UCM337271

Embed Size (px)

Citation preview

  • 8/11/2019 UCM337271

    1/75

    Investigator ResponsibilitiesInvestigator Responsibilities

    Regulation and Clinical TrialsRegulation and Clinical Trials

    FDAS 2012 Clinical Investigator Training CourseCynthia F. Kleppinger, M.D.

    Division of Good Clinical Practice Compliance

    Office of Scientific Investigations

    Office of Compliance, CDER

    November 14, 2012

  • 8/11/2019 UCM337271

    2/75

    2

    ObjectivesObjectives

    Discuss specific problems seen during FDA inspections

    at clinical sites

    Discuss specific problems seen during FDA inspections

    at clinical sites

    Identify the federal regulations coveringclinical research and clinical investigator obligations

    Identify the federal regulations covering

    clinical research and clinical investigator obligations

    Discuss various methods that can be used to ensure

    compliance with federal regulations and study

    protocol requirements

    Discuss various methods that can be used to ensure

    compliance with federal regulations and study

    protocol requirements

  • 8/11/2019 UCM337271

    3/75

    3

    Who is an Investigator?Who is an Investigator?An individual who actually conducts a

    study

    (i.e. under whose immediatedirection the drug is dispensed to a

    subject.)In the event an investigation isconducted by a team of individuals, theinvestigator is the responsible leader

    ofthe team.

    [21 CFR 312.3]

  • 8/11/2019 UCM337271

    4/75

    4

    SponsorSponsor--InvestigatorInvestigatorA

    in

    n individual who both initiates and conducts an

    vestigation, and under whose immediatedirection the investigational drug is administeredor dispensed.

    The term does not include any person otherthan an individual.

    The requirements applicable to a sponsor-

    investigator under this part include both thoseapplicable to an investigator and a sponsor.

    [21 CFR 312.3]

  • 8/11/2019 UCM337271

    5/75

    Question ?Question ?Does the investigator have to be a medical

    doctor?

    ANSWER: NO A physician can be asubinvestigator to perform those studyfunctions requiring the appropriate level of

    medical expertise.[21 CFR 312.53(a)]

    5

  • 8/11/2019 UCM337271

    6/756

    Legal FrameworkLegal Framework

    i

    Gu

    FA

    C

    ederal Food, Drug, and Cosmetic Act (FD&Cct)

    Section 505(i) is the statutory authority for FDAsoversight of clinical investigations to test safety andeffectiveness

    ode of Federal Regulations (CFR)Regulations promulgated under Section 505(i)describing FDAs authority over the conduct of clinicalnvestigations including

    Sponsor responsibilitiesClinical Investigator responsibilities

    idances Advisory only, to assist clinical investigators and

    sponsors in complying with the regulations

  • 8/11/2019 UCM337271

    7/75

    Clinical Trial EnvironmentClinical Trial Environment

    SponsorSponsor

    InstitutionInstitution

    IRBsIRBs

    OHRPOHRP

    FDAFDA

    Study SubjectsStudy Subjects

    InvestigatorInvestigator

  • 8/11/2019 UCM337271

    8/758

    FDA Expectations of ClinicalFDA Expectations of ClinicalInvestigatorsInvestigators

    Adherence to Code of Federal Regulations

    Knowledge of Clinical Investigatorregulations

    Understanding of Clinical Investigator

    responsibilities

  • 8/11/2019 UCM337271

    9/75

    Statement of InvestigatorStatement of Investigator

    Form FDA 1572Form FDA 1572

    No investigator may participate in aninvestigation until he/she provides thesponsor with a completed, signed

    Statement of Investigator, Form FDA1572

    [21 CFR 312.53(c)].

  • 8/11/2019 UCM337271

    10/75

    DEPARTMENT OF HEALTH AND HUMAN SERVICES Form Approved: OMB No. 0910-0014.PUBLIC HEALTH SERVICE Expiration Date: January 31, 2006.

    See OMB Statement on Reverse.FOOD AND DRUG ADMINISTRATION

    STATEMENT OF INVESTIGATOR NOTE: No investigator may participatein an investigation until he/she provides

    (TITLE 21, CODE OF FEDERAL REGULATIONS (CFR) Part 312)the sponsor with a completed, signed

    (See instructions on reverse side.)Statement of Investigator, Form FDA1572 (21 CFR 312.53(c))

    1. NAME AND ADDRESS OF INVESTIGATOR

    2. EDUCATION, TRAINING, AND EXPERIENCE THAT QUALIFIES THE INVESTIGATOR AS AN EXPERT IN THE CLINICAL INVESTIGATION OF THE DRUG FOR THE USEUNDER INVESTIGATION. ONE OF THE FOLLOWING IS ATTACHED.

    CURRICULUM VITAE OTHER STATEMENT OF QUALIFICATIONS

    3. NAME AND ADDRESS OF ANY MEDICAL SCHOOL, HOSPITAL, OR OTHER RESEARCH FACILITY WHERE THE CLINICAL INVESTIGATION(S) WILL BE CONDUCTED.

    4. NAME AND ADDRESS OF ANY CLINICAL LABORATORY FACILITIES TO BE USED IN THE STUDY.

    5. NAME AND ADDRESS OF THE INSTITUTIONAL REVIEW BOARD (IRB) THAT IS RESPONSIBLE FOR REVIEW AND APPROVAL OF THE STUDY(IES).

    6. NAMES OF THE SUBINVESTIGATORS (e.g., research fellows, residents, associates) WHO WILL BE ASSISTING THE INVESTIGATOR IN THE CONDUCT OF THE INVESTIGATION(S).

    7. NAME AND CODE NUMBER, IF ANY, OF THE PROTOCOL(S) IN THE IND FOR THE STUDY(IES) TO BE CONDUCTED BY THE INVESTIGATOR.

    FDA 1

    572

    1/03)

    REVIO

    US EDITION ISOBSOLETE

  • 8/11/2019 UCM337271

    11/75

  • 8/11/2019 UCM337271

    12/7512

    Commitments on 1572Commitments on 1572Personally conduct or supervise investigation

    Follow protocol- only make changes afternotifyin

    g the sponsor unless subject at riskEnsure all persons assisting with the study are

    informed of obligationsInform subjects that drugs are being used forinvestigational purposes

    Ensure informed consent (21 CFR Part 50) anIRB review, approval and reporting (21 CFRPart 56)Report to sponsor adverse events (21 CFR312.64)

    d

  • 8/11/2019 UCM337271

    13/7513

    Commitments (cont.)Commitments (cont.)Maintain adequate and accurate records

    (21 CFR 312.62) and make them availablefor inspection in accordance with 21 CFR312.68Ensure initial and continuing review by an

    IRB and report all changes to researchand unanticipated problems involving risksto subjects, not make any changes without

    IRB approval except where necessary toeliminate immediate hazardsComply with other requirements in 21 CFR312

  • 8/11/2019 UCM337271

    14/7514

    Form FDA 1572Form FDA 1572If a clinical study is conducted outside of the

    U.S. and is not conducted under an IND, thenthe investigator need not sign a 1572

    If a foreign clinical study is conducted under anIND, then all FDA IND regulations, including therequirement to obtain a signed 1572, must be

    metIf la

    ocal laws or regulations prohibit the signing of1572, FDA would expect the sites to operate

    as non-IND sites

  • 8/11/2019 UCM337271

    15/7515

  • 8/11/2019 UCM337271

    16/75

    E6: Good Clinical Practice:E6: Good Clinical Practice:Consolidated GuidelineConsolidated Guideline

    Published as official

    guidance in U.S. FederalRegister (May 1997)

    The objective of this ICH GCPguidance is to provide a unifiedstandard for the European

    Union (EU), Japan, and theUnited States to facilitate themutual acceptance of clinical

    data by the regulatory authoritiesin these jurisdictions.

  • 8/11/2019 UCM337271

    17/75

  • 8/11/2019 UCM337271

    18/75

  • 8/11/2019 UCM337271

    19/75

    Answer: Not really butAnswer: Not really butFDA has no regulations concerning delegation of

    this duty

    Discussed in the FDA Information Sheets: FDA doesnot require the investigator to personally conduct the

    consent interview.

    http://www.fda.gov/RegulatoryInformation/Guidances/ucm126431.htm

    ICH allows the delegation of the informedconsent process to a designee

    The investigator, or a person designated by the

    investigator, should fully inform the subject

  • 8/11/2019 UCM337271

    20/75

    Question ?Question ?Does the investigator have to sign the

    informed consent?

    ANSWER: NO Signing/dating by personconducting the informed consentdiscussion

    is part of ICH-GCP but not FDA

    regulations

    20

  • 8/11/2019 UCM337271

    21/75

    21

    Role of Clinical InvestigatorsRole of Clinical Investigators

    Good Clinical Practice(GCP)

    in FDA-regulatedresearch is not the same as

    good clinical practice incaring for patients

    For example, FDAregulations have veryspecific requirements forfollowing the protocol,recordkeeping, and drug

    accountability

  • 8/11/2019 UCM337271

    22/75

    22

    Important Caveat forImportant Caveat forClinical InvestigatorsClinical Investigators

    Standards for clinical care of patients

    Standards for academic research

    Standards for FDA regulated research

  • 8/11/2019 UCM337271

    23/75

    23

    Historical PerspectiveHistorical Perspective1961-1962: Thalidomide tragedyExposed loopholes in Food, Drug andCosmetic Act of 1938: Companies coulddistribute unapproved drugs for experimentalpurposes

    Did not require notification to patients ofinvestigational status

    Did not require companies or doctors tokeep track of distribution

    Did not require FDA to be notified ofexperimental use

    Did not require records to be kept

    Did not require demonstration of drugeffectiveness

  • 8/11/2019 UCM337271

    24/75

    24

    1962: Kefauver-Harris Amendments Approval based on demonstration of efficacy as

    well as safety

    Expanded inspectional authority -

    FDA can inspectcompany records regarding development and

    clinical testing FDA must be notified before clinical trials could be

    conducted

    Rulemaking authority over Investigational NewDrugs

    Expansive rulemaking authority over clinical trials

    Gave FDA the power to halt clinical trials

    ActionAction

  • 8/11/2019 UCM337271

    25/75

    25

    Additional ActionsAdditional ActionsIND Regulations of 1963

    Created the current framework ofclinical trials

    Investigations must be adequate

    and well-controlled

    Investigators qualified by scientific

    training and experience

    Recordkeeping requirements

    Informed Consent

  • 8/11/2019 UCM337271

    26/75

    26

    WhoWhos in Charge at the Study Site?s in Charge at the Study Site?Clinical investigators are in charge and held

    accountable

    FDA regulations permit sponsors to delegate theirresponsibilities to Contract Research Organizations(CROs) but do not permit clinical investigators to

    delegate their general responsibilities to CROs orsite management organizations, subinvestigators, orstudy staff

    Penalties for significant noncompliance Warning Letters (posted on FDA website)

    Disqualifications/Restrictions/Debarments (posted on

    FDA website) Criminal prosecutions/prison/fines

  • 8/11/2019 UCM337271

    27/75

    27

    General Clinical InvestigatorGeneral Clinical InvestigatorResponsibilities [ 21 CFR 312.60]Responsibilities [ 21 CFR 312.60]Ensuring that an investigation is conducted according to

    the Signed investigator statement (Form 1572)

    Investigational plan

    Applicable regulations

    Protecting

    the rights, safety, and welfare of subjects

    under the investigator's care

    Control of drugs under investigationEnsuring that informed consent is adequately obtainedaccording to 21 CFR 50

    Ensuring IRB review, approval and reportingrequirements are met per 21 CFR 56

  • 8/11/2019 UCM337271

    28/75

    28

    Investigator ResponsibilitiesInvestigator ResponsibilitiesControl of investigational drug (312.61)Record keeping and retention (312.62)

    An investigator is responsible for:

    Maintaining adequate records of the disposition of the drug

    Accurate case histories that record all observations, and

    Other data pertinent to the investigation on each individual

    administered the investigational drug or employed as a control inthe investigation

    An investigator is required to maintain investigationrecords for:

    2 years following the date a marketing application is approved forthe drug for the indication for which it is being investigated

    2 years after the investigation is discontinued and FDA is notified ifno application is to be filed or if the application has not been

    approved for such indication

  • 8/11/2019 UCM337271

    29/75

    29

    Responsibilities (cont.)Responsibilities (cont.)

    Investigator reports (312.64)

    Progress reports to sponsor Safety reports

    Immediately report any adverse event that is alarming (e.g.

    an unexpected event that is serious or life-threatening)Record nonserious adverse events and report them to thesponsor according to the timetable for reporting specified inthe protocol

    Final report to sponsor

    Financial disclosure to sponsorPromptly update as needed during the course of theinvestigation and for 1 year following study completion

  • 8/11/2019 UCM337271

    30/75

    ClinicalTrials.govClinicalTrials.govU.S. Public Law 110-85 (Food and Drug Administration

    Amendments Act of 2007 or FDAAA), Title VIII, Section

    801 mandates that a "responsible party" (i.e., the sponsoror designated principal investigator) register and reportresults of certain applicable clinical trials

    Trials of Drugs and Biologics: controlled clinical investigations,other than Phase 1 investigations, subject to FDA regulation

    Trials of Devices: Controlled trials with heath outcomes of devicessubject to FDA regulation, other than small feasibility studies,

    andpediatric postmarket surveillance

    FDA requires a statement in the informed consentregarding ClinicalTrials.gov.

    http://clinicaltrials.gov/ct2/manage-recs/fdaaa

  • 8/11/2019 UCM337271

    31/75

    QuestionQuestionWhat documents must be submitted to the

    IRB for review?

  • 8/11/2019 UCM337271

    32/75

    AnswerAnswerFDA: The IRB should receive and review all researchactivities

    Copies of all research proposals reviewed, scientific evaluations, if any,that accompany the proposals, approved sample consent documents,

    progress reports submitted by investigators, and reports of injuries tosubjects

    FDA Guidance: The documents reviewed should includethe complete documents received from the clinical

    investigator, such as the protocol, the investigator'sbrochure, a sample consent document and anyadvertising intended to be seen or heard by prospectivestudy subjects.

    ICH specifically requires IRB submission of: informed consent, protocol/amendments, and advertisements Written information provided to subjects Information about subject payment/compensation

    Investigators Brochure

    Investigator's current CV and/or qualifications

  • 8/11/2019 UCM337271

    33/75

    33

    Sponsor ResponsibilitiesSponsor ResponsibilitiesSponsors are responsible for (312.50): Selecting qualified investigators

    Providing them with the information they needto conduct the investigation properly

    Ensuring proper monitoring of the investigation

    Ensuring that the investigation is conducted inaccordance with the general investigational

    plan Maintaining an effective IND

    Ensuring that the FDA and all participating

    investigators are promptly informed ofsignificant new adverse effects or risks

  • 8/11/2019 UCM337271

    34/75

  • 8/11/2019 UCM337271

    35/75

    35

    Guidance (cont.)Guidance (cont.)Outlines FDA expectations for protecting

    the rights, safety, and welfare of subjects

    Provision of reasonable medical care forissues related to study participation (e.g.

    to manage an adverse event) Facilitation of care for other health

    issues that might arise during the studyAvoiding exposure of subjects to

    unreasonable risks

  • 8/11/2019 UCM337271

    36/75

    QuestionCan the investigator delegate the activities

    around investigational product?

  • 8/11/2019 UCM337271

    37/75

    AnswerAnswerFd

    DAele

    hagati

    The inindiviis qua

    s no regulation concerningon of these duties

    vestigator should ensure that anydual to whom a task is delegatedlified by education, training, and

    experience (and state licensure where

    relevant) to perform the delegated task(per FDA Investigator Guidance 2009).

    ICH allows the delegation of study drugdispensing, patient counselling, and drugaccountability to an appropriate

    designee

  • 8/11/2019 UCM337271

    38/75

    38

    In SummaryIn SummaryFollow the current

    protocol

    Personally

    conduct or superviseinvestigation(s)

    Ensure that all persons assisting inconduct of studies are informed of theirobligations

    Ensure informed consent (21 CFR 50) andIRB review, approval , and reporting (21

    CFR 56) requirements are met

  • 8/11/2019 UCM337271

    39/75

    39

    In Summary (cont.)In Summary (cont.)Obtain the informed consent of each

    human subject to whom the drug isadministered

    Notify the sponsor before making changesin the protocol

    Notify the IRB and obtain IRB approval

    before making changes in the protocolReport adverse events to the sponsor

  • 8/11/2019 UCM337271

    40/75

    40

    In Summary (cont.)In Summary (cont.)Maintain adequate and

    accurate recordsMake records available forinspection

    Comply with all otherrequirements in 21 CFR

    312Report Financial Interests

    to the Sponsor

  • 8/11/2019 UCM337271

    41/75

    41

    DONDONTTOver-delegate to non-physicians (e.g., diagnosis thatqualifies/determines eligibility for entry into the study)

    Erase, white-out or obliterate original data entryAccept suggested changes to study data withoutchecking the source documents or without justificationfor such changes

    Backdate the consent forms and signatures

    Forget to obtain IRB approval of consent form revisions

    Revise the protocol without obtaining the sponsorswritten concurrence

    Use your staff as subjects in a study not having thecondition(s) under investigation

    Destroy study records

  • 8/11/2019 UCM337271

    42/75

    42

    Regulatory Authority toRegulatory Authority toConduct Inspections/AuditsConduct Inspections/Audits

    Section 505(k)(2) of the Food, Drug, andCosmetic Act mandates that FDA shall haveaccess to and copy and verify the requiredclinical study records.21 CFR 312.68

    An investigator shall upon request from any

    properly authorized officer or employee ofFDA, at reasonable times, permit such officeror employee to have access to, and copy andverify any records or reports made by theinvestigator

  • 8/11/2019 UCM337271

    43/75

    43

    Typical Questions in an InterviewTypical Questions in an Interview

    Delegation of authority: Who, when, where:

    Screening of subjects

    Interpreting screening results/admitting to the study

    Informed Consent of subjects

    Receipt of test article; handling; administration; return

    Reporting (including safety reporting) /transcribingdata

    Clinical laboratory

    Archiving study data

  • 8/11/2019 UCM337271

    44/75

    Inspections Overseen by OSI *Inspections Overseen by OSI *

    (CDER, FY 2003 -

    FY 2011)

    44

    *Based on inspection start date

    [OSI database as of January 18, 2012]

    IRB includes only CDER numbers

    previously reported metrics may have used combined data acrossCDER, CBER and CDRH, Sponsor (GCP) includes Sponsor/CRO/Sponsor-Investigator

    As of June 2011, Postmarketing Adverse Drug Event and Risk Evaluation and Mitigation Strategyinspection programs were incorporated into OSI

    103136

    89 106123 127 153

    191 194

    371353

    366408 368

    416

    474 403

    315

    90 7562

    30 4833

    3740

    156 136

    124 77 10778

    10098

    103

    2321

    32 33 25 47

    7562

    45

    72

    1517

    27

    2003 2004 2005 2006 2007 2008 2009 2010 2011

    Risk Evaluation and Mitigation Strategy

    Postmarketing Adverse Drug Event

    Sponsor (GCP)

    Institutional Review Board/

    Radiological Drug Research CommitteeGood Laboratory Practice

    Clinical Investigator

    Bioequivalence

    743

    671

    721

    654673701

    773809839

  • 8/11/2019 UCM337271

    45/75

    45

    Clinical Investigator Inspections*Clinical Investigator Inspections*(All Centers, FY 2011)(All Centers, FY 2011)

    CDER = Center for Drug Evaluation and Research, CBER = Center for Biologics Evaluation andResearch, CDRH = Center for Devices and Radiological Health*CDER numbers based on inspection start date

    [OSI database as of July 25, 2012]

    CDRH numbers based on inspection end date CBER numbers based on end date of classified inspections

    CDER = 317

    CBER = 62CDRH = 174

    Total 553

    CDRH

    31%

    CBER

    11%

    CDER58%

  • 8/11/2019 UCM337271

    46/75

    46

    Frequency of Clinical Investigatorrequency of Clinical InvestigatorRelatedelated

    Deficiencies Based on Post

    eficiencies Based on Post

    Inspection

    nspection

    Correspondence Issued(CDER, FY 2011)*

    211 Domestic Inspections,

    101 Foreign Inspections

    *Based on letter issue date; Inspections may have multiple deficiencies, [OSI database as of July 25, 2012]

    Note that this does not denote number of inspections completed in FY 2011, but rather number of inspection reportsevaluated and closed in FY2011

    46%

    33%

    10%

    9% 7%4%

    31%

    17%

    4%6%

    1%3%

    Protocol Records IRB Communication Consent Drug Accountability Adverse Events

    Domestic

    Foreign

    309 Domestic Inspections,

    98 Foreign Inspections

  • 8/11/2019 UCM337271

    47/75

    47

    Compliance ClassificationsCompliance ClassificationsNAI -

    No Action Indicated

    Inspected Entity is in compliance

    VAI -

    Voluntary Action Indicated

    Minor deviation(s) from the regulations

    Voluntary correction is requested

    OAI -

    Official Action Indicated

    Serious non-compliance requiring regulatory oradministrative action by FDA

  • 8/11/2019 UCM337271

    48/75

    Inspectional OutcomesInspectional OutcomesNo Action Indicated

    Form FDA 483 15 business days to reply

  • 8/11/2019 UCM337271

    49/75

    49

    (total=312)

    *Based on Letter Issue date; Includes OAI Untitled Letters, [OSI database as of July 25, 2012]

    CDER Clinical Investigator InspectionsCDER Clinical Investigator InspectionsFinal Classification* (FY 2011)Final Classification* (FY 2011)

    51%

    7%

    42%No Action Indicated

    Official Action Indicated

    Voluntary Action Indicated

  • 8/11/2019 UCM337271

    50/75

    50

    *OAI: Denotes Official Action Indicated (significant deficiencies found)**Based on letter issue date [OSI Database as of 1/18/2012]; Inspections may have multiple deficiencies, Includes OAIuntitled letters

    Frequency of Clinical Investigator RelatedFrequency of Clinical Investigator RelatedDeficiencies Based on PostDeficiencies Based on Post--InspectionalInspectional

    Correspondence Issued: OAI* Final Class (CDER,Correspondence Issued: OAI* Final Class (CDER,

    FY2011)**FY2011)**

    N=44 OAI

    23 OAI Inspections

    96%

    70%

    43%

    26%22% 22%

    13%

    Protocol Records IRBCommunication

    Consent DrugAccountabi lity

    CI Supervision SubjectRights/Safety

  • 8/11/2019 UCM337271

    51/75

    ReferenceReferenceInspection Observations

    Spreadsheets summarizing the areas ofregulation cited on FDA's system-

    generated 483s by fiscal year

    http://www.fda.gov/ICECI/EnforcementAction

    s/ucm250720.htm

  • 8/11/2019 UCM337271

    52/75

    ReferenceReferenceInspections Classification Databaseand Search (Oct. 2008March 2012)

    Final inspection classification for inspectionsrelated to currently marketed FDA-regulatedproducts. (Some information may be withheld

    from posting as to not interfere with enforcementaction).

    http://www.fda.gov/ICECI/EnforcementActions/ucm222557.htm

  • 8/11/2019 UCM337271

    53/75

    53

    Common mistakesCommon mistakes

    Risk factors for nonRisk factors for non--compliancecompliancePoor supervision and training of study staff

    Insufficient investigator involvement in studyconduct

    Inappropriate delegation of study tasks tounqualified persons

    Failure to adequate protect study subjects

    Overworked investigator and study staff (e.g. toomany subjects, complex study with large datacollection, too many concurrent studies)

  • 8/11/2019 UCM337271

    54/75

    Regulatory ActionsRegulatory ActionsWarning Letter

    Notice of Initiation ofDisqualification Proceedingsand Opportunity to Explain(NIDPOE)

    Disqualification of clinical investigator

    Criminal Investigation by Office of CriminalInvestigations (OCI)

    Debarment

  • 8/11/2019 UCM337271

    55/75

    ReferenceReferenceList of Warning Letters

    http://www.fda.gov/ICECI/EnforcementActions/WarningLetters/default.htm

    Regulatory Procedures Manual Section onWarning Letters

    http://www.fda.gov/ICECI/ComplianceManuals/RegulatoryProceduresManual/ucm176870.htm

  • 8/11/2019 UCM337271

    56/75

    56

    Investigator DisqualificationInvestigator Disqualification21 CFR 312.70

    Repeated and deliberate failure to comply withthe requirements

    FDA provides notice of matter to investigatorand provides opportunity to explain (informalhearing)

    Opportunity for formal hearing

    May result in ineligibility to receiveinvestigational drugs

  • 8/11/2019 UCM337271

    57/75

    ReferenceReferenceNotice of Initiation of Disqualif ication Proceedingsand Opportunity to Explain (NIDPOE)

    FDA believes it has evidence that the clinicalinvestigator repeatedly or deliberately violated FDA'sregulations governing the proper conduct of clinicalstudies involving investigational products or submitted

    false information to the sponsor and is initiating anadministrative proceeding to determine whether theclinical investigator should be disqualified from receivinginvestigational products.

    http://www.fda.gov/RegulatoryInformation/FOI/ElectronicReadingRoom/ucm092185.htm

  • 8/11/2019 UCM337271

    58/75

  • 8/11/2019 UCM337271

    59/75

    ReferenceReferenceDisRe

    qualified/Restricted/ Restrictionsmoved/ Assurance Lists for Clinical

    InvestigatorsRestricted from receiving investigational drugs,biologics, or devices if FDA determines that the

    investigator has repeatedly or deliberately failed tocomply with regulatory requirements for studies or hassubmitted false information to the study's sponsor.

    http://www.fda.gov/ICECI/EnforcementActions/ucm321308.htm

  • 8/11/2019 UCM337271

    60/75

    ReferenceReferenceFDA Debarment List (Drug Product

    Applications)

    Firms or individuals convicted of a felony underFederal law for conduct (by a firm) relating to thedevelopment or approval of any drug product or

    abbreviated drug application

    http://www.fda.gov/ICECI/EnforcementActions/FDADebarmentList/ucm2005408.htm

  • 8/11/2019 UCM337271

    61/75

    61

    Failure to prepare and maintain adequate case historiesand retain records [21 CFR 312.62(b) and (c)]

    eCRFs were source documents; Site data forinspection consisted of CD provided by sponsor, noevidence that CI prepared or maintained subjectrecords or signed off on subject data in real time

    Clinical signs such as breath sounds and chest examwere assessed during phone call to subjects

    Data in eCRF inaccurately carried over from visit to

    visit

    Case StudyCase StudyData Validation Inspection for New DrugData Validation Inspection for New DrugApplication (NDA)Application (NDA)

  • 8/11/2019 UCM337271

    62/75

  • 8/11/2019 UCM337271

    63/75

    63

    Case Study: Lax SupervisionCase Study: Lax Supervision

    Study coordinator enrolled ineligible subjects inoncology trials

    Coordinator altered source records and createdfraudulent CRFs to make subjects appear eligibleData manipulations should have been apparent toattentive clinician

    Subject who was ineligible due to poor renal andliver function was enrolled, dosed, and died as aresultStudy coordinator sentence to 71 months inprison and debarred from any future involvementin FDA regulated researchDr. Holland

    5 years probation, $500k restitutionto defrauded drug companies, disqualified

    C St dC St d

  • 8/11/2019 UCM337271

    64/75

    64

    Case StudyCase Study

    DR. P, age 58, pled guilty in federal court today

    before U. S. District Judge to fifteen (15) counts of

    failing to prepare and maintain records, with intent

    to defraud and mislead, in connection with clinicaltrials to evaluate the efficacy and safety of Paxil in

    children and adolescents with Obsessive-

    Compulsive Disorder (OCD)

  • 8/11/2019 UCM337271

    65/75

  • 8/11/2019 UCM337271

    66/75

    66

    Improve ProcessImprove Process BeBeProactiveProactive

    Address human factors in systems Hire experienced, qualified staffAvoid conflicts of interest/financial

    incentives Decrease number of times data are handled

    Assess ability to comply with protocol visits;

    laboratory testing; electronic systems fordata capture, archiving and transmission tosponsor; maintaining records, drugaccountability, inspections by FDA

  • 8/11/2019 UCM337271

    67/75

    67

    Improve ProcessImprove Process BeBeProactiveProactive

    Create systems that limit opportunityfor errors Simplify protocol and outcomes assessed

    Be realistic about the amount of data to becollected

    Standardize systems and formats where possible Use validated instruments/definitions

    Write down all procedures (SOPs). Use checklists.

    Dont re-invent the wheel Keep amendments to a minimum and check the

    CRFs and consent form against each change

  • 8/11/2019 UCM337271

    68/75

    68

    Improve ProcessImprove Process

    Develop an integrated framework

    Data and Safety Monitoring Plan, Data

    Management Plan, Quality Assurance Plan,Data Analysis Plan

    Insist on training and then test

    it

    Think very carefully about unblindingprocedures

    Have a disaster plan (for staff turnover,

    floods, etc.) Do beta-testing/dry-runs Have weekly team meetings/calls

    Audit yourself

    be open and honest

  • 8/11/2019 UCM337271

    69/75

    69

    Implement System to Detect andImplement System to Detect andCorrect Errors in Real TimeCorrect Errors in Real Time

    Do real-time cleaning of the data

    Pay attention to monitoring queries and

    respond promptly Close loopsAudit trail of changes should make clear whatwas changed, who changed it, and why it

    was changedEvaluate need for system wide correctionsand training

  • 8/11/2019 UCM337271

    70/75

    70

    Key MessagesKey MessagesClinical investigators play a critical role inensuring high quality studies

    CGood care of patients is not the same as Good

    linical Practices (GCP) in research

    Ensure that all staff have a clearunderstanding of responsibilities under FDAregulations

    tAt stake is public confidence and participation inhe clinical trials and ultimately the availability ofsafe and effective products

  • 8/11/2019 UCM337271

    71/75

    71

    The "cost of quality" isn't the price of

    creating a quality product or service.It's the cost of NOT creating a quality

    product or service.

    **Principles of Quality Costs: Principles, Implementation, andUse, Third Edition, ed. Jack Campanella

    FDA Sit f I t tFDA Sit f I t t

  • 8/11/2019 UCM337271

    72/75

    FDA Sites of InterestFDA Sites of Interest

    Running Clinical Trials

    http://www.fda.gov/ScienceResearch/SpecialTopics/

    RunningClinicalTrials/default.htm

    FDA Basics for Industry

    http://www.fda.gov/ForIndustry/FDABasicsforIndustry/default.htm

    Sign up for Updates

    http://www.fda.gov/ForIndustry/FDABasicsforIndustry/ucm234630.htm

    FDA Sit f I t tFDA Sit f I t t

  • 8/11/2019 UCM337271

    73/75

    FDA Sites of InterestFDA Sites of Interest

    Replies to Inquiries to FDA on Good ClinicalPractice

    Designed to simplify the search for copies of e-mailmessages (including the original inquiry andassociated reply(ies)) that have been submitted bythe public to the Good Clinical Practice Program'[email protected]

    e-mail account.

    http://www.fda.gov/ScienceResearch/SpecialTopics/RunningClinicalTrials/RepliestoInquiriestoFDAonGo

    odClinicalPractice/default.htm

    G id f I t tG id f I t t

    mailto:[email protected]:[email protected]:[email protected]:[email protected]
  • 8/11/2019 UCM337271

    74/75

    Guidances of InterestGuidances of Interest

    FDA Inspections of Clinical Investigators-

    Information sheet

    http://www.fda.gov/downloads/RegulatoryInformatio

    n/Guidances/UCM126553.pdf

    Guidance for Industry-Investigator

    Responsibilities

    http://www.fda.gov/downloads/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/UCM18777

    2.pdf

  • 8/11/2019 UCM337271

    75/75

    hank you for your attention