uconn

Request ERC Access

The Effort Reporting & Commitments (ERC) application is secured with the UConn NetID single sign-on. All users are required to have a valid UConn NetID. UConn faculty and staff are automatically set up with an account.  Department Heads are also automatically assigned and managed in the system.

  1. If you have an UConn NetID, first try to see if you can login to the ERC system at http://apps.research.uconn.edu/erc.
  2. If you cannot login, make sure you are using your correct NetID and password combination or your correct username and password. Consult the https://netid.uconn.edu website tools to verify your NetID and password credentials or contact the eRA Help Desk at era-support@uconn.edu or 860-486-7944.

If you still cannot access the ERC application after verifying your correct credentials and attempting to login, contact the eRA Help Desk at 860-486-7944 to verify that you have an account on the particular system. If you do not have an account or you need additional permissions, you can request access by completing the ERC Access Request Form.

This form is primarily used to request additional security permissions (e.g. a Departmental Administrator requesting access to review and route effort reports for their department/school). You may type directly on the form and print it. The form must be signed by the applicant and the applicant’s supervisor.

Salary Charging

For 9 and 10 Month Faculty

Training sessions were offered in July 2016 with instructions for charging salaries to sponsored program accounts specifically related to 9 and 10 month faculty whose salary will be automatically accrued beginning in Academic Year 2016-17 (effective 8/23/2016).  Please contact Jen Lamontagne with questions.

 

For salary expenses in Academic Year 2014-15 and Academic Year 2015-16, the following instructions apply.

Training sessions were offered throughout February 2015 with instructions for charging salaries to sponsored program accounts specifically related to 9 and 10 month faculty who are direct charged to a grant, contract or designated match account during the academic year.  Training materials from those sessions are provided below.

Effort Reporting Timelines

 Fall Semester

Activity Timeframe
Report Generation January/February
Department Admin Initial Review March/April
PI Certification/Final Dept Admin Review April/May
Grace Period for cost transfers and commitment changes May/June

 

Spring Semester

Activity Timeframe
Report Generation July/August
Department Admin Initial Review August/September
PI Certification/Final Dept Admin Review September/October
Grace Period for cost transfers and commitment changes October/November

 

Summer Semester

Activity Timeframe
Report Generation September/October
Department Admin Initial Review October/November
PI Certification/Final Dept Admin Review November/December
Grace Period for cost transfers and commitment changes December/January

 

Effort Commitments

Commitments of effort that are promised to a sponsor (as part of the proposal) for principal investigators, co-principal investigators and key personnel are entered, tracked and available for review by faculty and departmental staff via the Effort Reporting & Commitments (ERC) application.

This application allows for:

  • Changes to commitments to be submitted within the ERC application by using the Commitment Change Form.
  • Commitments entered for cost share to be included as part of the calculated effort amount in the new system generated effort reports.
  • Effort commitments that were originally proposed as being paid by a sponsored award, but was not, to continue to be listed on the effort report with a calculated effort of zero (0) as reminder of the commitment to the project.
  • All paid and cost shared commitments to be used for post-certification validation of individual effort reports.

Academic Calendar for Effort Reporting

Academic Year 2024-2025

Fall Report

Spring Report

Summer Report

All employees except those with 10 month appointments
Period Late August – Early January Early January – Mid May Mid May – Late August
Pay Periods 9.8 9.8 6.6
Dates 8/23/2024 – 1/6/2025 1/7/2025 – 5/22/2025 5/23/2025 – 8/22/2025

Employees with 10 month appointments
Period Late August – Early January Early January – Late June Late June – Late August
Pay Periods 9.8 12.0 4.4
Dates 8/23/2024 – 1/6/2025 1/7/2025 – 6/22/2025 6/23/2025 – 8/22/2025

Academic Year 2023-2024

Fall Report

Spring Report

Summer Report

All employees except those with 10 month appointments
Period Late August – Early January Early January – Mid May Mid May – Late August
Pay Periods 9.8 9.8 6.6
Dates 8/23/2023 – 1/6/2024 1/7/2024 – 5/22/2024 5/23/2024 – 8/22/2024

Employees with 10 month appointments
Period Late August – Early January Early January – Late June Late June – Late August
Pay Periods 9.8 12.0 4.4
Dates 8/23/2023 – 1/6/2024 1/7/2024 – 6/22/2024 6/23/2024 – 8/22/2024

Click on the academic year to show the calendar

Academic Year 2022-2023

Fall Report

Spring Report

Summer Report

All employees except those with 10 month appointments
Period Late August – Early January Early January – Mid May Mid May – Late August
Pay Periods 9.8 9.7 6.6
Dates 8/23/2022 – 1/5/2023 1/6/2023 – 5/22/2023 5/23/2023 – 8/22/2023

Employees with 10 month appointments
Period Late August – Early January Early January – Late June Late June – Late August
Pay Periods 9.8 12.0 4.3
Dates 8/23/2022 – 1/5/2023 1/6/2023 – 6/22/2023 6/23/2023 – 8/22/2023

Academic Year 2021-2022

Fall Report

Spring Report

Summer Report

All employees except those with 10 month appointments
Period Late August – Early January Early January – Mid May Mid May – Late August
Pay Periods 9.8 9.7 6.6
Dates 8/23/2021 – 1/5/2022 1/6/2022 – 5/22/2022 5/23/2022 – 8/22/2022

Employees with 10 month appointments
Period Late August – Early January Early January – Late June Late June – Late August
Pay Periods 9.8 12.0 4.3
Dates 8/23/2021 – 1/5/2022 1/6/2022 – 6/22/2022 6/23/2022 – 8/22/2022

Academic Year 2020-2021

Fall Report

Spring Report

Summer Report

All employees except those with 10 month appointments
Period Late August – Early January Early January – Mid May Mid May – Late August
Pay Periods 9.8 9.7 6.5
Dates 8/23/2020 – 1/6/2021 1/7/2021 – 5/22/2021 5/23/2021 – 8/22/2021

Employees with 10 month appointments
Period Late August – Early January Early January – Late June Late June – Late August
Pay Periods 9.8 11.9 4.3
Dates 8/23/2020 – 1/6/2021 1/7/2021 – 6/22/2021 6/23/2021 – 8/22/2021

Academic Year 2019-2020

Fall Report

Spring Report

Summer Report

All employees except those with 10 month appointments
Period Late August – Early January Early January – Mid May Mid May – Late August
Pay Periods 9.8 9.7 6.6
Dates 8/23/2019 – 1/7/2020 1/8/2020 – 5/22/2020 5/23/2020 – 8/22/2020

Employees with 10 month appointments
Period Late August – Early January Early January – Late June Late June – Late August
Pay Periods 9.8 12.0 4.3
Dates 8/23/2019 – 1/7/2020 1/8/2020 – 6/22/2020 6/23/2020 – 8/22/2020

Academic Year 2018-2019

Fall Report

Spring Report

Summer Report

All employees except those with 10 month appointments
Period Late August – Early January Early January – Mid May Mid May – Late August
Pay Periods 9.8 9.7 6.6
Dates 8/23/2018 – 1/7/2019 1/8/2019 – 5/22/2019 5/23/2019 – 8/22/2019

Employees with 10 month appointments
Period Late August – Early January Early January – Late June Late June – Late August
Pay Periods 9.8 12.0 4.3
Dates 8/23/2018 – 1/7/2019 1/8/2019 – 6/22/2019 6/23/2019 – 8/22/2019

Academic Year 2017-2018

Fall Report

Spring Report

Summer Report

All employees except those with 10 month appointments
Period Late August – Early January Early January – Mid May Mid May – Late August
Pay Periods 9.8 9.7 6.6
Dates 8/23/2017 – 1/5/2018 1/6/2018 – 5/22/2018 5/23/2018 – 8/22/2018

Employees with 10 month appointments
Period Late August – Early January Early January – Late June Late June – Late August
Pay Periods 9.8 12.0 4.3
Dates 8/23/2017 – 1/5/2018 1/6/2018 – 6/22/2018 6/23/2018 – 8/22/2018

Academic Year 2016-2017

Fall Report

Spring Report

Summer Report

All employees except those with 10 month appointments
Period Late August – Early January Early January – Mid May Mid May – Late August
Pay Periods 9.8 9.7 6.6
Dates 8/23/2016 – 1/5/2017 1/6/2017 – 5/22/2017 5/23/2017 – 8/22/2017

Employees with 10 month appointments
Period Late August – Early January Early January – Late June Late June – Late August
Pay Periods 9.8 12.0 4.3
Dates 8/23/2016 – 1/5/2017 1/6/2017 – 6/22/2017 6/23/2017 – 8/22/2017

Academic Year 2015-2016

Fall Report

Spring Report

Summer Report

All employees except those with 10 month appointments
Period Late August – Early January Early January – Mid May Mid May – Late August
Pay Periods 10 9.5 6.7
Dates 8/21/2015 – 1/7/2016 1/8/2016 – 5/19/2016 5/20/2016 – 8/22/2016

Employees with 10 month appointments
Period Late August – Early January Early January – Late June Late June – Late August
Pay Periods 10 12 4.2
Dates 8/21/2015 – 1/7/2016 1/8/2016 – 6/23/2016 6/24/2016 – 8/22/2016

Effort Reporting

What is Effort Reporting?

Effort reporting is the University’s method of verifying that the salaries (and corresponding fringe benefits) charged to, or cost shared for, a sponsored award reasonably reflects the activity for which the employee is compensated. It also serves as a method to certify that the level of effort promised, or committed, to the sponsor was met.

Effort is defined as the portion of time spent on a particular activity, expressed as a percentage of the individual’s total activity for the university. University effort includes all activities for which an employee is compensated and includes research, instruction, other sponsored activities, administration, non-sponsored/departmental research, university service, proposal preparation and clinical activities. For the purpose of effort reporting and certification, ‘university effort’ totals 100%, regardless of the number of hours worked or the individual’s appointment percentage.

The University’s Effort reporting process satisfies the federal government’s requirement under 2 CFR Part 200 (Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards) section 430- Standards for Documentation of Personal expenses that charges to Federal awards for salaries and wages must be based on records that accurately reflect the work performed.

 

Quick link to: Effort Reporting & Commitments (ERC) System

Institutional Biosafety Coordinator (Program Specialist I, UCP VI)

The Office of the Vice President for Research at the University of Connecticut is seeking an energetic professional with a scientific background and experience with biosafety, recombinant DNA, biological agents and toxins to coordinate the Institutional Biosafety Program and provide professional guidance and administrative support to faculty, the IBC and the UConn research community.

Characteristic duties and responsibilities include: Coordinate the Institutional Biosafety Program and provide professional guidance and administrative support to the faculty, Institutional Biosafety Committee and University research community; perform scientific review of registration forms for completeness, accuracy and scientific validity in accordance with regulations; ensuring timely data entry and processing of registrations; development and implementation of a post-approval audit process; development and delivery of related training in a variety of formats; serve as liaison for and coordinator for related matters between the various research and regulatory offices; perform IBC administrative support functions, including interpretation of guidelines and responding to inquiries, preparing correspondence and reports, logistical set up of meetings; recommend policies, procedures and standard operating guidelines that facilitate compliance; perform other duties as assigned.

Minimum Acceptable Qualifications: Bachelor’s degree in Microbiology, Cell Biology, Molecular Biology, Genetics, or other appropriate field, or an Associate’s degree in Microbiology, Cell Biology, Molecular Biology, Genetics, or other appropriate field plus two years’ experience in biosafety; two or more years of experience working in a research, teaching, or laboratory setting; ability to work independently and to interpret policies and procedures to solve unusual and/or difficult problems; excellent organizational skills; experience developing and maintaining computerized databases and tracking systems; excellent interpersonal, written and verbal communication skills with the ability to work cooperatively with a wide variety of University administrators, staff, researchers, and students.

Preferred Qualifications: Master’s degree or specialized background in Microbiology, Cell Biology, Molecular Biology, Genetics, or other related field; experience in institutional/environmental biosafety; experience in an academic research or higher education environment; knowledge of federal regulations and guidelines relating to the use of biological agents; experience creating online training and teaching/training various size groups.

The University of Connecticut offers a comprehensive package of salary and benefits.

Screening of applicants will begin immediately. Employment of the successful candidate will be contingent upon the successful completion of a pre-employment criminal background check.

To apply, please submit a letter of interest, resume and a list of at least three professional references via Husky Hire at http://jobs.uconn.edu/.

For confidential inquiries or additional information please contact:
Laurie Pudlo, Administrative Manager
Office of the Vice President for Research
University of Connecticut
laurie.pudlo@uconn.edu
860.486.4247

The University of Connecticut is an EEO/AA employer.

The University of Connecticut (UConn) is a Land Grant and Sea Grant college and member of the Space Grant Consortium, and is ranked among the top 19 public universities in the nation according to the 2015 U.S. News and World Report. In support of an ambitious state investment in economic development, higher education, and research, the Office of the Vice President for Research seeks highly motivated, skilled, and engaged individuals to work within an increasingly diverse and complex research environment.

 

Job Summary

Under the direction of the Assistant Vice President for Research Compliance, this position coordinates the Institutional Biosafety Program and provides specialized technical and administrative coordination and oversight for the Institutional Biosafety Program Committee on the Storrs/regional campuses.

Responsibilities

  1. Provide professional guidance and administrative support to faculty, department administrators, and committee members in the areas of research involving recombinant DNA, biological agents and toxins.
  2. Support the Institutional Biosafety Committee by providing preliminary review of registration forms for completeness, accuracy and scientific validity in accordance with state and federal regulations.
  3. Develop and maintain databases for IBC registration forms; analyze and prepare required reports and disposition letters; provide the Assistant Vice President for Research Compliance with timely information regarding the Biosafety registration process.
  4. Collaborate with the Assistant Vice President for Research Compliance and the Environmental Health & Safety Biosafety Officer in the development and delivery of a training program.
  5. Collaborate with the Director of Research Compliance and the Environmental Health & Safety Biosafety Office to develop and implement a post-approval monitoring program to audit IBC-approved research projects to ensure they are conducted in accordance with state and federal regulations, and the approved protocol.
  6. Provide follow-up to routine questions relating to institutional biosafety oversight.
  7. Compose and/or edit routine correspondence and other documentation for own or supervisor’s review and/or signature. Set meetings and agendas for the IBC.
  8. Offer recommendations regarding standards, policies and procedures that facilitate compliance and serve as a resource to research personnel.
  9. Act as liaison and coordinator for related matters between the various research and regulatory offices within the University, including UConn Health’s Biosafety Office.
  10. Maintain institutional records and internal databases, including IBC registration forms; prepares materials for the website.
  11. Perform other related duties as assigned.

Minimum Qualifications

  1. Bachelor’s degree in Microbiology, Cell Biology, Molecular Biology, Genetics, or other appropriate field, or an Associate’s degree Microbiology, Cell Biology, Molecular Biology, Genetics, or other appropriate field plus two years’ experience in biosafety.
  2. Two or more years of experience working in a research, teaching, or laboratory setting.
  3. Ability to work independently and to interpret policies and procedures to solve unusual and/or difficult problems.
  4. Excellent organizational skills.
  5. Experience developing and maintaining computerized databases and tracking systems.
  6. Excellent interpersonal, written and verbal communication skills with the ability to work cooperatively with a wide variety of University administrators, staff, researchers, and students.

Preferred Qualifications

  1. Master’s degree or specialized background in Microbiology, Cell Biology, Molecular Biology, Genetics, or other related field.
  2. Experience in institutional/environmental biosafety.
  3. Experience in an academic research or higher education environment.
  4. Knowledge of federal regulations and guidelines relating to the use of biological agents.
  5. Experience creating online training and teaching/training various size groups.

IACUC Coordinator (Administrative Services Specialist II, UCP IV)

The Office of the Vice President for Research at the University of Connecticut is seeking an experienced and energetic administrative professional to provide committee support and coordination, to ensure that all animal care and use activities related to research and/or teaching conform to University and regulatory requirements and guidelines.

Characteristic duties and responsibilities include: Managing all administrative functions of the Institutional Animal Care and Use Committee (IACUC); provides administrative support to the IACUC Program Manager, Chair, and members of the IACUC; scheduling and coordinating logistics for meetings, inspections and training; timely preparation and distribution of agendas, minutes, decisions and related materials; conducts intake review of protocol submissions and follows up to ensure completeness; serves as liaison and represents the IACUC in responding to inquiries and providing information, guidance, interpretation or clarification within scope of authority; manages and maintains official and electronic records and files; coordinates workflow and processes administrative paperwork; may perform other administrative functions and related duties as required.

Minimum Acceptable Qualifications: Associates degree or equivalent combination of education and experience; three to five years of related experience; demonstrated knowledge of organizational/institutional administrative support processes, including scheduling and logistics; sound judgment, discretion, and demonstrated ability to interpret policies and guidelines, and to independently resolve problems of ordinary difficulty; excellent proactivity, planning, follow-through and organizational skills; excellent verbal and written communication and interpersonal skills; excellent timeliness, accuracy and attention to detail; demonstrated proficiency taking and transcribing notes and minutes and/or formal proceedings; demonstrated experience developing and maintaining computerized databases and tracking systems; proficient to advanced computer skills.

Preferred qualifications: Bachelors degree; experience working in a higher education setting; experience in the area of animal care and use, institutional review, research administration, audit, or other area of research, compliance or oversight.

The University of Connecticut offers a comprehensive package of salary and benefits. For a full list of duties and responsibilities please refer to the position description located at ovpr.uconn.edu/about/careers.

Screening of applicants will begin immediately. Employment of the successful candidate will be contingent upon the successful completion of a pre-employment criminal background check.

To apply, please submit a letter of interest, resume and a list of at least three professional references via Husky Hire (http://jobs.uconn.edu/).

For confidential inquiries or additional information please contact:

Laurie Pudlo, Administrative Manager

Office of the Vice President for Research

University of Connecticut

laurie.pudlo@uconn.edu

860.486.4247

The University of Connecticut is an EEO/AA employer.

 

The University of Connecticut (UConn) is a Land Grant and Sea Grant college and member of the Space Grant Consortium, and is ranked among the top 19 public universities in the nation according to the 2015 U.S. News and World Report.   In support of an ambitious state investment in economic development, higher education, and research, the Office of the Vice President for Research seeks highly motivated, skilled, and engaged individuals to work within an increasingly diverse and complex research environment.  

ovpr.uconn.edu

JOB SUMMARY

Under the general supervision of the Institutional Animal Care and Use Committee (IACUC) Program Manager, Research Compliance Services in the Office of the Vice President for Research (OVPR), the IACUC Coordinator coordinates and provides assistance to ensure that all animal care and use activities related to research and/or teaching conform to all applicable University, State, Federal and other external regulatory requirements and guidelines.

CHARACTERISTIC DUTIES AND RESPONSIBILITIES

  1. Manages all administrative functions of the Institutional Animal Care and Use Committee (IACUC) and provides support to the IACUC Program Manager, Committee members and Chair.
  1. Responsible for coordinating all aspects of the Committee’s functions and activities, including scheduling and logistics for meetings, inspections, and training sessions.
  1. Independently coordinates, prepares and distributes the agenda and meeting materials to the IACUC members for the bi-monthly meetings.
  1. Attends IACUC meetings with specific responsibility for: (a) taking detailed notes of the IACUC discussions and decisions in order to timely prepare minutes of bi-monthly meetings, (b) assists in the preparation of decision letters to investigators (on behalf of the IACUC Chair) after IACUC meetings on the outcome of their animal research protocol request, (c) independent follow-up on action items from IACUC meetings.
  1. Reviews protocol submissions to ensure compliance with administrative requirements in advance of the IACUC meeting, including: (a) completeness of the protocol, (b) investigator training requirements, (c) occupational health and safety requirements which involves interaction with the Environmental Health and Safety Office. Interacts directly with the PI to resolve these issues before the IACUC meeting. Reports at the IACUC meetings on these issues.
  1. Devises, modifies and maintains, or supervises the maintenance and coordination of complex filing systems, records and/or data systems.
  1. Devises, modifies and maintains electronic or computerized databases and tracking systems.
  1. Prepares narrative and informational reports, as needed or requested; compiles and organizes information requiring the understanding and evaluation of data sources.
  1. Responds to requests for information and provides assistance in solving a variety of problems.
  1. May train, supervise and establish work schedules for clerical or student staff.
  1. Transmits authoritative information and serves as a resource regarding policies and procedures relating to institutional animal care and use or related research compliance functions, with responsibility to occasionally interpret such policies and procedures.
  1. Regularly communicates with other University offices and/or outside agencies to request or provide information or to clarify procedures.
  1. In assigned area of responsibility, reviews operating procedures for efficiency and effectiveness; makes minor changes or recommends major changes or improvements; may participate in planning and decisions regarding new or changed procedures.
  1. Coordinates work flow and processes administrative paperwork.
  1. May assist in the logistical planning and execution of related support activities, such as arrangements for travel and lodging; preparation and distribution of information, literature and materials.
  1. Performs related duties as required.

MINIMUM ACCEPTABLE QUALIFICATIONS

  1. Associates degree or equivalent combination of education and experience.
  1. Three to five years of related experience.
  1. Demonstrated knowledge of organizational/institutional administrative support processes, including scheduling and logistics.
  1. Sound judgment, discretion, and demonstrated ability to interpret policies and guidelines, and to independently resolve problems of ordinary difficulty.
  1. Excellent proactivity, planning, follow-through and organizational skills.
  1. Excellent verbal and written communication and interpersonal skills.
  1. Excellent timeliness, accuracy and attention to detail.
  1. Demonstrated proficiency taking and transcribing notes and minutes and/or formal proceedings.
  1. Demonstrated experience developing and maintaining computerized databases and tracking systems.
  1. Proficient to advanced computer skills.

PREFERRED QUALIFICATIONS

  1. Bachelor’s degree.
  1. Experience working in a higher education setting.
  1. Experience in the area of animal care and use, institutional review, research administration, audit, or other area of research, compliance or oversight.

International Travel

To Countries of Concern

All  UConn faculty, staff or students planning international travel to a country sanctioned by the U.S. Government must clear their travel plans with the Export Control office (exportcontrol@uconn.edu) to ensure that any required approvals or licenses are in place prior to departure.

 

Highest Risk (countries which have OFAC sanctions or embargoes in place)

Country Type of Sanction
Belarus  No contact or business with certain individuals and their associations.*
Burma (Myanmar) No imports, no financial transfers to Burma, no investments with companies primarily dealing in or with Burma.
Congo, Democratic Republic of No contact or business with certain individuals and their associations.*
Crimea Region of Ukraine (annexed by Russia) Comprehensive embargo.  No travel without prior written approval by OVPR Senior Export Control Officer.  No imports, no exports, restrictions on financial transactions.  No contact or business with certain individuals and their associations.*
Cuba Comprehensive embargo.  No travel without prior written approval by OVPR Senior Export Control Officer.  No imports, no exports, no financial transactions, no trade in Cuban goods. No contact or business with certain individuals and their associations.*
Iran Comprehensive embargo.  No travel without prior written approval by OVPR Senior Export Control Officer.   No imports, no exports, no financial transactions, no trade in Iranian goods.  No contact or business with certain individuals and their associations.*
Iraq Contact Export Control Office
Ivory Coast No contact or business with certain individuals and their associations.*
Liberia No contact or business with the former Liberian regime of Charles Taylor.*
Libya No contact or business with the Libyan regime of Moammar Gadhafi.
North Korea Comprehensive embargo.  No travel without prior written approval by OVPR Senior Export Control Officer.   No imports, no exports, no financial transactions.  No contact or business with certain individuals and their associations.*
Somalia  No contact or business with certain individuals and their associations.*
Sudan Contact Export Control Office
Syria Comprehensive embargo.  No travel without prior written approval by OVPR Senior Export Control Officer.   No exports, restrictions on certain imports, restrictions on financial transactions.  No contact or business with certain individuals and their associations.*
Zimbabwe No contact or business with certain individuals and their associations.*

*Contact the Export Control office (exportcontrol@uconn.edu) for screening of contacts.

 

High Risk Countries (The government holds a general policy of license denial for ITAR* or dual-use goods) Afghanistan, Algeria, Azerbaijan, Belarus, Burma/Myanmar, Central African Republic, China, Comoros, Congo, Cote d’Iviore, Cuba, Cyprus, Eritrea, Haiti, Hong Kong, Iran, Iraq, Lebanon, Liberia, Libya, Macau, Nicaragua, Pakistan, Palestine, People’s Republic of Korea, Russia, Somalia, Sri Lanka, Syria, Saudia Arabia, Tajikistan, Turkmenistan, Ukraine, Vietnam, Venezuela, Yemen, and Zimbabwe.

 

With Equipment (Including Computers), Data or Software

All  UConn faculty, staff or students planning international travel with equipment or a laptop or other mobile computing device that has encryption software installed should be aware that certain equipment and encryption technology may be subject to export controls by the U.S. and other countries. The U.S. Department of Commerce and the Department of the Treasury have rules prohibiting the transportation of certain controlled equipment encryption technology into certain countries. All travelers who will be carrying or shipping equipment or encryption technology out of the U.S. are strongly encouraged to consult with the UConn Export Control office (exportcontrol@uconn.edu) or review this PDF for more information.

 

External Interests / Financial Conflict of Interest Module

This module provides researchers with the ability to complete and submit researcher and staff financial interest disclosures electronically. It allows Research Compliance Services staff to track and manage conflicts of interest, establish management plans, and fulfill our policy requirements. The module interfaces with proposals and human subjects.

How To Materials

Listed below are various self-service handouts and instructional sheets with simple instructions on how to perform various functions within the UConn Storrs/Regional Campus InfoEd External Interests module which covers Financial Interest Disclosures. PLEASE DO NOT USE THESE MATERIALS FOR UCONN HEALTH, but instead refer to the financial interests [FCOI] system page on the UConn Health OVPR website.

For technical issues with InfoEd, please email eRA-support@uconn.edu or call 860.486.7944.

Distribution of Facilities & Administrative Cost (F&A) for Research Grants and Contracts

Reason For This Procedures Document

 

To communicate the purpose, distribution and duration of F&A (indirect costs) revenue returns that are provided annually to the Deans, Department Heads and Principal Investigators generated from sponsored research activities.

What Is F&A?

Facilities and Administrative (F&A) costs, also known as indirect costs, are costs associated with sponsored projects that are incurred by the University that cannot be readily identified nor specifically attributed to a particular project, but which support research endeavors. Each year the Office of the Vice President for Research (OVPR) distributes a portion of the indirect costs earned on sponsored research grants and contracts to Principal Investigators (PIs), Department Heads and Deans to invest in and support research programs and initiatives that exhibit the greatest potential to bolster the University of Connecticut’s rise among the nation’s top research Universities. Please note, for non-research Sponsored Program F&A 10% is distributed to Deans.

How Is F&A Distributed?

The return of F&A generally occurs in the winter of each year and is based upon the indirect costs collected from research grants and contracts during the preceding fiscal year (July 1‑June 30).

The indirect cost distribution formula is as follows:

Principal Investigators 10%
Department Heads 10%
Deans 10%

The department and dean allocations are distributed according to the faculty’s academic home department regardless of where the grant is managed.

If there are any administrative changes in the grant, the Vice President for Research will make the appropriate determination as to the distribution of the F&A.

F&A returns are deposited into individuals’ unrestricted research accounts (Ledger 4) in Kuali and do not currently expire:

  • Once the IDC account is created, it is up to the FO / School to manage the owners, balances, activity and status.
  • PI over-expenditures are the responsibility of his/her academic department.
  • Departmental over-expenditures are the responsibility of their Dean.

What Is Distribution of Credit?

For grants that include a signed Distribution of Credit at the time of proposal, the proportion of indirect costs is distributed to PIs and Co-PIs, their corresponding academic home department and school/college based on the percentage of distribution listed for each faculty member.

For example:

NIH Grant, KFS# 5151510, with total F&A Costs of $20,000 for FY20xx and the Distribution of Credit (DoC) form submitted as follows:

PI/Co-PI                  Name                   DoC          Academic Home Department

PI:                           John Smith           50%           Pharmacy Practice
Co-PI:                     Sue White             25%           Math
Co-PI:                     Deb Brown           25%           Animal Science

The F&A will be distributed as follows:

PI 10%                                   Department 10%                              Dean 10%

John Smith-$1,000            Pharmacy Practice-$1,000            School of Pharmacy-$1,000
Sue White-$500                  Math-$500                                       CLAS-$500
Deb Brown-$500                Animal Science-$500                     CAHNR-$500

How Can F&A Be Used?

In order for UConn to maximize its success in meeting its research goals, distributed F&A should be used to support UConn’s research enterprise in accordance with existing University policies and procedures. Common uses of these monies include the following:

  • Funding for graduate student stipends, travel and other expenses incurred by graduate students while performing research;
  • Funding for postdoctoral researchers;
  • Research supply/equipment purchases;
  • Bridge funding;
  • Cost-share, required or voluntary;
  • Travel to meet with program directors, present papers, give invited talks, etc.;
  • Books, journals, papers and other similar expenses related to scholarship and research;
  • Project development costs such as proposal writing, proposal workshops, etc.;
  • General administrative and clerical costs (including office supplies) in support of research;
  • Research related recruitment costs;
  • Laboratory enhancements for research purposes; and
  • Faculty start-up packages for research programs.

Contact

For additional information on this procedure, please email researchfinance@uconn.edu.

Revised 10/21/2021

 

International Shipping

Everything that leaves U.S. borders is considered an export. Shipments of items (e.g., materials, equipment, technical data, software) sent to international entities are subject to U.S. export control laws. Prior to shipping an item internationally, UConn and UConn Health employees are required by policy to perform a due diligence check and communicate with the appropriate UConn offices to help ensure you are lawfully shipping your item.

Shipping is managed by the individual UConn or UConn Health employee creating the shipment. UConn and UConn Health employees are responsible for contacting UConn (Export Control Office) ECO to review shipments sent internationally to ensure export control requirements are met.

  • Restricted Party Screening: The ECO will conduct Restricted Party Screening of the intended recipients and recipient organizations to ensure those individuals/organizations are not on a federal government restricted parties list.
  • Classifying and Licensing: Items listed on the USML or with an ECCN may require export licenses with the relevant federal agencies. If you know your item’s classification or you are unsure of your item’s classification, please contact UConn ECO to help classify the shipment contents and/or determine if a license is required to ship the item(s).
  • Biological Materials: Shipments of biological materials (e.g., microorganisms, cell cultures, animal, plant or human samples, etc.) to a collaborator, industry partner, or back to the University from a field research site must comply with Dangerous Goods (Hazardous Materials) shipping regulations. Individuals planning to ship biological materials must complete training through Environmental Health and Safety at the Storrs and regional campuses or UConn Health to learn how to properly classify, identify, package, mark, label, and document shipments of biological materials and dry ice.
  •  Hazardous Materials: Shipments of hazardous chemicals, batteries, wastes, and other materials must comply with regulations of the United States Department of Transportation (DOT), International Air Transport Association (IATA), and International Maritime Dangerous Goods (IMDG) when shipping by ground, air, or vessel.
  • Material Transfer Agreements (MTA): An MTA is a contract that governs the transfer of various biological and research materials between two or more organizations. MTAs are reviewed by and UConn ECO. If you have questions regarding your MTA or if your shipment items require an MTA, please contact Ana Fidantsef (fidantsef@uconn.edu) at UConn TCS or UConn ECO.

To learn more about exports and international shipping, UConn offers FREE export control training through CITI to provide additional guidance on international shipment requirements. This training is freely available to all UConn and UConn Health faculty, employees, and students with a NetID. UConn Policy requires all export control project personnel affiliated with a Technology Control Plan (TCP), Technology Control & Security Plan (TCSP), or Access Control Plan (PICACP) to complete international shipping training.

UConn’s Export Control Office works with shipping partners across the university to quickly review international shipping requests.

Please contact exportcontrol@uconn.edu with any questions regarding international shipments.

PI Mentoring of Undergraduate and Graduate Student Researchers Conducting Research with Human Participants

This document is intended to provide principal investigators (PIs) with the IRB’s expectations about their role in mentoring student researchers who conduct research with human participants. This document is meant to compliment the “Responsibilities of Research Investigators” document given to researchers with every IRB approval and re-approval letter.

The Importance of Mentorship

  • Helps students work within an often unfamiliar federal regulatory environment
  • Contributes to the success of a student’s research experience
  • Prepares students for future research endeavors
  • Fosters professional development

 

PI Mentorship Responsibilities

    • Consider whether you have the time to mentor the student and oversee the research study.
      • Meet with the student prior to the development of a research project to discuss basic principles of ethical research design. Develop appropriate strategies for:
        • Recruitment/retention
        • Consent process
        • Data and safety monitoring plan
        • Writing scholarly papers and reports
      • Complete/renew required CITI human subjects training.
      • Ensure that the student researcher understands and abides by the ethical principles, professional standards and codes of conduct within the research discipline.
      • Assist the student in determining whether IRB review/approval is required. Contact IRB if unsure.
      • Assist the student in preparing the protocol application, consent document, recruitment material, etc. Student researchers should not complete the entire protocol submission solely on their own. The mentor is ultimately responsible for the integrity of the research.
      • Review and proofread the completed protocol application prior to IRB submission.
      • Guide students in the work habits necessary for success (planning, record keeping, disciplined work habits, procedures to protect participants’ privacy and confidentiality, etc.).
      • Be available. Provide supervision, guidance, and oversight for entire duration of study and at intervals described in the data safety monitoring section of the IRB-1. Hold regular meetings, if possible.
      • Ensure that the student researcher obtains proper approvals from all required organizations including those that are off-site.
      • Ensure that protocol deviations and adverse events are reported to the IRB as soon as possible.
      • Ensure that the protocol is re-approved according to the time-frame set forth in the approval letter.
      • Ensure that amendments are submitted before changes are made and that changes are not implemented before the changes are approved.
      • Ensure risks are minimized for research participants AND for the student researcher
        • Based upon the PI’s experience, is the research environment safe?
        • Has the student researcher been trained in how to address problems that may arise?
        • For field settings, particularly international research, are there travel advisories that may affect safety? PI and student researchers must be aware of university polices for foreign travel/research activities. PI must be sure that students are aware of local customs and regulations. Establish a communication plan with students. Develop effective plans for data security.
      • Ensure that the student researcher abides by the ethical principles of respect for persons, beneficence and justice, as outlined in the Belmont Report.
      • Ensure that the student researcher conducts the study in accordance with the approved protocol (including approved amendments).
      • Share responsibility with the student researcher for the conduct of the research.

 

As PI and as a mentor you MUST…

  • Be available for the student
  • Be involved in the research
  • Be supportive
  • Be knowledgeable about research rules, regulations, and policies
  • Be aware of who to contact should an issue arise

 

Finally, the mentor is ultimately responsible for ensuring protection of human participants.

Back to Researcher’s Guide