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Standard Operating Procedures - Chapter 10OPERATIONS OF THE IRB
Submission of New Applications UMASS provides application forms for new studies through its website. All applications submitted for IRB review are screened in the HRPO for completeness before determining the appropriate review level. A complete submission for IRB review includes the following, when applicable: (1) application form “441”; (2) abstract; (3) informed consent document(s); (4) recruitment materials to include ads, flyers, phone screening procedures, scripts, and/or screening questions; (5) survey instruments; (6) other materials specific to the proposed study (e.g., grant application, investigator’s brochure, sponsor correspondence with a regulatory agency such as the FDA regarding test item risk, etc.); and (7) training certificates. If the application is incomplete or poorly prepared for review, it may be returned to the principal investigator with a request for necessary changes or additional information. The Principal Investigator (PI) may be contacted requesting clarification of study issues prior to IRB review. Once a complete application with supporting documents is received, it is assigned an IRB number that remains with the study. Determination of Review Level The HPA or support personnel, as designated by the Chair, screens the entire application and supporting documents for completeness and forwards to the Chair. Studies are assigned to full board review unless: (1) criteria for an expedited review (45 CFR 46.110) are met (Chapter 10.1 below) or (2) criteria for an exemption review (45 CFR 46.101(b)) are met (see Section 10.1 below). All studies involving the use of investigational drugs, devices, or biologics for which an Investigational New Drug (IND)/Investigational Device Application (IDE) is required, receive full board review. Studies involving prisoners receive full board review unless the study involves minimal risk as defined for prisoner populations, in which case it may receive expedited review. Full Board Review Process
Expedited Review Process The expedited review process is used in accordance with federal regulations for studies that qualify for expedited review. The IRB Chair, or their designees, is responsible for overseeing these reviews. The expedited review process may be used for studies involving no more than minimal risk as indicted in the following examples:
Federal regulations define minimal risk as the “probability and magnitude of harm or discomfort anticipated in the research are not greater in and of themselves than those ordinarily encountered in daily life or during the performance of routine physical or psychological examinations or tests” (45 CFR 46.102(i)). In addition, expedited review cannot be used where identification of the participants and/or their responses would reasonably place them at risk of criminal or civil liability, or be damaging to the participants’ financial standing, employability, insurability, reputation, or be stigmatizing, unless reasonable and appropriate protections are implemented so that risks related to invasion of privacy and breach of confidentiality are no greater than minimal. The Chair or his/her designee(s) review the supporting documentation provided with the application, including the grant, if applicable. The IRB Chair or his/her designee may approve studies as submitted or require modifications prior to approval. They are not empowered to disapprove studies reviewed through the expedited process; in such cases, the study must be submitted for full board review along with the comments and recommendations of the chair or his/her designee. Approved expedited studies are subject to at least an annual review. This information is communicated to the principal investigator in the approval letter. Copies of all sponsored project with expedited review approval letters are forwarded to the Office of Grant and Contract Administration (OGCA). Studies that are reviewed and approved through the expedited process are reported to all IRB members at the next IRB meeting. Exempt Review Process Certain types of research may be found by the IRB to be “exempt” from IRB oversight (45 CFR 46.101[b]). Investigators, however, may not make an independent determination that research is “exempt” from the review process. Only a designated IRB member or qualified staff from the HRPO have the authority to determine if a research study is “exempt” from IRB oversight. The determination can be made only following careful review of a research study. Documentation of verified exemptions will be included in the IRB research study file. The HRPO will communicate the exempt status in writing to the investigator. Exemptions are limited to research involving no more than minimal risk. Research that qualifies for exemption from the requirements must fall within one or more of the six exempt categories:
Exemptions are not available for all kinds of research such as:
Investigators conducting research designated by the UMASS IRB as exempt are required to (1) report any proposed changes in the research activity that may affect the exempt status and (2) obtain IRB review before such changes are initiated, except where necessary to eliminate apparent immediate hazards to the participant. Investigators must also report any unanticipated problems involving risk to participants or others that occur as a result of participation in exempt research. Approval letters listing the approval level and a summary of Principal Investigator responsibilities are forwarded to the PI and OGCA, if sponsored. Investigators are asked to submit a final report to the HRPO upon completion of the study. Length of Approval Approval is granted for a maximum of one year; approval periods requiring more frequent review may be designated when appropriate. For research reviewed by the full board, the period of approval begins on the date of the IRB meeting where approval was granted. Continuing review must occur within 1 year of the date of the convened IRB meeting at which the IRB reviewed and approved the study. For research reviewed by the expedited process, the period of approval is no greater than 365 days from the date of review and approval. Continuing review is the responsibility of the Investigator. The HRPO assists in the process by sending the IRB Continuing/Final Report Form to the principal investigator and/or designated contact person 45 days before the approval expiration date. If the Report has not been received within 14 days of the approval expiration date, another Report form is sent. Research approved previously by expedited review is considered eligible for expedited review at the time of its regular continuing review, if, during the course of the study, the risks have not increased. Studies that were initially reviewed by the full board continue to receive the same level of review unless (1) the full board determines that the study meets the specific criteria for expedited continuing review as outlined in federal regulations; (2) the research is permanently closed to the enrollment of new participants, all participants have completed all research-related interventions, and the research remains active only for long-term follow-up of participants; (3) no participants have been enrolled and no additional risks have been identified; and/or (4) the remaining research activities are limited to data analysis. The IRB Chair or HPA is responsible for these expedited reviews. For research studies requiring continuing review by the full board, the review is scheduled for an IRB meeting held within 30 days of the approval expiration date. A designated IRB member serves as primary reviewer (where possible, the initial primary reviewer is used) for each research study due for continuing review. The primary reviewer has access to the complete IRB study file and reviews the study (including any modifications previously approved by the IRB), Continuing/Final Report, consent form, adverse event listings, any complaints, and any relevant communications from the sponsor. All other IRB members receive copies of the Continuing/Final Report, abstract, Form 441, latest consent form and any other forms that the PI may have included as part of the agenda packet distributed before the meeting. The reviewer summarizes the activity and progress of the study for the IRB and makes a recommendation about re-approval for another time period as defined by the IRB. The IRB votes on each continuing review study. Principal investigators are notified in writing of the decision of the IRB and any requested changes. The IRB provides final renewal approval when all required changes have been made, reviewed and confirmed for approval. The investigator receives a memo indicating type of review, approval expiration date, and a summary of principal investigator responsibilities. If the project is sponsored, OGCA is also sent a copy of the continuation approval. A modification is a request by an investigator to make a change to an already approved study. Investigators must report planned changes in a study and receive approval from the IRB prior to implementing these changes, except where necessary to eliminate apparent immediate hazards to the participants. In the case of changes implemented to eliminate immediate hazards to the participants, the IRB must be notified no later then the next workday. When a principal investigator wishes to modify a study, he or she must submit these modifications to the IRB along with any supporting documentation. Modifications may include, but are not limited to:
Federal regulations permit an IRB to review research modifications through an expedited procedure if the research constitutes a minor change in previously approved research during the period for which approval is authorized. Minor changes include those that: (1) do not change the risk/benefit ratio to a participant; (2) would not change the IRB’s conditions for approval; and (3) would not impact a participant’s decision to remain in the research. The HPA or designated IRB member determines the review level of a modification for an ongoing study based on the amount of risk to the research participant. The IRB Chair, or their designee(s), may review the following types of revisions through an expedited procedure:
Major revisions involving more than minimal risk to the research participant must be reviewed and approved by full IRB. This type of modification reflects a major change in the direction of the study that may substantially change the purpose or goals of the study or may impact a participant’s decision to remain in the research. Examples of major changes with major risks include: changes in the treatment or drug dosage or frequency, additions or deletions of research groups, revisions to eligibility criteria, or changes to the consent form to include newly identified side effects or adverse events. For revisions requiring review by the full board, the HPA reviews the modification and prepares the issue(s) for presentation to the full board. The primary reviewer and other IRB members receive a copy of the study modification, the study summary, consent form, and any other relevant communications from the sponsor or investigator as part of the agenda packet distributed before the meeting at which the modification review is scheduled. Modifications may require the consent to be revised to reflect study changes. Investigators must submit a revised consent form for new (not yet enrolled) participants and a consent form addendum to provide the new information to current (already enrolled) participants, if applicable. The principal investigator receives a memo indicating type of review, approval expiration date, and a summary of responsibilities. 10.4 Revisions Prior to Final Approval Revisions to new and continuing human participant applications may be required. Correspondence is sent to the principal investigator detailing requests for revisions, clarification, or additional information. The principal investigator is expected to address the requested revisions within a given and stated time period, generally 30 to 90 days. If a response is not received within the stated time period, a reminder is sent giving the principal investigator 10 additional business days to respond to the request. If no response is received, the study or proposed modification is withdrawn from consideration. If the principal investigator wishes to conduct a study that has been withdrawn from consideration, he/she must submit a new application or modification request for IRB review and approval. When specific changes are requested in the application and/or supporting document(s), the responses are reviewed for compliance. When the IRB designated reviewer confirms that the final requirements are addressed, the study receives final approval. In instances where substantive revisions are requested during a full board review, the revised documents are returned to the reviewers and other Board members, if requested. Upon final approval, the principal investigator receives a memo indicating the type of review, approval expiration date and a summary of investigator responsibilities. The memo informs the investigators of their responsibility to notify the HRPO of any additions or changes to the study. All investigators are required to submit any changes to the research study to the IRB for review and approval before implementation, except where necessary to eliminate apparent immediate hazards to the participants. 10.5 Rebuttal or Appeal of IRB Decisions Upon written receipt of requested changes, investigators may appeal the IRB recommendations either in person or in writing. If the IRB decides to disapprove a research activity, written notification, including a statement of reasons for its decision, will be provided to the investigator. An appeal of a disapproved research study must be reviewed at a full board meeting. 10.6 Unanticipated Problems Involving Participants Investigators must report unanticipated problems to the HRPO in a timely manner. Significant Adverse Events must be reported within 5 days (see 10.7 below). Any new trend within a protocol, serious or not, should be reported to the IRB as soon as it is noticed and recorded on the Non-Significant Adverse Event Tracking Log (See IRB Guidelines - Adverse Events). 10.7 Adverse Events Involving Risks to Participants Adverse events, including adverse device effects and safety reports, data and safety monitoring board reports, and protocol deviations or violations, are pre-reviewed by a designated IRB member within five working days of their receipt in the HRPO. Reports that indicate minimal risk for research participants are reviewed in an expedited process. All other reports are reviewed by the full board. (See IRB Guidelines - Adverse Events). The IRB has the authority to suspend or terminate approval of human participant research if the adverse event increases the risk level to participants. 10.8 Other Monitoring Activities On-site monitoring is conducted at the discretion of the IRB for both routine audits and for cause. Either an IRB member or a professional staff member from the HRPO acting on behalf of the IRB conducts the monitoring visit. The reasons for a routine on-site review may include (1) a random selection process, (2) complex studies involving unusual levels or types of risks to participants, or (3) studies that involve vulnerable populations, such as children or prisoners. A monitoring visit for cause may occur when (1) a continuing review of a study or report from other sources indicates that changes have occurred without prior IRB approval, or (2) investigators have failed to comply with IRB policies and procedures. The on-site review process may include any or all of the following: (1) discussions with investigators and other study personnel to ascertain their level of knowledge of the guiding principles and policies of the IRB, (2) observation of the recruitment or consent process, (3) examination of previously signed informed consent forms, (4) observation of the research activity, (5) interviews with screened or enrolled participants, (6) examination of research records, (7) requests for progress reports and adverse event reports from investigators, and (8) educational instruction for study investigators and study personnel. The on-site visit procedures may incorporate the following:
A follow-up to the visit may include the following:
The results of each monitoring visit are presented and discussed at the next IRB meeting. Quality improvement will be implemented as needed. Additional guidelines and/or education will be developed when necessary. An on-site monitoring review may involve a thorough review of the informed consent process. This includes: (1) a review of the number of consent forms signed to assess consistency with the number of participants enrolled; (2) confirmation of the use of the most currently approved form; (3) a review of the signed consent forms for all necessary signatures and dates; and (4) a review, including observation if appropriate, of the process of obtaining informed consent with a research participant. When the monitoring is conducted with regard to the consent process, the following occurs:
10.9 Non-compliance Investigations and Actions Under institutional authority and federal regulations [Title 45 CFR 46.103(b)(5), Title 45 CFR 46.113, Title 21 CFR 56.113], IRBs are responsible to oversee the safety of research participants and may suspend or terminate human participant research that: (1) is not being conducted in accordance with federal and institutional requirements, or (2) has been associated with unexpected serious harm to participants. The IRBs are supported in this process by the HRPO. For specific information as to how allegations of non-compliance are handled by the IRBs, please see “Handling of Allegations of Non-compliance” (See Appendix A). 10.10 Monitoring the Use of Protected Health Information (PHI) Information currently being updated. 10.11 Final Reports and Study Closure When a study ends, is closed or canceled for any reason, a Continuing/Final Report Form must be submitted to the HRPO. This form serves as notification to the HRPO that IRB approval of the study is no longer needed. If the principal investigator does not complete a final report by the continuing review expiration date, a memo is sent to the principal investigator (advisor, co-investigators and any other designee) stating that IRB approval has expired and the study is not longer active. This memo includes a reminder that no further human participant research activities may be conducted for the research unless IRB approval is first obtained. Copies of all memos are maintained in the IRB study file. 10.12 Urgent Review of Applications Urgent review procedures may be invoked under limited circumstances (e.g., a principal investigator is faced with an immediate deadline beyond his or her control or a safety issue warrants immediate review). If the Chair and/or HPA permits urgent review of a study, the materials are distributed as soon as possible to IRB members to allow sufficient time for review prior to the meeting. The principal investigator and his/her advisor, if applicable, may be required to attend the meeting, or be available via telephone or videoconference, to answer any questions that arise. A quorum must be met for IRB actions to be taken. Meeting minutes will document the urgent review process.
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