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INTERNATIONAL CONFERENCE ON HARMONISATION OF TECHNICAL
REQUIREMENTS FOR REGISTRATION OF PHARMACEUTICALS FOR HUMAN
USE
ICH HARMONISED TRIPARTITE GUIDELINE
GUIDELINE FOR GOOD CLINICAL PRACTICE
E6(R1)
Current Step 4 version
dated 10 June 1996
(including the Post Step 4 corrections)
This Guideline has been developed by the appropriate ICH Expert Working Group and
has been subject to consultation by the regulatory parties, in accordance with the ICH
Process. At Step 4 of the Process the final draft is recommended for adoption to the
regulatory bodies of the European Union, Japan and USA. E6(R1)
Document History
First
Codification History Date
New
Codification
November
2005
E6 Approval by the Steering Committee under Step 2
and release for public consultation.
27
April 1995
E6
E6 Approval by the Steering Committee under Step 4
and recommended for adoption to the three ICH
regulatory bodies.
1
May
1996
E6
Current Step 4 version
E6 Approval by the Steering Committee of Post-Step 4
editorial corrections.
10
June
1996
E6(R1) GUIDELINE FOR GOOD CLINICAL PRACTICE
ICH Harmonised Tripartite Guideline
Having reached Step 4 of the ICH Process at the ICH Steering Committee meeting
on 1 May 1996, this guideline is recommended for
adoption to the three regulatory parties to ICH
(This document includes the Post Step 4 corrections agreed by the Steering Committee on
10 June 1996)
TABLE OFCONTENTS
INTRODUCTION.............................................................................................................1
1. GLOSSARY .............................................................................................................2
2. THE PRINCIPLES OF ICH GCP........................................................................8
3. INSTITUTIONAL REVIEW BOARD/INDEPENDENT ETHICS
COMMITTEE (IRB/IEC).......................................................................................9
3.1 Responsibilities.........................................................................................................9
3.2 Composition, Functions and Operations...............................................................11
3.3 Procedures ..............................................................................................................11
3.4 Records....................................................................................................................12
4. INVESTIGATOR..................................................................................................12
4.1 Investigator's Qualifications and Agreements......................................................12
4.2 Adequate Resources ...............................................................................................12
4.3 Medical Care of Trial Subjects...............................................................................13
4.4 Communication with IRB/IEC...............................................................................13
4.5 Compliance with Protocol ......................................................................................13
4.6 Investigational Product(s)......................................................................................14
4.7 Randomization Procedures and Unblinding.........................................................15
4.8 Informed Consent of Trial Subjects.......................................................................15
4.9 Records and Reports...............................................................................................18
4.10 Progress Reports.....................................................................................................19
4.11 Safety Reporting.....................................................................................................19
4.12 Premature Termination or Suspension of a Trial ................................................19
4.13 Final Report(s) by Investigator..............................................................................20
5. SPONSOR..............................................................................................................20
5.1 Quality Assurance and Quality Control................................................................20
5.2 Contract Research Organization (CRO)................................................................20
5.3 Medical Expertise...................................................................................................21
5.4 Trial Design............................................................................................................21
5.5 Trial Management, Data Handling, and Record Keeping....................................21
i Guideline for Good Clinical Practice
5.6 Investigator Selection ............................................................................................ 22
5.7 Allocation of Responsibilities ................................................................................ 23
5.8 Compensation to Subjects and Investigators ....................................................... 23
5.9 Financing................................................................................................................ 23
5.10 Notification/Submission to Regulatory Authority(ies)......................................... 23
5.11 Confirmation of Review by IRB/IEC..................................................................... 23
5.12 Information on Investigational Product(s) ........................................................... 24
5.13 Manufacturing, Packaging, Labelling, and Coding Investigational Product(s). 24
5.14 Supplying and Handling Investigational Product(s)............................................ 24
5.15 Record Access ......................................................................................................... 25
5.16 Safety Information................................................................................................. 25
5.17 Adverse Drug Reaction Reporting......................................................................... 26
5.18 Monitoring.............................................................................................................. 26
5.18.1 Purpose ................................................................................................. 26
5.18.2 Selection and Qualifications of Monitors ............................................ 26
5.18.3 Extent and Nature of Monitoring........................................................ 26
5.18.4 Monitor's Responsibilities.................................................................... 26
5.18.5 Monitoring Procedures......................................................................... 28
5.18.6 Monitoring Report................................................................................ 28
5.19 Audit....................................................................................................................... 28
5.19.1 Purpose ................................................................................................. 29
5.19.2 Selection and Qualification of Auditors .............................................. 29
5.19.3 Auditing Procedures............................................................................. 29
5.20 Noncompliance ....................................................................................................... 29
5.21 Premature Termination or Suspension of a Trial................................................ 30
5.22 Clinical Trial/Study Reports.................................................................................. 30
5.23 Multicentre Trials.................................................................................................. 30
6. CLINICAL TRIAL PROTOCOL AND PROTOCOL AMENDMENT(S)......30
6.1 General Information.............................................................................................. 30
6.2 Background Information ....................................................................................... 31
6.3 Trial Objectives and Purpose ................................................................................ 31
6.4 Trial Design............................................................................................................ 31
6.5 Selection and Withdrawal of Subjects .................................................................. 32
6.6 Treatment of Subjects............................................................................................ 32
6.7 Assessment of Efficacy........................................................................................... 32
6.8 Assessment of Safety ............................................................................................. 32
ii Guideline for Good Clinical Practice
6.9 Statistics .................................................................................................................32
6.10 Direct Access to Source Data/Documents .............................................................33
6.11 Quality Control and Quality Assurance................................................................33
6.12 Ethics ......................................................................................................................33
6.13 Data Handling and Record Keeping......................................................................33
6.14 Financing and Insurance .......................................................................................33
6.15 Publication Policy...................................................................................................33
6.16 Supplements ...........................................................................................................33
7. INVESTIGATOR’S BROCHURE.......................................................................34
7.1 Introduction............................................................................................................34
7.2 General Considerations..........................................................................................35
7.2.1 Title Page ..............................................................................................35
7.2.2 Confidentiality Statement....................................................................35
7.3 Contents of the Investigator’s Brochure ...............................................................35
7.3.1 Table of Contents..................................................................................35
7.3.2 Summary...............................................................................................35
7.3.3 Introduction ..........................................................................................35
7.3.4 Physical, Chemical, and Pharmaceutical Properties and
Formulation ..........................................................................................35
7.3.5 Nonclinical Studies...............................................................................36
7.3.6 Effects in Humans ................................................................................37
7.3.7 Summary of Data and Guidance for the Investigator ........................38
7.4 APPENDIX 1:.........................................................................................................39
7.5 APPENDIX 2:.........................................................................................................40
8. ESSENTIAL DOCUMENTS FOR THE CONDUCT OF A
CLINICAL TRIAL................................................................................................41
8.1 Introduction............................................................................................................41
8.2 Before the Clinical Phase of the Trial Commences ..............................................42
8.3 During the Clinical Conduct of the Trial..............................................................46
8.4 After Completion or Termination of the Trial ......................................................52
iiiGUIDELINE FOR GOOD CLINICAL PRACTICE
INTRODUCTION
Good Clinical Practice (GCP) is an international ethical and scientific quality
standard for designing, conducting, recording and reporting trials that involve the
participation of human subjects. Compliance with this standard provides public
assurance that the rights, safety and well-being of trial subjects are protected,
consistent with the principles that have their origin in the Declaration of Helsinki,
and that the clinical trial data are credible.
The objective of this ICH GCP Guideline is to provide a unified standard for the
European Union (EU), Japan and the United States to facilitate the mutual
acceptance of clinical data by the regulatory authorities in these jurisdictions.
The guideline was developed with consideration of the current good clinical practices
of the European Union, Japan, and the United States, as well as those of Australia,
Canada, the Nordic countries and the World Health Organization (WHO).
This guideline should be followed when generating clinical trial data that are
intended to be submitted to regulatory authorities.
The principles established in this guideline may also be applied to other clinical
investigations that may have an impact on the safety and well-being of human
subjects.
1 Guideline for Good Clinical Practice
1. GLOSSARY
1.1 Adverse Drug Reaction (ADR)
In the pre-approval clinical experience with a new medicinal product or its new
usages, particularly as the therapeutic dose(s) may not be established: all noxious and
unintended responses to a medicinal product related to any dose should be considered
adverse drug reactions. The phrase responses to a medicinal product means that a
causal relationship between a medicinal product and an adverse event is at least a
reasonable possibility, i.e. the relationship cannot be ruled out.
Regarding marketed medicinal products: a response to a drug which is noxious and
unintended and which occurs at doses normally used in man for prophylaxis,
diagnosis, or therapy of diseases or for modification of physiological function (see the
ICH Guideline for Clinical Safety Data Management: Definitions and Standards for
Expedited Reporting).
1.2 Adverse Event (AE)
Any untoward medical occurrence in a patient or clinical investigation subject
administered a pharmaceutical product and which does not necessarily have a causal
relationship with this treatment. An adverse event (AE) can therefore be any
unfavourable and unintended sign (including an abnormal laboratory finding),
symptom, or disease temporally associated with the use of a medicinal
(investigational) product, whether or not related to the medicinal (investigational)
product (see the ICH Guideline for Clinical Safety Data Management: Definitions and
Standards for Expedited Reporting).
1.3 Amendment (to the protocol)
See Protocol Amendment.
1.4 Applicable Regulatory Requirement(s)
Any law(s) and regulation(s) addressing the conduct of clinical trials of investigational
products.
1.5 Approval (in relation to Institutional Review Boards)
The affirmative decision of the IRB that the clinical trial has been reviewed and may
be conducted at the institution site within the constraints set forth by the IRB, the
institution, Good Clinical Practice (GCP), and the applicable regulatory requirements.
1.6 Audit
A systematic and independent examination of trial related activities and documents
to determine whether the evaluated trial related activities were conducted, and the
data were recorded, analyzed and accurately reported according to the protocol,
sponsor's standard operating procedures (SOPs), Good Clinical Practice (GCP), and
the applicable regulatory requirement(s).
1.7 Audit Certificate
A declaration of confirmation by the auditor that an audit has taken place.
1.8 Audit Report
A written evaluation by the sponsor's auditor of the results of the audit.
2 Guideline for Good Clinical Practice
1.9 Audit Trail
Documentation that allows reconstruction of the course of events.
1.10 Blinding/Masking
A procedure in which one or more parties to the trial are kept unaware of the
treatment assignment(s). Single-blinding usually refers to the subject(s) being
unaware, and double-blinding usually refers to the subject(s), investigator(s), monitor,
and, in some cases, data analyst(s) being unaware of the treatment assignment(s).
1.11 Case Report Form (CRF)
A printed, optical, or electronic document designed to record all of the protocol
required information to be reported to the sponsor on each trial subject.
1.12 Clinical Trial/Study
Any investigation in human subjects intended to discover or verify the clinical,
pharmacological and/or other pharmacodynamic effects of an investigational
product(s), and/or to identify any adverse reactions to an investigational product(s),
and/or to study absorption, distribution, metabolism, and excretion of an
investigational product(s) with the object of ascertaining its safety and/or efficacy. The
terms clinical trial and clinical study are synonymous.
1.13 Clinical Trial/Study Report
A written description of a trial/study of any therapeutic, prophylactic, or diagnostic
agent conducted in human subjects, in which the clinical and statistical description,
presentations, and analyses are fully integrated into a single report (see the ICH
Guideline for Structure and Content of Clinical Study Reports).
1.14 Comparator (Product)
An investigational or marketed product (i.e., active control), or placebo, used as a
reference in a clinical trial.
1.15 Compliance (in relation to trials)
Adherence to all the trial-related requirements, Good Clinical Practice (GCP)
requirements, and the applicable regulatory requirements.
1.16 Confidentiality
Prevention of disclosure, to other than authorized individuals, of a sponsor's
proprietary information or of a subject's identity.
1.17 Contract
A written, dated, and signed agreement between two or more involved parties that
sets out any arrangements on delegation and distribution of tasks and obligations
and, if appropriate, on financial matters. The protocol may serve as the basis of a
contract.
1.18 Coordinating Committee
A committee that a sponsor may organize to coordinate the conduct of a multicentre
trial.
3Guideline for Good Clinical Practice
1.19 Coordinating Investigator
An investigator assigned the responsibility for the coordination of investigators at
different centres participating in a multicentre trial.
1.20 Contract Research Organization (CRO)
A person or an organization (commercial, academic, or other) contracted by the
sponsor to perform one or more of a sponsor's trial-related duties and functions.
1.21 Direct Access
Permission to examine, analyze, verify, and reproduce any records and reports that
are important to evaluation of a clinical trial. Any party (e.g., domestic and foreign
regulatory authorities, sponsor's monitors and auditors) with direct access should
take all reasonable precautions within the constraints of the applicable regulatory
requirement(s) to maintain the confidentiality of subjects' identities and sponsor’s
proprietary information.
1.22 Documentation
All records, in any form (including, but not limited to, written, electronic, magnetic,
and optical records, and scans, x-rays, and electrocardiograms) that describe or record
the methods, conduct, and/or results of a trial, the factors affecting a trial, and the
actions taken.
1.23 Essential Documents
Documents which individually and collectively permit evaluation of the conduct of a
study and the quality of the data produced (see 8. Essential Documents for the
Conduct of a Clinical Trial).
1.24 Good Clinical Practice (GCP)
A standard for the design, conduct, performance, monitoring, auditing, recording,
analyses, and reporting of clinical trials that provides assurance that the data and
reported results are credible and accurate, and that the rights, integrity, and
confidentiality of trial subjects are protected.
1.25 Independent Data-Monitoring Committee (IDMC) (Data and Safety
Monitoring Board, Monitoring Committee, Data Monitoring Committee)
An independent data-monitoring committee that may be established by the sponsor to
assess at intervals the progress of a clinical trial, the safety data, and the critical
efficacy endpoints, and to recommend to the sponsor whether to continue, modify, or
stop a trial.
1.26 Impartial Witness
A person, who is independent of the trial, who cannot be unfairly influenced by people
involved with the trial, who attends the informed consent process if the subject or the
subject’s legally acceptable representative cannot read, and who reads the informed
consent form and any other written information supplied to the subject.
1.27 Independent Ethics Committee (IEC)
An independent body (a review board or a committee, institutional, regional, national,
or supranational), constituted of medical professionals and non-medical members,
whose responsibility it is to ensure the protection of the rights, safety and well-being
of human subjects involved in a trial and to provide public assurance of that
protection, by, among other things, reviewing and approving / providing favourable
4 Guideline for Good Clinical Practice
opinion on, the trial protocol, the suitability of the investigator(s), facilities, and the
methods and material to be used in obtaining and documenting informed consent of
the trial subjects.
The legal status, composition, function, operations and regulatory requirements
pertaining to Independent Ethics Committees may differ among countries, but should
allow the Independent Ethics Committee to act in agreement with GCP as described
in this guideline.
1.28 Informed Consent
A process by which a subject voluntarily confirms his or her willingness to participate
in a particular trial, after having been informed of all aspects of the trial that are
relevant to the subject's decision to participate. Informed consent is documented by
means of a written, signed and dated informed consent form.
1.29 Inspection
The act by a regulatory authority(ies) of conducting an official review of documents,
facilities, records, and any other resources that are deemed by the authority(ies) to be
related to the clinical trial and that may be located at the site of the trial, at the
sponsor's and/or contract research organization’s (CRO’s) facilities, or at other
establishments deemed appropriate by the regulatory authority(ies).
1.30 Institution (medical)
Any public or private entity or agency or medical or dental facility where clinical
trials are conducted.
1.31 Institutional Review Board (IRB)
An independent body constituted of medical, scientific, and non-scientific members,
whose responsibility is to ensure the protection of the rights, safety and well-being of
human subjects involved in a trial by, among other things, reviewing, approving, and
providing continuing review of trial protocol and amendments and of the methods and
material to be used in obtaining and documenting informed consent of the trial
subjects.
1.32 Interim Clinical Trial/Study Report
A report of intermediate results and their evaluation based on analyses performed
during the course of a trial.
1.33 Investigational Product
A pharmaceutical form of an active ingredient or placebo being tested or used as a
reference in a clinical trial, including a product with a marketing authorization when
used or assembled (formulated or packaged) in a way different from the approved
form, or when used for an unapproved indication, or when used to gain further
information about an approved use.
1.34 Investigator
A person responsible for the conduct of the clinical trial at a trial site. If a trial is
conducted by a team of individuals at a trial site, the investigator is the responsible
leader of the team and may be called the principal investigator. See also
Subinvestigator.
5Guideline for Good Clinical Practice
1.35 Investigator / Institution
An expression meaning "the investigator and/or institution, where required by the
applicable regulatory requirements".
1.36 Investigator's Brochure
A compilation of the clinical and nonclinical data on the investigational product(s)
which is relevant to the study of the investigational product(s) in human subjects (see
7. Investigator’s Brochure).
1.37 Legally Acceptable Representative
An individual or juridical or other body authorized under applicable law to consent, on
behalf of a prospective subject, to the subject's participation in the clinical trial.
1.38 Monitoring
The act of overseeing the progress of a clinical trial, and of ensuring that it is
conducted, recorded, and reported in accordance with the protocol, Standard
Operating Procedures (SOPs), Good Clinical Practice (GCP), and the applicable
regulatory requirement(s).
1.39 Monitoring Report
A written report from the monitor to the sponsor after each site visit and/or other
trial-related communication according to the sponsor’s SOPs.
1.40 Multicentre Trial
A clinical trial conducted according to a single protocol but at more than one site, and
therefore, carried out by more than one investigator.
1.41 Nonclinical Study
Biomedical studies not performed on human subjects.
1.42 Opinion (in relation to Independent Ethics Committee)
The judgement and/or the advice provided by an Independent Ethics Committee
(IEC).
1.43 Original Medical Record
See Source Documents.
1.44 Protocol
A document that describes the objective(s), design, methodology, statistical
considerations, and organization of a trial. The protocol usually also gives the
background and rationale for the trial, but these could be provided in other protocol
referenced documents. Throughout the ICH GCP Guideline the term protocol refers to
protocol and protocol amendments.
1.45 Protocol Amendment
A written description of a change(s) to or formal clarification of a protocol.
1.46 Quality Assurance (QA)
All those planned and systematic actions that are established to ensure that the trial
is performed and the data are generated, documented (recorded), and reported in
compliance with Good Clinical Practice (GCP) and the applicable regulatory
requirement(s).
6 Guideline for Good Clinical Practice
1.47 Quality Control (QC)
The operational techniques and activities undertaken within the quality assurance
system to verify that the requirements for quality of the trial-related activities have
been fulfilled.
1.48 Randomization
The process of assigning trial subjects to treatment or control groups using an
element of chance to determine the assignments in order to reduce bias.
1.49 Regulatory Authorities
Bodies having the power to regulate. In the ICH GCP guideline the expression
Regulatory Authorities includes the authorities that review submitted clinical data
and those that conduct inspections (see 1.29). These bodies are sometimes referred to
as competent authorities.
1.50 Serious Adverse Event (SAE) or Serious Adverse Drug Reaction
(Serious ADR)
Any untoward medical occurrence that at any dose:
- results in death,
- is life-threatening,
- requires inpatient hospitalization or prolongation of existing hospitalization,
- results in persistent or significant disability/incapacity,
or
- is a congenital anomaly/birth defect
(see the ICH Guideline for Clinical Safety Data Management: Definitions and
Standards for Expedited Reporting).
1.51 Source Data
All information in original records and certified copies of original records of clinical
findings, observations, or other activities in a clinical trial necessary for the
reconstruction and evaluation of the trial. Source data are contained in source
documents (original records or certified copies).
1.52 Source Documents
Original documents, data, and records (e.g., hospital records, clinical and office charts,
laboratory notes, memoranda, subjects' diaries or evaluation checklists, pharmacy
dispensing records, recorded data from automated instruments, copies or
transcriptions certified after verification as being accurate copies, microfiches,
photographic negatives, microfilm or magnetic media, x-rays, subject files, and
records kept at the pharmacy, at the laboratories and at medico-technical
departments involved in the clinical trial).
1.53 Sponsor
An individual, company, institution, or organization which takes responsibility for the
initiation, management, and/or financing of a clinical trial.
7Guideline for Good Clinical Practice
1.54 Sponsor-Investigator
An individual who both initiates and conducts, alone or with others, a clinical trial,
and under whose immediate direction the investigational product is administered to,
dispensed to, or used by a subject. The term does not include any person other than
an individual (e.g., it does not include a corporation or an agency). The obligations of a
sponsor-investigator include both those of a sponsor and those of an investigator.
1.55 Standard Operating Procedures (SOPs)
Detailed, written instructions to achieve uniformity of the performance of a specific
function.
1.56 Subinvestigator
Any individual member of the clinical trial team designated and supervised by the
investigator at a trial site to perform critical trial-related procedures and/or to make
important trial-related decisions (e.g., associates, residents, research fellows). See also
Investigator.
1.57 Subject/Trial Subject
An individual who participates in a clinical trial, either as a recipient of the
investigational product(s) or as a control.
1.58 Subject Identification Code
A unique identifier assigned by the investigator to each trial subject to protect the
subject's identity and used in lieu of the subject's name when the investigator reports
adverse events and/or other trial related data.
1.59 Trial Site
The location(s) where trial-related activities are actually conducted.
1.60 Unexpected Adverse Drug Reaction
An adverse reaction, the nature or severity of which is not consistent with the
applicable product information (e.g., Investigator's Brochure for an unapproved
investigational product or package insert/summary of product characteristics for an
approved product) (see the ICH Guideline for Clinical Safety Data Management:
Definitions and Standards for Expedited Reporting).
1.61 Vulnerable Subjects
Individuals whose willingness to volunteer in a clinical trial may be unduly influenced
by the expectation, whether justified or not, of benefits associated with participation,
or of a retaliatory response from senior members of a hierarchy in case of refusal to
participate. Examples are members of a group with a hierarchical structure, such as
medical, pharmacy, dental, and nursing students, subordinate hospital and laboratory
personnel, employees of the pharmaceutical industry, members of the armed forces,
and persons kept in detention. Other vulnerable subjects include patients with
incurable diseases, persons in nursing homes, unemployed or impoverished persons,
patients in emergency situations, ethnic minority groups, homeless persons, nomads,
refugees, minors, and those incapable of giving consent.
1.62 Well-being (of the trial subjects)
The physical and mental integrity of the subjects participating in a clinical trial.
2. THE PRINCIPLES OF ICH GCP
8 Guideline for Good Clinical Practice
2.1 Clinical trials should be conducted in accordance with the ethical principles
that have their origin in the Declaration of Helsinki, and that are consistent
with GCP and the applicable regulatory requirement(s).
2.2 Before a trial is initiated, foreseeable risks and inconveniences should be
weighed against the anticipated benefit for the individual trial subject and
society. A trial should be initiated and continued only if the anticipated
benefits justify the risks.
2.3 The rights, safety, and well-being of the trial subjects are the most important
considerations and should prevail over interests of science and society.
2.4 The available nonclinical and clinical information on an investigational
product should be adequate to support the proposed clinical trial.
2.5 Clinical trials should be scientifically sound, and described in a clear, detailed
protocol.
2.6 A trial should be conducted in compliance with the protocol that has received
prior institutional review board (IRB)/independent ethics committee (IEC)
approval/favourable opinion.
2.7 The medical care given to, and medical decisions made on behalf of, subjects
should always be the responsibility of a qualified physician or, when
appropriate, of a qualified dentist.
2.8 Each individual involved in conducting a trial should be qualified by
education, training, and experience to perform his or her respective task(s).
2.9 Freely given informed consent should be obtained from every subject prior to
clinical trial participation.
2.10 All clinical trial information should be recorded, handled, and stored in a way
that allows its accurate reporting, interpretation and verification.
2.11 The confidentiality of records that could identify subjects should be protected,
respecting the privacy and confidentiality rules in accordance with the
applicable regulatory requirement(s).
2.12 Investigational products should be manufactured, handled, and stored in
accordance with applicable good manufacturing practice (GMP). They should
be used in accordance with the approved protocol.
2.13 Systems with procedures that assure the quality of every aspect of the trial
should be implemented.
3. INSTITUTIONAL REVIEW BOARD/INDEPENDENT ETHICS
COMMITTEE (IRB/IEC)
3.1 Responsibilities
3.1.1 An IRB/IEC should safeguard the rights, safety, and well-being of all trial
subjects. Special attention should be paid to trials that may include vulnerable
subjects.
9Guideline for Good Clinical Practice
3.1.2 The IRB/IEC should obtain the following documents:
trial protocol(s)/amendment(s), written informed consent form(s) and consent
form updates that the investigator proposes for use in the trial, subject
recruitment procedures (e.g. advertisements), written information to be
provided to subjects, Investigator's Brochure (IB), available safety information,
information about payments and compensation available to subjects, the
investigator’s current curriculum vitae and/or other documentation evidencing
qualifications, and any other documents that the IRB/IEC may need to fulfil
its responsibilities.
The IRB/IEC should review a proposed clinical trial within a reasonable time
and document its views in writing, clearly identifying the trial, the documents
reviewed and the dates for the following:
- approval/favourable opinion;
- modifications required prior to its approval/favourable opinion;
- disapproval / negative opinion; and
- termination/suspension of any prior approval/favourable opinion.
3.1.3 The IRB/IEC should consider the qualifications of the investigator for the
proposed trial, as documented by a current curriculum vitae and/or by any
other relevant documentation the IRB/IEC requests.
3.1.4 The IRB/IEC should conduct continuing review of each ongoing trial at
intervals appropriate to the degree of risk to human subjects, but at least once
per year.
3.1.5 The IRB/IEC may request more information than is outlined in paragraph
4.8.10 be given to subjects when, in the judgement of the IRB/IEC, the
additional information would add meaningfully to the protection of the rights,
safety and/or well-being of the subjects.
3.1.6 When a non-therapeutic trial is to be carried out with the consent of the
subject’s legally acceptable representative (see 4.8.12, 4.8.14), the IRB/IEC
should determine that the proposed protocol and/or other document(s)
adequately addresses relevant ethical concerns and meets applicable
regulatory requirements for such trials.
3.1.7 Where the protocol indicates that prior consent of the trial subject or the
subject’s legally acceptable representative is not possible (see 4.8.15), the
IRB/IEC should determine that the proposed protocol and/or other document(s)
adequately addresses relevant ethical concerns and meets applicable
regulatory requirements for such trials (i.e. in emergency situations).
3.1.8 The IRB/IEC should review both the amount and method of payment to
subjects to assure that neither presents problems of coercion or undue
influence on the trial subjects. Payments to a subject should be prorated and
not wholly contingent on completion of the trial by the subject.
3.1.9 The IRB/IEC should ensure that information regarding payment to subjects,
including the methods, amounts, and schedule of payment to trial subjects, is
set forth in the written informed consent form and any other written
information to be provided to subjects. The way payment will be prorated
should be specified.
10 Guideline for Good Clinical Practice
3.2 Composition, Functions and Operations
3.2.1 The IRB/IEC should consist of a reasonable number of members, who
collectively have the qualifications and experience to review and evaluate the
science, medical aspects, and ethics of the proposed trial. It is recommended
that the IRB/IEC should include:
(a) At least five members.
(b) At least one member whose primary area of interest is in a nonscientific
area.
(c) At least one member who is independent of the institution/trial site.
Only those IRB/IEC members who are independent of the investigator and the
sponsor of the trial should vote/provide opinion on a trial-related matter.
A list of IRB/IEC members and their qualifications should be maintained.
3.2.2 The IRB/IEC should perform its functions according to written operating
procedures, should maintain written records of its activities and minutes of its
meetings, and should comply with GCP and with the applicable regulatory
requirement(s).
3.2.3 An IRB/IEC should make its decisions at announced meetings at which at
least a quorum, as stipulated in its written operating procedures, is present.
3.2.4 Only members who participate in the IRB/IEC review and discussion should
vote/provide their opinion and/or advise.
3.2.5 The investigator may provide information on any aspect of the trial, but should
not participate in the deliberations of the IRB/IEC or in the vote/opinion of the
IRB/IEC.
3.2.6 An IRB/IEC may invite nonmembers with expertise in special areas for
assistance.
3.3 Procedures
The IRB/IEC should establish, document in writing, and follow its procedures, which
should include:
3.3.1 Determining its composition (names and qualifications of the members) and
the authority under which it is established.
3.3.2 Scheduling, notifying its members of, and conducting its meetings.
3.3.3 Conducting initial and continuing review of trials.
3.3.4 Determining the frequency of continuing review, as appropriate.
3.3.5 Providing, according to the applicable regulatory requirements, expedited
review and approval/favourable opinion of minor change(s) in ongoing trials
that have the approval/favourable opinion of the IRB/IEC.
3.3.6 Specifying that no subject should be admitted to a trial before the IRB/IEC
issues its written approval/favourable opinion of the trial.
3.3.7 Specifying that no deviations from, or changes of, the protocol should be
initiated without prior written IRB/IEC approval/favourable opinion of an
appropriate amendment, except when necessary to eliminate immediate
hazards to the subjects or when the change(s) involves only logistical or
11Guideline for Good Clinical Practice
administrative aspects of the trial (e.g., change of monitor(s), telephone
number(s)) (see 4.5.2).
3.3.8 Specifying that the investigator should promptly report to the IRB/IEC:
(a) Deviations from, or changes of, the protocol to eliminate immediate
hazards to the trial subjects (see 3.3.7, 4.5.2, 4.5.4).
(b) Changes increasing the risk to subjects and/or affecting significantly the
conduct of the trial (see 4.10.2).
(c) All adverse drug reactions (ADRs) that are both serious and unexpected.
(d) New information that may affect adversely the safety of the subjects or the
conduct of the trial.
3.3.9 Ensuring that the IRB/IEC promptly notify in writing the
investigator/institution concerning:
(a) Its trial-related decisions/opinions.
(b) The reasons for its decisions/opinions.
(c) Procedures for appeal of its decisions/opinions.
3.4 Records
The IRB/IEC should retain all relevant records (e.g., written procedures, membership
lists, lists of occupations/affiliations of members, submitted documents, minutes of
meetings, and correspondence) for a period of at least 3 years after completion of the
trial and make them available upon request from the regulatory authority(ies).
The IRB/IEC may be asked by investigators, sponsors or regulatory authorities to
provide its written procedures and membership lists.
4. INVESTIGATOR
4.1 Investigator's Qualifications and Agreements
4.1.1 The investigator(s) should be qualified by education, training, and experience
to assume responsibility for the proper conduct of the trial, should meet all the
qualifications specified by the applicable regulatory requirement(s), and
should provide evidence of such qualifications through up-to-date curriculum
vitae and/or other relevant documentation requested by the sponsor, the
IRB/IEC, and/or the regulatory authority(ies).
4.1.2 The investigator should be thoroughly familiar with the appropriate use of the
investigational product(s), as described in the protocol, in the current
Investigator's Brochure, in the product information and in other information
sources provided by the sponsor.
4.1.3 The investigator should be aware of, and should comply with, GCP and the
applicable regulatory requirements.
4.1.4 The investigator/institution should permit monitoring and auditing by the
sponsor, and inspection by the appropriate regulatory authority(ies).
4.1.5 The investigator should maintain a list of appropriately qualified persons to
whom the investigator has delegated significant trial-related duties.
4.2 Adequate Resources
12 Guideline for Good Clinical Practice
4.2.1 The investigator should be able to demonstrate (e.g., based on retrospective
data) a potential for recruiting the required number of suitable subjects within
the agreed recruitment period.
4.2.2 The investigator should have sufficient time to properly conduct and complete
the trial within the agreed trial period.
4.2.3 The investigator should have available an adequate number of qualified staff
and adequate facilities for the foreseen duration of the trial to conduct the trial
properly and safely.
4.2.4 The investigator should ensure that all persons assisting with the trial are
adequately informed about the protocol, the investigational product(s), and
their trial-related duties and functions.
4.3 Medical Care of Trial Subjects
4.3.1 A qualified physician (or dentist, when appropriate), who is an investigator or
a sub-investigator for the trial, should be responsible for all trial-related
medical (or dental) decisions.
4.3.2 During and following a subject's participation in a trial, the
investigator/institution should ensure that adequate medical care is provided
to a subject for any adverse events, including clinically significant laboratory
values, related to the trial. The investigator/institution should inform a subject
when medical care is needed for intercurrent illness(es) of which the
investigator becomes aware.
4.3.3 It is recommended that the investigator inform the subject's primary physician
about the subject's participation in the trial if the subject has a primary
physician and if the subject agrees to the primary physician being informed.
4.3.4 Although a subject is not obliged to give his/her reason(s) for withdrawing
prematurely from a trial, the investigator should make a reasonable effort to
ascertain the reason(s), while fully respecting the subject's rights.
4.4 Communication with IRB/IEC
4.4.1 Before initiating a trial, the investigator/institution should have written and
dated approval/favourable opinion from the IRB/IEC for the trial protocol,
written informed consent form, consent form updates, subject recruitment
procedures (e.g., advertisements), and any other written information to be
provided to subjects.
4.4.2 As part of the investigator's/institution’s written application to the IRB/IEC,
the investigator/institution should provide the IRB/IEC with a current copy of
the Investigator's Brochure. If the Investigator's Brochure is updated during
the trial, the investigator/institution should supply a copy of the updated
Investigator’s Brochure to the IRB/IEC.
4.4.3 During the trial the investigator/institution should provide to the IRB/IEC all
documents subject to review.
4.5 Compliance with Protocol
4.5.1 The investigator/institution should conduct the trial in compliance with the
protocol agreed to by the sponsor and, if required, by the regulatory
authority(ies) and which was given approval/favourable opinion by the
13Guideline for Good Clinical Practice
IRB/IEC. The investigator/institution and the sponsor should sign the protocol,
or an alternative contract, to confirm agreement.
4.5.2 The investigator should not implement any deviation from, or changes of the
protocol without agreement by the sponsor and prior review and documented
approval/favourable opinion from the IRB/IEC of an amendment, except where
necessary to eliminate an immediate hazard(s) to trial subjects, or when the
change(s) involves only logistical or administrative aspects of the trial (e.g.,
change in monitor(s), change of telephone number(s)).
4.5.3 The investigator, or person designated by the investigator, should document
and explain any deviation from the approved protocol.
4.5.4 The investigator may implement a deviation from, or a change of, the protocol
to eliminate an immediate hazard(s) to trial subjects without prior IRB/IEC
approval/favourable opinion. As soon as possible, the implemented deviation or
change, the reasons for it, and, if appropriate, the proposed protocol
amendment(s) should be submitted:
(a) to the IRB/IEC for review and approval/favourable opinion,
(b) to the sponsor for agreement and, if required,
(c) to the regulatory authority(ies).
4.6 Investigational Product(s)
4.6.1 Responsibility for investigational product(s) accountability at the trial site(s)
rests with the investigator/institution.
4.6.2 Where allowed/required, the investigator/institution may/should assign some
or all of the investigator's/institution’s duties for investigational product(s)
accountability at the trial site(s) to an appropriate pharmacist or another
appropriate individual who is under the supervision of the
investigator/institution..
4.6.3 The investigator/institution and/or a pharmacist or other appropriate
individual, who is designated by the investigator/institution, should maintain
records of the product's delivery to the trial site, the inventory at the site, the
use by each subject, and the return to the sponsor or alternative disposition of
unused product(s). These records should include dates, quantities, batch/serial
numbers, expiration dates (if applicable), and the unique code numbers
assigned to the investigational product(s) and trial subjects. Investigators
should maintain records that document adequately that the subjects were
provided the doses specified by the protocol and reconcile all investigational
product(s) received from the sponsor.
4.6.4 The investigational product(s) should be stored as specified by the sponsor (see
5.13.2 and 5.14.3) and in accordance with applicable regulatory
requirement(s).
4.6.5 The investigator should ensure that the investigational product(s) are used
only in accordance with the approved protocol.
4.6.6 The investigator, or a person designated by the investigator/institution, should
explain the correct use of the investigational product(s) to each subject and
should check, at intervals appropriate for the trial, that each subject is
following the instructions properly.
14 Guideline for Good Clinical Practice
4.7 Randomization Procedures and Unblinding
The investigator should follow the trial's randomization procedures, if any, and should
ensure that the code is broken only in accordance with the protocol. If the trial is
blinded, the investigator should promptly document and explain to the sponsor any
premature unblinding (e.g., accidental unblinding, unblinding due to a serious
adverse event) of the investigational product(s).
4.8 Informed Consent of Trial Subjects
4.8.1 In obtaining and documenting informed consent, the investigator should
comply with the applicable regulatory requirement(s), and should adhere to
GCP and to the ethical principles that have their origin in the Declaration of
Helsinki. Prior to the beginning of the trial, the investigator should have the
IRB/IEC's written approval/favourable opinion of the written informed consent
form and any other written information to be provided to subjects.
4.8.2 The written informed consent form and any other written information to be
provided to subjects should be revised whenever important new information
becomes available that may be relevant to the subject’s consent. Any revised
written informed consent form, and written information should receive the
IRB/IEC's approval/favourable opinion in advance of use. The subject or the
subject’s legally acceptable representative should be informed in a timely
manner if new information becomes available that may be relevant to the
subject’s willingness to continue participation in the trial. The communication
of this information should be documented.
4.8.3 Neither the investigator, nor the trial staff, should coerce or unduly influence a
subject to participate or to continue to participate in a trial.
4.8.4 None of the oral and written information concerning the trial, including the
written informed consent form, should contain any language that causes the
subject or the subject's legally acceptable representative to waive or to appear
to waive any legal rights, or that releases or appears to release the
investigator, the institution, the sponsor, or their agents from liability for
negligence.
4.8.5 The investigator, or a person designated by the investigator, should fully
inform the subject or, if the subject is unable to provide informed consent, the
subject's legally acceptable representative, of all pertinent aspects of the trial
including the written information and the approval/ favourable opinion by the
IRB/IEC.
4.8.6 The language used in the oral and written information about the trial,
including the written informed consent form, should be as non-technical as
practical and should be understandable to the subject or the subject's legally
acceptable representative and the impartial witness, where applicable.
4.8.7 Before informed consent may be obtained, the investigator, or a person
designated by the investigator, should provide the subject or the subject's
legally acceptable representative ample time and opportunity to inquire about
details of the trial and to decide whether or not to participate in the trial. All
questions about the trial should be answered to the satisfaction of the subject
or the subject's legally acceptable representative.
4.8.8 Prior to a subject’s participation in the trial, the written informed consent form
should be signed and personally dated by the subject or by the subject's legally
15Guideline for Good Clinical Practice
acceptable representative, and by the person who conducted the informed
consent discussion.
4.8.9 If a subject is unable to read or if a legally acceptable representative is unable
to read, an impartial witness should be present during the entire informed
consent discussion. After the written informed consent form and any other
written information to be provided to subjects, is read and explained to the
subject or the subject’s legally acceptable representative, and after the subject
or the subject’s legally acceptable representative has orally consented to the
subject’s participation in the trial and, if capable of doing so, has signed and
personally dated the informed consent form, the witness should sign and
personally date the consent form. By signing the consent form, the witness
attests that the information in the consent form and any other written
information was accurately explained to, and apparently understood by, the
subject or the subject's legally acceptable representative, and that informed
consent was freely given by the subject or the subject’s legally acceptable
representative.
4.8.10 Both the informed consent discussion and the written informed consent form
and any other written information to be provided to subjects should include
explanations of the following:
(a) That the trial involves research.
(b) The purpose of the trial.
(c) The trial treatment(s) and the probability for random assignment to each
treatment.
(d) The trial procedures to be followed, including all invasive procedures.
(e) The subject's responsibilities.
(f) Those aspects of the trial that are experimental.
(g) The reasonably foreseeable risks or inconveniences to the subject and,
when applicable, to an embryo, fetus, or nursing infant.
(h) The reasonably expected benefits. When there is no intended clinical
benefit to the subject, the subject should be made aware of this.
(i) The alternative procedure(s) or course(s) of treatment that may be
available to the subject, and their important potential benefits and risks.
(j) The compensation and/or treatment available to the subject in the event of
trial-related injury.
(k) The anticipated prorated payment, if any, to the subject for participating
in the trial.
(l) The anticipated expenses, if any, to the subject for participating in the
trial.
(m) That the subject's participation in the trial is voluntary and that the
subject may refuse to participate or withdraw from the trial, at any time,
without penalty or loss of benefits to which the subject is otherwise
entitled.
(n) That the monitor(s), the auditor(s), the IRB/IEC, and the regulatory
authority(ies) will be granted direct access to the subject's original medical
records for verification of clinical trial procedures and/or data, without
violating the confidentiality of the subject, to the extent permitted by the
16 Guideline for Good Clinical Practice
applicable laws and regulations and that, by signing a written informed
consent form, the subject or the subject's legally acceptable representative
is authorizing such access.
(o) That records identifying the subject will be kept confidential and, to the
extent permitted by the applicable laws and/or regulations, will not be
made publicly available. If the results of the trial are published, the
subject’s identity will remain confidential.
(p) That the subject or the subject's legally acceptable representative will be
informed in a timely manner if information becomes available that may be
relevant to the subject's willingness to continue participation in the trial.
(q) The person(s) to contact for further information regarding the trial and the
rights of trial subjects, and whom to contact in the event of trial-related
injury.
(r) The foreseeable circumstances and/or reasons under which the subject's
participation in the trial may be terminated.
(s) The expected duration of the subject's participation in the trial.
(t) The approximate number of subjects involved in the trial.
4.8.11 Prior to participation in the trial, the subject or the subject's legally acceptable
representative should receive a copy of the signed and dated written informed
consent form and any other written information provided to the subjects.
During a subject’s participation in the trial, the subject or the subject’s legally
acceptable representative should receive a copy of the signed and dated
consent form updates and a copy of any amendments to the written
information provided to subjects.
4.8.12 When a clinical trial (therapeutic or non-therapeutic) includes subjects who
can only be enrolled in the trial with the consent of the subject’s legally
acceptable representative (e.g., minors, or patients with severe dementia), the
subject should be informed about the trial to the extent compatible with the
subject’s understanding and, if capable, the subject should sign and personally
date the written informed consent.
4.8.13 Except as described in 4.8.14, a non-therapeutic trial (i.e. a trial in which there
is no anticipated direct clinical benefit to the subject), should be conducted in
subjects who personally give consent and who sign and date the written
informed consent form.
4.8.14 Non-therapeutic trials may be conducted in subjects with consent of a legally
acceptable representative provided the following conditions are fulfilled:
(a) The objectives of the trial can not be met by means of a trial in subjects
who can give informed consent personally.
(b) The foreseeable risks to the subjects are low.
(c) The negative impact on the subject’s well-being is minimized and low.
(d) The trial is not prohibited by law.
(e) The approval/favourable opinion of the IRB/IEC is expressly sought on the
inclusion of such subjects, and the written approval/ favourable opinion
covers this aspect.
17Guideline for Good Clinical Practice
Such trials, unless an exception is justified, should be conducted in patients
having a disease or condition for which the investigational product is intended.
Subjects in these trials should be particularly closely monitored and should be
withdrawn if they appear to be unduly distressed.
4.8.15 In emergency situations, when prior consent of the subject is not possible, the
consent of the subject's legally acceptable representative, if present, should be
requested. When prior consent of the subject is not possible, and the subject’s
legally acceptable representative is not available, enrolment of the subject
should require measures described in the protocol and/or elsewhere, with
documented approval/favourable opinion by the IRB/IEC, to protect the rights,
safety and well-being of the subject and to ensure compliance with applicable
regulatory requirements. The subject or the subject's legally acceptable
representative should be informed about the trial as soon as possible and
consent to continue and other consent as appropriate (see 4.8.10) should be
requested.
4.9 Records and Reports
4.9.1 The investigator should ensure the accuracy, completeness, legibility, and
timeliness of the data reported to the sponsor in the CRFs and in all required
reports.
4.9.2 Data reported on the CRF, that are derived from source documents, should be
consistent with the source documents or the discrepancies should be explained.
4.9.3 Any change or correction to a CRF should be dated, initialed, and explained (if
necessary) and should not obscure the original entry (i.e. an audit trail should
be maintained); this applies to both written and electronic changes or
corrections (see 5.18.4 (n)). Sponsors should provide guidance to investigators
and/or the investigators' designated representatives on making such
corrections. Sponsors should have written procedures to assure that changes or
corrections in CRFs made by sponsor's designated representatives are
documented, are necessary, and are endorsed by the investigator. The
investigator should retain records of the changes and corrections.
4.9.4 The investigator/institution should maintain the trial documents as specified
in Essential Documents for the Conduct of a Clinical Trial (see 8.) and as
required by the applicable regulatory requirement(s). The
investigator/institution should take measures to prevent accidental or
premature destruction of these documents.
4.9.5 Essential documents should be retained until at least 2 years after the last
approval of a marketing application in an ICH region and until there are no
pending or contemplated marketing applications in an ICH region or at least 2
years have elapsed since the formal discontinuation of clinical development of
the investigational product. These documents should be retained for a longer
period however if required by the applicable regulatory requirements or by an
agreement with the sponsor. It is the responsibility of the sponsor to inform
the investigator/institution as to when these documents no longer need to be
retained (see 5.5.12).
4.9.6 The financial aspects of the trial should be documented in an agreement
between the sponsor and the investigator/institution.
18 Guideline for Good Clinical Practice
4.9.7 Upon request of the monitor, auditor, IRB/IEC, or regulatory authority, the
investigator/institution should make available for direct access all requested
trial-related records.
4.10 Progress Reports
4.10.1 The investigator should submit written summaries of the trial status to the
IRB/IEC annually, or more frequently, if requested by the IRB/IEC.
4.10.2 The investigator should promptly provide written reports to the sponsor, the
IRB/IEC (see 3.3.8) and, where applicable, the institution on any changes
significantly affecting the conduct of the trial, and/or increasing the risk to
subjects.
4.11 Safety Reporting
4.11.1 All serious adverse events (SAEs) should be reported immediately to the
sponsor except for those SAEs that the protocol or other document (e.g.,
Investigator's Brochure) identifies as not needing immediate reporting. The
immediate reports should be followed promptly by detailed, written reports.
The immediate and follow-up reports should identify subjects by unique code
numbers assigned to the trial subjects rather than by the subjects' names,
personal identification numbers, and/or addresses. The investigator should
also comply with the applicable regulatory requirement(s) related to the
reporting of unexpected serious adverse drug reactions to the regulatory
authority(ies) and the IRB/IEC.
4.11.2 Adverse events and/or laboratory abnormalities identified in the protocol as
critical to safety evaluations should be reported to the sponsor according to the
reporting requirements and within the time periods specified by the sponsor in
the protocol.
4.11.3 For reported deaths, the investigator should supply the sponsor and the
IRB/IEC with any additional requested information (e.g., autopsy reports and
terminal medical reports).
4.12 Premature Termination or Suspension of a Trial
If the trial is prematurely terminated or suspended for any reason, the
investigator/institution should promptly inform the trial subjects, should assure
appropriate therapy and follow-up for the subjects, and, where required by the
applicable regulatory requirement(s), should inform the regulatory authority(ies). In
addition:
4.12.1 If the investigator terminates or suspends a trial without prior agreement of
the sponsor, the investigator should inform the institution where applicable,
and the investigator/institution should promptly inform the sponsor and the
IRB/IEC, and should provide the sponsor and the IRB/IEC a detailed written
explanation of the termination or suspension.
19Guideline for Good Clinical Practice
4.12.2 If the sponsor terminates or suspends a trial (see 5.21), the investigator should
promptly inform the institution where applicable and the
investigator/institution should promptly inform the IRB/IEC and provide the
IRB/IEC a detailed written explanation of the termination or suspension.
4.12.3 If the IRB/IEC terminates or suspends its approval/favourable opinion of a
trial (see 3.1.2 and 3.3.9), the investigator should inform the institution where
applicable and the investigator/institution should promptly notify the sponsor
and provide the sponsor with a detailed written explanation of the termination
or suspension.
4.13 Final Report(s) by Investigator
Upon completion of the trial, the investigator, where applicable, should inform the
institution; the investigator/institution should provide the IRB/IEC with a summary
of the trial’s outcome, and the regulatory authority(ies) with any reports required.
5. SPONSOR
5.1 Quality Assurance and Quality Control
5.1.1 The sponsor is responsible for implementing and maintaining quality
assurance and quality control systems with written SOPs to ensure that trials
are conducted and data are generated, documented (recorded), and reported in
compliance with the protocol, GCP, and the applicable regulatory
requirement(s).
5.1.2 The sponsor is responsible for securing agreement from all involved parties to
ensure direct access (see 1.21) to all trial related sites, source data/documents ,
and reports for the purpose of monitoring and auditing by the sponsor, and
inspection by domestic and foreign regulatory authorities.
5.1.3 Quality control should be applied to each stage of data handling to ensure that
all data are reliable and have been processed correctly.
5.1.4 Agreements, made by the sponsor with the investigator/institution and any
other parties involved with the clinical trial, should be in writing, as part of
the protocol or in a separate agreement.
5.2 Contract Research Organization (CRO)
5.2.1 A sponsor may transfer any or all of the sponsor's trial-related duties and
functions to a CRO, but the ultimate responsibility for the quality and
integrity of the trial data always resides with the sponsor. The CRO should
implement quality assurance and quality control.
5.2.2 Any trial-related duty and function that is transferred to and assumed by a
CRO should be specified in writing.
5.2.3 Any trial-related duties and functions not specifically transferred to and
assumed by a CRO are retained by the sponsor.
5.2.4 All references to a sponsor in this guideline also apply to a CRO to the extent
that a CRO has assumed the trial related duties and functions of a sponsor.
20 Guideline for Good Clinical Practice
5.3 Medical Expertise
The sponsor should designate appropriately qualified medical personnel who will be
readily available to advise on trial related medical questions or problems. If
necessary, outside consultant(s) may be appointed for this purpose.
5.4 Trial Design
5.4.1 The sponsor should utilize qualified individuals (e.g. biostatisticians, clinical
pharmacologists, and physicians) as appropriate, throughout all stages of the
trial process, from designing the protocol and CRFs and planning the analyses
to analyzing and preparing interim and final clinical trial reports.
5.4.2 For further guidance: Clinical Trial Protocol and Protocol Amendment(s) (see
6.), the ICH Guideline for Structure and Content of Clinical Study Reports,
and other appropriate ICH guidance on trial design, protocol and conduct.
5.5 Trial Management, Data Handling, and Record Keeping
5.5.1 The sponsor should utilize appropriately qualified individuals to supervise the
overall conduct of the trial, to handle the data, to verify the data, to conduct
the statistical analyses, and to prepare the trial reports.
5.5.2 The sponsor may consider establishing an independent data-monitoring
committee (IDMC) to assess the progress of a clinical trial, including the safety
data and the critical efficacy endpoints at intervals, and to recommend to the
sponsor whether to continue, modify, or stop a trial. The IDMC should have
written operating procedures and maintain written records of all its meetings.
5.5.3 When using electronic trial data handling and/or remote electronic trial data
systems, the sponsor should:
(a) Ensure and document that the electronic data processing system(s)
conforms to the sponsor’s established requirements for completeness,
accuracy, reliability, and consistent intended performance (i.e. validation).
(b) Maintains SOPs for using these systems.
(c) Ensure that the systems are designed to permit data changes in such a
way that the data changes are documented and that there is no deletion of
entered data (i.e. maintain an audit trail, data trail, edit trail).
(d) Maintain a security system that prevents unauthorized access to the data.
(e) Maintain a list of the individuals who are authorized to make data changes
(see 4.1.5 and 4.9.3).
(f) Maintain adequate backup of the data.
(g) Safeguard the blinding, if any (e.g. maintain the blinding during data
entry and processing).
5.5.4 If data are transformed during processing, it should always be possible to
compare the original data and observations with the processed data.
5.5.5 The sponsor should use an unambiguous subject identification code (see 1.58)
that allows identification of all the data reported for each subject.
5.5.6 The sponsor, or other owners of the data, should retain all of the sponsorspecific essential documents pertaining to the trial (see 8. Essential
Documents for the Conduct of a Clinical Trial).
21Guideline for Good Clinical Practice
5.5.7 The sponsor should retain all sponsor-specific essential documents in
conformance with the applicable regulatory requirement(s) of the country(ies)
where the product is approved, and/or where the sponsor intends to apply for
approval(s).
5.5.8 If the sponsor discontinues the clinical development of an investigational
product (i.e. for any or all indications, routes of administration, or dosage
forms), the sponsor should maintain all sponsor-specific essential documents
for at least 2 years after formal discontinuation or in conformance with the
applicable regulatory requirement(s).
5.5.9 If the sponsor discontinues the clinical development of an investigational
product, the sponsor should notify all the trial investigators/institutions and
all the regulatory authorities.
5.5.10 Any transfer of ownership of the data should be reported to the appropriate
authority(ies), as required by the applicable regulatory requirement(s).
5.5.11 The sponsor specific essential documents should be retained until at least 2
years after the last approval of a marketing application in an ICH region and
until there are no pending or contemplated marketing applications in an ICH
region or at least 2 years have elapsed since the formal discontinuation of
clinical development of the investigational product. These documents should
be retained for a longer period however if required by the applicable regulatory
requirement(s) or if needed by the sponsor.
5.5.12 The sponsor should inform the investigator(s)/institution(s) in writing of the
need for record retention and should notify the investigator(s)/institution(s) in
writing when the trial related records are no longer needed.
5.6 Investigator Selection
5.6.1 The sponsor is responsible for selecting the investigator(s)/institution(s). Each
investigator should be qualified by training and experience and should have
adequate resources (see 4.1, 4.2) to properly conduct the trial for which the
investigator is selected. If organization of a coordinating committee and/or
selection of coordinating investigator(s) are to be utilized in multicentre trials,
their organization and/or selection are the sponsor's responsibility.
5.6.2 Before entering an agreement with an investigator/institution to conduct a
trial, the sponsor should provide the investigator(s)/institution(s) with the
protocol and an up-to-date Investigator's Brochure, and should provide
sufficient time for the investigator/institution to review the protocol and the
information provided.
5.6.3 The sponsor should obtain the investigator's/institution's agreement:
(a) to conduct the trial in compliance with GCP, with the applicable regulatory
requirement(s) (see 4.1.3), and with the protocol agreed to by the sponsor
and given approval/favourable opinion by the IRB/IEC (see 4.5.1);
(b) to comply with procedures for data recording/reporting;
(c) to permit monitoring, auditing and inspection (see 4.1.4) and
(d) to retain the trial related essential documents until the sponsor informs
the investigator/institution these documents are no longer needed (see
4.9.4 and 5.5.12).
22 Guideline for Good Clinical Practice
The sponsor and the investigator/institution should sign the protocol, or an
alternative document, to confirm this agreement.
5.7 Allocation of Responsibilities
Prior to initiating a trial, the sponsor should define, establish, and allocate all trialrelated duties and functions.
5.8 Compensation to Subjects and Investigators
5.8.1 If required by the applicable regulatory requirement(s), the sponsor should
provide insurance or should indemnify (legal and financial coverage) the
investigator/the institution against claims arising from the trial, except for
claims that arise from malpractice and/or negligence.
5.8.2 The sponsor's policies and procedures should address the costs of treatment of
trial subjects in the event of trial-related injuries in accordance with the
applicable regulatory requirement(s).
5.8.3 When trial subjects receive compensation, the method and manner of
compensation should comply with applicable regulatory requirement(s).
5.9 Financing
The financial aspects of the trial should be documented in an agreement between the
sponsor and the investigator/institution.
5.10 Notification/Submission to Regulatory Authority(ies)
Before initiating the clinical trial(s), the sponsor (or the sponsor and the investigator,
if required by the applicable regulatory requirement(s)) should submit any required
application(s) to the appropriate authority(ies) for review, acceptance, and/or
permission (as required by the applicable regulatory requirement(s)) to begin the
trial(s). Any notification/submission should be dated and contain sufficient
information to identify the protocol.
5.11 Confirmation of Review by IRB/IEC
5.11.1 The sponsor should obtain from the investigator/institution:
(a) The name and address of the investigator's/institution’s IRB/IEC.
(b) A statement obtained from the IRB/IEC that it is organized and operates
according to GCP and the applicable laws and regulations.
(c) Documented IRB/IEC approval/favourable opinion and, if requested by the
sponsor, a current copy of protocol, written informed consent form(s) and
any other written information to be provided to subjects, subject recruiting
procedures, and documents related to payments and compensation
available to the subjects, and any other documents that the IRB/IEC may
have requested.
5.11.2 If the IRB/IEC conditions its approval/favourable opinion upon change(s) in
any aspect of the trial, such as modification(s) of the protocol, written informed
consent form and any other written information to be provided to subjects,
and/or other procedures, the sponsor should obtain from the
investigator/institution a copy of the modification(s) made and the date
approval/favourable opinion was given by the IRB/IEC.
23Guideline for Good Clinical Practice
5.11.3 The sponsor should obtain from the investigator/institution documentation
and dates of any IRB/IEC reapprovals/re-evaluations with favourable opinion,
and of any withdrawals or suspensions of approval/favourable opinion.
5.12 Information on Investigational Product(s)
5.12.1 When planning trials, the sponsor should ensure that sufficient safety and
efficacy data from nonclinical studies and/or clinical trials are available to
support human exposure by the route, at the dosages, for the duration, and in
the trial population to be studied.
5.12.2 The sponsor should update the Investigator's Brochure as significant new
information becomes available (see 7. Investigator's Brochure).
5.13 Manufacturing, Packaging, Labelling, and Coding Investigational
Product(s)
5.13.1 The sponsor should ensure that the investigational product(s) (including active
comparator(s) and placebo, if applicable) is characterized as appropriate to the
stage of development of the product(s), is manufactured in accordance with any
applicable GMP, and is coded and labelled in a manner that protects the
blinding, if applicable. In addition, the labelling should comply with applicable
regulatory requirement(s).
5.13.2 The sponsor should determine, for the investigational product(s), acceptable
storage temperatures, storage conditions (e.g. protection from light), storage
times, reconstitution fluids and procedures, and devices for product infusion, if
any. The sponsor should inform all involved parties (e.g. monitors,
investigators, pharmacists, storage managers) of these determinations.
5.13.3 The investigational product(s) should be packaged to prevent contamination
and unacceptable deterioration during transport and storage.
5.13.4 In blinded trials, the coding system for the investigational product(s) should
include a mechanism that permits rapid identification of the product(s) in case
of a medical emergency, but does not permit undetectable breaks of the
blinding.
5.13.5 If significant formulation changes are made in the investigational or
comparator product(s) during the course of clinical development, the results of
any additional studies of the formulated product(s) (e.g. stability, dissolution
rate, bioavailability) needed to assess whether these changes would
significantly alter the pharmacokinetic profile of the product should be
available prior to the use of the new formulation in clinical trials.
5.14 Supplying and Handling Investigational Product(s)
5.14.1 The sponsor is responsible for supplying the investigator(s)/institution(s) with
the investigational product(s).
24 Guideline for Good Clinical Practice
5.14.2 The sponsor should not supply an investigator/institution with the
investigational product(s) until the sponsor obtains all required documentation
(e.g. approval/favourable opinion from IRB/IEC and regulatory authority(ies)).
5.14.3 The sponsor should ensure that written procedures include instructions that
the investigator/institution should follow for the handling and storage of
investigational product(s) for the trial and documentation thereof. The
procedures should address adequate and safe receipt, handling, storage,
dispensing, retrieval of unused product from subjects, and return of unused
investigational product(s) to the sponsor (or alternative disposition if
authorized by the sponsor and in compliance with the applicable regulatory
requirement(s)).
5.14.4 The sponsor should:
(a) Ensure timely delivery of investigational product(s) to the investigator(s).
(b) Maintain records that document shipment, receipt, disposition, return, and
destruction of the investigational product(s) (see 8. Essential Documents
for the Conduct of a Clinical Trial).
(c) Maintain a system for retrieving investigational products and
documenting this retrieval (e.g. for deficient product recall, reclaim after
trial completion, expired product reclaim).
(d) Maintain a system for the disposition of unused investigational product(s)
and for the documentation of this disposition.
5.14.5 The sponsor should:
(a) Take steps to ensure that the investigational product(s) are stable over the
period of use.
(b) Maintain sufficient quantities of the investigational product(s) used in the
trials to reconfirm specifications, should this become necessary, and
maintain records of batch sample analyses and characteristics. To the
extent stability permits, samples should be retained either until the
analyses of the trial data are complete or as required by the applicable
regulatory requirement(s), whichever represents the longer retention
period.
5.15 Record Access
5.15.1 The sponsor should ensure that it is specified in the protocol or other written
agreement that the investigator(s)/institution(s) provide direct access to source
data/documents for trial-related monitoring, audits, IRB/IEC review, and
regulatory inspection.
5.15.2 The sponsor should verify that each subject has consented, in writing, to direct
access to his/her original medical records for trial-related monitoring, audit,
IRB/IEC review, and regulatory inspection.
5.16 Safety Information
5.16.1 The sponsor is responsible for the ongoing safety evaluation of the
investigational product(s).
5.16.2 The sponsor should promptly notify all concerned investigator(s)/institution(s)
and the regulatory authority(ies) of findings that could affect adversely the
25Guideline for Good Clinical Practice
safety of subjects, impact the conduct of the trial, or alter the IRB/IEC's
approval/favourable opinion to continue the trial.
5.17 Adverse Drug Reaction Reporting
5.17.1 The sponsor should expedite the reporting to all concerned
investigator(s)/institutions(s), to the IRB(s)/IEC(s), where required, and to the
regulatory authority(ies) of all adverse drug reactions (ADRs) that are both
serious and unexpected.
5.17.2 Such expedited reports should comply with the applicable regulatory
requirement(s) and with the ICH Guideline for Clinical Safety Data
Management: Definitions and Standards for Expedited Reporting.
5.17.3 The sponsor should submit to the regulatory authority(ies) all safety updates
and periodic reports, as required by applicable regulatory requirement(s).
5.18 Monitoring
5.18.1 Purpose
The purposes of trial monitoring are to verify that:
(a) The rights and well-being of human subjects are protected.
(b) The reported trial data are accurate, complete, and verifiable from source
documents.
(c) The conduct of the trial is in compliance with the currently approved
protocol/amendment(s), with GCP, and with the applicable regulatory
requirement(s).
5.18.2 Selection and Qualifications of Monitors
(a) Monitors should be appointed by the sponsor.
(b) Monitors should be appropriately trained, and should have the scientific
and/or clinical knowledge needed to monitor the trial adequately. A
monitor’s qualifications should be documented.
(c) Monitors should be thoroughly familiar with the investigational product(s),
the protocol, written informed consent form and any other written
information to be provided to subjects, the sponsor’s SOPs, GCP, and the
applicable regulatory requirement(s).
5.18.3 Extent and Nature of Monitoring
The sponsor should ensure that the trials are adequately monitored. The
sponsor should determine the appropriate extent and nature of monitoring.
The determination of the extent and nature of monitoring should be based on
considerations such as the objective, purpose, design, complexity, blinding,
size, and endpoints of the trial. In general there is a need for on-site
monitoring, before, during, and after the trial; however in exceptional
circumstances the sponsor may determine that central monitoring in
conjunction with procedures such as investigators’ training and meetings, and
extensive written guidance can assure appropriate conduct of the trial in
accordance with GCP. Statistically controlled sampling may be an acceptable
method for selecting the data to be verified.
5.18.4 Monitor's Responsibilities
26 Guideline for Good Clinical Practice
The monitor(s) in accordance with the sponsor’s requirements should ensure
that the trial is conducted and documented properly by carrying out the
following activities when relevant and necessary to the trial and the trial site:
(a) Acting as the main line of communication between the sponsor and the
investigator.
(b) Verifying that the investigator has adequate qualifications and resources
(see 4.1, 4.2, 5.6) and remain adequate throughout the trial period, that
facilities, including laboratories, equipment, and staff, are adequate to
safely and properly conduct the trial and remain adequate throughout the
trial period.
(c) Verifying, for the investigational product(s):
(i) That storage times and conditions are acceptable, and that supplies
are sufficient throughout the trial.
(ii) That the investigational product(s) are supplied only to subjects who
are eligible to receive it and at the protocol specified dose(s).
(iii) That subjects are provided with necessary instruction on properly
using, handling, storing, and returning the investigational
product(s).
(iv) That the receipt, use, and return of the investigational product(s) at
the trial sites are controlled and documented adequately.
(v) That the disposition of unused investigational product(s) at the trial
sites complies with applicable regulatory requirement(s) and is in
accordance with the sponsor.
(d) Verifying that the investigator follows the approved protocol and all
approved amendment(s), if any.
(e) Verifying that written informed consent was obtained before each subject's
participation in the trial.
(f) Ensuring that the investigator receives the current Investigator's
Brochure, all documents, and all trial supplies needed to conduct the trial
properly and to comply with the applicable regulatory requirement(s).
(g) Ensuring that the investigator and the investigator's trial staff are
adequately informed about the trial.
(h) Verifying that the investigator and the investigator's trial staff are
performing the specified trial functions, in accordance with the protocol
and any other written agreement between the sponsor and the
investigator/institution, and have not delegated these functions to
unauthorized individuals.
(i) Verifying that the investigator is enroling only eligible subjects.
(j) Reporting the subject recruitment rate.
(k) Verifying that source documents and other trial records are accurate,
complete, kept up-to-date and maintained.
(l) Verifying that the investigator provides all the required reports,
notifications, applications, and submissions, and that these documents are
accurate, complete, timely, legible, dated, and identify the trial.
27Guideline for Good Clinical Practice
(m) Checking the accuracy and completeness of the CRF entries, source
documents and other trial-related records against each other. The monitor
specifically should verify that:
(i) The data required by the protocol are reported accurately on the
CRFs and are consistent with the source documents.
(ii) Any dose and/or therapy modifications are well documented for each
of the trial subjects.
(iii) Adverse events, concomitant medications and intercurrent illnesses
are reported in accordance with the protocol on the CRFs.
(iv) Visits that the subjects fail to make, tests that are not conducted, and
examinations that are not performed are clearly reported as such on
the CRFs.
(v) All withdrawals and dropouts of enrolled subjects from the trial are
reported and explained on the CRFs.
(n) Informing the investigator of any CRF entry error, omission, or illegibility.
The monitor should ensure that appropriate corrections, additions, or
deletions are made, dated, explained (if necessary), and initialled by the
investigator or by a member of the investigator's trial staff who is
authorized to initial CRF changes for the investigator. This authorization
should be documented.
(o) Determining whether all adverse events (AEs) are appropriately reported
within the time periods required by GCP, the protocol, the IRB/IEC, the
sponsor, and the applicable regulatory requirement(s).
(p) Determining whether the investigator is maintaining the essential
documents (see 8. Essential Documents for the Conduct of a Clinical Trial).
(q) Communicating deviations from the protocol, SOPs, GCP, and the
applicable regulatory requirements to the investigator and taking
appropriate action designed to prevent recurrence of the detected
deviations.
5.18.5 Monitoring Procedures
The monitor(s) should follow the sponsor’s established written SOPs as well as
those procedures that are specified by the sponsor for monitoring a specific
trial.
5.18.6 Monitoring Report
(a) The monitor should submit a written report to the sponsor after each trialsite visit or trial-related communication.
(b) Reports should include the date, site, name of the monitor, and name of
the investigator or other individual(s) contacted.
(c) Reports should include a summary of what the monitor reviewed and the
monitor's statements concerning the significant findings/facts, deviations
and deficiencies, conclusions, actions taken or to be taken and/or actions
recommended to secure compliance.
(d) The review and follow-up of the monitoring report with the sponsor should
be documented by the sponsor’s designated representative.
5.19 Audit
28 Guideline for Good Clinical Practice
If or when sponsors perform audits, as part of implementing quality assurance, they
should consider:
5.19.1 Purpose
The purpose of a sponsor's audit, which is independent of and separate from
routine monitoring or quality control functions, should be to evaluate trial
conduct and compliance with the protocol, SOPs, GCP, and the applicable
regulatory requirements.
5.19.2 Selection and Qualification of Auditors
(a) The sponsor should appoint individuals, who are independent of the
clinical trials/systems, to conduct audits.
(b) The sponsor should ensure that the auditors are qualified by training and
experience to conduct audits properly. An auditor’s qualifications should be
documented.
5.19.3 Auditing Procedures
(a) The sponsor should ensure that the auditing of clinical trials/systems is
conducted in accordance with the sponsor's written procedures on what to
audit, how to audit, the frequency of audits, and the form and content of
audit reports.
(b) The sponsor's audit plan and procedures for a trial audit should be guided
by the importance of the trial to submissions to regulatory authorities, the
number of subjects in the trial, the type and complexity of the trial, the
level of risks to the trial subjects, and any identified problem(s).
(c) The observations and findings of the auditor(s) should be documented.
(d) To preserve the independence and value of the audit function, the
regulatory authority(ies) should not routinely request the audit reports.
Regulatory authority(ies) may seek access to an audit report on a case by
case basis when evidence of serious GCP non-compliance exists, or in the
course of legal proceedings.
(e) When required by applicable law or regulation, the sponsor should provide
an audit certificate.
5.20 Noncompliance
5.20.1 Noncompliance with the protocol, SOPs, GCP, and/or applicable regulatory
requirement(s) by an investigator/institution, or by member(s) of the sponsor's
staff should lead to prompt action by the sponsor to secure compliance.
5.20.2 If the monitoring and/or auditing identifies serious and/or persistent
noncompliance on the part of an investigator/institution, the sponsor should
terminate the investigator's/institution’s participation in the trial. When an
investigator's/institution’s participation is terminated because of
noncompliance, the sponsor should notify promptly the regulatory
authority(ies).
29Guideline for Good Clinical Practice
5.21 Premature Termination or Suspension of a Trial
If a trial is prematurely terminated or suspended, the sponsor should promptly inform
the investigators/institutions, and the regulatory authority(ies) of the termination or
suspension and the reason(s) for the termination or suspension. The IRB/IEC should
also be informed promptly and provided the reason(s) for the termination or
suspension by the sponsor or by the investigator/institution, as specified by the
applicable regulatory requirement(s).
5.22 Clinical Trial/Study Reports
Whether the trial is completed or prematurely terminated, the sponsor should ensure
that the clinical trial reports are prepared and provided to the regulatory agency(ies)
as required by the applicable regulatory requirement(s). The sponsor should also
ensure that the clinical trial reports in marketing applications meet the standards of
the ICH Guideline for Structure and Content of Clinical Study Reports. (NOTE: The
ICH Guideline for Structure and Content of Clinical Study Reports specifies that
abbreviated study reports may be acceptable in certain cases.)
5.23 Multicentre Trials
For multicentre trials, the sponsor should ensure that:
5.23.1 All investigators conduct the trial in strict compliance with the protocol agreed
to by the sponsor and, if required, by the regulatory authority(ies), and given
approval/favourable opinion by the IRB/IEC.
5.23.2 The CRFs are designed to capture the required data at all multicentre trial
sites. For those investigators who are collecting additional data, supplemental
CRFs should also be provided that are designed to capture the additional data.
5.23.3 The responsibilities of coordinating investigator(s) and the other participating
investigators are documented prior to the start of the trial.
5.23.4 All investigators are given instructions on following the protocol, on complying
with a uniform set of standards for the assessment of clinical and laboratory
findings, and on completing the CRFs.
5.23.5 Communication between investigators is facilitated.
6. CLINICAL TRIAL PROTOCOL AND PROTOCOL AMENDMENT(S)
The contents of a trial protocol should generally include the following topics. However,
site specific information may be provided on separate protocol page(s), or addressed in
a separate agreement, and some of the information listed below may be contained in
other protocol referenced documents, such as an Investigator’s Brochure.
6.1 General Information
6.1.1 Protocol title, protocol identifying number, and date. Any amendment(s)
should also bear the amendment number(s) and date(s).
6.1.2 Name and address of the sponsor and monitor (if other than the sponsor).
6.1.3 Name and title of the person(s) authorized to sign the protocol and the protocol
amendment(s) for the sponsor.
6.1.4 Name, title, address, and telephone number(s) of the sponsor's medical expert
(or dentist when appropriate) for the trial.
30 Guideline for Good Clinical Practice
6.1.5 Name and title of the investigator(s) who is (are) responsible for conducting
the trial, and the address and telephone number(s) of the trial site(s).
6.1.6 Name, title, address, and telephone number(s) of the qualified physician (or
dentist, if applicable), who is responsible for all trial-site related medical (or
dental) decisions (if other than investigator).
6.1.7 Name(s) and address(es) of the clinical laboratory(ies) and other medical
and/or technical department(s) and/or institutions involved in the trial.
6.2 Background Information
6.2.1 Name and description of the investigational product(s).
6.2.2 A summary of findings from nonclinical studies that potentially have clinical
significance and from clinical trials that are relevant to the trial.
6.2.3 Summary of the known and potential risks and benefits, if any, to human
subjects.
6.2.4 Description of and justification for the route of administration, dosage, dosage
regimen, and treatment period(s).
6.2.5 A statement that the trial will be conducted in compliance with the protocol,
GCP and the applicable regulatory requirement(s).
6.2.6 Description of the population to be studied.
6.2.7 References to literature and data that are relevant to the trial, and that
provide background for the trial.
6.3 Trial Objectives and Purpose
A detailed description of the objectives and the purpose of the trial.
6.4 Trial Design
The scientific integrity of the trial and the credibility of the data from the trial depend
substantially on the trial design. A description of the trial design, should include:
6.4.1 A specific statement of the primary endpoints and the secondary endpoints, if
any, to be measured during the trial.
6.4.2 A description of the type/design of trial to be conducted (e.g. double-blind,
placebo-controlled, parallel design) and a schematic diagram of trial design,
procedures and stages.
6.4.3 A description of the measures taken to minimize/avoid bias, including:
(a) Randomization.
(b) Blinding.
6.4.4 A description of the trial treatment(s) and the dosage and dosage regimen of
the investigational product(s). Also include a description of the dosage form,
packaging, and labelling of the investigational product(s).
6.4.5 The expected duration of subject participation, and a description of the
sequence and duration of all trial periods, including follow-up, if any.
6.4.6 A description of the "stopping rules" or "discontinuation criteria" for individual
subjects, parts of trial and entire trial.
31Guideline for Good Clinical Practice
6.4.7 Accountability procedures for the investigational product(s), including the
placebo(s) and comparator(s), if any.
6.4.8 Maintenance of trial treatment randomization codes and procedures for
breaking codes.
6.4.9 The identification of any data to be recorded directly on the CRFs (i.e. no prior
written or electronic record of data), and to be considered to be source data.
6.5 Selection and Withdrawal of Subjects
6.5.1 Subject inclusion criteria.
6.5.2 Subject exclusion criteria.
6.5.3 Subject withdrawal criteria (i.e. terminating investigational product
treatment/trial treatment) and procedures specifying:
(a) When and how to withdraw subjects from the trial/ investigational product
treatment.
(b) The type and timing of the data to be collected for withdrawn subjects.
(c) Whether and how subjects are to be replaced.
(d) The follow-up for subjects withdrawn from investigational product
treatment/trial treatment.
6.6 Treatment of Subjects
6.6.1 The treatment(s) to be administered, including the name(s) of all the
product(s), the dose(s), the dosing schedule(s), the route/mode(s) of
administration, and the treatment period(s), including the follow-up period(s)
for subjects for each investigational product treatment/trial treatment
group/arm of the trial.
6.6.2 Medication(s)/treatment(s) permitted (including rescue medication) and not
permitted before and/or during the trial.
6.6.3 Procedures for monitoring subject compliance.
6.7 Assessment of Efficacy
6.7.1 Specification of the efficacy parameters.
6.7.2 Methods and timing for assessing, recording, and analysing of efficacy
parameters.
6.8 Assessment of Safety
6.8.1 Specification of safety parameters.
6.8.2 The methods and timing for assessing, recording, and analysing safety
parameters.
6.8.3 Procedures for eliciting reports of and for recording and reporting adverse
event and intercurrent illnesses.
6.8.4 The type and duration of the follow-up of subjects after adverse events.
6.9 Statistics
32 Guideline for Good Clinical Practice
6.9.1 A description of the statistical methods to be employed, including timing of any
planned interim analysis(ses).
6.9.2 The number of subjects planned to be enrolled. In multicentre trials, the
numbers of enrolled subjects projected for each trial site should be specified.
Reason for choice of sample size, including reflections on (or calculations of)
the power of the trial and clinical justification.
6.9.3 The level of significance to be used.
6.9.4 Criteria for the termination of the trial.
6.9.5 Procedure for accounting for missing, unused, and spurious data.
6.9.6 Procedures for reporting any deviation(s) from the original statistical plan (any
deviation(s) from the original statistical plan should be described and justified
in protocol and/or in the final report, as appropriate).
6.9.7 The selection of subjects to be included in the analyses (e.g. all randomized
subjects, all dosed subjects, all eligible subjects, evaluable subjects).
6.10 Direct Access to Source Data/Documents
The sponsor should ensure that it is specified in the protocol or other written
agreement that the investigator(s)/institution(s) will permit trial-related monitoring,
audits, IRB/IEC review, and regulatory inspection(s), providing direct access to source
data/documents.
6.11 Quality Control and Quality Assurance
6.12 Ethics
Description of ethical considerations relating to the trial.
6.13 Data Handling and Record Keeping
6.14 Financing and Insurance
Financing and insurance if not addressed in a separate agreement.
6.15 Publication Policy
Publication policy, if not addressed in a separate agreement.
6.16 Supplements
(NOTE: Since the protocol and the clinical trial/study report are closely related,
further relevant information can be found in the ICH Guideline for Structure and
Content of Clinical Study Reports.)
33Guideline for Good Clinical Practice
7. INVESTIGATOR’S BROCHURE
7.1 Introduction
The Investigator's Brochure (IB) is a compilation of the clinical and nonclinical data
on the investigational product(s) that are relevant to the study of the product(s) in
human subjects. Its purpose is to provide the investigators and others involved in the
trial with the information to facilitate their understanding of the rationale for, and
their compliance with, many key features of the protocol, such as the dose, dose
frequency/interval, methods of administration: and safety monitoring procedures. The
IB also provides insight to support the clinical management of the study subjects
during the course of the clinical trial. The information should be presented in a
concise, simple, objective, balanced, and non-promotional form that enables a
clinician, or potential investigator, to understand it and make his/her own unbiased
risk-benefit assessment of the appropriateness of the proposed trial. For this reason, a
medically qualified person should generally participate in the editing of an IB, but the
contents of the IB should be approved by the disciplines that generated the described
data.
This guideline delineates the minimum information that should be included in an IB
and provides suggestions for its layout. It is expected that the type and extent of
information available will vary with the stage of development of the investigational
product. If the investigational product is marketed and its pharmacology is widely
understood by medical practitioners, an extensive IB may not be necessary. Where
permitted by regulatory authorities, a basic product information brochure, package
leaflet, or labelling may be an appropriate alternative, provided that it includes
current, comprehensive, and detailed information on all aspects of the investigational
product that might be of importance to the investigator. If a marketed product is
being studied for a new use (i.e., a new indication), an IB specific to that new use
should be prepared. The IB should be reviewed at least annually and revised as
necessary in compliance with a sponsor's written procedures. More frequent revision
may be appropriate depending on the stage of development and the generation of
relevant new information. However, in accordance with Good Clinical Practice,
relevant new information may be so important that it should be communicated to the
investigators, and possibly to the Institutional Review Boards (IRBs)/Independent
Ethics Committees (IECs) and/or regulatory authorities before it is included in a
revised IB.
Generally, the sponsor is responsible for ensuring that an up-to-date IB is made
available to the investigator(s) and the investigators are responsible for providing the
up-to-date IB to the responsible IRBs/IECs. In the case of an investigator sponsored
trial, the sponsor-investigator should determine whether a brochure is available from
the commercial manufacturer. If the investigational product is provided by the
sponsor-investigator, then he or she should provide the necessary information to the
trial personnel. In cases where preparation of a formal IB is impractical, the sponsorinvestigator should provide, as a substitute, an expanded background information
section in the trial protocol that contains the minimum current information described
in this guideline.
34 Guideline for Good Clinical Practice
7.2 General Considerations
The IB should include:
7.2.1 Title Page
This should provide the sponsor's name, the identity of each investigational
product (i.e., research number, chemical or approved generic name, and trade
name(s) where legally permissible and desired by the sponsor), and the release
date. It is also suggested that an edition number, and a reference to the
number and date of the edition it supersedes, be provided. An example is given
in Appendix 1.
7.2.2 Confidentiality Statement
The sponsor may wish to include a statement instructing the
investigator/recipients to treat the IB as a confidential document for the sole
information and use of the investigator's team and the IRB/IEC.
7.3 Contents of the Investigator’s Brochure
The IB should contain the following sections, each with literature references where
appropriate:
7.3.1 Table of Contents
An example of the Table of Contents is given in Appendix 2
7.3.2 Summary
A brief summary (preferably not exceeding two pages) should be given,
highlighting the significant physical, chemical, pharmaceutical,
pharmacological, toxicological, pharmacokinetic, metabolic, and clinical
information available that is relevant to the stage of clinical development of
the investigational product.
7.3.3 Introduction
A brief introductory statement should be provided that contains the chemical
name (and generic and trade name(s) when approved) of the investigational
product(s), all active ingredients, the investigational product (s )
pharmacological class and its expected position within this class (e.g.
advantages), the rationale for performing research with the investigational
product(s), and the anticipated prophylactic, therapeutic, or diagnostic
indication(s). Finally, the introductory statement should provide the general
approach to be followed in evaluating the investigational product.
7.3.4 Physical, Chemical, and Pharmaceutical Properties and Formulation
A description should be provided of the investigational product substance(s)
(including the chemical and/or structural formula(e)), and a brief summary
should be given of the relevant physical, chemical, and pharmaceutical
properties.
To permit appropriate safety measures to be taken in the course of the trial, a
description of the formulation(s) to be used, including excipients, should be
provided and justified if clinically relevant. Instructions for the storage and
handling of the dosage form(s) should also be given.
Any structural similarities to other known compounds should be mentioned.
35Guideline for Good Clinical Practice
7.3.5 Nonclinical Studies
Introduction:
The results of all relevant nonclinical pharmacology, toxicology,
pharmacokinetic, and investigational product metabolism studies should be
provided in summary form. This summary should address the methodology
used, the results, and a discussion of the relevance of the findings to the
investigated therapeutic and the possible unfavourable and unintended effects
in humans.
The information provided may include the following, as appropriate, if
known/available:
• Species tested
• Number and sex of animals in each group
• Unit dose (e.g., milligram/kilogram (mg/kg))
• Dose interval
• Route of administration
• Duration of dosing
• Information on systemic distribution
• Duration of post-exposure follow-up
• Results, including the following aspects:
− Nature and frequency of pharmacological or toxic effects
− Severity or intensity of pharmacological or toxic effects
− Time to onset of effects
− Reversibility of effects
− Duration of effects
− Dose response
Tabular format/listings should be used whenever possible to enhance the
clarity of the presentation.
The following sections should discuss the most important findings from the
studies, including the dose response of observed effects, the relevance to
humans, and any aspects to be studied in humans. If applicable, the effective
and nontoxic dose findings in the same animal species should be compared
(i.e., the therapeutic index should be discussed). The relevance of this
information to the proposed human dosing should be addressed. Whenever
possible, comparisons should be made in terms of blood/tissue levels rather
than on a mg/kg basis.
(a) Nonclinical Pharmacology
A summary of the pharmacological aspects of the investigational product
and, where appropriate, its significant metabolites studied in animals,
should be included. Such a summary should incorporate studies that
assess potential therapeutic activity (e.g. efficacy models, receptor binding,
and specificity) as well as those that assess safety (e.g., special studies to
assess pharmacological actions other than the intended therapeutic
effect(s)).
36 Guideline for Good Clinical Practice
(b) Pharmacokinetics and Product Metabolism in Animals
A summary of the pharmacokinetics and biological transformation and
disposition of the investigational product in all species studied should be
given. The discussion of the findings should address the absorption and the
local and systemic bioavailability of the investigational product and its
metabolites, and their relationship to the pharmacological and
toxicological findings in animal species.
(c) Toxicology
A summary of the toxicological effects found in relevant studies conducted
in different animal species should be described under the following
headings where appropriate:
− Single dose
− Repeated dose
− Carcinogenicity
− Special studies (e.g. irritancy and sensitisation)
− Reproductive toxicity
− Genotoxicity (mutagenicity)
7.3.6 Effects in Humans
Introduction:
A thorough discussion of the known effects of the investigational product(s) in
humans should be provided, including information on pharmacokinetics,
metabolism, pharmacodynamics, dose response, safety, efficacy, and other
pharmacological activities. Where possible, a summary of each completed
clinical trial should be provided. Information should also be provided
regarding results of any use of the investigational product(s) other than from
in clinical trials, such as from experience during marketing.
(a) Pharmacokinetics and Product Metabolism in Humans
− A summary of information on the pharmacokinetics of the
investigational product(s) should be presented, including the following,
if available:
− Pharmacokinetics (including metabolism, as appropriate, and
absorption, plasma protein binding, distribution, and elimination).
− Bioavailability of the investigational product (absolute, where possible,
and/or relative) using a reference dosage form.
− Population subgroups (e.g., gender, age, and impaired organ function).
− Interactions (e.g., product-product interactions and effects of food).
− Other pharmacokinetic data (e.g., results of population studies
performed within clinical trial(s).
(b) Safety and Efficacy
A summary of information should be provided about the investigational
product's/products' (including metabolites, where appropriate) safety,
pharmacodynamics, efficacy, and dose response that were obtained from
preceding trials in humans (healthy volunteers and/or patients). The
implications of this information should be discussed. In cases where a
number of clinical trials have been completed, the use of summaries of
safety and efficacy across multiple trials by indications in subgroups may
provide a clear presentation of the data. Tabular summaries of adverse
drug reactions for all the clinical trials (including those for all the studied
indications) would be useful. Important differences in adverse drug
37Guideline for Good Clinical Practice
reaction patterns/incidences across indications or subgroups should be
discussed.
The IB should provide a description of the possible risks and adverse drug
reactions to be anticipated on the basis of prior experiences with the
product under investigation and with related products. A description
should also be provided of the precautions or special monitoring to be done
as part of the investigational use of the product(s).
(c) Marketing Experience
The IB should identify countries where the investigational product has
been marketed or approved. Any significant information arising from the
marketed use should be summarised (e.g., formulations, dosages, routes of
administration, and adverse product reactions). The IB should also identify
all the countries where the investigational product did not receive
approval/registration for marketing or was withdrawn from
marketing/registration.
7.3.7 Summary of Data and Guidance for the Investigator
This section should provide an overall discussion of the nonclinical and clinical
data, and should summarise the information from various sources on different
aspects of the investigational product(s), wherever possible. In this way, the
investigator can be provided with the most informative interpretation of the
available data and with an assessment of the implications of the information
for future clinical trials.
Where appropriate, the published reports on related products should be
discussed. This could help the investigator to anticipate adverse drug reactions
or other problems in clinical trials.
The overall aim of this section is to provide the investigator with a clear
understanding of the possible risks and adverse reactions, and of the
specific tests, observations, and precautions that may be needed for a
clinical trial. This understanding should be based on the available physical,
chemical, pharmaceutical, pharmacological, toxicological, and clinical
information on the investigational product(s). Guidance should also be
provided to the clinical investigator on the recognition and treatment of
possible overdose and adverse drug reactions that is based on previous
human experience and on the pharmacology of the investigational product.
38 Guideline for Good Clinical Practice
7.4 APPENDIX 1:
TITLE PAGE (Example)
SPONSOR'S NAME
Product:
Research Number:
Name(s): Chemical, Generic (if approved)
Trade Name(s) (if legally permissible and desired by the sponsor)
INVESTIGATOR'SBROCHURE
Edition Number:
Release Date:
Replaces Previous Edition Number:
Date:
39Guideline for Good Clinical Practice
40
7.5 APPENDIX 2:
TABLE OF CONTENTS OF INVESTIGATOR'S BROCHURE (Example)
- Confidentiality Statement (optional) ...........................................................................
- Signature Page (optional) .............................................................................................
1 Table of Contents .........................................................................................................
2 Summary ......................................................................................................................
3 Introduction ..................................................................................................................
4 Physical, Chemical, and Pharmaceutical Properties and Formulation ....................
5 Nonclinical Studies ......................................................................................................
5.1 Nonclinical Pharmacology ...........................................................................................
5.2 Pharmacokinetics and Product Metabolism in Animals ............................................
5.3 Toxicology .....................................................................................................................
6 Effects in Humans ........................................................................................................
6.1 Pharmacokinetics and Product Metabolism in Humans ............................................
6.2 Safety and Efficacy .......................................................................................................
6.3 Marketing Experience ..................................................................................................
7 Summary of Data and Guidance for the Investigator ................................................
NB: References on 1. Publications
2. Reports
These references should be found at the end of each chapter
Appendices (if any) Guideline for Good Clinical Practice
8. ESSENTIAL DOCUMENTS FOR THE CONDUCT OF A CLINICAL TRIAL
8.1 Introduction
Essential Documents are those documents which individually and collectively permit evaluation of the conduct of a trial and the quality
of the data produced. These documents serve to demonstrate the compliance of the investigator, sponsor and monitor with the standards
of Good Clinical Practice and with all applicable regulatory requirements.
Essential Documents also serve a number of other important purposes. Filing essential documents at the investigator/institution and
sponsor sites in a timely manner can greatly assist in the successful management of a trial by the investigator, sponsor and monitor.
These documents are also the ones which are usually audited by the sponsor's independent audit function and inspected by the
regulatory authority(ies) as part of the process to confirm the validity of the trial conduct and the integrity of data collected.
The minimum list of essential documents which has been developed follows. The various documents are grouped in three sections
according to the stage of the trial during which they will normally be generated: 1) before the clinical phase of the trial commences, 2)
during the clinical conduct of the trial, and 3) after completion or termination of the trial. A description is given of the purpose of each
document, and whether it should be filed in either the investigator/institution or sponsor files, or both. It is acceptable to combine some of
the documents, provided the individual elements are readily identifiable.
Trial master files should be established at the beginning of the trial, both at the investigator/institution’s site and at the sponsor's office.
A final close-out of a trial can only be done when the monitor has reviewed both investigator/institution and sponsor files and confirmed
that all necessary documents are in the appropriate files.
Any or all of the documents addressed in this guideline may be subject to, and should be available for, audit by the sponsor’s auditor and
inspection by the regulatory authority(ies).
41 Guideline for Good Clinical Practice
8.2 Before the Clinical Phase of the Trial Commences
During this planning stage the following documents should be generated and should be on file before the trial formally starts
Title of Document Purpose Located in Files of
Investigator/
Institution
Sponsor
8.2.1 INVESTIGATOR’S BROCHURE To document that relevant and current scientific
information about the investigational product
has been provided to the investigator
X X
8.2.2 SIGNED PROTOCOL AND AMENDMENTS,
IF ANY, AND SAMPLE CASE REPORT
FORM (CRF)
To document investigator and sponsor
agreement to the protocol/amendment(s) and
CRF
X X
8.2.3 INFORMATION GIVEN TO TRIAL
SUBJECT
- INFORMED CONSENT FORM
(including all applicable translations)
To document the informed consent
X X
- ANY OTHER WRITTEN INFORMATION To document that subjects will be given
appropriate written information (content and
wording) to support their ability to give fully
informed consent
X X
- ADVERTISEMENT FOR SUBJECT
RECRUITMENT (if used)
To document that recruitment measures are
appropriate and not coercive
X
8.2.4 FINANCIAL ASPECTS OF THE TRIAL To document the financial agreement between
the investigator/institution and the sponsor for
the trial
X X
42 Guideline for Good Clinical Practice
Title of Document Purpose Located in Files of
Investigator/
Institution
Sponsor
8.2.5 INSURANCE STATEMENT
(where required)
To document that compensation to subject(s) for
trial-related injury will be available
X X
8.2.6 SIGNED AGREEMENT BETWEEN
INVOLVED PARTIES, e.g.:
- investigator/institution and sponsor
- investigator/institution and CRO
- sponsor and CRO
- investigator/institution and authority(ies)
(where required)
To document agreements
X
X
X
X
X
(where required)
X
X
8.2.7 DATED, DOCUMENTED
APPROVAL/FAVOURABLE OPINION OF
INSTITUTIONAL REVIEW BOARD (IRB)
/INDEPENDENT ETHICS COMMITTEE
(IEC) OF THE FOLLOWING:
- protocol and any amendments
- CRF (if applicable)
- informed consent form(s)
- any other written information to be
provided to the subject(s)
- advertisement for subject recruitment
(if used)
- subject compensation (if any)
- any other documents given approval/
favourable opinion
To document that the trial has been subject to
IRB/IEC review and given approval/favourable
opinion. To identify the version number and
date of the document(s)
X X
43 Guideline for Good Clinical Practice
Title of Document Purpose Located in Files of
Investigator/
Institution
Sponsor
8.2.8 INSTITUTIONAL REVIEW
BOARD/INDEPENDENT ETHICS
COMMITTEE COMPOSITION
To document that the IRB/IEC is constituted in
agreement with GCP
X X
(where
required)
8.2.9 REGULATORY AUTHORITY(IES)
AUTHORISATION/APPROVAL/
NOTIFICATION OF PROTOCOL
(where required)
To document appropriate
authorisation/approval/notification by the regulatory
authority(ies) has been obtained prior to initiation of
the trial in compliance with the applicable
regulatory requirement(s)
X
(where
required)
X
(where
required)
8.2.10 CURRICULUM VITAE AND/OR OTHER
RELEVANT DOCUMENTS EVIDENCING
QUALIFICATIONS OF INVESTIGATOR(S)
AND SUB-INVESTIGATOR(S)
To document qualifications and eligibility to
conduct trial and/or provide medical supervision
of subjects
X X
8.2.11 NORMAL VALUE(S)/RANGE(S) FOR
MEDICAL/ LABORATORY/TECHNICAL
PROCEDURE(S) AND/OR TEST(S)
INCLUDED IN THE PROTOCOL
To document normal values and/or ranges of the
tests
X X
8.2.12 MEDICAL/LABORATORY/TECHNICAL
PROCEDURES /TESTS
- certification or
- accreditation or
- established quality control and/or external
quality assessment or
- other validation (where required)
To document competence of facility to perform
required test(s) , and support reliability of
results
X
(where
required)
X
44 Guideline for Good Clinical Practice
Title of Document Purpose Located in Files of
Investigator/
Institution
Sponsor
8.2.13 SAMPLE OF LABEL(S) ATTACHED TO
INVESTIGATIONAL PRODUCT
CONTAINER(S)
To document compliance with applicable
labelling regulations and appropriateness of
instructions provided to the subjects
X
8.2.14 INSTRUCTIONS FOR HANDLING OF
INVESTIGATIONAL PRODUCT(S) AND
TRIAL-RELATED MATERIALS
(if not included in protocol or Investigator’s
Brochure)
To document instructions needed to ensure
proper storage, packaging, dispensing and
disposition of investigational products and trialrelated materials
X X
8.2.15 SHIPPING RECORDS FOR
INVESTIGATIONAL PRODUCT(S) AND
TRIAL-RELATED MATERIALS
To document shipment dates, batch numbers
and method of shipment of investigational
product(s) and trial-related materials. Allows
tracking of product batch, review of shipping
conditions, and accountability
X X
8.2.16 CERTIFICATE(S) OF ANALYSIS OF
INVESTIGATIONAL PRODUCT(S)
SHIPPED
To document identity, purity, and strength of
investigational product(s) to be used in the trial
X
8.2.17 DECODING PROCEDURES FOR BLINDED
TRIALS
To document how, in case of an emergency,
identity of blinded investigational product can
be revealed without breaking the blind for the
remaining subjects' treatment
X X
(third party if
applicable)
45 Guideline for Good Clinical Practice
Title of Document Purpose Located in Files of
Investigator/
Institution
Sponsor
8.2.18 MASTER RANDOMISATION LIST To document method for randomisation of trial
population
X
(third party if
applicable)
8.2.19 PRE-TRIAL MONITORING REPORT To document that the site is suitable for the
trial (may be combined with 8.2.20)
X
8.2.20 TRIAL INITIATION MONITORING
REPORT
To document that trial procedures were
reviewed with the investigator and the
investigator’s trial staff ( may be combined with
8.2.19)
X X
8.3 During the Clinical Conduct of the Trial
In addition to having on file the above documents, the following should be added to the files during the trial as evidence that all new
relevant information is documented as it becomes available
8.3.1 INVESTIGATOR’S BROCHURE UPDATES To document that investigator is informed in a
timely manner of relevant information as it
becomes available
X X
46 Guideline for Good Clinical Practice
Title of Document Purpose Located in Files of
Investigator/
Institution
Sponsor
8.3.2 ANY REVISION TO:
- protocol/amendment(s) and CRF
- informed consent form
- any other written information provided to
subjects
- advertisement for subject recruitment
(if used)
To document revisions of these trial related
documents that take effect during trial
X X
8.3.3 DATED, DOCUMENTED
APPROVAL/FAVOURABLE OPINION OF
INSTITUTIONAL REVIEW BOARD (IRB)
/INDEPENDENT ETHICS COMMITTEE
(IEC) OF THE FOLLOWING:
- protocol amendment(s)
- revision(s) of:
- informed consent form
- any other written information to be
provided to the subject
- advertisement for subject recruitment
(if used)
- any other documents given
approval/favourable opinion
- continuing review of trial (where required)
To document that the amendment(s) and/or
revision(s) have been subject to IRB/IEC review
and were given approval/favourable opinion. To
identify the version number and date of the
document(s).
X X
47 Guideline for Good Clinical Practice
Title of Document Purpose Located in Files of
Investigator/
Institution
Sponsor
8.3.4
REGULATORY AUTHORITY(IES)
AUTHORISATIONS/APPROVALS/NOTIFICATI
ONS WHERE REQUIRED FOR:
- protocol amendment(s) and other
documents
To document compliance with applicable
regulatory requirements
X
(where
required)
X
8.3.5 CURRICULUM VITAE FOR NEW
INVESTIGATOR(S) AND/OR SUBINVESTIGATOR(S)
(see 8.2.10)
X X
8.3.6 UPDATES TO NORMAL
VALUE(S)/RANGE(S) FOR MEDICAL/
LABORATORY/ TECHNICAL
PROCEDURE(S)/TEST(S) INCLUDED IN
THE PROTOCOL
To document normal values and ranges that are
revised during the trial (see 8.2.11)
X X
8.3.7 UPDATES OF MEDICAL/LABORATORY/
TECHNICAL PROCEDURES/TESTS
- certification or
- accreditation or
- established quality control and/or external
quality assessment or
- other validation (where required)
To document that tests remain adequate
throughout the trial period (see 8.2.12)
X
(where
required)
X
8.3.8 DOCUMENTATION OF
INVESTIGATIONAL PRODUCT(S) AND
TRIAL-RELATED MATERIALS SHIPMENT
(see 8.2.15.)
X X
48 Guideline for Good Clinical Practice
Title of Document Purpose Located in Files of
Investigator/
Institution
Sponsor
8.3.9 CERTIFICATE(S) OF ANALYSIS FOR NEW
BATCHES OF INVESTIGATIONAL
PRODUCTS
(see 8.2.16)
X
8.3.10 MONITORING VISIT REPORTS To document site visits by, and findings of, the
monitor
X
8.3.11 RELEVANT COMMUNICATIONS OTHER
THAN SITE VISITS
- letters
- meeting notes
- notes of telephone calls
To document any agreements or significant
discussions regarding trial administration,
protocol violations, trial conduct, adverse event
(AE) reporting
X X
8.3.12 SIGNED INFORMED CONSENT FORMS To document that consent is obtained in
accordance with GCP and protocol and dated
prior to participation of each subject in trial.
Also to document direct access permission (see
8.2.3)
X
8.3.13 SOURCE DOCUMENTS To document the existence of the subject and
substantiate integrity of trial data collected. To
include original documents related to the trial,
to medical treatment, and history of subject
X
49 Guideline for Good Clinical Practice
Title of Document Purpose Located in Files of
Investigator/
Institution
Sponsor
8.3.14 SIGNED, DATED AND COMPLETED
CASE REPORT FORMS (CRF)
To document that the investigator or authorised
member of the investigator’s staff confirms the
observations recorded
X
(copy)
X
(original)
8.3.15 DOCUMENTATION OF CRF
CORRECTIONS
To document all changes/additions or
corrections made to CRF after initial data were
recorded
X
(copy)
X
(original)
8.3.16 NOTIFICATION BY ORIGINATING
INVESTIGATOR TO SPONSOR OF
SERIOUS ADVERSE EVENTS AND
RELATED REPORTS
Notification by originating investigator to
sponsor of serious adverse events and related
reports in accordance with 4.11
X X
8.3.17 NOTIFICATION BY SPONSOR AND/OR
INVESTIGATOR, WHERE APPLICABLE,
TO REGULATORY AUTHORITY(IES) AND
IRB(S)/IEC(S) OF UNEXPECTED SERIOUS
ADVERSE DRUG REACTIONS AND OF
OTHER SAFETY INFORMATION
Notification by sponsor and/or investigator,
where applicable, to regulatory authorities and
IRB(s)/IEC(s) of unexpected serious adverse
drug reactions in accordance with 5.17 and
4.11.1 and of other safety information in
accordance with 5.16.2 and 4.11.2
X
(where
required)
X
8.3.18 NOTIFICATION BY SPONSOR TO
INVESTIGATORS OF SAFETY
INFORMATION
Notification by sponsor to investigators of safety
information in accordance with 5.16.2
X X
8.3.19 INTERIM OR ANNUAL REPORTS TO
IRB/IEC AND AUTHORITY(IES)
Interim or annual reports provided to IRB/IEC
in accordance with 4.10 and to authority(ies) in
accordance with 5.17.3
X X
(where
required)
50 Guideline for Good Clinical Practice
Title of Document Purpose Located in Files of
Investigator/
Institution
Sponsor
8.3.20 SUBJECT SCREENING LOG To document identification of subjects who
entered pre-trial screening
X X
(where
required)
8.3.21 SUBJECT IDENTIFICATION CODE LIST To document that investigator/institution keeps
a confidential list of names of all subjects
allocated to trial numbers on enrolling in the
trial. Allows investigator/institution to reveal
identity of any subject
X
8.3.22 SUBJECT ENROLMENT LOG To document chronological enrolment of
subjects by trial number
X
8.3.23 INVESTIGATIONAL PRODUCTS
ACCOUNTABILITY AT THE SITE
To document that investigational product(s)
have been used according to the protocol
X X
8.3.24 SIGNATURE SHEET To document signatures and initials of all
persons authorised to make entries and/or
corrections on CRFs
X X
8.3.25 RECORD OF RETAINED BODY FLUIDS/
TISSUE SAMPLES (IF ANY)
To document location and identification of
retained samples if assays need to be repeated
X X
51 Guideline for Good Clinical Practice
8.4 After Completion or Termination of the Trial
After completion or termination of the trial, all of the documents identified in sections 8.2 and 8.3 should be in the file together with the
following
Title of Document Purpose Located in Files of
Investigator/
Institution
Sponsor
8.4.1 INVESTIGATIONAL PRODUCT(S)
ACCOUNTABILITY AT SITE
To document that the investigational product(s)
have been used according to the protocol. To
documents the final accounting of
investigational product(s) received at the site,
dispensed to subjects, returned by the subjects,
and returned to sponsor
X X
8.4.2 DOCUMENTATION OF
INVESTIGATIONAL PRODUCT
DESTRUCTION
To document destruction of unused
investigational products by sponsor or at site
X
(if destroyed at
site)
X
8.4.3 COMPLETED SUBJECT IDENTIFICATION
CODE LIST
To permit identification of all subjects enrolled
in the trial in case follow-up is required. List
should be kept in a confidential manner and for
agreed upon time
X
8.4.4 AUDIT CERTIFICATE (if available) To document that audit was performed X
8.4.5 FINAL TRIAL CLOSE-OUT MONITORING
REPORT
To document that all activities required for trial
close-out are completed, and copies of essential
documents are held in the appropriate files
X
8.4.6 TREATMENT ALLOCATION AND
DECODING DOCUMENTATION
Returned to sponsor to document any decoding
that may have occurred
X
52 Guideline for Good Clinical Practice
Title of Document Purpose Located in Files of
Investigator/
Institution
Sponsor
8.4.7 FINAL REPORT BY INVESTIGATOR TO
IRB/IEC WHERE REQUIRED, AND
WHERE APPLICABLE, TO THE
REGULATORY AUTHORITY(IES)
To document completion of the trial X
8.4.8 CLINICAL STUDY REPORT To document results and interpretation of trial X
(if applicable)
X
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