Research and Development Committee SOP1

North Florida/South Georgia Veterans Health System Research Service

STANDING OPERATING PROCEDURES

Research and Development Committee

Contents

1.PURPOSE

2.BACKGROUND

3.DEFINITIONS

4.SCOPE

5.RESPONSIBILITIES OF THE NF/SGVHS MEDICAL CENTER DIRECTOR

6.RESPONISBILITIES OF THE CHIEF OF STAFF (COS)

7.RESPONSIBILITIES OF THE ACOS FOR R&D (ACOS/R&D)

8.ADMINISTRATIVE OFFICER FOR R&D (AO/R&D)

9.RESPONSIBILITIES OF THE INVESTIGATOR

10.RESPONSIBILITIES OF THE R&D COMMITTEE

11.R&D COMMITTEE RESPONSIBILITIES FOR THE REVIEW OF RESEARCH

12.R&D COMMITTEE OPERATIONS...... 9

13.R&D COMMITTEE RECORDS

14.R&D COMMMITTEE MEMBERSHIP

15.SUBCOMMITTEES OF THE R&D COMMITTEE

16.CONFLICT OF INTEREST

REFERENCES

FOLLOW-UP RESPONSIBILITY

1.PURPOSE

  1. These are the Standard Operating Procedures for the North Florida/South Georgia Veterans Health System (NF/SGVHS) Research and Development (R&D) Committee. They are based on the VA (Department of Veterans Affairs) regulations and other applicable federal regulations governing the conduct of local research programs, and the R&D Committee Charter.
  2. The major purpose of the R&D Committee is to focus on oversight of the local research program. The R&D Committee accomplishes its oversight function by assigning scientific review and other administrative responsibilities, including compliance issues, to appropriate subcommittees, Research Service office and individuals. The R&D Committee members prioritize their deliberations around broad areas of program development, risk management, and quality and performance activities.

2.BACKGROUND

The research mission of the Department of Veterans Affairs (VA) is conducted with individual VA medical centers, such as the NF/SGVHS, according to the highest ethical standards with accountability to all involved stakeholders. Responsibility for oversight and maintaining high standards is assigned to the NF/SGVHS R&D Committee.

3.DEFINITIONS

  1. VA Data or VA Information. VA data or VA information owned or in the possession of VA or any entity acting for, or on behalf of VA.
  2. VA Research. VA research is research conducted by VA investigators (serving on compensated, work without compensation (WOC), or Intergovernmental Personnel Agreement (IPA) appointments) while on VA time, utilizing VA resources (e.g. equipment), or on VA property including space leased to, or used by VA. The research may be funded by VA, by other sponsors, or be unfunded.
  3. VA Sensitive Information. VA sensitive information is all VA data on any storage media or in any form or format, which requires protection due to the risk of harm that could result from inadvertent or deliberate disclosure, alteration, or destruction of the information(VA Handbook 6500). The term includes information whose improper use or disclosure could adversely affect the ability of an agency to accomplish its mission, proprietary information, records about individuals requiring protection under various confidentiality provisions such as the Privacy Act and the Health Insurance Portability and Accountability Act (HIPAA) Privacy Rule, and information that can be withheld under the Freedom of Information Act (FOIA). Examples of VA sensitive information include:
  4. Individually-identifiable medical, benefits, and personnel information;
  5. Financial, budgetary, research, quality assurance, confidential commercial, critical infrastructure, investigatory, and law enforcement information;
  6. Information that is confidential and privileged in litigation, such as information protected by the deliberative process privilege, attorney work-product privilege, and the attorney-client privilege; and
  7. Other information which, if released, could result in violation of law or harm or unfairness to any individual or group, or could adversely affect the national interest or the conduct of Federal programs.

4.SCOPE

  1. The NF/SGVHS has established the R&D Committee as its committee of record for oversight of the local VA Research Program.
  2. The R&D Committee is responsible, through the Chief of Staff (COS) to the NF/SGVHSMedical Center Director for:
  1. Advising and assisting the NF/SGVHS Medical Center Director in providing oversight, planning, and execution of the local research Program; and
  2. Assisting the NF/SGVHS Medical Center Director in maintaining high standards throughout the R&D Program. Those standards include ensuring the:
  1. Scientific and ethical quality of VA research projects;
  2. Protection of human subjects in research;
  3. Safety of personnel engaged in research;
  4. Welfare of laboratory animals;
  5. Security of VA data; and
  6. Security of VHA research laboratories.
  1. The R&D Committee is assisted by the Associate Chief of Staff (ACOS) for R&D and the Administrative Officer (AO) for R&D in carrying out its duties.
  1. Research in which the facility is to be engaged may not be undertaken without review and written approval of all appropriate subcommittees of the R&D Committee. The investigator must not initiate a research project until after being notified in writing by the ACOS for R&D that the project has been approved by all relevant committees, subcommittees, or other entities.
  2. The following procedure is followed to assure that each research protocol receives all appropriate subcommittee reviews and approvals and is ready for inclusion on the R&D Committee’s agenda:
  3. The NF/SGVHS Research Office Grants Administration Core – Human Research Protection Program (HRPP)Office, Institutional Animal Care and Use Committee (IACUC) Office and Subcommittee for Research Safety Office, as applicable, are responsible for processing all VA protocols and acquiring documentation ofapplicable reviews and approvalsprior to submissionfor approval by the R&D Committee.
  4. The subcommittee secretaries of the R&DCommitteeconfirms that any study submitted for inclusion onan R&DC agenda has alldocumented reviews and approvals. For human research studies, there must be documentation of review and approval by the IRB and SRS (as applicable) and documented review by Privacy Officer and Information Security Officer thatall applicable requirements for privacy and confidentiality, and for information security, respectively, have been met.
  5. After a research project has been approved by all applicable R&D Committee subcommittees and non-research entities and the R&D Committee, the ACOS/R&D notifies investigators, in writing, that a research project can be initiated. Once R&D Committee approval has been giventhe research becomes VA approved research.

5.RESPONSIBILITIES OF THE NF/SGVHS MEDICAL CENTER DIRECTOR

  1. The NF/SGVHS Medical Center Director, is the Institutional Official, is responsible for:
  1. The Facility’s research program, and is assisted by the R&D Committee. The NF/SGVHS Medical Center Director serves as the Institutional Official responsible for all aspects of the research program including but not limited to: human subject’s protection, animal welfare care and use, privacy and security of VA data, and biosafety.
  2. Ensuring that all research engaged within NF/SGVHS is approved by the R&D Committee and its appropriate subcommittees.
  3. Ensuring there are adequate resources and administrative support, including personnel, space, equipment, and training, for the R&D Committee and its subcommittees to fulfill their responsibilities.
  4. Ensuring that adequate financial and personnel resources are provided to carry out the policies and procedures of the Human Research Protection Program (HRPP), Animal Care and Use Program (ACUP).
  5. Ensuring appropriate education and training for members of the R&D Committee and its subcommittee, the research administration staff, and other staff involved in research.
  6. Ensuring that investigators meet the requirements of Section 8. Responsibilities of the Investigator.
  7. Appointing the members of the R&D Committee following the specifications in SectionVII, R&D Committee Membership.
  8. Ensuring that the Medical Center maintains a current Federal Wide Assurance (FWA) and all other required accreditations or certifications applicable to the Research Program.

6.RESPONSIBILITIES OF THE CHIEF OF STAFF (COS)

  1. Chief of Staff (COS). The (COS) and his/her office are responsible for the overall administration of the clinical operations of the NF/SGVHS. The Chief of Staff also provides oversight for all patient care, education, and research programs. In addition, the Chief of Staff plays a key role in determining the resources that are necessary to fulfill the System’s mission and vision. Specifically, the COS responsibilities to the NF/SGVHS Research Program, include:
  1. Attends the R&D Committee as an ex officio member.
  2. Ensuring there are adequate resources and administrative support, including personnel, space, equipment, and training, for the R&D Committee and its subcommittees to fulfill their responsibilities.
  3. Consulted by the R&D Committee and IRB Chair regarding suspension of research studies, after consideration of the best interest of individual subjects.
  4. Ensuring procedures are followed in the hiring of the ACOS/R&D.
  5. Ensuring consultation with the CRADO when preparing the ACOD/R&D annual performance appraisal.

7.RESPONSIBILITIES OF THE ACOS FOR R&D (ACOS/R&D)

The ACOS/R&D is responsible for:

  1. Notifying the investigator, in writing, when a research project can be initiated. This notification occurs only after the research project has been approved by all applicable R&D Committee subcommittees and after the final approval by the R&D Committee.
  2. The ACOS/R&D is also responsible for notifying the investigator, in writing, of approval after continuing review by the R&D Committee and subcommittees.
  3. Functioning as Executive Secretary of the R&D Committee, as an ex officio member.
  4. Conducting an annual quality assurance review of publications assessing the acknowledgement of VA support and affiliation.
  5. Ensuring that information pertaining to all requests for WOC appointments for research have been appropriately justified and the appointments are in compliance with all applicable research, Human Resource Management, and other VA policies.
  6. Providing an annual quality assurance review of research employees involved in research (human subject, animal, other laboratory) to ensure the employees are working within their scopes of practice and their privileges allowed by the facility’s by-laws and granted to them by the facility.
  7. Providing an annual quality assurance review of Cooperative Research and Development Agreements (CRADAs) and other agreements in support of the research program or specific research projects and an assessment of the impact of these agreements on the research program, when applicable.
  8. Ensuring that all minutes of the R&D Committee and its subcommittees, including those from subcommittees at the affiliate, are sent to the Medical Center Director and COS for review and appropriate action.
  9. Ensuring that financial and personnel resources within the Research Service are adequate to carry out the HRPP and the ACUP.

8.ADMINISTRATIVE OFFICER FOR R&D (AO/R&D)

The Administrative Officer for Research and Development (AO/R&D) is the individual responsible for the administrative functions of the Research Program. The AO is an ex officio member of the R&D Committee, and provides administrative support to the Committee.

9.RESPONSIBILITIES OF THE INVESTIGATOR

The investigator is responsible for:

  1. Confirming with the applicable service chief that they have been awarded the appropriate credentials and privileges to conduct research at NF/SGVHS prior to initiating any research.
  2. Complying with all applicable personnel and other VA and NF/SGVHS requirements whether the investigator is compensated, WOC, or IPA.
  3. Obtaining the complete approval of all appropriate non-research entities and R&D Committee subcommittees, and written notification from the ACOS for R&D prior to initiating a research project.
  4. Developing a research plan that is scientifically valid; minimizes risk to human subjects, animals used in research, and personnel; and contains a sufficient description of the research including all procedures and the plan for statistical analysis, to allow the R&D Committee subcommittees to fully review the research project.
  5. Developing and implementing plans for data use, storage, and security that are consistent with VA Directive 6500, Information Security Program, and its implementing Handbooks and other legal requirements.
  6. Preparing and submitting information, annually or as otherwise required, on their research program(s) to the appropriate R&D Committee subcommittee for continuing review.
  7. Ensuring that all research proposals submitted for funding, from any source, support the mission of VHA and enhance the quality of health care delivery to Veterans at NF/SGVHS.

10.RESPONSIBILITIES OF THE R&D COMMITTEE

  1. The R&D Committee assists the NF/SGVHS Medical Center Director in fulfilling responsibilities for the Facility’s research program. The R&D Committee is responsible for ensuring the effective operation of the research program through oversight of the R&D Committee’s subcommittees and making appropriate recommendations, including space and resource needs, to the Medical Center Director based on the Committee’s oversight and evaluation of the research program.
  2. The R&D Committee must accomplish its responsibilities through the following activities or procedures:
  1. Planning and developing broad objectives for the research program so that it supports VA’s mission;
  2. Determining the extent to which the research program has met its objectives;
  3. Overseeing all research activities for each VA facility for which it serves as the R&D Committee of record; and
  4. Reviewing all written agreements, including:
  5. Memorandum of Understanding with the University of Florida establishing the UF IRB-01 as the IRB of record for NF/SGVHS.
  6. Memorandum of Understanding with the VA Central IRB, allowing NF/SGVHS investigators to use this IRB when appropriate.
  7. Other Memorandum of Understanding and agreements that may be established and that impact research.
  1. Reviewing and evaluating the HRPP and ACUP activities, through its subcommittees, and determining that financial and personnel resources are available to carry out the HRPP and ACUP. Making recommendations to the ACOS/R and the Medical Director if gaps are found in these programs.
  2. Reviewing and evaluating all R&D subcommittees both within the VA facility and theaffiliate University of Florida, Institutional Review Board (IRB-01). A summary of these reviews and evaluations must be sent to the Medical Center Director annually.
  3. In fulfilling its responsibilities of ensuring the effective oversight of the research program and making appropriate recommendations to the Medical Center Director, including the suspension of a research study or remedial or restrictive action regarding a principal investigator, the R&D Committee needs to rely on a variety of information sources including:
  1. Quality assurance activities, reports to the Committee by the ACOS for R&D, AO for R&D, or other research staff members, subcommittee reports, facility reports or activities, and other appropriate sources.
  2. Review of subcommittee activities including:

1)Annual reviews of the Research Safety and Security Program (including planned training, compliance, security issues, etc.).

2)The Animal Care and Use Program (including semi-annual inspection reports, IACUC composition, IACUC arrangements, budgets, space, support staff, training, quality improvement activities, compliance issues, and goals for the next year).

3)The Human Research Protection Program (including IRB composition or IRB arrangements, credentialing and training status report, budget, space, support staff, quality improvement activities, compliance issues, and goals for the next year).

4)The Research Office Compliance Core (including training status report, budget, space, support staff, quality improvement activities, compliance issues, and goals for the next year).

  1. The R&D Committee is responsible for fulfilling such other functions as may be specified by the Medical Center Director and VHA procedures. These functions may include review and approval of individual research projects. NOTE: The R&D Committee may not approve human subjects' research if it has not been approved by an IRB (see Title 38 Code of Federal Regulations section 16.112).

11.R&D COMMITTEE RESPONSIBILITIES FOR THE REVIEW OFRESEARCH

  1. The R&D Committee is responsible for establishing policy to ensure that all research in which NF/SGVHS is to be engaged has been reviewed and approved for the ethical use of human subjects, animals, and biohazards. This review promotes:
  1. Maintenance of high standards of protocol review, and relevance to the mission of the VA and NF/SGVHS;
  2. Protection of human subjects (including privacy and confidentiality), and the implementation of adequate safety measures for research subjects and personnel;
  3. Welfare and appropriate use of animals in research;
  4. Safety of personnel engaged in research;
  5. Security of research laboratories where hazardous agents are stored or utilized and of all Biosafety Level 3 (BSL-3) research laboratories; and
  6. Security of VA data and VA sensitive information.
  1. If a research protocol requires review by a Facility’s non-research entities, such as the Radiation Safety Committee, this review may be conducted at any time, but the research may not be initiated until: the non-research entity has approved the project, and the project has been approved by all applicable R&D Committee subcommittees, and the investigator has been notified in writing by the ACOS/R&D.
  2. For protocols not meeting criteria for assignment to any subcommittee, the R&D Committee is the review and approving Committee of Record.
  3. Concurrence of the R&D Committee or subcommittee under a just in time review process does not represent approval to conduct the research. The investigator must submit the protocol to all applicable R&D Committee subcommittees the Information Security Officer and the Privacy Officer, and have written approval from the ACOS/R&D before initiating the research.

12.R&D COMMITTEE OPERATIONS

  1. The R&D Committee meets at least monthly, except for 1 month during the year, if it appears that a quorum (i.e. a majority of voting members) cannot be obtained. At the regularly scheduled monthly meetings, R&D Committee members are to be physically present at the meeting. If physical presence is not possible, a member may be considered present if participating through teleconferencing or videoconferencing. In that case, the member must have received all pertinent material prior to the meeting and must be able to participate actively and equally in all discussions.
  2. The R&D Committee may hold unscheduled meetings in response to emergent issues. The R&DC Chair may call the unscheduled meeting when he/she deems it necessary to carry out the business of the Committee.
  1. There must be a quorum present in person or by teleconference or video conference for any unscheduled meetings.
  2. A quorum must be present to conduct business and must be present for each vote.
  1. Minutes for each meeting must be recorded. The minutes include the following information:
  1. A list of all voting members and non-voting members, including ex officio members, indicating the category of their membership and whether they are present or absent. If an alternate is present in place of a voting member, the minutes indicate this fact and name who the alternate member is replacing.
  2. The presence of a quorum.
  3. Actions taken by the Committee, to include:

1)The type of action.