Transcript Ethics application `the form`

Navigating the ethics form and the
committee
Dr Carl Edwards
Chair of Leicester REC
Why a national ethics system?
• Recognition of basic rights
– Nuremburg Code (1947)
– Declaration of Geneva (1948)
– Declaration of Helsinki (1975)
• Failure of local enforcement
– Willowbrook State School (1963-1966)
– Guatemala (1945-1948)
– Tuskegee (1932-1972)
• Legislation on ethical conduct
– Human Tissue Act
– Mental Capacity Act
– Medicines for Human Use (Clinical Trial) Regulations
National Research Ethics Service (NRES)
• NRES launched on 1 April 2007, merged;
– Central Office for Research Ethics Committees (COREC)
– Research Ethics Committees (RECs) in England
• “... protect the rights, safety, dignity and well-being of
research participants, whilst facilitating and promoting
ethical research.”
• SOPs and regulations relating to NHS Research
• Health Research Authority – To be established 1st
Dec 2011. [watch this space]
http://www.nres.npsa.nhs.uk/
http://www.nres.npsa.nhs.uk/news-and-publications/publications/standard-operating-procedures/
IRAS
• The IRAS form will gather information for:
– Administration of Radioactive Substances Advisory
Committee (ARSAC)
– Gene Therapy Advisory Committee (GTAC)
– Medicines and Healthcare products Regulatory Agency
(MHRA) - Devices
– Ministry of Justice (National Offender Management Service)
– NHS / HSC research offices
– NRES/ NHS / HSC Research Ethics Committees
– Patient Information Advisory Group (PIAG)
• Import/ export mechanism with EudraCT.
– Medicines and Healthcare products Regulatory Agency
(MHRA) for clinical trials of investigational medicinal
products.
What’s it all about?
• Navigating the form is your best start to being
able to navigate the committee.
• The form is:
– Is your best chance to communicate with the
committee.
– Is exhaustive.
– May contain things you feel are not ethically relevant.
– May contain things you feel are just not relevant.
– Is not optional
– Is the first thing the committee will know about you.
The committee - 1
• Up to 18 members; Chair, Vice-Chair, plus administrator
• Variety of backgrounds
– Expert
– Lay
• System of review
– Single lead reviewer
– All members can read and comment
– 3 decisions
• Approve
• Provisional opinion
• Rejection
The committee - 2
• What do committees look at?
– What’s happening to the patient?
– Do they know what’s going to happen?
• Informed consent – understandable information
– Is what’s happening justified?
• Risk vs. Benefit
• Discomfort vs. Benefit
– Is there a scientific basis for the study?
• Repeating existing work?
• Poor research is unethical
– Coercion and Inducement
– Confidentiality and Dignity
Review of the form
• Will examine Sections of the form in it’s layout
for Clinical Trials of Investigational Medicinal
Product (CTIMP).
• This is about as complex as the form gets.
– Other types of research will have fewer questions.
• This review will try to explain how the committee
looks at the form.
– Use this as additional help, it is not a substitute for
common sense.
Front page - 1
• Covering letter
– Use it to elaborate any
points not in the form.
• MHRA request
– Not an approval
• Protocol
– Could you do the work
reading only this?
• PIS/Consent
– More important than
the protocol to the
REC?
• Letter of invitation
– Who is sending it?
• GP letters
– Really?
• Letters (Sponsor,
Funder, Statistician)
– All help support you.
• Summary/Diagram
– Very important
Front Page - 2
• Questionnaires
– Layout and validation.
• Adverts
– Take time over these,
need to be clear and
from the right person.
Project Filter page
• Carefully consider this, the choices you
make affect the form you end up with.
• For example:
– Involve adults unable to consent for
themselves through physical or mental
incapacity?
• Important changes in the law mean CTIMPs are
covered by clinical trial directive, all other research
covered by the Mental Capacity Act.
Section A
• 2. Overview
– Make sure this is in lay language. It will be published.
– Be honest about the ethical issues you see
• 3 Purpose and design
– Keep primary objectives simple, be honest; modest
expectations are not unethical.
– Scientific justification need not be complicated; do not
c&p from your protocol!
– Keep it short, don’t include methods here.
Section A
• Summary of main Issues (6-2)
– Never say ‘none’.
– Describe them as you see them e.g.
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Researcher objectivity
Coercion
Informed consent
Ability to recruit enough participants to make the
study valid.
– You will not ‘flag’ things for the committee.
– Don’t be afraid to ask for advice e.g.
• How can you ethically gain assent?
• How best to approach distressed participants?
Section A
• A13 “Give a full summary…”
– Source of some of the worst mistakes in the
form.
– Use lay language;
• if you can’t do it here, what confidence will the
committee have in you providing information to the
participants?
– Do a flow diagram/pictorial summary
• Not everyone gets to see the full protocol. A useful
way of getting extra information across.
Section A
• 4. Risks and ethical issues
– Be consistent in the inclusion criteria (A17)
• Exclusion on grounds of race, sex, age or
language abilities must be explained fully.
• Convenience or funding issues are weak excuses
to exclude specific groups.
– Make sure that you explain where the patient
treatment differs in the study (A18-21)
• Are drugs normally withdrawn?
• Is the catheter normally used?
• Is the MRI scan routine?
Consistency a huge problem here, double check or
you’ll end up having to come back.
Section A
– Are you actually going to withhold normal
care?
• A chance to summarise what normally happens to
a patient. (rarely happens but can be incredibly
useful)
– “Participant benefit”
• Don’t be shy, extra scans, additional observations
may be beneficial.
– “Researcher risk”
• Most often related to ‘lone worker’ risk, get hold of
Trust guidelines.
Section A
• “Continuing care” (A25)
– “At the conclusion of the study, patients
entered into the study are entitled to be
informed about the outcome of the study and
to share any benefits that result from it, for
example, access to interventions identified as
beneficial in the study or to other appropriate
care or benefits.” Declaration of Helsinki
– Consider this carefully!
Section A
• Recruitment and consent
– Make sure any patient note review
will be done by part of their normal
clinical team.
– First approach must be by primary
carer
• Very few exceptions e.g. a general
leaflet handed out in a clinic
• Participating in care of the patient
does not qualify as primary carer e.g.
anaesthetists approaching patient
about non-anaesthetic studies
Section A
• Recruitment and consent
– The recruiter may not be the primary carer
• They cannot know about potential participants
without their consent.
• Usual solution is for primary carer to give an
invitation letter to participants with contact details
for researcher on it.
• Make sure that letter is from the primary carer.
– Where recruitment takes place can be
important.
• Will it involve extra travel?
• Is the location ‘safe’?
Section A
• “Informed consent” (A30)
– Will you be getting consent and how informed
will it be?.
• If it’s a solely notes based project it’s probably audit
not research.
– Consent for tissue use isn’t always required.
• Specific provisions in the Human Tissue Act for
tissue normally discarded.
– “Informed”, is there a case for a summary PIS?
– Implied consent e.g. return of a questionnaire
is fine. Do not over egg things.
Section A
• “Time to consider”
– If there’s less then 24 hours for a participant
to consider then explain why.
• Convenience not an excuse
• Minimal impact/harm or simplicity may be
• Clinically it may be impossible e.g. emergency
care
• Complexity may preclude prior consent
– consenting pregnant women into a study of pre-term
labour at routine clinic visits where there is no evidence
that they will go into pre-term labour (considered
potentially distressing and leaves open potential
administration errors)
Section A
• Confidentiality
– Remember there’s a difference between
personal data and study data!
– Disclosure of coded/anonymous study data to
3rd parties is likely to be fine
• Incentives
– Payment to the hospital per patient is not an
incentive to the researchers.
• Notification of other professionals
– Consider carefully if other groups really need
to know?
Section A
• Dissemination
– Make sure you complete this. Unreported
research is unethical.
• Do not over promise on reporting back to
participants. Reporting back to the communities is
probably more important.
• Explain what will happen to any dissertations.
• Statistical review
– Make sure you have an appropriate case
• Primary endpoints need to be clear to the lay
person
Section A
• Indemnity (A76)
– “Negligent harm”
• NHS indemnity or 3rd party?
– “Non-negligent harm”
• Should be provided by external Sponsors
• Is not provided by the NHS
– It’s useful to get the ball rolling on getting a
copy of the insurance cover asap!
End Game
• The form is complete, you have:
– Considered the ethical issues.
– Have translated your protocol into lay
language.
– Helped the committee understand what you
intend to do (flow diagram, supporting letters).
– Determined what you need participants to
consent to.
• Time now for a PIS and Consent form
Consent form
• Consent form
– NRES have a standard format, use it.
– Explicit consent is best for:
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Taping/videoing interviews
Retaining tissue for testing
Transfer of tissues to research partners
Transfer of data to research partners
Transfer of data outside of the EU
‘Genetic’ tests; ensure that you exclude those that
may affect insurance.
Participant information - 1
• Patient Information Sheet
– NRES have a standard form, use it (sort of).
– Standard form is good for organising thoughts.
– Do not be afraid to delete irrelevant sections.
– Use standard wording for indemnity, ethics
approval.
– Be explicit in quantifying any risks or
discomforts.
• Give lay examples for radiation doses or blood
volumes.
Participant information - 2
• Participant information sheet
– Help the participant and the committee
understand you.
– Use diagrams where you can:
• Flow charts
• Examples of the size of biopsies
• Photographs of equipment
– The use of lay language can’t be emphasised
too much.
• “Get your mum to read it” test?
Summary
• The form may seem over complex and
repetitive but it can help you.
• The committee will not try to obstruct you.
• 90% of the problems stem from
misunderstandings
• Regard the chance to speak to the
committee as an opportunity, not an
inquisition.
Concluding thoughts
• The ethics committee system is there to
serve researchers.
– Protecting participants
– Protecting researchers
– Advising research Sponsors
• Please do not be put off research by the
process.