1. Human Research Protection Program Training: Post-Approval Event Reporting March 26, 2008 Lisa Voss, MPH, CIP Assistant Director, QIU Human Research Protection Program Lisa.Voss@ucsf.edu 514-2152

2. 3/26/08 Outline for Today Roles of the QIU and CHR Types of Post-Approval Events Post-Approval Event Reports Forms Tips Q&A

3. 3/26/08 What is the Role of the QIU? Provide Quality Assurance (QA) and Quality Improvement (QI) activities Work with the CHR to assure rights and welfare of human research participants and reduce risk

5. 3/26/08 QIU Activities Review post-approval event reports Conduct routine site reviews of clinical research studies Conduct directed or for cause on-site reviews of clinical research studies Emergency Use requests

6. 3/26/08 Post-Approval Event Reports Adverse Events Protocol Violations Protocol Incidents Subject or Researcher Concerns and Complaints Approval Lapses

7. 3/26/08 Post-Approval Event Reports Investigator Brochure updates Safety Information or Significant New Finding DSMB/DMC Report Audit Reports Holds on Study Activities Subject Injury Complaints Study Close-Out Reports

8. Adverse Events (AE’s) and Serious Adverse Events (SAE’s) Determining What To Report and What NOT To Report

9. 3/26/08 Adverse Events (Internal) PI determines event to be: Definitely, Probably, or Possibly Related AND Serious or Unexpected Report within 10-working days on Internal AE Reporting Form

10. 3/26/08 Adverse Events (Internal) Death – Unrelated to research as determined by the PI Only for interventional studies Report at time of Renewal or Major Modification via the AE Summary Log

11. 3/26/08 Adverse Events (External) PI determines that the event: Changes the study risks or benefits OR Requires a modification to the CHR Application or the Consent form Report within 10-working days on External AE Reporting Form

12. 3/26/08 Adverse Events (External) AE’s that do not meet the previous criteria: Reporting not required by CHR If Sponsors requires reporting use the AE Summary Log

13. Protocol Violations Determining What To Report and What NOT To Report

14. 3/26/08 Protocol Violations (Major) Unapproved changes, deviations, or departures from study design that are: Under the PI’s control and Have not been reviewed and approved by the CHR AND May affect participants rights, safety or well-being or impact study data Report within 10-working days on Violation/Incident Reporting Form

15. 3/26/08 Protocol Violations (Minor) Also known as Protocol Deviations Unapproved changes, deviations, or departures from study design that are: Under the PIs control and Have not been reviewed and approved by the CHR BUT Do not impact participants rights, safety or well-being or impact study data Reporting NOT Required – document in study file

16. Protocol Incidents Determining What To Report and What NOT To Report

17. 3/26/08 Protocol Incidents (Major) Any problematic or unanticipated event related to: Conduct of the study or subject participation and involves significant potential harm to the participants. Subject Complaints Report within 10-working days on Violation/Incident Reporting Form

18. 3/26/08 Protocol Incidents (Minor) Any problematic or unanticipated event related to: Conduct of the study or subject participation and does not involve significant potential harm to the participants. Subject Complaints Reporting NOT Required

19. Other Events and Safety Information Other Reports

20. 3/26/08 Other Events and Safety Reports Investigator Drug Brochure Safety Information or Updates DSMB/DMC Reports Audit Reports Hold on Study Activities Report within 10-working days on Reporting Form

21. 3/26/08 Study Close-Out Reports Updates CHR on conduct of study since last renewal Required for: Studies that received full-committee review at any time Expedited Review studies that involved participant contact

22. 3/26/08 When NOT to Submit Do not close-out a study if: local enrollment to the study is ongoing local research-related interventions are ongoing local participant follow-up is ongoing data analysis or manuscript preparation that involves use or access to individually identifiable information is ongoing An IRB approved Tissue Bank is approved under the study

23. CHR and QIU Role in Post- Approval Event Reports

24. 3/26/08 CHR Review Process Note report and keep in CHR file Request: Additional information Require a modification Flag study for future educational efforts, website guidance, and/or monitoring visits Temporarily or permanently suspend and terminate enrollment in study

25. 3/26/08 CHR Review Outcome Determine if the report is an: Unanticipated Problem or Serious or Continuing Non-Compliance

26. 3/26/08 Unanticipated Problem An Unanticipated Problem involving risk to participants and or others, is defined on the basis of whether the event is: Unanticipated or unexpected. Involves risks to participants or others. Related to the research

27. 3/26/08 Serious Noncompliance Failure to follow state or federal regulations for protection of the rights and welfare of study participants, University policies or the requirements or determinations of the CHR and that, in the judgment of the CHR Chair, Vice Chair, convened CHR Panel or AVC-R, results in, or indicates a potential for:

28. 3/26/08 Serious Noncompliance a) a significant risk to enrolled or potential participants or others, or b) compromises the integrity of the study.

29. 3/26/08 Continuing Noncompliance Pattern of noncompliance that, in the judgment of the CHR Chair, Vice- Chair, convened CHR Panel or the AVC-R, suggests: the likelihood that instances of noncompliance will continue without intervention.

30. 3/26/08 CHR Regulatory Reporting Requirements Federal Departments Office for Human Research Protection (OHRP) FDA SF Veterans Affairs (if VA study) Associate Vice Chancellor for Research UCSF Legal Affairs (in certain cases) Study Sponsor Other offices or groups as required by the nature of the study

31. Top Tips and Additional Discussion Points

32. 3/26/08 Tips Submit reports only once: either by fax or campus mail Consult with the QIU Identify CHR Approval (H number) and PI when calling PI must sign all post-approval event reports

33. 3/26/08 Ask Questions Ask your PI or Mentor Call the QIU: 415-476-1814 Email QIU: qiu@ucsf.edu http://www.research.ucsf.edu/chr/