Improving Protocol Review and Approval Efficiency
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Transcript Improving Protocol Review and Approval Efficiency
Improving the Efficiency
of Protocol Reviews and
Approvals
Alison D. Pohl, MS, rLATg, CPIA
Research Compliance Monitor / IACUC Administrator
University of Connecticut Health Center
Farmington, CT
What is “improving” protocol review?
From the PI’s perspective:
Only one review (e.g., no “back and forth”
revisions)
Focus on the “important stuff”, not the small
details
Make it as easy on me as possible
From the IACUC’s perspective:
Catch everything that is important (one review
may not be enough)
Make it as easy as possible for the IACUC
Try to make it as easy as possible for the PI
What is “improving” approval efficiency?
From the PI’s perspective:
Get my approval as fast as possible (preferably
yesterday)
From the IACUC’s perspective:
Get the approval done as fast as possible (though
yesterday is probably not possible)
Seems like there is a shared goal here??
What can the PI do to improve
the efficiency of a review?
Submit a thoughtful and complete protocol that tells the
whole story
Make sure all questions are answered
Make sure the answers to the questions are actually answers
to the questions; in other words, don’t answer the question
with incomplete or incorrect information
Submit protocols by established deadlines
Submit protocols for a pre-review if that activity is performed
by an institution
When submitting revisions after IACUC review
Make sure all comments are addressed
What can the IACUC do to improve the
efficiency of a review?
Perform pre-reviews
Can be done by the IACUC administrator to a great degree
Veterinary pre-review can be very important
Ensure IACUC members know what constitutes an appropriate
review
Reviews should be consistent between protocols and IACUC members
Training, training, training!
Have the IACUC invested in the research of the institution
Complete reviews by an assigned deadline
Do your review as if you were the PI (be kind)
Utilize DMR when you can
One way to improve efficiency is….
Go Electronic
Can help you make the whole protocol review and
approval process faster, more thorough, and more
consistent
Does not mean just using an electronic protocol
development and review system (either commercial or
home-grown)
Electronic methodologies can mean more version
control, less chance of losing vital information, and
increased access to information for both the PI and the
IACUC
And you have the added benefit of “being green”
Non-system electronic methods
Shared electronic drives (through your IT department)
All IACUC members can access all information
Information access is restricted to those members who
have been “allowed” access
Typically backed up by the Institution so that data loss is
unlikely
Electronic signatures (e.g., use of Adobe Acrobat)
Takes less time because you do not have to physically go to
someone’s office for a signature
Accepted by most agencies (OLAW, USDA, NIH, etc.)
Web-based sign up services (e.g., Signupgenius.com)
Can be used for facility inspections and meetings
Non-system electronic methods
Programs for facility inspections (e.g., InvisoSystems)
There are programs out there that you can use with an iPad
or smart phone to document real-time documentation of
facility and laboratory inspections
They can allow for the automatic compilations of
deficiencies into a report that can be emailed to the
appropriate responsible individuals
Programs for documenting review changes (e.g.,
SharePoint, PleaseReview)
Though use of a shared drive can also get people to see the
same documents, typically only one person can make
changes at a time
There are programs which can automatically track changes
which, at the end of the review period, can incorporate
the changes into a nicely formatted document
Electronic protocol development
and review systems
Can be commercial or home-grown
Advantages
Complete historical record of the submissions/reviews
PI can see where in the process his submission is
Version control
Electronic signatures
Auto-population of demographic information
Pull down menus with appropriate answers
Templates for common procedures
Electronic protocol development
and review systems
Disadvantages
Change- and this can be a significant problem depending on
your institution
More technical process that typically requires more training
for everyone involved
More structure and less flexibility
More complex
Periodic upgrades can create lost data
Administration is typically more labor intensive (translation:
MORE WORK FOR THE ADMINISTRATOR)
If your system is web-based, and you lose web access, all
work can be lost permanently
Cost- system, maintenance, license(s), etc.
If you decide to go with an electronic
system:
BE PREPARED. It is often a case of two steps forward,
one step back
Establish a selection committee composed of IACUC
administrator, member, PIs, safety, IT, etc. to represent
various end users
Get references from current users. This can be difficult
if your institution has strict criteria for references
Do not under-estimate the need for training by IACUC
administrators, IACUC reviewers, and PIs
What we learned when implementing a
commercial system:
Need a strong relationship with your vendor
Need a champion in senior management of your institution
Listen to your vendor’s recommendations, but realize that what they
might be telling you might not be fully accurate (positive spin)
Negotiate your contract CAREFULLY
Patience really IS a virtue; glitches will happen and the process will
take longer than you think
Expect lack of participation from key stakeholders
Lack of depth needs to be avoided
Resistance from end-users should be expected
Again, training is key for success
Acknowledgements
I would like to gratefully acknowledge the following
individuals for their help and expertise:
Marcy Brown, MA, CPIA
Regulatory Compliance
Pfizer, Worldwide Research & Development
Stacy Pritt, DVM, MBA, CPIA, DACAW
Director, IACUC
UT Southwestern Medical Center