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Important NIH teleconference on Covid-19 Monday, March 16, 2020

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Dear UConn Community,

Research!America is hosting a conference call on Monday, March 16th from 1:30 to 2:30 PM with NIH Deputy Director Lawrence Tabak. Dr. Tabak will discuss NIH’s efforts to ensure research institutions and scientists are accorded the flexibility needed as they confront COVID-19-related research disruptions. No need to RSVP for the call (call number below). To dial in:

What: Teleconference with Dr. Larry Tabak
When: 1:30-2:30 p.m. ET, Monday, March 16, 2020
Call-In: 866-876-6756 (toll-free) or 704-288-1165 (U.S.)
Passcode: 737857

The following are additional updates and guidance from the NIH and NSF

o   Frequently Asked Questions (FAQs) about COVID-19 for the National Science Foundation

o   NSF website for the research community with detailed guidance on the Coronavirus (COVID-19)

o   Frequently Asked Questions (FAQs) about COVID-19 for the National Institutes of Health

o   Flexibilities Available to Applicants and Recipients of Federal Financial Assistance Affected by COVID-19

 

Cheers,
Radenka

 

Radenka Maric
Vice President for Research, Innovation and Entrepreneurship
UConn/UConn Health

COVID-19 Research Continuity Planning and Guidance

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Dear Colleagues:

This guidance is being provided to help address questions regarding planning and preparation for potential impacts to research amid the evolving COVID-19 pandemic. UConn is actively monitoring and responding to the changing circumstances surrounding this situation, and information is posted and updated frequently on the following site: UConn Coronavirus (COVID-19) Updates.

Life safety and the good health of our research workforce, students, faculty, staff, and animals remain our highest priority. Research should continue only to the extent that it can be conducted competently and safely. We encourage open communication to ensure agreement about procedures for students and staff working in labs and research facilities. Faculty should be especially mindful of the competing needs of students who may have concerns about their research progress and degree completion, as well as their personal health and well being. We ask that faculty work to find creative and flexible ways to accommodate the needs and concerns of students and staff working in their labs.

With the ongoing concern about the spread of this disease, laboratories and research facilities should begin to plan for the possibility of a significant disruption to routine operations. Each laboratory or research facility is best positioned to create a continuity plan that will meet their unique needs. While not intended to be all-inclusive, this guidance is provided to aid in the development of your plan. The following describes the current situation, but any of the below information may be modified as the situation develops and based on resources and personnel constraints in Storrs, at UConn Health, and within the OVPR.

Office of the Vice President for Research (OVPR) Specific Information

  • UConn and UConn Health will maintain essential infrastructure, however, this may need to be modified depending on resources and personnel availability.
  • Given that many staff may be working remotely, the primary mode of communication should be email rather than phone.
  • Assume that research administration units such as Sponsored Programs and Research Compliance will continue to provide services.
  • Assume that Animal Care Services and Environmental Health and Safety will maintain their critical functions.
  • Additional guidance will be forthcoming regarding travel bans and cancellation of activities on grant-funded projects.
  • Researchers should continue to follow sponsor requirements for grant-funded activities and use existing mechanisms to make adjustments or modifications as needed.
  • Sponsors continue to release guidance. Below are examples from the NIH and NSF. You should monitor your funding agency for additional information.

o   Frequently Asked Questions (FAQs) about COVID-19 for the National Science Foundation

o   NSF website for the research community with detailed guidance on the Coronavirus (COVID-19)

o   Frequently Asked Questions (FAQs) about COVID-19 for the National Institutes of Health

o   Flexibilities Available to Applicants and Recipients of Federal Financial Assistance Affected by COVID-19

Research Continuity Guidance for Laboratories and Research Facilities

Considerations in developing your plan:

  • A significant percentage of your workforce may be out sick or unable to come to work.
  • Access to campus buildings, offices, laboratories and other facilities access may be limited or prohibited.
  • Essential research infrastructure, such as power and telecommunications, will be maintained. However, this may need to be modified as the situation develops based on resources and personnel constraints.
  • Orders for critical supplies may be delayed.
  • Core facilities and other fee-for-service resources may not be available.
  • Essential research support functions will be maintained. However, this may need to be modified as the situation develops based on resources and personnel constraints. At some point, research support functions may need to be curtailed, delayed, or suspended.
  • Research activities should only be continued to the extent there are qualified and trained staff available to safely and competently conduct those activities.

Steps you can take now to ensure continuity of critical functions:

  • Ensure that you have access to emergency contact information for your critical staff, including cell phone numbers.
  • Review contingency plans and emergency procedures with your staff.
  • Identify procedures and processes that require regular personnel attention (e.g., cell culture maintenance, animal studies).
  • Assess and prioritize critical activities.
  • Identify any research experiments that can be ramped down, curtailed, or delayed.
  • Identify personnel needed to safely perform essential activities.
  • Ensure cross-trained staff have the appropriate training and competency to perform research activities correctly and safely.
  • Ensure you are documenting critical step-by-step instructions in your Standard Operating Procedures.
  • Coordinate with colleagues who have similar research activities to identify ways to ensure coverage of critical activities.
  • Avoid performing high-risk procedures alone. When working alone is necessary, exercise maximum caution. Have a notification and safety plan when working alone.
  • Ensure that high-risk materials (radioactive, biohazards, chemicals) are secured at all times.
  • Maintain a sufficient inventory of critical supplies that may be impacted by global shipping delays.
  • Prioritize. Depending upon the nature of your research, consider prioritizing work that can only be carried out in your research facility, and put off tasks amenable to remote work, such as data analysis. Obtaining results and data now that could be analyzed remotely in the future is a potential option that might create future flexibility.

Remote access:

  • Ensure that those involved in research projects have access to information they need to carry out work remotely (e.g., access to literature, existing datasets and research-related files, and meeting software, such as Zoom).
  • Ensure data and information are backed-up and available remotely.
  • Test and update remote work technologies such as VPN and Zoom conferencing.
  • Review the UConn policies on alternate work arrangements, like telecommuting.

Measures you can take to prevent the spread of illness among your group:

Follow CDC Guidelines on Preventing COVID-19 Spread in Communities

Research continuity summary:

Advance planning will allow everyone in your research group to focus on their own efforts and work together as a team, rather than wondering how they and their team members are to proceed.

Quick Checklist:

  1. Identify critical operations.
  2. Identify critical personnel and ensure they know what to do in the event of suspended operations. Establish a contingency plan for your laboratory to maintain critical functions should someone in your laboratory become ill or students are not available to perform work.
  3. Remind personnel of your communication plan or create one if not in place.
  4. Ensure remote access to files, data, servers, etc.
  5. Prioritize experiments.
  6. Follow UConn’s requirements related to non-essential travel, and check travel restrictions before making travel plans.

Sponsored Program Services (SPS)

We expect that SPS will continue to be able to submit proposals, but PIs should be mindful of deadlines and submit proposals well in advance. Typically, federal agencies are very flexible about deadlines under difficult circumstances beyond our control. However, if agencies are officially closed, proposals will most likely remain in a queue, pending resumption of agency operations – as has been the case during federal budget-related shutdowns. Additional information will be posted on the OVPR website as it becomes available.

Human Research Protection Program (HRPP/IRB)

The Human Research Protection Program (HRPP/IRB) has established processes to work and convene remotely. New submissions, amendments, continuing review, and other reportable information should be submitted as required. Human subjects research protocols do not need to be modified unless COVID- 19 exposure/symptoms are being added as a study specific exclusion criteria, or information related to COVID-19 exposure/symptoms will be collected as part of the study, or study related procedures or processes such as data collection by phone, video call, or online are being implemented. Consideration should be given to delaying interactions with study participants where possible. This could involve canceling or postponing study visits or conducting study visits remotely where possible. If interactions with study participants need to continue, follow CDC Guidelines on Preventing COVID-19 Spread in Communities in making determinations about research participation. Additional information will be posted on the OVPR website as it becomes available.

IACUC and Animal Care Services

The IACUC has established processes to work and convene remotely. New submissions, amendments, annual and three-year renewals, and other reportable information should be submitted as required. Additional information will be posted on the OVPR website as it become available.

Animal Care Services has established a plan to maintain animal husbandry activities. This plan includes cross training research staff to assist with husbandry activities in the event animal care staff are not available due to illness. Additional information will be posted on the OVPR website as it becomes available.

Institutional Biosafety Committee (IBC)

The IBC has established processes to work and convene remotely. New submissions, amendments, renewals, and other reportable information should be submitted as required. Additional information will be posted on the OVPR website as it becomes available.

Environmental Health and Safety (EHS)

  • EHS has established procedures to maintain essential research support. However, essential research support functions may need to be modified as the situation develops based on resources and personnel constraints. At some point, research support functions may need to be curtailed, delayed or suspended. Research activities should be continued only to the extent there are qualified and trained staff available to safely and competently conduct those activities. Facility security and security of high-risk materials (radioactive, biohazards, chemicals) should be maintained. Additional information will be posted on the EHS website as it becomes available.

Center for Open Research Resources and Equipment (COR²E)

Our intention is to keep core research facilities managed by COR²E operational. That said, many of our facilities have very limited staffing (some of which include student employees) and as such, may necessitate a reduction in services or even closure. Additionally, many of our core facilities rely on equipment and services from external vendors who may also experience delays that could transfer to our internal services. Facilities may also choose to limit/stagger usage of equipment to reduce contact between facility users. Users of the facilities are encouraged to plan their experiments accordingly and visit their respective core facility homepages and/or contact facility directors for the most current information (though changes to services and schedules will also be communicated to existing facility users via email). Finally, as shared communal facilities, we will be working to keep shared equipment spaces as disinfected as possible, but we also ask for users’ help in doing so (washing hands before using shared equipment, staying home at any sign of illness, etc.) If additional updates are needed, they will be posted both here and on the COR²E website homepage.

Technology Incubation Program (TIP)

  • TIP companies should anticipate being able to continue operations in the TIP space as long as UConn and UConn Health can assure this can be done safely based on the available infrastructure support, and only to the extent TIP companies have appropriately trained staff to continue operations competently and safely.
  • TIP companies should have their own disaster/emergency and business continuity plans.
  • TIP companies should monitor the UConn COVID-19 website for current information.

 

Sincerely,

Radenka Maric
Vice President for Research, Innovation and Entrepreneurship
University of Connecticut

 

Paying Research Participants

 

UConn has selected Greenphire’s ClinCard as the preferred method of paying research participants. The ClinCard is a reloadable debit card designed for secure and efficient compensation for participants. It is a fiscally sound alternative to checks and the current cash advance process. ClinCard provides streamlined payments, reduces paperwork, automates record-keeping and provides real time reporting.

ClinCard Study Request Form

 

Videos:

 

ClinCard Overview: https://www.youtube.com/watch?v=zhXitrsc4rY

 

Training – Study Coordinator:

 

Resources:

 

Contact UConn Greenphire Administrators:

Matthew Cahill: matthew.cahill@uconn.edu
Michelle Owens: michelle.owens@uconn.edu

NSF 2026 Idea Machine

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Dear Colleagues,

In the summer of 2018, the National Science Foundation (NSF) launched an innovative competition, the NSF 2026 Idea Machine, to crowdsource big challenges and big ideas that could help tackle them. The Idea Machine aimed to set the stage for breakthrough research in science, technology, engineering, and mathematics (STEM) and STEM education through the nation’s 250th anniversary in 2026 and beyond. NSF received around 800 entries from established researchers, students, teachers, and even high school and middle school students from all across the country. Those 800 big ideas have now been narrowed down to seven finalists, which were announced last week.

As we continue to work towards fulfilling President Katsouleas’ bold vision to boost research, scholarship, and creative works at UConn, I encourage you to visit the NSF 2026 Idea Machine site and learn about the program’s goals and the recently selected finalists. This provides UConn’s research community with an opportunity to see what is next for the NSF’s long-term agenda and align our activities based on our existing and emerging strengths.

Thank you for your continued commitment to grow UConn’s profile in research, scholarship, and the arts.

 

Cheers,
Radenka

 

Dr. Radenka Maric
Vice President for Research, Innovation and Entrepreneurship
UConn/UConn Health
Professor in Sustainable Energy
438 Whitney Road Ext., Unit 1006
Storrs, CT 06269
Storrs: 860.486.3621
UCH: 860.679.2230
research.uconn.edu

F&A Rate Process Change

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Dear Principal Investigator and Grants Administrator,

UConn must change its practice of grandfathering the F&A rate originally proposed to applying the F&A rate in effect at time of award (in some cases the effective rate will have increased due to a delay in the award start date). Even when this practice results in less F&A being charged to the grant, there have been repeated NSF audits requiring institutions to charge the negotiated rate in effect at the time the transaction posts. The same is true for UConn in the current NSF audit.

To meet this requirement, this year all sponsored projects are being transitioned so that expenditures that post to a sponsored project on July 1 or thereafter are charged in accordance with the current F&A rate agreement and not in accordance with the proposal budget:
• This applies to all projects that had a proposed F&A rate of 59.5%
• This does not apply to projects that have a mandatory F&A cap or a set or reduced F&A rate (such as training grants, many foundation sponsors, etc.)
• New awards will be set up at the F&A rate that is in effect when the notice of award is received. (In cases where the rate varies from what was submitted in the proposal, SPS will contact PIs and request that they submit a revised budget as a part of the award setup process.)
• SPS will contact you when a rebudget is needed; however, you may also submit a rebudget in advance of SPS contacting you
If you have an award that is ending this year, SPS will take the necessary steps as part of the close out of your award. You do not need to do anything.

During the transition period, the Office of the Vice President for Research (OVPR) will calculate the amount of additional F&A that will be charged to the award as compared to the proposal (awarded) budget and will credit this amount to the PI’s F&A account to support the impacted project. This transaction will be separate from the annual F&A distribution to faculty, departments, and Schools/Colleges, which will continue in accordance with the 10/10/10 distribution model. Please allow some time as SPS reviews and calculates each project account during this process. Accounts that have already been adjusted to 61% will be prioritized and the return will be completed by April 30, 2020. The return for the remainder of the projects will be completed by the end of the fiscal year. Should you have a unique circumstance, please don’t hesitate to contact Laura Kozma or Jen Przybyszewski.

Laura Kozma

Executive Director, Sponsored Programs Services

laura.kozma@uconn.edu

860.486.3798

 

Jen Przybyszewski

Associate Director, Awards Management & Accounting

jennifer.przybyszewski@uconn.edu

860.486.4293

Disclosure of International Relationships & Activities – Sponsor Guidance

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Dear Investigator,

I write to update you on recent sponsor guidance regarding the disclosure of international relationships and activities and of your obligations to report such activities to the University and federal sponsors.  The SPS website (see foreign collaborations) continues to be updated to include sponsor-released guidance as we become aware of it.

Please review the updates below for any sponsors to which you plan to apply or with which you are currently engaged to ensure you are aware of and compliant with their requirements.  Additionally, and as a reminder, you must seek prior approval for consulting and disclose any significant financial interests to the University.

The following topics are covered below:

Department of Defense Update

National Institutes of Health Update

National Science Foundation Update

Letter from Office of Science and Technology Policy

Recent Articles

Where do I get help?

 

Sponsor Updates

Department of Defense

Recently, the Under Secretary of Defense issued a memo dated October 10, 2019, which lays out DoD’s steps to date to “limit undue influence by countries that desire to exploit DoD research, science and technology, and innovation enterprise through foreign talent programs and other means” and steps DoD plans to pursue. The memo calls for a dynamic, Government wide, partnership, since “[no] laboratory, university, industry partner, or Government agency can address the full scope of this challenge alone, and solutions to this problem can only result from a dynamic partnership between our public and private sectors.”  This memo follows directives by the DoD in Notices of funding Opportunities related to research and research-related educational activities to include requirements to “submit additional Current and Active support information for all key personnel, whether or not the individuals are to be funded by the DoD.”

Disclose all current and pending projects, whether or not they are funded through UConn including foreign projects.

National Institutes of Health

The Council on Governmental Relations released a Guide for meeting disclosure requirements under Notice NOT OD-19-114.  The NIH requires reporting of research support from internal and external sources and the relationship to the NIH funding as critical information for NIH and grantee institutions to assess scientific budgetary overlap, and availability of time to commit to NIH funded projects.  Based on conversations COGR staff have had with the NIH, the following summarizes COGR’s understanding of what the NIH is requiring.

  1. Key personnel must disclose funding for all research activities regardless of where the research will be carried out.
  2. Key personnel must disclose start-up packages and support for research from entities other than the applicant intuition.
  3. Disclosing In Kind- Support
  • Key personnel must disclose in-kind resources that are uniquely available to key personnel (office/laboratory space, equipment, supplies, employees) including those available outside the applicant institution; details about in-kind personnel who are expected to work directly on a proposed project; report details of in-kind support in the Facilities and Other Resources section or in Other Support section of the application; report details of individuals who have expended at least one month of effort during the year (compensated or uncompensated) in the annual report (no change).
    • Key personnel are not responsible for disclosing institution-wide resources such as core facilities or shared equipment that are made broadly available.
  1. Key personnel must disclose affiliations or appointments that are likely to be cited in NIH-funded publications in the biosketch section of the application.
  2. Prior approval is required before initiating a new “foreign component” per current NIH policy (no change).

National Science Foundation

The National Science Foundation issued their draft 2020 Proposal and Award Policies and Procedures Guide (PAPPG) for comment in May 2019, which included a requirement for senior personnel to report in grant proposals all sources of funding and payments, whether paid through the applicant institution or paid directly to the individual. NSF is currently reviewing comments and has not issued any new policies yet.

Disclose all current and pending projects, whether or not they are funded through UConn including foreign projects.

Office of the President, Office of Science and Technology Policy

A letter was sent to US researchers from Director Kelvin K. Droegemeier about the Joint Committee on the Research Environment and research security.  The committee’s work in this area is organized along four lines of effort: coordinating outreach and engagement, establishing and coordinating disclosure requirements, developing best practices for academic research institutions and developing methods for identification, assessment, and management of risk.  He writes, “Working together, we will ensure that our research environments are safe and inclusive; operate with maximum integrity; protect our research assets in a manner balanced with openness and international collaboration that have been so critical to our success; and do not encumber researchers, agencies or institutions with unnecessary administrative work.”

Recent Articles

August 2019, Professor Indicted for Alleged Undisclosed Chinese Links, Inside Higher Ed article on the investigation and prosecution on a University of Kansas research professor.

September 2019, NIH Reveals Its formula for Tracking Foreign Influences, Science article on NIH methodology for threat identification.

November 2019, Vast Dragnet Targets Theft of Biomedical Secrets for China, New York Times article that covers recent federal investigations.

Where do I get help?

The University has offices to assist investigators in these areas.  Each investigator has a responsibility to make sure they are compliant with all relevant University policies and federal requirements.  These offices are here to assist and always welcome inquiries.  Please feel free to reach out for help if you have questions:

Faculty Consulting Office

Sarah Croucher: sarah.croucher@uconn.edu; 486-5630 (Storrs and Regional Campuses)

Scott Wetstone: wetstone@uchc.edu; 679-4440 (UConn Health)

Financial Conflict Interest Services – see Storrs and Regional Campuses or UConn Health

Sponsored Program Services

Laura Kozma: laura.kozma@uconn.edu; 486-3798 (Storrs and Regional Campuses)

Paul Hudobenko: hudobenko@uchc.edu; 679-3951 (UConn Health)

Export Control Services

Carol Connolly: carol.connolly@uconn.edu; 486-3994

General Questions and Guidance

Michael Glasgow: michael.glasgow@uconn.edu; 486-5011

 

Please don’t hesitate to contact any of us if you have questions or need assistance on these matters.

With regards,

Mike Glasgow
Associate Vice President for Research
Sponsored Programs Services

Export of Research Materials Abroad

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To the UConn/UConn Health research community:

The Council on Government Relations (COGR) has issued an alert regarding recent situations where researchers have attempted to export research materials abroad. The FBI and other federal law enforcement agencies have increased their surveillance efforts to identify transport of research materials and verify that those exports comply with federal laws. These efforts are believed to be part of a nation-wide enforcement action to control the transport of biological materials that may present a threat to our national security and/or reduce the theft of intellectual property developed in the US, much of it with federal funds.

Transporting certain materials may require import/export permits or other documentation from federal agencies, including US Customs and Border Protection (CBP), the FDA, USDA, Fish and Wildlife, and the CDC.

Anyone with questions should contact the applicable federal agency or the UConn Export Control Office (exportcontrol@uconn.edu) for assistance.

Related news:

 

Wesley G. Byerly, Pharm.D.

Associate Vice President

Mitigating the Impact of Fringe Costs on Research at UConn

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Dear Colleagues,

I write to inform you that I am taking action to help mitigate the burden our faculty face when competing for research grants due to the high fringe benefit rates being charged to UConn by the state. To address this issue, we will apply funds to reduce these rates across the board for the near-term. These reduced rates can be used in proposal submissions starting January 1, 2020. On the left, below, are the current rates. On the right are the new rates:

 

Current Rates New Rates for 7/1/20 – 6/30/21
Professional 64.8% 43%
Faculty 53.2% 43%
Graduate/Post Doc: 17.2% 15.5%
Special Payroll 24.3% 19.5%
Student 4.1% 2.4%

 

Additional details regarding proposal submissions, timelines, budgeting, and FAQs will be forthcoming from the Office of the Vice President for Research.

The overriding goal is to help create a more level playing field for UConn faculty as you compete nationally for grants by reducing our fringe costs so they are closer to those found at peer and aspirant institutions.

I am taking this action after numerous conversations with faculty since arriving at UConn in August, and in light of the evidence of the challenges our fringe costs create. We know from actual grant reviews that our fringe rates are out of line with those institutions directly competing with UConn for grant dollars. In some cases, our faculty must forgo funding opportunities simply because they cannot make the budgets work because of the higher fringe costs.

The capacity of faculty to turn hard-won grants into important research products is significantly reduced, including those associated with efforts to drive economic growth and innovation for the state of Connecticut. Furthermore, this reduced competitiveness increases the challenge of recruiting and retaining outstanding faculty.

Overall, these high rates have a significant negative impact on the University’s research mission and addressing them is a critical priority.

However, this is a temporary, stop-gap measure, not a permanent solution and it is not something we would do in the ordinary course of business. As you may know, these rates are abnormally high because of Connecticut’s substantial unfunded pension and retiree health insurance liabilities. The cost of that legacy unfunded liability is built into our fringe rates, inflating them. We are working closely with the state to identify a permanent solution to this problem, as UConn does not and will not have the resources needed to address this issue on our own over the long term. But, in my judgment, the need to reduce rates at UConn is urgent enough that we must act now and use our one-time funds prudently as we seek a lasting solution.

This will apply to the Storrs and regional campuses only. At UConn Health, we addressed this same issue some months ago for the current fiscal year. We have budgeted funds to cover a portion of the unfunded liability charged to UConn Health, providing immediate relief on existing grants. We are committed to working with the state to find a long term solution to this ongoing problem, university-wide.

It is my hope that this will make our faculty more competitive as you seek grants, allow you to apply more of your grant funds to your actual research and related costs, and make it easier for UConn to recruit and retain faculty going forward.

Once again, details from the OVPR will be provided in the coming weeks.

I wish you the best of luck on your upcoming grant applications and happy holidays!

Sincerely,

Tom
President
University of Connecticut

 

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NIH Asks For Your Feedback

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The Office of the Vice President for Research would like to share some information regarding data sharing with researchers who may be affected.

The National Institutes of Health (NIH) is requesting comments on the draft NIH Policy for Data Management and Sharing and Supplemental Draft Guidance.

NIH will be hosting an informational webinar on the draft NIH policy and guidance on Monday, December 16th from 12:30-2:00 PM ET. The purpose of the webinar is to provide information on the draft policy and answer questions about the public comment process.

Submit your comments to NIH by January 10, 2020. Additional information can be found in this NIH blog post. Questions about the draft may be sent to the NIH Office of Science Policy at SciencePolicy@od.nih.gov.

For questions, please contact Research Compliance Monitor, Ellen Ciesielski at 860.679.6004.

OVPR Quarterly Reports – FY19Q4

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Dear Colleagues,

Now that data have been finalized, I would like to provide you with the FY19 Proposals, Awards, and Expenditures report relating to sponsored program activity—both research and education/service—managed by Sponsored Program Services within the Office of the Vice President for Research at UConn and UConn Health.

In the report, data are presented in two ways: by the PI’s Academic Home Department and by the Managing Department or Center/Institute. Please refer to the first page of the report for definitions and information regarding the data. Should you have any questions regarding this report, please do not hesitate to contact me. Please visit the OVPR website to view current and archived reports: OVPR Reports.

Please note that we have included an additional Summary of Sponsored Program Activity, which includes the Effective F&A rate on awards. This information provides a snapshot of our activity as compared to the same period last year.

While fluctuations from year to year in both grant awards and proposal submissions are common, the government shut down in January further impacted the timing of some awards and proposal submissions this year, which likely contributed to the reductions in overall numbers of individual submitted proposals and awards received. New awarded amounts are up in total, with Storrs and regional campuses ending the year slightly below last year’s totals and UConn Health receiving $8.4M more than last year. Overall dollars requested in proposals increased from $1.24M in FY18 to $1.26M in FY19.

The OVPR continues to seek creative solutions that allow UConn and UConn Health to grow our research enterprise through federal funding, industry partnerships, and collaboration with foundations. I am confident we can continue upward trends by continuing to work together, aggressively applying for extramural funding, and pursuing new channels of support for the tremendous research, scholarship, and creative activities taking place every day at UConn and UConn Health.

Thank you for your continued commitment and contribution to our students, to your research and scholarship, and to UConn/UConn Health.

Sincerely,

Radenka

Dr. Radenka Maric
Vice President for Research
UConn/UConn Health

Research Involving Cannabis, Hemp, and Marijuana

Cannabis-related research – including research involving marijuana and hemp – must conform to federal and state laws as well as University of Connecticut (“UConn”) policies.

Under the Federal 2018 Agricultural Improvement Act (Farm Bill), hemp is no longer a controlled substance. Hemp is legally defined as Cannabis sativa L. that contains not more than 0.3% delta-9 tetrahydrocannabinol (“THC”) content on a dry-weight basis.  The Farm Bill currently restricts the growing of hemp to states that have established a Hemp Research Pilot Program.

Connecticut recently established such a program with the passing of Public Act 19-3: “An Act Concerning a Pilot Program for Hemp Production.” This act established the state of Connecticut Hemp Research Pilot Program (HRPP) to support research that advances the Department of Agriculture's understanding of hemp agriculture at national, regional, and local levels.  This legislation sets the state requirements for hemp growers, processors, and manufacturers to obtain a license, and establishes requirements for licensing, testing, and inspection.  State requirements apply to the cultivation, processing, and manufacturing of hemp.  State requirements also apply to academic and scientific research, teaching, and testing involving hemp.

UConn researchers who wish to participate in the Connecticut’s HRPP must register through the University and follow University guidelines related to growing, processing, and manufacturing hemp.  For more information on registering through the University, email contact information to HempProgram@uconn.edu.

Marijuana, including Cannabis sativa L. that contains more than 0.3% delta-9 THC, remains a Schedule I controlled substance, the most restrictive status, under the Controlled Substances Act.  The possession, production, processing, sale, or growth of marijuana remains illegal under Federal law, except under special licensing requirements established by the Drug Enforcement Agency (“DEA”).  Research with marijuana requires the researcher to have both a Federal Schedule I and a Connecticut Schedule II controlled substance license, and s/he may only receive marijuana from other DEA registrants or from the National Institute on Drug Abuse (“NIDA”) approved sources.  UConn researchers must also follow the University’s Controlled Substances Policy or the UConn Health Controlled Substances Policy.  For more information regarding marijuana research, contact HempProgram@uconn.edu.

FAQs

Who is the primary UConn point of contact for external relations issues and requests related to hemp and marijuana?

In the Office of the Vice President for Research, the Associate Vice President for Research Integrity and Regulatory Affairs is the primary UConn point of contact regarding hemp and marijuana. Questions regarding hemp and marijuana should be emailed to HempProgram@uconn.edu.

How do I register through the University in order to participate in the state program?

To register through the University, email contact information to HempProgram@uconn.edu. Registration will involve a criminal background check, designation of the location hemp will be grown or processed, and designation of the source of the hemp.

Can I grow or process hemp, or engage in manufacturing with hemp at UConn without registering?

No. Growing hemp, processing hemp, or engaging in manufacturing with hemp by an individual as part of their University responsibilities or position, as part of a University program, or in University facilities or on University land must register with the Connecticut through the University.

Can I have a personal hemp plant in my dorm room, office, or other location?

No. The University does not allow growing, processing, or use in manufacturing of hemp on any UConn campus or in any UConn facilities unless it has been registered with the state through the University.

Where can I find information regarding the Connecticut Hemp Research Pilot Program?

The Connecticut Hemp Research Pilot Program provides information on the state program.

Once the state has issued a license, what am I required to do as the project principle investigator?

Once issued a license, you must comply with the provisions of Public Act 19-3 (the “Public Act”), the federal act (as defined in the Public Act), and the Connecticut Department of Agriculture (“DOAG”) Compliance Policy. As a condition of being granted a grower license, you, as the principle investigator and on-site manager listed on the license, and the University agree to the requirements listed below. Note that submissions and notifications must be made through the University:
1. Comply with instructions from the DOAG and law enforcement agencies;
2. Agree to pay DOAG applicable licensing and inspection fees;
3. Consent to entry onto, and inspection of all buildings, equipment, supplies, vehicles, and records located on this real property where hemp or plants or materials are located, or licensed to be located, by the commissioner, and law enforcement agencies, at any time, with or without cause, and with or without advance notice;
4. Comply with DOAG’s criminal history records check requirements; and
5. Consent to forfeit and destroy, without compensation:
a. Material found to have a THC content in excess of three-tenths percent (0.3%) on a dry weight basis;
b. Hemp plants located in an area that is not licensed by the department; and
c. Hemp plants not accounted for in required reports for the department.
6. Notify the DOAG of all hemp growing, handling, and storage locations, including legal description and GPS coordinates in decimal degrees to the ten-thousandth place, and receive department approval for those locations prior to having hemp on those premises.
7. Submit a Site Modification Request Form, the appropriate fees based on the requested changes, and obtain prior written approval from the commissioner before implementing any change to the plot(s) stated in the grower license application.
8. Not grow, handle, or store hemp in any location(s) other than the location(s) listed in the grower license application.
9. Not interplant hemp with any other crop without express written permission from the DOAG.
10. Not apply and not allow anyone else to apply pesticide to hemp except by person(s) who hold a valid permit or certificate, if required, to apply pesticides in accordance with section 22a-54 of the Connecticut general statutes.
11. Comply with all legal requirements regarding minimum distances from certain structures, and outdoor recreational facilities.
12. Acknowledges that the risk of financial or other loss shall be borne solely by the License Holder.
13. Use a record keeping and product coding system for hemp to facilitate the effective tracking of hemp and hemp products. Such plot system shall be capable of tracing hemp placed into the wholesale or retail distribution chain back to the producing plot. Such records shall be maintained for a period of time that exceeds the expected shelf life of the hemp or five (5) years, whichever is longer. Records of hemp product coding and distribution shall be made available immediately upon request of the department or any law enforcement agency.
14. Ensure that any time hemp is in transit within Connecticut, a copy of the grower license, and certificate of analysis showing the sample to have a THC concentration at or below three-tenths (0.3) percent on a dry weight basis, shall be available for inspection upon the request of the commissioner or any law enforcement agency. In the event the hemp being transported is a hemp sample being transported to a laboratory, then the sample shall be contained in a sealed tamper evident sample package and accompanied by the department approved completed chain of custody form for hemp samples. The hemp sample label shall contain, at a minimum, the date and time the sample was collected, licensee name, licensee number, location where the sample originated, identification of the lot the sample represents and a sample identification number or laboratory accession number.
15. Upon request from the commissioner or a law enforcement agency, immediately produce a copy of his or her grower license for inspection.
16. Submit Planting Reports, Harvest/Destruction Reports, Production Reports, and other reports required by the commissioner, on or before the deadlines established in these regulations. These records shall be maintained for at least three (3) years after harvest or destruction of the hemp. These records shall be made available immediately upon request of the department or any law enforcement agency.
17. Scout and monitor plots for volunteer hemp plants and to destroy those volunteer hemp plants for three (3) years past the last date of planting reported to the department.
18. Not to rent land to cultivate hemp from any person who has a state or federal felony conviction for a controlled substance within 10 (ten) years of the date of this agreement.
19. Notify the department of any interaction with any law enforcement agency immediately by phone and follow-up in writing within three (3) calendar days of the occurrence.
20. Immediately notify the department and applicable law enforcement agency of any theft of hemp materials, whether growing or not.
21. Immediately notify the department and applicable law enforcement agency of any unauthorized cultivation of any plant, within each plot.
22. To destroy any hemp or cannabis that is obligated to be destroyed, only in accordance with state and federal law, and the department’s established procedures.
23. Acknowledge that failure to comply with terms and conditions established in the department’s Compliance Policy and any regulations shall constitute grounds for appropriate action, up to and including termination of the grower license and expulsion from the department’s program.
24. Acknowledge that a person who has been expelled from the program shall not be eligible to reapply to the program for a period of five (5) years from the date of expulsion.
25. Have read and understood the state and federal statutes and the department’s Compliance Policy and any regulations related to the conditional grower license that is being issued.
26. Understand the Commissioner shall revoke or terminate any conditional grower license, if the applicant’s or conditional licensee’s, (including signing authority and on-site manager) results do not meet the federal and state criminal history records check, or the requirements of the federal act, the Public Act and the Compliance Policy.

How should UConn researchers dispose of unwanted industrial hemp materials?

Currently, the only process for destruction of materials is burial or composting. Signed documentation of method of destruction, who destroyed the materials, and when the destruction occurred should be retained.

What is the definition of industrial hemp?

The definition of hemp under Connecticut and federal law is “a plant of the genus Cannabis and any part of the plant, whether growing or not, containing a delta-9 tetrahydrocannabinol (THC) concentration of no more than three-tenths of one percent (0.3%) on a dry weight basis.”

Is hemp different from marijuana?

Yes. Hemp and marijuana are varieties of the cannabis plant that are differentiated based on selective breeding. Hemp is bred for its fiber and seed oil. By both federal and state law, hemp cannot contain more than 0.3% THC on a dry weight basis. THC is delta-9 tetrahydrocannabinol and is the psychoactive component of marijuana. Marijuana is defined as cannabis that contains greater than 0.3% THC on a dry weight basis. Marijuana remains a Schedule I controlled substance. Schedule I controlled substances are subject to the most intense scrutiny by the DEA. In Connecticut, the Connecticut Department of Agriculture regulates hemp cultivation. Under the U.S. Farm Bill and Connecticut’s Pilot Program, institutions of higher education like UConn have latitude to cultivate and research industrial hemp, including its constituent compounds, without a DEA Schedule I license.

Does hemp include extracts that include cannabidiol or other cannabinoids?

The key defining characteristic of hemp is that it is Cannabis sativa L. that does not include THC at a concentration of more than 0.3% on a dry weight basis. If the extract meets that criterion, was lawfully grown in accordance with a state Pilot Program, and was processed in accordance with state law, then it would qualify for treatment as industrial hemp.

Can UConn researchers do hemp research under a DEA Schedule I registration?

No, a researcher may not perform research on hemp with a DEA Schedule I registration because hemp has been removed from the Federal Controlled Substances Schedule.

Can UConn researchers grow industrial hemp for research purposes?

Yes, but this requires registering through the University for a growers’ license from the Connecticut Department of Agriculture.

Where can UConn researchers obtain certified seed to grow hemp for research purposes?

UConn researchers should obtain certified hemp seed only from an agency authorized under the laws of a state, territory, or possession of the United States to officially certify hemp seeds and that has standards and procedures approved by the U.S. Secretary of Agriculture to assure the genetic purity and identity of the hemp seed certified. The seed must have a certificate or other instrument attesting to its genetic purity and identity.

Can UConn researchers obtain CBD (Cannabidiol) for research purposes?

A qualified yes. CBD and other materials derived from Hemp that contain a THC concentration of less than 0.3% on a dry weight basis are not subject to the Controlled Substances Act if the materials are cultivated and processed pursuant to the U.S. Farm Bill and the Pilot Program. In addition, the sourcing party must be properly licensed (for cultivation/processing) with the state’s proper licensing authorities. Please contact HempProgram@uconn.edu before undertaking such research. They can alert researchers to any issues that may exist with sourcing and licensing requirements.

I only want to purchase CBD (cannabidiol) or hemp for use in my research, not grow or process hemp. Are there any specific requirements?

Only hemp, CBD, and other hemp derivatives that can be traced back to lawfully cultivated Industrial Hemp through proper documentation can be used for research. You should only procure hemp and hemp derivatives from vendors that can provide such documentation. A copy of such documentation must be retained by the researcher. CBD or hemp derived from Industrial Hemp does not require a Connecticut State Hemp License or a DEA Controlled Substance License. However, CBD or hemp that is NOT derived from Industrial Hemp or that you DO NOT have documentation as being derived from Industrial Hemp is considered a Schedule 1 Controlled Substance. Possession of a Schedule 1 Controlled Substance is illegal unless you hold the appropriate State and Federal DEA licensure.

Can UConn researchers obtain hemp products from third parties for research purposes?

A qualified yes. Hemp materials and products (other than viable seeds) that contain a THC concentration of less than 0.3% on a dry weight basis are not subject to the Controlled Substances Act if the materials and products are cultivated pursuant to the U.S. Farm Bill and the Pilot Program. In addition, the third party must be properly licensed with a State Department of Agriculture’s Industrial Hemp Pilot Program, and its activities must have a research purpose. Thus, a researcher is permitted to receive and perform research on such materials and products from parties with which it enters collaborative research-focused agreements.

Can UConn researchers perform hemp research funded by third party industries?

Yes, subject to certain UConn and Connecticut Department of Agriculture approvals. However, accepting funds coming from the marijuana industry or any business related to it is restricted due to current federal banking regulations.

Can UConn researchers perform hemp research in a paid or unpaid sabbatical situation in a foreign country whose laws permit industrial hemp research in any capacity?

Yes.

Can UConn researchers license intellectual property rights resulting from hemp research?

Yes.

Does the Connecticut Hemp Research Pilot Program allow research with marijuana?

No. Marijuana research is defined as research that involves the growth, production, procurement, administration, or use of marijuana. It does not refer to observational research for which the researcher does not grow, produce, procure, or administer marijuana. Marijuana has the same meaning as in the definition provided by Connecticut General Statues § 21a-240(29).

Marijuana is categorized as a Schedule I drug by the DEA under the federal Controlled Substances Act. This means that federal regulations do not permit the use, production, processing, sale, or growth of marijuana, except for medical or research use conducted under special licensing requirements established by the DEA and the U.S. Food and Drug Administration (“FDA”) for use with humans or animals. Typically, research conducted under a DEA license also requires sourcing the marijuana from the NIDA. The U.S. Department of Justice’s (“DoJ”) previous guidance indicating that it will not focus its prosecutorial resources on the sale or use of marijuana in states where a well-regulated legal framework has been established was rescinded in 2018. To date, no exemption from the federal regulations has been granted to any state.

UConn is the recipient of considerable federal funding for research, education, capital projects, and healthcare. Accepting this funding obligates UConn to comply with the Drug-Free Schools and Communities Act and the Drug-Free Workplace Act. These federal regulations together prohibit UConn from unlawful manufacture, distribution, dispensing, possession, or use of any controlled substance at the University. Unlike the DoJ’s stance on enforcement of DEA regulations, there has been no statement suggesting that enforcement of the Drug-Free Schools and Communities Act or the Drug-Free Workplace Act has been, or will be, relaxed.

Consequently, despite the state of Connecticut’s legalization of medical marijuana, there is no provision that allows for the legal research of medical marijuana except as already established and involving compliance with DEA, FDA, and NIDA policies and regulations.

Where can I find information about courses or programs at UConn related to hemp?

The UConn College of Agriculture, Health and Natural Resources conducts courses related to hemp cultivation and production. Additional information can be found by searching the College of Agriculture, Health and Natural Resources web site.

Is anyone at UConn involved in testing as part of the state Hemp Research Pilot Program?

The UConn Center for Environmental Sciences and Engineering conducts testing as part of the Hemp Research Pilot Program. Additional information can be found on the Center for Environmental Sciences and Engineering web site or by contacting the Center for Environmental Sciences and Engineering Laboratory Director, Christopher Perkins by either email (christopher.perkins@uconn.edu) or phone (860.486.2668).

START Preliminary Proof of Concept Fund

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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

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As we begin a new semester at UConn, I would like to reflect on our past academic year and share with you the excitement, successes, and progress we made in that time. As a public research university that engages globally in the creation of new knowledge, we measure our success by the impact of our scholarly and educational outcomes, research, innovation, and the creative work of our students and faculty. In the last few years, we have brought people together around shared goals across campuses and disciplines, an accomplishment that is palpable at UConn and has been critical to the success of our land-grant mission.

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

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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