University of Connecticut University of UC Title Fallback Connecticut


Eligibility for Principal Investigator (PI) Status

UConn employees serving in the following capacity are eligible for PI status:

  • Principal Investigators are University employees (permanent, temporary, post-doc) who direct the activities of a research laboratory and/or project within a research group.
  • Principal Instructors are University employees who oversee the activities of teaching laboratories and/or individual undergraduate student projects.
  • A Laboratory Supervisor is a University employee who works for a PI as a technician or assistant responsible for daily laboratory functions.

Approval Term

Each registration shall be active for a maximum period of three (3) years. At the end of this three year period, the registration expires.  As a courtesy, PIs will be notified by e-mail in advance of the expiration date.

Overlap with Other Compliance Committees

If there is a need for review by multiple compliance committees (e.g., IRB, SCRO and IACUC), the IBC will work with the other committees to ensure those approvals are in place.  IBC approval does not supersede or waive the requirement for independent review by other research compliance committees.

Amendments/Modifications to Approved Registrations

A PI may amend/modify their approved registration.  Requests for amendments must be submitted to the IBC for review prior to the initiation of new experimental activities.  Please note that research activities involving RG2 organisms as a host-vector systems, cloning RG2 DNA into non-pathogenic bacteria, infectious DNA or RNA viruses and recombinant experiments with animals or plants must not begin until the committee has reviewed and approved this amendment. An exception may be made when the changes are necessary to eliminate apparent immediate hazards to human health or the environment.

Amendments/Modifications include but are not limited to changes in experimental activities (new microorganisms, host-vector systems, transgenic animals, etc.), biosafety level, project location, and procedures.

Revisions such as additions/deletions in research elements, microbes utilized, and/or laboratory location or room updates will be requested by using the IBC Amendment Form. Please note supplementary questions may be required for the addition of biological materials. If necessary PIs will be notified.

The procedures for approving amendments are the same as those described above for new registrations with the exception that minor changes that do not affect the originally assigned biosafety level, risk group, or NIH classification may be administratively approved by the IBSO with notification to the IBC Chair.

Annual Review

Annually, PIs will receive an email for their approved IBC Registration(s), requiring them to complete an Annual Review Form. This form helps the PI remain compliant and aids in determining if major changes have been made. PIs that are selected for Post Approval Monitoring (PAM) during their annual review period, will not receive an email, but will complete the survey during their laboratory audit.

Management of Registrations Containing Proprietary Information

When the IBC reviews registrations containing proprietary information, a conflict may exist between this proprietary information and the Freedom of Information Act.  The State of Connecticut requires University records be open to the public.

To resolve the conflict, investigators shall provide written documentation to justify any confidentiality request or claim.  The investigator will submit a written justification along with the IBC registration specifying that proprietary information is contained in the application.

Types of information which may be considered proprietary:

  • New and/or novel ideas. If so specified in a written contract or agreement.
  • New commercial uses of a process, device, or chemical.
  • Potentially patentable items.

The above list is not inclusive. When questions arise relating to specific guidelines or matters which may be unclear, investigators should contact the Office of Economic Development, Technology Partnership & Licensing (TPL) group.

The registration will be discussed in closed/executive session.

Only those portions of the registration identified in the approved written justification will be considered proprietary and as such kept confidential. Following the executive session, the IBC will reconvene in open meeting for the purpose of a formal vote on any actions conducted during the executive session.