Faculty Large and Small Grant Programs

Guidelines and Proposal Preparation

Small Grant electronic application deadline via InfoEd: ongoing
Large Grant electronic application deadline via InfoEd: September 30, 2009, 4:30 p.m.

Part 4. Budget Preparation Instructions

Part 1. Overview Information

Program Goal. The primary goal of the Large and Small Grant programs is to assist faculty in all disciplines to better position them to apply for and receive extramural funding for their research and scholarly activities. Recipients of these awards are expected to be actively engaged in submitting proposals to extramural sponsors. The applicant's record of extramural funding, as well as potential for such funding and relevant scholarly productivity, will be considered as factors in judging the applicant's qualifications.

RAC Priorities. The program's primary objective is to fund proposals of high scholarly merit. The RAC encourages proposals for research projects in all areas, and for a wide variety of purposes, but is especially interested in funding "pilot" or "seed money" grants, including proposals from newly-appointed faculty members who need initial support to begin a research program at the University; and proposals from established investigators who wish to change research direction or obtain pilot data. The program also supports sabbatical leave proposals and proposals for interim "bridge" funding where previous support has not been renewed, where application for renewal or for alternative extramural funding has been filed or will be filed, and where lack of funds would seriously hamper an established research project. Proposals are peer reviewed within disciplinary review panels and supplemented by ad hoc reviewers when additional expertise is needed.

Eligibility. Tenured or Tenure-Track faculty members including: Assistant Professors, Associate Professors and Full Professors. In addition, Associate or Full Professors in Residence and Associate or Full Research Professors may apply.

Categories of Support.

Large Grants (requests over $1,500) Requests may be for research assistants (primarily graduate assistants and student labor), equipment, supplies, travel for research, per diem and contractual services related to the research. Matching funds are strongly recommended, although not required, when the cost of the equipment exceeds $5,000.

Assistant professors who are in the first two years of appointment to the University may apply for a Junior Faculty Summer Fellowship ($3,000 plus fringe); eligible faculty may receive only one award of this type. Also, under certain conditions investigators may apply for a maximum 50% post-doctoral package.

Large Grant funds cannot be used to cover faculty salaries or service contracts on equipment. Other ineligible expenses include publication charges and reprint charges or expenses for travel to meetings of professional societies to present research results (which are partially supported via the Faculty Travel program).

Small Grants (requests up to $1,500) Requests may be made for small start-up projects, pilot projects to obtain preliminary data for extramural funding agencies, and small projects designed to test new procedures and/or methodologies. Faculty may also apply for limited support for sabbatical projects, as well as limited support to bring book-length research manuscripts to final publication (e.g., copy-editing; book indexing; permission fees for photographs and illustrations; preparation of illustrations). Faculty in the humanities and in the visual and performing arts may apply for small creative, scholarly projects, e.g., preparation of materials for a gallery show; library research leading to a book or monograph.

Small Grant funds cannot be used to cover faculty salaries or service contracts on equipment.

Funding Period. Large and Small Grants are awarded for a maximum period of one year. Funds not expended by that time will no longer be available. Generally, only one award, per PI, will be granted in a given fiscal year and no more than two awards made during a five year period.

Deadlines. Requests of $1,500 or less are considered Small Grants and may be submitted at any time. Requests of $1,500 or more are considered Large Grants and may be submitted twice a year to the peer-reviewed grant competitions. Deadlines are as follows:

Fall 2009: Wednesday, September 30, 2009

Spring 2010: Wednesday, February 3, 2010

Proposal Submission. An individual may be the PI on no more than one proposal per cycle. All Small and Large Grant applications must be submitted through InfoEd.

Resubmitting a Declined Large Grant proposal. You must take into account the reviewers' comments on your original submission when you prepare a resubmission. These comments, whether you agree with them or not, must be addressed. When you resubmit, attach a cover letter that summarizes the changes you have made and that informs the reviewers where to look for those changes. The deadline for resubmitted proposals is the same as for the regular Large Grant Program.

Final Report. A two-page final report is required when the project is completed. The Research Advisory Council is vigilant about enforcing these requirements as is customary for most external funding agencies. Submission of the final report will be an important consideration in reviewing your future awards. Please submit final report to larisa.hull@uconn.edu

Part 2. Proposal Package Preparation for Uploading to InfoEd

Guidelines. Please be sure to read all the guidelines thoroughly. Each item should be prepared and labeled as a separate document as noted below. Questions 1-9 are gathered via an elctronic form in InfoEd. The order below reflects the sequence of the proposal to be uploaded.

Cover Letter (only necessary if resubmitting a Large Grant)
Proposal Abstract (#10 in the guidelines below).
Proposal Project Plan (#11, #12 in the guidelines below)
Proposed Budget and Extramural/Intramural Support (#13, #14, #15 in the guidelines) and Other attachments (CV - #16, #17 – appendices, approvals in the guidelines)

Your proposal needs to be routed to all required signatories (i.e. department head) during the submission process. For review on how to complete this process, please refer to pages 18, 19 and 20 of the InfoEd PD instruction guide noted above.

Proposal Format. The proposal format is flexible. Complete sections 9 through 16 on 8.5 x 11" paper, single spaced, using a 12 pt. font and 1" margins, referring to each section as indicated.

Once the application is ready to be uploaded, please refer to the Instructions for Uploading application to InfoEd.

Part 3. Proposal Preparation Information

Questions 1-9 are contained in an e-Cover Sheet within InfoEd and are addressed once all the documents have been uploaded. IT IS NOT NECESSARY TO UPLOAD A PAPER VERSION OF THE COVER PAGE.

Additional information for items 7 through 9 are given below.

7. Review Panel Assignment (For Large Grants only).

Life Sciences - generally includes proposals from faculty in the College of Agriculture and Natural Resources, School of Pharmacy, the three Biology departments, Marine Sciences and the Neuroscience area of Psychology.
Physical Sciences - generally includes proposals from faculty in Chemistry, Geography, Geology and Geophysics, Marine Science, Mathematics, Physics and Statistics.
Social Sciences - generally includes proposals from faculty in the Schools of Business, Education, Nursing, Social Work or from faculty in Allied Health, Agriculture and Resource Economics, Anthropology, Communication Sciences, Economics, Linguistics, Political Science, Psychology and Sociology.
Humanities/Fine Arts - generally includes proposals from faculty in the School of Fine Arts or from faculty in English, History, Modern and Classical Languages and Philosophy.
Engineering - generally includes proposals from faculty in the School of Engineering.

Please select the research area(s) that are most reflective of your Large Grant proposal and not based on your affiliation with an academic department. It is recognized that some proposals may fall into two or more research areas. Keep in mind that the membership of each review panel will be selected from academic departments that correspond to a particular research area.

8. Assistant Professors. Please provide your start date and the amount of your start up funds package (if applicable).

9. Protocol Approval. Projects requiring IRB (Institutional Review Board), IACUC (Institutional Animal Care and Use Committee) or IBC (Institutional Biosafety Committee) review, must have committee approval on or before the proposal award date. For information on whether your project requires review, please refer to the websites: IRB (use of human subjects); IACUC (use of animal subjects); IBC (rDNA and Biosafety). If you already have approval, please submit a copy of the approval letter with your proposal and note, in item 9 that your protocol has been approved. Proposals with approval pending will be entered into the competition; however, funds will not be released until final approval is granted. If approval is pending, please note "approval pending" in item 8. Proposals without this information will be returned.

10. Project Abstract. Succinctly state the objectives, methods to be employed, whether human or animal subjects will be used, and the significance of the proposed activity to the advancement of knowledge or pursuit of scholarly activities. The abstract should be informative to other persons working in the same or related fields and largely understandable to a lay reader.

11. Proposed Research (Narrative). Narrative should not exceed three (3) pages for a Small Grant and five (5) pages for a Large Grant; proposals with longer narratives will be returned to the applicant. Use the headings suggested below to organize the narrative. Describe the proposed research project in sufficient detail to enable peer review. It is recommended that applicants write their proposals for a more general audience of reviewers drawn from their general area but who are not necessarily experts on the proposed research problem. Be sure to carefully link the project to the proposed time period and budget requested; do not simply attach a narrative from a larger, longer extramural proposal. Use English only and avoid jargon. For acronyms not universally understood, spell out the term the first time it is used.

Introduction. Clearly state the project to be undertaken, the background of the work, with literature references as necessary, and the rationale of the project as you wish to pursue it.
Methodology. Give details of the research plan, a statement of procedure consistent with the presentation in the Introduction.
Significance of the Research (Important). Describe the significance of this project to the field as a whole, emphasizing the potential importance of anticipated contributions. Explain how this proposal will help you move into a better position to apply for and receive extramural funding for your research and scholarly activities - be specific and identify potential sources for extramural funding. Explain the expected outcome of the research and how you plan to disseminate your findings (by publishing in a scholarly journal, presenting at a meeting, showing at an exhibit, demonstrating at a recital, etc.).

12. References. List the references used in your study in a style that is appropriate for your field.

13. Proposed Budget. The budget should, normally, not exceed $25,000. The budget will be reviewed in relation to the activity proposed. Provide details with appropriate justification for each item using the following budget format and refer to the Budget Preparation Instructions noted below.

BUDGET CATEGORY,
SPECIFIC ITEM AND DETAILS AMOUNT JUSTIFICATION

14. Extramural Support. Include information on extramural research proposal activities for the last FIVE YEARS in this section. The RAC is interested in obtaining a picture of your efforts, whether successful or not, to secure funding from external sponsors, and the relationship between those efforts and your previous awards. Recipients of Large and Small Grants are expected to be actively engaged in submitting proposals to extramural sponsors. If you have NEVER applied for or received extramural support, you must provide an explanation. In addition, if you are a Co-Principal Investigator (Co-PI) on a project be sure to list the Principal Investigator (PI), the total budget for the project and the total budget for your part of the project. Pending and rejected proposals are important - be sure to list them. Note that "N/A" or "None" is not an acceptable answer. If you have not applied for extramural funding an explanation is required. If you leave this section blank, your application will be returned.

For each extramural support entry provide the following information; use the headings as listed:

PROJECT TITLE
PI/Co-PI (indicate whether you are a PI or Co-PI)
EXTRAMURAL SPONSOR
PROJECT PERIOD
DIRECT COSTS (If Co-PI, list total project costs and the costs for your portion)
STATUS (i.e., currently active, closed, pending, rejected)
OVERLAP WITH RAC REQUEST? (Important, please explain)

15. Intramural Support. Include information on intramural research proposal activities for the last FIVE YEARS in this section. "Intramural support" is defined as support from all University of Connecticut sources, including Internal Program Support, Agricultural Experiment Station (Hatch) Awards through the College of Agriculture and Natural Resources, University Cost Centers and Specialized Service Facilities, Connecticut Sea Grant Program, National Undersea Research Center (NURC), Institute of Water Resources (IWR), the Critical Technologies Program, etc. The RAC is particularly interested in knowing about all Internal Program Support awards you have received, and the results of those awards in terms of publications, subsequent extramural funding, etc. In addition, if you are a Co-PI on a project be sure to list the PI, the total budget for the project and the total budget for your part of the project. Pending and rejected proposals are important - be sure to list them. Note that "N/A" or "None" is not an acceptable answer. If this is the first application for such support, words to this effect must be stated. If you leave this section blank, your application will be returned.

For each internal support entry provide the following information, using the headings as listed:

PROJECT TITLE
PI/Co-PI (indicate whether you are a PI or Co-PI)
INTRAMURAL SPONSOR
PROJECT PERIOD
DIRECT COSTS (If Co-PI, list total project costs and the costs for your portion)
STATUS OF PROJECT (i.e., currently active, closed, pending, rejected)
REPORT ON USE OF FUNDS (Important, if you have previously received Internal Program Support from the Research Foundation, enclose a final report and list the extramural award applications and publications/presentations that are a direct result of the previous internal funding.)

16. Two-Page Curriculum Vitae. Attach a two-page version of your professional summary, including your most recent publications or publications most relevant to the work proposed.

17. Appendices (Optional). Most proposals will not require appendices. Such additional material is needed only when it is truly essential for adequate peer review of the proposal, e.g., subject questionnaire, price quotation on major items of equipment, letter(s) of invitation to a sabbatical research site, or comments of peer review groups or federal agencies. Although there is no page limit on appendices, it is counterproductive to append lengthy material.

For investigators who are applying for bridge funding, it is recommended that investigators enclose written critiques from extramural funding agencies with the proposal submission. Short of this, the review score or percentage would be most helpful in the review process. This information would be considered confidential to the individuals involved in the review.

Part 4. Budget Preparation Instructions

Proposed Budget. It is important that you justify each item of the budget. Details and Justification -- may include any combination of items in the categories listed below.

13a. Junior Faculty Summer Fellowship. Junior faculty members who are within the first two years of appointment to the University, AND who hold a rank no higher than Assistant Professor, may apply for a Junior Faculty Summer Fellowship ($3,000 plus fringe benefits) in support of summer work on the proposed research project. Eligible faculty members may receive only one award of this type. Justification for this request should include why you need this money, in addition to any start up funds that you received, to make this project successful. For salary and fringe benefits please click here.

13b. Research Personnel (Salary, wages, and fringe benefits). Funds may be requested to support personnel who are essential for conducting the research project, commonly graduate research assistants and student labor. The student’s name(s), if known, should be listed. You must list the specific duties, in relation to the research proposal, of all key personnel named in the proposal to be hired; DO NOT list vague phrases such as "conducting the research." Occasionally, funds for consultants or other off-campus assistance needed to perform special tasks may be needed, but must be carefully justified. Under certain circumstances up to 50% of the salary and fringe benefits of a postdoctoral fellow may be requested (see below). Other personnel needs, e.g., technicians, research assistants and associates, are generally not eligible for support unless needed on a short-term basis as part of an interim "bridge" funding request. For current salary and fringe benefit rates please click here.

Graduate Research Assistantships. If the project requires a greater level of expertise than hourly student labor, you may request funds for a graduate research assistantship. The maximum summer salary you may request for a graduate student, at all levels, is $2,000. Be sure to add in fringe benefits.
Student Labor. Student labor is paid on an hourly basis (approximately $8.00 to $26/hour), plus fringe benefits.
Consultants and Other Off-campus Assistance. Individuals who are not on the regular state payroll may be hired to perform special research-related tasks as needed. Such individuals are paid on an hourly basis, usually via Special Payroll.
Postdoctoral Fellows. In general, it is expected that the salary and fringe benefits for a postdoctoral fellow will derive from sources external to the University, and will not be requested from this program. Under certain circumstances, however, requests will be considered for up to 50% of the total salary and fringe benefits of a postdoctoral fellow. Funding is customarily limited to a maximum of 6 months support for a given fellow or project, i.e., half of one-year appointment. The funding must normally run concurrently with the matching extramural award and cannot be used as an extramural grant extension. The project must be of a pilot nature and evidence must be provided that the cost-sharing awarded will materially enhance the likelihood of future funding in the proposed research area. The remaining 50% for the postdoctoral salary and fringe benefits must be in place as shown by inclusion of the University FRS number of the funded extramural account(s).

13c. Equipment. For major items, attach a price quotation from the vendor. Although matching funds are not required, such matches are strongly recommended when the cost of the equipment exceeds $5,000. In cases where the same or similar equipment is already available on campus, you must include a justification concerning accessibility and/or need for additional units. New faculty members should briefly explain the relationship of "start-up" funds to this application. Computer equipment and software must be justified in terms of need for conducting the research, as opposed to ordinary word-processing.

13d. Supplies. Specify supplies necessary for the research, list costs and justify each item or group of items.

13e. Animals and Animal Care. Specify type of animal(s) to be used in the project, and the cost per animal. Be sure to include the current animal care per diem charges and attach a copy of the approved IRB-1 or IACUC-1 form. Visit the Animal Care website for more information http://www.oars.uconn.edu.

13f. Domestic and Foreign Travel (Transportation and Per Diem). Include only travel that is necessary to conduct the research, NOT travel to present the results of research, or travel to explore future funding opportunities. Describe the relationship of the travel to the project and provide details such as method of transportation, destination(s), airfare, number of trips to each destination(s). Per diem -- food and lodging -- may be included. Generally, you should request per diem according to the following schedule: no more than $750 for a research trip away from campus up to 3 months; $750 for a half-year sabbatical; and $1,500 for a full-year sabbatical. Requests for amounts more than stated in the guidelines may be considered depending upon need and availability of funds.

13g. Contractual Costs. Include all fees and charges for specialized services, such as library access fees, laboratory analysis fees, consultant fees, subject fees, etc. Explain fully and justify.

The following items cannot be requested: faculty, clerical or administrative personnel salaries, including personnel whose primary purpose is to explore funding sources and/or prepare grant applications; service/maintenance contracts on equipment; laboratory renovations, or other infrastructure renovations; institutional memberships in professional organizations; travel to professional meetings to present the results of the research; travel to explore extramural funding opportunities; costs associated with the publication of results of the research, including page charges and purchase of reprints.

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