UW Research

Guide to Reporting New Information

The table below includes a summary of problems and information that require reporting to HSD and the IRB, as well as the time frame for reporting and which form to use. Information, events and problems that are not research related do not need to be reported. Minor noncompliance only needs to be reported if it consists of an event or information listed in the table. When the components of the research are distributed across more than one institution or site, reporting requirements may differ depending upon the IRB review arrangements. For a more detailed description of HSDs reporting requirements, definitions, guidance and examples of what to report and what not to report, see SOP RNI Reporting by Researchers.

If you need help deciding what to report and what form to use, call HSD at 206.543.0098 and ask for a member of the Regulatory Affairs Team.

Information or Event When to report How to report
Qualifying Medical Problem covered by the UW HSAP Report within 24 hours Follow the instructions to submit new information in Zipline, making sure to include the:

  • SUPPLEMENT RNI form if the RNI involves noncompliance or a problem or event related to a subject
  • DSMB or other monitoring report (if applicable)
  • Audit or compliance report (if applicable)
  • Any other relevant supporting documentation

If the study also requires modification, follow the instructions on creating a modification in Zipline.

Breach (or risk of breach) or loss of subject confidentiality or privacy
Inappropriate access or use of protected health information (PHI)
Incidental incarceration of a research subject in a study that the IRB has not approved for the inclusion of prisoners and where study activities or data collection will continue while the subject is incarcerated Report within 3 business days
For DOD funded EFICs studies only: All incidental incarceration of a research subject even if study activities and data collection will not occur during the incarceration
Unanticipated problem Report within 10 business days
Unanticipated adverse device effect
Serious noncompliance
Continuing noncompliance
Emergency deviation from IRB approved procedures made without IRB review to eliminate an apparent immediate hazard to a subject or others
Continuation of research after IRB approval has lapsed, because the procedures are of direct benefit to the individual subjects or withholding the researcher intervention (if any) may increase risks to subjects
Complaint from a subject or other person about the study, which cannot be resolved by the research team
Audit, inspection, compliance or safety-related inquiry from a federal agency including initial notification of an upcoming audit or inspection
Information that indicates a new or increased risk or safety issue (or a decrease in study benefits) (e.g. A publication in the literature indicates an increase in the frequency or magnitude of a previously known risk, or uncovers a new risk; revised IB, package insert, or device manual; changes to FDA-approved labeling, restrictions, or warnings)
Humanitarian Use Devices (HUDs) – Medical Device Reports (MDRs) or incidents where a HUD may have caused or contributed to a death or serious injury, or has malfunctioned and would be likely to cause or contribute to a death or serious injury if the malfunction were to recur
Premature suspension or termination of some or all of the research by the sponsor, researcher, or institution
All safety monitor or DSMB reports
Change in credentialing, licensing, resources, or facilities that affect the research Follow the instructions on creating a modification in Zipline.