/ Institutional Review Board
Human Research Protection Program
1 Park Avenue | 6th Floor | New York, NY 10016
INSTRUCTIONS FOR PREPARING THE RESEARCH AUTHORIZATION FORM:
Please note that this shaded gray section is for instruction purposes only. Delete all of the text blocked in gray, when you are ready to prepare your Research Authorization Form. After you delete the instructions shaded in gray on the first and second page, the remaining pages of the document will shift up automatically. To enter the H# into the Header just click twice on the gray text. To exit the header, just click twice on the main text of the document.
As explained more fully in NYU Investigator’s Guide, a covered entity may permit the use and disclosure of protected health information pursuant to a completed and signed Research Authorization form. This form will need to be carefully prepared by the Principal Investigator to ensure that the form covers all the uses and disclosure necessary for the research.
This form is required by all researchers with IRB approved studies that require consent. If you will be consenting subjects after April 14, 2003, you will need to complete this form and use it as an attached addendum with your current approved IRB consent document. Subjects consented before April 14, 2003, will not have to be re-consented. The form is also available in Spanish.
You will need to insert required name specific information for each study. The requested name specific information is shaded in gray. The document will be used with your existing approved IRB consent document and you will submit one copy to the IRB office to place on file. Upon the submission of future requests for, approval of amendment, final study closure and continuation each document will be reviewed for accuracy in content by the IRB or a designated member of the IRB.
It is important to remember that each study participant will be required to sign and date the research authorization addendum. Remember to have the research participant initial and date the bottom of each page of this document.
Additional Instructions:
Please note that if your study does not involve HIV related information you may delete the following text:
HIV-related information, which includes any information indicating that you have had an HIV-related test, or have HIV infection, HIV-related illness or AIDS, or any information which could indicate that you have been potentially exposed to HIV.
Notice Concerning HIV-Related Information
If you are authorizing the release of HIV-related information, you should be aware that the recipient(s) is prohibited from redisclosing any HIV-related information without your authorization unless permitted to do so under federal or state law. You also have a right to request a list of people who may receive or use your HIV-related information without authorization. If you experience discrimination because of the release or disclosure of HIV-related information, you may contact the New York State Division of Human Rights at (212) 480-2493 or the New York City Commission of Human Rights at (212) 306-7450. These agencies are responsible for protecting your rights.
If you study does not have a sponsor or is not using a contract research organization, you can delete the bulleted information requesting this information.
If your study does not have any other possible recipients of protected health information, you may delete the bullet requesting this information.
IT IS THE RESPONSIBILITY OF THE RESEARCH STAFF TO ENSURE THAT THE COVERED ENTITY HAS ON FILE A WRITTEN ACKNOWLEDGMENT OF RECEIPT BY THE SUBJECT OF THE COVERED ENTITY’S NOTICE OF PRIVACY PRACTICES. IF THE SUBJECT HAS NOT ALREADY DONE SO, HE OR SHE MUST SIGN SUCH AN ACKNOWLEDGMENT BEFORE PARTICIPATING IN THE STUDY.
1.“Who will disclose, receive, and/or use the information?” –Please note that the persons and organizations listed beside the bullets are not intended to be all-inclusive. If a person or organization is not included on the research authorization form, that person or organization may neither receive protected health information held by the hospital nor create or use protected health information on the hospital’s premises for research purposes, and that person or organization may be unable to disclose the protected health information to any other party.
2.“What information will be used or disclosed?” – Describe the protected health information in a way that allows both the prospective subject, and any person or organization that must disclose information pursuant to this authorization, to understand what records may be used or disclosed. For example, acceptable descriptions would be “laboratory results from July 2002,” “all laboratory results,” or “results of MRI performed in July 2002.”
Where to Direct Questions about This Form. Any questions about the Research Authorization form should be directed to the Director of the NYU IRB at 212.263.4116.
DELETE EVERYTHING ON PAGES 1 AND 2.
THE ACTUAL FORM BEGINS ON THE NEXT PAGE.
THE PAGE NUMBERS WILL ADJUST AUTOMATICALLY.
THANK YOU
RESEARCH AUTHORIZATION
Title of research study:
Patient/Subject Name: ID Number:
Study#:
HHC Number: Delete this if your research does not include HCC sites
We understand that information about you and your health is personal, and we are committed to protecting the privacy of that information. Because of this commitment, we must obtain your written authorization before we may use or disclose your protected health information for the research purposes described below. This form provides that authorization and helps us make sure that you are properly informed of how this information will be used or disclosed. Please read the information below carefully before signing this form. If you have questions about this form you may contact the NYUSOM IRB at 212.263.4116.
USE AND DISCLOSURE COVERED BY THIS AUTHORIZATION
The Principal Investigator or a member of the research team must answer these questions completely before providing this authorization form to you. DO NOT SIGN A BLANK FORM. You or your personal representative should read the descriptions below before signing this form.
Who will disclose, receive, and/or use the information? This form will authorize the following person(s), class (es) of persons, and/or organization(s) to disclose, use, and receive the information:*
- Every research site for this study, including this hospital, and including each sites’ research staff, Health and Hospital Corporation research staff of NYU (include only if your research includes HHC sites. and medical staff
- Every health care provider who provides services to you in connection with this study
- Any laboratories and other individuals and organizations that analyze your health information in connection with this study in accordance with the study’s protocol
- The following research sponsors and the people and companies they use to oversee, administer, or conduct the research:
- The United States research regulatory agencies, other foreign regulatory agencies, and others as required by law
- The members and staff of the hospital’s affiliated Institutional Review Board
- The members and staff of the hospital’s affiliated Privacy Board
- Principal Investigator:
- Study Coordinator(s)
- Members of the Research Team
- The Patient Advocate or Research Ombudsman (CTSI)
- Members of the NYU/NYUMC Clinical Trials Office/Office of Research and Sponsored Programs
- Contract Research Organization: (Name )
- Data Safety Monitoring Board/Clinical Events Committee
- Others (as described below):
* If, during the course of the research, one of the companies or institutions listed above merges with or is purchased by another company or institution, this authorization to use or disclose protected health information in the research will extend to the Successor Company or institution.
What information will be used or disclosed? The appropriate bullets should be included below and the descriptions should be in enough detail so that you (or any organization that must disclose information pursuant to this authorization) can understand what information may be used or disclosed.
- Your medical records [alternatively “the following information from your medical record’]
- Your research record
- Results of laboratory tests
- Clinical and research observations made during your participation in the research
- HIV-related information, which includes any information indicating that you have had an HIV-related test, or have HIV infection, HIV-related illness or AIDS, or any information which could indicate that you have been potentially exposed to HIV.
Include this section if you are conducting a blinded study:
In some studies, researchers need to ensure that they and the various participants do not know exactly which experimental treatment they are receiving. These are often called “blinded” studies. If you are participating in such a study, you will not be able to access your research records until the researcher and sponsor are sure the study won’t be spoiled by releasing information too soon. When they are sure the study will not be spoiled, you will regain your right to see your research information. If the research does not require “blinding” of information, you will be able to access your research study information as usual.
SPECIFIC UNDERSTANDINGS
By signing this research authorization form, you authorize the use and/or disclosure of your protected health information described above. The purpose for the uses and disclosures you are authorizing is to conduct the research project explained to you during the informed consent process and to ensure that the information relating to that research is available to all parties who may need it for research purposes. Your information may also be used as necessary for your research-related treatment, to collect payment for your research-related treatment (when applicable), and to run the business operations of the hospital.
This information may be redisclosed or used for other purposes if a recipient described on this form is not required by law to protect the privacy of the information.
You have a right to refuse to sign this authorization. You may choose to speak to the researcher and/or your own physician regarding medical alternatives to the study. While your health care outside the study, the payment for your health care, and your health care benefits will not be affected if you do not sign this form, you will not be able to participate in the research described in this authorization and will not receive treatment as a study participant if you do not sign this form.
If you sign this authorization, you will have the right to revoke it at any time, except to the extent that the hospital has already taken action based upon your authorization or needs the information to complete analysis and reports of data for this research. This authorization will never expire unless and until you revoke it. To revoke this authorization, please write to [insert name of responsible person or department] at the hospital.
You also have a right to receive a copy of this form after you have signed it.
SIGNATURE: I have read this form and all of my questions about this form have been answered. By signing below, I acknowledge that I have read and accept all of the above.
Signature of Subject or Personal Representative
Description of Personal Representative
Print Name of Subject or Personal Representative
Date:
CONTACT INFORMATION: The contact information of the subject or personal representative who signed this form should be filled in below:
Address: ______
Telephone: ______(daytime) ______(evening)
Email optional):______
*****THE SUBJECT OR HIS OR HER PERSONAL REPRESENTATIVE MUST BE PROVIDED WITH A COPY OF THIS FORM AFTER IT HAS BEEN SIGNED.
Page1 of 5