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Invention Ownership Flowchart

Invention Ownership flowchart (click image to view)

Ownership of Inventions and Creative Works Developed or Authored by University of Connecticut Employees*

The Office of the Vice President for Research (OVPR) is UConn’s designated receiving office for invention disclosures from faculty members, staff members, students and others working at the university. These disclosures can describe inventions, discoveries or other types of intellectual property, and they can cover patentable, non-patentable, copyrightable and non-copyrightable technologies and creative works. (Please note that software may be patentable as well as copyrightable.)

The flow chart below consists of questions designed to provide general information to help inventors, authors and other creators of intellectual property understand who owns their inventions and creative works.

Please note that not every circumstance can be included in a simple flow chart such as this. Nonetheless, this flow chart can serve as a general guide to understanding the ownership of intellectual property developed by university personnel during research and other programs at UConn, whether supported by university funds, federal agencies, non-profit foundations, industrial sponsors or other sources.

Furthermore, the final determination of who meets the legal requirements to be named an inventor on a patent or to be named an author of a copyrightable creative work depends on the details of the intellectual contributions made during the inventive/creative process that led to a specific invention, discovery or creative work. [Individuals who have questions regarding ownership of inventions and creative works are encouraged to contact the OVPR directly at 860-486-3622.]

*A university employee is any member of the faculty or staff, including visiting professors, postdoctoral trainees and students paid by the university.

 

Disclosing Your Invention

An invention is “the discovery or creation of a new material (either a new manufactured product or a new composition of matter), a new process, a new use for an existing material or any improvements of any of these.” Computer software may also be classified as an “invention.”

All researchers are required to disclose to UConn all intellectual property that could constitute inventions or copyrighted works.  This is especially important where any portion of the funding comes from the federal government, private foundation or commercial sponsor.  Federal law requires prompt disclosure for federally funded inventions.  If not, UConn, inventors and involved companies could lose very significant rights if disclosures are not promptly made.

You have an invention.  Now what?

  • Contact TCS when you believe you have a scientific or technical observation with potential commercial or research value.
  • Complete and submit the UConn Invention Disclosure Form or the UConn Software/App Invention Disclosure Form to TCS in sufficient time to file a patent application before publicly disclosing your technology or publishing a manuscript – preferably before submitting the manuscript for publication. Public disclosure includes journal publications, website publications, and presentations at conferences, posters, dissertations, master theses or abstract publications. More generally, it is when the intellectual property is made publicly available and accessible to those skilled in the art to which the invention relates.
  • To avoid risking your patent rights and possibly hindering the opportunity to market your invention, contact TCS before holding any discussions with people outside the UConn community. If a patent application has not yet been filed, TCS will give you a Non-Disclosure Agreement for the parties to sign before you describe your invention to them.
  • On the UConn Invention Disclosure Form, include companies and contacts you believe might be interested in your intellectual property (IP) or who may have already contacted you about your invention. Studies have shown that over 70% of all licenses are executed with commercial entities known by the inventor, so your contacts can be extremely useful.
  • Respond to TCS and outside patent counsel requests. While some aspects of the patent and licensing process will require significant participation on your part, we will strive to make efficient use of your valuable time.
  • Keep TCS informed of upcoming publications or interactions with companies related to your intellectual property.

The Invention Disclosure Form must be completed as described in the following steps:

  1. Complete the Invention Disclosure Form (Word document) or the UConn Software/App Invention Disclosure Form, as appropriate.
  2. Submit the form to the TCS group by e-mailing the disclosure to mccluskey@uchc.edu
    or mailing a hard copy to:
Christine McCluskey
Technology Commercialization Services
University of Connecticut MC6400
400 Farmington Avenue
Farmington, CT 06032

*In all cases a hard copy of the original signature page must be submitted.

  1. Upon receipt, the Invention Disclosure will be assigned a case number for tracking purposes and an acknowledgement will be sent to you via email.
  2. You will be contacted by the Licensing Director assigned to your invention disclosure within a few weeks after the submission.
  3. The Licensing Director will meet with you to learn more about your invention and begin to evaluate the technology for commercial potential.
  4. The invention will be presented to the TCS committee and will be considered for patenting based on technical merit, patentability, and marketability.
  5. You will be notified of the TCS committee’s assessment of the invention.

 

If you have any questions please contact us: techcomm@uconn.edu

About the OVPR

 

Responsible for overseeing the $375 million annual research enterprise across all UConn campuses, including UConn Health, the OVPR manages all aspects of research and scholarship activities for UConn’s world-class faculty.

The OVPR supports both short- and long-term initiatives to grow UConn’s research enterprise and robust innovation pipeline. Through a dynamic, multifaceted approach, the OVPR promotes single faculty investigator projects, large-scale interdisciplinary collaborations, partnerships with leading industries, and high-potential, university-driven startups.

The OVPR is responsible for:

  • Research Support & Development
  • Core Research Facilities
  • Grant Proposal Support
  • Award Management
  • Research Compliance
  • Technology Commercialization
  • UConn’s Technology Incubation Program

To learn more about UConn research capabilities, expertise, and partnerships, visit research.uconn.edu.

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.

         

         

         

         

        Procedures & Policy

        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.

        Items Required for Submission to SPS SPS Due Date (# of business days prior to sponsor due date)
        Proposal Review Materials for all proposals, including electronic (see Proposal Preparation Checklist for specific requirements) 5 Full Business Days
        Electronic Submission (ready to submit) 2 Full Business Days

        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.

         

        Proposal Preparation Responsibility

        PI/Dept.

        Dept. Head/ Dean/ Director/ VPR

        SPS
        Identifies appropriate funding opportunities

        X
        Reads proposal solicitation for requirements

        X
        Prepares full proposal as required by the sponsor (including all sponsor required forms)

        X
        Requests and documents approval and certification for Cost Share

        X

        X
        Completes Internal Proposal Review form (IPR) and Cost Share Approval form as appropriate and routes form(s) for signatures

        X
        Completes online Financial Conflict of Interest Disclosure (FCOI) and annual updates

        X
        Develops budget and justification to accomplish proposed scope of work

        X
        Provides proposal elements to SPS no later than 5 business days in advance of sponsor deadline

        X
        Revises and corrects proposal after SPS review; provides revised/corrected documents to Pre-Award Services

        X
        Works with the Purchasing Dept. to develop Small Business/Minority Subcontracting Plan if required

        X

         

        Review and Approval Responsibility

        PI/Dept.

        Dept. Head/ Dean/ Director/ VPR

        SPS
        Assures proposed project is appropriate and consistent with departmental and institutional mission

        X
        Assures proposed project has qualified personnel and adequate space

        X
        Indicates approval of draft proposal by signing IPRF Certifications

        X
        Approves and certifies Cost Share for the Department, School or College

        X
        Reviews IPRF for content and completion

        X
        Reviews SFID and forwards for further inquiry/action if appropriate

        X
        Evaluates and approves required and voluntary Cost Share for the University

        X
        Reviews budget for appropriate Salaries, Fringe Benefits, Tuition, Indirect/F&A, and projected escalations; checks calculations for accuracy

        X
        Reviews proposal elements and requests outstanding documents

        X
        Reviews proposal for compliance with sponsor requirements and provides feedback

        X
        Approves proposal, serves as authorized signatory and institutional representative

        X

         

        Submission and Post-Submission Responsibility

        PI/Dept.

        Dept. Head/ Dean/ Director/ VPR

        SPS
        Submits approved hardcopy (paper) proposal to sponsor. Submits approved electronic proposal if sponsor allows e-submisson by PI/Dept.

        X
        Submits approved electronic proposal to sponsor if sponsor requires e-submission by institutional representative

        X
        Submits Small Business/Minority Subcontracting Plan

        X
        Maintains proposal pending files and database

        X
        Prepares Post-Submission Sponsor Request materials (Just-In-Time information, revised budgets, additional forms, etc.) and submits to SPS

        X
        Reviews Post-Submission Sponsor Request materials, provides feedback, submits final materials to sponsor

        X

         

        Revised  11/08/19

        Limited Submission Policies

        Limited Submission Process Overview

        Increasingly, funding programs sponsored by federal agencies and private foundations place restrictions on the number of applicants from a single institution who are allowed to submit proposals/applications. These limited submission grants or awards require selection/nomination by the applicant’s host institution before proposals/applications can be submitted. At UConn/UConn Health, the selection process for limited submission awards is facilitated by the Office of the Vice President for Research (OVPR), and it is governed by the following guidelines. In order to ensure a fair and competitive selection process, the OVPR requires all investigators interested in limited submission funding to follow this process.

        1. Program advertisement: When the OVPR becomes aware of an upcoming limited submission funding opportunity, a request for proposals (RFP) will be released to notify the University community. The RFP will be posted on the OVPR website, sent out via the Storrs Daily Digest and UConn Health Lifeline email digest, and distributed to key grant administrators via listserv. If you become aware of a limited submission opportunity, please check the OVPR website to find out program-specific details and important internal deadline dates. If the opportunity is not yet listed on the website, please send an email to research@uconn.edu describing the program, including a link to the program announcement if possible. The OVPR will announce the program to the wider community, if appropriate, or will give you other instructions regarding how to proceed.
        2. General application guidelines: For most limited submissions, a two stage internal competition is held.
          • Stage 1 is the Notification of Intent to Submit (NOI). NOIs are used to determine the level of interest within the UConn/UConn Health community for a given opportunity. If there are more potential applicants than allowed under the program guidelines, the internal competition will proceed to Stage 2. A Notification of Intent to Submit is required for all limited submission RFPs, unless specified in the OVPR announcement. The NOI form is brief, and the information provided is not used in the selection process other than to gauge interest and to help select internal reviewers.  NOIs are submitted through the UConn Quest Portal as of January 2019
          • Stage 2 is the internal review of pre-proposals. If Stage 1 reveals that an internal competition is necessary, all NOI participants will be required to submit a pre-proposal (using the Quest Portal).  We provide general guidelines for pre-proposals (see pre-proposal guideline section below), though the specific requirements can vary from program to program. Please contact the OVPR at research@uconn.edu or 860.486.6378 if you have questions about what is required for a given opportunity. Pre-proposals are reviewed and rated by an ad-hoc faculty committee organized by the OVPR consisting of faculty members experienced in grant submission and familiar with the area of research addressed for a given opportunity. When necessary, external reviewers will be utilized as well. Final selections are made by the Vice President for Research based on the results of the faculty review.
          • All participants will receive notification of the results (and reviewer feedback, when available) at the conclusion of the review. Selected investigators will be given the go-ahead to complete full-length proposals according to sponsor guidelines. Final proposals must be submitted to Sponsored Program Services (SPS) at Storrs or UConn Health for final internal review at least 5 business days before the sponsor’s deadline. SPS will conduct a final review and provide instructions for submitting the proposal to the sponsor.

        Contact: For questions about limited submission opportunities or internal reviews, please contact Dr. Matt Mroz, Internal Funding Coordinator, at research@uconn.edu or 860.486.6378.

        Limited Submission Resubmission Policy

        The Office of the Vice President for Research (OVPR) is aware that for many funding mechanisms, one attempt at submission is not enough.  In order to be successful, PIs must have the opportunity to learn from and respond thoughtfully to reviewer feedback.  Because of this, we recognize the need for the limited submission selection process to strike a balance between allowing previously selected PIs to resubmit and allowing PIs with new projects an opportunity to submit.

        Therefore, the OVPR is establishing the following policies to guide review teams and to set expectations for PIs who submit for limited submission opportunities.  While we expect that most competitions will follow these guidelines, please note that the VPR reserves the right to select the applicants that best meet the needs of the University.

        Limited Submission Resubmission Guidelines:

        1. For mechanisms that allow more than one UConn applicant, each PI that submits to the sponsor will be allowed to resubmit the same project at least one additional time within two years of the original submission without being required to re-compete for a submission slot.
          1. If reviews are provided by the sponsor, resubmission is contingent upon receiving promising feedback.
          2. Applications that are rejected because of missing elements or eligibility questions cannot be resubmitted automatically.
          3. PIs must communicate their desire to resubmit to the OVPR Internal Funding Coordinator in a timely manner.
        2. For mechanisms that allow only one UConn applicant, resubmitting applicants must re-compete for a submission slot unless a previously submitting PI receives very strong feedback and contacts the OVPR regarding resubmission before a new internal competition is opened.
        3. Limited Submission Awards (those mechanisms that are judged on the PIs record of accomplishment rather than the quality of proposed research), resubmitting applicants must re-compete for a submission slot.
        4. Limited Submission applicants that are not chosen through an open competition (i.e. applicants who are nominated by deans, department heads, or other senior administrators) are not guaranteed resubmission.
        5. If a Limited Submission program cycle includes resubmitting applicants, the OVPR may allow other strong applicants from that cycle’s internal competition who are not selected the option to submit to the next cycle without competing again.
        6. Note: Internal competition notification emails will include language regarding whether resubmission is allowed or not in particular circumstances

        Limited Submission Pre-proposal Guidelines

        If an internal competition is necessary to select applicants for a limited submission opportunity, pre-proposals will be submitted via the UConn Quest Portal.  Unless other instructions are given in the UConn limited submission announcement, pre-proposals should include:

        1. Cover page, to include:

        • Complete contact information for the applicant
        • Sponsor
        • Name of program
        • Title of project

        2. Maximum two-page summary describing the project and demonstrating how it will:

        • Fulfill the program/solicitation criteria
        • Contribute to meeting the research and/or educational goals of the institution.

        3. Maximum two-page budget (if applicable) and budget justification, or summary of costs, including cost sharing commitment required in the solicitation. If a cost sharing commitment is required by the Sponsor, a letter of support is required from the Dean/Department Head as to how this commitment will potentially be achieved.

        4. Maximum two-page list of investigators, summarizing credentials and role in the project.  Brief CVs are also acceptable.

        5. Optional maximum two-page attachment containing any additional relevant information.  For example, if a proposal is a resubmission, a summary of available comments/reviews can be attached

        Please adhere to these guidelines, unless otherwise directed by the OVPR.  Pre-proposals will be reviewed by an internal screening committee with respect to program eligibility and criteria. Reviewers may, or may not, return comments.  Principal Investigators will be notified of approval to submit.

        Final proposals are due to the Sponsored Program Services, Storrs or the Office of Research and Sponsored Programs, UConn Health, a minimum of 5 working days prior to the sponsor’s deadline for final review prior to submission.