1. HHS Reporting Requirements and Adverse Events
5/16/2019
HHS Reporting Requirements and Adverse Events
Michael A. Carome, M.D.
Director, Division of Compliance Oversight
Office for Human Research Protections

2. 5/16/2019
Title 45 Code of Federal Regulations Part 46 Protection of Human Subjects (Last revised June 18, 1991)

3. Educational Objectives
5/16/2019
To understand the reporting requirements under HHS regulations for the protection of human subjects (45 CFR Part 46)
What? To Whom? When? How?
To provide an overview of OHRP’s process for evaluating the reports it receives from institutions
It is important to note that regulations do not provide further subsets of “human subject.” OHRP acknowledges that there may be utility for investigators and IRBs to use terms such as primary and secondary or third-party subjects in discussing and deliberating on specific research proposals.
Nevertheless, every individual who becomes a subject of research must be afforded the protections provided by the regulations, to the extent required.

4. 5/16/2019
What adverse event reporting requirements are stipulated by HHS regulations for the protection of human subjects?
The definition of human subject only applies in the context of research as defined in 45 CFR 46.

5. 5/16/2019
What adverse event reporting requirements are stipulated by HHS regulations for the protection of human subjects? NONE
The definition of human subject only applies in the context of research as defined in 45 CFR 46.

6. What Events Need to be Reported Under 45 CFR Part 46?
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What Events Need to be Reported Under 45 CFR Part 46?
Any unanticipated problems involving risks to subjects or others.
Any serious or continuing noncompliance with 45 CFR Part 46 or the requirements or determinations of the IRB.
Any suspension or termination of IRB approval.
[45 CFR (b)(5)]
The definition of human subject only applies in the context of research as defined in 45 CFR 46.

7. Where do adverse events fit into the HHS reporting requirements? (1)
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Where do adverse events fit into the HHS reporting requirements? (1)
The HHS regulations at 45 CFR Part 46 do not reference “adverse events.”
OHRP expects that certain adverse events (AEs) will be determined by investigators and/or the IRB to be unanticipated problems involving risks to subjects; it is these AEs that must be reported in accordance with the HHS regulations.
The definition of human subject only applies in the context of research as defined in 45 CFR 46.

8. Where do adverse events fit into the HHS reporting requirements? (2)
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Where do adverse events fit into the HHS reporting requirements? (2)
To ensure compliance with 45 CFR (a) and 103(b)(5), investigators should report unanticipated serious AEs to the IRB.
The definition of human subject only applies in the context of research as defined in 45 CFR 46.

9. Where do adverse events fit into the HHS reporting requirements? (3)
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Where do adverse events fit into the HHS reporting requirements? (3)
The IRB, in reviewing such AEs should (i) carefully assess the relationship of the AE to the research interventions and interactions; (ii) determine whether the AE represents an unanticipated problem; (iii) follow written procedures for ensuring that any AE determined to be an unanticipated problem is reported per HHS regulations; and (iv) determine whether the research or informed consent document require modification.
The definition of human subject only applies in the context of research as defined in 45 CFR 46.

10. Where do adverse events fit into the HHS reporting requirements? (4)
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Where do adverse events fit into the HHS reporting requirements? (4)
Any adverse event or group of adverse events that results in suspension or termination of IRB approval of the research must also be promptly reported.
The definition of human subject only applies in the context of research as defined in 45 CFR 46.

11. 5/16/2019
Adverse Events versus Unanticipated Problems Involving Risks to Subjects
Not all adverse events are unanticipated problems involving risks to subjects or others.
Not all unanticipated problems involving risks to subjects are adverse events.
The definition of human subject only applies in the context of research as defined in 45 CFR 46.

12. 5/16/2019
To Whom Must the Events Referenced Under 45 CFR (b)(5) be Reported?
The IRB
Appropriate institutional officials
The head of the supporting Department or Agency.
OHRP
[45 CFR (a) and (b)(5)]
The definition of human subject only applies in the context of research as defined in 45 CFR 46.

13. 5/16/2019
What is the Required Time Frame for Reporting Under 45 CFR (b)(5)?
Promptly
The definition of human subject only applies in the context of research as defined in 45 CFR 46.

14. 5/16/2019
What is the Required Time Frame for Reporting Under 45 CFR (b)(5)?
Immediately
Never
The definition of human subject only applies in the context of research as defined in 45 CFR 46.
Promptly

15. How should reporting to OHRP be accomplished?
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How should reporting to OHRP be accomplished?
Submit to Division of Compliance Oversight
Regular mail, express mail, facsimile, and
Include the following information:
Project title, PI name, HHS or other Federal support
A detailed description of the incident
A description of the any corrective actions or modifications to the research required by the IRB or the institution.
Be aware that such reports are subject to release under the Federal Freedom of Information Act.
The definition of human subject only applies in the context of research as defined in 45 CFR 46.

16. What does OHRP do with the reports it receives from institutions? (1)
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What does OHRP do with the reports it receives from institutions? (1)
Log into a database and review.
Where human subjects may be at risk of harm as a result of the events, assess whether the institution, IRB, and investigators are taking appropriate action.
Assess the adequacy of the IRB’s/institution’s evaluation of the matter.
The definition of human subject only applies in the context of research as defined in 45 CFR 46.

17. What does OHRP do with the reports it receives from institutions? (2)
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What does OHRP do with the reports it receives from institutions? (2)
Assess the adequacy of the corrective actions taken or proposed:
Investigator/project specific
Systemic
Share with other relevant agencies.
Issue written response.
The definition of human subject only applies in the context of research as defined in 45 CFR 46.