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The New School (TNS) Determination form: Non-compliance, AEs, UPs, Complaints

1. "Non-Compliance" Definitions: YES or NO: Does the incident meet the definition of “non-compliance”? (none or multiple may apply) A situation, incident, event or process in human subjects (HS) research, that is inconsistent with any: Ethical principles of HS research as described in the Belmont Report, OR Applicable federal, state, or local regulations governing HS research, OR TNS policies, procedures, or guidance governing human subjects research, OR Research activities as approved by the IRB, including any IRB requirements or determinations If "YES" to "non-compliance," then: 1.2 YES or NO: Does the incident meet the definition of “serious” non-compliance? The incident of non-compliance (as indicated above) significantly: Increase risks to, or jeopardize the safety, welfare, or rights of subject(s) or others, OR Decrease potential benefits (including the scientific integrity of the research) 1.3 YES or NO: Does the incident meet the definition of “continuing” non-compliance? A pattern of repeated non-compliance which continues after initial discovery and IRB approval of a corrective action plan and that: Suggests that non-compliance will continue, if there is no intervention, OR Increases the risk of serious non-compliance, OR If continued, could significantly increase risks to, or jeopardize the safety, welfare, and/or rights of subject(s) or others, OR If continued, could decrease potential benefits (including the scientific integrity of the research) 1.4 YES or NO: Does the incident meet the definition of “minor” non-compliance? The incident of non-compliance (as indicated above) is neither "serious" nor "continuing" 2. "Unanticipated Problem" Definition: YES or NO: Does the incident meet the definition of an “unanticipated problem” (UP)? (all 3 criteria must apply)

Unexpected (in terms of nature, severity, or frequency) given (a) the research procedures that are described in the protocol-related documents, such as the IRB-approved research protocol and informed consent document; and (b) the characteristics of the subject population being studied; AND Related or possibly related to participation in the research (in this guidance document, possibly related means there is a reasonable possibility that the incident, experience, or outcome may have been caused by the procedures involved in the research); AND Suggests that the research places subjects or others at a greater risk of harm (including physical, psychological, economic, or social harm) than was previously known or recognized. 3. "Adverse Event" Definition: YES or NO: Does the incident meet the definition of an “adverse event” (AE)? AE: Any physical, psychological, economic, or social harm, that may be temporally associated with the subject’s participation in the research, whether or not considered related to the subject’s participation in the research. Page 1 of 2

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The New School (TNS) Determination form: Non-compliance, AEs, UPs, Complaints

Determinations and Actions: HPA, IRB Chair or Full Board determination (at least one must apply): Does NOT meet criteria of “non-compliance” Explain: "Minor" non-compliance, (HPA for 'exempt' HSR or IRB chair for ‘expedited IRB review’) "Serious" non-compliance, determined during convened IRB meeting (see "Reporting" below) "Continuing" non-compliance determined during convened IRB meeting (see "Reporting" below) Meets definition of "unanticipated problem" (see "Reporting" below) Meets definition of "adverse event" (see "Reporting" below) Further Actions (at least one must apply): No further action required (beyond the documentation in this form). Documentation of additional education/training of the researcher(s) needed The PI's corrective actions and researcher’s assessment of risk/benefit ratio is acceptable. IRB-requires further corrective actions, or proposed corrective actions require revision. The IRB requires other actions: Explain: The IRB has "suspended" or "terminated" approval of the study (see "Reporting" below) External Reporting (if applicable): The study is: YES or

NO: funded or conducted by Dept. of Health and Human Service (HHS), OR

YES or

NO: funded or conducted by Common Rule Federal Agency?

If "NO" to both, then no reporting to the OHRP Division of Compliance Oversight (DOC) If "YES" to either, then: follow the process described in the “Guidance on Reporting Incidents to OHRP” regarding reported to OHRP-DOC. Other Reporting required to other entity/agency? Explain:

References: http://www.hhs.gov/ohrp/assurances/index.html http://www.hhs.gov/ohrp/humansubjects/guidance/45cfr46.html http://www.hhs.gov/ohrp/compliance/reports/index.html http://www.hhs.gov/ohrp/policy/advevntguid.html http://www.hhs.gov/ohrp/sachrp/mtgings/mtg03-09/present/deviations_examples_from_protocols.doc http://answers.hhs.gov/ohrp/categories/1567

Page 2 of 2

HRPP Checklist for determining NC-AE-UP-Complaints.pdf ...

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