From: Subject: Terms of the Federalwide Assurance Date: Thu, 22 Oct 2009 14:29:08 -0400 MIME-Version: 1.0 Content-Type: text/html; charset="utf-8" Content-Transfer-Encoding: quoted-printable Content-Location: http://www.hhs.gov/ohrp/humansubjects/assurance/filasurt.htm X-MimeOLE: Produced By Microsoft MimeOLE V6.00.2900.5579 =EF=BB=BF Terms of the Federalwide Assurance

FEDERALWIDE ASSURANCE (FWA) FOR THE PROTECTION OF HUMAN = SUBJECTS

U. S. Department of Health and Human Services (HHS)
Office for = Human=20 Research Protections (OHRP)

A. TERMS OF THE FEDERALWIDE ASSURANCE (FWA) FOR INSTITUTIONS = WITHIN THE=20 UNITED STATES

1. Human Subjects Research Must be Guided by Ethical = Principles

All of the Institution=E2=80=99s human subjects research activities, = regardless of=20 whether the research is subject to federal regulations, will be guided = by the=20 ethical principles in: (a) The Belmont Report: Ethical Principles and = Guidelines=20 for the Protection of Human Subjects of Research of the National = Commission for=20 the Protection of Human Subjects of Biomedical and Behavioral Research, = or (b)=20 other appropriate ethical standards recognized by federal departments = and=20 agencies that have adopted the Federal Policy for the Protection of = Human=20 Subjects, known as the Common Rule.

2. Applicability

These terms apply whenever the Institution becomes engaged in human = subjects=20 research conducted or supported* by any federal department or agency = that has=20 adopted the Common Rule, unless the research is otherwise exempt from = the=20 requirements of the Common Rule or a department or agency conducting or=20 supporting the research determines that the research shall be conducted = under a=20 separate assurance. In general, the Institution becomes so engaged = whenever (a)=20 the Institution=E2=80=99s employees or agents intervene or interact with = human subjects=20 for purposes of federally-conducted or =E2=80=93supported research; (b) = the=20 Institution=E2=80=99s employees or agents obtain individually = identifiable private=20 information about human subjects for purposes of federally-conducted or=20 =E2=80=93supported research; or (c) the Institution receives a direct = federal award to=20 conduct human subjects research, even where all activities involving = human=20 subjects are carried out by a subcontractor or collaborator.

[*Federally-supported is defined throughout the FWA = and the=20 Terms of Assurance as the U.S. Government providing any funding or other = support.]

3. Compliance with the Federal Policy for the Protection of Human = Subjects=20 and Other Applicable Federal, State, Local, or Institutional = Laws,=20 Regulations, and Policies

When the Institution becomes engaged in federally-conducted or = -supported=20 human subjects research to which the FWA applies, the Institution and = the=20 institutional review boards (IRBs) designated under the = Institution=E2=80=99s Assurance=20 will comply with the Federal Policy for the Protection of Human = Subjects.

The reference in the Code of Federal Regulations is shown below for = each=20 department and agency which has adopted the Common Rule:

7 CFR part 1c

Department of Agriculture

10 CFR part 745

Department of Energy

14 CFR part1230

National Aeronautics and Space Administration

15 CFR part 27

Department of Commerce

16 CFR part 1028

Consumer Product Safety Commission

22 CFR part 225

Agency for International Development

24 CFR part 60

Department of Housing and Urban Development

28 CFR part 46

Department of Justice

32 CFR part 219

Department of Defense

34 CFR part 97

Department of Education

38 CFR part 16

Department of Veterans Affairs

40 CFR part 26

Environmental Protection Agency

45 CFR part 46

Department of Health and Human Services

45 CFR part 46
(by Executive Order 12333)

Central Intelligence Agency

45 CFR part 690

National Science Foundation

49 CFR part 11

Department of Transportation

For any federally-conducted or -supported human subjects research to = which=20 the FWA applies, the Institution also will comply with any additional = human=20 subjects regulations and policies of the department or agency which = conducts or=20 supports the research and any other applicable federal, state, local, or = institutional laws, regulations, and policies. When the=20 Institution is engaged in human subjects research conducted or supported = by the=20 Department of Health and Human Services (HHS), the Institution will = comply with=20 all subparts of the HHS regulations at Title 45 Code of Federal = Regulations part=20 46 (45 CFR part 46, subparts A, B, C, and D).

Human subjects research conducted or supported by each federal = department or=20 agency listed above will be governed by the regulations as implemented = by the=20 respective department or agency. The head of the department or agency = retains=20 final judgment as to whether a particular activity conducted or = supported by the=20 respective department or agency is covered by the Common Rule. If the=20 Institution needs guidance regarding implementation of the Common Rule = and other=20 applicable federal regulations, the Institution should contact = appropriate=20 officials at the department or agency conducting or supporting the = research. For=20 federally-conducted or =E2=80=93supported research covered by the FWA, = the department or=20 agency that conducts or supports the research retains final authority = for=20 determining whether the Institution complies with the Terms of = Assurance. If HHS=20 receives an allegation or indication of noncompliance related to human = subjects=20 research that is covered by the FWA and is conducted or supported solely = by a=20 Common Rule department or agency other than HHS, HHS will refer the = matter to=20 the other department or agency for review and action as appropriate. =

Please note that if the Institution voluntarily extends the Common = Rule or=20 the Common Rule and subparts B, C, and D of the HHS regulations at 45 = CFR part=20 46 to all research regardless of support, OHRP will have the authority = to ensure=20 that the Institution complies with this commitment for all research to = which the=20 FWA applies that is not federally-conducted or =E2=80=93supported.

4. Written Procedures*