University of Vermont

Sponsored Project Administration - SPA

217 Waterman Building . 85 South Prospect Street . Burlington, Vermont 05405 . (802) 656-3360

Principal Investigator Quick Compliance Guide

Requesting and accepting funding for a sponsored project places responsibility on UVM and the Principal Investigator to insure that all necessary compliance requirements are met. This information provides a brief overview of the potential compliance issues affecting you and provides links to the most important compliance topics.

Allowable Costs and Financial Oversight

The Principal Investigator is responsible for making sure that expenses charged to a sponsored project, including salary, are related to the project charged, reasonable, and allowed by the terms of the award.  Costs should not be incurred based on funds available, project expiration date, or other inappropriate criteria.  

Close Out

Sponsors have various requirements for close out of an award such as final progress, invention and/or equipment reports. Your award document will describe close out requirements or reference where you can find them.  

  • Please call SPA at 802-656-3360 with any questions

Conflict of Interest

UVM’s policy entitled Financial Conflict of Interest in Sponsored Research (pdf) requires investigators to receive training on conflict of interest regulations and disclose significant financial interests related to their institutional duties.  This policy applies to all investigators, on a sponsored project, not just the Principal Investigator.  

Cost Sharing

Cost sharing is the commitment of UVM resources to carry out a funded project.  If cost sharing is committed in a proposal, the Principal Investigator is responsible for meeting that commitment. SPA will work with you so that the appropriate accounts are set up to track cost sharing expenditures.

  • Please call SPA at 802-656-3360 with any questions

Effort (Time) Commitments

Principal Investigators are responsible for providing reasonable estimates of the effort necessary to carry out proposed projects in proposals and meeting those effort commitments in accordance with sponsor regulations.  It is the Principal Investigator’s responsibility to make sure that salary distributions of project personnel reflect the actual time spent on projects, that prior approvals for changes in effort are sought per sponsor requirements, and that effort is certified as required by UVM policy.  

Export Control Regulations

Export controls, set forth in regulations administered by several federal agencies, impose access, dissemination, and participation restrictions on the transfer or sharing of information about certain armament and dual use items and software code.  These regulations also restrict activities with certain countries subject to U.S. Sanctions.  If you think your research may be subject to export controls, please see the Export Controls web site.  

Human Subjects Research

Before you begin research with human subjects, you must present the proposed work in a protocol to UVM’s Institutional Review Board (IRB) for review and approval.  The Principal Investigator is responsible for carrying out the project as approved by the IRB, for obtaining informed consent, and for notifying the IRB of adverse events, among other requirements.

Intellectual Property

Inventions arising from funded activities must be disclosed promptly to UVM’s Office of Technology Commercialization so that UVM may meet its obligations to sponsors.  

Lab Safety

Laboratories are special kinds of work-places with many associated hazards.  The Principal Investigator is responsible for understanding any safety requirements for the use, storage, and disposal of materials.

Recombinant DNA and Infectious Agents

In order to carry out research involving recombinant DNA and/or infectious agents you must submit a protocol describing the work and safety procedures to UVM’s Institutional Biosafety Committee (IBC) and arrange for UVM’s Biosafety Program Coordinator (email) at 802-656-3418 to visit your lab.

Reporting Requirements

Most sponsors require progress and final reports about the project as well as financial reports. The Principal Investigator is responsible for any technical/progress reports and SPA is responsible for preparing any invoices and/or financial reports. Reporting requirements are usually described in the award document.  

  • Please call SPA at 802-656-3360 with any questions

Responsible Conduct of Research

UVM expects investigators to conduct research and report research results in accordance with the highest standards of honesty and integrity. 

Roles and Responsibilities for Sponsored Projects

Proper stewardship and compliance for sponsored projects require a cooperative effort among central administration and the academic or administrative units where projects are initiated and carried out. 

Vertebrate Animal Research

Before you begin research with vertebrate animals you must present the proposed work in a protocol for UVM’s Institutional Animal Care and Use Committee (IACUC) for review and approval.  The Principal Investigator is responsible for carrying out the project as approved by the IACUC, among other requirements.  


last updated 11/08/17

Last modified November 08 2017 02:05 PM

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