Competency Framework for Non-Clinical Research Staff

Transcription

1 Birmingham and the Black Country Comprehensive Local Research Network Greater Midlands Cancer Research Network Pan Birmingham Cancer Research Network Competency Framework for Non-Clinical Research Staff VERSION 1.0 [October 2011] (Pilot Version - for revision April 2012) The NIHR Clinical Research Network supports research to make patients, and the NHS, better

2 Acknowledgements This framework has been adapted from clinical research competency frameworks including original work by the North West Stroke Research Network, Pan Birmingham Cancer Research Network, Essex & Hertfordshire Comprehensive Local Research Network, Pan London & Southern Cancer Research Networks and Leslie Gelling and colleagues on behalf of the Clinical Research Nurse Competency Framework Working Group. Its development has been achieved through a series of focus groups, widespread iterative stakeholder circulation and working group input. The commitment and contribution from members of the Birmingham and the Black Country Non-Clinical Research Staff Forum, Greater Midlands Cancer Research Network Data Manager Forum, members of the Working Group and all those who commented on the draft versions of this framework is acknowledged with appreciation. It is the intention that this framework will be reviewed in April 2012 following a 6 month pilot and annually thereafter. Your feedback and comments would therefore be gratefully received. Hannah Reay Lead Research Nurse, BBC CLRN hannah.reay@uhb.nhs.uk October, Birmingham & the Black Country non-clinical research staff forum: Khadijah Afsar Lisa Allen Kirsty Baron Amy Bennett Joanne Buckley-Griffith Richard Cawthraw William Clay Jane Crouch Rebecca Faville Hannah Fould Okdeep Kaur Maxine Lovell Mary O Sullivan Sophie Perks Jane Rogers Davina Scott Lauren Scott Kavitha Shetty Alexander Skinner Audrey Smith Lisa Smith Tammy Smith Sundip Sohanpal Marion Tatman Angie Williams Greater Midlands Cancer Research Network (GMCRN) data manager forum: Susan Hendy Linda Higgins Ron Jones Marian McCormack Simon Shaw Dawn Sirdefield Hazel Spencer Competency Working Group: Kevin Dunn R & D Manager ROHFT Gina Dutton Network Manager PBCRN Jayne Groves Lead Nurse manager BBC CLRN Frances Lloyd Lead Research Nurse SWBH Hannah Reay Lead Research Nurse, BBC CLRN Jackie Sears Lead Nurse PBCRN Hazel Spencer Senior Data Manager GMCRN Phillip Watson-Jones Research Coordinator, UHBFT Linda Webber Research Manager HEFT Angie Williams Data Manager, SWBH

3 Contents Introduction What is competence? How to use this framework Assessment Summary of competencies Essential levels of performance Theme 1: Background to Clinical Research 1A. Guidance and Legislation 1B. Research in the NHS 1C. Study design Assessment Summary Page Theme 2: Study Set-up 2A. Study feasibility & site set-up 2B. NHS permissions process Assessment Summary Theme 3: Study Conduct 3A. Key personnel 3B. Administrative support & study supplies 3C. Consent 3D. Protocol specific requirements 3E. Managing priorities Assessment Summary Theme 4: Data Management 4A. Confidentiality & data protection 4B. Essential documents 4C. Data & CRF completion 4D. Data quality 4E. Safety reporting 4F. Storage & Archiving Assessment Summary Appendix I Templates & Continuation Sheets BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 3 of 50

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5 Introduction This is a competency framework for non-clinical research staff - anyone who contributes to sitebased clinical research teams but who is not clinically qualified and / or does not routinely undertake clinical activities in their research role. Although a number of different formats of clinical research competencies have been developed as yet there is no national consensus of the knowledge, skills and attributes required of the nonclinical staff that support site-based research teams. There appears to be a general lack of clarity about the roles and responsibilities of these members of the team who have titles including data manager, data coordinator, data officer, research administrator and research assistant. Discrepancies can be identified in the job descriptions of support staff who are seemingly undertaking similar roles but who are subject to varying NHS bandings between organisations (ranging from band 3 5 in BBC CLRN region) and who lack a career structure. The purpose of this competency framework is to define the knowledge, skills and attributes of nonclinical research staff in order to enable research staff to: Understand more clearly what is required from them Document their knowledge, skills, attributes and experience Identify learning needs and interests Provide evidence of achievement to support annual appraisals and to promote fair & consistent assessment Demonstrate adherence to Good Clinical Practice (GCP) Recognise the contribution of every member of research team Identify opportunities for personal development, training & career progression What is competence? For the purposes of this document competence is defined as: The ability to demonstrate the application of knowledge, skills, attitudes and behaviours to achieve effective performance in a non-clinical research role A competency is the task or activity which is performed to enable inferences about competence to be made. As an individual acquires knowledge, skills and confidence in their role they are able to demonstrate increasing independence and higher levels of performance. BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 5 of 50

6 How to use this framework The framework consists of four themes within which 16 specific research competencies are defined. The themes are: 1. Background to clinical research 2. Study set-up 3. Study conduct 4. Data management An essential level of performance has been defined for each competency, according to NHS band, which staff are expected to achieve within their first three - six months in post (according to previous experience and banding). The essential levels of performance (at each NHS Agenda for Change band 3 6) define the minimum level of achievement required. They should in no way restrict or deter someone from aiming and achieving a higher level but indicate a common baseline for all non-clinical research roles. The levels of performance are: Aware of competency; understanding of basic principles - Is competent with assistance and supervision - Is competent with supervision - Is competent without assistance / supervision - Is competent and is able to assist / supervise others Each competency is presented with examples of the knowledge, skills and behaviours that will be required for competent performance, and examples of how competence may be demonstrated based on a detailed review of non-clinical roles and responsibilities. However, these are by no means exhaustive and should be used as a guide rather than a mandate. The framework is intended to be sufficiently flexible to be of relevance to staff in a number of different non-clinical research posts. As such it may be necessary to adapt it to meet local needs in particular it may be necessary to amend the knowledge / skills / behaviours or add discrete clinical competencies (such as phlebotomy, laboratory skills or informed consent). Black Competency Forms and Assessment Summaries have been included in the appendix to accommodate this. It should be noted that this framework focuses on core competencies unique to the research role rather than generic knowledge, skills and attributes mandated within wider NHS strategies such as the Knowledge and Skills Framework. There is inevitably some overlap; however whilst effective communication (for example) is fundamental, it is not included as a competence in this framework as it is not unique to this research role. BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 6 of 50

7 Network induction handbooks provide background reading and links to further resources, and the Birmingham Research Training Collaborative (BRTC) offers training opportunities to support the acquisition of each competency. Assessment An assessment framework similar to that proposed in the Competency Framework for Clinical Research Nurses (version 2, October 2011), has been provided to enable the post holder and their mentor / line manager to review and record their current level of performance within each competency and set targets for progression (within and between job roles). Space is provided to record evidence of achievement which may include (but is not limited to): Evidence of everyday performance Questioning / discussion whilst performing activities / during formal reviews Formal Assessment Evidence of attendance & reflection on training Supporting evidence from colleagues, managers, peers or clients Evidence must be: Valid the evidence must relate directly and appropriately to the competency Sufficient the evidence should not be a one off event but must demonstrate consistent achievement Authentic the evidence must be the post holder s own work or demonstrate their significant role in collaborative work Current the evidence must demonstrate currency and should not be solely reliant on work undertaken in the past (but past experience may be cited where relevant) The post holder should collate evidence on an ongoing basis and notify their mentor / line manager when they feel that they have sufficient evidence to demonstrate competence at the pre-agreed level (& within agreed time frames). The mentor / line manager should regularly review the evidence and work with the post holder to set objectives for ongoing development as part of their local personnel review processes. A signature page is provided to enable sign off but this should not deter ongoing review to ensure competence is maintained over time. Space is provided for each competency to record progression through all levels. However, it is not necessary to demonstrate achievement of all competencies at one level before progressing to the next, nor provide evidence of performance at each level below that of current performance. BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 7 of 50

8 Although examples within each competency have been provided as a guide, in general the following broad indicators of performance may be applied: Aware of competency; understanding of basic principles Know of Can discuss briefly with prompting for detail Is competent with assistance and supervision Is competent with supervision Is competent without assistance / supervision Is competent and is able to assist / supervise others Know how Requires assistance to identify and /or perform tasks and activities. Has limited understanding of the rationale or context for tasks / activities Show How Performs tasks and activities. Knowledge and understanding restricted to own role / remit. Direct supervision from mentor/line manager Does Comprehensive knowledge & understanding. Autonomously undertakes tasks and activities including problem solving. Indirect supervision from line manager Does more Expert knowledge with analytical skills. Leadership and management roles. Indirect supervision from line manager BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 8 of 50

9 Summary of Competencies Theme The post-holder is able to... Competence statement 1: BACKGROUND 2: STUDY SET-UP A: Guidance and Legislation B: Research in the NHS C: Study design A: Study feasibility & site set up B: NHS Permissions Process Works within the regulatory frameworks governing clinical research Demonstrate an awareness of the background, political influence and strategy regarding clinical research in the NHS Demonstrate an understanding of the design and development of different types of clinical research studies, especially clinical trials Demonstrate an understanding of how studies and sites are assessed for feasibility and contribute to site set up Identify and discuss the permissions required to conduct research in the NHS A: Key personnel Demonstrate an awareness of the roles and responsibilities of key personnel involved in clinical research 3: STUDY CONDUCT B: Administrative support & study supplies C: Consent D: Protocol-specific requirements Recognise the importance of efficient research administration & undertake administrative tasks including the management of study supplies Demonstrate an understanding of valid informed consent in clinical research and acknowledge their contribution to this ongoing process Demonstrate an understanding of study-specific protocol requirements and implement strategies to facilitate adherence to the schedule of events E: Managing priorities A: Confidentiality & data protection Prioritise tasks within studies and is able to identify and manage priorities between studies Apply the principles of data protection & secure handling of data 4: DATA MANAGEMENT B: Essential documents C: Data & CRF completion D: Data quality E: Safety reporting F: Storage & archiving Identify and appropriately utilise essential documents in the conduct of research studies Demonstrate accurate data capture and Case Report Form completion including timely submission of data Manage data queries and demonstrate an understanding of the role of monitoring, audit and inspection in the maintenance of data quality Demonstrate an understanding of the principles and process of Adverse Event reporting (AEs, SAEs and SUSARs) Apply the principles of secure storage and retention of data / study documentation BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 9 of 50

10 Essential Levels of Performance Aware of competency; understanding of basic principles - Is competent with assistance and supervision - Is competent with supervision - Is competent without assistance/supervision - Is competent and is able to assist / supervise others Within six months of appointment the post-holder should be performing at or above the minimum level The post-holder is able to... Competence statement NHS Band 3 Level of Performance Band 4 Band 5 Band 6 1: BACKGROUND 2: STUDY SET-UP A. Demonstrate an understanding of the background and scope of the regulatory frameworks governing clinical research B. Demonstrate an awareness of the background, political influence and strategy regarding clinical research in the NHS C. Demonstrate an understanding of the design and development of different types of clinical research studies, especially clinical trials A. Demonstrate an understanding of how studies and sites are assessed for feasibility and contribute to site set up B. Identify and discuss the permissions required to conduct research in the NHS A. Demonstrate an awareness of the roles and responsibilities of key personnel involved in clinical research : STUDY CONDUCT B. Recognise the importance of efficient research administration & undertake administrative tasks including the management of study supplies C. Demonstrate an understanding of valid informed consent in clinical research and acknowledge their contribution to this ongoing process D. Demonstrate an understanding of study-specific protocol requirements and implement strategies to facilitate adherence to the schedule of events E. Prioritise tasks within studies and is able to identify and manage priorities between studies A. Apply the principles of data protection & secure handling of data : DATA MANAGEMENT B. Identify and appropriately utilise essential documents in the conduct of research studies C. Demonstrate accurate data capture and Case Report Form completion including timely submission of data D. Manage data queries and demonstrate an understanding of the role of monitoring, audit and inspection in the maintenance of data quality E. Demonstrate an understanding of the principles and process of Adverse Event reporting (AEs, SAEs and SUSARs) F. Apply the principles of secure storage and retention of data / study documentation BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 10 of 50

11 Theme 1 Background to Clinical Research Competence 1A: Guidance & Legislation 1A: Work within the regulatory frameworks governing clinical research Knowledge Development of research ethics and governance related to clinical research Principles of: - Declaration of Helsinki - Nuremburg Code - NHS Research Governance Framework International Conference of Harmonisation Good Clinical Practice (ICH GCP) Relevant UK legislation: - Medicines for Human Use (Clinical Trials) Regulations 2004 (SI 2004/1031) & Amendment Regulations 2006 (2006/1928) - Human Tissue Act - Mental Capacity Act Role of MHRA in the regulation of CTIMP and medical devices research Serious breaches in GCP; procedures when breaches of protocol are identified or when fraud / misconduct suspected Skills & Behaviours Attends & maintains GCP training as per Trust/network policy Applies the principles of GCP to everyday tasks and practices Demonstrates an interest in the background of clinical research and identifies the relevance of the regulatory frameworks that govern its conduct Examples of how competence may be demonstrated: Attend Introduction to GCP course (certificate of attendance) Identify how the principles of GCP are implemented using an everyday example Discuss how the principles of GCP are implemented using everyday examples of your working practices Recognises own limitations and attends / completes relevant training Comprehensive understanding of the regulatory and legal frameworks related to the planning, delivery and closure of clinical research studies Recognises own limitations and attends / completes relevant training; supportive in the training of others Demonstrates leadership by: - Providing comprehensive advice & guidance - Ensuring processes, policies and standard operating procedures are in place to support compliance with regulatory requirements BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 11 of 50

12 Theme 1 Background to Clinical Research Competence 1A: Guidance & Legislation Aware of competency; understanding of basic principles Is competent with assistance and supervision Target & Date for Review Evidence of Achievement Is competent with supervision Is competent without assistance/supervision Is competent and is able to assist / supervise others BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 12 of 50

13 Theme 1 Background to Clinical Research Competence 1B: Research in the NHS 1B: Demonstrate an awareness of the background, political influence and strategy regarding clinical research in the UK Knowledge Political and strategic developments in clinical research: - NIHR & Department of Health (NHS) Strategy - Role of NIHR Research Networks - Birmingham & the Black Country CLRN - Local topic specific research networks relevant to post (e.g. Pan Birmingham Cancer Research Network) Research in the local NHS trust(s): portfolio and non portfolio research Research in topic specific area of interest: academic / industry sponsored studies Skills & Behaviours Aware of studies in your own team / department / network Aware of research network in which you work and their role in supporting research in your Trust / Organisation Understands the relevance of historical development of clinical research to current research and policy Examples of how competence may be demonstrated: Aware research is important to improve patient care Aware that research is embedded in the NHS Attend Introduction to GCP course (certificate of attendance) Identify how the principles of GCP are implemented using an everyday example Demonstrate awareness of studies in own team / department and wider specialty area / network Discuss your contribution to delivering research in the NHS Aware of research network in which you work and their role in supporting research in your Trust / Organisation Demonstrate knowledge of understanding of the historical and political context in which clinical research is being undertaken Demonstrates leadership by: - Providing comprehensive information to support understanding of the political content and strategic developments which influence research in the NHS - Championing the role of clinical research in the development of health and social care - Supporting and influencing the embedding of clinical research in local NHS infrastructure / practice BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 13 of 50

14 Theme 1 Background to Clinical Research Competence 1B: Research in the NHS Aware of competency; understanding of basic principles Is competent with assistance and supervision Target & Date for Review Evidence of Achievement Is competent with supervision Is competent without assistance/supervision Is competent and is able to assist / supervise others BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 14 of 50

15 Theme 1 Background to Clinical Research Competence 1C: Study Design 1C: Demonstrate an understanding of the design and development of different types of clinical research studies, especially clinical trials Knowledge Clinical research process Common acronyms used in clinical research Phases of clinical research Preclinical, Phase I, II, III, IV Research study design including: protocol design & development, sample size & power, inclusion & exclusion criteria, randomisation, blinding and unblinding CTIMP studies; pharmaceutical industry sponsored clinical trials drug discovery process & licensing of medicines in the UK and beyond Multi-centre studies Qualititative & quantitative research Role and relevance of patient and public involvement in all stages of research process Skills & Behaviours Identifies the research design and methodology used for trials / studies within the research team Seeks opportunities to understand the relevance of the design / methodology to their role and the wider research team Examples of how competence may be demonstrated: Explain what a trial / study you are working on is about Identify the type and phase of a study which you work (e.g. CTIMP / non CTIMP / Phase I or II or III etc) how you know this & why it is relevant to know Discuss the design of a study on which you work (e.g. double-blind ; randomised ; placebo controlled what do these terms mean?) Discuss different research designs and methodologies and their relevance to / implications for members of the research team Has a comprehensive understanding of the research designs and methodologies used in clinical research Demonstrates leadership by: - Providing comprehensive advice & guidance for staff, researchers, patient & participants - Contributing to protocol design and review BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 15 of 50

16 Theme 1 Background to Clinical Research Competence 1C: Study Design Aware of competency; understanding of basic principles Is competent with assistance and supervision Target & Date for Review Evidence of Achievement Is competent with supervision Is competent without assistance/supervision Is competent and is able to assist / supervise others BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 16 of 50

17 Theme 1 Background to Clinical Research Assessment Summary Satisfactory evidence has been collected and presented to demonstrate achievement of the following performance criteria: Competence statement Date Achieved Post Holder Signature Date Achieved Assessor (PRINT & Initial) THEME 1: BACKGROUND TO CLINICAL RESEARCH 1A. Work within the regulatory frameworks governing clinical research 1B. Demonstrate an awareness of the background, political influence and strategy regarding clinical research in the NHS 1C. Demonstrate an understanding of the design and development of different types of clinical research studies, especially clinical trials BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 17 of 50

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19 Theme 2 Study Set-up Competency 2A: Study Feasibility & Set-up 2A: Demonstrate an understanding of how studies and sites are assessed for feasibility and contribute to site set up Knowledge Identification of sites to conduct research requirements (staff / facilities / subjects) Costing & funding research Site preparation including site initiation visits Processes for participant recruitment Pathway planning Risk assessment & feasibility Skills & Behaviours Recognise the importance of planning prior to a study opening Identify opportunities to contribute to feasibility assessments identification of patients for pre-screening / database searches; attend MDT / clinical meetings Liaise with R & D dept / support services to arrange set-up meetings (e.g. initiation visits) Examples of how competence may be demonstrated: Obtain documents for study set-up Assist in the organisation and attend site initiation visits Assist in the set-up of site files compliant with research governance and GCP requirements Assist with the acquisition / distribution / tracking of relevant trial documentation for study set-up Establish trial site files compliant with research governance and GCP requirements Participate in feasibility assessments Utilise patient pathway planning to assess study feasibility and identify study specific processes for recruitment / plan study schedule Identify relevant training for members of the research team in relation to the Requirements of a new study protocol Undertakes risk and feasibility assessments Demonstrates leadership by: - Acting as a knowledable resource for staff and researchers involved in assessing feasibility & setting-up new studies - Contributing to the supervision and educational needs of staff involved in site set-up - Liaising with sponsor representatives & responding to feedback regarding feasibility and / or set-up BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 19 of 50

20 Theme 2 Study Set-up Competency 2A: Study Feasibility & Set-up Aware of competency; understanding of basic principles Is competent with assistance and supervision Target & Date for Review Evidence of Achievement Is competent with supervision Is competent without assistance/supervision Is competent and is able to assist / supervise others BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 20 of 50

21 Theme 2 Study Set-up Competency 2B: NHS Permissions 2B: Identify and discuss the permissions required to conduct research in the NHS Knowledge Role and responsibilities of National Research Ethics Service (NRES); structure of Research Ethics Committees (RECs) & committee membership Role and responsibilities of R & D departments Processes for the submission of regulatory applications and their review (e.g. REC / R & D / MHRA) Key documentation required to support REC and R & D submissions Local policies and procedures related to ethical review and research governance Regulatory requirements for protocol amendments (substantial and non substantial), termination and/or closure of a trial Indemnity, financial and contractual agreements Regulatory reporting procedures when breaches of protocol are identified or when fraud / misconduct is suspected Skills & Behaviours Recognises the need to ensure that appropriate ethical opinion and governance approvals are obtained before any research activities are undertaken Contributes to the preparation and submission of applications Utilise systems to gain NHS permission (e.g. IRAS / CSP) Assist with the acquisition / distribution / tracking of relevant trial documentation for study set-up Recognises the importance of clear, complete and accurate submissions Examples of how competence may be demonstrated: Identify the regulatory permissions that have been obtained for studies on which you currently work Explain local and national processes for gaining approval to conduct clinical research Identify the specific regulatory permissions required for a new study and discuss the processes by which these are obtained Identify relevant trial documentation required to support regulatory applications Familiar with regulatory requirements of CTIMP and non CTIMP studies and the processes by which these are obtained Contribute to the preparation & submission of ethics / local R & D applications Discuss the role and remit of research ethics committees in the UK Prepares or makes significant contribution to the preparation & submission of ethics / local R & D applications Demonstrates leadership by: - Acting as a knowledgeable resource for staff and researchers making applications for regulatory approvals - Contributing to the supervision and educational needs of staff involved in the preparation of regulatory applications BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 21 of 50

22 Theme 2 Study Set-up Competency 2B: NHS Permissions Aware of competency; understanding of basic principles Is competent with assistance and supervision Target & Date for Review Evidence of Achievement Is competent with supervision Is competent without assistance/supervision Is competent and is able to assist / supervise others BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 22 of 50

23 Theme 2 Study Set-up Competency 2B: NHS Permissions Satisfactory evidence has been collected and presented to demonstrate achievement of the following performance criteria: Competence statement Date Achieved Post Holder Signature Date Achieved Assessor (PRINT & Initial) THEME 2: STUDY SET-UP 2A. Demonstrate an understanding of how studies and sites are assessed for feasibility and contribute to the initial stages of site set-up 2B. Identify and discuss the permissions required to conduct research in the NHS BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 23 of 50

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25 Theme 3 Study Conduct Competency 3A: Key Personnel 3A: Demonstrate an awareness of the roles and responsibilities of key personnel involved in clinical research Knowledge Role & responsibilities of Sponsor and Chief Investigator (CI) Site staff and their responsibilities including Principle Investigator (PI), Research Nurse, Data Manager, Research Assistant, Other clinical staff, Research subjects Delegation of duties and documentation of this process The role and remit of sponsor delegates: Contract Research Organisations (CRO); Clinical Trials Units (CTU) Trial Management, Trial Steering Groups, Data Monitoring & Safety Committees Skills & Behaviours Contributes to the deliver of clinical research protocols as a member of the research team Identifies & consistently works within scope of own role and delegates duties Aware of limitations of own role and seeks help & support appropriately Maintain up-to-date delegation or duties log, records and training and/or CVs Establishes and maintains effective working relationships with relevant individuals and organisations Contributes to research team meetings Examples of how competence may be demonstrated: Completes delegation log for a new trial and demonstrates understand of delegated duties Consistently seeks help and support from members of the research team Can identify key personnel within the clinical research team Attend relevant training in relation to the requirements of the study protocol Able to differentiate between the roles and delegates duties of key personnel within the clinical research team Articulates own responsibilities and recognised the boundaries of their own role Consistent works within scope of own role and delegated duties; seeks help from appropriate members of the team Identify relevant training in relation to the requirements of the study protocol Consistently work within scope of own role and delegated duties; consult appropriately Promotes team working Comprehensive understanding of the roles and responsibilities of key personnel within the clinical research environment Ensures comprehensive induction is provided for all new staff Demonstrates leadership by: - Contributing to the development and training of colleagues - Efficient & effective networking BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 25 of 50

26 Theme 3 Study Conduct Competency 3A: Key Personnel Aware of competency; understanding of basic principles Is competent with assistance and supervision Target & Date for Review Evidence of Achievement Is competent with supervision Is competent without assistance/supervision Is competent and is able to assist / supervise others BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 26 of 50

27 Theme 3 Study Conduct Competency 3B: Administration & Supplies 3B: Recognise the importance of efficient research administration & undertake administrative tasks including the management of study supplies Knowledge Ordering & maintaining study supplies (e.g. CRFs, questionnaires, sample kits) Administrative skills: managing telephone enquiries / photocopying / facing / filing Acquisition and return of clinical records (e.g. Medical records) In-house documentation systems Sponsor documentation systems Skills & Behaviours Maintain sufficient stocks of documentation and equipment Manage telephone enquiries including timely and appropriate referral and documentation Proficiency with Microsoft Office applications: Word, Outlook ( and diary), Excel Efficient communication through a variety of media (telephone / / face to face etc) Manage day to day queries liaise with team members as appropriate and document Examples of how competence may be demonstrated: Consistently seeks appropriate support / referral to manage telephone enquiries Completes administrative tasks efficiently Organises research documentation in clinical records Completes accurate documentation associated with research study supplies Establish and/or maintain in-house documentation systems Orders supplies and ensures they are available when required Ensures clear and accurate documentation is maintained on the arrival, use and disposal of research study supplies Establish and/or maintain accurate contacts Contributes to the effective and efficient use of resources Proactively manages study supplies and ensures that necessary staff and facilities are available (e.g. clinic room) for the effective conduct of the study Consistently manage day to day queries and liaise appropriately to ensure their effective resolution Involved in the management of staff as a resource Demonstrates leadership by: - Managing a research team with attention to skill mix - Aware of financial constraints of the funding available for a clinical research study BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 27 of 50

28 Theme 3 Study Conduct Competency 3B: Administration & Supplies Aware of competency; understanding of basic principles Is competent with assistance and supervision Target & Date for Review Evidence of Achievement Is competent with supervision Is competent without assistance/supervision Is competent and is able to assist / supervise others BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 28 of 50

29 Theme 3 Study Conduct Competency 3C: Consent 3C: Demonstrate an understanding of valid informed consent in clinical research and acknowledge their contribution to this ongoing process Knowledge Principles of informed consent for participation in research legal and governance requirements Information and key components of patient information sheets (PIS) & consent forms Preparation of PIS & consent forms for local use (version control; headed paper etc) Study specific documentation signatures required; copies how many & to whom; documenting the process of content Storage of signed consent form Team roles & responsibilities in gaining and maintaining informed consent Skills & Behaviours Recognises the need to ensure that informed consent has been obtained and maintained; proactively seeks information to support this before undertaking study-related activities Prepare / track patient information sheets (PIS) & consent forms with attention to version control Assures patient safety by recognising & raising any concerns with the consent process Examples of how competence may be demonstrated: Acknowledge the need for consent in clinical research Identify evidence of the consent process in source data and CRFs Give a brief overview of the consent process for a specified study who can be involved and how is it documented? Can describe their role in the process Proactively seeks documentation to confirm consent has been provided by the participant Identifies errors / cause for concern in consent documents Identifies errors / cause for concern in documents Clearly articulates their role and the roles of other team members in the informed consent process; fulfils but does not exceed their delegated duties Reports any concerns with consent processes in a timely and appropriate manner; can cite examples from practice. Demonstrates leadership by: - Acting as a knowledgeable resource and role model for staff and researchers regarding the contribution of non clinical staff to the consent process BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 29 of 50

30 Theme 3 Study Conduct Competency 3C: Consent Aware of competency; understanding of basic principles Is competent with assistance and supervision Target & Date for Review Evidence of Achievement Is competent with supervision Is competent without assistance/supervision Is competent and is able to assist / supervise others BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 30 of 50

31 Theme 3 Study Conduct Competency 3D: Protocol Specific 3D: Demonstrate an understanding of study-specific protocol requirements and implement strategies to facilitate adherence to the schedule of events Knowledge Protocol main sections; extracting information Protocol study specific requirements inc. eligibility criteria and schedule of events Randomisation process Patient pathway planning Screening & eligibility: including and exclusive criteria; screening logs Safe handling of samples including storage (at various temperatures) and management of spills Ordering Couriers; Packaging and shipment of samples (handling of dry ice if applicable) Processes for participant recruitment Skills & Behaviours Understands the rationale behind adherence to ethically approved study protocols Verify inclusion / exclusion criteria of subjects recruited into trials and ensure all relevant baseline data base been recorded Randomises / registers patient to trials according to the protocol requirements Assist in ensuring protocol required tests / procedures are done according to the protocol schedule Liaise with support services to book tests / procedures Plan study visit / follow-up schedules Identify protocol schedule of events Develop checklists / workbooks / flow-sheets Arrange couriering of samples Examples of how competence may be demonstrated: Explain what a trial / study you are working on is about Demonstrate an awareness of the eligibility criteria of a chose protocol(s) List content sections of chosen protocol(s) Demonstrates effective use of protocols by referring to appropriate sections as required Aware of how to raise concerns and report instances of suspected protocol deviation; can cite examples from practice of protocol deviations Consistently adheres to the study protocol Plans patient pathway for trial identifying service and resource challenges Contributes to the development of policies and SOPs to support adherence to protocols Demonstrates leadership by: - Providing comprehensive guidance & contributing to the training and development of colleagues - Effective networking across clinical departments BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 31 of 50

32 Theme 3 Study Conduct Competency 3D: Protocol Specific Aware of competency; understanding of basic principles Is competent with assistance and supervision Target & Date for Review Evidence of Achievement Is competent with supervision Is competent without assistance/supervision Is competent and is able to assist / supervise others BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 32 of 50

33 Theme 3 Study Conduct Competency 3E: Managing Priorities 3E: Prioritise tasks within studies and is able to identify and manage priorities between studies Knowledge Prioritising work Planning workload Time management Reviewing and reassessing priorities and workload Implications of tasks on study timelines & workload Skills & Behaviours Identify workload priorities Plan workload Identifies & alerts team members to expected delays or competing priorities Identifies skills required to compare a task successfully Appropriate delegate & follow-up Examples of how competence may be demonstrated: Undertakes identified tasks / activities within pre-define time frames (requires assistance to define priorities & time frame) Plans work and identifies priorities Seeks support and assistance appropriately to meet deadlines Anticipates workload (e.g. monthly / recurring tasks) Able to respond flexibly to changes in workload / priorities Recognises changing demands and is able to respond efficiently Delegates appropriately Demonstrates leadership by: - Providing comprehensive advice & guidance - Delegating tasks appropriately and providing constructive feedback BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 33 of 50

34 Theme 3 Study Conduct Competency 3E: Managing Priorities Aware of competency; understanding of basic principles Is competent with assistance and supervision Target & Date for Review Evidence of Achievement Is competent with supervision Is competent without assistance/supervision Is competent and is able to assist / supervise others BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 34 of 50

35 Theme 3 Study Conduct Assessment Summary Satisfactory evidence has been collected and presented to demonstrate achievement of the following performance criteria: Competence statement Date Achieved Post Holder Signature Date Achieved Assessor (PRINT & Initial) 3A. Demonstrate an awareness of the roles and responsibilities of key personnel involves in clinical research THEME 3: STUDY CONDUCT 3B. Recognise the importance of efficient research administration & undertake administration tasks including the management of study supplies 3C. Demonstrate an understanding of valid informed consent in clinical research and acknowledge their contribution to this ongoing process BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 35 of 50

36 Theme 3 Study Conduct Assessment Summary Satisfactory evidence has been collected and presented to demonstrate achievement of the following performance criteria: Competence statement Date Achieved Post Holder Signature Date Achieved Assessor (PRINT & Initial) THEME 3: STUDY CONDUCT 3D. Demonstrate an understanding of studyspecific protocol requirements and implement strategies to facilitate adherence to the schedule of events 3E. Prioritise tasks within study and is able to identify and manage priorities between studies BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 36 of 50

37 Theme 4 Data Management Competency 4A: Data Protection 4A: Apply the principles of data protection and secure handling of data Knowledge Local and national policies and procedures relating to data collection, storing and secure transfer including: - Data Protection Act Confidentiality NHS Code of Practice - Caldicott report & local Caldicott guardian - Freedom of Information Act 2000 Maintaining confidentiality for patients in clinical trials Actions required when data protection processes are not adhered to Skills & Behaviours Respects patient and participant confidentiality Ensures participant confidentiality is maintained Takes responsibility for the safe and secure storage of data Raises concerns about poor data storage Examples of how competence may be demonstrated: Identify own role in maintaining confidentiality and protecting data Contributes to the safe and secure storage of data by returning documents to their storage location after use Identify and describe measures taken in your own research area to maintain confidentiality of data Consistently adheres to requirements to protect confidentiality and data Raises concerns when processes to ensure confidentiality are not adhered to Demonstrates leadership by: - Ensuring processes and procedures for ensuring participant confidentiality are developed and adhered to by all members of the research team BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 37 of 50

38 Theme 4 Data Management Competency 4A: Data Protection Aware of competency; understanding of basic principles Is competent with assistance and supervision Target & Date for Review Evidence of Achievement Is competent with supervision Is competent without assistance/supervision Is competent and is able to assist / supervise others BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 38 of 50

39 Theme 4 Data Management Competency 4B: Essential Documents 4B: Identify and appropriately utilise essential documents in the conduct of research studies Knowledge Title, purpose and storage location of essential documents include: source documents, Protocol, Case Report Forms (CRF), Investigator Brochure, Regulatory approvals, information given to subjects, screening log, subject ID log, agreements, reports, communications (E6 section 8( Version Control & document tracking Skills & Behaviours Establish trial site files compliant with research governance and GCP requirements Maintain and update essential documents in the site file Recognises the importance of accurate and comprehensive documentation and source data verification Examples of how competence may be demonstrated: Can identify and discuss the purpose of key research documents (site files, CRFs, investigator brochure, source data) Assists in creating and maintaining research files according to local SOPs Describe the purpose and provide examples of essential documents Raises concerns if incomplete, inaccurate or misleading documentation is identified Demonstrates the use of correct versions of documentation and implements document tracking according to local SOPs Creates and maintains research files according to local SOPs Responds to concerns if inaccurate or incomplete documentation is identified Demonstrates leadership by: - Acting as a knowledgeable resource for staff - Meeting the supervision and educational needs of research staff utilising essential documents - Ensuring processes, policies and SOPs are developed and reviewed to support compliance with regulatory requirements BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 39 of 50

40 Theme 4 Data Management Competency 4B: Essential Documents Aware of competency; understanding of basic principles Is competent with assistance and supervision Target & Date for Review Evidence of Achievement Is competent with supervision Is competent without assistance/supervision Is competent and is able to assist / supervise others BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 40 of 50

41 Theme 4 Data Management Competency 4C: Data & CRF Completion 4C: Demonstrate accurate data capture and Case Report Form completion including timely submission of data Knowledge Data media (paper based / web-based / audio / images etc) Accurate completion of CRFs (paper & electronic) Source document verification (SDV) IT systems: Trust & sponsor specific applications; Microsoft Office applications; database applications Submission of recruitment figures to relevant bodies including NIHR recruitment data Skills & Behaviours Transcribe / export data from medical records (paper / electronic) to CRFs (paper / electronic) Liaise with trial coordinators, research nurses and clinicians to ensure accurate & complete data collection Identify and resolve missing data and/or discrepancies in data Proficiency in essential IT skills: store, save and manage electronic files; use Trust / Network based IT systems (e.g. patient records; NIHR portal) & sponsor specific applications (e.g. CRFs) Recognises the importance of accurate and comprehensive documentation and source data verification Shows attention to detail and accurate data recording Examples of how competence may be demonstrated: Evidence of accurate data entry Evidence of accurate and complete data entry demonstrating attention to detail Raises concerns and seeks to address incomplete, inaccurate or misleading data entry Contributes to the collection and reporting of local recruitment data Undertakes and manages the accurate and complete collection of data, and insertion of data into CRFs or other research storage formats Responds to concerns if inaccurate or incomplete data entry is identified Manages the collection and reporting of local recruitment data Demonstrates leadership by: - Undertaking, supervising and manage the accurate and complete collection / transcription of data. - Disseminates recruitment data as applicable and contributes to local recruitment strategies to promote effective recruitment in line with local targets - Ensuring that local policies and SOPs are followed by all member of the research team BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 41 of 50

42 Theme 4 Data Management Competency 4C: Data & CRF Completion Aware of competency; understanding of basic principles Is competent with assistance and supervision Target & Date for Review Evidence of Achievement Is competent with supervision Is competent with no assistance/supervision Is competent and is able to assist / supervise others BBCCLRN_nonclinical_competencyframework_FINALv1_Oct2011(pilot) Page 42 of 50