Use of Electronic Health Record Data in Clinical Investigations Guidance for Industry1
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Use of Electronic Health Record Data in Clinical Investigations Guidance for Industry U.S. Department of Health and Human Services Food and Drug Administration Center for Drug Evaluation and Research (CDER) Center for Biologics Evaluation and Research (CBER) Center for Devices and Radiological Health (CDRH) July 2018 Procedural Use of Electronic Health Record Data in Clinical Investigations Guidance for Industry Additional copies are available from: Office of Communications, Division of Drug Information Center for Drug Evaluation and Research Food and Drug Administration 10001 New Hampshire Ave., Hillandale Bldg., 4th Floor Silver Spring, MD 20993-0002 Phone: 855-543-3784 or 301-796-3400; Fax: 301-431-6353 Email: [email protected] https://www.fda.gov/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/default.htm and/or Office of Communication, Outreach and Development Center for Biologics Evaluation and Research Food and Drug Administration 10903 New Hampshire Ave., Bldg. 71, Room 3128 Silver Spring, MD 20993-0002 Phone: 800-835-4709 or 240-402-8010 Email: [email protected] https://www.fda.gov/BiologicsBloodVaccines/GuidanceComplianceRegulatoryInformation/Guidances/default.htm and/or Office of Communication and Education CDRH-Division of Industry and Consumer Education Center for Devices and Radiological Health Food and Drug Administration 10903 New Hampshire Ave., Bldg. 66, Room 4621 Silver Spring, MD 20993-0002 Phone: 800-638-2041 or 301-796-7100; Fax: 301-847-8149 Email: [email protected] https://www.fda.gov/MedicalDevices/DeviceRegulationandGuidance/GuidanceDocuments/default.htm U.S. Department of Health and Human Services Food and Drug Administration Center for Drug Evaluation and Research (CDER) Center for Biologics Evaluation and Research (CBER) Center for Devices and Radiological Health (CDRH) July 2018 Procedural Contains Nonbinding Recommendations TABLE OF CONTENTS I. INTRODUCTION............................................................................................................. 1 II. SCOPE ............................................................................................................................... 2 III. BACKGROUND ............................................................................................................... 4 IV. INTEROPERABILITY AND INTEGRATION OF SYSTEMS .................................. 4 A. Data Standards ............................................................................................................................... 5 B. Structured and Unstructured Data .............................................................................................. 5 C. Validation ....................................................................................................................................... 6 D. Data From Multiple EHR Systems ............................................................................................... 6 V. BEST PRACTICES FOR USING EHRs IN CLINICAL INVESTIGATIONS ......... 6 A. Use of Health Information Technology Certified by ONC......................................................... 7 B. Use of EHR Systems Not Certified by ONC ................................................................................ 7 C. eSource Principles for EHRs ......................................................................................................... 8 1. Data Originator ............................................................................................................................... 8 2. Data Modifications .......................................................................................................................... 9 D. Blinded Study Designs ................................................................................................................... 9 E. Informed Consent .......................................................................................................................... 9 VI. INSPECTION, RECORDKEEPING, AND RECORD RETENTION REQUIREMENTS ...................................................................................................................... 10 GLOSSARY................................................................................................................................. 11 Contains Nonbinding Recommendations Use of Electronic Health Record Data in Clinical Investigations Guidance for Industry1 This guidance represents the current thinking of the Food and Drug Administration (FDA or Agency) on this topic. It does not establish any rights for any person and is not binding on FDA or the public. You can use an alternative approach if it satisfies the requirements of the applicable statutes and regulations. To discuss an alternative approach, contact the FDA office responsible for this guidance as listed on the title page. I. INTRODUCTION This guidance is intended to assist sponsors, clinical investigators, contract research organizations, institutional review boards (IRBs), and other interested parties on the use of electronic health record data in FDA-regulated clinical investigations.2 For the purposes of this guidance, electronic health record (EHR) systems3are electronic platforms that contain individual health records for patients. EHR systems are generally maintained by health care providers, health care organizations, and health care institutions and are used to deliver care. EHR systems can be used to integrate real-time electronic health care information from medical devices and multiple health care providers involved in the care of patients. For the purposes of this guidance, an EHR is an individual patient record contained within the EHR system. A typical individual EHR may include a patient’s medical history, diagnoses, treatment plans, immunization dates, allergies, radiology images, pharmacy records, and laboratory and test results. This guidance uses broad definitions of EHRs and EHR systems to be inclusive of many different types of EHRs and EHR systems.4 1 This guidance has been prepared by the Office of Medical Policy and the Office of Translational Sciences in the Center for Drug Evaluation and Research in cooperation with the Center for Biologics Evaluation and Research and the Center for Devices and Radiological Health at the Food and Drug Administration. This guidance was developed in consultation with the Office of the National Coordinator for Health Information Technology (ONC) at the Department of Health and Human Services (HHS). 2 For FDA’s regulatory definitions of a clinical investigation, see 21 CFR 50.3(c), 56.102(c), and 312.3(b). For FDA’s regulatory definition of an investigation, see 21 CFR 812.3(h). 3 See the Glossary for definitions and usage of specific terms used throughout this guidance. Words and phrases in bold italics are defined in the Glossary. 4 We note that this definition of EHRs may not be consistent with the definition for EHRs published in other guidance documents. 1 Contains Nonbinding Recommendations This guidance provides recommendations on: Deciding whether and how to use EHRs as a source of data in clinical investigations Using EHR systems that are interoperable with electronic data capture (EDC) systems in clinical investigations Ensuring the quality and integrity of EHR data collected and used as electronic source data in clinical investigations Ensuring that the use of EHR data collected and used as electronic source data in clinical investigations meets FDA’s inspection, recordkeeping, and record retention requirements5 In an effort to modernize and streamline clinical investigations, the goals of this guidance are to: Facilitate the use of EHR data in clinical investigations Promote the interoperability of EHR and EDC systems In general, FDA’s guidance documents do not establish legally enforceable responsibilities. Instead, guidances describe the Agency’s current thinking on a topic and should be viewed only as recommendations, unless specific regulatory or statutory requirements are cited. The use of the word should in Agency guidances means that something is suggested or recommended, but not required. II. SCOPE The recommendations outlined in this guidance apply to the use of EHR data in: Prospective clinical investigations of human drugs and biological products, medical devices, and combination products, including clinical investigations conducted in clinical practice settings6 5 For inspection requirements and principal recordkeeping requirements for clinical investigators who develop human drugs and biological products, see 21 CFR 312.62 and 312.68. For medical devices, see 21 CFR 812.140 and 812.145. 6Conclusions about the risks and benefits of medical products drawn from data, including EHR data, collected in routine clinical practice settings (i.e., outside of typical clinical research settings) are sometimes referred to as real world evidence. Such conclusions may be used to inform regulatory decision making, specifically in the approval of new indications for approved drugs and to satisfy post-approval study requirements. This guidance, which is intended to assist interested parties on the use of EHR data in FDA-regulated clinical investigations, satisfies, in part, the mandate under the 21st Century Cures Act (Cures Act) (Public Law 114-255) to issue guidance about the use of real world evidence in regulatory decision making. See Section 3022 of the Cures Act. See also 21 U.S.C. 2 Contains Nonbinding Recommendations Foreign clinical studies not conducted under