Guidelines for Research: IRB Review & Submission Process

1. Preparing a New Study The IRB Review Processhttp://research integrity.syr.edu/ Office of Research Integrity and Protections (ORIP)

2. Step 1 Is it Research?

3. Definition of Human Subjects Research as defined in 45 CFR 46.102(e) Research means a systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge. • Systematic investigation-attempts to answer a research question; is methodically driven-collects data in an organized and consistent way; attempts to analyze data or information in some manner; and intends to draw conclusions from the result. • Generalizable knowledge-contributes to a theoretical framework of an established body of knowledge; publication; presentation; workshop; conference; results are intended to inform the field of study; web based publications, etc.

4. Step 3 Is it Human Subjects Research?

5. Definition of Human Subjects Research as defined in 45 CFR 46.102(e) Human subjectmeans a living individual about whom an investigator (whether professional or student) conducting research: • Obtains information or biospecimens through intervention or interaction with the individual, and uses, studies or analyzes the information or biospecimens; or • Obtains, uses, studies, analyzes, or generates identifiable private information or identifiable biospecimens.”

6. Step 4 Which application do I submit for review?

7. The application you submit is dependent upon the category of your research. This is determined by the level of risk to the participant.

8. Categories of IRB Review • Exempt – no/benign risk • Expedited – low/minimal risk • Full Board – high risk

9. Step 5 Preparing your application

10. Exempt Application • Purpose of Research (Rationale or research question) Provide a lay description of the proposed research and the hypothesis to be evaluated. • Approach/Method – Describe the methods that will be used to gather the data. • Procedures - What you will ask participants to do? • Recruitment - Describe how participants will be recruited (learn about participation in the research). • Research instrument – Questionnaire, survey, personal interview and/or focus group guide questions. • Informed consent – Written, Oral and/or Electronic

11. Exempt Consent Form Exempt Consent Form Content: • A statement that clearly explains that the study is research. • A description of the procedures. • A statement that participation is voluntary and that participants can withdraw from the study at any time without penalty. • The contact information of the researcher/s. • For adults-a statement that the participant is age 18 or older. When applicable: • Notification of the potential secondary use of data/biospecimen. • For Internet research add: Whenever one works with email or the Internet there is always the risk of compromising privacy, confidentiality, and/or anonymity. Your confidentiality will be maintained to the degree permitted by the technology being used. It is important for you to understand that no guarantees can be made regarding the interception of data sent via the Internet or by third parties.

12. Exempt Review Process Exempt applications are reviewed by the ORIP Director, Tracy Cromp. Turn around time for review is approximately 5-7 business days. There are no deadlines for exempt applications. Allow a minimum of 4 weeks for the review process. Exempt studies are authorized for a period of 5 years.

13. Expedited/Full Board Application • Purpose of Research (Rationale or research question) Provide a lay description of the proposed research and the hypothesis to be evaluated. • Approach/Method –Describe the methods that will be used to gather the data. Define the procedures - what you will ask participants to do. • Qualifications of the Researchers. CITI training is required. • Characteristics of the participants-including any special populations. • Recruitment – Describe how participants will learn about the research. • Risks-physical, psychological, financial, etc. and the procedures that will be used to mitigate the risks. • Benefits and how those benefits outweigh the risks. • How participant privacy and confidentiality of collected data will be maintained. • Research instrument-Questionnaire, survey, personal interview and/or focus group guide questions. • Informed consent- Written, Oral and/or Electronic

14. Expedited Review Process • Expedited applications are reviewed by the IRB Chair or one of the IRB Co-Chairs and, when deemed necessary, specialists in the field being studied. • Turn around time for review is approximately 7-10 business days. There are no deadlines for expedited applications. Allow a minimum of 4 weeks for the review process. • Expedited studies are approved for the duration of the study; however, this is policy is currently under review. • Continuing renewal is no longer required; instead an Annual Research Status Report will be requested.

15. Full Board Review Process Full board applications must be reviewed at a convened meeting of the IRB with a majority of IRB members in attendance. There is a deadline for full board applications. Full board applications must be received two weeks prior to the scheduled IRB meeting. This is hard deadline. The IRB meets monthly except during the month of July. The meeting schedule is posted on our website.

16. Full Board Review Process Allow a minimum of 8 weeks for the approval process. Full board applications can be approved for up to 365 days from the date of review (unless the IRB determines more frequent review is necessary). Annual continuing review at a convened meeting of the full board is required. Full board studies are renewable for up to 7 years.

17. Informed Consent/Assent Consent is required for all human subject participants 18 years of age or older. Assent is required for allhuman subject participants who are minors (17 years of age or younger) or those considered impaired in their decision making ability. Although you may request a waiver of the documentation of written consent/assent, i.e. electronic or oral consent/assent, you must obtain consent/assent from all participants who will engage in your study.

18. Informed Consent Informed consent is a voluntary agreement to participate in research. It is not simply a document but it is also a process. The goal of the informed consent process is to provide sufficient information so that a reasonable person can make an informed decision about whether to enroll in a study and/or to continue participation. Informed Consent must be obtained from all adults aged 18 or older or the legally authorized representative prior to any engagement in human subjects research.

19. Informed Consent Obtaining consent involves informing prospective participants or the legally authorized representative about their rights and providing them with key information regarding involvement in the research and documenting the process. The consent process should be a dialogue that includes a clear description of the study’s purpose, duration, procedures, alternatives, potential risks, and benefits. Circumstances should allow the prospective participant or the legally authorized representative the opportunity to ask questions and provide sufficient time to consider whether or not to participate. Because consent is an ongoing process, it must be clear that participation is voluntary and that participants have the right to withdraw from the study at any time, not just at the time of initial consent.

20. Informed Consent General requirements for Written, Oral and/or Electronic Consent: • Must begin with a concise and focused description of the purpose for the research (using language at a reading/comprehension level of the targeted population. • Information regarding the procedures. • Descriptions of all research activities, including their purpose and duration. • Descriptions of the types of measures you will use, including an explanation as to who will administer them. • A description of any possible risks and/or discomforts associated with participation and how the risks will be mitigated. • A description of any possible benefits associated with participation. • A description of how the privacy interests of the participant will be protected • A description of how the confidentiality of the data will be maintained. • A description of participant rights including a statement that participation is voluntary. • An explanation of who to contact for answers to pertinent questions.

21. Informed Consent General requirements for Written, Oral and/or Electronic Consent: • Any research activities that involve the collection of identifiable private information or identifiable biospecimens must include one of the following: • A statement that identifiers might be removed from the identifiable private information /biospecimens and after such removal, the information/biospecimens could be used for future research studies or distributed to another investigator for future research studies without additional informed consent from the subject or the legally authorized representative, if this might be a possibility; or • A statement that the subject's information/biospecimens collected as part of the research, even if identifiers are removed, will not be used or distributed for future research studies.

22. Informed Consent Additional Requirements for Written, Oral and/or Electronic Consent when applicable: • A description of any alternatives to participation. • A description of any medium of recording (photographs, audio, video, film) which includes the purpose for the recording, how they will be used, who will have access to them, and the disposition of them when the study is complete. • A description of whether compensation will be offered which includes the method of compensation, how it will be awarded, and how it will be pro-rated if a participant withdraws prior to completion. • Information regarding situations of abuse, abuse or harm and a description of if/when mandated reporting is indicated. • Information regarding legal subpoena. • Information regarding Certificates of Confidentiality. • Information about whether relevant research results will be returned to the participants. • Information about possible commercial profit. • Information about whether research activities will include whole genome sequencing.

23. Step 6 Application submission and review.

24. Completed IRB Application In order to prevent additional delays in the review process a complete IRB application must include: • The finalized versions of all research instruments-questionnaires/surveys/interview guide questions/focus group topics, etc. • All recruitment tools, scripts for direct-face-to-face/telephone/announcements, Internet/social media posts, advertisements, flyers, emails, letters, etc. • All informed consent/assent documents as appropriate. • Any additional forms that may be required, letters of cooperation, international research, research conducted in schools, children, prisoners, genetic research, etc.

25. Amendments Amendments are required whenever anychanges are made to the materials in the original approved protocol. Changes to the protocol, no matter how minor, cannot be implemented prior to IRB review and formal approval of the changes. - Exception: if the change is essential to protect human participants from harm

26. Reminders…. • No human subjects research can be conducted without IRB approval or exemption. • Allow enough time for your application to be approved, it can take up to two months if revisions are needed.

27. Where do I go for help? The Office of Research Integrity and Protections 214 Lyman Hall Phone Number: 315-443-3013 Email: orip@syr.edu Web: http://researchintegrity.syr.edu