UWM RESEARCH GROWTH INITIATIVE 2015 REQUEST FOR PROPOSALS DEADLINE: 9:00AM ON MONDAY, OCTOBER 6, 2014 OVERVIEW

UWM RESEARCH GROWTH INITIATIVE 2015 REQUEST FOR PROPOSALS DEADLINE: 9:00AM ON MONDAY, OCTOBER 6, 2014 OVERVIEW The UWM Research Growth Initiative (RGI) is an internal seed funding program that supports highquality research projects in the early stages. Its objective is to increase UWM s research productivity, scholarship, creative endeavors, collaborative projects, and external funding by investing in projects selected through an independent and objective process. Eligible Projects: 1. Early-stage research projects in need of seed funding for data collection, archival work, and establishing proof-of concept. 2. Have a one-year timeline. 3. Will lead to the submission of competitive proposals for externally funded and thereby selfsustaining individual and collaborative research through grants, fellowships, or university/industry partnerships. Eligible Project Expenses UWM personnel: Post-docs, research assistants, and hourly students. Non-UWM personnel: Payments to non-uwm personnel or agencies must be done on a fee-forservice basis. Capital Expenditures: Includes renovations and equipment that each cost $10,000 or more and have a lifetime beyond that of the project. Equipment requests must be part of a specific research project. Cost-sharing at 50% is required for all capital expenditures. Other Standard Expenses such as materials and supplies, travel, user fees, purchase of services, and publication costs. Applicant Eligibility Applicants must have UWM faculty or academic staff appointments, Principal Investigator status, and the expectation of a continuing appointment. Lead PIs may submit only one proposal per application cycle, although they can be co-pis on other proposals. Future faculty and researchers with appointments beginning in Spring or Fall 2015 are eligible to apply. A UWM e-mail address is required. For those beginning in the fall, funds will not be released until the end of August 2015. Those who received an RGI award in the last two years (funding began July 2013 or July 2014) are ineligible to apply for the 2015-16 funding cycle. Those who have not submitted final reports for past RGI, Research Committee, or FRACAS awards are ineligible to apply. RGI and Catalyst Grants For those who submit the same proposal to the UWM RGI and Catalyst programs, and who list the same set of potential reviewers, the same review may be used for both programs. If a PI is awarded both a Catalyst and RGI grant, the RGI grant may be reduced by the amount of the Catalyst award. Project Narrative Format The narrative is limited to six single-spaced pages with one-inch margins, including references, figures, and tables. Font size: minimum 11 point in Arial, Tahoma, Times New Roman, or Georgia. 1

2015-2016 RGI funding cycle Online application available early September 2014. Submission deadline: Monday, October 6, 2014; 9:00 a.m. Final review: January-February 2015 Award announcement: Mid-April 2015 Award letters sent: Mid-May 2015 Funds available: July 2015 APPLICATION SYSTEM AND REQUIRED PROPOSAL SECTIONS Secure Online Application System Access the online application system at: http://www4.uwm.edu/grad_school/applicant_workflow/login/ and follow the prompts to start a New Application. Save your application frequently while working in the secure Web site. The application does not have to be completed in one session; you may exit and return to the proposal from your last saved session. The online system allows cut and paste functions in the application boxes. Use a consistent font and formatting throughout. Upon entering a section of the application (e.g., Abstract), you will be required to enter some type of text as a placeholder (e.g., text ) in order to advance to the next section. You can always return and edit any section up to the deadline. All parts of the application are Mac- and PC-compatible. Following submission by the PI, the proposal will be routed electronically for approval by the applicant s chair and dean or director. Required Proposal Sections 1. Application Information, entered into a secure Web site 2. Project Narrative, submitted as a single PDF file 3. Biosketches, submitted as PDF files 4. Project Budget, submitted as an Excel file, using the RGI Budget spreadsheet provided Optional Application Attachment Letters of Collaboration submit as PDF files 1. Application Information All basic application information is entered directly into the secure Web site: Name, position title, department, project title Keywords Budget justification Deliverables and milestones Return on investment Space needs Suggested external reviewers Abstract 2

Suggested External Reviewers You must enter the names and contact information for at least four suggested external reviewers for your proposal. The reviewers should be nationally recognized in the field of expertise related to your work. Do not recommend individuals with whom you or any named person on the proposal may have a conflict of interest. Conflict of interest for the RGI program is defined as evidence of any of the following relationships: Known family relationship Business or professional partnership Past or present association as thesis advisor or thesis student Collaboration on a project or on a book/article/report within the last 48 months Co-editing a journal, compendium, or conference proceeding within the last 24 months Having read the RGI proposal at the request of the PI of co-pis External reviewers are selected based on their expertise, breadth, independence, past experience with proposal review, and successful funding record. Reviews must contain evaluative comments to be accepted. The Office of Research reserves the right to identify other qualified reviewers. 2. Project Narrative LIMIT 6 PAGES The Project Narrative is limited to six single-spaced pages with one-inch margins, including references, figures, and tables. Minimum font size is 11 point in Arial, Tahoma, Times New Roman, or Georgia. Within the norms of your discipline, include the following as appropriate: 1. Background, theoretical framework, and significance of research 2. Description of project: a. Specific hypotheses, aims, and methods (including measurement tools and benchmarks for success) b. Potential impediments to completion as well as alternative approaches c. Contributions/roles of research team members; availability of or access to required equipment/resources (e.g., archives, specific populations) 3. Significance of project: innovations, broader impact, contributions to the field 4. Sustainability of research beyond RGI proposal 5. Figures, tables, charts 6. References Save the project narrative as a PDF document. If your computer cannot convert documents to PDF, you can download the free CutePDF Writer at http://www.cutepdf.com/. After converting the document, confirm that the Project Narrative does not exceed six pages. 3

3. Biosketches LIMIT 4 PAGES EACH Upload biosketches (as PDFs) for the PI and co-pis. You may use a standard format from NSF, NIH, or NEH; however, each biosketch must include the following information (items a-e): a. Professional Preparation Undergraduate Institution(s) Major Degree & Year Graduate Institution(s) Major Degree & Year Postdoctoral Institution(s) Area Inclusive Dates (years) b. Appointments In reverse chronological order, state your academic/professional appointments beginning with your current appointment. c. Publications List up to five recent publications representative of your research. Manuscripts accepted for publication may be listed (include the anticipated date of publication). d. Current Support Include up to three active or recently completed grants highlighting your competitiveness in the field. For each grant include the project title, funding agency, program type (e.g., R01), duration, the total amount of award, and your role on the project. e. Pending Support For each pending grant list the project title, funding agency, program type (e.g., R01), duration, total budget requested, and your role on the project. The following sections are not required, but useful for identifying potential conflicts or bias in selecting reviewers: f. Commercialization Experience (if applicable) List up to three patents, copyrights, or trademarks from commercialization of your research. g. Collaborators or co-authors In alphabetical order list all persons and their current organizational affiliation who are currently, or who have been collaborators or co-authors, with you on a project, book, article, report, abstract or paper during the 48 months preceding the submission of the proposal. If none, state NONE. h. Co-editors In alphabetical order list all persons and their current organizational affiliation who are currently, or have been co-editors with you, on a journal, compendium, or conference proceedings during the 24 months preceding the submission of the proposal. If none, state NONE. i. Graduate Advisors and Postdoctoral Sponsors List your own graduate advisor(s) and principal postdoctoral sponsor(s), and their current organizational affiliations. j. Thesis Advisor and Postgraduate-Scholar Sponsor List all persons (including their organizational affiliations) over the last five years with whom you have had an association as thesis/dissertation advisor, or for whom you have served as a postgraduate-scholar sponsor. 4

4. RGI Budget USE REQUIRED BUDGET FORM The RGI application includes a required RGI Excel budget spreadsheet. Before using the spreadsheet, you MUST follow these instructions: 1. Save the Excel spreadsheet to your computer. Please rename the file with the Last Name, First Name of the lead PI. You MUST use Microsoft Excel to edit the budget. (OpenOffice and other similar products are not compatible.) 2. Open the spreadsheet in Excel and follow the instructions. 3. Save your file in the Excel 2007-2013 (.xlsx) format. 4. Once you have completed the budget spreadsheet and saved your changes, return to the application Web site and follow the budget uploading instructions to attach it to your RGI proposal. Eligible expenses The RGI aims to give researchers what they need to successfully complete the early phase of a project. A broad list of eligible expenses includes: UWM personnel (post-doctoral research associates, graduate assistants, student hourly help). Capital expenditures (defined for this project as renovations and equipment that cost $10,000 or more per unit/system and have a lifetime beyond the project). Equipment requests must be part of a specific research project. Cost-sharing at 50% is required for all capital expenditures. Materials and supplies. Purchase of services needed for the project. Publication costs. Travel support for successful completion of the proposed project and dissemination of results. Ineligible expenses Ineligible expenses include, but are not limited to: Faculty summer or sabbatical salary Direct salary payments to non-uwm personnel. (All external work must be done on a fee-forservice basis.) 5. (Optional) Letters of Collaboration submit as PDF files Letters from collaborators documenting their participation on the project, or permitting access to facilities or equipment, are not required but may be submitted as part of the application. The letters are primarily intended for Directors of facilities that will be used in the project (UWM and non-uwm) External participants (non-uwm) who are integral to the project UWM collaborators who are not listed on the budget 5

PROPOSAL SUBMISSION Submission Deadline: Monday, October 6, 9:00 a.m. To submit your final proposal: 1. Complete the Basic Application Information in the secured Web site. 2. Upload biosketches of the PI and co-pis (PDF). 3. Upload the Project Narrative (PDF) 4. Upload the completed Budget Spreadsheet (Excel). 5. (Optional) Upload letters from collaborators 6. Once you are satisfied with the proposal, click the SUBMIT PROPOSAL button in the electronic application. Once you submit the proposal, you will no longer be able to make changes or additions. You will receive an e-mail confirming the submission. 7. WISPER records are not required Electronic Routing for Approvals Electronic routing for review and approval to the lead PI s Department Chair, Director or Unit Head, and the corresponding Dean or designee occurs after the PI submits the proposal. Approvals do not need to be completed by the application deadline, but should be entered shortly thereafter. RGI REVIEW PROCESS The RGI employs a two-stage selection process. Stage 1: Scientific/Scholarly Review All proposals are externally reviewed for scientific/scholarly merit according to three criteria: Quality of Proposal, Return on Investment, and Risk of Failure, as described in the table below. RGI Review Criteria 1. Quality of Proposal Excellence and novelty of concept; appropriateness of approach or methodology; clarity of project plans; degree of scientific/intellectual merit. Rating Scheme: 1. Exceptionally strong with essentially no weaknesses 2. Extremely strong with negligible weaknesses 3. Very strong with only some minor weaknesses 4. Strong but with numerous minor weaknesses 5. Strong but with at least one moderate weakness 6. Some strengths but also some moderate weaknesses 7. Some strengths but at least one major weakness 8. A few strengths and a few major weaknesses 9. Very few strengths and numerous major weaknesses 6

2. Return on Investment Probability of securing extramural funding or engaging in commercialization; potential for self-sustaining the RGI investment phase. The expected return is three times the requested budget. Rating Scheme: High: Outstanding potential outcomes; ranks in the top 10% in its field Medium: Average potential outcomes; ranks in the next 40% in its field Low: Low potential outcomes; ranks in the bottom 50% in its field 3. Risk of Failure Availability of necessary skills and experience; likelihood of completing the project plan within the given timeframe. Rating Scheme: Low Risk: Highly likely to achieve its milestones and objectives Medium Risk: Likely to achieve its milestones and objectives High Risk: Unlikely to achieve its milestones and objectives Stage 2: Award Selection Funding decisions are made by Office of Research leadership, taking into account final ratings and review comments. Additional considerations include: For applicants with prior RGI awards o performance in meeting prior projects milestones and deliverables o submission of outcome reports for RGI and other internal awards For applicants who have extramural awards, preference will be given to those who have made regular expenditures on the awards. Awards will not be given to those on notice of non-retention or who have accepted offers at other institutions. Collectively, the awards will comprise a balanced portfolio across disciplines. GENERAL TERMS AND CONDITIONS OF RGI AWARDS 1. By accepting an RGI award you agree to ensure the project is executed in compliance with all applicable federal and state laws/regulations and institutional policies, including, but not limited to: The Health Insurance Portability and Accountability Act of 1996 (HIPAA). Rules and regulations governing research involving human subjects under the federal Common Rule (45 CFR 46) and U.S. Food and Drug Administration (FDA) regulations (21 CFR 50, 56, 312, 600, and 812). The Health Research Extension Act of 1985 on using vertebrate animals in research. 2. You are also required to obtain institutional approvals for: Use of toxic, infectious, or carcinogenic/mutagenic materials, recombinant DNA, radioactive materials. Environmental impacts. Scuba diving. Remodeling or construction. 7

Any other special approvals required to conduct the project in accordance with applicable regulations before RGI funds will be released. Final Budget The final award amount is subject to negotiations with the Office of Research. Details on accounting for the funds will be included with the award letter. Return on Investment By accepting an award you agree to submit extramural funding requests to continue this research at a minimum of three times the total award value, including both project funds and additional project costs, as specified in the award budget. Intellectual Property Per standard practice and in accordance with UW System Patent Policy, you, your Co-Principal Investigators, and other project personnel, including graduate student assistants, agree to assign ownership of all intellectual properties conceived or reduced to practice as a result of this RGI award to the University for protection and development as the University deems appropriate. An Intellectual Property Assignment form is available in PDF or Word format. Publications We request that you duly acknowledge UWM Research Growth Initiative support in any publication resulting from your RGI project. Final Report At the conclusion of your project, you must report on the completion of the stated milestones and deliverables, and any other outcomes of the RGI funding. CONTACT US Program Questions Technical Questions (Online application, budget form) Kathleen Koch Shane Dunlap (414) 229-3699 (414) 229-3160 kjk@uwm.edu jsdunlap@uwm.edu 8