Forms

HCRAC assists core facilities, small groups of investigators and individual investigators to obtain the equipment they need to advance their research programs. Research funded through the National Institutes of Health and other extramurally funded research generated funds through the recovery of indirect costs to support the repair and/or replacement of equipment essential to the advancement of research projects. Support is available only for capital expenditures, which cover the purchase and installation of equipment or computer software that has a useful life of more than three years and a total cost of over $5000. PIs with significant non-DCAA discretionary funds may not be eligible for emergency equipment replacement support.

Research Equipment Repair/Replacement

PIs and/or departments can request a replacement or repair of essential lab equipment under the following guidelines:

• HCRAC will provide 80% of the cost of the replacement/repair up to a limit of $40,000
• PIs/Departments can make one request every two years (rare exceptions can be made for a second request in that time frame on a case-by-case basis at the discretion of HCRAC; e.g. a critical emergency such as a freezer breaking)
• PIs need to have current or pending research funding, or have submitted a grant in the past three years to be eligible for this fund
• For PI requests, the item needs to have been originally purchased by or for the PI

Information on the item being replaced and its users must be supplied, along with quotations for at least two potential replacements and the rationale for their selection. Requests for funds must be submitted using the Research Equipment Repair-Replacement Form. Requests will be evaluated as they are received.

New Capital Equipment

Investigators may request new equipment whose usage can be overseen in an existing HCRAC Core facility or by a clearly identified team of investigators under the following guidelines:

• Equipment requests can be made for items between $5,000 and $500,000
• HCRAC will provide up to 80% of the cost of the item unless it is to be placed in a HCRAC Core facility, in which case HCRAC will provide the full cost. For equipment placed in a core facility, requesting investigators will be required to pay usage fees as set by the managing core.
• Investigators can be part of one successful request every two years
• HCRAC will provide initial review followed by final review by the Associate Dean for Research and Dean for the appropriate school(s)
• Past awards of HCRAC Capital Equipment funds to PIs on the application will be a consideration during review
• Review decisions may take up to 6 months, so please plan accordingly

Guidelines and criteria for new capital equipment fund requests are included on the Capital Equipment Application Form.

Equipment Awards

HCRAC expects investigators to allow access to all new and departmental replacement equipment supported by HCRAC funds. For a listing of HCRAC supported equipment for the past few years, visit the HCRAC Equipment Awards page.

 

NIH Funding Opportunities for Equipment

• NIH offers administrative supplements to existing NIH grants that can be used to obtain equipment for the labs (link to application instructions).
• NIH Shared Instrumentation Programs

Application Guidelines and Instructions

This program has been established to support travel costs for graduate students (PhD, MD/PhD, or DMD/PhD students) who present research results in-person at scientific meetings and symposia. The program will support costs of that travel up to a limit of $700 per fiscal year. Note, HCRAC travel funds cannot be combined with any other UConn travel support.

Awards are made on a first-come, first-served basis, until the funds for this program have been exhausted.

Eligibility

• Eligibility for this program is restricted to UConn Health graduate students (PhD, MD/PhD, or DMD/PhD students) provided that their faculty preceptor for the research is based at UConn Health.
• In order to be eligible, applicants must have a research paper or poster accepted for presentation, and that paper must be related to the graduate student’s thesis or dissertation research.
• Only one presenter per abstract will be eligible for funding under the travel grants program, first author having precedence for an award.

If there are any questions about this travel grant program, please call extension 860.679.2513 or contact Stephanie Holden at sholden@uchc.edu.

Application Guidelines and Instructions

The purpose of these awards is to provide bridge support for transitioning an exploratory/small grant award such as a NIH R21 grant, a NIH R56 grant, or a career development award such as an NIH K grant into a full, renewable (R01-type) funded research grant.

Eligibility

 Eligibility for an Exploratory Project Transition Award is restricted to investigators who have recently (within the last year) completed a peer reviewed, extramurally funded exploratory/small research grant of at least two years in original duration, an R56 award, or a career development award of a least three years in original duration who seek to transition the project into a longer-term, funded project. The original exploratory/small grant must have generated an average of at least $100,000 of total direct costs/year (or at least $200,000 total direct costs for an R56), and have an indirect cost rate of at least 8%.

Conditions of the Award

• Awards from this program will not exceed $20,000 for a six-month period, with renewal possible for a single (1) additional six-month period upon further application. See below for conditions required for a second six-month funding period.
• If extramural grant funds (for the project in question) become available to the investigator during the period of the Emergency Project Transition Award, any balance in the Transition Award will be returned.
• Funds may be used for personnel, fringe benefits, supplies, and contractual services.
• The purpose of this HCRAC support mechanism is to maximize the potential of applicants to re-establish extramural research funding with the shortest possible period of interruption. Applicants must thus provide assurance that they will apply for extramural support for the Parent Grant or projects derived from it in a timely manner. It is expected that applicants will have already submitted an extramural grant application prior to seeking a first Exploratory Project Transition grant installment. In special circumstances the applicant may request a first Exploratory Project Transition grant prior to submitting a new grant application, but must provide a compelling explanation as to why they did not attempt to avoid a funding interruption. Please note that this exception does not apply for applicants transitioning from a career development award, who must submit a new extramural grant application prior to requesting a first Exploratory Project Transition grant. Submission of at least one extramural grant application based on the Parent Grant is mandatory, however, for second installment requests.
• All applications for Exploratory Project Transition Awards must first be approved by the department chair or center director. The chair/center director should examine all financial resources available to the applicant as well as personnel, equipment, and supplies. For example, if the investigator has start-up or other discretionary funds available, then HCRAC expects the investigator to exhaust those funds before seeking Transition Award support. On individual investigator DCAA accounts, an investigator must have less than $50,000 to be eligible for an exploratory award. The role of the chair/center director is to render his/her best judgment regarding the applicant’s need for funds in the context of the applicant’s other support and departmental resources.If the chair/center director does not endorse the request, the investigator may appeal the negative decision to the Grants Subcommittee of HCRAC. In such an instance, the chair/center director and investigator should both submit letters to Ms. Stephanie Holden describing the justifications for their different opinions.

Departmental/PI Contributions to Exploratory Project Transition Awards

The applicant’s department will be expected to provide 20% of the dollars awarded ($4,000 per six month period). PIs with funds in their own DCAA account will be expected to contribute to this support in accord with departmental/center practices. Research Finance recommends that 60% come from the department/center and 40% from the PI’s individual DCAA account. HCRAC will fund 80% of the award. If departmental funds are insufficient to support the 20 percent contribution, funding will be reduced to the amount provided by HCRAC. Departmental contributions may not be met with General Fund dollars.

 Faculty Salary Support on Exploratory Project Transition Awards

Tenured/tenure-track faculty salaries may not be supported with Exploratory Project Transition Award funds.

Deadlines

There are no deadlines for this program. Applicants may request support as needed. The Grants Subcommittee will meet whenever a need arises.

Application Procedure

First Six-month Period

Formal applications to this program must be made on the accompanying form and e-mailed to Stephanie Holden with the following attachments:

• The original funded exploratory grant application.
• The subsequent R01 (or equivalent) application for the project, and critiques from the funding agency. If an R01 (or equivalent) application has not been submitted, an explanation must be provided and the proposed Specific Aims for a full (R01) proposal must be substituted. The explanation must include a list of publications and presentations authored or coauthored by the applicant based on the original exploratory grant, and a list of agencies to which the proposal will be submitted.
• A statement of Specific Aims for the Exploratory Project Transition Award, with clear milestones and a timetable that the applicant believes needs to be achieved to successfully compete for a full research award.
• Departmental approval (see Conditions of the Award).

Second Six-month Period

The second six-month award is conditional upon demonstration of adequate progress toward the goal of obtaining continued funding for the project. HCRAC reserves the right to make this determination. Prior to disbursal of the 2nd award (assuming that the other conditions specified below have been met), the Transition Award applicant must provide HCRAC with the following materials:

1. A full list of publications and presentations authored or coauthored by the applicant during the previous 6 month period
2. A complete list of expenses charged against the Exploratory Project Transition Award to date
3. A description of progress to date, including a narrative describing how previous critiques have been addressed and outlining a concrete strategy for obtaining continued funding for this project, referring specifically to the milestones and timetable described in the application for the first six months of support. All grant applications submitted and all summary statements received during the previous six-month period must be provided. If no proposal was submitted in the previous six-month period, the applicant must provide a compelling scientific rationale for this. Digital copies of these materials must be provided along with a budget proposal for this period.

Unobligated funds may not be carried over from one six-month period to the next, but the six-month period of the award can be extended. Exploratory Project Transition grants (including both installments) may not remain active for longer than two years.

Report the award of grants obtained with the help of the Exploratory Project Transition Award program to the chair of HCRAC.

Review Procedure

Applications will be reviewed by a subcommittee of HCRAC. Decisions will be based upon the following criteria:

• Meeting the eligibility and scientific merit criteria set forth in the Exploratory Project Transition Award guidelines and application
• Availability of funds.

 

Application Guidelines and Instructions

The purpose of these awards is to provide essential support when funding for an ongoing project has been interrupted.

Eligibility

Eligibility for the Emergency Grants Program is restricted to peer-reviewed, extramurally funded research and research training grants (the Parent Grant) that have been continuously funded for a period of three years or more by the same agency and that have an indirect cost (IDC) cost rate of at least 10%. Applicants must either be:

• the principal investigator on a research grant that has, or will, sustain a funding interruption;
• the project director of a component of a multi-project (Program Project or Center) grant that has, or will, sustain a funding interruption;
• a program director of a research training grant (which support students pursuing Ph.D. degrees) that has, or will, sustain a funding interruption;

Excluded from eligibility are professional development awards such as Research Career Development Awards, established investigator awards and administrative core components of multi-project (Program Project or Center) grants.

Conditions of the Award

• • Emergency Grant funding is proportional to the size of the Parent Grant. HCRAC has set the Emergency Grant award maximum at 20 percent of average annual direct costs of the Parent Grant, not to exceed $70,000 for a six-month period, with a renewal possible for up to three additional six-month periods upon further application. See below for conditions required for continued support beyond the first six-month period.
  • If extramural grant funds (for the project in question) become available to the investigator during the period of the emergency award, any balance in the Emergency Grant will be returned.
  • Funds may be used for personnel, fringe benefits, supplies, and contractual services.
  • The purpose of this HCRAC support mechanism is to maximize the potential of applicants to re-establish extramural research funding with the shortest possible period of interruption. Applicants must thus provide assurance that they will apply for extramural support for the Parent Grant or projects derived from it in a timely manner. Submission of at least one extramural grant application based on the Parent Grant is mandatory for 2^nd installment requests.   
  • All applications for Emergency Grant support must first be approved by the department chair or center director. The chair/center director should examine all financial resources available to the applicant as well as personnel, equipment, and supplies. For example, if the investigator has start-up or other discretionary funds available, then HCRAC expects the investigator to exhaust those funds before seeking Emergency Grant support. On individual investigator DCAA accounts, an investigator must have less than $50,000 to be eligible for an emergency grant. The role of the chair/center director is to render his/her best judgment regarding the applicant’s need for emergency funds in the context of the applicant’s other support and departmental resources.

  If the chair/center director does not endorse the Emergency Grant request, then the investigator may appeal the negative decision to the Emergency Grant Subcommittee of HCRAC. In such an instance, the chair/center director and investigator should both submit letters to Ms. Stephanie Holden describing the justifications for their different opinions.

Departmental/PI Contributions to Emergency Grants

The applicant’s department will be expected to provide 20 percent (maximum = $14,000 per 6-month installment) of the Emergency Grant support awarded. PIs with funds in their own DCAA account will be expected to contribute to this support in accord with departmental/center practices. In this case, Research Finance recommends that the 20% departmental contribution be split such that 60% of it come from the department/center and 40% from the PI’s individual DCAA account.  HCRAC will fund 80% of the award. If departmental/PI funds are insufficient to support the 20 percent contribution, the PI may reach out to the HCRAC Emergency Grant Subcommittee to request a waiver. Departmental contributions may not be met with general fund dollars.

Faculty Salary Support on Emergency Grants

Tenured/tenure track faculty salaries may not be supported with Emergency Grant funds.

Deadlines

There are no deadlines for this program. Applicants may request support as needed. The Emergency Grants Subcommittee will meet whenever a need arises.

Application Procedure

First Six-month Period

Formal applications must be made on the accompanying form and submitted in digital format (PDF).  If an application was submitted to continue funding of the Parent Grant or a project derived from it, that application should be included.

Second Six-month Period 

Beyond the first six-month award, a second six-month award is conditional upon the demonstration of adequate progress toward the goal of re-obtaining extramural funding for the Parent Grant or projects derived from it. HCRAC reserves the right to make this determination. Prior to the disbursal of the second award (assuming that the other conditions specified below have been met), the Emergency Grant applicant must provide HCRAC with the following materials: (1) a full list of publications and presentations authored or coauthored by the applicant during the previous six-month period; (2) a complete list of expenses charged against the emergency grant to date; (3) copies of all grant submissions and summary statements related to the project during the previous six-month period; and (4) a description of progress to date, including a narrative describing how previous critiques, if applicable, have been addressed and outlining a concrete strategy for obtaining continued funding for this project.

Third Six-month Period

Award of a third six-month E-grant installment is reserved for cases where the most recent review of the PI’s grant was discussed and received a percentile score, if a traditional NIH R01-style grant, or scored in the top 50% of applications in that review cycle for any other type of grant. Prior to the disbursal of the third award (assuming that the other conditions specified below have been met), the Emergency Grant applicant must provide HCRAC with the following materials: (1) a full list of publications and presentations authored or coauthored by the applicant during the previous six-month period; (2) a complete list of expenses charged against the emergency grant to date; (3) copies of all grant submissions and summary statements related to the project during the previous six-month period; and (4) a description of progress to date, including a narrative describing how previous critiques, if applicable, have been addressed and outlining a concrete strategy for obtaining continued funding for this project..

Fourth Six-month Period

Due to limited funds, award of a fourth six-month E-grant installment is reserved for cases where the most recent review of the PI’s grant has received a potentially fundable score. Requests for a fourth E-grant award will be discussed and voted on by the entire HCRAC E-grant subcommittee with the overall goal of maximizing the ability of faculty to recover external funding for their research.

Unobligated funds may not be carried over from one six-month period to the next, but the six-month period of the award can be extended.  Because the goal of the E-grant program is to provide support for PIs who are actively working to obtain external support for their research program, PIs requesting for their E-grant to remain active beyond 2 years must provide a summary of what has been done with the current E-grant funds thus far to obtain long-term funding for this project as well as plans for upcoming grant applications.

Report the award of grants obtained with the help of the emergency grant program to the chair of HCRAC.

Review Procedure

Applications will be reviewed by a subcommittee of HCRAC. Decisions will be based upon the following criteria:

• Meeting the eligibility and scientific merit criteria set forth in the Emergency Grant guidelines and application;
• Availability of funds.

Research projects require financial support before and sometimes during their lifetimes.  HCRAC has 3 programs to help a new project get funding, an existing project bridge funding, and ensuring the availability of essential equipment to meet researcher’s needs.

• Emergency Grant Awards provide essential support when funding for an ongoing project has been interrupted (Emergency Grant Application Guidelines and Instructions).
• Exploratory Project Transition Awards provide bridge support for transitioning an exploratory/small grant award such as a NIH R21 grant into a full, renewable (R01-type) funded research project (Exploratory Project Transition Application Guidelines and Instructions).
• Travel Grants Program supports travel costs for graduate students and postdoctoral fellows who present research results at scientific meetings and symposia.
  – Travel Grant Application Guidelines and Instructions for Graduate Students
  – Travel Grant Application Guidelines and Instructions for Postdoctoral Fellows

HCRAC support research cores undergo a rigorous annual review process that holds core directors to the highest management and scientific standards with an emphasis on meeting the interdisciplinary needs of UConn Health’s diverse research population.

Supported Facilities	Director
CCAM Microscopy Facility	Dr. Yi Wu
Cell and Genome Engineering Core	Dr. Gordon Carmichael
Center for Genome Innovation	Dr. Rachel O’Neill
Central Electron Microscopy Facility (CEMF)	Dr. Stephen King
Computational Biology Core	Dr. Jill Wegrzyn
Dental Clinical Research Center	Dr. Raj Lalla
Fluorescence Activated Cell Sorter (FACS)	Dr. Evan Jellison
Center for Mouse Genome Modification	Dr. Siu-Pok Yee
High Performance Computing Facility	Dr. Ion Moraru
Microtomography (MicroCT) Imaging Facility	Dr. Benjamin Sinder
Molecular Core Services	Dr. Kevin Claffey
NMR Structural Biology Facility and Biophysical Core	Dr. Jeff Hoch
Research Histology Core	Dr. Kevin Claffey
Single Cell Genomics Core	Dr. Elise Courtois

 

The Health Center Research Advisory Council (HCRAC) is a standing administrative committee. The faculty members who serve on HCRAC advise the Vice President for Research and the Research Deans related to the institutional core research facilities, and provide support for the graduate program, and intramural grants programs.

 

Name	Membership Role	Department
Christopher Heinen	Council Chair	Medicine
Adam Adler	Council Member	Immunology
Kevin Claffey	Council Member	Cell Biology
Damion Grasso	Council Member	Psychiatry
Liisa Kuhn	Council Member	Biomedical Engineering
Bruce Mayer	Council Member	Genetics and Genome Sciences
Mina Mina	Council Member	Craniofacial Sciences
Royce Mohan	Council Member	Neuroscience
Wendy Mok	Council Member	Molecular Biology and Biophysics
Ion Moraru	Council Member	Cell Biology
Ernst Reichenberger	Council Member	Reconstructive Sciences
Jeremy Balsbaugh (ex officio)	Director, Center for Open Research Resources and Equipment	Office of the Vice President for Research
Victor Hesselbrock (ex officio)	Interim Associate Vice President for Research Integrity & Regulatory Affairs	Office of the Vice President for Research
Anthony Vella (ex officio)	Senior Associate Dean for Research	Immunology
Rajesh Lalla (ex officio)	Associate Dean for Research	Oral Medicine
Julie Schwager	Financial Planning	Office of the Vice President for Research
Deanna Thibodeau	Financial Planning	Office of the Vice President for Research
Stephanie Holden	Correspondence/Scheduling	School of Medicine

 

The Health Center Research Advisory Council (HCRAC) advises the Vice President for Research and the Research Deans on the development, management, and disposition of the Health Center’s central research resources and intramural grants programs.

HCRAC’s purpose is to:

• Develop an annual budget for support of institutional core research facilities, graduate student support, and intramural grants programs.
• Make recommendations on general programs, policies and procedures designed to improve UConn Health’s research infrastructure.
• Establish policies governing, and oversee the operation of, the central research service facilities at UConn Health.
• Approve the recommendations of various review panels regarding the distribution of budgeted funds to support faculty research and instrumentation grants.
• Serve as a resource which can be called upon for advice on the distribution of unrestricted gifts received by UConn Health for general research support and other matters relating to research.

 

For questions or comments about the HCRAC please contact one of the following individuals.

Name	Title	Phone	Email
Christopher Heinen, PhD	HCRAC Chairperson	860.679.8859	cheinen@uchc.edu
Stephanie Holden	HCRAC Coordinator	860.679.2513	sholden@uchc.edu

Proposal Submission Policy

Introduction

Sponsored Program Services is always available to assist you with the proposal preparation process. The SPS Pre-Award Staff can be reached at sps@uchc.edu. Our web site contains information that will be helpful to you when preparing your proposal.  The web site provides access to guidelines, policies and procedures, forms, rates, and funding sources. At Frequently Requested Information, you will find our Authorized University Official information, DUNS number, congressional district, where sponsor checks should be sent and much more.

Getting Started

The Principal Investigator (PI) initiates the proposal process. He/She is responsible for the technical content, budget, addressing compliance issues, and the quality and preparation of the proposal. It is important that the funding agency’s priorities and evaluation procedures are understood. It is a good idea to call the funding agency before submitting your proposal. The Project Officer may be able to make valuable suggestions to improve your proposal or direct you to another program whose priorities might better match your proposal.

The Department Chair or Unit Head, and in most circumstances the College Dean, reviews and approves the proposal and budget, certifying that the project is consistent with the mission of the Department and College/School, the academic soundness of the proposal, that resources will be available and that no commitments of University resources are made other than those described.

Required Signatures

Once prepared, the proposal is then forwarded to the Sponsored Program Services, where it is reviewed for compliance with Federal, State, and University regulations. The University’s authorized representative reviews, approves and signs all proposals. The signatures indicate endorsement and commitment to the project.

Eligibility for Principal Investigator Status

All externally funded projects conducted at UConn Health are expected to be consistent with the teaching, research, and service missions of the University. All projects are therefore, carried out within departments, centers or institutes, or other administrative units under the direction of a faculty member or comparable professional employee.

By limiting principal investigator status to a limited set of designated individuals and/or job categories, and by procuring appropriate dean and department head approval, the University is assured that the proposed research is consistent with its missions and that the necessary space, equipment, facilities and qualified personnel are available to conduct the proposed project. In all cases, the individual designated as Principal Investigator is judged to be qualified to conduct an independent research or other educational project.

Faculty members automatically eligible to serve as Principal Investigators include members of the emeritus faculty and those faculty members who hold the following titles: University Professor, Professor, Associate Professor, Assistant Professor, Research Professor, Associate Research Professor, Assistant Research Professor, Professor-in-Residence, Associate Professor-in-Residence, Assistant Professor-in-Residence, Research Scientist, Research Scholar, and Extension Educator.

Professional staff members normally eligible to serve as Principal Investigators include staff who hold titles typically associated with independent activity, whose appointment is subject to a rigorous review of credentials, and who have supervisor approval (i.e., signature on the proposal routing form), for example: Dean, Associate or Assistant Dean, Director, Associate or Assistant Director, Extension Professor, Associate or Assistant Extension Professor, Curator, Program Director, and selected University Staff Professionals, Specialists, and Educational Assistants.

Categories of employment normally considered ineligible to serve as Principal Investigators are Instructor; Assistant Instructor; Lecturer; post-doctoral appointees; research associates, assistants and fellows; and visiting and other short-term appointees. In special cases, exceptions may be made. These special cases require the Request for Approval to Serve as Principal Investigator Form be completed by the PI Applicant, signed by the PI Applicant, Faculty Sponsor, Department Head and/or Dean and submitted to SPS for review prior to proposal submission. A Curriculum Vitae should be attached. Appeals to negative decisions may be directed to the Vice President for Research.

National Science Foundation (NSF) Cost Sharing Policy Guidance

NSF policy states that the inclusion of voluntary committed cost sharing is prohibited in all proposals except when required in the NSF solicitation.  SPS is available to assist you during proposal preparation and to help to ensure that applications are compliant with NSF and University policies including situations where senior personnel do not request salary for their effort on the project.

Proposal Contents

Most sponsors publish guidelines on how to prepare a proposal.  Their application package may include standard forms that will require a signature from an authorized official. Sponsor instructions should be followed carefully for content, page limitations and font size.

The Principal Investigator(s) is responsible for ensuring the proposal is complete, accurate and adheres to the sponsor’s guidelines and policies.

The following information encompasses the basic components of a proposal that can be used as a guide when sponsor requirements are not available or specific. At a minimum you will need to provide our office with the following:

• The sponsor’s URL or a copy of the sponsor’s guidelines, in order to review your proposal and prepare it for submission.
• An Internal Proposal Review Form (routing form). This form needs to be signed by the Principal Investigator, Department Chair, Unit Head, and in some cases Dean.
• A project summary/abstract and a project description describing the objectives and methodology and significance of the proposed project. These sections may be provided to our office in draft form.
• A detailed budget and budget justification that reflects a reasonable estimate of expenses for each budget category is required. Include cost sharing/matching only if it is specifically required by the funding agency. Budgets should be submitted on the internal proposal budget template form.
• Draft Application of the complete proposal with all documents included/uploaded. Research Strategy, References City, Abstract may be in draft format.
• Sub-Contracts: If there is a sub-contract involved, a scope of work, a budget, a budget justification and a Information and Compliance Form For Subrecipients, signed by an authorized official of that organization is required.
• Compliance Review: Federal regulations and University policies require that various University committees approve certain proposed activities.  Compliance review and approvals for Animal and Human Subjects, Radioactive Substances, Bio-hazardous Substances, Controlled Substances, and Recombinant DNA may be necessary before your proposal can be signed.  You will need to designate these areas on the Internal Proposal Review Form.  Please refer to the Compliance section of this website  for the personnel in the specific compliance office that can assist with any approvals necessary for your proposal.
• Optional items: The proposal contents listed below are fairly standard items required by many sponsors and may be included as part of your proposal:
  • Bibliography of pertinent literature
  • Biosketches of senior/key personnel
  • Recent publications
  • List of collaborators
  • Active and pending support (generally, sponsors request information on current (active/awarded) and pending support to evaluate potential scientific and/or commitment overlaps; this list should be complete including all support whether or not that support is funded through the University)
  • Description of available facilities and equipment

University Facilities Use

In preparing proposals, PIs must be aware that University facilities are to be used only for those purposes that are part of the University’s mission (research, education and public and clinical service). In instances where research projects are supported by outside entities, any use of University facilities must be reviewed and approved by Sponsored Program Services.

Further, University employees may participate in projects, which are carried out with University facilities, only in their capacity as employees of the institution. That is, University facilities may not be used by an employee in his or her capacity as a consultant to an outside entity. Consulting is an activity carried out on personal time with personal, rather than institutional, resources.

Oversight Committee Approval

The Research Integrity & Compliance Services (RICS) can assist you in obtaining appropriate review and approval of research areas that will need the consideration of an oversight committee. Many times a sponsor will require a signature from a compliance office at the time of submission while other sponsors only require compliance review and approval upon award. If your research will use any of the areas listed below, please contact RICS.

Animal Subjects

The UConn Health has established, and must maintain, policies and procedures to ensure the humane care and use of live vertebrate animals involved in research and teaching activities. The University’s animal program, facilities, and procedures are overseen by an Institutional Animal Care and Use Committee (IACUC). All plans for research, teaching or training activities involving the use of animal subjects must be submitted for review and approval to the IACUC. See the IACUC home page for forms, policies and contact information.

Controlled Substances

Controlled substances are regulated by the CT Department of Consumer Protection Drug Control Division (DCD).  The Department of Environmental Health and Safety (EH&S) maintains a database of personnel who are licensed by the DCD to use controlled substances on any of the University’s campuses.  Individuals with valid needs to utilize controlled substances for University-sanctioned research protocols and related project work must obtain a Controlled Substance Laboratory (CSL) registration from the State of Connecticut as well as obtain a Controlled Substance Registration from Federal Drug Enforcement Administration (DEA) prior to starting the research. Contact Environmental Health & Safety (X-2723) or review the institution’s Controlled Substance Policy for further information.

Human Subjects

All plans for research, teaching and training activities involving the use of human subjects must be submitted for prior review by the Committee on the Use of Human Subjects in Research to ensure that no research done under the jurisdiction of the University exposes persons who participate as subjects or respondents to unreasonable risks to their health, general well-being or privacy. See the Institutional Review Board (IRB) home page for forms, policies and contact information.

Laboratory Safety

The Laboratory Safety Committee oversees the laboratory safety program administered by the Department of Environmental Health and Safety (EH&S).  The Committee develops and reviews policies that help: 1) ensure a safe working environment within laboratories, and 2) maintain compliance with US Environmental Protection Agency (US EPA), CT Department of Environmental Protection (CT DEP), and CT Occupational Safety and Health Administration (CT OSHA) regulations.  The Committee is comprised of faculty, laboratory, administration, and EH&S representatives, and meets quarterly to review laboratory safety and hazardous chemical waste issues at the University, including the Regional Campuses.  Initial laboratory safety training is required for all new professors, staff, and graduate students who will be working in laboratories; thereafter, refresher training is required every other year.

For information or assistance with issues pertaining to laboratory safety or hazardous waste storage and disposal procedures, please contact Radiation Safety at 860.679.2250.  Training schedules and other pertinent information are available on the Environmental Health and Safety website.

Laser Safety

The Laser Safety Committee oversees the laser safety program administered by the Department of Environmental Health and Safety (EH&S).  The Committee develops and reviews policies that help: 1) ensure a safe working environment within laboratories, and 2) maintain compliance with CT Occupational Safety and Health Administration (CT OSHA) regulations.  The Committee is comprised of faculty, administration, and EH&S representatives, and meets quarterly to review laser safety issues at the University, including the Regional Campuses.  Anyone using lasers must successfully complete the University’s online laser safety training program; please contact Dawn Kemp for enrollment information.  A laboratory-specific Standard Operating Procedure (SOP) must be developed by the Primary Laser Researcher (PLR) for each laser in use.  Specialized systems may require further training and protective equipment provided by the PLR.

For information or assistance with issues pertaining to laser safety or the development of a laser SOP, please contact Environmental Health and Safety.

Radiation Safety

The Radiation Safety Committee oversees the radiation safety program administered by the Department of Environmental Health and Safety (EH&S).  The Committee reviews radioactive material research protocols and develops policies that help: 1) ensure a safe working environment within laboratories, and 2) maintain compliance with US Nuclear Regulatory Commission (US NRC) regulations.  The Committee is comprised of faculty, laboratory, administration, and EH&S representatives, and meets quarterly to review radiation safety and low-level radioactive waste disposal issues at the University, including the Regional Campuses.  Initial radiation safety training is required for all new professors, staff, and graduate students who will be working with radioactive materials or x-ray producing equipment; thereafter, refresher training is required on an annual basis.  Research protocols must be reviewed and approved by the Committee before radioactive material can be ordered through EH&S.  Initial training is required for non-users who work in a laboratory where radioactive materials are used; thereafter, refresher training is provided on an as-needed basis.

For information or assistance with issues pertaining to radiation safety or radioactive waste storage and disposal procedures, please contact the Environmental Health and Safety.

Recombinant DNA (rDNA) and Biological Agents

The Institutional Biosafety Committee (IBC) reviews all research and teaching activities that involve recombinant DNA (rDNA), biological agents and toxins.  The purpose of the IBC review is to ensure that University activities comply with government regulations and provide appropriate safeguards for human health and the environment.  The IBC home page provides links to applicable government documents (e.g. guidelines from NIH and CDC), and other information.  For more information and further assistance with biosafety issues contact IBC at ibc@uchc.edu.

All research policies can now be found in Policy Manager at uconn.ellucid.com.  Choose Browse Manuals/UConn Health Manuals and enter the word “Research” into the Filter.  In the Research Folder, organization is by the department owning the policy.

This site serves as an overview of UCH’s procedures and guidances related to research and sponsored activities and links to UCH’s institutional offices responsible for assuring the integrity of UCH’s research and sponsored programs.

The procedures and guidances referenced below serve as a guide for faculty, administrators and staff engaged in conducting research or sponsored activities at UCH.  These procedures and guidances reflect our collective commitment to the responsible conduct of research and to providing quality public services in the biomedical and behavioral sciences.

Although intended to cover the wide range of sponsored activities and related compliance areas, please be advised that the information referenced here does not cover the full scope of sponsor-specific regulations.  Also, please note that policies, procedures, and guidances are subject to amendment by UCH and/or the funding agency.  To learn more about UCHC’s sponsored activity-related policies, please contact your project officer.

Online Resources

Policies

• Compliance Policies
• Sponsored Program Services (Proposals) Policies

Procedures

• Participant Support Cost Procedures

Guidances

• Code of Federal Regulations: Protection of Human Subjects
• Data Management and Sharing Plan (DMSP)
• Federal Biohazard/Biosafety Regulations
• Guidance: Expenditures on Sponsored Awards
• Reporting Harassment Findings and Actions to the NSF
• Guidance on Technical Reporting
• Guidance on Scholarly Publication Costs
• Record Retention Guidance
• Research Data Management – Funder Requirements