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Related University Policies

Policy Title

Department

Effective
Administrative Review and Approval of Proposals for External Support Office of the Vice President for Research, Sponsored Program Services 06/24/2015
Code of Conduct Office of the President 02/22/2011
Consulting Policy Office of the Provost 03/25/2015
Extra Compensation for Full-time Faculty in AAUP Human Resources & Office of the Provost 09/26/2006
Faculty Professional Responsibilities, Policy on Office of the Provost 03/29/2011
Financial Aid Code of Conduct Board of Trustees 01/22/2008
General Rules of Conduct Office of Faculty & Staff Labor Relations 01/02/2004
Guide to the State Code of Ethics Office of University Compliance 01/26/2014
Use of Students in Outside Employment Office of University Compliance 07/14/2015

FCOI FAQs

Who is an Investigator?

Investigator is defined as “The principal investigator and any other person (regardless of title or position) who is responsible for the design, conduct or reporting of research or educational activities*. This may include faculty and research staff (research associates and assistants, postdoctoral fellows, graduate students, visiting scientists engaged in research conducted at the University) as well as consultants.” *For DOE funded projects, the definition states that the Principal Investigator or any other person, regardless of title or position, who is responsible for the purpose, design, conduct, or reporting of a project.

What are considered my institutional responsibilities?

Institutional Responsibilities are your professional responsibilities conducted on behalf of the University. These include activities such as clinical health care, research, teaching, professional practice, and membership or service on UConn Health or University committees, boards or panels (such as Institutional Review Boards or Data Safety Monitoring Boards), including but not limited to, those that influence direct or indirect vendor selection or purchasing.

How do I know what Significant Financial Interests (SFIs) to disclose?

UConn FCOI in Research policy requires disclosure of Significant Financial Interests (SFIs) with entities that are related to your institutional responsibilities and that meet a certain threshold.

As noted above, “institutional responsibilities” are your professional responsibilities on behalf of the University (e.g., research, teaching, etc.). An SFI is considered “related” to your institutional responsibilities if the financial interest is with an entity related to your field of expertise and/or your role as a University employee or for which you have consulting approval. Once you’ve established there is a possible “related interest,” the threshold for disclosure on the eform is defined as follows:

SFI means a financial interest consisting of one or more of the following interests/relationships of the investigator (or those of the investigator’s spouse and dependent children) in or with an entity that reasonably appears to be related to the investigator’s institutional responsibilities (e.g., with an entity related to the investigator's field of expertise and/or role as a University employee) or for which the investigator has consulting approval and that meet the following thresholds:

  • Remuneration of $5,000 or greater when aggregated from any entity;
  • Equity interest in a publicly-traded entity that is $5,000 or greater when aggregated from any entity;
  • Any equity interest in a publicly-traded entity; or a greater than 5% equity interest in a publicly-traded entity;
  • Any intellectual property rights and interests possibly related to an investigator's institutional responsibilities;
  • An appointment to serve in either a personal or representative capacity with an entity;
  • Reimbursed or sponsored travel worth $5,000 or more from a single entity or if value unknown.

When do I need to submit or update a financial disclosure?

Investigators submit or update their financial disclosure:

  • Annually (at the time of the annual disclosure, the investigator must disclose the current aggregated value of the SFIs received over the previous year);
  • Within thirty (30) days of the acquisition or discovery of a new reportable SFI;
  • Within thirty (30) days of reimbursed or sponsored travel in excess of $5,000 from a single entity possibly related to your institutional responsibilities.

What does not need to be disclosed?

Investigators do not need to disclose the following:

  • Salary received from UConn or UConn Health;
  • Salary support from a UConn or UConn Health administered sponsored awards;
  • Income from investment vehicles, such as mutual funds and retirement accounts, as long as you do not directly control the investment decisions made in these vehicles;
  • Travel expenses paid by UConn or UConn Health or by a sponsored research award to UConn or UConn Health;
  • Travel reimbursed or sponsored by a U.S. federal, state, or local government agency, a U.S. institution of higher education, a U.S. academic teaching hospital, a U.S. medical center or a research institute that is affiliated with a U.S. institution of higher education.†
  • Income from seminars, lectures and teaching engagements sponsored by U.S. Federal, state or local government agencies; U.S. institutions of higher education or U.S. research institutes; U.S. academic teaching hospitals or U.S. medical centers that are affiliated with U.S. Institutions of higher education;†
  • Income from service on advisory committees or review panels for U.S. Federal, state or local government agencies; U.S. Institutions of higher education or U.S. research institutes; U.S. academic teaching hospitals or U.S. medical centers that are affiliated with U.S. Institutions of higher education;†
  • †Note: The Department of Energy Interim Conflict of Interest Policy doesn't exclude academic teaching hospitals or medical centers.

What is a Financial Conflict of Interest?

  • Investigators are obligated to submit a financial disclosure and to disclose any financial interests as requested on the form. The University then determines whether a financial conflict of interest (FCOI) exists.
  • An FCOI is a situation in which an investigator’s significant financial interest in an entity may compromise, or have the appearance of compromising, an investigator's professional judgment in conducting or reporting research, the results of which could affect the aforementioned entity, either directly or indirectly.
  • In summary, FCOI means a significant financial interest (SFI) that could directly and significantly affect the design, conduct or reporting of research.
  • An FCOI exists when the University, through its designated official(s), reasonably determines that an investigator's SFI is related to a research project and could directly and significantly affect the design, conduct or reporting of the research.
  • The UConn Financial Conflict of Interest in Research Committee (FCOIRC) meets regularly to review financial disclosures, identify FCOIs in the conduct of research, and to assign appropriate management or mitigation plans for identified FCOIs.
  • The UConn Policy on Financial Conflicts of Interest in Research promotes objectivity in research by establishing standards to ensure there is no reasonable expectation that the design, conduct, or reporting of research will be biased by any conflicting financial interest of an investigator.

Why do I need to fill out a disclosure?

In order for the University to maintain public trust and support in carrying out its research mission, the University must demonstrate that it subjects itself to the highest standards of ethical behavior. Situations in which financial consideration may compromise, or have the appearance of compromising, an investigator’s professional judgement in the design, conduct, or reporting of research must be managed or mitigated when they occur.

The University’s policy on Financial Conflicts of Interest (FCOI) in Research promotes objectivity in research by establishing standards to ensure the design, conduct, or reporting of research will not be biased by any conflicting financial interest of an investigator.

While the University encourages investigators to engage in appropriate outside relationships, all investigators must, in accordance with University policy, disclose any significant financial interests (including those of a spouse and/or dependent child) that relate to the investigator’s institutional responsibilities and, if applicable, comply with financial conflict of interest management or mitigation plans.

What is the University’s Conflict of Interest in Research Policy?

The University FCOI in Research policy corresponds with the 2011 Public Health Service (PHS) revised Financial Conflict of Interest (FCOI) regulations (42 CFR 50). These regulations apply to any institution receiving funds from a PHS entity.  The Policy applies to all investigators responsible for the design, conduct or reporting of research.  You can see the Policy in its entirety at http://policy.uconn.edu/?p=382.

Who do I call for more information?

You may contact Kristen Tremblay, Committee Staff for the Financial Conflict of Interest in Research Committee, with any questions at 860.679.3276 (or send an email to fcoi@uconn.edu).

Financial Conflict of Interest in Research Committee

Appointed by the Vice President for Research, the UConn Financial Conflicts of Interest in Research Committee (FCOIRC) is a faculty committee with responsibility for the identification and management of financial conflicts of interest as relates to the conduct of research at the University.  The FCOIRC includes broad representation of the campus community.

All UConn investigators must submit a financial disclosure electronically within the UConn InfoEd External Interests module (https://www.infoed.uconn.edu).

The FCOIRC meets regularly to review financial disclosures, identify financial conflicts of interest (FCOIs) in the conduct of research, and to assign appropriate management or mitigation plans for identified FCOIs.

 

FCOI Training

FCOI training requirements, as specified under federal regulations and UConn policy, will be complete once an investigator has submitted a financial disclosure form within the UConn InfoEd External Interests system.

All PHS-funded and DOE-funded investigators must complete the UConn FCOI training pursuant to PHS regulations 42 CFR 50.604(b)(1-3), DOE Interim COI policy, and institutional policy prior to engaging in PHS or DOE-funded research and at least every four (4) years thereafter as well as under the following circumstances (in the timeframes noted in parentheses):

  1. When the University’s FCOI policy changes such that investigator requirements are affected (within 60 days).
  2. When an investigator is new to the University (prior to engaging in PHS or DOE-funded research).
  3. When the University finds that an investigator is not in compliance with the Policy or a management plan, as applicable.

Financial Conflict of Interest

The Financial Conflict of Interest in Research program supports the UConn (Storrs campus, four regional campuses, the School of Social Work, and the School of Law) research community with understanding and complying with University requirements related to financial conflicts of interest (FCOIs) in research.

Who is an Investigator?

  • Investigator is defined as “The principal investigator and any other person (regardless of title or position) who is responsible for the design, conduct or reporting of research or educational activities*. This may include faculty and research staff (research associates and assistants, postdoctoral fellows, graduate students, visiting scientists engaged in research conducted at the University) as well as consultants.” *For DOE funded projects, the definition states that the Principal Investigator or any other person, regardless of title or position, who is responsible for the purpose, design, conduct, or reporting of a project.

What are my responsibilities as a UConn investigator?

  • Review and be knowledgeable of the UConn policy on financial conflicts of interest in research, including the definition of Significant Financial Interest (SFI) and how it applies to you.
  • Promptly and fully disclose all SFIs, including those of a spouse or dependent child, that reasonably relate to your institutional responsibilities; and, if applicable, comply with FCOI management or mitigation plans.
  • Submit a financial disclosure within the UConn InfoEd External Interests / FCOI system: https://www.infoed.uconn.edu/
    • Annually while engaged in research activities;
    • Within 30 days of acquiring or discovering a new SFI;
    • At the time of submission of a new research proposal for funding (a new disclosure is required unless a current disclosure has previously been made);
    • Prior to expending research funds (a new disclosure is required unless a current disclosure has previously been made).
  • Understand that completion and submission of the financial disclosure form also satisfies the FCOI training requirement, as required under federal regulations and UConn policy.
  • Investigators, coordinators, and persons obtaining consent must also disclose any project-specific SFIs pursuant to UConn Human Subjects Protection Program Institutional Review Board (IRB) policies.

What other resources are available to help Investigators?

Stem Cell Research Oversight (SCRO) Committee

The role of the UConn/UConn Health Stem Cell Research Oversight (SCRO) Committee is to ensure that human embryonic stem cell (hESC) and human induced pluripotent stem cell (hiPSC) research is well-justified and that inappropriate and/or unethical research is not conducted. Its mandate is to provide oversight of ethical issues related to the derivation and research use of human pluripotent stem cell lines at all schools, colleges, campuses, and research arms of the UConn/UConn Health per University policy, regardless of the source of funding. From a legal perspective, the review and approval of human embryonic stem cell research by a SCRO committee or its equivalent is required by the State of Connecticut. At a deeper level, SCRO committees exist to protect both the public interest and the progress of biomedical stem cell research. The ethical mandate of the SCRO Committee is to ensure that appropriate respect is given to the value of human life. 

SCRO approval is required prior to any of the following:

  1. All research involving human embryonic stem cells (hESCs) (SCRO approval is required by the State of Connecticut and University policy.)
  2. In vitro human induced pluripotent stem cell (hiPSC) research involving the generation of gametes, embryos, or other totipotent cells (SCRO approval is required by University policy.)
  3. In vivo research involving introduction of human induced pluripotent stem cells (hiPSC) directly into prenatal animals or into the central nervous system of post-natal animals or elsewhere in the animal where cells could potentially enter the central nervous system (SCRO approval is required by University policy.)
  4. Stem cell research project funded by the State of Connecticut through the Connecticut Bioscience Innovation Fund, including those that do not use human embryonic stem cells (SCRO approval is required by the State of Connecticut.docx.)
  5. All research involving the development of brain or neural organoids or embryo organoids using hESCs or hiPSCs
  6. All research involving Very Small Embryonic-Like (VSEL) stem cells

 

 

IACUC Training

Initial IACUC Training is a requirement for everyone working with live vertebrate animals at the University of Connecticut in accordance with the policies and guidelines set forth in the “Public Health Service Policy on Humane Care and Use of Laboratory Animals” (PHS 1986), the “Guide for the Care and Use of Laboratory Animals” (ILAR 2011), the USDA Animal Welfare Regulations (CFR 1985) and the “Guide for the Care and Use of Agricultural Animals in Agricultural Research and Teaching.”

Retraining is required for faculty PIs on a triennial basis (once every three years). All other animal users (staff, post-doctoral fellows, graduate students and undergraduates) must complete IACUC retraining on an annual basis.

Initial IACUC Training

The University’s Institutional Animal Care and Use Committee (IACUC) requires that all faculty, staff and students who work with live vertebrate animals attend an initial IACUC training session.   This will provide an overview of federal, state and University regulations, policies and procedures as well as general information related to the care and use of animals at the University.

ALL INITIAL IACUC TRAINING IS PROVIDED ONLINE VIA SYNCHRONOUS WEBEX EVENTS. Please navigate through the links provided below to sign up for an IACUC training session. When using the sign-up link, please use the Register link on the associated page.  You should receive an “Approval” email after signing up.  If you have any questions or concerns regarding sign-up, please contact iacuc@uconn.edu.

Presentation Dates and Times:

Please note: Sessions start promptly. Latecomers risk not receiving credit.

Day Time Session Name Presenter Sign-Up Link
Thursday, September 4, 2025 10:00 AM IACUC Initial Training Megan Hiller, IACUC Specialist WebEx
Wednesday, September 24, 2025 11:00 AM IACUC Initial Training Megan Hiller, IACUC Specialist WebEx

Retraining Options

The IACUC requires retraining for all animal users.  Within a year (for Faculty who are Principal Investigators, three years) after the initial classroom training session, animal users must complete one of the following retraining options in order to receive approval for continued animal use:

  1. Completion of an animal subjects web-based exam on the Collaborative Institutional Training Initiative (CITI) Program website (www.citiprogram.org). Please login to the CITI Program site using your Institutional Login credentials (Log In Through My Institution) and selecting University of Connecticut – Storrs & Regional Campuses so that you can enter your UConn NetID username and password to access the CITI Program website. Depending on the course one selects, it may take approximately 1-6 hours to complete.  Please note that completion of any of the web-based courses can be spread over a period of time.  They do not have to be completed in a single session.  Currently, the course modules available include:
    • UConn IACUC, A Review
    • Working with the IACUC
    • Essentials for IACUC Members
    • Post-Procedure Care of Mice and Rats in Research
    • Working with Amphibians in Research Settings
    • Working with Fish in Research Settings
    • Working with Mice in Research Settings
    • Working with Rats in Research Settings
    • Working with Gerbils in Research Settings
    • Working with Hamsters in Research Settings
    • Working with Guinea Pigs in Research Settings
    • Working with Rabbits in Research Settings
    • Working with Cats in Research Settings
    • Working with Dogs in Research Settings
    • Working with Swine in Research Settings
    • Working with Non-Human Primates in Research Settings
    • Working with Zebrafish (Danio rerio) in Research
    • Wildlife Research
    • Working with Reptiles in a Research Setting
  2. Documented attendance at or participation in one of the sessions offered by the Biological Health & Safety section of Environmental Health & Safety. This training is designed for laboratory personnel who work with research animals.  Topics include principles/concepts of biosafety, agent classes and safety levels, engineering controls, personal protection equipment, work practices, biological agent use and transport information and biological waste management issues.
  3. Documented repeat attendance at the in-house classroom session presented by ACS/IACUC.  The session lasts approximately 1.5  hrs.
  4. Documented attendance at any special seminar session that may be specifically offered by Research Compliance Services or Animal Care Services in the future to fulfill this training requirement.
  5. Documented attendance at a training session offered by a recognized scientific society or organization that addresses animal use in research and/or animal welfare concerns.  Please consult with Research Compliance Services in advance to determine whether the session you would like to attend meets this retraining requirement.

IACUC Resources

IACUC Membership

The IACUC has members whose backgrounds & experience are relevant to the Committee’s responsibilities, including veterinarians, non-scientists, and scientists representing schools and colleges that use animals, as well as members who are not affiliated with the University in any way other than as a member of the IACUC.

The Institutional Official appoints the IACUC members.

Chair: Randall Walikonis, PhD, randall.walikonis@uconn.edu 860.486.9031

Institutional Official: Michael Centola, MHS, CIP, Associate Vice President for Research Integrity centola@uchc.edu

Interim Attending Veterinarian: Ramaswamy M. Chidambaram, BVSc, MSc, PhD, DACLAM, ramaswamy@uchc.edu

Assurance

The University of Connecticut/Storrs has an Assurance of Compliance #D16-00077/A3124-01.  It was most recently renewed and approved by the Office of Laboratory Welfare (OLAW) effective February 18, 2025 and is valid for a period of four years, expiring on February 28, 2028.

Those affiliated with animal research may access the University of Connecticut/Storrs PHS Assurance by going to this link.

IACUC Policies

University Policy: Animal Use in Research, Teaching and Testing

AW-01-2011: Reporting Animal Welfare Concerns and Incidents of Non-Compliance

AW-02-2012: Animal Transportation

AW-03-2012: Acclimation of Newly Arrived Research and Teaching Animals

AW-04-2011: Animal Adoption

AW-05-2011: Use of Non-Pharmaceutical Grade Compounds in Animals

AW-06-2011: Single Housing of Social Species

AW-07-2018: Housing Rats and Mice in Shared Spaces

AW-08-2018: Animal Housing Areas

AW-09-2018: Guillotine and Scissor Maintenance

AW-10-2018: Environmental Enrichment

BP-01-2010: Use of Full Committee Review (FCR)

BP-02-2012: Use of Designated Member Review (DMR)

BP-03-2012: Responsibilities of the Primary Reviewer

BP-06-2010: Requires Modifications to Secure Approval

BP-07-2012: Responsibilities of Full Voting Members

BP-08-2013: Biomedical vs. Agricultural Use of Agricultural Species

BP-09-2011: Veterinary Review of Protocols

BP-10-2011: Program Responsibilities: Attending Veterinarian

BP-11-2012: Annual Review of Protocols

BP-12-2012: Animal Welfare Investigation and Reporting

BP-13-2012: Post Approval Monitoring of Protocols

BP-14-2012: Semiannual Inspection of Facilities

BP-15-2012: EHS Review of Protocols

BP-16-2012: Pre-Review of Protocols

BP-17-2012: Administrative Changes to Protocols

BP-18-2012: Withholding Approval of Protocols

BP-19-2012: Holding Protocols

BP-20-2012: IACUC Emergency Business Practices

BP-21-2013: Suspension of Approved Animal Activities

BP-22-2012: IACUC-Safety Committee Coordination of Protocol Review

BP-23-2012: IACUC By-Laws

BP-25-2013: Grant Review

BP-26-2018: Modifications to Approved Animal Activities

BP-27-2022: Assessing and Reporting Protocol Deviations, Adverse Events or Unexpected Outcomes

BP-28-2022: Evaluating Scientific Rigor During Protocol Review

SI-01-2011: Use of Invertebrate Animals in Research and Teaching

SI-02-2012: Animal Transfer Between Protocols for Traditional Laboratory Species

SI-03-2010: Individuals Listed on Animal Protocols

SI-04-2010: Students Registered in Classes or Programs described in Protocols

SI-05-2011: Principal Investigator Responsibilities

SI-06-2011: Guidelines for Assigning Animals Into USDA Pain and Distress Categories

SI-07-2012: Activities Requiring IACUC Oversight

SI-08-2012: Animal Tracking for Animal Science General Husbandry Protocols

SI-09-2013: Regulation of Food or Fluid Intake

SI-10-2013: Determining Expiration Dates

SI-11-2012: Requirements for Personnel Listed on Protocols

SI-12-2020: Photography and Other Media Capture of Research Animals

SI-13-2021: Procurement of Animals for Research and Teaching

SI-14-2024: Protocol Oversight During Principal Investigator Absence

 

 

IACUC Deadlines & Meetings

Institutional Animal Care and Use Committee (IACUC) protocols are reviewed once per month; the typical turnaround time from submission to approval is 6-8 weeks. Please allow sufficient time to secure approval when approvals are required to meet funding deadlines.

Protocols must be submitted electronically in Microsoft Word format to iacuc@uconn.edu

IACUC Meeting Date
Tuesday, August 19, 2025
Tuesday, September 9, 2025
Tuesday, September 23, 2025
Tuesday, October 7, 2025
Tuesday, October 21, 2025
Tuesday, November 4, 2025
Tuesday, November 18, 2025
Tuesday, December 16, 2025

Please note that a protocol submission must undergo thorough pre-review by IACUC staff and any necessary ancillary reviews (i.e., veterinarian, EHS) before it can be sent to a meeting for full committee review. We recommend you allow for 3-4 weeks for the pre-review process. All submissions must be ready for full committee review one week before the meeting date to be included on the agenda. While working on any submission, please keep review process in mind and reach out to iacuc@uconn.edu if there are any questions about what documents/information to include with a submission.

Reporting Animal Concerns

Concern for the welfare of animals used in research and teaching is the responsibility of all members of the University community. The University of Connecticut is committed to complying with all animal welfare regulations governing animals used in research and teaching. If you have concerns about animal welfare or non-compliance, please communicate them to the Attending Veterinarian, the Institutional Animal Care and Use Committee (IACUC) or Research Compliance Services (RCS). Non-compliant incidents of a serious nature (those which harm animals or threaten their health) should be reported immediately. Your anonymity will be protected; however, providing your contact information will allow us to contact you if we need additional information. The Animal Welfare Act protects the rights of individuals reporting animal welfare concerns and prohibits discrimination or reprisal for reporting violations of regulations or standards.

You may contact the Attending Veterinarian at acsinfo@uconn.edu or 860-486-2907 

IACUC Office at iacuc@uconn.edu or 860-486-2459

Concerns can also be reported anonymously through the REPORTLINE by calling a toll-free number at (888) 685-2637 or via the REPORTLINE website. The REPORTLINE is available 24 hours a day, 365 days a year operated by a private (non-UConn) company. You may contact the hotline to report a concern without giving your name. You will be able to re-contact the REPORTLINE to track your report to provide further information at a later date or to obtain general updates about the status of your concern.

The University welcomes and encourages good-faith reporting. As such, individuals who submit a report or participate in a compliance investigation in good faith are provided protection from retaliation per the University’s Non-Retaliation Policy.

Additional information on reporting concerns can be found at the Office of University Compliance website.

Guidelines – Stop Work Orders

Federal Stop-Work or Grant Termination Directives

These guidelines are intended to assist investigators who may be at risk for or have received a directive from a federal funding agency to stop, pause, terminate or otherwise prematurely end a research study involving animals.  Please contact the IACUC Office promptly if you receive a stop-work directive and/or would like to discuss further.