uconn

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.

 

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.

 

UPDATE – January 30, 2026

The IACUC is currently updating the initial training and format to facilitate more timely completion by researchers. Until this updated online training is available, all new researchers must complete the “Working with the IACUC” Collaborative Institutional Training Initiative (CITI) Program course (www.citiprogram.org).

Instructions for CITI:

  1. Log in to the CITI program site (citiprogram.org) user your Institutional login credentials. You must select “Log In Through My Institution” and “UConn – Storrs & Regional Campuses”, and then enter your NetID and password.
  2. Select “My Courses” and scroll down towards the bottom of the page and click on “Add a Course”.
  3. Chek the box for “Animal Care and Use” courses.
  4. Select and complete the “Working with the IACUC” course.
  5. Other courses are optional and can be completed to fulfill the annual refresher training requirement (see below).

NOTE: IACUC Staff are automatically notified of completion of CITI courses. Thus, you do not need to email your completion certificate to the IACUC office. However, please contact the office with any questions (iacuc@uconn.edu).

 

Retraining Options

The IACUC requires retraining for all animal users.  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 CITI course. Currently, the course modules that will qualify for researcher retraining include (see above for CITI instructions and in step 4, select a course option below):
    • 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 a special seminar session offered by the IACUC office or Animal Care Services. Note: For a session to qualify as IACUC retraining, it must be indicated and approved as such by the IACUC office prior to attendance.
  3. 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.  Note: For a session to qualify as IACUC retraining, it must be indicated and approved as such by the IACUC office prior to attendance.

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 IACUC members and members typically serve three-year terms. If you are interested in serving on the IACUC, please contact the Director of Research Compliance at iacuc@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 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
Wednesday, December 17, 2025
Wednesday, January 21, 2026
Wednesday, February 11, 2026
Wednesday, March 11, 2026
Wednesday, April 8, 2026
Wednesday, April 22, 2026
Wednesday, May 13, 2026
Wednesday, June 17, 2026
Wednesday, July 15, 2026
Wednesday, August 19, 2026
Wednesday, September 9, 2026
Wednesday, October 7, 2026
Wednesday, October 21, 2026
Wednesday, November 10, 2026
Wednesday, December 9, 2026

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.

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.

 

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.

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.

UConn has maintained full accreditation with AAALAC International since 2010. Our last full accreditation was given March 25, 2025. For more information about AAALAC and the accreditation process, please visit https://www.aaalac.org/.

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: