Research
 research

Policies and Regulations (IRB, IACUC, ORI, Research Grants)

The Institution is responsible for adherence to federal, state, and local research regulations. The primary regulations involve:

  1.  Research involving human subjects
  2.  IRB Packet
  3.  Human subjects research ethics program
  4.  Research involving the use of animals
  5.  Scientific Misconduct
  6.  Research Grants
  7.  Clinical Research Release Time
  8.  Property Control and Loaned Research Equipment
  9.  Associate Dean: Duties
  10. Technology Transfer

Research involving human subjects

All faculty, staff, or students planning to conduct research using human subjects must adhere to our Institutional Review Board IRB research policy. Our Federal Wide Assurance (FWA) document specifies this institution's assurance with respect to human subjects research and is listed at the NIH website. Additional information can be found at the NIH website of the Office of Human Subjects Research.

IRB Packet

The process begins by notifying the Associate Dean of an intention to conduct research using human subjects. The Associate Dean will then send the IRB application packet and the Notice of Privacy Practices to the researcher by e-mail. The packet requests information about all personnel, the nature of the research, the human subject consent form, the completion of the human subjects research ethics educational program (see below) as well as completion of all HIPAA training requirements (contact rramautar@sunyopt.edu). Once completed, the application should be sent to the Associate Dean for preliminary review, who then forwards it to the Chair of the IRB for IRB review. For reviews preparatory to research, please use this form Researcher Certification For Reviews Preparatory To Research. For the institution's statement on HIPAA policy related to research, please read SUNY-O Policy and Procedure on Research Subjects' Right to Privacy -final 5/13/03.

Human subjects research ethics program

After a decision regarding IRB approval is made by the IRB, a letter is generated to the principal investigator of the research. Included in this letter is a statement regarding administrative approval for the use of institutional resources. The Associate Dean maintains records of all IRB approved research activity (as does the Chair of the IRB), monitors compliance, and sends annual written notification to each investigator at the end of the approval period.

The Associate Dean also makes sure that all personnel listed in the application have completed the College's Human Subjects Research Ethics Education program requirement, the CITI program, as mandated by our Federal Wide Assurance with the Office of Human Research Protection. To complete this program, please select the SUNY Core Course section and check SUNY-Optometry's specific instructions. Note that this institution's requirements are to complete ONLY the Biomedical research section. The core modules are as follows: 1-5, 7, 9-10, 12, 14-16. The remaining four modules (6, 8, 11, 13) are only required if your research applies to those areas. After completing the training program, be sure to answer all survey questions and submit your test results for review. You should receive an e-mail attachment "Certificate of Completion" from my office in 7-10 days.

Research involving the use of animals

All faculty, staff, or students planning to conduct research using animals must follow this institution's research policy by submitting an IACUC protocol form to the Associate Dean who will then forward it to our local IACUC (Institutional Animal Care and Use Committee) for review. The Office of Laboratory Animal Welfare, OLAW, handles all institutional assurances. Our document specifies this institution's assurance with respect to animal research.

After a decision regarding IACUC approval is made, a letter is generated to the principal investigator of the research. Included in this letter is a statement regarding administrative approval for the use of institutional resources. The Associate Dean maintains records of all IACUC approved research activity (as does the Chair of the IACUC), monitors compliance, and sends annual written notification to each investigator at the end of the approval period.

The animal facility is also in compliance with all regulations mandated by the United States Department of Agriculture, USDA.

Scientific misconduct

This institution also complies with the Public Health Service's Office of Research Integrity (ORI) in all matters regarding accusations of scientific misconduct. This institution's Scientific Misconduct Assurance is current.

Research grants

All researchers who apply for external funds to support their own research ideas or who wish to conduct the research protocol of another external agency (e.g., ophthalmic or pharmaceutical company) must submit to the Office of the Associate Dean for Graduate Studies and Research either the research grant proposal informaion and the Internal SUNY Form or its evaluative testing agreement form, respectively. Completed forms must be signed and approved by the Associate Dean, the Vice President for Administration and Business Affairs, and the Vice President and Dean for Academic Affairs (if clinical release time is requested).

Effective 10/1/03, OMB has directed federal agencies to require applicants provide a Dun and Bradstreet (D&B) Data Universal Numbering System (DUNS) number when applying for federal grants or cooperative agreements.  This number will be required whether submitting paper or electronic applications and whether applying for new or renewal awards. 

Please see "Faculty Research Postaward info" section here for further information on F & A rates, fringe benefits, DHHS agreements, etc.

Clinical Research Release Time

All faculty assigned to the Department of Clinical Sciences must also complete a request for clinical research release time in order to be released from teaching or patient care duties.

Property Control and Loaned Research Equipment

All faculty and staff are required to follow the college guidelines with respect to property control.  

All faculty and staff are required to follow the college guidelines with respect to loaned or borrowed (non-institutional) research equipment.  With respect to loaned equipment, any faculty member who is approached or approaches a corporate sponsor regarding the loan of a piece of equipment to the College must follow the guidelines below.  This can occur if the loaned equipment is for individual use, teaching, clinical patient care activities, part of a clinical trail (evaluative testing agreement, ETA, see above), or a research grant.  

Equipment Loan Policy
SUNY College of Optometry

Companies may periodically contact clinical or non-clinical faculty or staff of this College and offer to lend us equipment.   Faculty or staff may also sometimes request the use of equipment from others.  The College policy on equipment to be loaned to us is:

  1. If the equipment is designated solely for patient care or clinical education, clinical faculty should inform their Clinical Service Chief.  Non-clinical faculty should inform their Department Chair. Form A/B should be submitted (see attached). 
  2. If the equipment is designated for research, faculty should inform the Associate Dean for Graduate Studies and Research and submit Form A/B
  3. If a piece of equipment has multi-purposes, e.g., clinical patient care and research, it should be submitted to both the Service Chief and the Associate Dean.
  4. No faculty should independently negotiate the lending of a piece of equipment directly with a representative from a company or other entity.
  5. The College supervisor (Service Chief, Department Chair, or Associate Dean) will review Form A/B and sign indicating approval or non-approval.
  6. Form A/B will then be forwarded to the appropriate body for review and action:
  7. Final approvals will be given by the appropriate VPs.  The President will be sent copies of these approvals.   
    - Patient Care equipment to the Clinic Council.
    - Teaching equipment to the Department Chair.
    - Research equipment to the IRB or IACUC, respectively.
  8. As per HIPAA regulations, any UOC patient data in stored in the loaner equipment must be erased or removed prior to returning the equipment unless the equipment has been used as part of an IRB approved research study.  In that case, data collected under a Research Foundation contract data may be maintained, but all subject identifiers must be removed prior to return of the loaned equipment.    

Associate Dean: Duties

  1. Inform individuals of relevant funding sources and encourage submission of research grants.
  2. Regularly evaluate infrastructure support for research and make appropriate recommendations to the Dean.
  3. Regularly meet with faculty with research assignments and monitor research productivity.
  4. Make recommendations to the Dean regarding the allocation of research/laboratory space after consultation with relevant department chairs.
  5. Participate in the recruitment of faculty members with research assignments and make recommendation to the Dean.
  6. Coordinate the visiting scientist program.
  7. Review requests for research release time by clinical faculty and make recommendations to the Dean.
  8. Coordinate programs and workshops, e.g., grant writing, that support basic and clinical research.
  9. Represent the College on matter related to research.
  10. Prepare an annual budget and monitor this budget with regard to research activities.
  11. Oversee the implementation of the institution as strategic plan that relates to research.
  12. Prepare an annual report on research activities and submit it to the Dean on June 15.
  13. Assist the Dean by assuming related duties and responsibilities related to research but not listed here.
  14. Oversee the administrative functioning of the College as Institutional Review Board (IRB).
  15. Oversee the administrative functioning of the College as Institutional Animal Care and Use Committee (IACUC).
  16. Act as the Institution as official signatory on all federal and non-federal research grant applications.
  17. Represent the institution to the Public Health Service as Office of Research Integrity (ORI) in all matters regarding accusations of scientific misconduct.
  18. Administratively oversee technical and other support services for the college as research mission (e.g., research computer service, electronic shop, machine shop, animal care facility).
Technology Transfer (patents)

The College of Optometry encourages and supports scientific discovery and disclosure resulting in potential inventions and patents. If you have an idea for such, please schedule an appointment to meet with the Associate Dean for Research. In preparation, please check the following website: http://www.rfsuny.org/. Follow the link to Technology Transfer and read it thoroughly.

After discussion with the Associate Dean, click on "forms" at the top of the page to submit an online New Technology Disclosure form. Please remember to submit the print copy of the form and to the Office of the Associate Dean.

It is also often a good idea to speak with the VP for Technology Transfer at SUNY RF before submitting the New Technology Disclosure form.
Guven Yalcintas
RF of SUNYPO Box 9
Albany, NY 12201-0009
518 434-7167
fax 518 434-9108
Guven.Yalcintas@rfsuny.org