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NIH Collaboratory
Living Textbook of
Pragmatic Clinical Trials

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Rethinking Clinical Trials

A Living Textbook of Pragmatic Clinical Trials

  • Design
    • What is a Pragmatic Clinical Trial?
    • Decentralized Pragmatic Clinical Trials
    • Developing a Compelling Grant Application
    • Experimental Designs and Randomization Schemes
    • Endpoints and Outcomes
    • Analysis Plan
    • Using Electronic Health Record Data
    • Building Partnerships and Teams to Ensure a Successful Trial
    • Intervention Delivery and Complexity
    • Patient Engagement
  • Data, Tools & Conduct
    • Assessing Feasibility
    • Acquiring Real-World Data
    • Assessing Fitness-for-Use of Real-World Data
    • Study Startup
    • Participant Recruitment
    • Monitoring Intervention Fidelity and Adaptations
    • Patient-Reported Outcomes
    • Clinical Decision Support
    • Mobile Health
    • Electronic Health Records–Based Phenotyping
    • Navigating the Unknown
  • Dissemination & Implementation
    • Data Sharing and Embedded Research
    • Dissemination Approaches for Different Audiences
    • Implementation
    • End-of-Trial Decision-Making
  • Ethics & Regulatory
    • Privacy Considerations
    • Identifying Those Engaged in Research
    • Collateral Findings
    • Consent, Disclosure, and Non-Disclosure
    • Data and Safety Monitoring
    • Ethical Considerations of Data Sharing in Pragmatic Clinical Trials
    • Ethics for AI and ML
    • IRB Responsibilities and Procedures

Monitoring Protocol Adherence

CHAPTER SECTIONS

Data and Safety Monitoring


Section 3

Monitoring Protocol Adherence

Expand Contributors

Stephanie Morain, PhD
Pearl O’Rourke, MD
Susan Ellenberg, PhD
Jeremy Sugarman, MD, MPH, MA
Doug Zatzick, MD

Contributing Editors

Damon M. Seils, MA
Gina Uhlenbrauck
Liz Wing, MA

Although the primary responsibility of a DSMB is to help ensure that study participants are not unduly harmed, DSMBs also have a secondary responsibility to help ensure the integrity of the trial. Ensuring a trial's integrity helps promote the likelihood that it will yield valid data that can inform clinical practice and policy decision making (Ellenberg et al 2015; Friedman and Schron 2011).

One key issue for integrity relates to trial adherence, or the degree to which the behavior of trial participants corresponds to their assigned intervention. Issues with protocol adherence can present a range of challenges for a trial's integrity, complicating statistical analyses and confounding the ability to derive scientific conclusions (Robiner 2005).

How, if at all, do these considerations change when applied to a pragmatic clinical trial? Recall that pragmatic trials permit greater flexibility in adherence than do traditional explanatory trials, as their objective is to evaluate the effects of a treatment in a real-world context. Nevertheless, monitoring for adherence is critical in a pragmatic trial for at least 3 reasons. First, data about adherence can inform assessments of treatment effects, including whether a trial that finds no difference between study interventions in the primary outcome is more likely to indicate true equivalence rather than high rates of nonadherence (Ellenberg et al 2015). Second, information regarding adherence to treatment may itself be considered a relevant finding, providing information about the likely use under real-world conditions—such as, for example, if nonadherence results from participants perceiving the cost, convenience, or other aspects of their assigned treatment to be problematic (Ellenberg et al 2015). Third, it is important to understand the impact of potential changes in clinical care within the participating healthcare delivery systems during the conduct of the clinical trial.

Previous Section Next Section

SECTIONS

CHAPTER SECTIONS

sections

  1. Introduction
  2. Which Pragmatic Trials Should Have a DSMB?
  3. Monitoring Protocol Adherence
  4. Data Issues With Monitoring Pragmatic Trials
  5. Monitoring for Serious Adverse Events
  6. Decisions About Early Termination
  7. Additional Resources

Resources

Data Monitoring in Pragmatic Clinical Trials: Points to Consider
Resource from the NIH Pragmatic Trials Collaboratory

REFERENCES

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Ellenberg SS, Culbertson R, Gillen DL, Goodman S, Schrandt S, Zirkle M. 2015. Data monitoring committees for pragmatic clinical trials. Clin Trials. 12(5):530-6. doi: 10.1177/1740774515597697. Epub 2015 Sep 15. PMID: 26374679.

Friedman LM, Schron EB. 2011. Data and safety monitoring boards. In: Emanuel EJ, Grady CC, Crouch RA, Lie RK, Miller FG, Wendler DD, editors. The Oxford Textbook of Clinical Research Ethics. New York, NY: Oxford University Press.

Robiner WN. 2005. Enhancing adherence in clinical research. Contemp Clin Trials. 26(1):59-77. doi: 10.1016/j.cct.2004.11.015. Epub 2005 Jan 27. PMID: 15837453.

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Version History

August 16, 2023

current section :

Monitoring Protocol Adherence

  1. Introduction
  2. Which Pragmatic Trials Should Have a DSMB?
  3. Monitoring Protocol Adherence
  4. Data Issues With Monitoring Pragmatic Trials
  5. Monitoring for Serious Adverse Events
  6. Decisions About Early Termination
  7. Additional Resources

Citation:

Data and Safety Monitoring: Monitoring Protocol Adherence. In: Rethinking Clinical Trials: A Living Textbook of Pragmatic Clinical Trials. Bethesda, MD: NIH Pragmatic Trials Collaboratory. Available at: https://rethinkingclinicaltrials.org/chapters/ethics-and-regulatory/data-and-safety-monitoring/monitoring-protocol-adherence-2/. Updated July 9, 2025. DOI: 10.28929/224.

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