Essential Documents For Research Studies

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Essential Documents for Research Studies

Research Office, Department of Medicine


Version 1.0; November 12, 2013

The core of a good trial or research study is the quality of the documentation. Organization and proper filing of essential
study documents not only demonstrates compliance with good clinical practice but also ensure successful management
of the study by the investigator, the team and if necessary the sponsor or coordinating site. At the initiation of any study
a study master file should be created to keep all documentation listed here in one location. Each study should have its
own file and this file should be maintained as needed to ensure all required documentation is current and accurate.

Essential documentation required for any study conducted in the Department of Medicine is as follows:

Title of Document Purpose of Document Version


Controlled
Research Ethics Board (REB) Approval Documentation of approval listing the approved consent forms, Yes
Certificates and updates questionnaires, and study materials
Site Approval Forms and Renewals Documentation of approval from the institution. For Fraser this
will be in the form of a LOA, for other sites this may be an email
conformation
Regulatory Authority Approvals Documentation of all regulatory approval i.e. NOL from Health
if applicable Canada
Study Protocol and any Amendments - All members of the study team should be aware of the current Yes
signed by all members of the investigative approved protocol
team
Information provided to study participants Documentation of all information which is approved and Yes
including consent forms – all versions and authorized for use during the study
applicable translations
Training Log Documentation of necessary training required
i.e. TPCS-2 certificates, protocol training logs etc.
Participant identification code Documentation required in the event that participants must be
if applicable unblinded
Participant enrolment log Documentation of chronological enrolment of participants by
study number (study number/dates)
Case Report Form (CFR) Documentation of approved data collection forms for reference Yes
if applicable
Signed agreements between involved Any signed agreements which may be between
parties investigator/site/institution which pertain to the study
if applicable
Financial Documentation Documentation for sub-site agreements or studies involving
if applicable payment per patient or an agreed upon payment for service.
Audit certificates Documentation of any audits of inspections done for the
if applicable purposes of validation
Signed informed consent forms Documentation that informed consent was obtained for all Yes
study participants
Final reports required for REB

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Essential Documents for Research Studies
Research Office, Department of Medicine
Version 1.0; November 12, 2013

Additional Suggested Documentation for Studies as per GCP Guidelines

Title of Document Purpose of Document Notes


Organization Chart/ Delegation of Document who is authorized to work on May include a signature sheet which
Authority Document the study, and the roles of each study provides a record of the signature and
team member. Serves as historical record. initials of all individuals on the study.
CV and Investigator Qualifications of Provide documentation of qualifications Each CV should be signed and dated
Investigators / Sub-investigators May include copies of certificates for staff
Normal Value(s)/range(s) for medical/ Provides a set reference for what is
laboratory and test procedures which will considered to be normal values at the
be performed as part of the study time of the study.
Relevant Communications (including Documents discussions or information
meeting notes, letters, memos) relevant to study administration, protocol
violations, etc.

Reference:
ICH Guidelines Step 5, Canada
Good Clinical Practice: Consolidated Guidance (ICH-E6)

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