Guide for Preparing Grant & Contract Proposals

This guide outlines the routing and processing procedures for sponsored projects—including grants, cooperative agreements, contracts, and similar funding mechanisms—and is intended for grant and contract staff and principal investigators (PIs) with baseline professional training and subject-matter familiarity. New PIs should consult their institute’s designated contact, where one exists, or otherwise work with their supervisor for initial guidance.

Grant

An instrument of financial assistance awarded to an individual or organization to support a specific project or activity. It is not used to acquire property or services or as a pass-through for the sponsor's direct benefit or use. Grants do not require substantial sponsor involvement to carry out project deliverables. Arrangements in which substantial sponsor engagement is required, or expected, to conduct the activity defined by the award are known as a cooperative agreement.

A grant is distinguished from a contract in that a grant does not constitute the procurement of goods and services. It is a unilateral commitment of funds by the sponsor. Grants are subject to the assessment of indirect costs (also called facility and administrative (F&A) costs).

Cooperative Agreement

Used in lieu of a grant when the sponsor anticipates substantial programmatic involvement with the recipient during the project's performance. Cooperative agreements are subject to the assessment of indirect costs.

Contract

A promise between two or more parties that usually involves the procurement of goods or services by one party and the rendering of goods and services by the other party. Contracts may be called by a variety of names, such as “agreement,” “purchase order,” “subaward,” etc. The content of the document will dictate the type of contract. Some specific types of contracts include:

1)         Sponsored contract (also known as "Research Contract):

Details the obligations of two or more parties over a project. It usually specifies deliverables and milestones and dictates how the contracting parties will interact with each other. If the document's content includes specific terms and conditions governing the project or program's performance, it is considered a sponsored contract. Sponsored contracts may include those governing research, instruction, public service, or outreach activities. Sponsored contracts are subject to assessment of indirect costs.

2)       Fee for Service agreement:

A fee-for-service agreement at UW–Madison is a type of contract where the university provides a specific service to an external party in exchange for payment. These agreements are typically transactional in nature and not considered sponsored projects, unless certain conditions apply.

3)       Data use agreement:

A Data Use Agreement (DUA) is a formal contract that governs the sharing of data between parties, typically when the data includes confidential, proprietary, or sensitive information. At UW–Madison, DUAs are especially important when data is shared for research purposes and may involve personally identifiable information (PII) or protected health information (PHI) under laws like HIPAA or FERPA.

4)      Material Transfer agreement:

A Material Transfer Agreement (MTA) is a written contract that outlines the rights, obligations, and restrictions for both the provider and recipient when exchanging research materials. MTAs are used to protect the interests of both parties and are required for all outgoing transfers from UW–Madison. Incoming MTAs may be required by the provider and must be processed through RSP using a RAMP Agreement Record.

Gift

Voluntary monetary contribution in which no goods or services are expected in return for receiving the funds.

Gifts may be unrestricted or may specify specific purposes. Some external institutions/organizations/businesses advertise “grant” funding that is considered a gift by UW. The Division of Business Services provides guidance on how to differentiate between a gift and a sponsored project: https://businessservices.wisc.edu/accepting-payments/gifts/monetary-gifts/#gift-sponsored.

For further information on policy and procedures for gifts, please visit the links below:

• Gift Acceptance Policy: https://policy.wisc.edu/library/UW-3010
• Guidance on differentiating gifts vs. sponsored projects:
   https://businessservices.wisc.edu/accepting-payments/gifts/monetary-gifts/#gift-sponsored

PI Eligibility

The term Principal Investigator (PI) refers to the individual primarily responsible for the overall design, conduct, and management of a research or sponsored project. This responsibility includes both leading the scientific/technical aspects of the project and complying with the financial and administrative aspects of the award. Tenured faculty, tenure-track faculty, and employees with Research Professor track titles or Permanent PI status are automatically eligible to serve as a PI on sponsored projects.

Academic staff may serve as the Principal Investigator (PI) on proposals and awards by requesting One-Time Limited PI Status on a project-by-project basis or, if eligible, by requesting Blanket Limited PI Status for a period up to three years, as outlined below: 

1) One-Time limited PI request procedure:

1. Individuals wishing to obtain one-time limited PI status must first consult with and secure support from their Institute Director before submitting a PI status request to Associate Dean.
2. A request for one-time limited PI status should be completed for each proposal. The form is available at: https://research.wisc.edu/wp-content/uploads/sites/2/2024/07/Limited-PI-Status-Request.pdf
3. Associate Dean’s approval should be documented and communicated to OFS by either obtaining a signature anywhere on the form or sending an email with Associate Dean’s approval to OFS.
4. The completed form should be uploaded as an attachment to the funding proposal record in RAMP.

2) Blanket Limited PI Request Procedures (up to 3 years):

1. Divisions may approve limited PI status for an individual for up to (3) three years. This would allow a PI to submit proposals in a single category (i.e., research or outreach) without including full documentation with each proposal submission.
2. Any individual applying for PI status—whether for the first time or as a renewal—must first consult with their Institute Director and obtain their support before submitting a PI status request to the Associate Dean.
3. Complete the following form and obtain Associate Dean signature:
   https://research.wisc.edu/wp-content/uploads/sites/2/2018/05/Blanket-PI-Status-Request-Form.pdf
4. Associate Dean’s approval should be documented and communicated to OFS by either obtaining a signature anywhere on the form or sending an email with Associate Dean’s approval to OFS. 
5. The approval and justification provided on the Blanket Limited PI Status Form should address the following at minimum:
   1. Record of increasing responsibility serving as Co-Investigator or collaborator on grants or contracts awarded to and conducted at UW-Madison.
   2. Demonstrated ability to fulfill responsibilities of PI, including:
      1. meeting stated programmatic objectives of projects.
      2. administrative management of projects (financial and personnel management).

For Additional Qualification Guidelines by Title, please visit:
https://research.wisc.edu/compliance-policy/principal-investigator-status/

PI Responsibilities

1. Find funding opportunities: https://rsp.wisc.edu/funding/ 
2. Prior to creating the application documents, consult with the Institute Director regarding the following:
   1. The grant should further the mission and outreach of Extension.
   2. Preference is given to grant funding opportunities that provide multi-year or continuing annual funding instead of one-time funding.
   3. The total amount of the award should be at least $10,000 to warrant the resources required to process the grant proposal. Any grant of less than $10,000 should be approved by the Institute director.
   4. If the grant includes time and/or effort from an individual from a different school/college/department/division, provide those specifics upfront.  Refer to the “Internal and External Collaboration” section for more details.
   5. Any applications that limit indirect (F&A) costs. The PI should obtain documentation of the sponsor’s indirect (F&A) policy and submit it with application materials.
   6. Any required cost share. It is the PI’s responsibility to ensure sufficient cost share is available and approved prior to beginning the internal process.
3. Notify OFS and/or institute administrative staff, per the institute-specific process for grant applications, of your intent to apply for the funding opportunity. Work with them to ensure application eligibility and that sufficient resources and time commitments are available for the proposed project.
4. Prepare all documents required for submission of the grant proposal.  Submit to OFS and/or institute administrative staff, per the institute-specific process for grant applications.
5. Request and obtain budget, budget justification, scope of work, letter of commitment, and any other required documents from subrecipients and consultants, where applicable.
6. Draft F&A (also called indirect costs) waiver request, when required.
7. Develop an adequate and accurate budget and budget justification to accomplish the proposed scope of work. OFS and/or institute administrative staff assist with reviewing budgets and routing proposals for submission, but the grant's overall responsibility lies with the PI. (See “OFS Responsibilities & Institute Responsibilities” sections for more details.)
8. Review and certify the funding proposal record in RAMP.
9. Comply with proposal submission timelines outlined in the “Timeline for Grant Proposal Preparation and Submission" section.
10. Forward any agreement, Notice of Award, or not funded notifications received from the Sponsor after application of submission to your OFS Grants Specialist. They will ensure these documents are routed to RSP through RAMP.
11. After award has been set up, submit final subaward budget narrative and scope of work for all subawards to OFS grants specialist for entry into subaward portal.
12. Lead the scientific/technical aspects of the project and comply with the financial and administrative aspects of the award.
13. Complete and submit all necessary programmatic and progress reports throughout the award, as required and specified by the sponsor.

For further details, see RSP’s outline of grant proposal roles and responsibilities:
https://rsp.wisc.edu/policies/staffroles.cfm

*See Appendix A “Detailed Roles/Responsibilities Matrix by Unit.” Appendices can be found in the full downloadable grant guide: Grant Guide

1. Institute administrators should work with OFS, as necessary.
2. Confirm opportunity is not limited in the number of proposals UW-Madison can submit.
3. Assist PI with preparing a proposal that meets the requirements outlined in the application instructions and UW policy and procedures.
4. Identify the appropriate Indirect (F&A) cost rate. Ensure the PI provides documentation of any sponsor policy that limits indirect (F&A) costs. If a rate other than those established in the Indirect Rate Agreement is being used, and the sponsor has not set a lower rate by policy or in the RFP, submit an F&A waiver request to the Division.
5. Verify that budget items comply with Uniform Guidance (which also includes cost accounting standards) and UW policies and procedures.
6. Ensure that payroll charged to sponsored funding complies with federal regulations and UW–Madison policies to meet all Payroll Compensation Compliance requirements.
7. Assist with any required representations and certifications of documents.
8. Complete the unit review and set-up request and route to the OFS Research Administration Manager for divisional approval and submission to RSP.
9. Monitor proposal records as it routes through the internal review process.
10. Create agreement record and uploads agreement from sponsor when agreement is the vehicle for award and routes for PI & Division approval before submitting to RSP for RSP Contract team review.
11. After award has been received and projects set up, submit any subawards through RSP’s subaward portal.

1. Maintain database of proposal submissions and awards.
2. Function as institutional authority as to the acceptability of sponsor requirements.
3. Respond to questions from campus school/college/department/divisions related to all aspects of the proposal process.
4. Verify proposal record signatures/approvals are present and correct.
5. Verify that RAMP record data is consistent with the proposal.
6. Approve proposal budget and budget justification.
7. Ensure budget items are in accordance with Uniform Guidance and cost accounting standards.
8. Verify that any sponsor-required cost sharing commitments are met, documented, and approved.
9. Review and approve requests for F&A rate reductions or waivers.
10. Review the administrative components of the proposal for accuracy and completeness.
11. Communicate required revisions and corrections required prior to proposal submission, if needed.
12. Verify compliance with and provide signed certifications and assurances. Make edits or additions as needed.
13. Write sponsor-required letters that make representations on behalf of university (i.e., RSP “Happy to Participate/Please to Submit” template letters, letters indicating institutional agreement with or taking exception to sponsor award terms in a Request for Proposal or sponsor Program Announcement, etc.).
14. Sign as the Institutional Official on behalf of the institution assuring institutional oversight.
15. If PI is submitting the proposal, return signed documents to PI for submission to the sponsor.
16. If RSP is submitting the proposal, comply with the Sponsor submission method and deadline.
17. Log/post RSP-submitted proposal into official proposal tracking database, enter notes on how submission was completed (email, system-to-system, etc.).
18. Review and sign any award agreements.
19. Create an award record in RAMP and associated project or grant number in fiscal system.
20. Create and submit invoices and Final Financial Report as required.

For further details, refer to RSP roles and responsibilities: https://rsp.wisc.edu/policies/staffroles.cfm          

Note on Proposal Submission Process: All grant opportunities pursued by employees of the University of Wisconsin–Madison; Division of Extension must be processed through the University’s Office of Research and Sponsored Programs (RSP). RSP is the sole office authorized to submit grant proposals on behalf of the university. Principal Investigators (PIs) should coordinate with the Extension Office of Financial Services (OFS) and, where applicable, their institute administrative managers to facilitate the proposal submission process.

Each institute within the Division of Extension may handle proposal submissions differently. If you are unsure about who to work with, contact your OFS representative for guidance.

The Request for Proposal (RFP) or Request for Applications (RFA) or Notice of Funding Opportunity (NOFO) issued by the sponsor will specify the materials required for application. In addition to the specific materials requested in the RFP, a grant proposal must, at minimum, include the following items to be prepared by the PI and reviewed by OFS prior to submission to RSP:

1. 1. Scope of work
   2. Budget
   3. Budget justification/narrative
   4. Copy of the RFP/RFA.  If Extension is a subrecipient, provide a copy of the prime award notice.
   5. A RAMP record for the grant proposal will need to be generated and contain all finalized application documents.
      1. The Principal Investigator (PI) is primarily responsible for the RAMP funding proposal record. The record may be initiated by the PI, their institute’s administrative staff, or—upon request—by the Office of Financial Services (OFS). The OFS Grant Specialist should be listed as the Administrative Contact.
      2. Routing proposal documents should be done in RAMP.
   6. Submission Information:
      1. RSP is the institutional authority that approves and authorizes all proposal submissions.
         In some sponsor systems, the PI must perform the final “submit” action (e.g., clicking a button).
         This does not constitute institutional submission — the proposal may only be submitted after RSP has reviewed and approved it in RAMP.
      2. If RSP submits the proposal, include all required sponsor portal details (URL, login credentials, submission instructions) in the RAMP funding proposal record. This ensures that RSP has the access needed to complete the submission.
      3. If the PI is responsible for submitting through a sponsor portal or email, clearly note this in the Submission Instructions section of RAMP. The PI must submit only after receiving RSP approval.
   7. OFS will:
      1. Review the proposed budget, budget narrative, and ensure that PI submits other required documentation.
      2. Contact the PI with any questions or clarifications.
      3. Provide divisional approval and then route the record to RSP for final review, approval, and submission.
   8. RSP will:
      1. Reach out to the administrative contact listed on the RAMP record, as needed, which is usually OFS or institute administrative staff, depending on the institute-specific process for grant proposals.
      2. Notify OFS when proposal documents are submitted to the sponsor. If proposal documents are submitted via email, typically the PI and/or administrative contact is copied on the email.  The PI is required to review the attachments in the email to ensure completeness and accuracy.
      3. If proposal documents are submitted by RSP via a sponsor’s online web portal, a full PDF application should be reviewed by the PI after the submission to ensure accuracy and completeness.

Reminder: Only RSP is authorized to submit a grant proposal on behalf of all UW-Madison units. Grant proposals applied for by UW-Madison, Division of Extension employees cannot be submitted by anyone except by RSP.

In instances where the PI is responsible for submitting via a sponsor portal or email, make sure this is clearly noted in the Submission Instructions section of RAMP, and the PI should submit only after receiving RSP approval.

The PI works with OFS or institute administrative staff—according to the institute-specific process for grant proposals—to prepare the budget and upload all finalized budget materials to the RAMP record. The PI is also responsible for making any revisions requested by OFS or RSP.      

OFS or institute administrative staff can assist PIs with developing the budget.  The RSP Budget Tools web page (https://rsp.wisc.edu/forms/budgettools.cfm) provides additional guidance, links to fringe rates and budget templates. OFS Grant Specialist may also have simplified templates for creating the internal budget document.

NOTE: some sponsors require that the budgets and budget narratives be created on sponsor-provided templates.

Budget preparation should consider the following items: 

Direct Costs

A direct cost is an expense that can be clearly attributed to a particular grant-funded project or activity, incurred to directly support the project objectives and goals.  Direct costs can include:

1. Salary and fringes of UW personnel.
   1. This includes individuals employed by other UW units, if/when applicable.
   2. Percentage effort for all staff is specified in the budget, and salary is allocated accordingly within the timeframe of the proposed scope of work.
   3. Salaries and wage rates for all staff should be confirmed by the OFS. Salaries can be looked up: https://rsp.wisc.edu/services/admin/salary-lookup/
   4. Fringe benefit rates should also be verified by OFS and can be found on this RSP page (https://rsp.wisc.edu/rates/#fb).
   5. PI effort is only required when mandated by the sponsor or specified in the award notice, and if no PI salary is requested, no cost share effort is necessary unless explicitly required by sponsor policy.
   6. PIs should consider adding inflation to salary and/or fringe for multi-year agreements.
2. Travel
   1. Details of travel and any conferences should be provided by the PI and accounted for in the budget.
   2. OFS should verify accuracy of rates, i.e. lodging maximums, mileage rate, per diem, etc.
3. Supplies
   1. Project-specific supply needs should be detailed by the PI and accounted for in the budget.
   2. Does not include general office supplies for staff, as this is considered an indirect (F&A) cost.
4. Equipment
   1. Equipment needs should be detailed by the PI and accounted for in the budget.
   2. Equipment costs over $5,000 should be detailed by the PI.
5. Subawards
   1. Subrecipient funds (UW campus or external third party) - a formal sub-agreement must be routed through RSP for review and approval. For guidance on subawards at the proposal stage, visit Outgoing Subs
6. Consultants/Contractual Services
   1. These are not subrecipients. After the award, Consultants/Contractual Services will need a purchase order that should be set up with the UW Purchasing in accordance with campus procurement policies.
   2. When it’s difficult to determine whether an entity is a subrecipient or contractor, refer to the 'Subrecipient vs. Contractor Questionnaire': Subaward determination questionnaire

Purchases using grant funds must still follow all UW-Madison and State of WI policies and procedures, in addition to any federal or sponsor-specific requirements set forth by the sponsoring agency.

7. Other Direct Costs
   1. May include items such as publication costs, tuition remission (if allowed), animal care costs, and other project-specific expenses not captured in the categories above.
   2. These costs must be clearly justified in the budget narrative and allowable under sponsor and federal regulations.
8. Participant Support Costs
   1. Defined as direct costs for items such as stipends, travel allowances, subsistence, and registration fees paid to or on behalf of participants (but not employees) in connection with conferences, training, or workshops.
   2. Participant support costs must be explicitly included in the approved sponsor budget and may not be rebudgeted for other purposes without prior sponsor approval.

Indirect Costs

The Indirect Rate, also known as facilities & administrative (F&A) costs, are actual expenses that the institution incurs in support of extramural activities, but which cannot be directly charged to a specific sponsored grant or contract.  These are real costs institutions incur to maintain the infrastructure and services necessary to conduct research or other sponsored activities. Examples include libraries, physical plant operation and maintenance, utility costs, general office supplies, computer network charges, clerical and administrative salaries, and depreciation or use allowance for buildings and equipment.

UW-Madison has a Negotiated Indirect Cost Rate Agreement (NICRA) – see current rates at https://rsp.wisc.edu/rates/:

1. Indirect (F&A) cost rates are periodically negotiated with the Department of Health and Human Services (DHHS), the cognizant federal audit agency.
2. RSP makes the final decision on the indirect (F&A) cost rate to be used in each grant proposal. The decision is based on:
   1. Whether the grant qualifies as “Research” or “Public Service.”
   2. Whether the work is performed on the UW–Madison campus or off campus.
3. Standard indirect (F&A) cost rates for Extension grants:
   1. Public Service (On-Campus): 38% of Modified Total Direct Costs (MTDC).
   2. Public Service (Off-Campus): 26% of MTDC. Note: The use of the 26% rate must be justified in the “Submission Instructions and Misc.” tab of the RAMP record.
   3. State agency subaward/pass through 15% TDC.
4. If RSP determines a proposal qualifies as “research,” the rate for the period 7/1/2023 to 6/30/2026 is 55.5% of MTDC.

Additional Considerations:

1. If a non-federal sponsor has an approved rate exception, OFS must verify the rate prior to proposal submission.
2. If a sponsor has a limit, or reduced rate, for indirect (F&A) costs, they must have a published policy establishing a lower indirect (F&A) cost rate or an exclusion. A copy of their policy must be attached to the RAMP record.
3. The inclusion or exclusion of indirect (F&A) costs cannot be used as a negotiating tool to enhance the chances of receiving a grant award.

Cost Share

Cost share, or “match,” is an obligation by the university to contribute to the total costs of a sponsored project by providing goods or services at no cost to the sponsor, or a cash contribution toward a project expense, such as the purchase of equipment.  Cost share can be direct costs not paid by the sponsor, as well as indirect (F&A) costs not paid by the sponsor.  Once cost share is committed, whether mandatory or voluntary, it is a legal, binding agreement.

Cost share requirements, defined by 2 CFR 200:

• Cannot be included as a contribution to any other grant, i.e. it cannot be “double counted;”
• Cannot use other federal funds to meet the cost sharing commitment*;
• Must be necessary and allowable for the accomplishment of the project;
• Must meet same requirements for what the sponsor permits as allowable costs;
• Mandatory cost share and voluntary, committed cost share must be documented and reported;
• Provided for in the approved budget.

Downsides of cost sharing:

• Administrative burden to manage it;
• Increases auditable record-keeping;
• Adversely effects F&A;
• Reduces use of resources for other purposes;
• Reduces PI flexibility to do other research since their effort is pledged to the project;
• Increases exposure to audit liability.

Important: It is institutional and division policy that cost share be kept to a minimum by only offering it when required in writing by the sponsor, necessary to reflect essential resources, or needed to meet the University’s minimum PI commitment. Voluntary cost sharing is generally discouraged due to its impact on institutional and departmental resources. Cost share requires approval from the Institute Director and/or the Associate Dean.

* Note: If using non-federal sponsored project funding as cost share, a letter of permission from the non-federal sponsor must be obtained prior to award set up and provided with RAMP Cost Share Details form at award set up.

Types of Cost Share:

1)         Institutional cost share

When cost sharing is required by federal statute and satisfied in total across a number of awards, rather than with project-by-project commitments. In the past, awards from both the National Institutes of Health (NIH) and the National Science Foundation (NSF) were subject to institutional cost sharing. Currently, NIH and NSF are not issuing new awards with institutional cost sharing requirements.

2)       Mandatory cost share

Required by the sponsor as a condition for proposal submission and award acceptance. Extension is required to track and report mandatory cost share.

3)       Voluntary committed cost share

Additional support that an institution voluntarily includes in the grant proposal as a binding financial commitment upon award. Extension is required to track and report voluntary, committed cost share. This may include the required minimum 1% effort for the PI if salary and fringe are not allowed as direct costs.

4)      Voluntary Uncommitted cost share

Discretionary support an institution may offer to offset project costs, without any formal, binding commitment included in the submitted proposal or upon acceptance of the award.

Expenses that Can Be Cost Shared:

1)         Third-party costs

Expenses borne by a party external to the university, usually to meet a mandatory sponsor requirement. The third party may be a subrecipient. The expenses can include:

1. Volunteer services
2. Employee salaries and fringe benefits for non-UW personnel
3. Donated supplies
4. Donated space, buildings, or land
5. Donated or loaned equipment

2)       Non-payroll costs (UW)

Allowable project direct costs as defined by 2 CFR 200, Subpart E and paid by the university, other than salaries and the associated fringe benefits. These can include:

1. Purchase price of equipment acquired by UW
2. Supplies
3. Travel 
4. Tuition or tuition remission
5. F&A not earned on cost-shared direct expenses
6. Unrecovered F&A expenses due to a waived or lowered F&A rate for the sponsored agreement

3)       Payroll costs (UW)

Salaries paid by the university and the associated fringe benefits, for UW faculty and staff who devote effort to the sponsored project.  This is the most common and suggested form of cost share.

4)      UW zero-dollar appointee effort

Effort expended on a sponsored project by an individual who has a UW appointment but receives no compensation from the university. In the absence of a mandatory sponsor requirement, this is voluntary committed cost sharing. From a UW accounting standpoint, this is a third-party cost. Types of personnel for whom this can occur include:

1. Emeritus professors who receive no UW compensation.
2. Howard Hughes Medical Institute investigators.
3. UW faculty members whose compensation is paid directly by the U.S. Department of Agriculture.

Key points to Remember for Cost Share:

1. UW policy is to minimize cost sharing wherever possible.
2. Cost sharing is required only if the grant sponsor mandates it.
3. It is the PI’s responsibility to ensure sufficient cost share is available and approved prior to submitting the proposal.
4. Any cost sharing or in-kind expenses must be approved by the Institute Director and/or Associate Dean and shared with OFS.
   1. Any plans for co-funded positions should be disclosed up front.
5. Salary is the preferred mechanism to provide for approved cost sharing.
   1. Salary, fringe, indirect (F&A) costs, and other direct costs for future years should include percentage annual increases per RSP guidelines. OFS can confirm that rates for those future expenses are appropriate and meet RSP guidelines.

For additional information on cost sharing, please refer to the following resources:

• UW–Madison Cost Sharing Policy (UW-4012)
• RSP Cost Sharing Guidelines

Any plans for internal or external collaboration should be disclosed upfront by the PI. Internal collaboration refers to partnerships between a Principal Investigator (PI) and other units, departments, divisions, or schools within UW-Madison when preparing and submitting a grant proposal or managing a funded project. Collaboration with another UW campus is also considered internal. External collaboration refers to any formal partnership with an organization outside of the UW System that contributes to the project's goals. These collaborations must be clearly defined and documented during the proposal stage, especially when they involve funding or shared responsibilities. 

Types of Internal collaboration:

Internal collaborations fall into two categories: Cross-unit Grants and Shared Grants.

1. A Cross-unit Grant refers to a proposal that includes collaboration between a PI and other departments or units within UW–Madison. (Note: UW does not charge Indirect (F&A) on this amount)
2. A Shared Grant involves a "subaward" or "re-grant" to another UW System institution.

1)         Cross-unit Grant Process

1. An upfront discussion should occur between the PI and the partnering UW-Madison unit, division, or school to determine which entity will serve as the administrative lead on the grant proposal. Typically, the unit, division, or school that serves as the PI's primary affiliation assumes administrative responsibility for the grant and handles the submission.
2. If the majority of grant expenditures are allocated to a partnering unit, division, or school, the parties involved should discuss and agree on which entity will serve as the administrative lead. In such cases, administrative lead responsibility - including proposal submission and award management - may shift to the unit with the greater financial role in the project. 
3. Both units/divisions/schools must approve the budget proposal worksheet in RAMP prior to the grant being submitted. 
4. If an award is made, either sub projects should be set up for each division or multiple Cost Center edits should be opened on the grant project so that each school/division expenses are allocated to the unit incurring the expenses. Grant staff are available to assist PIs with these requests.

2)         Shared Grant Process

1. The PI is responsible for obtaining the scope of work and budget from the parterning UW campus, along with any additional sponsor-specific requirements needed for the proposal.
2. Authorized approval from the other UW campus should be received in writing prior to submission of the grant proposal. 

Types of External collaborations:

1)       Subrecipients (or Sub awardees):

1. External organizations that carry out a portion of the programmatic work of the grant.
2. Often universities, research institutions, or nonprofits.
3. They have their own scope of work, budget, and reporting responsibilities.
4. Their budgets may include 10% indirect (F&A) rate on federal funding unless they provide a copy of their federal indirect rate letter documenting a higher rate.

2)     Contractors (or Vendors):

1. Provide goods or services to support the project (e.g., software, lab testing, consulting).
2. Do not participate in programmatic design.
3. Paid through a procurement process.

3)     Consultants:

1. Individuals or companies providing expert advice or services for a fee.
2. Typically, not employees or subrecipients.
3. Must be included in the budget and justified.

4)     Collaborating Organizations:

1. May include community-based organizations, industry partners, or public agencies that contribute to the project, but do not receive direct funding.
2. Often involved in letters of collaboration/support.

5)     Partner Institutions (for multi-institutional grants):

1. Other universities or colleges that collaborate on the proposal.
2. Roles and responsibilities must be clearly defined, often under memoranda of understanding (MOU) or issued as subawards.

External collaboration process:

1. It is the PI’s responsibility to disclose the relationship of any external parties providing services as part of the grant proposal.
2. External collaboration needs to be agreed upon by the outside party.
3. External needs for services provided by an outside third party must go through the UW-Madison procurement process and meet all UW-Madison and State requirements, regulations, processes, and policies.
4. If the external party is a subrecipient of the award, a sub agreement administered by RSP needs to be negotiated with the third party and a sub-award budget is required in RAMP.
5. It is important to distinguish between a sub-recipient versus a contractor. Some differences include the following:

1. 1. Subrecipients generally carry out a portion of the work of the grant proposal and have some responsibility for programmatic decision making.
   2. Contractors or vendors generally provide goods and services to many different purchasers and do not have any decision-making authority within the project.
   3. To determine whether an external entity should be classified as a subrecipient or contractor, refer to the Subrecipient vs Contractor Questionnaire (linked in the Budget → Subawards section).

1. Any proposal submitted to OFS less than 7 business days prior to submission deadline will require OFS Research Administration Manager Hasnain Ali and respective Institute Director’s approval.
2. A proposal should total at least $10,000 to warrant the resources needed to process it. Any proposal totaling less than $10,000 should be approved by its respective Institute Director.
3. The PI is required to certify the RAMP record prior to submission, confirming the accuracy and completeness of the proposal documents. Certification is required regardless of who uploaded the materials. When the Funding Proposal is routed for Division Review, RAMP automatically sends a notification to the PI prompting them to complete certification.
   1. If needed, OFS or Institute staff may also use the "Send Email" activity in RAMP to send an additional prompt or reminder.
4. Unit review and set-up: The OFS grant staff or Institute support staff will complete the unit review and set-up request in RAMP and initiate Divisional Review by submitting an Ancillary Review request. The Divisional Reviewer completes the review and approval directly in RAMP, after which the record is forwarded to RSP for processing.
5. Sub award portal: The OFS grant staff or Institute support staff will complete the subaward request in the Subaward Portal and submit it for Department Review. After Department Review, the request will route to the Divisional Reviewer for final Divisional approval. Once Divisional approval is complete, the Divisional Reviewer will submit the subaward request to RSP for their review and processing. OFS and Institute staff should not submit subaward requests directly to RSP.

1)       OFS/Institute Responsibility Matrix

Checkmarks (✓) indicate primary responsibility; open circles (○) indicate support; em dashes (—) indicate not applicable.
Legend: ✓ Responsible   ○ Supports   — Not applicable

Grant Support Framework – Ag Institute

Grant Support Framework – Natural Resources Institute (NRI)

Grant Support Framework – CD Institute

Grant Support Framework – PYD Institute

Grant Support Framework – HWB Institute

Grant Support Framework – HDR Institute

2)      Subrecipient vs. Contractor Questionnaire

This form must be used to determine whether an external party should be classified as a subrecipient or a contractor for the purposes of proposal preparation and award management. The full version of the form can be accessed using the link below. A visual excerpt is included here for quick reference.

Checklist to Determine Subrecipient or Contractor Classification

3)     Recommended Training for Research Administrators and Principal Investigators (PIs)

To support effective grant development and submission within the UW–Madison Division of Extension, the following training resources are highly recommended. These offerings from the Office of Research and Sponsored Programs (RSP) help ensure familiarity with UW policies, sponsor requirements, and internal systems for proposal submission and award management.

1)       RED (Research-Education-Development) Program

The RED Program offers foundational and advanced research administration training. Sessions recommended for Research Administrators and PIs include:

• Basic Introduction to Research Administration at UW
• Introduction to Proposal Preparation and Budgets
• Outgoing Subawards
• Cost Share
• NIH Budget Building
• NSF Proposal Preparation
• Understanding Contract Negotiation
• You Have a Project, Now What?

🔗 Learn more and register: https://rsp.wisc.edu/training/

2)      Effort Reporting Training

This training is required for faculty and academic staff working on sponsored projects. It explains how to propose, track, and certify effort, including guidance on the ECRT (Effort Certification and Reporting Technology) system.

🔗 Access training: https://rsp.wisc.edu/effort/

3)      RAMP (Research Administration Management Portal) Resources

RAMP is UW–Madison’s platform for proposal creation, routing, and submission. Key resources include:

• RAMP Funding Proposal Reference Guide
• PI Certification Page Overview
• Test/Training Environment

🔗 RAMP training and resources: https://rsp.wisc.edu/ramp/

4)     Annual Symposium for Research Administrators

Held annually, this symposium includes sessions on federal policies, system updates, proposal best practices, and more. It offers a valuable opportunity for professional development and networking.

🔗 Symposium details and materials: https://rsp.wisc.edu/training/research_symposium/

5)     Research Security Training

Federal agencies including DOE, USDA, and NSF require that PIs and senior/key personnel complete Research Security (RS) training within 12 months prior to proposal submission. Beginning in May 2026, NIH will implement the same requirement. This training outlines federal research security expectations, disclosure responsibilities, and cybersecurity considerations. Departments must verify RS training completion in the Training Information Lookup Tool (TILT) and upload documentation to the RAMP Funding Proposal record to support certification by RSP. 

🔗 Access training: https://go.wisc.edu/researchsecurity

6)     Common Forms (USDA) Training

USDA is implementing Common Forms requirements for Biosketches and Current & Pending (Other) Support, all of which must be generated through SciENcv. Research Administrators and PIs should ensure ORCID iDs are established, SciENcv profiles are up to date, and Other Support information is accurate. This training explains how to prepare USDA‑compliant Common Forms, verify solicitation requirements, support SciENcv delegate access, and maintain compliant records for proposal submission.

🔗 RED Hot Common Forms Training Video: https://mediaspace.wisc.edu/media/RED+Hot+Common+Forms/1_otn8itb9

🔗 RSP Other Support Guidance: https://rsp.wisc.edu/other-support-information.cfm#USDA

🔗 SciENcv Quick Start & User Guides: https://traininggrants.wisc.edu/sciencv/

🔗 USDA/NIFA Application Support Templates: https://www.nifa.usda.gov/application-support-templates

7)      Additional Resources

• Staff Roles and Responsibilities
   Overview of roles and expectations for PIs, department administrators, and RSP.
   🔗 https://rsp.wisc.edu/RSPfunctions.cfm
• Award Acceptance and Set-up
   Describes how awards are reviewed, accepted, and established at UW.
   🔗 https://rsp.wisc.edu/awardsetup/
• Extramural Support Policies & Procedures
   Policies related to effort, cost sharing, and sponsor funds.
   🔗 https://rsp.wisc.edu/policies/

Tip: New staff are strongly encouraged to begin with RED program sessions to build a strong foundation in research administration.