How to Write Protocols and SOPs for GLP-Compliant Phase 0 Trials

Why GLP Matters in Phase 0 Microdosing Studies

Although Phase 0 trials involve human subjects and follow GCP, they also rely heavily on nonclinical data, analytical labs, and sample handling—all of which fall under Good Laboratory Practice (GLP) principles. Writing clear, consistent, and compliant protocols and SOPs ensures data integrity, regulatory acceptability, and operational efficiency throughout the microdosing study.

Understanding the Difference: Protocols vs SOPs

• Clinical Trial Protocol: A regulatory document that outlines study design, objectives, eligibility criteria, procedures, and statistical methods.
• Standard Operating Procedures (SOPs): Internal documents that describe step-by-step operations for specific tasks (e.g., sample collection, PK analysis, storage).

Both are essential for ensuring compliance with GLP and ICH GCP requirements in Phase 0 studies.

Key Elements of a Phase 0 Study Protocol

1. Title Page and Signature Section

• Study title, protocol version, and effective date
• Sponsor, CRO, and investigator details
• Sign-off by principal investigator and sponsor medical officer

2. Study Objectives and Rationale

• Clearly state the primary objective (e.g., to characterize PK profile)
• Justify microdose choice and its relevance to full development

3. Study Design

• Open-label or blinded, single-dose administration
• Sampling schedule, dosing conditions, washout periods if crossover

4. Subject Selection

• Inclusion/exclusion criteria
• Recruitment, consent, and compensation plans

5. Dose Justification

• Explain dose selection using preclinical NOAEL or modeling data
• Must be ≤1/100th of therapeutic dose or ≤100 μg (for small molecules)

6. Safety Monitoring and Endpoints

• Vital signs, adverse event tracking, stopping rules
• List all parameters to be collected (Cmax, AUC, imaging biomarkers)

7. Bioanalysis and Data Handling

• Storage, shipping, and analytical method (e.g., LC-MS/MS, AMS)
• How data will be recorded, analyzed, and archived

8. Ethics and Regulatory Compliance

• Reference to IRB approval and CTRI registration (if applicable)
• Subject confidentiality, informed consent language

Essential SOPs for GLP-Compliant Phase 0 Trials

All SOPs must be version-controlled, approved, and periodically reviewed. Key SOPs include:

1. Sample Collection and Handling

• Instructions for blood draw, labeling, centrifugation, aliquoting
• Use of pre-labeled tubes, time tracking, and deviation management

2. Analytical Method Validation

• Stepwise validation of the chosen assay (e.g., accuracy, precision, LLOQ)
• QC sample preparation, calibration curve ranges

3. Drug Accountability

• Chain of custody logs, storage temperature monitoring
• Destruction of unused microdose units

4. Clinical Operations

• Volunteer check-in, fasting state verification, and dosing
• Sample timing SOP synchronized with protocol windows

5. Safety Reporting

• Adverse event capture, grading, and causality assessment
• Notification timelines to IRB and sponsor

6. Quality Assurance and Audits

• Internal QA roles and responsibilities
• Audit trail documentation and CAPA process

Common Pitfalls and How to Avoid Them

• Vague SOPs with unclear responsibility assignments
• Protocol-SOP mismatches (e.g., time points differing between documents)
• Outdated SOPs not aligned with current GLP/GCP standards
• Missing links between SOPs and regulatory submissions

Document Control and Compliance

All documents must follow strict GLP documentation rules:

• Version control logs and approval signatures
• Archiving of raw data, forms, and signed protocols
• Training records for all personnel following the SOPs

Conclusion

Writing robust, regulatory-ready protocols and SOPs is foundational to any successful Phase 0 trial. These documents not only guide daily operations—they reflect the scientific integrity, regulatory readiness, and quality culture of your organization. Whether you’re a sponsor, CRO, or academic center, investing in well-structured GLP-compliant documentation will help you run safe, reliable, and credible exploratory clinical studies.