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UConn Quantum Technologies Translation Award (QuTech) Program

The Quantum Technologies Translation Award Program (QuTech), made possible through investments by the Connecticut Office of Innovation (CTNext), supports the derisking of use-inspired innovations centered on quantum and quantum adjacent technologies through Academic / Industry partnerships.  The program provides up to $30,000 to help accelerate the translation of UConn/UCH developed quantum and quantum adjacent technologies / applications for real world impact. QuTech is open to UConn/UCH researchers who have:

  1. Completed research and developed (at minimum) a Proof of Concept,
  2. A use-inspired application with strong market potential and a path for IP protection, and
  3. A partnership with an established quantum-related company or startup (the proposing team cannot have an ownership stake in the partner company).

Funds can be used for:

  1. Supporting students to conduct experiments designed to de-risk the technology for targeted applications,
  2. External validation of the technology and/or its use cases with an industry and/or startup partner, and/or
  3. Use of in-house or external resources critical for de-risking the technology.

Applications will be reviewed by internal and external researchers familiar with quantum technologies and/or associated markets.

Important Dates (all due dates by 12 noon) 

  • 5/15/25 – program opens.
  • 6/30/25 Full Proposal deadline.  Submissions are made via the UConn Quest Portal
  • Award Notifications are expected in August, 2025

Award details:

  • The OVPR anticipates funding up to 2 awards of $30,000.
  • Award periods will be for one year
  • Awards will be funded in two equal payments.  The second payment will be made six months into the award period, pending completion of milestones, submission of a report, and adherence to program guidelines.
  • QuTech awards are intended to support the translation of quantum-related innovations developed within the labs / research groups of UConn/UConn Health faculty members.  Funds cannot be used for
    • a) continuing previous/ongoing commercialization projects,
    • b) costs related to creating/operating start-up companies, or
    • c) development activities that take place within startup companies.
  • Awardees will be connected with commercialization experts from OVPR’s Technology Commercialization and Venture Development group.  Awardees should expect to work closely with TCS to discuss progress/obstacles, undergo commercialization-related training, and to gain access to advice and resources that will enhance the project’s chances for commercial success.  Awardees are required to work with TCS's IP team to protect their innovation (target: provisional patent filing 6 months to 1 year after project launch).

Eligibility / IP & Licensing Requirements:

The QuTech program is available to UConn/UConn Health faculty members, within the following parameters:

  • IP: Projects should have intellectual property at their core. To be eligible, project-related UConn IP must exist and a UConn invention disclosure must be filed prior to applying.  Projects based on IP not developed at UConn are not eligible.
  • Startups and License Options: If a startup related to the QuTech project exists at the time of award, an option agreement must be taken within 6 months of the award.  If a startup company related to the project is formed at any point in the future, an option agreement must be taken within six months of the startup creation.
  • Effort and Salary:
    • The award does not pay for any PI salary or for time spent on the project
    • Although no minimum effort level is required for QuTech projects, a PI/Co-PI must have institutionally-funded research time available during the award period to lead and complete the project.
    • Research Professors / those whose positions are contingent on grant-funding (soft money positions) must include details about their institutionally-funded research time as part of the budget justification to confirm eligibility.
  • UConn Primary Appointment:
    • PIs must be faculty or staff whose primary appointment is at UConn/UConn Health. Awards are available to tenure-track, tenured, Clinical, Research, and in-Residence faculty with Assistant Professor rank or higher.
    • Researchers with primary appointments to CCMC, Jackson Labs, or TIP or other startup companies are not eligible to apply.
    • Individuals who are not eligible to apply as a PI may be able to serve as a collaborator/consultant on an eligible PI’s project.
  • Number of submissions: Eligible faculty may only submit one proposal as lead PI. Investigators may serve as collaborator on multiple projects.

Proposal Submission Instructions:

Elements to include in the full application are as follows:

  1. A one-paragraph abstract (type or copy/paste into a form on Quest).
  2. Project plan document three page maximum, 11-pt font and 1” margins), including
    1. Problem/Unmet need: Describe the problem or unmet need that the innovation will address.
    2. Description of the innovation: Describe the innovation or technology concept.
    3. Estimate Market Size:
      1. Which industries are likely to adopt the technology? Why is this technology important for these industries?
      2. Please describe the total available market this technology addresses (TAM) and how much of the TAM this technology will address.
    4. Competing Products:
      1. Identify any currently available products/technologies and explain why they do not adequately satisfy the problem or unmet need.
      2. Explain how the proposed innovation is different from or better than those that are already available.
    5. Intellectual property (IP): Describe your IP position, and the competitive IP landscape. List your current patent applications or patents pending as well as any granted patents related to this project. If you currently have no patent applications, please mention plans for future invention disclosures.
    6. Commercialization Plan:
      1. Explain how the proposed de-risking activities will allow you to achieve the major milestones required to further develop the technology for market entry.
      2. Describe your plans for funding development of this technology beyond the QuTech grant (through SBIR/STTR, Angel and VC funding, etc).
    7. Preliminary evidence: Summarize any preliminary data available that substantiates the proposed innovation usefulness for the applications envisioned.
    8. Proposed work with project milestones: Outline the proposed scope of work approaches with timelines and a clearly defined set of objective milestones to be completed by the end of the initial award period.  Please include an analysis of how the proposed activities will sufficiently de-risk the innovation to allow for further commercial development.
  3. Biosketches/CVs: Please include brief biosketches/CVs (formatted as appropriate for your field) for all PIs/Co-PIs (No more than 3 pages).  Include your most recent publications or those most relevant to the work proposed.  Also include current/pending support from external sponsors and UConn sources (including start-up funding).  Biosketches/CVs may be uploaded as one PDF or as separate PDF documents.
  4. Budget: Provide a preliminary budget estimate and proposed use of funds. Please see Internal Funding Budget Guidelines for instructions and a budget template.
  5. The budget spreadsheet should be converted to PDF format prior to upload.

              Review Criteria

              Proposals will be scored based on the following criteria:

               

              Market Need—does the innovation address an unmet need and is there evidence that there is a market for the proposed solution?

              • Does the applicant make a strong case that there is a need/problem that needs to be met?
              • Is the science/technology strong enough to evidence its success
              • Does the proposal include data about how much of the market the technology may realistically capture?

               

              Innovation and Novelty—Is the innovation novel and/or does it make a significant improvement over currently-available solutions?

              • Does the proposal make a convincing argument that the innovation is novel and or makes a significant improvement over currently-available solutions?
              • Is there existing or the potential for intellectual property protection?
              • To what degree does the innovation solve the unmet need differently (e.g., better, faster, cheaper) than the current state-of-the art?
              • If novel, is the innovation a disruptive technology, a platform technology, or an incremental improvement over the current state-of-the art?

               

              Commercialization Plan—Is there a realistic path for commercializing the innovation?

              • Does the proposal present a path to bring the innovation forward to market?
              • Does the proposal present plans for future financing of the project, such as SBIR/STTR or industry investment?
              • For future development, will this technology require regulatory approval?  If so, does the proposal address plans for successfully navigating the process?
              • Does the applicant point to any obvious potential licenses / commercial partners for this innovation?

               

              Approach and Feasibility—Are the activities proposed attainable in the proposed timeline and are they consistent with the high scientific/scholarly standards?

              • Does the investigator/team have appropriate expertise and laboratory facilities available to conduct the work?
              • Does the project include the involvement of a UConn core facility or a third party be required to complete the work (e.g prototype development)?  If so, have appropriate commitments been obtained?
              • To what degree will the activities proposed de-risk and advance the development of the innovation?

               

              Postaward Considerations

              QuTech awardees agree to provide regular progress reports to the OVPR during and after the award period. Reports fall into four categories:

              • Consultations with TCS: Awardees are expected to connect regularly throughout the award period with their point of contact within OVPR Technology Commercialization Services to discuss progress, to talk through potential problems, and to consider future steps and additional resources that may be of use. Each PI will work with their TCS contact to set up the best check-in schedule, but it is expected that consultations would happen at least on a quarterly basis.
              • Six-month Reporting: After six months of each award period, applicants will be asked to submit a progress report via the Quest Portal.  After review of this report, the second payment of the award period will be made to the award account.
              • Annual Reports: Recognizing that investments made by the OVPR can often take some time to produce their full results, we will be asking that all recipients of OVPR Internal Funding, including QuTech, submit outcomes reports over the life of the project. This will allow us to better understand the impact of internal funding and make the case for it continuing / increasing.
                • Reporting requirements: PIs will need to prepare a brief report, using this Award Report Template to summarize project progress within one month of posting final expenses unless an extension from the OVPR has been received.
                  • We’ll be interested in hearing about the results of your project,
                  • the significance of those results, and
                  • gathering statistics about graduate students supported, publications, external grants / patents received, other projects launched, etc.
                  • Other questions may also be included as needed. The OVPR may request updates annually for up to five years following the end of the award period to track the development of the project longitudinally.

              Program Contacts

              The QuTech program is jointly administered by OVPR Technology Commercialization Services and Internal Funding Program.

              Program Director
              Dr. Vivek Ramakrishnan
              Director, Venture Development, OVPR Technology Commercialization Services
              vivek.ramakrishnan@uconn.edu

              Dr. Matt Mroz
              Manager, Research Development Services
              matthew.mroz@uconn.edu

              Program point of contact (Contact for information on program/process, application status, award management/extensions)

              Charlotte Nelson
              Internal Funding Coordinator
              research@uconn.edu

              Reminder: Transition Amendments for UConn IRB

              Posted on by

              The IRB module of InfoEd was updated on December 16th.  For the system to work as intended, most open studies will need to be transitioned to the new application form:

               

              The following studies need to be migrated:

              • Open studies that received approval or exemption determination from UConn Storrs IRB prior to the system updates (December 16, 2024);
              • Open studies that were approved by an external, non-UConn IRB, that have a record in InfoEd.

              The following projects do not need to be migrated:

              • Research studies that are closed;
              • Determinations that a project is not research or projects that are determined not to involve human subjects (aka NHSR determinations);
              • Projects for which data collection is complete, and the only remaining activities are data analysis;
              • Projects that can be closed because they no longer involve human subjects.

              When are transition amendments due?

              • Projects that require continuing review with the continuing review application submitted after March 16, 2025 must have been migrated to the new form via a transition amendment prior to the continuation. 
              • Effective March 16, 2025, projects that do not require continuing review must be updated via a transition amendment the next time a submission to the IRB is needed. 

              For more information, please see the Study Migration Guide. User Guides are also available on the Human Subjects Module webpage.

               

               

              Register for IRB Office Hours – Human Subjects Research Support

              Posted on by

              The Research Integrity & Compliance (RIC) team invites students and faculty to attend virtual (via Webex) and in-person office hours for assistance with IRB submissions and human subjects research regulations.

              RIC staff will be available to answer questions regarding IRB submissions, human subjects regulations, post-approval support, and general IRB guidance.

               

              Office hours schedule:

              • Wednesday February 26, 2025: 10:00am – 1:00pm (In Person)

                        Location: Whetten Graduate Center, 2nd floor, Room 211

               

              • Tuesday March 4, 2025: 1:00pm – 4:00pm (Virtual via Webex)

               

              • Monday March 24, 2025: 10:00am – 1:00pm (In Person)

                        Location: Whetten Graduate Center, Giolas Conference Room, 2nd floor

               

              • Wednesday April 9, 2025: 3:30pm – 6:30pm (Virtual via Webex)

               

              • Tuesday April 22, 2025: 10:00am – 1:00pm (In Person)

                        Location: Whetten Graduate Center, 2nd floor, Room 211

               

              • Wednesday May 14, 2025: 10:00am – 1:00pm (Virtual via Webex)

               

               

              To schedule an in-person or virtual appointment, please follow the link below:

              https://nexus.uconn.edu/secure_per/schedule1.php?stser=4475

               

              RIC Education & Training Sessions

              The RIC office also offers educational and training sessions for researchers, research teams, and classes on topics, such as informed consent, successful IRB submissions, post-approval research management, category of review, research subject to FDA regulations, and other human subjects research best practices.

               

              For questions about IRB office hours or educational sessions, please contact Joan Levine at joan.levine@uconn.edu.

               

               

               

               

               

               

               

               

              Subaward Resources

              Forms

              Subrecipient Information and Compliance Form – To be provided along with subaward proposal documentation (scope of work, detailed budget and budget justification, additional documents required by proposal guidelines) when forwarded to Pre-Award Services (as part of an initial prime application/proposal) or in support of requests to sponsor for post-award addition of subaward/subcontract

              Subrecipient Profile Questionnaire – Requested by SPS from subrecipients who are not members of the Federal Demonstration Partnership (FDP) to collect information used during required SPS risk assessment

              External Investigator Financial Disclosure Form – Completion required by all responsible personnel from other institutions which do not have a compliant Financial Conflict of Interest policy.

              Other Resources

              Provides full instructions for initiating a subaward-related Purchase Requisition (for new subawards) or Purchase Order Action (for subaward amendments).

              Provides a listing of subaward-related actions corresponding to common prime award activities.

              New Researchers

              Welcome to UConn!

              We’re excited to have you join our research community. To ensure compliance with local, state, and federal regulations, all projects involving biological materials at UConn must be reviewed and approved by the Institutional Biosafety Committee (IBC) prior to the start of any research activities.

               

              Getting Started with HuskySMS

              Before research can begin, Environmental Health and Safety (EHS) must add your lab to the HuskySMS database; uconn.scishield.com.  Once your lab’s dashboard is set up, Principal Investigators (PIs) and lab personnel can log in using your UConn NetID and password and will have access to the following:

              Lab Dashboard

              • General lab information
              • Hazard listings
              • Compliance summary

              Training Module

              • Assign applicable job activities to lab members under the “Members” tab
              • Ensures required safety trainings are automatically prompted

              Inspections Module

              • Tracks lab safety and compliance inspections

              Bio Module

              • Used for IBC registration review and approval (see below for details)

                 

                Complete the IBC Registration (Biological Summary)

                All IBC registrations are submitted through the HuskySMS system; uconn.scishield.com. Log in using your UConn NetID and password.

                Bio Profile — from lab dashboard, click “Bio” tab

                • Summary: Overview of lab projects and biological materials
                • Registration Summary: Displays IBC submission status, review history, approval dates, and registration renewal deadlines

                IBC Registration — drop-down lab in left nav, click “Bio Summary” 

                • Initial set up is done using the Biological Registration Wizard which guides you through completing the required forms.
                • Upon logging into HuskySMS, prompts to complete the Biological Registration Wizard can be found at the top of your home page. These reminders will continue until submission.
                • Complete one Project Form, which depending on the biological materials selected, may prompt additional surveys, tables, or forms (e.g., Pathogen Registration Form, Viral Vector Form).
                • Amendments can be submitted by updating applicable sections of the approved bio-summary. Please be sure the registration status is NOT under “IBC Review”. Edits during this stage of review can delay approvals.
                • Once complete, certify and submit for IBC review.

                Tip: Only one Research Project Form should be completed per bio-summary. If you have multiple projects, list them in the “Description of Experimental and Procedural Details” section (e.g., Project 1: …, Project 2: …). This helps avoid duplicate submissions and streamlines the review process.

                Resources

                The IBC Guidance Document provides step-by-step instructions for completing your registration. Additional Quick Guides and Job Aids are available on the EHS website.

                Timeline

                Determining when research can begin depends on the nature of the work being conducted. Once the IBC receives your biological summary, a determination will be made regarding when lab activities may commence.

                See Level of Review Required below for additional details.

                 

                Level of Review Required

                UConn’s IBC review process includes two categories, based on the type of work proposed:

                Full Committee Review
                Required for projects involving:

                • Covered experiments under the NIH Guidelines
                • Risk Group 2 (RG2) pathogens
                • Biological toxins

                Administrative Review by the Biosafety Officer (BSO)
                The IBC has delegated authority to the BSO for certain submissions, with notification to the full committee at the next scheduled meeting. These include:

                • Projects classified as exempt under NIH Guidelines
                • Work that does not involve recombinant or synthetic nucleic acid molecules

                 

                Submission Deadlines

                To be included for review during the next IBC meeting agenda, please submit your registration by the applicable submission deadline which can be found on the IBC Meeting Dates page.

                 

                Questions?

                If you have any questions about the HuskySMS Bio Module or the IBC registration process, feel free to contact us at ibc@uconn.edu.

                 

                 

                Last Revised: August 15, 2025

                 

                Institutional Review Entity

                Federal Policies for Life Sciences Research

                DUAL USE RESEARCH OF CONCERN (DURC)

                Life sciences research is essential to the scientific advances that underpin improvements in public health and safety, agriculture (including crops and other plants and animals) the environment, materiel, and national security. Despite its value and benefits, certain types of research conducted for legitimate purposes can be utilized for both benevolent and harmful purposes. Such research is called “dual use research”. The current policy defines DURC as a subset of dual use research defined as life sciences research that, based on current understanding, can be reasonably anticipated to provide knowledge, information, products, or technologies that could be directly misapplied to pose a significant threat with broad potential consequences to public health and safety, agricultural crops and other plants, animals, the environment, materiel, or national security.

                2012 Federal DURC Policy

                2014 Institutional DURC Policy

                POTENTIAL PANDEMIC PATHOGEN CARE AND OVERSIGHT (P3CO)

                Research involving biological agents and toxins is essential to the scientific advances that improve national and global health and safety. Such research does not come without potential biosafety and biosecurity risks. Work with pathogens and toxins must be carefully considered. Appropriate risk mitigation strategies must be implemented to protect personnel and public health and safety.

                Current regulations, policies, and guidelines regarding oversight for such work are as follows:

                2017 OSTP Potential Pandemic Pathogen Care and Oversight (P3CO)

                2017 HHS P3CO Framework

                 

                News from the NIH Office of Science Policy

                MAY 7, 2025

                Implementation Update:  Improving the Safety and Security of Biological Research

                Notice Number: NOT-OD-25-112

                Key Dates 

                Release Date: May 7, 2025

                Related Announcements 
                • January 10, 2025 – NIH Implementation of the U.S. Government Policy for Oversight of Dual Use Research of Concern (DURC) and Pathogens with Enhanced Pandemic Potential (PEPP).  See Notice NOT-OD-25-061.

                Issued by 

                NATIONAL INSTITUTES OF HEALTH (NIH)

                Purpose 

                The purpose of this notice is to inform the biomedical research community of the following immediate actions NIH is taking in response to the May 5, 2025, Executive Order on Improving the Safety and Security of Biological Research.

                • Policies, actions, and definitions defined in this Executive Order supersede NIH’s implementation of the White House Office of Science and Technology Policy (OSTP) May 2024 U.S. Government Policy for Oversight of Dual Use Research of Concern and Pathogens with Enhanced Pandemic Potential (DURC/PEPP Policy). Accordingly, NIH is rescinding NOT-OD-25-061.
                • NIH will not accept competitive applications for grants and cooperative agreements submitted for due dates after today and/or R&D contract proposals submitted to solicitations issued after today for dangerous gain-of-function research, as defined in Section 8 of the Executive Order.
                • NIH intends to suspend ongoing funding in accordance with guidance developed under Section 3(b) of the Executive Order. All NIH awardees should review ongoing research activities to proactively identify potential dangerous gain-of-function research and identify safe actions to halt such research and to effectively comply with guidance once established.

                Background 

                NIH continues to emphasize that robust biosafety and biosecurity practices are essential for both promoting and protecting critical, life-saving research. As life sciences research evolves, so must the framework for safeguarding its conduct and results. The May 5, 2025, Executive Order on Improving the Safety and Security of Biological Research takes additional steps to strengthen oversight of research that could or will make a naturally occurring pathogen or toxin more dangerous to American citizens, and directs OSTP and the National Security Advisor to work with federal agencies to revise or replace existing policies overseeing this research. A new policy, to be delivered within 120 days, will replace the proposed DURC/PEPP Policy set to take effect May 6, 2025. Until this new policy is in place, research meeting the definition of dangerous gain-of-function research is to be paused.

                For the purposes of this Notice and, as defined in the Executive Order, dangerous gain-of-function research means scientific research on an infectious agent or toxin with the potential to cause disease by enhancing its pathogenicity or increasing its transmissibility.  Covered research activities are those that could result in significant societal consequences and that seek or achieve one or more of the following outcomes:

                (a)  enhancing the harmful consequences of the agent or toxin;

                (b)  disrupting beneficial immunological response or the effectiveness of an immunization against the agent or toxin;

                (c)  conferring to the agent or toxin resistance to clinically or agriculturally useful prophylactic or therapeutic interventions against that agent or toxin or facilitating their ability to evade detection methodologies;

                (d)  increasing the stability, transmissibility, or the ability to disseminate the agent or toxin;

                (e)  altering the host range or tropism of the agent or toxin;

                (f)  enhancing the susceptibility of a human host population to the agent or toxin; or

                (g)  generating or reconstituting an eradicated or extinct agent or toxin.

                NIH will continue to provide updates regarding implementation of this Executive Order in alignment with the Administration’s guidance, including information on research halts or suspensions. Importantly, an effective and trustworthy oversight system is predicated on an interlocking framework with accountability shared across all partners. NIH encourages all life sciences researchers to assess their research portfolios to ensure we, as a research community, are proactively safeguarding the conduct of biomedical research to fulfill the NIH mission.

                Inquiries 

                Please direct all inquiries to: NIH Office of Science Policy, SciencePolicy@od.nih.gov

                 

                MAY 6, 2025

                NIH Office of Science Policy announcement regarding the DURC/PEPP Policy which was set to take effect May 6, 2025.

                On May 5, 2025, President Trump issued an Executive Order on Improving the Safety and Security of Biological Research, which pauses dangerous research that could or will make a naturally occurring pathogen or toxin more dangerous to American citizens, and directs the Director of the Office of Science and Technology Policy (OSTP) and the National Security Advisor to work with funding agencies to develop such a policy within 120 days. This new Policy is intended to replace the 2024 United States Government Policy for Oversight of Dual Use Research of Concern and Pathogens with Enhanced Pandemic Potential (DURC/PEPP Policy) and supersedes its implementation at NIH previously set to take effect today.

                NIH will work closely with OSTP and our federal partners to ensure the safe and secure conduct of biological research. NIH will also provide more guidance regarding implementation of this Executive Order in the coming weeks.

                Questions may be sent to SciencePolicy@od.nih.gov.

                Link to Subscribe to OSP News

                 

                COMING SOON!

                Updated UConn Policy on Life Sciences Research of Concern

                Fact Sheet

                Workflows

                Templates

                 

                ARCHIVED: IRE – DURC & PEPP

                News from the NIH Office of Science Policy:

                NIH Office of Science Policy announcement regarding the DURC/PEPP Policy which was set to take effect May 6, 2025.

                Executive Order on Improving the Safety and Security of Biological Research

                Questions can be sent to: SciencePolicy@od.nih.gov

                Link to Subscribe to OSP News

                 

                 

                USG Policy for Oversight of Dual Use Research of Concern (DURC) & Pathogens with Enhanced Pandemic Potential (PEPP)

                Previous implementation date was set to take effective May 6, 2025. The Policy for Oversight of DURC & PEPP (herein referred to as DURC & PEPP Policy) will supersede previous DURC and P3CO Life Science Policies.

                Implementation Guidance document contains agent specific details, examples of research within the scope of the policy, and tools to aid in compliance for all involved in life sciences research - PIs, institutions, IREs and federal funding agencies.

                NIH issued a notice on January 10, 2025, announcing intentions to implement the DURC & PEPP Policy effective May 6, 2025. NIH stated that they would provide additional details and requirements, including applicable grant and cooperative agreement activity codes, specific implementation timelines, and information regarding implementation for other NIH funding mechanisms, in future Guide Notices. As of May 5, 2025 no additional guidance has been provided.

                In the meantime, the UConn IRE is working to develop procedures to best assist PIs with the new requirements.

                 

                 

                 

                PI Responsibilities

                Applicability: New Proposed & Ongoing Research
                Complete

                Initial Assessment
                1. Assess based on agents and experiments within the scope of the policy.
                2. Must complete by proposal stage for new awards, and as requested for ongoing projects
                3. Complete using Kuali Form:  PI Self-Assessment Tool 
                4. Forms automatically forwarded to PI and the IRE.
                5. If assessed as Category 1 or Category 2, notify FFA of potential DURC or PEPP at time of proposal!
                Assessment Results

                NOT DURC or PEPP
                1. Continuously monitor research for changes that could affect assessment.
                2. If changes occur where research becomes DURC or PEPP, STOP WORK IMMEDIATELY!
                3. Notify FFA and IRE as soon as possible.
                4. Work with IRE and FFA to complete applicable documentation (risk-benefit analysis and risk mitigation plan).
                Assessment Results

                may be DURC or PEPP
                1. Notify Sponsor that research may meet DURC or PEPP at time of proposal
                2. Notify IRE of Initial Assessment
                3. Collaborate with IRE on Risk-Benefit Assessment and Risk Mitigation Plan
                4. Submit required DURC or PEPP documents to Federal Funding Agency (FFA)
                5. FFA reviews and approves Risk Mitigation Plan prior to awarding
                6. ALL approvals must be in place PRIOR to initiation of research!
                Image of the DURC & PEPP Assessment process from the PI perspective.

                 

                Institutional Review Entity (IRE)

                • IRE is an entity established by the institution to execute oversight responsibilities described in Section 5.2 of the Policy.
                • UConn's IRE was established as a subcommittee of the IBC in 2014, and granted authority to fulfill the responsibilities outlined in the current DURC Policy.
                • With the expansion in scope of research subject to the DURC & PEPP Policy, the IRE will begin holding regular meetings to review potential Category 1 and Category 2 experiments.

                IRE will be in touch with labs that may be impacted.

                We are here to help! See contact information below, and reach out with any questions.

                    Name Title Phone Email
                    Danielle Delage, CPBCA IBC Program Director 860.486.1838 danielle.delage@uconn.edu
                    David Cavallaro, MS, RBP, CBSP Biosafety Officer 860.486.3180 david.cavallaro@uconn.edu

                     

                     

                    Framework for Nucleic Acid Synthesis Screening

                     

                    Policy effects the purchase of oligonucleotides and benchtop synthesis equipment. Federally funded PIs must purchase applicable materials from suppliers who screen orders for sequences of concern (SOCs).  SOCs are unique to specific pathogens.  Applicable materials must be purchased from Providers or Manufacturers that publicly state adherence to the Policy (on website or provide documentation). Labs may be contacted more frequently from vendors in the process of verifying legitimacy; additional documentation may be requested. How granting agencies will monitor adherence to this policy is unclear.

                    Links below contain additional resources such as fact sheets, templates, and FAQs.

                     

                    Resources

                    Additional resources and summaries on the new policy can be found below.

                     

                    NEW! PI Self-Assessment Tool

                    PIs must complete initial assessments when research involves modifying pathogens or toxins.

                    PIs will answer questions in the form to determine if the project may meet the scope of DURC or PEPP oversight requirements. Must be completed at the time of proposal for new research, so the IPR Form can be completed accurately. For ongoing research, assessments can be completed as requested, or any time you would like to assess the work in the lab!

                    Contact ibc@uconn.edu if you need assistance! We are happy to schedule a time to meet remotely and walk through the form with you.

                     

                    Agents & Toxins

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                    Assessment Workflow - DRAFT

                     

                    Image of the DURC & PEPP Assessment process from the PI perspective.

                     

                    Fact Sheet - DURC & PEPP Policy

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                    COMING SOON!

                    UConn Policy on DURC & PEPP

                    Risk-Benefit Assessment Template

                    Risk Mitigation Plan Template

                    FAQs

                    Frequently Asked Questions (FAQs)

                    My lab does not receive federal funding, but RG2 pathogens are modified to enhance virulence and transmissibility. Do I need to comply with this policy?

                    • DURC & PEPP Policy is applicable to non-federally funded research at institutions that receive federal funding, via term and condition awards. Since UConn is sponsored by federal funding agencies, your work should be assessed by the IRE.

                    Who is responsible to determine if research is subject to the DURC & PEPP Policy?

                    • PIs assess research initially, to identify covered research. PI assessments are reported to the sponsor and if the PI believes the project meets Category 1 or Category 2, the IRE must be notified as well.
                    • UConn IRE will provide a Self Assessment Tool to aid PIs in conducting this assessment.

                    I assessed my proposed research and my determination was that our new project may be subject to Category 2 oversight. What do I do now?

                    • Contact the IRE and your sponsor. Do not begin work on any new experiments. The IRE must conduct an assessment of the PI's determination, which will result in one of the following workflows.
                    • IRE Determination = Not Subject to Policy: The institution will notify the sponsor and the PI. Work can be initiated according to DURC & PEPP; however, other regulations may apply (e.g. NIH Guidelines). Contact the IBC to ensure the lab has all approvals necessary.
                    • IRE Determination is Category 1 or 2 = Subject to Policy: Ensure sponsor is notified, and work with IRE to draft risk benefit analysis, and risk mitigation plans. Sponsor must conduct thorough review.

                    Additional FAQs - S3: Science Safety Security, ASPR

                    Current Life Science Policies – DURC and P3CO, expiring May 6, 2025

                    Current Federal Policies on Life Sciences Research - Expiring May 6, 2025

                    USG Policy for Institutional Oversight of Life Sciences Dual Use Research of Concern (DURC)

                    Life sciences research is essential to the scientific advances that underpin improvements in public health and safety, agriculture (including crops and other plants and animals) the environment, materiel, and national security. Despite its value and benefits, certain types of research conducted for legitimate purposes can be utilized for both benevolent and harmful purposes. Such research is called “dual use research". The current policy defines DURC as a subset of dual use research defined as life sciences research that, based on current understanding, can be reasonably anticipated to provide knowledge, information, products, or technologies that could be directly misapplied to pose a significant threat with broad potential consequences to public health and safety, agricultural crops and other plants, animals, the environment, materiel, or national security.

                    The 2014 DURC Policy will expire effective May 6, 2025; and will be replaced with the USG Policy on Oversight of DURC and PEPP described at the top of this page.

                    Potential Pandemic Pathogen Care and Oversight (P3CO)

                    Research involving biological agents and toxins is essential to the scientific advances that improve national and global health and safety. Such research does not come without potential biosafety and biosecurity risks. Work with pathogens and toxins must be carefully considered. Appropriate risk mitigation strategies must be implemented to protect personnel and public health and safety.

                    Current regulations, policies, and guidelines regarding oversight for such work are as follows:

                    1. 2012 Federal DURC Policy
                    2. 2014 Institutional DURC Policy
                    3. 2017 OSTP Potential Pandemic Pathogen Care and Oversight (P3CO)
                    4. 2017 HHS P3CO Framework

                    IRB Office Hours

                    Posted on by

                    The Research Integrity & Compliance (RIC) team invites students and faculty to attend virtual (via Webex) and in-person office hours for assistance with IRB submissions and human subjects research regulations.

                    RIC staff will be available to answer questions regarding IRB submissions, human subjects regulations, post-approval support, and general IRB guidance.

                     

                    Office hours schedule:

                    Monday, January 27, 2025: 10:00am – 1:00pm (Virtual via Webex).

                     

                    Wednesday, January 29, 2025: 1:00pm – 4:00pm (In Person)

                    Location: Whetten Graduate Center, Giolas Conference Room, 2nd floor

                     

                    To schedule an in-person or virtual appointment, please follow the link below:

                    https://nexus.uconn.edu/secure_per/schedule1.php?stser=4475

                     

                    RIC Education & Training Sessions

                    The RIC office also offers educational and training sessions for researchers, research teams, and classes on topics, such as informed consent, successful IRB submissions, post-approval research management, category of review, research subject to FDA regulations, and other human subjects research best practices.

                     

                    For questions about IRB office hours or educational sessions, please contact Joan Levine at joan.levine@uconn.edu.

                     

                    Human Subjects Module

                    The InfoEd Human Subjects module supports the submission and review of human subjects research protocols and related activities.

                    Major updates to the Human Subjects Module were implemented on December 16, 2024.  The User Guides below apply to the updated application form and procedures.  The How To Materials apply to those who are still working with the old forms and procedures.

                    Most active studies will need to be migrated to the new form for the system to work as intended. Information and instructions, including important deadlines, are available in the Study Migration GuideUPDATED 09-05-2025.

                    USER GUIDES – NEW

                    HOW TO MATERIALS – OLD

                     

                    For technical issues with InfoEd, please email era-support@UConn.edu.

                    IRB Submissions, Forms & Templates

                    The InfoEd IRB Module has been updated!

                    See the InfoEd Updates page for more information including training opportunities. 

                    User Guides are also available.

                    NEW studies with external funding and studies with more than 2 external collaborators/study personnel for which single IRB review (by UConn/BRANY) is being requested are now submitted to BRANY IRB.

                     

                     

                    Please visit the BRANY IRB tab under IRB Reliance for more information.

                    IRB Submission Platform

                    Applications to the IRB, including requests for review by BRANY IRB, requests for other external IRBs to serve as the reviewing IRB, and Human Subjects Research Determinations and requests are submitted using the Human Subject/IRB Module of the UConn InfoEd eRA Portal at https://www.infoed.uconn.edu.  The platform has undergone significant updates, users are strongly encouraged to consult the new User Guides before using the system.

                    Migration of Existing Studies to the New Application Form

                    The IRB module of InfoEd was updated on December 16, 2024, The system does not allow for an automatic migration of documents and information from existing InfoEd records. Additionally, the upgraded system includes questions built into the application that were not previously captured electronically. As such, currently approved studies will need to be manually transitioned by the investigator to the upgraded version. Please see the Migration of Study Information guide for details.

                    Adding Undergraduate Students to InfoEd

                    Undergraduate students are not auto-populated into InfoEd. Each undergraduate student must be manually added to the system. Click here to add undergraduate students to InfoEd prior to adding these students as personnel on a study. Adding the students before completing the application form will result in less time and effort completing the form as it can take 20 minutes for the student’s name to become available in the system.

                    Uploading CITI training completion reports to InfoEd

                    Please follow these instructions for uploading CITI completion reports.docx as part of your IRB protocol submission. Completion reports are only required when (1) adding UConn personnel who completed training elsewhere or (2) adding non-UConn personnel.

                     

                    Submission Forms

                    The new IRB application form in InfoEd will ask you to upload certain supplemental forms and materials.  Be sure to check this page to ensure that you are using the current versions, most of our forms and materials have been updated or will be updated soon.  For assistance with preparing your IRB submissions, contact the IRB Office at irb@uconn.edu to schedule a help session. If you experience technical issues with InfoEd, please contact era-support@uconn.edu.

                    Human Subjects Research (HSR) Determination

                    Investigators who are unsure if their proposed activity constitutes “human subjects research” according to federal regulations, may submit a request for a Human Subjects Research (HSR) Determination through InfoEd. Investigators are especially encouraged to submit for a determination when there are plans for dissemination as requests for IRB documentation are increasingly common. Based on the information provided, the IRB Office will determine if the proposed activity meets the regulatory definitions of “human subjects” and “research” and either grant a Not Human Subjects Research (NHSR) letter or advise as to next steps regarding the need to secure formal exemption or approval from the IRB.

                    This form is also used for 45 CFR 46.118 certifications (aka Approval in Principle, Development Only, Delayed Onset).  A grant or contract may require certification of IRB approval as a condition of submitting for or releasing funds but before definitive plans for the involvement of human subjects have been fully developed (e.g., measures or tools need to be developed, animal studies are needed).  Refer to 4.1.15.2 in the NIH Grants Policy Statement or the NSF Proposal & Award Policies and Procedures Guide (PAPPG), Chapter II: proposal Preparation Instructions, Section E(5) for information.  Note that 45 CFR 46.118 certifications are not limited to proposals submitted to Federal Agencies.

                    Human Subjects Research (HSR) Determination Form

                     

                    IRB Reliance Forms

                    Please see the IRB Reliance pages (IRB Reliance – General, BRANY IRB) for instructions and information about requests for external IRBs to serve as the IRB of record for a study and for requests for the UConn IRB to serve as the IRB of record for other entities (including UConn Health). Requests to cede review to an external IRB, including BRANY IRB, are initiated in InfoEd.  Requests for UConn to serve as the IRB of record for other entities are initiated outside of the system using the Request for UConn to Serve as the IRB of Record Form on the IRB Reliance – General webpage.

                    BRANY IRB template forms are available on the BRANY IRB webpage.

                    Cede Application Form

                    External Personnel Log

                    Request for UConn to Serve as the IRB of Record

                     

                    Protocol Templates

                    A study protocol must be included with all applications to the IRB for expedited or convened board review. Protocols for exempt studies are optional at this time, but may be requested by the IRB staff when the application alone doesn’t provide sufficient detail.

                    Standard Protocol Template

                    Ethnographic Protocol Template

                    Repository Protocol Template

                     

                    Supplemental Forms

                    Based on study specifics, the IRB Application Form may guide you to upload one or more supplemental forms.  A Data Security Assessment Form (DSAF) is required for all exempt, expedited, and convened board submissions.

                    Data Security Assessment Form UPDATED 09-05-2025

                    IND Assessment Worksheet

                    International Research Supplement

                    IRB Conflict of Interest (COI) Disclosure Form

                    Language Translation Certification Form

                    Request for HIPAA Waiver or Alteration

                    Sample Demographic Worksheet – for Continuations

                     

                    Consent/Authorization Templates

                    Informed Consent Resource for Secondary Research with Data and Biospecimens.

                    Consent Checklist for Investigators.docx

                     

                    For Non-exempt (Expedited, Full Board Review) Studies:

                    Adult Consent Form Template.docx

                    Simplified Consent Form Template.docx This template may be used in conjunction with the template for the adult consent form for people with communication disorders. Emily Myers, Ph.D. developed this form for research participants with communication disorders, such as aphasia, and generously provided permission for its use by others. This form or another method may be proposed when enrolling individuals with communication disorders where the process will help facilitate comprehension and enable participants to make informed decisions about research participation.

                    Parent Permission Form Template.docx (for participants under 18 years old)

                    Assent Form for Minor Participants.docx (under 18 years old)  Federal regulations do not dictate how minor assent is documented. This template is designed to be used with younger children with the content of the Adult Consent or Parent Permission Form used as a guide. The assent process should convey the information noted in the assent template using age-appropriate language. Use of this template is not required; Investigators should develop assent processes and forms that are appropriate for the population that they will enroll.  For example, when enrolling teens, it may be more appropriate to have an assent form that is similar to the Adult Consent or Parent Permission Form.

                    HIPAA Authorization Form Template.docx (A HIPAA Authorization Form is needed in addition to a research consent form when the research includes the access, use, or disclosure of Protected Health Information (PHI) unless a waiver of the requirement for authorization is approved or another exception applies (e.g., use of a Limited Data Set with a Data Use Agreement).

                     

                    For Exempt/Limited Studies:

                    Exempt Study Adult Prospective Agreement/Consent Form Template.doc

                    Exempt Study Parent Prospective Agreement/Permission Form Template.doc (for participants under 18 years old)

                    Exempt Study Assent Form for Minor Participants.docx (under 18 years old)  Federal regulations do not dictate how minor assent is documented. This template is designed to be used with younger children with the content of the Adult Consent or Parent Permission Form used as a guide. The assent process should convey the information noted in the assent template using age-appropriate language. Use of this template is not required; Investigators should develop assent processes and forms that are appropriate for the population that they will enroll.  For example, when enrolling teens, it may be more appropriate to have an assent form that is similar to the Adult Consent or Parent Permission Form.

                     

                    Recruitment Flyer Template

                    Important! When preparing an announcement for the Daily Digest, Lifeline or similar, please be reminded that online platforms often have character limits that could impact study postings; tag lines and headings should provide information about the study and should not emphasize that subjects are paid for participation. The IRB study number is required on any announcement.

                    Sample Recruitment Flyer Template (with tabs).docx

                    InfoEd Updates

                    InfoEd IRB module updates were implemented on December 16, 2024.

                    The IRB Office is pleased to announce that the long-awaited updates to the IRB module of InfoEd were implemented on December 16th. The updated system streamlines IRB submission and review processes, and makes it easier to keep track of your protocols.

                     

                    IS TRAINING AVAILABLE? 

                    Training sessions are available and open to all UConn faculty, staff, and students. Please contact Nick Lacafta (nicholas.lacafta@uconn.edu) for information about upcoming sessions. A recorded session will be made available soon for those unable to attend in person.

                    WHAT IS DIFFERENT?

                    • Consolidated Smart Forms: The prior electronic application forms (e.g., IRB-1, IRB-5, IRB-7, IRB-9) have been consolidated into a single Main Application form that uses logic to drive your experience. If the IRB determines that a different level of review is required, you will not need to start from scratch, you will simply modify the review type and answer the additional questions that populate.
                    • Responding to IRB Feedback: System enhancements make it easier for study teams to respond to IRB feedback. IRB staff can add pre-review comments directly into the electronic form for study team review and response. IRB staff can also compare new and historical versions of e-forms and the most documents uploaded within them reducing the need to submit clean and track changes versions of documents.
                    • Routing: Routing is automated; submitters will not have to add the PI and Department Head to the route for review and sign-off. Automated emails will inform study teams as the submission moves through routing and when it arrives to the IRB.
                    • Personnel Roles: Personnel roles (i.e., PI, Co-I, Student Investigator, Correspondent) drive who on a study team is able to edit, manage, and submit submissions to the IRB and who will be included on system messages and IRB correspondence. All submissions other than personnel changes and reportable events will be automatically routed to the PI for review and sign-off.
                    • Amendments: There are three types of amendments: Personnel Changes, Transition Amendments (for transitioning to the new form), and regular Amendments (for changes to the study itself or study materials). Only one amendment can be in process at any given time. Differentiating the amendment types allows the IRB office to identify personnel changes at a glance so that they can be prioritized.
                    • Ancillary Reviews:  Questions are now built into the application form that determine the need for most ancillary reviews (e.g., Privacy, Information Security) and automatically inform the responsible party that a review is needed.
                    • Reportable Information/Events: All reports of issues that arise during research or information that is required to be reported to the IRB are now reported using a single smart form. There are no longer separate forms for Adverse Events and Protocol Deviations.
                    • Administrative Check-Ins: Exempt studies, studies that do not require submission of a continuing review application, and studies overseen by external IRBs will receive periodic notices to either complete an administrative check-in or a study closure. This will allow the University to have current information about studies and to be able to accurately report.
                    • IRB Reliance: Requests for UConn to cede IRB review to another IRB, including BRANY IRB, will now be initiated in InfoEd. Requests for UConn to serve as the IRB of record for other entities are initiated outside of the system using the Request for UConn to Serve as the IRB of Record Form on the IRB Reliance – General webpage. Please see the IRB Reliance pages (IRB Reliance – General, BRANY IRB) for additional information.

                    WHAT DOES THIS MEAN FOR EXISTING STUDIES?

                    Most existing studies will need to be migrated to the updated application form for the system to work as intended. Migration will be required before continuing review or with the next submission to the IRB (for studies without continuing review). A Study Migration Guide with detailed information and instructions is available here: https://ovpr.uconn.edu/services/research-it/infoed/human-subjects-module/.

                    The following studies need to be migrated:

                    • Open studies that received approval or exemption determination from UConn Storrs IRB prior to the system updates (December 16, 2024);
                    • Open studies that were approved by an external, non-UConn IRB, that have a record in InfoEd.

                    The following projects do not need to be migrated:

                    • Research studies that are closed;
                    • Activities that received a Not Human Subjects Research (NHSR) Determination;
                    • Projects for which data collection is complete and the only remaining activities are data analysis;
                    • Projects that can be closed because they no longer involve human subjects.

                    Investigators are encouraged to close studies that are eligible for closure as soon as possible. Studies are eligible for closure when:

                    1. Enrollment is closed,
                    2. Interactions and Interventions with participants are complete,
                    3. Data collection is complete, and
                    4. Analysis of identifiable information and/or identifiable biospecimens for the purposes of the current research is complete.
                    5. When the UConn IRB is serving as the IRB of record for other sites, the study may be closed when all sites meet the above criteria.

                    Simply maintaining identifiable data/biospecimens without using, studying, or analyzing the data/biospecimens does not require an open protocol with the IRB.

                    WHERE CAN I LEARN MORE? 

                    The IRB Office (irb@uconn.edu) is always available to answer any questions you may have.

                    User Guides with step-by-step instructions are available including:

                    • Study Migration Guide
                    • User Guide for Researchers
                    • User Guide for Ancillary Reviewers
                    • User Guide for Department Reviewers

                    IRB InfoEd Updates and Training Sessions

                    Posted on by

                    IRB InfoEd Updates 

                    The UConn IRB Office is EXCITED to announce that the updates to the IRB module of InfoEd will go-live later this Fall. The updated system will help streamline IRB submission and review processes, making it easier to keep track of your protocols and communications with the IRB staff, and streamline the review process. 

                    WHAT WILL BE DIFFERENT? 

                    • Consolidated Smart Forms: the application forms have been consolidated into a single Main Application form that uses logic to drive your experience.  
                    • Updated Protocol Templates:  Comprehensive protocol templates will be introduced with the goal of reducing back and forth during the review process. 
                    • Responding to IRB Feedback: System enhancements will make it easier for study teams to respond to IRB feedback.   
                    • Routing: Routing will be automated; submitters will not have to add the PI and Department Head to the route for review and sign-off.  
                    • Personnel Roles: Personnel roles will drive who on a study team is able to edit, manage, and submit submissions to the IRB and who receives messages. 
                    • Amendments: There will be two types of amendments: Personnel Changes and Amendments (for changes to the study itself or study materials). Only one amendment can be in process at any given time. 
                    • Ancillary Reviews: Questions are built into the application form that will determine the need for ancillary reviews and automatically inform the responsible office. 
                    • Reportable Information/Events: All reports of issues or information that is required to be reported to the IRB will be reported using a single smart form.   
                    • Administrative Check-Ins:  Studies that do not require continuing review will receive periodic notices to complete an administrative check-in or a study closure.  

                    WHAT DOES THIS MEAN FOR EXISTING STUDIES? 

                    Most existing studies will need to be migrated to the updated application form for the system to work as intended. Migration will be required before continuing review (starting on February 25th 2025) or with the next submission to the IRB (for studies without continuing review). 

                    A study migration guide is forthcoming. 

                    Investigators are encouraged to close studies that are eligible for closure as soon as possible.  Studies are eligible for closure when: 

                    1. Enrollment is closed, 
                    1. Interactions and Interventions with participants are complete, 
                    1. Data collection is complete, and 
                    1. Analysis of identifiable information and/or identifiable biospecimens for the purposes of the current research is complete. 
                    1. When the UConn IRB is serving as the IRB of record for other sites, the study may be closed when all sites meet the above criteria. 

                    Simply maintaining identifiable data/biospecimens without using, studying, or analyzing the data/biospecimens does not require an open protocol with the IRB.  

                    IS TRAINING AVAILABLE? 

                    Research Integrity & Compliance will offer weekly training opportunities both in-person and online via WebEx or Teams. They are open to all UConn faculty, staff, and students. A recorded session will be made available for those unable to attend in person. 

                    Sign up for an online or in-person training session on our InfoEd Training webpage.

                    WHERE CAN I LEARN MORE? 

                    The IRB Office (irb@uconn.edu) is always available to answer any questions you may have.  

                    How-To Guides with step-by-step instructions will also be made available including: 

                    • InfoEd Guide for Researchers 
                    • InfoEd Guide for Ancillary Reviewers 
                    • InfoEd Guide for Department Reviewers 
                    • InfoEd Guide for IRB Members 

                     

                    IRB Virtual and In-Person Hours in September

                    Posted on by

                    The Research Integrity & Compliance (RIC) team will be holding office hours via Microsoft Teams to assist students and faculty with IRB submissions and human subjects regulations.  To accommodate varying schedules, late afternoon and early evening appointments will be available.

                    RIC staff will be on hand to answer any questions regarding IRB submissions, human subjects regulations, post-approval support, and general IRB guidance.

                    Office hours will be held on the following dates and times:

                    Wednesday, September 25, 2024: 3:00pm – 6:30pm

                    Location: Whetten Graduate Center, Giolas Conference Room, 2nd floor.

                    Thursday, September 26, 2024: 10:00am – 1:00pm

                    Follow the link below to schedule an in person or virtual meeting.

                    https://nexus.uconn.edu/secure_per/schedule1.php?stser=4475

                     

                    Education & Training Sessions Offered by RIC 

                    The RIC office provides educational and training sessions to researchers, research teams, and classes.  These sessions cover a range of topics, including best practices for obtaining informed consent, successful IRB submissions, managing research post-approval, and other aspects of human subjects research.

                    For questions about the office hours or educational sessions, please contact Joan Levine at joan.levine@uconn.edu.

                     

                    UConn Policy on Participation in Foreign Talent Recruitment Programs

                    The Malign Foreign Talent Recruitment (MFTRP) Program Participation Policy at UConn and UConn Health aims to safeguard the integrity of federally funded research. In alignment with the CHIPS and Science Act of 2022, the policy emphasizes international collaboration but prohibits covered individuals involved in UConn research from participating in malign foreign talent recruitment programs which pose research security risks.

                    Participation in a MFTRP is prohibited for those seeking funding from US federal agencies (such as the Department of Defense (DoD), Department of Energy (DOE), National Institutes of Health (NIH), National Science Foundation (NSF), etc.). Researchers must certify they are not involved with a MFTRP at proposal submission and annually thereafter. Violations may result in disciplinary actions or disqualification from federal research funding.

                    A Foreign Talent Recruitment Program (FTRP) is an effort by a foreign government (including affiliated institutions of higher education and other affiliate entities) to recruit science and technology professionals and students. While participation in a FTRP will not necessarily impact a researcher’s ability to obtain U.S. federal grant funding, participation in a Malign FTRP will impede receipt of federal grant funding.

                    A Malign Foreign Talent Recruitment Program (MFTRP) is any program, position, or activity that provides compensation (including in-kind compensation such as research funding, complimentary foreign travel, honorific titles, access to laboratory spaces, and other forms of renumeration) by a foreign collaborator on a U.S. restricted party list OR a foreign country of concern, or an entity based in, funded by, or affiliated with a foreign country of concern (including institutions of higher education or government designees), in exchange for the individual conducting “malign” talent activities.

                    Currently, the listed countries of concern are China, Iran, North Korea, and Russia, although more countries could be added (or removed) in the future.

                    Activities that constitute “malign” talent activities can include:

                    • transferring intellectual property developed through a U.S. federal research grant to a foreign country;
                    • an obligation to recruit students, trainees, or researchers to the foreign institution of higher education;
                    • establishing a laboratory or company in a foreign country in violation of a federal research award;
                    • accepting a faculty position or other employment or appointment in violation of the terms of a federal research award;
                    • being unable to terminate the FTRP contract except in extraordinary circumstances;
                    • being limited in capacity to carry out a federal research award due to effort required for the FTRP;
                    • providing work that substantially overlaps or duplicates a U.S. federal research and development award;
                    • being required to submit research grant applications to foreign funding agencies on behalf of the foreign sponsoring organization;
                    • being required to omit acknowledgment of your U.S. home institution or U.S. federal funding agency;
                    • begin required to not disclose participation in the FTRP; or
                    • having a conflict of interest or commitment contrary to a federal research award.

                    Disclosure Requirements

                    More than anything else, federal funding agencies stress transparency in a researcher’s disclosure of participation in activities abroad. Individuals must disclose participation in a FTRP by:

                    • Updating the UConn and UConn Health Conflict of Interest (COI) disclosure form within 30 days of participation; and
                    • Working with UConn and UConn Health Sponsored Program Services (SPS) to update Current & Pending (Other) Support Pages to ensure disclosure to appropriate federal sponsors.

                    If you suspect involvement in or have been approached by a MFTRP, contact UConn’s Research Security and Compliance Office immediately at researchsecurity@uconn.edu. Fraudulent statements or claims (including intentional omissions) in violation of this policy may result in criminal, civil, administrative or university penalties.

                    UConn offers a 3 minute overview training on Malign Foreign Talent Program Participation:

                     

                    If you have questions regarding compliance or need further clarification on policies related to MFTRPs, please reach out to the UConn Research Security and Compliance Office at researchsecurity@uconn.edu.

                    Research Security Training

                    The CHIPS and Science Act of 2022 requires that PIs and senior/key personnel complete annual research security training on an implementation schedule to be driven by federal funding agencies. Each individual identified as a “covered individual” (defined below) must certify that they have completed the requisite research security training within 12 months prior to proposal submission.

                    To meet this research security training requirement, all Principal Investigators and key personnel included on a sponsored program proposal must complete research security training by October 1, 2025 or before any proposal submission thereafter.

                    • The Department of Energy (DoE) and National Nuclear Security Administration (NNSA) first implemented the research security training requirement for new proposal submissions effective May 1, 2025.
                    • The National Science Foundation (NSF), the National Institutes of Health (NIH), and the United States Department of Agriculture (USDA) have all released research security training and disclosure of other support requirements effective either October 2025, January 2026 or, in the case of the USDA, effective immediately at the discretion of the agency.
                    • Once the training requirement is implemented, any new covered individuals added to the project must also certify that they have completed the research security training within 30 calendar days of joining the project.
                    • A particular RFP may include additional training requirements specific to that award, such as requiring training for all participants (not just covered individuals) on the project. Please review your RFP for any such requirements or ask SPS.
                    • Going forward, research security training must be refreshed annually to certify completion within twelve months prior to proposal submission.

                    UConn’s Sponsor Program Services (SPS) cannot submit a proposal unless all covered individuals have received training by the deadline required by the federal sponsor.

                    The training is currently open to all UConn and UConn Health employees and will facilitate your readiness for this requirement upon implementation by your targeted funding agencies.

                    Applicability: The law introduces a new term of “covered individuals” subject to this research security training requirement. A covered individual is an individual who:

                    • Contributes in a substantive, meaningful way to the development or execution of the scope of work of a project proposed for funding by a federal agency; and
                    • Is designated as a principal investigator (PI), project director (PD), coprincipal investigator (Co-PI), co-investigator (Co-I), co-project director (Co-PD), project manager, key personnel, and any individual regardless of title (inclusive of consultants, graduate students, or postdoctoral associates) that is functionally performing in one of these named roles.

                    At proposal, covered individuals will default to PIs, key personnel, anyone identified as responsible for the design, conduct or reporting of the research, and anyone else identified by the PI as a contributing in a substantive, meaningful way on the Internal Proposal Routing form.

                    Training: Research security training is designed to equip you with the knowledge and tools needed to understand behaviors that have led to improper or illegal transfers of U.S. government-supported research and development (R&D) based on incidents reported by federal research agencies. The training will also highlight the critical role of U.S. researchers in global scientific discoveries and the importance of attracting international talent to U.S. research institutions.

                    The UConn is using the Collaborative Institutional Training Initiative (CITI) Program’s “Research Security Training (Combined)” module to meet this training requirement. This CITI training module has been developed specifically for IHE researchers as a condensed version of NSF’s four-hour Research Security Training modules. Please allow yourself 1.5 hours to complete the CITI training. You can complete the training in stages and save your progress.

                    To complete the training, follow these steps:

                       

                      Storrs and Regional Campuses: 

                      1. Register for the training through the Collaborative Institutional Training Initiative (CITI) Program.
                      2. To create an account in CITI, click on the Register button in the upper right.
                        • Returning users may log in in the upper right corner.
                      3. Click on “Log in through my Organization” at the top of the page.
                      4. Enter “UConn – Storrs and Regional Campuses” in the search box.
                      5. Select “Continue to SSO Login/instructions.” The CITI Single Sign-on (SSO) will use your UConn NetID and password for your account (the system will ask you if there is another CITI account you would like to associate with your NetID account, and this option can be used to merge an old account with your new SSO account).
                      6. Follow the prompts to create an account.
                      7. Once you are logged in and under the UConn affiliation, on the page under your “Active Courses” and “Courses Ready to Begin,” scroll down to the gray box labeled “Learner Tools for UConn – Storrs and Regional Campuses” and select “Add a Course.”
                      8. Under the “Select Curriculum” webpage, scroll to the bottom of the webpage and tick the box for “I would like to review the Research Security”
                      9. Under the “Select Curriculum – Research Security” webpage, tick the box for “Research Security Training (Combined).”
                      10. Complete the training.

                           

                          UConn Health:

                          1. Register for the training through the Collaborative Institutional Training Initiative (CITI) Program.
                          2. Click on the “Register” tab on the right side of the top screen.
                            • Returning users may log in in the upper right corner.
                          3. Click on “Select Your Organization Affiliation” – In the box to “Search for organization,” enter “University of Connecticut Health Center,” selecting this option when it becomes available. (Note: Be sure to include Health Center in your selection)
                          4. Follow the prompts to create an account.
                          5. Course Enrollment Procedure –Once logged into CITI, under “Institutional Courses” to the right of “University of Connecticut Health Center,” click “View Courses” to see any assigned courses.
                          6. Click “Add a Course.”
                          7. You will see multiple questions on the CITI course enrollment page. For the purposes of the Research Security Training requirement, you will need to scroll down to Question 11, Research Security. Please check the Research Security Training (Combined) course to satisfy the Research Security Training requirement.

                             —————————–Question 11——————————-

                            Research Security

                            Please select a Research Security from the options below:

                                • Research Security (Combined)
                            1. Complete the training.

                             

                            Your Completion Report will automatically be shared with SPS and will also be accessible to you and SPS at any time from the CITI Program. 

                            If you experience problems locating or logging on to the training, please email researchsecurity@uconn.edu.

                            For more information on Research Security and Export Controls, please visit the OVPR Research Security Training page.

                            Thank you for your attention to this important new requirement. Your cooperation is essential in meeting these new research security requirements and maintaining the highest standards of compliance at UConn.