Office of the Vice President for Research
Research Integrity & Compliance
438 Whitney Rd. Ext., Unit 1246
Storrs, CT 06269-1246
irb@uconn.edu

For questions about:                                                                                                        Contact:

Central email: fcoi@uconn.edu

For Public Accessibility requests for information regarding FCOIs related to Public Health Service-funded research, please complete the Public Accessibility Request form.

Institutional Animal Care and Use Committee

UConn Storrs

438 Whitney Rd Ext

Storrs, CT 06269

Email: iacuc@uconn.edu

Committee Contacts

Leadership Contacts

In addition to being the University’s authorized representative for grants, contracts and other agreements from government agencies, private industry, and non-profit foundations and the central point of coordination for sponsored projects, Sponsored Program Services administers grants and contracts on behalf of the University.

Activities include establishing new awards and budgets in the University’s accounting system (KFS) and assisting with pre-award coding requests, approving and processing re-budgets of expenditures, cost transfers, no-cost extensions and preparation of final financial reports.

Awards Management also provides guidance and consultation on issues such as applicable regulations, allowable costs, cost share and match requirements as well as monitor account activity for adherence to terms and conditions of awards and applicable policies and regulations.

All grant management policies at the University are derived from Federal, State and University policies and regulations such as Office of Management and Uniform Grant Guidance.

Re-Budgeting Request Form
Used to request that the expenditure budget for a sponsored project account be revised to meet project needs.

No-Cost Extension Request Form ^{*Now in Jira*}
Used to request extra time to complete work on a sponsored project without additional funds being provided by the sponsor.

• SPS Jira Customer Guide

Cost Transfer Request Form

Used to request that a previously recorded expenditure be moved to or from a sponsored project account.

Pre-Award or Advance Account Request Form

Used to request that a KFS account be established prior to the start date of a project or receipt of the award notice.

Research studies involving human subjects require IRB review.  Evaluative studies and activities do not.  It is not always easy to distinguish between these two types of projects and projects frequently have elements of both.  Therefore, the decision about whether review is required should be made in concert with the IRB.

If you think that your project is limited to evaluative activities and therefore not subject to IRB oversight, please contact the IRB office at 6-8802 to discuss. 

The regulatory definition of research is defined as:

A systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge.

Evaluative studies are defined as:

Systematic collection of information about the activities, characteristics and outcomes of programs to make judgments about the program (or processes, products, systems, organizations, personnel, or policies), improve effectiveness, and/or inform decisions about future program development.

Below are elements that are common to evaluation and research projects.  This list is not intended to be comprehensive and not all elements are required in order for a project to be considered research or evaluation.  Rather, this list of elements can be used to assist faculty in determining whether an activity involves research requiring IRB review.

Informed by:

Coffman, J.  (2003).  Ask the Expert: Michael Scriven on the Differences Between Evaluation and Social Science Research.  The Evaluation Exchange, 9(4).  Retrieved January 8, 2012 from https://madvilletimes.com/

National Center for Justice Planning. (2012) Research and Evaluation Overview.  Retrieved on November 28, 2012 from https://www.ncja.org/

National Institutes of Health (2012). Evaluation Basics. Retrieved on November 28, 2012 from https://www.nigms.nih.gov/Research/Evaluation/

Oklahoma State University Institutional Review Board.  IRB Toolbox.  Program Evaluation: When is it Research? Retrieved on November 28, 2012 from

Patton, M. Q. (1997). Utilization focused evaluation: The new century text. Thousand Oaks, CA: Sage.

Scriven, M. (1991). Evaluation thesaurus (4th ed.). Newbury Park, CA: Sage.

U.S. Government Accountability Office.  (2005).  Performance Measurement and Evaluation.  Retrieved January 8, 2012 from https://www.gao.gov/special.pubs/gg98026.pdf

Source material for this policy guidance was provided by Oregon State University. The UConn IRB gratefully acknowledges this support.

Back to Researcher’s Guide

Please Note: This form has moved to Jira.

• Administrative Review and Approval of Proposals for External Support
• Enhanced Federal Whistleblower Protection
• Fixed Price Residual Policy
• Guidance: Cost Allocation
• Guidance: Expenditures on Sponsored Awards
• Guidance for Human Subject Participant Payments on Sponsored Awards
• Guidance on Scholarly Publication Costs
• Guidance on Technical Reporting
• Malign Foreign Talent Program Participation Policy
• NSF Cost Sharing Policy Guidance
• NSF Senior Personnel Salaries and Wages Procedure
• Participant Support Procedure
• Policy on Conflict of Interest in Research
• Policy on Cost Transfers on Sponsored Projects
• Policy on Effort Reporting
• Policy on Principal Investigator Eligibility on Sponsored Projects
• Policy on Extra Compensation for Full-time Faculty
• Policy on Freedom of Information (FOI) Requests
• Policy on Intellectual Property and Commercialization
• Policy on Minimum Effort on Sponsored Program Activities
• Policy on Misconduct in Research
• Policy on Sponsored Project Expenditures: Approval and Monitoring
• Pre-Award/Advance Account Policy
• Program Income Requirements and Guidance
• Record Retention Guidance for Sponsored Projects
• Reporting Harassment Findings and Actions to the National Science Foundation
• Research Data Management – Funder Requirements
• Subrecipient Monitoring Policy
• Tuition on Grants Policy and Guidelines

Project Risk Assessment

Before executing a subrecipient agreement, and every two years thereafter, subrecipient organizations that are not members of the Federal Demonstration Partnership must complete and submit a Subrecipient Profile Questionnaire, which allows the University to identify project-specific risks. Where the assessment reveals a high potential for risk, Sponsored Program Services (SPS) will develop a risk mitigation strategy before proceeding with the subaward.  The risk assessment takes into account several factors, including the following:

• Type of subrecipient organization (for-profit/not-for-profit/small business/corporation/foreign/domestic)
• Whether the subrecipient is subject to the Single Audit requirements.  Subrecipients not subject to Single Audit requirements must provide more information regarding their financial status and systems as part of the Subrecipient Profile Questionnaire
• Subaward value relative to the prime award (the greater proportion of subaward:prime award, the greater the risk)
• University’s prior relationship with the subrecipient
• Organizational and individual conflict of interest
• Necessary IRB and/or IACUC protocols

Post-Award Subrecipient Monitoring

The University is responsible for monitoring the activities of subrecipients to ensure that awarded funds are used for authorized purposes and that performance goals are achieved.

• At least annually, SPS will review subrecipient’s financial stability, financial processes, and controls as follows:
  •  Subrecipients subject to Uniform Guidance (UG) that expend $750,000 or more of federal funds annually are subject to Single Audit requirements.  Annual Single Audit certifications are retrieved from the Federal Audit Clearinghouse.  If the Single Audit is not available from the Federal Audit Clearinghouse, SPS will be request Audit Certification directly from the Subrecipient.  In the event of an unfavorable audit certification, SPS will confirm that the subrecipient has taken appropriate and timely corrective action(s).
  • Subrecipients not subject to Single Audit requirements must provide annual audited financial statements.
• SPS will review the audit documentation and determine whether or not the Subrecipient’s risk designation requires reevaluation.

Federal Funding Accountability and Transparency Act (FFATA) Reporting

As of October 1, 2010, all Federal grants of $30,000 and over are subject to the Federal Funding Accountability and Transparency Act (FFATA). FFATA requires prime recipients including UConn to report any subawards executed in the previous month that exceed $30,000. As of March 8, 2025, SPS staff use SAM.gov to enter, submit, and update the required FFATA reporting, which must be submitted by the end of the month following the month of full execution of the initial agreement or any subsequent amendment resulting in a subaward value of greater than $30,000.

Progress Monitoring, Technical Reports and Deliverables

• SPS, the responsible University PI, and department grant administrators will jointly determine the frequency and scope of departmental monitoring procedures. A “risk-based” approach to subrecipient monitoring is recommended, with the frequency and intensity of monitoring driven by the terms of the prime award and the criteria identified in the section of this procedure titled Project Risk Assessment (see above).
• PIs will monitor the progress of subrecipient work scope on at least a quarterly basis.
• Options for review include informal progress reports via phone conversations, e-mail communications, or face-to-face discussions, formal technical reports, or other deliverables specified in the agreement, required and due on specific dates. Subrecipient invoices will be submitted to the University PI.
• Subrecipient is required to submit invoices adhering to the following criteria:
  • Expenditures are reported for current period and cumulative period
  • Expenditures are itemized by cost category
  • Cost share and/or match is reported on each invoice
  • Invoice must also include the following:
    • Subrecipient’s name and address
    • Subaward Agreement Number and University account number
    • Project period and period of invoice
    • Invoice number and date prepared
    • Subrecipient contact person with respect to the invoice
    • Certification on each invoice as to the truth and accuracy of the invoice
  • Final Invoice must be submitted by subrecipient within forty-five (45) days of end date
• PI will review and approve invoices from subrecipients to ensure that:
  • Expenditures are consistent with the proposed budget
  • Costs are incurred within the period of performance and are allowable
  • Expenses are aligned with technical progress
  • Cost sharing is appropriately reflected if required
• The PI must sign the invoice to indicate that review has been completed and that the invoice has been approved for payment.

Submitting Invoices for Payment

The Principal Investigator must approve invoices for payment. This task may not be delegated.

Resolving Invoice Issues

• If the PI identifies a concern with subrecipient performance, PI will request clarification from the subrecipient PI.
• If department grant administrators identify any unusual, apparently excessive, or potentially unallowable charges invoiced by a subrecipient, and if the explanations from the subrecipient are insufficient to render a prudent judgment on the allowability of the cost, the department grant administrator shall refer the matter to SPS for resolution with the subrecipient’s institutional authorities.
• When SPS is satisfied that the issues are resolved, they will notify the department and PI to proceed with approval for payment. Invoices will not be approved for payment until all issues or concerns have been resolved.

Closeout of Subawards

SPS, in collaboration with department administrators and/or PI, will begin subaward closeout actions immediately following conclusion of the subaward period of performance. Subawards will be processed for closeout and formally closed within a 60-day time period, unless SPS grants the department an extension. A subaward may not be formally closed until all of the following closeout requirements have been met:

• Final review of costs charged to the University and final close-out of all commitments, accrued costs, or payables.
• Receipt of final invoice from subrecipient and Subrecipient Release and Certification Form (Attachment C).
• Receipt of all required deliverables as specified in the subaward, patent/invention documentation, and equipment reports. Final verification of technical completion will be indicated by the PI’s signature and date on the final invoice.

Technical Reports

Principal Investigators are responsible for preparing and submitting both interim and final technical reports, which typically include a description of the work performed, results of the work and any related publications resulting from the work. The SPS should be copied on the cover letter accompanying the interim and final technical report.

Financial Reports

Preparation of Financial Reports is the responsibility of the OVPR SPS. These reports are generally due within 90 days of the award expiration on federal awards; the deadline may be even shorter for state and private awards. Inability or failure to submit reports within the stipulated time frame can result in the suspension of funding and/or a delay in the release of future funding. All expenditures related to the project must be processed, open encumbrances closed, cost sharing verified, and the account(s) reviewed for errors or necessary changes in order to prepare the final financial report. The following policies are to be followed to ensure that the University of Connecticut is operating in compliance with sponsor terms and Federal policies such as OMB Uniform Grant Guidance and Cost Accounting Standards and to ensure that Sponsored Program Services is able to prepare an accurate and timely final financial report for submission to the sponsoring agency as well as close the account in the University’s accounting system, Kuali Financial System (KFS).

OVPR SPS will prepare and send to the Principal Investigator (PI) a draft report of final financial expenditures. There may be several items to which the PI is asked to respond. These include review of overexpenditures, expenditures after the end date, documentation of cost sharing, and identification of any charges not yet recorded in the University’s financial system (KFS). It is essential that these drafts are reviewed and returned within the time frame stated on the draft from OVPR SPS. In order to comply with sponsor reporting requirements, OVPR SPS will prepare finals based on the draft if the PI does not respond within the allotted time. Any unallowable expenditure, as well as any expenditure that remains unrecorded and therefore unbilled, will then become the responsibility of the PI and his/her Department Head or Dean.