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IRB Survival: Part 1. Karen Blackwell, MS, CIP Director, Human Research Protection Program Fall 2008. Today’s Topics. Obtaining approval to conduct research Operations of the KUMC IRB Basic review criteria What, where, and how Special laws about research in Kansas Finding assistance.

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irb survival part 1

IRB Survival: Part 1

Karen Blackwell, MS, CIP

Director, Human Research Protection Program

Fall 2008

today s topics
Today’s Topics
  • Obtaining approval to conduct research
  • Operations of the KUMC IRB
  • Basic review criteria
  • What, where, and how
  • Special laws about research in Kansas
  • Finding assistance
what is an hrpp
What is an HRPP?
  • Human Research Protection Program
  • Integrates all aspects of ethical and safety review for human studies
  • Ensures compliance with federal regulations
  • Educates investigators
the mission of the hrpp
The Mission of the HRPP

To partner with investigators to ensure safe and ethical research

components of the hrpp
Components of the HRPP*
  • IRB - Human Subjects Committee
  • Conflict of Interest Committee
  • Data and Safety Monitoring Board
  • Radiation Safety and Biosafety

*Accredited by AAHRPP September 2007

the hsc office
The HSC Office
  • G006 Sudler
  • Monday – Friday 8:00 a.m. – 4:30 p.m.
  • 913-588-1240
when do these rules apply
When do these rules apply?
  • Research – a systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge.
  • Human Subject - living individual about whom an investigator obtains (a) data through an intervention or an interaction with the individual, or (b) identifiable private information.
examples of human research activities
Examples of Human Research Activities
  • Retrospective chart reviews
  • Database queries
  • Registries of data from clinical care
  • Surveys, focus groups, interviews
  • Observational studies
  • Pilot studies
  • Biomedical or behavioral interventions
  • Generalizable QA/QI projects
basic requirements
Basic Requirements

- Complete Human Subjects Training

- File Conflicts of Interest Disclosure

- Choose one of three application forms

  • Exempt
  • Expedited*
  • Full-Committee*

*Scientific Merit Review is required

scientific merit review
Procedures consistent with sound research

Protection against unnecessary risk for subjects and researchers

Ability to answer the research question

Potentially important results

Options include:


- Other external peer review

- PRMC: for cancer studies

- GAC: for studies at GCRC

- Departmental Review

Scientific Merit Review
how to apply
How to apply

Submit paper and electronic copies of:

  • Application form
  • Protocol (study plan)
  • Investigator’s Brochure
  • Consent form
  • Complete grant (if applicable)
  • Data sheets, surveys, tests, ads,
categories of research
Categories of Research



Full Committee

exempt research that meets one of six federal categories
“Exempt”Research That Meets One of Six Federal Categories
  • Research on normal educational practices
  • Anonymous surveys, low-risk interviews
  • Research on public officials or candidates
  • Existing, anonymous specimens or data*
  • Federal public service programs
  • Taste and food evaluations

*Special Application for Retrospective Chart Reviews


Exempt from...

  • Committee review
  • Annual re-review

Not exempt from…

  • Submission to IRB for determination of status
  • Ethical conduct
  • Prior approval for protocol changes
  • Reports of unanticipated problems
expedited review
Expedited Review
  • Review by chairman or designee
  • Minimal Risk studies that fit at least one of seven federal categories:
    • Certain studies on approved drugs or devices
    • Blood draws
    • Non-invasive collection of specimens
    • Non-invasive procedures
    • Research using clinical data
    • Voice, video, digital, image recordings
    • Research on characteristics or behavior
exempt and expedited projects
Exempt and Expedited Projects
  • No deadlines
  • Submit materials to the HSC office
  • Questions/conditions will be sent by email to the PI, in about five days
full committee review
Full-Committee Review

Projects that do not meet exempt

or expedited criteria

kumc processes
KUMC Processes
  • Human Subjects Committees meets four times per month:
    • 1st and 3rd Tuesdays
    • 2nd and 4th Tuesdays
  • Deadline dates are eight business days in advance (generally Friday at noon)
  • Subsequent reviews will go back to the original committee
what does the hsc do
What does the HSC do?
  • Rights and welfare of participants
  • 8 federal criteria for approval
      • Risks are minimized
      • Risk/benefit ratio is acceptable
      • Selection is equitable
      • Informed consent is sought
      • Informed consent is documented
      • Data is monitored to ensure safety
      • Maintain Privacy and confidentiality
      • Vulnerable subjects protection +
scientific merit review22
Scientific Merit Review
  • Required for all expedited and full-committee projects
  • Options:
    • NIH or other peer review process
    • GCRC Advisory Committee
    • PRMC – for cancer related studies
    • Departmental review (if none of the above)
other compliance requirements
Other Compliance Requirements
  • Conflict of Interest
  • Data and Safety Monitoring
  • Radiation Safety Committee
  • Institutional Research Safety Committee
  • IRB requirements for collaborating sites
  • Requirements for IND/IDE sponsors
special rules in kansas
Special Rules in Kansas
  • Children: < 18 years
  • Limits on research with foster children
  • Hierarchy for Legally Authorized Representatives

- Legal guardian or Durable Power of Attorney for Healthcare Decisions

- Adult or emancipated minor’s spouse (unless legally separated)

- Adult child

- Parent

- Adult relative by blood or marriage

review process
Review Process
  • Conditions of approval are called “provisos”
  • Provisos are emailed within 3 – 4 working days
  • Outcome of review will be:
    • Tabled
    • Deferred
      • Pending issues relate to federal approval criteria
      • Investigator’s response must go back to the committee
    • Conditional approval
      • Minor changes or clarifications
      • Chair review only
    • Approval
common provisos
Common Provisos
  • Lack of congruence between the HSC application, protocol, and consent form
  • Unclear plans for safety monitoring
  • Missing elements in the consent document (please use our templates)
  • Complex language, high reading level
  • Radiation Safety review
when you get your provisos
When you get your provisos…
  • Submit a written response
    • Cover letter to address each proviso
    • Revised protocol, if applicable
    • Revised consent form, if applicable
    • Other information, as requested
  • Call the HSC office with questions
  • Approval will be sent either to the Principal Investigator or the Research Institute
after you get your approval
After you get your approval:
  • Keep accurate records
  • Obtain prior approval for study changes
  • Obtain prior approval for new personnel
  • Report problems
  • Submit continuing review on time
  • Come to us with questions
special issues related to collaborations
Special Issues related to Collaborations
  • Bringing your former research to KUMC
  • Collaborating with external investigators
    • Do your activities constitute human subjects research? (If yes, KUMC must review)
    • What agreements are in place to protect you and the institution?
use of western irb


Use of Western IRB

Available for Phase III or Phase IV multi-

center, industry-sponsored drug or biologic


The KUMC Research Institute will submit on

behalf of investigators

hrpp consultation service
HRPP Consultation Service

Mondays 11 a.m. – 1 p.m.

Wednesdays 11 a.m. – 1 p.m.

Fridays 2 p.m. – 3 p.m.

Other times, as requested

Services offered

- Help in evaluating feasibility and regulatory implications of a proposal

- Pre-review of your draft HSC application, protocol and consent form

- Assistance with answering provisos

- General questions about HSC and other regulatory requirements

hrpp contacts
HRPP Contacts…

HSC Office x1240

Dan Voss (IRB Administrator) x1240

Tom Field (HIPAA Manager) x0940

Karen Blackwell x0942