uconn

Initial IRB Approval

Which form should I use?

Form IRB-1: Protocol Application for the Involvement of Human Participants in Research: for Expedited or Full Board Review. Expedited and Full Board studies require the same level of review, so the same form is used for both types of review.  See the next section to determine which level of review is required.

Form IRB-5: Request for Exemption from Continuing IRB Review. The IRB makes exemption determinations.  This category requires initial IRB review, but the study is then exempt from continuing review.  See the next section to determine which level of review is required.

Form IRB-7: Protocol Application for Research Methods Courses (RMC). Course Instructors must submit an application for IRB approval of the types of research projects to be conducted by students in the class.  The IRB-7 protocol will receive expedited review.

Form IRB-9: Protocol Application for Ethnographic/Naturalistic Research.  Ethnographic/naturalistic research activities may require expedited or full board review.  The same form is used for both types of review.  See the next section to determine which level of review is required.

What level of review  is required: exempt, expedited or full board review?

Investigators make an initial determination for which type of review is appropriate for their study (full board, expedited, or exempt) and submit the required number of copies of the protocol and supporting documentation.  Upon receipt, the IRB staff, in consultation with the Chair or an IRB member, screens the protocol to verify the investigator’s initial determination.  The protocol is then placed into the appropriate queue for review.  The Chair, or his/her designee, makes the final determination of the type of review required and the appropriate expedited or exempt category.

For more information on each type of review, please see:

How long does a  review take?  When will I receive  approval?

Several factors affect the amount of time a review will take.  These factors include how many other applications were received ahead of yours, whether all investigators on the application have completed the CITI training program, and whether the application is complete or if there is missing information required.  The IRB reviews application in the order in which they were received.  When a new application is received, the IRB Cover Page is stamped, and an IRB protocol number is assigned.  The IRB Cover Page is returned to the Principal Investigator (or Correspondent) to verify receipt.  From the date of receipt, the amount of time a review takes is as follows:

  • Exempt reviews generally  take one to two weeks.
  • Expedited reviews  generally take two to three weeks, depending on the time of year.  The heaviest submission period is at the  beginning of the semester.
  • Full  Board reviews are dictated by the Meeting Dates/Deadlines.   IRB determination letters are sent to  investigators within one week of the meeting.   If a protocol determination is deferred, the study must be revised and  be returned to the full board for review.   If the IRB approves the protocol contingent upon minor modifications  being made, the study can be approved as soon as the modifications are made and  approved by the IRB Chair or his/her designee.

Which Consent Form template should I use?

The consent discussion that takes place between an investigator and participant must be captured in a document called an “informed consent form”, or “consent form.”  Ordinarily, all research participants must indicate in writing their willingness to participate in research by signing the consent form. However, signed consent may not be necessary or appropriate in certain studies, such as surveys, interviews and other minimal risk research, or in research where the participants are to remain anonymous. In these cases, the IRB gives an investigator permission to alter the consent process (waiver of signed consent), and the investigator should prepare an information sheet appropriate for the study. Federal regulations identify certain specific elements required for informed consent.  Depending on the nature of the research, the IRB may require additional elements.

For more information, see Standard Consent and Documentation section of the IRB Policies and Procedures documentation.

UConn HRPP Policies & Standard Operating Procedures

 

Human Research Protection Program (HRPP) Policy describes this Institution’s commitment to the protection of human participants at UConn-Storrs.

 

IRB Policies and Procedures describes how UConn-Storrs puts the various federal and local regulatory HRPP requirements into practice; refer to the following documents for updates:

 

 

 

Researcher’s Guide

This Researcher’s Guide provides investigators and students with information that will be helpful for meeting the standards set by the UConn IRB policies and by the Federal Regulations for the protection of human subjects in research.

Or go to each section in the guide:

IRB Meeting Dates

Beginning in January 2025, UConn will have two IRB committees, IRB 1 and IRB 2, which will allow us to hold two IRB meetings per month. With this change, there will no longer be submission deadlines for studies that require convened board review.  Submissions will be assigned to the next available agenda after undergoing pre-review.

 

2025 IRB 1 Meeting Dates

2025 IRB 2 Meeting Dates
Thursday, January 23rd Thursday, January 9th
Thursday, February 20th Thursday, February 6th
Thursday, March 27th Thursday, March 13th
Thursday, April 17th Thursday, April 3rd
Thursday May 15th Thursday, May 1st
Thursday June 26th Thursday, June 5th
Thursday July 24th Thursday, July 10th
Thursday, August 21st Thursday, August 7th
Thursday, September 18th Thursday, September 4th
Thursday, October 16th Thursday, October 2nd
Thursday, November 20th Thursday, November 6th
Thursday, December 18th Thursday, December 4th

 

IRB Members

The IRB is composed of members of the University and local communities. The individual members contribute the professional competency necessary to review specific research activities representing a broad range of disciplines through experience and expertise in their fields. In addition, the IRB seeks diversity in race, gender and cultural backgrounds to promote sensitivity to community attitudes and respect for the rights and welfare of human subjects. If you are interested in serving on the IRB, contact the IRB Office.

Each IRB meets virtually once per month.

 

Human Subjects Research

UConn-Storrs Human Research Protection Program (HRPP)

UConn-Storrs is dedicated to the protection of human subjects in research activities conducted under its auspices. The HRPP also covers research involving human participants conducted under the auspices of the Hartford, Waterbury, Avery Point, and Stamford campuses of the University of Connecticut.

The UConn-Storrs Institutional Review Board (IRB) within the HRPP reviews human subjects research to ensure that the studies it approves have appropriate safeguards for the ethical, compliant, and safe conduct of research, as well as the protection of the rights and welfare of the human subjects who will volunteer for participation. UConn-Storrs investigators must appreciate and understand their ultimate responsibility and obligation to protect the subjects participating in their studies. This includes conducting the study as approved by the IRB and reporting any unanticipated problems or noncompliance to the IRB for review and appropriate action.

The IRB is guided by the ethical principles of Autonomy, Beneficence and Justice, as outlined in the Belmont Report. The subject’s autonomy must be respected, study harms must be minimized and potential study benefits must be maximized, and the selection of who is versus who is not asked to serve as research subjects must be fair and directly related to the problem being studied (and not because of a group’s easy availability or compromised position).

If an investigator is part of an institution that already has its own IRB, either the UConn or the other institution’s IRB may serve as the IRB of record. The arrangement would be documented by a reliance or authorization agreement, which outlines each institution’s role in the research.

Frequently Asked Questions

Refer to HRPP SOPs for UConn-Storrs (in process) for full detail on the UConn Human Research Protection Program.

Who needs to comply with the requirements of UConn’s Human Research Protection Program (HRPP)?

All UConn University faculty, staff, and students must comply the HRPP Policy and associated Standard Operating Procedures (SOPs) of the UConn HRPP.  These documents are available on the Policies and Procedures page of the HRPP website.

Which activities require submission to the HRPP/IRB before beginning a proposed activity?

According to the Federal Policy for the Protection of Human Subjects (“Common Rule;” 45 CFR 46):

Activities that meet the specific definitions of “research” involving “human subjects/ participants” are covered under the requirements of the HRPP and require prior exemption or approval through the HRPP/IRB.

 

Research is a systematic investigation (an activity that involves a prospective plan which incorporates data collection, either quantitative or qualitative, and data analysis to answer a question) including research development, testing, and evaluation, designed to develop or contribute to generalizable knowledge [i.e., designed to obtain new information that would be applicable beyond the system (e.g., UConn)] in which it will be conducted/implemented and beyond the target population who will participate in the activity.

Note:

                (i) the activity must meet both bolded ‘parts’ of the definition in order to be considered ‘research’.

                (ii) There are activities that are specifically deemed not to be research. One relevant example:

Scholarly and journalistic activities (e.g., oral history, journalism, biography, literary criticism, legal research, and historical scholarship), including the collection and use of information, that focus directly on the specific individuals about whom the information is collected.

 

A human subject (or participant) is “A living individual about whom an investigator conducting research obtains:

(1) information or biospecimens through intervention or interaction with the individual and uses, studies, or analyzes the information or biospecimens, or

(2) obtains, uses, studies, analyzes, or generates identifiable private information or identifiable biospecimens”

According to Food and Drug Administration (FDA) regulations (21 CFR 50, 56, 312, 812):

If your study is evaluating what FDA considers to be a test article, i.e., biologic, drug (which may include dietary supplements, foods, and other substances), or device (which may include certain software, wearable technology, exercise devices, and other products), your research will be subject to FDA regulation. Proceed here for further details: https://ovpr.uconn.edu/services/rics/irb-2/research-subject-to-fda-regulation/

If you are unsure, complete the ‘Human Subjects Research (HSR) Determination Form’ available here: https://ovpr.uconn.edu/services/rics/irb-2/irb-forms-templates/ and submit in InfoEd for review (see FAQ below “How do I apply…” for more information on InfoEd).

 

NOTE: If your activity does not constitute research involving human participants subject to the UConn HRPP, it does not mean you can initiate the activity; other institutional policies may apply/permissions may be necessary.

OK, my proposed activity constitutes research involving human participants. What’s next?

First of all, you need to know what type of review your activity is going to need. It will either qualify for exemption, expedited, or convened/full board review.

Exemption Review: If all proposed activities fall within 1 or more exemption categories defined in the Common Rule (see 45 CFR 46.104(d)), most reviews will be conducted by an IRB specialist on behalf of the institution (unless the study qualifies for limited IRB review, in which case an IRB member will conduct the review). There are restrictions when the activity involves children and prisoners, so contact the IRB Office (irb@uconn.edu) if these populations are proposed for use. Exempt research is exempt from most of the requirements of the Common Rule, but it is not exempt from the ethical requirements of the Belmont Report, and will be reviewed to ensure that appropriate protections are in place.

Expedited Review: If all proposed activities involve minimal risk, and fall within the federally-defined expedited review categories, the activity is subject to all requirements of the Common Rule, including IRB review. However, since the activity is ‘minimal risk,’ the IRB review can be conducted by one IRB member (as opposed to the full committee). All federally-mandated approval criteria for nonexempt research will need to be met in order for the study to be approved.

Convened/Full Board Review: If the proposed activity does not qualify for exemption or expedited review, the study will be placed on the agenda for the next scheduled IRB meeting. Generally, the board meets on the second Tuesday of each month (with the exception of July and August). Studies determined to require full board review that are received by the first Tuesday of the month will be placed on the agenda. As with studies undergoing expedited review, all federally-mandated approval criteria for nonexempt research must be met in order for the study to be approved.

How do I apply for exemption or approval for my research involving human participants?

The specific materials that must be submitted depend on the type of review required.

For Exemption Review: See Section 5.4 of the SOPs (HRPP SOPs for UConn-Storrs (in process))*

For Expedited and Full Board Review: See Section 11.2.4 of the SOPs (HRPP SOPs for UConn-Storrs (in process)*

The online application is available in UConn’s IRB e-system, InfoEd. All submissions to the HRPP/IRB are done via the  Human Subjects/IRB Module of the UConn InfoEd eRA Portal at https://www.infoed.uconn.edu. See the How to Guide  for more information on using InfoEd, including step-by-step instructions for creating initial IRB protocols and other types of protocol submissions (modifications, requests for continuation/closure, and protocol deviations or unanticipated problem reports). For technical assistance using InfoEd, email era-support@uconn.edu or call 860.486.7944. The eRA Help Desk is staffed Monday-Friday, 8:00 AM – 4:30 PM.

Once I submit my application, what are the possible outcomes of review?

Approval. No further action is needed. You may begin your study.

Modifications Required for Approval. Certain prescriptive conditions must be satisfied before you will receive approval and the ability to begin your study. These conditions can be reviewed by IRB Specialists.

Deferral. This action is taken by the IRB when substantive conditions must be satisfied, or additional information is required in order to render the study approvable. If this outcome is a result of a full/convened IRB review, your response will need to be reviewed by the convened IRB at a subsequent meeting.

Disapprove (Full Board only). This action is taken when the convened IRB determines that the proposed research activity does not satisfy the criteria for approval and that it cannot be modified to render it approvable.

Tabled (Full Board only). This action is taken when the convened IRB cannot review a study on the meeting agenda. For example, quorum for the meeting is lost, or the primary and/or secondary reviewer are not present, or a study document is missing and review cannot be conducted without it (e.g., consent form, protocol, etc.).

Do I need to complete any training before the IRB can approve my submission?

Yes. All study team members must complete training in human research protections before exemption or IRB approval may be granted. Please see https://ovpr.uconn.edu/services/rics/irb-2/citi-training/ for additional information. Training is valid for a period of three years from the date of completion.

What are my responsibilities after I receive IRB approval?

You have several reporting responsibilities after you obtain IRB approval (besides requests for continued approval, where applicable--see FAQ “How long is my exemption or IRB approval good for?" below for details):

  • Since you must conduct your study as it was approved by the IRB, any changes you want to make to it must first receive approval from the IRB before you implement that change. This is accomplished by following procedures outlined in Section 11.6.1 of the HRPP SOPs for UConn-Storrs (in process). The only exception to this requirement is if you must deviate from the protocol to eliminate apparent immediate hazards to the subject. If this occurs, you must report this event to the IRB as soon as possible.

 

  • If an incident, experience, or outcome occurs, or new information comes to light during the conduct of the research that may be an ‘Unanticipated Problem Involving Risk to Subjects or Others’ (UAPs), the event must be reported within five working days following procedures outlined in Section 17.2 of the HRPP SOPs for UConn-Storrs (in process). These are events that meets all of these three criteria:
    • Is unexpected (incident, experience or outcome is not expected (in terms of nature, severity, or frequency); and
    • Is related or possibly related to participation in the research (“reasonable possibility”); and
    • Indicates that subjects or others are at a greater risk of harm (including physical, psychological, economic, or social harm) than was previously known or recognized.

        UAPs can be very important signals regarding promised protections and safety of research subjects. Remember, it may not just be that a previously unknown event has happened; It could be that the event was expected, but it is occurring more severely, and/or at a higher rate, than previously expected. Also note that UAPs do not just encompass physical issues; a stolen laptop that has study data on it may constitute a UAP in that there is an unexpected risk of a breach of confidentiality.

        If you are unsure if an event constitutes a UAP, please feel free to email irb@uconn.edu  and we will set up a time to discuss the event.

         

        • Finally, if you deviate in any way from the study protocol as it was approved by the IRB (e.g., use of the wrong consent form, not conducting all screening procedures before enrollment, skipping or adding study procedures, etc.), you need to submit the details to the IRB within 5 working days following reporting procedures detailed in the HRPP SOPs for UConn-Storrs (in process), Section 18.2.

         

        When you submit any of the reportable events above, the IRB will conduct a review to ensure that the rights and safety of subjects remain protected, and the integrity of the study remains intact. You will be notified of the outcome of the review, and any actions that need to be taken as a result.

        How long is my exemption or IRB approval good for?

        If your study qualifies for exemption, you will receive reminders to complete a short study status report every 36 months by the anniversary of the initial exemption. If you do not reply to these reminders by that anniversary date, your study will be administratively closed, and no further activity involving human participants (including analysis of identifiable data or biospecimens) may be conducted.

        If your study qualifies for expedited review and is not DoJ-funded or subject to FDA regulations, you will receive reminders to complete a short study status report every year by the anniversary of the initial approval. If you do not reply to these reminders by that anniversary date, your study will be administratively closed, and no further activity involving human participants (including analysis of identifiable data or biospecimens) may be conducted.

        If your study qualifies for full board review, or qualifies for expedited review but is DoJ-funded or subject to FDA regulations, you will receive an approval period that is no longer than one year, and must complete the continuing review process before the expiration date noted on your approval letter. You will receive reminders regarding the need for continuing review, but it remains the Principal Investigator’s responsibility to maintain continued approval with the IRB.  If your approval lapses, even if you’ve submitted your continuing review materials before the expiration date, you must immediately stop all activity involving human participants (including analysis of identifiable data or biospecimens). See Section 11.5.6.1 of the HRPP SOPs for UConn-Storrs (in process) for details concerning management of enrolled subjects during approval lapse.

         

        What should I do if my proposed activity involves non-UConn personnel and/or an external institution?

        Refer to the IRB Reliance webpages, including the IRB Reliance – General page and the Reliance FAQ page which contain detailed information regarding studies that will involve non-UConn personnel and/or external institutions.

        Financial Services Contacts

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

        Name Title Phone Email
        Crystal Lawton Manager of Financial Services 860.486.0064 crystal.lawton@uconn.edu
        Wendy Andrade Financial Assistant II wendy.andrade@uconn.edu
        Amy Zurowski Financial Assistant II amy.zurowski@uconn.edu
        Angeliki Papakalodouka Financial Assistant II angeliki.papakalodouka@uconn.edu
        General Mailbox 860.486-3622 spsfinance@uconn.edu
        General Fax Number 860.486.5381

        Faculty Travel Funding Guidelines

        Quick links to sections below

        Before You Apply
        Request Windows
        Funding Sources and Criteria
        Faculty Eligibility
        Covered Expenses
        Request Process
        How to Change/Cancel
        Post-Trip Requirements – Reimbursement Process
        FAQs for Trips Impacted by COVID-19
        Special Instructions for Using Travel Awards to Reimburse Pandemic-Impacted Travel

         

        Before You Apply

        Before making travel arrangements or traveling, all faculty must submit a Travel Request via Concur in order to:

        If you are participating virtually, you do not need to submit a Travel Request via Concur, since no travel is taking place.

        Receiving an AAUP/OVPR Faculty Travel Award does not infer that such travel has been approved by the University, only that the awardee has funding available to reimburse expenses from approved travel. Failure to follow appropriate policies and procedures related to University travel may result in unreimbursed out-of-pocket expenses for individuals. The following guidance can ensure all faculty and staff avoid such situations.

        Reminder: Any activity related to your faculty position for which you receive outside compensation, honorarium, or other form of payment (including payment of expenses) may require review and approval by the Faculty Consulting Office. Travel or other Professional Development costs relating to or overlapping with outside consulting activities are not eligible for reimbursement under the AAUP/OVPR Faculty Travel Funding Program.

        Due to the popularity of this program and demand exceeding supply of funds, faculty are encouraged to apply as soon as they are aware of the travel opportunity. Funds are limited, and awards are not guaranteed.

        Requests for reimbursement must be submitted within 60 days of travel ending.  Failure to submit reimbursement within 60 days may result in travel costs being assumed by the traveler/department.

        Once all funds for the FY are fully committed, the OVPR reserves the right to close down the request portal so that no new requests may be submitted.

        It is strongly recommended that all University travel is booked through UConn's travel agent, Anthony Travel, using the University-sponsored Travel Card (T-Card). Anthony Travel has a dedicated UConn agent. Travel can also be booked online within the Concur system where you can search for flights similar to the Expedia application.

        If you book travel independently and have to cancel this travel, you will be responsible for any resulting costs that will not be reimbursed by the University. For instance, if you book a non-refundable flight on Expedia and then have to cancel this travel due to the pandemic, you will not be reimbursed for the ticket. Anthony Travel will support any cancellation or postponement of travel that they have booked, including obtaining credits for the unused tickets. There are no booking fees or agent fees charged back to the department when using Anthony Travel.

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        Request Windows

        Common Request Portal

        Fall travel = Trips occurring July 1 – Dec. 31, 2024
        Request Window Opens May 1

        Spring travel = Trips occurring Jan. 1 – June 30, 2024
        Request Window Opens Nov. 1

        Trips spanning funding periods or fiscal years will be considered part of the period or year in which the greater number of travel days occur.

        Requests will be considered on a first-come, first-served basis. Due to the popularity of this program and demand exceeding supply of funds, faculty are encouraged to apply as soon as they are aware of the travel opportunity. Funds are limited, and awards are not guaranteed.

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        Funding Sources and Criteria

        This program unites two sources of faculty travel funding under a common set of guidelines and through a common request portal.

        Funding pools run on the fiscal year (FY) cycle (July 1 – June 30).

        Award funds cannot be transferred in part or in whole to other trips.

        AAUP Professional Development Fund

        • Per UConn AAUP contract (applicable to Storrs and Regional Campus), “each eligible full-time faculty member shall, upon request, receive up to $2,200 from the Professional Development Fund for any academic-related travel expenses…
        • …so long as such funds are available” (Article 19.6, Sec. F, Item iii).
        • Academic related travel
          • Related to research and teaching-focused conferences, academic workshops, and other professional development opportunities
          • Includes transportation, lodging, registration, per diem, etc.
        • 1st source of funding for all requests (regardless of type of participation)
        • Per UConn AAUP contract, 30% of AAUP Professional Development Fund will be reserved until February 1 for “junior” faculty (defined as terminal degrees earned within past 7 years; Article 19.6, Sec. F, Item iv).
        • Sole source for non-active participation (aka Attendance Only)

        OVPR Faculty Travel Fund

        • Augments the AAUP funding
        • Added requirement that funds only support dissemination of research results (active participation as a speaker/presenter) at conferences/professional workshops
        • Awarded only when AAUP funds are expended or otherwise not available

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        Faculty Eligibility

        Eligibility varies based upon funding source.

        Individual maximum of $2,200 is inclusive of both AAUP and OVPR funds and runs on the fiscal year (FY) cycle (July 1 – June 30).

        Per UConn AAUP contract, 30% of AAUP Professional Development Fund will be reserved until February 1 for “junior” faculty (defined as terminal degrees earned within past 7 years; Article 19.6, Sec. F, Item iv).

        AAUP fund

        • Full-time UConn faculty
        • Members of the UConn AAUP
          • Includes regional campuses, full-time Lecturers, Adjuncts
            teaching 2 or more courses now and each semester for the past two years
          • Excludes faculty in Law, Medicine, Dental Medicine, visiting faculty, Emeritus Faculty

          OVPR fund

          • Full-time UConn faculty
          • Members of the UConn AAUP
            • Includes regional campuses, Law School
            • Excludes faculty in Medicine or Dental Medicine, lecturers, adjuncts, visiting faculty, Emeritus Faculty

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          Covered Expenses

          All awards are made for the reimbursement of travel expenses only.

          All expenses reimbursed must adhere to UConn Travel policy.

          Award funds cannot be transferred in part or in whole to other trips.

          Reminder: Any activity related to your faculty position for which you receive outside compensation, honorarium, or other form of payment (including payment of expenses) may require review and approval by the Faculty Consulting Office. Travel or other Professional Development costs relating to or overlapping with outside consulting activities are not eligible for reimbursement under the AAUP/OVPR Faculty Travel Funding Program.

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          Request Process

          Common Request Portal

          One trip per request

          • Submit at least 10 days prior to departure to ensure adequate processing time.
            • Requests submitted fewer than 10 days before departure may not be processed before your travel begins.
            • Requests cannot be funded once travel has commenced.

            Before making travel arrangements or traveling, all faculty must submit a Travel Request via Concur in order to:

            Trips spanning funding periods or fiscal years will be considered part of the period or year in which the greater number of travel days occur.

            Requests will be considered on a first-come, first-served basis. The amount awarded will be determined by the qualifying amount providing all budgeted funds are available, individual fiscal year allotments have not been reached, and all of the submitted information is accurate.

            Due to the popularity of this program and demand exceeding supply of funds, faculty are encouraged to apply as soon as they are aware of the travel opportunity. Funds are limited, and awards are not guaranteed.

            Reminder: Any activity related to your faculty position for which you receive outside compensation, honorarium, or other form of payment (including payment of expenses) may require review and approval by the Faculty Consulting Office. Travel or other Professional Development costs relating to or overlapping with outside consulting activities are not eligible for reimbursement under the AAUP/OVPR Faculty Travel Funding Program.

            Need to make changes? Please email your detailed request to research@uconn.edu.

            Did you cancel your trip? Please email research@uconn.edu to let us know.

            • Award funds cannot be transferred in part or in whole to other trips.
            • Unused funds will be returned to the funding pool for redistribution.
            • Value of unused funds will be returned to the traveler’s annual fair share maximum

            Status Markers

            • Pending: Your request was successfully submitted and is awaiting review
            • Approved: Your request was funded
            • Not Funded: Your request was not funded. Some, but not all, possible reasons are listed below. Reviewers often make notes which can be found near the top of the notification email.
              • You have already reached your $2,200 limit for the fiscal year
              • All monies from the AAUP and/or OVPR funding pools are fully committed for the travel period (i.e. Fall or Spring)
              • You did not submit 10 days prior to departure, allowing reviewers sufficient time to process your request, and funds cannot be awarded once travel has begun
                • It may be the case that committed travel funds will go unused. Unused funds will be returned to the appropriate pools from which they originated, and applications previously Not Funded due to drained pools will be reconsidered in the order in which they were originally submitted, provided the proposed travel dates have not yet come to pass.

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              How to Change/Cancel

              Need to make changes? Please email your detailed request to research@uconn.edu.

              Did you cancel your trip? Please email research@uconn.edu to let us know.

              • Award funds cannot be transferred in part or in whole to other trips.
              • Unused funds will be returned to the funding pool for redistribution.
              • Value of unused funds will be returned to the traveler’s annual maximum

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              Post-Trip Requirements – Reimbursement Process

              Please collaborate with your department’s staff to request reimbursement of expenses upon completion of travel.

              All awards are for reimbursement of travel expenses only.

              • Reimbursements from OVPR award funds must include evidence of active participation.
              • See also “Covered Expenses” above.

              Requests for reimbursement must be submitted within 60 days of travel ending. This mirrors UConn Travel policy.

              Awards expire after 90 days

              • Awards will be closed after this period
              • Award funds cannot be transferred in part or in whole to other trips.
              • Unused funds will be returned to the funding pool for redistribution
              • Value of unused funds will be returned to the traveler’s annual fair share maximum
              • Exceptions only in special cases and with significant justification
              • Exceptions must be requested before award expires
              • Travel costs related to expired awards (that haven't been granted exceptions) will be assumed by the traveler/department.

              Reminder: Per updated UConn Travel Policy "reimbursements submitted over 120 days after travel is complete will not be reimbursed even with the approval from a Dean, Director, or Department Head."

              Reminder: Any activity related to your faculty position for which you receive outside compensation, honorarium, or other form of payment (including payment of expenses) may require review and approval by the Faculty Consulting Office. Travel or other Professional Development costs relating to or overlapping with outside consulting activities are not eligible for reimbursement under the AAUP/OVPR Faculty Travel Funding Program.

              Staff members: When charging the travel award account in Concur, please include the award number in the line item description. Also, please include in a Note the AAUP/OVPR Faculty Travel Award # and attach it. If not all award monies were used, you are also encouraged to note this, and by how much.

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              Non-Disclosure Agreements

              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.

              InfoEd eRA Portal

              UConn InfoEdThe 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.

               

               

              Fixed Price Residual Policy

              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

              NIH Commons Registration

              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.

              Budget Templates/Calculators

              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 Preparation & Submission Overview

              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.

               

              PI Eligibility

              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.