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.

Click on the academic year to show the calendar

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

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.

2. Responsible for coordinating all aspects of the Committee’s functions and activities, including scheduling and logistics for meetings, inspections, and training sessions.

3. Independently coordinates, prepares and distributes the agenda and meeting materials to the IACUC members for the bi-monthly meetings.

4. 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.

5. 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.

6. Devises, modifies and maintains, or supervises the maintenance and coordination of complex filing systems, records and/or data systems.

7. Devises, modifies and maintains electronic or computerized databases and tracking systems.

8. Prepares narrative and informational reports, as needed or requested; compiles and organizes information requiring the understanding and evaluation of data sources.

9. Responds to requests for information and provides assistance in solving a variety of problems.

10. May train, supervise and establish work schedules for clerical or student staff.

11. 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.

12. Regularly communicates with other University offices and/or outside agencies to request or provide information or to clarify procedures.

13. 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.

14. Coordinates work flow and processes administrative paperwork.

15. 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.

16. Performs related duties as required.

MINIMUM ACCEPTABLE QUALIFICATIONS

1. Associates degree or equivalent combination of education and experience.

2. Three to five years of related experience.

3. Demonstrated knowledge of organizational/institutional administrative support processes, including scheduling and logistics.

4. Sound judgment, discretion, and demonstrated ability to interpret policies and guidelines, and to independently resolve problems of ordinary difficulty.

5. Excellent proactivity, planning, follow-through and organizational skills.

6. Excellent verbal and written communication and interpersonal skills.

7. Excellent timeliness, accuracy and attention to detail.

8. Demonstrated proficiency taking and transcribing notes and minutes and/or formal proceedings.

9. Demonstrated experience developing and maintaining computerized databases and tracking systems.

10. Proficient to advanced computer skills.

PREFERRED QUALIFICATIONS

1. Bachelor’s degree.

2. Experience working in a higher education setting.

3. Experience in the area of animal care and use, institutional review, research administration, audit, or other area of research, compliance or oversight.

• UConn Fly America Travel Presentation
• Federal Sponsored Travel Frequently Asked Questions
• Guidance on Fly America and Open Skies Regulations
• Fly America Exception/Waiver Checklist
• Travel Services Website

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.

• Quick Reference Guide New – for UConn Storrs and Regional Campuses only
• Create an Initial Financial Interest Disclosure New for UConn Storrs and Regional Campuses only
• Edit or Resubmit a Financial Interest Disclosure New for UConn Storrs and Regional Campuses only
• View, Print, Download or Save a Financial Interest Disclosure New for UConn Storrs and Regional Campuses only
• Turning Off Pop-up Blocking on Various Web Browsers Updated

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

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:

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

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

On December 26, 2013, the Office of Management and Budget (OMB) issued the Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards (also known as the “Uniform Guidance” or 2 CFR 200). The Uniform Guidance consolidates, streamlines and supersedes the eight existing OMB Circulars including Circular A-21, A-110, and A-133. Included in this new guidance are definitions, uniform administrative requirements (preaward & postaward), cost principles and audit requirements. The new guidance, which will affect all federally funded grants and contracts, will take effect on December 26, 2014.

In response to this release the University of Connecticut has set up a University-wide Uniform Guidance Task Force spanning both the Storrs and Farmington campuses. The Task Force includes representatives from central administration and various UConn departments active in research to coordinate the implementation of the Uniform Guidance. Among the Task Force’s goals is to keep the UConn community informed about the changes that will affect PIs, researchers, department administrators and others involved with sponsored projects. This webpage will provide updated information specific to Uniform Guidance implementation and will post new material once it becomes available.

Navigating the Uniform Guidance

The Uniform Guidance is broken down into the following subparts:

Part I – Objectives
Part II – Major Policy Reforms
Subpart A (200.0 – 200.99) – Acronyms and Definitions
Subpart B (100.200 – 200.113) – General Provisions
Subpart C (200.200 – 200.211) – Preaward Requirements
Subpart D (200.300 – 200.345) – Postaward Requirements
Subpart E (200.400 – 200.475) – Cost Principles
Subpart F* (200.500 – 200.521) – Audit Requirements

*Subpart F will apply to university audits beginning the fiscal year starting after the Uniform Guidance takes effect on December 26, 2014 (July 1, 2015).

Revisions to the Uniform Guidance can be found at the Federal Register Guidance for Grants and Agreements-February 22, 2021

What is UConn Doing to Implement the Uniform Guidance?

In preparation for the December 26, 2014 implementation date, UConn (all campuses) have created a subcommittee to review and catalog changes that may be required due to the new Uniform Guidance.

The group is responsible for determining the impact of the new regulations to existing policy and process, creating new training materials and revising policies where needed, and ensuring broad and effective communication strategies.

Training Materials

• PowerPoint Slides
• Implementation Guide for Principal Investigators and Department Administrators and Coverletter
• Subaward Determination Guidance
• Federal Cost Principles Training

Uniform Guidance Timeline

Resources

• Council on Financial Assistance Reform (COFAR)
  • COFAR FAQS (July 2017)
• Federal Demonstration Partnership (FDP)
  • Meeting Presentations from May 2014
  • Meeting Presentations from September 2014
• Council on Governmental Relations (COGR)
  • COGR Version 1 response to Uniform Guidance (April 24, 2014)
  • COGR Version 2 Guide to OMB Uniform Guidance (September 17, 2014)
  • COGR Implementation and Readiness Guide for the OMB Uniform Guidance (December 12, 2014)
  • COGR Implementation and Readiness Guide for the OMB Uniform Guidance (November 17, 2020)
• Federal Register
  • Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards
• National Science Foundation (NSF)
  • NSF Grant General Conditions (GC-1)
  • Financial & Administrative Terms and Conditions (CA-FATC)
• National Institute of Health (NIH)
  • NIH FAQs on the Uniform Guidance and NIH Interim Grant Conditions
  • NIH Interim Grant General Conditions
• Department of Education
  • Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards
  • ED FAQs
  • Dept of Ed Webcast PowerPoint
• NCURA
  • NCURA Webcast – Uniform Guidance: The Challenges of Implementation – PowerPoint

Animal Per Diem Rates

Animal per diem rates are available on the Animal Care Services website.

Proposals submitted to Sponsored Program Services must use the appropriate indirect cost rate in accordance with the most recently negotiated rate agreement and University policy.

The University’s Indirect Cost Rate Agreement, negotiated with the Department of Health and Human Services and dated 9/27/24: Indirect Cost Rate Agreement.

• Proposals submitted to Sponsored Programs Services (SPS) on or before 1/1/25 may be submitted using the former Indirect Cost Rates
• Proposals submitted to SPS after 1/1/25 must be budgeted in accordance with the new rates, using the rate effective at the beginning of each proposed budget period
• UConn’s Modified Total Direct Cost (MTDC) base has been updated to raise the threshold for inclusion of subaward dollars from $25,000 to $50,000, effective 7/1/25. As a result, the first $50,000 of the total amount of each subaward budgeted for inclusion after 7/1/25 should be included in the base when calculating indirect costs using an MTDC base.
• Current awards will continue to utilize the IDC rate in effect at the time of the initial award
• New awards may continue to use the proposed rate (if lower), if allowed by the sponsor

Federal & Corporate Rates

*Indirect costs are calculated on Modified Total Direct Cost (MTDC) which is Direct Costs minus certain exclusions. Direct Costs include salary, fringe benefits, materials and supplies, travel, and the first $50,000 of each subcontract (after 7/1/25).

Exclusions include equipment over $5,000**, rent, fellowships, tuition, participant support costs and subcontract amounts beyond the first $50,000 for each subcontract (after 7/1/25).

**In order to be consistent with State classification standards, the dollar threshold for capitalization of equipment at UConn is $5,000.

Off Campus Rate

In accordance with our current Indirect Cost Rate Agreement:

For all activities performed in facilities not owned by the institution and to which rent is directly allocated to the project(s), the off campus rate will apply. Grants or contracts will not be subject to more than one indirect cost rate.  If more than 50% of a project is performed off campus, the off campus rate will apply to the entire project.

The off campus indirect cost rate can be budgeted as follows:

• If rent is directly charged to the project.
• If more than 50% of all program activities are performed off campus.   (We request written confirmation from the PI).
• If the sponsor specifically requires the off-campus rate per the solicitation.

The on-campus rate is normally applied whenever the University leases or pays for space costs that are not direct charged to a grant or contract.

If you have questions, please contact your SPS Grants/Contracts Specialist.

Sponsor-Stated Limits

When the University collects indirect costs at less than the full federally negotiated rates,  indirect costs are charged to Total Direct Costs (including equipment, participant support costs, subcontracts, etc.,)  unless otherwise stated in the sponsor guidelines.

Funding from Connecticut State agency appropriations and local municipalities are charged a current reduced rate of 20%.  Indirect costs should be charged to Total Direct Costs.  If the Originating Sponsor is non-State, the full rate allowable by the originating/prime sponsor should be applied.

Reduction of F&A on Projects Having a Total Cost of $50k or Less

To allow for more buying power on small sponsored projects and to help foster smaller awards which may lead to additional funding, indirect costs on new awards received after October 1, 2017 with total costs of $50,000 or less, will be reduced to 20% or the difference between the full indirect cost rate and 20% will be distributed to the investigators indirect cost account.  Indirect costs are charged to Total Direct Costs (TDC) or Modified Total Direct Costs (MTDC),  as required by the specific sponsor or solicitation.

Sponsored Program Services (SPS) has developed guidance and FAQs on how this program is implemented.

Types of Cost Sharing

Typical examples of cost sharing include the percentage of personnel effort to be expended on the project; associated employee benefits; Graduate Research Assistant Tuition and un-recovered indirect costs. Costs incurred prior to the award are not allowable matches. Program income earned under an award may not count as cost sharing unless authorized by the sponsor.

Cash contributions are sources of funds from either internal or external sources.  University cost sharing is considered cash, as it can be accounted for from the University’s records. In-Kind contributions are non-cash contributions typically provided from outside sources such as donations of equipment, sub-contractors of time or facilities, or volunteer services.

The SPS Cost Share Priority Grid provides additional information about potential and allowable sources of cost share.

For more information, see the University of Connecticut’s Cost Sharing Policy.

Fringe Benefits

• The University’s fringe benefit rates are negotiated with its cognizant agency (DHHS) and are part of UConn’s Colleges and Universities Rate Agreement.
• The FY25+ (Until Amended) rate should be used for all budget periods extending beyond 7/1/2024.
• Fringe benefits will be charged at the applicable rate at the time the cost is incurred.
• Sponsored Program Fringe Benefit Rates are to be used when developing all sponsor and cost-share budgets (mandatory and voluntary).
• The following language is required in all proposal budget justifications that include fringe benefit costs using rates listed on the rate agreement:
  “The fringe benefit rates used in the proposal budget are based on the rates approved by the Department of Health and Human Services (DHHS, 9/27/2024).”

Sponsored Program Fringe Benefit Rates and Projections (%)

* Employee rate category includes Faculty, Professional and Classified Staff, and Postdoctoral Associates
**Special Payroll Examples: Summer faculty, other state agency employees, state retirees, summer graduate students