CHaRT

Standard Operating Procedure book

Details:
Version number: 03.01
Lead authors: CHaRT director, QA manager, senior trials manager, senior IT manager, senior
statistician, HSRU director, senior health psychologist, senior health economist.
Issue date: 15/10/2012
Effective date: 15/11/2012
Review date: 15/10/2014

Approval:
Approved by:

John Norrie 12/10/2012

CHaRT director Signature Date

Samantha Wileman 11/10/2012

QA manager Signature Date

Storage:

Location of document:

Paper: QA manager

Electronic: S:\CHaRT SOPs\Secure CHaRT SOPs\1. Live SOPs

Web: http://viis.abdn.ac.uk/hsru/chart/public/content/ShowPage.aspx?page=CHaRT-SOPs

A Standard Operating Procedure (SOP) is a detailed written instruction used to achieve uniformity when
performing specific functions, and is used to set out the way practice and procedures need to be performed.
SOPs are written instructions and records of procedures agreed and adopted as standard practice.

The definitive version of the Centre for Healthcare Randomised Trials (CHaRT) SOP book appears online,
not in printed form, to ensure that the up to date version is used. Hardcopy printouts are UNCONTROLLED
COPIES. If you are reading this in printed form check the version number and date to ensure you are
working to the current version.

DO NOT USE THIS SOP IN PRINTED FORM WITHOUT CHECKING IT IS THE LATEST VERSION.

Version 03.01 Issue date: 15/10/2012 Page 1 of 66

 Chapter 1: Standard Operating Procedure (SOP) details

Version history:
Version
Details/reason for change Date approved
number

01 None, new procedure. Launch of SOP book 21/04/09

02 Review and update of all chapters and web links 24/06/10

03 Review and update of all chapters and web links, 15/10/12

referencing the UoA-NHSG SOPs where appropriate and
referencing to Q-pulse for all CHaRT specific templates &
policies.
Details of SOP authors on front page renamed to Lead
Authors and listed by roles. The names are given in a
new section Lead Author History below. More detailed
chapter specific Version History sections have been
added at the end of each chapter.

03.01 Minor typographical changes (approval not required) 28/11/12

Lead authors history:

Version
Names of Lead Authors (Theme Leaders) Date approved
number

John Norrie (CHaRT director), John Norrie (ex CHaRT

director), Samantha Wileman (Quality Assurance
manager), Alison McDonald (senior trials manager),
01 Gladys McPherson (senior IT manager), Graeme 21/04/09
MacLennan (senior statistician), Marion Campbell (HSRU
director), Jill Francis (senior health psychologist), Luke
Vale (senior health economist).

Jen Burr (CHaRT director), Samantha Wileman (Quality

Assurance manager), Alison McDonald (senior trials
02 manager), Gladys McPherson (senior IT manager), Graeme 24/06/10
MacLennan (senior statistician), Marion Campbell (HSRU
director), Jill Francis (senior health psychologist), Luke
Vale (senior health economist).

John Norrie (CHaRT director), Samantha Wileman (Quality

Assurance manager), Alison McDonald (senior trials
03 manager), Gladys McPherson (senior IT manager), Graeme 15/10/12
MacLennan (senior statistician), Marion Campbell (HSRU
director), Jill Francis (senior health psychologist), Paul
McNamee (senior health economist).

Version 03.01 Issue date: 15/10/2012 Page 2 of 66

 Chapter 1: Standard Operating Procedure (SOP) details

TABLE OF CONTENTS

CHAPTER 1: Standard Operating Procedure (SOP) details ............................................... 9

1.1 Overview of SOP [v03.0101.02] ................................................................................. 9
1.2 Style of SOP [v03.0102.01] ...................................................................................... 10
1.3 Contents of SOP [v03.0103.02] ................................................................................ 10
1.4 Format of SOP [v03.0104.02] ................................................................................... 10
1.5 SOP responsibilities [v03.0105.02] ........................................................................... 11
1.6 SOP review [v03.0106.02] ........................................................................................ 11
1.7 SOP training [v03.0107.02] ...................................................................................... 11
1.8 SOP location [v03.0108.03] ...................................................................................... 12
1.9 SOP committee [v03.0109.02] .................................................................................. 12
1.10 Standardisation [v03.0110.02] ................................................................................. 12
CHAPTER 2: CHaRT details ................................................................................................ 13
2.1 CHaRT setting [v03.0201.01] ................................................................................... 13
2.2 CHaRT organisation [v03.0202.03] ......................................................................... 14
CHAPTER 3: QUALITY ASSURANCE (QA) ISSUES .......................................................... 17
3.1 Overview of QA in CHaRT [v03.0301.01] ................................................................. 17
3.2 Internal audit of QA procedures [v03.0302.03] ......................................................... 17
3.2.1 CHaRT generic procedures ............................................................................... 18
3.2.2 Trial specific procedures ................................................................................... 18
3.3 External audit of QA procedures [v03.0303.03] ........................................................ 18
3.4 Training issues [v03.0304.02]................................................................................... 19
3.5 Fraud and misconduct [v03.0305.02] ....................................................................... 19
CHAPTER 4: COLLABORATION ISSUES ........................................................................... 20
4.1 CHaRT collaboration criteria [v03.0401.03] .............................................................. 20
CHAPTER 5: TRIAL INITIATION .......................................................................................... 22
5.1 Trial authorisations [v03.0501.03]............................................................................ 22
5.1.1 Sponsorship ...................................................................................................... 22
5.1.2 Ethical ............................................................................................................... 23
5.1.3 R&D approval .................................................................................................... 23
5.1.4. Regulatory......................................................................................................... 23
5.1.5 Financial............................................................................................................ 24
5.1.6 Legal ................................................................................................................. 24
5.2 Trial registration [v03.0502.02] ................................................................................ 24
5.3 External relations [v03.0503.01] ............................................................................... 25
5.3.1 Funders ............................................................................................................. 25
5.4 Trial protocol [v03.0504.03] ..................................................................................... 25
5.4.1 Study operations manual................................................................................... 25
5.4.2 Case report form (CRF) design ........................................................................ 26
5.5 Informed consent [v03.0505.03] .............................................................................. 26
5.6 Site initiation issues [v03.0506.02] ........................................................................... 27
5.6.1 Site visits ........................................................................................................... 27
5.7 Trial monitoring [v03.0507.03] .................................................................................. 28

Version 03.01 Issue date: 15/10/2012 Page 3 of 66

 Chapter 1: Standard Operating Procedure (SOP) details

5.7.1 Trial oversight................................................................................................... 28

5.8 Consumer involvement [v03.0508.01] ....................................................................... 29
CHAPTER 6: TRIAL CONDUCT AND MANAGEMENT ....................................................... 30
6.1 Good Clinical Practice [v03.0601.01] ....................................................................... 30
6.2 Trial monitoring [v03.0602.02] .................................................................................. 30
6.3 Governance arrangements [v03.0603.03] ................................................................ 30
6.4 Progress reporting [v03.0604.02] ............................................................................. 30
6.5 Safety reporting [v03.0605.03] ................................................................................. 31
6.6 Breach reporting [v03.0606.03] ................................................................................ 32
6.7 Essential documentation [v03.0607.03] .................................................................... 32
6.7.1 Trial master file (TMF) ....................................................................................... 32
6.7.2 Site files ............................................................................................................ 32
6.8 Amendments [v03.0608.03]..................................................................................... 32
6.8.1 Amendment processes for key documents ........................................................ 33
6.9 Error correction [v03.0609.01] ................................................................................. 33
6.10 Query processing [v03.0610.01] ............................................................................... 33
6.11 Filing [v03.0611.01] .................................................................................................. 34
6.12 Study meetings [v03.0612.01] ................................................................................. 34
6.13 Participant contacts [v03.0613.02]............................................................................ 34
6.14 Participant follow-up [v03.0614.01].......................................................................... 35
6.14.1 Within trial ......................................................................................................... 35
6.14.2 Long-term follow-up .......................................................................................... 35
CHAPTER 7: TRIAL CLOSE-OUT........................................................................................ 37
7.1 Close-out procedures [v03.0701.03]......................................................................... 37
7.2 Timelines for notifying stakeholders of study termination [v03.0702.01] ................... 38
7.3 Early termination of study [v03.0703.02].................................................................. 38
7.4 Temporary suspension of a trial [v03.0704.01] ........................................................ 39
7.5 Archiving [v03.0705.02] ........................................................................................... 39
CHAPTER 8: FINAL REPORTING AND PUBLICATION ...................................................... 40
8.1 Final trial reporting [v03.0801.02] ............................................................................. 40
8.2 Publication policy [v03.0802.01] ............................................................................... 40
8.2.1 Minimum requirements ...................................................................................... 40
8.2.2 Authorship ......................................................................................................... 41
8.2.3 Dissemination ................................................................................................... 41
8.3 Conflicts of interest [v03.0803.01] ........................................................................... 41
CHAPTER 9: DATA MANAGEMENT ISSUES ..................................................................... 42
9.1 Data management plans [v03.0901.01] .................................................................... 42
9.2 Programming standards [v03.0902.03] .................................................................... 43
9.2.1 Software design ................................................................................................ 43
9.2.2 Software testing ................................................................................................ 44
9.2.3 Change management ........................................................................................ 44
9.2.4 Database design ............................................................................................... 44
9.2.5 Database testing ............................................................................................... 45
9.2.6 Database locking and data archival ................................................................... 45
9.3 Data transfer [v03.0903.02] ..................................................................................... 45

Version 03.01 Issue date: 15/10/2012 Page 4 of 66

 Chapter 1: Standard Operating Procedure (SOP) details

9.4 Information security [v03.0904.01]........................................................................... 46

9.5 Data Protection Act [v03.0905.02] ........................................................................... 46
9.6 Back up [v03.0906.01]............................................................................................. 46
9.7 Business continuity / disaster recovery [v03.0907.02] ............................................. 47
9.8 Encryption [v03.0908.01] ......................................................................................... 47
9.9 Randomisation (process issues) [v03.0909.03] ....................................................... 48
9.9.1 Responsibilities ................................................................................................. 48
9.9.2 Specification and testing ................................................................................... 48
9.9.3 Non-CHaRT trials .............................................................................................. 48
9.9.4 Unblinding ......................................................................................................... 48
9.9.5 Quality Assurance ............................................................................................. 48
9.9.6 Training ............................................................................................................. 49
9.9.7 Failures and unexpected occurrences ............................................................... 49
9.9.8 Misuse & unauthorised use ............................................................................... 50
CHAPTER 10: STATISTICAL ISSUES ................................................................................. 51
10.1 Methodological issues [v02.1001.01] ....................................................................... 51
10.2 Statistical analysis plans [v02.1002.02] ................................................................... 51
10.3 Pilot / feasibility studies [v02.1003.01] ..................................................................... 52
10.4 Randomisation (statistical issues) [v02.1004.01] ..................................................... 52
10.5 Unblinding [v02.1005.01] ......................................................................................... 52
10.6 Statistical reports [v02.1006.02] ............................................................................... 52
10.6.1 Blinded/aggregate reports ................................................................................. 52
10.6.2 Unblinded reports .............................................................................................. 52
10.6.3 Final study reports............................................................................................. 53
10.7 Statistical programming [v02.1007.01] ..................................................................... 53
10.8 Statistical quality control [v02.1008.01] .................................................................... 53
10.9 International Conference on Harmonisation (ICH) statistical principles [v02.1009.01]
53
10.10 Partnerships with external statisticians [v02.1010.01]............................................... 53
10.11 Interaction with Data Monitoring Committee [v02.1011.01] ....................................... 54
CHAPTER 11: HEALTH ECONOMIC ISSUES ..................................................................... 55
11.1 Methodological issues [v03.1101.02] ....................................................................... 55
11.2 Development of care pathways [v03.1102.01] .......................................................... 55
11.3 Economic analysis plans [v03.1103.01] .................................................................. 56
11.4 Pilot studies and pre-trial modelling [v03.1104.01] .................................................. 56
11.5 Economic reports [v03.1105.01] ............................................................................... 57
11.6 Economic programming [v03.1106.01] ..................................................................... 57
11.7 Economics quality control [v03.1107.01] .................................................................. 57
11.8 Partnerships with external economists [v03.1108.01] ............................................... 57
CHAPTER 12: HEALTH PSYCHOLOGY ISSUES ................................................................ 59
12.1 Procedures of recruitment, informing, consenting, participant retention [v03.1201.01]
59
12.2 Intervention development [v03.1202.01] ................................................................... 59
12.3 Delivery and receipt of intervention [v03.1203.01] .................................................. 60
12.4 Specification of the control condition [v03.1204.02] .................................................. 60
12.5 The effects of measurement [v03.1205.01] .............................................................. 61

Version 03.01 Issue date: 15/10/2012 Page 5 of 66

 Chapter 1: Standard Operating Procedure (SOP) details

12.6 Theorising outcome measures [v03.1206.01] ........................................................... 61

12.7 Timing of the above procedures [v03.1207.01] ......................................................... 61
CHAPTER 13: CONSUMER ISSUES ................................................................................... 62
13.1 Who is a consumer? [v03.1301.01] .......................................................................... 62
13.2 Identifying appropriate consumers [v03.1302.01] ..................................................... 62
13.3 Range of consumer input [v03.1303.02] ................................................................... 63
13.4 Renumeration of consumers [v03.1304.01] .............................................................. 63
CHAPTER 14: CHaRT STAFF TRAINING ISSUES .............................................................. 65
14.1 General [v03.1401.01] .............................................................................................. 65
14.2 Good Clinical Practice [v03.1402.01] ....................................................................... 65
14.3 Training records [v03.1403.02] ................................................................................. 65
14.4 Training feedback [v03.1404.01] .............................................................................. 66

Version 03.01 Issue date: 15/10/2012 Page 6 of 66

 Chapter 1: Standard Operating Procedure (SOP) details

ABBREVIATIONS
CHaRT Centre for Healthcare Randomised Trials
CI Chief Investigator
CLSM College of Life Sciences and Medicine
CRF Case Report Forms
CSO Chief Scientist Office (part of Scottish Government Health Directorates)
CTA Clinical Trial Authorisation
CTIMP Clinical Trial of an Investigational Medicinal Product
CTU Clinical Trials Unit
DAHS Division of Applied Health Sciences
DMC Data Monitoring Committee
DMP Data Management Plan
DSUR Development Safely Update Report
EMEA Evaluation for Medicinal Products
EudraCT European Clinical Trial Database
EU European Union
FTP File Transfer Protocol
GCP Good Clinical Practice
HSRU Health Services Research Unit
HTA Health Technology Assessment
ICH International Conference on Harmonisation
IRAS Integrated Research Application System
ISD Information Services Division
ISRCTN International Standard Randomised Controlled Trial Number
IT Information Technology
MHRA Medicines and Healthcare products Regulatory Agency
MRC Medical Research Council
NETSCC NIHR Evaluation, Trial and Studies Co-ordinating Centre
NHS National Health Service
NIHR National Institute for Health Research
NIHR CRN CC NIHR Clinical Research Network Coordinating Centre
NIHR TMN National Institute for Health Research Trial Managers' Network
PI Principal (local) Investigator
PMG Project Management Group
R&D Research and Development
RCT Randomised Controlled Trial

Version 03.01 Issue date: 15/10/2012 Page 7 of 66

 Chapter 1: Standard Operating Procedure (SOP) details

REC Research Ethics Committee

QA Quality Assurance
QALY Quality Adjusted Life Year
SAE Serious Adverse Event
SAN Storage Area Network
SAP Statistical Analysis Plan
SOP Standard Operating Procedures
SSI Site Specific Information
TMF Trial Master File
TSC Trial Steering Committee
University of Aberdeen and NHS Grampian Standard Operating
UoA-NHSG-SOP
Procedures

Version 03.01 Issue date: 15/10/2012 Page 8 of 66

 Chapter 1: Standard Operating Procedure (SOP) details

CHAPTER 1: Standard Operating Procedure (SOP) details

[v03.0100.03]

LEAD AUTHOR
CHaRT Director.

BACKGROUND
The Standard Operating Procedure (SOP) for the design, conduct, analysis, reporting,
documentation and quality assurance of randomised controlled trials (RCT) and other high
quality trial designs in the Centre for Healthcare Randomised Trials (CHaRT), Health Services
Research Unit (HSRU), University of Aberdeen.

PURPOSE
The purpose of this chapter is to provide details of the aims of the SOP book; their structure
(format, style, content); who is responsible for them and how they are maintained.

APPLICABILITY
Essential for those members of staff involved in the production and maintenance of the
SOP.
Useful background reading for all members of staff observing the SOP in their work.

STANDARD OPERATING PROCEDURE (SOP) DETAILS

1.1 Overview of SOP [v03.0101.02]
Clinical trials are expected to be run to exacting ethical, regulatory and legal standards and it
is paramount that all CHaRT clinical trials are conducted in compliance with: the study protocol
and CHaRT SOP book, the joint University of Aberdeen and NHS Grampians SOPs (UoA-
NHSG-SOP: http://www.abdn.ac.uk/medical/researchgovernance/clinicalresearch/sops/), the
University of Aberdeens Framework for Research Governance
(www.abdn.ac.uk/research/governance-framework.php) and the Institute of Applied Health
Sciences Research Governance and Quality Assurance policy
(www.abdn.ac.uk/iahs/research/research-governance/), the NHS Research Governance
Framework for Health and Community Care (www.sehd.scot.nhs.uk/
cso/publications/resgov/framework/RGFEdTwo.pdf) and the UK Medicines for Human Use
(Clinical Trials) Regulations 2004 (SI1031: www.legislation.gov.uk/uksi/2004/1031/
contents/made) which implements the EU Directive for Clinical Trials Directive
(www.eortc.be/Services/Doc/clinical-EU-directive-04-April-01.pdf) in the UK. International
trials must conform to all relevant national requirements.

Currently, only Clinical Trials of an Investigational Medicinal Product (CTIMPs) are required to
comply with the UK Medicines for Human Use (Clinical Trials) regulations. However, to
ensure consistency of quality assurance across all clinical trials adopted by CHaRT, all trials
(CTIMPs and non-CTIMPs) need to adhere to the appropriate regulations and are run in
compliance with Good Clinical Practice (GCP). Compliance with this standard provides public
assurance that the rights, safety and well being of trial subjects are protected, consistent with

Version 03.01 Issue date: 15/10/2012 Page 9 of 66

 Chapter 1: Standard Operating Procedure (SOP) details

the principles that have their origin in the ICH Declaration of Helsinki, and that the clinical trial
data are credible.

This SOP book describes how CHaRT conducts its trials, covering all aspects including: the
scientific issues of design and analysis; ensuring a trial is properly authorised; conducting
studies to the principles of Good Clinical Practice (GCP); specific issues for disciplines that
comprise the core competencies required for a multidisciplinary trial (statisticians, trial
managers, IT professionals, health economists, health psychologists, clerical staff, clinical
staff); ensuring quality throughout; describing the processes for documentation and archiving
study materials and training issues.

The aim of this SOP book is to have a simple core set of generic processes that need only
routine minor review (every two years) and modification, with occasional update to respond to
major external change in the ethical, regulatory and legal framework. For a specific trial, all
the detail of the processes will be contained in a study operations manual (see section 5.4.1,
which in particular will document any departure from the CHaRT SOP.

1.2 Style of SOP [v03.0102.01]

To facilitate ease of maintenance and readability, the SOPs appear in book form that is, we
do not have individual SOPs each formatted to an identical template. The book comprises
chapters (covering a theme e.g. trial management issues), and chapters will comprise
headings, which in turn will cover specific items.

1.3 Contents of SOP [v03.0103.02]

In general, a specific item and/or a chapter will be expected to cover:
Lead author: State the role of the person responsible for leading the authoring of the
chapter.
Background: Briefly discuss the background to the SOP, making reference to regulatory
guidance, if applicable. Consider the driving forces or why the SOP is necessary.
Purpose: Describe the procedure to be followed and the setting in which the SOP applies.
Applicability: Define the scope of responsibility for the SOP.
SOP title: Describe the procedures and specific items that relate to the chapter.
Cross reference: Mention any relevant chapters or sections within this book that are not
already referenced within the text of the chapter, as well as all relevant UoA-NHSG SOPs.
In addition, include any publication or further reading if appropriate.
Version history: Summarise the significant changes made to the SOP chapter from the
previous version.

1.4 Format of SOP [v03.0104.03]

To make the Book > Chapter > Section style workable, the following administration format is
adopted.

For a chapter:
Chapter X: <Title> e.g. Chapter 10, Statistical issues

Version 03.01 Issue date: 15/10/2012 Page 10 of 66

 Chapter 1: Standard Operating Procedure (SOP) details

Version: <Version number> e.g. xx.ccss.yy - where xx is the overall protocol

counter, cc is the chapter identifier & ss the section identifier (always
00 for a chapter); yy is the version of this chapter.

For a section:
Section C.XX: <Title> e.g. 10.4: Randomisation (statistical issues)
Version: <Version number> e.g. xx.ccss.yy - where xx is the overall protocol
counter, cc is the chapter identifier & ss the section identifier; yy is the
version of this section.

1.5 SOP responsibilities [v03.0105.02]

The overall responsibility for the SOP book is held by the Director of CHaRT. The CHaRT
Quality Assurance (QA) manager will oversee the document control of this book and is
responsible for managing and facilitating the SOP review, delegating responsibility for
authoring chapters on a common theme (e.g. data management issues, statistical issues, trial
management issues, and so on) to the appropriate theme leader (senior IT manager, senior
statistician, senior trials manager, and so on). Individual sections within these chapters,
covering a specific item, may be delegated by the theme leader to individual staff members as
appropriate.

1.6 SOP review [v03.0106.02]

The SOP book will be formally reviewed every two years from the issue date, or earlier should
substantive changes in the external environment in which randomised controlled trials are
conducted necessitate such a review. The CHaRT director and the SOP committee (see
Section 1.9 below for membership) are responsible for identifying new requirements, detecting
obsolescence, and updating current material. The review of the chapters within the SOP book
will be coordinated by the designated theme leader (lead author). The CHaRT QA manager
is then responsible for collating and formatting the chapters of the SOP book, updating the
version numbers for the various chapters and sections of the book (see Section 1.4 for details)
and updating the Version History section of the book.

Once the final draft has been prepared, it will be sent to the University of Aberdeens Research
Governance manager and/or delegate to review it for consistency against the University SOPs
to ensure no contradictions or discrepancies, and ultimately provide institutional and/or
sponsor oversight of our procedures. Thereafter, the CHaRT QA Manager will arrange for the
completed version of the SOP book to be reviewed by the Director of CHaRT for final
approval, will add the appropriate Issue Date; Effective Date and Review Date, and then the
Director and QA manager will add wet signatures.

1.7 SOP training [v03.0107.02]

CHaRT recognises that to ensure its staff are conversant and compliant with the SOP book,
training is a key issue. All CHaRT staff are required to be familiar with the content of the SOP
book (and the detail of the study specific operations manual (see Section 5.4.1 for details) for
all trials they have responsibilities for). To achieve this, the QA manager will organise general
overview training sessions which take place for both new and established CHaRT staff. A
note of this training is held by the QA manager. Specific training sessions are usually in
specialist groups e.g. statisticians, IT, trial managers, clerical staff, senior staff and in addition
in generalist groups for generic issues.

Version 03.01 Issue date: 15/10/2012 Page 11 of 66

 Chapter 1: Standard Operating Procedure (SOP) details

1.8 SOP location [v03.0108.03]

An electronic version of the currently approved SOP book is available in the CHaRT folder:
S:\CHaRT SOPs\Secure CHaRT SOPs\1. Live SOPs and at http://
viis.abdn.ac.uk/hsru/chart/public/content/ShowPage.aspx?page=CHaRT-SOPs. The original
signed copy of the SOP book is held by the QA manager (or delegate) in a secure location
within HSRU. The QA manager (or delegate) also has another hard copy that is available for
controlled use and distribution. Superseded versions of the original copy and electronic of the
SOP book will be archived as appropriate.

1.9 SOP committee [v03.0109.02]

The CHaRT SOP committee is responsible for all aspects of the specifications, authoring,
maintenance, and distribution of the CHaRT SOP. The committee is chaired by the CHaRT
director, who is responsible for the conduct of all CHaRTs activities, and comprises the QA
manager, senior trials manager, senior IT manager, research manager(s), and HSRUs senior
statistician, senior health economist and senior health psychologist. Membership will be
reviewed as a specific item every two years and is detailed in the Lead Authors History at the
start of the SOP book.

1.10 Standardisation [v03.0110.02]

CHaRTs philosophy is to demonstrate all processes used in its trials are of high quality, and fit
for their purpose. There is a commitment to re-use existing, proven tools, possibly
customising them to new situations in new trials. Standardisation is therefore a key objective.
A resource repository containing a number of templates and examples (protocols, patient
information leaflets, CRFs, committee reports, statistical analysis plans) is managed and
document controlled using quality management specific software (Q-Pulse;
qpulse.uoa.abdn.ac.uk/QPulse5Web/UI/Open/Login.aspx), and should be consulted when
planning a new trial.

CROSS REFERENCE
All CHaRT SOP chapters.

VERSION HISTORY
Month
Version Significant changes from previous version
reviewed
01 N/A
02 N/A
Updated SOP details to include Lead Author & Version history;
03 Jan 2012
updated 1.6: SOP review to include details on sponsor oversight

Version 03.01 Issue date: 15/10/2012 Page 12 of 66

 Chapter 2: CHaRT details

CHAPTER 2: CHaRT details

[v03.0200.03]

LEAD AUTHOR
CHaRT Director.

BACKGROUND
To describe the setting and environment in which CHaRT operates.

PURPOSE
The purpose of this chapter is to provide the context in which CHaRT conducts its business,
as an academic clinical trials unit specialising in the design, conduct, analysis and reporting of
mainly non-drug publicly funded trials, within the setting of the University of Aberdeen. CHaRT
achieved full registration as a UK Clinical Research Network Trials Unit in November 2007,
and CHaRT has a long term goal of maintaining and consolidating that status.

APPLICABILITY
It is not essential reading, but should be useful background for all members of staff,
particularly those involved in writing or maintaining the SOP Book.

CHaRT DETAILS
2.1 CHaRT setting [v03.0201.01]
CHaRT is concerned with collaborating on all aspects of the design, conduct, analysis and
reporting of randomised clinical trials of important healthcare questions, usually of non-drug
technologies and funded by the public sector.

It is administratively part of the Health Services Research Unit (HSRU), which is itself part of
the Division of Applied Health Sciences (DAHS), which is part of the School of Medicine and
Dentistry within the College of Life Sciences and Medicine (CLSM) in the University of
Aberdeen.

Members of the CHaRT are therefore employed by the University of Aberdeen, and as such
are subject to the rules and regulations of the University. CHaRT itself is likewise obliged to
follow University policies and procedures. These policies include those governing:

recruitment (including all employment laws)

training (including professional development)
research practices (including research misconduct)
research governance and quality assurance
intellectual property
financial issues
promotion procedures
data confidentiality

This SOP book is written with these structures in mind. If any text within the SOP book is
found to be in conflict with University policy, it will be amended at the earliest opportunity.

Version 03.01 Issue date: 15/10/2012 Page 13 of 66

 Chapter 2: CHaRT details

2.2 CHaRT organisation [v03.0202.03]

Organogram of CHaRT

Clinical input Statistics Health economics Health psychology

CHaRT director PA to director

management
Senior

group

Quality Assurance Senior trials Research

Senior IT manager
manager manager managers

Senior
Trial managers
programmer

Data co-ordinators Programmers

Data clerk

Version 03.01 Issue date: 15/10/2012 Page 14 of 66

 Chapter 2: CHaRT details

Organogram

An important part of CHaRTs remit is to conduct all of the Health Services Research Unit
(HSRU) RCTs in HSRUs two major programmes Health Care Assessment (HCA) and
Delivery of Care (DOC).

CHaRT is administratively part of HSRU, and all its staff are members of HSRU. The director
of CHaRT is a senior member of HSRU staff, and reports to the director of HSRU. A senior
CHaRT management group comprises the senior trials manager, senior IT manager, research
managers, QA manager and CHaRT PA/secretary, and the CHaRT director to whom they
report. Other members of CHaRT (the trial managers, programmers, data co-ordinators and
data clerk) report to their line manager. The senior CHaRT management group receives input
from senior leads in statistics, health economics, health psychology and clinical disciplines as
required.

Trial management:
The trial management function is 100% devoted to CHaRT activities, and is managed by the
senior trials manager who reports directly to the CHaRT director. There are various models of
engagement for the provision of trial management for CHaRT trials. Generically, these models
involve either complete trial management support from CHaRT (the norm for Aberdeen-led,
HSRU Trials) or a more supervisory, mentoring type role where an experienced CHaRT trial
manager provides oversight and guidance to a trial manager who is not located within HSRU
(typically, they would be at a study office at the clinical leads site). In such engagements, it is
usual that the local trial manager would be governed by their host institutions SOP, as
applicable. The quality assurance of the contribution to the trial would be specified in a
CHaRT Trial Monitoring Plan (see also section 6.2). It would be usual for such trial managers
to be trained in study procedures by CHaRT staff.

IT/applications:
The IT/applications programming function is approximately 90% CHaRT activity, the remaining
10% being non-trial HSRU activity (e.g. web-based disease registries, observational studies)
so for administrative convenience this whole function is run by CHaRT.

Statistical group:
The statistical group is managed by the HSRU senior statistician, who is core funded by the
Chief Scientist Office (CSO). Although CHaRT is configured in such a way that in principle it
could obtain statistical support from other academic units (see section 11.10: Partnerships with
external statisticians), it routinely gets support from the HSRU statistical group since they have
the track record and can work to the agreed SOP.

Health economics:
The provision of health economics expertise is approached on similar lines: HSRU has joint
appointments with the Health Economics Research Unit (staff who sit in HSRU) and this is the
first port of call for provision of health economics expertise. For collaborative projects where
the clinical lead is outside HSRU, CHaRT has collaborated with non-Aberdeen health
economists (see section 11.8: Partnerships with external economists). In such trials,
agreement is reached by CHaRT as to what SOP is to be used, and this is documented in the
study operations manual paying particular attention to any deviation from the normal SOP that
would have been employed if health economics was provided locally.

Version 03.01 Issue date: 15/10/2012 Page 15 of 66

 Chapter 2: CHaRT details

Health psychology:
The input from health psychology (increasingly important in the design and optimisation of
theory-based complex interventions such as behavioural change, and in creating
methodologically sound outcome assessments) is negotiated between the CHaRT director and
the HSRU senior health psychologist, in a similar way to that outlined for the provision of
health economics.

Clinical input
CHaRT receives clinical input from various sources (e.g. from clinical leads within HSRU) and
more broadly from the IAHS and externally. This input usually comprises assisting with
understanding of clinical contexts, assessing evidence bases, helping with grant applications,
and advertising on clinical networks and professional bodies.

Finance:
To remain competitive in attracting funding, and to consistently deliver trials on time and
budget, providing value for the public funders (the tax payers), CHaRT has developed an
internal costing model for its trials. The costing of a new trial and the subsequent
management of the trial budget is a collaboration between senior CHaRT staff and the Unit
business manager, who in turn negotiate and facilitate on CHaRTs behalf with the wider
University finance office.

CROSS REFERENCE
All CHaRT SOP chapters.

VERSION HISTORY
Month
Version Significant changes from previous version
reviewed
01 N/A
02 N/A
Minor change to organogram to show senior management group
03 and additional information on Clinical Input to 2.2: CHaRT Jan 2012
organisation.

Version 03.01 Issue date: 15/10/2012 Page 16 of 66

 Chapter 3: Quality Assurance (QA) issues

CHAPTER 3: QUALITY ASSURANCE (QA) ISSUES

[v03.0300.03]

LEAD AUTHOR
Quality Assurance manager.

BACKGROUND
Clinical trials rely on the goodwill of participants; are time consuming for the research staff;
and tend to be expensive to fund. It is therefore a prerequisite that all trials in CHaRT are
conducted to a high quality to avoid putting participants at unnecessary or pointless risks,
since a trial of an unimportant question or a trial conducted to a poor standard would not
provide meaningful evidence; to allow the research staff to work efficiently in the knowledge
that their efforts are combining to produce valuable insights; to reassure the funders that public
money is being used appropriately and to good effect; and to demonstrate to the sponsor of
the trial that their interests are safeguarded.

PURPOSE
To describe the rationale and processes for all quality assurance (QA) activities within CHaRT.
QA is the set of processes by which CHaRT can demonstrate that its work has been carried
out at or above the relevant required level of performance.

APPLICABILITY
Essential reading for all CHaRT staff.

QUALITY ASSURANCE (QA) ISSUES

3.1 Overview of QA in CHaRT [v03.0301.02]
The responsibility for all QA activity resides with the HSRU QA manager. The QA manager is
a senior member of CHaRT staff, and has scheduled monthly QA meetings with the director of
CHaRT and/or the director of HSRU. The QA manager also interacts regularly with the
CHaRT senior management group (see section 2.2: CHaRT organisation) and monthly with
the HSRU operations management group.

The QA managers primary responsibilities are:

conducting assessments of quality on CHaRTs projects (see section 3.2: Internal audit of
QA procedures);
overseeing CHaRTs co-operation with external auditors (such as NHS Grampian),
regulators (such as Medicines and Healthcare products Regulatory Agency (MHRA)), and
so on (see section 3.3: External audit of QA procedures) and;
training (see section 3.4: Training issues).

The QA manager is also expected to facilitate any activity designed to detect or arising from
the discovery of Fraud and misconduct (see section 3.5).

3.2 Internal audit of QA procedures [v03.0302.03]

CHaRTs internal QA procedures operate at two levels (a) CHaRT generic procedures, and (b)
trial specific procedures.

Version 03.01 Issue date: 15/10/2012 Page 17 of 66

 Chapter 3: Quality Assurance (QA) issues

3.2.1 CHaRT generic procedures

(I) Quality assurance of CHaRT staff: The QA manager together with HSRUs business
manager will ensure that staff are qualified for their responsibilities by way of appropriate
qualification and experience; having up-to-date CVs; complete and accurate training
records; a system of periodic appraisal to identify training gaps; Disclosure Scotland for
interacting with vulnerable groups and having access to sensitive medical and financial
data.

(II) Quality assurance of buildings/work environment: It is the responsibility of the University

of Aberdeens Estates Departments Maintenance Team to ensure that the building(s)
that staff work in is maintained and fit for purpose.
All computing and IT equipment are supported and tested by DIT. Any other electrical
office equipment is tested by Estates (or sub-contracted to an external company by
Estates). Faults affecting any equipment are reported to the Unit business manager. All
staff and students are trained on the use of equipment and provided with simple
instructions as and when required.
The Units health and safety inspection and work-station assessments are carried out in
accordance with the IAHSs Health & Safety Policy. Although staff routinely work in
CHaRT offices, if they are required to work anti-social hours or in potentially uncontrolled
environments e.g. home visit to a participant to collect outcome data via a face-to-face
interview etc., care will be taken that staff understand potential risks and are able to
follow procedures to minimise those risks e.g. taxi transport in anti-social hours; having a
colleague present in an uncontrolled environment (www.abdn.ac.uk/iahs/intranet/ IAHS
Health & Safety Policy, section 13: Working in the community).

3.2.2 Trial specific procedures

The type of trials CHaRT engages in are usually long term studies of complex interventions
involving investment of considerable sums of public money. They are multidisciplinary in
nature, involving core competencies such as experienced trialists, trial managers, IT
professionals, statisticians, health economists, and health psychologists, interacting with
clinical staff and participants. It is essential that trials are properly designed, conducted,
analysed, reported and archived. The evidence that these procedures have been carried out
to the required standard is though the production of trial study documentation, which the
appropriate study specific Project Management Group (see section 5.7.1) is responsible for
reviewing and commenting on. In addition, if any deficiencies are found, the senior trials
manager will negotiate a correction plan with the responsible staff, including the CHaRT
director, and will monitor that its implementation has been successful. If the deficiency is
generic or has ramifications for other trials, that will be addressed by the senior CHaRT
management group.

All study specific operations manuals will have a list of essential documentation.

3.3 External audit of QA procedures [v03.0303.02]

The QA manager will act as point of contact for all external audit (for example, from the IAHS
Monitoring and Audit Group [University of Aberdeen], NHS Grampian R&D (refer to UoA-
NHSG-SOP-017), other non Aberdeen Universities or NHS Trusts with whom CHaRT is
collaborating; and regulatory bodies such as the UK MHRA (refer to UoA-NHSG SOP-018 for

Version 03.01 Issue date: 15/10/2012 Page 18 of 66

 Chapter 3: Quality Assurance (QA) issues

details on preparation & participation in an MHRA inspection)). The QA manager will facilitate
CHaRTs response to such external audits, providing requested documentation, making sure
staff are available, responding to requests during visits, and then co-ordinating CHaRTs
response to any requirements identified in the auditors report.

3.4 Training issues [v03.0304.02]

CHaRT understands the need for a properly trained workforce, and that training is a constantly
evolving requirement. It is therefore committed to identify, meet and document its staff
training and development needs (see Section 14.3 for further information). All staff are
expected to keep an up-to-date Staff Development Manual or equivalent which will include
their CV, appraisal objectives, staff training courses attended. The responsibility of the QA
manager is to periodically review the training records, and liaise with the Unit business
manager and other responsible staff (such as the CHaRT director, the CHaRT senior trials
manager, and the CHaRT senior IT manager) to assure compliance.

3.5 Fraud and misconduct [v03.0305.02]

If during any routine or ad-hoc inspection of trial documentation, or any correspondence or
within any conversations with staff within or without CHaRT, the QA manager (or delegate)
has reason to suspect the possibility of fraudulent behaviour or behaviour which might amount
to research misconduct, they must without delay inform the CHaRT director, in strict
confidence. If the CHaRT director is potentially compromised in any way, they should alert the
director of HSRU (or their superior).

CHaRT staff, as University employees, are required to be aware and abide by the University
policies on issues of research misconduct (for further information see
http://www.abdn.ac.uk/mgtskills/research/research2/research2-4/).

CROSS REFERENCE
Section 5.4: Trial protocol
Chapter 14: CHaRT staff training

VERSION HISTORY
Month
Version Significant changes from previous version
reviewed
01 N/A
02 N/A
Further information added to section 3.2.1 on Quality assurance of
03 Jan 2012
buildings/work environment.

Version 03.01 Issue date: 15/10/2012 Page 19 of 66

 Chapter 4: Collaboration issues

CHAPTER 4: COLLABORATION ISSUES

[v03.0400.03]

LEAD AUTHOR
Research managers.

BACKGROUND
CHaRT receives core funding from the Chief Scientist Office of the Scottish Government
Health Directorates, the University of Aberdeen, and the Scottish Academic Health Science
Collaboration and wins competitive grant funding from many public funders such as NIHR
HTA, MRC EME, CSO, other research councils and charities. CHaRTs business plan aims to
maintain a portfolio of approximately ten to fifteen trials in steady state, with usually three trials
starting per year and three trials completing per year. Given CHaRT specialises in non-drug
technologies, it is likely that the current operating environment of demand exceeding supply
will continue. It is important that CHaRT have rigorous and transparent criteria for developing
collaborations with research partners.

PURPOSE
To describe the criteria upon which CHaRTs engagement will be based.

APPLICABILITY
Essential for all senior CHaRT staff involved in strategic decision making.
Desirable background reading for all CHaRT staff.

COLLABORATION ISSUES
4.1 CHaRT collaboration criteria [v03.0401.03]
CHaRT is expected to justify its selection of trials, and defend the strategic balance of its
portfolio at annual and quinquennial reviews by an independent international panel.

The management of the selection of the trials adopted into the CHaRT portfolio is the
responsibility of the CHaRT director and the CHaRT research managers. The criteria for
selection of trials can be found at: viis.abdn.ac.uk/
hsru/chart/public/content/ShowPage.aspx?page=new-trials. They are supported in this
process by an internal CHaRT Advisory Group (the senior trials manager and senior IT
manager with input as needed from the HSRU Director, Programme Directors, clinical leads,
senior health psychologist, senior health economists) which meets weekly to discuss
opportunities for trials that have arisen. Views from the various stakeholders are solicited and
discussed, to assess the suitability of a trial for adoption and work up for funding.
Arrangements for CHaRT's engagement will vary for each trial depending on the collaboration
sought.

Reflecting our academic remit, CHaRT collaborates as an intellectual partner in the research,
not as a service provider. It expects to lead the methodological design of the trial; to take
responsibility for the management of the trial; and to use the most appropriate technologies for
the analysis and reporting of the trial. Variations on this model of engagement are undertaken.
However in all instances CHaRT anticipates making a significant intellectual contribution to the
research, and for its staff members to be recognised for their contribution as grant holders and
authors as appropriate.

Version 03.01 Issue date: 15/10/2012 Page 20 of 66

 Chapter 4: Collaboration issues

CROSS REFERENCE
Chapter 2: CHaRT details

VERSION HISTORY
Month
Version Significant changes from previous version
reviewed
01 N/A
02 N/A
Removed paragraph referring to strategy gap, detailed staff involved
03 in CHaRT advisory group, and included sentence with regard to Jan 2012
arrangements for CHaRTs engagement.

Version 03.01 Issue date: 15/10/2012 Page 21 of 66

 Chapter 5: Trial initiation

CHAPTER 5: TRIAL INITIATION

[v03.0500.03]

LEAD AUTHOR
Senior trials manager.

BACKGROUND
The initiation (or set-up) phase of a trial is demanding. There are a number of legally required
processes that need to happen (the authorisations ethical, regulatory e.g. Clinical Trial
Authorisation, financial e.g. insurance and indemnity, and legal e.g. site contracts). There is
usually a relatively short, fixed time frame from being awarded the grant to starting recruitment
(typically no more than six months). In addition to the obligatory authorisations, the
multidisciplinary study team must effectively organise the trial materials such as the protocol
(which needs to be transformed into a study operations manual to give a detailed description
of the day-to-day processes involved in the trial) and the case report forms (CRF), as well as
patient information leaflets; and the study databases and IT applications (such as the
randomisation system). This requires good communication and planning between the various
groups the clinicians, the statisticians, the programmers, and so on. A trial manager usually
plays a pivotal role in this phase.

PURPOSE
To describe the essential processes in developing a trial from successful grant proposal to first
randomised participant.

APPLICABILITY
Essential reading for all CHaRT staff involved in launching a study, in particular the trial
managers.

TRIAL INITIATION
5.1 Trial authorisations [v03.0501.03]
5.1.1 Sponsorship
All CHaRT trials need a sponsor (see the following link for a description of sponsor; see
www.ct-toolkit.ac.uk/route_maps/stations.cfm?current_station_id=304&view_type=map). For
trials led from Aberdeen, this will usually be either the University of Aberdeen or NHS
Grampian or both as co-sponsors (refer to UoA-NHSG SOP-004 for details on applying for
sponsorship). It is a trial managers responsibility to check with the Chief Investigator (CI) that
sponsorship has been obtained. It is usual (obligatory, if the University of Aberdeen or NHS
Grampian is the potential sponsor) for an organisation considering taking on the role of
sponsor to institute a risk assessment, to establish whether their responsibilities will be
executed properly by the study team. It is usual for a trial manager to co-ordinate the liaison
with the risk assessors for the sponsor.
As indicated above, the sponsors role is an important one in the configuration of a clinical trial.
CHaRT as a trials unit will undertake to communicate promptly and effectively with the
sponsor(s) to satisfy and reassure the sponsor(s) that the sponsors obligations on the
authorisations, the financing and the progress reporting (including emerging safety data) of the
trial are being met. This will include providing information before the start of a trial for the

Version 03.01 Issue date: 15/10/2012 Page 22 of 66

 Chapter 5: Trial initiation

purposes of risk assessment by the sponsor(s) and submission of core documentation to the
sponsor(s) for sign off prior to submission to REC.

5.1.2 Ethical
The need for independent review of the ethics of medical research is obligatory and enshrined
in the Declaration of Helsinki.

CHaRT will always comply with the relevant process in force. Currently, for our UK trials this
is The National Research Ethics Service (NRES) - www.nres.nhs.uk/ and the Integrated
Research Application System (IRAS) www.myresearchproject.org.uk/ who maintain the
established UK-wide framework for ethical review of research. In exceptional circumstances,
a trial may fall outwith the remit of NRES and as such ethical review should be sought
elsewhere. Please see UoA-NHSG-SOP-024 for further information.

Prior to study start-up, all trials must have favourable opinion from a Research Ethics
Committee (REC). The application form can be found at: www.myresearchproject.org.uk/. A
trial manager will establish with the CI who is taking responsibility for submitting the ethics
application. A trial manager will request a copy of the ethics approval.

5.1.3 R&D approval

Management approval must be obtained from the appropriate NHS R&D Trusts (or equivalent)
prior to any research commencing. Similar to the ethics favourable opinion, no recruitment to
a centre can take place until the trial manager has sight of R&D approval for that centre.
Please see UoA-NHSG-SOP-024 for local procedures on applying for R&D approvals.

For multicentre research being led from Scotland, NHS Research Scotland (NRS)
Permissions provides coordination of the process for obtaining NHS permission from Health
Boards:www.nhsgrampian.org/nhsgrampian/nrspcc.jsp?pContentID=7170&p_applic=CCC&
p_service=Content.show&

For multicentre research not being led from Scotland, the NIHR Coordinated System for
gaining NHS Permission (CSP) should be contacted: www.crncc.nihr.ac.uk
/about_us/processes/csp.

5.1.4. Regulatory
The expectation is that all CHaRT trials are conducted to a high standard, compatible with
University Research Governance requirements, including the principles of Good Clinical
Practice (GCP) (see section 6.1 and IAHS Research Governance QA policy). At all times the
safety and well being of the participants is paramount, along with the completeness, accuracy
and quality of the data.

It is not always obvious what is or is not a Clinical Trial of an Investigational Medicinal Product
(CTIMP) under the EU Directive, it is the trial managers responsibility to verify that each trial
has been checked against the published algorithm:
(www.mhra.gov.uk/Howweregulate/Medicines/Licensingofmedicines/Clinicaltrials/Isaclinicaltria
lauthorisationCTArequired/index.htm) and if there is any doubt, the CI should seek an expert
adjudication from the UK regulator, the Medicines and Healthcare products Regulatory
Agency (MHRA).

Version 03.01 Issue date: 15/10/2012 Page 23 of 66

 Chapter 5: Trial initiation

Clinical Trials of Investigational Medicinal Products (CTIMPs)

If the research is a CTIMP taking place in the UK, a clinical trial authorisation (CTA) or a
Clinical Trial Notification must be submitted to the MHRA. Detailed guidance on the
application for a CTA or Notification can be found at:
www.mhra.gov.uk/Howweregulate/Medicines/Licensingofmedicines/Clinicaltrials/Applyingforac
linicaltrialauthorisation/index.htm. Please also refer to UoA-NHSG-SOP 025 for full details on
the procedure for submitting a CTA for locally sponsored studies.

Prior to submitting a CTA application, a EudraCT number is required to uniquely identify the
study and is allocated by the European Agency for the Evaluation for Medicinal Products
(EMEA; see eudract.emea.europa.eu/).

It is vital that the CHaRT trial team work closely with the lead pharmacist to ensure that all
procedures and facilities are appropriate and all pharmacies involved with the trial are fully
informed and adhering to the specific trial criteria.

Non-CTIMPs
The spirit of the reporting and documentation requirements of EU Directive for CTIMPs will be
followed, without necessarily fulfilling all the detailed requirements.

5.1.5 Financial
It is important that the financial arrangements are in place before the trial starts. For example
the trial manager should be satisfied that the appropriate insurance and indemnity is in place,
by verifying this with the sponsor. Sub-contracts are issued between the University and the
appropriate Trust, including details of any research funds available to the sites. It is the
responsibility of the CI or his/her designated team member to instruct and monitor contract
activity (see also section 5.1.6). All financial and contractual details are to be considered
confidential, and not for unauthorised distribution.

5.1.6 Legal
There are usually a number of legal issues that need to be addressed in a multicentre clinical
trial. It is the CIs (or delegates) responsibility to verify that contracts between the sponsor(s)
and individual recruiting centres are in place and up to date, and bring any deficiencies to the
attention of the sponsor(s). If CHaRT is providing support to individual centres, this must be
formalised in a signed contract. Recruitment at an individual site should not commence until
this signed agreement is in place.

5.2 Trial registration [v03.0502.02]

All eligible trials will be registered on the National Institute for Health Research Clinical
Research Network (NIHR CRN) Portfolio www.crncc.nihr.ac.uk/about_us/ processes/portfolio.

In addition, all trials will be registered on a recognised trials registry. Currently these include:

The UKCRN portfolio (public.ukcrn.org.uk/search/)

The International Standard Randomised Controlled Trial Number (ISRCTN) Registry
(www.controlled-trials.com)
The National Institute of Health Trials Registry (www.clinicaltrials.gov)

Version 03.01 Issue date: 15/10/2012 Page 24 of 66

 Chapter 5: Trial initiation

If a funder/sponsor has a policy for registration, usually that will prevail.

It is a requirement for publication by leading journals that the trial be registered before any
participants are randomised.

5.3 External relations [v03.0503.02]

It is the duty of all CHaRT staff to maintain professional and courteous relations with all
external bodies that CHaRT will collaborate with. This will include other university
departments (both within Aberdeen, across the UK and further afield), other Clinical Trials
Units, professional bodies, government departments, NHS bodies, charities, funding agencies,
and regulators. CHaRT works hard to project and maintain an image of excellence and
reliability, and it is important that CHaRT staff promote this image at all times by their attitude
and conduct.

5.3.1 Funders
CHaRTs long term sustainability rests in part on maintaining its successful and established
partnership with major funders such as National Institute for Health Research (NIHR) Health
Technology Assessment (HTA), Medical Research Council (MRC) and Chief Scientist Office
(CSO). It is therefore important that CHaRT staff establish and maintain good relations with
funders; that they understand the funders requirements (e.g. in terms of payment schedules,
progress reports and data archiving) and are responsive to their needs. It is particularly
important that in case of any difficulties or dissatisfaction expressed by the funder, senior
CHaRT staff are made aware of the situation.

5.4 Trial protocol [v03.0504.03]

All CHaRT trials are required to have a trial protocol. The trial protocol is a statement of the
scientific objectives of the study, with clear detail on the methods and conduct and with input
from all relevant disciplines. It is the expectation that the trial protocol will be published in a
peer-reviewed journal (preferably in open access mode) before the data are analysed, and
should include a summary of the statistical analyses to be undertaken to deliver the primary
objectives of the study. The trial protocol is usually based on an extension of the final
approved grant submission. It is also the expectation that CHaRT, in collaboration with the CI,
will take responsibility for the submission of this protocol for publication. For details on writing
a research protocol that complies with the principles of GCP for CTIMP, please refer to UoA-
NHSG-SOP-003.

5.4.1 Study operations manual

It is important to distinguish the trial protocol from the study operations manual, the former is
the scientific statement of the trials aims and methods; the latter is a very detailed description
of all study processes that deliver the trial (and may run to hundreds of pages). The study
operations manual is intended to grow organically as the study progresses, documenting
problems and their solutions, and also ensuring their consistent implementation across centres
in a trial. The study operations manual, unlike the trial protocol which is usually published and
available freely on the study web portal, is a confidential trial document and not for
unauthorised distribution.

Version 03.01 Issue date: 15/10/2012 Page 25 of 66

 Chapter 5: Trial initiation

5.4.2 Case report form (CRF) design

For the purposes of the SOP a Case Report Form (CRF) encompasses clinical report forms
and also Patient Reported Outcomes such as Questionnaires, which may be paper or
electronic.

The CRFs record the study data. Wherever possible, tried and tested formats from previous
trials should be used or adapted when designing the CRFs for a new study. Templates are
available in the CHaRT resources repository on Q-Pulse. The CRFs are developed alongside
the study protocol and may need to be submitted for ethical approval. If necessary CRFs may
be modified after feedback from their initial implementaiton. The final versions are then
available on the study specific web portal.

The development of the CRF is a multidisciplinary task, needing input from:

investigators
those responsible for the data collection e.g. study nurses
statisticians
health economists (as appropriate)
health psychologists (as appropriate)
IT application programmers
trial managers
consumers
study committees (Trial Steering Committee (TSC), Data Monitoring Committee (DMC))

CRFs need to be subject to systematic checks against the study protocol and version control.
CRFs must be clearly set out, the data being collected matching the trial dummy tables (see
section 10.2). CRFs will be sent out to the sites by CHaRT and/or maintained by CHaRT on
the trial web portal, as stipulated in the trial protocol.

If a CRF is amended and a new version created, the trial manager will instruct sites when to
use new versions of CRFs. These new versions of CRFs will either be sent directly to the
sites or uploaded to the trial web portal, as stipulated in the trial protocol. Sites will also be
instructed to destroy any unused hard copies of older versions.

5.5 Informed consent [v03.0505.03]

Consent is an essential element for all participants in clinical trials. It is usual for participants
to be informed of their role in the study and consent to it by indicating their willingness to
participate by signing and dating an informed consent form. Any deviation to this will be
documented in the trial protocol.

The key requirements of this process are that the participant is able to give consent; that they
do so voluntarily; that they understand what they are consenting to; and that the consent is
properly documented. Please refer to UoA-NHSG-SOP-010 for more information.

Traditionally, the mechanism for imparting the information to a participant to give them the
opportunity to start comprehending their potential role in the trial is the patient information
leaflet (see www.nres.nhs.uk/applications/guidance/consent-guidance-and-forms/?1311929_
entryid62=67013 for a guide to these leaflets). The time that potential participants will have to

Version 03.01 Issue date: 15/10/2012 Page 26 of 66

 Chapter 5: Trial initiation

consider participation will be detailed within the ethically approved protocol. They also need to
be given adequate access to trial staff to discuss any concerns they have.

Once the informed consent has been satisfactorily given, the participant must be given a copy
of the form for their retention (the consent form template is available on Q-Pulse). Signed
informed consent is a very important component of the essential documentation of a trial, and
it is the trial managers responsibility to collate them centrally unless otherwise specified.

Particular attention needs to be paid when eliciting the consent of vulnerable groups; these
include participants with temporary or permanent cognitive impairment (for example, RCT in
emergency setting when a subject might be unconscious; or trials in people with mental health
conditions); trials in children; trials in people with learning difficulties or language issues; and
so on. If consent is not possible and assent or verbal agreement is sought, this procedure will
be fully detailed in the trial protocol together with the mechanism for subsequently gaining fully
informed consent.

5.6 Site initiation issues [v03.0506.02]

It is important that sites recruiting participants into a trial are prepared sufficiently to transact
the study processes competently and efficiently. It is usual for CHaRT to provide training to
site staff in study processes, including informed consent, randomisation, CRF completion,
remote data entry on a study web portal, query receipt and resolution, and so on. All CRFs
and trial procedures should be reviewed with particular emphasis given to consenting
procedures. It is essential that those responsible for consenting participants into trials are fully
aware of their responsibilities (see also section 5.5) and all other critical functions (e.g.
randomisation, data entry, clinic visit scheduling, adverse event reporting and query
processing). Roles and responsibilities of individual site team members should be included in
the trial site delegation log which can be found on Q-Pulse. Refer to the UoA-NHSG-SOP-010
for more information.

Site visits/training can take place prior to appropriate legislative procedures being in place but
no participant recruitment can start until all necessary approvals have been issued. Site
initiation may be carried out by visiting sites, holding central study training days (usually at
CHaRT in Aberdeen) or by telephone/video conferencing to train study staff at the recruitment
sites in the study processes. This should be undertaken before the first participant is recruited
into a study at the site.

It is emphasised that training may need to be repeated over a long trial, or as and when
needed (e.g. when new staff join a centre). Any training gaps identified, are to be rectified as
soon as practicable.

5.6.1 Site visits

An initiation visit, if required, should be undertaken before the first participant is recruited into a
study at the site. Prior to initiation visits, the trial manager will try to ensure that local team
members involved in the study have the opportunity to familiarise themselves with the protocol
and all essential documentation (see section 6.7.2). Any procedures that are not clear can be
discussed during the meeting. If possible, all those involved in the study locally (e.g. PI,
recruitment officer, research nurse, physiotherapist, pharmacist etc.) should attend the
initiation meeting.

Version 03.01 Issue date: 15/10/2012 Page 27 of 66

 Chapter 5: Trial initiation

5.7 Trial monitoring [v03.0507.02]

The sponsor conducts a risk assessment for all randomised controlled trials. The formal risk
assessment will contribute to the creation of a trial specific monitoring plan.

The trial monitoring plan (see section 6.2) details the scope and level of checking (e.g. all
consent forms, all primary outcomes, 10% of a selected minimisation covariate) with a
responsive plan depending on what was found (e.g. >5% error would trigger a 100% check).

For publicly funded trials, monitoring is usually risk based. For example, we may use
monitoring solutions which use statistically based centralised monitoring to identify unusual
patterns in accruing data. This central monitoring indicates potentially problematic centres and
allows investigation and targeted monitoring in a proactive rather than reactive manner.

5.7.1 Trial oversight

The four main groupings that contribute to the oversight and governance arrangements for
each trial are: the Project Management Group (PMG); an independent Trial Steering
Committee (TSC); an independent Data Monitoring Committee (DMC) and the sponsor(s).
The membership and remit of these committees, including details of frequency of meetings
and expected progress reports, will be detailed in the trial protocol, and specified in detail in
the study operations manual, and TSC and DMC charters if used.
The PMG will consist of the grant holders, those responsible for the day-to-day
management of the trial (usually the trial manager) and can include a consumer
representative (if these persons are not grant holders).
The role of the TSC is to monitor and supervise the progress of the trial. The membership
usually consists of an independent chair, together with at least two other independent
members. CHaRT recommends to TSCs that they adopt the extension of the DAMOCLES
DMC template charter, which can be found on Q-Pulse.
The role of the DMC is to monitor accumulating trial data during the course of the trial and
make recommendations to the TSC as to whether there are any ethical or safety issues
that may necessitate a modification to the protocol or closure of the trial. CHaRT has
adopted the DAMOCLES charter for DMCs and suggests to the independent DMC
members that they adopt the Terms of Reference. A copy of the CHaRT DMC charter
template can be found on Q-Pulse. It is important that progress reports to the DMC, since
they may contain unblinded analyses, are held in strict confidence and are only accessed
by authorised personnel. In general, they should not be seen by other members of CHaRT
or the individual study team, including the CI, the trial manager, and so on. It is particularly
important that since these are of very limited distribution, quality assurance DMC reports in
general must be prospective. It must be ensured wherever possible that programming and
statistical code, that has been verified against known results, be used in the preparation of
DMC reports.
The role of the Sponsor (see section 5.1.1) is to have ultimate oversight of the study and
ensure that trial is being conducted in accordance with the principles of GCP and the
relevant regulations.
The independent members of the TSC and DMC should meet prior to the first randomisation
and agree their terms of reference. It is required that all confidential reports to DMC, and TSC,

Version 03.01 Issue date: 15/10/2012 Page 28 of 66

 Chapter 5: Trial initiation

and the data and programs that produce those reports, and the minutes of those meetings, are
securely archived for later inspection if the need arises.

5.8 Consumer involvement [v03.0508.01]

A crucial aspect of the design of CHaRT trials is that the question being investigated is of
importance to potential participants and uses outcomes that measure dimensions of the
condition that matter to the person with the condition. The most effective way of ensuring that
these conditions are maximised is to involve consumers (i.e. users) of that research in the
design and delivery of the trial (see Chapter 13: Consumer issues for more detail). CHaRT
has unambiguous commitment to the involvement on consumers in as many of its trial
processes as possible. Where possible, consumer involvement will be sought as early as
possible in the development process for the trial ideally from the grant application stage.
Membership of specific trial Committees such as the Project Management Group (PMG), TSC
and DMC are also recognised ways of involving consumers.

CROSS REFERENCE
Chapter 6: Trial conduct and management

VERSION HISTORY
Month
Version Significant changes from previous version
reviewed
01 N/A
02 N/A
Total revision and re-ordering of this chapter; particularly to sections
03 Jan 2012
5.1, 5.4 and 5.7.

Version 03.01 Issue date: 15/10/2012 Page 29 of 66

 Chapter 6: Trial conduct and management

CHAPTER 6: TRIAL CONDUCT AND MANAGEMENT

[v03.0600.03]

LEAD AUTHOR
Senior trials manager.

BACKGROUND
Although trial design is of fundamental importance (an important question investigated with
optimal methodology) it is said that a successful trial is 10% science, 90% process. Having
established and proven techniques for conducting the trial is therefore crucial.

PURPOSE
To describe the CHaRT processes in conducting a trial from the first randomisation (or
screening) through to the last patient, last visit and study reporting, and document generic
issues for trial management of CHaRT trials.

APPLICABILITY
Essential reading for all CHaRT staff involved in trial conduct, in particular the trial
managers.

TRIAL CONDUCT AND MANAGEMENT

6.1 Good Clinical Practice [v03.0601.01]
Good Clinical Practice (GCP) is an ethical and scientific quality standard for designing,
conducting, recording, and reporting trials that involve participation of human subjects.
Compliance with the principles of this standard provides public assurance that the rights,
safety and well being of trial subjects are protected, consistent with principles that have their
origin in the Declaration of Helsinki. It is imperative that all staff working within CHaRT have
appropriate GCP training (a level of knowledge that reflects their exposure to the principles).
See www.legislation.gov.uk/uksi/2004/1031/part/4/made for further information relating to the
Medicinces for Human Use Regulations 2004.

6.2 Trial monitoring [v03.0602.02]

As noted in Section 5.7, a trial monitoring plan will have been agreed early in the trial and this
should be followed. In addition trials may be subject to monitoring/audit by external bodies
(e.g. R&D Depts, MHRA; see Section 3.3 for more information and refer to UoA-NHSG-SOP-
017).

6.3 Governance arrangements [v03.0603.03]

Research Governance applies to everyone working in health care research (including CIs, PIs
and CHaRT staff). For further details, refer to the University of Aberdeen / NHS Grampian
web pages for research governance issues related to clinical research studies:
www.abdn.ac.uk/medical/researchgovernance/clinicalresearch, and the University of
Aberdeens Research Governance and Quality Assurance Policy:
www.abdn.ac.uk/iahs/research/research-governance/.

6.4 Progress reporting [v03.0604.02]

The funder of the study will have a format and timeline for reporting. It is the responsibility of
the trial manager and/or CI that he/she is clear when progress reports are due and on which

Version 03.01 Issue date: 15/10/2012 Page 30 of 66

 Chapter 6: Trial conduct and management

template. The report to the funder should be delivered on time, addressing all issues, in
particular any areas of concern.

In addition, an Annual Progress Report (APR) which can be found at

www.nres.nhs.uk/applications/after-ethical-review/annual-progress-reports should be sent to
the REC 12 months after the date on which the favourable opinion was given and
subsequently annually thereafter until the end of the study. It is the responsibility of the trial
manager to ensure these reports are submitted on time. Please refer to the UoA-NHSG-SOP-
013 for full details on preparing and submitting APRs for CTIMPs.

For CTMPS, It is the CIs responsibility to prepare the annual Development Safety Update
Reports (DSURs) and submit it to the Medicines and Healthcare products Regulatory Agency
(MHRA), copying it to the Sponsor and REC. Please refer to the UoA-NHSG-SOP-013 for
further information.

The trial manager should also comply with any requests from local R&Ds for individual
progress reports.

6.5 Safety reporting [v03.0605.03]

Serious Adverse Event (SAE) procedures (including who is responsible for reporting) must be
detailed within the trial protocol for both CTIMPs and non-CTIMPS. It may be appropriate for
the individual site PIs to be responsible for assessing seriousness, causality, severity and
expectedness, or this can be shared between the PIs and CI. SAEs are reported on a
separate case report form (CRF), which must detail the nature of the occurrence. See the
CHaRT serious adverse event policies on Q-Pulse for clarification on definitions and reporting
procedures/timelines for both CTIMPs and non-CTIMPs.

All SAEs, relating to either CTIMP and non-CTIMP should be recorded on the appropriate SAE
report form which can be found on Q-Pulse. Please also refer to the UoA-NHSG-SOP-014 for
further details on identifying, recording and reporting SAEs.

All electronic SAEs recorded remotely in CHaRT trials are automatically flagged to relevant
members of the trial team (to include the CI, trial manager and senior CHaRT management) to
ensure appropriate follow-up. It is important to distinguish the generalisation and adjudication
of adverse events from the reporting of adverse events. The generalisation and adjudication
(in terms of their seriousness, severity, longevity, resolution, and relationship to study
intervention) is a clinical activity which must be the responsibility of appropriately clinically
qualified staff (usually the local PIs, or study nurses). This is not an activity CHaRT would
usually have a role in. However CHaRT may facilitate the CI in the reporting of an SAE to the
relevant parties (e.g. sponsor, DMC, TSC, ethics, regulator) in the appropriate timescale, once
it has been generated and adjudicated. The details of such arrangements in a particular trial
should be stated in the trial protocol and fully specified in the study operations manual and
associated legally binding contracts.

Version 03.01 Issue date: 15/10/2012 Page 31 of 66

 Chapter 6: Trial conduct and management

6.6 Breach reporting [v03.0606.03]

Breaches of the conditions and principles of GCP or the trial protocol should be recorded on
the CHaRT Breach Report form which can be found on Q-Pulse. Possible breaches should be
discussed with the trial CI, Senior Trials Manager or the CHaRT director as soon as you
become aware.

An assessment of seriousness should be made by the CI. It is usual that all breaches will be
reported to the sponsor(s). A serious breach is one which is likely to affect, to a significant
degree, the safety or physical or mental integrity of the subjects of the trial or the scientific
value of the trial.
In CTIMPs, serious breaches should be reported by the CI to the sponsor and the NHS
Grampian R&D Director (or deputy) as soon as possible to assess the seriousness of the
breach and consider a corrective and preventative action plan (if applicable) before reporting
and notifying the competent authority within the 7 days of becoming aware of the breach.
Please refer to the UoA-NHSG-SOP-015 for further information on the notification of serious
breaches of GCP or the trial protocol.

6.7 Essential documentation [v03.0607.03]

Maintenance of the essential trial documentation listed below is the responsibility of the trial
managers.

6.7.1 Trial master file (TMF)

The trial master file (TMF) must include all essential documentation related to the trial and can
be filed as a hard copy and/or electronically . Any information or documents missing must be
explained on a note to file. The TMF checklist can be accessed on Q-Pulse.

6.7.2 Investigator site file (ISF)

The trial investigator site files (ISFs) can also be filed as a hard copy and/or electronically.
The ISF must include all documentation related to the trial relevant to the individual sites. A
copy of the ISF checklist can be accessed on Q-Pulse. Any information or documents missing
or deviations must be explained in a note to file. It is the responsibility of the Trial Manager
(or member of the study team) to provide the sites with any updated documents. Sites who
maintain a hard copy of their site file musts take responsibility for keeping the file up-to-date.

Please refer to UoA-NHSG-SOP-008 and 009 for further details on establishing and
maintaining a TMF and site file.

6.8 Amendments [v03.0608.02]

Guidelines on what constitutes a substantial and non-substantial amendment can be found at:
www.nres.nhs.uk/applications/after-ethical-review/notification-of-amendments/examples-of-
substantial -and-non-substantial-amendments/.

All substantial amendments are submitted to the REC that gave a favourable opinion and/or
competent authority (e.g. the MHRA in the UK) using the Notice of Substantial Amendment on
IRAS. It is very likely that the sponsor(s) will review amendments prior to submission
(depending on the type of trial). Refer to the funders contract as to whether a review of
substantial amendments is also required by the funder themselves.

Version 03.01 Issue date: 15/10/2012 Page 32 of 66

 Chapter 6: Trial conduct and management

For CTIMPs, please refer to UoA-NHSG-SOP-011 for further details on how to submit
substantial amendments.

R&D offices should also be informed and approval sought for all amendments to the trial.

6.8.1 Amendment processes for key documents

The first version of documents submitted for regulatory and/or ethical approval is Version 1.
Amendments made subsequent to or as a condition of regulatory/ethical favourable opinion
(as applicable) will generate a new version. It is the responsibility of the trial manager to
ensure that the most recent version is the one that the trial team are commenting on and that,
when the appropriate agreed documents are complete, that a date is added to the final first
version e.g. version 1, date (day, month and year). Records of changes made to key
documents should be maintained. Any changes/updates to documentation must be agreed
through informed discussion at appropriate trial meetings and, if the change to the trial
database is substantial, a Change Request Form must be completed. This form can be found
on Q-Pulse.

6.9 Error correction [v03.0609.02]

Error correction on a hardcopy paper case report form (CRF) is undertaken by crossing
through the incorrect data with a single line, adding the correct data and signing/initialling and
dating the change in ink. Justification of why the amendment has been made (such as a copy
of a letter from an investigator clarifying data) will be attached to the CRF. Under no
circumstances is correction fluid (e.g. Tippex) to be used. There is an electronic audit trail for
all amended electronic data on CHaRT trial databases.

Any personal identifiable data that does not form part of the content of a CRF form in
completed CRFs received by CHaRT centrally will be obscured at the time of data entry (i.e. if
a participant writes their name or other identifying information on a CRF, this is covered over
upon receipt by pen and/or sticker). Please refer to the UoA-NHSG-SOP-026 for further
details on managing research data.

6.10 Query processing [v03.0610.01]

Queries are generated frequently (dependent on size of trial and data collected). Any
amendments to data should be logged on the appropriate CRF and should be dealt with as
error corrections (described above in section 6.9).

The standard method of data entry by study personnel is via a dedicated software programme
or study web portal, hosting a remote data capture application authorised by CHaRT. As
such, most queries are online in real time the data entry person will be asked to clarify or
confirm impossible or improbable entries at the point of entry. This will result in most data
issues being solved immediately. However, more complex queries will occasionally arise.
These will be generated at specific times (e.g. once weekly or monthly, or at important
milestones; such as several weeks before a database lock for a DMC Report). These queries
will be programmed by the applications programmer, and agreed by the study team, including
the CI and the study statistician, as well as the trial manager. The resulting queries will be
distributed to the responsible person (PI, nurse or recruitment officer etc.) at each centre, who
will investigate and solve the query, and update and correct via the study web portal, or via the
study office at CHaRT.

Version 03.01 Issue date: 15/10/2012 Page 33 of 66

 Chapter 6: Trial conduct and management

6.11 Filing [v03.0611.02]

With the large volume of documentation required for each trial a satisfactory filing system of
both hard copy and electronic data is essential. The filing system should be segmented so
that individual trials remain separate. It is the responsibility of all CHaRT staff to ensure that
data are held securely and confidentially.

Access to all trial data must be restricted to authorised team members.

6.12 Study meetings [v03.0612.02]

Study meetings, whether in-house, PMG, TSC or DMC should have a designated chair.
Constitution of these committees is described in section 5.7.1. It is normal that members of
the PMG be invited to the TSC meetings (in particular the CI, trial manager and statistician).
For significant meetings an agenda should be made available to all attendees in advance and
should be referred to during the meeting to ensure that all items are systematically reviewed
as required. Meetings should be organised in sufficient time (will vary depending on the
geographic location of those who will be attending and the type of meeting). Clear details will
be sent to attendees with regard to location and, when appropriate, travel options. It may be
appropriate for meetings to be held via tele- or video-conference.

It is common practice within CHaRT to hold weekly in-house meetings for trials that are in
start-up, with reduced frequency while the trial is ongoing, increasing to weekly again during
the close down phase. Membership of the in-house group will include appropriate CHaRT
personnel.

Minutes of meetings should be taken by the trial manager, data co-ordinator or another team
member and filed appropriately.

6.13 Participant contact [v03.0613.03]

The protocol will describe the process for initial approach to participants and how subsequent
contact is made. Local contact is covered during the initial site training and detailed in the
study operations manual. Contact by central CHaRT personnel will normally be following
participant consent.

All CHaRT staff must be aware of their duty of confidentiality and will maintain a professional
approach to all participant contact. Contact may be made via post, telephone and email by
designated team members. If a trial participant has a query that the team member cannot
answer (e.g. a clinical query), the team member is responsible for passing that query to a
relevant person for resolution.

Where research involves NHS patients, data or facilities, in addition to requiring NHS R&D
permission for the trial, members of the trial team may need to be covered by an appropriate
Human Resource agreement with the NHS organisation hosting their research. The NHS
Research Passport system algorithm provides guidance on whether CHaRT personnel will
require an honorary NHS contract or letter of access depending on the level of patient contact
they have throughout the trial.

Version 03.01 Issue date: 15/10/2012 Page 34 of 66

 Chapter 6: Trial conduct and management

6.14 Participant follow-up [v03.0614.01]

6.14.1 Within trial
Participant follow-up is detailed within the trial protocol. When questionnaires are sent by post
from CHaRT, it is normal practice that participants who fail to return them will be sent
reminders approximately three weeks following the initial mailing. It is also common practice
that further non-response is followed by a telephone call to the participant. It is important that
all such methods of contact with participants, and their frequency, is pre-specified and
approved by the REC.

Needs and requests from trial participants, e.g. that a CHaRT member of staff telephone to
complete questionnaires due to their requiring support, should be accommodated as much as
possible.

Depending on the trial design/population and length of follow-up, it is important to keep

participants informed of progress and CHaRT encourages trials to issue newsletters and a lay
summary of results to the trial participants when available.

6.14.2 Long-term follow-up

Most CHaRT trials will seek to obtain long-term follow-up on either all randomised participants
or a subset. Exceptions would be short-term interventions with no perceived safety or
effectiveness issues long-term. Long-term follow-up is potentially for many years or decades,
after the participant has reached the primary study outcome for example, a trial of knee
replacement may have its primary outcome as quality of life at two years post-operation but it
may look at the device failure at 10 years post-operation. Long-term follow-up is usefully
differentiated between that which requires further patient contact (whether by post, telephone,
clinic or home visit) and that with can be completed solely by record linkage (remote capture of
further participant data from natural registries, hospital and GP databases, and so on). Long-
term follow-up that involves further patient contact is usually more expensive and requires
considerable organisation. Whatever the nature of the follow-up, the following three
requirements are key:

Ethics favourable opinion for the long term follow-up, specifying the nature and frequency
of participant contact, must be obtained, and it is strongly advised to obtain these
permissions, and the consent of the participant, at the beginning of their involvement i.e.
prior to randomisation.
Adequate funding needs to be secured to guarantee the viability of the follow-up and
quality of data captured.
The project needs to be set up and documented on the assumption that it will not be
carried out by the original study team. It should be assumed that no-one will be available
with direct knowledge of the original conduct of the trial. It is therefore the responsibility of
the original team to specify the long-term follow-up protocol in such a way that this critical
knowledge is passed on, in so far as possible, in writing.

Version 03.01 Issue date: 15/10/2012 Page 35 of 66

 Chapter 6: Trial conduct and management

CROSS REFERENCE
Chapter 5: Trial initiation
Chapter 14: Training issues

VERSION HISTORY
Month
Version Significant changes from previous version
reviewed
01 N/A

02 N/A
Total revision and re-ordering of this chapter; particularly to sections
03 Jan 2012
6.6 and 6.7.

Version 03.01 Issue date: 15/10/2012 Page 36 of 66

 Chapter 7: Trial close-out

CHAPTER 7: TRIAL CLOSE-OUT

[v03.0700.03]

LEAD AUTHOR
Senior trials manager.

BACKGROUND
All clinical trials must end at some point, either having reached their scheduled milestones and
finished at the expected time, or unexpectedly due to safety concerns, or for overwhelming
evidence of benefit sooner than expected, or for other reasons (futile to continue, or external
events e.g. other trials making it impossible to continue). The end of a trial must therefore be
anticipated, and planned for accordingly.

PURPOSE
To document CHaRT processes for the management of trial close-out.

APPLICABILITY
Essential reading for all CHaRT staff involved in the close-out phase of a trial.

TRIAL CLOSE-OUT
7.1 Close-out procedures [v03.0701.03]
Close-out procedures should be discussed and documented well in advance by the trial team.
In principle, since a trial can be terminated at any time, at least a basic plan of closure should
be in place from the first randomisation. This plan can have appropriate detail added as the
trial reaches its full compliment of centres and participants. It is the ultimate responsibility of
the sponsor (may be delegated to Chief Investigator (CI)) to ensure that proper procedures are
in place, and are then undertaken (please refer to the UoA-NHSG-SOP-020 for details on the
procedure for formally closing a trial).

Although undertaken as an ongoing process, it is essential that all original records (e.g.
questionnaires, tapes of interviews, study authorisations such as ethics and R&D approvals)
have been checked for anonymity (when appropriate) and completeness. Any outstanding
errors and inconsistencies should be resolved. CHaRT ensures that the master file, and the
final database on which the analysis and publication is based, is complete, properly labelled
and securely archived.

In a scheduled close-out, since centres in a multicentre trial are usually recruited in a

staggered fashion, there is usually the opportunity to also close-out in a staggered time table.
The trial manager will develop centre specific plans for close-out, including resolution of all
outstanding queries leading to an authorised data lock. These will include:

Completion of all contractual issues with a centre, including final payments for services.
Organisation of transmission of appropriate data, either electronic or paper, using secure
measures where appropriate to CHaRT.
Arrangements for any final site monitoring visit.

Version 03.01 Issue date: 15/10/2012 Page 37 of 66

 Chapter 7: Trial close-out

Return of all equipment (e.g. computers, clinical kit), as appropriate and arrangements for
closing down dedicated office space, removal of publicity material, decommissioning
dedicated phone lines, closing study webportals and so on.
Review which records are to be archived, and for how long (see archiving procedures).

CHaRTs staff contractual issues are reviewed ahead of the scheduled end-date of the trial, to
ensure that ongoing employment opportunities can be fully explored.

7.2 Timelines for notifying stakeholders of study termination [v03.0702.01]

For CTIMPs: the competent authority (in the UK, the Medicines and Healthcare products
Regulatory Agency (MHRA)), the Research Ethics Committee (REC) and the sponsor(s)
should be notified of the end of trial within a specific time (currently 90 days) of the last
patients last visit (or the end of trial as defined by the protocol) by completing a Declaration
of the End of Trial form (found at http://www.nres.nhs.uk/applications/after-ethical-
review/endofstudy/). The appropriate final trial report should be submitted to the MHRA
and REC within 12 months of trial completion.

For non-CTIMP trials: the trial manager should ensure that the end of trial notification is
made to the appropriate REC and sponsor within 90 days using the necessary form (found
at http://www.nres.nhs.uk/applications/after-ethical-review/endofstudy/), study reports are
issued (see section 8.1 for further details) and financial procedures have been completed.
The final study report should be submitted to the main REC within 12 months of the end of
trial.

All relevant registers (see Section 5.2) should also be updated as appropriate.

7.3 Early termination of study [v03.0703.02]

It is important that the scheduled termination of the study plan is worked out early in the study
(ideally before the first randomisation), since any study can be terminated early at any point
after that. This may be due to safety issues, and in such a case, when participants are still
being treated, for example, immediate action must be taken to inform both investigators and
participants. Once this is achieved, the plan for the scheduled close-out should then be
exacted.

If the study is still recruiting, the randomisation system must be suspended and suitable
information given to callers explaining the change in status.

For CTIMPs, the MHRA, REC, sponsor(s) and R&D should be notified within 15 days of an
early termination of a trial using the EudraCT declaration of end of trial form found at
http://www.nres.nhs.uk/applications/after-ethical-review/endofstudy/ including a brief
explanation of the reasons for ending the trial early.

Version 03.01 Issue date: 15/10/2012 Page 38 of 66

 Chapter 7: Trial close-out

7.4 Temporary suspension of a trial [v03.0704.01]

In addition, consideration should be in place for a possible temporary suspension of a trial and
the processes required to enact this. For example, it may be necessary to suspend the
randomisation system for a few days as a Suspected Unexpected Serious Adverse Reaction is
investigated thoroughly. Or it might be that a sponsor suspends the study to deal with funding
or staff issues.

7.5 Archiving [v03.0705.02]

The sponsor is ultimately responsible for ensuring that trial data is archived appropriately. If
the CI leaves during the period that data is in archive, arrangements must be made to ensure
its ongoing safekeeping and security. Essential data shall be retained for a period of at least
five years following close of study, but this will vary depending on the terms and conditions of
the relevant funding body and the sponsor. It is essential that trial documentation can be
accessed by designated trial office staff and therefore archived data must be retrievable within
a reasonable timeframe. To address these issues, the University of Aberdeen has an
archiving policy (see: www.abdn.ac.uk/clsm/staff/docs.php for the Archive Approval Form and
the UoA-NHSG-SOP-021 for details relating to archiving clinical research data for CTIMPs).
All requests for archiving should be processed by completing and submitting this document.

CROSS REFERENCE
Section 8.1 Final trial reporting
Section 9.2 Programming standards

VERSION HISTORY
Month
Version Significant changes from previous version
reviewed
01 N/A
02 N/A
More clarification to procedures for trial close-out and two new
03 sections: 7.2 Timelines for notifying stakeholders of study termination Jan 2012
and 7.4: Temporary suspension of a trial

Version 03.01 Issue date: 15/10/2012 Page 39 of 66

 Chapter 8: Final Trial reporting and publication

CHAPTER 8: FINAL TRIAL REPORTING AND PUBLICATION

[v03.0800.03]

LEAD AUTHOR
CHaRT Director.

BACKGROUND
There is an obligation to full and open publication of trial results, whatever the findings. Trials with
null results, trials which failed to recruit to target and trials which were unexpectedly terminated, all
need to be reported. In so far as possible, trials should be reported to their planned intentions.
Moreover, trials need to be reported as soon as is practicable.

PURPOSE
To describe CHaRTs policies for ensuring trials are properly reported in a timely fashion.

APPLICABILITY
Essential reading for all CHaRT staff involved in publishing trial findings.
Useful background reading for all CHaRT staff with research interests.

FINAL TRIAL REPORTING AND PUBLICATION

8.1 Final trial reporting [v03.0801.03]
It is the CHaRT Directors responsibility, in conjunction with the CI, to be aware of the
requirements of the stakeholders in the trial (the funder, the sponsor, ethics, regulatory, consumer
groups, and so on) in respect of final study reporting, and to ensure that these are delivered in a
timely and appropriate manner (see sections 5.1 and 7.1 for more detail).

Participants should be informed of the final study results as detailed in the Integrated Research
Application System (IRAS) application (see section 5.1 for more detail).

By Final trial reporting we are referring to the results from the primary analysis of the data at the
pre-specified end of study according to the protocol. Many, if not all, CHaRT trials now include
extended follow up (e.g. via routine NHS administrative databases joined by record linkage) going
on possibly decades beyond the initial study phase.

8.2 Publication policy [v03.0802.01]

All studies managed by CHaRT have a commitment to publish the findings of the research.

8.2.1 Minimum requirements

At a minimum, it is expected that each trial will have a results paper published in a peer-reviewed
medical/scientific journal. Usually, it would also include a design and/or baseline characteristics
paper, perhaps published in a peer-reviewed on-line journal, and accepted for publication before
final database lock. These requirements would be universal, but particular attention should be
paid in ensuring they are followed for trials which failed to meet their objectives either in terms of
failing to recruit, terminating early due to safety issues, or futility concerns; or failing to
demonstrate a clinically worthwhile treatment effect.

Version 03.01 Issue date: 15/10/2012 Page 40 of 66

 Chapter 8: Final Trial reporting and publication

8.2.2 Authorship
The protocol should include a clear statement of authorship policy. Unless there are compelling
reasons otherwise, the Health Services Research Unit policy on authorship, which can be found
on Q-Pulse, should be adopted for all trials.

8.2.3 Dissemination
It is important that as well as a commitment to peer reviewed medical/scientific publication, study
results and methodology are disseminated to an appropriate level at scientific meetings (e.g.
Society for Clinical Trials Conference, workshops, invited lectures). There should also be a
commitment to disseminate material from the study internally within CHaRT/HSRU in lunchtime
research meetings, study days and so on, and to professional and lay publications when
appropriate.

8.3 Conflicts of interest [v03.0803.02]

The key CHaRT policy with regard to actual or potential conflict of interest is open disclosure. It is
very seldom, if ever, that a potential conflict would stop participation in an activity, or preclude a
major journal from publishing. Identified conflicts of interest are discussed at the project
management group (PMG: see section 5.7.1) level on a case-by-case basis. If the perceived
conflict is openly disclosed, it can usually be discounted when weighed against the researchers
reputation and track record. Likewise institutional conflicts of interest (for example, the source of
CHaRT funding) can be dealt with similarly by open disclosure.

It should be noted that in general to maintain their strict independence, independent members of
the Trial Steering Committee and independent Data Monitoring Committee members should not
gain any academic credit by being a co-author on study publications. Their role should be
gratefully acknowledged and their agreement to this should be obtained before accepting this role
(see section 5.7.1 for further details).

CROSS REFERENCE
Section 5.4: Trial protocol
Section 6.3: Governance arrangements

VERSION HISTORY
Month
Version Significant changes from previous version
reviewed
01 N/A
02 N/A
Renaming of Chapter from Trial Reporting to Final Reporting and
03 Jan 2012
Publication and further information in sections 8.1 and 8.3.

Version 03.01 Issue date: 15/10/2012 Page 41 of 66

 Chapter 9: Data management issues

CHAPTER 9: DATA MANAGEMENT ISSUES

[v03.0900.03]

LEAD AUTHOR
Senior IT manager.

BACKGROUND
High quality data (usually defined by completness and accuracy) are of fundamental importance
to the scientific integrity of any clinical trial. Trial data are expensive to collect, so it is imperative
that there are tried and trusted processes for the collection, storing, back-up, and archiving of
study data. Trial data are often confidential and potentially sensitive, so data security is essential.
Staff need to be trained in the safe and efficient use of IT systems.

PURPOSE
To describe CHaRTs policies and procedures for handling trial data.

APPLICABILITY
Essential reading for all CHaRT technical staff (including programmers and IT professionals,
and statisticians) and all CHaRT staff using the information systems (including trial managers,
data co-ordinators/trial secretaries, and HSRU general office secretaries).
Desirable background reading for all other CHaRT staff, particularly those who interact with
CHaRT IT systems.

DATA MANAGEMENT ISSUES

9.1 Data management plans [v03.0901.01]
A Data Management Plan (DMP) describes and defines all data management activities for a
study. The following list describes the essential ingredients for a DMP:
Map of file server arrangements.
Details of study personnel involved with the study and data access roles assigned to each.
A complete set of finalised case report forms (CRF).
Database design
- Software, hardware and database location.
- Detailed description of database structure (data dictionary).
- Detailed description of data entry system.
Data entry procedures
- Method of data collection paper CRF, electronic devices.
- Type of data entry - double or single data entry with checking (entry and verification).
- Data preparation before entry onto electronic system.
Data query rules
- Automated checks should be specified in enough detail to enable set up of data entry
screens and validation programs. Checks that can be done automatically during or after
data entry should be clearly identified.
- Data flow and tracking to ensure optimal data completion and to facilitate reporting.

Version 03.01 Issue date: 15/10/2012 Page 42 of 66

 Chapter 9: Data management issues

Query handling
- How queries will be tracked.
- Expected resolution time for data queries.
- Who is responsible for making required changes to the data.
- Who is responsible for ensuring all queries are resolved before data is frozen for analysis.
Quality Assurance plan should include:
- Audit trail checks.
- Sample checks of critical data.
Data review checks to ensure monitoring has been performed consistently.
Training plan and log for data entry systems if required.
Electronic data transfer rules.
Back-up and recovery procedures.
Archiving and security arrangements.
Reporting progress.

It is the responsibility of the senior IT manager to ensure that the DMP is in place before the first
randomisation to the study. These tasks may be delegated to the CHaRT study specific trial
manager and applications programmer to produce, from standard templates.

9.2 Programming standards [v03.0902.03]

All programmers will be competent in the development of web applications for clinical studies and
work to CHaRT guidelines for software development and will receive appropriate training and on
the job learning to achieve at least this competence. These guidelines incorporate elements of
regulatory standards and guidelines such as the Food and Drug Administrations 21 CFR (Code of
Federal Regulations) Part 11, Electronic Records and Electronic Signatures
(www.fda.gov/ohrms/dockets/98fr/5667fnl.pdf) and Computerised Systems used in Clinical Trials
(www.fda.gov/RegulatoryInformation/Guidances/ucm126402.htm) to attain GCP compliant data
management.

In-house software which is resident on a secure server is developed according to a quality

framework which encompasses the following:
Controlled access.
Full audit trails and traceability.
Modular structure with re-usable elements to maximise portability and maintainability.
In-built logical and consistency checks where appropriate.
Testing using test data before system goes live.
Automatic back-up of data.
Study specific user guides.

9.2.1 Software design

Requirements will be discussed with relevant parties in the research team, including end users of
the software solutions. The CRFs will form part of the specification together with the protocol and
data flow diagram (see section 5.4.2).

Version 03.01 Issue date: 15/10/2012 Page 43 of 66

 Chapter 9: Data management issues

During development a review of progress will be undertaken at appropriate stages. This will
include review of design, source code and testing. Validation will include user testing and
acceptance. Testing will include comparison of the software requirements against the software
developed and component testing to ensure correctness. Change Management will be in
accordance with section 9.2.3.

9.2.2 Software testing

Testing will be performed in accordance with the software validation plan and test plans which will
describe the actions to be taken, the expected results and the observed results. Wherever
possible, test data should be used when testing components of a program. Test data will contain
typical values, extreme but realistic values, boundary values and invalid values. Testing must not
be performed by the original developer. The results of tests should be documented and
summarised as being acceptable, or not, listing any anomalies that are outstanding. Where errors
are identified an action plan for correction must be drawn up and the task assigned to a
developer. The final acceptable test must be signed off by the senior programmer or senior IT
manager.

9.2.3 Change management

Changes made during the development of a program will not require a formal change request.
Any change after first version release will be documented and will require completion of a Change
Request Form. This form can be found on Q-Pulse. First version release of any data collection
form is defined as active participant data being entered for that form and any change request must
be approved by the Project Management Group (PMG) and be signed off by two members of the
CHaRT Senior Management Team. Only in exceptional circumstances (e.g. to amend safety
procedures) can a change request can be submitted without the approval of the PMG. If
authorisation for a change is not approved then the reason must be documented.

It is the responsibility of the research team to ensure that any corresponding paperwork updates
have the appropriate approval as described in section 6.8.

9.2.4 Database design

Database creation will be reviewed by senior programming staff. The CRFs will form part of the
specification together with the protocol and the data dictionary. The database name, database
structure and data formats will be documented, including:
Table name
Variable name
Variable type
Variable format
Stored procedures
Views
User defined functions
Study specific jobs

Internal naming conventions will be adhered to. The table and variable extended properties will
be used to describe question text and response coding in order to create the data dictionary and
facilitate software development.

Version 03.01 Issue date: 15/10/2012 Page 44 of 66

 Chapter 9: Data management issues

Database changes will be required due to new CRFs, changes to case report forms or trial
management functionality changes. Any changes after initial data input will require a Change
Request Form (see section 9.2.3).

9.2.5 Database testing

Databases will be tested prior to release in conjunction with software testing (see section 9.2.2).
Examples of testing procedures are:
Checking test data entered against data stored in the database
Importing test data with a valid structure to ensure that data will be mapped to intended
database variables
Importing real data to ensure that the database structure is compatible

Test results will be documented and signed off by senior programming staff.

9.2.6 Database locking and data archival

For each interim (study progress) report e.g. DMC or Funder Annual Reports, a copy of the
database will be taken and preserved so that the report may be re-produced if required at a later
date. Any data cleaning performed on the copy must be reflected in the live database. Live
databases may continue to be used after final analyses if the study then enters long-term follow-
up. If a study terminates with no other planned follow up, the database must be archived to a
secure network drive with adequate back-up procedures in place for the length of time stipulated
by the funder. Databases must be archived in a format such that they may be recreated if
necessary.

9.3 Data transfer [v03.0903.03]

Electronic data transferred to an external location should be anonymised if possible and the data
only identified by a unique study number. If this is not practical (e.g. for data linkage to such
institutions as Information Services Division) then the data should be encrypted and password
protected. The transfer may be made by encrypted email, or file transfer by ftp (File Transfer
Protocol), over a secure site with appropriate security applied. However, sometimes it may be
necessary to transfer files on CD or USB stick. In such cases, a robust system logging the receipt
of sent items must be in place either for a CD coming into the centre or leaving the centre for
example, by registered mail or courier, requiring signature on delivery. As with electronic data,
the data on the CD/USB stick should be encrypted and password protected using an acceptable
standard of encryption currently available (e.g. 256 bit encryption with WinZip 12.0).
All data transfers should be approved by the PMG using the data request form found on Q-Pulse.
Once approved, the data transfer form should be completed and signed by the CHaRT staff
member transferring the data. The data transfer form should be countersigned by the recipient
and then returned to CHaRT. Further details of the data transfer procedures and required form
can be found on Q-Pulse).
Please refer to Good Practice Guidelines published by the NHS Information Governance Toolkit
for further information regarding the encryption of data and management of removable media.

Version 03.01 Issue date: 15/10/2012 Page 45 of 66

 Chapter 9: Data management issues

9.4 Information security [v03.0904.01]

Information security management provides an enabling mechanism for information sharing, which
ensures the protection of information and computing assets. Information security management
has three basic components:
1) Confidentiality - protecting sensitive information from unauthorised disclosure.
2) Integrity - safeguarding the accuracy and completeness of information and computer software.
3) Availability - ensuring that information and vital services are available to authorised users
when required.

The University security policy applies to all staff and students of the University, and hence
CHaRT, and covers the operation and uses of all IT systems and facilities administered by the
University. It has been developed with reference to the University Colleges and Information
Systems Association (UCISA) Information Security Toolkit. It can be viewed at
www.abdn.ac.uk/hr/policy/other-information/dataproc/. Any incidence resulting from non-
compliance with Information Security Policies will be dealt with by Human Resources and may
result in disciplinary action. The CHaRT security policy builds on the University of Aberdeens
policy and includes specific clinical trial issues/processes.

9.5 Data Protection Act [v03.0905.02]

Personal information (including patient and staff information) relating to living individuals held on a
computer or manual system is safeguarded by the Data Protection Act 1998. This places
obligations on those who record or use information, while at the same time giving specified rights
to people about what information is held. The Act protects the right of the individual about what
information is obtained, shared, processed or supplied whether via a computer or manual paper
records.

All data handling processes carried out by CHaRT must conform to the Data Protection Act and all
personnel are made aware of this document as part of their induction checklist by reading and
signing the Health Services Research Units Protecting Information Policy which can be found on
Q-Pulse.

Any breach of the Data Protection Act may result in the University, as the registered Data
Controller, being liable in law for the consequences of the breach. This liability may extend to the
individual processing the data and their Head of School under certain circumstances (see
www.abdn.ac.uk/hr/uploads/files/data%20protection.pdf).

9.6 Back up [v03.0906.01]

The security and safety of electronic study data is a primary concern. Procedures exist which
ensure that the data will be safe and intact if anything goes wrong with any element of the
database system. Procedures fit in with corporate policies implemented by the Directorate of
Information Technology (DIT) and are not a CHaRT-specific responsibility.

All data is stored on the University of Aberdeens College of Life Sciences and Medicines (CLSM)
storage area network (SAN) in a password protected secure area. Access both physically and
electronically to the SAN is restricted. It is located in the Institute of Medical Sciences building and
is covered by a 24-hour security system. The SAN also has a tape backup system that replicates
the data to tape for disaster recovery.

Version 03.01 Issue date: 15/10/2012 Page 46 of 66

 Chapter 9: Data management issues

9.7 Business continuity / disaster recovery [v03.0907.02]

The University of Aberdeen has drawn up a business continuity plan
(www.abdn.ac.uk/continuity/policy/). The contact details of the CHaRT Director and senior IT
manager are included in the plan. The document outlines the response to a partial or complete
loss of the building, including IT and communication systems. Central IT recovery solutions have
been implemented to ensure business continuity within specified timescales.
The IT recovery schedule for central resources states:
Emergency web communication will be enabled in less than four hours.
Emergency email capability will be enabled within four hours.
The CHaRT randomisation service will be operational within 24 hours and the service will be
diverted to a mobile or different extension number initially.
Up to 24 hours of data may be lost (since the last backup).
Since most trial data entry systems are now web-based there may be some delay in restoring
these systems but essential correspondence between the study office and sites or participants
should be enabled within four hours of a critical incident. Access to a PC connected to a central
server, a telephone and a recovered dataset will be the only immediate requirements. As all data
is stored on the CLSM SAN, the SAN has a tape backup system that replicates data to tape for
disaster recovery.

The CHaRT randomisation service will provide all users with a suggested alternative
randomisation plan for use in the event of a critical incident. The senior IT manager is responsible
for holding a list of all customer details that is kept off-site along with paper copies of
randomisation details for emergency randomisation. Customers will also be instructed how to
perform a local randomisation if no contact can be made with the study office.

9.8 Encryption [v03.0908.01]

There are basically three levels of encryption for electronic data, these are:
Level one: Routine e-mail correspondence, with non-confidential attachments (e.g. study
meeting, minutes) no encryption.
Level two: Confidential or sensitive information (e.g. study budgets, CVs etc.) - encrypted using
the resident encryption in the package being used e.g. password protection in Word,
Excel, earlier version of WinZip etc. This is designed to stop idle but non-malicious
browsing.
Level three: This is reserved for highly confidential and/or sensitive information (e.g.
randomisation codes, patient identified data, data monitoring reports).

Currently approved algorithms for the encryption are 3DES, AES (FIPS197), Blowfish and should
be used at a recommended 256-bit strength (please refer to the Good Practice Guidelines on
Encryption of data and management of removable media for further details:
www.igt.connectingforhealth.nhs.uk/WhatsNewDocuments/GPG%20for%20the%20transfer%20of
%20batched%20patient-identifiable%20data.doc).

Version 03.01 Issue date: 15/10/2012 Page 47 of 66

 Chapter 9: Data management issues

These are readily available within a range of commercially available off-the-shelf products and
services (e.g. WinZip 9.0 or later).
The use of freeware or shareware that does not benefit from independent security evaluation or
fails to comply with these standards is NOT permitted.

9.9 Randomisation (process issues) [v03.0909.03]

9.9.1 Responsibilities
The study statistician will discuss the randomisation specification with the senior statistician and
senior IT manager, and possibly other senior staff (e.g. the director, the senior trials manager, or
other CHaRT/HSRU staff that are grantholders).

The senior IT manager will advise the applications programmer of the specification for a
randomisation system. It is the responsibility of the study trial manager to ensure that all study
personnel who are authorised to randomise participants are properly trained in the use of the
randomisation system.

9.9.2 Specification and testing

The specification of the randomisation design is the responsibility of the senior IT manager.
He/she will communicate this specification in writing by completing a randomisation service
request form which can be found on Q-Pulse. The applications programmer will be responsible
for operationalising the specification, and producing test runs. The senior IT manager will be
responsible for scrutinizing these test runs and signing off the application as fit for purpose.

9.9.3 Non-CHaRT trials

As well as being used for all CHaRT trials, the randomisation service is made available on a
selective basis as a discrete consultancy level service. This is paid for by the client. Similar
processes are followed as in section 9.9.2. The senior IT manager will send details of all new
external randomisation systems to the relevant CLSM Research and Innovation Business
Development Officer so that Service Level Agreements can be issued before randomisation
commences.

9.9.4 Unblinding
The trial statistician, programmer and DMC may have access to unblinded data during the course
of the study. These staff members must not be involved in any other aspects of trial conduct. The
rest of the research team will only have access to unblinded data after the end of the study when
final analyses have been completed, (also refer to section 10.5: Unblinding)

If unblinding of individual participants data due to safety concerns is required, then a study
specific Unblinding Procedure will be drawn up. Unblinding may be offered through the
Telephone Randomisation Service where logging of such events is automated and alerts will be
automatically sent to the appropriate people (which may include Chief Investigator, trial manager,
manufacturer and sponsor).

9.9.5 Quality Assurance

As indicated, a study randomisation solution will be prospectively tested before going live (see
previous section 9.9.2).

Version 03.01 Issue date: 15/10/2012 Page 48 of 66

 Chapter 9: Data management issues

Once the system is live, the properties of the study randomisation solution will be checked
within three months of the first randomisation, or 100 randomised participants.

9.9.6 Training
Randomisation applications will be used routinely by non-CHaRT personnel, usually study co-
ordinators, research nurses, and clinicians engaged as study staff. Although the randomisation
applications are inherently simple, and have been designed to be user friendly and easy to
operate, nevertheless it is of paramount importance that all staff involved in the randomisation
process (a) understand that process and (b) are trained in the facilitation of those processes for
example, in how to successfully complete a randomisation using the study randomisation
application. Every study will have a section Randomisation Procedures in their study operations
manual.

It is the responsibility of the study trial manager to ensure that all study personnel who are
authorised to randomise participants are properly trained in the use of the randomisation system.
Multicentre studies can vary considerably in the number of authorised users of the randomisation
application, from a handful at a few sites, to perhaps several hundred across dozens or more
sites. The length of time a recruitment application is live for also varies considerably, from as little
as a few weeks to several years. As a result, training needs to be flexible in terms of both content
and mode of delivery. Flexibility in content is required because users will be from many different
backgrounds and have none to extensive experience of randomisation. Flexibility in delivery is
required because over a long recruitment window in dozens of sites, there will usually be
significant turnover in authorised randomisation staff. CHaRT have therefore developed as
standard:
Randomisation procedures in study operations manual (available on study portal).
Instructor-led demonstration of randomisation system at study training day(s) at start of study
and as required.
Remote one-on-one training (via phone or video link).
All users to complete a successful dummy randomisation prior to full authorisation.
Telephone User Guide for telephone randomisation systems.
Web User Guide for web randomisation systems.

9.9.7 Failures and unexpected occurrences

The CHaRT randomisation system is automated, and so relies on either telephone or internet
access being available. It therefore will potentially happen that a randomisation cannot be made
routinely. When the service is denied to all users (in all trials) by a breakdown in Aberdeen, all
users will be notified as soon as possible and will be given a mobile telephone number to contact.
In general, randomisations will be done manually by contacting Aberdeen staff until the automated
service is resumed. If this is inconvenient (e.g. time zones for international studies) local
randomisation may be permitted. Full details of specific arrangements will be documented for
each trial in the relevant study specific operations manual. The same procedure will operate
when the denial of service is caused by a local problem at the site (i.e. not a systems failure in
Aberdeen). All extraordinary randomisations will be documented, and communicated to CHaRT
(via the study trial manager or senior IT manager for non-CHaRT studies) at the earliest
opportunity.

Version 03.01 Issue date: 15/10/2012 Page 49 of 66

 Chapter 9: Data management issues

The systems are designed in such a way that if a transaction fails midstream, the transaction is
cancelled. It is only at the point a randomisation ID and/or treatment assignment is issued that the
transaction is considered complete.

9.9.8 Misuse & unauthorised use

If an authorised user attempts to randomise the same person twice the application issues a
warning. This is usually when the user believes that the initial randomisation has failed, and
immediately attempts to randomise the participant again. (Note: This only happens if the study
identifier is collected at time of randomisation. In other cases double randomisations may not be
readily identified.)

As with all our secure web systems, unauthorised users are denied access through the use of
access control via user ID management and passwords.

If a user attempts to access the web system and fails to use the correct user ID/password they are
locked out after five failures. Users will be alerted on screen that they have been locked out and
they will have to email the support desk ([email protected]) to have their account
unlocked.

CROSS REFERENCE
Chapter 5: Trial initiation
Chapter 6: Trial conduct and management
Section 7.3: Archiving
UoA-NHSG-SOP-012: Data Management for Clinical Trials
UoA-NHSG-SOP-007: Randomisation and Blinding procedures for Clinical Trials

VERSION HISTORY
Month
Version Significant changes from previous version
reviewed
01 N/A
02 N/A
Further information and revisions to sections 9.2.2, 9.3, 9.7 and
03 Jan 2012
9.9.8.

Version 03.01 Issue date: 15/10/2012 Page 50 of 66

 Chapter 10: Statistical issues

CHAPTER 10: STATISTICAL ISSUES

[v03.1000.03]

LEAD AUTHOR
Senior statistician.

BACKGROUND
The application of rigorous statistical principles to every stage of the clinical trial from optimal
design, to pre-specification of analysis plans, to informative progress reporting of maturing data to
Trial Steering Committee (TSC) and Data Monitoring Committee (DMC), to speedy and accurate
analysis and interpretation of the final data is of fundamental importance to delivering a high
quality trial that will provide reliable evidence.

PURPOSE
To document requirements for all statistical aspects of CHaRTs trials.

APPLICABILITY
Essential reading for CHaRT statisticians, and any statistician involved in a CHaRT trial.
Useful reading for any staff interacting with statistical staff.

STATISTICAL ISSUES

10.1 Methodological issues [v02.1001.01]

CHaRT is committed to designing and delivering trials that are methodologically sound.

10.2 Statistical analysis plans [v02.1002.02]

All CHaRT trials will have a statistical analysis plan (SAP; see UoA-NHSG-SOP-023 for further
details on the purpose and content of an SAP). This document will specify the statistical analyses
for the trial. It will be a comprehensive statement of the study hypotheses, and the methodology
to be employed in addressing these hypotheses. It will be drafted early in the study and generally
finalised towards the study end, but before any unblinded information has been seen (except by
the DMC). It will describe the sample size calculation in detail for the primary outcome and any
assumptions made and the software used. If relevant, anticipated power will be presented for
further outcomes given the sample size required for the primary outcome. It will specify the
importance of the questions (e.g. primary, secondary or tertiary outcomes), and the nature of the
hypotheses (confirmatory or exploratory). It will pre-specify what, if any, subgroup analyses will
be undertaken, and at what anticipated power, and how any issue of multiple comparisons will be
dealt with. A set of dummy tables (these are a priori agreed tables illustrating how the final trial
results will be reported) is expected to be included. For most trials there is an expectation that a
coding definition for all outcomes will be included as an appendix in the SAP (e.g. what variables
in the dataset are used to create a composite outcome). Although at present the SAP is not
usually formally published, it would be expected to be available to interested researchers (for
example, on the study website). It is authored by the study statistician, and approved by the Chief
Investigator (CI) on behalf of the TSC (and grantholders) and the senior statistician. The DMC
would usually be invited to comment on a draft.

Version 03.01 Issue date: 15/10/2012 Page 51 of 66

 Chapter 10: Statistical issues

10.3 Pilot / feasibility studies [v02.1003.01]

Increasingly, definitive trials of complex interventions, as well as drug trials, need to demonstrate
feasibility (in terms of theory-based interventions, and measurable outcomes), an ability to recruit
sufficient participants from interested centres, as well as demonstrate that adequate resource has
been requested to complete the trial on time. Therefore, many studies require comprehensive
pilot and/or feasibility work to be undertaken.

From a statistical perspective, such preliminary studies are often challenging, since by definition
they face increased uncertainties, the resolution of which is the object of the study. The design,
conduct and analysis of such pilot and feasibility studies requires commensurate attention and
commitment from the statistical team.

10.4 Randomisation (statistical issues) [v02.1004.01]

Randomisation is of fundamental importance in a randomised controlled trial. All CHaRT trials
utilise a proven, automated, centralised randomisation application. This is accessed by telephone
or via the internet, e.g. through a desktop workstation, a handheld computing device or a mobile
phone. The randomisation application is capable of employing a variety of designs, usually
incorporating a minimisation algorithm, or stratification, or a mixture of the two. The randomisation
procedure is tested for robustness prior to randomising the first participant (see section 9.9.2).
Adhoc monitoring of the randomisation procedure should be undertaken (such as during interim
reports).

10.5 Unblinding [v02.1005.01]

Whenever possible, the CHaRT study statistician is blinded to allocation until final analyses are
agreed. In practice, given that it is primarily open trial designs of non-drug, complex interventions
conducted by CHaRT it is usually not useful to insist on blinding the study statistician or the DMC
to allocation during study analyses (since it is obvious from the data reported which intervention
arm a participant is in e.g. number of physiotherapist visits). Throughout the conduct of the trial
no persons except the CHaRT study statistician, the CHaRT programmer and the DMC will have
access to unblinded data. At trial analysis, the data will be unblinded to the rest of the research
team only when final analyses have been formally conducted in accordance with the agreed
statistical analysis plan.

10.6 Statistical reports [v02.1006.02]

The CHaRT study statistician has overall responsibility for the production of all statistical reports
for a trial, though it will usually involve liaison with a number of trial personnel such as trial
manager, data manager or programmer.

10.6.1 Blinded/aggregate reports

Blinded or aggregate reports are usually made available for project management group or TSC
meetings and will typically involve a description of current recruitment rates, questionnaire
response rates and missing data items in key variables.

10.6.2 Unblinded reports

Unblinded reports are only written for DMC meetings and only the CHaRT study statistician and
programmer will author and have access to the report(s).

Version 03.01 Issue date: 15/10/2012 Page 52 of 66

 Chapter 10: Statistical issues

10.6.3 Final study reports

The CHaRT study statistician is responsible for the execution and reporting the agreed SAP for
the final study reports. (See Chapter 8 for a definition of Final Trial Reporting and further
discussion).

10.7 Statistical programming [v02.1007.01]

There is no single prescribed statistical package for CHaRT trials, rather there is an expectation
that the package should be proven and fit for purpose (e.g. should a Bayesian decision model
form part of the trial analysis, an appropriate Bayesian package such as WinBugs would be used).
SPSS, SAS, Stata and WinBugs are the most commonly used packages. Irrespective of the
package used, a common file structure is advocated for the management of the statistical
analyses in the statistical analysis plan.

10.8 Statistical quality control [v02.1008.01]

Quality control of statistical aspects of CHaRT trials is highly important. All CHaRT trials will have
at least two statisticians involved in the trial a senior CHaRT statistician to take overall
management responsibility for the statistical aspects of the trial and a second statistician (called
the CHaRT study statistician in this documentation) to be responsible for the day-to-day
performance of all statistical aspects. For studies with a single primary outcome, there is an
expectation that the primary analysis will be replicated by a second statistician. To facilitate the
handover of statistical analyses to other CHaRT statisticians due to any unforeseen staff changes
(such as illness or staff retention) or for replication of the primary result, a common file structure is
advocated. All CHaRT statisticians must undergo appropriate Good Clinical Practice (GCP)
training.

10.9 International Conference on Harmonisation (ICH) statistical principles [v02.1009.01]

All statisticians working on CHaRT trials are expected to read the ICH Tripartite Guideline
Statistical Principles for Clinical Trials E9 (see: www.ich.org/products/guidelines/efficacy/efficacy-
single/article/statistical-principles-for-clinical-trials.html). Whilst recognising that the majority of
CHaRT trials are non-drug or complex intervention studies that are not directly covered by this
document, the document provides useful guidance on good statistical practice in trials. CHaRT
does not, however, advocate an uncritical application of all the principles in the document.

10.10 Partnerships with external statisticians [v02.1010.01]

For CHaRT trials there is an expectation during the development of a trial proposal that the HSRU
senior CHaRT statistician will be involved in the process and whenever possible the statistical
aspects will be conducted by CHaRT study statisticians. However, it is recognised that,
dependant upon the proposed design of the study and the trial subject area, an external
statistician may be more appropriate to maintain levels of academic rigour. In such
circumstances, the external statistician will liaise with a senior CHaRT statistician throughout the
trial design, conduct and analysis and will be expected to apply the appropriate CHaRT statistical
SOPs.

Version 03.01 Issue date: 15/10/2012 Page 53 of 66

 Chapter 10: Statistical issues

10.11 Interaction with Data Monitoring Committee [v02.1011.02]

The study statistician (within CHaRT) will have sole responsibility for creating the reports to the
DMC. Generation of the report will involve liaising with the trial programmer. There is then a
different role the CHaRT statistician who presents the statistical report to the DMC and helps
them with any statistical queries in the interpretation of these data. It is preferable that the study
statistician and the CHaRT statistican are different individuals. However it may be appropriate for
both roles to be undertaken by the same statistician if so, this will be clearly documented in the
relelvant study materials.

CROSS REFERENCE
Section 5.4.2: Case report form (CRF) design
Section 6.1: Good Clinical Practice
Chapter 9: Data management issues
UoA-NHSG-SOP-007: Randomisation and Blinding procedures for Clinical Trials

VERSION HISTORY
Month
Version Significant changes from previous version
reviewed
01 N/A
02 N/A
Revision to section 10.11 in line with DMC Charter and addition of
03 Jan 2012
link to UoA-NHSG SOP on Statistical Analysis Plans in section 10.1

Version 03.01 Issue date: 15/10/2012 Page 54 of 66

 Chapter 11: Health economic issues

CHAPTER 11: HEALTH ECONOMIC ISSUES

[v03.1100.02]

LEAD AUTHOR
Senior health economist.

BACKGROUND
Health economics plays a critical role in bringing together information on the effectiveness and
resource implications of health care interventions within clinical trials. This chapter covers the
generic issues in the conduct of an economic evaluation.

PURPOSE
To document generic issues for health economists involved in CHaRT trials.

APPLICABILITY
Essential reading for all health economists involved in CHaRT trials.
Useful background for all staff that interact with health economists.

HEALTH ECONOMIC ISSUES

11.1 Methodological issues [v03.1101.02]
CHaRT is committed to designing and delivering trials that are methodologically sound.

The economic evaluations conducted as part of such trials should as a minimum conform to
guidelines for the design, conduct and reporting of economic evaluations.1,2

On some occasions, cross-cutting methodological work will arise from the conduct of a trial. Such
work should be agreed with the project management group and Trial Steering Committee (TSC)
and it is the economists responsibility that all necessary permissions and ethical approvals are
obtained to use the trial data for a methodological purpose. Some form of written independent
peer review should be obtained prior to the commencement of the methodological work.

11.2 Development of care pathways [v03.1102.01]

It is good practice for every economic evaluation to formally consider the care pathway that would
be followed by patients receiving the trial interventions. The care pathway, as described in Table
11.1, should describe the care and events that may be expected to occur following randomisation.
The care pathway informs decisions about what data are required for the economic evaluation,
how it might be collected and valued.

Version 03.01 Issue date: 15/10/2012 Page 55 of 66

 Chapter 11: Health economic issues

Table 11.1 Constructing a care pathway for an economic evaluation

Care pathway Example
Clinical event Stroke

Clinical event management + subsequent Acute care and rehabilitation + sequelae and
clinical events complications of treatment

Resources used to manage events and Length of hospital stay, intensity of
outcomes of events rehabilitation therapy, management of
sequelae and complications (e.g. bleeding
from secondary prophylaxis) and health
outcomes associated with each stage

Cost of resources used and utilities of Valuation of resources using health care
outcomes (and other) pay and prices and valuation of
outcomes using quality adjusted life years
(QALYs)/willingness to pay (WTP)

11.3 Economic analysis plans [v03.1103.01]

All CHaRT trials, where the health economics is being led from the University of Aberdeen, will
have an economic analysis plan. This document will specify the economic analyses for the trial
including any modelling that might be conducted to extrapolate results or place the results of the
trial within the wider body of evidence. It is a comprehensive statement of the study hypotheses,
and the methodology to be employed in addressing these hypotheses. It will be drafted early in
the study and generally finalised towards the study end. It will specify the importance of the
questions (e.g. primary, secondary or tertiary outcomes), and the nature of the hypothesis
(confirmatory or exploratory). It will pre-specify what, if any, subgroup analyses will be
undertaken. A set of dummy tables (these are a priori agreed tables illustrating how the final trial
results will be reported) is expected to be included. The economic analysis plan is likely to be
closely related to the statistical analysis plan (SAP: see section 10.2) and should as far as
possible follow the procedures set out in that analysis plan for natural and clinical outcomes.
Where the economic analysis plan deviates from the statistical analysis plan this should be
documented and a rationale provided.

Although at present the economic analysis plan is not usually formally published, it would be
expected to be available to interested researchers (for example, on the study website). It is
authored by the trial economist, and approved by the Chief Investigator (CI) on behalf of the TSC
(and grantholders) and the senior economist.

11.4 Pilot studies and pre-trial modelling [v03.1104.01]

Data collection tools should always be piloted before use within trials. Consideration should also
be given to the development of a model prior to the start of the trial, should resources allow, to
identify information needs and key areas for further data collection within the trial. Such a model
should be conducted following the principles of good practice for modelling studies2.

Version 03.01 Issue date: 15/10/2012 Page 56 of 66

 Chapter 11: Health economic issues

11.5 Economic reports [v03.1105.01]

The trial economist has overall responsibility for the production of all economic reports, though it
will usually involve liaison with a number of trial personnel such as trial manager, data manager or
programmer. Due to the nature of an economic analysis, which requires interventions to be
costed, all reports will be unblinded and only prepared for the final study report.

11.6 Economic programming [v03.1106.01]

There is no single prescribed package for economic evaluation alongside CHaRT trials, rather
there is an expectation that the package should be proven and fit for purpose (e.g. should a
decision model form part of the trial analysis, an appropriate package such as Treeage, Crystal
Ball or WinBugs would be used).

For within trial analyses SPSS, SAS, STATA and WinBugs are currently the most commonly used
packages. The within trial economic analysis should follow the guidance set out for the statistical
analysis plan and statistical programming (sections 10.2 & 10.7) respectively.

11.7 Economics quality control [v03.1107.01]

Quality control of economic aspects of CHaRT trials is highly important. All CHaRT trials will
normally have two economists involved in the trial a senior economist to take overall
management responsibility for the economic aspects of the trial and a second economist
responsible for the day-to-day performance of all economic aspects and who will draft the analysis
plan. All economists involved in CHaRT trials must undergo GCP training (see section 6.1).

11.8 Partnerships with external economists [v03.1108.01]

For CHaRT trials involving an economic evaluation, a senior economist will be involved in the
development of a trial proposal and, whenever possible the economic aspects will be conducted
by a more junior economist allocated to the trial. However, it is recognised that, dependent upon
the proposed design of the study and the trial subject area, an external economist may be more
appropriate. In such circumstances, the external economist will be expected to apply the
appropriate CHaRT SOPs.

CROSS REFERENCE
Section 5.4.2: Case Report Form (CRF) Design
Chapter 8: Trial Reporting
Chapter 9: Data Management Issues

References:
1
Petrou S, Gray A. Economic evaluation alongside randomised clinical trials: design, conduct,
analysis and reporting. BMJ 2011;342:d1548.
2
Petrou S, Gray A. Economic evaluation using decision analytical modelling: design, conduct,
analysis, and reporting BMJ 2011;342:d1766.

Version 03.01 Issue date: 15/10/2012 Page 57 of 66

 Chapter 11: Health economic issues

VERSION HISTORY
Month
Version Significant changes from previous version
reviewed
01 N/A
02 N/A
Clarification of peer review requirements prior to the commencement
03 Jan 2012
of methodological work.

Version 03.01 Issue date: 15/10/2012 Page 58 of 66

 Chapter 12: Health psychology issues

CHAPTER 12: HEALTH PSYCHOLOGY ISSUES

[v03.1200.02]

LEAD AUTHOR
Senior health psychologist.

BACKGROUND
Health psychology is the scientific study of psychological processes in health, illness and
health care1, where psychological processes include perceptions, thoughts and memories
(cognitions) and feelings (emotions). Health psychology thus relates to trials that aim to
build evidence concerning (1) primary prevention interventions (e.g. weight control;
screening); (2) drug and non-drug interventions to treat illness (e.g. surgical procedures;
physiotherapy interventions); and (3) implementation interventions (e.g. to increase uptake
by health professionals of evidence-based practice).

All interventions involve actions (i.e. behaviour). The inclusion of an explicit behavioural
perspective in trials is therefore a methodological issue. For example, interventions that at
first glance may appear to be simple are more complex when behavioural components are
considered and so this perspective could be important in (1) specifying both the intervention
and the control conditions; (2) measuring outcomes; and (3) understanding the processes
underlying change within a trial context.

PURPOSE
To describe the general processes for including a consideration of psychological and
behavioural issues in trials, from preparation of a grant proposal through to conduct of the
trial itself and study reporting.

APPLICABILITY
Essential reading for all health psychologists involved in CHaRT trials.
Useful reading for all those involved in the design, conduct and reporting of CHaRT trials.

HEALTH PSYCHOLOGY ISSUES

12.1 Procedures of recruitment, informing, consenting, participant retention
[v03.1201.01]
As recruitment and other participant contact procedures involve participants thoughts,
feelings and behaviours, there is the potential for co-interventions to confound intervention
effects. Thus it is important to:
Make all behavioural components explicit, when writing the recruitment protocol.
Consider competing hypotheses that might explain trial effects (e.g. attention).
Fully document details of contact with participants e.g. expressed treatment preference;
time spent interacting with trial staff.

12.2 Intervention development [v03.1202.01]

Theories and evidence relating to the use and effects of behaviour change techniques are
well developed in psychology2. It is important to specify precisely the components or
ingredients of the intervention in sufficient detail to allow replication. This includes separate
specification of the content of the intervention (e.g. feedback) and the method of its delivery

Version 03.01 Issue date: 15/10/2012 Page 59 of 66

 Chapter 12: Health psychology issues

(e.g. educational group session; leaflet; telephone interaction, nurse visitor). This is done
by:
a) ensuring that the intervention components include behaviour change strategies with a
clear evidence base or, at minimum, that trial findings are reported in such a way as to
contribute to the cumulative evidence base relating to the effects of behaviour change
techniques.
b) making explicit the theorised or assumed pathways of effect, e.g. if the intervention is the
provision of an information leaflet about hand hygiene in wards, a pathway of effect may
be that a ward nurse:
reads the leaflet
understands the consequences of performing and not performing the hand-washing
behaviour ( motivation)
knows the correct procedure for hand washing and when it should be done (
knowledge)
makes a plan about how and when s/he will wash
increases frequency of appropriate hand washing.
The assumed pathways of effect should, where possible, be based on established theories
that have amassed a body of empirical support. The underlying theories being used within
the trial should be explicitly documented.

12.3 Delivery and receipt of intervention [v03.1203.01]

When behaviour is involved in the delivery of the intervention, it is important to gain an
understanding of possible unintended effects, intensity (or dose) and other issues which may
impact on the optimal delivery of the trial intervention. To best understand these effects a
fidelity study should, where possible, be undertaken. This involves an examination of the
intervention both as delivered, and, as received. In the above example (section 12.2b),
did the nurse read the leaflet?
did the leaflet contain information relating to the consequences and correct procedure for
hand-washing?
did the nurse accurately interpret the information?
could the nurse later recall the key points?
did the nurse accept/believe the message?
did the nurse make a specific plan about hand washing?
All these aspects of intervention fidelity are measurable. If the intervention is effective, this
information would allow us to learn why and therefore, how - effects could be enhanced or
economies introduced. Even more importantly, if the intervention is not effective we can still
build the cumulative knowledge base by understanding where the chain of effect was
broken.

12.4 Specification of the control condition [v03.1304.02]

The effects of complex interventions are often compared against current standard practice.
Detail is thus needed in order to understand intervention effects. The components of
standard care should be described fully (including behaviour change techniques that are
routinely delivered) so that it is possible to specify precisely in which ways the active
treatment differs from the control treatment.

Version 03.01 Issue date: 15/10/2012 Page 60 of 66

 Chapter 12: Health psychology issues

12.5 The effects of measurement [v03.1205.01]

Measurement always has the potential to change the object measured and this is especially
the case when we measure the thoughts, feelings and actions of individuals. It is important
to carefully scrutinize the measurement actions at every point in the trial and consider
whether measurement might have the potential to become a co-intervention. In some cases
this might affect trial design (e.g. a second, no-baseline-measure control group).

12.6 Theorising outcome measures [v03.1206.01]

Trial effects will be poorly understood if the trial outcome measures are not well theorised.
For example, health-related QoL is typically an untheorised construct and several different
instruments purport to measure it. Without an understanding of the construct we have a
poor basis for critiquing measurement strategies. It is, therefore, important to interrogate
outcome measures for their theoretical basis.

12.7 Timing of the above procedures [v03.1207.01]

Because the issues described above relate to trial design and conduct, they should be
discussed at the planning stages, before trial funding is sought. A behavioural perspective
can sometimes enhance the clarity of a research proposal; in other proposals a specific
behavioural component in the funded research can add value and generalisability to trial
findings.

CROSS REFERENCE
Section 5.4.2: Case report form (CRF) design
Section 5.5: Informed consent

References:
1
http://www.health-psychology.org.uk/document-download-area/document-
download$.cfm?file_uuid=181F802D-05E1-AF84-0015-05D3EFC5B8BF&ext=ppt
2
Michie S, Johnston M, Francis JJ, Hardeman W, Eccles MP. From theory to intervention:
mapping theoretically derived behavioural determinants to behaviour change techniques.
Special Issue on Conceptualizing Theory-Based Health Behavior Change Research of
Applied Psychology: An International Review 2008, 57, 660-680.

Further reading:
Francis JJ, Johnston M, Burr J, Avenell A, Ramsay CR, Campbell MK, Michie S. Assessing
complex interventions: Importance of behaviour in interventions. BMJ 2008; 337: a2472

VERSION HISTORY
Month
Version Significant changes from previous version
reviewed
01 N/A
02 N/A
03 No changes made from previous version. Jan 2012

Version 03.01 Issue date: 15/10/2012 Page 61 of 66

 Chapter 13: Consumer issues

CHAPTER 13: CONSUMER ISSUES

[v03.1300.03]

LEAD AUTHOR
HSRU director.

BACKGROUND
Consumer involvement is the active involvement of consumers in the guiding of research rather
than their participation in that research. The importance of involving consumers in guiding the
design and conduct of trials has been recognised in the literature and is widely accepted as best
practice. Consumer involvement may take various forms, from the sharing of information and
opinion to joint decision-making power and responsibility. CHaRT has an unambiguous
commitment to the involvement on consumers in as many of its trial processes as possible.

PURPOSE
To detail the type, level and timing of consumer involvement in CHaRT trials.

APPLICABILITY
Essential reading for all CHaRT staff involved in the design of studies.
Useful reading for all CHaRT staff.

CONSUMER ISSUES
13.1 Who is a consumer? [v03.1301.01]
In the context of CHaRT we define consumers as users of services or interested members of the
public as distinct from those individuals who are professionally engaged with the research process
in CHaRTs case, the design and conduct of randomised controlled trials. Examples of the type
of people who might provide consumer input to the design and delivery of CHaRT trials could thus
include:
Members of organisations that represent people who experience the condition under study
(e.g. a disease specific patient support group).
Individual patients with experience of the condition under study (or similar).
Religious, legal, scientific, or lay organisations, or individuals, with a particular interest in the
intervention or disease condition.

13.2 Identifying appropriate consumers [v03.1302.02]

It is not always straightforward to identify appropriate consumer involvement. For relatively
prevalent chronic conditions there are often dedicated support organisations for patients (e.g.
Bladder and Bowel Foundation (www.bladderandbowelfoundation.org) for incontinence, or the
NARPD (www.paget.org.uk) for Pagets Disease). For rare and/or acute conditions it is less likely
that dedicated support organisations exist, and in these situations it is more likely that individual
patients who have experienced the condition will have to be identified (e.g. a patient who has
experienced shoulder surgery). Individual patients are most often identified through direct
contacts with the clinicians involved in the trial. There are also a number of national
organisations/resources dedicated to the involvement of consumers in research who can provide
advice on appropriate consumer involvement, for example:
INVOLVE (www.invo.org.uk) which is a national advisory group set up to support the promotion
of consumer involvement in the UK

Version 03.01 Issue date: 15/10/2012 Page 62 of 66

 Chapter 13: Consumer issues

The UK Directory of Self Help Groups (www.self-help.org.uk) which is a free directory that lists
self-help groups, support group and charities in the UK.

13.3 Range of consumer input [v03.1303.02]

Consumers can contribute to the design and delivery of a randomised controlled trial in numerous
ways. They provide different perspectives on the research question and research process, they
ensure that the research is measuring outcomes that are important to participants as well as to
the health professionals, they can help with recruitment, they can disseminate the results of the
research and so on. A useful route map summarising different ways of involving users in
research can be found at www.twocanassociates.co.uk/routemap/.

For CHaRT trials, consumer involvement includes activities across the life of a trial, from design
stage to publication. These include:
Advising on the appropriateness of the trial question and proposed trial outcomes (see section
5.4)
Commenting on the research protocol (see section 5.4).
Commenting on written information materials e.g. patient information leaflets and consent
forms (see section 5.4.2).
Commenting on (and testing) the questionnaires to be used to collect patient outcomes.
Advising on how best to conduct the consent process (see section 5.5).
Serving as a member of trial governance committees (see section 6.3).
Contributing to scientific output authorship/review (see section 8.2).
Contributing to dissemination e.g. lectures, workshops at patient support groups, lay
publications (see section 8.2.3).

13.4 Remuneration of consumers [v03.1304.01]

It is widely acknowledged that consumers should be remunerated for their time and contribution to
research. For CHaRT trials, we adhere to the principles laid out by the National Institute of Health
Research for remuneration of consumers (see www.hta.ac.uk/PPIguidance/index.shtml).

CROSS REFERENCE
Section 5.8: Consumer involvement

Further reading:
Hanley B et al. Involving the public in the NHS, public health and social care research: briefing
note for researchers (2nd edn). INVOLVE, 2003

INVOLVE. Payment for involvement: a guide for making payments to members of the public
actively involved in NHS, public health and social care research. INVOLVE, Eastleigh, 2010

Tarpey M. Public involvement in research applications to the National Research Ethics Service,
INVOLVE, Eastleigh, 2011

Version 03.01 Issue date: 15/10/2012 Page 63 of 66

 Chapter 13: Consumer issues

VERSION HISTORY
Month
Version Significant changes from previous version
reviewed
01 N/A
02 N/A
03 New section added: 13.4 Renumeration of consumers. Jan 2012

Version 03.01 Issue date: 15/10/2012 Page 64 of 66

 Chapter 14: CHaRT Staff Training issues

CHAPTER 14: CHaRT STAFF TRAINING ISSUES

[v03.1400.02]

LEAD AUTHOR
Senior trials manager.

BACKGROUND
The successful delivery of high quality trials over a sustained period requires highly trained staff
following tried and tested processes. Relevant and timely training of staff is a key component of
CHaRTs ability to deliver these high quality trials.

Each member of the CHaRT staff has their training needs discussed regularly and at least once a
year during appraisal. Training needs are identified according to the persons experience and
responsibilities and solutions to those needs (e.g. external training on courses or at conference
workshops; internal training on the University staff development courses; and on-the-job training
and mentoring from CHaRT colleagues) identified. A formal record of this training is kept centrally
for each individual. CHaRT staff are expected to keep their own personal training records up to
date and accurate.

PURPOSE
To document the expectations for CHaRT staff in terms of requirements for, receipt of, and
documentation of training needs and solutions.

APPLICABILITY
Essential reading for all CHaRT staff.

CHaRT STAFF TRAINING ISSUES

14.1 General [v03.1401.01]
On appointment, all staff are assigned an appropriate buddy and given an induction pack, which
includes the staff handbook, as a basis for familiarisation and initial training. CHaRT staff are
required by their job specifications to possess the right experience and qualifications for their
responsibilities. Further training may be provided to bring them up to the required level for
specific tasks and duties for example, an external course on a specific statistical technique for a
statistician analysing a clinical trial; or a University internal course on time management for a trial
manager; or a professional development course on team management for a clinical lead.

14.2 Good Clinical Practice [v03.1402.01]

It is a minimal requirement that all CHaRT staff trialists, trial managers, statisticians, IT
programmers, secretaries, data co-ordinators, research managers, health economists, health
psychologists, clinicians, clerical staff have appropriate up to date GCP training.

14.3 Training records [v03.1403.02]

It is the responsibility of all staff to document their training by keeping their dedicated staff
development manual, or equivalent, up to date and accurate (see section 3.4). This would, for
example, include their CV, appraisal objectives, copies of certificates of attendance, outline of
course content etc and a training log to maintain an ongoing record of all internal and external

Version 03.01 Issue date: 15/10/2012 Page 65 of 66

 Chapter 14: CHaRT Staff Training issues

training. The training log template can be found on Q-Pulse. Please also refer to the UoA-NHSG-
SOP-016 for further details on establishing and maintaing a training record.

Training records should be available for any appraisals and inspections. When a study finishes or
when a staff member leaves, a copy of their essential training records (e.g. CV, GCP certificates)
should be retained in the Unit within the appropriate TMF for the trial they were working on for any
future inspections.

14.4 Training feedback [v03.1404.01]

Training is expensive and time consuming, and there are poor training options available,
particularly in the external market. CHaRT staff should proactively feedback on good training
experiences they have had, and on recommended training from trusted sources. Equally, if a
training experience is poor, this should be briefly documented. Feedback should be directed to
the HSRU business manager.

CROSS REFERENCE
Section 6.1: Good clinical practice

VERSION HISTORY
Month
Version Significant changes from previous version
reviewed
01 N/A
02 N/A
03 Further clarification regarding need for retention of training records. Jan 2012

Version 03.01 Issue date: 15/10/2012 Page 66 of 66