Monitoring and Audits



The sponsor or CRO routinely conducts monitoring visits to verify that the:

  • Rights and well-being of subjects are protected
  • The data is accurate, complete and verifiable
  • The conduct of the trial is in compliance with the protocol, with GCP and with the applicable regulatory requirement(s) (ICH GCP 5.18.1)


In preparation for a monitoring visit, the site must ensure there is available space for the monitor (with access to the internet and copy machine), the PI is available to meet the monitor, an appointment to visit IDS visit is scheduled (if applicable), the regulatory binder, informed consents, CRFs and medical records are available. Study teams should consult with their departments or CTO offices for specific policies and procedures relating to monitor visits.

IDS Scheduling – All routine monitor visits with IDS must be scheduled at least 2 weeks in advance. The first monitoring visit should be conducted within 2 weeks of treating the first patient; therefore an exception can be made for scheduling first time visits. During the visit, the CRA will perform a thorough accountability of drug supply, storage, and temperature control. Temperature logs will be provided at each monitoring visit from the time since the last visit.

Due to limited storage capacity, during routine monitoring visits, the monitor should be informed to be prepared to authorize return/destruction of used/expired investigational product.

Guidance and Recommendations for On-site and Remote Study Monitoring  (Updated 1/26/2021) –  Click here for:
  • Remote Monitoring Guidance and Recommendations
  • Guidance – Use of Certified Copy

Note to access these documents in SharePoint, you may be prompted to enter your MSHS credentials.

Please refer to COVID-19 Human Subject Research Ramp-up Guidance for the latest monitoring updates from the Dean’s Office.

External Monitor and Auditor Access to Epic –  Click here.

Internal Audits - Research Compliance


Research Compliance performs routine study audits to ensure that the human subject research conducted at Icahn School of Medicine at Mount Sinai meets federal as well as institutional regulations and to ensure that trial data is accurate, complete and verifiable.


Research Compliance will notify the principal investigator if they are selected for an audit.  During an audit visit regulatory documents as well as subject records will be reviewed by Research Compliance. Subsequent findings, corrective actions and recommendations will be communicated to the principal investigator through an audit report. The IRB will also receive a copy of the audit report.

BRANY Audits

BRANY performs routine study audits of investigators who are using their IRB services. Study teams will be notified and an audit visit will be scheduled.

External Monitor and Auditor Access to Epic – Click here.

External Agency Audits (FDA, OHRP)


External agencies such as the US Food and Drug Administration (FDA) and Office of Human Research Protections (OHRP) may conduct “routine” or “for cause” audits or inspections.


Announced Inspections

If your site receives notification of an audit by the FDA or OHRP, contact Research Compliance immediately. The Principal Investigator and study team should also notify PPHS and the IRB of record if it is not PPHS. Research Compliance provides guidance, tools and templates to assist study teams prepare for an audit.

External Monitor and Auditor Access to Epic –  Click here