Exception from Informed Consent Requirements
for
Emergency Research
(21 CFR 50.24)
I.
INTRODUCTION
The information provided in this
guidance is intended to assist product sponsors, clinical investigators, and Institutional
Review Boards (IRBs) in (1) the development and implementation of research in emergency
settings when an exception from the informed consent requirements is requested under 21
CFR 50.24; and (2) understanding their responsibilities for communicating with, and
submitting information to, FDA.
The regulations (Title 21, Code of Federal Regulations [21 CFR] Section 50.24, and
conforming amendments contained in 21 CFR Parts 56, 312, 314, 601, 812, and 814) provide
an exception to the requirement to obtain informed consent from each subject, or the
subject's legally authorized representative, prior to enrollment in a clinical
investigation. The exception applies to emergency research (1) for which an
Investigational New Drug Application (IND) or Investigational Device Exemption (IDE) is in
effect, (2) involving human subjects who cannot give informed consent because of their
emerging, life-threatening medical condition (for which available treatments are unproven
or unsatisfactory), and (3) where the intervention must be administered before informed
consent from the subjects' legally authorized representative is feasible. Studies
involving an exception from informed consent requirements may proceed only after a sponsor
has received prior written permission from FDA, and the IRB has found and documented that
specific conditions have been met.
The emergency research permitted under 21 CFR 50.24 involves a particularly vulnerable
population: persons with life-threatening conditions who can neither give informed consent
nor actively refuse enrollment. This lack of autonomy creates a special need for FDA,
sponsors, IRBs, and clinical investigators to work closely together to ensure that the
interests of this vulnerable population of subjects are protected to the maximum extent
possible. The regulations for emergency research therefore contain specific human subject
protection requirements in addition to the requirements pertaining to all IND and IDE
clinical studies. These include specific requirements that representatives of the
community( ies) in which the research will take place and from which the subjects will be
drawn be consulted about the study, that information about a study be publicly disclosed
before the study may proceed, and that the sponsor submit a separate IND or IDE for the
study.
1 This guidance has been prepared by a Working Group composed of
representatives from the Food and Drug Administration's Center for Drug Evaluation and
Research, the Center for Biologics Evaluation and Research, the Center for Devices and
Radiological Health, the Center for Food Safety and Applied Nutrition, the Center for
Veterinary Medicine, the Office of Regulatory Affairs, the Office of the Executive
Secretariat, and the Office of the Chief Counsel. This guidance represents the Agency's
current thinking on applications that contain a request for an exception from informed
consent requirements for emergency research. It sets forth guidelines for IRBs, sponsors,
and investigators. It does not create or confer any rights for or on any person and does
not operate to bind FDA or the public.
The emergency research regulations became effective November 1, 1996. Since that date, FDA
has reviewed the efforts of sponsors, IRBs, and clinical investigators to interpret and
comply with these regulations and has determined that guidance is needed in several areas,
particularly in the development and conduct of community consultation and public
disclosure activities and the establishment of informed consent procedures to be used when
feasible. This document also provides guidance related to other aspects of the emergency
research regulations, including the need for the concurrence of a licensed physician, use
of data monitoring committees, use of independent IRBs, and the documentation of efforts
to contact a subject's legally authorized representative or family member regarding the
subject's participation in the study.
Because this type of research involves incapacitated patients who will not be able to
give their informed consent as a result of their medical condition, a unique IND or IDE is
required. If necessary, FDA may place a proposed or ongoing emergency research
investigation (or study site) on clinical hold (1) if any of the conditions in 21 CFR
312.42( b)( 1) or (b)( 2) apply; or (2) if the pertinent criteria in 21 CFR 50.24 for such
an investigation to begin or continue are not met. FDA may disapprove or withdraw approval
of an IDE under 21 CFR 812.30 for failure to comply with "any other applicable
regulation or statute, or any condition of approval imposed by an IRB or FDA."
II. STUDY
DESIGN
Prospect of Direct Benefit
Participation in emergency research studies must hold out the prospect of direct
benefit to the individual subject [21 CFR 50.24( a)( 3)]. Sponsors should provide
assurances that the risks associated with the investigation are reasonable in relation to
what is known about the medical condition of the potential class of subjects, the risks
and benefits of standard therapy, if any, and what is known about the risks and benefits
of the proposed intervention or activity. In addition,
sponsors should provide assurance that the study hold out the prospect of direct benefit
to the individual subject.
Subject Exclusion
Study protocols may describe situations in which emergency care personnel could
reasonably infer that some incapacitated individuals would not agree to participate in a
research study, even if the individuals meet the inclusion criteria. For example, members
of some religious groups object to blood transfusions and other medical interventions.
Clinical investigators should examine easily accessible sources of information, such as an
individual's driver's license or medical jewelry, for evidence related to that
individual's willingness to participate in research.
Designs
The regulations do not limit study designs for conducting emergency research; the study
design should be adequate to the task of evaluating whether the drug or device has the
hypothesized effect.
Placebo-controlled trials may be conducted under this emergency research provision, when
appropriate [21 CFR 50.24( a)( 1)]. In virtually all cases, when a placebo is used,
standard care, if any, would be given to all subjects, with subjects randomized to
receive, in addition, either the test treatment or a placebo. An exception would be the
situation in which the study objective is to determine whether standard treatment is in
fact useful. In that case, there would be a group that does not receive the standard
treatment. Sponsors designing placebo-controlled trials that include subjects to whom
neither standard treatment nor the test article is given should provide a sound rationale
for this type of study design.
III.
THERAPEUTIC WINDOW
Definition
The therapeutic window is the time period, based on available scientific evidence,
during which administration of the test article might reasonably produce a demonstrable
clinical effect.
Therapeutic Window Rationale
The therapeutic window cannot be known until the relation of time of treatment to
treatment outcome is formally studied. Nevertheless, the sponsor must use available data
(e. g., pathophysiologic data, animal data) to identify the therapeutic window during
which administration of the test article to study subjects should be initiated [21 CFR
50.24( a)( 5)]. The therapeutic window should be specified in the study protocol, as well
as the amount of time to be devoted to seeking informed consent, as explained below.
Contact of Family Members
In identifying the therapeutic window, sponsors should recognize that attempts to
contact a legally authorized representative or a family member (if no legally authorized
representative is available) need not exhaust the entire therapeutic window before the
test article may be administered. In some circumstances, e. g., cardiac arrest, the
therapeutic window may be very short. Ordinarily, it may be expected that the potential
benefit of the test article would decrease as the time for administering the test article
increases. Thus, the effect of delaying administration of the test article should be taken
into account when determining the portion of the therapeutic window to be devoted to
seeking informed consent from a legally authorized representative or providing the
opportunity for a family member to object to the subject's participation.
The IRB should review the proposed plan and procedures for attempting to contact the
legally authorized representative or family member and determine whether the specified
period of time for making these attempts before the test article may be administered is
appropriate.
IV. IRB REVIEW
FDA anticipates that emergency research usually will be performed at an institution
with an IRB that has the responsibility and authority to review all studies performed at
that institution. Independent IRBs, however, may review emergency research studies
involving an exception to the informed consent requirements, provided that they comply
with all the regulatory equirements, including the community consultation and public
disclosure provisions. The institutional responsibility for IRB review should not be
delegated to another IRB unless the institution and the IRB for the institution agree to
the delegation and the agreement is documented in writing [21 CFR 56.114].
V. LICENSED
PHYSICIAN CONCURRENCE REQUIRED FOR IRB APPROVAL OF THE RESEARCH
The IRB must have the concurrence of a licensed physician, both initially and at the
time of continuing review, that the criteria of 21 CFR 50.24 are met. The licensed
physician must be "a member of or consultant to the IRB and . . . not otherwise
participating in the clinical investigation" [21 CFR 50.24( a)]. A licensed physician
consultant would be necessary in cases where the licensed physician member( s) cannot
participate in the deliberation and voting due to conflict( s) of interest. Because the
documented concurrence of the licensed physician member or licensed physician consultant
is required for the IRB to allow these studies to proceed, IRBs should ensure that meeting
minutes specifically record the licensed physician member's affirmative vote or the
licensed physician consultant's concurrence.
VI.
COMMUNITY CONSULTATION AND PUBLIC DISCLOSURE - General
Under 21 CFR 50.24, community consultation and public disclosure must be provided for
each emergency research protocol for which an exception from informed consent is
requested.
Community consultation refers to ensuring that the community( ies) is (are) involved in
the IRB's decision-making process. As such, the IRB needs to provide an opportunity for
the community( ies) to discuss the proposed clinical investigation and its risks and
potential benefits, and to provide feedback to the IRB. The IRB should consider this
community discussion when reviewing the protocol.
Public disclosure refers to informing the community( ies), the public, and researchers
about the study (1) prior to its commencement and (2) following its completion.
Prior to commencement of the study, there must be public disclosure of sufficient
information to describe the nature and purpose of the study, the fact that informed
consent will not be obtained for most study subjects, and the study's risks and potential
benefits [21 CFR 50.24( a)( 7)( ii)]. For example, relevant information could be obtained
from the investigator's brochure and study protocol. Disclosure of this information should
inform individuals within the community( ies) about the clinical investigation.
Following completion of the study, information about the study results should be disclosed
to the community( ies) from which the subjects were drawn and in which the study was
conducted [21 CFR 50.24( a)( 7)( iii)]. In addition, the research community should have
access to comprehensive summary data from the completed trial in order to permit
researchers to assess the results of the clinical investigation. Making the research
results broadly known to the scientific community, through scientific publication or
meetings, may reduce or eliminate the possibility that research (which has been conducted
or verified by others) is not unnecessarily duplicated.
A. COMMUNITY CONSULTATION
Before a clinical study may be initiated, the IRB must find and document that
consultation has occurred with representatives of the community( ies) in which the
research will take place and from which research subjects may be drawn [21 CFR 50.24( a)(
7)( i); 21 CFR 56.115( a)].
Definitions
Community consultation. Community consultation means providing the opportunity
for discussions with, and soliciting opinions from the community( ies) in which the study
will take place and from which the study subjects will be drawn. These communities may not
always be the same; when they are not the same, both communities should be consulted.
The community in which the research will take place is the geographic area, e. g.,
city or region, where the hospital or clinical investigator study site is located.
The community from which subjects will be drawn may be characterized by analyzing
the demographics of previous hospital patients with the emergent condition under study.
For example, the IRB or clinical investigator might review the hospital records of the
last 50-100 patients admitted to the emergency room for the condition under study and
tabulate characteristics (gender, age, ethnicity, geographic locale, etc.)
When
Consultation must occur prior to initiation of the study [21 CFR 50.24( a)( 7)( i)]. FDA
encourages sponsors to work with IRBs and clinical investigators in developing model
strategies and plans for consultation with the community( ies).
Costs
Although FDA does not dictate who should bear the costs associated with consultation with
the community( ies), the agency anticipates that the sponsor would normally bear the costs
because consultation is a requirement for conducting the research.
Type & Frequency of Community Consultation
It is the shared obligation of the clinical investigator, IRB, and sponsor to make the
effort to reach the community( ies). IRBs and clinical investigators should provide
opportunities for representatives of the community( ies) involved in the research to
discuss the proposed clinical investigation, for example, in face-to-face meetings, with
the IRB and investigators. The meetings should include discussions of (1) the fact that
informed consent will not be obtained for most study subjects and (2) the risks and
potential benefits of the research for study subjects. In conducting community
consultation activities, IRBs and clinical investigators should ensure that
representatives from the community( ies) involved in the research are informed of, and
participate in, the consultation process.
IRBs and clinical investigators should choose the most appropriate way to provide
community consultation. Standing meetings, such as local civic public forums, may be
better attended because such meetings are already on community members' calendars.
Organizing special meetings specifically to discuss the research may be valuable in that
such meetings may draw participation from individuals with strong interest in the
research. The agency recognizes that other methods to consult with the community( ies) may
be appropriate in some instances, for example, the use of local radio and/ or television
talk shows that allow viewers to "call-in" to express their views and concerns.
A combination of these and other approaches may be necessary to ensure that communities
involved in the research are adequately informed. Consultation activities should be widely
advertised so that representatives of as many different groups within
the community( ies) as possible are included.
In addition, the IRB might invite community representatives to participate in convened or
special meetings of the IRB at which the emergency research will be discussed.
Alternatively, the IRB could use community members as consultants to the IRB or establish
a separate IRB subpanel of members of the community( ies) from which the subjects will be
drawn. The clinical investigator and one or more IRB members should attend each community
consultation meeting to answer questions and gain firsthand knowledge about the
communities' reactions to and concerns about the research.
The number of members of the community( ies) that should be consulted and the number of
meetings that should be held for adequate consultation will vary depending upon the size
of the community( ies), the homogeneity of the subject population, the languages spoken
within those communities, the targeted research population, etc.
IRBs should assess the success and determine the adequacy of consultation efforts, i. e.,
whether meaningful feedback was secured from the community( ies). For example, low
attendance at meetings should not be construed as meaning that there is no interest in or
no objection to the research by the community( ies). Limited or no input from the
community( ies) may mean that additional efforts need to be made to reach the community(
ies).
Content
Consultation provides the initial opportunity for the IRB and clinical investigator( s) to
inform community representatives (1) that informed consent will not be obtained for most
research subjects; (2) about the risks and potential benefits of the research; and (3)
about an individual's right to refuse to participate in research and ways in which
individuals wishing to be excluded may indicate this preference. The community
representatives are expected to provide input to the IRB on community support for, or
concerns about, the research activity. Thus, the consultation should involve an exchange
of information about the study and community attitudes with respect to the research.
As required by 21 CFR 56.107( a), the IRB is responsible for listening to and considering
the community's opinions and concerns when deciding whether the investigation should be
modified, approved, or disapproved. For example, in response to the community's concerns,
the IRB may agree that it is appropriate to limit the universe of people from which
potential subjects may be drawn by excluding particular populations who voice opposition
to participation in the investigation, provided that members of those groups can be easily
identified. In some cases, the IRB may determine that additional community consultation
activities are necessary to help the IRB members better understand concerns and objections
to the study raised by specific groups within the community. In other cases, if the
community raises objections and concerns, an IRB may determine that the study should not
be performed in its community.
IRBs must include in their minutes a written summary of the discussion of controversial
issues and their resolution. This would include controversial issues raised during
community consultation activities, particularly discussions of community opposition to, or
concern about, the emergency research study, and how the IRB addressed and/or resolved
such concerns about the study [21 CFR 56.115( a)( 1) and (2)].
Advice for Public Disclosure
Consultation with community representatives may provide a good opportunity for IRBs and
clinical investigators to obtain important advice on how to provide efficient and
effective disclosure to the broader community.
B. PUBLIC DISCLOSURE
Public disclosure is required (1) before the emergency research may begin and (2) after
the research has been completed. The IRB must find and document that public disclosure has
occurred [21 CFR 50.24( a)( 7)( ii) and (iii); 21 CFR 56.115( a)].
Although FDA does not dictate who should bear the costs associated with public disclosure
activities, the agency anticipates that the sponsor would normally bear the costs because
public disclosure is a requirement for conducting the research.
Definition
Public disclosure means dissemination of information about the emergency research
sufficient to allow a reasonable assumption that the communities are aware that the study
will be conducted, and later, that the communities and scientific researchers are aware of
the study's results.
1. BEFORE THE STUDY BEGINS
Who
The IRB is responsible for finding and documenting that information about the emergency
research has been publicly disclosed.
Clinical investigators and IRBs are responsible for making the arrangements for public
disclosure of plans for the investigation and the investigation's risks and potential
benefits. FDA encourages sponsors to work with clinical investigators and IRBs in
developing model strategies and information for public disclosure as early as possible.
When
Public disclosure must occur prior to initiation of the clinical investigation [21 CFR
50.24( a)( 7)( ii)]. In addition, the IRB may determine that it is appropriate to require
additional disclosure at periodic intervals of time.
Content
In order for the community to understand the anticipated risks and potential benefits of
the study, the clinical investigator and IRB must disclose the study plans to the public
[21 CFR 50.24( a)( 7)( ii)]. This disclosure could include information that is found in
the informed consent document, the investigators' brochure, and the research protocol. The
disclosure should clearly state that informed consent will not be obtained for most
research subjects. It should also include information about the test article's use, a
balanced description of the risks and potential benefits, a synopsis of the research
protocol and study design, how potential study subjects will be identified, and the sites
or institutions that will be participating in the research. Disclosure should explain what
attempts will be made to contact a legally authorized representative, or, if no legally
authorized representative is available, a family member about the subject's participation
in the study, both before and after the test article is administered. In some studies, the
therapeutic window will be very short. Disclosure should also explain how individuals who
do not want to participate in the research can communicate their desire not to participate
(e. g., by use of medic alert bracelets, statements on driver's license, etc.)
How
FDA anticipates that multiple forums and media resources will be needed to widely
disseminate information about the study. For example, disclosure activities could include
advertisements and articles in English language, and if appropriate, foreign language,
newspapers; information on an Internet web site; information at meetings of community,
local government, civic, or patient advocacy groups, such as Rotary, League of Women
Voters, religious organizations, senior citizens groups; and public service announcements
and interviews or discussions on "talk" radio or television programs; press
conferences and briefings.
Another avenue for public disclosure to the community might be provided by hospitals' and
institutions' existing community outreach programs.
Public disclosure activities should provide sufficient information about the emergency
research so that community members can easily learn about the research planned for their
community( ies). For example, the following activities alone or in combination with each
other would not constitute sufficient public disclosure under this rule: a legal notice;
sending a letter to physician specialists about the study; or informing hospital staff
about the study.
Publicly Disclosed Information
The IRB must provide the sponsor with a copy of the information that was publicly
disclosed (e. g., copies of newspaper advertisements, tapes or transcripts of radio and
television shows, minutes of community meetings) so that the sponsor is aware that such
disclosure has occurred and can provide copies of the disclosed information to FDA [21 CFR
56.109( g), 312.54( a) and 812.47( a)].
Access to Public Disclosure Information
Upon receiving from the IRB copies of the information that has been publicly disclosed,
the sponsor must submit the information to FDA, to the IND/IDE and to Dockets Management
at the following address [21 CFR 312.54( a) and 21 CFR 812.47( a)]:
Docket Number 95S-0158 (IND#/IDE#)
Dockets Management Branch
Food and Drug Administration
Room 1061, Mail Stop HFA-305
5630 Fishers Lane
Rockville, MD 20852
Telephone: 301/ 827-6860 Fax: 301/ 827-6870
Members of the public wishing to examine public disclosure information submitted to the
docket may visit the FDA's Dockets Management Branch or request copies by sending a
Freedom of Information Act request to FDA at the address shown below [21 CFR 312.130( d)
and 812.38]:
Freedom of Information Office (HFI-35)
Food and Drug Administration
5600 Fishers Lane
Room 12A-16
Rockville, MD 20857
Telephone: 301/ 827-6500
2. AFTER THE STUDY IS COMPLETED
Following completion or termination of a clinical investigation, there must be public
disclosure of sufficient information (including the demographic characteristics--age, sex,
race--of the research population) to apprise the lay and research communities of the
results of the study [21 CFR 50.24( a)( 7)( iii)].
Who
The sponsor is responsible for analyzing the results of the overall investigation,
including the demographic characteristics of the research population, and for ensuring
that these results are published (or reported) in the lay press.
The IRB( s) must find and document that the information to be disclosed to the community(
ies) and researchers is sufficient to apprise them of the study results, including the
demographic characteristics of the research population [21 CFR 50.24( a)( 7)( iii)]. FDA
anticipates that the sponsor and clinical investigator( s) will review the information
with the IRB( s) prior to disclosure.
When
Disclosure of the study results to the community( ies) should occur in a timely fashion
following completion of the investigation. For a multi-site investigation, this would
ordinarily require waiting until the data from all sites have been analyzed by the
sponsor.
How
Comprehensive summary data from the completed trial should be prepared and made available
to the research community (e. g., through publication in scientific journals, discussion
at symposia) in order to permit other researchers to assess the results of the clinical
investigation.
The IRB is responsible for assuring that appropriate mechanisms are used (e. g., news
articles, television or radio programs, community meetings) for providing information
about the results of the research to the community( ies) in which the clinical
investigation was conducted and from which research subjects were drawn. IRBs should
ensure that study information is stated in language understandable to these communities.
Regulations regarding the promotion of investigational drugs and devices also apply to
disclosure of study results; that is, a sponsor or investigator shall not represent in a
promotional context that an investigational new drug, biologic, or device is safe or
effective for the purposes for which it is under investigation, or otherwise promote the
drug or device [21 CFR 312.7 and 812.7].
See also "Publicly Disclosed Information" in section VI. B. 1, above, for
details on submission of public disclosure information to FDA.
VII. CONTACT
OF LEGALLY AUTHORIZED REPRESENTATIVES OR FAMILY MEMBERS
A. PRIOR TO
ADMINISTRATION OF THE TEST ARTICLE
Commitment
For each subject unable to provide informed consent, the clinical investigator
participating in emergency research must commit to attempting to seek written informed
consent, if feasible, from a legally authorized representative or, if no legally
authorized representative is available, to provide an opportunity for a family member to
object to the participation of an individual, before administering the test article
without informed consent [21 CFR 50.24( a)( 7)( v)].
Procedures
IRBs must find and document that procedures are in place for contacting and providing
information to a subject's legally authorized representative or family member [21 CFR
50.24( b)]. FDA anticipates that procedures and information will likely parallel those
approved by the IRB for use in obtaining informed consent from subjects or their legally
authorized representatives. Each study site should therefore have procedures in place for
each emergency research protocol that will be used (1) in attempting to obtain informed
consent from a legally authorized representative, and (2) if no legally authorized
representative is available, in attempting to contact a family member and provide an
opportunity for the family member to object, prior to enrolling a subject in the study and
administering the test article.
Informed Consent Document
An IRB-approved informed consent document, consistent with 21 CFR 50.25, must be
available. Informed consent must be obtained, when feasible, from the subject or the
subject's legally authorized representative [21 CFR 50.24( a)( 6)].
Opportunity To Object
Family members are not required to sign a document to object to an individual's
participation in a study. Objections should be documented, for example, by placing
appropriate entries in the individual's medical charts. When a legally authorized
representative is unavailable, if a family member objects to an individual's participation
in the study, the individual should not be entered into the study. If family members were
to disagree, the researcher and family members would need to work out the disagreement.
Summary of Contact Efforts
The clinical investigator is required to summarize the efforts made to contact a legally
authorized representative or, if no legally authorized representative is available, a
family member for each subject within the therapeutic window. This information must be
provided to the IRB at the time of continuing review of the study [21 CFR 50.24( a)( 5)
and (a)( 7)( v)].
B. AFTER
ADMINISTRATION OF THE TEST ARTICLE
When
IRBs must ensure there are procedures in place to provide information about the emergency
research study, at the earliest feasible opportunity, to (1) the subject if the subject
recovers from the life-threatening event, (2) the subject's legally authorized
representative (if the subject remains incapacitated), or (3) the subject's family member
(if no legally authorized representative is available), including notice that the subject
may withdraw or discontinue participation in the study without penalty or loss of benefits
to which the subject is otherwise entitled [21 CFR 50.24( b)].
IRBs must also ensure that in the event of the subject's death, there are procedures in
place to provide information about the study to the legally authorized representative or
family member (if no legally authorized representative is available), if feasible [21 CFR
50.24( b)]. The regulations do not contain a time limit for providing this information, in
order to allow consideration of the emotional condition of the family members who have
just learned of the death. A hospital chaplain or social worker may be helpful in
determining the appropriate time to discuss the clinical investigation.
Records
The clinical investigator should include in the subjects= case histories attempts to
inform each subject, a legally authorized representative or, if no legally authorized
representative is available, a family member, of the subject's inclusion in the clinical
investigation [21 CFR 50.24( a)( 7)( v)].
Agreement for Continued Participation in Study
The IRB should determine whether it is desirable, given the nature of a clinical
investigation, to have an actual document that could be signed by the subject or the
subject's legally authorized representative for continued participation in an
investigation. Such a document, if signed after entry into an investigation, would not
constitute informed consent for what had already occurred, but would serve to document
that the subject or the subject's legally authorized representative agreed to continue the
subject's participation in the study.
VIII. DATA
MONITORING COMMITTEE (DMC)
Before a study may be initiated, the IRB must find and document that the sponsor has
established an independent DMC to serve as an advisory body to the sponsor [21 CFR 50.24(
a)( 7)( iv)].
Definition
A data monitoring committee, sometimes called a data and safety monitoring board, is a
group of experts established by the sponsor to assess at intervals the progress of a
clinical trial (the safety data and the critical efficacy endpoints), and to recommend to
the sponsor whether to continue, modify, or stop a trial. DMCs for trials implemented
under 21 CFR 50.24 must be "independent", by which the agency means that the
committee should be composed solely of individuals who have no financial interest in the
outcome of the study and who have not been involved in the design or conduct of the study
[21 CFR 50.24( a)( 7)( iv)].
Purpose
The DMC helps ensure subject safety by reviewing ongoing results on a periodic basis and
considering whether an investigation ought to be modified to minimize any identified risks
or halted. Factors to consider in this decision include whether (1) the potential benefits
of the investigational intervention have been established or (2) the risks are greater
than anticipated.
The DMC is responsible for informing and making recommendations to the sponsor about
safety or efficacy concerns related to continuing the investigation.
Membership
The DMC should be composed of individuals not otherwise connected with the particular
clinical investigation or the sponsor. A DMC under this rule typically would include one
or more clinicians specializing in the relevant medical field( s), biostatisticians, and
bioethicists.
Operation
The DMC reviews study data and adverse event reports on a schedule generally defined by
the sponsor, which may include review of study data on an ongoing basis (real time) if
necessary for adequate safety monitoring in specific situations. It is essential that the
DMC have access to all the information it needs to effectively evaluate the progress of
the study. Thus, the DMC may need access to data unblinded by treatment arms in order to
ensure reliable and complete assessment of the safety and efficacy data.
The sponsor is responsible for determining the scope of the DMC's responsibilities.
Operations of the DMC should include:
(1) the manner in which, and the frequency with which, study data and information about
adverse events are forwarded to and reviewed by the DMC, e. g., after 10%, 25%, 50%, 75%,
or 100% enrollment;
(2) criteria for assessing data, and pre-established "stopping" criteria;
(3) qualifications of DMC members;
(4) assurance that members of the DMC have no financial interest in the outcome of the
study and have not been involved in the design or conduct of the study; and
(5) preparation and maintenance of written records for all meetings.
May an IRB Serve as a DMC?
Because most IRBs are not constituted to meet the special membership requirements of a
DMC, and the duties and scope of activities of an IRB and a DMC are quite different,
entities performing each of these separate functions should be established. Any committee
serving as a DMC should ensure that its membership is appropriate to the study and that it
operates as a separate, independent entity.
IX. FOR
FURTHER INFORMATION
A. CONTACTS
Sponsors and IRBs with questions regarding applications pertaining to an exception from
informed consent requirements for emergency research under 21 CFR 50.24 may contact the
appropriate office( s) identified below:
CBER: (Center for Biologics Evaluation & Research)
Office of Compliance and Biologics Quality Bioresearch Monitoring Team (HFM-650)
1401 Rockville Pike Rockville, MD 20852-1448
301/ 827-6221; fax: 301/ 827-6748
CDER: (Center for Drug Evaluation & Research)
Regarding informed consent procedures and documents:
Division of Scientific Investigations
Good Clinical Practice Branch I and II (HFD-344)
7520 Standish Place
Rockville, MD 20855 301/ 594-1026; fax: 301/ 594-1204
Regarding specific applications/ INDs:
Office of Drug Evaluation -I (HFD-101)
1451 Rockville Pike, Room 6015 Rockville, MD 20852-1420
301/ 594-6758; fax: 301/ 594-5298
CDRH: (Center for Devices and Radiological Health)
For questions about 21 CFR 50.24 implementation and specific applications:
Office of Device Evaluation (IDE Staff)
9200 Corporate Boulevard Rockville, MD 20850
301/ 594-1190; fax: 301/ 594-2977
ORA: (Office of Regulatory Affairs)
Office of Enforcement
Bioresearch Monitoring Program Coordinator (HFC-230)
5600 Fishers Lane Rockville, MD 20857
301/ 827-0415 or 301/ 827-0425; fax: 301/ 827-0482
FDA will place the publicly disclosed information related to emergency research studies
under 21 CFR 50.24 submitted to the agency by the sponsor, in Docket Number 95-S0158,
identified by the IND/IDE number. This information can be viewed by visiting the Dockets
Management Branch (HFA-305), FDA, 5630 Fishers Lane, Room 10-61, Rockville, MD 20852.
These documents are also available under the provisions of the Freedom of Information Act
(FOIA) [21CFR 312.54( a), 312.130( d) and 812.38]
Members of the public wishing to examine the public disclosure information submitted to
the docket may visit the docket or request copies by sending a Freedom of Information Act
request
to FDA [21 CFR 312.130( d) and 812.38].
COMMENTS ON THIS GUIDANCE SHOULD BE SUBMITTED TO:
Dockets Management Branch (HFA-305)
5630 Fishers Lane, Room 1061
Rockville, MD 20852
Docket #_________.
B. REFERENCES
1) Protection of Human Subjects; Informed Consent and Waiver of Informed Consent
Requirements in Certain Emergency Research; Final Rules, Federal Register (FR), 61 FR
51498, October 2, 1996.
2) Protection of Human Subjects; Informed Consent; Proposed Rule, 60 FR 49086, September
21, 1995.
3) Hearing before the Subcommittee on Regulation, Business Opportunities, and Technology,
Committee on Small Business, U. S. House of Representatives, May 23, 1994.
4) Coalition Conference of Acute Resuscitation and Critical Care Researchers, Consensus
(October 25, 1994)
5) FDA-NIH Public Forum on Informed Consent in Clinical Research conducted in Emergency
Circumstances, transcript, January 9-10, 1995.
6) Implementation of Emergency Research Informed Consent Waiver Rule; Public Meeting,
September 29-30, 1997, Bethesda, MD. |