RESEARCH COMPLIANCE Due Diligence and Institutional Review Boards

RESEARCH COMPLIANCE Due Diligence and Institutional Review Boards - How Much Oversight is Enough? Janet K. Himmelreich Managing Director ZA Consulting, LLC Odell Guyton, Corporate Compliance Officer University of Pennsylvania

Compliance Issues to Consider z. Stewardship of Sponsor Funds - Finances z. Transactional Integrity z. Ethical and Safety Issues in Lab Activities Human Subjects and Laboratory Animals z. Ethical Issues in Research and Scholarly Activities - Conflict of Interest z. Indemnification z. Liability - Medical and Professional z. Data Management © 2000 ZA Consulting, LLC / University of Pennsylvania 2

Protecting the Rights and Welfare of Human Subjects (The Common Rule) z. Compliance with federal regulations for the protection of human subjects is an obligation whenever biomedical or behavioral research is conducted or supported by any of 17 U. S. government departments or agencies, or whenever research is subject to regulation by the Food and Drug Administration (FDA). © 2000 ZA Consulting, LLC / University of Pennsylvania 3

Federal Regulations and Policy z 45 CFR 46 – Basic DHHS Policy for Protection of Human Research subjects* z. Additional protections for vulnerable populations in subparts B-D *Revised June 18, 1991 © 2000 ZA Consulting, LLC / University of Pennsylvania 4

Federal Regulations and Policy (Continued) z“The Common Rule” - Federal Policy for the Protection of Human subjects - June 18, 1991 Departments of Agriculture, Energy, Commerce, HUD, Justice, Defense, Education, Veterans Affairs, Transportation, and HHS, NSF, NASA, EPA, USAID, Social Security Administration, CIA and the Consumer Product Safety Commission. © 2000 ZA Consulting, LLC / University of Pennsylvania 5

Federal Regulations and Policy (Continued) z Additional Protections Included in 45 CFR 46: z Subpart B – Additional DHHS Protections Pertaining to Research, Development, and Related Activities Involving Fetuses, Pregnant women, and Human In Vitro Fertilization z Subpart C – DHHS Protections Pertaining to Biomedical and Behavioral Research Involving Prisoners as Subjects z Subpart D – Additional DHHS Protections for Children Involved as subjects in Research © 2000 ZA Consulting, LLC / University of Pennsylvania 6

Basic Protections z. The regulations contain three basic protections for human subjects: z. Institutional Assurances z. IRB Review z. Informed consent © 2000 ZA Consulting, LLC / University of Pennsylvania 7

Assurances z “Each institution engaged in research which is covered by this policy and which is conducted or supported by a Federal Department or Agency shall provide written assurance … that it will comply with the requirements set forth in this policy. ” z Negotiated and approved by OPRR z The institution must certify that the research has been reviewed and approved by an IRB. (45 CFR 46. 103(b)) 8 z Submitted to funding agency © 2000 ZA Consulting, LLC / University of Pennsylvania

Assurances (Continued) z. Information to be included in the assurance: z. Statement of principles governing the institution z. Designation and roster(s) of the IRB(s) z. IRB procedures for ensuring prompt reporting © 2000 ZA Consulting, LLC / University of Pennsylvania 9

Assurances (Continued) z. Types of assurances: z. Multiple Project Assurance (MPA) z. Single Project Assurance (SPA) z. Cooperative Project assurance (CPA) © 2000 ZA Consulting, LLC / University of Pennsylvania 10

Office of Human Research Protection (OHRP) Responsibilities z. Institutional Audits of Grants z. Implementation and interpretation of federal regulations and policy z. Education programs z. Negotiation of multiple project assurances z. Evaluation of compliance © 2000 ZA Consulting, LLC / University of Pennsylvania 11

Institutional Responsibilities z. Institutions bear full responsibility for all research involving human subjects covered under their Assurance z. All requirements of 45 CFR 46 must be met for all federally-sponsored research © 2000 ZA Consulting, LLC / University of Pennsylvania 12

Institutional Responsibilities (Continued) z. Designate one or more Institutional Review Boards (IRBs) to review and approve all nonexempt research covered by an the Assurance z. Provide sufficient space and staff to support the IRB’s review and record-keeping duties © 2000 ZA Consulting, LLC / University of Pennsylvania 13

Institutional Responsibilities (Continued) z. OPRR strongly encourages institutions to embrace the HHS regulations regardless of sponsorship, and to commit to this standard in their Assurance. z. Ensure that appropriate Assurances and certificates of IRB review are submitted for all their federally sponsored research not only for themselves but also for cooperating performance sites © 2000 ZA Consulting, LLC / University of Pennsylvania 14

Institutional Official z“The Buck Stops Here” z. Authorized to act for the institution z. Assumes on behalf of the institution the obligations in the Assurance – Institutional commitment to compliance z. Knowledgeable point of contact for OPRR z. Sets the “tone” for an institutional culture of compliance © 2000 ZA Consulting, LLC / University of Pennsylvania 15

Institutional Official (Continued) z. Confirms authority of and works in concert with IRB z. Responsive to IRB recommendations z. Provides IRB with necessary resources and staff © 2000 ZA Consulting, LLC / University of Pennsylvania 16

What is an Institutional Review Board (IRB)? A Committee whose primary mandate is to protect the rights and welfare of humans who are the subjects of research © 2000 ZA Consulting, LLC / University of Pennsylvania 17

Institutional Review Board (IRB) z. Membership: z. At least five members of varying backgrounds y. Sufficiently qualified y. Not solely of one profession y. Gender diversity z. At least one non-scientist z. At least one non-affiliated member z. Expertise on “vulnerable populations” z. Outside consultants © 2000 ZA Consulting, LLC / University of Pennsylvania 18

Why Do We Have Institutional Review Boards (IRB)? z. Philosophy z. History z. Regulations

Philosophical Basis for IRBs The Belmont Report Basic Ethical Principles: z. Respect for Persons y. Individual autonomy y. Protection of individuals with reduced autonomy z. Beneficence y. Maximize benefits and minimize harms z. Justice © 2000 ZA Consulting, LLC / University of Pennsylvania 20

Historical Basis for IRBs z. NUREMBERG: During the Nuremberg War Crimes Trials, 23 German doctors were charged with crimes against humanity for “performing medical experiments upon concentration camp inmates and other living human subjects, without their consent, in the course of which experiments the defendants committed the murders, brutalities, cruelties, tortures, atrocities, and other inhuman acts. ” © 2000 ZA Consulting, LLC / University of Pennsylvania 21

Historical Basis for IRBs (Continued) z. The Nuremberg Code (1947) z. As part of the verdict, the Court enumerated some rules for “Permissible Medical Experiments”, now known as the “Nuremberg Code”. z. These rules include: y. Voluntary consent y. Benefits outweigh risks y. Ability of the subject to terminate participation © 2000 ZA Consulting, LLC / University of Pennsylvania 22

Historical Basis for IRBs (Continued) z Tuskegee Syphilis Study: American medical research project conducted by the U. S. Public Health Service form 1932 to 1972, examined the natural course of untreated syphilis in black American men. The subjects, all impoverished sharecroppers form Macon county, Alabama, were unknowing participants in the study; they were not told that they had syphilis, nor were the offered effective treatment. © 2000 ZA Consulting, LLC / University of Pennsylvania 23

IRB Responsibilities z. Review and approve, require modifications, or disapprove all covered research z. Require that informed consent is in accordance with regulations z. Require documentation of informed consent or may waive documentation in accordance with regulations z. Notify investigators in writing of decisions z. Conduct continuing review of research no less than once per year © 2000 ZA Consulting, LLC / University of Pennsylvania 24

Criteria for IRB Approval z. Risks to subjects are minimized z. Risks are reasonable in relation to anticipated benefits z. Selection of subjects is equitable z. Informed consent is sought from each subject z. Informed consent is appropriately documented © 2000 ZA Consulting, LLC / University of Pennsylvania 25

Expedited Review z. An IRB may use expedited review for: z. Research on list of eligible categories z. Minor changes in previously approved research z. Carried out by IRB chair or one or more experienced IRB members z. Reviewers can exercise all of the authorities of the IRB except disapproval z. All IRB members must be informed of research approved under expedited review © 2000 ZA Consulting, LLC / University of Pennsylvania 26

Purpose and Definition of Informed Consent z. Informed consent is one of the primary ethical principles governing human subjects research; it assures that prospective human subjects will understand the nature of the research and can knowledgeably and voluntarily decide whether or not to participate. © 2000 ZA Consulting, LLC / University of Pennsylvania 27

Informed Consent Is … z. Risk/Benefit discussion with participants z. Voluntary participation z. Freedom to withdraw from study at any time z. Treatment z. Notification of serious adverse events z. Disclosure of PI’s financial interest in study © 2000 ZA Consulting, LLC / University of Pennsylvania 28

Risk Assessment for Human Subject Research Compliance z. General Steps: y. Review human subject research policies and procedures or establish standard operating procedures y. Interview key administrative staff and Principal Investigators (3 -5 awardees of large dollar volume research studies) y. Walk-throughs of clinical labs and administrative facilities © 2000 ZA Consulting, LLC / University of Pennsylvania 29

Risk Factors in Human Subject Research z Undefined roles and responsibilities (Administrators, Principal Investigators, Clinicians) z Decentralized Administration z Staff allegiance to Principal Investigator rather than institution z Faculty or administrator conflict of interest situations z Faculty disdain for administration or for regulation z Lack of training in proper conduct of clinical trials © 2000 ZA Consulting, LLC / University of Pennsylvania 30

Pragmatic Approaches to Oversight z. Medical Director Interests z. PI’s Interests z. Everyone’s Interest z. Research or Clinical Service? y. How to Decide y. Reimbursement Impact z. Reduce the Risk © 2000 ZA Consulting, LLC / University of Pennsylvania 31

Medical Director Interests z. JCAHO Standards z. Documentation z. Appropriate Billing z. Staff Training z. Patient Seen z. Medication/Devices Tracked z. Adverse Events Tracked © 2000 ZA Consulting, LLC / University of Pennsylvania 32

Principal Investigator’s Interests z. Protocol z. Funding z. Space z. IRB z. Patients z.

Everyone’s Interests z. Adherence to: Inclusion/Exclusion Criteria Screening Procedures Study Procedures Reporting Adverse Events Tracking Clinical vs Research Costs © 2000 ZA Consulting, LLC / University of Pennsylvania 34

Research vs Clinical Services Whose decision is it? z. Third Party Payor z. Drug/Device Company z. Principal Investigator z. IRB z. Investigational Committee © 2000 ZA Consulting, LLC / University of Pennsylvania 35

Reimbursement z. Third Party payors are responsible for medically necessary clinical services z. Allocate research services to grants/budgets y. Use separate accounts for medically necessary services and research services z. Patients are NOT financially responsible for items/services provided under research grants z. Don’t forget secondary payer issues © 2000 ZA Consulting, LLC / University of Pennsylvania 36

Reduce the Risk of Violations z. Develop a research compliance team y. Compliance officer y. Senior administrators y. Principal investigators y. Departmental administrators y. Finance Department © 2000 ZA Consulting, LLC / University of Pennsylvania 37

Develop a Quality Assurance Program z. Why? y. Assure adherence to the Federal Regulations y. Assure adherence to the IRB Guidelines y. Protection of rights and safety for subjects y. Education for the research professional © 2000 ZA Consulting, LLC / University of Pennsylvania 38

Conduct Periodic Internal Audits z. What to review: y. Regulatory Binder y. Consent Form/Process y. Records/Documentation y. Inclusion/Exclusion Criteria y. Screening Procedures y. Study Protocol y. Reporting of Adverse Events © 2000 ZA Consulting, LLC / University of Pennsylvania 39

Regulatory Binder z. FDA Form z. Protocol/Consent Form z. Investigator’s Brochure z. Study Correspondence z. Drug Accountability z. Screening Log z. Laboratory Certification z. Serious/Unexpected Adverse Events z. Progress Reports © 2000 ZA Consulting, LLC / University of Pennsylvania 40

Consent Form/Process z. Was a consent form: y. Present for each participant? y. Obtained prior to initiation of research related procedures? y. Signed and dated by participant on all pages? y. Understandable to participant? y. Signed by investigator and a witness? z. Was the IRB approval date listed? z. Was the correct version of the IRB approved conse form used? © 2000 ZA Consulting, LLC / University of Pennsylvania 41

Records/Documentation z. How are records maintained? z. Case report forms? z. Documentation to support each participant met criteria? z. Were data collection tools completed as specified? z. Information and data on participant’s condition before, during and after clinical investigation? © 2000 ZA Consulting, LLC / University of Pennsylvania 42

Records/Documentation (Continued) z. Documentation of: y. Follow-up visits y. Deviation from protocol y. Adverse events z. Do dates coincide in medical record with dates in research record? © 2000 ZA Consulting, LLC / University of Pennsylvania 43

What To Do When Violations Are Uncovered z. Notify your attorney - attorney/client privilege z. Educate, Educate and Re-Educate y. Review the regulatory requirements y. Review IRB guidelines y. Review the importance of accounting methods © 2000 ZA Consulting, LLC / University of Pennsylvania 44

“BE PREPARED” Boy Scout Motto Leadership, training and communication about compliance, regulatory changes, accounting methods, and all other components of research will go far to guard against being caught on the wrong side of the government auditors. © 2000 ZA Consulting, LLC / University of Pennsylvania 45