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Difference between monitoring and audit
Mahalakshmi G
M.Pharm., Ph.D
013/012023
5/5/2023
www.clinosol.com | follow us on social media
@clinosolresearch
1
Index
• What is monitoring?
• What is audit?
• Difference between monitoring and audit
5/5/2023
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@clinosolresearch
2
Audit
Monitoring is the act of overseeing the progress of a clinical trial, and ensuring that it is
conducted, recorded, and reported in accordance with the protocol, Standard Operating
Procedures (SOPs), Good Clinical Practice (GCP), and the applicable regulatory requirements.
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@clinosolresearch
3
Monitoring
Systematic and independent examination of trial related activities and documents to
determine whether the evaluated trial related activities were conducted and the data were
recorded, analyzed and accurately reported according to the Protocol, sponsor sop’s, GCP, and
Applicable regulatory requirements.
Difference between monitoring and audit
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4
Monitoring Audit
The purposes of trial monitoring are to verify that:
(a) The rights and well-being of human subjects are
protected.
(b) The reported trial data are accurate, complete,
verifiable from source documents.
(c) The conduct of the trial is in compliance with the
currently approved
protocol/amendment(s), with GCP, and with the
regulatory
requirement(s).
The purpose of a sponsor's audit, which is
and separate from routine
monitoring or quality control functions, should be to
evaluate trial conduct and compliance with the
SOPs, GCP, and the applicable regulatory
The determination of the extent and the nature of
monitoring should be based on objective, purpose,
complexity, blinding, size and endpoints of the study
It should be conducted with purpose of being
and separate from routine monitoring (quality
functions)
Monitoring is a part of QC process Auditing is associated with QA
Sponsor must appointed trained monitor or CRO to
continuously supervise an ongoing study
Sponsor should perform an audit with respect to
bodies as part of QA system
Cont…
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5
Monitors should be appropriately trained, and
have the scientific and/or clinical knowledge
Auditors are qualified by training and experience
to conduct audits properly
Verifies storage and conditions are acceptable,
supplies are sufficient throughout the trial as per
protocol, returning of the investigational
Verifies documents related with the protocol,
and the applicable regulatory requirements.
The monitor should submit a written report to the
after each trial-site visit or
trial-related communication.
The observations and findings of the auditor(s)
documented
References
• https://database.ich.org/sites/default/files/E6_R2_Addendum.p
df
• https://cdn2.hubspot.net/hub/149400/docs/auditingv
smonitoring.pdf
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@clinosolresearch
6
Thank You!
www.clinosol.com
(India | Canada)
9121151622/623/624
info@clinosol.com
5/5/2023
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@clinosolresearch
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Difference Between Monitoring and Auditing

  • 1. Welcome Difference between monitoring and audit Mahalakshmi G M.Pharm., Ph.D 013/012023 5/5/2023 www.clinosol.com | follow us on social media @clinosolresearch 1
  • 2. Index • What is monitoring? • What is audit? • Difference between monitoring and audit 5/5/2023 www.clinosol.com | follow us on social media @clinosolresearch 2
  • 3. Audit Monitoring is the act of overseeing the progress of a clinical trial, and ensuring that it is conducted, recorded, and reported in accordance with the protocol, Standard Operating Procedures (SOPs), Good Clinical Practice (GCP), and the applicable regulatory requirements. 5/5/2023 www.clinosol.com | follow us on social media @clinosolresearch 3 Monitoring Systematic and independent examination of trial related activities and documents to determine whether the evaluated trial related activities were conducted and the data were recorded, analyzed and accurately reported according to the Protocol, sponsor sop’s, GCP, and Applicable regulatory requirements.
  • 4. Difference between monitoring and audit 5/5/2023 www.clinosol.com | follow us on social media @clinosolresearch 4 Monitoring Audit The purposes of trial monitoring are to verify that: (a) The rights and well-being of human subjects are protected. (b) The reported trial data are accurate, complete, verifiable from source documents. (c) The conduct of the trial is in compliance with the currently approved protocol/amendment(s), with GCP, and with the regulatory requirement(s). The purpose of a sponsor's audit, which is and separate from routine monitoring or quality control functions, should be to evaluate trial conduct and compliance with the SOPs, GCP, and the applicable regulatory The determination of the extent and the nature of monitoring should be based on objective, purpose, complexity, blinding, size and endpoints of the study It should be conducted with purpose of being and separate from routine monitoring (quality functions) Monitoring is a part of QC process Auditing is associated with QA Sponsor must appointed trained monitor or CRO to continuously supervise an ongoing study Sponsor should perform an audit with respect to bodies as part of QA system
  • 5. Cont… 5/5/2023 www.clinosol.com | follow us on social media @clinosolresearch 5 Monitors should be appropriately trained, and have the scientific and/or clinical knowledge Auditors are qualified by training and experience to conduct audits properly Verifies storage and conditions are acceptable, supplies are sufficient throughout the trial as per protocol, returning of the investigational Verifies documents related with the protocol, and the applicable regulatory requirements. The monitor should submit a written report to the after each trial-site visit or trial-related communication. The observations and findings of the auditor(s) documented
  • 7. Thank You! www.clinosol.com (India | Canada) 9121151622/623/624 info@clinosol.com 5/5/2023 www.clinosol.com | follow us on social media @clinosolresearch 7