Food and Drug Administration

INFORMATION SHEETS

Guidance for Institutional Review Boards and Clinical Investigators

1998 Update


APPENDIX H

 

A Self-evaluation Checklist for IRBs

 

 

The Food and Drug Administration (FDA) has regulations that govern human subject protection aspects of research on products regulated by the Agency. In addition, other federal agencies and departments and some States have regulations that govern human subject protection. Each IRB/institution should be familiar with the laws and regulations that apply to research reviewed by the IRB. This checklist was developed to help IRBs/institutions evaluate procedures for the protection of human subjects of research.

 

Successful IRBs make use of written procedures that, in one way or another, cover a common core of topics. This checklist is an effort to present these topics in a systematic way. Written procedures for some of the items are not specifically required by FDA regulations (e.g., policy regarding place and time of meeting) but are appropriate to consider when comprehensive procedures are being developed.

 

Once an IRB/institution establishes its structure and procedures, those procedures should be followed. FDA inspections assess compliance with both the regulatory requirements and the IRB/institution's own written procedures. Since the written procedures should reflect the current processes, the written procedures should be reviewed on a regular basis and updated as necessary to remain current. FDA believes that when good procedures are developed, written, and followed, the rights and welfare of the subjects of research are more likely to be adequately protected.

 

Tips on checklist use:

 

  Three "response" columns are provided -- "Yes," "No," and N/A." A "Yes" means   that the institution has a written policy/procedure and that it is current. A   "No" may mean that a policy/procedure is lacking or needs to be updated. The   "N/A" column indicates that a topic is not applicable or a procedure is not   needed by the IRB.

 

  The columns may be completed by checking the appropriate box. Instead of a   check-mark, some IRBs record the date of issuance or revision date. Others   have found it useful to record the policy/procedure number on the form. Any   "No" responses indicate a need to write/revise policies and/or procedures.

 

 FOOTNOTED items are referenced in the FDA regulations. ASTERISKED items are those for which WRITTEN PROCEDURES are specifically required by the FDA regulations.

 

 

 

DOES THE INSTITUTION HAVE WRITTEN POLICIES OR PROCEDURES THAT   DESCRIBE:

 

 

YES  NO    N/A 

 

___   ___   ___

I. THE INSTITUTIONAL AUTHORITY UNDER WHICH THE IRB IS ESTABLISHED AND EMPOWERED. ¾

 

___   ___   ___

II. THE DEFINITION OF THE PURPOSE OF THE IRB, i.e., THE PROTECTION OF HUMAN SUBJECTS OF RESEARCH.

 

___   ___   ___

III. THE PRINCIPLES WHICH GOVERN THE IRB IN ASSURING THAT THE RIGHTS AND WELFARE OF SUBJECTS ARE PROTECTED.

 

 

IV.   THE AUTHORITY OF THE IRB.

___   ___   ___

A. The scope of authority is defined, i.e., what types of studies must be reviewed.

___   ___   ___

B. Authority to disapprove, modify or approve studies based upon consideration of human subject protection aspects.4

___   ___   ___

* C. Authority to require progress reports from the investigators and oversee the conduct of the study.5

___   ___   ___

* D. Authority to suspend or terminate approval of a study.6

___   ___   ___

*E. Authority to place restrictions on a study.7

 

 

V.  THE IRB'S RELATIONSHIP TO

___   ___   ___

A. The top administration of the institution.

___   ___   ___

B. The other committees and department chairpersons within the institution.

___   ___   ___

C. The research investigators.

___   ___   ___

D. Other institutions.

___   ___   ___

 E. Regulatory agencies.

 

 

 

VI.  THE MEMBERSHIP OF THE IRB.

___   ___   ___

A. Number of members.8

___   ___   ___

B. Qualification of members.9

___   ___   ___

C. Diversity of members10(for example, representation from the community, and minority groups), including representation by:

___   ___   ___

--both men and women11

___   ___   ___

-- multiple professions12

___   ___   ___

 -- scientific and non-scientific member(s)13

___   ___   ___

 -- not otherwise affiliated member(s)14

___   ___   ___

D. Alternate members (if used).

 

 

 

VII.  MANAGEMENT OF THE IRB.

___   ___   ___

A. The Chairperson

___   ___   ___

-- selection and appointment

___   ___   ___

-- length of term/service

___   ___   ___

-- duties

___   ___   ___

-- removal

 

B. The IRB Members.

___   ___   ___

-- selection and appointment

___   ___   ___

-- length of term/service and description of staggered rotation or overlapping of terms, if used

___   ___   ___

-- duties

___   ___   ___

-- attendance requirements

___   ___   ___

--removal

___   ___   ___

C. Training of IRB Chair and members

___   ___   ___

-- orientation

___   ___   ___

-- continuing education

___   ___   ___

-- reference materials (IRB library)

___   ___   ___

D. Compensation of IRB members.

___   ___   ___

E. Liability coverage for IRB members.

___   ___   ___

F. Use of consultants.15

___   ___   ___

G. Secretarial/administrative support staff (duties).

___   ___   ___

H. Resources (for example, meeting area, filing space, reproduction equipment, computers).

___   ___   ___

I. Conflict of interest policy

___   ___   ___

-- no selection of IRB members by investigators

___   ___   ___

-- prohibition of participation in IRB deliberations and voting by investigators.16

 

 

VIII.  FUNCTIONS OF THE IRB.

___   ___   ___

* A. Conducting initial and continuing review.17

___   ___   ___

* B. Reporting, in writing, findings and actions of the IRB to the investigator and the institution.18

___   ___   ___

* C. Determining which studies require review more often than annually.19

___   ___   ___

* D. Determining which studies need verification from sources other than the investigators that no material changes have occurred since previous IRB review.20

___   ___   ___

E. Ensuring prompt reporting to the IRB of changes in research activities. 21

___   ___   ___

* F. Ensuring that changes in approved research are not initiated without IRB review and approval except where necessary to eliminate apparent immediate hazards. 22

___   ___   ___

G. Ensuring prompt reporting to the IRB, appropriate institutional officials, and the FDA of:

___   ___   ___

* -- unanticipated problems involving risks to subjects or others23

___   ___   ___

* -- serious or continuing noncompliance with 21 CFR parts 50 and 56 or the requirements of the IRB24

___   ___   ___

* -- suspension or termination of IRB approval.25

 

 

___   ___   ___

H. Determining which device studies pose significant or non-significant risk.

 

 

 

IX.  OPERATIONS OF THE IRB.

___   ___   ___

* A. Scheduling of meetings. 26

___   ___   ___

B. Pre-meeting distribution to members, of, for example, place and time of meeting, agenda, and study material to be reviewed.

___   ___   ___

C. The review process

___   ___   ___

* -- description of the process ensuring that 27

___   ___   ___

1) all members receive complete study documentation for review (see XI.B);

 

or

___   ___   ___

2) one or more "primary reviewers"/"secondary reviewers" receives the complete study documentation for review, reports to IRB and leads discussion; if other members review summary information only, these members must have access to complete study documentation

___   ___   ___

-- role of any subcommittees of the IRB

___   ___   ___

* -- emergency use notification and reporting procedures 28

___   ___   ___

* -- expedited review procedure 29

___   ___   ___

-- for approval of studies that are both minimal risk and  on the FDA approved list (see Appendix A)

___   ___   ___

-- for approval of modifications to ongoing studies involving no more than minimal risk

___   ___   ___

D. Criteria for IRB approval contain all requirements of 21 CFR 56.111.

___   ___   ___

E. Voting requirements 30

___   ___   ___

-- quorum required to transact business

___   ___   ___

-- diversity requirements of quorum (for example requiring at least one physician member when reviewing studies of FDA regulated articles)

___   ___   ___

-- percent needed to approve or disapprove a study

___   ___   ___

-- full voting rights of all reviewing members

___   ___   ___

-- no proxy votes (written or telephone)

___   ___   ___

-- prohibition against conflict-of-interest voting

___   ___   ___

F. Further review/approval of IRB actions by others within the institution. (Override of disapprovals is prohibited.)31

___   ___   ___

G. Communication from the IRB.

___   ___   ___

* - to the investigator for additional information 32

___   ___   ___

* - to the investigator conveying IRB decision 33

___   ___   ___

* - to institution administration conveying IRB decision 34

___   ___   ___

_- to sponsor of research conveying IRB decision

___   ___   ___

H. Appeal of IRB decisions.

___   ___   ___

- criteria for appeal

___   ___   ___

- to whom appeal is addressed

___   ___   ___

- how appeal is resolved (Override of IRB disapprovals by external body/official is prohibited.) 35

 

 

 

X.  IRB RECORD REQUIREMENTS.

___   ___   ___

A. IRB membership roster showing qualifications 36

___   ___   ___

* B. Written procedures and guidelines. 37

___   ___   ___

C. Minutes of meetings. 38

___   ___   ___

- members present (any consultants/ guests/others shown separately)

___   ___   ___

- summary of discussion on debated issues - record of IRB decisions

___   ___   ___

- record of voting (showing votes for, against and abstentions)

___   ___   ___

D. Retention of protocols reviewed and approved consent documents 39

___   ___   ___

E. Communications to and from the IRB.40

___   ___   ___

* F. 1) Adverse reactions reports, and 41

___   ___   ___

2) documentation that the IRB reviews such reports.

___   ___   ___

_H. Records of continuing review.42

___   ___   ___

I. Record retention requirements. (at least 3 years after completion for FDA studies) 43

___   ___   ___

J. Budget and accounting records.

___   ___   ___

K. Emergency use reports. 44

___   ___   ___

_L. Statements of significant new findings provided to subjects.45

 

 

 

XI.  INFORMATION THE INVESTIGATOR PROVIDES TO THE IRB.

___   ___   ___

A. Professional qualifications to do the research (including a description of necessary support services and facilities).

___   ___   ___

B. Study protocol which includes/addresses 46

___   ___   ___

- title of the study.

___   ___   ___

- purpose of the study (including the expected benefits obtained by doing the study).

___   ___   ___

- sponsor of the study.

___   ___   ___

- results of previous related research.

___   ___   ___

- subject inclusion/exclusion criteria.

___   ___   ___

- justification for use of any special/vulnerable subject populations (for example, the decisionally impaired, children)

___   ___   ___

- study design (including as needed, a discussion of the appropriateness of research methods).

___   ___   ___

- description of procedures to be performed.

___   ___   ___

- provisions for managing adverse reactions

___   ___   ___

- the circumstances surrounding consent procedure, including setting, subject autonomy concerns, language difficulties, vulnerable populations

___   ___   ___

- the procedures for documentation of informed consent, including any procedures for obtaining assent from minors, using witnesses, translators and document storage.

___   ___   ___

- compensation to subjects for their participation.

___   ___   ___

- any compensation for injured research subjects.

___   ___   ___

- provisions for protection of subject's privacy.

___   ___   ___

- extra costs to subjects for their participation in the study.

___   ___   ___

- extra costs to third party payers because of subject's participation.

___   ___   ___

C. Investigator's Brochure (when one exists) 47

___   ___   ___

D. The case report form (when one exists)

___   ___   ___

E. The proposed informed consent document 48.

___   ___   ___

- containing all requirements of 21 CFR 50.25(a)

___   ___   ___

- containing requirements of 21 CFR 50.25(b) that are appropriate to the study.

___   ___   ___

- meeting all requirements of 21 CFR 50.20

___   ___   ___

- translated consent documents, as necessary, considering likely subject population(s)

___   ___   ___

* F. Requests for changes in study after initiation.49

___   ___   ___

* G. Reports of unexpected adverse events.50

___   ___   ___

* H. Progress reports.51

___   ___   ___

I. Final report.

___   ___   ___

J. Institutional forms/reports

 

 

___   ___   ___

XII.  EXEMPTION FROM PROSPECTIVE IRB REVIEW52

___   ___   ___

* A. Notify IRB within 5 working days 53

___   ___   ___

B. Emergency use 54

___   ___   ___

C. Review protocol and consent when subsequent use is anticipated. 55

 

XIII.  EMERGENCY RESEARCH CONSENT EXCEPTION56

___   ___   ___

A. The IRB may find that the 50.24 requirements are met 57

___   ___   ___

B. The IRB shall promptly notify in writing the investigator and the sponsor when it determines it cannot approve a 50.24 study 58

___   ___   ___

C. The IRB shall provide in writing to the sponsor a copy of the information that has been publically disclosed under 50.24(a)(7)(ii)  and (a)(7)(iii)  59

___   ___   ___

D. In order to approve an emergency research consent waiver study, the IRB must find and document:

___   ___   ___

(1) subjects are in a life-threatening situation, available treatments unproven or unsatisfactory and collection of scientific evidence is necessary 60

___   ___   ___

(2) Obtaining informed consent is not feasible because:61

- medical condition precludes consent 62

___   ___   ___

- no time to get consent from legally authorized

representative 63

___   ___   ___

- prospective identity of likely subjects not reasonable 64

 

(3) Prospect of direct benefits to study subjects because:65

___   ___   ___

- life-threatening situation that necessitates treatment

___   ___   ___

- data support potential for direct benefit to individual subjects

___   ___   ___

- risk/benefit of both standard and proposed treatments reasonable

___   ___   ___

(4) waiver needed to carry out study

___   ___   ___

(5) plan defines therapeutic window, during which investigator will seek consent rather than starting without consent. Summary of efforts will be given to IRB at time of continuing review.

___   ___   ___

(6) IRB reviews and approves consent procedures and document. IRB reviews and approves family member objection procedures

 

(7) Additional protections, including at least:

___   ___   ___

- consultation with community representatives

___   ___   ___

- public disclosure of plans, risks and expected benefits

___   ___   ___

- public disclosure of study results

___   ___   ___

- assure an independent Data Monitoring Committee established

___   ___   ___

- objection of family member summarized for continuing review

___   ___   ___

(8) Ensure procedures in place to inform at earliest feasible opportunity of subject's inclusion in the study, participation may be discontinued. Procedures to inform family the subject was in the study if subject dies.

___   ___   ___

(9) Separate IND or IDE required, even for marketed products.

___   ___   ___

(10) IRB disapproval must be documented in writing and sent to the clinical investigator and the sponsor of the clinical investigation. Sponsor must promptly disclose to FDA, other investigators and other IRBs.

 

_____

¾ 21 CFR56.109(a)

,,21 CFR 56.101(a)

4 21 CFR 56.109(a)

5 21 CFR 56.108(a)(1) and 56.109(f)

621 CFR 56.108(b)(3) and 56.113

721 CFR 56.108(a)(1), 56.109(a) and 56.113

821 CFR 56.107(a)

921 CFR 56.107(a)

1021 CFR 56.107(a)

1121 CFR 56.107(b) Only requires every nondiscriminatory effort

1221 CFR56.107(a)

1321 CFR 56.107(c)

1421 CFR 56.107(d)

1521 CFR 56.107(f) Consultant use not required by FDA regulation.

1621 CFR 56.107(e)

1721 CFR 56.108(a)(1) and 56.109(a - f)

1821 CFR 56.108(a)(1) and 56.109(e)

1921 CFR 56.108(a)(2) and 56.109(f)

2021 CFR 56.108(a)(2)

2121 CFR 56.108(a)(3)

2221 CFR 56.108(a)(4) and 56.115(a)(1)

2321 CFR 56.108(b)(1) and 56.115(a)(1)

2421 CFR 56.108(b)(2)

2521 CFR 56.108(b)(3) and 56.113

2621 CFR 56.108(a)(1)

2721CFR56.108(a)(1)

2821 CFR 56.104(c), 56.108(a)(1) and 108(b)(1)

2921 CFR 56.108(a)(1) and 56.110(a - c) not required if IRB does not use expedited procedures

3021 CFR 56.108(c) and 56.107(e - f)

3121 CFR 56.112

3221 CFR 56.108(a)(1), 56.109(a) and 56.115(a)(4)

3321 CFR 56.108(a)(1) and 56.109(e)

3421 CFR 56.108(a)(1) and 56.109(e)

3521 CFR 56.112

3621 CFR 56.115(a)(5)

3721 CFR 56.108(a - b) and 56.115(a)(6)

3821 CFR 56.115(a)(2)

3921 CFR 56.115(a)(1)

4021 CFR 56.115(a)(4)

4121 CFR 56.108(a) and 56.115(a)(1 and 4)

4221 CFR 56.115(a)(3)

4321 CFR 56.115(b)

4421 CFR 56.115(a)(4) and 56.104(c)

4521 CFR 56.115(a)(7)

4621 CFR 56.103(a) and 56.115(a)(1)

4721 CFR 56.111 (a)(2), 56.115(a)(1) and 21 CFR 312.55

4821 CFR 56.111(a)(4 - 5) and 56.111(a)(1)

4921 CFR 56.108(a)(4) and 56.115(a)(3 - 4)

5021 CFR 56.108(b)(1), 56.115(a)(3 - 4), 56.115(a)(1) and 56.113

5121 CFR 56.108(a)(1) and 56.115(a)(1, 3 and 4)

52Not required when the scope of studies reviewed by the IRB does not include serious and life-threatening diseases or conditions.

5321 CFR 56.104(c) and 56.108(a)(3)

5421 CFR 56.102(d) and 56.108(a)(3)

5521 CFR 56.104(c) and 56.108(a)(3) The IRB may determine that a rapid means of approval is preferable to a preapproved protocol and consent. Also see information sheet: "Emergency Use of a Drug or Biologic."

5621 CFR 50.24 The IRB/institituion may determine that research in emergent settings will not be conducted or supported. When that is the case, written procedures for this section need not be prepared.

5721 CFR 56.109(c)(2)

5821 CFR 56.109(e) The written statement shall include a statement of the reasons for the IRB's determination.

5921 CFR 56.109(g)

6021 CFR 50.24(a)(1)

6121 CFR 50.24(a)(2)

6221 CFR 50.24(a)(2)(i)

6321 CFR 50.24(a)(2)(ii)

6421 CFR 50.24(a)(2)(iii)

6521 CFR 50.24(a)(3)

6621 CFR 50.24(a)(3)(i)

6721 CFR 50.24(a)(3)(ii)

6821 CFR 50.24(a)(3)(iii)

6921 CFR 50.24(a)(4)

7021 CFR 50.24(a)(5)

7121 CFR 50.24(a)(6) Family member objection procedures at 50.24 (a)(7)(v)

7221 CFR 50.24(a)(7)

7321 CFR 50.24(a)(7)(i)

7421 CFR 50.24(a)(7)(ii)

7521 CFR 50.24(a)(7)(iii)

7621 CFR 50.24(a)(7)(iv)

7721 CFR 50.24(a)(7)(v)

7821 CFR 50.24(b)

7921 CFR 50.24(d) The study may not begin until FDA approves the separate IND/IDE.

8021 CFR 50.24(e)

 


 

INFORMATION SHEETS

Guidance for Institutional Review Boards and Clinical Investigators
1998 Update


 

 

APPENDIX I

FDA District Offices

 

 

Food and Drug Administration (FDA) District Offices are located throughout the country. IRB and other inspections are conducted by FDA District Office personnel. Problems or questions related to FDA regulated products or IRB inspections may be directed to the Director of the Investigations Branch (unless otherwise indicted), or the Bioresearch Monitoring Program Coordinator, in the

appropriate District Office.

 

District                                                 States Served

 

ATLANTA District

60 Eighth Street, N.E.

Atlanta, Georgia 30309

(404) 347- 3218                                  Georgia, North Carolina, South Carolina

 

BALTIMORE District

900 Madison Avenue

Baltimore, Maryland 21201-2199

(410) 962- 3590                                  District of Columbia, Maryland, Virginia, West Virginia

 

NEW ENGLAND District

One Montvale Avenue

Stoneham, Massachusetts 02180

(617) 279-1675, EXT 128                   Connecticut, Maine, Massachusetts, New Hampshire,

Rhode Island, Vermont

 

BUFFALO District

599 Delaware Avenue

Buffalo, New York 14202

(716) 551-4461                                   New York (except New York City, Long Island)

 

CHICAGO District

300 S. Riverside Plaza 5th Floor, Suite 550

South Chicago, Illinois 60606

(312) 353-5863 EXT 132                    Illinois

 

CINCINNATI District

1141 Central Parkway

Cincinnati, Ohio 45202-1097

(513) 684-3501 EXT 130                    Ohio, Kentucky

 

DALLAS District

3310 Live Oak St.

Dallas, Texas 75204

(214) 655-5310 EXT 504                    Arkansas, Oklahoma, Texas

 

DENVER District

P.O. Box 25087

6th and Kipling Sts.

Denver Federal Center

Denver, Colorado 80225-0087

(303) 236-3051                                   Colorado, New Mexico, Utah

 

DETROIT District

1560 East Jefferson

Detroit Michigan 48207-3179

(313) 226- 6260                                  Indiana, Michigan

 

FLORIDA District

555 Winderley Place

Maitland, Florida 32751

(407) 475-4700                                   Florida

 

KANSAS CITY District

11630 West 80th St.

Lenexa, Kansas 66285-5905

(913) 752-2423                                   Iowa, Kansas, Missouri, Nebraska

 

LOS ANGELES District

19900 MacArthur Blvd., Suite 300

Irvine, California 92612-2445

(714) 798-7769                                   Arizona, California (southern)

 

MINNEAPOLIS District

240 Hennepin Avenue

Minneapolis, Minnesota 55401-1912

(612) 334-4100 EXT 162                    Minnesota, Wisconsin, North Dakota, South Dakota,

 

NASHVILLE District

297 Plus Park Boulevard

Nashville, Tennessee 37217

(615) 781- 5378                                  Alabama, Tennessee

 

NEW JERSEY District

Waterview Corp. Center

10 Waterway Bend, 3rd Floor

Parsippany, New Jersey 07054

(201) 526-6000                                   New Jersey

NEW ORLEANS District

4298 Elysian Fields Avenue

New Orleans, Louisiana 70122

(504) 589-6344                                   Louisiana, Mississippi

 

NEW YORK District

850 Third Avenue

Brooklyn, New York 11232-1593

(718)340-7000                                    New York City, Long Island

 

PHILADELPHIA District

2nd and Chestnut Streets

Room 900

Philadelphia, Pennsylvania 19106

(215) 597-4390                                   Delaware, Pennsylvania

 

SEATTLE District

22201 23rd Drive S.E.

P.O. Box 3012

Bothell, Washington 98041-3012

(206) 483-4941                                   Alaska, Idaho, Oregon, Montana, Washington

 

SAN FRANCISCO District

1431 Harbor Bay Parkway

Alameda, California 94502-7070

(510) 337-6733                                   California (northern), Hawaii, Nevada, American Samoa,

Guam, Pacific Trust Territory

 

SAN JUAN District

#466 Fernandez Juncos Avenue

Stop 8 1/2

San Juan, Puerto Rico 00901-3223

(809) 729- 6608                                  Puerto Rico