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DSMB Audit

ENSURING DSMB
INTEGRITY: A GUIDE FOR
CLINICAL TRIAL
PROFESSIONALS


Written from the perspective of an experienced independent auditor,
Ethical’s DSMB Audit Guide provides many useful instructions on how to plan,
conduct, and evaluate DSMB processes to ensure integrity, transparency, and GCP compliance.

Sponsors are encouraged to conduct internal audits in order to be inspection-ready.

Key Elements of DSMB Inspection Readiness

The Audit Guide emphasizes that clear governance and documentation are the foundation of trustworthy DSMB operations. Among the critical points auditors examine are:

The DSMB Charter

A living document defining roles, responsibilities, governance rules, and decision-making processes. Its adequacy and timely approval are essential.

Independence and competency

Auditors assess DSMB member qualifications, financial disclosures, and safeguards against sponsor influence.

Data protection and confidentiality

Proper handling of patient data, images, and ECGs in line with GDPR and equivalent laws.

Documentation and decision-making

Complete records of agendas, votes, minutes, and sponsor feedback must be maintained for inspection readiness.

Safeguards for unblinding

Ensuring trial teams remain blinded while DSMBs review safety data.

The guide also covers practical aspects such as how to verify computerized systems supporting DSMB operations (e.g., eDSMB®), validate processes, and ensure secure long-term record retention.

Timing and Planning Audits

The recommended timing for an internal DSMB audit is when 30–40% of patients are randomized and at least two to three DSMB meetings have taken place. This ensures enough data exists to evaluate processes, while still leaving room for corrective actions. The guide also outlines how to prepare Audit Plans, coordinate with DSMB leadership, and identify “Critical to Quality Factors” to focus on during the review.

Who Should Read This Guide

Whether you’re a sponsor, auditor, DSMB member, or QA professional, this guide equips you with the tools to:

  • Strengthen DSMB governance and independence
  • Anticipate inspector expectations
  • Ensure audits deliver actionable insights
  • Protect both trial integrity and patient safety

Download the Guide

Auditing DSMBs is not a box-ticking exercise — It’s a cornerstone of ethical, high-quality clinical research. This guide, authored by Dr. Beat Widler, Head of Quality Assurance at Ethical GmbH, distills 25+ years of global experience into a practical roadmap for DSMB oversight.

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