The roles of irb investigators in clinical research
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The Roles of IRB & Investigators in Clinical Research. Definitions. IRB : A specially constituted review body established or designated by an entity to protect the welfare of human subjects recruited to participate in biomedical or behavioral research.

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Definitions l.jpg
Definitions

IRB: A specially constituted review body established or designated by an entity to protect the welfare of human subjects recruited to participate in biomedical or behavioral research.

RESEARCH: A systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge.

HUMAN SUBJECTS: A living individual about whom an investigator conducting research obtains data through intervention or interaction with the individual, or identifiable private information.


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Landmark Document

  • The Nuremburg Code

    Permissible Medical Experiments” Trials of War Criminals before

    the Nuermberg Military Tribunals under Control Council Law No.

    10, 1949

  • Helsinki Declaration

    World Medical Association General Assembly, Edinburgh,

    Scotland, October 2000

  • Belmont Report of 1979

    Report of the National Commission for the Protection of Human

    Subjects ot Biomedical and Behavioral Research, DHEW, April

    1979


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The federal regulations are intended to implement the basic ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.


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Policies Cited from the CFR ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

Citation Title

21 CFR 50 FDA - Protection of Human Subjects, Informed Consent

21 CFR 56 FDA - Institutional Review Boards

45 CFR 46, Subpart A DHHS - Basic Policy for Protection of Human Research Subjects (Common Rule)

45 CFR 46, Subpart B DHHS - Research Involving Fetuses, Pregnant Women, and Human In Vitro Fertilization

45 CFR 46, Subpart C DHHS - Additional Protection for Children Involved as Subjects in Research

45 CFR 46, Subpart D DHHS - Additional Protections Pertaining to Research Involving Prisoners as Subjects


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Differences Between ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.FDA and DHHS Regulations

  • The basic requirements for IRBs and for Informed Consent are congruent between the two sets of regulations. Differences center on differences in applicability:

  • The Common Rule applies to all research involving human subjects conducted, supported by any federal department or agency.

  • FDA regulations are applied primarily to use of FDA regulated products: drugs, devices, or biologics.


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Institutional Review Boards ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

CODE OF FEDERAL REGULATIONS

TITLE 45PUBLIC WELFARE

DEPARTMENT OF HEALTH AND HUMAN SERVICESNATIONAL INSTITUTES OF HEALTHOFFICE FOR PROTECTION FROM RESEARCH RISKS

PART 46PROTECTION OF HUMAN SUBJECTS

* * *

Revised June 18, 1991Effective August 19, 1991


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§46.108 IRB functions and operations ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

In order to fulfill the requirements of this policy each IRB shall:

(a) Follow written procedures in the same detail as described in 46.103 (b)(4) and to the extent required by 46.103 (b)(5).

(b) Except when an expedited review procedure is used review proposed research at convened meetings at which a majority of the members of the IRB are present, including at least one member whose primary concerns are in nonscientific areas. In order for the research to be approved, it shall receive the approval of a majority of those members present at the meeting


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IRB Responsibilities ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • Conducting initial review

  • Conducting continuing review

  • Notifying the investigators about IRB decisions

  • Determining which studies require review more

    often than annually

  • Review and approval of changes in research

    activities

  • Determining which device studies pose

    significant or non-significant risk


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IRB Responsibilities (Cont.) ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • Ensuring that changes in approved research are not initiated without IRB review and approval except where necessary to eliminate apparent immediate hazards

  • Ensuring prompt reporting to appropriate institutional officials, regulatory agencies and funding sources of:

    • unanticipated problems involving risks to subjects or others

    • serious or continuing noncompliance with federal regulations

    • suspension or termination of IRB approval


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IRB Authority ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • The IRB reviews, and has the authority to approve, require modification in, or disapprove all research activities, including proposed changes in ongoing, previously approved, human subject research.

  • The IRB has the authority to suspend or terminate the approval of ongoing, previously approved research that is not being conducted in accordance with the IRB's requirements or that has been associated with unexpected, serious harm to subjects.


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Continuing Review ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • The IRB conducts continuing review of ongoing, approved research at intervals appropriate to the degree of risk, but not less than once per year.

  • For approved research, the IRB determines which activities require continuing review more frequently than every twelve months.

  • Continuing IRB reviews are preceded by receipt of appropriate progress reports from the investigator, including available, study-wide findings.

  • Continuing review must be substantive and meaningful.


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IRB Membership ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • At least 5 members

    • at least one scientist and one lay person

  • Sufficiently qualified through experience and expertise

  • Diversity


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Criteria for IRB Approval ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • Risks to subjects are minimized

  • Risks are reasonable in relation to anticipated benefits

  • Selection of subjects is equitable

  • Informed consent is sought from each subject

  • Informed consent is appropriately documented.


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Additional Criteria Where Appropriate ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • Data collection is monitored to ensure subject safety

  • Privacy and confidentiality of subjects is protected

  • Additional safeguards are included for vulnerable populations.


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Expedited Review ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • Some specified categories of minimal risk research may be reviewed by the IRB through an expedited review procedure.

  • Expedited review may be carried out by the IRB chair or by one or more designated IRB members.

  • All of the requirements for IRB approval of research apply equally to expedited review. Expedited review should not be viewed as a less rigorous review.

  • Under expedited review, the reviewers may exercise all of the authorities of the IRB, except that the reviewers may not disapprove the research.


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Expedited review procedures may be used for- ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • Research appearing on the list and found by the reviewer to involve no more than minimal risk

  • Minor changes in previously approved research during the authorized approval period of one years or less.


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Important Considerations ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • IRB’s responsibility is the protection of human subjects

  • IRB activity is governed by a strict set of regulations with oversight from the Office for Research Protection (OPRR)


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Requirements for IRB Convened Meetings ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • a majority of the members of the IRB must be present and at least one nonscientist must be present

  • if the required number of members is lost during a meeting, no action may be taken until it is restored

  • in order for research to be approved, it must receive the approval of a majority of those members present at the meeting


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IRB Minutes ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • Minutes of IRB meetings must include:

  • attendance at the meetings

  • actions taken by the IRB

  • the vote on these actions including the number of members voting for, against, and abstaining

  • the basis for requiring changes in or disapproving research

  • documentation of specific findings required by the regulations, and

  • a written summary of the discussion of debated issues and their resolution


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IRB Records ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • copies of all research proposals reviewed, scientific evaluations, if any, that accompany the proposals, approved sample consent documents, progress reports submitted by investigators, and reports of injuries to subjects;

  • minutes of IRB meetings;

  • records of continuing review activities;

  • copies of all correspondence between the IRB and the investigators;

  • a list of IRB members;

  • written procedures for the IRB

  • statements of significant new findings provided to subjects


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Important Considerations ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • IRB is NOT responsible for fostering of research

  • Regulations are vague and subject to collective interpretation of the IRB members

  • IRB members review protocols outside of their area of expertise

    • protocols must be clear and understandable


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Important Considerations ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • Protocols are usually reviewed by two members

    • usually one with expertise/experience

    • one with general knowledge

  • IRB submission is NOT an NIH grant nor is it a submission to the FDA

  • Lack of scientific merit renders a protocol unethical


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IRB Initial Review ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

The process of protocol review and approval not only improves the protection of research participants, it improves the research itself.

The IRB is a speed bump on my road to progress.

IRB

P.I.


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Continuing Review ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

The progress report is just one more opportunity for the IRB to obstruct my research.

Continuing review of every protocol is an important component of human subject protections.

IRB

P.I.


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Adverse Events Reporting ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

Give me a break! What does the IRB know about adverse events?

An IRB must be made aware of adverse events - this is the only way to provide continuing assessment of the risks and potential benefits of the study.

IRB

P.I.


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The Relationship Between the Investigator and the IRB ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

The IRB

Finally!

Have a nice trip! See you next time!!

The P.I.


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The Relationship Between the Investigator and the IRB ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

Here’s a phone card, call to check in. Call immediately if something bad happens. If we don’t hear from you, your trip is cancelled!

What!

The P.I.

The IRB


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The Relationship Between the Investigator and the IRB ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

And remember… plan to get together a few times during your trip.

Oh joy!

The IRB

The P.I.


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Investigators’ Responsibilities ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • Regulatory Documentation

  • IRB Correspondence

  • Informed Consent Process

  • Recruitment Procedures

  • Subject Selection Criteria

  • SAE Reporting

  • Drug/Device Accountability

  • CRF/Source Documentation

  • Record Keeping

  • Allocation of Responsibilities


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Protocol ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

FDA 1572, 1571

CVs

Enrollment log

Monitoring log

Staff signature log

IB or DM

Copy of normal lab values

Lab Certification

Clinical Investigator Financial Disclosure form

All correspondence to and from sponsor and/or FDA

Regulatory Documentation


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IRB Documentation ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • All correspondence (e.g. e-mails, submission…) between investigators /study staff and HRC

  • IRB Initial approval

  • IRB continuing review

  • Amendments

  • Violations/deviations (including sponsor-approved protocol deviations)


Recruitment procedures l.jpg
Recruitment Procedures ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • Recruitment methods stated in the protocol

  • Identify potential subjects

  • Make initial contact

  • Recruitment material

  • IRB approval


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Informed Consent Process ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • IRB approval

  • Different versions (expiration date)

  • Investigator sign and date consent form

  • Subject sign and date consent form

  • Copy to subjects


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Subject Selection Criteria ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • Eligibility checklist

  • Signature/initials and date

  • Protocol deviation


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Adverse Event Reporting ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • Institution/sponsor guidelines vs. Federal Regulations

  • Interventional vs. non-interventional

  • Serious vs. Non-serious


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Drug/Device Dispensing ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

Accountability:

Dispensing log

Shipping/receiving

CRF/SD:

Consistency

Dated signature /initials

Cross-outs

Drug Dispensing and CRF


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Record Keeping ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • Regulatory binder/folder

  • IRB Binder/folder

  • Study file for EACH subject


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Allocation of Responsibilities ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • Initial submission

  • Progress report for continuing review

  • SAE/AE reporting

  • Obtaining informed consent


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Handling Non-Compliance ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • Reporting

  • Note to File

  • Corrective Actions

  • Follow-up


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Common Findings ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

1. Source Documentation

2. Lab Documentation

3. Investigator Brochure

4. NIH Progress Report/DSMB

5. Curriculum Vitae (CVs)

6. Study Logs

7. Eligibility Criteria Checklist

8. Consent Form Issues

9. Protocol deviations, violations

10. Record Keeping


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Helpful Websites ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • FDA - http:// www.fda.gov

  • NIH - http:// www.nih.gov

  • OHRP- http://ohrp.osophs.dhhs.gov

  • FDA IRB Guidance document - http:// www.fda.gov/oc/oha/IRB/toc.html

  • Code of Federal Regulations - http:// www.access.gpo.gov/nara/cfr/cfr-table-search.html


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Helpful Websites (Cont.) ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • OHRP Compliance Oversight

    • http://ohrp.osophs.dhhs.gov/compovr.htm

  • OHRP Compliance Findings & Guidance

    • http://ohrp.osophs.dhhs.gov/references/findings.pdf

  • OHRP Education Materials

    • http://ohrp.osophs.dhhs.gov/educmat.htm

  • FDA Warning Letters

    • www.fda.gov/foi/warning.htm


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Helpful Websites (Cont.) ethical principles governing the conduct of human research. These ethical principles are set forth in the Belmont Report. No one should be involved in human research at any level without being familiar with these ethical principles.

  • FDA Information Sheets

    • http://www.fda.gov/oc/oha/irb/toc3.html#contreview

  • FDA MedWatch (AE Reporting)

    • http://www.fda.gov/medwatch/report/desk/tpcfinal.htm#toc

  • PRIM&R

    • http://www.primr.org/

  • Bioethics Resources

    • http://www.nih.gov/sigs/bioethics/