University of Vermont

Sponsored Project Administration - SPA

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

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Routing Options for Non-Competing Continuations - New April 15, 2017

In some situations UVM submits proposals for multiple years, receives award monies for the first year with an assurance about the future years.

Direct and Flow through awards from the National institutes of Health, Health Resources and Services Administration for example fall into this category.

The actual dollars for subsequent years are awarded after we submit yearly progress reports. At the time of submission of progress reports, the SPA Research Administrators (SPA RAs) review the progress report and supporting documents and re-route the proposal for the year that is to be funded.

Effective April 15, 2017, we are proposing to discontinue the re-routing of these applications for the following reasons

  1. The Department Chairs, Deans of the appropriate units have already reviewed and approved the entire proposal.
  2. There are usually no substantial changes, in terms of space needs or Key personnel.
  3. There is a need for review at the time of award receipt in order to ensure that we have received whatever dollars we had requested and to catch other changes, restrictions.

The following actions by SPA RAs will continue:

  • Review to ensure that FCOI training and disclosures for Principal Investigators (PIs) and others involved in the design, conduct and reporting of research are up to date.
  • Review to ensure RPO Compliances are in place – (ie – human subjects, vertebrate animals and biosafety)
  • Review to ensure that any inventions reported by PI have been entered into IEdison and have been reported to Office of Tech Commercialization.
  • Review additional forms, if any, at time of submission – this may sometimes entail creation of a routing packet so that the numbers presented in the submission are correct to the best of our knowledge.
  • Upload the RPPR and other related documentation into InfoEd as Proposal Period 2.

There are a few exceptional situations where a budget is required/requested along with the progress report.  The SPA RA would work with the PI and Unit Administrator to develop a routing packet for these specific circumstances and the SPA RA would determine whether routing the continuation is necessary.

The few examples of where routing maybe necessary are

  1. When there is a change in scope that affects resources or money
  2. When there is a significant change in budget unrelated to change in scope.

The SPA Award Acceptance Specialist will continue to do the following for non-competing continuations:

  • Review award document for deviations from requested dollars and work with the PIs to ensure that the budget is accurately captured in our records.
  • Ensure that all of the compliance requirements are in place.

The PIs, in addition to the scientific pieces of the progress reports, will, with the assistance of the unit administrators continue to be responsible for providing accurate information for the following questions in the progress report. The SPA RAs provide assistance as needed. 

  • What individuals have worked on the project? (ie Personnel effort expended in the past year on the project routing to the nearest month).
  • Will there be, in the next budget period, either (1) a reduction of 25% or more in the level of effort from what was approved by the agency for the PD/PI(s) or other senior/key personnel designated in the Notice of Award, or (2) a reduction in the level of effort below the minimum amount of effort required by the Notice of Award?
  • Is it anticipated that an estimated unobligated balance (including prior year carryover) will be greater than 25% of the current year's total approved budget?

Last modified April 13 2017 11:53 AM

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