally-funded research grants or research contracts awarded to and carried out to completion at UW–Madison that are not internationally or nationally competitive, but which show compelling evidence of high achievement and recognition in his/her discipline. The two grant criteria can also be met by serving at least once as principal investigator and at least once as co-principal investigator.

The evidence must reveal a significant history of scholarly accomplishment that lends confidence that such activity will continue into the future. The application must include a one-page statement by the applicant of his/her research goals for the next five years.

Additional Qualification Guidelines by Title

Academic staff having the qualifications listed in one of the sections 1 through 3 below are generally considered to be in appropriate positions to request permanent PI status.

1. Research academic staff qualifications:
   1. Earned research doctorate (PhD) or other terminal degree in the field, such as an MFA, and
   2. Holds an academic staff appointment in the following series: Scientist, Innovator, Researcher or Research Professor.
2. Clinical Health Sciences (CHS) academic staff qualifications:
   1. Earned MD or equivalent terminal degree, and
   2. Holds an academic staff appointment in the Professor (CHS) series.

3. Clinical academic Staff qualifications:

   Academic staff members who do not meet these qualifications may also be considered for permanent PI status if they are supported by their chair/director and school/college Dean’s office, and have met the research accomplishments articulated in the previous section.

   1. Earned degree requirement varies by discipline:
      1. In the Medical School, a MD is required.
      2. In Veterinary Medicine, a DVM is required.
      3. In Pharmacy, a Doctor in Pharmacy or Masters in Pharmacy is required.
      4. In Nursing, a PhD, DNSc, DSN, or EdD are required, and
   2. Holds an academic staff appointment in the Clinical Instructor or Professor series.

The Office of Research Services handles the initial setup of all awarded grant funding. PIs and UW may receive Notices of Award (NOAs) in several ways: email to UW RSP, email to the PI and RSP, email to the PI only, email to the Administrative Contact listed on the proposal, etc. 

Here is the process when an NOA is received:

1. If the PI receives the NOA, they need to forward the notice to their ORS research administrator for processing and submission through RAMP (step #3).
2. If RSP receives the NOA, they will attach the notice to the corresponding RAMP record and route it to DOM ORS for review, data entry (project setup) and approval. Once approved by DOM ORS, RSP will complete the project setup, including activating the funding in the UW financial system.
3. If DOM ORS receives the NOA, we will attach the notice to the corresponding RAMP record, complete data entry (project setup), and route it to RSP for review. RSP will complete the project setup, including activating the funding in the UW the financial system.

In order for DOM to complete the data entry (project setup) portion of the RAMP record, we will require a copy of any approved regulatory documents (such as IRB, IACUC, biosafety, etc.). If an external IRB is being used, we will require a copy of the external IRB approval letter, as well as UW IRB approval to cede the IRB to the external agency.

If additional documents, questions, reviews, or approvals are required to complete the setup process, DOM ORS will contact the PI or project manager to obtain the necessary information. 

Questions? Email ResearchServices@medicine.wisc.edu.

DOM has adopted a proposal submission deadline policy to ensure faculty receive a thorough and timely review and processing of their proposals by ORS. While it is highly recommended that proposals be submitted to ORS for review several weeks before the agency deadline, all DOM faculty are required to adhere to the approximate schedule outlined below.

This provides the ORS research administrator with adequate time to ensure that the proposal follows agency guidelines, the budget is accurate, incorporated contractual language is acceptable, time exists for necessary revisions, Chair and Dean approvals have been obtained, etc.

We cannot guarantee that proposals submitted after the deadline will be approved for submission to the funding agency.

The ORS research administrator will provide a complete proposal document checklist, as well as specific due dates, for each PI proposal.

• Three weeks prior to deadline: All subaward documents must be submitted to ORS.
• Two weeks prior to deadline: Final budget and budget justification provided to ORS.
• One week prior to deadline: All documents, except the Research Strategy, must be finalized and submitted to ORS.
• Day of submission (by 9:00 am): All final documents, including the Research Strategy, must be submitted to ORS.

Questions? Email ResearchServices@medicine.wisc.edu.

Tuition remission is provided to graduate students holding a research assistant, teaching Assistant, or program/project assistant appointment.

Per UW policy, all graduate students paid by a project for a minimum of 33.3% annual effort must have tuition budgeted on the project. Tuition remission is budgeted at $6,000 per semester per student for the fall and spring semesters. Tuition remission for summer sessions must fall under specific categories outlined by the UW Graduate School.

The Graduate School website and RSP website have important information related to tuition remission.