Classifying Protocol Deviations - New FDA Guidance on Protocol Deviations

In clinical trials, protocol deviations are generally unintentional departures from the IRB-approved protocol and are commonly not discovered until after they occur (e.g., an investigator’s failure to perform a protocol-required test is discovered by the study monitor during a routine monitoring visit).

Too many protocol deviations could indicate the protocol issue (the protocol is poorly written), the protocol compliance by the investigators, and the overall quality of the study. Protocol deviations are collected and reviewed throughout the study. At the end of the study, the final list of protocol deviations will be converted into the data set (CDISC SDTM DV data set). The protocol deviations will then be listed and summarized for the inclusion in the clinical study report. According to ICH E3 "Structure and Contents of Clinical Study Reports", protocol deviations will be described in the CSR section 10.3.

For NDA/BLA submissions to CDER, FDA, there is a special requirement for submitting the BIMO (bioresearch monitoring) data sets and listings to assist FDA to select the investigational sites for inspection. Protocol deviations are important part of the BIMO data. According to "BIORESEARCH MONITORINGTECHNICAL CONFORMANCE GUIDE", the protocol deviations need to be provided in listings by subject and by clinical site. 

7. Protocol Deviations 

This by-subject, by-clinical site listing should include all protocol deviations. The listing should include a description of the deviation and identify whether the sponsor considered the deviation to be an important or non-important protocol deviation. 

Protocol deviations need to be classified based on the seriousness of the protocol deviation and the impact on the safety and efficacy evaluation of the protocol deviations. Traditionally, we have classified the protocol deviations into minor and major categories. However, other terms are used for categorizing the protocol deviations: critical protocol deviations, significant protocol deviations, ... 

FDA's new guidance "Protocol Deviations for Clinical Investigations of Drugs, Biological Products, and Devices" (December 2024) sets this straight. Only two categories will be used for protocol deviations: Important protocol deviations and other protocol deviations. 

1. Important Protocol Deviations 

As noted above, in this guidance an important protocol deviation is a subset of protocol deviations that might significantly affect the completeness, accuracy, and/or reliability of the study data or that might significantly affect a subject’s rights, safety, or well-being. While other terms such as major, critical, and significant have sometimes been used to classify such protocol deviations, FDA recommends using important to encompass all these terms. 

2. All Other Protocol Deviations 

All other protocol deviations that do not meet the definition of an important protocol deviation may encompass the commonly used terms minor, noncritical, and non-significant deviations. Examples of all other protocol deviations may include small deviations from protocol-specified visit windows; a signed consent with a page missing a participant’s initial; or failure to perform a study procedure not relevant for safety monitoring or not related to an important study efficacy endpoint (e.g., primary or secondary endpoints). 

FDA Office of Scientific Investigations (OSI) Requests for Bioresearch Monitoring (BIMO) Data for NDA/BLA Submission

FDA has a Bioresearch Monitoring (BIMO) program and the BIMO program is managed by the Office of Scientific Investigations (OSI). 

BIMO program is a comprehensive, FDA-wide program of on-site inspections and data audits, designed to monitor all aspects of the conduct and reporting of FDA-regulated research. 

Objectives of the BIMO program includes: 

• Protect the rights, safety, and welfare of human research subjects
• Verify the accuracy, reliability, and integrity of clinical and non-clinical trial data submitted to FDA
• Assess compliance with FDA's regulations governing the conduct of clinical and non-clinical trials, including regulations for informed consent and ethical review

BIMO program has become a cornerstone of the FDA preapproval process for new medicines, medical devices, food and color additives, veterinary products and, tobacco products introduced to the U.S. consumer.

The BIMO program also takes part in pharmacovigilance activities for postmarketing drug products. These activities serve to detect, understand, and prevent drug-related problems.

The BIMO program is managed and executed differently at different review centers (namely CDER and CBER). CBER's BIMO program was described in a FDA presentation by Dr Triet Tran "The Center for Biological Evaluation and Research (CBER) Bioresearch Monitoring (BIMO) Program". CDER's BIMO program was described in a Youtube video by Dr Kelly Nolen "Center for Drug Evaluation and Research (CDER) Bioresearch Monitoring (BIMO) Program - A General Overview".

For NDA or BLA submissions to CDER, sponsors are often asked to provide site-specific information to support the FDA’s Bioresearch Monitoring (BIMO) program and aid in selecting sites for inspection. The FDA typically includes standard language about this (see below) in their communications, such as in letters to the sponsor or the minutes of pre-NDA or pre-BLA meetings.

OFFICE OF SCIENTIFIC INVESTIGATIONS (OSI) REQUESTS

The Office of Scientific Investigations (OSI) requests that the items described in the draft guidance for industry, Standardized Format for Electronic Submission of NDA and BLA Content for the Planning of Bioresearch Monitoring (BIMO) Inspections for CDER Submissions, and the associated conformance guide, Bioresearch Monitoring Technical Conformance Guide Containing Technical Specifications, be provided to facilitate development of clinical investigator and sponsor/monitor/CRO inspection assignments, and the background packages that are sent with those assignments to the FDA ORA
investigators who conduct those inspections. This information is requested for all major trials used to support safety and efficacy in the application (i.e., phase 2/3 pivotal trials). Please note that if the requested items are provided elsewhere in submission in the format described, the Applicant can describe location or provide a link to the requested information.

Please refer to the draft guidance for industry Standardized Format for Electronic Submission of NDA and BLA Content for the Planning of Bioresearch Monitoring (BIMO) Inspections for CDER Submissions (February 2018) and the associated Bioresearch Monitoring Technical Conformance Guide Containing Technical Specifications.

Sponsor's statistical programming group will need to prepare the BIMO related data sets and data listings - all by sites. 

• A data set containing general study related information and comprehensive clinical investigator information
• Subject level data listing by site
• Site level dataset

Details about BIMO datasets and data listings can be found in the FDA CDER guidance titled Bioresearch Monitoring Technical Conformance Guide Containing Technical Specifications (see the table of contents below). It’s important to note that this guidance applies only to CDER and not to other FDA review divisions like CBER. Since the BIMO technical conformance guide is regularly updated, the statistical programming team must ensure they are following the most current version when preparing the BIMO package for NDA or BLA submissions.

There has been extensive discussion about using SAS programming to generate the BIMO package, including the creation of BIMO datasets and data listings:

• BIMO Package: Challenges and Perspectives While Keeping Up with the Upgrades in the BIMO Technical Conformance Guide and the BDRG Guidelines 
• BIMO SAS® Macros and Programming Tools 
• Development of standard BIMO process to create clinsite dataset 
• Preparing a Successful BIMO Data Package 
• Bioresearch Monitoring (BIMO) Data Reviewer’s Guide