Adipose Stromal Cell Enriched Autologous Fat Grafting for Treating Pain at Amputation Sites: A Single Center Site, Prospective, Randomized, Pilot Outcomes Trial
Phase: NA
Conditions: Wounded Warrior, Limb Shortening, Amputation
Sponsor: J. Peter Rubin, MD

Study Protocol and Statistical Analysis Plan 
NCT 02076022 
November 08, 2018 
 
 
 

 
 
 
Section: Triage 
    [reviewer notes¬]  
Triage Section   
Provide a short title for this study (200 characters or less): 
AMP 30: Autologous Fat Grafting, Amputation Sites Pain: Randomized  
 
T1.0 Select the type of application:New Research Study    
   
T2.0 Is the proposed research study limited to the inclusion of deceased individuals? * No  
 
The review and approval of proposed innovative practices are not subject to IRB review and 
approval.  The introduction of innovative procedures or therapies into clinical practice (i.e., 
independent of a research activity approved by the IRB) should be reviewed with the applicable 
department chairperson and the UPMC Technology Assessment Committee/Innovative Practices 
Sub-Committee prior to their implementation. The contact person is Mary Gardner at 412-647-
6883. 
 
T2.1 Are any research activities being conducted at the VA Pittsburgh Healthcare System or with VA 
funds? * No  
    
Respond to the following questions to determine the IRB-of-record: 
Research is conducted using only VA records and/or subjects recruited thru the VA: 
University or UPMC facilities are not engaged in research: 
 
University or UPMC funds are not expended in direct support of research: 
 
If all true, then the VA is the IRB-of-record and UPitt IRB review is not required.If all false, only 
UPitt IRB review is required.Otherwise, dual review from both the VA and UPitt IRB is required. 
 
Please select the external IRB of record: 
 

Section: Triage 
Provide the name of the Central IRB: 
 
Quality assurance projects are not subject to IRB review and approval. UPMC has adopted an 
oversight process that requires the submission of all quality assurance projects for review. At 
UPMC, submissions are reviewed by the Quality Improvement Review Committee (QRC). You 
can contact the QRC at askqrc@upmc.edu. 
  
 
Research studies that are limited to the inclusion of deceased individuals are not subject to IRB 
review and approval. Research performed on individuals who have been declared legally dead 
and/or research involving the collection of tissues from deceased individuals is not subject prior 
review and approval by the University of Pittsburgh IRB.  
There are, however, ethical issues associated with research conducted on or involving deceased 
individuals. To address these ethical issues, all University faculty who desire to perform research 
on or involving deceased individuals must submit a project application for review and approval 
by the Committee for Oversight of Research and Clinical Training Involving the Dead Research 
Involving the Dead (CORID). Note that, as per UPMC policies, research involving the medical 
records of deceased individuals is subject to obtaining the written consent of the decedents’ 
next-of-kin or the executors of the decedents’ estates.  
For studies that include BOTH living and deceased subjects, IRB review and approval is required. 
  
 
Emergency Use is the use of a test article on a human subject in a life-threatening situation in 
which no standard acceptable treatment is available, and in which there is not sufficient time to 
obtain IRB approval [21 CFR312.310]. Detailed information on the submission process is 
available on the IRB website under the A-Z Guidance, Emergency Use. 
  
  
 
  
All of the following conditions must exist to justify the emergency use of an unapproved 
investigational drug, biologic, or device. Check all the boxes that apply: 
Selections 
There are no items to display 
 
    
    [reviewer notes¬]  

Section: Triage 
Triage Section 
T3.0 
What is the anticipated risk to the research participants? 
 
Greater Than Minimal Risk  
    
T3.1  
Why do you feel that all aspects of this research study, including screening and follow-up, 
involve no more than minimal risk to the research subjects? 
 
T4.0 
Does the proposed study qualify for 'exempt' IRB review or for a determination of either 
'not research' or 'no human subject' involvement? 
*  
 
   
 
T5.0 
Does the proposed research study qualify for 'expedited' IRB review status? 
*  
 
    
 
Section: Cover Sheet 
    [reviewer notes¬]  
 
Cover Sheet Section 
CS1.0 
What is the reason for this submission? 
 
New Research Protocol Submission  
 
CS1.1 
Has this research study been approved previously by the University of Pittsburgh IRB? 
*  No  
 
If the study expired, you are required to upload the completed Renewal Report Form and a 
Data and Safety Monitoring Report. 
 

Section: Cover Sheet 
 
Upload the Renewal Report Form and Data and Safety Monitoring Report: 
Name 
Modified Date 
  
 
Previous IRB #:  
   
CS1.1.1 Has this research study (or a substantially similar research study) been previously disapproved 
by the University of Pittsburgh IRB or, to your knowledge, by any other IRB? 
*  Yes  
 
If Yes, identify the IRB, IRB number if Pitt IRB disapproved, and the primary reasons 
for disapproval: 
PRO11090266The board’s major concern is that no portion of this procedure (either stem cell 
augmented or not) is currently used in amputees. Amputees who lack soft tissue coverage 
have extensively scarred, fibrotic limbs, and these are not easily amenable to injection 
techniques. Further, while prior protocols have discussed this procedure in the face, none has 
been used for lower extremity, weight bearing reconstruction. Data from the use of this 
technique from non-weight bearing areas are scant. No comment from the DOD scientific 
review were included, nor were relevant references. As such, the board had substantial 
concern that this protocol will exposre human subjects to risks of an experimental surgery 
whose feasibility and potential benefits can not be adequately assessed at this time.Because 
of this, the board voted that the protocol be disapproved until information is obtained 
concerning 1) animals studies of similar nature, 2) data from other sources such as the smaller 
pilot protocol (PRO11090215) regarding this exact procedure so that the "augmented" grafts 
can be used as controls, or 3) satisfactory demonstration of long term benefits to this 
procedure in the face, from which POTENTIAL applicability in a weight bearing surface can be 
inferred.Other lesser concerns include: 1) lack of blinding of investigators doing the outcome 
assessments, 2) information regarding when randomization will occur and how it will be done 
are lacking, 3) what will occur at each visit (functional assessment), 4) a clear description of 
the risks associated with functional assessment, and 5) potential issues regarding 
reimbursement/compensation for PT visits are not clear 
 
    
    [reviewer notes¬]  
Cover Sheet Section 
CS2.0 
Title of Research Study: 
 

Section: Cover Sheet 
Adipose Stromal Cell Enriched Autologous Fat Grafting for Treating Pain at Amputation Sites: A 
Single Center Site, Prospective, Randomized, Pilot Outcomes Trial  
CS2.0.1    Requested approval letter wording:ProtocolInformed Consent 
  
 
CS2.1 
Research Protocol Abstract:During the current conflicts, over 1050 military personnel have 
sustained combat-related amputations. The ability of a wounded warrior to achieve maximal 
function after amputation is dependent upon successful fitting of and adaptation to a 
prosthesis. However, many patients with amputations suffer from pain when wearing a 
prosthesis related to thin soft tissue coverage and inadequate padding over bony structures 
and nerve trunks. This inadequate soft tissue coverage also contributes to poor socket 
interface, secondary skin breakdown, and further limitation of function. A clinical solution that 
allows for the minimally invasive generation of new soft tissue padding at an amputation site 
without the need for further limb shortening, lengthy scars, a prolonged recovery, and 
significant donor site morbidity would have the potential to significantly help our wounded 
warriors and change clinical practice. Autologous fat grafting is a potential solution. Grafting 
of autologous fat tissue is a minimally invasive surgical technique that starts with the harvest 
of fat tissue from the abdomen or thighs using liposuction through incisions less than 5mm in 
length. The lipoaspirate is then processed to concentrate the adipose fraction and reinjected 
into the donor site. This surgical procedure involves the immediate transplantation of a 
patient’s own tissue in a single operative procedure. It has the advantages of:• Minimal access 
incisions• Ability to transfer significant amounts of tissue (hundreds of grams of tissue)• Can 
be used in setting of previous surgical procedures and presence of hardware• Usually 
performed as outpatient procedure• Minimal donor site morbidity at graft harvest site• Low 
risk compared with more invasive surgical procedures• Can be repeated multiple times, if 
necessary, even using the same donor sitesFat transfer is considered globally as a treatment 
option in which a patient`s own fat tissue may be used to increase the volume of fat in the 
subcutaneous tissues of the body. The origin of fat injections reportedly started in 1893 when 
German physician Franz Neuber used a small piece of upper arm fat to build up the face of a 
patient whose cheek had a large pit caused by a tubercular inflammation of the bone. 
[Fettransplantation. Chir Kongr Verhandl Dtsch Ges Chir 1893:22; 66] With increasing 
acceptance as a safe and efficacious procedure over the decades, fat grafting has been widely 
used in reconstructive and cosmetic arenas to replace soft tissue defects and deficiencies. This 
has included areas of the face and hand as well as larger soft tissue volume deficits in 
craniofacial areas and breast reconstruction cases in cancer patients. The clinical success of fat 
grafts has been universal in terms of body sites reported to date at the best of our knowledge. 
This includes both non-weight bearing areas of the hands, breasts and face as well as weight-
bearing areas such as the legs and buttocks. In another clinical trial, fat pads in the weight 
bearing foot were replaced or supplemented with fat grafts in fifty (50) subjects and the 
procedure was shown to be safe, efficacious and beneficial in the long term (Chairman, 1994). 
In an OVID database search of fat grafting articles, over 9000 articles have referenced the use 
 
  
   
 

Section: Cover Sheet 
of fat grafts in a wide arena of clinical situations. Specifically to this application over 100 
references were directly pertinent to fat grafting knowledge required for this proposal.We 
propose a prospective, randomized clinical study to assess the efficacy of minimally invasive 
autologous fat transfer addressing pain and poor prosthetic fit at amputation 
sites.Objective:The objective of this study is to assess the efficacy of minimally invasive 
autologous fat transfer at the amputation sites and the modulation of pain at the respective 
sites. We hypothesize that autologous fat grafting can provide a minimally invasive therapy 
facilitated by enabling technology of specialized instrumentation to effectively mitigate pain 
syndromes at amputation sites, by introducing volume stable subcutaneous tissue over bony 
prominences and peripheral nerve trunks, thereby avoiding surgical revisions and preserving 
limb length. We further hypothesize that enriching the fat graft with autologous adipose 
stromal cells utilizing the Tissue Gensis Cell Isolation System (CIS), a regenerative medicine 
approach, will lead to improved retention of the fat graft over time and result in a more 
favorable outcome. Specific Aims:1) Treat painful amputation sites in 30 patients with fat 
grafting to provide additional subcutaneous tissue padding over bony structures and nerve 
trunks. Limb anatomy and healing of the graft over time, along with stability/persistence of 
the new tissue, will be assessed by high resolution CT scanning with 3D reconstruction. 
Patients will be followed for 24 months after treatment to define long term outcomes. The 
primary outcome measures will be pain at the amputation site and improved ability to 
tolerate a prosthesis. Patients will be randomized to receive either standard fat grafting (15 
patients)or cell enriched fat grafting (15 patients). Patients will be enrolled who have pain at 
an amputation site that limits function and/or interferes with the ability to use a prosthesis.2) 
Assess biologic properties of the cells within the fat graft and correlate with clinical outcomes. 
This will include adipose stem cell yield per volume of fat tissue, cell proliferation, capacity for 
adipogenic differentiation, lipolysis, and cell sub-population analysis by multiparameter flow 
cytometry. Results of these assays will be correlated with graft volume retention to search for 
predictors of good clinical outcome that are related to variation on adipose biology between 
subjects.3) Measure quality of life in patients before and after autologous fat grafting using 
validated psychosocial measures. This will include, among other tools, SF 36, the Beck 
inventory, and instruments designed for assessing limb function.Study Design:Single center 
site, prospective, randomized, pilot outcomes study with treatment performed at the 
University of Pittsburgh. The primary outcome measurements will be: 1) fat graft retention at 
the amputation site; and 2) improved ability to tolerate a prosthetic device. This study will 
examine if fat grafting with cell enrichment using the Tissue Gensis Cell Isolation System, (CIS) 
will demonstrate increased fat retention and decreased pain compared to standard fat 
grafting alone. Clinical Impact: This study will significantly impact military trauma care by 
validating a minimally invasive cell based technique for alleviating pain at amputation sites 
and improving function with a prosthesis. Importantly, the goal will be reached without 
invasive surgery, increased risk, and a prolonged recovery. Given the high amputation rate in 
the current conflicts, this work is highly relevant to the care of the wounded warrior. A major 

Section: Cover Sheet 
goal of this study will be to transfer the techniques and knowledge gained to physicians 
throughout the Department of Defense healthcare system.  
CS2.2 
Select the category that best describes your research:Biomedical research  
  
 
    [reviewer notes¬]  
Cover Sheet Section 
CS3.0 
Name of the Principal Investigator: 
 
J. Peter Rubin  
Note: Adjunct faculty of the University, including lecturers and instructors, are not 
permitted to serve as a PI or Faculty Mentor but may serve as co-investigators. Refer to 
Chapter 4 on the HRPO website for more information. 
 
CS3.1 
Affiliation of Principal Investigator: 
 
 
UPitt faculty member  
 
    
If your answer was Other, fill in the Principal Investigator's affiliation:  
 
 
If you chose any of the Pitt options, please indicate the specific campus:Main Campus - 
Pittsburgh  
 If you chose the UPitt faculty member option, provide the PI’s University Faculty 
Title:UPMC Endowed Professor and Chair of Plastic Surgery, Professor of Bioengineering    
  
 
CS3.1.1 
Indicate below the name of the qualified University faculty member or UPP or UPMC staff 
member who will serve as a mentor and provide supervision or guidance regarding the 
conduct of this research study. 
 
CS3.2 
Address of Principal Investigator:UPMC Center for Innovation in Restorative 
MedicineDepartment of Plastic Surgery University of Pittsburgh6B Scaife Hall, Room 690 
3550 Terrace StreetPittsburgh, Pa. 15213 
 
CS3.3 
Recorded Primary Affiliation of the Principal Investigator: 
 
 
U of Pgh | School of Medicine | Plastic Surgery  
  
 

Section: Cover Sheet 
CS3.4 
Identify the School, Department, Division or Center which is responsible for oversight of 
this research study: 
 
 
U of Pgh | School of Medicine | Plastic Surgery   
 
   
CS3.5 
Telephone Number of Principal Investigator: 
 
412-383-8080  
 
CS3.6 
Recorded Current E-mail Address of Principal Investigator to which all notifications will be 
sent:rubinjp@upmc.edu  
 
CS3.7 
Fax Number: 
  
 
412-383-9053  
 
CS3.8 
Does this study include any personnel from Carnegie Mellon University, and/or use any 
CMU resources or facilities (e.g., Scientific Imaging and Brain Research Center (SIBR)? 
 
*  No  
 
CS3.9 
Is this your first submission, as PI, to the Pitt IRB?   
 
*  No  
 
    
    [reviewer notes¬]  
Cover Sheet Section 
CS4.0 
List of Co-Investigators:  
Last 
First 
Organization 
Chen 
Wendy 
U of Pgh | School of Medicine | Plastic Surgery 
Coleman 
Sydney 
U of Pgh | School of Medicine | Plastic Surgery 
Cooper 
Rory 
U of Pgh | School of Health and Rehabilitation Sciences | 
Rehabilitation Science and Technology 
     
 

Section: Cover Sheet 
Crytzer 
Theresa U of Pgh | School of Health and Rehabilitation Sciences | 
Rehabilitation Science and Technology 
Donnenberg Albert 
U of Pgh | School of Medicine | Medicine 
Donnenberg Vera 
U of Pgh | School of Medicine | Cardiothoracic Surgery 
Dreifuss 
Stephanie Physician Services Division (UPP and CMI) 
Egro 
Francesco U of Pgh | School of Medicine | Plastic Surgery 
Foley 
Karen 
U of Pgh | School of Medicine | Plastic Surgery 
Gusenoff 
Jeffrey 
U of Pgh | School of Medicine | Plastic Surgery 
Haas 
Gretchen U of Pgh | School of Medicine | Psychiatry 
James 
Isaac 
U of Pgh | School of Medicine | Surgery | Plastic Surgery 
Marra 
Kacey 
U of Pgh | School of Medicine | Plastic Surgery 
Mermon 
Diana 
U of Pgh 
Minteer 
Danielle U of Pgh | School of Medicine | Plastic Surgery 
Ng-Glazier 
Joanna 
U of Pgh | School of Medicine | Plastic Surgery 
Peterson 
Sara 
U of Pgh | School of Health and Rehabilitation Sciences | 
Rehabilitation Science and Technology 
Radomsky 
Elizabeth UPMC | Hospital Divisions 
Schusterman Mark 
U of Pgh | School of Medicine | Plastic Surgery 
Simon 
Patsy 
U of Pgh | School of Medicine | Plastic Surgery 
Turer 
David 
U of Pgh | School of Medicine | Plastic Surgery 
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    [reviewer notes¬]  
Cover Sheet Section 
CS5.0 
Name of Primary Research Coordinator:Karen Foley  
    

Section: Cover Sheet 
  
CS5.1 
Address of Primary Research Coordinator: 
UPMC Center for Innovation in Restorative MedicineDepartment of Plastic Surgery 
University of PittsburghIsaly Building 3380 Blvd. of the Allies, Suite 158Pittsburgh, Pa. 
15213 
 
CS5.2 
Telephone Number of Primary Research Coordinator: 
412-641-3726  
 
CS6.0 
Name of Secondary Research Coordinator: 
  
 
CS6.1 
Address of Secondary Research Coordinator:   
 
CS6.2 
Telephone Number of Secondary Research Coordinator:  
  
 
CS6.3 
Key Personnel/Support Staff (Only list those individuals who require access to OSIRIS):  
Last 
First Organization 
Simon Patsy U of Pgh | School of Medicine | Plastic Surgery 
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    [reviewer notes¬]  
Cover Sheet Section 
CS7.0 
Will this research study use any Clinical and Translational Research Center (CTRC) 
resources? 
 
No  
 
CS7.1 
Please select the sites you intend to use: 
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Section: Cover Sheet 
    
    [reviewer notes¬]  
Cover Sheet Section 
CS8.0 
Select the entity responsible for scientific review. 
   
 
Department Review - (a dean, department chair, division chief, or center head) Note: 
DoD funded studies require departmental review   
 
CS8.1 
Select the school, department or division which is responsible for scientific review of this 
submission. 
U of Pgh | School of Medicine | Plastic Surgery  
     
 
CS8.1 
Select the CTRC which is responsible for scientific review of this submission 
  
 
    
    [reviewer notes¬]  
Cover Sheet Section 
CS9.0 
Does this research study involve the administration of an investigational drug or an FDA-
approved drug that will be used for research purposes?  
* No   
 
CS9.1 
Do you plan to utilize the Investigational Drug Service (IDS) to dispense the drug?  
*  
  
  
 
CS10.0 Is this research study being conducted under a University of Pittsburgh-based, sponsor-
investigator IND or IDE application? 
   
*  Yes If YES, you are required to submit the IND or IDE application and all subsequent FDA 
correspondence through the Office for Investigator-Sponsored IND and IDE Support 
(O3IS).  Refer to applicable University policies posted on the O3IS 
website  (www.O3IS.pitt.edu). 
 

Section: Cover Sheet 
CS10.1 Append to this application: 
 
(1) Copy of the current version of the clinical protocol submitted with the IND or IDE 
application which corresponds to this IRB submission:  
Name 
Modified Date 
IDE 15444 application version 6.0 9/14/2015 9/18/2015 1:48 PM 
   
  
 
(2) Copy of the FDA’s letter which acknowledges receipt of the application and assignment of 
the IND or IDE number:    
Name 
Modified Date 
FDA approval IDE 15444 AMP 30 9.20.13.pdf 10/10/2013 2:51 PM 
 
    
    [reviewer notes¬]  
Cover Sheet Section 
CS11.0 
Use the 'Add' button to upload one or more of the following: 
the sponsor protocol (including investigator initiated studies) and/or other brochures  
the multi-center protocol and consent form template, if applicable 
Name Modified Date 
Is this research study supported in whole or in part by industry?  This includes the 
provision of products (drugs or devices).   *  No  
Is this a multi-centered study?*  No  
 
    
 
    [reviewer notes¬]  
 
Cover Sheet Section 
CS12.0 
Does your research protocol involve the evaluation or use of procedures that emit ionizing 
radiation?*  Yes  
 

Section: Cover Sheet 
 
HUSC GUIDANCE REQUIREMENTS FOR THE REVIEW OF HUMAN SUBJECT RESEARCH 
PROTOCOLS BY THE HUMAN USE SUBCOMMITTEE (HUSC), RADIATION SAFETY 
COMMITTEE (effective 7/1/2018) 
For Research Protocols Involving the Use or Evaluation of Diagnostic or Therapeutic 
Procedures that Emit Ionizing Radiation: • Formal HUSC review/approval is required if the: 
research protocol involves the use or the evaluation (i.e., for safety and/or effectiveness) 
of a radioactive agent or a device that is not currently FDA-approved for commercial 
marketing; including radioactive drugs or devices that are the subject of a FDA-accepted 
IND or IDE application or approved for clinical investigations under the FDA’s Radioactive 
Drug Research Committee (RDRC) process. 1  
research protocol addresses (i.e, in the objectives or specific aims) the evaluation (i.e., for 
safety and/or effectiveness) or involves the use of a FDA-approved radiopharmaceutical or 
device-associated procedure for an “experimental” indication or using “experimental” 
procedures (i.e., an indication or procedures that are not consistent with standard clinical 
practice or the current FDA-approved product labeling). 1  
Note: HUSC review/approval is not required for research protocols that involve the use of 
diagnostic procedures being performed, in a manner and frequency that are consistent 
with standard clinical practice, for subject screening or to evaluate the outcome of a 
treatment regimen. This would include diagnostic procedures for off-label uses that are 
routinely performed in clinical practice. 1,2,3  
Note: HUSC review/approval is not required for research protocols that involve the use of 
therapeutic procedures being performed in a manner and frequency that is consistent 
with standard clinical practice. 1,2,3  
research protocol involves the enrollment of individuals (e.g., healthy volunteers) who will 
not be undergoing the procedure in association with the diagnosis or treatment of a 
disease or condition. 1  
For Humanitarian Use Devices: • Formal HUSC review/approval is required for all 
Humanitarian Use Devices that emit ionizing radiation. 
For any questions related to these requirements or their application, contact the Chair of 
the HUSC (412-647-0736) or the University’s Radiation Safety Officer (412-624-2728). 
1 All research protocols wherein the parameters (e.g., dose, dosing frequency) for 
performing the procedure(s) that emit ionizing radiation are defined in the protocol must 
include an Authorized User (i.e., a physician or dentist who has expertise and who is 
credentialed in the respective medical specialty) as a listed co-investigator; i.e., so as to 
ensure adequate notification and respective compliance with the protocol. 2 The risks of 
radiation exposure associated with the diagnostic or therapeutic procedure must continue 
to be addressed in the protocol and consent form using the standard, HUSC-accepted 
  
 

Section: Cover Sheet 
wording. (For diagnostic procedures refer to the University Human Research Protection 
Office website – www.hrpo.pitt.edu: A-Z Guidance/Radiation Guidance. For therapeutic 
procedures, address the specific risks currently known to be associated with the 
respective procedure.3 The University of Pittsburgh IRB, at its discretion, may request 
formal HUSC review of the research protocol. 
CS12.1 
After reviewing the HUSC guidance above, does your research protocol require HUSC 
review? (Note: University of Pittsburgh’s Radiation Safety Committee oversight is limited 
UPMC Presbyterian-Shadyside, Magee Women’s Hospital of UPMC, Children’s Hospital of 
Pittsburgh-UPMC, and Hillman Cancer Center.  If other sites, you will be required to obtain 
approval from your radiation safety officer.  Please contact askirb@pitt.edu for more 
information.) 
Yes  
Upload Radiation Forms: 
Name 
Modified Date 
 
   
 
CS13.0 
Does this research study involve the deliberate transfer of recombinant or synthetic 
nucleic acid molecules into human subjects?  
    
 
*  No  
  
 
Upload Appendix M of NIH Guidelines: 
Name 
Modified Date 
  
 
CS14.0 
Are you using UPMC facilities and/or UPMC patients during the conduct of your research 
study?  
    
*  Yes If Yes, upload completed Research Fiscal Review Form: 
Name 
Modified Date 
Amp 30 FRIAR MOD 4 
7/24/2015 10:51 AM 
 
    
    [reviewer notes¬]  

Section: Cover Sheet 
Cover Sheet Section 
CS15.0 Indicate the sites where research activities will be performed and/or 
private information will be obtained. 
 
Choose all sites that apply and/or use Other to include sites not listed: 
Sites: 
University of Pittsburgh 
UPMC 
There are no items to display 
   
 
University of Pittsburgh 
Campus: 
Main Campus - Pittsburgh 
There are no items to display 
List university owned off-campus research sites if applicable: 
 
  
 
 
 
 
UPMC  
Sites: 
UPMC Presbyterian 
UPMC Magee Women's Hospital 
UPMC Montefiore 
UPMC Shadyside 
Other UPMC Site- Specify below: 
There are no items to display 
UPMC Montefiore HospitalUPMC Anesthetic Plastic Surgery Center 3380 
Blvd. of the AlliesSuite 158Pittsburgh, PA 15213UPMC Hematopoietic 
   
  
 

Section: Cover Sheet 
Stem Cell Lab Hillman CenterUPMC InSitu Lab MUHOrthotics and 
Prosthetics Rehabilitation Center, Bakery Square  
UPMC Cancer Network Sites: 
Site 
There are no items to display 
 
  
 
 
 
 
If you selected School, International or Other, list the sites: 
   
 
 
*For research being conducted at non Pitt or UPMC sites, upload a site 
permission letter granting the researcher permission to conduct their 
research at each external site: 
Name Modified Date 
  
 
 
 
CS15.1 Have you, J. Peter Rubin , verified that all members of the research team 
have the appropriate expertise, credentials, and if applicable, hospital 
privileges to perform those research procedures that are their 
responsibility as outlined in the IRB protocol? 
*  Yes  
   
 
CS15.2 Describe the availability of resources and the adequacy of the facilities to 
conduct this study: 
*  The PI over this clinical trial has sufficient time to oversee the study 
conduct. With the placement of experienced leadership and staff 
resources to assist with the implementation of direction and follow 
through of the day to day research process and procedures. The PI's has 
ultimate oversight of all conduct in relationship to this clinical trial 
inclusive of all research staff, who have been trained in research conduct 
and compliance and possess GCP demonstrated in their extensive 
experience in clinical trial process. This DOD contractual agreement has 
provided adequate funding to complete the study goals, and we have 
access to protected servers for data security and information protection 
whenever data is generated, collected, or stored. We have addressed in 
this protocol resources for medical and psychological assessments should 
   
 

Section: Cover Sheet 
they be needed above the research procedures outlined in the study 
design for this study. The PI has adequate resources to manage the 
storage and distribution of data/biologic samples for this clinical trial. The 
PI has adequate space to conduct the research activities, allowing for 
space appropriate for the disclosure of private information (e.g., interview 
or exam room). We have adequate safeguards for the research staff and 
participants within the facilities and ability to handle emergency situations 
should they arise. We have adequate space for storing data to maintain 
the confidentiality for the participants of this study and we do not 
anticipate any issues with the availability of resources and the adequacy of 
the facilities to meet the needs for this clinical trial.  
    
    [reviewer notes¬]  
Cover Sheet Section 
CS16.0 
Special Research Subject Populations:  
 
Categories 
None 
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    [reviewer notes¬]  
Cover Sheet Section 
CS17.0 
Does your research involve the experimental use of any type of human stem cell?*  No  
    
    [reviewer notes¬]  
  
NIH Definition of a Clinical Trial  
A research study1 in which one or more human subjects2 are prospectively assigned3 to one or 
more interventions4 (which may include placebo or other control) to evaluate the effects of 
those interventions on health related biomedical or behavioral outcomes.5 
1 See Common Rule definition of research at 45 CFR 46.102(d) . 

Section: Cover Sheet 
2 See Common Rule definition of human subject at 45 CFR 46.102(f) . 
3 The term “prospectively assigned” refers to a pre-defined process (e.g., randomization) 
specified in an approved protocol that stipulates the assignment of research subjects 
(individually or in clusters) to one or more arms (e.g., intervention, placebo, or other control) of a 
clinical trial. 
4 An intervention is defined as a manipulation of the subject or subject’s environment for the 
purpose of modifying one or more health-related biomedical or behavioral processes and/or 
endpoints.  Examples include:  drugs/small molecules/compounds; biologics; devices; procedures 
(e.g., surgical techniques); delivery systems (e.g., telemedicine, face-to-face interviews); 
strategies to change health-related behavior (e.g., diet, cognitive therapy, exercise, development 
of new habits); treatment strategies; prevention strategies; and, diagnostic strategies. 
5 Health-related biomedical or behavioral outcome is defined as the pre-specified goal(s) or 
condition(s) that reflect the effect of one or more interventions on human subjects’ biomedical 
or behavioral status or quality of life.  Examples include:  positive or negative changes to 
physiological or biological parameters (e.g., improvement of lung capacity, gene expression); 
positive or negative changes to psychological or neurodevelopmental parameters (e.g., mood 
management intervention for smokers; reading comprehension and /or information retention); 
positive or negative changes to disease processes; positive or negative changes to health-related 
behaviors; and, positive or negative changes to quality of life.  
CS18.0 * Based on the above information, does this study meet the NIH definition of a clinical 
trial?  
Yes 
No   
  
If Yes, click Save and then Click Here For Study Team's CITI Training Records .  Please ensure all 
personnel's training is up to date 
 
Section: Section 1 - Objective, Aims, Background and Significance 
    [reviewer notes¬]  
 
Section 1 - Study Objective, Specific Aims, Background and Significance 
1.1 
Objective: What is the overall purpose of this research study?  (Limit response to 1-2 
sentences.)The objective of this study is to assess the efficacy of minimally invasive 
autologous fat transfer at the amputation sites and the modulation of pain at the 
respective sites. We hypothesize that autologous fat grafting can provide a minimally 
invasive therapy facilitated by enabling technology of specialized instrumentation to 
effectively mitigate pain syndromes at amputation sites, by introducing volume stable 
  
 

Section: Section 1 - Objective, Aims, Background and Significance 
subcutaneous tissue over bony prominences and peripheral nerve trunks, thereby 
avoiding surgical revisions and preserving limb length. The premise of this study is that we 
will compare two minimally invasive techniques as an alternative to invasive operations, 
with the understanding that this therapy does not preclude more invasive procedures in 
the future. We further hypothesize that enriching the fat graft with autologous adipose 
stromal cells utilizing the Tissue Genesis Cell Isolation System (CIS), a regenerative 
medicine approach, will lead to improved retention of the fat graft over time and result in 
a more favorable outcome.   
1.2 
Specific Aims: List the goals of the proposed study (e.g., describe the relevant hypotheses 
or the specific problems or issues that will be addressed by the study).1) Treat painful 
amputation sites in 30 patients with fat grafting to provide additional subcutaneous tissue 
padding over bony structures and nerve trunks. Limb anatomy and healing of the graft 
over time, along with stability/persistence of the new tissue, will be assessed by high 
resolution CT scanning with 3D reconstruction. Patients will be followed for 24 months 
after treatment to define long term outcomes. The primary outcome measures will be 
pain at the amputation site and improved ability to tolerate a prosthesis. Patients will be 
randomized to receive either standard fat grafting (15 patients)or cell enriched fat grafting 
(15 patients) utilizing the Tissue Genesis Cell Isolation System (CIS). Patients will be 
enrolled who have pain at an amputation site that limits function and/or interferes with 
the ability to use a prosthesis.2) Assess biologic properties of the cells within the fat graft 
and correlate with clinical outcomes. This will include adipose stem cell yield per volume 
of fat tissue, cell proliferation, capacity for adipogenic differentiation, lipolysis, and cell 
sub-population analysis by multiparameter flow cytometry. Results of these assays will be 
correlated with graft volume retention to search for predictors of good clinical outcome 
that are related to variation on adipose biology between subjects.3) Measure quality of 
life in patients before and after autologous fat grafting using validated psychosocial 
measures. This will include, among other tools, SF 36, the Beck inventory, and instruments 
designed for assessing limb function.  
 
1.3 
Background: Briefly describe previous findings or observations that provide the 
background leading to this proposal. Traumatic amputations are prevalent and pose many 
challenges for our wounded warriors. A recent publication reported that during the 
current conflicts, over 950 military personnel have sustained combat-related amputations, 
with 15% of them occurring more than 12 weeks after initial injury (1). Updated statistics 
place this number of amputees at over 1050 (personal communication, COL Paul 
Pasquina, Chief of the Integrated Department of Orthopaedics and Rehabilitation, Walter 
Reed National Military Medical Center-WRNMMC). The ability of a wounded warrior to 
gain optimal function after an amputation most often depends on his or her ability to 
successfully fit and adapt to a prosthesis. Once out of the acute phase, many patients with 
amputations suffer from pain when wearing a prosthesis, either from thin soft tissue 
   
 

Section: Section 1 - Objective, Aims, Background and Significance 
cover over bony structures or peripheral nerves not well padded with soft tissue. Extrinsic 
residual limb pain is usually mechanical in origin related to the prosthetic socket or other 
prosthetic components. It is often the result of a mismatch between residual limb tissue 
tolerance and the prosthetic loads on the soft tissues. This sensitivity is often accentuated 
by superficial nerve trunks or neuromas at severed nerves that are exposed to excessive 
external mechanical loading (2). Poor socket interface, secondary skin breakdown, and/or 
pain may severely limit function.This presents a very difficult clinical problem. The 
standard of care treatment, when even possible, would involve surgical revision of the 
amputation site and often encompasses shortening of the bone, lengthy scars, and 
prolonged healing. If a below knee amputation has to be converted to an above knee 
level, then there are serious functional implications. For local tissues at the amputation 
site that are of poor quality (e.g. scarred or covered with a skin graft), a distant muscle 
flap may be required (3,4). These flaps may require transfer to the amputation site using 
microvascular anastomosis of the blood vessels. The procedure is highly invasive and can 
add the morbidity of decreased function, deformity, and risk of wound healing problems 
at the muscle donor site. Failure rates in lower limb flaps can be as high as 18.5% (5,6). 
Flap ulceration rates tend to be higher in these weight-bearing flaps, both skin and muscle 
free flaps frequently need secondary debulking procedures to improve function, and 
painful neuromas are not uncommon (6,7).A clinical solution that allows for the minimally 
invasive generation of new soft tissue padding at an amputation site without the need for 
further limb shortening, lengthy scars, a prolonged recovery, and significant donor site 
morbidity would have the potential to significantly help our wounded warriors and change 
clinical practice. Autologous fat grafting is a potential solution. Grafting of autologous fat 
tissue is a minimally invasive surgical technique that starts with the harvest of fat tissue 
from the abdomen or thighs using liposuction through incisions less than 5mm in length. 
The lipoaspirate is then processed to concentrate the adipose fraction and reinjected into 
the donor site. This surgical procedure involves the immediate transplantation of a 
patient’s own tissue in a single operative procedure. It has the advantages of:• Minimal 
access incisions• Ability to transfer significant amounts of tissue (hundreds of grams of 
tissue)• Can be used in setting of previous surgical procedures and presence of hardware• 
Usually performed as outpatient procedure• Minimal donor site morbidity at graft harvest 
site• Low risk compared with more invasive surgical procedures• Can be repeated 
multiple times, if necessary, even using the same donor sitesThe transfer of autologous fat 
tissue is not a new concept but just another method as we have seen with many types of 
flaps using various combinations of muscle, fat and skin have been well documented. 
Tissue flaps come from many different locations, and are used in many different ways to 
accomplish the desired results. Flaps have their own blood supply, they are more resilient 
than skin grafts, and usually produce much better results from a cosmetic standpoint 
because they can provide a better match for skin tone and texture. Skin flaps are also a 
better choice when tissue “bulk” is needed to fill contour defects. The obvious advantage 
is to use autologus fat tissue versus xenografts and allografts; each having known risks of 
rejection and adverse events. Today, fat transfer is considered globally the standard of 

Section: Section 1 - Objective, Aims, Background and Significance 
care for many clinical indications that uses the patient`s own fat tissue to increase the 
volume of fat in the subcutaneous tissues of the body. The origions of fat injections 
reportedly started in 1893 when German physician Franz Neuber used a small piece of 
upper arm fat to build up the face of a patient whose cheek had large pit caused by a 
tubercular inflammation of the bone. [Fettransplantation. Chir Kongr Verhandl Dtsch Ges 
Chir 1893:22; 66] In 1895, another German doctor, Dr. Karl Czerny, did the very first 
documented breast augmentation when he transplanted a fatty tumor from the patient’s 
lumbar region, or lower back, to a breast defect [Plastischer Ersatz der Brustdruse durch 
ein Lipom. Zentralbl. Chir. 27: 72, 1895]. From this time and especially after the advent of 
liposuction procedures, the number of fat transfer cases are in the thousands if not in the 
tens of thousands. With increasing acceptance as a safe and efficacious procedure in 
reconstructive and cosmetic arenas to replace soft tissue defects and deficencies in the 
face and hand, larger soft tissue volume deficits were being treated with increasing 
amounts of fat in the entire craniofacial areas and this is especially true with breast 
recontruction in cancer patients. With increasing clinical success, the use of fat injections 
have been employed to smooth and repair aged hands; fill wrinkled, creased faces; 
reshape buttocks; enlarge breasts; as well as repair of inverted nipples and repair of other 
clinical indications. It should be noted that the clinically efficaciousness of fat grafts has 
been universal in terms of body sites reported to date at the best of our knowledge. This 
includes both non-weight bearing areas of the hands, breasts and face as well as weight- 
bearing areas such as the buttocks. Fat grafting is a procedure that is common standard of 
care and practice for many plastic and reconstructive surgeons and the American Society 
of Plastic Surgeons reported 57,643 fat graft procedures were performed in the U.S. in 
2010 (an increase of 14% from 2009). Indeed, the equipment required for fat transfers is 
present in most operative room suites and surgical centers around the world.Specifically, 
fat grafting is considered an acceptable option in the reconstruction of the breast (8-10) 
and facial atrophy associated with HIV treatment (11-22). There is emerging interest in 
research of this technique and a search of clinicaltrials.gov reveals thirteen trials studying 
use of fat grafting for innovative clinical applications. These trials demonstrate successful 
fat transfer to challenging tissue beds such as post-traumatic craniofacial defects 
(NCT01345591) and non-healing lower extremity wounds (NCT00815217). Large animal 
studies support the use of adipose derived stem cells have been used extensively in the 
veterinarian practices. One major company, Vet-stem has treated over 3000 horses with 
horses treated with isolated adipose vascular cells for tendon injuries and had a 77% 
return to prior level of performance and 94% of them were sound one year or more after 
treatment.[23,24] In addition, a 92% and 72% return to prior level of performance in 
horses with acute and chronic suspensory ligament injuries, respectively.[25] And in 
weight bearing joint injuries, treated horses demonstrated a 57% return to prior level of 
performance.[26] In 2007, adipose vascular cells were then used on dogs for joint and 
spine regeneration. In summary, the adipose vascular cells have proven clinically effective 
in a variety of anatomical sites that have different weight bearing load; especially in horse 
joints. The literature has unequivocally demonstrated that clinical fat grafting in buttocks 

Section: Section 1 - Objective, Aims, Background and Significance 
(a similar weight-bearing anatomic region) can be performed safely and effectively with 
retention rates approximating 75% up to 2 years and beyond (27-29). In an OVID database 
search of fat grafting articles, over 9000 articles have referenced the use of fat grafts in in 
a wide arena of clinical situations. Specifically to this application over 100 references were 
relevant to this proposal and provided below.(30-136)Clinically, atrophied fat pads in the 
weight bearing foot were replaced or supplemented with fat grafts. [Chairman EL. 
Restoration of the plantar fat pad with autolipotransplantation; J Foot Ankle Surg. 1994 
Jul-Aug;33(4):373-9] This procedure was shown to be safe, efficacious and had long term 
benefits.We propose a clinical trial to assess the efficacy of minimally invasive autologous 
fat transfer to address pain and poor prosthetic fit at amputation sites. We plan to 
randomize 15 subjects to the standard fat grafting surgical procedure which involves the 
immediate transplantation of a subject’s own tissue and does not require FDA oversight. 
Additionally, we will use our knowledge and expertise working with adipose stromal cells 
to compare a regenerative medicine cell therapy modification of the fat grafting 
procedure with more traditional fat graft preparations. We plan to randomize 15 subjects 
to the enriched adipose stromal cells using the Tissue Gensis Cell Isolation System (CIS) 
IDE # (pending) to process the cells for the modification of the fat grafting procedure. The 
PI not only has experience with fat grafting in his clinical practice, but also serves as 
principal investigator in a clinical trial assessing the impact of facial fat grafting for 
wounded military personnel. The Biomedical Translational Initiative (BTI) (Structural fat 
Grafting for Craniofacial Trauma, W911QY-09-R-0030) from the Office of the Assistant 
Secretary of Defense involves the treatment of 20 wounded warriors with facial injuries 
using minimally invasive fat grafting techniques. This study has established significant 
infrastructure to evaluate soft tissue reconstruction after facial trauma, and demonstrates 
the ability of the PI to assemble and manage the team for an interdisciplinary clinical trial. 
This study, still in progress, has treated 15 subjects out of a targeted enrollment of 20 
subjects with no serious adverse events and improved outcomes in all subjects. Another 
phase of this trial, currently funded through the Armed Forces Institute of Regenerative 
Medicine (AFIRM) clinical trials program and starting to recruit subjects, assesses the 
efficacy of a regenerative medicine approach of enriching the fat graft with autologous 
adipose stromal cells. That same intervention will be trialed in this study, as well. The 
biggest problem associated with fat grafting is unpredictable rates of fat graft resorption. 
This is likely related to the ability of the regenerating adipose tissue to rapidly develop a 
new blood supply. This study will examine if fat grafting with cell enrichment will 
demonstrate increased fat retention and decreased pain compared to standard fat 
grafting alone. A modified preparation of the fat graft involves concentrating the 
endogenous stromal cells in the graft material in an effort to increase graft retention over 
time. The aspirated fat material used for fat grafting consists of mature adipocytes, a small 
amount of fibrous tissue, and immature adipose stromal vascular fraction cells (SVFs). 
These adipose stromal cells are a mixed population of non-lipid laden cells that serve to 
turn over mature adipocytes and vascular elements. One cell type, “Preadipocytes,” or 
adipose derived stem cells (ASC's), as well as endothelial precursor cells and multilineage 

Section: Section 1 - Objective, Aims, Background and Significance 
progenitor cells, were identified. Of note, ASCs have been shown to stimulate 
angiogenesis when stressed under hypoxic conditions and these cells may be instrumental 
in healing and volume retention of fat grafts. Yoshimura, et. al. (137) found that fat 
aspirated with a liposuction cannula (i.e. the method of fat harvest for fat grafting) is 
deficient in ASCs compared to whole fat. This is due to the fact that a major portion of 
ASCs are located around larger blood vessels that are left intact in the donor site after 
liposuction with a blunt cannula. The relative lack of ASCs in lipoaspirate may explain 
problems with fat graft reabsorption over time. Enriching lipoaspirate with ASCs should 
increase angiogenesis and, therefore, fat graft retention. This cell therapy approach takes 
advantage of the innate ability of ASC’s to both secrete angiogenic factors and also 
differentiate into mature adipocytes. The improved blood vessel ingrowth can result in 
improved graft volume retention and superior reconstructive outcomes. Yoshimura was 
among the first to concentrate ASCs in fat grafts. Numerous animal model studies have 
demonstrated that fat graft enrichment with a higher concentration of ASCs can improve 
long-termgraft survival and retention. In one of the earliest rodent studies, Matsuda et al. 
(138) transplanted omental tissue with or without preadipocytes isolated from epididymal 
adipose tissues under the dorsal skin of Wistar rats. After 12 weeks, high levels of 
triacylglycerol content, capillary density, and VEGF production were observed. More 
importantly, grafts with a higher ASC concentration significantly enhanced adipose tissue 
formation. More recently, two additional animal studies have shown improved fat graft 
survival, including increased neovascularization, with a higher ASC concentration. In a 6-
month animal study, Lu and coworkers (139) reported that fat grafts with a higher ASC 
concentration displayed: 1) significantly increased transplant survival versus non-ASC 
controls, and 2) significantly greater capillary density in comparison to fat not enriched 
with ASC. Histological analyses revealed that human ASC-derived endothelial cells 
accounted for the increased microvasculature. Furthermore, in a murine fat-
transplantation model, Zhu et al. (140) were able to demonstrate that at both 6 and 9 
months after transplantation, fat grafts with a higher concentration of ASCs increased 
graft retention by 2-fold and improved the capillary density compared to control 
grafts.The technique of concentrating autologous ASCs with fat grafts has been utilized 
clinically safely and with good clinical results. Yoshimura et. al.(141) performed standard 
autologous lipoinjection or ASC concentrated fat grafts on six patients with facial 
lipoatrophy. This is a similar scenario to the study we propose here, as the fat grafts are 
used for addressing pain at amputation sites in abnormal tissue beds with a deficiency in 
subcutaneous volume.Standard fat grafting has already been demonstrated as a safe and 
minimally invasive technique over decades of widespread practice in plastic surgery. 
Concentrating already present ASCs within the graft to create greater healing potential is 
not expected to cause any increased risk above the fat grafting procedure. Because 
endogenous adipose stromal cells within the graft are highly bioactive and secrete 
angiogenic factors, we will assess functional properties of these cells as predictors of graft 
success.Our group at the University of Pittsburgh has developed clinically useful and 
scalable GMP methods for the concentration of SVF extraction under an NIH funded 

Section: Section 1 - Objective, Aims, Background and Significance 
program, led by Dr. Rubin (Co-Director of the Adipose Stem Cell Center) in collaboration 
with Dr. Albert Donnenberg, director of the clinical laboratories for cell processing. We are 
currently starting a fully funded project with the Armed Forces of Regenerative Medicine 
(AFIRM). We are utilizing our extraction techniques to perform SVF enriched fat grafting 
for facial trauma reconstruction and this has received IRB approval at our institution. This 
process is regulated under human cells, tissues and cellular and tissue-based products 
(HCT/P) guidelines under section 361 of the CFR (21CFR1271.10). HCT/P therapies are 
exempt from the requirement for the submission of an Investigational New Drug (IND) 
application. For this project proposal, we have expanded the team to encompass expertise 
in reconstructive fat grafting, lower extremity reconstruction, physical medicine and 
rehabilitation, prosthetic design, nutritional support, and evaluation of psychosocial 
outcomes. Given the initial success with autologous fat grafting for facial reconstruction 
after trauma (analysis ongoing), even without enrichment of the graft with adipose 
stromal cells, we believe this therapy can be effectively applied for the treatment of limb 
pain. This procedure can be performed on an outpatient basis with no significant incisions 
on the limb, only small port sites measuring less than 5 mm. It is noted that this is a 
completely new, experimental application of a conventional treatment.  
1.4 
Significance: Why is it important that this research be conducted? What gaps in existing 
information or knowledge is this research intended to fill? This study will significantly 
impact military trauma care by validating a minimally invasive cell based technique for 
alleviating pain at amputation sites and improving function with a prosthesis. Importantly, 
the goal will be reached without invasive surgery, increased risk, and a prolonged 
recovery. Given the high amputation rate in the current conflicts, this work is highly 
relevant to the care of the wounded warrior. A major goal of this study will be to transfer 
the techniques and knowledge gained to physicians throughout the Department of 
Defense healthcare system, as well as the general US healthcare team who treats 
amputees from non-military trauma and illness.  
 
    
 
Section: Section 2 - Research Design and Methods
    [reviewer notes¬]  
Section 2 - Research and Design Methods 
2.1 
Does this research study involve the use or evaluation of a drug, biological, or nutritional 
(e.g., herbal or dietary) supplement? 
 

Section: Section 2 - Research Design and Methods
*  No  
 
2.1.1 
Does this research study involve an evaluation of the safety and/or effectiveness of one or 
more marketed nutritional (e.g., herbal or dietary) supplements for the diagnosis, 
prevention, mitigation or treatment of a specific disease  or condition or symptoms 
characteristic of a specfic disease or condition? 
*  
 
2.1.1.1 
List each of the marketed nutritional supplements being evaluated in this research 
study.  Specify for each supplement the corresponding IND number or attach FDA 
correspondence specifying that an IND is not required. 
  Marketed nutritional supplement 
IND number 
 There are no items to display 
Upload FDA correspondence specifying that an IND is not required, if applicable: 
Name Modified Date Version 
   
 
    
    [reviewer notes¬]  
Section 2 - Research Design and Methods 
2.2 
Will this research use or evaluate the safety and/or effectiveness of one or more devices? 
    
*  Yes   
 
2.2.1 
Does this research study involve an evaluation of the safety and/or effectiveness of one or 
more devices not currently approved by the FDA for general marketing?* Yes  
    
 
If YES, describe your plan to prevent unauthorized use of the investigational device:The 
Investigator will permit trial-related monitoring, audits, IEC review, and regulatory 
inspection(s), providing direct access to source data/documents, permitting authorized 
inspectors to inspect all facilities and records relating to the study and aid the inspector to 
perform the audit in a timely fashion.Transportation of cellular products between the 
operating room and the Hematopoietic Stem Cell Laboratory (HSC Lab) will be performed 
according to Foundation for the Accreditation of Cellular Therapies standards and will be 
only permitted through the use of trained personnel, whether they are lab personnel, 
medical staff or couriers.The lipoaspirates and SVF suspensions (device output) will be 
  
 

Section: Section 2 - Research Design and Methods
given respective accession numbers according to SOP 2010-05-R0 Procedure for 
Accessioning in the Hematopoietic Stem Cell Laboratory (HSC Lab) [Attachment 33] and 
labeled according to SOP 1997-13-R16 Procedure for Labeling Specimens and Products 
[Attachment 34]. For transport, the product labeled lipoaspirates and SVF suspension 
(device output) will be placed into transportation containers, such as an Igloo cooler, that 
has been specificallyvalidated to maintain the storage conditions for a specified amount of 
time. In addition, a secondary container such as a biohazard bag will be used according to 
SOP 1997-08-R14 Procedure for Shipping Samples and Products [Attachment 35]. At the 
time of receipt of the lipoaspirate to the HSC Lab, the product will be received as per SOP 
1995-18-R12 Procedure for Receipt of Human Hematopoietic Progenitor Cells 
[Attachment 36] and 1995-20-R15 [Attachment 37], with the arrival date and time 
documented in the Sample Log Book. At no time is the product left unattended. Cell 
products will be assigned an expiration time as per SOP 2005-22-R1 Policy for Product 
Storage Conditions and Expiration [Attachment 38], however, stability testing of the SVF 
has not been completed for this cell type.Chain of custody documentation will occur at 
the time of delivery to the HSC Lab or its personnel and again at the release of the 
products.  
2.2.1.1 
List each of the unapproved devices being evaluated in this research study.  Specify for 
each listed device the corresponding Investigational Device Exemption (IDE) number or 
provide a justification for why you feel that this device and its use, as proposed in this 
research study constitute a non-significant risk (i.e., to include potential failure of the 
device) to the research subjects: 
  
Unapproved device 
IDE # 
Non-significant risk justification 
View Tissue Genesis Cell Isolation System (CIS)  IDE 15444   
 
There are no items to display 
   
 
    
    [reviewer notes¬]  
Section 2 - Research Design and Methods 
2.2.2 
Does this research study involve the use or evaluation of the safety and/or effectiveness 
of one or more devices approved by the FDA for general marketing?*  Yes  
    
2.2.2.1 
Does this research study involve an evaluation of one or more FDA-approved devices for a 
clinical indication, subject population, and/or operational parameter that is not specified 
  
 

Section: Section 2 - Research Design and Methods
in the current FDA-approved product labeling for that device (i.e., for an “off-label” 
indication)?   
* No  
2.2.2.1.1 
List each of the devices being evaluated for an “off-label” indication. Specify for each 
listed device the corresponding Investigational Device Exemption (IDE) number for this 
device/research study; or provide a justification for why you feel that this device and its 
“off-label” use, as proposed in this research study (i.e., to include potential failure of the 
device) constitute a non-significant risk to the involved research subjects. 
* 
  Device 
IDE # 
Non-significant risk justification 
 There are no items to display 
   
 
    
    [reviewer notes¬]  
 
Section 2 - Research Design and Methods 
2.3 
Summarize the general classification (e.g., descriptive, experimental) and methodological 
design (e.g., observational, cross-sectional, longitudinal, randomized, open-label single-
blind, double-blind, placebo-controlled, active treatment controlled, parallel arm, cross-
over arm) of the proposed research study, as applicable. 
  
 
Prospective, Randomized, Non-blinded, Surgical outcomes, Pilot study assessing clinical 
outcomes following fat grafting for pain at amputation sites(with and without adipose 
stem cell enrichment) .  
 
2.3.1 
Does this research study involve a placebo-controlled arm? 
*  No  
 
    [reviewer notes¬]  
Section 2 - Research Design and Methods 
2.4 
Will any research subjects be withdrawn from known effective therapy for the purpose of 
participating in this research study? 
 

Section: Section 2 - Research Design and Methods
*  No   
 
2.4.1 
Provide a justification for discontinuing subjects from known effective therapy for the 
purpose of study participation. 
 
2.4.2 
Describe the risks to subjects associated with discontinuing them from known effective 
therapy for the purpose of study participation. 
 
    
    [reviewer notes¬]  
 
Section 2 - Research Design and Methods 
2.5 
Will screening procedures (i.e., procedures to determine research subject eligibility) be 
performed specifically for the purpose of this research study? 
 
*  Yes  
 
2.5.1 
List the screening procedures that will be performed for the purpose of this research 
study.  Do NOT include the inclusion/exclusion criteria in this section as they will be 
addressed in section 3; questions 3.13 and 3.14. 
  
 
This is a prospective randomized single site study in which 30 patients with amputation 
stump pain will be enrolled. Each subject will undergo an assessment to evaluate: 1.) the 3 
dimensional structure of the amputation site; 2) personal occupational therapy; and 3.) 
nutritional evaluations. Initial screening through the TRIALSPARK platform(described more 
in section 4.2) will involve completing an online screening questionnaire through a web-
based study landing page. This online questionnaire will take approximately 5-10 minutes 
to complete and will include questions related to the injury, physical and medical 
conditions associated/surrounding the injury as related to pre-screen approach similar to 
the telephone screening script; and does not confirm eligibility as there are additional 
screening measures associated with this study. Study staff will be able to review responses 
via TRIALSPARKS"S backend management platform. If the participant seems eligible, study 
staff will contact the prospective participant to continue the screening process. (for 
reference, the online prescreen questionnaire is attached in "other attachment" section of 
the protocol). Screening Visit: All screening procedures will be performed at the UPMC 
Aesthetic Plastic Surgery Center in a private room, the UPMC laboratory located on the 5th 
floor at Montefiore University Hospital (MUH) and Orthotics and Prosthetics Rehabilitation 
Center located at Bakery Square for O&P evaluation. The total time of participant 
commitment for these screening procedures will take approximately 3.5-4 hours and may 
 

Section: Section 2 - Research Design and Methods
occur on different dates. The following research procedures will be completed prior to the 
PI’s determination of subject’s study eligibility:1. Obtain Informed Consent, assignment of 
subject unique identifier2. Performance of history and physical exam inclusive of 
participant's limb with evaluation for heterotopic ossification (HO); exam completed by PI 
and / or a co-investigator. 3. The investigator will rate the appearance of the graft site 
using a limb volume and appearance grading scale4. Collection of subject's vital signs 
(Temperature, heart rate (HR), respiratory rate, blood pressure (BP), medication profile to 
include prescription and vitamins / supplements, allergies, height, weight, Body mass index 
(BMI) calculation, collection of demographic information to include date of birth, gender, 
race, hand dominance, ethnicity, level of education, relationship status, smoking status 
and employment status. 5. All participants who are women of child bearing potential will 
receive a urine pregnancy dip test. If the test result is positive the subject will not continue 
participation in this research study. 6. Structured Clinical Interview for DSM-IV (SCID; DSM 
is the diagnostic and statistical manual of mental disorders) will be included in the baseline 
to evaluate the presence/absence of Axis I psychiatric disorders. This evaluation will be 
completed using a standard psychiatric diagnostic interview that enables determination of 
DSM-IV-based diagnoses. As part of the clinical interview a demographic history will be 
completed. The information contained in the SCID will be collected by a member of Dr. 
Gretchen Haas's clinical team who is experienced in psychosocial interviewing with 
participants. This SCID will take approximately 45-60 minutes of the subject's time to 
complete. Individuals who manifest either: 1) evidence of currently active alcohol or 
psychoactive drug abuse or dependence on the SCID interview, or 2) a GAF score of 40 or 
lower due to any acute psychiatric symptomatology (e.g. suicidality, psychosis, severe 
depression or mania) will be reviewed by the Co-I for Psychosocial Assessment with the PI 
for determination of possible medical instability. Final determination of medically unstable 
status will be made by the PI on the basis of overall medical status and appropriateness for 
medical procedures; the patient may be considered ineligible for study participation per 
the Physician’s discretion. 7. Medical and surgical history review: If the subject has been 
followed at UPMC facilities, the principal investigator, co-investigators and / or study staff 
will perform a medical history review (pertaining to the trauma event and surrounding 
surgical and medical procedures). A medical history review will consist of prior procedures 
to include, but not be limited to blood tests (including but not limited to complete blood 
count (CBC) with Differential and Platelets, comprehensive chemistry panel, urinalysis, and 
culture results) operative procedures, physical therapy assessments, consultations, history 
of Heterotopic Ossification(HO), CT, MRI scans, EKG, Chest X-rays, history and physical 
exams.If medical records do not accompany the subject or are not available at the time of 
screening evaluation for investigator review, the investigator in lieu of direct medical 
record review will accept direct report from the referring physician, prosthetics and/or 
orthotics referral source and /or subject self report and will document this reported 
information to research chart. This report will consist of past medical /surgical history 
pertaining to the affected limb injury and/or events surrounding the limb trauma. The 
Principal Investigator will base determination of study eligibility on a combination of 

Section: Section 2 - Research Design and Methods
evaluation criteria to include physical examination, screening lab values, referral physician 
direct report, prosthetics and/or orthotics referral direct reports and /or subject self 
report, study O&P evaluation and psychological (SCID) assessment all pertaining to past 
injury and current status of the area of interest. 8. Baseline evaluation of amputation 
stump pain, the study coordinator will provide a Pain Assessment form to the participant 
to complete. This form will document the nature/character of the discomfort limiting 
function and or interferes with their ability to use a prosthetic device. The subject will be 
instructed to document the discomfort to include frequency, location, intensity (1 to 10 
scale with 10 as most intense), type of pain (physiological or phantom). It will include 
subject self-intervention related to pain and use of prosthetic devices9. Blood Tests- 
approximately 30mls (2 tablespoons) will be collected for the following laboratory 
assessments: Serum CBC with Differential and platelets .Comprehensive Chemistry panel 
including Calcium, Pre-Albumin, and Albumin'PT/ PTT/ INR On receiving the laboratory 
results, the Investigator will initial and date the results and assign clinical significance to 
any out of range values. Subjects with clinically significant results attributed to any disease 
entity will be evaluated and per MD discretion excluded from the trial.10. Orthotics and 
Prosthetics: One of the aims of this study is to evaluate prosthetic fit problems at an 
amputation site that limits function and / or interferes with the ability to use a prosthesis 
which is known to have a direct impact on the ability to perform activities of daily living as 
well as social participation. This aim is important to identify pain and functional issues 
associated with the use of a prosthesis and/or other assistive technology used in 
conjunction with a prosthesis or in lieu of. This study will seek to address residual limb 
problems for individuals with upper and lower limb loss, including individuals with partial 
hand, partial foot and more proximal injuries. We will utilize this novel procedure to help 
improve function and tolerability for individual with limb loss. Reasons for “intolerability” 
may include inappropriate soft tissue padding, soft tissue coverage, or pain that doesn’t 
allow the consistent wearing of a prosthetic socket. This may be manifested by excessive 
pain, inability to achieve adequate suspension of the prosthesis on the individual, 
continual skin breakdown, excessive pressure/shear on skin, soft tissue, nerves, scars, etc. 
The degree of pain and intolerability associated with the prosthesis can be described as 
follows; While a generally accepted score of 4 or greater on a visual analogue scale from 
zero (no pain) to ten (worst possible pain) is considered intolerable, currently, the field of 
amputee and prosthetic care lacks a validated instrument to measure “intolerability” of 
socket fit or prosthetic use. Therefore, we will consider individuals for this procedure, who 
by the patient and rehabilitation teams’ report are unable to successfully progress in 
prosthetic rehabilitation despite multiple interventions, including surgical and non surgical. 
These patients will have undergone multiples prosthetic limb and socket adjustments, 
various external padding attempts and even often interventions such as skin grafts, muscle 
flaps, neuroma injection or resection, or heterotopic ossification surgical resection.We will 
only consider patients who have received a minimum of 3 months of unsuccessful 
prosthetic fitting trials for inclusion in this study. This information pertaining to the history 
of prosthetic fit attempts may be received from referral physician, prosthetics and/or 

Section: Section 2 - Research Design and Methods
orthotics direct report and/or subject self reportself-report and /or medical record review. 
Typical standard care will include providing a customized prosthetic socket by casting the 
individual’s residual limb and utilizing various socket and liner materials to provide optimal 
residual limb to prosthesis interface. This will also include modifications by reducing 
excessive pressure points, incorporating additional padding and utilizing a variety of 
prosthetic components and alignment techniques to best accommodate each individual. In 
addition, many patients may have already received interventions such as skin grafting, 
muscle flaps, residual limb reconstructive surgeries, neuroma injections or excision to best 
achieve a functional and non-painful residual limb.When defining "maximal attempts to 
refit the prosthesis" we define it as patients who have been unsuccessful in achieving a 
functional and comfortable prosthetic socket despite a minimum of 3 months of working 
with a prosthetist. This will include a minimum of at least 5 different socket adjustments. 
"Changes in the design of the prosthesis”, will include re-casting the residual limb, 
providing pressure relieves within the socket, changing the alignment of the prosthetic 
components to alter ground reactive forces, and adding padding to pressure sensitive 
areas.The approximate range of the defect volumes can be small (5-10cc), or as much as 
300cc if the defect is a very local soft tissue deficiency over a pressure point. The volume 
of the defect correlates with moderate or severe intolerability of the prosthesis.The 
following evaluations will be conducted by or under the supervision of a certified 
prosthetist and/or occupational or physical therapist. For the Orthotics and Prosthetics 
evaluation all study participants will be assessed pre and post the procedure to determine 
the functional changes related to prosthetics ambulation and residual limb health and 
structure. All participants will be asked to complete the all of or a subset of the following 
questionnaires and assessments prior to the surgical procedure (Screening) and after the 
surgical procedure.a. “Prosthetics Evaluation Questionnaire” (PEQ) is a self-report 
questionnaire containing 54 questions organized into nine functional domains related to 
prosthesis-related changes in quality of life. The PEQ was developed to fill the need for a 
comprehensive self-report instrument for individuals with lower limb loss. (143- Legro 
1998). Psychometric analysis supported the reliability and validity of the PEQ for 
evaluating the function of the prosthesis and the major health related quality of life 
domains. The PEQ is estimated to take 15 minutes or less to complete. b. The 6minute 
walk test (6MWT) is a reliable measure of functional capacity, involves a moderate degree 
of exercise intensity, and is related to a moderate degree to postural control abilities in 
persons with lower-limb amputations. (144 - Lin S-J, Bose NH, 2007). This 6MWT is 
estimated to take 20 minutes or less to complete, including the baseline rest period, set-
up, and 6 minutes of continuous walking. c. The Amputee Mobility Predictor (AMP) is 21 
item instrument designed to assess determinants of the lower-limb amputee ability to 
ambulate. The AMP is estimated to take approximately 15 minutes or less to complete. d. 
Lower Extremity Functional Scale (LEFS) is a self-reported questionnaire containing 20 
questions about a person’s ability to perform everyday tasks. The LEFS is anticipated to 
take approximately 10 minutes or less to complete.e. The Disabilities of the Arm, Shoulder, 
and Hand (DASH) outcome Measure is a 30-item, self-report questionnaire designed to 

Section: Section 2 - Research Design and Methods
measure physical function and symptoms in people with musculoskeletal disorders of the 
upper limb. The DASH is estimated to take approximately 10 minutes or less.f. Functional 
Mobility Assessment (FMA) is a self-report questionnaire to assess perceived user function 
related to assistive technology use. The FMA is expected to take approximately 10 minutes 
or less.g. Prosthetic Device Use History: Compliance with prosthesis use affects activities of 
daily living (ADLs) as well as impacting social interaction. The participant’s prosthetic 
devices (both pre and post procedure) will be evaluated and a history will be obtained 
from the participant to determine average daily use and related issues/concerns. 
Permission to contact the participant’s prosthetist and/or therapist may be obtained to 
identify specific prosthetic devices/components previously trialed as part of routine clinical 
care. This questionnaire is estimated to take approximately 30 minutes to complete.h. 
Physical Examination: A physical examination will be conducted to evaluate general UE and 
LE function and specifically the amputation stump. The stump characteristics will be 
recorded, including , but not limited to measurements, range of motion, strength, skin 
integrity/areas of pressure, pain and prosthesis/socket interface. This physical examination 
is anticipated to take approximately 30 minutes to complete. If upon examination, it is 
determined that the participant is at increased risk for developing pressure ulcers and/or 
the participant’s current wheelchair and seating is not addressing their needs, they will be 
referred to the UPMC Center for Assistive Technology for a full assistive technology 
evaluation per routine clinical care.11. Nutritional Assessment /Education: Nutrition has 
long been a recognized factor impacting wound healing. Ablina (142) noted delay of the 
healing process in relation to severe protein and calorie deficiencies. Each subject will 
recall their dietary intake over the 48 hours prior to the screening visit date to be 
evaluated for current nutritional habits. Nutritional education will be provided by the 
research coordinator /co-investigator based on the evaluation of the subject’s dietary 
intake record. This education, if necessary will follow content provided for Recommended 
Daily Allowances (RDA) and the American Heart Association (AHA) recommendations. 
Approximate time estimated 20 minutes.Eligibility Determination: Upon the completion 
and evaluation of all screening procedures subject eligibility determination for continued 
study participation will be completed by the Principal Investigator (PI).Randomization - For 
this study, 70 potential subjects will be enrolled and screened with a goal of 30 subjects to 
undergo the operative autologous fat grafting procedure. Each subject will be assigned to 
a specific randomization block based on whether they have an upper or lower extremity 
amputation. Each randomization block will have six (6) subjects. There will be a computer 
generated randomization assignment for each subject to receive the surgical intervention 
that will be either fat grafting alone or fat grafting with stromal vascular fraction cells. A 
randomization table will be generated using a software program (155) [Research 
Randomizer, Version 3.0]. This will allow for statistical examination between the two 
different treatments within each randomization block (3 subjects receive fat graft and 3 
subjects receive fat graft with stromal vascular fractions). There will be five (5) 
randomization blocks for a total of thirty (30) subjects. Therefore based on the prevalence 
of subjects who have either the upper and lower extremity amputation, there may be a 

Section: Section 2 - Research Design and Methods
range from one (1) to five (5) randomization blocks for one of the treatment groups. We 
expect that there will be a higher number of lower extremity amputees who call-in or are 
referred for screening. The proposed block randomization scheme will be flexible to 
handle various numbers of either upper or lower extremity amputations as well preserve 
the statistical rigor for testing. Due to participant's schedule, travel distance and/or 
coordination of the screening study visit, procedures may be performed on different days 
as long as the screening procedures do not exceed a length of 2 weeks for completion. The 
principal investigators eligibility determination will occur up to 45 days post the date of 
completion of the last screening visit procedure date.  
2.5.2 
What steps will be taken in the event that a clinically significant, unexpected disease or 
condition is identified during the conduct of the screening procedures? 
Addressed below:  
 
Upon discovery the PI and/or co-investigator will notify the subject of any event that could 
be of clinical significance needing further evaluation, or of a diagnosis of any unexpected 
disease or condition that occurred during the conduct of the study's research procedures. 
The study investigator will at the time of discovering the event contact the referring 
physician or primary physician for further evaluation of the event. Should the event be of a 
critical nature needing immediate intervention, the study investigator or co-investigator 
will proceed with immediate clinical intervention and screening procedures will be 
concluded. HO is not grounds for exclusion and we wish to be able to study subjects with 
Heterotopic Ossification (HO). HO is prevalent in extremity amputation wounds in military 
trauma.ii. If HO is present, we will ascertain that HO remains stable and does continue to 
increase in volume, as documented by CT imaging of stabilization. iii. Medical management 
will be instituted with NSAIDS as indicated and appropriate for the patient. iv. We will then 
determine if the HO is the primary source of pain, or causing erosion of skin on physical 
exam. Fat grafting over the HO will be performed as part of study provided that: HO is 
ruled out as primary source of pain through clinical exam, and HO is deeper and not 
eroding through skin, allowing adequate fat coverage. v. It is anticipated that adding more 
soft tissue coverage over HO will be beneficial. vi. If elective excision of HO is required, 
that procedure will be performed in the first stage with 3 month recovery period before 
fat grafting.  
 
    
    [reviewer notes¬]  
Section 2 - Research Design and Methods 
  
  
 

Section: Section 2 - Research Design and Methods
2.6 
Provide a detailed description of all research activities (e.g., all drugs or devices; 
psychosocial interventions or measures) that will be performed for the purpose of this 
research study. This description of activities should be complete and of sufficient detail to 
permit an assessment of associated risks.  At a minimum the description should include:  
all research activities  
personnel (by role) performing the procedures  
location of procedures  
duration of procedures  
timeline of study procedures 
For the Pre-Graft Study Visit (PGSV) subjects will return to UPMCs Aesthetic Plastic 
Surgery Center prior to the surgery procedure date. Procedures for pre-graft visit may 
occur on the same day or due to the coordination of the participant's schedule and travel 
distance the procedures may be performed on different days as long as the completion of 
the procedures do not exceed a length of 4 days. This visit will require approximately 3-3.5 
hours duration of the participant's time. During this visit the following research 
procedures will be completed:1.) Performance of a limited/brief medical history review 
and physical exam inclusive of amputee limb completed by PI and /or a co-investigator. 
The investigator will rate the appearance/volume of the graft site using the limb volume 
and appearance grading scale. 2.) 2D Photographs will be taken of the limb. The pictures 
will be taken of the amputation stump. The pictures will be taken at the UPMC Aesthetic 
Plastic Surgery Center in a private room and will take approximately 10 minutes. Digital 
recording (i.e. photography or video) are being collected from any and all portions of the 
subject’s pre-operative, operative, and post-operative course of treatment. These may 
include, but not be limited to, videos of personal interviews, functional assessment testing 
and clinical exams or photos of follow up clinical course, biopsies, etc. and will be de-
identified and stored indefinitely in a secure password protected location on the UPMC 
server. These digital recordings and/or photos may be used for medical education and 
training, publication, and media reports – and, in any mode of transmission, including and 
not limited to: print, e-mail, television, internet, etc. While photographs will be de-
identified, video recordings will remain identifiable. Regarding the use of these digital 
recordings for education, training, publication and storage purposes, the subject will not 
be identified by name, only by a unique code number. The subject’s identifiable features 
in these photographs will be blacked out (i.e., eyes, facial features, etc.). Regarding the 
use of the subjects digital recordings for media purposes, the subject may be identified by 
name, but permission from the subject will be obtained in a separate consent document 
prior to the recordings being obtained (Media consent). The subjects are not required to 
give this permission and can refuse at any time after giving consent to these digital 
recordings being obtained and can still participate in this study without permitting these 
   
 

Section: Section 2 - Research Design and Methods
recordings. 3.) All participants who are women of child bearing potential will receive a 
urine pregnancy dip test. If the test result is positive the subject will not continue 
participation in this research study. 4.) Collection and review of new medications to 
include prescription and vitamins / supplements, allergies and vital signs (Temp, HR, Resp, 
BP), weight, body mass index (BMI) calculation, and adverse event reporting.5.) Serial 
Computed Tomography Imaging or MRI scan will be performed. A high resolution 
Computed Tomography (CT) Scan of the amputation stump will be performed at 
Presbyterian Hospital and will take approximately 60 minutes. This scan will be pre-
procedural and will serve as a baseline. All CT scans will be performed on a 64-slice 
scanner (LightSpeed, GE Healthcare), using slice thickness of 1.25 mm and pitch of 1.375. 
kVp, mA, and FOV will be optimized to the subject and body part to be imaged. Soft tissue 
and bone kernels will be employed. These images will be volumetrically reformatted into 
coronal and sagittal planes for confirmation of findings. Additionally, surface-rendered 
volumetric reformats will be created emphasizing both bony structures and soft tissues. In 
the event that a CT scan is contraindicated or declined by a study participant, MRI will be 
performed using a 1.5 T MRI scanner (Signa HDx, GE Healthcare). The MR imaging 
protocols will include coronal and axial planes using T1- weighted spin echo sequences as 
well as coronal, axial, and sagittal planes using T2-weighted fast spin echo with fat 
suppression and/or short tau inversion recovery (STIR) sequences. Again, FOV, TR/TE time, 
acquisition time and other parameters will be optimized to the subject and body part to 
be imaged. Intravenous contrast will not be administered for either CT or MR imaging. 
Images will be reviewed by radiology. Volume measurements of the implanted material 
will be made on all post-procedural CTs or MRIs. These volumetric measurements are 
expected to be precise to within 5% of the actual volume of material. Trends in volume of 
tissue will be analyzed over time across the multiple CT or MRI scans. Both linear and 
volumetric measurements will be used to quantify implanted material. Subjects must 
remove compression sleeves prior to CT scans. 6.) To further evaluate pre-surgical 
amputation stump pain, the study coordinator will provide a Pain Assessment form to the 
participant to complete. This form will document the nature/charcter of the discomfort 
limiting function and or interfers with their ability to use a prosthetic device. The subject 
will be instructed to document the discomfort to include frequency, location, intensity (1 
to 10 scale with 10 as most intense), type of pain (physiological or phantom). It will 
include self interventions related to pain and use of prosthetic devices. 7.) Psychosocial 
Assessment: One of the aims of the proposed study is to evaluate pre- and post-operative 
quality of life and symptoms of psychological distress. This aim will also consider 
psychosocial factors (pre- and post- surgery) that predict psychological well-being and 
quality of life outcomes following surgery. The aim is important for identification of 
psychosocial factors that may play a role in and be critical to enhancing quality of life 
outcomes from amputation stump surgery. Participants will be asked to complete a 
psychosocial battery that includes: a) self-report measures of satisfaction with physical 
appearance, anxiety and depressive symptoms, social functioning and social avoidance 
and distress and; b) questionnaires that assess significant predictors of quality of life 

Section: Section 2 - Research Design and Methods
outcomes from post-trauma limb surgery: perceived social support, self-esteem, coping 
style and pre-surgical expectations of/post-surgical outcomes. A research technician 
experienced in psychosocial interviewing with participants will meet with each participant 
during the baseline evaluation to administer the self-report battery of psychosocial 
questionnaires. A comprehensive battery of tests for evaluation of quality of life has been 
assembled for this study. It is important to properly determine the impact of the surgical 
changes and the investigators have selected psychosocial assessment instruments to 
evaluate four domains:a. Satisfaction with appearance/surgical outcomes – The 
Satisfaction with Appearance (SWAP) scale (145) is a 14-item questionnaire with good 
internal consistency and test-retest reliability that measures both subjective and social–
behavioral aspects of body image and has been used in populations with significant 
physical disfigurements or deformities. b. Satisfaction with Medical/Health Services - 
Patient Satisfaction with Health Services – the Client Satisfaction Questionnaire (CSQ-8) is 
a widely used brief inventory of satisfaction with services (amount of help, kind of help, 
availability of help) provided by a medical service or program (146). c. Social Functioning, 
Distress, Depression and Avoidance - To evaluate hypothesized pre- versus post-operative 
changes in quality of life, social functioning, symptomatology and coping, we will include 
the following measures: • Social Distress and Avoidance - Individuals with disfigurements 
can suffer extreme anxiety and avoidance in interpersonal interactions. The Social Anxiety 
and Distress (SAD) Scale (147) is a widely used measure of social avoidance and distress 
that has shown to be sensitive to pre-/post- surgical improvement in recent studies of 
patients undergoing reconstructive surgery for significant physical deformity. • Anxiety 
and Depressive Symptomatology will be monitored using the Beck Depression Inventory, 
PHQ brief and the PCL-S (Post trauma checklist- Brief) (148), a self-report questionnaire 
that taps post traumatic stress disorder (PTSD) symptoms for use among individuals in the 
military. • Self-esteem will be assessed by the Rosenberg Self Esteem Inventory (149), a 
brief (10-item), a self-report inventory examines how social structural positions relate to 
self-esteem. • Coping Style will be assessed with the Brief COPE inventory (150) an 
abbreviated version of the situation-specific coping inventory (151) that has been 
effectively used to characterize psychological coping with physical illness and disability. An 
extensive body of research on clinical and psychosocial outcomes from surgical and 
medical interventions has yielded evidence that psychosocial coping style is an important 
factor that contributes to psychological well-being, physical health and quality of life 
outcomes.• Perceived Social Support will be analyzed by the Perceived Social Support 
Questionnaires(PSSQ)-Family and Friends (152). This 6-item self-report inventory with 
satisfactory internal reliability and construct validity that inquires regarding the perceived 
availability of social support for needs for support, information and feedback. Social 
support, along with psychosocial coping cognitions and behaviors contributes significantly 
to psychological well-being, physical health and quality of life outcomes. Each of these 
may be important covariates that contribute to variance in quality of life outcomes in this 
study.d. Quality of Life and General Functioning Outcomes - Quality of life and general 
functional status will be evaluated using the SF-36 (153, 154), a self-report inventory 

Section: Section 2 - Research Design and Methods
widely used in medical outcome research with self-rated indices of health, quality of life, 
energy, role limitations due to physical problems or emotional problems, and functionality 
in everyday physical, emotional, and social function domains.e. A brief (shortened) 
demographic history form will be completed as part of the psychosocial assessments. This 
psychosocial evaluation (self-report measure) will take an estimated 1.5-2.0 hours and will 
take place at the UPMC Plastic Surgery Center in a private room. 8. Pre-Operative 
Laboratory tests will be obtained via a peripheral blood draw performed bylaboratory 
personnel located on the 5th floor of the UPMC Montefiore Hospital building. Blood tests 
will not need to be repeated at PGSV if screening blood tests were collected witihin 30 
days of operative procedure date. Blood tests approximately 30mls (2 tablespoons) will be 
collected for the following laboratory assessments: Serum CBC with Differential and 
platelets, Comprehensive Chemistry panel, pre-albumin, Albumin and PT/ PTT/ INR. On 
receiving the pre-op laboratory results, the Investigator will initial and date the results and 
assign clinical significance to any out of range values. Subjects with clinically significant 
results attributed to any disease entity will be excluded from the trial. 9. 
Electrocardiogram (EKG) and or chest x-ray, as indicated by past medical history.10. The 
study coordinator will provide the participant with a Diary Card and Pain Log with 
instruction to begin completion of the Diary Card and Pain Log 24 hours after their fat 
grafting surgery and continue until Post operative Day 3-6. The subject will be instructed 
to document a self assessment of the following events pertaining to the surgical site: Pain, 
Bruising, Redness of the skin, Itching, Swelling, Bleeding, Other (any concerns/issues not 
listed). The subject will be instructed to identify on the Diary Card the location, date and 
day of each documented event. The subject will be asked to continue completion of logs if 
an event/issue persists at PO day 3-6 until the next post –op visit (POV1). Per guidance 
from the FDA, we will plan for a 10-14 day time staggering interval between the 
administration of the investigational product for each of the first six subjects randomized 
to the TGI IDE arm of this clinical trial to capture any detrimental or unknown risks 
associated with the products or procedures, such as anaphylactic reactions to any 
components of the lipoaspirate or contaminations (during the procedures involving fat 
harvesting and machine processing of lipoaspirate) which may lead to sepsis. Operative 
Visit:All surgical procedures will be performed at UPMC Shadyside Hospital located on the 
2nd floor, UPMC Magee or Montefiore Hospitals within the operating room suites. These 
procedures are being conducted as an outpatient admission and all monitoring conducted 
during the peri-operative care period will be performed per standard practice according to 
the UPMC policy and procedures for this facility. Prior to the surgical procedure being 
conducted, the subject will be seen by the research team in the DAS area and at which 
time PI and co-investigator(s) will mark areas of surgical interest and may document with 
2D photographs. Should new areas be identified or included at this time for surgery, 
photographs will be taken of the areas of interest at this time. The fat graft surgical 
procedure will be performed at this visit and will take approximately 4-5 hours to 
complete. The fat grafting is planned as an outpatient procedure which is conducted 
within the UPMC Shadyside Hospital located on the 2nd floor, UPMC Magee or 

Section: Section 2 - Research Design and Methods
Montefiore Hospitals within the operating room suites. In brief, fat tissue to be used for 
grafting is harvested (usually from abdomen or thighs) with a small liposuction cannula in 
the operating room. Specific details of the Fat Harvest and Graft Preparation follow: 
Subjects will receive general anesthesia or a block with sedation. A dilute epinephrine 
solution (concentration 1:1,000,000) will be injected into the harvest site, which is usually 
abdominal or thigh subcutaneous tissue. A blunt tip hollow cannula is then used to 
aspirate through 5mm incisions. Up to 1500cc of lipoaspirate solution mixture will be 
obtained. This mixture once centrifuged is anticipated to produce an adequate volume of 
concentrated adipose tissue for injection, cell processing, and research assays. For the 15 
subjects randomized to the Autologous Standard fat graft processing we will prepare the 
fat graft as follows: Once harvested the aspirated fat tissue will be processed as standard 
graft material. It will be divided into small aliquots and centrifuged in a sterile rotor (3000 
rpm for 3 minutes/1200g), and top fluid oil layer from the fat tissue fractions were 
removed, and transferred into 3mL syringes, each filled with 2.5mL of the lipoaspirate and 
injected into the amputation stump. This graft preparation will be performed in the 
operating room. Standard fat graft material will serve as a control treatment and will be 
injected into limb using specialized injection cannulas as described below (“Fat Graft 
Placement”). For the15 subjects randomized to the Autologous Fat Graft enhanced with 
adipose stromal cell processing we will prepare the cells as follows: Approximately 60-150 
cc of lipoaspirate will be collected from the subject to be processed at the HSC lab using 
the Tissue Genesis Cell Isolation System™ (CIS) to yield approximately 3-8cc of Stromal 
Vascular Fraction (SVF) suspension. Per the Principal Investigator’s clinical evaluation of 
the area of deficit as it relates to the amount of fat volume necessary to appropriately fill 
the deficit, the team may employ a second Tissue Genesis Cell Isolation System™ (CIS) 
concurrently. The aspirated fat processed as standard graft material will be divided into 
small aliquots and centrifuged in a sterile rotor (3000 rpm for 3 minutes/1200g), and 
allowed to decant before separating the fluid and oil layers from the fat tissue fractions, 
and transferred into 60 ml syringes. This graft preparation will be performed in the 
operating room. a. The lipoaspirate for concentration along with a 5cc aqueous solution 
syringe for each 60 cc syringe will be transported from the operating room to the 
Hematopoietic Stem Cell Laboratory (HSC Lab) at the UPMC Hillman Cancer Center, 5117 
Centre Ave., Pittsburgh, PA 15213. This facility is directly across the street from the 
operating room and connected via a connecting bridge. No specimen during transport will 
be transported outside of a building(s). In brief, this is a state-of-the-art laboratory that 
was constructed of materials compliant with 21 CFR 211, has a cleanroom that is ISO Class 
6, and is GMP compliant with regards to function. This facility is registered with the FDA 
(FEI# 3004565478), is FACT accredited (since 1999) and is CAP accredited (CAP LAP # 
7190853).b. In the Hematopoietic Stem Cell Laboratory (HSC Lab), the stromal vascular 
fraction (SVF) cell suspension (device output) will be processed using the Tissue Genesis 
Cell Isolation System™ according to procedures and a cell count will be performed as 
described in SOP 2008-02-R0. Prior to administration to of the SVF to the subject, rapid 
endotoxin testing, cell viability, cell count determinations and Gram staining will be 

Section: Section 2 - Research Design and Methods
performed as described in SOPs 2005-13-R5 [SOPs are Attached] and 2008-02-R0. The 
acceptable endpoints are: AO viability ≥ 50%; Endotoxin levels < 5EU/kg of recipient ideal 
body weight, cell yields ≥ 1E+05 total SVF cells per mL of adipose stroma and gram stain 
negative. The determinations will be rcorded in triplicate. All handling and procedures 
with the lipoaspirates and isolation of the SVF are handled in sterile areas and all 
personnel are appropriately gowned and gloved as well as all laboratory instruments 
(pipettes, etc.) have been appropriately sterilized/cleaned.c. The released adipose stromal 
vascular fraction preparation will be transported back to the operating room. The 
concentrated autologous stromal vascular fraction cells will arrive back in the operating 
room close to the time that the standard fat graft preparation process is completed. It is 
anticipated that the time required for preparing the Autologous Stromal cells 
concentrated fat graft will add no more than 30 minutes to the overall operating time 
compared to Autologous Standard fat graft processing. d. The Standard graft material and 
the stromal vascular fraction cells will be mixed and subsequently injected into the 
amputated stump a target concentration of 2.0 – 3.0 x 10 6 stromal vascular cells/ml of 
injected fat graft is desired in this study. However, we recognize that there will be 
significant variation in cell yield between patients, as well as variation in required graft 
volumes. The actual cell dose for each subject will be collected to the intraoperative 
source document. The procedure for combining the SVF with the lipoaspirate prepared in 
the operating room will be performed inside the sterile operating room by Dr. Rubin or a 
co-investigator who is specifically trained in the techniques of fat graft processing using 
the Coleman method as well as this cell-enrichment technique of combing SVF with 
lipoaspirate. i. To manually combine the standard fat graft material and the SVF 
suspension (device output), each of the syringes will be connected via luer to luer lock. 
The contents of the lipoaspirate syringe are transferred to the SVF syringe and the cell 
suspension will be injected slowly back and forth between the two (2) syringes. The final 1 
mL SVF-fat graft syringe is now considered cell-enriched and ready for injection into the 
subject. ii. It should be noted that in the event of fat harvest from both abdomen and 
thigh, abdominal fat grafts will be combined with abdominal fat SVF and thigh fat grafts 
will be combined with thigh fat SVF.Fat Graft Placement: The plastic surgeon will use the 
specially designed hollow injection cannulas (smaller diameter cannulas with varied 
shapes and tip sizes specifically made to deliver smaller amounts of fat) to fill the desired 
areas with the designated portion of fat. Incisions for cannula sites average less than 5 
mm. The Coleman Cannula System is not experimental and is commercially available in 
the United States and in compliance with Federal regulations for surgical instruments. A 
maximum fat graft volume, to include control grafts and SVF-concentrated grafts, of 
300mL will be injected. The graft volume necessary to treat the stump site will be 
determined by the clinical judgment of Drs. Rubin and Coleman. They are plastic surgeons 
who have significant experience in fat grafting techniques. In addition, previous high-
resolution 3D CT scans will be used to help determine the fat volume needed to treat. As 
is standard of care for fat grafting, the fat will be injected in small 3mL syringes to prevent 
excessive ischemia that may otherwise be seen with larger graft volumes. If additional SVF 

Section: Section 2 - Research Design and Methods
product is required, one of two approaches will be considered. The first approach is the 
possible acquisition of a second TGI system to isolate and process additional SVF. The 
second approach will be the use of the available autologous standard fat graft material to 
fill the remainder of the amputation/stump deficit.Once the surgical procedure has been 
completed, the subject will be transported to the recovery room where he/she will be 
monitored until released to go home. Post-Op Care/Monitoring: The UPMC hospital 
facility specific (UPMC Montefiore, Shadyside and Magee) SOP for post-anesthesia care 
unit will be followed and all research subjects who will be cared for in the same manner as 
standard of care patients. The nursing staff will monitor the subjects as applicable per 
surgical procedure. Given the fat grafting procedure of this retrospective protocol, the 
nursing staff will focus on extremity clinical exams, including neurovascular exam and and 
color of skin. At discharge, research subjects will receive instructions for self clinical exams 
at home and will be instructed to make the surgeon aware of any excessive swelling, 
drainage, redness, fever, severe changes in pain or sensation or any other concerning 
findings. Basic Science Assays of Adipose TissueThe PI and /or Co-investigator will obtain a 
total up to 80cc of lipoaspirate as research samples. The research samples will be 
transported to the University of Pittsburgh's Adipose Stem Cell Center. The research 
samples will remain under the oversight of Kacey Marra, PhD, Co-Investigator, on the 16th 
floor of the Biomedical Science Tower, University of Pittsburgh. The samples will be de-
identified and will be stored to include assigned code numbers until planned analysis 
occurs. The information linking these code numbers to the corresponding subjects’ 
identities will be kept in a separate, secure location. Should the subject decide to 
withdraw or be withdrawn from study participation, these samples will continue to be 
stored with the destruction of the linkage code to the subject’s identity. These samples 
are only intended to be stored until analysis is performed, not beyond the length of the 
study term. The following lab process will take place in the University of Pittsburgh's 
Adipose Stem Cell Center: Approximately 5-25ccs of the lipoaspirate sample will be used 
to obtain stromal cells. The specimens will be digested in balanced salt solution containing 
1 mg/ml collagenase and 3.5% fatty acid free BSA in a 37°C shaking water bath until 
fragments are no longer visible and digest has a milky appearance. Digests are filtered and 
centrifuged at 1000 rpm for 10 minutes. Floating adipocytes are removed and the 
remaining digests are treated with an erythrocyte lysis buffer. Plating media will be 
changed every two days until confluence (~4 days to reach 90% confluence). 1x10(6) 
Autologous stromal vascular fraction cells /patient will be stored at -80⁰C. Remaining cells 
will be utilized in the experiments below. We have been successfully culturing human 
preadipocytes in our laboratory for the past 9 years.Adipose derived stem cells (ASC) 
yield: The number of cells isolated per gram of adipose tissue will be determined using a 
Coulter cell counter technique. Comparison of isolated cells from gentle centrifugation of 
lipoaspirate at 200 rpm for 3 minutes to adipose-derived stem cells will be 
determined.Adipose derived stem cells (ASC) Viability: Cell viability will be determined 
using the Live/Dead assay. The live cells will be stained with fluorescein diacetate (FDA, 
Green) and dead cell nuclei will be stained with propidium iodide (PI, Red). Adipose 

Section: Section 2 - Research Design and Methods
derived stem cells (ASC) Proliferation: Cellular proliferation of preadipocytes will be 
assessed with the CyQUANT Cell Proliferation Assay Kit (Invitrogen, Carlsbad, CA) at 48 
and 96 hours. Media will be changed every 48 hours.Adipose derived stem cells (ASC) 
Differentiation: To assess the potential of the ASC to differentiate into the adipogenic cell 
type within the HA gels, cells will be treated plating media containing 0.2 nM 
dexamethasone, 0.5 uM insulin, 0.2 nM triiodothyronine, antibiotics, and 540 uM IBMX in 
addition to their current media. To confirm adipogenesis, lipid inclusions cells will be 
confirmed by staining with Oil Red-O. Additionally, protein expression of PPAR gamma and 
FABP4 will be determined using western blot analysis, and RNA expression of these 
adipogenic markers will be determined using PCR.Flow Cytometry Adipose derived stem 
cells (ASC) characterization: We will characterize ASC from each patient for stem cell 
surface antigens using flow cytometry. Passage zero preadipocytes isolated (as described 
above) from the abdominal subcutaneous tissue will be divided into aliquots of 5x10 (5) 
cells and stained with selected monoclonal antibodies (mAbs) against progenitor cell 
surface markers. The antibodies include mAbs against CD34, CD45, CD90, CD133, CD105 
and CD166. Rationale for these surface markers includes the following: 1) markers that 
are routinely examined for bone marrow stem cell markers, and have also been examined 
as ASC markers and 2) will be able to discern stem cell purity by testing for these markers. 
The cells will be incubated with mAbs C, and washed in PBS. At least 100,000 viable cells 
will be incubated for 30 min with 7AAD(-) staining in each sample will be acquired and 
analyzed using a FACSAria fluorescence-activated cell sorter (Becton-Dickinson). 
2.6.1 
Will blood samples be obtained as part of this research study? 
*  Yes *If submitting a protocol for expedited review, it should be clear that the planned 
blood draws are within the parameters described here: 
http://www.hhs.gov/ohrp/policy/expedited98.html  (see Expedited Research Category #2) 
If Yes, address the frequency, volume per withdrawal, the total volume per visit, and the 
qualifications of the individual performing the procedure:Lab tests via peripheral blood 
draw performed by laboratory personnel located on the 5th floor of UPMC MUH building. 
For blood tests, approximately 30ml (2tbsp) will be collected at the following time 
points:1. Screening 2. Preoperative (PGSV) 
  
 
 
   
Study Flow Chart: 
Name 
Modified Date 
AMP 30 Schema MOD 5 
7/10/2015 10:47 AM 
  
 

Section: Section 2 - Research Design and Methods
    [reviewer notes¬]  
Section 2 - Research Design and Methods 
2.7 
Will follow-up procedures be performed specifically for research purposes?  Follow-up 
procedures may include phone calls, interviews, biomedical tests or other monitoring 
procedures.*  Yes  
 
See study flow chart in question 2.6  
 
Post-operative assessments for clinical outcomes of treatment include amputation stump 
form and pain assessment, evaluation by prosthetics and occupational therapy, nutritional 
evaluations (baseline, POV1 and POV3 only)and QOL measures will be performed at 7-21 
days, 2, 3, 6, 12 months and at 24months after treatment. Patients will be followed for 
approximately 2 years after surgery; the structure of these visits is outlined below. There 
are no more follow-up procedures planned or anticipated after post-op visit 6.Post op 
study visit (Day 3-6):This study visit will occur with the study investigator or research team 
and will take place approximately in 3-6 days post surgical procedure for the purpose of 
incision assessment and potential suture removal, if applicable. The entire visit will take 
approximately 30-45 minutes and will be scheduled with the subject prior to hospital 
discharge post fat graft procedure. 1. Limited medical history and physical exam with a 
limb exam completed by the PI and /or the Co-investigator 2. Adverse Event Reporting 
(Should an adverse medical event occurred prior to the visit and be reported by the 
subject, the research team will do due diligence to collect information pertaining to the 
event through subject report and /or medical record review and /or referring physician 
report)3. Collection of subject's medication profile to include prescription and vitamins / 
supplements, allergies, vital signs (Blood Pressure, Heart rate, respirations, temperature) 
and collection and distribution of Post-operative Diary Card and Pain Log . The subject will 
be asked to continue logs if an event/issue persists beyond normal post op healing, until 
the next post–op visit (POV1)POSV1-6 (Post-Operative Study Visits 1-6)The following study 
visits will occur with the study investigator or research team and will take place at 7-21 
days (POV1), month 2 (POV2), month 3 (POV3), month 6 (POV4), month 12 (POV5)and two 
years (POV6) (+/- 2 weeks) after the surgical fat grafting procedure. The duration of time 
for each visit will be approximately 3-4 hours. All visits will be scheduled by the research 
coordinator and discussed with the subject prior to the fat graft procedure. The following 
research procedures will be completed at this visit:1. Collection of subject's medication 
profile to include prescription and vitamins / supplements, allergies,vital signs (Temp, HR, 
Resp, BP) and weight and BMI calculation and post operative pain assessment 2. Limited 
medical history & physical exam including amputation stump completed by the PI and /or 
the Co-investigator. The investigator will rate the appearance/volume of the graft site 
using the limb volume and appearance grading scale 3. Adverse Event Reporting(Should an 
adverse medical event occurred prior to the visit and be reported by the subject, the 
 

Section: Section 2 - Research Design and Methods
research team will do due diligence to collect information pertaining to the event through 
subject report and /or medical record review and /or referring physician report)4. 
Nutritional Evaluation (POV1) and (POV3) only: Each subject will recall their dietary intake 
over the 48 hours prior to the visit date to be evaluated for current nutritional habits. 
Nutritional education will be provided by the research coordinator /co-investigator based 
on the evaluation of the subject’s dietary intake record. This education, if necessary will 
follow Recommended Daily Allowances (RDA) and American Heart Association (AHA) 
recommendations. Approximate time estimated 20 minutes.5. Prosthetic and Orthotic: At 
Visit 2 and/or 3 PO only the subject will be evaluated by the Prosthetic 
/Orthotics/Occupational therapy team (limited physical exam) in conjunction with the PI to 
determine weight bearing readiness as well as readiness to obtain a standard of care check 
socket by their primary prosthetist. The participant’s prosthetic device (including check 
socket and or permanent socket) and any other assistive devices used will be fitted as part 
of their routine standard of care and will only be documented that the visit happened. The 
subject will be instructed NOT to wear the prosthetic sockets until seen by research team 
and/or clearance received to utilize any new prosthetic devices which is anticipated to 
occur at approximately POV3 or POV4. The subject may be asked to attend an interim visit 
at 4-5 months PO, if the check socket and permanent socket fabrication fall out of the PO 
visit 2-3 range.At Post op visit 4 (6 months post op), POV5 (month 12) and POV6 (month 
24) the prosthetist and therapist will implement the assessments and select the 
appropriate assessments based on the participant’s functional status, amputation site(s), 
and assistive technology used. The following assessments are dependent upon the location 
(upper verses lower extremity) and may or may not be completed depending upon the site 
of interest. a. Prosthetics Evaluation Questionnaire (PEQ) is a self-report questionnaire 
containing 54 questions organized into nine functional domains related to prosthesis-
related changes in quality of life. The PEQ was developed to fill the need for a 
comprehensive self-report instrument for individuals with lower limb loss. (Legro 1998). 
Psychometric analysis supported the reliability and validity of the PEQ for evaluating the 
function of the prosthesis and the major health related quality of life domains. The PEQ is 
estimated to take 15 minutes or less to complete.b. The 6 Minute Walk Test (6MWT) is a 
reliable measure of functional capacity, involves a moderate degree of exercise intensity, 
and is related to a moderate degree to postural control abilities in persons with lower-limb 
amputations. (Lin S-J, Bose NH, 2007). This 6MWT is estimated to take 20 minutes or less 
to complete, including the baseline rest period, set-up, and 6 minutes of continuous 
walking. This test will not be conducted if the participant is not able to functionally 
ambulate with use of prosthetic device.c. The Amputee Mobility Predictor (AMP) is a 21 
item instrument designed to assess determinants of the lower-limb amputee ability to 
ambulate. The AMP is estimated to take approximately 15 minutes or less to complete.d. 
Lower Extremity Functional Scale (LEFS) is a self-reported questionnaire containing 20 
questions about a person’s ability to perform everyday tasks. The LEFS is anticipated to 
take approximately 10 minutes or less to complete.e. The Disabilities of the Arm, Shoulder, 
and Hand (DASH) outcome Measure is a 30-item, self-report questionnaire designed to 

Section: Section 2 - Research Design and Methods
measure physical function and symptoms in people with musculoskeletal disorders of the 
upper limb. The DASH is estimated to take approximately 10 minutes or less.f. Functional 
Mobility Assessment (FMA) is a self-report questionnaire to assess perceived user function 
related to assistive technology use. The FMA is expected to take approximately 10 minutes 
or less.g. Prosthetic Device Use History: Compliance with prosthesis use affects activities of 
daily living (ADLs) as well as impacting social interaction. The participant’s prosthetic 
devices (both pre and post procedure) will be evaluated and a history will be obtained 
from the participant to determine average daily use and related issues/concerns. This 
questionnaire is estimated to take approximately 30 minutes for the subject to 
complete.h. Physical Examination: A physical examination will be conducted to evaluate 
general UE and LE function and specifically the amputation stump. The stump 
characteristics will be recorded, including measurements, range of motion, strength, skin 
integrity/areas of pressure, pain and prosthesis/socket interface. This physical examination 
is anticipated to take approximately 30 minutes to complete. If upon examination, it is 
determined that the participant is at increased risk for developing pressure ulcers and/or 
the participant’s current wheelchair and seating is not addressing their needs, they will be 
referred to the UPMC Center for Assistive Technology for a full assistive technology 
evaluation per routine clinical care.6. CT Scan with 3D renderings or MRI ( Visit 4 PO, Visit 5 
PO and Visit 6 PO).7. All participants who are women of child bearing potential will receive 
a urine pregnancy dip test. If the test result is positive the subject will not continue to the 
CT or MRI scan. ( Visit 4 PO, Visit 5 PO and Visit 6 PO)8. Psychosocial assessment (Visit 1 
PO, Visit 3 PO, Visit 4 PO, Visit 5 POand Visit 6 PO)will be conducted satisfaction with 
surgical outcomes, quality of life and functional outcomes and improvement in self-
esteem, psychiatric distress, and psychological coping.9. Structured Clinical Interview for 
DSM-IV (SCID) (Visit 4, 5, and 6 PO only) to evaluate any change in the presence/absence 
of psychiatric disorders and will be compared to PGSV1 SCID results. This SCID will take 
approximately 45-60 minutes of the subject's time to complete.10. 2D Photographs will be 
collected at each of the post op visits 11. Limb Pain Assessment will be collected at each of 
the post op visits . 12. Core Needle Biopsy of fat grafting site - POV3 and POV5 only -(this 
will only be done with subjects where it is determined by the PI that the biopsy will not 
interfer with the desired outcome of the fat grafting). In subjects where the biopsy is 
considered to be appropriate, core biopsies will be taken from the area treated with 
standard fat graft or treated with SVF concentrated fat graft. These samples will be 
histologically analyzed for differences in vascularity and other evidence of in vivo activity. 
The samples will be processed within the UPMC system. The research coordinator will 
provide telephone follow up 48 to 72 hours to the subject post biopsy. This contact is to 
obtain a subject self report assessment of signs and symptoms of an adverse event post 
biopsy (i.e., excessive bleeding, redness, extreme tenderness, and potential signs of 
infection) as a post procedure standard of care safety assessment. Procedures for Study 
post operative visits #1-12 usually occur on the same day; however, due to coordination of 
participant's schedules and travel distance the procedures may be performed on different 
days as long as the completion of the procedures do not exceed a length of 4 days total. In 

Section: Section 2 - Research Design and Methods
addition, due to the subjects traveling distances who are enrolled into this trial, we have 
included a (+/-) of 14 days (2 weeks) for the completion of POVisit 1- Visit 6 as a 
convenience for the coordination of schedules.Upon completion of POSV 6 and pending 
any adverse event reporting information received, the subject's participation in this study 
will be concluded. TELEPHONE INTERVIEWS (20-30min; done by coordinator)Telephone 
Interviews 1 and 2- The phone interviews will consist of a collection of current medications 
and any concerns or problems experienced after biopsy ((i.e., excessive bleeding, redness, 
extreme tenderness, and potential signs of infection) as a post procedure standard of care 
safety assessment. Telephone Interview 3 - (18 months post operative procedure +/-2 
weeks) — This phone interview will consist of a collection of current medications, allergies 
to update the profiles limb pain subject report assessment including any concerns or 
problems encountered related to use of a prosthesis . 
    
    [reviewer notes¬]  
Section 2 - Research Design and Methods 
2.8 
Does this research study involve the use of any questionnaires, interview or survey 
instruments?*  Yes  
     
Upload a copy of all materials except for the SCID or KSADS which are on file at the 
IRB.  The use of all instruments must be addressed in question 2.6 and/or question 2.7 
(except for an exempt submission where they should be addressed on the appropriate 
uploaded exempt form). 
Name 
Modified Date 
Diary Card 
7/24/2012 3:06 PM 
BECK 
2/17/2015 2:05 PM 
Pain Log 
7/24/2012 3:07 PM 
QOL Demographics_Brief 
2/17/2015 2:13 PM 
LEF 
3/31/2014 11:48 AM 
Prosthetics Usage Questionnaire 
7/24/2012 3:05 PM 
QOL Demographics 
2/17/2015 2:13 PM 
SF-36 
2/17/2015 2:14 PM 
 

Section: Section 2 - Research Design and Methods
SWAP 
2/17/2015 2:08 PM 
PHQ-Brief 
2/17/2015 2:10 PM 
ROSENBERG SEI 
2/17/2015 2:11 PM 
Pain Assessment Tool V 3.0 (10.12.16) 
10/17/2016 12:29 PM 
PEQ 
7/24/2012 3:03 PM 
SAD 
2/17/2015 2:09 PM 
Functional Mobility Assessment 
7/24/2012 3:06 PM 
Amputee Mobility Assessment 
4/2/2014 1:47 PM 
AMP 
9/27/2012 1:51 PM 
COPE 
6/17/2016 9:28 AM 
CSQ-8 
2/17/2015 2:09 PM 
PSSQ 
2/17/2015 2:12 PM 
DASH 
11/15/2013 11:55 AM 
PCL-S 
2/17/2015 2:11 PM 
Previously the name and publisher for commercially available materials were listed in the 
textbox below but effective 9/1/2015, all materials (except for the SCID and KSADS) must 
be uploaded using the Add button above. 
    [reviewer notes¬]  
Section 2 - Research Design and Methods 
2.9 
If subjects are also patients, will any clinical procedures that are being used for their 
conventional medical care also be used for research purposes?*  yes  
    
If Yes, describe the clinical procedures (and, if applicable, their frequency) that will be 
used for research purposes: Medical record information that will be extracted from the 
medical chart review is limited to only those items pertaining to the subject's history of 
the trauma and all surgical procedures, consults, medications, lab values, and culture 
results leading up to the fat grafting procedure. Pre-procedure blood tests, including but 
not limited to blood clotting, red blood cell count, electrolytes, and cultures, 
 

Section: Section 2 - Research Design and Methods
history/physical exams of the body (especially the affected limb), MRI and CT scans, 
menstrual status and/or results of pregnancy testing, and any medical information that 
could adversely impact the outcome of the fat grafting procedure. Permission to contact 
the participant’s prosthetist may be obtained to identify specific prosthetic 
devices/components previously trialed as part of routine clinical care as well as new 
prosthetic devices/components received during the course of the subject's participation in 
this clinical trial.  
2.10 
The blood sample question was moved to 2.6.1. 
 
    [reviewer notes¬]  
Section 2 - Research Design and Methods 
2.11 
What is the total duration of the subject's participation in this research study across all 
visits, including follow-up surveillance?*  26-28 months  
 
    [reviewer notes¬]  
  
Section 2 - Research Design and Methods 
2.12 
Does this research study involve any type of planned deception? If Yes, you are required to 
request an alteration of the informed consent process (question 4.7) 
 
 
*  No  
  
 
2.12.1 
Describe the planned deception: 
* 
 
2.12.2 
Provide a justification for this planned deception: 
* 
 
2.12.3 
Describe when and how subjects will be debriefed: 
* 
 
    
    [reviewer notes¬]  
  
Section 2 - Research Design and Methods 

Section: Section 2 - Research Design and Methods
2.13 
Does this research study involve the use of UPMC/Pitt protected health information that will 
be de-identified by an IRB approved "honest broker" system? 
    
 
*  No  
  
 
2.13.1 Identify the name of the honest broker system: 
 
2.13.2 Specify the IRB-assigned honest broker system number (e.g., HB123456): 
 
2.13.3 Specify the names of the individuals who will provide the honest broker services: 
Last 
First 
Organization 
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Previous inputted information for Question 2.13.3:  
  
 
2.13.4 Upload the signed honest broker assurance agreement: 
Name 
Modified Date 
There are no items to display 
 
    
    [reviewer notes¬]    
  
Section 2 - Research Design and Methods 
2.14 
Will protected health information from a UPMC/Pitt HIPAA covered entity be accessed for 
research purposes or will research data be placed in the UPMC/Pitt medical record?*  Yes  
    
If you answer Yes, you are required to submit this study to the Research Informatics Office, 
Health Record Research Request (R3). Per UPMC Policy HS-RS0005, all research projects that 
access or involve UPMC electronic protected health information (e-PHI) must be submitted to 
R3, with the exception of clinical trials that are contracted through the UPMC Office of 
Sponsored Programs and Research Support (OSPARS).  Complete the R3 intake form available 
at http://rio.pitt.edu/services. An R3 representative will conduct a review. You will be notified 
once your R3 review is complete or if anything further is needed.  
Describe the medical record information that will be collected from the UPMC/Pitt HIPAA 
covered entity and/or the research-derived information that will be placed in the medical 
records.The medical record information that will be extracted from the medical chart review 
are only those items pertaining to the subject's history of the trauma and all surgical 
 

Section: Section 2 - Research Design and Methods
procedures, consults, medications, lab values, and culture results leading up to and after the fat 
grafting procedure. Pre-procedure blood tests, including but not limited to blood clotting, red 
blood cell count, electrolytes, and cultures, history/physical exams of the body (especially the 
affected limb), MRI and CT scans, menstrual status and/or results of pregnancy testing, and any 
medical information that could adversely impact the outcome of the fat grafting procedure.This 
research study will result in identifiable information that will be placed into the subjects 
medical records held at UPMC. The nature of the identifiable information resulting from the 
subject's participation in the this research study that will be recorded in their medical record 
will be derived from the fat grafting procedure as detailed above. Psychiatric interview 
information will be entered into the medical record only if it is important to ensure the 
subject's medical or physical safety.  
2.14.1 Will protected health information from a non-UPMC/Pitt HIPAA covered entity be obtained for 
research purposes or will research data be placed in the non-UPMC/Pitt medical record?  *  Yes  
 
 
If Yes, describe how the HIPAA requirements will be met:If the subject is coming from an 
outside entity, other than a UPMC covered entity, and the patient's medical records 
accompany the potential subject or be voluntarily sent in anticipation of the visit for the 
Principal Investigator’s screening evaluation. We will look at all records that are provided 
appropriate to the study and may include the following: all information pertaining to the 
trauma event and surrounding surgical and medical procedures, prior procedure blood tests 
(including but not limited to complete blood count (CBC) with Differential and Platelets, 
comprehensive chemistry panel, urinalysis, and culture results) operative notes, physical 
therapy assessments, consultations, prosthetic/orthotics evaluation/ history, CT, MRI scans, 
EKG, Chest X-rays, history and physical exams, and any other information pertaining to the 
affected injury, limb trauma that could directly affect the outcome of the proposed surgical 
procedure.Research data will not be placed in non-UPMC/Pitt medical records.  
  
 
 
I, J. Peter   Rubin , certify that any member of my research team accessing, reviewing and/or 
recording information from medical records have completed the CITI Privacy & Information 
Security course or, if completed within the past year, the Internet-Based Studies in Education 
and Research (ISER) HIPAA for Researchers (Formerly RPF Module 6). The HIPAA certificates 
must be available for review if audited but do not need to be uploaded into this OSIRIS 
application. 
* Yes  
  
 
2.14.2 Are you requesting a waiver of the requirement to obtain written HIPAA authorization for the 
collection of the PHI?* No  
 
    

Section: Section 2 - Research Design and Methods
    [reviewer notes¬]  
Section 2 - Research Design and Methods 
2.15 
Does this research study involve the long-term storage (banking) of biological specimens?  
   
*  No  
 
2.15.1 
Broadly describe the intended future use of the banked biological specimens: 
 
2.15.2 
Indicate the planned length of storage of the banked biological specimens: 
*  
 
2.15.3 
Will biological specimens be stored without identifiers or linkage codes?  *  
 
    
    [reviewer notes¬]  
 
Section 2 - Research Design and Methods 
2.16 
Will research participants be asked to provide information about their family members or 
acquaintances? 
 
*  No  
 
2.16.1 
Describe what information about the third party will be obtained from the participant: 
 
2.16.2 
If the information about the third party is of a private nature, can the identity of the third 
party be readily ascertained or associated with this information? 
* 
 
   
 
Describe the private information that will be collected and recorded about the third party:  
 
    
    [reviewer notes¬]  
Section 2 - Research Design and Methods 

Section: Section 2 - Research Design and Methods
2.17 
What are the main outcome variables that will be evaluated in this study? 
 
Primary outcomes:Improvement of pain at the amputation site, improved ability to 
tolerate a prosthesis, and generation of a stable volume of adipose tissue at the 
amputation site (as measured by clinical assessment by rehabilitation sciences and 
prosthetics team, quality of life measures, and high resolution imaging). This will be 
compared between the standard fat grafting group (n=15) and the adipose cell enriched 
fat grafting group (n=15).Secondary outcomes:Local and systemic complications resulting 
from fat graft procedure (infection, fat necrosis, hematoa, seroma); basic assays of adipose 
cell behavior to elucidate the functional properties of adipose cells used for grafting, with 
correlation to outcomes.  
 
2.18 
Describe the statistical approaches that will be used to analyze the study data. 
 
 
*  Addressed below:  
  
 
 
Pain and Serial computed tomography imaging will be performed and measured as 
parametric data sets before fat grafting and afterwards at various time points using a 
paired t-test model. Repeated measures analysis of variance will be used to evaluate 
change over time in all outcome measures. Using standard conventions of alpha=0.05 and 
beta=0.8, an enrollment of thirty patients may provide sufficient power to detect a 
Cohen's effect size of about 0.9 which is anticipated to be adequate for detecting clinically 
meaningful differences in the volume of soft tissue. A composite functional score will be 
constructed from the prosthetics and occupational therapy evaluations and compared 
between study groups. The details of this analysis, including which evaluations will be 
included in the score and relative weight, can be best determined as the study progresses 
and initial data sets are acquired. Additionally, each assessment score from the specific 
tests will also be considered individually for comparison. 
  
 
    [reviewer notes¬]  
Section 2 - Research Design and Methods 
2.19 
Will this research be conducted in (a) a foreign country and/or (b) at a site (e.g., Navajo 
Nation) where the cultural background of the subject population differs substantially from 
that of Pittsburgh and its surrounding communities?*  No  
Note that copies of training records, licenses, certificates should be maintained in the study 
regulatory binder and are subject to audit by the Research Conduct and Compliance Office 
(RCCO). 
   
 

Section: Section 2 - Research Design and Methods
In addition, individuals planning to conduct human subject research outside the United States 
must complete an optional module on the CITI training website: International Studies.  Click 
here to access the instruction sheet for accessing optional CITI modules. 
2.19.1 
Address the following for each of the foreign/culturally different sites where this research will 
be conducted:• Name of site• Name of authorized individual (e.g., IRB Chair) from the local 
IRB or other human subject protections entity that is responsible for the review and approval 
of the project; upload approval letter with an English translation, if applicable • Name and 
qualifications of the site collaborator responsible for the conduct of the research (e.g., site 
PI)• The anticipated number of subjects that will be enrolled at that site  • If 
Federally funded, provide the Federalwide Assurance number (FWA) assigned to the site * 
  Site 
Date Modified 
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2.19.1.1 Provide a description of the context of cultural norms and local laws and highlight 
differences  between U.S. culture in all areas relevant to your study, including, at a minimum: 
• Age of majority of participants to be enrolled• If study includes minors or decisionally 
impaired subjects, summarize laws on guardianship • If your study involves any invasive 
medical procedure (including blood draws), provide assurance that the individuals 
undertaking those procedures for research purposes are appropriately credentialed.  • If your 
study involves the administration of a drug, device or biologic for research purposes, describe 
the process for shipping, labeling, storing and dispensing, and indicate how these are 
consistent with all relevant local (and US) laws, including those requiring import / export 
permits.• If your study involves collection of biological specimens, describe the process for 
shipping, labeling, storing and using such samples.  Identify any special local consent 
requirements, and any special permits that may be required by local law. 
 * 
 
2.19.1.2 Describe any aspects of the local cultural, political or economic climate that might increase 
the risks of harm for either local participants or researchers.  Describe the steps you will take 
to minimize these risks.  UPitt Faculty, Staff, and Students must access the Travel Registry 
page. Go to my.pitt.edu and the link is displayed under My Resources. 
 * 
 
2.19.2 
Will all individuals being recruited to participate in this research study be able to read and 
comprehend English*  
 

Section: Section 2 - Research Design and Methods
If No, describe how consent will be obtained.  Explain provisions for culturally appropriate 
recruitment and consent accommodations such as, translations or involvement of native 
language speakers, especially if literacy is not widespread in this country. 
 
2.19.2.1 If translated documents are used, upload a signed translator certification form and back 
translations (if applicable):(Translator Certification Form is available under the Resources tab 
located to right of this item) 
   
Name 
Modified Date 
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2.19.3 
Will all of the research procedures described in this IRB application be conducted at the 
foreign/culturally different sites? 
*   
Yes 
No  
 
 
If No, describe the subset of research procedures to be performed at the sites: 
  
 
2.19.4 
To what extent do the local site requirements to protect subject confidentiality and privacy 
differ from US standards. If applicable, explain how those will be addressed by this research 
team:*  
  
 
2.19.5 
If the researcher is a student, describe how the student will communicate with the advisor 
during the conduct of the research and how the advisor will oversee the research: 
 
 
    
    [reviewer notes¬]  
Section 2 - Research Design and Methods 
2.21 
Will this research study be conducted within a nursing home located in Pennsylvania? 
*  No  
   
 
2.21.1 Does this research involve a medical procedure or an experimental treatment?*  
  
 

Section: Section 2 - Research Design and Methods
2.21.2 Does the research study involve the exposure of nursing home residents to pain, injury, 
invasion of privacy, or ask the resident to surrender autonomy? 
*  
  
 
 
If Yes to either question, upload the Pennsylvania Department of Health approval letter. 28 PA 
Code Section 201.29 (o) specifies that prior to the initiation of research, and in addition to IRB 
approval, any study that includes experimental research or treatment conducted in a nursing 
home must be approved by the Pennsylvania Department of Health. A signed consent form 
from nursing home resident-subject is also required.  
Name Modified Date 
  
 
    
 
Section: Section 3 - Human Subjects
    [reviewer notes¬]  
Section 3 - Human Subjects  
3.1 
What is the age range of the subject population?18 years of age and older. 
 
    
3.2 
What is their gender?*  Both males and females  Provide a justification if single gender selected: 
  
 
3.3 
Will any racial or ethnic subgroups be explicitly excluded from participation?*  No  If Yes, identify 
subgroups and provide a justification:  
   
3.4 
For studies conducted in the U.S., do you expect that all subjects will be able to comprehend 
English?  
*  Yes  
 
If No, identify what languages will be understood by subjects and describe your plan to manage 
communication with non-English speaking subjects during all phases of the study: 
 
3.4.1 If translated documents are used, upload a signed translator certification form and back 
translations (if applicable): 
    

Section: Section 3 - Human Subjects
Name 
Modified Date 
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    [reviewer notes¬]  
Section 3 - Human Subjects  
3.5 
Participation of Children: Will children less than 18 years of age be studied?*  No  
 
    
If No, provide a justification for excluding children: Our target population for this study is 
military and civilian, who are restricted to age 18 years and above. Children will be 
excluded because any active growth surrounding an amputation site will obscureour 
ability to detect changes due the surgical procedure over time.  
 
3.5.1 
Specify the age range of the children to be studied.  (Check all that apply below:) 
* 
Choices 
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3.5.2 
Provide a rationale for the specific age ranges of the children to be studied: 
 
3.5.3 
Describe the expertise of the study team for conducting research with children within this 
age range: 
 
3.5.3.1 
Have you obtained the following clearances from all research staff who may have direct 
contact with children under the age of 18?  Direct contact under the law includes face-to-
face, and telephonic or electronic, contact with minors.  Please see the Child Clearances 
guidance document for further explanation? 
Pennsylvania Department of Public Welfare Child Abuse History Clearance;Pennsylvania 
State Police Criminal Record Check; andFBI Criminal Background Check 
Note: If No, once all clearances are obtained, a modification must be submitted.If you 
selected N/A, please explain:  
It is important to note that “direct contact” refers not only to face-to-face meetings but 
also extends to communication via phone (including text messaging), social media or 
internet.   Direct contact also includes the care, guidance, supervision or control, or 
  
  
 
 

Section: Section 3 - Human Subjects
routine interaction with, minors.  Conversely, a participating investigator or support staff 
member who does not have direct contact, either electronically or in person, with 
children does not need to obtain clearances (e.g., statistician, non-clinical laboratory 
personnel, etc.).  If your research study provides babysitting services, the babysitters 
must have the required child clearances. * Note: It is the responsibility of the principal 
investigator to ensure that all research staff have these clearances prior to any interaction 
with children. Contact Human Resources at 412-624-8150 for assistance with this process.  
3.5.4 
Describe the adequacy of the research facilities to accommodate children within this 
age range:* 
 
3.5.5 
Permitted Categories of Research: The Federal Policy and FDA regulations governing 
human subject protections specify that research involving children must fall into one of 
the following permitted categories.   
* 
45 CFR 46.406 
The risk represents only a minor increase over minimal risk.  
The research procedures present experiences to the subjects that are reasonably 
commensurate with those inherent in their actual or expected medical, dental, 
psychological, social, or educational situations.  
The research procedures are likely to yield generalizable knowledge about the subjects’ 
disorder or condition which is of vital importance for understanding or amelioration of 
the subjects’ disorder or condition. 
45 CFR 46.407 
The risk is justified by the anticipated benefit to the subjects; and the relation of the 
anticipated benefit to the risk is at least as favorable to the subjects as that presented by 
available alternative approaches. 
   
   
 
Provide a justification which must address all considerations related to the 
designated category of research: 
 
    
    [reviewer notes¬]  
Section 3.0 - Human Subjects 

Section: Section 3 - Human Subjects
3.6 
Does this research study involve prisoners, or is it anticipated that the research study may 
involve prisoners?*  No  
    
3.6.1 
The Federal Policy and FDA regulations specify that research involving prisoners must fall 
into one of the following permitted categories. 
* 
 
   
 
*Provide a justification for your designation: 
 
General Requirements: The Federal Policy and FDA regulations specify that research 
involving prisoners must also conform to each of the following general 
requirements.  Describe how your study meets each of the following regulations.   
 
3.6.2 
Any possible advantages accruing to the prisoner through his or her participation in the 
research, when compared to the general living conditions, medical care, quality of food, 
amenities, and opportunity for earnings in the prison are not of such a magnitude that the 
prisoner’s ability to weigh the risks of the research against the value of such advantages in 
the limited choice environment of the prison is impaired. [45 CFR 46.305 (a)(2)]* 
  
 
3.6.3 
The risks involved in the research are commensurate with risks that would be accepted by 
nonprisoner volunteers.[45 CFR 46.305 (a)(3)]  * 
 
3.6.4 
The procedures for the selection of subjects within the prison are fair to all prisoners and 
immune from arbitrary intervention by prison authorities or prisoners.[45 CFR 46.305 
(a)(4)] * 
 
3.6.5 
Information regarding the research is presented to the potential prisoners-subjects in a 
language which is understandable to them.[45 CFR 46.305 (a)(5)]* 
 
3.6.6 
Adequate assurance exists that the parole boards will not take into account a prisoner’s 
participation in the research in making decisions regarding parole, and each prisoner is 
clearly informed in advance that participation in the research will have no effect on his or 
her parole.[45 CFR 46.305 (a)(6)]  * 
   
 
3.6.7 
Where there may be a need for follow-up examination or care of the prisoners-subjects 
after the end of their participation in the research, adequate provision has been made for 
such examination or care; taking into account the varying lengths of individual prisoners’ 
sentences, and the prisoners have been informed of this fact. [45 CFR 46.305 (a)(7)]. * 
 
   
 

Section: Section 3 - Human Subjects
    
    [reviewer notes¬]  
Section 3 - Human Subjects  
3.7 
Will pregnant women be knowingly and purposely included in this research study? 
 
*  No  
 
General Requirements: The Federal Policy [45 CFR 46, Subpart B] specify that research 
involving pregnant women and/or fetuses must also confirm to each of the following 
criteria. Describe how your study meets each of the requirements.  
   
 
3.7.1 
Where scientifically appropriate, preclinical studies, including studies on pregnant 
animals, and clinical studies, including studies on non-pregnant women, have been 
conducted and provide data for assessing potential risks to pregnant women and fetuses. 
[45 CFR 46.204 (a)]  [Include references]* 
 
3.7.2 
The risk to the fetus is caused solely by interventions or procedures that hold out the 
prospect of direct benefit for the women or the fetus; or, if there is no such prospect of 
direct benefit, the risk to the fetus is not greater than minimal and the purpose of the 
research is the development of important biomedical knowledge which cannot be 
obtained by any other means.  [45 CFR 46.204 (b)]   
* 
   
 
3.7.3 
Any risk is the least possible for achieving the objectives of the research. [45 CFR 46.204 
(c)]* 
 
3.7.4 
No inducements, monetary or otherwise, will be offered to terminate the pregnancy. [45 
CFR 46.204 (h)] 
* 
 
3.7.5 
Individuals engaged in the research will have no part in any decisions as to the timing, 
method, or procedures used to terminate a pregnancy. [45 CFR 46.204 (i)] 
* 
 
3.7.6 
Individuals engaged in the research will have no part in determining the viability of a 
neonate.[45 CFR 46.204 (j)] 
 

Section: Section 3 - Human Subjects
* 
    
    [reviewer notes¬]  
Section 3 - Human Subjects  
3.8 
Does this research study involve neonates of uncertain viability or nonviable neonates? 
 
*  No  
    
General Requirements:  The Federal regulations [45 CFR 46.205] specify that research 
involving neonates of uncertain viability and nonviable neonates must conform to each of 
the general requirements. Describe how each of the following requirements will be met. 
   
 
3.8.1 
Where scientifically appropriate, preclinical and clinical studies have been conducted and 
provide data for assessing potential risks to neonates (include references). [45 CFR 46.205 
(a)(1)] * 
  
 
3.8.2 
Individuals engaged in the research will have no part in determining the viability of the 
neonate. [45 CFR 46.205 (a)(3)]* 
 
3.8.3 
Does this research study involve neonates of uncertain viability? [45 CFR 46.205(b)]*  
  
 
3.8.3.1 
The Federal regulations specify that, until it is ascertained whether or not a neonate is 
viable, a neonate may not be involved in research unless one of the following conditions is 
met.  * 
 
*Provide a justification for your selection: 
 
3.8.4 
Does this research study involve nonviable neonates? [45 CFR 46.205(c)]*  
General Requirements: The Federal regulations specify that, after delivery, a nonviable 
neonate may not be involved in research unless each of the following additional 
conditions are met [45 CFR 46.205(c)]. 
 
   
 
3.8.4.1 
Vital functions of the neonate will not be artificially maintained. [45 CFR 46.205 (c)(1)]* 
 

Section: Section 3 - Human Subjects
3.8.4.2 
The research will not terminate the heartbeat or respiration of the neonate. [45 CFR 
46.205 (c)(2)]* 
 
3.8.4.3 
There will be no added risks to the neonate resulting from the research. [45 CFR 46.205 
(c)(3)] * 
  
 
3.8.4.4 
The purpose of the research is the development of important biomedical knowledge that 
cannot be obtained by other means. [45 CFR 46.205 (c)(4)]* 
 
    
    [reviewer notes¬]  
Section 3 - Human Subjects  
3.9 
Fetal Tissues: Does this research involve the use of fetal tissues or organs?*  No  
 
General Requirements: In accordance with the Pennsylvania Abortion Control Act, fetal 
tissues or organs may only be obtained for use in research subsequent to obtaining the 
written informed consent of the mother.  The Pennsylvania Abortion Control Act specifies 
that research involving the use of fetal tissue or organs must also conform to each of the 
following requirements.  [Indicate how you will conform to each requirement] 
   
 
3.9.1 
Informed consent for the research use of fetal tissue derived from an abortion will be 
obtained separate from, and after, the decision and consent to abort has been made. 
* 
  
 
3.9.2 
No consideration of any kind (i.e., monetary or otherwise) will be offered to the mother in 
obtaining her consent for the research use of the fetal tissue or organs. 
* 
 
3.9.3 
The mother will not be permitted to designate a recipient of the fetal tissue or organs for 
use in research. 
* 
 
3.9.4 
All persons who participate in the procurement or use of the fetal tissue or organs will be 
informed as to the source of the tissue (e.g., abortion, miscarriage, stillbirth, ectopic 
pregnancy). 
 

Section: Section 3 - Human Subjects
* 
    
    [reviewer notes¬] ---> 
Section 3.0 - Human Subjects 
3.10 
What is the total number of subjects to be studied at this site, including subjects to be 
screened for eligibility?Note: The number below is calculated by summing the data 
entered in question 3.11. Any additions or changes to the values entered in 3.11 will be 
reflected in 3.10.*  70  
 
   
 
3.11 
Identify each of the disease or condition specific subgroups (include healthy volunteers, if 
applicable) that will be studied.   
Click on the "Add" button and specify for each subgroup:  
1) how many subjects will undergo research related procedures at this site; and 
2) if applicable, how many subjects will be required to undergo screening procedures (e.g., 
blood work, EKG, x-rays, etc.) to establish eligibility.  Do Not include subjects who will 
undergo preliminary telephone screening.*   
  
Subgroup 
Number to undergo 
research procedures 
Number to undergo 
screening procedures 
 
View amputees receiving TGI cell 
enriched processing fat grafting 15 
35 
 
View amputees receiving standard fat 
grafting 
15 
35 
 
 
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3.12 
Provide a statistical justification for the total number of subjects to be enrolled into this 
research study at the multicenter sites or this site.*  Described below:  The proposed 
study is designed as a single center, prospective, randomized pilot outcome study to exam 
the effect of two (2) fat grafting procedures on either upper or lower extremity 
amputations. The major endpoint is pain at the amputation site and the ability to wear 
prosthesis. To the best of our knowledge, there are no clinical reports that describe 
quantitatively the change in extremity amputation site pain to fat grafting over time. This 
is especially true in comparing an upper extremity amputation site [low weight bearing 
   
 

Section: Section 3 - Human Subjects
site] compared to a lower extremity amputation site [high weight bearing site]. Therefore 
we have provided an adequate number of potential subjects to be screened and enrolled 
to study pain at the amputation site with these differnet tratments. For this study, 70 
potential subjects will be screened and enrolled with a goal of 30 subjects to undergo the 
operative autologous fat grafting procedure. Each subject will be assigned to a specific 
randomization block based on whether they have an upper or lower extremity 
amputation. Each randomization block will have six (6) subjects. There will be a computer 
generated randomization assignment for each subject to receive the surgical intervention 
that will be either fat grafting alone or fat grafting with stromal vascular fraction cells. A 
randomization table will be generated using a software program [Research Randomizer, 
Version 3.0]. This will allow for statistical examination between the two different 
treatments within each randomization block (3 subjects receive fat graft and 3 subjects 
receive fat graft with stromal vascular fractions).There will be five (5) randomization 
blocks for a total of thirty (30) subjects. Therefore based on the prevalence of subjects 
who have either the upper and lower extremity amputation, there may be a range from 
one (1) to five (5) randomization blocks for one of the treatment groups. We expect that 
there will be a higher number of lower extremity amputees who call-in or are referred for 
screening. The proposed block randomization scheme will be flexible to handle various 
numbers of either upper or lower extremity amputations as well preserve the statistical 
rigor for testing.  
    [reviewer notes¬]  
 
Section 3.0 - Human Subjects 
3.13 
Inclusion Criteria: List the specific criteria for inclusion of potential subjects.1.) Aged 18 
years or older and able to provide informed consent2.) Has an amputation with pain that 
limits the fitting and use of a prosthesis, despite maximal attempts to refit the prosthesis 
and/or change the design of the prosthesisand/or Have an amputation with pain that 
limits the use of an assistive device(s) despite maximal attempts to change the design of 
use of the device3.) Be at least 3 months post-injury or post-surgery (from surgical 
procedures) so that acute edema is resolved4.) Soft tissue deficiencies are noted at 
amputation stump and are covered by intact skin5.) Willing and able to comply with 
follow up examinations, including radiographic studies6.) Subjects who are, in the opinion 
of the Investigator, able to understand the study, comply with the study design and are 
willing to return to the clinic for all the research required follow-up visits7.) Subjects with 
residual limb problems including upper and lower limb loss, and/or individuals with partial 
hand, partial foot and more proximal injuries.8.) Subjects with Intolerability that may 
include inappropriate soft tissue padding, soft tissue coverage and pain that doesn’t allow 
the consistent wearing of a prosthetic socket. (This may include excessive pain, inability to 
achieve adequate suspension of prosthesis on the individual, continual skin breakdown, 
excessive pressure/shear on skin, soft tissue, nerves, scars, etc.) and/or Subjects with 
 

Section: Section 3 - Human Subjects
Intolerability that limits use of an assistive device(s) that aid mobility of daily living 
activities involving the functional use of affected limb.9.) Subjects who are unable to 
consistently wear a prosthetic socket must have received a minimum of 3 months of 
unsuccessful prosthetic fitting trials. This will include a minimum of at least 5 different 
socket adjustments. This can include re-casting the residual limb, providing pressure 
relieves within the socket, changing the alignment of the prosthetic components to alter 
ground reactive forces, and adding padding to pressure sensitive areas. Likewise, subjects 
using assistive devices must have received a minimum of 3 monhts of unsuccessful 
assistive device adjustments. This information pertaining to the history of prosthetic fit 
attempts may be received from referral physician, prosthetics and/or orthotics direct 
report and/or subject self-report and/or medical record review.10.) Subjects should have 
an approximate range of the defect volume between 5cc to as much as 300cc. if the 
defect is a very local soft tissue deficiency over a pressure point. (The volume of the 
defect correlates with moderate or severe intolerability of the prosthesis)11.) Subjects 
must have a current relationship with a prosthetist and/or Assistive device Technician. 
12.) Subjects who have a history of cancer to an affected limb that results in a surgical 
amputation maybe eligible.13.) Subjects who have a history of embolus to the affected 
limb that results in surgical amputation maybe eligible   
3.14 
Exclusion Criteria: List the specific criteria for exclusion of potential subjects from 
participation.1. Age less than 18 years2. Patient has inability to provide informed consent 
process.3. Amputated limb area intended for treatment has open wounds or tunneling4. 
Active drainage or active infection unresolved with one course of antibiotic treatment.5. 
Active infection anywhere in the body6. Diagnosed with cancer within the last 12 months 
and /or presently receiving chemotherapy or radiation treatment7. Known coagulopathy 
symptoms /diagnosis8. Systemic disease that would render the fat harvest and injection 
procedure, along with associated anesthesia, unsafe to the patient (e.g., scleroderma, 
lupus, vasculatures, collagen disease etc.)9. Pregnancy10. History of Diabetes Mellitus11. 
History of severe peripheral arterial disease12. Subjects with an Axis I DSM-IV diagnosis 
(e.g., Schizophrenia, Bipolar disorder) who are found to be clinically (i.e. medically) 
unstable at baseline. Individuals who manifest either: 1) evidence of currently active 
alcohol or psychoactive drug abuse or dependence on the SCID interview, or 2) a GAF 
score of 40 or lower due to any acute psychiatric symptomatology (e.g. suicidality, 
psychosis, severe depression or mania) will be reviewed by the Co-I for Psychosocial 
Assessment with the PI for determination of possible medical instability. Final 
determination of medically unstable status will be made by the PI on the basis of overall 
medical status and appropriateness for medical procedures; the patient may be 
considered ineligible for study participation per the Physician’s discretion. 13.) Subjects 
with abnormal blood biochemistry or any other abnormal laboratory finding considered 
clinically significant in that it would deem the subject inappropriate for surgical 
procedures. This criterion will help to exclude subjects with severe nutritional deficiency, 
anemia, coagulopathy, renal and liver dysfunction, diabetes, and peripheral vascular 
 

Section: Section 3 - Human Subjects
disease, as determined by the investigator (i.e. CBC with Differential, platelets, 
comprehensive metabolic panel to include electrolytes, bun/creatinine, liver function test 
and coagulation tests). As general safety measures, we will exclude patients with lab 
values listed below:Hct less than 30%INR greater than 1.8Creatinine greater than 
2.0Bilirubin within the upper limit of normalLiver function tests (ALT, AST) greater than 2 
times upper limitAlbumin less than 2.0Platelets less than 7014) Subjects who per the 
clinical discretion of the investigator, would not be appropriate for the study. (e.g. a 
potential medication and/ or medical diagnosis that is not captured in above exclusion, 
but which could render the subject’s participation in the study unsafe, or would have an 
adverse effect on fat metabolism or fat healing).  
3.15 
Will HIV serostatus be evaluated specifically for the purpose of participation in this 
research study?*  No If Yes, provide a justification: 
    
 
Section: Section 4 - Recruitment and Informed Consent Procedures 
    [reviewer notes¬]  
Section 4 - Subject Recruitment and Informed Consent Procedures  
4.1 
Select all recruitment methods to be used to identify potential subjects: 
Advertisements 
Pitt + Me 
Other Strategies: Described below 
There are no items to display 
   
 
 
Advertisements   
Upload the advertisements for review:  
Name 
Modified Date 
Study FLYER UL 
9/12/2017 12:52 PM 
TV advertisement script 7.10.2015 
7/10/2015 1:12 PM 
AMP 30 Flyer 9.13.2017 
9/19/2017 1:13 PM 
Trialspark questionnaire 
9/13/2017 7:59 AM 
 
  
 

Section: Section 4 - Recruitment and Informed Consent Procedures 
Amp 30 Telephone Script 
7/20/2015 4:23 PM 
TrialSpark landing page 
9/13/2017 7:58 AM 
Pitt+Me 
3/23/2017 12:12 PM 
AMP 30 audio visual TV Advertisement 9/8/2015 11:27 AM 
PITT+ME video 
9/12/2017 12:49 PM 
TrialSpark Ad Preview 
9/13/2017 8:00 AM 
  
 
  
 
Honest Broker  
Identify the name of the honest broker system and name of the specific individuals who 
will provide those services: 
   
 
Specify the IRB-assigned honest broker system number (e.g., HB123456): 
 
Upload the signed honest broker assurance agreement: 
Name 
Modified Date 
There are no items to display 
 
  
 
  
 
Recruitment Letters and Scripts 
Upload recruitment letters/scripts/text: 
Name Modified Date 
 
  
 
  
 
Research Registry 
List the IRB approval number and title for each registry source: 
 
  
 
  
 

Section: Section 4 - Recruitment and Informed Consent Procedures 
4.2 
Provide a detailed description of your recruitment methods, including identifying and 
initiating contact with participants:    
i. Dr. Rubin has developed a very close working relationships with Colonel Paul F. 
Pasquina, MD United States Army Medical Corps; Chief of the Integrated Department of 
Orthopaedics and Rehabilitation, Walter Reed National Military Medical Center. Col. 
Pasquina is responsible for the medical care of a significant number of amputated military 
personnel. He has already identified a number of potential candidates and will continue to 
actively assist in referring patients for the study. Given the high incidence of amputations 
from recent conflicts (over 1,100 patients), we anticipate that a majority of our subjects 
will be wounded warriors, and has communicated directly his support of this proposal. If 
thepotential subject is referred to Dr. Rubin’s practice for participation for this study, the 
initialintroduction is from Dr. Pasquina and/or his staff member. If the patient wants to 
inquire further, a referral to Dr. Rubin for a more comprehensive introduction to the study 
is completed. The introduction of the study is documented in the medical record of the 
primary practice via written or document stickers which have been provided to local 
referral sources. Medical records may be sent from Dr. Pasquina and/or the referring MD 
or hand carried by the patient for Dr. Rubin's review at the time of the potential subject's 
visit. The purpose of this process is for discussion with the potential subject at the time of 
the visit, not for identification purposes / recruitment prior to the subject’s arrival to Dr. 
Rubin’s Plastic surgery practice.ii. Even in light of the strong relationship with military 
physicians treating amputees, we were advised by the military to also consider civilian 
subjects in order to accelerate the pace of the scientific investigation. If successful, the 
overlying goal is to transfer this technology to all Department of Defense facilities and 
physicians treating wounded warriors and other military and civilian medical care 
centers.Potential subjects military and civilian will be recruited using social media, 
advertisement (see section 4.1 for advertisements) to be placed throughout the Oakland, 
greater Pittsburgh area and nationally via our existing contacts with military and civilian 
support groups, Plastic surgery clinics/ Physician's offices local and national and 
throughout the University of Pittsburgh Medical Center facilities who treat potential 
subjects that may meet the study criteria. In addition, subjects may make initial contact 
with the PI and/or research staff through their accessing the UPMC Center for Innovation 
in Restorative Medicine's website and /or other social media methods used for subject 
recruitment to this clinical trial. Potential subjects may also be identified through the 
registration of this study with (Pitt+Me) formerly known as the CTSI Research Participant 
Registry. Pitt+Me is a program of the University of Pittsburgh’s Clinical and Translational 
Science Institute (CTSI) that advertises thru social media and engages researchers, 
patients, and volunteers from the Greater Pittsburgh community as partners in research. 
Another method of social media recruitment is with the use of "TrialSpark" which is a 
data-driven, recruiting system. It uses data, analytics, machine-learning and social media 
to target certain demographics using social media ads. If a participant clicks on the ad, 
they are brought to a study landing page that contains study information. If interested in 
 

Section: Section 4 - Recruitment and Informed Consent Procedures 
participating, they have the option to register and complete a prescreen to see if they are 
eligible. For participants who register, their contact information (name, phone number) 
are stored in a backend system so that study teams can track contacts and eligibility. It 
stores information in a HIPAA compliant manner which will be described in more detail in 
section 5.15. Comments on the Facebook ads are not able to be disabled however they 
will be monitored by TrialSpark and deleted on a regular basis. Potential participants may 
learn about this study on clinicaltrials.gov and through postings within the military 
community (active commission and retired). If the potential subject is responding to an 
advertisement/posting within a military web-based network or through the above 
mentioned sources, the potential subject is requesting to be evaluated for the purpose of 
participation in this study and no records are reviewed prior to study consent or registry 
consent being obtained. The potential subject will call the research coordinator in 
response to the advertisement. The research coordinator, utilizing a telephone script will 
obtain and document into the research binder, the verbal consent of the potential subject 
for participation for the pre-screening activity. The research coordinator will only pre-
screen potential subjects for eligibility criteria by phone. The research coordinator will 
also obtain information specific to the registration of the potential subject for the 
screening visit. If the potential subject meets this criteria their information will be 
reviewed with the PI for further action. The PI will make a final determination on 
continuing the evaluation process and the potential subject will be contacted for further 
coordination of a screening visit. It is common practice for other plastic surgeons and 
physicians to refer patients to Dr. Rubin at this tertiary care center. Dr. Rubin, through 
clinical conferences and discussions with a variety of clinical services and referral sources, 
has facilitated awareness of this study. If the potential subject is referred to Dr. Rubin’s 
practice for participation for this study, the initial introduction is from the physician or 
clinical care team who is known to the potential participant. If the patient wants to inquire 
further, a referral to Dr. Rubin for a more comprehensive introduction to the study is 
completed. The introduction of the study is documented in the medical record of the 
primary practice via written or document stickers which have been provided to local 
referral sources. Medical records may be sent from the referring MD or hand carried by 
the patient for Dr. Rubin's review at the time of the potential subject's visit. The purpose 
of this process is for discussion with the potential subject at the time of the visit, not for 
identification purposes / recruitment prior to the subject’s arrival to Dr. Rubin’s Plastic 
surgery practice. 
    
Note: Questions jump from 4.2 to 4.6 as questions 4.3-4.5 have been removed and the information is now 
captured in 4.1  
    [reviewer notes¬]  

Section: Section 4 - Recruitment and Informed Consent Procedures 
Section 4 - Subject Recruitment and Informed Consent Procedures  
4.6 
Are you requesting a waiver to document informed consent for any or all participants, for 
any or all procedures? (e.g., a verbal or computerized consent script will be used, but the 
subjects will not be required to sign a written informed consent document.  This is not a 
waiver to obtain consent. 
 
 
*  Yes  
  
 
4.6.1 
Identify the specific research procedures and/or the specific subject populations for which 
you are requesting a waiver of the requirement to obtain a signed consent form. 
Addressed below:  
 
If not all, identify the specific procedures and/or subject populations for which you are 
requesting a waiver: Telephone screening procedure in response to 
advertisement/posters/flyers. The waiver for documentation of informed consent is being 
requested only for phone screening procedures for the introduction of the study and 
evaluation of inclusion and exclusion criteria. 
 
4.6.2 
Indicate which of the following regulatory criteria is applicable to your request for a waiver 
of the requirement to obtain a signed consent form. 
  45 CFR 46.117(c)(2)  
45 CFR 46.117(c)(1) That the only record linking the subject and the research would be the 
consent document and the principal risk would be potential harm resulting from a breach 
of confidentiality. Each subject will be asked whether the subject wants documentation 
linking the subject with the research, and the subject's wishes will govern; or 
45 CFR 46.117(c)(2) That the research presents no more than minimal risk of harm to 
subjects and involves no procedures for which written consent is normally required 
outside of the research context. 
  
 
4.6.2.1 
Address why the specific research procedures for which you are requesting a waiver of the 
requirement to obtain a signed consent form present no more than minimal risk of harm 
to the research subjects: 
The telephone screening process within the research study present no more than minimal 
risk of harm to subjects and involves no procedures for which written consent is normally 
required outside of the research context. We believe the information being obtained 
 

Section: Section 4 - Recruitment and Informed Consent Procedures 
during the screening phone call is the same type of information that would be collected on 
patients setting up a routine well-visit appointment. 
4.6.2.2 
Justify why the research listed in 4.6.1 involves no procedures for which written informed 
consent is normally required outside of the research context: 
The information collected during the screening phone call is a review of 
inclusion/exclusion criteria, introduction of the study, and involved the same type of 
information that would be collected on patients setting up a routine well-visit 
appointment.If the subject does not meet inclusion criteria, all the information collected 
during the telephone screening will be destroyed and the subject will be informed of this 
activity at the time of the phone screening. 
  
 
4.6.3 
Address the procedures that will be used and the information that will be provided (i.e., 
script) in obtaining and documenting the subjects' verbal informed consent for study 
participation: 
Potential subjects will call the research coordinator in response to the advertisement. The 
research coordinator will read from the screening script with the pre screening criteria 
being reviewed. If the potential subject meets this criteria the potential subject's 
information will be reviewed with the PI for further action. The PI, with input from the 
study team, will make a final determination on continuing the evaluation process and the 
potential subject will be contacted for further coordination of a screening visit. Upon 
completion of the telephone interview, qualified and interested subjects will be instructed 
to come to the Aesthetic Surgery Center for the scheduled screening visit. At the time of 
the screening visit if the potential subject, after review of the informed consent document 
and upon resolution of any questions, then verbalizes continued interest in study 
participation, the principal investigator or co-investigator who is on the Investigational 
Review Board (IRB) approved research protocol and consent documents, and is a physician 
will obtain subject signature. The physician will then sign the Certification of Informed 
Consent Statement ensuring a Health Insurance Portability and Accountability Act (HIPAA)-
compliant informed consent document for the study, thereby minimizing the possibility of 
coercion and undue influence. No research related activities would be conducted until a 
fully executed informed consent document is obtained. 
 
Upload Scripts: 
Name 
Modified Date 
AMP30 Telephone Screening Script 7.2.15 7/2/2015 11:27 AM 
 
    

Section: Section 4 - Recruitment and Informed Consent Procedures 
    [reviewer notes¬]  
Section 4 - Subject Recruitment and Informed Consent Procedures  
4.7 
Are you requesting a waiver to obtain informed consent or an alteration of the informed 
consent process for any of the following?  
   
* No  
   
4.7.1 
If Yes, select the reason(s) for your request: 
There are no items to display 
 
 
General Requirements: The Federal Policy [45 CFR 46.116 (d)] specifies in order for a 
waiver of consent to be approved, the request must meet four criteria. For each request, 
you will be asked to provide a justification addressing how each of these criterion is met. 
  
 
  
 
  
 
 
Medical record review for the identification of potential subjects: 
The research involves no more than minimal risk to the subjects; [45 CFR 46.116 (d)(1)] 
 
The waiver or alteration will not adversely affect the rights and welfare of the 
subjects;[45 CFR 46.116 (d)(2)] 
The research could not practicably be carried out without the waiver or alteration;[45 
CFR 46.116 (d)(3)] 
Whenever appropriate, the subjects will be provided with additional pertinent 
information after participation; [45 CFR 46.116 (d)(4)] 
  
 
  
 
  
 
Review of identifiable medical records:  [Note: A waiver of HIPAA Authorization must be 
requested (2.14.2)]  Include the approximate number of medical records and/or 
specimens that will be accessed and enter -1 in question 3.11 for the number of subjects 
to be enrolled. 
The research involves no more than minimal risk to the subjects;[45 CFR 46.116 (d)(1)] 
 

Section: Section 4 - Recruitment and Informed Consent Procedures 
The waiver or alteration will not adversely affect the rights and welfare of the 
subjects;[45 CFR 46.116 (d)(2)] 
The research could not practicably be carried out without the waiver or alteration;[45 
CFR 46.116 (d)(3)] 
Whenever appropriate, the subjects will be provided with additional pertinent 
information after participation.[45 CFR 46.116 (d)(4)] 
 
  
 
  
 
Parental Permission and/or Child Assent 
The research involves no more than minimal risk to the subjects;[45 CFR 46.116 (d)(1)] 
The waiver or alteration will not adversely affect the rights and welfare of the 
subjects;[45 CFR 46.116 (d)(2)] 
 
The research could not practicably be carried out without the waiver or alteration;[45 
CFR 46.116 (d)(3)] 
Whenever appropriate, the subjects will be provided with additional pertinent 
information after participation.[45 CFR 46.116 (d)(4)] 
 
  
 
  
 
Alteration of informed consent process 
The research involves no more than minimal risk to the subjects;[45 CFR 46.116 (d)(1)] 
The waiver or alteration will not adversely affect the rights and welfare of the 
subjects;[45 CFR 46.116 (d)(2)] 
The research could not practicably be carried out without the waiver or alteration;[45 
CFR 46.116 (d)(3)] 
aWhenever appropriate, the subjects will be provided with additional pertinent 
information after participation.[45 CFR 46.116 (d)(4)]. 
 
  
 
  
 
Other Minimal Risk activity 
 

Section: Section 4 - Recruitment and Informed Consent Procedures 
The research involves no more than minimal risk to the subjects;[45 CFR 46.116 (d)(1)] 
The waiver or alteration will not adversely affect the rights and welfare of the 
subjects;[45 CFR 46.116 (d)(2)] 
The research could not practicably be carried out without the waiver or alteration;[45 
CFR 46.116 (d)(3)] 
Whenever appropriate, the subjects will be provided with additional pertinent 
information after participation.[45 CFR 46.116 (d)(4)]. 
  
 
  
 
4.7.2 
Under what circumstances (if any) will you obtain consent from some of these subjects?  
  
 
    
    [reviewer notes¬]  
Section 4 - Subject Recruitment and Informed Consent Procedures 
4.8 
Are you requesting an exception to the requirement to obtain informed consent for 
research involving the evaluation of an 'emergency' procedure?Note: This 
exception allows research on life-threatening conditions for which available treatments 
are unproven or unsatisfactory and where it is not possible to obtain informed 
consent.*  No  
   
 
    [reviewer notes¬]    
Section 4 - Subject Recruitment and Informed Consent Procedures  
4.9 
Upload all consent documents for watermarking:Draft Consent Forms for editing: 
Name 
Modified Date 
RUBIN_AMP 30 ICF (Mod 23 11.7.2018) 11/8/2018 1:19 PM 
Approved Consent Form(s): 
Name 
Modified Date 
RUBIN_AMP 30 ICF (Mod 23 11.7.2018) 11/8/2018 1:20 PM 
 
   
      
 

Section: Section 4 - Recruitment and Informed Consent Procedures 
    [reviewer notes¬]  
Section 4 - Subject Recruitment and Informed Consent Procedures 
4.10 
Will all potential adult subjects be capable of providing direct consent for study 
participation? * Yes  
   
Indicate why direct consent is not possible: 
 
4.10.1 
Provide a justification for the inclusion of adult subjects who are unable to provide direct 
consent for study participation. 
 
4.10.2 
Specify the criteria used to determine that a potential adult subject is not able to provide 
direct consent for participation and identify who will be responsible for that 
determination. 
 
   
 
4.10.3 
Will you obtain the potential adult subject's assent for study participation? 
*  
 
 
If No, provide a justification for not obtaining assent: 
  
 
4.10.4 
Identify who will provide proxy consent for the participation of the decisionally impaired 
adult: 
    
    
    [reviewer notes¬]  
Section 4 - Subject Recruitment and Informed Consent Procedures 
4.11 
At what point will you obtain the informed consent of potential research subjects or their 
authorized representative?After performing certain of the screening procedures, but prior 
to performing any of the research interventions/interactions   
 
If Other, address below: 
 
4.11.1 
Address why you feel that it is acceptable to defer obtaining written informed consent 
until after the screening procedures have been performed.We have requested a waiver for 
telephone pre-screening for all potential subject who call in to the center inquiring to the 
study. This pre-screen phone script allows defers informed consent only for questions 
pertaining to minimal eligibility criteria. This eliminates an unnecessary trip for the 
  
 

Section: Section 4 - Recruitment and Informed Consent Procedures 
potential subject (many of whom are out of state) if they do not meet minimal eligibility 
criteria (examples 18 years of age or older, traumatic injury).  
4.11.2 
Taking into account the nature of the study and subject population, indicate how the 
research team will ensure that subjects have sufficient time to decide whether to 
participate in this study.  In addition, describe the steps that will be taken to minimize the 
possibility of coercion or undue influence. 
A screening visit will be scheduled during the telephone pre-screening conversation with 
the research coordinator and the potential subject. This screening visit will take place at 
UPMC Aesthetic Plastic Surgery Center located at 3380 Boulevard of the Allies, Suite 158, 
Pittsburgh Pa. 15213 and will include review of the informed consent. The study 
investigator or co-investigator will discuss with the subject the nature of the research 
study, design schema, the risks and benefits, cost and payments and rights as a research 
subject participant. The potential subject will review the informed consent document 
allowing ample time to review all information and ask questions. Should the potential 
subject wish to take the consent and review it outside of the office setting or discuss with 
other family, medical personnel he/she will be able to leave the office and return at a later 
date. The study investigator will provide the potential subject a private area to conduct 
this informed consent document review prior to signing the informed consent. After this 
detailed discussion of the study and conclusion of any and all questions, the study 
investigator, who is a physician, will obtain informed consent. The research coordinator 
will document the consenting process into the research chart and prior to beginning any 
research activities provide a copy of the fully executed informed consent document to the 
subject for his or her records. No research related procedures will be performed before 
the informed consent has been obtained.  
 
    
    [reviewer notes¬]  
Section 4 - Subject Recruitment and Informed Consent Procedures  
4.12 
Describe the process that you will employ to ensure the subjects are fully informed 
about this research study. *  Addressed below: This description must include the following 
elements:  
who from the research team will be involved in the consent process (both the discussion 
and documentation);  
person who will provide consent or permission;   
information communicated; and  
   
 

Section: Section 4 - Recruitment and Informed Consent Procedures 
any waiting period between informing the prospective participant about the study and 
obtaining consent 
In addition, address the following if applicable based on your subject population: 
process for child assent and parental permission  
continued participation if a child subject turns 18 during participation 
process for obtaining proxy consent and assent for decisionally impaired subjects  
continued participation if subject regains capacity to consent 
The study investigator or co-investigator will discuss with the subject the nature of the 
research study, design schema, the risks and benefits, cost and payments and their rights 
as a research subject. The potential subject will review the informed consent document 
allowing ample time to review all information and ask questions. The study investigator 
will provide the potential subject a private area to conduct this study document review 
prior to signing the informed consent. After this detailed discussion of the study and 
conclusion of any questions, the study investigator, who is a physician, will obtain 
informed consent. The research coordinator will document the consenting process and 
prior to beginning any research activities provide a copy of the fully executed informed 
consent document to the subject for his or her records. If a re-consenting process is 
required based on regulatory guidance, the subject will be re-consented at their next 
scheduled visit or at an interim visit determined to be necessary for subject safety. The 
research member will highlight all changes with the subject while providing opportunity 
for the subject to review these changes at their leisure and make an informed decision to 
continue or discontinue study participation based on these changes  
4.13 
Are you requesting an exception to either IRB policy related to the informed consent 
process? 
For studies involving a drug, device or surgical procedures, a licensed physician who is 
a listed investigator is required to obtain the written informed consent unless an 
exception to this policy has been approved by the IRB  
For all other studies, a listed investigator is required to obtain consent (Note: In order to 
request an exception to this policy, the study must be minimal risk) 
*  No  
If Yes, provide a justification and describe the qualifications of the individual who will 
obtain consent:  
   
 

Section: Section 4 - Recruitment and Informed Consent Procedures 
4.14 
Will you inform research subjects about the outcome of this research study following its 
completion?*  No  If Yes, describe the process to inform subjects of the results: 
 
 
Section: Section 5 - Potential Risks and Benefits 
    [reviewer notes¬]  
Section 5 - Potential Risks and Benefits of Study Participation 
5.1 
Describe potential risks (physical, psychological, social, legal, economic or 
other) associated with screening procedures, research interventions/interactions, and 
follow-up/monitoring procedures performed specifically for this study: *   
View 
Research Activity:  Chest X-ray  
Common Risks:  
The chest x-ray is one of the lowest radiation exposure 
medical examinations performed today. The effective 
radiation dose from this procedure is about 0.1 mSv, which 
is about the same as the average person receives from 
background radiation in 10 days.  
Infrequent Risks:  
No Value Entered  
Other Risks:  
No Value Entered  
 
 
View 
Research Activity:  Clinical Interview (SCID)and psychosocial evaluations  
Common Risks:  
A feeling of emotional discomfort for the participant while 
answering questions during the interview process or when 
answering the psychological questionairres  
Infrequent Risks:  
No Value Entered  
Other Risks:  
No Value Entered  
View 
Research Activity:  Core Needle Biopsy  
Common Risks:  
Bleeding: It is possible, though unusual to experience a 
bleeding episode during or after this procedure. Bruising 
  
 

Section: Section 5 - Potential Risks and Benefits 
may result after the biopsy due to capillary interruption, 
Redness, swelling, pain may result from the biopsy site.  
Infrequent Risks:  
In rare cases: Infection is unusual after this biopsy 
procedure, should infection occur, additional treatment 
including antibiotics or surgery may result. Scar: the skin 
when healing occurs at the biopsy area may result in 
scarring.  
Other Risks:  
Risk of nerve or vessel damage, due to alterations in the 
anatomy of this type of injury, reaction Lidocaine injected 
locally for the biopsy.   
View 
Research Activity:  CT Scans  
Common Risks:  
No Value Entered  
Infrequent Risks:  
No Value Entered  
Other Risks:  
This study will involve exposure to radiation. The amount of 
radiation exposure that each patient will receive will be 
about 1.3 rem per scan (a total of 5.2 rem) with minimum 
exposure of other areas of the body. There is no minimum 
amount of radiation exposure that is recognized as being 
totally free of the risk of causing genetic mutations or 
cancer. However, the risk associated with the amount of 
radiation exposure is felt to be low and comparable to 
everyday risks.  
 
View 
Research Activity:  Electrocardiogram (EKG)-  
Common Risks:  
Irritation or redness at the sites of electrode patch 
placement. EKG is performed as necessary for preoperative 
screening, based upon medical history and UPMC anesthesia 
guidelines  
Infrequent Risks:  
No Value Entered  
Other Risks:  
No Value Entered  

Section: Section 5 - Potential Risks and Benefits 
View 
Research Activity:  Medical Record Review   
Common Risks:  
No Value Entered  
Infrequent Risks:  
Participation in this research study does involve the 
potential risks of a breach of confidentiality of the medical 
record information and associated privacy of the 
participants. The study investigators will take steps to 
reduce these risks by: 1) removing direct participant 
identifiers (i.e., names, social security numbers, medical 
record numbers) from information stored in the study 
records; 2) securing, in a separate location, and limiting 
access to information linking codes assigned to the study 
record information with direct participant identifiers; and 3) 
limiting access to information contained within the study 
records to study investigators only.  
Other Risks:  
No Value Entered  
View 
Research Activity:  MRI  
Common Risks:  
No Value Entered  
Infrequent Risks:  
No Value Entered  
Other Risks:  
MRI uses a strong magnetic field and there is a risk of the 
scanner attracting metallic objects. Certain conditions will 
exclude you from having a MR study, including the presence 
or suspected presence of a heart pacemaker, aneurysm clip, 
ear implant, IUD, shrapnel or metallic fragments in or on the 
body or eyes, neuro-stimulators, or other metal devices. 
Dental fillings do not present a problem with MRI. No other 
serious effects have been reported from being in the 1.5 
Tesla magnet, although vertigo (e.g., dizziness and nausea) 
has been reported at higher field strengths. To minimize 
these risks, you will be carefully screened for metallic 
objects that are in your body or your possession before 
entering the magnet room. The MRI and CT scans require 
you to lay still or flat in a small confined space for period of 
time, you may experience a feeling of becoming closed in or 

Section: Section 5 - Potential Risks and Benefits 
uncomfortable (claustrophobic). Should this experience 
occur you can immediately contact the technician and stop 
the procedure.  
View 
Research Activity:  Photographs  
Common Risks:  
There may be feelings of embarrassment during the 
photographs  
Infrequent Risks:  
Loss of Confidentiality  
Other Risks:  
No Value Entered  
View 
Research Activity:  Prosthetic, Orthotic, and occupational therapy evaluations  
Common Risks:  
No Value Entered  
Infrequent Risks:  
During evaluation process, there is a risk that the patient 
may experience mild muscle discomfort/ pain, or muscle 
strain. These risks will be minimized by providing detailed 
explanations of the assessment technique prior to 
evaluation, allowing all evaluation activities to be stopped at 
any time. Subjects will be informed that they will need to 
communicate any discomfort that they experience during 
these evaluation sessions.  
Other Risks:  
No Value Entered  
View 
Research Activity:  Risk of Breach of Confidentiality   
Common Risks:  
No Value Entered  
Infrequent Risks:  
No Value Entered  
Other Risks:  
Participation in this research study does involve the 
potential risks of a breach of confidentiality of the medical 
record information and associated privacy of the 
participants. The study investigators will take steps to 
reduce these risks by: 1) removing direct participant 

Section: Section 5 - Potential Risks and Benefits 
identifiers (i.e., names, social security numbers, medical 
record numbers) from information stored in the study 
records; 2) securing, in a separate location, and limiting 
access to information linking codes assigned to the study 
record information with direct participant identifiers; and 3) 
limiting access to information contained within the study 
records to study investigators only.   
View 
Research Activity:  Surgical Anesthesia   
Common Risks:  
General anesthesia affects the whole body; it is more likely 
to cause side effects than local or regional anesthesia. 
Nausea, vomiting side effects of general anesthesia are 
minor and can be easily managed  
Infrequent Risks:  
Aspiration during anesthesia and surgery is very uncommon. 
General anesthesia suppresses the normal throat reflexes 
that prevent aspiration, such as swallowing, coughing, or 
gagging. Insertion or removal of airways may cause 
respiratory problems such as coughing; gagging; or muscle 
spasms in the voice box, or larynx (laryngospasm), or in the 
bronchial tubes in the lungs (bronchospasm). Insertion of 
airways also may cause an increase in blood pressure 
(hypertension) and heart rate (tachycardia). Other 
complications may include damage to teeth and lips, 
swelling in the larynx, sore throat, and hoarseness or 
temporary or permanent vocal cord damage caused by 
injury or irritation of the larynx. Although all types of 
anesthesia involve some risk, major side effects and 
complications from anesthesia are uncommon. Some people 
who are going to have general anesthesia express concern 
that they will not be completely unconscious but will "wake 
up" and have some awareness during the surgical 
procedure. Awareness during general anesthesia is very rare 
because anesthesia specialists devote careful attention and 
use many methods to prevent this. A rare, potentially fatal 
condition called malignant hyperthermia (MH) may be 
triggered by some anesthetics. The anesthetics most 
commonly associated with malignant hyperthermia include 
the inhalation anesthetics and the muscle relaxant 

Section: Section 5 - Potential Risks and Benefits 
medicines. Other serious risks of General anesthesia: These 
include changes in blood pressure or heart rate or rhythm, 
heart attack, or stroke. Death or serious illness or injury due 
solely to anesthesia is rare and is usually also related to 
complications from the surgery. Death occurs in about 1 in 
250,000 people receiving general anesthesia, although risks 
are greater for those people with serious medical 
conditions.  
Other Risks:  
No Value Entered  
View 
Research Activity:  Surgical Fat Grafting procedure   
Common Risks:  
Change in appearance: Volume over-correction or under-
correction of treated area may cause an undesirable 
appearance. Bruising and swelling may occur secondary to 
the manipulation of the instruments used to remove and 
place fat during the liposuction and fat grafting procedures. 
Skin Contour: While most transferred fat results in a natural 
feel, it is possible that some or all of the fat may become 
firm, hard or lumpy. If some of the fat does not survive the 
transfer it may result in fat necrosis (fat tissue death) 
causing firmness in the tissue. Oil cysts may also form at the 
site of the transferred fat. In addition to changes due to 
trauma, factors such as skin tone, fat deposits, bony 
prominences, and muscle tone may contribute to 
asymmetry in amputation stump. Pain: may occur after fat 
removal or grafting and is expected to resolve within the 
immediate post operative period.  
Infrequent Risks:  
Bleeding: It is possible, though unusual to experience a 
bleeding episode during or after this procedure. Should 
bleeding occur, it may require emergency treatment to drain 
accumulated blood (hematoma). Scarring: All invasive 
procedures produce scars, some more visible than others. 
Abnormal scars may occur both within the skin and within 
the deeper tissues. Scars may be unattractive and of 
different color than the surrounding skin. There is the 
possibility of visible marks from sutures used to close the 
wound. Additional treatment including surgery may be 

Section: Section 5 - Potential Risks and Benefits 
needed to treat scarring. Seroma: Although unlikely, a 
collection of fluid may appear at the site where the fat was 
removed. This is usually treated by draining the fluid with a 
needle. Infection: risk of infection may occur secondary to 
the multiple small incisions from the liposuction procedure. 
Infection is unusual after this procedure. Should infection 
occur, additional treatment including antibiotics or surgery 
may be necessary. Long term effect: subsequent changes in 
the shape or appearance of the area were the fat was 
removed or placed may occur as a result of aging, weight 
loss or gain, or other circumstances not related to the Fat 
grafting procedure. Chronic pain may occur rarely after fat 
removal or grafting. Unsatisfactory result: There is a 
possibility of unsatisfactory result from the procedure 
resulting in unacceptable visible deformities, loss of 
function, wound disruption, healing problems, and loss of 
sensation. Allergic reaction: In rare cases local allergies to 
tape, suture material, or topical preparations have been 
reported. Systemic reactions, which are more serious, may 
result from drugs used during the procedure. This is an 
extremely rare occurrence. Damage to deeper structures: 
Deeper structures such as nerves, blood vessels and muscles 
may be damaged during the course of this procedure. The 
injury to deeper structures may be temporary or permanent. 
Serious complications may include blood clots, partial 
collapse of lungs, pulmonary embolism, fat embolism, 
stroke, infection. Serious complications after fat grafting are 
rare such as blindness loss of vision, and/or death.  
Other Risks:  
Scarring: All invasive procedures produce scars, some more 
visible than others. although good wound healing after a 
procedure is expected, abnormal scars may occur both 
within the skin and within the deeper tissues. Scars may be 
unattractive and of different color than the surrounding skin. 
There is the possibility of visible marks from sutures used to 
close the wound. Scars may also limit motion and function. 
Additional treatment including surgery may be needed to 
treat scarring. Long term effect: subsequent changes in the 
shape or appearance of the area were the fat was removed 
or placed may occur as a result of aging, weight loss or gain, 
or other circumstances not related to the Fat grafting 

Section: Section 5 - Potential Risks and Benefits 
procedure. Unsatisfactory result: There is a possibility of 
unsatisfactory result from the procedure resulting in 
unacceptable visible deformities, loss of function, wound 
disruption, healing problems, and loss of sensation. Allergic 
reaction: In rare cases local allergies to tape, suture material, 
or topical preparations have been reported. Systemic 
reactions, which are more serious, may result from drugs 
used during the procedure. Enriched Grafting Procedure: 
Subject randomized to the enriched fat grafting procedure 
will undergo additional operating time of up to 30 minutes  
View 
Research Activity:  Venipuncture  
Common Risks:  
mild pain and discomfort at the injection or needle insertion 
site as well as possible infection, bleeding, bruising and 
soreness.  
Infrequent Risks:  
severe pain; swelling; possibly an infection from the actual 
injection; fainting.  
Other Risks:  
No Value Entered  
 
There are no items to display 
  
5.1.1 
Describe the steps that will be taken to prevent or to minimize the severity of the 
potential risks: SCREENING PROCEDURES:For online screening via TrialSpark, data 
provided as part of the screening process are encrypted by Secure Socket Layer (SSL) 
software and stored in a secure database server.Subject will be in a private room for all 
research procedures and during the consenting process steps will be taken to maintain to 
protect the potential subject's PHI. All Study materials will be assigned a study ID code. No 
personal information will be on said study materials. All information obtained for the 
purpose of this clinical trial will be de-identified and will be assigned a study ID code. All 
paper files will be in a locked file cabinet within the Department of Plastic and 
Reconstructive Surgery offices. All computer based files will be encrypted and encoded for 
password protection. All research staff are trained in research conduct and compliance 
having completed all required research modules and have education in Good Clinical 
Practice in research. The Laboratory technicians and CT technicians are well-versed in the 
risks of their practice and thoroughly address the subject prior to each exam, inclusive of 
the risks of venipuncture procedure and risks of exposure to radiation. All exams will be 
   
 

Section: Section 5 - Potential Risks and Benefits 
terminated should the subject expresses any concerns issues or discomfort. 
EXPERIMENTAL PROCEDURES AND FOLLOW UP PROCEDURES:The plastic surgeons 
performing the fat graft procedures are highly trained and skilled with years of experience 
in fat grafting procedures. The anesthesiologists are highly trained. All research staff are 
trained in research conduct and compliance having completed all required research 
modules and have education in Good Clinical Practice in research. All research staff are 
trained in the use of the 2D cameras. The pictures will be taken in a timely manner so as 
not to prolong any possible discomfort for the subject. Also, the photographs will be de-
identified and labeled with subject ID only. The photographs will be located within a 
secure database within a locked office.In addition to our screening and subsequent 
pregnancy tests, the CT technicians are well-versed in the risks and thoroughly question 
the subject prior to each exam, including excess exposure to radiation. All exams will be 
terminated as soon as the subject expresses any discomfort. The psychosocial and SCID 
evaluations will be conducted by the research technician. A clinically significant symptom 
elevation or increase on these measures will direct the technician to contact the clinical 
psychologist on the team (Dr. Haas) who will visit with the patient on-site to ascertain 
need for further evaluation and possible referral for mental health support services. The 
occupational therapists, and prosthetics team in this study are highly trained and skilled in 
their evaluations. They will use the tools and tests they deem appropriate for a patient. 
They will assess what a patient is capable of, what tests the patient can/can't perform 
adequately, and when to stop a test that a patient appears unable to perform  
5.2 
What steps will be taken in the event that a clinically significant, unexpected disease or 
condition is identified during the conduct of the study?*  Addressed below:  
Upon discovery the PI and/or co-investigator will notify the subject of any event that could 
be of clinical significance needing further evaluation, or of a diagnosis of any unexpected 
disease or condition that occurred during the conduct of the study's research procedures. 
The study investigator will at the time of discovering the event contact the referring 
physician or primary physician for further evaluation of the event. Should the event be of 
a critical nature needing immediate intervention, the study investigator or co-investigator 
will proceed with immediate clinical intervention and screening procedures will be 
concluded. HO is not grounds for exclusion and we wish to be able to study subjects with 
Heterotopic Ossification (HO). HO is prevalent in extremity amputation wounds in military 
trauma.ii. If HO is present, we will ascertain that HO remains stable and does continue to 
increase in volume, as documented by CT imaging of stabilization. iii. Medical 
management will be instituted with NSAIDS as indicated and appropriate for the patient. 
iv. We will then determine if the HO is the primary source of pain, or causing erosion of 
skin on physical exam. Fat grafting over the HO will be performed as part of study 
provided that: HO is ruled out as primary source of pain through clinical exam, and HO is 
deeper and not eroding through skin, allowing adequate fat coverage. v. It is anticipated 
that adding more soft tissue coverage over HO will be beneficial. vi. If elective excision of 
 

Section: Section 5 - Potential Risks and Benefits 
HO is required, that procedure will be performed in the first stage with 3 month recovery 
period before fat grafting.  
5.3 
All the risk questions (screening, intervention/interaction, follow-up) have been merged 
into one question (5.1). 
  
 
    [reviewer notes¬]  
Section 5 - Potential Risks and Benefits of Study Participation 
5.4 
Do any of the research procedures pose a physical or clinically significant psychological risk 
to women who are or may be pregnant or to a fetus?* Yes  
 
5.4.1 
List the research procedures that pose a risk to pregnant women or fetuses: 
CT Scans, Surgery and Anesthesia for the fat graft surgery 
 
5.4.2 
Describe the steps that will be taken to rule out pregnancy prior to exposing women of 
child-bearing potential to the research procedures that pose a risk to pregnant women or 
fetuses: 
All participants who are women of child bearing potential will receive a urine pregnancy 
dip test at screening and prior to any CT scans and surgical procedure. Subjects who are 
WOCBP during participation in this clinical trial will be counseled on the risks of pregnancy 
and importance of avoiding pregnancy while enrolled in this study; pregnancy will result in 
their removal from the clinical trial.  
 
5.4.3 
Describe the measures to prevent pregnancy, and their required duration of use, that will 
be discussed with women of child-bearing potential during and following exposure to 
research procedures: 
All participants who are women of child bearing potential will receive a urine pregnancy 
dip test at screening and prior to any CT scans and surgical procedure. Furthermore, 
patients will be counseled on the risks of pregnancy and importance of avoiding pregnancy 
while enrolled in this study and that pregnancy will result in their removal from the clinical 
trial 
 
    
    [reviewer notes¬]  
Section 5 - Potential Risks and Benefits of Study Participation 

Section: Section 5 - Potential Risks and Benefits 
5.5 
Do any of the research procedures pose a potential risk of causing genetic mutations that could 
lead to birth defects?*  No  
 
5.5.1 List the research procedures that pose a potential risk of genetic mutations/birth defects: 
  
 
5.5.2 Describe the measures to prevent pregnancy, and their required duration of 
use, in female subjects and female partners of male subjects during and following exposure to 
research procedures:  
   
 
    
    [reviewer notes¬]  
Section 5 - Potential Risks and Benefits of Study Participation 
5.6 
Are there any alternative procedures or courses of treatment which may be of benefit to 
the subject if they choose not to participate in this study?*  Yes - Describe below:  
If Yes, describe in detail:Alternative treatments include prosthetic implants and standard 
surgical flap reconstruction/revision surgery.  
  
   
    [reviewer notes¬]  
Section 5 - Potential Risks and Benefits of Study Participation  
5.7 
Describe the specific endpoints (e.g., adverse reactions/events, failure to demonstrate 
effectiveness, disease progression) or other circumstances (e.g., subject's failure to follow 
study procedures) that will result in discontinuing a subject’s participation?*  Describe 
below:  
Development of complications (e.g., adverse reactions/events, failure to demonstrate 
effectiveness, disease progression and severe infection at the surgery site) or other 
circumstances (e.g., subject's failure to follow study procedures, noncompliance of all 
research visits) that obscure the ability to evaluate the results of the implant will result in 
discontinuing a subject’s participation. All data regarding complications will be captured 
and adverse event reporting will be conducted through all the appropriate and required 
regulatory channels inclusive of any and all treatment required and medical course 
following complication. In every case in which it is possible to do functional evaluation, 
regardless of complications, the intended outcomes will be measured.   
 
    [reviewer notes¬]  
Section 5 - Potential Risks and Benefits of Study Participation 

Section: Section 5 - Potential Risks and Benefits 
5.8 
Will any individuals other than the investigators/research staff involved in the conduct of 
this research study and authorized representatives of the University Research Conduct 
and Compliance Office (RCCO) be permitted access to research data/documents 
(including medical record information) associated with the conduct of this research 
study?*  Yes  
    
 
5.8.1 
Identify the 'external' persons or entity who may have access to research 
data/documents and the purpose of this access: 
FDA, Department of Defense and their contracted entities will review and/or obtain 
identifiable information; which may include the subject’s identifiable medical information 
related to participation in this research study for the purpose of monitoring the accuracy 
and completeness of the research data and for preparing required scientific analyses of 
the research data. Authorized representatives of the UPMC hospitals or other affiliated 
health care providers may have access to identifiable information (which may include 
subject’s identifiable medical information) related to their participation in this research 
study for the purpose of (1) fulfilling orders, made by investigators, for hospital and 
health care services (e.g. laboratory tests) associated with this research study 
participation, (2) addressing correct payment for tests and procedures ordered by the 
investigators, and/or (3) for internal hospital operations (i.e. quality assurance).This 
research study will result in identifiable information that will be placed into the subject's 
medical records held at UPMC. The nature of the identifiable information resulting from 
the subject's participation in this research study that will be recorded in their medical 
record will be derived from the medical/surgical (fat grafting procedure). Psychiatric 
interview information will be entered into the medical record only if it is important to 
ensure the subject's medical/physical safety. In unusual cases, the investigators may be 
required to release identifiable information (which may include subject identifiable 
medical information) related to their participation in this research study in response to an 
order from a court of law. If the investigators learn that the subject or someone with 
whom the subject are involved is in serious danger or potential harm, they will need to 
inform, as required by Pennsylvania law, the appropriate agencies. 
  
 
5.8.2 
Will these 'external' persons or entity have access to identifiable research 
data/documents? 
*Yes - Describe below:  
  
 
If Yes, describe how they will protect the confidentiality of the research data:While the 
study funding source, Department of Defense (DOD), FDA and contracted entities 
understands the importance of maintaining the confidentiality of the identifiable research 
and medical information, the UPMC and the University of Pittsburgh cannot guarantee 
the confidentiality of this information after it has been obtained by these sources. Data 
 

Section: Section 5 - Potential Risks and Benefits 
and samples resulting from this research study may be shared with other investigators in 
the future, and all information will be de-identified prior to the sharing of this 
information.  
5.9 
Has or will a Federal Certificate of Confidentiality be obtained for this research study? 
*  No  
   
 
5.10 
Question has been moved to 5.17 
 
5.11 
Question has been moved to 5.16 
 
    
    [reviewer notes¬]  
 
Section 5 - Potential Risks and Benefits of Study Participation 
5.12 
Does participation in this research study offer the potential for direct benefit to the 
research subjects?Yes - Describe the direct benefit that subjects may receive as a result of 
study participation. Indicate if all, or only certain, of the subjects may derive this potential 
benefit.  Describe the benefit:Fat grafting procedures performed for clinical purposes have 
been associated with positive results in improving the appearance of patients; it is also 
anticipated to improve pain related to inadequate soft tissue overage. In this case, 
subjects are likely to have a visible improvement in their limb deformities, with the 
potential of improved prosthetic fit and comfort, resulting in improved mobility. 
Additionally, these improvements may have a positive impact on quality of life, as 
assessed by the instruments used in this study.Although we can not guarantee a positive 
outcome from this research fat grafting procedure, there may be a direct benefit to the 
research subject from his/her participation in this research study. In addition, this 
research may provide a greater understanding of the effects of fat grafting over time. 
  
 
5.13 
Describe the data and safety monitoring plan associated with this study. If the research 
study involves multiple sites, the plan must address both a local and central review 
process.Data Safety Monitoring PlanThe Data Safety and Monitoring Plan for this trial will 
consist of two parts. A Local Data and Safety Monitoring Plan will be implemented by the 
Principal Investigator to ensure that there are no changes in the risk/benefit ratio during 
the course of the study and that confidentiality of research data is maintained. This DSMB 
will consist of the PI, Co-Investigators and study personnel who will meet and discuss 
monthly the study (e.g., study goals and modifications of those goals; subject recruitment 
and retention; progress in data coding and analysis; documentation, identification of 
adverse events or research subject complaints; violations of confidentiality) and address 
 
   
  
 

Section: Section 5 - Potential Risks and Benefits 
any issues or concerns at that time. Minutes will be kept for these meetings and will be 
maintained in the study DSMB binder. Any instances of adverse events will be reported 
immediately to the University of Pittsburgh IRB in accordance with the guidance on the 
IRB website. The annual IRB renewal for this study will include a summary report of the 
Data and Safety Monitoring Plan findings from the study for the prior year. We will include 
the following information at the time of the IRB renewal regarding the frequency of the 
monitoring, the dates that the monthly meetings took place, a summary of the cumulative 
adverse events, external factors or relevant information that might have an impact on the 
safety or ethics of the study, and final conclusions regarding changes to the anticipated 
risk/benefit ratio to study participation and final recommendations related to the 
continuation, changing, or termination of the study. The protocol will be not be initiated 
until written notification of approval of the research project is issued by the HRPO. A copy 
of the approved continuing review report and the local IRB approval notification will be 
submitted to the USAMRMC ORP HRPO as soon as these documents become available. A 
copy of the approved final study report and local IRB approval notification will be 
submitted to the USAMRMC ORP HRPO as soon as these documents become available. 
Substantive modifications to the research protocol and any modifications that could 
potentially increase risk to subjects must be submitted to the HRPO for approval prior to 
implementation. The USAMRMC ORP HRPO defines a substantive modification as a 
change in Principal Investigator, change or addition of an institution, elimination or 
alteration of the consent process, change to the study population that has regulatory 
implications (e.g. adding children, adding active duty population, etc.), significant change 
in study design (i.e. would prompt additional scientific review), or a change that could 
potentially increase risks to subjects. All other amendments must be submitted with the 
continuing review report.All unanticipated problems involving risk to subjects or others 
must be promptly reported by phone (301-619-2165), by email (HRPO@amedd.army.mil), 
or by facsimile (301-619-7803) to the HRPO. A complete written report will follow the 
initial notification. In addition to the methods above, the complete report can be sent to 
the US Army Medical Research and Materiel Command, ATTN: MCMR-RP, 504 Scott Street 
Fort Detrick, Maryland 21702-5012 Suspensions, clinical holds (voluntary or involuntary), 
or terminations of this research by the IRB, the institution, the sponsor, or regulatory 
agencies will be promptly reported to the USAMRMC ORP HRPO.A copy of the continuing 
review report and the re-approval notification by the UP IRB must be submitted to the 
HRPO as soon as possible after receipt of approval. Please note that the HRPO also 
conducts random audits at the time of continuing review and additional information and 
documentation may be requested at that time.The final study report submitted to the UP 
IRB, including a copy of any acknowledgement documentation and any supporting 
documents must be submitted to the HRPO as soon as all documents become 
available.The knowledge of any pending compliance inspection/visit by the Food and Drug 
Administration (FDA), Office for Human Research Protections, or other government 
agency concerning this research; the issuance of inspection reports, FDA Form 483, 
warning letters, or actions taken by any regulatory agencies including legal or medical 

Section: Section 5 - Potential Risks and Benefits 
actions; and any instances of serious or continuing noncompliance with the regulations or 
requirements must be reported immediately to the HRPO.Accurate and complete study 
records will be maintained and made available to representatives of the USAMRMC as a 
part of their responsibility to protect human subjects in research. All research records are 
stored in a confidential manner so as to protect the confidentiality of subject 
information.Per DoD Directive 3216.02, all greater than minimal risk studies require a 
Medical Monitor. The USAMRMC ORP HRPO also reserves the authority to require 
assignment of a Medical Monitor for those protocols assessed as presenting no greater 
than minimal risk to the subjects participating in the study. The second part of the DSMP 
will be the inclusion of an Independent Data Safety Monitoring Board (IDSMB). This IDSMB 
will convene once a year or as needed for review of all unanticipated events, adverse 
events, and serious adverse events affecting the risk to the human subject or others. The 
members of the IDSMB include Drs. Ernest Manders and James Russavage who are all 
present faculty members within the Department of Plastic Surgery at the University of 
Pittsburgh, without any involvement in this research protocol, they are not under the 
supervision of the PI or have a conflict of interest. Dr Manders, a member of the 
Independent Data Safety and Monitoring Board (IDSMB) will act as the Research Monitor 
for this study; he is available on site to respond to any urgent or emergency situations that 
may arise during the study and to serve as the subject advocate. The Research Monitor is 
required to review all unanticipated problems involving risk to subjects or others, serious 
adverse events and all subject deaths associated with the protocol and provide an 
unbiased written report of the event. At a minimum, the Research Monitor must 
comment on the outcomes of the event or problem and in case of a serious adverse event 
or death, comment on the relationship to participation in the study. The Research Monitor 
must also indicate whether he/she concurs with the details of the report provided by the 
principal investigator. The Medical Monitor has the authority to stop the research at any 
time; he /she can remove individuals from the study, and take any steps necessary to 
protect the safety and well being of participants until the IRB has time to assess the study. 
This IDSMB will evaluate any adverse events and research staff adherence to subject 
confidentiality and de-identification processes. The IDSMB members will discuss, if 
necessary, any changes to the risk/benefit ratio of this study for the PI’s report to the local 
IRB of all reporting adverse events, external factors or relevant information that might 
have an impact on the safety or ethics of the study, and final conclusions regarding 
changes to the anticipated risk/benefit ratio to study participation and final 
recommendations related to the continuation, changing, or termination of the study as 
outlined by the University of Pittsburgh IRB. 
    [reviewer notes¬]  
 
Section 5 - Potential Risks and Benefits of Study Participation 

Section: Section 5 - Potential Risks and Benefits 
5.14 What precautions will be used to ensure subject privacy is respected? (e.g. the research 
intervention will be conducted in a private room; the collection of sensitive information about 
subjects is limited to the amount necessary to achieve the aims of the research, so that no 
unneeded sensitive information is being collected, drapes or other barriers will be used for 
subjects who are required to disrobe) 
 All aspects of the study will be performed in a private room, including the consenting process, 
exams, urine pregnancy testing, questionnaires, photographs, CT scan, laboratory blood draw 
and the fat grafting procedure. The collection of sensitive information about subjects is limited to 
the amount necessary to achieve the aims of the research, so that no unneeded sensitive 
information is being collected, drapes or other barriers will be used for subjects who are required 
to disrobe.  
 
   
 
5.15 What precautions will be used to maintain the confidentiality of identifiable information? (e.g., 
paper-based records will be kept in a secure location and only be accessible to personnel 
involved in the study, computer-based files will only be made available to personnel involved in 
the study through the use of access privileges and passwords, prior to access to any study-related 
information, personnel will be required to sign statements agreeing to protect the security and 
confidentiality of identifiable information, whenever feasible, identifiers will be removed from 
study-related information, precautions are in place to ensure the data is secure by using 
passwords and encryption, because the research involves web-based surveys, audio and/or video 
recordings of subjects will be transcribed and then destroyed to eliminate audible identification 
of subjects) 
 Participation in this research study does involve the potential risks of a breach of confidentiality 
of the medical record information and associated privacy of the participants. The study 
investigators will take steps to reduce these risks by: 1) removing direct participant identifiers 
(i.e., names, social security numbers, medical record numbers) from information stored in the 
study records; 2) securing, in a separate location, and limiting access to information linking codes 
assigned to the study record information with direct participant identifiers; and 3) limiting access 
to information contained within the study records to study investigators only. Paper-based 
records will be kept in a secure location and only be accessible to personnel involved in the 
study, computer-based files will only be made available to personnel involved in the study 
through the use of access privileges and passwords, prior to access to any study-related 
information, whenever feasible, identifiers will be removed from study-related information, 
precautions are in place to ensure the data is secure by using password restricted and folder level 
access by permission only on UPMC servers.Reference to sample: All research samples will be 
stored to include assigned code numbers, and any information linking these code numbers to the 
corresponding subjects’ identities will be kept in a separate, secure location located in the 
security manned Biomedical Science Tower at the University of Pittsburgh, Should the subject 
decide to withdraw or be withdrawn from study participation, the already collected samples will 
then be rendered anonymous, i.e., the link between the code and the identity will be destroyed. 
  
  
  
  
   
 

Section: Section 5 - Potential Risks and Benefits 
If the subject requests that the samples be destroyed and the link to the samples has not yet 
been rendered anonymous, we will destroy the samples. However if link to the samples were 
already rendered anonymous prior to the subject's request, we will not be able to identify the 
subject's samples making it impossible to destroy them. It is the Principal Investigator’s intention 
to make subject de-identified information available to secondary investigators after all research 
study testing has been completed. These associated subject information will not include subject 
identifiers.The photographs will be housed as electronic files within the Canfield camera system. 
The system is password protected and is located within the locked offices of the Aesthetic Plastic 
Surgery Center located at 3380 Boulevard of the Allies, suite 180 Pittsburgh pa 15213. While the 
photographs will be labeled with an ID code, there is a risk of loss of confidentiality. Digital 
recording (i.e. photography or video) are being collected from any and all portions of the 
subject’s pre-operative, operative, and post-operative course of treatment. These may include, 
but not be limited to, videos of personal interviews, functional assessment testing and clinical 
exams or photos of follow up clinical course, biopsies, etc. and will be de-identified and stored 
indefinitely in a secure password protected location on the UPMC server. These digital recordings 
and/or photos may be used for medical education and training, publication, and media reports – 
and, in any mode of transmission, including and not limited to: print, e-mail, television, internet, 
etc. While photograph will be de-identified, video recordings will remain identifiable. Regarding 
the use of these digital recordings for education, training, publication and storage purposes, the 
subject will not be identified by name, only by a unique code number. The subject’s identifiable 
features in these photographs will be blacked out (i.e., eyes, facial features, etc.). Regarding the 
use of the subjects digital recordings for media purposes, the subject may be identified by name, 
but permission from the subject will be obtained in a separate consent document prior to the 
recordings being obtained (Media consent). The subjects are not required to give this permission 
and can refuse at any time after giving consent to these digital recordings being obtained and can 
still participate in this study without permitting these recordings. All data entered on TrialSpark 
as part of the registration process (e.g., email address, personal information) is subject to 
TrialSpark’s extensive security protocol. Study-specific information, including data acquired 
during the study, may be accessed by engineers on an as needed basis to troubleshoot a 
technical issue (duplicate registrations, error in date entry format). TrialSpark maintains a 
protective privacy policy in reference to e-mail addresses, personal information, and any 
additional data entered on TrialSpark. TrialSpark does not sell or make available specific 
information about clients or their data with third-parties. The Secure Socket Layer (SSL) software, 
which encrypts all inputted information, keeps the information private. TrialSpark backend 
servers are stored at secure data centers. TrialSpark complies with the U.S. and E.U. Safe Harbor 
Framework and the U.S. and Swiss Safe Harbor Framework, expounded upon by the U.S. 
Department of Commerce. Further, TrialSpark complies with the Safe Harbor Privacy Principles of 
notice, choice, onward transfer, security, data integrity, access, and enforcement. All of the 
information collected is stored in a HIPAA compliant database with additional encryption, virtual, 
and physical safeguards. Data is encrypted at transfer and at rest.  

Section: Section 5 - Potential Risks and Benefits 
5.16 If the subject withdraws from the study, describe what, if anything, will happen to the subject’s 
research data or biological specimens. 
Any identifiable research or medical information recorded for, or resulting from, a subject's 
participation in this research study prior to the date that the subject formally withdrew his/her 
consent will continue to be used and disclosed by the investigators for the purposes described 
above. All research samples will be stored to include assigned code numbers, and any 
information linking these code numbers to the corresponding subjects’ identities will be kept in a 
separate, secure location located in the Department of Plastic Surgery at the University of 
Pittsburgh. Should the subject decide to withdraw or be withdrawn from study participation, the 
already collected samples and all digital recordings will be kept and will be rendered anonymous, 
i.e., the link between the code and the identity will be destroyed. If the subject requests that the 
samples be destroyed and the link to the samples has not yet been rendered anonymous, we will 
destroy the samples. However if link to the samples were already rendered anonymous prior to 
the subject's request, we will not be able to identify the subject's samples making it impossible to 
destroy them. All samples and digital recordings collected during their participation in this clinical 
trial, upon their early withdraw from the study, will be kept and not destroyed, but processed 
specifically as outlined in the research design for this trial. Upon the subject's withdrawal from 
the study, should they specifically request that their biological samples collected for research 
purposes be destroyed, we will stop all testing and destroy any remaining unprocessed samples.It 
is the Principal Investigator’s intention to make subject de-identified information available to 
secondary investigators after all research study testing has been completed. These associated 
subject information will not include subject identifiers.Subjects will be instructed that they may 
choose to withdraw from this study at any time, but it is important that they continue to be 
monitored by a physician after they receive the research Fat grafting procedure in order to 
ensure their safety. It is also important for the subject to contact study personnel if they later 
experience any side effects that they might feel are related to the research study.   
 
5.17 Following the required data retention period, describe the procedures utilized to protect subject 
confidentiality. (e.g., destruction of research records; removal of identifiers; destruction of 
linkage code information; secured long-term retention)  
After the data retention period, research records will be destroyed, all samples will be de-
identified, and all linkage codes will be destroyed. This will leaved behind no identifiable patient 
information to trace tissue samples (which will be stored indefinitely) back to the subject.Digital 
recording (i.e. photography or video) are being collected from any and all portions of the 
subject’s pre-operative, operative, and post-operative course of treatment. These may include, 
but not be limited to, videos of personal interviews, functional assessment testing and clinical 
exams or photos of follow up clinical course, biopsies, etc. and will be de-identified and stored 
indefinitely in a secure password protected location on the UPMC server. These digital recordings 
and/or photos may be used for medical education and training, publication, and media reports – 
and, in any mode of transmission, including and not limited to: print, e-mail, television, internet, 
 

Section: Section 5 - Potential Risks and Benefits 
etc. While photograph will be de-identified, video recordings will remain identifiable. Regarding 
the use of these digital recordings for education, training, publication and storage purposes, the 
subject will not be identified by name, only by a unique code number. The subject’s identifiable 
features in these photographs will be blacked out (i.e., eyes, facial features, etc.). Regarding the 
use of the subjects digital recordings for media purposes, the subject may be identified by name, 
but permission from the subject will be obtained in a separate consent document prior to the 
recordings being obtained (Media consent). The subjects are not required to give this permission 
and can refuse at any time after giving consent to these digital recordings being obtained and can 
still participate in this study without permitting these recordings.  
    
 
Section: Section 6 - Costs and Payments
    [reviewer notes¬]  
  
  
Section 6 - Costs and Payments 
6.1 
Will research subjects or their insurance providers be charged for any of the procedures 
(e.g., screening procedures, research procedures, follow-up procedures) performed for the 
purpose of this research study?*  No  
 
6.1.1 
Specify what research procedures will be billed to the subject or insurance provider: 
  
 
6.1.2 
Provide a justification for billing subjects or insurance providers for procedures that are 
performed solely for the purpose of the research study. 
 
6.1.3 
Will subjects or insurance providers be billed for the investigational drug or device being 
evaluated or used in this research study? 
* 
  
 
Provide assurance that the FDA has given approval for the sponsor of this research study 
to charge investigators for the investigational drug or device.   
 
 
If this is an investigational device, indicate if the Health Care Financing Administration has 
designated it as a Class B medical device. 
*  
  
 

Section: Section 6 - Costs and Payments
6.1.4 
Address the contingencies that are in place to ensure that potential subjects, who may 
desire to participate in this research study but are not able to bear this personal financial 
risk, will be afforded access to study participation. 
 
    
    [reviewer notes¬]  
  
Section 6 - Costs and Payments 
6.2 
Will subjects be compensated in any way for their participation in this research 
study?*  Yes  
 
6.2.1 
Describe the amount of payment or other remuneration offered for 
complete participation in this research study.The subject will be compensated for their 
participation $104.00 /day upon completion of each study visit. The payment is intend to 
cover minor expenses (i.e. meals, parking, post-operative meds, tolls, etc.) which may be 
encountered and could be associated with subject's participation in this clinical trial. The 
subject's reasonable travel expenses will be reimbursed for round trip air fare coverage or 
for ground mileage coverage at $0.55 per mile from the subject's place of residence to the 
UPMC Anesthetic Plastic Surgery Center or UPMC hospital/ overnight housing facility. The 
details of reimbursement will vary from person to person and will be discussed during 
each visit.Proper supporting documentation for mileage reimbursement is demonstrated 
by trip tickets or a MapQuest inquiry from the subject's place of residence to the study 
site displaying round trip mileage. Per visit travel may include air fare coverage round trip 
booked through the University of Pittsburgh travel agency(ies)from the subject's place of 
residence to the UPMC Anesthetic Plastic Surgery Center or UPMC hospital/facility in lieu 
of round trip mileage. The subject will be reimbursed with the per diem rate using the 
UPMC “WE PAY” system at the time of each visit.DoD personnel may receive 
compensation for research activities only if the research activities take place outside of 
scheduled work hours.The subject's participation may lead to new inventions or products. 
If the investigators are able to develop new products from the research use of the 
subject's tissue or biological sample, there are currently no plans to share with the subject 
any money or other rewards that may result from the development of these new 
products.  
 
6.2.2 
Describe the amount and term of payment or other remuneration that will be provided 
for partial completion of this research study.Study subjects will be compensated for their 
participation in the research study on a per diem total rate of $104.00/day. The subjects 
   
 

Section: Section 6 - Costs and Payments
will receive the payment of $104.00/day for each completed or partially completed visit at 
the time that the subject is present for their last study visit.  
    
 
Section: Section 7 - Qualifications and Source(s) of Support 
    [reviewer notes¬]  
Section 7 - Qualifications of Investigators and Sources of Research Study 
7.1 
Summarize the qualifications and expertise of the principal investigator and listed co-
investigators to perform the procedures outlined in this research study.               Principal 
Investigator/ Study Staff:J. Peter Rubin, MD, Founding Chair of the Department of Plastic 
Surgery at the University of Pittsburgh, is the principal investigator. Dr. Rubin has a very 
successful track record of implementing Department of Defense clinical trials under 
programs including the Biomedical Translational Initiative, the Armed Forces Institute of 
Regenerative Medicine, and the Office of technology Transfer Clinical Trials Program. He is 
an internationally recognized board certified plastic and reconstructive surgeon, as well as 
a scientific researcher with an active basic science laboratory (Co-Director of the Adipose 
Stem Cell Center) and funding from the National Institutes of Health. As Principal 
Investigator, Dr. Rubin has significant experience with fat grafting techniques for 
reconstructive applications. He will provide medical oversight for study subjects, 
responsible for review and meeting of subject research study eligibility criteria, consenting 
process, research study procedures, overall protection of human subject risks and 
benefits, performance of clinical trial conduct and compliance maintaining GCP. Dr. Rubin 
will work directly with military officers to start the process of transferring the technology 
for broad use while the study is underway.Sydney Coleman, MD is a renowned plastic 
surgeon having over 20 years of expertise in the Fat grafting procedure. Dr. Coleman is the 
inventor of the Coleman Cannula System which is the instrumentation being used with 
this research surgical procedure. He will serve as a technical consultant and attend 
operative procedures where his expertise will be use to enhance this project. Kacey G. 
Marra, PhD, Associate Professor of Surgery and Co-Director of the Adipose Stem Cell 
Center, University of Pittsburgh, is an expert in the area of adipose research experience. 
Dr. Marra completed undergraduate and graduate studies at the University of Pittsburgh 
in Chemistry and Organic Chemistry respectively. In 1996-7, she was a post-doctoral 
fellow at the Emory University School of Medicine, with advisor Elliot Chaikof, M.D., Ph.D. 
At Emory, Dr. Marra worked on the synthesis of novel synthetic blood vessels. Dr. Marra 
has almost 10 years of adipose research experience. As a co-investigator she will oversee 
the basic science laboratory assays and be responsible for the oversight of all lab 
processing, maintenance and storage during the life of the study for all research biological 
   
 

Section: Section 7 - Qualifications and Source(s) of Support 
samples collected for as well as participate in data analysis and manuscript preparation. 
Gretchen Haas, PhD, Dr. Haas is Associate Professor of Psychiatry and Director of the 
Family and Psychosocial Studies Program at the University of Pittsburgh School of 
Medicine and Director of the Mental Illness Research, Education and Clinical Center 
(MIRECC) at the VA Pittsburgh Healthcare System. Dr. Haas is a psychologist with 
extensive experience working with veterans, and specializes in measures of social 
function. She has a track record as PI of NIH-funded research on suicidal behavior and the 
clinical epidemiology of major psychiatric disorders (schizophrenia and other psychoses). 
As Director of the Clinical Cores for two NIH-funded research Centers at the University of 
Pittsburgh (Center for the Study of Suicidal Behavior and the Conte Center for the 
Neuroscience of Mental Disorders-Schizophrenia) and a VA-funded Center of Excellence 
(MIRECC) she has provided leadership in the clinical and psychosocial assessment of 
individuals with psychiatric disorders and healthy (non-psychiatric) individuals. As Director 
of the VAPHS MIRECC, she has led the development of novel collaborative research and 
clinical demonstration projects for the assessment of suicidal behavior in veterans, and 
the treatment of veterans with comorbid mental health and substance use disorders. As a 
nationally recognized expert in clinical assessment, she serves on the Executive 
Committee of the VHA’s MyHealtheVet internet Web Development group providing 
consultation on the development of tools for self-assessment of clinical symptoms, 
psychosocial functioning and quality of life among recently returning military personnel 
and veterans. As a co-investigator with extensive experience in measuring quality of life in 
wounded warriors, she is responsible for and will oversee all the psychosocial measures, 
initial and ongoing evaluations associated with this trial. She will design and oversee the 
quality of life assessments, analyze the data, and assist in manuscript preparation. Jeffrey 
Gusenoff, MD is Co-Director of the Life After Weight Loss Program and Visiting Associate 
Professor of Surgery in the Division of Plastic Surgery at UPMC. He completed his 
undergraduate and medical school training at The Johns Hopkins University in 1998 and 
2002. His residency in General and Plastic Surgery was at the University of Rochester 
School of Medicine in Rochester, NY, and he graduated in 2007. This was followed by a 
fellowship in Post-Bariatric Body Contouring with J. Peter Rubin, MD at the University of 
Pittsburgh Medical Center. From 2008 until 2012, Dr. Gusenoff was an Assistant Professor 
of Surgery and Director of the Life After Weight Loss Program at the University of 
Rochester Medical Center. His research experience includes extensive clinical outcomes 
research. As a principle/co-investigator, he will provide clinical oversight for study 
subjects, will be responsible for collection of information assessing the research study 
eligibility criteria, consenting process, research study procedures, overall protection of 
human subject risks and benefits, performance of clinical trial conduct and compliance 
maintaining GCP.Diana Mermon, MS holds a Master's degree in Counseling with a 
master’s level Certification in Education. Diana has over 10 years of research experience 
and will conduct the subject's clinical interview and the quality of life assessments. 
Elizabeth Radomsky, PhD, is a clinical psychologist with extensive experience and specific 
training and expertise in the use of neuropsychological assessments and diagnostic and 

Section: Section 7 - Qualifications and Source(s) of Support 
psychopathology rating instruments. She has over 25 years of research experience. She 
will be responsible for conducting the subject's clinical interview and the quality of life 
assessments at baseline and follow-up assessments. Albert Donnenberg, PhD, Since 1998, 
Dr. Donnenberg has also been the director of University of Pittsburgh Cancer Institute's 
(UPCI) Flow Cytometry Facility. Additionally, he is currently the Deputy Director of the 
Stem Cell Transplantation (SCT) Program and Director of UPCI Bone Marrow Processing 
Laboratory. Dr. Donnenberg graduated with a B.A. in Philosophy from the University of 
Colorado in 1973. Following the completion of his Ph.D. in Infectious Disease 
Epidemiology from Johns Hopkins University School Public Health in 1980, Dr. Donnenberg 
served as a Research Fellow in Oncology at Johns Hopkins University School of Medicine 
until 1982. Dr. Donnenberg is the recipient of multiple awards for his research efforts at 
the university. Among his honors are induction into the Delta Omega Honorary Public 
Health Society and his receipt of a 1988 - 1993 Carter-Wallace Fellowship for AIDS 
Research. Most recently, he was honored as a visiting fellow at the Institute Pasteur in 
Paris in 1994. As the director of University of Pittsburgh Cancer Institute's (UPCI) Flow 
Cytometry Facility and Deputy Director of the Stem Cell Transplantation (SCT) Program 
and Director of UPCI Bone Marrow Processing Laboratory, he will have oversight of the 
cell processing of the adipose tissue, and oversee the flow cytomety studies within the 
GMP hematopoietic stem cell laboratory, analyze the data, and assist in manuscript 
preparation. Vera Svobodova Donnenberg, PhD, Assistant Professor of Surgery, University 
of Pittsburgh, is a co-investigator who will oversee the flow cytometry analysis of the cell 
product and will directly supervise all technical aspects of the flow cytometry studies and 
ensure quality control. Dr. Donnenberg research focuses on flow cytometry, broncho-
alveolar lavage fluid, and the analysis of dendritic cell subsets. Dr. Donnenberg has written 
over 75 publications, abstracts and other scientific presentations. Dr. Donnenberg is a 
member of several professional and scientific societies including the American College of 
Clinical Pharmacology, American Association for Cancer Research, and the International 
Society for Analytical Cytology.Rory Cooper, PhD, received his B.S. and M.Eng degrees in 
electrical engineering from California Polytechnic State University, San Luis Obispo in 1985 
and 1986, respectively. He received the Ph.D. degree in electrical and computer 
engineering with a concentration in bioengineering from University of California at Santa 
Barbara in 1989. He is FISA & Paralyzed Veterans of America (PVA) Chair and Distinguished 
Professor of the Department of Rehabilitation Science and Technology(RST), and professor 
of Bioengineering, Mechanical Engineering, Physical Medicine & Rehab, and Orthopedic 
Surgery at the University of Pittsburgh. Dr. Cooper is Founding Director and VA Senior 
Research Career Scientist of the VA Rehabilitation Research and Development Center of 
Excellence in Pittsburgh. He is also the Co-Director of the NSF Quality of Life Technology 
Engineering Research Center, a joint effort between the University of Pittsburgh and 
Carnegie Mellon University. Dr. Cooper will serve as a co-investigator with extensive 
experience in the care of amputees and prosthetic design. Dr. Cooper will direct the 
preoperative and postoperative evaluation of the subjects. He will have overall 
coordination and interpretation of the functional and anatomical changes for the 

Section: Section 7 - Qualifications and Source(s) of Support 
prosthetic design with supervision of RST personnel.Sara Peterson, MBA, CPO, a certificate 
in Orthotics and Prosthetics from Century College, St. Paul, MN in 1993 and worked 
continually as an Orthotist/Prosthetist from 1993-2009, and obtained ABC Certification in 
1999. In 2009, hired as lead prosthetic instructor at the University of Pittsburgh to help 
start the Master's of Science in Prosthetics and Orthotics, which recently received 
National Commission on Orthotics and Prosthetic Education (NCOPE) certification. In 
parallel with these duties as an instructor and Prosthetics Coordinator, she is a PhD 
student in the Department of Rehabilitation Science & Technology at Pitt. Ms. Peterson’s 
role on this project will be with the Prosthetic fitting, administration of the surveys, and 
functional assessments/ measurements. Patsy Simon, RN, BS, CCRC, CCRA Director, 
Regulatory and Clinical Affairs for the UPMC Center for Innovation in Restorative 
Medicine, Department of Plastic Surgery at the University of Pittsburgh. Ms. Simon has 
over 30 years of clinical nursing experience with 15 years of expertise in clinical research 
trial conduct and compliance. She has regulatory expertise with federal, industry and 
investigator sponsored clinical trials along with experience in federal IND and IDE 
application development and oversight. Ms. Simon’s role on this project is the direct 
management of regulatory and clinical operations and oversight of the clinical team 
focusing on adherence to federal regulations, conduct, and compliance with good clinical 
practice (GCP).Karen Foley, RN, BSN, CCRC has several years of regulatory and clinical 
research experience. Her study role will be to actively perform research related activities, 
access medical records and databases, as well as submission of regulatory documents to 
the University of Pittsburgh IRB associated with the conduct and compliance of a clinical 
trial.Isaac James, MS has a year of laboratory experience within the BST Adipose Stem Cell 
Laboratory. As co-investigator on this study he will be responsible for obtaining 
lipoaspirate from the operative area and transporting specimens to the laboratory (BST 
and HSC) for processing and analysis. Theresa Marie Crytzer, DPT, ATP is an Assistant 
Professor, University of Pittsburgh, School of Health and Rehabilitation Sciences, 
Rehabilitation Science & Technology. Dr. Crytzer received her Doctor of Physical Therapy, 
Graduate School of Physical Therapy, Slippery Rock University, Slippery Rock, PA on 200 
and completed her Certificate in Clinical Research, University of Pittsburgh, Institute of 
Clinical Research, in 2011.Danielle Minteer, PhD is employed by University of Pittsburgh, 
Department of Plastic Surgery as a Research Data Manager. As a co-investigator, she will 
be responsible for data collection and building and managing research databases. Mark 
Asher Schusterman, MD is employed by UPMC and a member of the Department of Plastic 
Surgery. As a co-investigator, he is responsible for collection of information assessing the 
research study eligibility criteria and consenting process, research study procedures, 
overall protection of human subject risks and benefits, performance of clinical trial 
conduct and compliance maintaining GCP.Francesco Egro, MD is employed by UPMC and a 
member of the Department of Plastic Surgery. As a co-investigator, he is responsible for 
collection of information assessing the research study eligibility criteria and consenting 
process, research study procedures, overall protection of human subject risks and 
benefits, performance of clinical trial conduct and compliance maintaining GCP.Wendy 

Section: Section 7 - Qualifications and Source(s) of Support 
Chen, MD is employed by UPMC and a member of the Department of Plastic Surgery. As a 
co-investigator, she is responsible for collection of information assessing the research 
study eligibility criteria and consenting process, research study procedures, overall 
protection of human subject risks and benefits, performance of clinical trial conduct and 
compliance maintaining GCP.Stephanie Dreifuss-Farber, MD is employed by UPMC and a 
member of the Department of Plastic Surgery. As a co-investigator, she is responsible for 
collection of information assessing the research study eligibility criteria and consenting 
process, research study procedures, overall protection of human subject risks and 
benefits, performance of clinical trial conduct and compliance maintaining GCP.Joanna 
Ng-Glazier, MD is employed by UPMC and a member of the Department of Plastic Surgery. 
As a co-investigator, she is responsible for collection of information assessing the research 
study eligibility criteria and consenting process, research study procedures, overall 
protection of human subject risks and benefits, performance of clinical trial conduct and 
compliance maintaining GCP.David Turer, MD is employed by UPMC and a member of the 
Department of Plastic Surgery. As a co-investigator, he is responsible for collection of 
information assessing the research study eligibility criteria and consenting process, 
research study procedures, overall protection of human subject risks and benefits, 
performance of clinical trial conduct and compliance maintaining GCP. 
    [reviewer notes¬]  
Section 7 - Qualifications of Investigators and Sources of Study Support 
7.2 Indicate all sources of support for this research study.*  
Selections 
Federal: Upload a copy of the entire grant application (including the cover sheet) if our site is the 
awardee institution; for federal contracts, upload a copy of the research plan 
There are no items to display 
 If Federal support, provide the sponsor information: 
  
Federal 
sponsor 
Grant Title 
Grant number Awardee 
institution 
Federal grant 
application 
View DOD 
Adipose Stromal Cell Enriched 
Autologous Fat Grafting for 
Treating Pain at Amputation Sites 
W81XWH-12-
DMRDP-CTA-
RPS 
University of 
Pittsburgh 
Amp 30 DoD 
grant(0.01) 
   
 
For projects not supported by a federal grant, upload the research plan that was submitted for 
funding: 
 

Section: Section 7 - Qualifications and Source(s) of Support 
Name Modified Date 
If Industry support, provide the sponsor information and level of support: 
If Foundation support, provide the sponsor information: 
 
 
If Other support, provide the support information and level of support: 
  
 
    [reviewer notes¬]  
 
Section 7 - Qualifications of Investigators and Sources of Research Study 
   
 
7.3 
Is this study funded in part or whole by a PHS Agency?  
 *  No  
   
 
Does any investigator* involved in this study (select all that apply): 
  
Name 
 
 
 
A. Have a financial interest (aggregated value of equity and remuneration** during 
the past or next twelve months) in a publicly-traded entity that either sponsors*** 
this research or owns the technology being evaluated or developed that exceeds 
$5,000 but not $10,000? 
 
 
 
B. Have a financial interest (aggregated value of equity and remuneration during the 
past or next twelve months) in a publicly-traded entity that either sponsors this 
research or owns the technology being evaluated or developed that exceeds 
$10,000? 
 
 
 
C. Receive remuneration (during the past or next twelve months) from a non-
publicly traded entity that either sponsors this research or owns the technology 
being evaluated or developed that exceeds $5,000 but not $10,000?  
 
 
 
D. Receive remuneration (during the past or next twelve months) from a non-
publicly traded entity that either sponsors this research or owns the technology 
being evaluated or developed that exceeds $10,000?  
 
 E. Have equity in a non-publicly traded entity that either sponsors this research or 
owns the technology being evaluated or developed? 
 

Section: Section 7 - Qualifications and Source(s) of Support 
 
 
 
F. Receive reimbursement or sponsorship of travel expenses (for one trip or a series 
of trips during the past or next twelve months) by an outside entity that either 
sponsors this research or owns the technology being evaluated or developed that 
exceeds $5,000? 
 
 
 
G. Have rights as either the author or inventor of intellectual property being 
evaluated or developed in this research that is the subject of an issued patent or 
has been optioned or licensed to an entity? 
 
 
 
H. Have an officer or management position**** with a Licensed Start-up Company 
overseen by the COI Committee that either sponsors this research or owns the 
technology being evaluated or developed? 
 
 
 
I. Receive compensation of any amount when the value of the compensation would 
be affected by the outcome of this research, such as compensation that is explicitly 
greater for a favorable outcome than for an unfavorable outcome or compensation 
in the form of an equity interest in the entity that either sponsors this research or 
owns the technology being evaluated or developed? 
 
 None of the above options apply and there are no other financial conflicts of 
interest in the conduct of this research. 
 
There are no items to display 
*Investigator means the PI, co-investigators, and any other member of the study team, 
regardless of title, who participates in the design, conduct, or reporting of this research, as 
well as his/her spouse, registered domestic partner, dependents, or other members of 
his/her household. The PI is responsible for ensuring that s/he and all other relevant 
members of the study team review the above questions describing Significant Financial 
Interests.   
**such as salary, consulting fees, honoraria, or paid authorship 
***through the provision of funds, drugs, devices, or other support for this research  
****Such as serving on the Board of Directors or Board of Managers or a position that 
carries a fiduciary responsibility to the company (e.g., CEO, CFO, CTO, or CMO).  
Does any investigator* involved in this study (select all that apply): 
 

Section: Section 7 - Qualifications and Source(s) of Support 
  
Name 
 
 
 
A. Have equity in a publicly-traded entity that either sponsors** this research or 
owns the technology being evaluated or developed that exceeds a 5% ownership 
interest or a current value of $10,000? 
 
 B. Have equity in a non-publicly-traded entity that either sponsors this research or 
owns the technology being evaluated or developed? 
 
 
 
C. Receive salary, consulting fees, honoraria, royalties or other remuneration from 
an entity that either sponsors this research or owns the technology being evaluated 
or developed that is expected to exceed $10,000 during the past or next 12 
months? 
 
 
 
D. Have rights as either the author or inventor of intellectual property being 
evaluated or developed in this research that is the subject of an issued patent or 
has been optioned or licensed to an entity? 
 
 
 
E. Have an officer or management position**** with a Licensed Start-up Company 
overseen by the COI Committee that either sponsors this research or owns the 
technology being evaluated or developed? 
 
 
 
F. Receive compensation of any amount when the value of the compensation would 
be affected by the outcome of this research, such as compensation that is explicitly 
greater for a favorable outcome than for an unfavorable outcome or compensation 
in the form of an equity interest in the entity that either sponsors this research or 
owns the technology being evaluated or developed? 
 
 None of the above options apply and there are no other financial conflicts of 
interest in the conduct of this research. 
 
There are no items to display 
*Investigator means the PI, co-investigators, and any other member of the study team, 
regardless of title, who participates in the design, conduct, or reporting of this research, as 
well as his/her spouse, registered domestic partner, dependents, or other members of 
his/her household. The PI is responsible for ensuring that s/he and all other relevant 
members of the study team review the above questions describing Significant Financial 
Interests.   
**through the provision of funds, drugs, devices, or other support for this research 
****Such as serving on the Board of Directors or Board of Managers or a position that 
carries a fiduciary responsibility to the company (e.g., CEO, CFO, CTO, or CMO).  

Section: Section 7 - Qualifications and Source(s) of Support 
7.3.1 
Provide the name of the investigator(s) and describe the nature of the Significant Financial 
Interest(s):Sydney Coleman, MD  
 
7.3.2 
If you selected A, B, C, or E, please complete a Standard Conflict of Interest Management 
Plan and submit it with your protocol. Please provide all of the requested information, 
including the correct protocol number and title. Incomplete, inaccurate, or unsigned 
forms will have to be edited and replaced. 
For all other financial interests (D or F), the COI Office will work with you to develop an 
appropriate COI Management Plan.  
 
7.3.2 
If you selected B, D, E, or H, please complete a Standard Conflict of Interest Management 
Plan and submit it with your protocol. Please provide all of the requested information, 
including the correct protocol number and title. Incomplete, inaccurate, or unsigned 
forms will have to be edited and replaced. 
For all other financial interests (A, C, F, or G), the COI Office will work with you to develop 
an appropriate COI Management Plan.  
 
* 
Name 
Modified Date 
COI management plan for Dr. Coleman 
11/15/2013 2:54 PM 
 
    
 
Section: Supporting Documentation
    [reviewer notes¬]  
  
Supporting Documentation Section 
References and Other Attachments 
  
Additional documents: 
Please use the Add button to the 
left to upload additional 
documents if needed. 
 

Section: Supporting Documentation
Name 
Modified 
Date 
Version 
2005-13-R5 Procedure for Rapid Endotoxin 
Testing 
8/8/2012 
8:10 AM 
0.01 
2008-02-R0 Procedure for Manual Nucleated 
Cell Counting and Viability Determination 
Using Trypan Blue 
8/8/2012 
8:10 AM 
0.01 
DoD communication regarding enrollment 
hold 3.6.2018 
5/14/2018 
4:17 PM 
0.01 
Dr. Donnenberg Letter in support 
7/24/2012 
2:45 PM 
0.01 
Grant Application Package 
7/17/2012 
8:27 AM 
0.01 
References 
7/23/2012 
12:33 PM 
0.01 
STEM CELL TGI processing SOP.pdf 
10/4/2013 
1:12 PM 
0.01 
  
    [reviewer notes¬]  
 
ClinicalTrials.gov is a registry and results database of publicly and privately supported clinical studies of 
human participants conducted around the world. 
"Applicable clinical trials" are required by federal law to be registered in ClinicalTrials.gov.  
Applicable Clinical Trials (ACTs) are studies that meet the following criteria: 
The study is an interventional study AND   
The study intervention is a drug, biologic, medical device, radiation or genetic AND  
The Study is not Phase 0 or 1 AND  
The study has at least one site in the United States or is conducted under an investigational new drug 
application or investigational device exemption 
NIH Policy 
  

Section: Supporting Documentation
Effective January 18, 2017, revised NIH Policy requires that all clinical trials funded in whole or in part 
by the NIH be registered and results information posted on ClinicalTrials.gov.   
As defined by the NIH, a clinical trial is: 
A research study in which one or more human subjects are prospectively assigned to one or more 
interventions (which may include placebo or other control) to evaluate the effects of those 
interventions on health related biomedical or behavioral outcomes. 
The NIH Policy extends beyond the Food and Drug Administration Amendment Act (FDAAA 801) 
requirements in that it requires registration and results reporting of: 
clinical trials of behavioral, surgical and other types of health and medical interventions  
phase 1 studies of drugs and biological products  
small feasibility studies of device products  
Failure to submit all required registration and results information requested on ClinicalTrials.gov can 
jeopardize University grant funding, the future funding of the grantee and subject the University of 
Pittsburgh to future monetary penalties. 
In addition, to promote transparency of the clinical trials process, the International Committee of 
Medical Journal Editors (ICMJE) has established a policy requiring the entry of clinical trials in a public 
registry, such as ClinicalTrials.gov, prior to subject enrollment as a condition of consideration for 
publication of the trial results. 
* Based on the above information, will this study be registered in ClinicalTrials.gov?Yes   
Who will serve as the Responsible Party? UPMC/Pitt Investigator or IND/IDE Pitt Sponsor Why are you 
registering your study? (Check all that apply) 
It is required for publication by the International Committee of Medical Journal Editors ( Registration is 
required in a publically available, searchable database system prior to informed consent being obtained 
from the first study participant) 
There are no items to display 
If you are not yet registered and need to establish an account for the PI or other research staff that may 
need to access the record, please send an email to the  University of Pittsburgh PRS administrator at 
ctgov@pitt.edu with the following information for each individual: 
Full name  
Telephone number  
Pitt or UPMC email address 
   

Section: Supporting Documentation
If you have any questions or concerns, please email us at ctgov@pitt.edu.   
To find out additional information about how to register your study go to: 
https://www.clinicaltrials.gov/ct2/manage-recs/how-register