Financial Services includes the following activities: invoicing, cash application, collections, and interim financial reporting.

Non-Disclosure Agreements (NDAs) are designed to protect proprietary information that may be exchanged in the course of a research project. You may request the drafting of an NDA to address a situation in which you are either receiving confidential information from the sponsor, providing such information to the sponsor, or when confidential information is exchanged. Our Contracts Team prepares, negotiates and executes these NDAs for you. Once finalized, we ask all UConn personnel covered under a respective NDA to agree to comply with its terms.

The UConn Storrs/Regional Campus InfoEd is an enterprise-level, web-based application designed to manage all activities related to the management and execution of the research  project life cycle – from cradle to grave. The system comprises a suite of modules, each designed to manage a specific aspect of the research project cycle. These include: proposal development and submission to the funding entity during the pre-award phase (Proposal Development – PD) ; proposal tracking and management in the post-award phase (Proposal Tracking – PT); human research protocol application management (Human Subjects Management – HSM); lab animal protocol application management (Lab Animals Management – LAM); environmental safety management (Environmental Safety Management – ESM); intellectual property management (Technology Transfer – TT); and clinical trial management, case report form (CRF) design, and scientific data collection and management (Clinical Trials Management – CTM). The UConn InfoEd eRA Portal is also integrated with ORCID® iD to authenticate and display a researchers ORCID identifier within their profile if a researcher makes the connection between the two systems.  Modules currently installed at UConn include:

• • Proposal Tracking (PT). This module acts as a central clearinghouse of both pre- and post-award information. It provides a single reference point for tracking all details related to proposals including: budgets, subcontracts, approvals, technical reports, and all associated communications.

• • Human Subjects Protocol Development (HSD). This module provides researchers with an online portal for preparing, submitting and tracking human subjects protocols to the UConn Institutional Review Board (IRB).

• • External Interests (Financial Conflict of Interests). 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. These materials include how-to instructions for UConn Storrs and Regional Campus only and not UConn Health. Consult the FCOI website at UConn Health for the UConn Health FCOI how-to materials.

• • Proposal Development (PD). This module is used to develop, review, and submit research proposal applications for grants and contracts. By using this module, investigators can electronically route proposals through the University’s internal approval process and submit Federal proposals directly to the grants.gov web portal (System-to-System).

• • Human Subjects Protocol Management (HSM). This module is designed to support the review and management of human subjects research protocols by the institutional human subjects protection office.

• • Lab Animal Management (LAM). This module is designed to support the review and management of animal research protocols.

• • Tech Transfer (TT). This module contains legacy administrative data relating to intellectual property and was used to tracks inventors, patents, key dates, contacts, agreements, documents and communications, and financial information tied to expenses and royalties. This was replaced within the past several years by Wellspring Sophia.

• • SPIN (Sponsored Programs Information Network). SPIN is a searchable database that provides real-time access to current research funding opportunities. All data in SPIN is obtained directly from the sponsoring agencies themselves to ensure authenticity.

• • SMARTS (SPIN Matching And Research Transmittal Service). SMARTS is an automated system that periodically queries the SPIN database and sends notifications to investigators regarding available funding opportunities in their field of study.

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To establish guidelines for the disposition of residual balances remaining in sponsored project accounts for fixed price contracts awarded to the University.

Definitions

Fixed Price Contract

An agreement in which the University guarantees to deliver a product or perform a service for a set (fixed) price agreed upon in advance and payable regardless of actual costs. In the event the project costs less than the amount provided, the University is entitled to keep the remaining funds.

Residual Balance

An unobligated, unspent balance remaining in a sponsored project account after all work has been completed and all deliverables have been met.

Policy

Residual funds from the restricted project account will be transferred to an unrestricted account for use by the PI at his/her discretion subject to the following conditions;

• The project budget represented a good faith and realistic estimate of the cost to perform the work. Note: Any rebudgeting out of the equipment line will be subject to indirect costs.
• The PI confirms in writing that all project-related costs have been charged to the project account and that all deliverables have been met.

Residual balances of less than 15% of the fixed price contract will be transferred to the PI’s unrestricted account.

Residual balances in excess of 15% of the fixed price closeout will be evaluated by the Dean of the school/college to determine their disposition.

Procedures

SPS has established operating procedures designed to ensure compliance with this policy. This includes working with the PI and department personnel during the closeout process to ensure all project-related costs have been charged to the restricted account, and all deliverables have been met.

Roles and Responsibilities

The Executive Director of the Sponsored Programs Services has overall responsibility for this policy and will review it annually. Any questions relating to the policy should be directed to him/her.

This policy is effective March 1, 2013

Back to Proposals and Awards Policies

If you have not been registered in NIH eCommons, please complete and submit this form.

You will receive an e-mail directly from NIH with your username and password.

The following budget templates are provided to assist you with your budget preparation and can be modified as necessary.  Please note these are internal templates and may need to be transferred to the appropriate sponsor budget forms. When preparing budgets, salaries for graduate assistants should be increased by 2% per year and other personnel should be increased by 5% per year. Remaining items should be increased by at least 3% per year for inflation.

SPS Budget Templates

Proposal Submission Policy

Introduction

Sponsored Program Services (SPS) is always available to answer questions and provide guidance throughout the proposal development and submission process. The SPS Pre-Award Team can be reached at preaward@uconn.edu. Additional contact information for the Pre-Award Services team, listed by department, is available on the Pre-Award Contacts page. The Frequently Requested Information document provides a quick reference to information such as Authorized University Official name/s, UEI, DUNS number, FEIN number, Congressional District, addresses for sponsor checks, and much more.

Getting Started

The Principal Investigator (PI), sometimes referred to as Project Director, initiates the proposal process, and works with their department or center administrator to prepare the proposal according to sponsor guidelines. The PI is responsible for the technical content, budget, addressing compliance issues, along with the quality and preparation of the proposal documents. It is important that the funding agency (sponsor)’s priorities and evaluation procedures are understood as proposal materials are being prepared. Consider consulting with sponsor staff (typically referred to as program officers) before submitting your proposal. The program officer may be able to make valuable suggestions to improve your proposal or direct you to another program whose priorities might better match your proposal.

The Department Chair or Unit Head, and in most circumstances the College Dean, reviews and approves the proposal and budget, certifying that the project is consistent with the mission of the Department and College/School, the academic soundness of the proposal, that resources will be available, and that no commitments of University resources are made other than those described.

Review & Approval

Once the proposal is prepared, it is forwarded to Sponsored Program Services at preaward@uconn.edu. The Pre-Award Services staff review and approve proposals for compliance with sponsor guidelines, as well as Federal, State, and University regulations. The University’s authorized representative reviews, approves and signs all proposals. The signatures indicate endorsement, and commitment, on behalf of the institution, to the project.

All externally funded projects conducted at the University of Connecticut are expected to be consistent with the teaching, research, and service missions of the University. All projects are therefore, carried out within departments, centers or institutes, or other administrative units under the direction of a faculty member or comparable professional employee.

By limiting principal investigator/project director status to a limited set of designated individuals and/or job categories, and by procuring appropriate dean and department head approval, the University is assured that the proposed research is consistent with its missions and that the necessary space, equipment, facilities and qualified personnel are available to conduct the proposed project. In all cases, the individual designated as Principal Investigator or Project Director are judged to be qualified to conduct an independent research or other educational project.

For information about the eligibility to be a Principal Investigator or Co-Principal Investigator, please refer to the University’s policy on Principal Investigator Eligibility.

Proposal Review Process

1. The Sponsored Program Services (SPS) Pre-Award Grant Assistant compiles the proposal materials and date/time stamps as received.
2. In order of receipt, the SPS Pre-Award Grant Assistant enters the proposal information into InfoEd and forwards to the Pre-Award Specialist.
3. The SPS Pre-Award Specialist reviews the proposal materials to ensure compliance with institutional and sponsor policies.
4. When the proposal review has been completed, the SPS Pre-Award Specialist informs the principal investigator and/or department administrator of any changes to be made.  It is the responsibility of the principal investigator and/or department administrator to make the changes.
5. The SPS Pre-Award Specialist forwards the proposal to the University’s authorized representative for review, approval and signature.
6. For paper proposals or electronic submissions by the principal investigator, SPS returns the signed forms to the principal investigator or department administrator.  It is the responsibility of the principal investigator or department administrator to submit the final proposal to the sponsor.  A full copy of the proposal should be forwarded to SPS.
7. For electronic submissions by SPS, the Pre-Award Specialist submits the final proposal to the sponsor.  A full copy of the proposal is uploaded and is accessible to the principal investigator and department administrator via InfoEd.
8. The PI and/or department administrator should monitor submission of the proposal through sponsor acceptance of the proposal for review.  This can be done via e-mail from Grants.gov or directly from the sponsor.   If there are errors requiring correction, the PI and/or department administrator makes the necessary corrections and contacts SPS to resubmit.

Proposal Review Requirements

All administrative components of a proposal are due to SPS no later than 5 business days prior to the agency deadline and all scientific components (submission-ready proposal)  are due to SPS by noon the day before the sponsor deadline.  This is in accordance with the Proposal Submission Policy and Due Dates.  This allows SPS to review the proposal thoroughly and identify problems that need to be addressed, as well as allow you ample time to finalize the proposal.

See Proposal Submission Policy and Due Dates

All proposals must be routed through SPS for review and approval prior to submitting to the sponsor to ensure compliance with University, Federal, State, and Sponsor policies and procedures.  Pre-proposals that require electronic submission by SPS, the signature of an authorized official or cost share must be routed through SPS.  If a detailed budget is a requirement of the pre-proposal, it is recommended that the pre-proposal is also routed through SPS. The routing process is not completed until the authorized official in SPS has signed the proposal.

Submissions made prior to approval from SPS are not officially approved and may be administratively withdrawn if the submission is found to be non-compliant with University or agency requirements. If you have submitted a proposal without SPS review, please notify us immediately so we can work with you to route your proposal for the necessary approvals.

Proposal Submission Requirements

The following should be submitted to SPS 5 business days prior to the sponsor deadline:

• Completed  Internal Proposal Review Form (Reminder: Due date must be entered or write “No Due Date” if there is no due date)
• Proposal Guidelines from Sponsoring Agency
• Completed Proposal Cover Sheet
• Draft of Proposal Science Documents (i.e. summary, narrative, references)
• Budget and Budget Justification
• Cost Sharing Details and Approvals, if applicable
• Subrecipients:  Approved Scope of Work, Budget, Budget Justification, F&A Rate Agreement and signed Information and Compliance Form
• Completed Electronic application, if applicable (final science documents should be provided 2 business days prior to sponsor deadline)

Pre-Proposal Submission Requirements

The following should be submitted to SPS 5 business days prior to the sponsor deadline:

• Completed Internal Proposal Review Form (signatures not required)
• Proposal Guidelines from Sponsoring Agency
• Completed Proposal Cover Sheet
• Draft of Proposal Science (i.e. summary, narrative, references)
• Budget and Budget Justification, if applicable
• Cost Sharing Details and Approvals, if applicable
• Approved Scope of Work, Budget, Budget Justification, F&A Rate Agreement and signed Information and Compliance Form for Subrecipients for all subcontractors, if applicable.
• Electronic application, if applicable (final science documents should be provided 2 business days prior to sponsor deadline)

For assistance with preparing your proposal and meeting requirements, please refer to the Proposal Preparation Checklist

If the proposed research involves the use of human subjects, animal subjects, embryonic stem cells, recombinant DNA, or biohazards, Research Compliance Services can assist you in obtaining appropriate review and approval.

Proposal Submission Due Dates

The following proposal submission due dates allow SPS sufficient time to review the proposal thoroughly, identify necessary corrections and make appropriate recommendations.  The review timeframe allows PIs ample time to finalize the proposal prior to submission to sponsors.

Five (5) Business Days Prior to the Sponsor Due Date

Forward Proposal Review Materials to SPS for review.

• The PI/Dept. should forward the proposal review materials to SPS five (5) business days prior to the due date. The proposal materials can be hand delivered, emailed (preaward@uconn.edu), or faxed (860-486-3726).

Two (2) Business Days Prior to the Sponsor Due Date

Release Electronic Application with final Science Documents to SPS for Submission to the Sponsor.

• The PI /Dept. should release the final application to SPS two (2) business days prior to the due date for electronic submission to the sponsor. This allows time for final review and for submittal several hours in advance to minimize possible technology problems and maximize time for corrections in response to system errors indicated by Grants.gov (or other electronic systems).

Late Submission for SPS Due Dates

If proposal materials are not received in SPS by the internal due dates, the proposal is considered late. The proposal is added to the queue and is processed in the order it was received. The PI assumes the risk that there may be insufficient time for adequate proposal review, that he/she may need to correct errors in the electronic submission, and that the sponsor deadline may be missed.

 Proposal Submission on Days that the University has an Unscheduled Closing Due to Inclement Weather

When the University is closed due to inclement weather in accordance with the University’s Emergency Closing Policy, the Pre-Award Team is available to submit proposals due that day. It is at the discretion of the PI whether or not to submit or seek an extension from the sponsor as the University is closed.   Please copy preaward@uconn.edu on the extension request, if applicable.  Generally, the decision to accept a late submission is made by the sponsor on a case by case basis.  Please refer to the sponsor’s specific policies on late submissions due to inclement weather.

Proposal Responsibilities

The development and assembly of the various components of the proposal as well as complying with sponsor and institutional requirements is a shared relationship between the Principal Investigator, their academic unit and Dean’s office, and the Sponsored Program Services. The following chart summarizes the distribution of responsibilities.

Revised  11/08/19