Office of Research Affairs
Compliance
and Research Protection News
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Spring 2003
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Volume 1, Issue 2
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It doesn’t feel much like spring outside but change is in the air and the compliance world is no exception as we as a campus keep up with changes in the laws and regulations that impact research. We must be in compliance with the Health Insurance Portability and Accountability Act (HIPAA) on April 14 and the Patriot Act and Response Act have a series of deadlines for compliance through 2003.
Since the winter newsletter we have reorganized our protocol management system for researchers who work with human subjects, animals or recombinant DNA. This will help us stay on top of the oversight activities that are required by the many federal agencies that in turn oversee our research activities as a campus.
In this issue we report on information sources and procedures we are putting in place so that UMass and its researchers will be in compliance with the new HIPAA regulations that come into effect on April 14. A new compliance web site is still in the works but in the meantime we have added new HIPAA materials to our current web site and are adding new web pages for Research Ethics and Responsible Conduct of Research. And if spring is almost here it must be time for the IACUC’s semi-annual round of inspections.
Please forward this newsletter to your colleagues and associates.
If you wish to be removed from this mailing list please contact Hilary Woodcock at the above email/phone.
email:
hilaryw@ora.umass.edu
voice: 413-577-0387
Protocol Management
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Does your research require getting a protocol approved by one or other of the compliance committees on campus? If so you might have noticed some different faces, or at least email identities, in the administrative loop. Barbara Miller has taken over much of the protocol management for the IACUC for research using animals. Nancy Swett is the point person for the IRB in managing human subjects protocols. Lisa Lipshires is working closely with Val Steinberg and the IBC to manage recombinant DNA protocols.
One size really doesn’t fit all when it comes to protocol management. On this campus we must review protocols for three areas of research – research using human subjects, research using animals, and research using recombinant DNA. Each research area has its own history of oversight, legislative history, source of regulations and guidelines, style of regulations and guidelines, kinds of review levels, and requirements for its oversight committee.
Barbara, Lisa and Nancy have each had different problems to work out, different information to store and access, and different procedures to adjust to. Perhaps one day we will have a comprehensive electronic protocol management system that is sophisticated enough to deal with the 500 or so protocols of various kinds that are currently reviewed and processed on this campus. In the meantime the folk in the Office of Research Affairs are putting a smooth and efficient system in place to manage and track your protocols.
Biosafety and a National Survey
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The results of a national survey of Institutional Biosafety Committees, in which we participated, are out. The goal of the survey was to “shed light on how IBCs function” and it is interesting to compare our IBC operations with national trends. At around 30/yr., our annual total of rDNA protocols reviewed is about average. Our IBC members represent a wide range of expertise compared with IBCs nationally.
At present most institutions responding to the survey reported that they do not provide formal training for their IBC members even though this is strongly recommended. Val Steinberg will address this by making a short presentation to the IBC members on selected topics at future meetings.
The Patriot Act and the Response Act
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After September 11, 2001 Congress has been enacting legislation to combat terrorism. So far this has produced two laws, the USA Patriot Act and the Public Health Security and Bioterrorism Preparedness and Response Act of 2002. Both laws restrict access to certain biological agents and toxins and have set a series of deadlines for institutions to comply with the various provisions of these acts. Don Robinson and Val Steinberg at Environmental Health and Safety are making sure UMass complies with these deadlines.
The Patriot Act provides that “Restricted Persons” may not possess or access agents on the list of “Select Agents”. The list of categories defining “restricted persons” includes alien-nationals from Cuba, Iran, Iraq, Libya, North Korea, Sudan and Syria. People from these countries who were lawfully-admitted to the United States for permanent residence are, however, excluded from this restriction.
The Public Health Security and Bioterrorism Preparedness and Response Act of 2002 requires that agencies and institutions limit access of Select Agents to “only those individuals the registered [facility] determines have a legitimate need to handle or use” them. This act also requires that each facility identify its personnel with access to Select Agents and the names must be forwarded to the Attorney General to conduct a background review.
IACUC Inspections
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It is semi-annual inspection time again for the Animal Care and Use Committee. Every six months the Office of Laboratory Animal Welfare requires that the IACUC members inspect all the animal care and use areas on this campus as well as satellite facilities.
In the next few weeks IACUC members will be checking for good housekeeping standards and record-keeping, out of date drugs, and the general state of the facilities. In these inspections the IACUC follows the same procedures as the USDA inspector who from time to time drops by to inspect our facilities. If the IACUC finds areas in a lab that need improvement they will let the researcher know so the problem can be addressed.
Like just about all the activities for which the IACUC is responsible, these inspections have two main goals. The first is to ensure that animals used for research on this campus are housed, cared for, handled and treated so as to maximize their general comfort and welfare and minimize their discomfort and distress. The second is to ensure that, as a campus, we are in compliance with the many regulations that govern animal care and use in research.
HIPAA Update
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The April 14 deadline for us to be in compliance with HIPAA is fast approaching. As an institution we are a “hybrid entity”, with University Health Services the only “covered entity” under HIPAA – a place where protected health information (PHI) is generated, and stored and transmitted electronically. But although HIPAA and the regulations spelled out in the Privacy Rule only apply to “covered entities” they will still impact you as a researcher if you need access to your subjects’ PHI. There is an excellent review titled “Impact of the HIPAA Privacy Rule on Academic Research” published by the American Council on Education (ACE). If your research will be impacted by HIPAA it is well worth reading this. You can download it from the ACE web site at http://www.acenet.edu/washington/policyanalysis/HIPAA.pdf.
If you are affected by HIPAA, on and after April 14 you will need signed authorization from your research subjects that will permit a specified covered entity to disclose your subjects’ PHI to you. There are strict guidelines governing the wording and content of an authorization. You will find guidance on whether HIPAA applies to your research, whether your research is grandfathered under HIPAA, an authorization form template, an application for a waiver of authorization and much more in the HIPAA FAQs at http://www.umass.edu/research/comply.html#06.
If you will be recruiting subjects on or close to April 14 and need access to your subjects’ PHI you should starting working with the IRB now to create an authorization form and get it approved by the IRB as a modification of your current protocol. If you don’t find the information you need on the web site contact Hilary Woodcock at 7-0387 for help.
Research Ethics and the Responsible Conduct of Research
There is a general feeling
that providing training in RCR and research ethics, which is currently only
required for graduate students supported by NIH training grants, is the wave of
the future. It is likely that we will eventually be required by law to provide
such training.
In the meantime, the
Graduate Council’s Ethics of Research and Professional Ethics committee is
surveying graduate students to determine their perceptions of their needs for
research ethics training, and is organizing a conference in October to discuss
ethics issues. The committee is currently soliciting proposals for awards of up
to $10,000 to develop instructional tools and courses in research ethics. The
deadline for receipt of proposals is April 11.
By the beginning of April we
will have new RCR and research ethics web pages at
http://www.umass.edu/research/comply.html. These pages will include links to
instructional resources, regulations and guidelines, private organizations,
literature, case studies, and specific research areas like animal use, human
subjects research and conflict of interest. Other pages will cover more general
topics like data management, publication, mentoring, and research misconduct.
This is all courtesy of the
University of California at San Diego which has allowed us to adapt their web
pages to our needs. If you can’t wait for the UMass version you can check out
UCSD’s materials now at
http://ethics.ucsd.edu/ and
http://rcr.ucsd.edu. We are very grateful to UCSD because an enormous
amount of effort and expertise went into pulling those materials together.
email:
hilaryw@ora.umass.edu
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voice: (413) 577-0387
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