Policies

Policy 101: Maintenance of Policies

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• Purpose: Outlines the process for creating and maintaining OHSP policies.

Policy 102: University of Rochester’s (UR) Human Research Protection Program (HRPP)

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• Purpose: Describes the UR-HRPP program.
• Related resources:
  • UR-HRPP Overview page
  • UR-HRPP Training Requirements page

Policy 103: Organizational Structure of the HRPP

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• Purpose: Describes the administrative structure to support the UR-HRPP.
• Related resources:
  • UR-HRPP Overview page
  • OHSP Organizational Chart

Policy 104: Institutional Conflict of Interest

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• Purpose: Ensures institutional conflicts of interest are identified and managed or eliminated as appropriate within the online IRB review system.

Policy 105: HRPP Emergency Preparedness

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• Purpose: Establishes an HRPP emergency preparedness process within the UR to ensure the protection of the rights and welfare of human subject research subjects in the event of an emergency or disaster situation.

Policy 201: Education Program

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• Purpose: Describes institutional training requirements and educational opportunities for individuals within the UR-HRPP.
• Related resources:
  • Training Overview page
  • Required HSP Training page

Policy 301: RSRB Scope and Authority

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• Purpose: Defines the role and responsibilities of the University’s Institutional Review Board (IRB).
• Supporting guidelines:
  • Determining Engagement in Research
  • Determining Human Subject Research
• Related resources:
  • Overview of the IRB page
  • Scope of the IRB page
  • Research vs QI Determination Checklist

Policy 302: RSRB Membership and Composition

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• Purpose: Describes the composition of the IRB and the role/responsibilities of the IRB members.
• Supporting guidelines:
  • Board Member Terms of Appointment, Evaluation and Re-Appointment
• Related resources:
  • Membership of the IRB page

Policy 303: Board Member Conflict of Interest

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• Purpose: Ensures real or perceived conflicts of interest of IRB Chairs, Vice Chairs, and Members are identified and managed.

Policy 401: Functions of the RSRB Office

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• Purpose: Describes the operations of the IRB administrative office.

Policy 402: RSRB Meetings

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• Purpose: Describes the procedures for preparation, conduct and review determinations of IRB meetings.

Policy 403: Notification of RSRB Determinations

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• Purpose: Describes the process for communicating IRB determinations to Investigators, University personnel, and regulatory bodies.
• Supporting guidelines:
  • • Notification of RSRB Determinations
• Related resources:
  • IRB Review Process page

Policy 404: Criteria for RSRB Approval of Research

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• Purpose: Describes the criteria for approval of research that will be followed by the IRB.
• Related resources:
  • IRB Review Process page
  • Criteria for IRB Approval Guide

Policy 405: HRPP Maintenance of Records

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• Purpose: Describes the requirements and procedures for maintaining adequate documentation of IRB activities.

Policy 501: Levels of RSRB Review

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• Purpose: Describes the review levels assigned to an application by the IRB based on risks posed to the subjects by research activities.
• Supporting guidelines:
  • Exempt Status Determination
  • Expedited Review of Research
  • Convened Board Review of Research
• Related resources:
  • IRB Review Process page

Policy 502: Types of RSRB Submissions

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• Purpose: Describes the types of submissions received and reviewed by the IRB and the materials required for review.
• Related resources:
  • Click IRB Resources page
  • IRB Review Process page

Policy 503: Ancillary Committee Reviews

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• Purpose: Describes the institutional committees that review research activities, in addition to the IRB.
• Supporting guidelines:
  • Ancillary Committee Contacts

Policy 504: IRB Reliance and Collaborative Research

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• Purpose: Establishes the requirements when University of Rochester (URochester) researchers collaborate with an unaffiliated institution(s) or Investigator(s) to ensure URochester ethical, regulatory and institutional requirements for the protection of human subjects are met.
• Supporting guidelines and forms
  
  • • IRB Fee Structure
    • IRB Reliance Request Form
    • When the University of Rochester is the Reviewing IRB
    • Single IRB Plan in a NIH Grant Application
    • PI Oversight for Multi-Site Research
    • HRP Review Form When Relying on External IRB
    • When the University of Rochester Relies on a Non-University of Rochester IRB
    • Guideline for Review of External (Non-UR) Investigators

Policy 505: Departmental Scientific and Resource Review

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• Purpose: Establishes the requirements and process for departmental scientific review of research protocols.  Includes a link to the “Scientific Review Standards Checklist” that may be used for documenting scientific review determinations.
• Supporting guidelines and forms
  • Scientific and Resource Review of Human Subject Research
  • Scientific and Resource Review Checklist

Policy 506: Data and Safety Monitoring

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• Purpose: Establishes the requirements for a Data and Safety Monitoring Plan in research involving human subjects.
• Related resources:
  • Data and Safety Monitoring Plan page

Policy 601: Research Involving Children

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• Purpose: Defines the ethical and regulatory considerations required by the IRB when reviewing research involving children, and to indicate when consent, permission and assent of the subject is required.
• Supporting guidelines:
  • Assessing Capacity to Consent in Children
  • SADCR Review of Research Involving Children

Policy 602: Research Involving Pregnant Women, Human Fetuses and Neonates

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• Purpose: Defines the ethical and regulatory considerations required by the IRB when reviewing research involving pregnant women, human fetuses, and neonates.

Policy 603: Research Involving Prisoners

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• Purpose: Defines the ethical and regulatory considerations required by the IRB when reviewing research involving prisoners.

Policy 604: Research Involving Adults with Decisional Impairment

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• Purpose: Defines the ethical and regulatory considerations required by the IRB when reviewing research involving adult subjects who may be decisionally impaired and unable to make an informed decision regarding participation in research, and to identify the circumstances when the IRB may permit use of a legally authorized representative.  Includes a link to the “Research Proxy Template”.
• Supporting guidelines and forms:
  • Assessing Consent Capacity in Adults with Decisional Impairment
  • Institutional Review of Research Involving Adults with Decisional Impairment
  • Research Proxy Form

Policy 605: Research Involving FDA Regulated Drugs, Biologics, and Supplements

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• Purpose: Outlines the responsibilities and regulatory requirements when conducting FDA regulated research that involves the use of drugs, agents, biological products, or nutritional products.

Policy 606: Research Involving FDA Regulated Devices

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• Purpose: Outlines the responsibilities and regulatory requirements when conducting FDA regulated research that involves the use of devices.

Policy 607: Emergency Use of Investigational Drugs, Biologics and Medical Devices

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• Purpose: Establishes the requirements for the emergency use of investigational products. See additional links for emergency use checklists and reporting forms.
• Supporting guidelines and forms:
  • Emergency Use Physician Checklist
  • Emergency Use Report to IRB
  • Emergency Use Follow-Up Report to IRB

Policy 608: Research Involving Genetic Testing and Gene Transfer

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• Purpose: Outlines additional protections required by New York State when research involves genetic testing (as defined by NYS), and the additional requirements when conducting research involving gene transfer.
• Supporting guidelines and forms:
  • Guideline on Requirements for Genetic Testing Research
  • Internal Review of Human Gene Transfer Research
  • Human Genomic Data Sharing and Institutional Certification

Policy 609: Research Supported by the Department of Defense

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• Purpose: Outlines additional federal regulatory requirements when conducting Department of Defense supported research.
• Supporting guidelines and forms:
  • Checklist for IRB Review of Research Supported by the DoD

Policy 701: Informed Consent

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• Purpose: Describes requirements for Investigators to obtain informed consent and to document the consent process, including requests for waivers or alterations of consent, and the requirements for the IRB to evaluate the consent process.
• Supporting guidelines:
  • Informed Consent
• Related resources:
  • Consent Overview page
  • Documentation of Consent page
  • Enrolling Non-English Speaking Subjects page

Policy 702: HIPAA Privacy Rule

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• Purpose: Ensures University of Rochester research activities comply with the standards for protection of health information under the HIPAA Privacy Rule.

Policy 703: Recruitment Materials and Subject Payment

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• Purpose: Describes the requirements and mechanism for IRB review and approval of research recruitment materials, as well as methods for subject payment.
• Supporting guidelines
  • Recruitment Methods and Materials
  • Payment to Subjects to Recruit Other Subjects (Peer Recruiters)
  • Subject Payment
  • Accounts Payable Research Subject Payments Policy & Procedures
  • Participant Payments Website

Policy 704: FERPA and PPRA in Human Subject Research

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• Purpose: Describes the requirements for research involving students and/or is conducted in an educational setting; applies to all research conducted within local Pre-Kindergarten – grade 12 schools /school districts, undergraduate, and graduate education.

Policy 801: Unanticipated Problems Involving Risks to Subjects or Others

• Policy 801: Unanticipated Problems Involving Risks to Subjects or Others

Policy 802: Deviations

• Policy 802: Deviations

Policy 803: HRPP and Non-Compliance

• Policy 803: HRPP and Non-Compliance

Policy 804: Administrative Hold, Suspension, and Termination of Research

• Policy 804: Administrative Hold, Suspension, and Termination of Research

Policy 805: Institutional Reporting Procedures

• Policy 805: Institutional Reporting Procedures

Policy 806: Protection of Research Participants

• Policy 806: Protection of Research Participants

Policy 807: Research Complaints and Concerns

• Policy 807: Research Complaints and Concerns

Policy 901: Investigator Responsibilities

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• Purpose: Describes the responsibilities and requirements of the Principal Investigator to ensure research is conducted in accordance with federal regulations and University policies and guidelines. Includes links to related summary sheets of responsibilities.
• Supporting guidelines:
  • Exempt Responsibilities Summary Sheet
  • Non-FDA Regulated Responsibilities Summary Sheet
  • FDA-Regulated Responsibilities Summary Sheet
  • Investigators Leaving the Institution
  • De-Identification of Data for Publishing/Presentation

Policy 902: Investigator Conflict of Interest

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• Purpose: Ensures Investigator financial interests and financial conflicts of interest are identified and managed or eliminated, as appropriate, within the RSRB review system.