Issue Categories & Sub Categories

You may identify safety, protocol implementation, or other issues during a monitoring visit or between visits. When this happens, you need to document those issues, either as Protocol Deviations or Observations.

  • Protocol Deviation - something that breaks the protocol standards.
  • Observation - something that should be checked, but is not a direct violation of protocol.

When you create a protocol deviation or observation, you will specify a category and sub category for the issue. This table shows the categories and sub categories available in Veeva Clinical Basics: CTMS.

CategorySub Category
SafetyFailure to withdraw participant meeting discontinuation criteria
SafetySafety event not reported to IRB per policy
SafetySafety event not reported within protocol-defined timelines
Informed ConsentConsent form or process has insufficient documentation
Informed ConsentConsent form signed by participant was not current approved version
Informed ConsentFailure to obtain informed consent prior to study-specific procedures
Informed ConsentFailure to obtain reconsent
Eligibility CriteriaParticipant enrolled did not meet all inclusion criteria
Eligibility CriteriaParticipant enrolled met one or more exclusion criteria
Protocol ImplementationEnrollment prior to IRB approval of protocol
Protocol ImplementationGCP violation
Protocol ImplementationIncorrect or incomplete IRT / enrollment process
Protocol ImplementationMissed assessment
Protocol ImplementationMissed visit
Protocol ImplementationParticipant seen outside of visit window
Protocol ImplementationRegulatory or training documentation missing
Protocol ImplementationUse of prohibited medication or interventions
Protocol ImplementationVisit / Procedure / Assessment not performed as defined in the protocol or supporting study documents
Investigational ProductDosing compliance issue noted
Investigational ProductFailure to return IP by participant
Investigational ProductImproper storage, handling, or dispensing of IP
Investigational ProductIP documentation insufficiency
Investigational ProductParticipant received incorrect IP / dose
Investigational ProductUse / dispensing of damaged or expired IP