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Study Documentation Tools

As per the International Conference on Harmonization Good Clinical Practice (ICH GCP) Guideline 4.9.4, a key responsibility of an investigator is to maintain trial-related documents which permit evaluation of the conduct of a trial and the quality of the data produced.  These “Essential Documents,” include both participant-specific documents and regulatory and protocol-related documents, and are specified in ICH GCP Guideline section 8.0.

The customizable tools provided here are optional, but these (or similar) tools are highly recommended to assist study teams in meeting protocol and regulatory standards to ensure valid and reliable data. 

Participant Files Research Subject Eligibility Assessment Form: Helps you document individual research subject eligibility assessments.
Templates that will help you manage participant documentation for your research study. Documentation of Informed Consent Tool: Tool that will guide you through documenting the informed consent process.

Documentation of Pregnancy Testing: This tool will help you document pregnancy testing or the determination that pregnancy testing is not required.

Note-to-File Template

Regulatory Files SOP Template
Tools that will help you manage regulatory documentation for your research study. Regulatory Binder Tabs

FAQs on Regulatory Documentation

Customizable templates for you to use as needed:
Study Identification
Essential Documents Location Log
Communications Log
IRB Submission Tracking Log
Deviation/Exception Submission Log 
Deviation Log-COVID 19 Disruption (NEW)
DSMP Template
Screening/Enrollment Log
Participant Identification Log
Study Participant Withdrawal/Termination Log
Internal AE/UP Report Tracking Log (MS Word)
Internal AE/UP Report Tracking Log (MS Excel)
Safety Report Tracking Log (MS Word)
Safety Report Tracking Log (MS Excel)
Site Visit Log
Phone Call Summary Report
Study-Related SOPs
Task Delegation/Signature Log
Staff Member Training Log
Staff Training Log for Groups
Staff License/Certification Log
Stored Biosample Log
Test Article Accountability
Test Article Disposition and/or Return to Sponsor
Test Article Shipping Receipt Log 

Self-Assessment Review Tools

Easy-to-use checklists can help you assess your study documentation and conduct in multiple areas: consenting, inclusion/exclusion criteria, and protocol adherence.

Self-Assessment Review Checklist

Consent Documentation and Process Assessment

Inclusion/Exclusion Criteria Adherence Assessment

Protocol Adherence Assessment