“The way we conduct research, engage our students, and prepare the next generation of scholars requires that we ensure the health and well-being of all involved. Strengthening and supporting a culture of safety is as important to our discovery enterprise as is peer review, publication, grant writing, mentoring, and educating; it is integral to the responsible conduct of research…Safety is a critical component of scholarly excellence…Good science is safe science.” APLU Council on Research (2016).

UConn is dedicated to promoting a culture of safety and provides resources and mechanisms to support researchers in conducting safe, responsible, and successful research activities:

The Department of Environmental Health and Safety (EHS) provides comprehensive services in the fields of biological safety, chemical safety, occupational safety, radiation safety, and environmental health. EHS maintains and administers programs that combine training, consultation, control, and inspection to protect the health and safety of the University community and to ensure regulatory compliance and adherence to University policies and recognized standards.

Research Integrity & Compliance works to promote safety and regulatory compliance in research by maintaining faculty lead oversight committees.  The safety committees supported by this office include:

• Institutional Biosafety Committee (IBC)
• Radiation Safety Committee
• Laser Safety Committee
• Chemical Hygiene Committee

The Innovation Partnership Building (IPB), an 113,700 square foot research building, officially opened its doors in 2018. The unique facility boasts state-of-the-art specialized equipment and instrumentation for nanofabrication, precision manufacturing, biomedical devices/sensor development, advanced modeling/simulation and material characterization.  The IPB serves a nexus of intellectual, physical and cyber assets intended to foster industry-academic partnerships for research, innovation technology commercialization and job growth for the State of Connecticut.

For more information visit techpark.uconn.edu

Once the proposal is reviewed by the Pre-Award Specialist and all required documents are in place, the proposal is forwarded to the University’s authorized representative for review, approval and signature.  The signed proposal is then forwarded back to the Pre-Award Specialist. Submission to the sponsor is handled as follows:

Hardcopy (paper) submissions

• Pre-Award Services returns all signed documents to the principal investigator and/or department administrator.
• The principal investigator or department administrator submits the final approved proposal to the sponsor.
• The principal investigator or departmental administrator forwards a full copy of the submitted proposal to Pre-Award Services at preaward@uconn.edu.
• A full copy of the proposal is filed and is accessible to the principal investigator and department administrator via InfoEd.

Electronic submissions NOT required by the University’s institutional representative

• Pre-Award Services returns all signed documents to the principal investigator and/or department administrator.
• The principal investigator or department administrator submits the final approved electronic proposal to the sponsor.
• The principal investigator and/or department administrator monitors the proposal submission through sponsor acceptance of the proposal for review. If there are errors requiring correction to the proposal or application, the principal investigator and/or department administrator makes the necessary corrections and contacts Pre-Award Services to review and approve.
• The principal investigator or departmental administrator forwards a full copy of the submitted proposal to PreAward Services at preaward@uconn.edu.
• A full copy of the proposal is filed and is accessible to the principal investigator and department administrator via InfoEd.

Electronic submissions required by the University’s institutional representative:

• Pre-Award Services submits the final approved electronic proposal to the sponsor.
• Pre-Award Services forwards all submission notifications and confirmations to the principal investigator and/or department administrator.
• Pre-Award Services, the principal investigator and/or department administrator monitors the proposal submission through sponsor acceptance of the proposal for review. If there are errors requiring correction, the principal investigator and/or department administrator makes the necessary corrections and contacts Pre-Award Services to resubmit.
• A full copy of the proposal is filed and is accessible to the principal investigator and department administrator via InfoEd.

The proposal budget is the financial plan of action that reflects the costs required to perform the proposed work statement.  The following information has been prepared to help you develop your budget plan.  See our Budgeting and Costing Guide for current information on fringe benefits, graduate stipends, Facilities and Administration (F&A) rates (Indirect Costs) and other budgetary matters.

It is important to demonstrate that the budget proposed is reasonable.  A budget justification should be submitted in order to allow each budget item to be explained relative to the proposed research.  The specifics of the sponsoring agency’s budgetary guidelines should be followed carefully.  Budgets should be prepared for the entire proposed project. Both direct and F & A costs should be identified in the budget.

Research Integrity & Compliance Services (RICS)

Research Integrity & Compliance Services (RICS) oversees compliance requirements at the university related to research. Policies, procedures and guidelines are designed to support the responsible and ethical conduct of university research and to ensure adherence to all laws and regulations guiding research.  Major areas of compliance include:

• Animal Subjects/IACUC
• Human Subjects/IRB
• Institutional Biosafety (biohazards, DNA, Select Agents, Dual Use research)
• Research Ethics (COI, RCR, misconduct)
• Research Safety and Security (biosafety Data use
• Export Controls

For more information, please contact Research Integrity & Compliance Services

Financial Conflict of Interest (FCOI)

The University requires, at a minimum, an annual disclosure from all faculty members regarding outside activities and financial interests.  At the time of proposal submission, investigators must completed their online FCOI disclosures in the InfoEd External Interests Module. Some sponsors require FCOI disclosures at the proposal stage and the University will not submit proposals until such disclosures have been completed.

All subrecipients must certify, at the proposal stage, that its institution has implemented and enforced an FCOI policy compliant with the respective regulations or that they lack a compliant FCOI policy and will implement a policy prior to subaward issuance.  Additionally, the responsible personnel at the subrecipient must complete and submit the External Investigator Disclosure Form.

For more information, please contact Financial Conflict of Interest

Most sponsors publish guidelines on how to prepare a proposal and the requirements.  The application package may also include forms that require a signature from an authorized official. Sponsor instructions should be followed carefully for format, content, and budget and submission requirements.

The following is a list of common proposal elements. If there are no sponsor guidelines these documents represent the minimum required by Pre-Award Services. For most sponsor agencies, proposals contain most or all of these elements.  (Specific agency guidelines, if available, should always be followed.)

• Proposal guidelines from sponsoring agency or website link: assists with reviewing proposal and ensuring all sponsor requirements are met prior to submission.
• Internal Proposal Review Form: complete for all proposals and secure signatures of the Principal Investigator, Co-Principal Investigator(s), Department Chair, Unit Head, and in some cases Dean as appropriate.
• SPS Proposal Cover Page: complete if the sponsor does not provide a cover page for approval signature. Please refer to the Frequently Requested Information for assistance with completing the sponsor cover page. The University’s Authorized Representative signs all proposals on behalf of the University.
• Proposal Narrative: describe the objectives, methodology and significance of the proposed project.
• Budget Spreadsheet: provide a reasonable estimate of expenses for each budget category. Include cost sharing/matching only if specifically required by the funding agency. Please refer to the Budgeting and Costing Guide for assistance.
• Budget Justification: provide a detailed explanation of all items listed in the budget. Please refer to the budget justification guide for assistance.
• Electronic application (if applicable): provide a completed application or access to the completed application.
• Subcontracts (if applicable): provide a statement of work, budget, budget justification, F&A Rate Agreement and Information and Compliance Form for Subrecipients, signed by an authorized official of that organization.  Please refer to the  Subaward Determination Guidance for assistance with determining the subrecipient versus contractor relationship during the budget preparation stage.
• Research Compliance Review: Federal regulations and University policies require that various University committees approve certain proposed activities.  Compliance review and approvals for Animal and Human Subjects, Radioactive Substances, Bio-hazardous Substances, Controlled Substances, and Recombinant DNA may be necessary before your proposal can be signed.  These areas should be designated on the Internal Proposal Review Form.  Please refer to the Research Compliance section of this website for specific compliance office contacts who can assist with any approvals necessary for your proposal.
• Optional items: The proposal contents listed below are fairly standard items required by many sponsors and may be included as part of your proposal:
  • A table of contents
  • Bibliography of pertinent literature
  • Vitae of all senior personnel
  • Recent publications
  • List of collaborators
  • Active and pending support (generally, sponsors request information on current (active/awarded) and pending support to evaluate potential scientific and/or commitment overlaps; this list should be complete including all support whether or not that support is funded through the University)
  • Description of available facilities and equipment

The Pre-Award Team within the Office of the Vice President supports faculty, staff, and graduate students in their research and creative endeavors. Working with faculty and staff to increase external funding and to provide opportunities for professional growth is critical to the overall health of the University. We are here to help, so contact us early!