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. |
(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 |
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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: |
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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. |
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II. | Ethical Principles
Governing Human Subjects Research |
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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. |
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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. |
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B. | This institution
acknowledges and accepts its responsibilities for
protecting the rights and welfare of human research
subjects. |
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III. | Policies |
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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. |
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B. | This institution assures
that before human subjects are involved in research,
proper consideration will be given to: |
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(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. |
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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. |
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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. |
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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
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IRB,
Institution, and Investigator Compliance with 45 CFR 46 |
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I. | Applicability |
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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). |
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Project Title ____________________________________________________ | |||
DHHS Project Number ____________________________________________ | |||
Project Principal Investigator
________________________________________ |
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II. | Institutional
Responsibilities |
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A. | This institution has
complied and will continue to comply with the
requirements of
45 CFR 46 as
specified below. |
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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. |
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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. |
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D. | In addition to the review
and approval of the IRB, this institution has reviewed
and sponsors the project referenced above. |
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III. | IRB Review |
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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. |
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B. | The convened IRB reviewed
and approved the above project. |
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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. |
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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. |
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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. |
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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. |
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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. |
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H. | The IRB shall prepare and
maintain adequate documentation of its activities in
accordance with 45 CFR
46.115. |
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I. | The IRB shall report
promptly to institutional officials and the Office for
Human Research Protection (OHRP): |
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(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. |
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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). |
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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. |
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IV. | Research
Investigator Reporting Responsibilities |
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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. |
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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. |
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C. | Research investigators shall
report promptly to the IRB any unanticipated problems
involving risks to subjects and others. |
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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: |
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- Space Below for DHHS -
DHHS Approving Official
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