CTTI Recommendations: Effective and Efficient Monitoring as a Component of Quality Assurance in the Conduct of Clinical Trials

Published Date: March 24, 2025

Topics Included: Ensuring Quality

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Primary Recommendations

Build quality into the scientific and operational design and conduct of clinical trials

Focus on what matters most

  • “Quality” is defined as the absence of errors that matter (i.e., errors that have
    a meaningful impact on patient safety or interpretation of results)
  • Determine what matters for a specific trial

Develop a quality management plan

  • Initiate plan in parallel with protocol development
  • Focus on areas of highest risk for generating errors that matter
  • Seek regulatory review of plan

Assess performance in important parameters

  • Prospectively measure error rates of important parameters
  • Tailor monitoring approach (e.g., site visits, central, statistical) to the trial
    design and key quality objectives

Improve training and procedures

  • Based on measured parameters

Report findings of quality management approach

  • Include issues found, actions taken, impact on analysis and interpretation of
    results
  • Incorporate into regulatory submissions and publications
  • Encourage inclusion in International Committee of Medical Journal Editors
    requirements

Ancillary Recommendations

Share knowledge and experience

  • Collaborate among academia, industry, and regulators to share
    methodologies and data

Encourage appropriate regulatory guidance

  • Emphasize key principles of quality trials (i.e., human subjects protection,
    reliable results, protocol adherence)
  • Encourage risk-focused oversight of trials

Promote education and awareness

  • Focus on those involved in design, implementation, analysis,
    interpretation, regulation, inspection, and publication of clinical trials
  • Include users of results (e.g., health care providers, doctors, patients)

Seek international adoption and harmonization

  • Facilitate global adoption of proposed changes

References

Landray MJ, Grandinetti C, Kramer JM, et al. Clinical Trials: Rethinking How We
Ensure Quality. Drug Information Journal November 2012; 46:657-660.

Morrison BW, Cochran CJ, White JG, et al. Monitoring the quality of conduct of
clinical trials: a survey of current practices. Clinical Trials June 2011; 8(3):342-9.

CTTI Recommendations: Quality by Design

Published Date: March 24, 2025

Topics Included: Ensuring Quality

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Recommendations

“Quality” in clinical trials is defined as the absence of errors that matter to
decision making—that is, errors which have a meaningful impact on the safety of
trial participants or credibility of the results (and thereby the care of future
patients).

CTTI recommends that quality be built into the scientific and operational design
and conduct of clinical trials (“quality by design”) as follows:

  1. Create a culture that values and rewards critical thinking and open
    dialogue about quality, and that goes beyond sole reliance on tools and
    checklists.

    Encourage proactive dialogue about what is critical to quality for a particular
    trial or development program and, when needed, the development of
    innovative methods for ensuring quality. Discourage overreliance on
    checklists and inflexible “one size fits all” approaches that undermine creation
    of specific strategies and actions intended to effectively and efficiently support
    quality in a given study. Verify that quality and performance measures are
    aligned with incentives driving a culture that rewards critical thinking. For
    example, rewarding study teams who minimize the time to first patient
    enrolled may serve as a disincentive to devoting time to identifying and
    preventing errors that matter through trial design.
  2. Focus effort on activities that are essential to the credibility of the study
    outcomes.

    Rigorously evaluate study design to verify that planned activities and data
    collection are essential. Streamline trial design wherever feasible. Similarly,
    deploy resources to identify and prevent or control errors that matter in the
    study; in other words, determine those study activities that are essential to
    ensure the safety of trial participants and the credibility of key study results.
    Consider whether nonessential activities may be eliminated from the study to
    simplify conduct, improve trial efficiency, and target resources to most critical
    areas.
  3. Involve the broad range of stakeholders in protocol development and
    discussions around study quality.

    Engaging all stakeholders with study development is an important feature of
    quality by design. The process of building quality into the study plan may be
    informed not only by the sponsor organization but also by participation of
    those directly involved in successful completion of the study such as clinical investigators, study coordinators and other site staff, and patients. Clinical
    investigators and potential trial participants have valuable insights into the
    feasibility of enrolling patients who meet proposed eligibility criteria, whether
    scheduled study visits and procedures may be overly burdensome and lead
    to early dropouts, and the general relevance of study endpoints to the
    targeted patient population. When a study has novel features in elements
    considered critical to quality (e.g., defining patient populations, procedures, or
    endpoints), early engagement with regulators should also be considered.
  4. Prospectively identify and periodically review the critical to quality
    factors.

    The CTTI Quality by Design Principles Document and Toolkit can be used to
    identify those aspects in each study that are critical to generating reliable data
    and providing appropriate protections for research participants (“critical to
    quality factors”), and to develop strategies and actions to effectively and
    efficiently support quality in these critical areas. For example, in a
    cardiovascular major morbidity outcomes trial, strategies to ensure that the
    survival status of all trial participants is captured would be critical, but source
    verifying participants’ temperature readings obtained as a part of vital sign
    assessments at routine study visits is unlikely to be considered critical to the
    successful outcome of the study. In addition, because new or unanticipated
    issues may arise once the study has begun, it is important to periodically
    review critical to quality factors to determine whether adjustments to risk
    control mechanisms are needed.

 

Workshop on Quality Risk Management: Making Clinical Trials Fit for Purpose

AUGUST 23, 2011 TO AUGUST 24, 2011

CTTI Project: Quality by Design

Meeting Background:

At an expert meeting held in October 2010 for the CTTI monitoring project, representatives from a broad cross-section of the clinical trial enterprise—including regulators, government sponsors of clinical research, academicians, industry representatives, patient advocates, clinical investigators, and other interested parties—discussed clinical trial monitoring as one component of an overall quality framework. Panelists and participants agreed that an enlightened approach to ensuring trial quality is needed. Such an approach would apply risk management principles to clinical trials by prospectively identifying critical trial deliverables and important risks to each and then tailoring protocol design and delivery to mitigate those risks. To implement this change, participants agreed that all stakeholders in the clinical trial process must modify their view of risk and have a common understanding of Quality by Design and quality risk management principles. This workshop is the first in a planned series intended to develop Quality by Design and quality risk management principles applicable broadly to clinical trials and development programs, as well as to identify and share best practices for implementing these principles.

Meeting Objectives:

  • Develop Quality by Design concepts for the clinical trial process
  • Define consensus principles of quality risk management as applied in the drug development lifecycle and in conjunction with Quality by Design concepts
  • Review case studies of Quality by Design and quality risk management approaches applied in commercial and academic clinical trial settings, including tools and methodologies and potential best practices
  • Discuss methods for evaluating the success of Quality by Design and quality risk management approaches in enhancing the quality and efficiency of clinical development
  • Identify mechanisms to disseminate principles and best practices identified during the workshop to a broad array of stakeholders.

Meeting Location:

Hyatt Regency Bethesda, Bethesda, Maryland

Meeting Presentations:

WELCOMING REMARKS

SESSION I: PRINCIPLES FOR BUILDING QUALITY INTO CLINICAL TRIAL DEVELOPMENT
Session Facilitators: Leslie and Peter (lead)

SESSION II: REGULATORS' PANEL
Session Facilitators: Fergus and Leslie (lead)

SESSION III: CASE STUDIES
Session Facilitators: Peter (lead), Fergus, and Ann

Building Quality into Clinical Development: The Academic Perspective

Building Quality into Clinical Development: The Pharmaceutical Industry Perspective

Building Quality into Clinical Development: Outsourcing

The views and opinions expressed in this presentation are those of the individual presenter and should not be attributed to the Clinical Trials Transformation Initiative, or any organization with which the presenter is employed or affiliated.

Workshop on Quality Risk Management: Understanding What Matters

JANUARY 29, 2014 TO JANUARY 30, 2014

CTTI Project: Quality by Design

Meeting Background:

This meeting continued the CTTI workshop series, conducted to evaluate, and allow participants to practice, application of Quality by Design (QbD) principles to clinical trials. The January 2014 workshop focused specifically on applying QbD principles in medical device and diagnostic trials.

Quality by Design emphasizes building quality into a process from the beginning. Applied in clinical development, this approach prospectively examines the design and objectives of trials and identifies “critical to quality” factors (e.g. key data and trial processes such as randomization). Understanding what aspects of a trial are “critical to quality” is essential to subsequently identifying and managing important and likely risks to trial quality. These risks can be managed through modifying trial design, tailoring its implementation, and providing sensible, risk-based oversight. These approaches also have the potential to improve clinical trial efficiency. Focusing on critical aspects of a trial could substantially reduce the burden of clinical trial conduct by relieving sponsors of a perceived obligation to mitigate every potential risk posed by a trial, especially for those activities that minimally affect data quality and human subject protection.

Meeting Objectives:

  • Develop understanding of risk-based Quality by Design for clinical trials, from general principles, real-‐world examples, and hypothetical case studies
  • Gain confidence in the application of such concepts to clinical trials
  • Identify obstacles to the adoption of this approach
  • Identify opportunities for dissemination of these principles and practices to a broad array of stakeholders

Meeting Location:

DoubleTree, Bethesda, MD

Meeting Presentations:

SESSION I: Landscape, Rationale And Principles

SESSION II: RealWorld Examples

SESSION III: Providing Guidance

The views and opinions expressed in this presentation are those of the individual presenter and should not be attributed to the Clinical Trials Transformation Initiative, or any organization with which the presenter is employed or affiliated.

Developing Effective Quality Systems in Clinical Trials: An Enlightened Approach

OCTOBER 13, 2010 TO OCTOBER 14, 2010

CTTI Project: Quality by Design

Meeting Background:

The Clinical Trials Transformation Initiative (CTTI) has been conducting a project to identify effective and efficient methods to monitor clinical trials. In seeking to identify how best to ensure the reliability of study results and the protection of trial participants, the project team has recognized that quality cannot be “inspected into” a trial but rather must be incorporated from the outset in the trial’s protocol design and operational conduct. To be effective, monitoring should be one component of an overall quality framework that allows potential issues to be identified and addressed as early as possible.

Meeting Objectives:

  • Describe, discuss, and evaluate novel approaches to clinical trial oversight
  • Propose an integrated model of quality management that will promote more efficient approaches to design, conduct and oversight of clinical trial
  • Identify the critical aspects of clinical trials that should be the focus of risk-based approaches to creating quality systems

Meeting Location:

Bethesda Marriott Suites, Bethesda, MD

The views and opinions expressed in this presentation are those of the individual presenter and should not be attributed to the Clinical Trials Transformation Initiative, or any organization with which the presenter is employed or affiliated.

Translating Quality by Design Principles into Practice, Part 1

Webinars | October 10, 2024

Topics Included: Ensuring Quality

CTTI Project: Quality by Design

Webinar Objective

This webinar is the first in a CTTI-hosted series designed to provide real-world examples of applying QbD to clinical trials. Click here for more information about CTTI's QbD Project.

*The views and opinions expressed in this video are those of the speaker and do not necessarily reflect the official policy or position of CTTI.

Webinar Agenda

  • CTTI Quality by Design Project Overview by Ann Meeker-O’Connell, Senior Director, Clinical Quality Strategy Team Lead, Janssen
  • Pfizer Experience by Coleen Glessner, Vice President, Clinical Trial Process and Quality, Pfizer
  • Seattle Genetics Experience by Marta Fields, Senior Director, Compliance and Quality Systems, Seattle Genetics
  • Q&A

Watch Translating Quality by Design Principles into Practice, Part 2

Quality by Design Project: Recommendations and Toolkit

CTTI Project: Quality by Design

Webinar Presenters:

  • Ann Meeker-O'Connell, Head, Risk Management and External Engagement, Johnson & Johnson BioResearch Quality & Compliance
  • Coleen Glessner, MBA, Quality Expert
  • Martin Landray, Clinical Trials Service Unit & Epidemiological Studies Unit, University of Oxford

*The views and opinions expressed in this video are those of the speaker and do not necessarily reflect the official policy or position of CTTI.

Webinar Objective:

The Quality by Design (QbD) project team presented the QbD recommendations and an introduction to the QbD Toolkit, released June 15, 2015. This web-based Toolkit provides resources for facilitating adoption and real world application of QbD concepts.