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pdfAttachment X: IRB Approval
DATE:
March 20, 2017
TO:
Bonny Bloodgood
FROM:
Janet D. Griffith, IRB Chair
SUBJECT:
Institutional Review Board (IRB) Review Forms
Attached are the following forms for the recent IRB review of your research project:
1.
IRB Review Findings Form, which documents the review and approval of the project.
2.
Instructions on Reporting Adverse Events and Unanticipated Problems, which defines unexpected
adverse events and unanticipated problems and details when and how the IRB should be notified of
such events and problems. Note—any problem or incident that could be an adverse event must be
reported to the IRB according to the instructions in this form. Failure to comply with the adverse
event reporting requirements could result in the suspension of your right to submit studies to
the IRB and/or the suspension of IRB approval of this study.
3.
Agreement to Comply with Human Subject Protection Requirements, which must be signed by you and
returned to the IRB. By signing this form, you agree to adhere to the human subject protection
procedures that were approved by the IRB and to inform the IRB chair of any changes made to the
approved procedures.
The first two forms are for your files; the signed electronic copy of the third form must be sent to the IRB at
[email protected] and will be kept in the IRB files. Please maintain a copy of the third form for your records. If you
have any questions about these forms, please email [email protected] or contact the IRB toll-free at 877-556-2218.
9300 Lee Highway • Fairfax, VA 22031 • 703-934-3000 • 703.934.3740 fax • icfi.com
Formative Research to develop Educational Materials for Parents, Caregivers, and Child Care Providers of
Children Ages 2-5
March 20, 2017
Institutional Review Board Findings Form
ICF IRB FWA00000845 (exp. 04/13/2019)
Project Director(s): Bonny Bloodgood
Project Title: Formative Research to develop Educational Materials for Parents, Caregivers, and
Child Care Providers of Children Ages 2-5
ICF Project Number: 162763.0.000.00.004
Type of Review:
☒ New
☐ Modification
☐ Annual review
Findings of the Board:
☒ Project complies with all of the requirements of 45 CFR 46, “Protection of Human
Subjects”
☐ Project is exempt from IRB review (See IRB Exemption Form)
☐ Project does not comply with all of the requirements of 45 CFR 46
Project Approved Until: May 30, 2018
Next Annual Review Date: March 20, 2018
March 20, 2017
Chair, Institutional Review Board
Date
(Revised 07/18/2014)
Page 2
Formative Research to develop Educational Materials for Parents, Caregivers, and Child Care Providers of
Children Ages 2-5
March 20, 2017
List of Approved Project Materials:
1. Attachment A: Screener: Parent/Caregiver Triad (English)
2. Attachment B: Screener: Parent/Caregiver Triad (Spanish)
3. Attachment C: Screener: Child Care Provider (English)
4. Attachment D: Screener: Child Care Provider (Spanish)
5. Attachment E: Recruitment Flyer: Parent/Caregiver Triad (English)
6. Attachment F: Recruitment Flyer: Parent/Caregiver Triad (Spanish)
7. Attachment G: Consent Form: Parent/Caregiver Triads (English)
8. Attachment H: Consent Form: Parent/Caregiver Triads (Spanish)
9. Attachment I: Consent Form: Child Care Provider (English)
10. Attachment J: Consent Form: Child Care Provider (Spanish)
11. Attachment K: Consent Form: CACFP Site (English)
12. Attachment L: Triad Moderator’s Guide: Parent/Caregiver (English)
13. Attachment M: Triad Moderator’s Guide: Parent/Caregiver (Spanish)
14. Attachment N: Interview Facilitator’s Guide: Child Care Provider (English)
15. Attachment O: Interview Facilitator’s Guide: Child Care Provider (Spanish)
16. Attachment P: Stimulus: Nibbles for Health Newsletters (English)
17. Attachment Q: Stimulus: Nibbles for Health Newsletters (Spanish)
18. Attachment R: Stimulus: Nutrition and Wellness Tips for Young Children: Provider
Handbook for the Child and Adult Care Food Program (CACFP) (English)
19. Attachment S: Stimulus: Nutrition and Wellness Tips for Young Children: Provider
Handbook for the Child and Adult Care Food Program (CACFP) (Spanish)
20. Attachment T: Stimulus: Sample illustrations for use in Nutrition and Wellness Tips for
Young Children: Provider Handbook for the Child and Adult Care Food Program
(CACFP)
Page 3
Formative Research to develop Educational Materials for Parents, Caregivers, and Child Care Providers of
Children Ages 2-5
March 20, 2017
ICF International Institutional Review Board
Reporting Adverse Events and Unanticipated Problems
Federal human subject protection regulations require the principal investigator (PI) or project director (PD) of an
IRB approved research study to report to the IRB any unexpected adverse events and unanticipated problems
that occur during the conduct of the research.
What Is an Unexpected Adverse Event?
Some adverse events are expected to occur during research, while others are unexpected. An adverse event
is considered an undesirable and unintended effect of the research occurring in study subjects or others as a
result of (a) the interventions and/or interactions used in the research; or (b) the collection of identifiable private
information under the research. Such events are included among the risks of participating in the research.
Even though an event is unintended, we often expect that a certain number of adverse events will happen
during the course of the research. For example, when conducting telephone surveys, we expect some
complaints from individuals who are called. Each complaint is an adverse event and should be documented, but
it is not unexpected. Research protocols should include procedures for dealing with expected adverse events
(risks). An unexpected adverse event is one that was not anticipated in the research protocol. During the IRB
review of a research study, the IRB tries to make sure that all anticipated risks have been identified and included
in the informed consent form, and that there are procedures in place to minimize and address those risks.
What Is an Unanticipated Problem?
An unanticipated problem is considered to be any event that (a) was not expected given the nature of the
research procedures and the subject population being studied; and (b) suggests that the research places
subjects or others at a greater risk of harm or discomfort than was previously known or recognized. Note that it
is only when both conditions (a and b) are present, that a problem is defined as unanticipated. Unexpected
adverse events are also unanticipated problems, but there can be unanticipated problems that do not meet the
definition of an unexpected adverse event.
What Must Be Reported to the IRB?
Many adverse events are anticipated possible risks of participating in the research and do not need to be
reported to the IRB. For example, emotional discomfort may be a risk of participating in an interview and is
identified as a risk in the informed consent form. An interview that is terminated by a subject because of
emotional discomfort is an adverse event, but it is expected that some interviews will be terminated for such
reasons and it should not be reported to the IRB. Only adverse events that are unexpected need to be reported
to the IRB. If the study subject threatened suicide during the interview and suicidal ideation is not identified in
the study protocol and in the informed consent as a risk of participating in the interview, the suicide threat would
be an unexpected adverse event and must be reported to the IRB. Also, if the researcher anticipated that very
few interviews would be terminated because of emotional discomfort, but finds that a higher number of
interviews than expected are being terminated for discomfort, the risk of emotional discomfort is greater than
expected and must be reported to the IRB.
Many unanticipated problems are also adverse events in that the problems are unexpected consequences of
exposure to the research design and/or methods. However, there are some unanticipated problems that are not
related to the research but must be reported to the IRB. For example, a field interviewer has her laptop
computer stolen and the interview data are not encrypted. The study subjects have been placed at greater risk
of harm from breach in confidentiality of the study. Another example of an unanticipated problem is unethical
behavior on the part of a study team member when interacting with study participants or using study data. Even
if an unexpected problem is not likely to happen again, it must be reported to the IRB.
Problems that do not place study subjects at increased risk of harm or discomfort do not need to be reported to
the IRB. For example, the termination of employment for a field data collector because he reported
administering surveys that were never administered. This problem does not have to be reported to the IRB
because it did not place the study subject(s) at greater risk.
Page 4
Formative Research to develop Educational Materials for Parents, Caregivers, and Child Care Providers of
Children Ages 2-5
March 20, 2017
What If I’m Unsure If an Event or Problem Needs to Be Reported to the IRB?
If it is unclear to you that an event or problem should be reported to the IRB, email the IRB at [email protected].
You may also contact the Chair, Janet Griffith, at [email protected]; the IRB Administrator, Alexandra
Conway, at [email protected]. The IRB can also be reached toll-free at (877) 556-2218.
When Should the IRB Be Notified?
The IRB should be notified as soon as possible from the time a determination is made that an event represents
an unanticipated problem or unexpected adverse event. The notification must be made within 2 weeks of the
event or problem.
How Should the IRB Be Notified?
If an adverse event occurs during an IRB approved study, the PI or PD must report the event to the IRB using the
IRB Adverse Event Report. Please email [email protected] to obtain a copy of the IRB Adverse Event Report.
Can I Suggest Changes In the Research Protocol When I Report the Adverse Event?
Yes. You may suggest changes, and the IRB chair will consider your suggestions. Also, the Adverse Event
Report requires that you document any changes that were made as a result of the event or problem. The IRB
chair will determine if such changes are adequate or if other changes are needed to protect the study subjects.
What Does the IRB Do When an Adverse Event or Unexpected Problem Is Reported?
The IRB reviews the research protocol to determine if changes are needed in the study procedures to protect
subjects from the identified risk or increase in risk. The IRB has the authority to require changes in the study
procedures to minimize the risk of harm to subjects. The IRB will send the PI or PD an Adverse Event Findings
Form that will document any required changes to the study procedures. The IRB also submits a report to the
Office of Human Research Protections (within DHHS) that documents the event or problem and any actions
taken by the IRB.
Page 5
DATE:
May 18, 2017
TO:
Bonny Bloodgood
FROM:
Janet D. Griffith, IRB Chair
SUBJECT:
Institutional Review Board (IRB) Review Forms
Attached are the following forms for the recent IRB review of your research project:
1.
IRB Review Findings Form, which documents the review and approval of the project.
2.
Instructions on Reporting Adverse Events and Unanticipated Problems, which defines unexpected
adverse events and unanticipated problems and details when and how the IRB should be notified of
such events and problems. Note—any problem or incident that could be an adverse event must be
reported to the IRB according to the instructions in this form. Failure to comply with the adverse
event reporting requirements could result in the suspension of your right to submit studies to
the IRB and/or the suspension of IRB approval of this study.
3.
Agreement to Comply with Human Subject Protection Requirements, which must be signed by you and
returned to the IRB. By signing this form, you agree to adhere to the human subject protection
procedures that were approved by the IRB and to inform the IRB chair of any changes made to the
approved procedures.
The first two forms are for your files; the signed electronic copy of the third form must be sent to the IRB at
[email protected] and will be kept in the IRB files. Please maintain a copy of the third form for your records. If you
have any questions about these forms, please email [email protected] or contact the IRB toll-free at 877-556-2218.
9300 Lee Highway • Fairfax, VA 22031 • 703-934-3000 • 703.934.3740 fax • icfi.com
Formative Research to develop Educational Materials for Parents, Caregivers, and Child Care Providers of
Children Ages 2-5
May 18, 2017
Institutional Review Board Findings Form
ICF IRB FWA00000845 (exp. 04/13/2019)
Project Director(s): Bonny Bloodgood
Project Title: Formative Research to develop Educational Materials for Parents, Caregivers, and
Child Care Providers of Children Ages 2-5
ICF Project Number: 162763.0.000.00.004
Type of Review:
☐ New
☒ Modification
☐ Annual review
Findings of the Board:
☒ Project complies with all of the requirements of 45 CFR 46, “Protection of Human
Subjects”
☐ Project is exempt from IRB review (See IRB Exemption Form)
☐ Project does not comply with all of the requirements of 45 CFR 46
Project Approved Until: May 30, 2018
Next Annual Review Date: March 20, 2018
May 18, 2017
Chair, Institutional Review Board
Date
(Revised 07/18/2014)
List of Approved Project Materials:
1.
Page 2
Formative Research to develop Educational Materials for Parents, Caregivers, and Child Care Providers of
Children Ages 2-5
May 18, 2017
ICF International Institutional Review Board
Reporting Adverse Events and Unanticipated Problems
Federal human subject protection regulations require the principal investigator (PI) or project director (PD) of an
IRB approved research study to report to the IRB any unexpected adverse events and unanticipated problems
that occur during the conduct of the research.
What Is an Unexpected Adverse Event?
Some adverse events are expected to occur during research, while others are unexpected. An adverse event
is considered an undesirable and unintended effect of the research occurring in study subjects or others as a
result of (a) the interventions and/or interactions used in the research; or (b) the collection of identifiable private
information under the research. Such events are included among the risks of participating in the research.
Even though an event is unintended, we often expect that a certain number of adverse events will happen
during the course of the research. For example, when conducting telephone surveys, we expect some
complaints from individuals who are called. Each complaint is an adverse event and should be documented, but
it is not unexpected. Research protocols should include procedures for dealing with expected adverse events
(risks). An unexpected adverse event is one that was not anticipated in the research protocol. During the IRB
review of a research study, the IRB tries to make sure that all anticipated risks have been identified and included
in the informed consent form, and that there are procedures in place to minimize and address those risks.
What Is an Unanticipated Problem?
An unanticipated problem is considered to be any event that (a) was not expected given the nature of the
research procedures and the subject population being studied; and (b) suggests that the research places
subjects or others at a greater risk of harm or discomfort than was previously known or recognized. Note that it
is only when both conditions (a and b) are present, that a problem is defined as unanticipated. Unexpected
adverse events are also unanticipated problems, but there can be unanticipated problems that do not meet the
definition of an unexpected adverse event.
What Must Be Reported to the IRB?
Many adverse events are anticipated possible risks of participating in the research and do not need to be
reported to the IRB. For example, emotional discomfort may be a risk of participating in an interview and is
identified as a risk in the informed consent form. An interview that is terminated by a subject because of
emotional discomfort is an adverse event, but it is expected that some interviews will be terminated for such
reasons and it should not be reported to the IRB. Only adverse events that are unexpected need to be reported
to the IRB. If the study subject threatened suicide during the interview and suicidal ideation is not identified in
the study protocol and in the informed consent as a risk of participating in the interview, the suicide threat would
be an unexpected adverse event and must be reported to the IRB. Also, if the researcher anticipated that very
few interviews would be terminated because of emotional discomfort, but finds that a higher number of
interviews than expected are being terminated for discomfort, the risk of emotional discomfort is greater than
expected and must be reported to the IRB.
Many unanticipated problems are also adverse events in that the problems are unexpected consequences of
exposure to the research design and/or methods. However, there are some unanticipated problems that are not
related to the research but must be reported to the IRB. For example, a field interviewer has her laptop
computer stolen and the interview data are not encrypted. The study subjects have been placed at greater risk
of harm from breach in confidentiality of the study. Another example of an unanticipated problem is unethical
behavior on the part of a study team member when interacting with study participants or using study data. Even
if an unexpected problem is not likely to happen again, it must be reported to the IRB.
Problems that do not place study subjects at increased risk of harm or discomfort do not need to be reported to
the IRB. For example, the termination of employment for a field data collector because he reported
administering surveys that were never administered. This problem does not have to be reported to the IRB
because it did not place the study subject(s) at greater risk.
Page 3
Formative Research to develop Educational Materials for Parents, Caregivers, and Child Care Providers of
Children Ages 2-5
May 18, 2017
What If I’m Unsure If an Event or Problem Needs to Be Reported to the IRB?
If it is unclear to you that an event or problem should be reported to the IRB, email the IRB at [email protected].
You may also contact the Chair, Janet Griffith, at [email protected]; the IRB Administrator, Alexandra
Conway, at [email protected]. The IRB can also be reached toll-free at (877) 556-2218.
When Should the IRB Be Notified?
The IRB should be notified as soon as possible from the time a determination is made that an event represents
an unanticipated problem or unexpected adverse event. The notification must be made within 2 weeks of the
event or problem.
How Should the IRB Be Notified?
If an adverse event occurs during an IRB approved study, the PI or PD must report the event to the IRB using the
IRB Adverse Event Report. Please email [email protected] to obtain a copy of the IRB Adverse Event Report.
Can I Suggest Changes In the Research Protocol When I Report the Adverse Event?
Yes. You may suggest changes, and the IRB chair will consider your suggestions. Also, the Adverse Event
Report requires that you document any changes that were made as a result of the event or problem. The IRB
chair will determine if such changes are adequate or if other changes are needed to protect the study subjects.
What Does the IRB Do When an Adverse Event or Unexpected Problem Is Reported?
The IRB reviews the research protocol to determine if changes are needed in the study procedures to protect
subjects from the identified risk or increase in risk. The IRB has the authority to require changes in the study
procedures to minimize the risk of harm to subjects. The IRB will send the PI or PD an Adverse Event Findings
Form that will document any required changes to the study procedures. The IRB also submits a report to the
Office of Human Research Protections (within DHHS) that documents the event or problem and any actions
taken by the IRB.
Page 4
| File Type | application/pdf |
| File Title | Letter |
| Author | [email protected] |
| File Modified | 2017-06-05 |
| File Created | 2017-04-05 |