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IRB Virtual and In-Person Hours in September

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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 key personnel complete annual research security training on an implementation schedule to be driven by federal funding agencies. The Department of Energy (DoE) and National Nuclear Security Administration (NNSA) are the first to implement this training requirement for new proposal submissions effective May 1, 2025, with the other federal funding agencies (NSF, NIH, etc.) anticipated to release implementation dates in 2025 or early 2026.

Requirement:  To meet this research security training requirement, UConn must require all “covered individuals” (defined below) on DoE awards to complete research security training by May 1, 2025. Starting May 1, 2025, the DoE will require certification that all covered individuals listed on the proposal have completed research security training within one year prior to proposal submission. UConn’s Sponsor Program Services (SPS) cannot submit a proposal to the DoE on or after May 1, 2025 unless all covered individuals have received training.  Any new covered individuals added to the project must also certify that they have completed the training within 30 calendar days of joining the project.

Please note that a particular RFP may require all participants on a project to certify receipt of research security training. Please review your RFP for any such requirements.

All other researchers on federal grants are encouraged to complete this research security training now in anticipation of the upcoming implementation dates to be released by other federal funding agencies. The training is currently open to all UConn and UConn Health employees and will facilitate your readiness for this requirement once implemented 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. These individuals will be required to complete research security training before proposal submission for DoE proposals starting May 1, 2025.

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:

  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.
  1. Click on “Log in through my Organization” at the top of the page.

 

Storrs and Regional Campuses: 

  1. Enter “UConn – Storrs and Regional Campuses” in the search box.
  2. 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).
  3. Follow the prompts to create an account.
  4. 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.”
  5. 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”
  6. Under the “Select Curriculum – Research Security” webpage, tick the box for “Research Security Training (Combined).”
  7. Complete the training.

 

UConn Health:

  1. 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)
  2. Follow the prompts to create an account.
  3. 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.
  4. Click “Add a Course.”
  5. 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, example below. Please check the Research Security Training (Combined) course to satisfy the Research Security Training requirement.

 

—————————–Question 11——————————-

Research Security

Please select “Research Security Training (Combined)” from the options below:

o   Research Security Training (Combined)

A condensed and combined single-module course based on the NSF Research Security Training.
o   Research Security Advanced Refresher
o   Research Security Training
o   Undue Foreign Influence: Risks and Mitigations
  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.

External Funding Resources Overview

The Research Development Services team offers several resources to assist faculty in finding external funding opportunities for their research and scholarship.

 

Listservs

Sign up for our Funding Opportunity Listservs to receive periodic emails with funding opportunities in topic areas of interest to you.

 

Databases

UConn subscribes to two grant funding search engines:

Pivot-RP, encompassing state, federal, corporate, non-profit, and foundation sponsors. Create an account to identify potential funding opportunities, receive weekly funding alerts based on your research profile, and identify potential collaborators within UConn using Pivot Profiles.

Foundation Directory Online, specializing in private and corporate foundation funding.

 

Specific Topic Areas

UConn is a key member of the QuantumCT initiative. Our team has curated funding opportunities specific to research, workforce development, and education related to the quantum sciences.

ARPA-H – a new research funding agency focused on transformative biomedical and health breakthroughs. See our ARPA-H funding resources page for more information.

 

Contact our team!

For assistance with any of these tools or questions regarding external funding opportunities, please contact the RDS team at ovpr-rds@uconn.edu.

ARPA-H Current Funding Opportunities

The RDS team suggests contacting us for support on ARPA-H submissions well before submitting a solution summary or proposal, as their programs and requirements frequently change. We are keeping up to date with these changes and can help your submission meet current requirements.

Background

Mission: The Advanced Research Projects Agency for Health (ARPA-H) accelerates better health outcomes for everyone by supporting the development of high-impact solutions to society’s most challenging health problems.

Who They Are: ARPA-H advances high-potential, high-impact biomedical and health research that cannot be readily accomplished through traditional research or commercial activity. ARPA-H awardees are developing entirely new ways to tackle the hardest challenges in health.

Contact

This contact form can be used to connect with ARPA-H directly.

Mission Office ISOs

The four current ARPA-H focus areas translate to four mission offices. Each mission office has its own Innovative Solutions Opening (ISO) to replace the previous Open BAA. Interested applicants should submit their proposal to the Mission Office ISO that best fits their subject matter.

All Mission Office ISOs require solution summaries prior to a full proposal and have a closing date of March 3, 2029.

Health Science Futures (HSF)

Expanding what’s technically possible. Accelerating advances across research areas and removing limitations that stymie progress towards solutions. The tools and platforms developed apply to a broad range of diseases.

Proactive Health (PHO)

Keeping people from being patients. Reducing the likelihood that people become patients. Preventative programs will create new capabilities to detect and characterize disease risk and promote treatments and behaviors to anticipate threats to Americans’ health, whether those are viral, bacterial, chemical, physical, or psychological.

Resilient Systems (RSO)

Building integrated health care systems. Developing capabilities, business models, and integrations to endure crises such as pandemics, social disruption, and economic instability. Resilient systems need to sustain themselves between crises, from the molecular to the societal, to better achieve outcomes that advance American health and wellbeing.

Scalable Solutions (SSO)

Reaching everyone quickly. Addressing challenges that include geography, distribution, manufacturing, data and information, and economies of scale to create programs that result in impactful, timely, and equitable solutions.

Current Programs and Exploration Topics

Note: Solution summaries and full proposals are due at varying times of day on due dates depending on the program. Be sure to confirm these times on each program’s program page, linked in the table below.

Funding Opportunity Listservs

With the growing number of demands on faculty time, we understand that keeping up with external funding opportunities for research and scholarship can be a challenge. A new initiative from our OVPR Research Development Services team aims to highlight funding opportunities, particularly those that are new, fast-moving, and interdisciplinary, across wide-ranging topic areas. To view brief descriptions of each of these lists and to sign up, click on the link below.

Current topics areas:

  • Agriculture and Food Sciences
  • Arts, Humanities, and Law
  • Business, Management, and Commerce
  • Climate, Environment, Energy, and Sustainability
  • Data Science, Cybersecurity, and AI
  • Education
  • Entrepreneurship and Commercialization
  • Global Human Rights

 

  • Health and Wellness
  • Innovative Medicine
  • Life Sciences
  • Limited Submissions
  • Materials and Advanced Manufacturing
  • Physical Sciences and Mathematics
  • Quantum Sciences
  • Social Sciences and Social Work

If you have questions or suggestions for improvement, please email the team at ovpr-rds@uconn.edu.

Foreign Travel Security

Researchers who travel domestically or overseas should be aware of security considerations that apply to themselves. Our office has provided a list of some useful travel tips for those of you who work on any sponsored research.  These tips are useful for any traveler and are often overlooked in the rush to acquire tickets, hotel reservations, visas, etc.

Please remember that secure research cannot be conducted outside the United States – this includes traveling with devices that may contain research.  Please contact us or the Export Control office with any questions as they may pertain to your situation: researchsecurity@uconn.edu or exportcontrol@uconn.edu

Depending on your travel situation, we are available to provide country-specific travel briefings.  Please contact our office researchsecurity@uconn.edu to arrange an agency briefing.

All university-sponsored international travel requests are routed through the Concur system, of which the Export Control office is part of the approval workflow for specific destination countries, to included sanctioned and high-risk countries.

Travelers to sanctioned countries are prohibited from taking regular use laptops, tablets, and/or university-provided equipment.

Loaner equipment is provided to travel to high risk countries to ensure sensitive or export-controlled information, data or materials with them.

If you are planning to travel to a country which is comprehensively sanctioned by the United States Government, you are required to submit a Pre-Travel Application for Embargoed Country Travel.

Contact exportcontrol@uconn.edu with any questions, to access the Pre-Travel Application for Embargoed Country Travel form, or to request a pre-travel informational meeting.

 

Travel Security ‘101’

Every time you move away from your residence, place of work, or some other safe static location you need to focus on what is going on ‘around you’; to be always situationally aware.  Notice what is ‘normal’ to include people, objects, and environment and pay attention when that ‘normal’ adjusts or changes.  Never disregard your gut feeling as the human body amazingly is able to detect stimulus long before our brains consciously pull it all together.  Prepare for the unexpected.  Noticing small things consistently can better assist with preparing yourself and those you might be traveling with anything threat-wise that may come later.

 

Plan Ahead

Always be prepared before you travel, research where and how you are traveling, staying, or living – – what does the on-the-ground situation look like?  Are there beyond normal security and safety considerations to focus on?  Areas to avoid?  Ongoing demonstrations and/or political strife that could affect movements and onward travel?  Your pre-travel preparations should be deliberate and fulsome.

 

Keeping A Low Profile

Do your best to minimize unwanted attention.  Review what you are packing or wearing, clothing, jewelry, and even overtly displayed religious items if you typically display them on your person.  Avoid items that might necessarily identify you as an American by alternately wearing non-descript attire that enables you to blend in as best as possible especially moving through public venues.  Do not accept letters, personal messages, photographs, packages, or other material to be carried in or out of the country.

 

Airports and Airplanes

Arrive early for your flights and proceed as quickly as possible through check-in and security to your gate as this offers the best level of in-depth security against a possible terrorist or criminal threat(s).  Keep close control of all carry-on items and stay alert to those other passengers and airport personnel moving around you until you board the aircraft.  Once onboard, pay attention to the location of the closest exits by counting rows of seats, both in front and behind if that is your closest exit.  Remember if and when smoke fills the cabin, you will be unable to see the lighted strips on the floor so counting seats and placing that fact in your muscle memory can be critical in evacuating safely.  When placing carry-on bags in overhead compartments, place them with their zippers and openers towards the back making it more difficult for potential thieves to get inside.  If placing bags underneath seats, turn your bag upside down to cover the zipper or even wrap the bags strap around your foot for an additional security measure.

 

Hotel Safety

Request a room between the second and fifth floors as those are rooms too high typically for thieves but would allow fire equipment to reach in the event of a potential fire emergency.  Locate your closest emergency exit(s) and develop a plan when/if there is a fire or other emergency where quicker egress is necessary minus using elevators.  When in your room, always use all the provided door locking hardware, and check to ensure if there are any opening windows or sliding glass doors, that they too are secured properly.  Keep your room neat so you can quickly notice anything that might be out of place or conversely messy which might do the same trick.  When leaving the room typically use the ‘do not disturb’ sign on the door and keep a light on and the television also at a low volume to give the impression that someone is in the room.

 

Vehicle Safety

Always keep your doors locked and windows rolled up, especially if transiting busy thoroughfares with multiple stoplights or anything that reduces your vehicle speed.  Leave distance between you and the vehicle in front of you, typically if you cannot see the rear wheels of the vehicle in front, then you are too close and would be unable to move in the event you needed to. When parked, find well illuminated areas and keep any valuables you might have locked in your trunk and out of sight to passersby.

 

​​​​​​​Other Travel Related Resources

The U.S. Department of State, Bureau of Consular Affairs maintains a comprehensive library of information that can help you prepare for a unexpected crisis overseas. Their site includes links to additional information about other aspects of security for persons living overseas, including children.

The U.S. Department of State Smart Traveler Enrollment Program (STEP) is a free service to allow U.S. citizens and nationals traveling and living abroad to enroll their trip with the nearest U.S. Embassy or Consulate, receive information from the Embassy about safety conditions in the destination country, and help the U.S. Embassy contact you in an emergency, whether natural disaster, civil unrest, or family emergency.

Traveling overseas with mobile phones, laptops, PDAs, and other electronic devices from The National Counterintelligence and Security Center.  Additionally, the Air Force Office of Special Investigations has created a similar brochure with additional information

U.S. Department of State Current Travel Warnings are issued to describe long-term, protracted conditions that make a country dangerous or unstable. A Travel Warning is also issued when the U.S. government’s ability to assist American citizens is constrained due to the closure of an embassy or consulate or because of a drawdown of its staff.

Also see the CIA World Factbook, which contains a plethora of excellent travel data in one-page synopses.

The State Department’s annual Country Reports on Terrorism details key developments in 2020 in the global fight against international terrorist groups.​​​​​​​

 

Academic Solicitation

What Is Academic Solicitation?

Academic Solicitation is the use of students, professors, scientists, or researchers as collectors improperly attempting to obtain sensitive information. Placing academics at, and requesting to collaborate with, U.S. research institutions under the guise of legitimate research in order to access developing technologies and cutting-edge research. These attempts can include requests for, or arrangement of, peer or scientific board reviews of academic papers or presentations; requests to study or consult with faculty members; and requests for and access to software and dual-use technology. Academic solicitation can also occur when a faculty member, student, employee, or visiting scholar seeks access to this same information. The number of foreign academics requesting to work with classified programs continues to rise, and the academic community will likely remain a top target for the foreseeable future. Although most academic contacts are likely legitimate, some foreign academics may ultimately take advantage of their placement and access to further their country’s research and development goals. 

 

Who Is Being Targeting? 

  • Researchers, scientists, and subject matter experts conducting research/ projects on behalf of a U.S. Government customer 
  • Researchers, scientists, and subject matter experts employed at academic institutions or with published in scientific or technical journals or presented at conferences
  • Students, professors, and researchers with access to research and technical information (especially graduate and post-doctorate students) 
  • Researchers, scientists, and subject matter experts working on cutting-edge technology 
  • Subject matter experts teaching technical courses

 

What To Report  

Any contact (i.e., emails, telephone, personal contact) that is suspicious because of the manner or subject matter of the request. This may include requests from U.S. persons or from foreign nationals located in the United States or abroad, and may consist of:  

  • Unsolicited applications or requests for undergraduate, graduate, postgraduate, or other research positions 
  • Unsolicited requests for access to research papers or other research-related publications or documents 
  • Unsolicited requests for assistance with or review of thesis papers, draft publications, or other research related documents 
  • Unsolicited invitations to attend and/or present at international conferences
  • Unsolicited grants or gifting of funds/equipment to conduct joint research projects from foreign academic institutions or foreign governments

 Contact the UConn Research Security Office at researchsecurity@uconn.edu with any concerns or questions.  If you suspect academic solicitation is taking place you can also file an anonymous report at compliance.uconn.edu. 

 

Economic Espionage

Economic espionage is foreign power-sponsored or coordinated intelligence activity directed at the U.S. government or U.S. corporations, establishments, or persons, designed to unlawfully or clandestinely influence sensitive economic policy decisions or to unlawfully obtain sensitive financial, trade, or economic policy information; proprietary economic information; or critical technologies. This theft, through open and clandestine methods, can provide foreign entities with vital proprietary economic information at a fraction of the true cost of its research and development, causing significant economic losses. 

 Our Nation’s secrets are in jeopardy, the same secrets that make your company profitable. The FBI estimates billions of US dollars are lost to foreign competitors every year. These foreign competitors deliberately target economic intelligence in advanced technologies and flourishing US industries.  

Foreign competitors operate under three categories to create an elaborate network of spies: 

  • Aggressively target present and former foreign nationals working for US companies and research institutions;
  • Recruit and perform technical operations to include bribery, discreet theft, dumpster diving (in search of discarded trade secrets) and wiretapping; and,
  • Establish seemingly innocent business relationships between foreign companies and US industries to gather economic intelligence including proprietary information.

 What Are Trade Secrets? 

Trade secrets are all forms and types of financial, business, scientific, technical, economic or engineering information, including patterns, plans, compilations, program devices, formulas, designs, prototypes, methods, techniques, processes, procedures, programs, or codes, whether tangible or intangible, and whether or how stored, complied, or memorialized physically, electronically, graphically, photographically or in writing, (1) which the owner has taken reasonable measures to protect; and (2) which have an independent economic value from not being generally known to the public.  

Commonly referred to as proprietary information, economic policy information, trade information, proprietary technology, or critical technology. 

 What Are Some Methods Of Targeting Or Acquiring Trade Secrets? 

  • Steal, conceal, or carry away by fraud, artifice, or deception;
  • Copy, duplicate, sketch, draw, photograph, download, upload, alter, destroy, photocopy, replicate, transmit, deliver, send, mail, communicate, or convey; and,
  • Receive, buy, or possess a trade secret, knowing the same to have been stolen or appropriated, obtained, or converted without authorization.

 Know The Signs 

  • Working odd hours without authorization 
  • Taking proprietary information home without authorization
  • Unnecessarily copying material 
  • Disregarding company policies on personal software and hardware 
  • Accessing restricted websites
  • Downloading confidential material 
  • Conducting unauthorized research

Personal Behaviors 

  • Unexplained short trips to foreign countries 
  • Engaging in suspicious personal contacts with competitors, business partners or unauthorized individuals 
  • Buying items they normally cannot afford
  • Overwhelmed by life crises or career disappointments 
  • Showing concern about being investigated

Common Factors  

  • Financial need 
  • Greed 
  • Unhappiness in the workplace 
  • Different allegiances to another company or country 
  • Drug/Alcohol abuse 
  • Vulnerability to blackmail 
  • Job offers from other organizations

Targeted Industries Or Sectors 

  • Information and communication technology 
  • Business information that pertains to supplies of scarce natural resources or that provides global actors an edge in negotiations with U.S. businesses or the U.S. government 
  • Military technologies (marine systems, unmanned aerial vehicles, and aerospace/aeronautic technologies) 
  • Civilian and dual-use technologies in fast-growing sectors (clean energy, health care and pharmaceuticals, and agricultural technology)
  • Academia

  

As part of a nationwide campaign to raise awareness of the growing economic espionage threat, the FBI has released a short video, “The Company Man: Protecting America’s Secrets.” Based on an actual case, the video illustrates how one company was targeted by foreign actors and what the FBI did to help. 

 Contact the UConn Research Security Office at researchsecurity@uconn.edu with any concerns or questions.  If you suspect economic espionage is taking place you can also file an anonymous report at compliance.uconn.edu.

Controlled Unclassified Information

 Controlled Unclassified Information (CUI) is information the Government creates or possesses, or that an entity creates or possesses for or on behalf of the Government, that requires safeguarding or dissemination controls consistent with applicable laws, regulations, and Government-wide policies but is not classified under Executive Order 13556 “Classified National Security Information” or the Atomic Energy Act, as amended. 

  CUI Regulations

The CUI security controls must be compliant with the federal regulations specified in 32 CFR Part 2002(link is external) and by the National Archives and Records Administration (NARA), who acts as the CUI Executive Agent (EA) to oversee the federal agency CUI compliance. The most commonly encountered Federal CUI requirements and guidelines include:

NATIONAL INSTITUTES OF STANDARDS AND TECHNOLOGY (NIST) SPECIAL PUBLICATION (SP)

FEDERAL ACQUISITION REGULATION (FAR) SECURITY REQUIREMENTS

DEPARTMENT OF DEFENSE FEDERAL ACQUISITION REGULATION (DFARS)

Other requirements and guidance as directed in agency-specific regulations and certain legal documents may also apply.

“Information” as defined by the Federal CUI Program may include research data and other project information, including non-public Federal Contract Information (FCI).  FCI is normally protected in accordance with FAR 52.204-21 when a research team receives, possesses, or creates FCI in the performance of a sponsored contract.

“Information system” means a discrete set of information resources organized for the collection, processing, maintenance, use, sharing, dissemination, or disposition of information. Information systems may include electronic media, non-electronic media, and physical environments.

 

CUI Onboarding

The United States Government has instituted a requirement that only United States Persons (USPERS) with a lawful, government purpose be granted access to CUI. The Government defines a USPERS for the purpose of CUI access as those naturalized citizens, Lawful Permanent Resident Aliens, and those born in the United States.  The following acceptable forms of documentation will be utilized to establish USPER status for UConn CUI project participants:

List A: Valid US Passport, I-551 Permanent Resident Card

List B: US Military Photo ID, State Issued Driver’s License, or Government issued photo ID

List C: Original or Certified Copy of State Issued Birth Certificate, US Consular Report of Birth FS-240, DoS Certificate of Birth Abroad DS-1350, Certificate of US Citizenship, or Certificate of US Naturalization

A determination of USPER status will require one item from List A; or one item from List B and one item from List C. All documents produced to verify birth in the US must be either the originals or certified copies.

In addition, please complete the following training prior to meeting with me, and please have your User Agreement, Technology Control Plan Briefing Acknowledgement and Non-Disclosure Statement, and Background Check completed/submitted:

DoD CUI Training (as mandated by DoD and provided by DCSA)

Insider Threat Awareness 

This course provides a thorough understanding of how Insider Threat Awareness is an essential component of a comprehensive security program. The course promotes the reporting of concerning behavior observed within the place of duty. Using case study scenarios, the course teaches common indicators associated with insider risk. The instruction promotes a proactive approach to reporting, to support positive outcomes for the workforce.

University of Connecticut Technology Control Plan Briefing Acknowledgement and Non-Disclosure Statement

OVPR Export Control trainings required (2 modules, offered by CITI)

  • Authorized USPER project participants will be required to successfully complete the following CITI online export training prior to working on the project and shall provide proof of completion to the Director of Export Compliance. CITI training can be accessed at https://www.citiprogram.org/?pageID=668
  • Then, type in “UConn” to find the university.
  • Then, sign in with your UConn SSO login.
  • Under the “Learner Tools” section of the website after you log in (you’ll have to scroll down in the webpage to see this section), click “Add a Course”
  • Then, check the box for the Export Compliance course, and follow the remaining steps to enroll and take the courses.
  • Contact the Export Control Officer, exportcontrol@uconn.edu if you have any difficulty accessing these required trainings.

NIST 800-171 compliance training (2023 version – required if you will need access to Secure Research Infrastructure)

NIUVT User Agreement (NIUVT projects only)

OVPR Export Control User Agreement (for all non-NIUVT projects)              

  Background Check Required

As part of your work, you may have access to Controlled Unclassified Information, which requires safeguarding or dissemination controls consistent with various laws and regulations. One of these regulations, NIST SP 800-171, establishes the basic security requirements for protecting CUI. One of these requirements is to screen individuals prior to authorizing access to organizational systems containing CUI. To begin this process contact researchsecurity@uconn.edu.

Background Investigation Process:

Background investigations may include, but are not limited to, criminal history checks, employment verification, education verification, and reference checks. The results of background investigations will be used to assess the suitability of individuals for access to CUI.

 

FAQ:

https://research-compliance.umich.edu/research-information-security/controlled-unclassified-information-cui

 

Additional Resources:

National Policy 

DOD Policy 

 Useful Links 

CUI Resources: https://www.dcsa.mil/Portals/91/Documents/CTP/CUI/DOD-CUI_Resources_One-Pager_for_DOD.pdf 

Research Security

Research security at universities is crucial for safeguarding sensitive information, intellectual property, and national security interests. NSPM-33, or National Security Presidential Memorandum 33, outlines the guidelines and policies for securing research activities, particularly those involving sensitive or classified information. This memorandum emphasizes the need for universities to implement robust security measures to prevent unauthorized access, disclosure, or exploitation of research findings that could potentially harm national security or economic interests. By adhering to NSPM-33 and implementing research security measures, universities can ensure the protection of valuable research assets while also fostering a collaborative and transparent research environment. 

 

EXPORT CONTROLS

Export control laws are federal regulations that govern how certain information, technologies, and commodities can be transmitted overseas or to a foreign national on U.S. soil. The scope of the regulations is broad: they cover exports in virtually all fields of science, engineering, and technology and apply to research activities regardless of the source of funding. Failure to comply with these laws can have serious consequences, both for the institution and for the individual researcher. Potential penalties include fines and possibly imprisonment. It is thus critical for UConn researchers to understand their obligations under these regulations and to work with the UConn Export Control Office to ensure that the University is in compliance.

UConn adheres to multiple federal agencies’ regulations pertaining to export controls, but there are three main regulations which the university is concerned with:

  • The International Traffic in Arms (ITAR) from the U.S. Department of State, which covers defense articles and defense services.
  • The Export Administration Regulations (EAR) from the U.S. Department of Commerce, which govern some commodities, software, technology, and “dual-use” civilian/military articles and technology.
  • The Office of Foreign Assets Control (OFAC) from the U.S. Department of the Treasury, which enforces economic and trade sanctions based on U.S. foreign policy and national security goals.

UConn’s Export Control Office supports the university’s faculty, staff, and students with questions about and guidance for actions required in order to comply with these various federal regulations.

Quantum-related Funding Opportunities and Resources

Advances in quantum science have the potential to have transformative social and economic impact.  New technologies are poised to revolutionize major industries, creating opportunities for new applications that will fuel economic growth.

To meet these challenges, UConn has partnered with Yale University and other key stakeholders to lead the Quantum-CT Regional Innovation Engine project. Quantum-CT is an effort to build an innovation ecosystem of researchers, educators, industry, and state/local stakeholders to harness the economic impact of new quantum-enabled technologies through technology development, innovation and entrepreneurship, and advances in STEM education and workforce development.

Want to contribute to the quantum revolution?  We strongly encourage interested faculty in all disciplines to partner together and with Yale University, other regional academic/educational institutions, corporate/industry stakeholders, and community partners on research projects that will:

  • Develop use-inspired applications of quantum technologies;
  • Transform STEM education and workforce training to create a quantum-ready workforce; and
  • Investigate the societal and economic impact of new quantum technologies;

    To support the success of the Quantum-CT effort, we encourage

    • All grant submissions
    • Cross-institution applications, not only among UConn and Yale, but also with other schools and colleges that represent a variety of communities within our state
    • Submissions for projects whose education and workforce development component may be provided by partnering with the QuantumCT workforce and education team
    • Submissions for the development of education materials with a quantum science theme that can be facilitated by partnering with a QuantumCT research team

    To assist faculty in finding funding opportunities to support their quantum-related research, OVPR Research Development Services has curated a list of relevant funding opportunities, below, which is updated monthly (last updated 3/4/2025).

    Research Funding Opportunities

    Workforce and Education Funding Opportunities

    IRB Virtual Office Hours 4/22 & 4/23

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    Research Integrity & Compliance (RIC) will hold office hours via Webex extending support to both students and faculty regarding IRB submissions and regulations pertaining to human subjects research. Late afternoon appointments are made available to accommodate the schedules of students and faculty researchers. Evening appointments are available upon request.

     

    Research Integrity & Compliance (RIC) staff are available to answer questions for research teams and faculty and student investigators who have questions about submitting to the IRB, human subjects regulations, post-approval support, or general queries related to IRB procedures.

     

    Virtual office hours will be held on the following dates and times:

     

    April:

    Monday April 22, 2024, from 2:00pm-5:00pm

    Tuesday April 23, 2024, from 10:00am-1:00pm

     

    When reserving a slot, it is helpful to add information under “reason” why you would like to meet with RIC staff. You will receive a confirmation email from Nexus that includes the Webex link. Please use the following Nexus link to sign up for an open meeting slot to schedule an appointment:

     

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

     

    For questions related to the sessions, please contact Joan Levine at joan.levine@uconn.edu

     

    Questions about ClinicalTrials.gov?

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    ClinicalTrials.gov is an online database of clinical trials. At UConn, Principal Investigators are responsible for registering and posting results per the federal regulations as well journal policies. That National Institutes of Health definition of a clinical trial is a research study1  in which one or more human subjects2 are prospectively assigned3 to one or more interventions4 (which may include placebo or other control) to evaluate the effects of those interventions on health-related biomedical or behavioral outcomes.5  

    Do you have questions about ClinicalTrials.gov registration or results posting? To schedule a virtual or in-person session with the UConn contact for ClinicalTrials.gov, email Ellen Ciesielski, Research Compliance Monitor in Research Integrity & Compliance in the OVPR. For details about ClinicalTrials.gov requirements, please see our webpages.

     

     

    1See Common Rule definition of research at 45 CFR 46.102(d).

    2See Common Rule definition of human subject at 45 CFR 46.102(f).

    3The term “prospectively assigned” refers to a pre-defined process (e.g., randomization) specified in an approved protocol that stipulates the assignment of research subjects (individually or in clusters) to one or more arms (e.g., intervention, placebo, or other control) of a clinical trial.

    4An intervention is defined as a manipulation of the subject or subject’s environment for the purpose of modifying one or more health-related biomedical or behavioral processes and/or endpoints.  Examples include:  drugs/small molecules/compounds; biologics; devices; procedures (e.g., surgical techniques); delivery systems (e.g., telemedicine, face-to-face interviews); strategies to change health-related behavior (e.g., diet, cognitive therapy, exercise, development of new habits); treatment strategies; prevention strategies; and, diagnostic strategies.

    5Health-related biomedical or behavioral outcome is defined as the pre-specified goal(s) or condition(s) that reflect the effect of one or more interventions on human subjects’ biomedical or behavioral status or quality of life.  Examples include:  positive or negative changes to physiological or biological parameters (e.g., improvement of lung capacity, gene expression); positive or negative changes to psychological or neurodevelopmental parameters (e.g., mood management intervention for smokers; reading comprehension and /or information retention); positive or negative changes to disease processes; positive or negative changes to health-related behaviors; and, positive or negative changes to quality of life.

    April In-Person Responsible Conduct of Research Training

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    The UConn/UConn Health RCR Office offers monthly Responsible Conduct of Research trainings to provide an opportunity to discuss and explore RCR topics, as well as count toward fulfilling funder requirements.  

     

    This month’s RCR Offering

    Who: April’s session focuses on clinical research but we highly encourage anyone conducting human subjects research to join us! 

    What: We will meet in the library to view a live broadcast from UConn Health titled “Regulatory Compliance in Clinical Research,” sponsored by UConn Health’s Clinical Research Center (CRC). The presentation is being given by Research Integrity & Compliance AVP for UConn/UConn Health, Michael Centola.

    Following the 1-hour broadcast, we will have a group discussion to wrap up our session. This is an informal gathering. Snacks and drinks will be provided! Also please feel free to bring your lunch!

    When: Tomorrow, Tuesday, April 16th from 12:00 p.m. to 1:30 p.m.

    Where: Babbidge Library, Class of ’47 Classroom

    Registration is required. To register, please email Research Compliance Monitor, Ellen Ciesielski. For questions, please contact Karen Moré, Director of Research Compliance.

     

    For more details about RCR requirements, please visit our RCR Office website.

     

    Student Involvement in External Human Subjects Research

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    The IRB offices at UConn and UConn Health have developed guidelines to help clarify when student involvement in external human subjects research (i.e., research that is being conducted at or by another organization) requires interaction with the UConn HRPP/IRB office.  These guidelines represent common scenarios that are presented to the office, not all possible scenarios.  When unsure, please reach out to IRB-reliance@uconn.edu. The UConn Storrs and Regional Campuses guidelines can be found on the IRB Reliance – General tab on the IRB website. UConn Health’s companion guidelines can be located within the IRB Frequently Asked Questions section of their website, under the question “Does a student project involving humans require IRB review?” These guidelines can be provided to external organizations’ IRBs if there is a question about whether submission to a UConn IRB is required.

     

    If you have any questions, please contact IRB@uconn.edu.