For Proposal Preparation, Review and Submission Procedures, see our 4 primary procedure documents below in PDF format.
- Proposal Preparation Review and Submission Procedure (PDF)
- Proposal Procedure Appendix A: Roles and Responsibilities (PDF)
- Proposal Procedure Appendix B: Best Practices for Proposal Submission (PDF)
- Proposal Procedure Appendix C: Avoiding Common Problems (PDF)
Below are some helpful links organized sequentially across the proposal submission process.
Every UVM department is supported by a designated team of SPA administrators who assist with preparation, approval, and submission of grant proposals as well as with award management.
Start Proposal in InfoEd
Principal Investigators and Department Administrators start their own proposal records in InfoEd and route for approval.
Project Personnel Roles
The individual who is responsible for leading and directing the project, intellectually and logistically.
Multiple Principal Investigator awards are an opportunity for multidisciplinary efforts and collaboration through a team of scientists under a single grant award. All PIs share equally the authority and responsibility for leading and directing the project, intellectually and logistically. Each PI is equally responsible and accountable for the proper conduct of the project, including the submission of all required reports. The first PI listed for NSF and the listed “contact” PI for NIH becomes the primary liaison with the Sponsor.
- The Principal Investigator and other individuals who contribute to the scientific development or execution of a project in a substantive, measurable way, whether or not they request compensation.
- The effort of senior/key personnel devoted to a project is expressed in terms of “person months” greater than zero. If consultants are considered senior/key personnel, they must have measurable effort expressed in person months. If consultants are considered senior/key personnel, they must have measurable effort expressed in person months.
- "Zero percent" effort or "as needed" is not acceptable levels of involvement for those designated as Senior/Key Personnel. The prior approval requirement for changes in the status of personnel applies only to those senior/key personnel named in the NOA.
- NIH identifies in the NOA senior/key personnel other than the PD/PI(s) and may identify individuals that are considered critical to the project, those if absent from the project would have a significant impact on the approved scope of the project. "Zero percent" effort or "as needed" is not acceptable levels of involvement for those designated as Senior/Key Personnel. The prior approval requirement for changes in the status of personnel applies only to those senior/key personnel named in the NOA.
Other Significant Contributors
- Other Significant Contributors commit to the scientific development or execution of the project, but do not commit any specified measurable effort to the project.
- An individual who provides professional advice or services for a fee, but not as an employee of the University. Generally, a consultant is not considered senior/key personnel. However, if the consultant contributes to the scientific development or execution of a project substantively and measurably, he/she could be designated as senior/key personnel.
Purpose / Activity Codes
Select the Purpose of the sponsored project based on the primary activity described in the proposal.
Primary Activity (51% or greater) of the Project
Function Code Definition
|Research - Basic||RBAS||Investigating, creating and acquiring new knowledge on a topic being studied without any particular direct application or use in view.||311||Organized Research||Most of UVMs work is in Basic Research. NSF, NIH, NIFA, DoD. Includes REU.|
|Research - Applied||RAPP||Investigating, creating and acquiring new knowledge that is directed primarily towards a specific, practical application, solution or objective.||311||Organized Research||SBIR/STTR Projects, Clinical Trials, Contract Work vs Grant Work.|
|Research -Developmental||RDEV||Conducting systematic work, drawing on knowledge gained from basic research and practical experience, which is then directed to producing new products, prototypes, or improvements to existing products or processes.||311||Organized Research||Producing new or improved products, prototype satellites, telescopes, radar systems.|
|Research - Experiment Station||REXP||Research being conducted by UVM Experiment Station researchers. See Basic, Applied, and Developmental, above.||351||Experiment Station Research||Includes land grant funds, Hatch & Animal Health.|
|Research - Extension||REXT||Research being conducted by UVM Extension researchers.
See Basic, Applied, and Developmental, above.
|361||Extension Research||Vermont SARE project, NSF funded projects, NIFA funded projects where investigations are being conducted.|
|Research - VCHIP||RVCHP||Research being conducted by UVM VCHIP researchers. See Basic, Applied, and Developmental above.||311||Organized Research||Unless otherwise categorized, federally funded VCHIP projects.|
|Research - Training||RTRN||Sole purpose of the award is to support training, education and career development in conducting research.||311||Organized Research||NSF RGT, NIH R25, T32, F31 NRSAs Fellowships, Institutional Training Grants.|
|Research – Equipment/
|REQP||Sole purpose of the award is to purchase or upgrade specialized research equipment. Equipment means a tangible asset costing $5,000 or more.||311||Organized Research||DOD DURIP, NSF MRI, NIH S10.|
|Research - Renovation/
|RCON||Sole purpose of the award is to pay for additions, improvements, modifications, or renovations of research facilities, buildings, labs that materially increases their value or useful life (not ordinary repairs and maintenance).||311||Organized Research||NIH C06.|
|Public Service||PUBSV||Delivering information and services to the non-UVM, non-scientific community. Conferences conducted through Continuing Education are included in this category.||411||Public Service||Survey work, Non-research training, Upward Bound, Outreach and Educational Activities, Editorship, Intergovernmental Personal Act (IPA) Agmt.|
|Extension Service||EXTSV||Projects that primarily provide the public with solutions, to everyday problems, using established or innovative techniques, know-how, research and scientific based knowledge, education and learning opportunities, in the areas of 4-H development, agriculture, natural resources, family & consumer sciences and community & economic development.||421||Extension Service||Includes land grant funds, Smith Lever, RREA, EFNEP.|
|VCHIP Service||VCHPS||Child health services and quality improvement program being conducted by VCHIP faculty and staff.||411||Public Service||State of VT Contracts that identify the project as services.|
|Conference/ Workshop||CONF||Sole purpose of the project is to support a conference or workshop, including if it’s conducted through Continuing Education.||411||Public Service|
|Instruction||INST||Instruction activities benefitting the students of the University of Vermont.||211||Instruction||Developing a new or improved curriculum, course or academic program.|
|Extension - Equipment/
|EXTEQ||Sole purpose of the award is to purchase or upgrade equipment being used to support extension service activities. Equipment||421||Extension Service|
|Extension - Renovation/
|EXTCO||Sole purpose of the award is to pay for additions, improvements, modifications, or renovations of extension facilities, buildings, labs that materially increases their value or useful life (not ordinary repairs and maintenance).||421||Extension Service|
SPA Budget Worksheet
Use the SPA Budget Worksheet (an excel spreadsheet) to develop your proposal budget.
SPA Routing Form
The SPA Routing Form is an embedded e-form within InfoEd.
Budget Development Information
SPA staff works closely with the Principal Investigator to develop the proposal budget in conformance with federal regulations governing sponsored project budgets.
Research Data Management Plans
If you need assistance with developing a Research Data Management Plan, please contact the UVM Libraries Data Management Services. The UVM Librarians will help create a high-quality research data management plan that meets UVM and sponsor requirements.
UVM Core Research Facilities
UVM's shared facilities and resources provide researchers with the sophisticated equipment and methodologies that help expand their work.
Subaward / Subcontract Requirements
For all proposed outgoing subawards that will be included in a UVM proposal, Principal Investigators are asked to obtain from the subrecipient, a subaward proposal that has been administratively approved by the subrecipient’s authorized official.
For more detail information see:
Principal Investigator Certification
All proposals prior to the submission must be PI certified. This is both a UVM and Federal requirement. The PI certification is provided within the InfoEd electronic routing system.
Internal Proposal Submission Deadline - Two (2) Business Days Before Sponsor Deadline
A submission-ready proposal should be received in SPA 2-business days before the sponsor’s published deadline. This gives department, college and SPA time to provide a review, fix issues and ensure a successful submission.
Proposals are considered late if they arrive in SPA with less than two business days before the sponsor’s published deadline. SPA’s responsibility with regard to late proposals is to make every attempt to meet the submission deadline. This may mean SPA cannot provide the customary review of the proposal and may not be able to resolve technical issues that may prohibit submission of the proposal to the sponsor.
Proposals submitted without review will be reviewed post-submission. If considered to be in non-compliance with University standards, SPA may take the following actions:
- Administratively withdraw the proposal.
- Submit a revision if allowed.
- Wait until the time of award to correct any issues.
If issues cannot be corrected or resolved, this may preclude UVM from accepting the award.
Route for Internal for Approvals
UVM uses the InfoEd Proposal Development (PD) system to electronically route proposals for internal approvals.
Proposal Approval Process (PI, Department, College, SPA)
A typical proposal requires 4 levels of approval:
- Principal Investigator (certification)
- Department (Chair or designee)
- College (Dean or designee)
- Sponsored Project Administration (Authorized Official)
Department Chair or Designee:
Reviews and approves proposals for consistency with department policies and procedures and University requirements.
Department reviews typically include an assessment and approval of the following:
- Budget is accurate; costs are allowable, reasonable and allocable to the project; personnel listed are available and qualified to participate in the project; Institutional Base Salary (IBS) is accurate; any proposed cost-share is accurate and documented; F&A is accurate, facilities are available; PI meets UVM’s PI Eligibility requirements.
College Dean or Designee:
Reviews and approves proposals for consistency with college policies and procedures as well as various institutional requirements.
College reviews typically include an assessment and approval of the following:
- Personnel listed are available and qualified to participate in the project; Institutional Base Salary (IBS) is accurate; any proposed cost-share is accurate and approvals documented; F&A is accurate, facilities are available; PI meets UVM’s PI Eligibility requirements.
Sponsored Project Administration:
Performs a final review of the proposal to ensure compliance with all rules and regulations prior to submission to the sponsor. Acts as UVM’s Authorized Official, providing an institutional endorsement for all proposals to external sponsors.
Submission to Sponsor
Once SPA has completed its review and has obtained the UVM Authorized Institutional Approval, SPA will coordinate with the Principal Investigator (or the designated person) to submit the approved proposal to the sponsor in accordance with the sponsor's submission requirements.
For most federal sponsors, SPA submits directly from the InfoEd System-to-System SF424 functionality to Grants.Gov.
Other Electronic Submission
Principal Investigators use InfoEd to create and route the proposal for internal approvals and then will follow the sponsor's proposal submission process. Some of these systems will require SPA to submit, others allow the PI to submit directly.
Coordinate all electronic submissions with your designated SPA Research Administrator.
Conflict of Interest Disclosures
UVM’s Financial Conflict of Interest in Sponsored Research Policy requires all Investigators participating in externally funded research at the University of Vermont to make an annual disclose of all Significant Financial Interests (SFI) held by themselves, their spouses, and their dependent children related to their institutional responsibilities.
At time of award acceptance, for those disclosures that indicate a Significant Financial Interest (SFI), SPA will trigger a Research Certification update. All research certifications where a SFI exists will be reviewed to determine if the SFI is a Financial Conflict of Interest (FCOI). Where the determination is made that a FCOI exists, award funds may not be released into PeopleSoft financials until the FCOI is either eliminated or managed. Our Research Compliance Officer will assist you with this process.
Beginning March 1, 2019, to make your annual FCOI disclosure login to UVMClick - FCOI.
To be eligible for federal funds, UVM must comply with all federal regulations including those related to protection of human subjects, vertebrate animals, and handling of biohazardous and radioactive materials. The regulations require review and monitoring of these regulated activities during the life of the project/protocol.
Post Submission - Proposal Tracking
After a proposal is submitted to the sponsor, SPA establishes a "pending" proposal record in the InfoEd Proposal Tracking system. The proposal record is accessible to the Principal Investigator, the department business manager, the department chair, and the dean, as well as the department business manager, chair and dean of each person listed on in the proposal budget.
NIH Just in Time
NIH uses Just-in-Time procedures programs and award mechanisms (each FOA will include specific guidance on the use). These procedures allow certain elements of an application to be submitted later in the application process, after review when the application is under consideration for funding.
Applicants will be notified (primarily by e-mail) when Just-in-Time information is needed. This notification is not a Notice of Award nor should it be construed to be an indicator of possible funding.
Applicants should only submit this information when requested.
JIT submissions must be coordinated with your SPA RA. NIH requires JIT submissions be submitted using the JIT eRA Commons functionality and endorsed by an SPA Signing Official.
NIH Clinical Trial Information and Forms
- See NIH Application Instructions at G.500 - PHS Human Subjects and Clinical Trials Information (HS/CT) for detailed information.
Other Helpful Documents Created by UVM
- HS/CT Form Completion Decision Tree (PDF) to assist in determining which sections of the forms are required for your proposal.
- HS/CT Checklist (PDF) to help determine what documents and information must be included in your proposal.
- HS/CT Transition to E-Forms (PDF). See pages 30 – 36 for some helpful tips when completing the study record section of the HS/CT Form.