The University of Iowa

Summary of Guidance

Selected Changes at the Federal Level that impact Human Subjects Research
Title Comments
8/2/2012
National Institutes of Health (NIH) Prior NIH Approval of Human Subjects Research in Active Awards Initially Submitted without Definitive Plans for Human Subjects Involvement (Delayed Onset Awards): Notice Number: NOT-OD-12-130
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-12-130.html
 
8/2/2012
National Institutes of Health (NIH) Guidance on Changes That Involve Human Subjects in Active Awards and That Will Require Prior NIH Approval NOT-OD-12-129
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-12-129.html
 
5/30/2012
Food and Drug Administration (FDA) Final Rule on Disqualification of a Clinical Investigator
http://www.gpo.gov/fdsys/pkg/FR-2012-04-30/pdf/2012-10292.pdf?source=govdelivery
 
February 1, 2012
Food and Drug Administration (FDA) IRB Continuing Review after Clinical Investigation Approval
http://www.fda.gov/downloads/RegulatoryInformation/Guidances/UCM294558.pdf?source=govdelivery
 
February 9, 2012
Food and Drug Administration (FDA) Questions and Answers on Informed Consent Elements
http://www.fda.gov/downloads/RegulatoryInformation/Guidances/UCM291085.pdf
 
8/14/2012 (comments due within 60 days of publication)
Food and Drug Administration (FDA) Guidance for Industry: Suicidal Ideation and Behavior: Prospective Assessment of Occurrence in Clinical Trials http://www.fda.gov/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/ucm315156.htm
 
June 12, 2012 (comments due August 13, 2012)
Food and Drug Administration (FDA) Guidance for IRBs, Clinical Investigators, and Sponsors, Considerations When Transferring Clinical Investigation Oversight to Another IRB
http://www.gpo.gov/fdsys/pkg/FR-2012-06-12/pdf/2012-14295.pdf
 
June 12, 2012 (comments due August 13, 2012)
Office for Human Research Protections (OHRP) Considerations in Transferring a Previously-Approved Research Project to a New IRB or Research Institution
http://www.gpo.gov/fdsys/pkg/FR-2012-06-12/html/2012-14287.htm
 
February 14, 2012
Food and Drug Administration (FDA) Investigational New Drug Applications for Positron Emission Tomography (PET) Drugs http://www.fda.gov/downloads/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/UCM291573.pdf
 
November 8, 2011
Department of Defense (DoD) Instruction 3216.02 Protection of Human Subjects and Adherence to Ethical Standards in DoD-Supported Research
http://www.dtic.mil/whs/directives/corres/pdf/321602p.pdf
 
September 22, 2011
Office for Human Research Protection (OHRP) Correspondence on "Non-engaged" Scenarios
http://www.hhs.gov/ohrp/policy/Correspondence/index.html
 
August 23, 2011
Department of Health and Human Services (HHS) Conflict of Interest (COI)
http://grants.nih.gov/grants/policy/coi/
 
July 1, 2011
Office for Human Research Protection (OHRP) Updated Guidance on Written IRB Procedures
http://www.hhs.gov/ohrp/policy/irbgd107.html
 
June 21, 2011
Office for Human Research Protection (OHRP) Federalwide Assurance Process FAQs
http://answers.hhs.gov/ohrp/categories/1563
 
June 20, 2011
Office for Human Research Protection (OHRP) Guidance on Reporting Incidents to OHRP
http://www.hhs.gov/ohrp/compliance/reports/index.html
 
June 15, 2011
Food and Drug Administration (FDA) Medical Devices; Exception from General Requirements for Informed Consent Final Rule
http://www.gpo.gov/fdsys/pkg/FR-2011-06-24/pdf/2011-15816.pdf
 
March 31, 2011
Food and Drug Administration (FDA) Guidance for Institutional Review Boards, Clinical Investigators, and Sponsors on Exception from Informed Consent Requirements for Emergency Research
http://www.fda.gov/downloads/RegulatoryInformation/Guidances/UCM249673.pdf
 
March 29, 2011
National Institutes of Health (NIH) Change in policy on the Submission of Plans for Instruction in the Responsible Conduct of Research for Individual and Institutional Career Development (K) Award
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-11-059.html
 
January 4, 2011
Food and Drug Administration (FDA) Final Rule: Including Trial Registration as required basic element for informed consent for applicable trials
http://edocket.access.gpo.gov/2011/2010-33193.htm
 
December 19, 2011
Food and Drug Administration (FDA) Draft Guidance for Industry and FDA Staff - Evaluation of Sex Differences in Medical Device Clinical Studies
http://www.fda.gov/MedicalDevices/DeviceRegulationandGuidance/GuidanceDocuments/ucm283453.htm
 
November 10, 2011
Food and Drug Administration (FDA) Draft Guidance for Industry, Clinical Investigators, Institutional Review Boards, and Food and Drug Administration Staff - FDA Decisions for Investigational Device Exemption (IDE) Clinical Investigations
http://www.fda.gov/MedicalDevices/DeviceRegulationandGuidance/GuidanceDocuments/ucm277669.htm?utm_source=Customer+List&utm_campaign=355fe3b709-Draft_Guidance_Exculpatory_language9_20_2011&utm_medium=email
 
November 10, 2011
Food and Drug Administration (FDA) Draft Guidance for Industry and Food and Drug Administration Staff - Investigational Device Exemptions (IDE) for Early Feasibility Medical Device Clinical Studies, Including Certain First in Human (FIH) Studies
http://www.fda.gov/MedicalDevices/DeviceRegulationandGuidance/GuidanceDocuments/ucm277670.htm#2
 
September 7, 2011 (comments due November 4, 2011)
Food and Drug Administration (FDA) and Office for Human Research Protections (OHRP) joint draft document - Guidance on Exculpatory Language in Informed Consent
http://www.hhs.gov/ohrp/newsroom/rfc/
 
August 24, 2011 (comments due November 28, 2011)
Food and Drug Administration (FDA) Draft Guidance: Oversight of Clinical Investigations- A Risk-Based Approach to Monitoring
http://www.fda.gov/downloads/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/UCM269919.pdf
 
July 26, 2011 (comments due October 26, 2011)
Office for Human Research Protection (OHRP) Advanced Notice of Proposed Rulemaking (ANPRM) for Revisions to the Common Rule
http://www.hhs.gov/ohrp/humansubjects/anprm2011page.html
 
May 24,2011 (comments due July 24, 2011)
Food and Drug Administration (FDA) Guidance for Clinical Investigators, Industry, and FDA Staff Financial Disclosure by Clinical Investigators
http://www.fda.gov/downloads/RegulatoryInformation/Guidances/UCM256525.pdf
 
April 27, 2011 (comments due by June 27, 2011)
Food and Drug Administration (FDA) Periodic Review of Existing Regulations; Retrospective Review
http://www.regulations.gov/#!documentDetail;D=FDA-2011-N-0259-0001
 
April 11, 2011 (comments due by July 12, 2011)
Food and Drug Administration (FDA) Proposed rule on Disqualification of Clinical Investigators
http://www.gpo.gov/fdsys/pkg/FR-2011-04-13/pdf/2011-8786.pdf
 
November 10, 2010
Office for Human Research Protections (OHRP) Guidance on IRB Approval of Research with Conditions
http://www.hhs.gov/ohrp/policy/conditionalapproval2010.html
 
November 10, 2010
Office for Human Research Protections (OHRP) Guidance on IRB Continuing Review of Research
http://www.hhs.gov/ohrp/policy/continuingreview2010.html
 
September 29, 2010
Food and Drug Administration (FDA) Final Rule: Investigational New Drug Safety Reporting Requirements for Human Drug and Biological Products and Safety Reporting Requirements for Bioavailability and Bioequivalence Studies in Humans
http://www.fda.gov/Drugs/DevelopmentApprovalProcess/HowDrugsareDevelopedandApproved/ApprovalApplications/InvestigationalNewDrugINDApplication/ucm226358.htm
 
September 21, 2010
Office for Human Research Protections (OHRP) Guidance on Withdraw of Subjects from Research
http://www.hhs.gov/ohrp/policy/subjectwithdrawal.html
 
August 2, 2010
Food and Drug Administration (FDA) Guidance for Industry and Researchers, The Radioactive Drug Research Committee: Human Research Without an Investigational New Drug Application
http://www.fda.gov/downloads/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/UCM163892.pdf
 
July 8, 2010
Food and Drug Administration (FDA) Humanitarian Device Exemption (HDE) Regulation: FAQ
http://www.fda.gov/MedicalDevices/DeviceRegulationandGuidance/GuidanceDocuments/ucm110194.htm
 
June 21, 2010
Food and Drug Administration (FDA) FDA Inspections of Clinical Investigators
http://www.fda.gov/downloads/RegulatoryInformation/Guidances/UCM126553.pdf
 
June 25, 2010
Food and Drug Administration (FDA) In Vitro Diagnostic (IVD) Device Studies FAQ
http://www.fda.gov/downloads/MedicalDevices/DeviceRegulationandGuidance/GuidanceDocuments/UCM071230.pdf
 
May 1, 2010
Food and Drug Administration (FDA) Clinical Investigator Administrative Actions
http://www.fda.gov/downloads/RegulatoryInformation/Guidances/UCM214008.pdf
 
May-2010
Food and Drug Administration (FDA) Information Sheet Guidance for Sponsors, Clinical Investigators, and IRB Frequently Asked Questions - Statement of Investigator (Form FDA 1572)
http://www.fda.gov/downloads/RegulatoryInformation/Guidances/UCM214282.pdf
 
April 30, 2010
Office for Human Research Protection (OHRP) correspondence regarding use of a central
http://www.hhs.gov/ohrp/policy/Correspondence/cirb20100430.html
 
March 30, 2010
Office for Human Research Protection (OHRP) revised set of Frequently Asked Questions and Answers (FAQs) on Institutional Review Board (IRB) Registration
http://answers.hhs.gov/ohrp/categories/1565
 
January 8, 2010
Office for Human Research Protection (OHRP) correspondence regarding student subject pools and use of penalties for students who fail to show up for scheduled research appointments
http://www.hhs.gov/ohrp/policy/Correspondence/ohrp20100108.html
 
December 1, 2010
Food and Drug Administration (FDA) Electronic Source Documentation in Clinical Investigations
http://www.fda.gov/downloads/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/UCM239052.pdf
 
October 14, 2010 (comments due by January 11, 2011)
Food and Drug Administration (FDA) Investigational New Drug Applications (INDs)-Determining Whether Human Research Studies Can Be Conducted Without an IND
http://www.fda.gov/downloads/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/UCM229175.pdf
 
September 28, 2010 (comments due by December 28, 2010)
Food and Drug Administration (FDA) Guidance for Industry and Investigators Safety Reporting Requirements for INDs and Bioavailability and Bioequivalence Studies
http://www.fda.gov/downloads/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/UCM227351.pdf
 
July 14, 2010 (comments due by Sept13, 2010)
Office of Civil Rights (OCR) and Office for Human Research Protection proposed modification to HIPAA Privacy, Security, and Enforcement Rules under the Health Information Technology for Economic and Clinical Health (HITECH) Act
http://edocket.access.gpo.gov/2010/2010-16718.htm
 
May 21, 2010 (comments due by July 20, 2010)
HHS and Public Health Service (PHS) proposal to amend regulations on the Responsibility of Applicants for Promoting Objectivity in Research for which PHS funding is sought and Responsible Prospective Contractors
http://edocket.access.gpo.gov/2010/pdf/2010-11885.pdf
 
May 3, 2010 (comments due by May 18, 2010)
HHS Request for Information - HIPAA Privacy Rule Accounting of Disclosures Under the Health Information Technology for Economic and Clinical Health (HITECH) Act.
http://edocket.access.gpo.gov/2010/pdf/2010-10054.pdf
 
February 19, 2010 (comments due by May 20, 2010)
FDA Proposed Rule on Reporting Information Regarding Falsification of Data
http://edocket.access.gpo.gov/2010/pdf/2010-3123.pdf
 
January 13, 2010
FDA Guidance for IRBs, Clinical Investigators, and Sponsors IRB Continuing Review after Clinical Investigation Approval
http://www.fda.gov/downloads/RegulatoryInformation/Guidances/UCM197347.pdf
 
November 24, 2009
National Institutes of Health (NIH) Update on the Requirement for Instruction in the Responsible Conduct of Research
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-10-019.html
 
October 29, 2009
Food & Drug Administration (FDA) Guidance on Investigator Responsibilities — Protecting the Rights, Safety, and Welfare of Study Subjects
http://www.fda.gov/downloads/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/UCM187772.pdf
 
October 19, 2009
NIH Notice on Development of Data Sharing Policy for Sequence and Related Genomic Data
http://grants.nih.gov/grants/guide/notice-files/NOT-HG-10-006.html
 
October 15, 2009
Office for Human Research Protection (OHRP) FAQs regarding Exempt Research Determinations
http://answers.hhs.gov/ohrp/categories/1564
 
October 14, 2009
OHRP’s Compliance Oversight Procedures for Evaluating Institutions
http://www.hhs.gov/ohrp/compliance/evaluation/
 
August 20, 2009
National Science Foundation (NSF) Implementation of Section 7009 of the America COMPETES Act
http://edocket.access.gpo.gov/2009/E9-19930.htm
 
August 13, 2009
FDA Expanded Access to Investigational Drugs for Treatment Use
http://edocket.access.gpo.gov/2009/pdf/E9-19005.pdf
 
August 13, 2009
FDA Charging for Investigational Drugs Under an Investigational New Drug Application
http://edocket.access.gpo.gov/2009/pdf/E9-19004.pdf
 
July 17, 2009
OHRP Updated Web-based Electronic Submission System for Submitting FWAs and IRB Registrations
http://ohrp.cit.nih.gov/efile
 
July 14, 2009
FDA IRB Registration FAQ
http://www.fda.gov/downloads/RegulatoryInformation/Guidances/UCM171256.pdf
 
July 9, 2009
OHRP Guidance Registration of IRBs
http://www.hhs.gov/ohrp/assurances/index.html#registernew
 
March 24, 2009
OHRP Guidance on the Genetic Information Nondiscrimination Act: Implications for Investigators and Institutional Review Boards
http://www.hhs.gov/ohrp/policy/gina.html
 
February 4, 2009
OHRP Compliance Oversight Activities: Determinations of Noncompliance
http://www.hhs.gov/ohrp/compliance/findings/
 
January 15, 2009
FDA IRB Registration Requirements - outlines registration requirements for IRBs reviewing FDA regulated research
http://www.fda.gov/OHRMS/DOCKETS/98fr/E9-682.pdf
 
January 14, 2009
FDA Guidance for Clinical Investigators, Sponsors, and IRBs Adverse Event Reporting to IRBs - Improving Human Subject Protection
http://www.fda.gov/downloads/RegulatoryInformation/Guidances/UCM126572.pdf
 
January 13, 2009
OHRP Correspondence regarding determining when institutions are engaged in research
http://www.hhs.gov/ohrp/policy/Correspondence/ohrp20090113.html
 
January 1, 2009
OIG Report -THE FDA Oversight of Clinical Investigators' Financial Information
http://oig.hhs.gov/oei/reports/oei-05-07-00730.pdf
 
December 29, 2009 (comments due by March 1, 2010)
21 CFR Part 50 Informed Consent Elements FDA Proposed rule open for public comment
http://edocket.access.gpo.gov/2009/E9-30751.htm
 
May 8, 2009 (comments due by July 7, 2009)
NIH proposed rule regarding Responsibility of Applicants for Promoting Objectivity in Research for Which Public Health Service Funding is Sought and Responsible Prospective Contractors
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-10-099.html
 
March 5, 2009 (comments due by June 3, 2009)
OHRP advanced notice of proposed rulemaking; request for comments regarding holding IRBs & the institutions operating the IRBs accountable for adherence to 45 CFR 46.
http://edocket.access.gpo.gov/2009/E9-4628.htm
 
February 20, 2009 (comments due by March 31, 2009) [FINAL RULE listed in Final Regulation/Guidance section- 8-20-09]
NSF request for comment on requirement for students and postdoctoral researchers involved in NSF proposals to be educated in the responsible and ethical conduct of research (RCR)
https://www.federalregister.gov/articles/2009/02/26/E9-4100/responsible-conduct-of-research
 
December 30, 2008
OHRP FAQ regarding Quality Assurance Research
http://answers.hhs.gov/ohrp/categories/1569
 
December 1, 2008
Guidance for Sponsors, Clinical Investigators, and IRBs- Data Retention when Subjects Withdraw from FDA-Regulated Clinical Trials
http://www.fda.gov/downloads/RegulatoryInformation/Guidances/UCM126489.pdf
 
October 16, 2008
OHRP Guidance on Engagement of Institutions in Human Subject Research
http://www.hhs.gov/ohrp/policy/engage08.html
 
October 16, 2008
OHRP Guidance on Research Involving Coded Private Information or Biological Specimens. This guidance has been updated to be consistent with OHRP’S OCTOBER 16, 2008 GUIDANCE ON ENGAGEMENT OF INSTITUTIONS IN HUMAN SUBJECTS RESEARCH ( Replaces OHRP’S AUGUST 10, 2004 guidance)
http://www.hhs.gov/ohrp/policy/cdebiol.html
 
September 1, 2008
Food & Drug Administration Amendments Act (FDAAA) summarizes first year accomplishments of act. Impacts FDA (responsibilities & authorities) and sponsors/investigators (registration of clinical trials).http://www.fda.gov/RegulatoryInformation/Legislation/FederalFoodDrugandCosmeticActFDCAct/SignificantAmendmentstotheFDCAct/FoodandDrugAdministrationAmendmentsActof2007/ucm083161.htm
 
September 29, 2008
OHRP correspondence Memo to National Cancer Institute re: Protocol Review and Consent Changes for NCI/CTEP sponsored trials [original memorandum March 2008 CTEP]
http://www.hhs.gov/ohrp/policy/Correspondence/nci200870929.html
 
February 15, 2008
OHRP Statement regarding Quality Assurance Research
http://www.hhs.gov/ohrp/policy/Correspondence/pronovost20080730.html
 
January 25, 2008
NIH Policy for Sharing of Data Obtained in NIH Supported or Conducted Genome-Wide Association Studies (GWAS)
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-07-088.html
 
September 5, 2007
SACHRP Request for Information and Comments on Research That Involves Adult Individuals With Impaired Decision-making Capacity (Extended comment period to January 14, 2008)
http://www.hhs.gov/ohrp/archive/requests/com090507.html
 
July 2, 2008
OHRP Request for Information and Comments on the Implementation of Human Subjects Protection Training and Education Programs (comments due September 29, 2008)
http://www.hhs.gov/ohrp/newsroom/rfc/com070208.html
 
July 2008
Draft guidance - FAQ regarding Form FDA 1572 - impacts investigators and sponsors
http://www.fda.gov/OHRMS/DOCKETS/98fr/FDA-2008-D-0406-gdl.pdf
 
June 5, 2008
ICH Draft Development Safety Update Report (DSUR) impacts sponsors
http://www.fda.gov/downloads/RegulatoryInformation/Guidances/UCM129284.pdf
 
May 10, 2007
FDA Draft Guidance for Industry: Protecting the Rights, Safety, and Welfare of Study Subjects - Supervisory Responsibilities of Investigators
http://www.fda.gov/RegulatoryInformation/Guidances/ucm127697.htm
 
April 17, 2007
FDA Draft Guidance for Clinical Investigators, Sponsors, and IRBs: Adverse Event Reporting - Improving Human Subject Protection
http://www.fda.gov/OHRMS/DOCKETS/98fr/07d-0106-gdl0001.pdf
 
January 1, 2006
FDA Frequently Asked Questions About IRB Review of Medical Devices
http://www.fda.gov/oc/ohrt/irbs/irbreview.pdf
 
January 1, 2006
FDA Significant Risk and Nonsignificant Risk Medical Device Studies
http://www.fda.gov/oc/ohrt/irbs/devrisk.pdf
 
January 1, 2006
FDA Institutional Review Board Inspections
http://www.fda.gov/oc/ohrt/irbs/reviewboard.pdf
 
January 1, 2006
FDA Inspections of Clinical Investigators
http://www.fda.gov/oc/ohrt/irbs/investigator.pdf
 
January 15, 2007
OHRP Guidance on Continuing Review
http://www.hhs.gov/ohrp/policy/continuingreview2010.html
 
January 15, 2007
OHRP Guidance on Reviewing and Reporting Unanticipated Problems Involving Risks to Subjects or Others and Adverse Events
http://www.hhs.gov/ohrp/policy/advevntguid.html
 
January 15, 2007
OHRP Guidance on Written Procedures
http://www.hhs.gov/ohrp/policy/irbgd107.html
 
August 9, 2007
America COMPETES Act
http://www.nist.gov/public_affairs/releases/competes-081607.cfm
 
September 27, 2007
Food & Drug Administration Amendments Act (FDAAA) impacts investigators and sponsors; requires registration of clinical trials.
http://www.fda.gov/RegulatoryInformation/Legislation/FederalFoodDrugandCosmeticActFDCAct/SignificantAmendmentstotheFDCAct/FoodandDrugAdministrationAmendmentsActof2007/default.htm
 
Regulations.gov
www.regulations.gov
 
FDA News
http://www.fda.gov/NewsEvents/default.htm
 
FDA Guidance
http://www.fda.gov/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/default.htm
 
Comprehensive list of FDA guidance
http://www.fda.gov/downloads/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/ucm079645.pdf
 
FDA Guidance Search
http://www.fda.gov/RegulatoryInformation/Guidances/default.htm
 
Newly added FDA Guidance - Drugs
http://www.fda.gov/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/ucm121568.htm
 
Newly added FDA Guidance - Devices
http://www.fda.gov/MedicalDevices/DeviceRegulationandGuidance/GuidanceDocuments/ucm162707.htm
 
Proposed Regulations and Draft Guidance
http://www.fda.gov/ScienceResearch/SpecialTopics/RunningClinicalTrials/ProposedRegulationsandDraftGuidances/default.htm
 
CDER Guidance & Recent Guidance
http://www.fda.gov/cder/guidance/
 
FDA Information Sheets
http://www.fda.gov/ScienceResearch/SpecialTopics/RunningClinicalTrials/GuidancesInformationSheetsandNotices/ucm113709.htm
 
FDA Guidance Medical Devices
http://www.accessdata.fda.gov/scripts/cdrh/cfdocs/cfggp/search.cfm
 
FDA GCP
http://www.fda.gov/ScienceResearch/SpecialTopics/RunningClinicalTrials/default.htm
 
OHRP NEWS
http://www.hhs.gov/ohrp/newsroom/index.html
 
OHRP Correspondence Website
http://www.hhs.gov/ohrp/policy/Correspondence/index.html
 
DHHS NIH HIPAA Guidance Website
http://privacyruleandresearch.nih.gov/
 
DHHS HIPAA FAQ
http://www.hhs.gov/hipaafaq/
 
Office of Inspector General - what's new website
https://oig.hhs.gov/newsroom/whats-new/
 
Federal Register
https://www.federalregister.gov/
 
Department of Defense (DoD) Issuances
http://www.dtic.mil/whs/directives/whats_new.html