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Standard Operating Procedure for DSUR/PSUR Preparation and Submission

Purpose

The purpose of this SOP is to provide step-by-step procedures for preparing and submitting Development Safety Update Reports (DSURs) and Periodic Safety Update Reports (PSURs). These reports ensure systematic evaluation of cumulative safety data, regulatory compliance, and effective risk-benefit monitoring.

Scope

This SOP applies to sponsors, pharmacovigilance teams, and CROs responsible for DSUR and PSUR preparation and submission. It covers data collection, analysis, drafting, review, approval, and submission to regulatory authorities such as FDA, EMA, CDSCO, and WHO.

Responsibilities

• Pharmacovigilance Officer: Collects and analyzes cumulative safety data for DSUR/PSUR preparation.
• Sponsor/CRO: Ensures accurate preparation, quality review, and timely submission to authorities.
• Principal Investigator (PI): Provides clinical input and site-specific safety data for inclusion in DSUR/PSUR.
• QA Officer: Reviews DSUR/PSUR for accuracy, completeness, and compliance with global standards.

Accountability

The sponsor is accountable for ensuring DSUR and PSUR preparation and submission are completed within mandated timelines and meet all global regulatory requirements.

Procedure

1. Data Collection
Collect cumulative safety data from clinical trials, spontaneous reports, and literature.
Ensure data integrity, completeness, and adherence to ALCOA+ principles.

2. Data Analysis
Perform trend analysis, case-by-case review, and cumulative evaluation of AEs/SAEs.
Identify emerging safety signals and update risk-benefit assessment.

3. Report Preparation
Prepare DSUR as per ICH E2F format.
Prepare PSUR as per ICH E2C(R2) format.
Include executive summary, cumulative safety data, signal evaluation, and conclusions.

4. Internal Review
Draft DSUR/PSUR reviewed by PV team, medical experts, and QA.
Ensure sponsor sign-off before submission.

5. Submission
Submit electronically to regulatory portals: FDA (ESG), EMA (EudraVigilance), CDSCO (SUGAM).
Retain submission receipts and acknowledgments.

6. Archiving
Maintain DSUR/PSUR reports, supporting data, and regulatory correspondence in TMF and ISF.
Archive records for at least 10 years post-submission or as per regulations.

Abbreviations

• SOP: Standard Operating Procedure
• DSUR: Development Safety Update Report
• PSUR: Periodic Safety Update Report
• PI: Principal Investigator
• PV: Pharmacovigilance
• AE: Adverse Event
• SAE: Serious Adverse Event
• CRO: Clinical Research Organization
• QA: Quality Assurance
• TMF: Trial Master File
• ISF: Investigator Site File

Documents

1. DSUR Preparation Checklist (Annexure-1)
2. PSUR Template (Annexure-2)
3. DSUR/PSUR Submission Log (Annexure-3)

References

• ICH E2F – Development Safety Update Report Guidelines
• ICH E2C(R2) – Periodic Benefit-Risk Evaluation Report (PBRER)
• US FDA – DSUR and PSUR Guidance
• EMA – Pharmacovigilance Guidelines
• CDSCO – Safety Reporting Requirements

Version: 1.0

Approval Section

Annexures

Annexure-1: DSUR Preparation Checklist

Annexure-2: PSUR Template

Annexure-3: DSUR/PSUR Submission Log

Revision History

For more SOPs visit: Pharma SOP

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Standard Operating Procedure for Safety Updates in Clinical Trials (Annual Reports, DSUR, PSUR)

Purpose

The purpose of this SOP is to define the procedures for compiling, reviewing, and submitting safety updates in clinical trials, including Development Safety Update Reports (DSUR), Periodic Safety Update Reports (PSUR), and Annual Safety Reports. These updates ensure ongoing assessment of investigational product safety, regulatory compliance, and protection of trial participants, as per ICH E2F, GCP, and applicable local regulations.

Scope

This SOP applies to all clinical research staff, pharmacovigilance teams, regulatory affairs personnel, and quality assurance officers involved in the preparation, submission, and archiving of annual safety updates. It covers sponsor obligations across multiple regulatory agencies, including FDA, EMA, CDSCO, MHRA, TGA, and WHO.

Responsibilities

• Pharmacovigilance Officer: Collects and analyzes safety data from ongoing trials.
• Regulatory Affairs Manager: Compiles and submits DSUR/PSUR to relevant authorities.
• Principal Investigator: Provides site-specific safety data and narratives.
• Clinical Research Associates (CRAs): Verify accuracy of safety data collected at sites.
• Quality Assurance Officer: Ensures compliance with timelines and content requirements.
• Head of Clinical Research: Final approval before submission.

Accountability

The Head of Pharmacovigilance is accountable for the completeness, accuracy, and timely submission of all safety updates. Non-compliance may result in regulatory action, trial suspension, or safety risks to participants.

Procedure

1. Data Collection and Analysis
Gather adverse event (AE) and serious adverse event (SAE) data from investigators and clinical sites.
Review data from case report forms (CRFs), safety databases, and literature.
Conduct cumulative analysis to identify trends or emerging safety signals.

2. Preparation of DSUR
Follow ICH E2F guidelines for DSUR preparation.
Include global safety data, cumulative summaries, and significant safety issues identified during the reporting year.
Provide benefit-risk evaluation for investigational product.

3. Preparation of PSUR (if applicable)
For marketed products under investigation, prepare PSUR in line with ICH E2C guidelines.
Include post-marketing safety data, spontaneous adverse event reports, and literature findings.

4. Preparation of Annual Safety Reports
Prepare annual safety reports as required by FDA (IND Annual Report) or CDSCO (India).
Provide cumulative safety data, list of SUSARs, and ongoing trial updates.

5. Review and Approval
QA to review draft DSUR/PSUR against regulatory requirements.
Obtain sign-off from Head of Clinical Research and Pharmacovigilance.

6. Submission and Tracking
Submit DSUR/PSUR electronically through regulatory portals (e.g., FDA ESG, EMA CESP).
File proof of submission in Regulatory Communication Log.
Update Safety Update Tracker with submission status and timelines.

7. Archiving
File final DSUR/PSUR in Trial Master File (TMF).
Retain records for at least 5 years post trial completion or as required by local law.

Abbreviations

• SOP: Standard Operating Procedure
• DSUR: Development Safety Update Report
• PSUR: Periodic Safety Update Report
• AE: Adverse Event
• SAE: Serious Adverse Event
• SUSAR: Suspected Unexpected Serious Adverse Reaction
• QA: Quality Assurance
• CRF: Case Report Form
• TMF: Trial Master File

Documents

1. Safety Update Checklist (Annexure-1)
2. Safety Update Tracker (Annexure-2)
3. Regulatory Communication Log (Annexure-3)

References

• ICH E2F – Development Safety Update Report Guidelines
• ICH E2C – Periodic Safety Update Report Guidelines
• ICH E6(R2) Good Clinical Practice
• US FDA IND Annual Reporting Requirements
• EMA and WHO Pharmacovigilance Guidelines

Version: 1.0

Approval Section

Annexures

Annexure-1: Safety Update Checklist

Annexure-2: Safety Update Tracker

Annexure-3: Regulatory Communication Log

Revision History

For more SOPs visit: Pharma SOP