uconn

IRB Meeting Dates

UConn has two IRB committees, IRB 1 and IRB 2, which allow us to hold two IRB meetings per month.  There are no submission deadlines for studies that require convened board review.  Submissions are assigned to the next available agenda after undergoing pre-review.

 

2026 IRB 1 Meeting Dates

2026 IRB 2 Meeting Dates
Thursday, January 29th Thursday, January 15th
Thursday, February 19th Thursday, February 5th
Thursday, March 26th Thursday, March 5th
Thursday, April 16th Thursday, April 2nd
Thursday May 21st Thursday, May 7th
Thursday June 18th* Thursday, June 4th*
Thursday July 16th* Thursday, July 2nd*
Thursday, August 20th* Thursday, August 6th*
Thursday, September 17th* Thursday, September 3rd*
Thursday, October 15th* Thursday, October 1st*
Thursday, November 19th* Thursday, November 5th*
Thursday, December 17th* Thursday, December 3rd*
* Tentative * Tentative

 

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.

              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.

              Budgeting & Costing

              General Cost Principles

              The proposal budget is the financial plan of action that reflects the costs required to perform the proposed work statement.  The following information has been prepared to help you develop your budget plan.  See the links at left for specific information on Salaries, Fringe Benefits, Indirect Costs, and other budget categories.

              It is important to demonstrate that the budget proposed is reasonable.  A budget justification should be submitted in order to allow each budget item to be explained relative to the proposed research.  The specifics of the sponsoring agency’s budgetary guidelines should be followed carefully.  Budgets should be prepared for the entire proposed project. Both direct and indirect costs should be identified in the budget. The following categories are generally included in the preparation of a proposal budget.

              Sponsor budget requirements vary considerably, depending on the sponsor and type of proposal. Cost principles specified in the Office of Management and Budget (OMB) Uniform Grant Guidance are used to describe the cost principles for all sponsored agreements at the University of Connecticut. The tests for appropriateness under these principles are:

              • Reasonableness – A cost may be considered reasonable if the nature of the expenditure and the amount involved reflects the action that a prudent person would take under the circumstances.
              • Allocability – A cost is allocable if it is beneficial to the project.
              • Allowability – Costs must be allowed in accordance with the Uniform Grant Guidance and the terms of the sponsored agreement.
              • Consistency – Costs incurred for the same purpose in like circumstances must be treated consistently as either direct or indirect costs, and the method used to estimate, record, and report costs must be consistent as well.  See the table below for a description of how costs should be treated.

              Budget Categories

              Salaries and Wages

              List all personnel, including the names, roles, how many months, or the percent of effort that will be devoted to the project. Information on salaries, rates, and recommended escalation can be found on the Salaries page (linked at left).  Additional information about salary classifications and compensation can be found at the Human Resources or Payroll websites.  The NIH Guidelines for Salary Limitation on grants should be adhered to when calculating faculty salaries for NIH submissions.

              Fringe Benefits

              The fringe benefit rates should reflect the current rate schedule for the employment category being proposed. Information on fringe benefit rates can be found on the Fringe Benefits page (linked at left)

              Other Direct Costs

              The Other Direct Costs (or Other Costs) budget category includes those costs that are not appropriately included in other cost categories, or as required by the sponsor’s budget form. Generally, such costs include animal per diem costs (the cost of animals should be listed as a supply), human subject honoraria, publication charges, subawards, computer time, maintenance and other service agreements/charges, space rental, consultants, alterations or renovations, equipment rental, etc. Please see the SPS Other Direct Costs page for more information on many of these categories.

              Indirect Costs

              Direct costs are those costs that can be specifically identified with a particular sponsored activity, and can be assigned to an activity relatively easily and with a high degree of accuracy. Indirect costs are those costs that are incurred for common or joint objectives and therefore cannot be identified readily and specifically with a particular sponsored project. The recovery of indirect costs reimburses UConn for actual costs incurred by support functions to sponsored research programs at the University.  In addition, a portion of this money from research grants goes to the Research Council to be used for research incentive funds, grant programs for faculty and graduate students, and to meet cost sharing requirements for large equipment purchases. The University negotiates its rate, which is based on Modified Total Direct Costs (MTDC), with the Department of Health & Human Services.  UConn’s negotiated rate agreement can be found under Frequently Requested Information, along with the name, address, and point  of our Cognizant Agency. Additional information about the application of the indirect cost rate can be found on the SPS Indirect Costs page.

              It is the policy of the University to collect full indirect costs at the federally negotiated rates from all funding sources whenever possible.  Occasionally, sponsors may specify an indirect cost policy inconsistent with the University’s negotiated rate, and budgets should be prepared using the sponsor rate. Only the Office of the Vice President for Research has the authority to accept a reimbursement rate other than the negotiated rate.

              Consistent Treatment

              Costs must be treated consistently.  Consistent treatment means that similar costs must be treated uniformly in the same manner as either a direct cost or as indirect costs.  Certain types of costs, such as the salaries of administrative and clerical staff, office supplies, and postage are normally treated as indirect costs; therefore, the same types of costs cannot be charged directly to federally sponsored agreements.

              The OVPR SPS reviews the appropriateness of costs to determine if they qualify as direct costs. Exceptions (allowing costs listed in the Indirect Cost column as direct costs) are rare and are reviewed on a case-by- case basis by the OVPR SPS. Exceptions may occur when:

              • The program is a large complex project such as a center project that involves assembling and managing teams of investigators from a large number of institutions or units.
              • The project involves extensive data collection, analysis and entry, surveying, tabulation, cataloging, searching literature, or reporting.
              • The project requires coordinating travel and meeting arrangements for a large number of program participants, patients or subjects; or for conferences or seminars.
              • A project where the principal focus is the preparation and production of manuals, large reports, books or monographs (excluding routine progress and technical reports).
              • The project is off campus and does not have access to normal department administrative services.

              Nonrecoverable (Unallowable) Costs

              Expenditures that cannot, by federal regulation (Uniform Grant Guidance) be reimbursed, either in whole or in part, from the federal government are considered non-recoverable (unallowable) costs. When preparing a budget, the following costs are considered non-recoverable and should not be included in your proposal budget. Please consult with Sponsored Program Services if you have questions regarding these items.

              • Alcoholic beverages
              • Alumni activities
              • Bad debts
              • Commencement and convocation costs
              • Donations and contributions
              • Development/fundraising costs
              • Entertainment costs
              • Employee morale
              • Excessive employment recruitment costs
              • Fines and penalties
              • Goods or services for personal use
              • Housing and personal living expenses
              • Investment management costs
              • Lobbying costs
              • Memberships
              • Moving costs
              • Student activity costs
              • Travel costs in excess of commercial coach airfare

              07/24/2025