uconn
Research Involving Cannabis, Hemp, and Marijuana
START Preliminary Proof of Concept Fund
Dear Colleagues,
Through a generous grant provided by the CTNext Higher Education Fund last year, the Office of the Vice President for Research (OVPR) has been administering an early stage translational research funding program called the START Preliminary Proof of Concept (PPOC) Fund. Under the grant, funding is provided to investigators at Central Connecticut State University (CCSU), Southern Connecticut State University (SCSU), University of Bridgeport (UB), and UConn on a competitive basis.
The START program aims to support the preliminary validation of innovative early stage technologies that have possible commercial potential and is designed to advance those technologies to be more attractive for additional funding. Proposals for the START PPOC Fund are welcomed from across all disciplines for early stage projects that may one day result in inventions and technologies that address unmet needs and have potential for commercial application.
As we wrap up the first year on funding, I would like to take a moment to recognize recipients from these institutions and ask that you join me in congratulating them on their efforts to commercialize technologies developed in the course of their academic research. For a full list of recipients and project information, visit the OVPR website.
For more information about the competition, visit the program website.
Thank you for helping to foster the culture of excellence in your schools/colleges, departments, and centers that allows UConn faculty to engage in research, scholarship, and creative activities at the highest levels.
Cheers,
Radenka
Celebrating UConn Research, Scholarship, and Creative Activities
Our three consecutive years of growth in total awards have borne out the value of our collective efforts.
Thanks to the tireless work of our faculty, postdocs, students, and staff, our new extramural awards for FY19 reached a three-year high of $266.2M. In FY17, our total new awards were $184.5M and in FY18, they were $258M. UConn Health received over $100M in new awards this past fiscal year reaching an all-time high. Our combined efforts represent a 44% increase over three years. We also saw upward trends in our entrepreneurship and innovation ecosystem, with a record 39 high-potential startup companies joining UConn’s Technology Incubation Program, and a ranking of 93rd worldwide in the number of US patents issued for UConn inventions. It is a matter of great satisfaction for me to have helped position entrepreneurship and innovation as an equal mission for our faculty alongside teaching, scholarship, research and creative work.
Our committed focus on seed funding, proof of concept grants, and awards to support the arts and humanities has contributed to STEM and non-STEM excellence. In FY19, our office contributed $2.3M to internal funding programs and an additional $100K to support grant writing workshops and resources. We are thrilled to see engagement, collaboration, and distinction from all areas of the University, whether it be STEM, non-STEM, or a collaborative hybrid, and that these combined efforts are producing growth in research and extramural awards.
I would like to highlight a few new initiatives launched by the OVPR in FY19 that supported faculty success:
- Convergence Awards for Research in Interdisciplinary Centers (CARIC): Support development of collaborative interdisciplinary teams to bid for major (>$5M) federally funded initiatives, such as research centers.
- Support of UConn Human Rights Institute with two postdoctoral fellowships in collaboration with the Schools of Engineering and Business.
- Program in Accelerated Therapeutics for Healthcare (PATH): In partnership with the Schools of Pharmacy and Medicine, aims to accelerate the translational pathway to convert discoveries into new medical therapeutics. The program seeks to quickly develop novel approaches focusing on well validated molecular targets for a specific disease area with an unmet treatment need in the current commercial marketplace.
- Scholarship and Collaboration in Humanities and Arts Research Program (SCHARP): In partnership with the Humanities Institute, SCHARP supports innovative works in scholarship and creative activities in the arts and humanities that have the potential to transform a field of study, impact the common good, or chart a new direction in scholarly, creative, or artistic direction.
- STEAM Innovation Grant: In partnership with the School of Fine Arts, STEAM encourages innovative collaborations between the arts and STEM disciplines. Projects funded by this grant may result in publications, exhibitions, performances, academic symposia, or other research outcomes.
- Stamford Innovate, a new internship program that connects talented UConn students with opportunities in startups in one of the fastest growing regions of the state.
If you want to learn more, click here for a full list of our internal funding programs.
As educators, we all take great pride in our students’ successes, and I wanted to take a moment to recognize some new student projects that are truly remarkable. In collaboration with the Office of the Provost, the OVPR supported a student-led podcast called In Vivo. With regular interviews about science, the arts, current events, and other topics, In Vivo highlights the amazing faculty, students, and staff that give UConn life. The show is conducted out of UConn’s WHUS studio and is run entirely by UConn students. Check it out and consider subscribing for future episodes to learn more about UConn researchers.
Another new initiative is World Poetry Books to support its mission of publishing and vigorously promoting a minimum of six books of exceptional poetry in translation each year. This support offers our students the opportunity to gain hands-on, professional publishing skills, and establishes UConn as home of a preeminent publisher of exceptional world literature.
While sharing accomplishments is important, we also want to increase transparency and continue to maintain open lines of communication as we push to raise UConn’s research profile. In addition to sharing research and tech transfer metrics on the recently revamped UConn Research website, we encourage faculty and staff to reach out with suggestions regarding new opportunities and unmet needs. It is only together – as a team – that we will continue to drive the growth of scholarship, research, and creative pursuits at UConn.
I’d like to conclude with a personal note of gratitude. I cannot thank all of you enough for giving me the opportunity to work with so many talented, hardworking, and committed colleagues. To my staff, I am deeply honored to serve as VPR and grateful for your support, continued improvement, and service to our faculty and students. At the end of a hard day, I find great inspiration in the knowledge that UConn’s faculty and staff – whether they be musicians, chemists, or scholars of law or other disciplines – are some of the world’s most innovative and active researchers. Thank you for making UConn a special place with a vibrant community of caring, collaborative people.
We are opening a new chapter for UConn with a new President who is focused on our excellence, strengths, and new opportunities. I look forward to this journey with all of you, and please remember my door is always open!
Cheers,
Dr. Radenka Maric
Vice President for Research, UConn/UConn Health
Scholarship Facilitation Fund Announcement
Dear Colleagues,
I’m very pleased to announce that the Office of the Vice President for Research (OVPR) has recently finalized award decisions for the Scholarship Facilitation Fund (SFF) Program. Through this program, the OVPR is able to provide up to $2,000 to UConn faculty across all disciplines, on a competitive basis, to promote, support, and enhance research, scholarship, and creative endeavors. The 2019 competition marked the first time that in-residence faculty were eligible to apply for SFF funding, a factor that contributed to a high level of participation in this cycle.
Please join me in congratulating the 2019 SFF recipients who competed in a highly selective competition.
For more information about the competition, visit the program website.
Thank you for helping to foster the culture of excellence in your schools/colleges, departments, and centers that allows UConn faculty to engage in research, scholarship, and creative activities at the highest levels.
Cheers,
Dr. Radenka Maric
Vice President for Research
UConn/UConn Health
SBIR and STTR
Various federal agencies provide funding to small businesses to conduct research and development with the goal of commercializing technology. This federal funding occurs via two different award mechanisms:
- Small Business Innovation Research (“SBIR”)
- Small Business Technology Transfer (“STTR”)
Both SBIR and STTR awards are made directly to a small business concern (“SBC”). A SBC is a for-profit company that is the applicant fora SBIR/STTR award. In this section of the guidance, we use the terms SBC and company interchangeably.
STTRs require that the SBC collaborate with a research institution (“RI”) for a certain portion of the award. SBIRs do not require RI involvement, but SBCs often collaborate with RIs on SBIRs. A RI is the research institution partner, such as UConn, that collaborates with an SBC for a SBIR/STTR award through a subcontract/subaward under the SBC.
UConn meets the criteria to serve as a RI for SBIRs and STTRs. UConn’s involvement in either a SBIR or a STTR occurs when it is either included in the proposal or the federal sponsor has provided approval to SBC to engage with the university and is awarded via a subcontract/subaward from the SBC to the university. In cases where there is a collaboration/subcontract/subaward between the SBC and the RI, there is an SBC PI and an RI PI (i.e. a PI for each side of the collaboration).
Requirements for SBIRs and STTRs
SBIR
Applicability | Eligibility Requirements |
SBC | Must be an American-owned business
Must be independently operated Must be a for-profit business Must have five hundred or fewer employees If sub-contract with another party, or with multiple parties: SBC must do at least two-thirds of research during Phase I; SBC must do at least one-half of research during Phase II |
SBC PI | Must be primarily employed with SBC |
RI | Involvement of RI not required
If the SBC subcontracts with RI: RI may conduct up to one-third of research during Phase I; RI may do up to one-half of research during Phase II |
STTR
Applicability | Eligibility Requirements |
SBC | Must be an American-owned business
Must be independently operated Must be a for-profit business Must have five hundred or fewer employees Not less than 40% of the research/research development must be performed by SBC |
SBC PI | Must be primarily employed by either the SBC or the collaborating RI |
RI | Research Institution collaborator required
Must be one of the following: A non-profit college or university; A domestic non-profit research organization; or A federally funded Research and Development Center RI required to conduct at least 30% of research and development but may conduct up to 60% of research and development |
SBC Use of University Space
Small businesses certify in their SBIR and STTR applications and award documents to the federal government that the SBC research and development will occur in SBC facilities using company employees unless otherwise indicated in the SBIR or STTR application and approved in the funding agreement. Therefore, performing the SBC portion of such research in University space using University resources — unless specifically approved by the funding agency and allowed by the University – subjects the company to potential criminal, civil, or administrative sanctions.
Consulting for a Faculty Affiliated Company
As a general rule, if the faculty affiliated company is sponsoring research at UConn under an SBIR or STTR, the faculty member should not be paid as a consultant under the award.
The Same Individual Serving as University PI and SBC PI
For SBIR awards, the SBC PI must be primarily employed by the company. Most faculty members are fully employed by UConn and therefore cannot serve as the PI for an SBC. To serve as PI for a SBC, the faculty member cannot have a University position or appointment of greater than 49%.
For STTR awards, the PI named on the award may be primarily employed by either the company or the University. The exception is for NSF STTR awards, in which the PI named on the award must be primarily employed by the SBC.
For the work conducted for both SBIR and STTR awards, the SBC PI and the RI PI may not be the same individual. While not explicitly stated, the STTR/SBIR policy, instructions, and project percentage requirements make clear that establishing a separation of entities and roles is important. Having the same person on both sides of the collaboration blurs the respective parties’ project roles, responsibilities and effort/time commitments.
Specific sponsor policies or requirements may differ and be more restrictive. For example, the NSF guidance states that no person who is an equity holder, employee, or officer of the proposing small business may (1) be paid as a consultant, or (2) be paid through a subaward budget, in either case, unless recommended and approved by the NSF.
Faculty members that have an interest in an SBC must read all sponsor requirements for SBIR/STTR proposals and awards carefully and note what situations may be prohibited or that may require advance sponsor approval. It is strongly recommended that the SBC engage counsel to review and advice on the grant awards, and hire accountants with specific expertise in SBIRs and STTRs.
Management of Faculty Affiliated Company Grants
The faculty affiliated company/external entity is responsible for all grant administration relating to company grants, including SBIR and STTR grants. The faculty affiliated company/external entity should seek professional advice on appropriate grant management and administration.
Federal and Sponsor Specific Guidance
The US Small Business Administration provides guidance to small businesses wishing to pursue SBIR or STTR funding opportunities. Their website includes general information as well as links to individual federal sponsor programs. Sponsors may have additional guidelines or restrictions and those small businesses seeking to pursue a SBIR or STTR project should be careful to thoroughly review guidelines and restrictions.
Faculty Affiliated Companies / External Entities
What is the purpose of this page?
Assistance with identifying University requirements, policies, guidance, and procedures, including State Code of Ethics laws, related to faculty affiliated companies /external entities.
NOTICE: If applicable, please review the notice for Faculty Obligations related to Engagement in Outside entities identified as Faculty Affiliated Companies.
Who should review this information?
Faculty, staff, and students who hold a financial interest in, or conduct University activities with, a faculty affiliated company /external entity.
Why is this important?
Perceived or real conflicts may arise between University activities and activities of faculty affiliated companies /external entities. The University of Connecticut, its Regional Campuses and UConn Health (the University) are committed to fostering the entrepreneurial activities of its faculty and staff, in addition to its core missions of teaching, research and service. Consistent with its mission, the University encourages translational research, innovation and entrepreneurial activities. The University also is dedicated to ensuring transparency and compliance with University policy and State and Federal regulations.
Is everything I need to know here?
These pages are not an all-encompassing list of requirements, and members of the University community are expected to know and comply with all applicable University policies, and State and Federal regulations. In some cases, federal law and regulation will be stricter than State ethics laws and UConn policy, and such applicable portions of federal law will take precedence, while other aspects of State or University policy will remain in force. The federal and state regulations that govern these areas are complicated and these pages do not cover every situation that may need to be addressed. Therefore, the University recommends faculty, staff and students seek expert guidance in addition to adhering to the provided guidelines.
Who do I contact for more information?
The information available within these pages is also summarized in a Guidelines for Faculty, Staff, and Students who are affiliated with a Company document. The University strongly encourages any University employee affiliated with a company or acting as a consultant for a faculty affiliated company to seek advice from the Office of the Vice President for Research, the Provost’s Office, the State Ethics Liaison, and the Procurement Services group. The Office of University Compliance is also available to assist with questions relevant to University policies or State and Federal regulations.
Purchasing Goods or Services
In general, State ethics laws prohibit faculty affiliated companies from selling goods or services to the University unless the company is awarded a contract through a public competitive procurement process. A UConn employee holding an interest in a faculty affiliated company / external entity should contact UConn Procurement Services and Sponsored Programs Services if the company would like to sell goods or services to UConn. Procurement Services will work with the appropriate departments to determine whether the sale would comply with State ethics laws and, if applicable, purchasing laws and regulations. If public competitive procurement is required, the UConn employee should play no role in the process (such as writing specifications for the good or service) and should not discuss the process with any UConn employee involved.
In addition, some research sponsors require advance notice or disclosure prior to purchasing goods and services from a faculty affiliated company. Sponsored Program Services must be contacted if there is a request or intent to purchase equipment or services from a company in which a faculty member on the award has significant financial interests to determine if prior approval from the sponsor or other steps are required.
Purchase and Use of Goods and Services from a Faculty Affiliated Company
Faculty affiliated companies /external entities (“the Company”) must comply with all state ethics obligations if and when the Company transacts business with the University or State of Connecticut. For University employees who have an interest with a faculty affiliated company/external entity, the following obligations are worthy of particular note:
- An individual with an interest in the Company may not participate in any procurement or contracting in which the University may buy products or services made or provided by the Company.
- Unless an exception is granted by the Vice President for Research or designee, an individual with an interest in the Company may not participate in any subawarding process in which the University may subaward funds to the Company. For additional information about subawards to/from faculty affiliated companies, please see Subawards and Subcontracts page.
- The Company may be barred from a transaction if a University employee with an affiliation with the Company is privy to information that is not available to other companies and that would provide the Company with a competitive advantage over other companies.
- The Company is generally only permitted to sell goods or services to the University or the State through an open and public process. For example, the Company is generally not permitted to sell “sole source” goods or services to the University or the State. The Office of University Compliance must be contacted prior to any such sale to determine whether the sale would comply with state law.
Obtaining and Moving Materials to/from a Faculty Affiliated Company
- If a University employee obtains materials from the Company for their University research, Sponsored Program Services should be contacted for consideration of whether a Materials Transfer Agreement (MTA) is necessary.
- If a University employee plans to move materials from their University laboratory to the Company, Technology Transfer and Venture Development should be contacted for an MTA.
Policies and Regulations
State of Connecticut Ethics Laws
University Guide to the State Code of Ethics
All University faculty and staff are subject to the Connecticut state ethics laws. Connecticut State ethics laws are designed to prevent a state employee, his/her family, and any associated business(es) from benefiting personally from his/her position as a state employee. The guidance on Consulting Approval, Purchasing Goods or Services, Employment of Students, and Use of University Facilities/Resources, are intended to help the University community comply with state ethics laws and University policy. While the University has developed its own policy based upon state ethics laws, the University Guide to the State Code of Ethics, the final authority to interpret and enforce these laws rests with the Office of State Ethics, an independent regulatory division of the state.
This policy includes several considerations related to conflicts of interest.
For guidance regarding individual situations, contact the Ethics Liaison.
University Policies
The following University policies are of particular importance for members of the University community who hold a financial interest in, or conduct University activities with, a faculty affiliated company. Additional guidelines on these topics are available within this site.
Code of Conduct
The Code of Conduct includes campus-wide standards on conflict of interest.
For guidance regarding individual situations, contact the Office of University Compliance.
Faculty Consulting Policy
This policy addresses when a faculty member is working for a faculty affiliated company in a paid or unpaid capacity, including as an employee, consultant, or advisor.
For guidance regarding individual situations, contact the Faculty Consulting Office.
Use of Students in Outside Employment
This policy addresses if a student is to be employed by a faculty affiliated company / external entity.
Financial Conflict of Interest in Research (UConn Storrs/Regionals)
Individuals at UConn Storrs, School of Law, School of Social Work, and the Regional campuses who are involved in University research as an Investigator must make full and timely disclosures of financial interests, including any financial interests with a faculty affiliated company /external entity, according to this policy.
Use of University Resources
Requests from faculty affiliated companies for access to and/or use of research lab space or equipment are reviewed to ensure research space and equipment remains committed to the research mission of the University. No one with a personal interest (or their subordinate) in the faculty affiliated company may authorize the use of University facilities and resources on behalf of UConn. For assistance, contact the Associate Vice President for Research Integrity & Regulatory Affairs or the Assistant Vice President for Research Finance in the OVPR.
Consulting Disclosure and Approval
If a faculty member, or any other University personnel subject to the consulting policy, do any work for a faculty affiliated company, whether or not compensation is received, prior consulting approval from the University is required. This approval is required even if the faculty affiliated company is not currently paying the faculty member.
For faculty members who have an ownership interest in a start-up company, that ownership must be disclosed when seeking consulting approval.
Faculty members must get consulting approval from the Department Head, Dean, and Provost if working for a faculty affiliated company in a paid or unpaid capacity.
Faculty must seek approval for the Use of University Resources , including University equipment, while consulting. Faculty members must reimburse the University for using University resources beyond di minimus amounts.
UCPEA staff should adhere to the provisions in Article 39 of the Collective Bargaining Agreement.
Approval under the University’s Faculty Consulting system is in addition to any other disclosure statements (e.g., for research financial disclosures).
Any consulting activity that is ongoing requires a new request form every fiscal year.
For questions related to the faculty consulting policy, contact the campus Faculty Consulting Office.
Disclosure of Financial Interests
Disclosure in Publications, Presentations, and Transactions
Individuals must disclose ownership and consulting relationships, if any, with a faculty affiliated company/external entity in all publications, presentations, and transactions related to the company’s technology. Likewise, the faculty affiliated company would disclose its relationship with the faculty member, and the individual’s role with the company, in all publications, presentations, and transactions related to the individual’s work in the development and marketing of its technology.
When an individual files an application for any grant or contract, whether through the University or through a faculty affiliated company/external entity, the individual must disclose their financial interest with the company as required by the granting or contracting entity.
For Investigators who own equity in a faculty affiliated company or start-up company, the ownership must also be disclosed through the University’s financial interest filing process described below.
Financial Conflict of Interest in Research – Disclosure and Management
Individuals at the University involved in research must make full and timely disclosures to the Financial Conflict of Interest in Research Committee of all financial interests meeting the disclosure threshold for Significant Financial Interests (SFIs) within the InfoEd External Interests system.
This includes disclosure of any and all equity or other ownership interests in non publicly-traded entities, such as faculty affiliated companies or other non-public external entities, even if the company has no current value or the value is unknown.
These disclosures are reviewed and, where required, managed, reduced, or eliminated to address potential conflicts in the design, conduct, or reporting of research according to the University’s Financial Conflict of Interest in Research policy. In some instances, there may be specific sponsor policies or requirements that are more restrictive than State ethics laws and UConn policy, and such applicable portions of sponsor policies or requirements will take precedence, while other aspects of State or University policy will remain in force.
Investigators should review the terms of all awards and must comply with all terms and conditions to be certain there are no additional restrictions pertaining to a company relationship.
Obligation to Update and Provide Information
If there is a change in an individual’s status or responsibilities related to a faculty affiliated company/external entity, the financial disclosure may be required to be updated and other University areas may also need to be notified (e.g., Faculty Consulting Office). According to University policy, the research financial disclosure is required to be updated within thirty (30) days of the acquisition or discovery of any new significant financial interests.
Subawards and Subcontracts
Subaward from Faculty Affiliated Company to UConn
The University may accept research subcontracts/subawards from faculty affiliated companies (FAC) in which the FAC is the sponsor. All of the relevant requirements and policies for subcontracting to the University apply regardless of the fact that the subcontracting entity is a FAC. The University Conflict of Interest Committee(s) may place specific requirements on the investigator or others working on the project to manage, reduce or eliminate the conflict.
Subaward from UConn to a Faculty Affiliated Company
If the Principal Investigator (PI) is a faculty member who has an interest in a FAC, the University will not subcontract or issue a subaward to any FAC in which the PI has an interest.
If a Co-PI on the grant has an interest in a FAC, specific rules apply if there is a subcontract or a subaward to any FAC in which the Co-PI has an interest. As a state employee, a Co-PI may be prohibited by state ethics law from having the FAC contract with the University. There is an exception that allows a subcontract or subaward if it is intended to support a collaboration to develop and commercialize an invention or discovery. Many subcontracts and subawards may come within this exception. They are permitted, provided that the following additional requirements are also met:
- the PI does not have an ownership or other interest in the FAC receiving the subcontract or subaward
- the PI does not receive any financial gain from making the award
- the PI has made an independent decision based on the merits to select the FAC and the decision is not based on other factors such as personal or professional relations with the Co-PI
- the Co-PI did not participate in the decision to make the award to the FAC
- the FAC receiving the subaward or subcontract must be qualified to do the work, and the economic and other terms must be commercially reasonable; and
- the evaluation of the work product and the approval of invoices from the company must be done by the PI independently, without the participation of the Co-PI. In addition, in these situations, UConn will inform the sponsor of the potential conflict and confirm that the sponsor has no objections.
The PI cannot receive a payment from the Co-PI or the company receiving the subaward or subcontract. Nor can there be any agreement to funnel subawards or subcontracts to a company in which the PI has an interest.
As noted elsewhere, this does not address any restrictions that may be imposed by the funding source, whether a federal grant or otherwise. The application of those rules needs to be evaluated in the context of the specific situation.
For assistance , contact Mark Reeves, Director, Sponsored Program Contract Services, at mark.reeves@uconn.edu.
InfoEd and ORCID iD Integration
The InfoEd eRA Portal is integrated with ORCID®. ORCID iDs are unique identifiers assigned to individual scholars and researchers. ORCID provides a persistent identifier – an ORCID iD – that distinguishes you from other researchers and a mechanism for linking your research outputs and activities to your iD. Using an ORCID allows your manuscripts, grants, and other scholarship to be more discoverable and integrated within larger research networks. Faculty, staff and students at the University of Connecticut
can authenticate and display their ORCID iD along side their name on their InfoEd Genius profile. The InfoEd-ORCID was the first ORCID iD integration at the University of Connecticut and was completed in August, 2019. In November, 2019 InfoEd UConn Health and ORCID integration went live.
Connect
From your InfoEd profile, click the “Connect Your ORCiD ID” link to begin the Authentication process. If you already have an ORCID, enter your Email or ORCID iD and ORCID password, and then click sign into ORCID button to login with your ORCID account. You may sign in through a personal or Instititonal account using your UConn NetID. If you do not have an ORCID, click Register now to create one, provide the necessary information, and submit the registration form.
Authenticate
When you click the “Authorize” button, we ask you to share your iD using an authenticated process: either by registering for an ORCID iD or, if you already have one, to sign into your ORCID account. We do this to ensure you are correctly identified in our electronic Research Administration systems and are securely connecting your own unique ORCID iD.
Display
To acknowledge that you have used your iD and that it has been authenticated, we display the ORCID iD icon alongside your name in your InfoEd Genius profile and provide a link to your ORCiD profile from within the InfoEd eRA Portal.
Contact
If you need help with connecting your ORCID iD to your InfoEd profile, email era-support@uconn.edu or call 860-486-7944.
If you have questions about getting an ORCID, how it will be used by the University of Connecticut, or any other related questions, please contact Carolyn.Mills@uconn.edu at UConn Libraries.
Important Information from the NIH and NSF
Dear Investigator,
On July 10th, the National Institutes of Health (NIH) published a reminder on NIH Policies on Other Support and on Policies related to Financial Conflicts of Interest and Foreign Components. This was followed on July 11th by a Dear Colleague Letter on protecting research funded by the National Science Foundation (NSF) from NSF Director, Dr. France Córdova. These notices relate to the ongoing concerns regarding foreign influence in federally funded research.
In response to these publications, the OVPR recommends that any collaborations with foreign entities or individuals, or appointments with foreign entities (including foreign talent or similar programs) be disclosed to the NIH or NSF program officer, your Dean, and the OVPR (contacts and additional information listed below).
The OVPR has posted additional guidance on our site regarding Active and Pending Support and Foreign Collaborations. For any questions or for guidance on this and other related matters, please contact:
- Laura Kozma, Executive Director SPS (laura.kozma@uconn.edu)
- Paul Hudobenko, Director SPS – UConn Health (hudobenko@uchc.edu)
Thank you for your cooperation,
Radenka Maric, PhD
Vice President for Research
UConn/UConn Health
Important Information from the NIH and NSF for UConn/UConn Health Investigators
The NSF Letter references the draft NSF Proposal and Award Policies & Procedures Guide published in May 2019. Clarifications in the draft Guide related to current and pending support and biographical sketches include:
- Providing information for all current and pending support irrespective of whether such support is provided through the proposing organization or directly to the individual.
- Expanding examples of current and pending support to include non-profit organizations and consulting agreements.
- Reporting all projects and activities requiring a time commitment (no minimum has been established), even if the support received is only in-kind.
- Appointments should include any titled academic, professional, or institutional position whether or not remuneration is received.
The Dear Colleague Letter also states the NSF will be issuing a policy that NSF personnel and Intergovernmental Personnel Act (IPA) assigned personnel cannot participate in foreign government talent-recruitment programs.
The NIH Notice reminds applicants that in regards to Other Support, they must:
- List all positions and scientific appointments, both domestic and foreign, held by senior/key personnel which are relevant to an application including affiliations with foreign entities or governments such as titled academic, professional, or institutional appointments whether or not remuneration is received, and whether full-time, part-time, or voluntary (including adjunct, visiting, or honorary).
- Report all resources and other support for all individuals designated in an application as senior/key personnel – including the program director/principal investigator and other individuals who contribute to the scientific development or execution of a project in a substantive, measurable way, whether or not they request salaries or compensation. All current support for ongoing projects must be included, irrespective of whether such support is provided through the applicant organization, through another domestic or foreign organization, or is provided directly to an individual who supports the senior/key personnel’s research efforts.
- Report all current projects and activities involving senior/key personnel, even if the support received is only in-kind (e.g. office/laboratory space, equipment, supplies, employees), including, but not limited to, foreign financial support, research or laboratory personnel, lab space, scientific materials, selection to a foreign “talents” or similar-type program, or other foreign or domestic support.
- Provide the total award amount for the entire award period covered (including facilities and administrative costs), as well as the number of person-months (or partial person-months) per year to be devoted to the project by the senior/key personnel.
The Notice also reminds applicants of the need to determine whether projects include a foreign component, defined as the existence of any “significant scientific element or segment of a project” outside of the United States including:
- Performance of work by a researcher or recipient in a foreign location, whether or not NIH grant funds are expended and/or
- Performance of work by a researcher in a foreign location employed or paid for by a foreign organization, whether or not NIH grant funds are expended.
If a significant portion of a project will be conducted outside the United States, then there is a foreign component and NIH prior approval is required. If all project activity is conducted within the United States, but there is a non-U.S. resource supporting the project, it must be reported as other support.