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Glossary

Clinical Trials Terminology


The following glossary of clinical trial terms is the second produced by the Glos-
sary Group of CDISC. Version 2.0 is the latest CDISC Glossary as of the date of
this publication. It consolidates terms from a number of primary sources, includ-
ing ICH, FDA, SQA, the American Medical Association (AMA) Style Manual, HL7
and the HL7 Regulated Clinical Research and Information Management’s
(RCRIM) Protocol Representation Group, as well as the glossary published by
Applied Clinical Trials. As did the first version, this second CDISC glossary
includes terms that are specifically relevant to the CDISC standards and mission
to develop standards to support the electronic acquisition, exchange, submis-
sion, and archiving of clinical trial data. It also includes terminology for paper-
based processes where such terminology is relevant for eClinical trials.
A companion glossary of abbreviations, initialization and acronyms has also
been compiled by CDISC.
Glossary terms have the following format and are organized alphabetically.
Note, however, that the Glossary recognizes the recent practice of preceding cer-
tain terms with the letter “e” to denote that the term pertains to electronic or
Web implementation. Such terms may appear twice in the glossary, once in
alphabetical order under “e” and following the definition of the same term with-
out the “e”prefix. The Glossary will also be posted on the CDISC Web site
(www.cdisc.org) where comments are invited via the “Public Discussion Forum”.
Each term in the Glossary has the following format:
•Term (abbreviation, initialization or acronym)
•Definition [Definition Source(s)]
•(Synonyms)
•NOTE: notes add usage conventions and relevant domain information to the
definitions
•(“see also” statements)

absorption. The process by which adverse drug reaction (ADR). In the Reporting. See also unexpected adverse drug
medications reach the blood stream when preapproval clinical experience with a new reaction. Synonyms: adverse reaction, adverse
administered other than intravenously, for medicinal product or its new usages, drug reaction.
example, through nasal membranes. See particularly as the therapeutic dose(s) may
also ADME (pharmacokinetics). not be established: all noxious and adverse event (AE). Any untoward medical
unintended responses to a medicinal occurrence in a patient or clinical
action letter. An official communication from product related to any dose should be investigation subject administered a
FDA to an NDA sponsor announcing an considered adverse drug reactions. The pharmaceutical product and which does not
agency decision. See also approval letter, phrase “responses to a medicinal product” necessarily have a causal relationship with
approvable letter, not-approvable letter. means that a causal relationship between a this treatment. An adverse event (AE) can
medicinal product and an adverse event is therefore be any unintended sign (including
admission criteria. Basis for selecting target at least a reasonable possibility, i.e., the an abnormal laboratory finding), symptom,
population for a clinical trial. Subjects must relationship cannot be ruled out. Regarding or disease temporally associated with the
be screened to ensure that their marketed medicinal products: a response use of a medicinal (investigational) product,
characteristics match a list of admission to a drug which is noxious and unintended whether or not related to the medicinal
criteria and that none of their and which occurs at doses normally used in (investigational) product.
characteristics match any single one of the man for prophylaxis, diagnosis, or therapy [CPMP/ICH/135/95] For further information,
exclusion criteria set up for the study. See of diseases or for modification of see the ICH Guideline for Clinical Safety Data
also inclusion criteria. physiological function. [CPMP/ICH/135/95] Management: Definitions and Standards for
For further information, see the ICH Guideline Expedited Reporting. Synonyms: side effect,
adverse drug experience. See adverse drug for Clinical Safety Data Management: adverse experience. See also serious adverse
reaction. Definitions and Standards for Expedited event, serious adverse experience).

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adverse experience. See adverse event. approval (in relation to institutional review baseline assessment. Assessment of
boards). The affirmative decision of the IRB subjects as they enter a trial and before
adverse reaction. See adverse drug reaction. that the clinical trial has been reviewed and they receive any treatment.
may be conducted at the institution site
algorithm. Step-by-step procedure for within the constraints set forth by the IRB, Bayesian approaches. Approaches to data
solving a mathematical problem; also used the institution, good clinical practice (GCP), analysis that provide a posterior probability
to describe step-by-step procedures for and the applicable regulatory requirements. distribution for some parameter (e.g.
making a series of choices among [ICH] treatment effect), derived from the
alternative decisions to reach an outcome. observed data and a prior probability
approval letter. An official communication distribution for the parameter. The posterior
aliquot. A part that is a definite fraction of from FDA to inform an NDA sponsor of an distribution is then used as the basis for
a whole, as in aliquot samples for agency decision that allows commercial statistical inference. [ICH E9]
laboratory testing or analysis. marketing of a product.
Bayesian statistics. Statistical approach
alpha error. Size of the likelihood arm. A sequence of epochs (time intervals named for Thomas Bayes (1701–1761)
acceptable to the investigators that a during which treatment is consistent), that has among its features giving a
relationship observed between 2 variables defining the course of participation for a subjective interpretation to probability,
is due to chance the probability of a Type I subject in a trial. See also epoch. accepting the idea that it is possible to talk
error. See also Type 1 error. about the probability of hypotheses being
audit (of a clinical trial). A systematic and true and of parameters having particular
American National Standards Institute independent examination of trial-related values.
(ANSI). Founded in 1918, ANSI itself does activities and documents to determine
not develop standards. ANSI’s roles include whether the evaluated trial-related activities beta error. Probability of showing no
serving as the coordinator for U.S. were conducted, and the data were significant difference when a true difference
voluntary standards efforts, acting as the recorded, analyzed, and accurately reported exists; a false acceptance of the null
approval body to recognize documents according to the protocol, sponsor’s hypothesis. See also Type 2 error.
developed by other national organizations standard operating procedures (SOPs), good
as American National Standards, acting as clinical practice (GCP), and the applicable between-subject variation. In a parallel trial
the U.S. representative in international and regulatory requirement(s). [ICH] design, differences between subjects are
regional standards efforts, and serving as a used to assess treatment differences.
clearinghouse for national and international audit certificate. Document that certifies
standards development information. [HL7] that an audit has taken place (at an bias (operational, statistical). The
investigative site, CRO, or clinical research systematic tendency of any factors
analyte. A substance being analyzed; in department of a pharmaceutical company). associated with the design, conduct,
chromatography, a single component analysis, and evaluation of the results of a
(compound) of a mixture. audit report. A written evaluation by the clinical trial to make the estimate of a
sponsor’s auditor of the results of the audit. treatment effect deviate from its true value.
applet. A small application, typically [ICH] Bias introduced through deviations in
downloaded from a server. conduct is referred to as operational bias.
audit trail. Documentation that allows Other sources of bias (listed above) are
application (computer). Software designed reconstruction of the course of events [ICH]. referred to as statistical. [ICH E9]
to fill specific needs of a user; for example, A secure, time stamped record that allows
software for navigation, project reconstruction of the course of events bioanalytical assays. Methods for
management, or process control. relating to the creation, modification, and quantitative measurement of a drug, drug
Synonyms: computer application, application deletion of an electronic study record. [FDA metabolites, or chemicals in biological
software. Guidance on Computerized Systems Used in fluids.
Clinical Trials]
application (regulatory). Application made bioavailability. Rate and extent to which a
to a health authority to market or license a balanced study. Trial in which a particular drug is absorbed or is otherwise available
new product. type of subject is equally represented in to the treatment site in the body.
each study group.
application software. See application. bioequivalence. Scientific basis on which
bandwidth. An indicator of the throughput generic and brand-name drugs are
approvable letter. An official communication (speed) of data flow on a transmission path; compared. To be considered bioequivalent,
from FDA to an NDA sponsor that lists the width of the range of frequencies on the bioavailability of two products must not
minor issues to be resolved before an which a transmission medium carries differ significantly when the two products
approval can be issued. electronic signals. All digital and analog are given in studies at the same dosage
signals have a bandwidth. under similar conditions.

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biological marker. See biomarker. record prepared and maintained by an conducted by the Applied Research Ethics
investigator that records all observations National Association (ARENA), the
biomarker. A characteristic that is and other data pertinent to the membership division of Public
objectively measured and evaluated as an investigation on each individual Responsibility in Medicine and Research
indicator of normal biological processes, administered the investigational drug (PRIM&R).
pathogenic processes, or pharmacologic (device or other therapy) or employed as a
responses to a therapeutic intervention. control in the investigation. Case histories clean database. A set of reviewed data in
include the case report forms and which errors have been resolved to meet
biostatistics. Branch of statistics applied to supporting data including, for example, QA requirements for error rate and in which
the analysis of biological phenomena. signed and dated consent forms and measurements and other values are
medical records including, for example, provided in acceptable units; database that
blind review. Checking and assessing data, progress notes of the physician, the is ready to be locked. See also database
during the period of time between trial individual’s hospital chart(s), and the lock.
completion (the last observation on the last nurses’ notes. The case history for each
subject) and breaking the blind, for the individual shall document that informed clean file. See clean database.
purpose of finalizing the planned analysis. consent was obtained prior to participation
[ICH E9] in the study. [21 CFR 312.6b] client. A program that makes a service
request of another program (the server)
blind study. One in which the subject, the case record form. See case report form. that fulfills the request. Web browsers
investigator, or anyone assessing the (such as Netscape Navigator and Microsoft
outcome is unaware of the treatment case report form (CRF). A printed, optical, or Explorer) are clients that request HTML
assignment(s). Blinding is used to reduce electronic document designed to record all files from Web servers.
the potential for bias. See also of the protocol-required information to be
blinding\masking, double-blind study, single- reported to the sponsor for each trial clinical clarification. A query resolution
blind study, triple-blind study. subject [ICH]. A record of clinical study received from the sponsor staff (medical
observations and other information that a monitors, DSMB monitoring board, etc.).
blinded (masked) medications. Products that study protocol designates must be See also self-evident change.
appear identical in size, shape, color, flavor, completed for each subject. In common
and other attributes to make it very difficult usage, CRF can refer to either a CRF page, clinical data. Data pertaining to the medical
for subjects and investigators (or anyone which denotes a group of one or more data well-being or status of a patient or subject.
assessing the outcome) to determine which items linked together for collection and
medication is being administered. display, or a casebook, which includes the clinical efficacy. Power or capacity to
entire group of CRF pages on which a set of produce a desired effect (i.e., appropriate
blinding/masking. A procedure in which one clinical study observations and other pharmacological activity in a specified
or more parties to the trial are kept information can be or have been collected, indication) in humans. [SQA]
unaware of the treatment assignment(s). or the information actually collected by
Single-blinding usually refers to the clinical investigation brochure. See
completion of such CRF pages for a subject
subject(s) being unaware, and double- investigator’s brochure.
in a clinical study.
blinding usually refers to the subject(s),
investigator(s), monitor, and, in some clinical investigation. See clinical trial.
case report tabulations (CRT). In a paper
cases, data analyst(s) being unaware of the submission, listings of data that may be
treatment assignment(s). [ICH] clinical pharmacology. Science that deals
organized by domain (type of data) or by
with the characteristics, effects, properties,
subject. See also eCRT.
browser. Computer program that runs on reactions, and uses of drugs, particularly
the user’s desktop computer and is used to their therapeutic value in humans, including
categorical data. Data evaluated by sorting
navigate the World Wide Web. See also Web their toxicology, safety, pharmacodynamics,
values (for example, severe, moderate, and
browser. and pharmacokinetics (ADME).
mild) into various categories.

cache. Storage area on a computer’s hard clinical protocol. See protocol.


causality assessment. An evaluation
drive where the browser stores (for a performed by a medical professional
limited time) Web pages and/or graphic clinical research and development. The
concerning the likelihood that a therapy or
elements. testing of a drug compound in humans
product under study caused or contributed
primarily done to determine its safety and
to an adverse event.
carry-over effect. Effects of treatment that pharmacological effectiveness. Clinical
persist after treatment has been stopped, development is done in phases, which
Certified IRB Professional (CIP).
sometimes beyond the time of a progress from very tightly controlled dosing
Certification awarded to persons who
medication’s known biological activity. of small number of subjects to less tightly
satisfy the educational and employment
controlled studies involving large numbers
requirements and pass an examination
case history. An adequate and accurate of patients. [SQA]

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clinical research associate (CRA). Person pharmacological and/or other
employed by a sponsor, or by a contract pharmacodynamic effects of an
research organization acting on a sponsor’s investigational product(s), and/or to identify
behalf, who monitors the progress of any adverse reactions to an investigational
investigator sites participating in a clinical product(s), and/or to study absorption,
study. At some sites (primarily in academic distribution, metabolism, and excretion of
settings), clinical research coordinators are an investigational product(s) with the object
called CRAs. of ascertaining its safety and/or efficacy
[ICH]. NOTE: For the purposes of CDISC, this
clinical research coordinator (CRC). Person definition is extended to include medical
who handles most of the administrative devices and other investigational products
responsibilities of a clinical trial, acts as regulated like pharmaceuticals. Synonyms:
liaison between investigative site and clinical study, clinical investigation. See also
sponsor, and reviews all data and records intervention.
before a monitor’s visit. Synonyms: trial
coordinator, study coordinator, research clinical trial/study report. A written
coordinator, clinical coordinator, research description of a trial/study of any
nurse, protocol nurse. therapeutic, prophylactic, or diagnostic
agent conducted in human subjects, in
clinical significance. Change in a subject’s which the clinical and statistical
clinical condition regarded as important description, presentations, and analysis are
whether or not due to the test article. fully integrated into a single report. [ICH]
Some statistically significant changes (in For further information, see the the ICH
blood tests, for example) have no clinical Guideline for Structure and Content of Clinical
significance. The criterion or criteria for Study Reports.
clinical significance should be stated in the
protocol. coding. In clinical trials, the process of
assigning data to categories for analysis.
clinical study. See clinical trial. Adverse events, for example, may be coded
using MedDRA. See also acronym glossary.
clinical trial data. Data collected in the
course of a clinical trial. See clinical trial cohort. Group of subjects in a clinical trial
information. followed up at regular, predetermined
intervals. In epidemiology, a group of
clinical trial exemption (CTX). A scheme individuals with some characteristics in
that allows sponsors to apply for approval common.
for each clinical study in turn, submitting
supporting data to the Medicines Control cohort study. Study of a group of
Agency (MCA), which approves or rejects individuals, some of whom are exposed to
the application (generally within 35 working a variable of interest, in which subjects are
days). Approval means that the company is followed over time. Cohort studies can be
exempt from the requirement to hold a prospective or retrospective. [AMA] See also
clinical trial certificate (CTC). (UK) prospective study.

clinical trial information. Data collected in Common Technical Document. A format


the course of a clinical trial or agreed upon by ICH to organize applications
documentation related to the integrity or to regulatory authorities for registration of
administration of that data. A superset of pharmaceuticals for human use.
clinical trial data.
comparative study. One in which the
clinical trial materials. Complete set of investigative drug is compared against
supplies provided to an investigator by the another product, either active drug or
trial sponsor. placebo.

clinical trial. A systematic study of a test comparator (product). An investigational or


article (treatment, drug or device) in one or marketed product (i.e., active control), or
more human subjects [21 CFR 50.3]. An placebo, used as a reference in a clinical
investigation in human subjects intended to trial. [ICH]
discover or verify the clinical,

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Competent Authority (CA). The regulatory a standard treatment, or a placebo. FDA curriculum vitae (cv). Document that
body charged with monitoring compliance regulations recognize five controls that can outlines a person’s educational and
with the national statutes and regulations of be useful in particular circumstances, four professional history.
European Member States. concurrent (placebo, dose-comparison, no
treatment, and active treatment) and one data. Representations of facts, concepts,
complete file. File for which all data cleaning historical. [21 CFR 314.126] or instructions in a manner suitable for
is complete and database is ready for quality communication, interpretation, or
review and unblinding. control(s). A well-controlled study permits a processing by humans or by automated
comparison of subjects treated with the means. [FDA] See also information.
compliance (in relation to trials). Adherence investigational drug with a suitable control
to all the trial-related requirements, good population, so that the effect of the data acquisition. Capture of data into a
clinical practice (GCP) requirements, and the investigational drug can be determined and structured computerized format without a
applicable regulatory requirements. [ICH] distinguished from other influences, such as human-computer interface (from another
spontaneous change, placebo effects, automated or computerized source).
computer application. See application. concomitant therapy, or observer Contrast with data entry, electronic data
expectations. [21 CFR 312.126] capture.
confidentiality. Prevention of disclosure, to
other than authorized individuals, of a controlled study. A study in which a test data and safety monitoring board (DSMB).
sponsor’s proprietary information or of a article is compared with a treatment that Researchers, ideally independent of the
subject’s identity. [ICH] has known effects. The control group may trial data they monitor, who periodically
receive no treatment, standard treatment, or review data from blinded, placebo-
conformity assessment. The process by which placebo. controlled trials. A DSMB can stop a trial if
compliance with the EMEA’s Essential it finds toxicities or if treatment is proved
Requirements is assessed. See also Notified coordinating center. Headquarters for a beneficial. See also independent data-
Body. multisite trial that collects all data. monitoring committee.

consent form (CF). Document used during coordinating committee. A committee that a data clarification. Answer provided by an
the consent process that is the basis for sponsor may organize to coordinate the investigator in response to a query. The
explaining to potential subjects the risks and conduct of a multicenter trial. [ICH] investigator supplies a new data point (for
potential benefits of a study and the rights example, a systolic blood pressure value of
and responsibilities of the parties involved. coordinating investigator. An investigator 148) or confirms the errant data point (for
Synonym: informed consent form. assigned the responsibility for the example, the subject is truly 7 feet 4
coordination of investigators at different inches tall).
consumer safety officer (CSO). FDA official centers participating in a multicenter trial.
who coordinates the review process of [ICH] data element. A named unit of data that, in
various applications. some contexts, is considered indivisible
correlation. The relationship of one variable and in other contexts may consist of data
content validity. The extent to which a to another, not to be confused with items (ISO). A named identifier of each of
variable (for example, a rating scale) causation. the entities and their attributes that are
measures what it is supposed to measure. represented in a database. [FDA]
[ICH E9] CRF (paper). Case report form in which the
data items on the CRF pages are linked by Data Encryption Standard (DES). A widely
contract. A written, dated, and signed the physical properties of paper, for which used method of data encryption using a
agreement between two or more involved data are captured manually and where any private (secret) key that the U.S.
parties that sets out any arrangements on comments, notes, and signatures are also government judged so difficult to break that
delegation and distribution of tasks and linked to those data items by writing or it was restricted for export to other
obligations and, if appropriate, on financial typescript on the paper CRF. See also eCRF, countries. Each message uses one of 72
matters. The protocol may serve as the case report form. quadrillion or more possible encryption
basis of a contract. [ICH] keys that are chosen at random. The
crossover trial. In crossover trials, each sender and receiver must both know and
contract research organization (CRO). A subject receives both treatments being use the same private key. DES applies a
person or an organization (commercial, compared or the treatment and control. Such 56-bit key to each 64-bit block of data.
academic, or other) contracted by the trials are used for patients who have a
sponsor to perform one or more of a stable, usually chronic, condition during both data entry. Human input of data into a
sponsor’s trial-related duties and functions. treatment periods. Generally, both subjects structured, computerized format using an
[ICH] and investigators are blinded to treatment interface such as a keyboard, pen-based
assignment and sequence, and there is tablet, or voice recognition. Contrast with
control group. The group of subjects in a usually a washout period between phases. data acquisition, electronic data capture.
controlled study that receives no treatment, [SQA]

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data integrity verification. Process of binary quality control, and auditing systems and database can no longer be changed in any
file verification/no disk errors: print and processes designed to ensure that trials manner; a locked database is ready to
check random pages from original are performed in compliance with FDA undergo statistical analysis. Synonym:
submission and the magnetic disk copy; regulations and guidelines. See also ALCOA. database freeze. See also clean database.
compare with the onscreen representation;
perform a set of on-line searches manually data security. Freedom from the risk of database. Data stored in computer form for
and using the Verity search of the supplied exposing data to accidental or malicious retrieval, processing, and/or analysis.
indexes; analyze access logs will be alteration or destruction; measures
analyzed with log analysis software. adopted to ensure data security. [FDA] Declaration of Helsinki. A set of
recommendations or basic principles that
data integrity. The degree to which a data validation. Process used to determine guide medical doctors in the conduct of
collection of data is complete, consistent, if data are inaccurate, incomplete, or biomedical research involving human
and accurate. [FDA/IEEE] unreasonable. The process may include subjects. It was originally adopted by the
format checks, completeness checks, 18th World Medical Assembly (Helsinki,
data interchange. Transfer of information check key tests, reasonableness checks, Finland, 1964) and recently revised (52nd
between two or more parties that maintains and limit checks [ISO]. Checking data for WMA General Assembly, Edinburgh,
the integrity of the contents of the data for correctness and/or compliance with Scotland, October 2000).
the agreed purpose intended. applicable standards, rules, and
conventions. [FDA] demographic data. Characteristics of
data item. A named component of a data subjects or study populations, which
element. Usually the smallest component data verification. The process of ensuring include such information as age, sex,
(ANSI). See also data model. [FDA] that data at any point accurately represents family history of the disease or condition
the source data. for which they are being treated, and other
data management. Data management characteristics relevant to the study in
begins with the submission of the CRF to database lock. The point at which all clinical which they are participating.
the sponsor and includes activities related trial data has been reviewed, queries
to handling clinical study data, including resolved, and issues addressed, and the derived variables. New variables created as
database creation, data entry, review,
coding, data editing, data QC, archiving and
reporting of the database.

data management conventions. Documented


procedure(s) for resolving self-evident
changes. Synonym: Self-evident conventions.

data management personnel. Persons


primarily responsible for database creation,
data validation, integration, coding, and
QC, archiving, and preparing data displays.
[SQA]

data model. Unambiguous, formally stated,


expression of items, the relationship
among items, and the structure of the data
in a certain problem area or context of use.
A data model uses symbolic conventions
agreed to represent content so that content
does not lose its intended meaning when
communicated.

data monitoring committee. See independent


data monitoring committee.

data monitoring. Process by which case


report forms are examined for
completeness, consistency, and accuracy.

data quality. Validated quality is established


by internal and external benchmarking,

December 2003 actmagazine.com APPLIED CLINICAL TRIALS 37


functions of existing variables or by that describe or record the methods, supplement to any of them; article intended
applying mathematical operations. conduct and/or results of a trial, the for use in the diagnosis, cure, mitigation,
factors affecting a trial, and the actions treatment, or prevention of disease; article
development. Term used to describe the taken. [ICH] (other than food) intended to affect the
program for advancing a drug compound structure or any function of the body; and
generally from the preclinical decision to domain name. The way a particular Web articles intended for use as a component of
concentrate on a single compound in a server is identified on the Internet. For any article specified above. Not a device or
research program through its approval for example, www.fda.gov names the World a component, part, or accessory of a
marketing by the FDA and other regulatory Wide Web (www) server for the Food and device. [adapted from Food Drug &
agencies. [SQA] See also drug development Drug Administration, which is a government Cosmetic Act]
process. (gov) entity.
drug development process. The program for
direct access. Permission to examine, dosage form. The “delivery system” for a advancing a drug compound generally from
analyze, verify, and reproduce any records drug product, e.g., tablet, capsule, IV the preclinical decision to recommend a
and reports that are important to solution, topical cream. [SQA] single compound in a research program
evaluation of a clinical trial. Any party (e.g., through its approval for marketing by the
domestic and foreign regulatory authorities, dosage regimen. The number of doses per FDA and other regulatory agencies.
sponsor’s monitors and auditors) with given time period; the elapsed time
direct access should take all reasonable between doses (for example, every six dynamic HTML. Collective term for a
precautions within the constraints of the hours) or the time that the doses are to be combination of new tags and options, style
applicable regulatory requirement(s) to given (for example, at 8 a.m. and 4 p.m. sheets, and programming that allows users
maintain the confidentiality of subject’s daily); and/or the amount of a medicine to create Web pages in Hypertext Mark-up
identities and sponsor’s proprietary (the number of capsules, for example) to be Language (HTML) that are more responsive
information. [ICH] given at each specific dosing time. to user interaction than previous versions
of HTML.
discontinuation. The act of concluding dosage. The amount of drug administered to
participation in a trial for an enrolled a patient or test subject over the course of eClinical trial record. Any data collected
subject. Various types of discontinuation the clinical study; a regulated electronically in support of a clinical trial,
occur: e.g., dropout (active discontinuation administration of individual doses. [AMA] including, but not limited to, the eCRF data.
by a subject), investigator-initiated (e.g., for An electronic record [21 CFR 11] relevant to
cause), loss to follow-up (subject ceased dose. The amount of drug administered to a a clinical trial (e.g., medical history data,
participation without notice or action by the patient or test subject at one time or the patient contact information, IVRS data,
subject), sponsor-initiated discontinuation total quantity administered. electronic patient diary data, electronic
(e.g., canceling the trial). Synonym: health record data relevant to clinical trials,
termination (now considered nonstandard). double-blind study. A study in which neither clinical laboratory data). NOTE: This term
See also: withdrawal. NOTE: Subject the subject nor the investigator nor the can be used to denote a ‘superset’ of data,
discontinuation does not necessarily imply research team knows what treatment a beyond what is required for the eCRF. An
exclusion of subject data from analysis. [HL7 subject is receiving. eClinical Trial record typically includes
Protocol Stds] electronic data that support documentation
double-dummy. A technique for retaining the of complete clinical cases and case
discrepancy. Data point that fails to pass a blind when administering supplies in a histories. Such electronic records may
validation check. Discrepancies may be clinical trial, when the two treatments include, or be limited to, the protocol-
generated by computerized edit checks or cannot be made identical. Supplies are specific clinical trial data such as electronic
observed/identified by the data reviewer as prepared for Treatment A (active and source documents.
a result of manual data review. indistinguishable placebo) and for
Treatment B (active and indistinguishable eClinical trial. Clinical trial in which
distribution. In statistics, a group of ordered placebo). Subjects then take two sets of primarily electronic processes are used to
values; the frequencies or relative treatment; either A (active) and B (placebo), plan, collect (acquire), access, exchange
frequencies of all possible values of a or A (placebo) and B (active). [ICH E9] and archive data required for conduct,
characteristic [AMA]. In pharmacokinetics, management, analysis and reporting of the
the processes that control transfer of a dropout. A subject in a clinical trial who for trial. Synonyms: eClinical study; eClinical
drug from the site of measurement to its any reason fails to continue in the trial until investigation. See also clinical trial.
target and other tissues. See also ADME. the last visit required of him/her by the
study protocol. [ICH E9] eCRF. Audible electronic record designed to
documentation. All records, in any form record information required by the clinical
(including, but not limited to, written, drug. Article recognized in the official trial protocol to be reported to the sponsor
electronic, magnetic, and optical records, United States Pharmacopoeia, official on each trial subject [FDA Guidance on
and scans, x-rays, and electrocardiograms) Homeopathic Pharmacopoeia of the United Computerized Systems Used in Clinical
States, or official National Formulary, or any

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Trials]; a CRF in which related data items trials provided that the controls on the
and their associated comments, notes, and eMedical record system and the transfer of
signatures are linked electronically. NOTE: such data to the eClinical trial system were
eCRFs may include special display elements, to fulfill the requirements of 21 CFR 11.
electronic edit checks, and other special
properties or functions and are used for both endpoint. An indicator or outcome
capture and display of the linked data. measured in a subject or biological sample
to assess the safety, efficacy, or other
eCRT. CRTs provided in electronic format for objective of a trial. Variable that pertains to
eSubmissions (electronic regulatory the efficacy or safety evaluations of a trial.
submissions). NOTE: According to current NOTE: Not all endpoints are themselves
FDA guidance, eCRTs are datasets provided as assessments since certain endpoints might
SAS Transport files with accompanying apply to populations or emerge from analysis
documentation. They enable reviewers to of results. That is, endpoints might be facts
analyze each dataset for each study. Each about assessments (e.g., prolongation of
CRF domain should be provided as a single survival). See also variable, surrogate
dataset, however additional datasets suitable marker.
for reproducing and confirming analyses may
also be needed. enroll. Admit a subject for participation in a
clinical trial. Enrolled subjects are said to
edit check. A validation rule electronically meet formal inclusion and exclusion criteria
programmed to run on data. NOTE: edit and are scheduled to participate in a trial in
checks commonly detect database data accordance with the protocol. See also first
values outside of expected ranges or to subject in, target enrollment.
identify missing data or dataset internal
inconsistency. enrollment. The act of enrolling one or more
subjects to a clinical trial; the class of
effect. An effect attributed to a treatment in enrolled subjects in a clinical trial. Types of
a clinical trial. In most clinical trials, the enrollment can be distinguished: current
treatment effect of interest is a comparison enrollment: subjects actively participating in
(or contrast) of two or more treatments. the trial as of the current date; cumulative
[ICH E9] Synonym: treatment effect. enrollment: both current enrollment and any
ever-enrolled subjects who have ended
effectiveness. The desired measure of a participation.
drug’s influence on a disease or condition
as demonstrated by substantial evidence epoch. An interval of time in the planned
from adequate and well-controlled conduct of a study during which the
investigations. treatment is consistent. NOTE: There are no
gaps between epochs in a trial; during
efficacy. The capacity of a drug or treatment execution of a trial, the planned epoch may
to produce beneficial effects on the course serve as a label to associate captured data
or duration of a disease at the dose tested and information with that epoch. Synonyms:
and against the illness for which it is period, cycle, phase, stage. See also arm.
designed.
equipoise. A state in which an investigator
electronic data capture (EDC). The process is uncertain about which arm of a clinical
of collecting data into a permanent trial would be therapeutically superior for a
electronic form. NOTE: “Permanent” in the patient. An investigator who has a
context of these definitions implies that any treatment preference or finds out that one
changes made to the electronic data are arm of a comparative trial offers a clinically
recorded via an audit trail. See also data therapeutic advantage should disclose this
entry, data acquisition. information to subjects participating in the
trial.
eMedical record. An electronic record
derived from a computerized system used equivalence trial. A trial with the primary
primarily for delivering patient care in a objective of showing that the response to
clinical setting. NOTE: eMedical records may two or more treatments differs by an
serve as source documents, and such data amount that is clinically unimportant. This
could serve also as source data for clinical
December 2003 actmagazine.com APPLIED CLINICAL TRIALS 39
is usually demonstrated by showing that evaluates the trial results and statistical selectively retains (adsorbs) and releases the
the true treatment difference is likely to lie analyses. volatile constituents.
between a lower and an upper equivalence
margin of clinically acceptable differences. firewall. A set of related programs, located gender. Subject self-identification as a male
[ICH E9] at a network gateway server, that protects a or female person [IOM]. Gender signifies an
private computer network from users from individual’s personal, legal, and social status
eSource data (electronic source data). other networks. Also the security policy that without reference to genetic sex, which is an
Source data captured initially into a is used with the programs. objective biological fact. [AMA]
permanent electronic record. [ICH] NOTE:
“Permanent” in the context of these first subject in (FSI). The date and time the generalizability, generalization. The extent to
definitions implies that any changes made to first subject is enrolled and randomized which the findings of a clinical trial can be
the electronic data are recorded via an audit into a study. The subject will have met the reliably extrapolated from the subjects who
trail. See also source data. inclusion/exclusion criteria to participate in participated in the trial to a broader patient
the trial and have signed informed consent. population and a broader range of clinical
essential documents. Documents that settings. [ICH E9]
individually and collectively permit first subject screened. First subject that
evaluation of the conduct of a study and signs the informed consent form and is global assessment variable. A single variable,
the quality of the data produced. [ICH] screened for potential enrollment and usually a scale of ordered categorical ratings,
randomization into a study. At this time, the which integrates objective variables and the
ethics committee. See institutional review subject has not yet met the investigator’s overall impression about the
board, independent ethics committee. inclusion/exclusion criteria for the trial. state or change in state of a subject. [ICH E9]

European Agency for the Evaluation of first-in-humans study. The first Phase 1 glossary. A collection of specialized terms
Medicinal Products (EMEA). The regulatory study in which the test product is with their meanings.
agency for the EU. administered to human beings.
good clinical practice (GCP). A standard for
exclusion criteria. List of criteria in a first-in-man study. See first-in-humans study. the design, conduct, performance, monitoring,
protocol, any one of which excludes a auditing, recording, analyses, and reporting of
potential subject from participation in a Food and Drug Administration (FDA). The clinical trials that provides assurance that the
study. Note: Exclusion and inclusion criteria United States regulatory authority charged data and reported results are credible and
define the study population. [SQA] See also with, among other responsibilities, granting accurate, and that the rights, integrity, and
inclusion criteria. IND and NDA approvals. confidentiality of trial subjects are protected.
[ICH] NOTE: for Guidance on Good Clinical
excretion. The act or process of eliminating frequentist methods. Statistical methods, Practice see CPMP/ICH/135/95; Declaration
waste products from the body. See also such as significance tests and confidence of Helsinki; 21 CFR 50, 21 CFR 54, 21 CFR
ADME. intervals, which can be interpreted in terms 56, and 21 CFR 312.
of the frequency of certain outcomes
explanatory trial. Term used to describe a occurring in hypothetical repeated good clinical research practice (GCRP). Term
clinical study designed to demonstrate the realizations of the same experimental sometimes used to describe GCP. See good
efficacy of a product. See also pragmatic situation. [ICH E9] clinical practice.
trial.
frozen file. Status of database when all Harmonized Standard. A European Norm
external consistency. The consistency of a data cleaning is completed, unblinding (EN) that has been accepted by all Member
procedure between sets of data. occurs, quality review of data is completed, States and has been published in the
all outstanding corrections have been Official Journal of the European Communities
File Transfer Protocol. A standard protocol addressed, and the database has been (OJEC).
for exchanging files between computers on locked. See also clean database.
the Internet. Used to transfer Web page Health Level 7 (HL7) messaging. An
files to the computer that acts as a server full analysis set. The set of subjects that is as application protocol for electronic data
for everyone on the Internet. Also close as possible to the ideal implied by the exchange in health care environments. The
commonly used to download programs and intention-to-treat principle. It is derived from HL7 protocol is a collection of standard
other files to your computer from other the set of all randomized subjects by minimal formats that specify the implementation of
servers. FTP is usually one of the programs and justified elimination of subjects. [ICH E9] interfaces between computer applications
that come with TCP/IP. See also TCP/IP. from different vendors. This communication
gas chromatography (GC). A process by which protocol allows health care institutions to
final report. Complete, comprehensive the components of a mix are separated from exchange key sets of data between
description of a completed trial that one another by volatilizing the sample into a different application systems. [HL7]
describes the experimental materials and carrier gas stream and passing the gas
statistical design. It also presents and through a column containing a substance that healthy volunteer. A healthy person who

40 APPLIED CLINICAL TRIALS actmagazine.com December 2003


agrees to participate in a clinical trial for independent body (a review board or a
reasons other than medical and receives no committee, institutional, regional, national,
direct health benefit from participating. See or supranational) constituted of medical/
also human subject. scientific professionals and non-scientific
members, whose responsibility it is to
heterologous. Consisting of different ensure the protection of the rights, safety,
elements, or of elements in differing and well-being of human subjects involved
proportions. in a trial and to provide public assurance of
that protection by, among other things,
human subject. A human subject, as reviewing and approving/providing favorable
defined in 21 CFR 50.3, is an “individual opinion on the trial protocol, the suitability
who is or becomes a participant in of the investigator(s), facilities, and the
research, either as a recipient of the test methods and material to be used in
article or as a control. A subject may be obtaining and documenting informed
either a healthy human or a patient.” consent of the trial subjects. The legal
Synonym: subject/trial subject. status, composition, function, operations,
and regulatory requirements pertaining to
Huriet Law. France’s regulations covering independent ethics committees may differ
the initiation and conduct of clinical trials. among countries, but should allow the
independent ethics committee to act in
HyperText Markup Language (HTML). A set of agreement with GCP as described in the
codes that describes the way type, ICH guideline. [ICH] (See also institutional
graphics, and other elements are displayed review board.)
on a Web page.
indication. A health problem or disease that
hypertext. Links in a document that permit is identified as likely to be benefited by a
you to jump immediately to another therapy being studied in clinical trials.
document. In most Web browsers links are Where such a benefit has been established
displayed as colored, underlined text. and approved by regulatory authorities, the
therapy is said to be approved for such an
impartial witness. A person, who is
indication.
independent of the trial, who cannot be
unfairly influenced by people involved with informed consent. A process by which a
the trial, who attends the informed consent subject voluntarily confirms his or her
process if the subject or the subject’s willingness to participate in a particular
legally acceptable representative cannot trial, after having been informed of all
read, and who reads the informed consent aspects of the trial that are relevant to the
form and any other written information subject’s decision to participate. Informed
supplied to the subject. [ICH] consent precedes enrollment and is
documented by means of a written, signed,
inclusion criteria. The criteria in a protocol
and dated consent form. [ICH] NOTE: Under
that prospective subjects must meet to be
21 CFR 50.20, no informed consent may
eligible for participation in a study. NOTE:
include any “language through which the
Exclusion and inclusion criteria define the
subject or the representative is made to waive
study population. See also exclusion criteria.
or appear to waive any of the subject’s legal
rights, or releases or appears to release the
independent data monitoring committee
investigator, the sponsor, the institution, or its
(IDMC). An independent data-monitoring
agents from liability for negligence.”
committee that may be established by the
sponsor to assess at intervals the progress
inspection. The act by a regulatory
of a clinical trial, the safety data, and the
authority(ies) of conducting an official
critical efficacy endpoints, and to
review of documents, facilities, records,
recommend to the sponsor whether to
and any other resources that are deemed
continue, modify, or stop a trial. Also called
by the authority(ies) to be related to the
data and safety monitoring board, monitoring
clinical trial and that may be located at the
committee, data monitoring committee.
site of the trial, at the sponsor’s and/or
[CH E9]
contract research organization’s (CRO’s)
facilities, or at other establishments
independent ethics committee (IEC). An

December 2003 actmagazine.com APPLIED CLINICAL TRIALS 41


deemed appropriate by the regulatory prior to the formal completion of a trial, used involving, a subject, or, in the event of
authority(ies). [ICH] See also audit. determined as part of the study protocol an investigation conducted by a team of
prior to subject enrollment. [ICH E9] individuals, is the responsible leader of
institution (medical). Any public or private that team.” See also sponsor-investigator.
entity or agency or medical or dental facility interim clinical trial/study report. A report of
where clinical trials are conducted. [ICH] intermediate results and their evaluation investigator/institution. An expression
based on planned analyses performed meaning “the investigator and/or
institutional review board (IRB). An during the course of a trial. [ICH] institution, where required by the applicable
independent body constituted of medical, regulatory requirements.” [ICH]
scientific, and non-scientific members, internal consistency. A property of data that
whose responsibility it is to ensure the does not contradict itself. investigator’s brochure. A compilation of the
protection of the rights, safety, and well- clinical and nonclinical data on the
being of human subjects involved in a trial Internet service provider (ISP). A company investigational product(s) which is relevant
by, among other things, reviewing, that provides access to the Internet for to the study of the investigational
approving, and providing continuing review individuals and organizations. ISPs range in product(s) in human subjects. [ICH]
of trial protocol and of the methods and size from small local services to huge
material to be used in obtaining and national providers, like Netcom and item. An individual clinical data element,
documenting informed consent of the trial ComCast, and international full-service such as a single systolic blood pressure
subjects. [ICH] Other names for such bodies providers like America Online (AOL). reading. Items are collected together into
include independent review board, item groups. See also data item.
independent ethics committee, committee for Internet. A global system of computer
the protection of human subjects. networks that provides the infrastructure labeling. Description of the drug and
for e-mail, the World Wide Web, and other summary of use, safety, and effectiveness
intention-to-treat. The principle that asserts online activities. that must be approved by FDA. [SQA]
that the effect of a treatment policy can be
best assessed by evaluating on the basis inter-rater reliability. The property of scales last subject in (LSI). Date and time the last
of the intention to treat a subject (i.e., the yielding equivalent results when used by subject to participate in a clinical trial is
planned treatment regimen) rather than the different raters on different occasions. enrolled. The subject will have met the
actual treatment given. It has the [ICH E9] inclusion/exclusion criteria to participate in
consequence that subjects allocated to a the trial and have signed informed consent.
treatment group should be followed up, intervention. The drug, device, therapy or See also enroll.
assessed, and analyzed as members of process under investigation in a clinical
that group irrespective of their compliance trial which has an effect on outcome of . last subject out/complete (LSO/LSC). Last
to the planned course of treatment. [ICH interest in a study: e.g., quality of life, subject to complete a trial. See also
E9] Synonym: Intent-to-treat. efficacy, safety, pharmacoeconomics. completion, last subject data collected.

interaction (qualitative and quantitative). investigational product. A pharmaceutical legally acceptable representative. An
The situation in which a treatment contrast form of an active ingredient or placebo individual or juridical or other body
(e.g., difference between investigational being tested or used as a reference in a authorized under applicable law to consent,
product and control) is dependent on clinical trial, including a product with a on behalf of a prospective subject, to the
another factor (for example, the centre). A marketing authorization when used or subject’s participation in the clinical trial.
quantitative interaction refers to the case assembled (formulated or packaged) in a [ICH]
where the magnitude of the contrast differs way different from the approved form, or
at the different levels of the factor; for a when used for an unapproved indication, or Leiter der klinischen Prüfung. Under the
qualitative interaction, the direction of the when used to gain further information German Drug Law, the physician who is
contrast differs for at least one level of the about an approved use. [ICH] CDISC head of the clinical investigation.
factor. [ICH E9] includes test articles in its definition of
investigational products. life-threatening adverse event/experience.
interactivity. Interactions in cyberspace with Any adverse event/experience that, in the
other people, information, and computers. investigator. A person responsible for the view of the investigator, places a subject at
Examples of interactivity include sending an conduct of the clinical trial at a trial site. If immediate risk of death. [SQA]
e-mail message and filling out an Applied a trial is conducted by a team of individuals
at a trial site, the investigator is the longitudinal study. Investigation in which
Clinical Trials subscription form at
responsible leader of the team and may be data are collected from a number of
www.superfill.com/subscribe/apct.htm
called the principal investigator. [ICH]. 21 subjects over a long period of time (a well-
interim analysis. Any planned analysis CFR 50.3 expands on the ICH definition by known example is the Framingham Study).
intended to compare treatment arms with stating that an investigator is the individual
“under whose immediate direction the test marketing support trials. Studies to assess
respect to efficacy or safety at any time
article is administered or dispensed to, or

42 APPLIED CLINICAL TRIALS actmagazine.com December 2003


not only safety and efficacy on large patient which a substance is handled in the living monitoring. The act of overseeing the
populations, but also quality-of-life impact body. See also ADME. progress of a clinical trial, and of ensuring
and cost-effectiveness. Many market that it is conducted, recorded, and reported
support trial outcomes are used for metadata. Data that describes other data. in accordance with the protocol, standard
additional indications of already approved operating procedures (SOPs), good clinical
drugs, publications and promotion mode. The most frequently occurring value practice (GCP), and the applicable
purposes. in a data set. regulatory requirement(s). [ICH]

masking. See blinding/masking. modem. From modulator/demodulator; a monitoring committee. See independent data-
device that converts the digital data into monitoring committee.
matched-pair design. A type of parallel trial analog data that can be transmitted via
design in which investigators identify pairs telephone or cable lines used for monitoring report. A written report from the
of subjects who are “identical” with respect communications. monitor to the sponsor after each site visit
to relevant factors, then randomize them so and/or other trial-related communication
that one receives Treatment A and the other monitor. Person employed by the sponsor or according to the sponsor’s SOPs. [ICH]
Treatment B. See also pairing. CRO who is responsible for determining
that a trial is being conducted in monitoring visit. A visit to a study site to
matching. See pairing. accordance with the protocol. A monitor’s review the progress of a clinical study and
duties may include, but are not limited to, to ensure protocol adherence, accuracy of
mean. The sum of the values of all helping to plan and initiate a trial, data, safety of subjects, and compliance
observations or data points divided by the assessing the conduct of trials, and with regulatory requirements and good
number of observations, an arithmetical assisting in data analysis, interpretation, clinical practice guidelines. [SQA]
average. and extrapolation. Monitors work with the
clinical research coordinator to check all multicenter study. See multicenter trial.
median. The middle value in a data set; data and documentation from the trial. See
that is, just as many values are greater also clinical research associate. multicenter trial. A clinical trial conducted
than the median and lower than the median according to a single protocol but at more
value. (With an even number of values, the
conventional median is halfway between the
two middle values.)

medical monitor. A sponsor representative


who has medical authority for the
evaluation of the safety aspects of a
clinical trial.

Medicines Control Agency (MCA). The United


Kingdom regulatory authority that approves
or rejects CTX/CTC and PL applications.

mega-trials. Massive randomized clinical


trials that test the advantages of marginally
effective experimental drugs by enrolling
10,000 or more subjects. Synonym: large-
sample trials.

Memorandum of Understanding (MOU). An


MOU between FDA and a regulatory agency
in another country allows mutual
recognition of inspections.

meta-analysis. A statistical process for


pooling data from many clinical trials and
summarizing it through formal statistical
means. Also called overview.

metabolism. The sum of the processes by

December 2003 actmagazine.com APPLIED CLINICAL TRIALS 43


than one site, and therefore, carried out by open study. A trial in which subjects and or subject. It may be paper-based or a
more than one investigator. [ICH] Synonym: investigators know which product each mixture of computer and paper records.
multicenter study. subject is receiving; opposite of a blinded or
double-blind study. period effect. Designated period during the
New Drug Application (NDA). An application course of a trial in which subjects are
to FDA for a license to market a new drug in open-label study. See also open study. observed and no treatment is administered.
the United States.
opinion (in relation to independent ethics pharmacodynamics (PD). Branch of
n-of-1 study. A trial in which an individual committee). The judgment and/or the advice pharmacology that studies reactions
subject is administered a treatment provided by an independent ethics between drugs and living structures,
repeatedly over a number of episodes to committee. [ICH] including the processes of bodily responses
establish the treatment’s effect in that to pharmacological, biochemical,
person, often with experimental and control original medical record. See source physiological, and therapeutic effects.
treatments randomized. documents.
pharmacoeconomics. Branch of economics
nonclinical study. Biomedical studies not outcome (variable). See variable, endpoint. that applies cost-benefit, cost-utility, cost-
performed on human subjects. [ICH] minimization, and cost-effectiveness
outcomes research. See analyses to compare the economics of
not-approvable letter. An official pharmacoeconomics. different pharmaceutical products or to
communication from FDA to inform an NDA compare drug therapy to other treatments.
sponsor that the important deficiencies overview. See meta-analysis.
described therein preclude approval unless pharmacogenetics. Study of the way drugs
corrected. p value. The lowest level of significance at interact with genetic makeup or the genetic
which a given null hypothesis can be response to a drug.
Notified Body (NB). A private institution rejected; that is, the probability of observing
charged by the Competent Authority with a result as extreme or more extreme than pharmacogenomics. Science that examines
verifying compliance of medical devices (not that observed if the null hypothesis is true. inherited variations in genes that dictate
drugs) with the applicable Essential See also statistical significance. drug response and explores the ways such
Requirements stated in the Medical Device variations can be used to predict whether a
Directive. This process, called Conformity pairing. A method by which subjects are person will have a good response to a drug,
Assessment, has EU-wide validity once selected so that two subjects with similar a bad response to a drug, or no response at
completed by the NB. characteristics (for example, weight, all.
smoking habits) are assigned to a set, but
null hypothesis. A null hypothesis (for one receives Treatment A and the other pharmacokinetics (PK). Study of the
example, “subjects will experience no receives Treatment B. See also matched-pair processes of bodily absorption, distribution,
change in blood pressure as a result of design metabolism, and excretion (ADME) of
administration of the test product”) is used compounds and medicines.
to rule out every possibility except the one parallel trial. Subjects are randomized to
the researcher is trying to prove, an one of two differing treatment groups pharmacology. Science that deals with the
assumption about a research population (usually investigational product and placebo) characteristics, effects, and uses of drugs
that may or may not be rejected as a result and usually receive the assigned treatment and their interactions with living organisms.
of testing. Used because most statistical during the entire trial. Synonyms: parallel
methods are less able to prove something group trial, parallel design trial. pharmacovigilance. Term used for adverse
true than to provide strong evidence that it event monitoring and reporting in some
is false. The assertion that no true parameter. A constant in a model, or a countries.
association or difference in the study constant that wholly or partially
outcome or comparison of interest between characterizes a function of probability pharmacogenetic test. An assay intended to
comparison groups exists in the larger distribution (mathematics and statistics). In study interindividual variations in DNA
population from which the study samples clinical research the term is often linked to sequence related to drug absorption and
are obtained. See also research hypothesis. statistical conventions and is a numeric disposition or drug action.
characteristic of a population. Thus the term
Nuremberg Code. Code of ethics for is narrower than variable. pharmacogenomic test. An assay intended to
conducting human medical research set study interindividual variations in whole-
forth in 1947. patient. Person under a physician’s care for genome or candidate gene maps,
a particular disease or condition. See also biomarkers, and alterations in gene
objective measurement. A measurement that subject/trial subject, healthy volunteer. expression or inactivation that may be
cannot be influenced by investigator bias; correlated with pharmacological function
for example, blood glucose levels or ECG patient file. Contains demographic, medical, and therapeutic response.
tracings. and treatment information about a patient

44 APPLIED CLINICAL TRIALS actmagazine.com December 2003


phases of clinical trials. Clinical trials are thousand subjects. [FDA] NOTE: Phase 3b subjects are believed to be the result of the
generally categorized into four (sometimes studies are a sub category of Phase 3 trials group-specific interventions. See also
five) phases described below. An near the time of approval to elicit additional outcome, endpoint.
investigational medicine or product may be findings.
evaluated in two or more phases prospective study. Investigation in which a
simultaneously in different trials, and some Phase 4. Concurrent with marketing group of subjects is recruited and
trials may overlap two different phases. approval, FDA may seek agreement from monitored in accordance with criteria
the sponsor to conduct certain described in a protocol.
Phase 1. The initial introduction of an postmarketing (Phase 4) studies to
investigational new drug into humans. delineate additional information about the protocol. A document that describes the
Phase 1 studies are typically closely drug’s risks, benefits, and optimal use. objective(s), design, methodology,
monitored and may be conducted in These studies could include, but would not statistical considerations, and organization
patients or normal subjects. These studies be limited to, studying different doses or of a trial. The protocol usually also gives
are designed to determine the metabolism schedules of administration than were used the background and rationale for the trial,
and pharmacologic actions of the drug in in Phase 2 studies, use of the drug in other but these could be provided in other
humans, the side effects associated with patient populations or other stages of the protocol referenced documents. Throughout
increasing doses, and, if possible, to gain disease, or use of the drug over a longer the ICH GCP Guideline the term protocol
early evidence on effectiveness. During period of time. [FDA] refers to protocol and protocol
Phase 1, sufficient information about the amendments. [ICH]
drug’s pharmacokinetics and Phase 5 studies. Postmarketing surveillance
pharmacological effects should be obtained is sometimes referred to as Phase 5. protocol amendment. A written description
to permit the design of well-controlled, of a change(s) to or formal clarification of a
scientifically valid, Phase 2 studies. The placebo. A pharmaceutical preparation that protocol. [ICH]
total number of subjects and patients contains no active agent. In blinded
included in Phase 1 studies varies with the studies, it is generally made to look just protocol approval. This marks completion of
drug, but is generally in the range of 20 to like the active product. protocol development. The signature of the
80. Phase 1 studies also include studies of last reviewer on the protocol approval form
drug metabolism, structure-activity population. Any finite or infinite collection of has been obtained and signifies that all
relationships, and mechanism of action in subjects from which a sample is drawn for reviewer changes to the protocol have been
humans, as well as studies in which a study to obtain estimates for values that incorporated.
investigational drugs are used as research would be obtained if the entire population
tools to explore biological phenomena or were sampled. [AMA] qualitative variable. One that cannot be
disease processes. [FDA] measured on a continuum and represented
postmarketing surveillance. Ongoing safety in quantitative relation to a scale (race or
Phase 2. Controlled clinical studies monitoring of marketed drugs. See Phase 4 sex, for example). Data that fit into discrete
conducted to evaluate the effectiveness of studies, Phase 5 studies. categories according to their attributes.
the drug for a particular indication or
indications in patients with the disease or pragmatic trial. Term used to describe a quality assurance (QA). All those planned
condition under study and to determine the clinical study designed to examine the and systematic actions that are established
common short-term side effects and risks benefits of a product under real world to ensure that the trial is performed and
associated with the drug. Phase 2 studies conditions. the data are generated, documented
are typically well controlled, closely (recorded), and reported in compliance with
preclinical studies. Animal studies that good clinical practice (GCP) and the
monitored, and conducted in a relatively
support Phase 1 safety and tolerance applicable regulatory requirement(s). [ICH]
small number of patients, usually involving
studies and must comply with good
no more than several hundred subjects.
laboratory practice (GLP). Data about a quality control (QC). The operational
[FDA]
drug’s activities and effects in animals help techniques and activities undertaken within
Phase 3. Studies are expanded controlled establish boundaries for safe use of the the quality assurance system to verify that
and uncontrolled trials. They are performed drug in subsequent human testing (clinical the requirements for quality of the trial-
after preliminary evidence suggesting studies or trials). Because many animals related activities have been fulfilled. [ICH]
effectiveness of the drug has been have much shorter life spans than humans,
preclinical studies can provide valuable quantitative variable. One that can be
obtained, and are intended to gather the
information about a drug’s possible toxic measured (blood pressure, for example)
additional information about effectiveness
effects over an animal’s life cycle and on its and reported numerically, such as
and safety that is needed to evaluate the
offspring. continuous data or counts.
overall benefit-risk relationship of the drug
and to provide an adequate basis for
primary variable. An outcome variable of query. Request from a sponsor or sponsor’s
physician labeling. Phase 3 studies usually
interest in the trial. Differences in the representative to an investigator to resolve
include from several hundred to several
outcome variable(s) between groups of an error or inconsistency discovered during

46 APPLIED CLINICAL TRIALS actmagazine.com December 2003


data review. Request for clarification on a must be recruited as candidates for the product and may be assessed by
data item collected for a clinical trial. enrollment into a study to meet the laboratory testing of biological samples,
requirements of the protocol. In multicenter special tests and procedures, psychiatric
query management. Ongoing process of studies, each investigator has a recruitment evaluation, and/or physical examination of
data review, discrepancy generation, and target. subjects.
resolving errors and inconsistencies that
arise in the entry and transcription of regulatory authorities. Bodies having the safety and tolerability. The safety of a
clinical trial data. power to regulate. In the ICH GCP guideline medical product concerns the medical risk
the term includes the authorities that review to the subject, usually assessed in a
query resolution. The closure of a query submitted clinical data and those that conduct clinical trial by laboratory tests (including
based on information contained in a data inspections. These bodies are sometimes clinical chemistry and hematology), vital
clarification referred to as competent authorities. [ICH] signs, clinical adverse events (diseases,
Synonym: regulatory agencies. signs and symptoms), and other special
random allocation. Assignment of subjects safety tests (e.g., ECGs, ophthalmology).
to treatment (or control) groups in an replacement. The act of enrolling a clinical The tolerability of the medical product
unpredictable way. Assignment sequences trial subject to compensate for the withdrawal represents the degree to which overt
are concealed, but available for disclosure of another. adverse effects can be tolerated by the
in the event a subject has an adverse subject. [ICH E9]
experience. representative. See legally acceptable
representative. sample size. The number of subjects in a
random number table. Table of numbers clinical trial; number of subjects required
with no apparent pattern used in the research hypothesis. The research hypothesis for primary analysis. Subset of a larger
selection of random samples for clinical is the conclusion a study sets out to support population, selected for investigation to
trials. (or disprove); for example, “blood pressure will draw conclusions or make estimates about
be lowered by [specific endpoint] in subjects the larger population.
random sample. Members of a population who receive the test product.” See also null
selected by a method designed to ensure hypothesis. sample size adjustment. An interim check
that each person in the target group has an conducted on blinded data to validate the
equal chance of selection. result synopsis. The brief report prepared by sample size calculations or re-evaluate the
biostatisticians summarizing primary (and sample size.
randomization. The process of assigning secondary) efficacy results and key
trial subjects to treatment or control groups demographic information. screen/screening (of substances). Screening
using an element of chance to determine is the process by which substances are
the assignments in order to reduce bias. retrospective. Entry of clinical trial data is evaluated in a battery of tests or assays
[ICH] retrospective when it is recalled from (screens) designed to detect a specific
memory rather than accomplished biological property or activity. It can be
raw data. Researcher’s records of contemporaneously in real-time. Such conducted on a random basis in which
subjects/patients, such as medical charts, retrospective entry is subject to “recall substances are tested without any
hospital records, X-rays, and attending bias”, which includes various differences PREselection criteria or on a targeted basis
physician’s notes. These records may or may that have been documented in in which information on a substance with
not accompany an application to a Regulatory psychological research between known activity and structure is used as a
Authority, but must be kept in the researcher’s contemporaneous self-reported basis for selecting other similar substances
file. [SQA/CDISC] assessments and those that rely on on which to run the battery of tests. [SQA]
memory.
recruitment (investigators). Process used by screening (of potential subjects). Active
sponsors to select investigators for a clinical risk. In clinical trials, the probability of consideration of potential subjects for
study. harm or discomfort for subjects. Acceptable enrollment in a trial. Screening failures are
risk differs depending on the condition for potential subjects who did not meet one or
recruitment (subjects). Process used by which a product is being tested. A product more of the inclusion criteria (screens)
investigators to enroll appropriate subjects for sore throat, for example, will be required to be eligible to participate.
(those selected on the basis of the protocol’s expected to have a low incidence of side
inclusion and exclusion criteria) into a clinical effects. However, unpleasant side effects screening (of sites). Determining the
study. may be an acceptable risk when testing a suitability of an investigative site and
promising treatment for a life-threatening personnel to participate in a clinical trial.
recruitment period. Time period during which illness.
subjects are or are planned to be enrolled in a screening trials. Trials that test the best way
clinical trial. safety. Relative freedom from harm. In to detect certain diseases or health
clinical trials, this refers to an absence of conditions.
recruitment target. Number of subjects that harmful side effects resulting from use of

December 2003 actmagazine.com APPLIED CLINICAL TRIALS 47


script. A program or a sequence of single-masked study. See single-blind study. standard of care. Treatment regimen or
instructions that are interpreted or carried medical management based on state-of-the
out by another program. software. Computer programs, procedures, art patient care.
rules, and any associated documentation
search engine. An online service that pertaining to the operation of a system. standard operating procedures (SOPs).
compares your search criteria with its Detailed, written instructions to achieve
database of information about the Internet source data. All information in original uniformity of the performance of a specific
and displays the results. records and certified copies of original function. [ICH]
records of clinical findings, observations, or
secondary variable. The primary outcome is other activities in a clinical trial necessary standard treatment. A treatment currently in
the outcome of greatest importance. Data for the reconstruction and evaluation of the wide use and approved by the FDA or other
on secondary outcomes are used to trial. Source data are contained in source health authority, considered to be effective
evaluate additional effects of the documents (original records or certified in the treatment of a specific disease or
intervention. copies). [ICH] condition.

self-evident change. A data discrepancy that source documents. Original documents, statistical analysis plan. A statistical analysis
can be easily and obviously resolved on the data, and records (e.g., hospital records, plan is a document that contains a more
basis of existing information on the CRF, clinical and office charts, laboratory notes, technical and detailed elaboration of the
e.g., obvious spelling errors or the patient memoranda, subjects’ diaries or evaluation principal features of the analysis described
is male and a date of last pregnancy is checklists, pharmacy dispensing records, in the protocol, and includes detailed
provided. recorded data from automated instruments, procedures for executing the statistical
copies or transcriptions certified after analysis of the primary and secondary
serious adverse event (SAE) or serious verification as being accurate copies, variables and other data. [ICH E9]
adverse drug reaction (serious ADR). Any microfiches, photographic negatives,
untoward medical occurrence that at any microfilm or magnetic media, x-rays, subject statistical significance. State that applies
dose: results in death, is life threatening, files, and records kept at the pharmacy, at when a hypothesis is rejected. Whether or
requires inpatient hospitalization or the laboratories and at medico-technical not a given result is significant depends on
prolongation of existing hospitalization, departments involved in the clinical trial). the significance level adopted. For example,
results in persistent or significant [ICH] one may say “significant at the 5% level”.
disability/incapacity, or is a congenital This implies that a level of significance has
anomaly/birth defect. [ICH] See also been applied such that when the null
sponsor. An individual, company, institution,
adverse experience. hypothesis is true there is only a 1 in 20
or organization that takes responsibility for
chance of rejecting it or that the observed
serious adverse experience. Any experience the initiation, management, and/or
result has led to rejection of the null
that suggests a significant hazard, contra- financing of a clinical trial. [ICH] A
hypothesis.
indication, side effect or precaution. [Nordic corporation or agency whose employees
Guidelines for Good Clinical Trial Practice] conduct the investigation is considered a stochastic. Involving a random variable;
See also serious adverse event. sponsor and the employees are considered involving chance or probability.
investigators. [21 CFR 50.3]
server. A computer program that provides stopping rules. A statistical criterion that,
services to other computer programs in the sponsor-investigator. An individual who both when met by the accumulating data,
same or other computers. See also Web initiates and conducts, alone or with indicates that the trial can or should be
server. others, a clinical trial, and under whose stopped early to avoid putting participants at
immediate direction the investigational risk unnecessarily or because the
side effects. Any undesired actions or product is administered to, dispensed to, intervention effect is so great that further
effects of a drug or treatment. Negative or or used by a subject. The term does not data collection is unnecessary.
adverse effects may include headache, include any person other than an individual
nausea, hair loss, skin irritation, or other (e.g., it does not include a corporation or study coordinator. See clinical research
physical problems. Experimental drugs an agency). The obligations of a sponsor- coordinator.
must be evaluated for both immediate and investigator include both those of a
long-term side effects. See also adverse sponsor and those of an investigator [ICH]. study design. Plan for the precise procedure
reaction. Under FDA regulations, the term does not to be followed in a clinical trial, including
include any person other than an individual, planned and actual timing of events, choice
single-blind study. A study in which one e.g., corporation or agency. [21 CFR 50.3f] of control group, method of allocating
party, either the investigator or the subject, treatments, blinding methods; it assigns a
does not know which medication or placebo standard deviation. Indicator of the relative subject to pass through one or more epochs
is administered to the subject; also called variability of a variable around its mean; the in the course of a trial. Specific design
single-masked study. See also blind and square root of the variance. elements, e.g., crossover, parallel; dose-
double-blind study. escalation.

48 APPLIED CLINICAL TRIALS actmagazine.com December 2003


study protocol. See protocol. sells software applications and/or hardware unblinding. Identification of the treatment
for use in conducting clinical trials and/or code of a subject or grouped results in
study. See clinical trial. in analyzing clinical trial data and or studies where the treatment assignment is
submitting clinical trial information for unknown to the subject and investigators.
sub-investigator. Any individual member of regulatory approval. Synonym: vendor.
the clinical trial team designated and unequal randomization. A technique used to
supervised by the investigator at a trial site termination (of subject). Now considered allocate subjects into groups at a
to perform critical trial-related procedures nonstandard. See discontinuation. differential rate; for example, three
and/or to make important trial-related subjects may be assigned to a treatment
decisions (e.g., associates, residents, transcription. Process of transforming group for every one assigned to the control
research fellows). [ICH] See also investigator. dictated or otherwise documented group. See also balanced study.
information into an electronic format. [HL7]
subject identification code. A unique unexpected adverse drug reaction. An
identifier assigned by the investigator to treatment effect. An effect attributed to a adverse reaction, the nature or severity of
each trial subject to protect the subject’s treatment in a clinical trial. In most clinical which is not consistent with the applicable
identity and used in lieu of the subject’s trials the treatment effect of interest is a product information (e.g., investigator’s
name when the investigator reports adverse comparison (or contrast) of two or more brochure for an unapproved investigational
events and/or other trial-related data. [ICH] treatments. [ICH E9] product or package insert/summary of
product characteristics for an approved
subject/trial subject. An individual who treatment-emergent adverse event. An event product). [ICH] See also adverse drug
participates in a clinical trial, either as that emerges during treatment, having been reaction.
recipient of the investigational product(s) or absent pretreatment, or worsens relative to
as a control. [ICH] See also healthy the pretreatment state. [ICH E9] uniform resource locator (URL). Address of
volunteer, human subject. a Web page—actmagazine.com, for
trial coordinator. See clinical research example.
superiority trial. A trial with the primary coordinator.
objective of showing that the response to validation of data. Procedure carried out to
the investigational product is superior to a trial site. The location(s) where trial-related ensure that the data contained in the final
comparative agent (active or placebo activities are actually conducted. [ICH] clinical trial report match original
control). [ICH E9] observations.
trial statistician. A statistician who has a
surrogate marker. A measurement of a combination of education/training and validity. The accuracy of the relationship
drug’s biological activity that substitutes for experience sufficient to implement the between two or more variables.
a clinical endpoint such as death or pain principles in the ICH E9 guidance and who
relief. is responsible for the statistical aspects of variable. Any quantity that varies; any
the trial. [ICH E9] attribute, phenomenon, or event that can
surrogate variable. A variable that provides have different qualitative or quantitative
an indirect measurement of effect in triple-blind study. A study in which values. Usually a form of metadata goes
situations where direct measurement of knowledge of the treatment assignment(s) with the variable, a variable definition
clinical effect is not feasible or practical. is concealed from the people who organize describes what is varying, and the variable
[ICH E9] and analyze the data of a study as well as has a value. NOTE: In the context of a
from subjects and investigators. protocol, variables pertain to the study.
system. People, machines, software, Variable is an enveloping term that includes
applications and/or methods organized to t-test. A statistical test used to compare specific subtypes used in clinical research.
accomplish a set of specific functions or the means of two groups of test data. “Study variable” is a term used in trial design
objectives. [FDA / ANSI] to denote a characteristic to be captured on
Type 1 (or Type I) error. Error made when a the CRF. An “assessment” is a study variable
target enrollment. The number of subjects null hypothesis is rejected but is actually pertaining to the status of a subject.
in a class or group (including the total for true. Synonym: false positive. Assessments are usually measured at a
the entire trial) intended to be enrolled in a certain time, and usually are not compounded
trial to reach the planned sample size. Type 2 (or Type II) error. Error made when an
significantly by combining several
Target enrollments are set so that alternative hypothesis is rejected when it is
simultaneous measurements to form a
statistical and scientific objectives of a trial actually true. Synonym: false negative.
derived assessment (e.g. BMI) or a result of
will have a likelihood of being met as statistical analysis. An “endpoint” is a variable
determined by agreement, algorithm or Type 3 (or Type III) error. Some statisticians
that pertains to the trial objectives. Not all
other specified process. use this designation for an error made
endpoints are themselves assessments since
when calling the less effective treatment
certain endpoints might apply to populations
technology provider. Person, company, or the more effective one.
or emerge from analysis of results. That is,
other entity who develops, produces, and

December 2003 actmagazine.com APPLIED CLINICAL TRIALS 49


the responsible party to take appropriate
Ethics Committees and prompt action to correct and prevent
Bodies convened to protect human clinical research subjects work under a variety any future repeat of the violation may result
of other names. For convenience and consistency, Applied Clinical Trials generally in administrative and/or regulatory
uses the terms institutional review board and ethics committee. Other names and enforcement action without further notice.
abbreviations for such bodies are shown below. [FDA]

CCI committee on clinical investigations washout period. A period in a clinical study


CCPPRB Comité Consultative pour la Protection des Personnes dans les during which subjects receive no treatment
Recherches Biomédicales (France) for the indication under study and the
CHR committee on human research effects of a previous treatment are
eliminated (or assumed to be eliminated).
CPPHS committee for the protection of human subjects
CRB central review board web browser. A computer program that
EAB ethical advisory board interprets HTML and other Internet
EC ethics committee languages and protocols and displays Web
pages on your computer monitor.
HEX human experimentation committee
HSRC human subjects review committee web page. A single page on a Web site,
IEC independent ethics committee such as a home page.
IRB independent review board; institutional review board
web server. A computer program that
LREC local research ethics committees (UK) delivers HTML pages or files. Sometimes
MREC multicentre research ethics committees (UK) the computer on which a server program
NIRB noninstitutional review board runs is also referred to as a server.
NRB noninstitutional review board, also known as an independent review board
web site. A collection of Web pages and
REB research ethics board (Canada) other files. A site can consist of a single
Web page, thousands of pages, or custom-
created pages that draw on a database
endpoints might be facts about assessments vulnerable subjects. Individuals whose
associated with the site.
(e.g. prolongation of survival). When a willingness to volunteer in a clinical trial
“variable” is captured or measured, there is no may be unduly influenced by the
weighting. An adjustment in a value based
necessary sense that any evaluation or expectation, whether justified or not, of
on scientific observations within the data.
judgment is involved. However, when a benefits associated with participation, or of
variable is to be measured that obviously or a retaliatory response from senior well-being (of the trial subjects). The
actively pertains to subject status, which is members of a hierarchy in case of refusal physical and mental integrity of the
always the concern of the physician, that to participate. Examples are members of a subjects participating in a clinical trial.
variable becomes or will always be an group with a hierarchical structure, such as [ICH]
assessment. The term assessment is intended medical, pharmacy, dental and nursing
to invoke some degree of evaluation or students, subordinate hospital and withdrawal. The act of reducing the degree
judgment concerning subject status. See also laboratory personnel, employees of the of participation by a subject in a clinical
primary variable, secondary variable, pharmaceutical industry, members of the trial. Subjects may withdraw permission for
supporting variable. armed forces, and persons kept in Sponsor use of data derived from study
detention. Other vulnerable subjects participation, privacy waivers, informed
variance. A measure of the variability in a include patients with incurable diseases, consent, or withdraw from active treatment
sample or population. It is calculated as persons in nursing homes, unemployed or component of a clinical trial but continue to
the mean squared deviation (MSD) of the impoverished persons, patients in be observed. Full withdrawal from
individual values from their common mean. emergency situations, ethnic minority participation in a study is called
In calculating the MSD, the divisor n is groups, homeless persons, nomads, discontinuation.
commonly used for a population variance refugees, minors, and those incapable of
and the divisor n-1 for a sample variance. giving consent. [ICH] within-subject differences. In a crossover
trial, variability in each subject is used to
visit. A clinical encounter for a subject in a Warning Letter. A written communication assess treatment differences.
trial. Visits are frequently referred to as from FDA notifying an individual or firm that
occurring on Day X or during Week Y; there the agency considers one or more World Wide Web. All the resources and
may be gaps between visits, which can take products, practices, processes, or other users on the Internet that are using HTTP
place within an epoch or span an epoch. activities to be in violation of the Federal protocols. Also called the Web and www.
FD&C Act, or other acts, and that failure of

50 APPLIED CLINICAL TRIALS actmagazine.com December 2003

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