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IMPORTANT: CONSULT OHRP BEFORE SUBMISSION.
OHRP CANNOT ACCEPT UNSOLICITED ASSURANCES.

THIS IS A SAMPLE SINGLE PROJECT ASSURANCE (SPA) FOR AN
INSTITUTION WHICH CURRENTLY DOES NOT HAVE A MULTIPLE PROJECT
ASSURANCE (MPA) ON FILE WITH OHRP.


FULL IRB REVIEW REQUIRED OF IRB

Using this Sample, type on Institutional Letterhead, supplying where indicated, information specific to the proposed research activity and your Institution, and include required certification on the endorsement page.

click here to view common errors in SPA preparation


(Name of Institution)

Assurance of Compliance with DHHS regulations for
Protection of Human Research Subjects


(Name of Institution)                                          , hereinafter known as the "institution", hereby gives assurance that it will comply with the Department of Health and Human Services (DHHS) regulations for the protection of human research subjects ( 45 CFR 46) as specified below.

PART 1

Ethical Principles and Institutional Policies Governing
Research Involving Human Subjects

I. Applicability

Except for research exempted or waived under the DHHS regulations 45 CFR 46.101, Part 1 of this Assurance applies to all research involving human subjects, and all other activities which even in part involve such research, regardless of whether the research is otherwise subject to federal regulation, if:

  a. the research is sponsored by this institution, or
  b. the research is conducted by or under the direction of any employee or agent of this institution in connection with institutional responsibilities, or
  c. the research is conducted by or under the direction of any employee or agent of this institution using any property or facility of this institution, or
  d. the research involves the use of this institution's nonpublic information to identify or contact human research subjects or prospective subjects.

II. Ethical Principles Governing Human Subjects Research

This institution is guided by the ethical principles regarding all research involving humans as subjects as set forth in the report of the National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research entitled, Ethical Principles and Guidelines for the Protection of Human Subjects of Research (the "Belmont Report") and as specified below.

  A. This institution recognizes the principles of respect for persons, beneficence (including minimization of harms and maximization of benefits), and justice as stated in the Belmont Report and will apply these principles in all research covered by this Assurance.

  B. This institution acknowledges and accepts its responsibilities for protecting the rights and welfare of human research subjects.

III. Policies

  A. This institution acknowledges that it and it's investigators bear full responsibility for the performance of all research covered by this Assurance, including full responsibility for complying with Federal, state and local laws as they may relate to such research.

  B. This institution assures that before human subjects are involved in research, proper consideration will be given to:

    (1)
(2)
(3)
(4)
(5)
(6)

the risks to the subjects,
the anticipated benefits to the subjects and others,
the importance of the knowledge that may reasonably be expected to result,
the informed consent process to be employed,
the provisions to protect the privacy of subjects, and
the additional safeguards for vulnerable populations.

  C. This institution recognizes the need for appropriate additional safeguards in research involving subjects who are likely to be vulnerable to coercion or undue influence such as children, prisoners, pregnant women, mentally disabled persons, or economically or educationally disadvantaged persons.

  D. This institution encourages and promotes constructive communication among the institutional officials, research administrators, department heads, research investigators, clinical care staff, human subjects, and all other relevant parties as a means of maintaining a high level of awareness regarding the safeguarding of the rights and welfare of the subjects.

  E. This institution will exercise appropriate administrative overview carried out at least annually to assure that its practices and procedures designed for the protection of the rights and welfare of human subjects are being effectively applied.

Part 2


IRB, Institution, and Investigator Compliance with 45 CFR 46

I. Applicability

  Part 2 of this Assurance applies to the following research project which is conducted or sponsored by this institution and supported by the Department of Health and Human Services (DHHS).
  Project Title ____________________________________________________
  DHHS Project Number ____________________________________________
  Project Principal Investigator ________________________________________

II. Institutional Responsibilities

  A. This institution has complied and will continue to comply with the requirements of 45 CFR 46 as specified below.

  B. In accordance with the compositional and quorum requirements of 45 CFR 46.107 and 46.108, the Institutional Review Board (IRB) designated in Part 3 and in the attached roster is responsible for the initial and continuing review of this project.

  C. This institution has provided and will continue to provide both meeting space for the IRB and sufficient staff to support the IRB's review and record keeping duties.

  D. In addition to the review and approval of the IRB, this institution has reviewed and sponsors the project referenced above.

III. IRB Review

  A. The IRB shall review, and have the authority to approve, require modification in, or disapprove this research activity or proposed changes in it before human subjects may be involved.

  B. The convened IRB reviewed and approved the above project.

  C. The IRB determined, in accordance with the criteria found at 45 CFR 46.111, and where applicable, 45 CFR 46 Subparts B, C, and D, that protections for human subjects are adequate.

  D. The IRB has the authority to suspend or terminate approval of the above referenced research in accordance with 45 CFR 46.113 for (1) non-compliance with 45 CFR 46, and this Assurance document or the IRB's requirements, and (2) for elimination of unexpected serious harm to subjects.

  E. The IRB has determined that legally effective informed consent [copy of document must be attached unless specified otherwise by OHRP] will be obtained in a manner and method which meets the requirements of 45 CFR 46.116 and 46.117.

  F. Certification of IRB approval, at least annually shall be submitted to the DHHS awards unit that issued the award, as a condition for receipt of funds for a non-competing continuation and/or additional involvement of human subjects.

  G. Continuing reviews by the IRB shall be conducted at intervals appropriate to the degree of risk, but not less that once per year. 45 CFR 46.109 [e]). The IRB may be called into an interim review session by the Chairperson at the request of any IRB member or Institutional Official to consider any matter concerned with the rights and welfare of any subject.

  H. The IRB shall prepare and maintain adequate documentation of its activities in accordance with 45 CFR 46.115.

  I. The IRB shall report promptly to institutional officials and the Office for Human Research Protection (OHRP):

    (1) any serious or continuing noncompliance by investigators with the requirements of the IRB,
(2) any suspension or termination of IRB approval, and
(3) any unanticipated injuries or problems involving risks to subjects or others.

  J. Where appropriate, the IRB will determine that adequate additional protections are ensured to fetuses, pregnant women, prisoners, and children as required under Subparts B, C, and D of 45 CFR 46. The IRB will notify OHRP promptly when IRB membership is modified to satisfy the requirements at 45 CFR 46.304 and when the IRB fulfills its duties under 45 CFR 46.305 (c).

  K. The IRB will comply fully with the requirements of all applicable Federal policies and guidelines, including those concerning notification of sero-positivity, counseling, and confidentiality of subjects.

IV. Research Investigator Reporting Responsibilities

  A. Investigators acknowledge and accept their responsibility for protecting the rights and welfare of human research subjects and for complying with all applicable provisions of this Assurance and 45 CFR 46.

  B. Research investigators shall reports promptly to the IRB proposed changes in this research activity and the changes shall not be initiated without IRB review and approval except where necessary to eliminate apparent immediate hazards to the subjects.

  C. Research investigators shall report promptly to the IRB any unanticipated problems involving risks to subjects and others.


Part 3

Certification of IRB Approval and Institutional Endorsement

Project Title ________________________________________________________________________

DHHS Project Number ________________________________________________________________

Project Principal Investigator ____________________________________________________________

Date of IRB Approval ______________(if any)  

Date of Next Scheduled IRB Review _______________

The officials signing below assure that the project referenced above was approved by the IRB on the date indicated and that the project will be conducted in accordance with the requirements of Part 46, Title 45 of the Code of Federal Regulations and this Assurance document. A dated roster listing the current membership of the designated IRB is attached.

As appropriate, the officials signing below further assure that for each protocol in this project for which IRB approval was not possible due to delayed onset of subject involvement, the IRB's institution will provide a copy of the IRB-approved protocol, IRB-approved consent language, and documentation of IRB certification (Optional Form 310), including the applicable Assurance number, to OHRP for approval prior to accrual of human subjects.

I. Authorized Official of the Institution Providing this Assurance
 
Signature ___________________________________ Date: ________________

Please type the following items.

  Name and Title:
Institution:
Address:

  Telephone: Fax: E-mail:

II.   Authorized Official of the Institution with the IRB
(Include only if different from the institution above)

This institution authorizes the designation of its IRB for review of the project referenced in this Assurance.

  Signature: _________________________________________ Date: ________________

Please type the following items.

  Name and Title:
  Institution:
  Address:

  Telephone: Fax: E-mail:


III. IRB Chairperson (Must be completed in all cases [see IRB membership list])

  Signature: _________________________________________ Date: ________________

Please type the following items.

  Name and Title:
  Institution:
  Address:

  Telephone: Fax: E-mail:

MPA Number if applicable: __________________

IV. Responsible Project Investigator at Institution Providing this Assurance

  I have attached copies of all OHRP requested and IRB approved Informed Consent Documents to be used in this project unless the designated IRB operates under an OHRP-approved Multiple Project Assurance (MPA) or unless OHRP has indicated otherwise.

  Signature: _______________________________________ Date: __________________

Please type the following items.

  Name:
  Title:
  Institution:
  Address:

    Telephone: Fax: E-mail:

**********************************************************************************************************

- Space Below for DHHS -


All parts of this Assurance are in compliance with the requirements of Part 46, Title 45, of the Code of Federal Regulations.

 DHHS Approving Official


Signature: ____________________________________________ Date: ___________________

Name:
Address: Division of Assurances and Quality Improvement
Office for Human Research Protections (OHRP)
The Tower Building
1101 Wootton Parkway, Suite 200
Rockville, Maryland 20852
Rockville, Maryland 20852 (Courier Only)

 Telephone #:  301-496-7005
  Fax #:  301-402-0527
  E-mail address:
ASSURANCE NUMBER S- __________________

An application for new or competing support for continuation in which human subjects will be involved will require a new and separate Assurance, unless the activity is exempt under section 45 CFR 46.101 (b).



For the Institutional Review Board (IRB) Membership Roster see: Institutional Review Board Members



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Updated August 28, 2002