Technical Reports

Principal Investigators (PI) are responsible for preparing and submitting both interim and final technical reports, which typically include a description of the work performed, results of the work and any related publications resulting from the work.  The Sponsored Program Services unit (SPS) within the Office of the Vice President for Research should be copied on the cover letter accompanying the interim and final technical report.

Financial Reports

Preparation of Financial Reports is the responsibility of SPS. These reports are generally due within 120 days of the award expiration on federal awards; the deadline may be even shorter for state and private awards. Inability or failure to submit reports within the stipulated time frame can result in the suspension of funding and/or a delay in the release of future funding. All expenditures related to the project must be processed, open encumbrances closed, cost sharing verified, and the fund(s) reviewed for errors or necessary changes in order to prepare the final financial report.  Proper compliance with Federal policies such as OMB Uniform Guidance and compliance with sponsor terms and conditions will ensure SPS is providing an accurate and timely final financial report.

SPS will prepare and send to the PI a draft report of final financial expenditures. There may be several items to which the PI is asked to respond. These include review of over-expenditures, expenditures after the end date, documentation of cost sharing, and identification of any charges not yet recorded in UConn Health’s financial system. It is essential that these drafts are reviewed and returned within the time frame requested by SPS. In order to comply with sponsor reporting requirements, SPS will prepare final reports based on the draft if the PI does not respond within the requested time. Any unallowable expenditure(s), as well as any expenditure that remains unrecorded and therefore unbilled, will become the responsibility of the PI and his/her Department Head, Center Director or Dean.

Sponsored Program Services’ (SPS) mission is to support research excellence at UConn Health. We accomplish our mission by encouraging and facilitating the use of external sponsorship of project needs and by serving as stewards of funds provided to UConn Health by sponsors. SPS maintains an atmosphere that is supportive and protective of the research and scholarly/creative activities of UConn Health faculty, staff, graduate students, and postdoctoral fellows. We view ourselves as research advocates and professionals dedicated to the best service possible, which means that we work with our campus constituent groups to increase accessibility and reduce encumbrances and streamline our business processes while ensuring adherence to sponsors’ requirements.

All awards received by UConn Health include terms and conditions that are agreed to when an award is accepted. The terms and conditions typically include the timely submission of one or more of the following reports:

• technical/scientific/progress report
• financial statement of expenditures
• report of inventions
• patent report
• royalty report
• inventory list of equipment purchased under the award
• contractor’s release form, and/or
• final invoice or voucher

In addition, the terms and conditions include the approved budget dollars and line items as well as the rebudgeting terms and billing terms. UConn Health is also obligated to follow all federal rules and regulations such as Office of Management and Budget (OMB) Uniform Grant Guidance prescribing allowability of costs to awards and the Cost Accounting Standards.

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 or a career development award such as an NIH K grant into a full, renewable (R01-type) funded research project.

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 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, 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 (except their individual investigator DCAA account), then HCRAC expects the investigator to exhaust those funds before seeking Transition Award support. 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. It is expected that applicants will have already submitted an extramural grant application and received the corresponding evaluation (i.e., summary statement) prior to seeking a 1^st E-grant installment. In special circumstances the applicant may request a 1^st E-grant installment prior to receiving a summary statement, but must provide a compelling explanation as to why they did not attempt to avoid a funding interruption. Submission of at least one extramural grant application based on the Parent Grant and receipt of the summary statement is mandatory, however, 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 (except their individual investigator DCAA account), then HCRAC expects the investigator to exhaust those funds before seeking Emergency Grant support. 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. 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/PI 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 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, provide a digital copy of this application and the critique provided by the funding agency.  If an application was not submitted, explain your logic for delaying submission and your plans for submission of applications (see Conditions of the Award).

Second and Third Six-month Period – without the Critique from an application to continue funding of the Parent Grant or projects derived from it, applications for additional funding will not be considered.

Beyond the first six-month award, each subsequent 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 and subsequent awards (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) 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; and (4) copies of all grant submissions and summary statements related to the project during the previous six-month period. 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.

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