uconn

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

Attending Veterinarian: Curtis Schondelmeyer, DVM, CPIA, DACLAM, curtis.schondelmeyer@uconn.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 March 1, 2020 and is valid for a period of four years, expiring on February 29, 2024.

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

Submission Deadline Date IACUC Meeting Date
Wednesday, May 1, 2024 Wednesday, May 22, 2024
Wednesday, May 22, 2024 Wednesday, June 12, 2024
Wednesday, June 26, 2024 Wednesday, July 17, 2024
Wednesday, July 24, 2024 Wednesday, August 14, 2024
Wednesday, August 14, 2024 Wednesday, September 4, 2024
Wednesday, August 28, 2024 Wednesday, September 18, 2024
Wednesday, September 18, 2024 Wednesday, October 9, 2024
Wednesday, October 2, 2024 Wednesday, October 23, 2024
Wednesday, October 16, 2024 Wednesday, November 6, 2024
Wednesday, October 30, 2024 Wednesday, November 20, 2024
Wednesday, November 13, 2024 Wednesday, December 4, 2024
Wednesday, November 27, 2024 Wednesday, December 18, 2024

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: Phone: 860-486-8882, e-mail: vet@uconn.edu

The IACUC Chairperson at: Phone: 860-486-9031

RCS at: Phone: 860-486-2459, e-mail: iacuc@uconn.edu

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.

 

Approved by the Institutional Animal Care and Use Committee on October 24, 2018.

Institutional Animal Care and Use Committee (IACUC)

The Institutional Animal Care and Use Committee (IACUC) is responsible for reviewing the University of Connecticut’s program for the humane care and use of animals in research and teaching as described in its Assurance and University Policy.

The IACUC is created by and subject to federal law: the Public Health Service Policy on Humane Care and Use of Laboratory Animals (PHS 1986), the USDA Animal Welfare Act/Regulations (CFR 1985) and related Guides. Members include scientists and nonscientists, veterinarians and nonaffiliated individuals from the community. Members are appointed by the Institutional Official.

For information, visit IACUC Contacts page.

 

Initial IRB Approval

Which form should I use?

Form IRB-1: Protocol Application for the Involvement of Human Participants in Research: for Expedited or Full Board Review. Expedited and Full Board studies require the same level of review, so the same form is used for both types of review.  See the next section to determine which level of review is required.

Form IRB-5: Request for Exemption from Continuing IRB Review. The IRB makes exemption determinations.  This category requires initial IRB review, but the study is then exempt from continuing review.  See the next section to determine which level of review is required.

Form IRB-7: Protocol Application for Research Methods Courses (RMC). Course Instructors must submit an application for IRB approval of the types of research projects to be conducted by students in the class.  The IRB-7 protocol will receive expedited review.

Form IRB-9: Protocol Application for Ethnographic/Naturalistic Research.  Ethnographic/naturalistic research activities may require expedited or full board review.  The same form is used for both types of review.  See the next section to determine which level of review is required.

What level of review  is required: exempt, expedited or full board review?

Investigators make an initial determination for which type of review is appropriate for their study (full board, expedited, or exempt) and submit the required number of copies of the protocol and supporting documentation.  Upon receipt, the IRB staff, in consultation with the Chair or an IRB member, screens the protocol to verify the investigator’s initial determination.  The protocol is then placed into the appropriate queue for review.  The Chair, or his/her designee, makes the final determination of the type of review required and the appropriate expedited or exempt category.

For more information on each type of review, please see:

How long does a  review take?  When will I receive  approval?

Several factors affect the amount of time a review will take.  These factors include how many other applications were received ahead of yours, whether all investigators on the application have completed the CITI training program, and whether the application is complete or if there is missing information required.  The IRB reviews application in the order in which they were received.  When a new application is received, the IRB Cover Page is stamped, and an IRB protocol number is assigned.  The IRB Cover Page is returned to the Principal Investigator (or Correspondent) to verify receipt.  From the date of receipt, the amount of time a review takes is as follows:

  • Exempt reviews generally  take one to two weeks.
  • Expedited reviews  generally take two to three weeks, depending on the time of year.  The heaviest submission period is at the  beginning of the semester.
  • Full  Board reviews are dictated by the Meeting Dates/Deadlines.   IRB determination letters are sent to  investigators within one week of the meeting.   If a protocol determination is deferred, the study must be revised and  be returned to the full board for review.   If the IRB approves the protocol contingent upon minor modifications  being made, the study can be approved as soon as the modifications are made and  approved by the IRB Chair or his/her designee.

Which Consent Form template should I use?

The consent discussion that takes place between an investigator and participant must be captured in a document called an “informed consent form”, or “consent form.”  Ordinarily, all research participants must indicate in writing their willingness to participate in research by signing the consent form. However, signed consent may not be necessary or appropriate in certain studies, such as surveys, interviews and other minimal risk research, or in research where the participants are to remain anonymous. In these cases, the IRB gives an investigator permission to alter the consent process (waiver of signed consent), and the investigator should prepare an information sheet appropriate for the study. Federal regulations identify certain specific elements required for informed consent.  Depending on the nature of the research, the IRB may require additional elements.

For more information, see Standard Consent and Documentation section of the IRB Policies and Procedures documentation.

UConn HRPP Policies & Standard Operating Procedures

 

Human Research Protection Program (HRPP) Policy describes this Institution’s commitment to the protection of human participants at UConn-Storrs.

 

IRB Policies and Procedures describes how UConn-Storrs puts the various federal and local regulatory HRPP requirements into practice; refer to the following documents for updates:

 

 

 

Researcher’s Guide

This Researcher’s Guide provides investigators and students with information that will be helpful for meeting the standards set by the UConn IRB policies and by the Federal Regulations for the protection of human subjects in research.

Or go to each section in the guide:

IRB Meeting Dates and Submission Deadlines

Submissions requiring full board review can be submitted anytime during the published submission window. Note that the last day to submit does not coincide with a meeting date. Submissions, including completion of your department’s internal review process, must be submitted by 4:30pm on the last day of the submission window.  This change in the processes was based on metrics, and when a submission is incomplete or additional information is needed it extends the review cycle and the amount of time to get final approval.  When a submission is received it will be assessed for completeness and to identify any missing information and will be placed on the agenda when determined by the HRPP/IRB to mitigate longer turn-around times.

Please note that studies that are being resubmitted in response to a deferral will have an alternate timeline that will allow for a timelier review and will be communicated with the IRB letter.

(Studies that involve minimal risk are eligible for expedited or exempt review and can be submitted at any time. For questions regarding the risk-level of a study, contact the IRB Office.)

Submission Windows for Full Board Studies 2024/2025 IRB Meeting Dates
May 24 – June 13, 2024 Thursday, July 11, 2024
June 14 – July 4, 2024 Thursday, August 1, 2024
July 5 – 25, 2024 Thursday, August 22, 2024
July 26 – August 15, 2024 Thursday, September 12, 2024
August 16 – September 5, 2024 Thursday, October 3, 2024
September 6 – September 26, 2024 Thursday, October 24, 2024
September 27 – October 17, 2024 Thursday, November 14, 2024
October 18 – November 14, 2024 Thursday, December 12, 2024
November 15 – December 12, 2024 Thursday, January 9, 2025

 

IRB Members

The IRB is composed of members of the University and local communities.   The individual members contribute the professional competency necessary to review specific research activities representing a broad range of disciplines through experience and expertise in their fields. In addition, the IRB seeks diversity in race, gender and cultural backgrounds to promote sensitivity to community attitudes and respect for the rights and welfare of human subjects. If you are interested in serving on the IRB, contact the IRB Office.

The fully convened IRB meets every three weeks on the Storrs campus and is made up of the following members:

  • Rachel Tambling, PhD, IRB Chair, Human Development and Family Sciences, Ph: 860.486.6111, rachel.tambling@uconn.edu
  • Jennie Albert, PhD, Community/Prisoner Representative
  • Kristin Bissell, MD, Student Health and Wellness
  • Douglas Bradway, MA, CIP, Research Integrity & Compliance
  • Gabrielle Brewer, PhD, CISSN, Kinesiology
  • Augusto Buchweitz, PhD, Psychological Sciences
  • Jeffrey Burke, PhD, IRB Vice-Chair, Psychological Sciences
  • Valerie Duffy, PhD, Allied Health Sciences
  • David Embrick, PhD, Sociology and Africana Studies
  • Thomas Hogan, Community/Prisoner Representative
  • Elaine Lee, PhD, Kinesiology
  • Catherine Little, PhD, Educational Psychology
  • Anita Morzillo, PhD, Natural Resources Management & Engineering
  • Meg Paceley, PhD, School of Social Work
  • Louise Reagan, PhD, APRN, ANP-BC, FAANP, FAAN, School of Nursing
  • Mohamadmahdi Samandari, PhD, Biomedical Engineering
  • Vida Samuel, PhD, Human Development and Family Sciences
  • Tamika Blackburn, MD, Alternate IRB Member, Student Health and Wellness
  • Karen Christianson, RN, BSN, Alternate IRB Member, HRP
  • Nicole Ferrari, MS, CIP, Alternate IRB Member, Research Integrity & Compliance
  • Lisandra González, MPH, Alternate IRB Member, HRP
  • Jeanelle Graham, B.S., MPH, Alternate IRB Member, Research Integrity & Compliance
  • Nicole Landi, PhD, Alternate IRB Member, Psychological Sciences
  • Wesley Leong, MS, Alternate IRB Member, Psychological Sciences
  • Ruth Lucas, Ph.D., RNC, CLS, FAAN, Alternate IRB Member, School of Nursing
  • Jennifer McCauley, BA, CIP, Alternate IRB Member, Research Integrity & Compliance
  • Lisa Sanetti, PhD, Alternate IRB Member, Educational Psychology
  • Jocelyn Springfield, Alternate IRB Member, Research Integrity & Compliance

Human Subjects Research

InfoEd IRB Module Updates Go-Live on December 16th!

See the InfoEd Updates page for more information.

UConn-Storrs Human Research Protection Program (HRPP)


UConn-Storrs is dedicated to the protection of human subjects in research activities conducted under its auspices. The HRPP also covers research involving human participants conducted under the auspices of the Hartford, Waterbury, Avery Point, and Stamford campuses of the University of Connecticut.

The UConn-Storrs Institutional Review Board (IRB) within the HRPP reviews human subjects research to ensure that the studies it approves have appropriate safeguards for the ethical, compliant, and safe conduct of research, as well as the protection of the rights and welfare of the human subjects who will volunteer for participation. UConn-Storrs investigators must appreciate and understand their ultimate responsibility and obligation to protect the subjects participating in their studies. This includes conducting the study as approved by the IRB and reporting any unanticipated problems or noncompliance to the IRB for review and appropriate action.

The IRB is guided by the ethical principles of Autonomy, Beneficence and Justice, as outlined in the Belmont Report. The subject’s autonomy must be respected, study harms must be minimized and potential study benefits must be maximized, and the selection of who is versus who is not asked to serve as research subjects must be fair and directly related to the problem being studied (and not because of a group’s easy availability or compromised position).

If an investigator is part of an institution that already has its own IRB, either the UConn or the other institution’s IRB may serve as the IRB of record. The arrangement would be documented by a reliance or authorization agreement, which outlines each institution’s role in the research.

Frequently Asked Questions

Refer to HRPP SOPs for UConn-Storrs (in process) for full detail on the UConn Human Research Protection Program.

Who needs to comply with the requirements of UConn’s Human Research Protection Program (HRPP)?

All UConn University faculty, staff, and students must comply the HRPP Policy and associated Standard Operating Procedures (SOPs) of the UConn HRPP.  These documents are available on the Policies and Procedures page of the HRPP website.

Which activities require submission to the HRPP/IRB before beginning a proposed activity?

According to the Federal Policy for the Protection of Human Subjects (“Common Rule;” 45 CFR 46):

Activities that meet the specific definitions of “research” involving “human subjects/ participants” are covered under the requirements of the HRPP and require prior exemption or approval through the HRPP/IRB.

 

Research is a systematic investigation (an activity that involves a prospective plan which incorporates data collection, either quantitative or qualitative, and data analysis to answer a question) including research development, testing, and evaluation, designed to develop or contribute to generalizable knowledge [i.e., designed to obtain new information that would be applicable beyond the system (e.g., UConn)] in which it will be conducted/implemented and beyond the target population who will participate in the activity.

Note:

                (i) the activity must meet both bolded ‘parts’ of the definition in order to be considered ‘research’.

                (ii) There are activities that are specifically deemed not to be research. One relevant example:

Scholarly and journalistic activities (e.g., oral history, journalism, biography, literary criticism, legal research, and historical scholarship), including the collection and use of information, that focus directly on the specific individuals about whom the information is collected.

 

A human subject (or participant) is “A living individual about whom an investigator conducting research obtains:

(1) information or biospecimens through intervention or interaction with the individual and uses, studies, or analyzes the information or biospecimens, or

(2) obtains, uses, studies, analyzes, or generates identifiable private information or identifiable biospecimens”

According to Food and Drug Administration (FDA) regulations (21 CFR 50, 56, 312, 812):

If your study is evaluating what FDA considers to be a test article, i.e., biologic, drug (which may include dietary supplements, foods, and other substances), or device (which may include certain software, wearable technology, exercise devices, and other products), your research will be subject to FDA regulation. Proceed here for further details: https://ovpr.uconn.edu/services/rics/irb-2/research-subject-to-fda-regulation/

If you are unsure, complete the ‘Human Subjects Research (HSR) Determination Form’ available here: https://ovpr.uconn.edu/services/rics/irb-2/irb-forms-templates/ and submit in InfoEd for review (see FAQ below “How do I apply…” for more information on InfoEd).

 

NOTE: If your activity does not constitute research involving human participants subject to the UConn HRPP, it does not mean you can initiate the activity; other institutional policies may apply/permissions may be necessary.

OK, my proposed activity constitutes research involving human participants. What’s next?

First of all, you need to know what type of review your activity is going to need. It will either qualify for exemption, expedited, or convened/full board review.

Exemption Review: If all proposed activities fall within 1 or more exemption categories defined in the Common Rule (see 45 CFR 46.104(d)), most reviews will be conducted by an IRB specialist on behalf of the institution (unless the study qualifies for limited IRB review, in which case an IRB member will conduct the review). There are restrictions when the activity involves children and prisoners, so contact the IRB Office (irb@uconn.edu) if these populations are proposed for use. Exempt research is exempt from most of the requirements of the Common Rule, but it is not exempt from the ethical requirements of the Belmont Report, and will be reviewed to ensure that appropriate protections are in place.

Expedited Review: If all proposed activities involve minimal risk, and fall within the federally-defined expedited review categories, the activity is subject to all requirements of the Common Rule, including IRB review. However, since the activity is ‘minimal risk,’ the IRB review can be conducted by one IRB member (as opposed to the full committee). All federally-mandated approval criteria for nonexempt research will need to be met in order for the study to be approved.

Convened/Full Board Review: If the proposed activity does not qualify for exemption or expedited review, the study will be placed on the agenda for the next scheduled IRB meeting. Generally, the board meets on the second Tuesday of each month (with the exception of July and August). Studies determined to require full board review that are received by the first Tuesday of the month will be placed on the agenda. As with studies undergoing expedited review, all federally-mandated approval criteria for nonexempt research must be met in order for the study to be approved.

How do I apply for exemption or approval for my research involving human participants?

The specific materials that must be submitted depend on the type of review required.

For Exemption Review: See Section 5.4 of the SOPs (HRPP SOPs for UConn-Storrs (in process))*

For Expedited and Full Board Review: See Section 11.2.4 of the SOPs (HRPP SOPs for UConn-Storrs (in process)*

The online application is available in UConn’s IRB e-system, InfoEd. All submissions to the HRPP/IRB are done via the  Human Subjects/IRB Module of the UConn InfoEd eRA Portal at https://www.infoed.uconn.edu. See the How to Guide  for more information on using InfoEd, including step-by-step instructions for creating initial IRB protocols and other types of protocol submissions (modifications, requests for continuation/closure, and protocol deviations or unanticipated problem reports). For technical assistance using InfoEd, email era-support@uconn.edu or call 860.486.7944. The eRA Help Desk is staffed Monday-Friday, 8:00 AM – 4:30 PM.

Once I submit my application, what are the possible outcomes of review?

Approval. No further action is needed. You may begin your study.

Modifications Required for Approval. Certain prescriptive conditions must be satisfied before you will receive approval and the ability to begin your study. These conditions can be reviewed by IRB Specialists.

Deferral. This action is taken by the IRB when substantive conditions must be satisfied, or additional information is required in order to render the study approvable. If this outcome is a result of a full/convened IRB review, your response will need to be reviewed by the convened IRB at a subsequent meeting.

Disapprove (Full Board only). This action is taken when the convened IRB determines that the proposed research activity does not satisfy the criteria for approval and that it cannot be modified to render it approvable.

Tabled (Full Board only). This action is taken when the convened IRB cannot review a study on the meeting agenda. For example, quorum for the meeting is lost, or the primary and/or secondary reviewer are not present, or a study document is missing and review cannot be conducted without it (e.g., consent form, protocol, etc.).

Do I need to complete any training before the IRB can approve my submission?

Yes. All study team members must complete training in human research protections before exemption or IRB approval may be granted. Please see https://ovpr.uconn.edu/services/rics/irb-2/citi-training/ for additional information. Training is valid for a period of three years from the date of completion.

What are my responsibilities after I receive IRB approval?

You have several reporting responsibilities after you obtain IRB approval (besides requests for continued approval, where applicable--see FAQ “How long is my exemption or IRB approval good for?" below for details):

  • Since you must conduct your study as it was approved by the IRB, any changes you want to make to it must first receive approval from the IRB before you implement that change. This is accomplished by following procedures outlined in Section 11.6.1 of the HRPP SOPs for UConn-Storrs (in process). The only exception to this requirement is if you must deviate from the protocol to eliminate apparent immediate hazards to the subject. If this occurs, you must report this event to the IRB as soon as possible.

 

  • If an incident, experience, or outcome occurs, or new information comes to light during the conduct of the research that may be an ‘Unanticipated Problem Involving Risk to Subjects or Others’ (UAPs), the event must be reported within five working days following procedures outlined in Section 17.2 of the HRPP SOPs for UConn-Storrs (in process). These are events that meets all of these three criteria:
    • Is unexpected (incident, experience or outcome is not expected (in terms of nature, severity, or frequency); and
    • Is related or possibly related to participation in the research (“reasonable possibility”); and
    • Indicates that subjects or others are at a greater risk of harm (including physical, psychological, economic, or social harm) than was previously known or recognized.

        UAPs can be very important signals regarding promised protections and safety of research subjects. Remember, it may not just be that a previously unknown event has happened; It could be that the event was expected, but it is occurring more severely, and/or at a higher rate, than previously expected. Also note that UAPs do not just encompass physical issues; a stolen laptop that has study data on it may constitute a UAP in that there is an unexpected risk of a breach of confidentiality.

        If you are unsure if an event constitutes a UAP, please feel free to email irb@uconn.edu  and we will set up a time to discuss the event.

         

        • Finally, if you deviate in any way from the study protocol as it was approved by the IRB (e.g., use of the wrong consent form, not conducting all screening procedures before enrollment, skipping or adding study procedures, etc.), you need to submit the details to the IRB within 5 working days following reporting procedures detailed in the HRPP SOPs for UConn-Storrs (in process), Section 18.2.

         

        When you submit any of the reportable events above, the IRB will conduct a review to ensure that the rights and safety of subjects remain protected, and the integrity of the study remains intact. You will be notified of the outcome of the review, and any actions that need to be taken as a result.

        How long is my exemption or IRB approval good for?

        If your study qualifies for exemption, you will receive reminders to complete a short study status report every year by the anniversary of the initial exemption. If you do not reply to these reminders by that anniversary date, your study will be administratively closed, and no further activity involving human participants (including analysis of identifiable data or biospecimens) may be conducted.

        If your study qualifies for expedited review and is not DoJ-funded or subject to FDA regulations, you will receive reminders to complete a short study status report every year by the anniversary of the initial exemption. If you do not reply to these reminders by that anniversary date, your study will be administratively closed, and no further activity involving human participants (including analysis of identifiable data or biospecimens) may be conducted.

        If your study qualifies for full board review, or qualifies for expedited review but is DoJ-funded or subject to FDA regulations, you will receive an approval period that is no longer than one year, and must complete the continuing review process before the expiration date noted on your approval letter. You will receive reminders regarding the need for continuing review, but it remains the Principal Investigator’s responsibility to maintain continued approval with the IRB.  If your approval lapses, even if you’ve submitted your continuing review materials before the expiration date, you must immediately stop all activity involving human participants (including analysis of identifiable data or biospecimens). See Section 11.5.6.1 of the HRPP SOPs for UConn-Storrs (in process) for details concerning management of enrolled subjects during approval lapse.

         

        What should I do if my proposed activity involves non-UConn personnel and/or an external institution?

        Complete the UConn External Reliance Intake Form (found under Supplemental Forms on the InfoEd Submissions, Forms, & Template IRB webpage), then email the completed form to irb-reliance@uconn.edu to initiate IRB assistance with developing a reliance plan tailored to your study. For studies that will include external involvement, it is recommended that researchers contact the IRB as soon as possible in the development stage of the research to minimize delays in the review process.

        For Faculty

        The mission of TCS is to expedite and facilitate the transformation of UConn discoveries into products and services that benefit patients, industry and society.

        TCS and its network collaborate to support technology transfer and venture development based on student and faculty innovation.  We provide services for entrepreneurial training, intellectual property protection, technology licensing, mentorship, business startup, and connections to the investment community.  UConn’s Technology Incubation Program, the University’s business incubator, is part of TCS.

        Working throughout UConn’s 14 schools and colleges, and participating in the state’s ecosystem, TCS is a focal point for the University’s innovation-based activities, particularly for faculty and external entrepreneurs and companies seeking technology partnerships at UConn.  TCS can provide access to university-wide programs supporting innovation and entrepreneurship.

        Tech Transfer Basics – Videos

        Inventions & Patents

        Patents & Publishing

        Inventorship

        Prior Art

        Invention Ownership Flowchart

        Invention Ownership flowchart (click image to view)

        Ownership of Inventions and Creative Works Developed or Authored by University of Connecticut Employees*

        The Office of the Vice President for Research (OVPR) is UConn’s designated receiving office for invention disclosures from faculty members, staff members, students and others working at the university. These disclosures can describe inventions, discoveries or other types of intellectual property, and they can cover patentable, non-patentable, copyrightable and non-copyrightable technologies and creative works. (Please note that software may be patentable as well as copyrightable.)

        The flow chart below consists of questions designed to provide general information to help inventors, authors and other creators of intellectual property understand who owns their inventions and creative works.

        Please note that not every circumstance can be included in a simple flow chart such as this. Nonetheless, this flow chart can serve as a general guide to understanding the ownership of intellectual property developed by university personnel during research and other programs at UConn, whether supported by university funds, federal agencies, non-profit foundations, industrial sponsors or other sources.

        Furthermore, the final determination of who meets the legal requirements to be named an inventor on a patent or to be named an author of a copyrightable creative work depends on the details of the intellectual contributions made during the inventive/creative process that led to a specific invention, discovery or creative work. [Individuals who have questions regarding ownership of inventions and creative works are encouraged to contact the OVPR directly at 860-486-3622.]

        *A university employee is any member of the faculty or staff, including visiting professors, postdoctoral trainees and students paid by the university.

         

        Disclosing Your Invention

        An invention is “the discovery or creation of a new material (either a new manufactured product or a new composition of matter), a new process, a new use for an existing material or any improvements of any of these.” Computer software may also be classified as an “invention.”

        All researchers are required to disclose to UConn all intellectual property that could constitute inventions or copyrighted works.  This is especially important where any portion of the funding comes from the federal government, private foundation or commercial sponsor.  Federal law requires prompt disclosure for federally funded inventions.  If not, UConn, inventors and involved companies could lose very significant rights if disclosures are not promptly made.

        You have an invention.  Now what?

        • Contact TCS when you believe you have a scientific or technical observation with potential commercial or research value.
        • Complete and submit the UConn Invention Disclosure Form or the UConn Software/App Invention Disclosure Form to TCS in sufficient time to file a patent application before publicly disclosing your technology or publishing a manuscript – preferably before submitting the manuscript for publication. Public disclosure includes journal publications, website publications, and presentations at conferences, posters, dissertations, master theses or abstract publications. More generally, it is when the intellectual property is made publicly available and accessible to those skilled in the art to which the invention relates.
        • To avoid risking your patent rights and possibly hindering the opportunity to market your invention, contact TCS before holding any discussions with people outside the UConn community. If a patent application has not yet been filed, TCS will give you a Non-Disclosure Agreement for the parties to sign before you describe your invention to them.
        • On the UConn Invention Disclosure Form, include companies and contacts you believe might be interested in your intellectual property (IP) or who may have already contacted you about your invention. Studies have shown that over 70% of all licenses are executed with commercial entities known by the inventor, so your contacts can be extremely useful.
        • Respond to TCS and outside patent counsel requests. While some aspects of the patent and licensing process will require significant participation on your part, we will strive to make efficient use of your valuable time.
        • Keep TCS informed of upcoming publications or interactions with companies related to your intellectual property.

        The Invention Disclosure Form must be completed as described in the following steps:

        1. Complete the Invention Disclosure Form (Word document) or the UConn Software/App Invention Disclosure Form, as appropriate.
        2. Submit the form to the TCS group by e-mailing the disclosure to mccluskey@uchc.edu
          or mailing a hard copy to:
        Christine McCluskey
        Technology Commercialization Services
        University of Connecticut MC6400
        400 Farmington Avenue
        Farmington, CT 06032

        *In all cases a hard copy of the original signature page must be submitted.

        1. Upon receipt, the Invention Disclosure will be assigned a case number for tracking purposes and an acknowledgement will be sent to you via email.
        2. You will be contacted by the Licensing Director assigned to your invention disclosure within a few weeks after the submission.
        3. The Licensing Director will meet with you to learn more about your invention and begin to evaluate the technology for commercial potential.
        4. The invention will be presented to the TCS committee and will be considered for patenting based on technical merit, patentability, and marketability.
        5. You will be notified of the TCS committee’s assessment of the invention.

         

        If you have any questions please contact us: techcomm@uconn.edu