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Data Management. Anne Tompkins. 1/18/2005. Acronyms. GCP: Good Clinical Practices CFR: Code of Federal Regulations ICH: International Conference on Harmonisation CRF: Case Report Form FDA: Food and Drug Administration IRB: Institutional Review Board IND: Investigational New Drug

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data management

Data Management

Anne Tompkins


  • GCP: Good Clinical Practices
  • CFR: Code of Federal Regulations
  • ICH: International Conference on Harmonisation
  • CRF: Case Report Form
  • FDA: Food and Drug Administration
  • IRB: Institutional Review Board
  • IND: Investigational New Drug
  • SOP: Standard Operating Procedure
  • Define a source document
  • List regulatory documents to be kept at site
  • State how long records must be kept
good clinical practices
Good Clinical Practices
  • The Rules of Research
  • International ethical and scientific quality standard for clinical trial conduct
  • Code of Federal Regulations
  • 21 CFR 50
  • 21 CFR 56
  • 21 CFR 312
  • 45 CFR 46
  • State Laws
  • Institution Standards of Practice
  • ICH Guidelines
what are data
What Are Data?
  • Information (facts /figures)
  • An accounting of the study
who can collect data
Who Can Collect Data?
  • Investigators
  • Nurses
  • Research team
  • Subject
  • Subject’s family
  • Subject’s own physician
where are the data
Where Are the Data?

In the source documents

what is a source document
What is a Source Document?
  • It is the First Recording
  • What does it tell? 

1. It is the data that document the trial

2. Study was carried out according to protocol

source documents
Source Documents
  • Original Lab reports 
  • Pathology reports
  • Surgical reports 
  • Physician Progress Notes
  • Nurses Notes
  • Medical Record
source documents cont
Source Documents (cont)
  • Letters from referring physicians
  • Original radiological films
  • Tumor measurements
  • Patient Diary/patient interview
what do you collect
What Do You Collect?
  • Biographical data
  • Eligibility
  • Study agent given
  • Concurrent therapy
  • Assessments/tests/exams
  • Adverse Events
  • Response according to protocol
  • Did subject meet eligibility criteria?
  • Signed and dated eligibility checklist
  • Consent obtained before study tests done  
  • Consent obtained before study item given  
  • Documented in Medical Record
treatment according to protocol
Treatment According to Protocol
  • Drug/dose administered

- Diary/pill count

  • Dose modification/reason
  • Delay in treatment
  • Were contraindicated drugs given?
adverse events assessed according to protocol
Adverse Events Assessed According to Protocol
  • Did subject keep clinic visits?
  • How were Adverse Events assessed?
  • Was plan modified for Adverse Events?
response assessed according to protocol
Response Assessed According to Protocol
  • Required tests done on time?
  • Interpreted on time?
  • Lab/tumor measurements done?
managing the data
Managing the Data
  • Set up plan early: remember endpoints!
  • Plan CRFs to capture all needed data
  • Collect data as it happens
  • Standardize data entry procedures
data management tools
Data Management Tools
  • Case Report Forms
  • Electronic Data Capture
  • e Source
  • Audits

EDC –Electronic Data Capture




Report Forms

Sponsor’s Database






Patient’s Medical Record

(Source Document)

Sponsor’s Database

Site’s Database

what do you do with the data
What Do You Do With the Data?
  • Ongoing monitoring
  • Safety/adverse event reporting
  • IRB reports/sponsor reports
  • FDA reports
  • Early analysis/late analysis
examples of documents to be kept at study site
Examples of Documents to be Kept at Study Site
  • Signed FDA Form 1572 
  • CVs of all investigators on 1572 
  • Signed approved protocol and all amendments
  • Informed consent/all amended informed consents 
documents to be kept cont
Documents to be Kept (cont)
  • Investigator’s Brochure
  • IRB approvals
  • IRB membership
  • Assurance number
  • Drug Accountability
  • IND safety reports from sponsor
  • Annual/interim reports
  • All information given to subject
documents to be kept cont1
Documents to be Kept (cont)
  • CRFs on each subject (signed/dated)
  • Adverse event reports
  • All source documents not kept in
  • medical record
  • Meeting minutes/correspondence
  • Signature log/equipment logs
documents to be kept cont2
Documents to be Kept (cont)
  • Laboratory documentation
  • -certification
  • -normal range tables with dates
  • Specimen handling
  • -instructions/labels/shipping
  • Staff education records
documents to be kept cont3
Documents to be Kept (cont)
  • Financial agreements
  • -sponsor
  • -subject
  • Signed study agreement grant
  • Letter of indemnification
  • Advertisements
  • End of study report
audit trail
Audit Trail
  • Data show the study was conducted according to protocol
data discrepancies
Data Discrepancies
  • Internal audits/monitoring
  • Sponsor audits/monitoring
  • Corrections documented
electronic database
Electronic Database
  • Coding system
  • Relational database
  • Computer support
  • Passwords change periodically
  • Name of person entering data
  • Back-up tapes storage/QA plan
  • Security/confidentiality
record keeping
Record Keeping
  • Keep records: (21 CFR 312.62)
  • 2 years following the date the marketing application is approved for indication being investigated


  • 2 years after investigation is discontinued and FDA notified
record keeping1
Record Keeping
  • ICH Guidelines
  • Site SOP
  • Sponsor SOP
  • IRB records 3 years
  • Follow-up/survival


Clean data in a form you can analyze!


Fast is fine, but accuracy is everything.

(Wyatt Earp)


In God we trust!

Everyone else must show us the data!

helpful urls
Helpful URLs

FDA website:

Good Clinical Practices in FDA-regulated clinical trials:

Code of Federal Regulations:

Comparison of FDA and HHS Human Subject Protections:

Guidance for Industry. E6 Good Clinical Practice: Consolidated Guidance:

Office for Human Research Protections:

Cancer Therapy Evaluation home Page: