Guide ClinicalStudiesTrials Aug16

Guidelines for Responsible Conduct of Clinical Studies and Trials I
Foreword
Oman needs to continue to promote a strong culture of research and development in the
health sector. However, attention needs to be paid to ensure that stringent quality checks are
built in, and that researchers conduct research in an impeccable manner. Failure to do so will
dent the credibility of the research enterprise, affecting not just researchers or health
institutions conducting research, but also those planning to do so.
This is the first edition of the Guidelines for Responsible Conduct of Clinical Studies and
Trials. The guideline advocates and describes the best practice in research for researchers and
institutions, promotes integrity in research and explains what is expected from researchers,
and assists researchers, administrators and the community on how to manage breaches from
best research practice. It is addressed not only to researchers, but also to ethics review
committees, investigational institutes, pharmaceutical manufacturers, sponsors of research
drug regulatory authorities, the general public and those who have interest in clinical trials in
Oman. This guideline not only serves the interests of the parties actively involved in the
research process, but also protects the rights and safety of subjects, including patients, and
ensures the investigations are directed to the advancement of public objectives of citizens.
This document provides information on how to manage research data and materials; ethics
on how to publish and disseminate research findings (including proper attribution of
authorship); obligations in peer review; and how to manage conflicts of interest. It is based
on international standards but with an Islamic perspective and is a first time initiative by the
Ministry of Health. Future revisions will take into consideration the evolving research
guidelines and standards that are suitable to the situation and context in Oman.
Guidelines for Responsible Conduct of Clinical Studies and Trials I

I am confident that this guideline will help enhance research to meet high standards and
assist institutions to better address allegations of misconduct in research
Dr. Ahmed Mohamed Al-Saidi

Minister of Health
Guidelines for Responsible Conduct of Clinical Studies and Trials II

Task Force
Dr. Adhra Hilal Nasser Al-Mawali, Director, Centre of Studies and Research (Ministry of Health)
Ph.D. in Flow Cytometry and Molecular Genetics, University of Adelaide (Australia)
Dr. Ahmed Mohamed Al-Qasmi, Director General of Planning and Studies (Ministry of Health)
Doctor of Science in Biostatistics, Tulane University (United States of America)
Dr. Zahid Al-Mandhari, Senior Consultant, Deputy Director, National Oncology Centre, Royal Hospital
MD, FRCPC, University of Alberta (Canada)
Dr. John Idikula, Senior Specialist, (Ministry of Health)
MS; M.Med.Sci. in Epidemiology, University of Newcastle (Australia)
Ms. Sultana Mohamed Saif Al-Sabahi, Section Head, Knowledge Translation and Research
Management (Ministry of Health)
M.Sc. in Epidemiology and Medical Statistics, Sultan Qaboos University (Oman)
Dr. Moustafa Fahmy Mohamed. Dean of Oman Pharmacy Institute . Ministry of Health.
PhD in Medicinal Chemistry. University of Strathclyde (United Kingdom)
Ph. Ahmed Alharbi, Sr Specialized Pharmacist, Director, Drug Control, (Ministry of Health)
M.Sc. Clinical Pharmacy, University of Strathclyde (United Kingdom)
Acknowledgements
 Special thanks to Ms. Sheikha Abdullah Al-Maqbali, Health Data entering (Diploma in Health
Data Entry, Middle East College), Centre of Studies and Research, Ministry of Health, for her
support in art design and production of this document.
 Special thanks to Mr. Avinash Daniel Pinto, Technical Manager of Health Information, Centre
of Studies & Research, Ministry of Health, for his valuable comments.
Guidelines for Responsible Conduct of Clinical Studies and Trials III

Contents
Foreword...................................................................................................................................................... I
List of Abbreviations .................................................................................................................................. 1
Preface.......................................................................................................................................................... 2
Introduction ................................................................................................................................................. 3
CHAPTER ONE: Provision and Prerequisites for a Clinical Trial ..................................................... 5
1.1 Identifying a Clinical Problem ...................................................................................................... 6
1.2 Information Retrieval and Appraisal ........................................................................................... 6
1.3 Framing an Answerable Research Question................................................................................ 7
1.4 Formulating a Research Hypothesis ............................................................................................ 7
1.5 Utilising an Appropriate Study Design......................................................................................... 7
A. Observational Studies ................................................................................................................... 8
B. Interventional Studies ................................................................................................................... 9
1.6 Selecting the Study Population .................................................................................................... 9
1.7 Proper Sampling ........................................................................................................................... 9
1.8 Maintaining and Following up After Intervention .................................................................... 10
1.9 Avoiding / Reducing Bias............................................................................................................ 10
1.10 Analysing and Managing Data ................................................................................................... 10
1.11 Conclusion and Interpretation ................................................................................................... 11
1.12 Research Output......................................................................................................................... 11
CHAPTER TWO: Protection of Clinical Trial Participants ............................................................... 12
2.1 Declaration of Helsinki ............................................................................................................. 13
2.2 Research and Ethics Committee .............................................................................................. 13
A. Establishment of Research and Ethical Review & Approve Committee (RERAC) ....................... 13
B. Role of RERAC from an Ethical Point of View.............................................................................. 14
2.3 Informed Consent of Trial Participants.................................................................................. 15
2.4 Privacy and Confidentiality ..................................................................................................... 19
CHAPTER THREE: Ethics of Research Publication ......................................................................... 21
3.1 Plagiarism .................................................................................................................................. 22
Guidelines for Responsible Conduct of Clinical Studies and Trials IV

3.2 Misuse of Privileged Information ............................................................................................ 22
3.3 Data ............................................................................................................................................ 22
A. Integrity of Data .......................................................................................................................... 22
B. Use and Misuse of Data .............................................................................................................. 23
C. Ownership of and Access to Data ............................................................................................... 23
D. Storage and Retention of Data ................................................................................................... 23
E. Interference ................................................................................................................................ 24
3.4 Authorship and other Publication Issues ................................................................................ 24
A. Criteria for Authorship ................................................................................................................ 24
B. Order of Authors ......................................................................................................................... 25
C. Self-citations ............................................................................................................................... 25
D. Duplicate Publication .................................................................................................................. 26
E. Early Release of Information Prior to Publication....................................................................... 26
3.5 Obligation to Report ................................................................................................................. 27
A. Reporting Suspected Misconduct ............................................................................................... 27
B. Correction of Errors .................................................................................................................... 27
3.6 Conflict of Interest .................................................................................................................... 27
3.7 Joining International Studies ................................................................................................... 27
CHAPTER FOUR: Responsibilities of the Investigator and the Investigational Institution ............. 28
4.1 Qualifications of the Researcher and Agreements ................................................................. 29
4.2 Medical Care of Clinical Trial Participants ........................................................................... 29
4.3 Compliance with Protocol ........................................................................................................ 30
4.4 Investigational Product(s) ........................................................................................................ 30
4.5 Randomization Procedures and Un-blinding ......................................................................... 31
4.6 Records and Reports................................................................................................................. 31
4.7 Safety Reporting........................................................................................................................ 32
4.8 Premature Termination or Suspension of a Trial .................................................................. 33
4.9 Final Report(s) by Investigational Institution ........................................................................ 34
CHAPTER FIVE: Responsibilities of the Sponsor ................................................................................ 35
5.1 Quality Assurance and Quality Control ................................................................................. 36
Guidelines for Responsible Conduct of Clinical Studies and Trials V

5.2 Compensation to Participants and Researchers..................................................................... 37
5.3 Information on Investigational Product(s) ............................................................................. 37
5.4 Manufacturing, Packaging, Labelling and Coding Investigational Product ....................... 37
5.5 Supplying and Handling Investigational Product(s) .............................................................. 38
5.6 Record Access ............................................................................................................................ 39
5.7 Safety Information .................................................................................................................... 39
5.8 Adverse Drug Reaction Reporting .......................................................................................... 40
CHAPTER SIX: Documents and Requirements for Clinical Studies and Trials ............................... 41
6.1 Table of Documents Required to be Submitted to Central RERAC) for Approval of
Clinical Trials ........................................................................................................................................ 42
6.2 Documents Required During the Clinical Conduct of the Trial ........................................... 45
6.3 Other Documents which are Required During the Clinical Conduct of the Trial .............. 45
6.4 The Required Documents by the End of the Trial ................................................................. 46
References .................................................................................................................................................. 47
Appendices ................................................................................................................................................. 50
Appendix 1: Glossary of Terms ............................................................................................................. 51
Appendix 2: Checklist of Documents Required to be Submitted to Central Research Committee
(RERAC) for Approval of a Clinical Trial ............................................................................................. 55
Appendix 3: Checklist of Documents Required to be Submitted to Central Research Committee
(RERAC) During the Clinical Conduct of the Trial ............................................................................... 57
Appendix 4: Checklist of Extra Documents to be Added During the Trial ........................................... 58
Appendix 5: Checklist of Documents to be Submitted to RERAC upon Completion or Termination of
the Trial ................................................................................................................................................... 59
Appendix 6: Elements of the Review Process (Operational Guidelines for Ethics Committees that
Review Biomedical Research) ................................................................................................................ 60
Appendix 7: List of Information that Should be Given to the Study Participants ................................. 64
Appendix 8: The Belmont Report .......................................................................................................... 67
Appendix 9: World Medical Association Declaration of Helsinki ........................................................ 82
Appendix 10: Ethics of Clinical Research: An Islamic Perspective ...................................................... 89
Guidelines for Responsible Conduct of Clinical Studies and Trials VI

List of Abbreviations
Abbreviation Full term
ADR Adverse Drug Reaction
CDBI Comité Directeur pour La Bioéthique (Steering Committee on Bioethics,

European Council)
CIOMS Council for International Organizations of Medical Sciences
CRF Case Record Form
DGPADC Directorate General of Pharmaceutical Affairs and Drug Control
DSMB Data Safety Monitoring Board
EC Ethical Committee
GCP Good Clinical Practice
GLP Good Laboratory Practice
GMP Good Manufacturing Practice
IOMS Islamic Organization for Medical Sciences
IRB Institutional Review Board
PI Principal Investigator
RERAC Research and Ethical Review & Approve Committee
SAE Serious Adverse Events
SOP Standard Operating Procedure
WHO World Health Organization
WMA World Medical Association
Guidelines for Responsible Conduct of Clinical Studies and Trials 1

Preface
The purpose of this document is to ensure that clinical studies that are conducted on human
participants are designed and performed at the highest ethical and scientific standards. In
conjunction with other published documents on this subject, this document will provide a
positively oriented set of practical suggestions for maintaining integrity in research. Not only
should the ethical conduct of research satisfy scientific, ethical and moral codes; it should also
lead to better scientific results because the adherence to ethical research practices which lead to
more attention to the details of scientific research, whether the study involves qualitative
evaluation or quantitative analysis with statistical techniques or seeks more thoughtful
collaboration among researchers. Also, the credibility of science with the general public depends
on the maintenance of the highest ethical standards in research (1). Observance and compliance
to this document will help researchers avoid deviating from accepted ethical research practices
and prevent the more deviations that constitute research misconduct.
Research misconduct is defined as fabrication, falsification, or plagiarism, including

misrepresentation of credentials, in proposing, performing, or reviewing research, or in
reporting research results. It does not include honest error or differences of opinion.
Misconduct as defined above is viewed as a serious professional deviation that is
participant to sanctions imposed by institutions such as universities, by many professional
associations, and, in the case of research proposed to or funded by a federal agency, by that
agency (2).
The conduct of clinical research in accordance with the principles of Good Clinical Practice
(GCP) helps to ensure that clinical research participants are not exposed to undue risk, and that
data generated from the research are valid and accurate. By providing a basis both for the ethical
and scientific integrity of research involving human participants and for generating valid
observations and sound documentation of the findings, GCP not only serves the interests of the
parties actively involved in the research process, but also protects the rights, safety and wellbeing
of participants and ensures that investigations are scientifically sound and advance public health
goals (1).
Introduction
The Council for International Organizations of Medical Sciences (CIOMS) and the World Health
Organization (WHO) have developed international guidelines for biomedical research. Many
countries and many organizations have evolved or adapted these concepts of biomedical research
to suit their own loco-regional needs as well as societal and religious considerations. The Islamic
Organization for Medical Sciences (IOMS) in Kuwait convened a meeting in Cairo, Egypt in
2004 and produced a document advancing an Islamic viewpoint on these principles and
guidelines (3). This document and similar documents that are more specific to the Islamic view
point are relevant to some of the research area (See appendix for details). The research
committees in Oman take cognizance of all appropriate ethical principles in its perusal of
research in Oman. The central Research and Ethical Review & Approve Committee (RERAC)
oversee and is the ultimate authority for authorizing research conducted at the various health
facilities including hospitals throughout the country.
Compliance to ethical issues in clinical research is of critical importance. Failure to adhere to

ethical standards may not only lead to the loss of reputation of the researcher but can also lead to
litigations as many issues pertaining to ethics are also legally binding. There are also issues
related to the conduct of research which are considered professionally appropriate though they
may not have legal consequences. These issues of professionalism in the conduct of research is
termed here as the etiquette in research. For example, failure to voluntarily disclose a conflict of
interest is more a matter of research etiquette than a cognizable ethical offence.
This document is a guideline that gives an overview of some of the ethical concepts and etiquette
necessary in conducting clinical research and clinical trials. It is not intended to serve as a
complete set of reference on ethical issues. The reader is advised to read additional information
pertaining to any specific research component from available resources in published literature
including online information from recognized and authentic websites for application in a
proposed clinical research. Some important reference material is provided in the Appendices
section of this document as well as in checklists.

In order to appreciate and apply concepts of ethics and etiquettes in clinical studies at various
stages of research, the steps involved in clinical studies should be understood so that all relevant
concepts can be applied at the corresponding stages in the study. Usually, the genesis of a
clinical study would be at the point of identifying a clinical problem or a specific situation that
needs to be explained or better defined. A thorough search for all available information on that
topic should then be done after which an answerable question should be framed and a testable
hypothesis defined. An appropriate study design that can optimally answer the research question
should be identified and proceeded with. The population under consideration, the sample to be
studied, any intervention if it is a clinical trial, safety and anonymity of all participants, duration
of follow up, measurements of study variables, avoidance of bias, analysis and interpretation of
results and dissemination of the study output are some of the important steps that would follow
in a sequential order in most clinical studies. At every step there are ethical issues that will need
attention. In the following chapters, most of the commonly occurring situations related to the
planning, conduct and compilation of clinical studies and the ethical issues associated with each
are described in some detail.

CHAPTER ONE:
Provision and Prerequisites for
a Clinical Trial

1.1 Identifying a Clinical Problem
The need for clinical research invariably starts with the identification of a clinical problem or
detection of an unexpected or unusual event or the need to explain in more detail an existing
clinical situation or to develop a greater understanding of a clinical event or situation. Whether
such an observation was an adverse event or a favourable event, it should not be ignored but
further investigated through appropriate enquiry or research. The role of ethics requires that for
the advancement of scientific knowledge (which in turn can improve health or minimize
suffering), situations that can be studied should be subjected to an appropriate enquiry. Such a
scientific enquiry, whether done by clinicians who encounter the situation or a researcher who
works on that situation, will constitute a research. If the research is conducted on human
participants it can be construed as clinical research. Such research can be through an
experimental design where the researcher intervenes in a specified manner (Clinical Trial) or
through an observational design in which the researcher observes a sequence of events
prospectively or records events retrospectively without intervening in the process (Clinical
Study).
1.2 Information Retrieval and Appraisal
Prior to conducting clinical research, the researcher is obliged to carry out an exhaustive search
to identify and peruse all available and accessible information on the topic to be researched.
Background information that gives a lead to the understanding of the situation and foreground
information about the situation itself should be clearly understood by the researcher. If available
literature on the situation clarifies the problem to be addressed, there is no further need to
address that issue unless there is some lacunae in the understanding of the problem or some new
information has since become available that warrants a review of the problem. It would be
unethical to spend time, effort and resources to repeat research that has already been done. There
is no need to “re-invent the wheel”.
Often there is a tendency by researchers to only look at information that favours their point of
view while ignoring published information that may contradict their idea. This leads to a biased

opinion on the situation that may generate a biased conclusion of the research and further
invalidate a true understanding of the situation. The reader of a research and even policy makers
may not be knowledgeable enough to critique research output and hence poor quality or
inappropriate research may have adverse consequences. Though poor quality research may not
tantamount to fraud, it is the responsibility of the researcher to ensure that all possible biases in
the study are avoided as best as possible.
1.3 Framing an Answerable Research Question
In order to conduct research, a potentially answerable question has to be framed. Answers that
are sought should attempt to resolve the identified clinical problem or provide more knowledge
and information on it. If the information that is gathered will not contribute to the advancement
of the knowledge base on the cited problem, the time, effort and money spent on it would be a
waste. Also, if the information gathered may not lead to a benefit for the individual participant or
even the society but may directly or indirectly harm the individual participant even something as
apparently innocuous as an adverse labelling effect, such research should be avoided.
1.4 Formulating a Research Hypothesis
Every clinical research is actually testing a hypothesis. Even though it may not be specifically
stated in every research proposal or protocol, there is always an implicit hypothesis. Even in the
so called hypothesis generating studies the researcher is actually attempting to establish a fact
whether the findings of the proposed research will generate observation that are consistent with
certain expectations or not. A scientific hypothesis should be testable and even refutable.
Hypotheses that may have a moral, spiritual or other unprovable component should be avoided
as it would be ethically improper to frame such hypothesis.
1.5 Utilising an Appropriate Study Design
Every researcher must employ the best possible research design to answer the identified research
problem. There are many instances where inferior study design has provided the wrong answer.
Historically, there are many instances of useless or even harmful treatment that has been
promoted and propagated by well-meaning clinicians on patients because of published research
that recommended such treatment were the result of poor study design. Hence, every researcher
is ethically obliged to ensure that an appropriate study design is employed so that the conclusions
and recommendations of the research are valid and reliable. There is a hierarchy of evidence in
which the best available evidence is from a well conducted meta-analysis on that topic. In the
absence of a meta-analysis, a Randomized Clinical Trial (RCT) would be the next best design
especially when evaluating the effect of a clinical intervention. Since many clinical problems are
not amenable to RCT because it is not feasible or for ethical reasons, an observational rather than
an interventional study would only be feasible. Among observational studies, prospective studies
are higher in the hierarchy in providing better evidence than retrospective or cross-sectional
studies.
A. Observational Studies
In observational or descriptive studies, data is collected from the participant through direct or
indirect observation or by voluntarily gathering information provided by the participant. Though
superficially it may appear that there are no major ethical issues, there can arise serious ethical
concerns in the utilisation of even voluntarily revealed information. Matters of anonymity,
confidentiality, security of the provided information etc. has ethical overlay. On this matter the
researcher may have access to personal information of a critical nature that may have a bearing
or potential harm to the individual or the community. What should be done with such
information has ethical consideration and hence has to be clearly addressed in the study protocol
itself. It is equally important that only the information that are directly relevant to the research
question should be elicited. It is a common mistake that personal or other information that are
not directly relevant to the study and the hypothesis being tested are collected with the
assumption that some association may show up on the variables collected. Gathering
unnecessary personal data, even though they may be voluntarily obtained from the participants,
is unethical.

B. Interventional Studies
All interventional studies are fraught with ethical issues, many of which are discussed in this
document in various sections. The ethical concepts of beneficence, non-maleficence, justice and
equity are most applicable in this situation. Of equal importance ethically is the control group,
especially on matters of the use of placebo.
1.6 Selecting the Study Population
Based on the nature of the study and the level of existing knowledge, the study population could
vary. For example, in a therapeutic trial of a drug, there are 4 levels of clinical trials ranging
from assessment of tolerance, toxicity, efficacy, effectiveness and continuing on to Post
marketing surveys. The population under consideration in this case will need to be the patients
who require the medication under trial. It may also be necessary to include healthy volunteers in
some cases. It is well documented historically that vulnerable population groups have been
sometimes subjected to therapeutic trials in an unethical manner. Even recently, there are
incriminating evidence that, loop holes in the rules and regulations of some developing countries
have been exploited to run therapeutic trials in populations of those countries while the same
research would not have been possible in developed countries (4-6). Such practice is certainly
unethical and researchers should be aware of such situations and avoid them (7). The
recommended application of the research findings in any study will always be limited to a
population that resembles the study population. In most cases, the entire population of interest
cannot be studied and hence an appropriate sample that represents the population closely will
need to be studied.
1.7 Proper Sampling
Most studies involve a sample from the population of interest. A proper choice of the study
sample such that it truly represents the study population is important, failing which the outcome
of the study cannot be generalized to the parent population. A proper sampling technique and
adequate sample size is critical to reduce selection bias and enhance the power of the study

(which should not be less than 80% in most studies). The researcher must specify and record the
sampling technique. Failure to report the employed sampling process is an error that is seen
frequently. Many instances of wrongly reporting the sampling process (such as stating that the
sample was random when in fact, it was not truly so) are well known and such declarations
amount to fraud in research and not just a breach of research ethics.
1.8 Maintaining and Following up After Intervention
Inadequate follow up after intervention, use of an unproven or inappropriate “proxy” outcome

measure, incomplete follow up, loss to follow up etc. are common problems that happen in
longitudinal and interventional studies. Truthfully recording and documenting all such problems
and analysing them appropriately are ethical requirements.
1.9 Avoiding / Reducing Bias
Bias is defined as a systematic deviation from truth. Hence, the researcher must take every effort
to avoid or at least reduce all potential bias in the study. Bias may occur at various stages in the
study process from selective review of literature to interpretation of results. Among the more
important bias that may commonly occur in clinical studies are selection bias and measurement
bias. Methodological techniques like randomization, blinding, objective evaluation of outcomes
etc. will reduce the potential for such bias.
1.10 Analysing and Managing Data
In recent years especially with the advent of computers, powerful statistical tools are available to
the researchers to analyse and interpret the data obtained through clinical research. Appropriate
use of statistical tests is important to make reasonable and justifiable conclusions. Data
“dredging”, data “tweaking” and such manipulations are often resorted to by researchers to prove
a “point”. Such practices, though may not amount to fraud is poor research etiquette as they can
mislead the users of the research output.

1.11 Conclusion and Interpretation
The conclusion section of the research should confine to what has been achieved by the study
and not extrapolate it to what could be achieved by the application of the study results. It is
common to read many research publications where the stated conclusion exceeds the research
objectives and the results obtained. Such inflated claims may mislead the clinician to
overestimate the applicability of the study outcome in routine clinical practice.
1.12 Research Output
The complete process of writing up the completed research including the analysis and
interpretation can be termed as the research output. There are several issues of ethics and
etiquette that are applicable even at this stage and are highlighted in the following sections in
more detail.

CHAPTER TWO:
Protection of Clinical Trial
Participants

2.1 Declaration of Helsinki
The current revision of the Declaration of Helsinki (8) (Appendix 9) is the accepted basis for
clinical trial ethics, and must be fully followed and respected by all parties involved in the
conduct of such trials. Any deviations from the Declaration must be justified and stated in the
protocol. Independent assurance that participants are protected can only be provided by an ethics
committee and freely obtained informed consent.
2.2 Research and Ethics Committee
The role of the ethics committee (or other board responsible for reviewing the trial) (9) is to
ensure the protection of the rights and welfare of human participants participating in clinical
trials, as defined by the current revision of the Declaration of Helsinki and national and other
relevant regulations, and to provide public reassurance, inter alia, by previewing trial protocols,
etc.
A. Establishment of Research and Ethical Review & Approve Committee

(RERAC)
Since 1998, the Clinical Research and Studies Committee which was under the Non-
Communicable Diseases (NCD) Directorate had been reviewing and approving research in the
Ministry of Health in Oman. In the 7th plan (2006-2010), the Directorate of Research and
Studies revised and updated the rules and functions of the Committee and adopted new
guidelines and forms for submission of proposals. The Research and Ethical Review & Approve
Committee (RERAC) was promulgated by Ministerial Decision and was constituted on 23
February 2011 with a specific mandate and Terms of Reference. The Committee consists of
members comprising statisticians, epidemiologists, health service providers, clinical researchers,
information technology experts and specialists in bioethics. All of them are from the Ministry of
Health (MoH), Sultan Qaboos University or the Oman Medical Specialty Board (OMSB).
RERAC is a central committee in MoH and in addition, every region has its own Regional
Research Committee that evaluates research and ethical issues related to research conducted in

their respective regions. They work in accordance with the guidelines laid down by central
RERAC. In 2015, RERAC was reformed with new members along with a revised system of
reviewing to meet the new process of online submission of research proposals.
B. Role of RERAC from an Ethical Point of View
RERAC is the central committee in the MoH and it is responsible for overseeing that all
submitted protocols are in accordance with the research principles laid down by various
international agencies and in particular the Helsinki Declaration of WORLD MEDICAL
ASSOCIATION (WMA), the Good Clinical Research Practice laid down by WHO, Ethics of
Clinical Research from an Islamic Perspective and similar recognized documents on Clinical
Research Ethics. Every research proposal that is submitted to RERAC is reviewed using a
checklist to ensure that strict ethical guidelines and appropriate research methodology are
followed. Feedback is given to the Principal Researcher on the acceptability of the proposal.
Those that do not meet the acceptable standards are rejected or disapproved. A copy of the
checklist is attached in the Appendix for reference.
The roles of the RERAC are to:
1. Review research proposals from both scientific and ethical aspects in accordance with the
accepted scientific rules and regulations
2. Participate in developing policies, regulations and plans that are required to conduct
scientific and ethical research.
3. Approve rules, guidelines, research proposal forms, review mechanisms and provide
researchers with them
4. Ensure that all clinical, epidemiological and other types of research are in accordance
with the to the scientific and ethical rules and regulations of the Sultanate of Oman
5. Provide the regional research committees with rules, guidelines, research proposal forms,
review mechanisms which are applied at RERAC

2.3 Informed Consent of Trial Participants
In obtaining and documenting informed consent, the researcher should comply with the
applicable regulatory requirement(s) as well as adherence to GCP and to the ethical
principles that have their origin in the Declaration of Helsinki. Prior to the beginning of
the trial, the researcher should have the RERAC written approval of the written informed
consent form and any other written information to be provided to the study participants
(10, 11).
The written informed consent form and any other written information to be provided to
participants should be revised whenever important new information becomes available
that may be relevant to the participant’s consent.
Any revised written informed consent form and written information should receive the
RERAC approval in advance.
The participant or the participant’s legal representative should be informed in a timely
manner if new information becomes available that may be relevant to the participant’s
willingness to continue participation in the trial. The communication of such information
should be documented.
Neither the researcher nor staff involved in the trial should coerce or unduly influence a
participant to enrol or to continue to participate in a trial.
None of the oral and written information concerning the trial, including the written
informed consent form, should contain any language that causes the participant or the
participant’s legal representative to waive or to appear to waive any legal rights, or that
releases or appears to release the researcher , the institution, the sponsor, or their agents
from liability for negligence (10).
The researcher, or a person designated by the researcher , should fully inform the
participant or, if the participant is unable to provide informed consent, the participant’s
legal representative, of all pertinent aspects of the trial including the written information
given approval/favourable opinion by the RERAC.

The language used in the oral and written information about the trial, including the
written informed consent form should be understandable to the participant or the
participant’s legal representative (10).
Before informed consent is obtained, the researcher, or a person designated by the
researcher, should provide the participant or the participant’s legal representative ample
time and opportunity to enquire about details of the trial and to decide whether or not to
participate in the trial. All questions about the trial should be answered to the satisfaction
of the participant or the participant’s legal representative (10).
Prior to a participant’s enrolment in the trial, the written informed consent form should be
signed and personally dated by the participant or the participant’s legal representative,
and by the person who conducted the informed consent discussion (12).
If a participant is unable to read or if a legal representative is unable to read, an impartial
witness should be present during the entire informed consent discussion. After the written
informed consent form and any other written information to be provided to participant is
read and explained to the participant or the participant’s legal representative, and after the
participant or the participant’s legal representative has orally consented to the
participant’s participation in the trial, and, if capable of doing so, has signed and
personally dated the informed consent form, the witness should sign and personally date
the consent form. By signing the consent form, the witness attests that the information in
the consent form and any other written information was accurately explained to, and
apparently understood by, the participant or the participant’s legal representative, and that
informed consent was freely given by participant or the participant’s legal representative
(10, 12).
Both the informed consent discussion and the written informed consent form and any
other written information to be provided to participants should include explanations of
the following (10):
 That the trial involves research.
 The purpose of the trial.

 The trial treatment(s) and the probability for random assignment to each
treatment.
 The trial procedures to be followed, including all invasive procedures.
 The subject's responsibilities.
 Those aspects of the trial that are experimental.
 The reasonably foreseeable risks or inconveniences to the participant and,
when applicable, to an embryo, foetus, or nursing infant.
 The reasonably expected benefits. When there is no intended clinical benefit to
the subject, the participant should be made aware of this.
 The alternative procedure(s) or course(s) of treatment that may be available to
the subject, and their important potential benefits and risks.
 The compensation and/or treatment available to the participant in the event of
trial-related injury.
 The anticipated prorated payment, if any, to the participant for participating in
the trial.
 The anticipated expenses, if any, to the participant for participating in the trial.
 That the subject's participation in the trial is voluntary and that the participant
may refuse to participate or withdraw from the trial, at any time, without
penalty or loss of benefits to which the participant is otherwise entitled.
 That the monitor(s), the auditor(s), the RERAC will be granted direct access to
the subject's original medical records for verification of clinical trial procedures
and/or data, without violating the confidentiality of the subject, to the extent
permitted by the applicable laws and regulations and that, by signing a written
informed consent form, the participant or the subject's legally acceptable
representative is authorizing such access.
 Those records identifying the participant will be kept confidential and, to the
extent permitted by the applicable laws and/or regulations, will not be made
publicly available. If the results of the trial are published, the subject’s identity
will remain confidential.

 That the participant or the subject's legally acceptable representative will be
informed in a timely manner if information becomes available that may be
relevant to the subject's willingness to continue participation in the trial.
 The person(s) to contact for further information regarding the trial and the
rights of trial subjects, and whom to contact in the event of trial-related injury.
 The foreseeable circumstances and/or reasons under which the subject's
participation in the trial may be terminated.
 The expected duration of the subject's participation in the trial.
 The approximate number of participants involved in the trial.
Prior to participation in the trial, the participant or the subject's legally acceptable
representative should receive a copy of the signed and dated written informed consent
form and any other written information provided to the subjects. During a subject’s
participation in the trial, the participant or the subject’s legally acceptable representative
should receive a copy of the signed and dated consent form updates and a copy of any
amendments to the written information provided to subjects (10).
When a clinical trial (therapeutic or non-therapeutic) includes participants who can only
be enrolled in the trial with the consent of the subject’s legally acceptable representative
(e. g. minors, or patients with severe dementia), the participant should be informed about
the trial to the extent compatible with the subject’s understanding and, if capable, the
participant should assent, sign and personally date the written informed consent.
Except as described in (next point), a non-therapeutic trial (i. e. a trial in which there is no
anticipated direct clinical benefit to the subject) should be conducted in participants who
personally give consent and who sign and date the written informed consent form.
Non-therapeutic trials may be conducted in participants with consent of a legally
acceptable representative provided the following conditions are fulfilled (10):
 The objectives of the trial cannot be met by means of a trial in participants who
can give informed consent personally.
 The foreseeable risks to the participants are low.
 The negative impact on the subject’s well-being is minimized and low.

 The trial is not prohibited by law.
 The approval of the RERAC is expressly sought on the inclusion of such
subjects, and the written approval covers this aspect.
Such trials, unless an exception is justified, should be conducted in patients having a disease or
condition for which the investigational product is intended. Participants in these trials should be
particularly closely monitored and should be withdrawn if they appear to be unduly distressed.
In emergency situations, when prior consent of the participant is not possible, the consent
of the subject's legally acceptable representative, if present, should be requested. When
prior consent of the participant is not possible, and the subject’s legally acceptable
representative is not available, enrolment of the participant should require measures
described in the protocol and/or elsewhere, with documented approval by the Institutional
Review Board (IRB), to protect the rights, safety, and well-being of the participant and to
ensure compliance with applicable regulatory requirements. The participant or the
subject's legally acceptable representative should be informed about the trial as soon as
possible and consent to continue and other consent as appropriate should be requested
(10).
2.4 Privacy and Confidentiality
The researcher must establish secure safeguards of confidentiality of research data as described
in the current revision of the international ethical guidelines for biomedical research involving
human subjects (13).
One of the conditions on which informed consent rests is that participants’ privacy will be
respected. Privacy refers to “persons and to their interest in controlling the access of others to
themselves,” and no participant should ever be forced to reveal information to the researcher that
the participant does not wish to reveal. Confidentiality is equally important and refers to
information about the person that has been revealed to the researcher. Especially in medical
research, researchers are in a position of responsibility and dealing with a great deal of very
personal information that their participants have agreed to disclose. Safeguarding this
information is a key part of the relationship of trust and respect that exists between the researcher
and the participant. Depending on the type of study, personal identifiers such as names,
birthdates, places of residence etc. may or may not have to be collected. In situations where these
data are collected, researchers may take several steps to ensure the confidentiality of their
participants’ information, including (13, 14):
Use participant codes to label data instead of using names, and keeping a separate list of
code-to-name match-ups.
In interview studies, use the participant’s first name only (or even using an alias) when
recording or publishing data. Most of the time, an alias will suffice, and is especially
important to protect the participant if the published data includes other identifiers such as
age, gender, community affiliations, or place of residence.
Be careful not to publish enough information that the participant can be identified.

CHAPTER THREE:
Ethics of Research Publication

3.1 Plagiarism
Authors who present the words, data, or ideas of others with the implication that they are their
own, without attribution in a form appropriate for the medium of presentation, are committing
theft of intellectual property and may be guilty of plagiarism and thus of research misconduct
(15).
An author should cite the work of others even if he or she had been a co-author or editor of the
work to be cited or had been an adviser or student of the author of such work, whether published
or unpublished and whether it had been written work, an oral presentation, or material on a
website (2).
3.2 Misuse of Privileged Information
One particularly serious form of plagiarism is the misuse of privileged information taken from a
grant application or manuscript received from a funding agency or journal editor for peer review,
because it not only deprives the original author of appropriate credit by citation but could also
pre-empt priority of first publication or use of the original idea to which the source author is
entitled. Also, one who breaches confidentiality by showing a privileged unpublished document
to an unauthorized person can be held to a shared responsibility for any subsequent plagiarism of
the document committed by that unauthorized person (2).
3.3 Data
A. Integrity of Data
Fabrication and falsification of research results are serious forms of misconduct. It is the primary
responsibility of a researcher to avoid either a false statement or an omission that distorts the
research record. In order to preserve accurate documentation of observed facts with which later
reports or conclusions can be compared, every researcher has an obligation to maintain a clear
and complete record of data acquired. These records should include sufficient detail to permit

examination for the purpose of replicating the research, responding to questions that may result
from unintentional error or misinterpretation, establishing authenticity of the records, and
confirming the validity of the conclusions (2, 13).
B. Use and Misuse of Data
Research integrity requires not only that the reported conclusions are based on accurately
recorded data or observations but also that all relevant observations are reported. It is considered
a breach of research integrity to fail to report data that contradict or merely fail to support the
reported conclusions, including the purposeful withholding of information about confounding
factors. If some data should be disregarded for a stated reason, confirmed by an approved
statistical test for neglecting outliers, the reason should be stated in the published accounts (2).
C. Ownership of and Access to Data
Research data obtained in studies performed at an institution are not the property of the
researcher who generated or observed them or even of the principal researcher of the research
group. They belong to the institution it was conducted in, which can be held accountable for the
integrity of the data even if the researchers have left that institution (16).
A principal investigator (PI) who leaves an institution is entitled to make a copy of data to take to
another institution so as to be able to continue the research or, in some cases, to take the original
data, with a written agreement to make them available to the original institution on request
within a stated time period. A formal Agreement on Disposition of Research Data should be
negotiated in such situations including the division of research materials e. g. specimens etc. (2).
D. Storage and Retention of Data
Data should be stored securely for at least 3 years after completion of the project, submission of
the final report to a sponsoring agency, or publication of the research, whichever comes last (2).

E. Interference
A research misconduct is improper withholding of data and intentional removal of, interference
with, or damage to any research-related property, including instruments and other equipment (2).
3.4 Authorship and other Publication Issues
It is an ethical obligation for a researcher to publish research results in a timely manner so as to

communicate it to the scholarly world so that other researchers may build on the reported
findings. The reported data and methods should be sufficiently detailed so that other researchers
could attempt to replicate the results.
A commercial sponsor of a research project may not have a veto over a decision to publish, but a
delay of publication for an agreed period, not to exceed six months, may be allowed in order to
permit filing of a patent application (2, 17).
A. Criteria for Authorship
Publication must give appropriate credit to all authors for their roles in the research. If more than
one person contributes significantly, the decision of which names are to be listed as co-authors
should reflect the relative contributions of various participants in the research. Many professional
associations and research journals have specified criteria for authorship. One common standard
appearing in many of these statements is that each author should have participated in formulating
the research problem, interpreting the results, and writing the research paper, and should be
prepared to defend the publication against criticisms. A person's name should not be listed as
author without his or her knowledge, permission, and review of the final version of the
manuscript that includes the names of all co-authors (2, 17).
A person whose contribution merits co-authorship should be named even in oral presentations,
especially when abstracts or transactions of the proceedings of a conference at which a paper is
presented will be published. The entitlement to authorship should be the same whether or not a
person is still at the original location of the research when a paper is submitted for publication.

Just as one should include all those who have a right to be listed as co-authors, so one should
avoid the listing of so-called honorary authors, who do not meet the criteria for authorship (16).
Many published versions of standards for authorship suggest the use of alternative forms of
acknowledgment within the paper for contributions that do not merit co-authorship, e. g. , for
technical assistance, for providing research materials or facilities, or for meeting some but not all
of the stated criteria for authorship. To avoid misunderstandings and even recriminations, the
inclusion and exclusion of names of research participants as co-authors should be made clear to
all participants in the research prior to submission of the manuscript (2).
B. Order of Authors
Customs regarding the order in which co-authors' names appear vary with the discipline.
Whatever the discipline, it is important that all co-authors understand the basis for assigning an
order of names and agree in advance to the assignments (16, 18).
A corresponding, or senior author (usually the first or last of the listed names in a multi-authored
manuscript) should be designated for every paper, who will be responsible for communicating
with the publisher or editor, for informing all co-authors of the status of review and publication,
and for ensuring that all listed authors have approved the submitted version of the manuscript.
This person has a greater responsibility than other co-authors to vouch for the integrity of the
research report and should make every effort to understand and defend every element of the
reported research (2, 15).
C. Self-citations
In citing one's own unpublished work, an author must be careful not to imply an unwarranted
status of a manuscript. A paper should not be listed as submitted, in anticipation of expected
submission. A paper should not be listed as accepted for publication or in press unless the author
has received galley proof or page proof or has received a letter from an editor or publisher stating
that publication has been approved, participant perhaps only to copy-editing (2).

D. Duplicate Publication
Researchers should not publish the same article in two different places without very good reason
to do so, unless appropriate citation is made in the later publication to the earlier one, and unless
the editor is explicitly informed. The same rule applies to abstracts. If there is unexplained
duplication of publication without citation, sometimes referred to as self-plagiarism, a reader
may be deceived as to the amount of original research data (2, 15).
It is improper in most fields to allow the same manuscript to be under review by more than one
journal at the same time. Very often journals specify that a submitted work should not have been
published or submitted for publication elsewhere, and some journals require that a submitted
manuscript be accompanied by a statement to that effect.
An author should not divide a research paper that is a self-contained integral whole into a
number of smaller papers merely for the sake of expanding the number of items in the author's
bibliography.
Publication of two papers representing different interpretations of the same data by different
participants in the research is confusing to readers. The participants with differing interpretations
of the same data should attempt to reconcile their differences in a single publication or present
their alternative interpretations in the same paper (2, 18).
E. Early Release of Information Prior to Publication
It is unethical to release to the media scientific information contained in an accepted manuscript

prior to the publication. An exception may be made if a public health issue is involved and the
editor agrees to an advance release (2).

3.5 Obligation to Report
A. Reporting Suspected Misconduct
Reporting suspected research misconduct is a shared and serious responsibility of all members of
the research team. Any person who suspects research misconduct has an obligation to report the
allegation to the central committee (2, 15).
B. Correction of Errors
If a finding of error, either intentional or inadvertent, or of plagiarism should be made

subsequent to publication, the researcher has an obligation to submit a correction or retraction in
a form specified by the editor or publisher (2).
3.6 Conflict of Interest
There are some circumstances in which conflicts of interest could compromise the integrity of
research or even lead to research misconduct, for example, by the distortion of research
outcomes as a result of personal financial interests of a researcher. A notice of conflicting
financial interests must be included (18). Many journals and funding agencies require such
disclosures. When asked to enter into peer review of a manuscript or proposal, a researcher must
disclose any conflict of interest with respect to the matter under review (2, 17).
3.7 Joining International Studies
When joining international studies, ethical considerations need to be evaluated and in the context
of Oman. The consent should be in a language understood by the layperson taking into
consideration local terminologies. The data collected should be protected and ownership
identified clearly in the application stating the accessibility of the data and the authorship and
protection of rights of researchers involved, including citations for the various levels of data.

CHAPTER FOUR:
Responsibilities of the Investigator
and the Investigational Institution

4.1 Qualifications of the Researcher and Agreements
The researchers should:
Have sufficient qualifications (education, training and experience) recognized by the

Sultanate of Oman.
Have good knowledge of and experience in the field of study defined by the protocol.
Be competent in the field of study as evidenced by an updated curriculum vitae.
Be competent and experienced in research or receive scientific support from experienced
colleague(s).
Have the necessary capabilities to participate in and take full responsibility for the proper
conduct of the study.
Be thoroughly familiar with and be qualified for the appropriate use of the investigational
product(s)/materials, as described in the protocol.
Be aware of, and comply with the RERAC guidelines and the applicable regulatory
requirements.
Permit monitoring, auditing and inspection by the Centre of Studies and Research staff.
4.2 Medical Care of Clinical Trial Participants
A qualified physician, who is a principal investigator or a co-investigator of the trial,

should be responsible for all trial-related clinical decisions.
During and following a subject's participation in a trial, the investigational institution
should ensure that adequate medical care is provided to a participant for any adverse
events, including clinically significant laboratory values, related to the trial. The
investigational institution should inform a participant when medical care is needed for
intercurrent illness(es) of which the researcher becomes aware.
Although a participant is not obliged to give his/her reason(s) for withdrawing
prematurely from a trial, the researcher should make a reasonable effort to ascertain the
reason(s), while fully respecting the participants’ rights (10, 12).

4.3 Compliance with Protocol
The investigational institution should assure that conduct of trial is in compliance with
the protocol which was agreed to by the sponsor and given approval by the RERAC.
The researcher should not implement any changes in the protocol without agreement by
the sponsor and prior review and approval from the RERAC, with the following
exceptions:
 To eliminate an immediate hazard(s) to trial participants. The implemented

deviation or change, the reasons for it, and, if appropriate, the proposed protocol
amendment(s) should be submitted to RERAC as soon as possible.
 Minor change(s) involves only logistical or administrative aspects of the trial (e. g.,
change of monitor(s), change of telephone number(s)), to be included in periodical
report to RERAC.
The researcher, or person designated by the researcher, should document and explain any
deviation from the approved protocol (10, 12).
4.4 Investigational Product(s)
The investigational institution is responsible about the accountability of the

investigational product(s) at the trial site(s).
The investigational institution may assign some or all of the researcher's/institution’s
duties for investigational product(s) accountability at the trial site(s) to an appropriate
researcher or another appropriate individual who is under the supervision of the
investigational institution.
The investigational institution and/or or other appropriate individual, who is designated
by the investigational institution, should maintain records of the product's delivery to the
trial site, the inventory at the site, the use by each participant , and the return to the
sponsor or alternative disposition of unused product(s). These records should include
dates, quantities, batch/serial numbers, expiration dates (if applicable), and the unique
code numbers assigned to the investigational product(s) and trial subjects. Researchers

should maintain records that document adequately that the participants were provided the
doses specified by the protocol and reconcile all investigational product(s) received from
the sponsor (10).
The investigational product(s) should be stored as specified by the sponsor and in
accordance with applicable regulatory requirement(s).
The researcher should ensure that the investigational product(s) are used only in
accordance with the approved protocol (19).
The researcher , or a person designated by the investigational institution, should explain
the correct use of the investigational product(s) to each participant and should check, at
intervals appropriate for the trial, that each participant is following the instructions
properly (10, 17).
4.5 Randomization Procedures and Un-blinding
The researcher should follow the trial's randomization procedures, if any, and should ensure that
the code is broken only in accordance with the protocol. If the trial is blinded, the researcher
should promptly document and explain to the sponsor any premature un-blinding (e.g. accidental
un-blinding, un-blinding due to a serious adverse event) of the investigational product(s) (10,
12).
4.6 Records and Reports
The researcher should ensure the accuracy, completeness, legibility, and timeliness of the
data reported to the sponsor in the Case Record Form (CRF) and in all required reports.
Data reported on the CRF, which are derived from source documents, should be
consistent with the source documents or the discrepancies should be explained.
Any change or correction to a CRF should be dated, initialled, and explained (if
necessary) and should not obscure the original entry (i.e. an audit trial should be
maintained); this applies to both written and electronic changes and corrections. Sponsors
should provide guidance to researchers and/or the researchers' designated representatives
on making such corrections. Sponsors should have written procedures to assure that

changes or corrections in CRFs made by sponsor's designated representatives are
documented, are necessary, and are endorsed by the researcher. The researcher should
retain records of the changes and corrections (10).
The investigational institution should maintain the trial documents. The investigational
institution should take measures to prevent accidental or premature destruction of these
documents.
Documents should be retained until at least 3 years or at least 3 years have elapsed since
the formal discontinuation of clinical development of the investigational product. These
documents should be retained for a longer period, however, if required by the applicable
regulatory requirements or by an agreement with the sponsor. In this case it is the
responsibility of the sponsor to inform the investigational institution as to when these
documents no longer need to be retained (10).
The financial aspects of the trial should be documented in an agreement between the
sponsor and the investigational institution.
Upon request of the monitor, auditor or RERAC, the investigational institution should
make available for direct access all requested trial-related records.
4.7 Safety Reporting
All Serious Adverse Events (SAEs) should be reported immediately to the sponsor except
for those SAEs that the protocol or other document (e.g. investigational product
brochure) identifies as not needing immediate reporting. The immediate reports should be
followed promptly by detailed, written reports. The immediate and follow-up reports
should identify participants by unique code numbers assigned to the trial participants
rather than by the participants' names, personal identification numbers, and/or addresses
(10, 12). The researcher must also comply with the applicable regulatory requirement(s)
related to the reporting of unexpected serious adverse drug reactions to the Directorate
General of Pharmaceutical Affairs & Drug Control (DGPADC) and the RERAC.

Adverse events and/or laboratory abnormalities identified in the protocol as critical to
safety evaluations should be reported to the sponsor according to the reporting
requirements and within the time periods specified by the sponsor in the protocol (12).
For reported deaths, the researcher should supply the sponsor and the RERAC with any
additional requested information (e.g. autopsy reports and terminal medical reports).
4.8 Premature Termination or Suspension of a Trial
There can be several justifiable reasons for prematurely terminating a clinical trial. If such a
situation can be anticipated prior to starting the study, the reasons and process for premature
termination should be specified in the research protocol. For e. g. : If an interim analysis of a
clinical trial shows that the undue benefit (or harm) in one of the treatment arms is significantly
higher (or lower), the study may be terminated and the results disclosed for the benefit of all
concerned (11). (In such cases, the statistical level of significance is set at a higher level to
reduce chance alpha error in the interim stage). So also an interim analysis, which was not pre-
planned, may be necessitated if undue benefit (or risk) is observed in any of the study groups.
There may also be other unexpected and unplanned reason for discontinuation such as new
information on the toxicology of a medication being used in the study, therapeutic benefit of an
intervention, introduction of a superior agent during the study period, availability of a better
diagnostic test etc. There may also be other reasons that may necessitate the discontinuation or
suspension of a research project.
If the trial is terminated prematurely or suspended for any reason, investigational

institution should (10):
 Promptly inform the trial participants.
 Assure appropriate therapy and follow-up for the participants, and,
 Inform the RERAC.
If the researcher terminates or suspends a trial without prior agreement of the sponsor, the
researcher should inform the institution and RERAC and should provide a detailed
written explanation of the termination or suspension.

If the sponsor terminates or suspends a trial, the researcher should promptly inform the
institution and RERAC and provide a detailed written explanation of the termination or
suspension (10).
If RERAC terminates or suspends its approval of a trial, the researcher should inform the
investigational institution. The latter, should promptly notify the sponsor forwarding the
detailed written explanation of the termination or suspension from RERAC.
4.9 Final Report(s) by Investigational Institution
Whether the trial is completed or prematurely terminated, the sponsor and Researcher should
ensure that the clinical trial/study reports are prepared and provided to the RERAC.

CHAPTER FIVE:
Responsibilities of the Sponsor

5.1 Quality Assurance and Quality Control
The sponsor is responsible for implementing and maintaining quality assurance and
quality control systems with written Standard Operating Procedures (SOPs) to ensure that
trials are conducted and data are generated, documented (recorded), and reported in
compliance with the protocol, GCP, and the applicable regulatory requirement(s) (10,
20).
When using electronic trial data handling and/or remote electronic trial data systems, the
sponsor should (10):
 Ensure and document that the electronic data processing system(s) conforms to the
sponsor’s established requirements for completeness, accuracy, reliability, and
consistent intended performance (i. e., validation).
 Maintain SOPs for using these systems.
 Ensure that the systems are designed to permit data changes in such a way that the
data changes are documented and that there is no deletion of entered data (i. e.,
maintain an audit trial, data trial, etc.).
 Maintain a security system that prevents unauthorized access to the data.
 Maintain a list of the individuals who are authorized to make data changes.
 Maintain adequate backup of the data.
 Safeguard the blinding, if any (e. g., maintain the blinding during data entry and
processing).
The sponsor should obtain the researcher 's/institution's agreement:
 To conduct the trial in compliance with GCP, with the applicable regulatory
requirement(s), and with the protocol agreed to by the sponsor and given approval
by the RERAC.
 To comply with procedures for data recording/reporting: and
 To permit monitoring, auditing, and inspection.

 To retain the essential documents that should be in the investigational institution
files until the sponsor informs the investigational institution these documents are
no longer needed.
5.2 Compensation to Participants and Researchers
If applicable, the sponsor should provide insurance or should indemnify (legal and
financial coverage) the researcher /the institution against claims arising from the trial,
except for claims that arise from malpractice and/or negligence (10).
The sponsor's policies and procedures should address the costs of treatment of trial
participants in the event of trial-related injuries in accordance with the applicable
regulatory requirement(s) (11).
When trial participants receive compensation, the method and manner of compensation
should be as per MoH rules and guidelines.
5.3 Information on Investigational Product(s)
When planning trials, the sponsor should ensure that sufficient safety and efficacy data
from nonclinical studies and/or clinical trials are available to support human exposure by
the route, at the dosages, for the duration, and in the trial population to be studied.
The sponsor should update the Investigational product brochure as significant new
Information becomes available (10).
5.4 Manufacturing, Packaging, Labelling and Coding Investigational Product
The sponsor should ensure that the investigational product(s) (including active
comparator(s) and placebo, if applicable) is characterized as appropriate to the stage of
development of the product(s), is manufactured in accordance with all GMP guidance,
and is coded and labelled in a manner that protects the blinding, if applicable. In addition,
the labelling should comply with applicable regulatory requirement(s) (10, 21).
The sponsor should determine, for the investigational product(s), acceptable storage
temperatures, storage conditions (e.g., protection from light), storage times, reconstitution

fluids and procedures, and devices for product infusion, if any. The sponsor should
inform all involved parties (e.g., monitors, researchers, pharmacists, storage managers) of
these determinants (22).
The investigational product(s) should be packaged to prevent contamination and
unacceptable deterioration during transport and storage (22).
In blinded trials, the coding system for the investigational product(s) should include a
mechanism that permits rapid identification of the product(s) in case of a medical
emergency, but does not permit undetectable breaks of the blinding.
If significant formulation changes are made in the investigational or comparator
product(s) during the course of clinical development, the results of any additional studies
of the formulated product(s) (e.g., stability, dissolution rate, and bioavailability) needed
to assess whether these changes would significantly alter the pharmacokinetic profile of
the product should be available prior to the use of the new formulation in clinical trials
(10).
5.5 Supplying and Handling Investigational Product(s)
The sponsor is responsible for supplying the researcher(s)/institution(s) with the

investigational product(s) (21).
The sponsor should not supply an investigational institution with the investigational
product(s) until the sponsor obtains all required documentation (8) (e.g., approval from
RERAC and DGPADC.
The sponsor should ensure that written procedures include instructions that the
investigational institution should follow for the handling and storage of investigational
product(s) for the trial and documentation thereof. The procedures should address
adequate and safe receipt, handling, storage, dispensing, retrieval of unused product from
subjects, and return of unused investigational product(s) to the sponsor (or alternative
disposition if authorized by the sponsor and in compliance with the applicable regulatory
requirement(s)) (10).
The sponsor should:

 Ensure timely delivery of investigational product(s) to the researcher(s).
 Maintain records that document shipment, receipt, disposition, return, and
destruction of the investigational product(s).
 Maintain a system for retrieving investigational products and documenting this
retrieval (e.g., for deficient product recall, reclaim after trial completion, expired
product reclaim).
 Maintain a system for the disposition of unused investigational product(s) and for
the documentation of this disposition.
 Take steps to ensure that the investigational product(s) are stable over the period of
use.
 Maintain sufficient quantities of the investigational product(s) used in the trials to
reconfirm specifications, should this become necessary, and maintain records of
batch sample analyses and characteristics. To the extent stability permits, samples
should be retained either until the analyses of the trial data are complete or as
required by the applicable regulatory requirement(s), whichever represents the
longer retention period.
5.6 Record Access
The sponsor should verify that each participant has consented, in writing, to direct access to
his/her original medical records for trial-related monitoring, audit, RERAC review, and
regulatory inspection.
5.7 Safety Information
The sponsor is responsible for the on-going safety evaluation of the investigational
product(s).
The sponsor should promptly notify all concerned researcher(s)/ institution(s) and the
RERAC of findings that could affect adversely the safety of subjects, impact the conduct
of the trial, or alter the RERAC approval to continue the trial.

5.8 Adverse Drug Reaction Reporting
The sponsor should expedite the reporting to all concerned researcher(s)/institutions(s),

and RERAC, and to the DGPADC of all Adverse Drug Reactions (ADRs) that are both
serious and unexpected.
Such expedited reports should comply with the applicable regulatory requirement(s) (23).
The sponsor should submit to the Drug Control Department all safety updates and
periodic reports, as required by applicable regulatory requirement(s) (10).

CHAPTER SIX:
Documents and Requirements for
Clinical Studies and Trials

6.1 Table of Documents Required to be Submitted to Central RERAC for
Approval of Clinical Trials
Title of Document Purpose/detail

1. MoH’s Form A1 A mandatory requirement of
RERAC
2. Declaration of conflict of interest for all
researchers
3. Insurance contract with local insurance company To document that compensation to
(Not yet available in Oman) subject(s) for trial-related injury will
be available
4. Good Manufacturing Practice (GMP) certificates To ensure that the investigational
for the manufacturing site if the investigational drug is manufactured as per
drug not registered in Oman acceptable international standards
5. Good Laboratory Practice (GLP) Certificate (if To ensure that the investigational test
required) “For tests performed outside MoH is performed in an internationally
certified laboratories” acceptable standard
6. No Objection letter from sites where the trial will To ensure the site where the clinical
take place trial will be conducted is aware and
agrees to participate if approved
7. Consent form Complying with RERAC standards
In English and Arabic
8. Patient information leaflets In English and Arabic
9. Any other Material/Adverts about the trial If used
10. CVs of all researchers
11. Sample of label(s) to be attached to all To be stated clearly “for
investigational product(s) and/or trial-related investigational purposes, not for
materials sale” in English and Arabic

12. Instructions of handling ,storage, reconstitution
and dispensing of the investigational product(s)
and/or trial- related materials
13. Certificate of analysis of drug content To document identity, purity and
strength of investigational product.
This may require Halal certificate for
animal source products.
14. Shipping records for To document shipment dates,
investigational product(s) and trial- related Batch numbers, and method of
materials shipment of investigational
product(s) and trial-related materials.
Allows tracking of product batch,
review of shipping conditions, and
accountability.
15. Signed ADR Reporting Declaration The principal researcher will be held
accountable to forward all ADR to
Directorate General of
Pharmaceutical Affairs & Drug
Control within 15 working days of a
minor incident or 2 working days of
a major incident
16. Normal value(s)/range(s) for medical/ laboratory/ To document normal values and/ or
technical procedure(s) and/or test(s) included in ranges of the tests
the protocol
17. Financial aspects of the trial To document the financial agreement

between the researcher /institution
and/or the sponsor for the trial
18. Sample of CRF Case Report Form

19. Amendment Declaration form Declaration from the PI to submit to
the central committee (RERAC) any
amendments to the protocol or
amendments to any previously
submitted documents
20. Decoding procedure for blinded trial To state how, in case of an
emergency, identity of blinded
investigational product can be
revealed without breaking the blind
for the remaining subjects
21. Additional requirements for International multicentre trials
21. 1 Original protocol

21. 2 Original consent form In English and if available in Arabic
21. 3 Customized consent form (if needed) In English and Arabic
21.4 List of the countries where the study is
submitted and it status
(Approved/Pending/Rejected)
21.5 Signed agreement between all parties
involved in the trial, e. g.
-Researcher /institution and sponsor
-Researcher /institution
After fulfilment of the above requirements, RERAC will give the final decision in 1-2 months.
Note that failure to submit required documents will result in further delay. Once the preliminary
approval is granted, the primary researcher must submit to RERAC a document stating that the
site is suitable and ready to conduct the trial and that all necessary training has been completed.
This is to ensure that the trial will be conducted as designed. The final approval will be granted
within 2 weeks of receiving this document.

6.2 Documents Required During the Clinical Conduct of the Trial
RERAC requires periodical reports during the clinical trials (every 6 months if the duration of
the study is more than a year and every 3 months for trials less than a year)
These reports should include the following:-
Table of documents required to be submitted to Central Research Committee (RERAC) during
the clinical conduct of the trials.
1. Accrual summary Including list of pre-trial screened, eligible and recruited
participants
2. Copies of Signed consent
3. Copies of reported ADR Which should have already been forwarded to Directorate
General of Pharmaceutical Affairs & Drug Control
4. Relevant communications Any agreements or significant discussions regarding trial
administration, protocol violations, trial conduct, adverse
event (AE) reporting.
6.3 Other Documents which are Required During the Clinical Conduct of
the Trial
In addition to having on file the above documents in the previous 2 tables (Section 6.1 and
Section 6.2), the following should be added to the files during the trial as evidence that all new
relevant information is documented as it becomes available.
1. Signed CRF forms
2. Subjects’ ID code list, if blinded To permit identification of all participants enrolled
in the trial in case follow-up is required.

3. Investigational product(s) To document that investigational
accountability at the site products(s) have been used according to the
protocol
4. Tissue banking data when To document location and identification of retained
possible samples if assays need to be repeated
5. Master Randomization List
Please note that there will be periodical Audits at any time during the trial and the above
documents may be requested.
6.4 The Required Documents by the End of the Trial
Upon completion or termination of the trial, the following are required to be reported to RERAC:

1. Documentation of investigational To document destruction of unused
product(s) destruction investigational product(s) by sponsor or at site
2. Completed participant identification To permit identification of all participants
code list enrolled in the trial in case follow-up is
required. List should be kept in a confidential
manner and for agreed-upon time
3. Final trial close-out monitoring report To document that all activities required for
trial close-out are completed, and copies of
essential document are held in the appropriate
files
4. Treatment allocation and decoding To document any decoding that may have
documentation occurred
5. Final report by researcher To document completion of the trial
6. Clinical study report To document results and interpretation of trial

References

References
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and scientific implications of the globalization of clinical research. New England Journal of
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research. 2000. Available from: http://www.who.int/tdr/publications/training-guideline-
publications/operational-guidelines-ethics-biomedical-research/en/.
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Health Research; 2005.

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Available at: http://www.uniteforsight.org/research-course/module4. [Accessed on: 2014 October
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http://www.mrc.ac.uk/news-events/publications/good-research-practice-principles-and-guidelines/.
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10/imp_03-2011.pdf. [Accessed on: 2015 March 12]
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February 3 2015]
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Event Reporting to IRBs - Improving Human Subject Protection 2009. Available at:
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2015 May 22]

Appendices

Appendix 1: Glossary of Terms
Few important terms that are used in this document are briefly defined below as per standard
definition given in the references that are cited.
Investigator / Researcher:
The qualified scientist who undertakes the scientific, legal and ethical responsibilities of the
research that he/she conducts by himself/herself or on behalf of an organization or sponsor.
He/she is also the leader of the team of co-researcher(s).
Research Protocol:
A written document that provides the background information of the research topic, justification
for the research, stated aims and objectives of the study, describes the design and methodology
of the research, specifies the recruitment, allocation and maintenance of the participants,
management of the data generated and also specifies the role and responsibility of the members
of the research team. Unlike a guideline, protocols have to be strictly adhered to and any
deviation should be with due notification or authorization. Protocol may be amended according a
specific need / situation / participant characteristic or to meet a situation that may arise in the
course of the research but they must be done by the researcher / research team and which should
be made known in writing to all concerned including the sponsor, supervisor and RERAC.
Standard Operating Procedure (SOP):
A written, well described document that states explicitly the steps to be followed in the conduct
of a specific task, objective or procedure.
Beneficence:
This refers to the ethical obligation to maximize benefit and to minimize harm. This principle
gives rise to norms requiring that the risks of research be reasonable in the light of the expected
benefits, that the research design be sound, and that the researchers be competent both to conduct

the research and to safeguard the welfare of the research subjects.
Non-Maleficence:
The Hippocratic maxim “do no harm” has long been a fundamental principle of medical ethics.
Claude Bernard extended it to the realm of research, saying that one should not injure one person
regardless of the benefits that might come to other.
Justice:
The principle of justice gives rise to moral requirements that there be fair procedures and
outcomes in the selection of research subjects. (The Belmont Report) Justice in the selection of
research participants requires attention in two respects: the individual and the social.
Research Participant:
An individual who participates (as a subject) in a biomedical research project, either as the direct
recipient of an intervention (e.g., study product or invasive procedure), as a control, or through
observation. The individual may be a healthy person who volunteers to participate in the
research, or a person with a condition unrelated to the research carried out who volunteers to
participate, or a person (usually a patient) whose condition is relevant to the use of the study
product or questions being investigated.
Randomization:
The process of allocation of the participant to the intervention is by a pre-determined probability

or chance. This is to reduce potential for selection bias. Normally, consent to participate in the
research should be obtained from every participant prior to randomization. Withdrawal from the
intervention and dropouts after randomization should be minimal. Hence a clear understanding
of the randomization process for allocation should be clearly explained to the participant through
the consenting procedure.

Blinding / Masking:
Though the terms are not necessarily interchangeable, it refers to the situation where either the
participant, the evaluator or the adjudicator or all three are unaware of the intervention imparted
to the participant. This is done to reduce the potential for the outcome measurement bias. Ethical
issues may be involved in blinding and the research proposal should clearly identify the need and
justification for blinding.
Unblinding:
The process of revealing the intervention that was previously unknown through the blinding
process. This may be intentionally done to ensure safety of the participant in order to provide
management in the event of an adverse event. Unblinding becomes ethically mandatory in such
instances. Such need for unblinding must be specified in the protocol. Unblinding may also
happen unintentionally and it is the responsibility of the researcher to ensure that such situation
does not happen. Recording if unintentional unblinding has occurred in a study is worth noting as
it will identify potential for measurement bias.
Sponsor:
An individual, company, institution, or organization that takes responsibility for the initiation,
management, and/or financing of a research project. A pharmaceutical company, manufacturer of
biomedical products often sponsor research to promote their product.
Conflict of Interest:
A situation where a researcher, member of a committee or any individual has the potential to
favourably report on a product or event or situation. It may arise when the person has financial,
material, institutional or social ties to the research.
Plagiarism:
To make a statement or declaration as if it is one’s own when in fact it has been copied from a

previously existing or published statement but without acknowledging the original source of that
statement. Information that is general knowledge in the public domain or what is in common
usage in the profession need not be acknowledged.
Privileged Information:
Information of a special nature that has not been formally published as yet that an individual may
get to know because of the role or responsibility of that individual as a reviewer, editor, sponsor,
member of a research or funding committee or any such privileged position is termed as
privileged information.

Appendix 2: Checklist of Documents Required to be Submitted to Central
Research Committee (RERAC) for Approval of a Clinical Trial
Title of Document Yes No N/A

1. Filled MoH’s form specialized for clinical trials
2. Declaration of conflict of interest for all researchers
3. Insurance contract with local insurance company
4. Good Manufacturing Practice (GMP) certificates for the
manufacturing site if the investigational drug not registered in Oman
5. Good Laboratory Practice (GLP) Certificate (if required) “For tests
performed outside MOH certified laboratories”
6. No objection letter from the institution where the trial will take place
7. Consent form
8. Patient information leaflets
9. Any other Material/Adverts about the trial
10. CVs of all researchers
11. Sample of label(s) to be attached to all investigational product(s)
and/or trial-related materials
12. Instructions of handling ,storage, reconstitution and dispensing of the
investigational product(s) and/or trial- related materials
13. Certificate of analysis of drug content
14. Shipping records for
investigational product(s) and trial- related materials where
applicable
15. Signed ADR Reporting Declaration
16. Normal value(s)/range(s) for medical/laboratory/technical
procedure(s) and/or test(s) included in the protocol
17. Financial aspects of the trial

18. Sample of CRF
19. Amendment Declaration form
20. Decoding procedure for blinded trial
21. Original protocol
22. Original consent form
23. Customized consent form (if needed)
24. List of the countries where the study is submitted and it status
(Approved/Pending/Rejected)
25. Signed agreement between all parties involved in the trial, e. g.
-Researcher /institution and sponsor
-Researcher /institution
26. Budget
27. Source of funding

Appendix 3: Checklist of Documents Required to be Submitted to Central
Research Committee (RERAC) During the Clinical Conduct of the Trial

1. Accrual summary
2. Copies of Signed consent
3. Copies of reported ADR
4. Statement of expense and budget utilization

Appendix 4: Checklist of Extra Documents to be Added During the Trial
(As evidence that all new relevant information is documented as it becomes available)

1. Signed CRF forms
2. Subjects’ ID code list, if blinded
3. Investigational product(s) accountability at the site
4. Tissue banking data when possible
5. Master Randomization List

Appendix 5: Checklist of Documents to be Submitted to RERAC upon
Completion or Termination of the Trial

1. Documentation of investigational product(s) destruction
2. Completed participant identification code list
3. Final trial close-out monitoring report
4. Treatment allocation and decoding documentation
5. Final report by researcher
6. Clinical study report
7. Balance sheet of accounts/ financial statement

Appendix 6: Elements of the Review Process (Operational Guidelines for
Ethics Committees that Review Biomedical Research)
Citation: World Health Organization. Operational guidelines for ethics committees that review
biomedical research; 2000. Available from: http://www. who. int/tdr/publications/training-
guideline-publications/operational-guidelines-ethics-biomedical-research/en/(page 10-13).
The primary task of an Ethics Committee (EC) lies in the review of research proposals and their
supporting documents, with special attention given to the informed consent process,
documentation, and the suitability and feasibility of the protocol. ECs need to take into account
prior scientific reviews, if any, and the requirements of applicable laws and regulations.
The following should be considered, as applicable:
6.2.1 Scientific Design and Conduct of the Study
6.2.1.1 The appropriateness of the study design in relation to the objectives of the study, the
statistical methodology (including sample size calculation), and the potential for reaching sound
conclusions with the smallest number of research participants;
6.2.1.2 The justification of predictable risks and inconveniences weighed against the anticipated
benefits for the research participants and the concerned communities;
6.2.1.3 The justification for the use of control arms;
6.2.1.4 Criteria for prematurely withdrawing research participants;
6.2.1.5 Criteria for suspending or terminating the research as a whole;
6.2.1.6 The adequacy of provisions made for monitoring and auditing the conduct of the
research, including the constitution of a Data Safety Monitoring Board (DSMB);
6.2.1.7 The adequacy of the site, including the supporting staff, available facilities, and
emergency procedures;
6.2.1.8 The manner in which the results of the research will be reported and published;

6.2.2 Recruitment of Research Participants
6.2.2.1 The characteristics of the population from which the research participants will be drawn
(including gender, age, literacy, culture, economic status, and ethnicity);
6.2.2.2 The means by which initial contact and recruitment is to be conducted;
6.2.2.3 The means by which full information is to be conveyed to potential research participants
or their representatives;
6.2.2.4 Inclusion criteria for research participants;
6.2.2.5 Exclusion criteria for research participants;
6.2.3 Care and Protection of Research Participants
6.2.3.1 The suitability of the researcher (s)’s qualifications and experience for the proposed
study;
6.2.3.2 Any plans to withdraw or withhold standard therapies for the purpose of the research, and
the justification for such action;
6.2.3.3 The medical care to be provided to research participants during and after the course of the
research;
6.2.3.4 The adequacy of medical supervision and psycho-social support for the research
participants;
6.2.3.5 Steps to be taken if research participants voluntarily withdraw during the course of the
research;
6.2.3.6 The criteria for extended access to, the emergency use of, and/or the compassionate use
of study products;
6.2.3.7 The arrangements, if appropriate, for informing the research participant’s general
practitioner (family doctor), including procedures for seeking the participant’s consent to do so;
6.2.3.8 A description of any plans to make the study product available to the research
participants following the research;
6.2.3.9 A description of any financial costs to research participants;

6.2.3.10 the rewards and compensations for research participants (including money, services,
and/or gifts);
6.2.3.11 the provisions for compensation/treatment in the case of the injury/disability/death of a

research participant attributable to participation in the research;
6.2.3.12 the insurance and indemnity arrangements;
6.2.4 Protection of Research Participant Confidentiality
6.2.4.1 A description of the persons who will have access to personal data of the research
participants, including medical records and biological samples;
6.2.4.2 The measures taken to ensure the confidentiality and security of personal information
concerning research participants;
6.2.5 Informed Consent Process
6.2.5.1 A full description of the process for obtaining informed consent, including the
identification of those responsible for obtaining consent;
6.2.5.2 The adequacy, completeness, and understandability of written and oral information to be
given to the research participants, and, when appropriate, their legally acceptable
representative(s);
6.2.5.3 Clear justification for the intention to include in the research individuals who cannot
consent, and a full account of the arrangements for obtaining consent or authorization for the
participation of such individuals;
6.2.5.4 Assurances that research participants will receive information that becomes available
during the course of the research relevant to their participation (including their rights, safety, and
well-being);
6.2.5.5 The provisions made for receiving and responding to queries and complaints from
research participants or their representatives during the course of a research project;
6. 2. 6 Community Considerations
6.2.6.1 The impact and relevance of the research on the local community and on the concerned
communities from which the research participants are drawn;

6.2.6.2 The steps taken to consult with the concerned communities during the course of
designing the research;
6.2.6.3 The influence of the community on the consent of individuals;
6.2.6.4 proposed community consultation during the course of the research;
6.2.6.5 the extent to which the research contributes to capacity building, such as the enhancement
of local healthcare, research, and the ability to respond to public health needs;
6.2.6.6 A description of the availability and affordability of any successful study product to the
concerned communities following the research;
6.2.6.7 The manner in which the results of the research will be made available to the research
participants and the concerned communities.

Appendix 7: List of Information that Should be Given to the Study
Participants
Citation: World Health Organization. Handbook for Good Clinical Research Practice (GCP):
Guidance for Implementation. 2005 (page 62 – 64).
List of Information that should be given to the study participants / participants in accordance
with GCP
GCP recognizes that certain essential elements of informed consent should be included in the
informed consent discussion, the written informed consent form, and any other information to be
provided to participants who participate in the study. All information must be communicated in a
comprehensive and understandable manner to the trial subject. This includes, but is not limited
to:
 Title of the protocol.

 Identity of the sponsor.
 Identify of the clinical researcher and institutional affiliation of the researcher.
 Source of research funding (e.g., public, private, or both).
 That the trial involves research.
 That the subject’s participation in the trial is voluntary and that the participant may refuse
to participate or withdraw from the trial, at any time, without penalty or loss of benefits to
which the participant is otherwise entitled.
 The purpose of the trial.
 The trial treatment(s) and the probability for random assignment to each treatment.
 The trial procedures to be followed, including all invasive procedures.
 The subject’s responsibilities.
 Those aspects of the trial that are experimental.
 The reasonably foreseeable risks or inconveniences to the participant and, when
applicable, to an embryo, fetus or nursing infant.

 The reasonably expected benefits. When there is no intended clinical benefit to the
subject, the participant should be made aware of this.
 The alternative procedure(s) or course(s) of treatment that may be available to the subject,
and their important potential benefits and risks.
 The compensation and/or treatment available to the participant in the event of trial-related
injury.
 The anticipated prorated money or other forms of payment (e. g. , material goods), if any,
to the participant for participating in the trial.
 The anticipated expenses, if any, to the participant for participating in the trial. This may
include expenses to the participant for routine medical care for conditions that are not
within the scope of the research.
 That the monitor(s), the auditor(s), the iec/irb, and the regulatory authority (-ies) will be
granted direct access to the subject’s original medical records for verification of clinical
trial procedures and/or data, without violating the confidentiality of the subject, to the
extent permitted by the applicable laws and regulations and that, by signing a written
informed consent form, the participant or the subject’s legally authorized representative is
authorizing such access.
 That records identifying the participant will be kept confidential and, to the extent
permitted by the applicable laws and/or regulations, will not be made publicly available.
If the results of the trial are published, the subject’s identity will remain confidential.
 The potential risks should confidentiality measures be compromised (e. g. , stigma, loss
of reputation; potential loss of insurability).
 That the participant or the subject’s legally authorized representative will be informed in
a timely manner if information becomes available that may be relevant to the subject’s
willingness to continue participation in the trial.
 The person(s) to contact for further information regarding the trial and the rights of trial
subjects, and whom to contact in the event of trial-related injury.
 The foreseeable circumstances and/or reasons under which the subject’s participation in
the trial may be terminated.

 The expected duration of the subject’s participation in the trial.
 The approximate number of participants involved in the trial.
“… Information about risks should never be withheld for the purpose of eliciting the cooperation
of subjects, and truthful answers should always be given to direct questions about the research.
Care should be taken to distinguish cases in which disclosure would destroy or invalidate the
research from cases in which disclosure would simply inconvenience the researcher. ” (The
Belmont Report)
Due consideration should be given to obtaining consent for the collection and/or use of
biological specimens, including future purposes. Guidance is developing in this area (see CIOMS
International Ethical Guidelines; CIOMS Report on Pharmacogenetics – Towards improving
treatment with medicines, 2005; the Council of Europe Steering Committee on Bioethics (CDBI)
Additional Protocols to Oviedo Convention, 2005).

Appendix 8: The Belmont Report
Citation: Ethical Principles and Guidelines for the Protection of Human Subjects of Research,
the National Commission for the Protection of Human Subjects of Biomedical and Behavioral
Research April 18, 1979
AGENCY: Department of Health, Education, and Welfare
ACTION: Notice of Report for Public Comment.
SUMMARY: On July 12, 1974, the National Research Act (Pub. L. 93-348) was signed into
law, there-by creating the National Commission for the Protection of Human Participants of
Biomedical and Behavioral Research. One of the charges to the Commission was to identify the
basic ethical principles that should underlie the conduct of biomedical and behavioral research
involving human participant and to develop guidelines which should be followed to assure that
such research is conducted in accordance with those principles. In carrying out the above, the
Commission was directed to consider: (i) the boundaries between biomedical and behavioral
research and the accepted and routine practice of medicine, (ii) the role of assessment of risk-
benefit criteria in the determination of the appropriateness of research involving human subjects,
(iii) appropriate guidelines for the selection of human participants for participation in such
research and (iv) the nature and definition of informed consent in various research settings.
The Belmont Report attempts to summarize the basic ethical principles identified by the
Commission in the course of its deliberations. It is the outgrowth of an intensive four- day period
of discussions that were held in February 1976 at the Smithsonian Institution’s Belmont
Conference Center supplemented by the monthly deliberations of the Commission that were held
over a period of nearly four years. It is a statement of basic ethical principles and guidelines that
should assist in resolving the ethical problems that surround the conduct of research with human
subjects. By publishing the Report in the Federal Register, and providing reprints upon request,
the Secretary intends that it may be made readily available to scientists, members of Institutional
Review Boards, and Federal employees. The two-volume Appendix, containing the lengthy

reports of experts and specialists who assisted the Commission in fulfilling this part of its charge,
it available as DHEW Publication No. (OS) 78-0013 and No. (OS) 78-0014, for sale by the
Superintendent of Documents, U. S. Government Printing Office, Washington, D. C.
20402.
Unlike most other reports of the Commission, the Belmont Report does not make specific
recommendations for administrative action by the Secretary of Health, Education, and Welfare.
Rather, the Commission recommended that the Belmont Report be adopted in its entirety, as a
statement of the Department’s policy. The Department requests public comment on this
recommendation.
Ethical Principles & Guidelines for Research Involving Human Participants
Scientific research has produced substantial social benefits. It has also posed some troubling
ethical questions. Public attention was drawn to these questions by reported abuses of human
participants in biomedical experiments, especially during the Second World War. During the
Nuremberg War Crime trials, the Nuremberg code was drafted as a set of standards for judging
physicians and scientists who had conducted biomedical experiments on concentration camp
prisoners. This code became the prototype of many later codes intended to assure that research
involving human participants would be carried out in an ethical manner.
The codes consist of rules, some general, others specific that guide the researchers or the
reviewers of research in their work. Such rules often are inadequate to cover complex situations;
at times they come into conflict, and they are frequently difficult to interpret or apply. Broader
ethical principles will provide a basis on which specific rules may be formulated, criticized and
interpreted.
Three principles, or general prescriptive judgments, that are relevant to research involving
human participants are identified in this statement. Other principles may also be relevant. These
three are comprehensive, however, and are stated at a level of generalization that should assist
scientists, subjects, reviewers and interested citizens to understand the ethical issues inherent in

research involving human subjects. These principles cannot always be applied so as to resolve
beyond dispute particular ethical problems. The objective is to provide an analytical framework
that will guide the resolution of ethical problems arising from research involving human subjects.
This statement consists of a distinction between research and practice, a discussion of the three
basic ethical principles, and remarks about the application of these principles.
Part A: Boundaries Between Practice & Research
It is important to distinguish between biomedical and behavioral research, on the one hand, and
the practice of accepted therapy on the other, in order to know what activities ought to undergo
review for the protection of human participants or research. The distinction between research and
practice is blurred partly because both often occur together (as in research designed to evaluate a
therapy) and partly because notable departures from standard practice are often called
“experimental” when “research” are not carefully defined.
For the most part, the term, “practice” refers to interventions that are designed solely to enhance
the well-being of an individual patient or client and that have a reasonable expectation of
success. The purpose of medical or behavioral practice is to provide diagnosis, preventive
treatment or therapy to particular individuals. By contrast, the term “research” designates an
activity designed to test a hypothesis, permit conclusions to be drawn, and thereby to develop or
contribute to generalizable knowledge (expressed, for example, in theories, principles, and
statements of relationships). Research is usually described in a format protocol that sets forth an
objective and a set of procedures designed to reach that objective.
When a clinician departs in a significant way from standard or accepted practice, the innovations
does not, in and of itself, constitute research. The fact that a procedure is “experimental,” in the
sense of new, untested or different, does not automatically place it in the category of research.
Radically new procedures of this description should, however, be made the object of formal
research at an early stage in order to determine whether they are safe and effective. Thus, it is the
responsibility of medical practice committees, for example, to insist that a major innovation be
incorporated into a formal research project.

Research and practice may be carried on together when research is designed to evaluate the
safety and efficacy of a therapy. This need not cause any confusion regarding whether or not the
activity requires review; the general rule is that if there is any element or research in an activity
should undergo review for the protection of human subjects.
Part B: Basic Ethical Principles
The expression “basic ethical principles” refers to those general judgments that serve as a basic
justification for the many particular ethical prescriptions and evaluations of human actions.
Three basic principles, among those generally accepted in our cultural tradition, are particularly
relevant to the ethics of research involving human subjects: the principles of respect of persons,
beneficences and justice.
1. Respect for Persons. – Respect for person incorporates at least two ethical convictions: first,
that individuals should be treated as autonomous agents, and second, that persons with
diminished autonomy are entitled to protection. The principle of respect for persons thus divides
into two separate moral requirements: the requirement to acknowledge autonomy and the
requirement to protect those with diminished autonomy.
An autonomous person is an individual capable of deliberation about personal goals and of

acting under the direction of such deliberation. To respect autonomy is to give weight to
autonomous persons’ considered opinions and choices while refraining from obstructing their
actions unless they are clearly detrimental to others. To show lack of respect for an autonomous
agent is to repudiate that person’s considered judgments, to deny an individual the freedom to act
on those considered judgments, or to withhold information necessary to make a considered
judgment, when there are no compelling reasons to do so.
However, not every human being is capable of self-determination. The capacity for self-
determination matures during an individual’s life, and some individuals lose this capacity wholly
or in part because of illness, mental disability, or circumstances that severely restrict liberty.
Respect for the immature and the incapacitated may require protecting them as they mature or
while they are incapacitated.

Some persons are in need of extensive protection, even to the point of excluding them from
activities which may harm them; other persons require little protection beyond making sure they
undertake activities freely and with awareness of possible adverse consequence. The extent of
protection afforded should depend upon the risk of harm and the likelihood of benefit. The
judgment that any individual lacks autonomy should be periodically reevaluated and will vary in
different situations.
In most cases of research involving human subjects, respect for persons demands that
participants enter into the research voluntarily and with adequate information. In some situations,
however, application of the principle is not obvious. The involvement of prisoners as participants
of research provides an instructive example. On the one hand, it would seem that the principle of
respect for persons requires that prisoners not be deprived of the opportunity to volunteer for
research. On the other hand, under prison conditions they may be subtly coerced or unduly
influenced to engage in research activities for which they would not otherwise volunteer. Respect
for person would then dictate that prisoners be protected. Whether to allow prisoners to
“volunteer” or to “protect” them presents a dilemma. Respecting persons, in most hard cases, is
often a matter of balancing competing claims urged by the principle or respect itself.
2. Beneficence. – Persons are treated in an ethical manner not only by respecting their decisions
and protecting them from harm, but also by making efforts to secure their well- being. Such
treatment falls under the principle of beneficence. The term “beneficence” is often understood to
cover acts of kindness or charity that go beyond strict obligation. Two general rules have been
formulated as complementary expression of beneficent actions in this sense: (1) do not harm and
(2) maximize possible benefits and minimize possible harms. The Hippocratic maxim “do no
harm” has long been a fundamental principle of medical ethics. Claude Bernard extended it to
the realm of research, saying that one should not injure one person regardless of the benefits that
might come to others. However, even avoiding harm requires learning what is harmful; and, in
the process of obtaining this information, persons may be exposed to risk of harm. Further, the
Hippocratic Oath requires physicians to benefit their patients “according to their best judgment. ”
Learning what will in fact benefit may require exposing persons to risk. The problem posed by

these imperatives is to decide when it is justifiable to seek certain benefits despite the risks
involved, and when the benefits should be foregone because of the risks. The obligations of
beneficence affect both individual researchers and society at large, because they extend both to
particular research projects and to the entire enterprise of research. In the case of particular
projects, researchers and members of their institutions are obliged to give forethought to the
maximization of benefits and the reduction of risk that might occur from the research
investigation. In the case of scientific research in general, members of the larger society are
obliged to recognize the longer term benefits and risks that may result from the improvement of
knowledge and from the development of novel medical, psychotherapeutic, and social
procedures. The principle of beneficence often occupies a well-defined justifying role in many
areas of research involving human subjects. An example is found in research involving children.
Effective ways of treating childhood diseases and fostering healthy development are benefits that
serve to justify research involving children – even when individual research participants are not
direct beneficiaries. Research also makes it possible to avoid the harm that may result from the
application or previously accepted routine practices that on closer investigation turn out to be
dangerous. But the role of the principle of beneficence is not always so unambiguous. A difficult
ethical problem remains, for example, about research and presents more than minimal risk
without immediate prospect of direct benefit to the children involved. Some have argued that
such research is inadmissible, while others have pointed out that this limit would rule out much
research promising great benefit to children in the future. Here again, as with all hard cases, the
different claims covered by the principle of beneficence may come into conflict and force
difficult choices.
3. Justice. – Who ought to receive the benefits of research and bear its burdens? This is a
question of justice, in the sense of “fairness in distribution” or “what is deserved. ” An injustice
occurs when some benefit to which a person is entitled is denied without good reason or when
some burden is imposed unduly. Another way of conceiving the principle of justice is that equals
ought to be treated equally. However, this statement requires explication. Who is equal and who
is unequal? What considerations justify departure from equal distribution? Almost all

commentators allow that distinctions based on experience, age, deprivation, competence, merit
and position do sometimes constitute criteria justifying differential treatment for certain
purposes. It is necessary, then, to explain in what respects people should be treated equally.
There are several widely accepted formulations of just ways to distribute burdens and benefits.
Each formulation mentions some relevant property on the basis of which burdens and benefits
should be distributed. These formulations are (1) to each person and equal share, (2) to each
person according to individual need, (3) to each person according to individual effort, (4) to each
person according to societal contribution, and (5) to each person according to merit.
Questions of justice have long been associated with social practices such as punishment, taxation
and political representation. Until recently these questions have not generally been associated
with scientific research. However, they are foreshadowed even in the earliest reflections on the
ethics of research involving human subjects. For example, during the 19th and early 20th
centuries the burdens of serving as research participants fell largely upon poor ward patients,
while the benefits of improved medical care flowed primarily to private patients. Subsequently,
the exploitation of unwilling prisoners as research participants in Nazi concentration camps was
condemned as a particularly flagrant injustice. In this country, in the 1940’s, the Tuskegee
syphilis study used disadvantaged, rural black men to study the untreated course of a disease that
is by no means confined to that population. These participants were deprived of demonstrably
effective treatment in order not to interrupt the project, long after such treatment became
generally available.
Against this historical background, it can be seen how conceptions of justice are relevant to
research involving human subjects. For example, the selection of research participants needs to
be scrutinized in order to determine whether some classes (e. g. , welfare patients, particular
racial and ethnic minorities, or persons confined to institutions) are being systematically selected
simply because of their easy availability, their compromised position, or their manipulability,
rather than for reasons directly related to the problem being studied. Finally, whenever research
supported by public funds leads to the development of therapeutic devices and procedures,
justice demands both that these not provide advantages only to those who can afford them and

that such research should not unduly involve persons from groups unlikely to be among the
beneficiaries of subsequent applications of the research.
Part C: Applications
Applications of the general principles to the conduct or research leads to consideration of the
following requirements: informed consent, risk/benefit assessment, and the selection of
participants of research.
1. Informed Consent. – Respect for persons requires that subjects, to the degree that they are
capable, be given the opportunity to choose what shall or shall not happen to them. This
opportunity is provided when adequate standards for informed consent are satisfied. While the
importance of informed consent is unquestioned, controversy prevails over the nature and
possibility of an informed consent. Nonetheless, there is widespread agreement that the consent
process can be analyzed as containing three elements: information, comprehension and
voluntariness.
Information. Most codes of research establish specific items for disclosure intended to assure
that participants are given sufficient information. These items generally include: the research
procedure, their purposes, risks and anticipated benefits, alternative procedures (where therapy is
involved), and a statement offering the participant the opportunity to ask questions and to
withdraw at any time from the research. Additional items have been proposed, including how
participants are selected, the person responsible for the research, etc.
However, a simple listing of items does not answer the question of what the standard should be
for judging how much and what sort of information should be provided. One standard frequently
invoked in medical practice, namely the information commonly provided by practitioners in the
field or in the locale, is inadequate since research takes place precisely when a common
understanding does not exist. Another standard, currently popular in malpractice law, requires
the practitioner to reveal the information that reasonable persons would wish to know in order to
make a decision regarding their care. This, too, seems insufficient since the research subject,
being in essence a volunteer, may wish to know considerably more about risks gratuitously

undertaken than do patients who deliver themselves into the hand of a clinician for needed care.
It may be that a standard of “the reasonable volunteer” should be proposed: the extent and nature
of information should be such that persons, knowing that the procedure is neither necessary for
their care nor perhaps fully understood, can decide whether they wish to participate in the
furthering of knowledge. Even when some direct benefit to them is anticipated, the participants
should understand clearly the range of risk and the voluntary nature of participation.
A special problem of consent arises where informing participants of some pertinent aspect of the
research is likely to impair the validity of the research. In many cases, it is sufficient to indicate
to participants that they are being invited to participate in research of which some features will
not be revealed until the research is concluded. In all cases of research involving incomplete
disclosure, such research is justified only if it is clear that (1) incomplete disclosure is truly
necessary to accomplish the goals of the research, (2) there are no undisclosed risks to
participants that are more than minimal, and (3) there is an adequate plan for debriefing subjects,
when appropriate, and for dissemination of research results to them. Information about risks
should never be withheld for the purpose of eliciting the cooperation of subjects, and truthful
answers should always be given to direct questions about the research. Care should be taken to
distinguish cases in which disclosure would destroy or invalidate the research from cases in
which disclosure would simply inconvenience the researcher .
Comprehension. The manner and context in which information is conveyed is as important as

the information itself. For example, presenting information in a disorganized and rapid fashion,
allowing too little time for consideration or curtailing opportunities for questioning, all may
adversely affect a subject’s ability to make an informed choice.
Because the subject’s ability to understand is a function of intelligence, rationality, maturity and
language, it is necessary to adapt the presentation of the information to the subject’s capacities.
Researchers are responsible for ascertaining that the participant has comprehended the
information. While there is always an obligation to ascertain that the information about risk to
participants is complete and adequately comprehended, when the risks are more serious, that
obligation increases. On occasion, it may be suitable to give some oral or written tests of

comprehension.
Special provision may need to be made when comprehension is severely limited – for example,
by conditions of immaturity or mental disability. Each class of participants that one might
consider as incompetent (e. g. , infants and young children, mentally disable patients, the
terminally ill and the comatose) should be considered on its own terms. Even for these persons,
however, respect requires giving them the opportunity to choose to the extent they are able,
whether or not to participate in research. The objections of these participants to involvement
should be honored, unless the research entails providing them a therapy unavailable elsewhere.
Respect for persons also requires seeking the permission of other parties in order to protect the
participants from harm. Such persons are thus respected both by acknowledging their own
wishes and by the use of third parties to protect them from harm.
The third parties chosen should be those who are most likely to understand the incompetent
subject’s situation and to act in that person’s best interest. The person authorized to act on behalf
of the participant should be given an opportunity to observe the research as it proceeds in order
to be able to withdraw the participant from the research, if such action appears in the subject’s
best interest.
Voluntariness. An agreement to participate in research constitutes a valid consent only if

voluntarily given. This element of informed consent requires conditions free of coercion and
undue influence. Coercion occurs when an overt threat of harm is intentionally presented by one
person to another in order to obtain compliance. Undue influence, by contrast, occurs through an
offer of an excessive, unwarranted, inappropriate or improper reward or other overture in order
to obtain compliance. Also, inducements that would ordinarily be acceptable may become undue
influences if the participant is especially vulnerable.
Unjustifiable pressures usually occur when persons in positions of authority or commanding

influence – especially where possible sanctions are involved – urge a course of action for a
subject. A continuum of such influencing factors exists, however, and it is impossible to state
precisely where justifiable persuasion ends and undue influence begins. But undue influence

would include actions such as manipulating a person’s choice through the controlling influence
of a close relative and threatening to withdraw health services to which an individual would
otherwise be entitle.
2. Assessment of Risks and Benefits. – The assessment of risks and benefit requires a careful
arrayal of relevant data, including, in some cases, alternative ways of obtaining the benefits
sought in the research. Thus, the assessment presents both an opportunity and a responsibility to
gather systematic and comprehensive information about proposed research. For the researcher, it
is a means to examine whether the proposed research in properly designed. For a review
committee, it is a method for determining whether the risks that will be presented to participants
are justified. For prospective subjects, the assessment will assist the determination whether or not
to participate.
The Nature and Scope of Risks and Benefits. The requirement that research be justified on the
basis of a favorable risk/benefit assessment bears a close relation to the principle of beneficence,
just as the moral requirement that informed consent be obtained is derived primarily from the
principle of respect for persons. The term “risk” refers to a possibility that harm may occur.
However, when expressions such as “small risk” or “high risk” are used, they usually refer (often
ambiguously) both to the chance (probability) of experiencing a harm and the severity
(magnitude) of the envisioned harm.
The term “benefit” is used in the research context to refer to something of positive value related
to health or welfare. Unlike, “risk,” “benefit” is not a term that expresses probabilities. Risk is
properly contrasted to probability of benefits, and benefits are properly contrasted with harms
rather than risks of harm. Accordingly, so-called risk/benefit assessments are concerned with the
probabilities and magnitudes of possible harm and anticipated benefits. Many kinds of possible
harms and benefits need to be taken into account. There are, for example, risks of psychological
harm, physical harm, legal harm, social harm and economic harm and the corresponding
benefits. While the most likely types of harms to research participants are those of psychological
or physical pain or injury, other possible kinds should not be overlooked.

Risks and benefits of research may affect the individual subjects, the families of the individual
subjects, and society at large (or special groups of participants in society). Previous codes and
Federal regulations have required that risks to participants be outweighed by the sum of both the
anticipated benefit to the subject, if any, and the anticipated benefit to society in the form of
knowledge to be gained from the research. In balancing these different elements, the risks and
benefits affecting the immediate research participant will normally carry special weight. On the
other hand, interests other than those of the participant may on some occasions be sufficient by
themselves to justify the risks involved in the research, so long as the subjects’ rights have been
protected. Beneficence thus requires that we protect against risk of harm to participants and also
that we be concerned about the loss of the substantial benefits that might be gained from
research.
The Systematic Assessment of Risks and Benefits. It is commonly said that benefits and risks
must be “balanced” and shown to be “in a favorable ratio.” The metaphorical character of these
terms draws attention to the difficulty of making precise judgments. Only on rare occasions will
quantitative techniques be available for the scrutiny of research protocols. However, the idea of
systematic, no arbitrary analysis of risks and benefits should be emulated insofar as possible.
This ideal requires those making decisions about the justifiability of research to be thorough in
the accumulation and assessment of information about all aspects of the research, and to consider
alternatives systematically. This procedure renders the assessment of research more rigorous and
precise, while making communication between review board members and researchers less
participant to misinterpretation, misinformation and conflicting judgments. Thus, there should
first be a determination of the validity of the presuppositions of the research; then the nature,
probability and magnitude of risk should be distinguished with as much clarity as possible. The
method of ascertaining risks should be explicit, especially where there is no alternative to the use
of such vague categories as small or slight risk. It should also be determined whether a
researcher’s estimates the probability of harm or benefits are reasonable, as judged by known
facts or other available studies.
Finally, assessment of the justifiability of research should reflect at least the following

considerations; (i) Brutal or inhumane treatment of human participants is never morally justified.
(ii) Risks should be reduced to those necessary to achieve the research objective. It should be
determined whether it is in fact necessary to use human participants at all. Risk can perhaps
never be entirely eliminated, but it can often be reduced by careful attention to alternative
procedures. (iii) When research involves significant risk of serious impairment, review
committees should be extraordinarily insistent on the justification of the risk (looking usually to
the likelihood of benefit to the participant – or, in some rare cases, to the manifest voluntariness
of the participation). (iv) When vulnerable populations are involved in research, the
appropriateness of involving them should itself be demonstrated. A number of variables go into
such judgments, including the nature and degree of risk, the condition of the particular
population involved, and the nature and level of the anticipated benefits. (v) Relevant risks and
benefits must be thoroughly arrayed in documents and procedures used in the informed consent
process.
3. Selection of Subjects. – Just as the principle of respect for persons finds expression in the
requirements for consent, and the principle of beneficence in risk/benefit assessment, the
principle of justice gives rise to moral requirements that there be fair procedures and outcomes in
the selection of research subjects.
Justice is relevant to the selection of participants of research at two levels: the social and the
individual. Individual justice in the selection of participants would require that researchers
exhibit fairness: thus, they should not offer potentially beneficial research only to some patients
who are in their favor or select only “undesirable” persons for risky research.
Social justice requires that distinction be drawn between classes of participants that ought, and
ought not, to participate in any particular kind of research, based on the ability of members of
that class to bear burdens and on the appropriateness of placing further burdens on already
burdened persons. Thus, it can be considered a matter of social justice that there is an order of
preference in the selection of classes of participants (e. g. , adults before children) and that some
classes of potential participants (e. g. , the institutionalized mentally infirm or prisoners) may be
involved as research subjects, if at all, only on certain conditions.

Injustice may appear in the selection of subjects, even if individual participants are selected
fairly by researchers and treated fairly in the course of research. Thus injustice arises from social,
racial, sexual and cultural biases institutionalized in society. Thus, even if individual researchers
are treating their research participants fairly, and even if IRBs are taking care to assure that
participants are selected fairly within a particular institution, unjust social patterns may
nevertheless appear in the overall distribution of the burdens and benefits of research. Although
individual institutions or researchers may not be able to resolve a problem that is pervasive in
their social setting, they can consider distributive justice in selecting research subjects.
Some populations, especially institutionalized ones, are already burdened in many ways by their
infirmities and environments. When research is proposed that involves risks and does not include
a therapeutic component, other less burdened classes of persons should be called upon first to
accept these risks of research, except where the research is directly related to the specific
conditions of the class involved. Also, even though public funds for research may often flow in
the same directions as public funds for health care, it seems unfair that populations dependent on
public health care constitute a pool of preferred research participants if more advantaged
populations are likely to be the recipients of the benefits.
One special instance of injustice results from the involvement of vulnerable subjects. Certain
groups, such a racial minorities, the economically disadvantaged, the very sick, and the
institutionalized may continually be sought as research subjects, owing to their ready availability
in settings where research is conducted. Given their dependent status and their frequently
compromised capacity for free consent, they should be protected against the danger of being
involved in research solely for administrative convenience, or because they are easy to
manipulate as a result of their illness or socioeconomic condition.
(1) Since 1945, various codes for the proper and responsible conduct of human experimentation
in medical research have been adopted by different organizations. The best known of these codes
are the Nuremberg Code of 1947, the Helsinki Declaration of 1964 (revised in 1975), and the
1971 Guidelines (codified into Federal Regulations in 1974) issued by the U. S. Department of
Health, Education, and Welfare Codes for the conduct of social and behavioral research have

also been adopted, the best known being that the American Psychological Association, published
in 1973.
(2) Although practice usually involves interventions designed solely to enhance the well- being
of a particular individual, interventions are sometimes applied to one individual for the
enhancement of the well-being of another (e. g. , blood donation, skin grafts, organ transplants)
or an intervention may have the dual purpose of enhancing the well-being of a particular
individual, and, at the same time, providing some benefit to others (e. g. , vaccination, which
protects both the person who is vaccinated and society generally).
The fact that some forms of practice have elements other than immediate benefit to the
individual receiving an intervention, however, should not confuse the general destination
between research and practice. Even when a procedure applied in practice may benefit some
other person, it remains an intervention designed to enhance the well-being of a particular
individual or groups of individuals; thus, it is practice and need not be reviewed as research.
(3) Because the problems related to social experimentation may differ substantially from those of
biomedical and behavioral research, the Commission specifically declines to make any policy
determination regarding such research at this time. Rather, the Commission believes that the
problem ought to be addressed by one of its successor bodies.

Appendix 9: World Medical Association Declaration of Helsinki
Citation: World Medical Association, 2000. Declaration of Helsinki, ethical principles for
medical research involving human subjects. 52nd WMA General Assembly, Edinburgh, Scotland.
(Adopted by the 18th WMA General Assembly, Helsinki, Finland, June 1964, and amended by the 29th
WMA General Assembly, Tokyo, Japan, October 1975,35th WMA General Assembly, Venice, Italy,
October 1983 41st WMA General Assembly, Hong Kong, September 1989 48th WMA General
Assembly, Somerset West, Republic of South Africa, October 1996 and the 52nd WMA General
Assembly, Edinburgh, Scotland, October 2000 Note of Clarification on Paragraph 29 added by the WMA
General Assembly, Washington 2002 Note of Clarification on Paragraph 30 added by the WMA General
Assembly, Tokyo 2004 )
A. INTRODUCTION
1. The World Medical Association has developed the Declaration of Helsinki as a statement of
ethical principles to provide guidance to physicians and other participants in medical research
involving human subjects. Medical research involving human participants includes research on
identifiable human material or identifiable data.
2. It is the duty of the physician to promote and safeguard the health of the people. The
physician's knowledge and conscience are dedicated to the fulfillment of this duty.
3. The Declaration of Geneva of the World Medical Association binds the physician with the
words, "The health of my patient will be my first consideration," and the International Code of
Medical Ethics declares that, "A physician shall act only in the patient's interest when providing
medical care which might have the effect of weakening the physical and mental condition of the
patient. "
4. Medical progress is based on research which ultimately must rest in part on experimentation
involving human subjects.

5. In medical research on human subjects, considerations related to the well-being of the human
participant should take precedence over the interests of science and society.
6. The primary purpose of medical research involving human participants is to improve

prophylactic, diagnostic and therapeutic procedures and the understanding of the aetiology and
pathogenesis of disease. Even the best proven prophylactic, diagnostic, and therapeutic methods
must continuously be challenged through research for their effectiveness, efficiency, accessibility
and quality.
7. In current medical practice and in medical research, most prophylactic, diagnostic and
therapeutic procedures involve risks and burdens.
8. Medical research is participant to ethical standards that promote respect for all human beings
and protect their health and rights. Some research populations are vulnerable and need special
protection. The particular needs of the economically and medically disadvantaged must be
recognized. Special attention is also required for those who cannot give or refuse consent for
themselves, for those who may be participant to giving consent under duress, for those who will
not benefit personally from the research and for those for whom the research is combined with
care.
9. Research Researchers should be aware of the ethical, legal and regulatory requirements for
research on human participants in their own countries as well as applicable international
requirements. No national ethical, legal or regulatory requirement should be allowed to reduce or
eliminate any of the protections for human participants set forth in this Declaration.
B. BASIC PRINCIPLES FOR ALL MEDICAL RESEARCH
10. It is the duty of the physician in medical research to protect the life, health, privacy, and
dignity of the human subject.
11. Medical research involving human participants must conform to generally accepted scientific
principles, be based on a thorough knowledge of the scientific literature, other relevant sources

of information, and on adequate laboratory and, where appropriate, animal experimentation.
12. Appropriate caution must be exercised in the conduct of research which may affect the
environment, and the welfare of animals used for research must be respected.
13. The design and performance of each experimental procedure involving human participants
should be clearly formulated in an experimental protocol. This protocol should be submitted for
consideration, comment, guidance, and where appropriate, approval to a specially appointed
ethical review committee, which must be independent of the researcher , the sponsor or any other
kind of undue influence. This independent committee should be in conformity with the laws and
regulations of the country in which the research experiment is performed. The committee has the
right to monitor ongoing trials. The researcher has the obligation to provide monitoring
information to the committee, especially any serious adverse events. The researcher should also
submit to the committee, for review, information regarding funding, sponsors, institutional
affiliations, other potential conflicts of interest and incentives for subjects.
14. The research protocol should always contain a statement of the ethical considerations
involved and should indicate that there is compliance with the principles enunciated in this
Declaration.
15. Medical research involving human participants should be conducted only by scientifically
qualified persons and under the supervision of a clinically competent medical person. The
responsibility for the human participant must always rest with a medically qualified person and
never rest on the participant of the research, even though the participant has given consent.
16. Every medical research project involving human participants should be preceded by careful
assessment of predictable risks and burdens in comparison with foreseeable benefits to the
participant or to others. This does not preclude the participation of healthy volunteers in medical
research. The design of all studies should be publicly available.
17. Physicians should abstain from engaging in research projects involving human participants
unless they are confident that the risks involved have been adequately assessed and can be

satisfactorily managed. Physicians should cease any investigation if the risks are found to
outweigh the potential benefits or if there is conclusive proof of positive and beneficial results.
18. Medical research involving human participants should only be conducted if the importance of
the objective outweighs the inherent risks and burdens to the subject. This is especially important
when the human participants are healthy volunteers.
19. Medical research is only justified if there is a reasonable likelihood that the populations in
which the research is carried out stand to benefit from the results of the research.
20. The participants must be volunteers and informed participants in the research project.
21. The right of research participants to safeguard their integrity must always be respected. Every
precaution should be taken to respect the privacy of the subject, the confidentiality of the
patient's information and to minimize the impact of the study on the subject's physical and
mental integrity and on the personality of the subject.
22. In any research on human beings, each potential participant must be adequately informed of
the aims, methods, sources of funding, any possible conflicts of interest, institutional affiliations
of the researcher, the anticipated benefits and potential risks of the study and the discomfort it
may entail. The participant should be informed of the right to abstain from participation in the
study or to withdraw consent to participate at any time without reprisal. After ensuring that the
participant has understood the information, the physician should then obtain the subject's freely-
given informed consent, preferably in writing. If the consent cannot be obtained in writing, the
non-written consent must be formally documented and witnessed.
23. When obtaining informed consent for the research project the physician should be
particularly cautious if the participant is in a dependent relationship with the physician or may
consent under duress. In that case the informed consent should be obtained by a well-informed
physician who is not engaged in the investigation and who is completely independent of this
relationship.
24. For a research participant who is legally incompetent, physically or mentally incapable of

giving consent or is a legally incompetent minor, the researcher must obtain informed consent
from the legally authorized representative in accordance with applicable law. These groups
should not be included in research unless the research is necessary to promote the health of the
population represented and this research cannot instead be performed on legally competent
persons.
25. When a participant deemed legally incompetent, such as a minor child, is able to give assent
to decisions about participation in research, the researcher must obtain that assent in addition to
the consent of the legally authorized representative.
26. Research on individuals from whom it is not possible to obtain consent, including proxy or
advance consent, should be done only if the physical/mental condition that prevents obtaining
informed consent is a necessary characteristic of the research population. The specific reasons
for involving research participants with a condition that renders them unable to give informed
consent should be stated in the experimental protocol for consideration and approval of the
review committee. The protocol should state that consent to remain in the research should be
obtained as soon as possible from the individual or a legally authorized surrogate.
27. Both authors and publishers have ethical obligations. In publication of the results of research,
the researchers are obliged to preserve the accuracy of the results. Negative as well as positive
results should be published or otherwise publicly available. Sources of funding, institutional
affiliations and any possible conflicts of interest should be declared in the publication. Reports of
experimentation not in accordance with the principles laid down in this Declaration should not be
accepted for publication.
C. ADDITIONAL PRINCIPLES FOR MEDICAL RESEARCH COMBINED WITH

MEDICAL CARE
28. The physician may combine medical research with medical care, only to the extent that the
research is justified by its potential prophylactic, diagnostic or therapeutic value. When medical
research is combined with medical care, additional standards apply to protect the patients who
are research subjects.

29. The benefits, risks, burdens and effectiveness of a new method should be tested against those
of the best current prophylactic, diagnostic, and therapeutic methods. This does not exclude the
use of placebo, or no treatment, in studies where no proven prophylactic, diagnostic or
therapeutic method exists1 (see part1 below).
30. At the conclusion of the study, every patient entered into the study should be assured of
access to the best proven prophylactic, diagnostic and therapeutic methods identified by the
study2 (see part2 below).
31. The physician should fully inform the patient which aspects of the care are related to the
research. The refusal of a patient to participate in a study must never interfere with the patient-
physician relationship.
32. In the treatment of a patient, where proven prophylactic, diagnostic and therapeutic methods
1
Note of clarification on paragraph 29 of the WMA Declaration of Helsinki
The WMA hereby reaffirms its position that extreme care must be taken in making use of a placebo-controlled trial
and that in general this methodology should only be used in the absence of existing proven therapy. However, a
placebo-controlled trial may be ethically acceptable, even if proven therapy is available, under the following
circumstances:
- Where for compelling and scientifically sound methodological reasons its use is necessary to determine the
efficacy or safety of a prophylactic, diagnostic or therapeutic method; or - Where a prophylactic, diagnostic or
therapeutic method is being investigated for a minor condition and the patients who receive placebo will not be
participant to any additional risk of serious or irreversible harm.
All other provisions of the Declaration of Helsinki must be adhered to, especially the need for appropriate ethical
and scientific review.
2
Note of clarification on paragraph 30 of the WMA Declaration of Helsinki
The WMA hereby reaffirms its position that it is necessary during the study planning process to identify post-trial
access by study participants to prophylactic, diagnostic and therapeutic procedures identified as beneficial in the
study or access to other appropriate care. Post-trial access arrangements or other care must be described in the study
protocol so the ethical review committee may consider such arrangements during its review.

do not exist or have been ineffective, the physician, with informed consent from the patient, must
be free to use unproven or new prophylactic, diagnostic and therapeutic measures, if in the
physician's judgement it offers hope of saving life, re-establishing health or alleviating suffering.
Where possible, these measures should be made the object of research, designed to evaluate their
safety and efficacy. In all cases, new information should be recorded and, where appropriate,
published. The other relevant guidelines of this Declaration should be followed.

Appendix 10: Ethics of Clinical Research: An Islamic Perspective
Citation: Fadel HE. Ethics of clinical research: An Islamic perspective. Journal of the Islamic
Medical Association of North America. 2010;42(2).
Abstract
Medical progress depends on clinical research that at some point has to involve human subjects.
The human rights of research participants must be protected. Ethical principles and guidelines
have been developed by international organizations such as the World Medical Association
(WMA) and the Council for International Organizations of Medical Sciences (CIOMS). The
Islamic Organization for Medical sciences (IOMS) in Kuwait convened a meeting in Cairo,
Egypt, in 2004 and produced a document advancing an Islamic viewpoint on these principles and
guidelines. In this paper I discuss all these documents. The guidelines developed by CIOMS are
in general agreement with Islamic principles i. e. respect for the person, bringing benefit,
avoiding harm, and justice. However some differences exist to which I alluded. I also added
some personal opinions. Muslim physicians and scientists should get involved in clinical as well
as other medical research. It is farḍ kifāya (collective religious duty). They should be familiar
with the ethical principles and guidelines and abide by them in their own research. Also, they
should monitor externally sponsored research in their own countries to ensure that these
guidelines are followed. Key words: Clinical research, ethics, Islam, Declaration of Helsinki,
Council for International Organizations of Medical Sciences, Islamic Organization of Medical
Sciences
Introduction
Academicians in faculty positions are traditionally involved in clinical research. Private

practitioners can and should be involved in clinical research as well1. A requirement of clinical
research is that it conforms to internationally recognized ethical guidelines. For Muslim
physicians, conforming to Islamic ethical guidelines is an added requirement. In this article, I

will discuss the international guidelines and Islamic viewpoints regarding these guidelines.
Muslim Obligation to Conduct Research.
Muslim countries are, in general, lagging behind in research, including medical research, despite
their collective material and human potential. This is very ironic, noting that Muslim physicians
of the past were the pioneers of scientific and medical research and were the first to employ
scientific experimentation2-5. It is worthwhile to emphasize the importance laid by Islam on the
pursuit of learning. There are several Qur’anic verses and traditions of the Prophet to this effect.
The first revealed verses of the Q ur’an state: Recite in the name of your Lord, Who created. He
created man from a leech-like structure. Recite, and your Lord is Most Generous, Who has
taught by the pen. He taught Man that what he knew not6. Allah also says, addressing the
Prophet, S ay, “My Lord, increase my knowledge7. ”
Allah asks us to look inside ourselves and at the universe to dis cover God’s laws. Let man
consider from what he is created8. And in another verse: Will they not reflect on camels, how
they are created; the sky, how it is raised; the mountains, how they are erected; and the earth,
how it is leveled9. Learning in Islam is not limited to religious studies. Early Muslim scholars
used to acquire an extensive knowledge, not only in jurisprudence (fiqh), Qur’an, and linguistic
studies, but also in medicine, chemistry, and natural sciences. Knowledge has to be based on
evidence. Allah says: Can there be another god besides Allah? Say bring forth your proof if you
are telling the truth10!
Based on the above, scientific research is considered by some scholars as farḍ kifāya (collective
religious duty). The Prophet Muhammad ‫ صلى هللا عليه وسلم‬is reported to have said: Allah created
disease and its cure except senility (death). Children of Adam, seek the cure but use not ḥarām
(forbidden) things11. This hadith makes it incumbent on us to investigate the causes of disease
and to try to find cures. This can only be achieved by undertaking both basic and clinical
research.

International Ethical Guidelines for Clinical Research
Clinical research must rest in part on experimentation involving human subjects. Research
involving human participants creates a lot of potential pitfalls that unfortunately led to tragedies
in the last century. The most well-known of these are the experimentation by Nazis on the
prisoners and in the United States in the Tuskegee study of untreated syphilis12. This study was
conducted by the U. S. Public Health Service (USPHS). Over the period of 40 years (1932-72),
399 syphilitic African Americans were followed to study the natural course of the disease
without treatment13-6. The study patients were never informed of the availability of Penicillin,
which in the late 1940s was found to be an effective treatment for their disease. The Nuremberg
Code was promulgated in 1947 as a direct consequence of the trial of Nazi physicians who
conducted research on the prisoners of World War II without their consent. The United Nations
general Assembly adopted the Universal Declaration of Human Rights in 1948 and the
International Convention on Civil and Political Rights in 1966. Its article seven states in part: “In
particular, no one shall be subjected without his free consent to medical or scientific
experimentation.”
In parallel with these efforts, medical professionals worked on formulating principles of ethical
use of human participants in research. The first such document, the Declaration of Helsinki, was
adopted by the World Medical Association (WMA) in 1964 in Helsinki, Finland. This was
updated several times. The last was in Seoul, South Korea, in 2008 at the WMA 59th General
Assembly meeting17. The central point of the declaration is that medical research should be
participant to ethical standards that promote respect for all human beings and protect their health
and rights.
The Declaration of Helsinki consists of 35 articles divided into three sections: the introduction,
“Principles for All Medical Research,” and “Additional Principles for Medical Research
Combined with Medical Care. ” This document stresses that in the field of biomedical research,
fundamental distinction should be recognized between medical research in which the aim is
essentially diagnostic or therapeutic for a patient, and medical research, the essential object of

which is purely scientific and without direct diagnostic or therapeutic value to the person
subjected to research. Medical research should be participant to ethical standards that promote
respect for all human beings and protect their health and rights.
The Declaration of Helsinki also stresses that some research participants are vulnerable and need
special protection. The research should be approved by especially appointed ethical review
committees. Each potential research participant should be adequately informed of the aims,
methods, sources of funding, and potential risks of the study. They should be informed about
their right to abstain from participation or to withdraw from the study without any reprisal. For a
research participant who is a minor or legally incompetent, the researcher must obtain informed
consent from the legal guardian. These and other vulnerable groups should not be included in
research unless it is necessary to promote the health of the particular group from which they are
recruited.
In the United States, the U. S. National Commission for the Protection of Human Participants of
Biomedical Research was created in 1974 and produced the Belmont Report in 1979, which
distilled principles of ethics related to research18. It addresses boundaries between medical
practice and research; basic ethical principles such as respect for persons, beneficence, and
justice; and informed consent, assessment of risks and benefits, and selection of subjects.
Another international organization, The Council for International Organizations of Medical

Sciences (CIOMS), was founded in 1949 under the auspices of the World Health Organization
(WHO) and the United Nations Educational Scientific Cultural Organization (UNESCO).
CIOMS in association with WHO undertook its work on the ethics of biomedical research in the
1970s. It produced guidelines to enable the effective application of the ethical principles set forth
in the Declaration of Helsinki, particularly in developing countries. Their first report was
published in 1982. Following that, there were major developments, such as the outbreak of the
HIV/AIDS pandemic and proposals to undergo large scale experiments with vaccines and
medications. There were also rapid advances in biotechnology and an increase in multinational
field trials involving vulnerable populations in developing countries. These developments raised
new ethical issues, and in 1996 CIOMS updated its report and published International Ethical

Guidelines for Biomedical Research involving Human Subjects, updating it in 2002. This
consisted of a statement of general ethics, a preamble, and 21 guidelines19.
The Islamic Viewpoint on CIOMS Guidelines
The Islamic Organization of Medical Sciences (IOMS), based in Kuwait, translated this
document into Arabic. It was then reviewed by a scholar of Islamic jurisprudence. The document
and the latter’s comments were discussed by a group of Muslim scholars, physicians, including
myself, and other individuals with interest in ethics and the law. The Islamic viewpoint on each
of these guidelines was studied in depth by this group and discussed in a three day conference
held in Cairo, Egypt, in December 2004. The results of these deliberations were published as the
International Ethical Guidelines for Biomedical Research involving Human Subjects: An Islamic
Perspective20. In this paper I will summarize the CIOMS guidelines, the IOMS document, and
add my personal opinions.
The CIOMS guidelines as well as the principles of the Declaration of Helsinki are based on the
generally accepted ethical principles of respect of person, beneficence, nonmaleficence, and
justice21. These four principles are in agreement with Islamic rules. Allah _ says: We have
honored Adam’s children22. Respect of the person is a major aspect of human dignity. Respect of
the person gives him the right to make his own choices and decisions. In the context of research,
no one should be involved in a research project without his free and voluntary consent. The
Islamic principle that applies here is “No one is entitled to dispose of the right of human being
without his permission” 20
A basic purpose of Islamic law is to “secure benefits for people and to protect them from harm.
”20 This is termed beneficence in our lexicon at present. Another Islamic law states that “every
action that leads to harm or that prevents a benefit is forbidden20. This is what is now called
“nonmaleficence. ” In cases where benefit and harm are not absolute, which is the usual case in
biomedical research, the rule that applies is that “if a less substantial instance of harm and an
outweighing benefit are in conflict, the harm is forgiven for the sake of the benefit. ”20 Justice is
an established principle in Islamic law. Allah _ says God enjoins justice and charity23. Justice

means equity and fairness, and charity is either the acquisition of benefit or the prevention of
harm. Now, I will discuss these guidelines individually.
Document 1: Ethical Justification and Scientific
Validity of Biomedical Research involving Human Participants In agreement with this guideline,
the performance of research on human participants is Islamically acceptable. However, it should
be useful and responsive to the five purposes of Islamic law (maqāṣid alsharī` a), i. e. the
safeguarding of one’s religion, life (and health), intellect, progeny and property/ resources, and
that it should not cause harm. On the other hand, a person who pursues scientific knowledge to
cause harm is participant to God’s wrath. God says: And they learn what causes them harm and
brings them no benefit25, and they already know that whoever purchases it has no share in the
hereafter24. The Prophet ‫ صلى هللا عليه وسلم‬asked God’s refuge from learning that brings no
benefit25, the research should by no means lead to something prohibited. A researcher should
comply with the framework of Islamic law in any research he undertakes. Moreover, a researcher
should observe the rules and ethics of the profession, especially as they relate to the ethics of
biomedical research. To be more specific, the research is Islamically acceptable under the
following conditions:
1) The purpose of the study is to secure an absolute benefit i. e. , enhancing human health, or to
prevent an instance of absolute harm that impairs health or to give priority to securing an
outweighing benefit over preventing a less substantial instance of harm.
2) The benefit does not violate a legal stipulation nor contradict any absolute ruling of Islamic
jurisprudence.
3) The research itself should be legitimate i. e. both the means and end must be legally
permissible.
4) The design of study should be scientifically sound so that it should be more likely to achieve
the purpose it is expected to accomplish. This is based on the rule that “every action that ceases
to pursue its objective is unacceptable. ”20

5) That the research team is qualified and competent to conduct the research as consistent with
the Qur’anic guidance: God enjoins you to deliver your trusts to their rightful owners26 and the
Prophetic saying: Allah loves the person who is performing a job to do it in the best possible
way27.
Document 2: Ethical Review Committees
This document addresses the formation and role of the ethical review committees. A universally
accepted standard is the establishment of ethical review committees to evaluate biomedical
research and to ensure that its purpose and methodology are in accordance with the ethical
guidelines. This concept is Islamically ordained. Medicine and biomedical research are so
important that they need to be practiced under supervision. In that regard I like to point out that
Muslims were the first to establish the practice of licensure to physicians and the system of ḥisba
(inspection)28. This was meant to ensure that all people in trades, including physicians, were
behaving justly.
The ethical review committees, usually called institutional review boards (IRBs), consist of
scientists, physicians, lay people, and legal personnel. In an Islamic country, it is recommended
that the ethical review committee gets the opinion of an Islamic jurisprudence (fiqh) committee
to be certain that the proposed study is within the guidelines of Islam. An Islamic rule is “A
responsible adult is not to embark on any undertaking before he finds out how it is regarded by
God. ”20 The document that ethical review committees should be independent of the research
teams and sponsors is in agreement with Islamic principles. The ethical review committee is in
effect giving testimony. For such to be Islamically acceptable, it must be made by a neutral
party. To satisfy the requirement of validity of testimony, any material or nonmaterial rewards
for the committees should not be contingent upon the outcome of the review (testimony).
Document 3. Externally Sponsored Research
In case the research is externally sponsored, i. e. by an institution or an industrial or drug

company from another country, the scientific and ethical review should be conducted
objectively, independently, and honestly in the country of the sponsoring organization. This is to

guarantee that the standard ethical controls are applied. These should not be less stringent when
applied in another, possibly less developed country than the controls normally applied in the
country of the sponsoring organization, as all members of the human race should be treated
equally. Equity for all people is a basic tenet of Islam. Allah _ says: O mankind reverence your
Guardian Lord who created you from a single person29.
In addition, another ethical review should be conducted in the host country to make sure that the
proposed research meets the health needs and priorities of that country. One of the purposes of
Islamic law is “To place everything in its right place [on the list of priorities]”20
Document 4. Individual Informed Consent
This document stipulates that the researcher must obtain a voluntary informed consent from each
prospective study subject. This is in conformity with Islamic law that calls for respect of the
independence of every individual, his right to make his personal choices and arrive at decisions
suitable for him without any trace of coercion or deception, and his right to be protected from
injury, misleading inducement, or exploitation by others. The consent should be given willingly
after the subject, if fully competent, receives and understands the necessary information.
This is stipulated in fiqh rule: “No one is entitled to dispose of the rights of a human being
without his permission” and “no right of a human being can be canceled without his consent. ”20
The information should be given in a written format in a language easily understood by the
individual, and the consent should be documented.
Document 5. Essential Information for Prospective Participants
This document details the necessary information that should be given to the potential participants
for the research. The informed consent should be given with full knowledge and correct
understanding of the content of his consent on the part of the subject.
Document 6. Obligations of Sponsors/Researchers

This document details the duties of both the sponsors and researchers to give the participants
accurate information and neither withhold any information that may negatively influence the
potential research subjects’ decision to consent nor deceive them in any way. They should not
include any explicit or implicit threats in their discussions with the potential subjects. Islamic
jurisprudence stipulations support this guideline. These stipulations are: “mutual agreement
cannot be reached under conditions of ignorance” and “consent to an unknown thing and
acquittal from an unknown thing are not valid. ”
Document 7. Inducement to Participate
There is no objection from the Islamic point of view to compensate research participants for lost
earnings, transport, and other expenses that might be incurred as a result of participating in the
research. Actually, the rule of reparation and the principles of justice and fairness make it
necessary to compensate the participants adequately for their expenses. Additional financial or
in-kind payments made to induce participation in research may imply undue inducement. If it
pressures the participant to give consent not based on conviction, then it is legally prohibited.
However, if such payment does not influence the subject’s decision making, and he gives his
consent, with his free will, his consent in Islamic jurisprudence is valid. Nevertheless there
should be – in my view – some restriction. The additional payments given to a poor person, or
the provision or even the promise of medical care to a person who does not have access to that
care in less developed countries or uninsured individuals in Western societies, could be a
significant inducement that may cloud the ability of the person to make a true informed decision.
The person may consent to participate and expose himself to certain risks he would avoid were
he not in need of such incentives.
Document 8. Benefits and Risks of Study Participation
The researchers must ensure that potential benefits and risks are reasonably balanced, and the
risks are minimized. The need to strike a balance between potential benefits and risks in research
involving human subjects, with the prospective benefits being more likely and the need to
minimize risks, is included in a basic principle of Islamic Law. It says “if a less substantial

instance of harm and an outweighing benefit are in conflict, the harm is forgiven for the sake of
the benefit. ” If a benefit and an instance of harm are in conflict, priority should be given to the
weightier of the two20.
It is acceptable from a religious perspective to use the expected, significant benefits to society as
a justification of the risks interventions pose to an individual who has no possible direct
diagnostic, therapeutic, or preventive benefit. This is based on a rule of jurisprudence, “Public
interests take precedence over private ones. ”20 This is different from the Helsinki Declaration
and the CIOMS guidelines that emphasize that individual benefit precedes social benefits. This
point needs further study by Islamic scholars to determine to what extent public interest
supersedes individual interest as it relates to human clinical research.
Document 10. Research in Populations and Communities with Limited Resources
Before undertaking research in a population or a community with limited resources, the sponsor
and researcher must make every effort to ensure that the research is responsive to the health
needs and priorities of the community in which the research will be conducted. Also, any
knowledge generated or any intervention or product developed as a result of that research must
be made reasonably available for the benefit of that population or community. This document is
consistent with the Islamic principle of justice and charity23.
Document 11. Choice of Controls in Clinical Trials
This document can also be endorsed from an Islamic point of view as it requires researchers to
observe, in dealing with human subjects, the obligation of trust when choosing the method of
intervention to protect their human rights fully and ensure their safety. God enjoins you to
deliver your trust to their rightful owners26. Whether the use of a placebo arm in clinical trials is
ethically acceptable has been vigorously debated30. Against objection by scientists, the 2000
version of the Helsinki Declaration specifically prohibits the use of placebos, except in limited
situations. CIOMS recommends the use of equivalency trials or add-on studies. Equivalency
trials compare an investigational intervention with an established effective treatment and produce
scientifically reliable data. An add-on design may be employed when the investigational therapy

and a standard therapy have different mechanisms of action. The treatment to be tested and the
placebo are each added to the standard treatment to determine if the investigational therapy leads
to a better outcome or to fewer side effects. If the use of a placebo arm is essential for the clinical
trial to produce useful information and there is no resulting harm to the participants in the control
arm, it will be Islamically acceptable. The rationale for that is that “although a sort of deception
is practiced, the consequences are safe. ”20 In my view, it may cause harm if the research
participant in the control arm is deprived of a currently accepted treatment. I believe that the
concerned ethics review committee has to carefully examine each specific case, evaluate the
possibility of harm to the participants in the placebo arm and try to work with the researcher to
find an alternative study design.
Document 12. Equitable Distribution of Burdens and Benefits in the Selection of Groups of
Participants in Research
This document is again in harmony with Islamic law, which calls for justice in all affairs of
life23. So it is unfair that participants in a study share in the burdens i. e. the potential side effects
or other hardships but they do not share in the benefits when a successful intervention is
achieved but is not made available to them.
Document 13. Research Involving Vulnerable Persons
These include persons with limited capacities or freedom to consent or decline to consent. They
may be mentally incapacitated, elderly people who developed varying degrees of dementia,
residents of nursing homes, people receiving welfare benefits, the unemployed, patients in
emergency rooms, some ethnic or racial minorities groups, homeless persons, nomads, refugees,
prisoners, and patients with incurable diseases. Junior or subordinate members of hierarchical
groups, for example medical and nursing students, employees of pharmaceutical companies and
members of the armed forces or police, are all considered vulnerable groups. Their agreement to
volunteer may be influenced by the expectation of preferential treatment if they agree and
retaliation if they refuse. Ethical justifications for the involvement of these vulnerable groups
are:

1. The research could not be carried out equally well with less vulnerable persons.
2. The research will lead to improved treatment of health problems unique to the
vulnerable class.
3. They are assured that they will have reasonable access to any product that comes
out of the research
4. The risk is minimal.
5. The agreement to participate is supplanted by the permission of a legal guardian
or other appropriate representative.
This CIOMS document is in conformity with Islamic law. These individuals need their rights and
interests protected. They should not be forced, pressured, deceived, or subjected to exploitation
of their psychological condition or financial difficulties in order to make them consent to be
research subjects. Such coercion or exploitation involves injustice that is disapproved by Islamic
law. In a divine tradition, Prophet Muhammad ‫ صلى هللا عليه وسلم‬quotes his Lord _, as saying: My
worshippers, I have forbidden injustice on my part and made it forbidden among you, so do not
be unjust to one another31.
Thus, a special justification of recruiting vulnerable individuals to serve as research participants

is required in Islamic Law20, and, as stipulated in the CIOMS guideline, strict measures to protect
their personal rights and interests should be taken.
Document 14. Research Involving Children
The participation of children is essential in research on childhood diseases and treatments given
to children, including medications and vaccines. However, the researcher must ensure that the
research could not be carried out equally well in adults and that the knowledge to be acquired is
relevant to the health needs of children. Further, a parent or guardian must give permission, and
the assent of the child should be obtained to the extent of that child’s capabilities and a child’s
refusal to participate or to continue in the research should be respected.

Under Islamic rulings, a child under the age of puberty is incompetent and his “consent” to
participate in biomedical research is not valid. Moreover, in variance with this CIOMS guideline,
Islamically, the permission of the guardian is not legitimate except
a) when there is an absolute or outweighing benefit or when the child’s condition needs urgent
participation,
b) when there is general need to conduct research relevant to children’s diseases, drugs,or
vaccines, and c) if the risks involved do not exceed what is associated with a normal medical or
psychological examination of the child or when the increase in risk level is slight and approved
by an ethical review committee. These special circumstances are considered “necessities that
render permissible what is usually prohibited” in Islamic law.
In another variance from the CIOMS guideline, a child’s objection to participate in the study is
not taken in consideration. The authority to withdraw from a study is only given to the guardian.
An exception would be if the child is perceptive i. e. is close to puberty and his perception skills
have developed sufficiently even though he is still under guardianship.
Document 15. Women of Reproductive Age as Research Subjects
Researchers should not exclude women of reproductive age from biomedical research. If
participation may be hazardous if a woman conceives, the researcher /sponsor should offer her
pregnancy testing and provide her with access to effective contraception before the research. In
agreement with this guideline, Islamic jurisprudence considers the exclusion of women of
reproductive age from biomedical research as unjust because it deprives them from potential
benefit. Their participation is conditional on voluntary informed consent, including information
on the precautions taken to spare her and her fetus if she becomes pregnant from any hazards. In
Islamic law, it is unacceptable for the permission of a husband to replace that of his wife. That
would be an affront to her human rights. Although not a requirement, it is preferable for a
married woman to obtain her husband’s consent. No such point is included in the
CIOMS guidelines.

Document 16. Pregnant Women as Research Subjects
Research involving pregnant women is complicated by the fact that it may present potential
benefits and risks to both the women and their fetuses. However, pregnant women should be
presumed to be eligible for participation in biomedical research as long as they are adequately
informed about the benefits and risks to themselves, their pregnancies, their fetuses, their
subsequent pregnancies, and their fertility. The research should be relevant to the particular
health needs of pregnant women in general. Researchers should include in their protocols a plan
to monitor the outcome of the pregnancy with regard to both the health of the woman and the
short- and long-term health of the newborn. Islamically, there is no objection to the participation
of pregnant women in biomedical research because of the potential benefit of the research to
them and to their fetuses. Ideally, before enrolling pregnant women in biomedical research, the
researchers should rule out any harm to the fetus. However, that is almost impossible to achieve.
The safety of new medications cannot be assumed from animal experiments or from the study of
the pharmacology of the medication used. There will always be some risk. Islamically, accepting
the possibility of such harm would nevertheless be permissible if the mother or the fetus is likely
to gain an absolute or outweighing benefit. When there are potential risks for the fetus, even
when they are minor or outweighed, the researcher should also obtain the consent of the father.
This is not a requirement of the CIOMS guidelines. It states “. . . it is desirable in research
directed at the health of the fetus to obtain the father’s opinion also, when possible. ”20 In some
instances, clinical trials are meant for the treatment of the fetus and not the mother. In these cases
there are more risks to the mother without any benefit to her. In my opinion the most obvious
example is in utero (prenatal) fetal surgery to correct a fetal birth defect. In these cases, the
maternal instinct may unduly influence her to agree to such trials. Ethically and Islamically, the
researchers should make an extra effort to explain the trial, the potential benefit to the fetus, and
the potential complications in the neonatal management, the short- and long-term prognosis for
the fetus/neonate/child and especially the short- and long-term complications for the mother
before she agrees to participate in the trial. Safeguards should be established to prevent undue
inducement to pregnant women to participate in the research for the sole benefit of the fetus. In

these circumstances I recommend that the ethics review committee establishes a special
counseling team independent of the researcher .
Document 17. Safeguarding Confidentiality
The subjects’ research data should be held in strict confidentiality. However, the participants
should be told the limits, legal or otherwise, to the researcher ’s ability to absolutely safeguard
confidentiality and the possible consequences of possible breeches of confidentiality.
Safeguarding confidentiality is a basic tenet of Islamic law. This is the “trust” between an
individual and the physician/researcher . Exceptions from the requirement of safeguarding
confidentiality are made in cases where concealing the confidential information causes greater
harm for the person involved than that caused by revealing it or when revealing it brings a
benefit that outweighs the harm of concealing it. This is based on the rule of the permissibility of
commission of the lesser of two injuries to prevent the greater injury. Also, there are cases where
revealing confidential information is permitted because it brings a social benefit or prevents
public harm20.
Document 18. Right of Injured Participants to Treatment and Reparation
Research participants are entitled to free medical treatment when they incur any injury or any
other harm as a result of their involvement in the research. They are also entitled to equitable
compensation for any impairment, disability, or handicap that result from their participation. In
the case of death, dependents are entitled to compensation. Their entitlement is based on the
principle of justice, the fourth principle of ethics. The same is true from the Islamic point of
view. This is based on the Islamic legal rule of reparation, which makes it an obligation for a
person who causes any damage to another to make equitable compensation for the loss. When a
participant dies as a result of his participation in research, his heirs are entitled to monetary
compensation, which is the blood money stipulated in Islamic legislation for accidental
homicide. The implicit agreement between research sponsor(s) and involved participants entails
a religious responsibility on the part of the former party to make up for the damages suffered by
a participant as a result of participation in the research. However, it was pointed out during the

deliberations in the Cairo conference that it is permissible for the researchers or sponsors to
obtain in advance the subjects’ informed consent to waive the researcher ’s responsibility,
including the research subjects’ entitlement to compensation for disability and handicaps when
they are not deliberately caused.
This is based on the fact that Islamically, a competent individual is entitled to waive voluntarily
any of his rights, provided that he does that completely voluntarily without any pressure,
inducement, or deception. While this is true, in my opinion, there is danger of it being abused as
it will be impossible to prove that the waiver was given truly voluntarily. I would think that
waiving of the right to reparation ought not to be permitted. In my view, allowing waivers will
make the researcher less careful in avoiding harm to the research subject. Further, I believe there
is a difference between harm resulting from accepted treatment versus that resulting from
investigational treatment in the course of conducting a clinical trial. CIOMS Document 19
specifically prohibits such waivers.
Document 19. Strengthening Capacity for Ethical and Scientific Review and Biomedical
Research
In externally sponsored research, sponsors and researchers have an ethical obligation to ensure
that biomedical research projects for which they are responsible in the host countries contribute
effectively to national or local capacity to design and conduct biomedical research and to provide
scientific and ethical review and monitoring of such research.
Document 20. Ethical Obligations of External Sponsors to Provide Health Care Services
External sponsors are ethically obliged to ensure the availability of health care services that are
essential to the safe conduct of the research and for the treatment of participants who suffer
injury as a consequence of the research. External sponsors should also ensure the availability of
services to make a beneficial intervention developed as a result of the research reasonably
available to the population.

Guidelines 20 and 21 both fall under the Islamic principles of justice and charity and that of
reparation previously discussed.
Summary of the Differences between the Islamic Viewpoint and CIOMS Guidelines
Few differences exist between the two documents. A major difference is the importance that
Islam puts on “public interest. ” It takes precedence over private interest in special cases. This
contrasts with Document 8 as well as with the Declaration of Helsinki.
CIOMS Document 14 requires the consent of the guardian for a child to participate in research
study. Under Islamic rulings this is also necessary, but the permission of the guardian is
legitimate only under the strict conditions outlined above. Further, the CIOMS document
stipulates that the assent of the child should be obtained if possible. Islamically, that is not
required. At the same time, the child’s objection to participation in the study is not to be accepted
if the guardian believes that participation is beneficial. However, if the child’s perceptive skills
have developed sufficiently, the child’s objection can be taken into consideration. On the other
hand, the CIOMS document respects a child’s objection to participate.
When recruiting a married woman for research, it is Islamically preferable to obtain the
husband’s consent. This is not included in CIOMS Document 16. When recruiting a pregnant
woman for a research study if there is any potential risk to the fetus even when minimal or
outweighed the husband’s consent should be obtained according to Islamic rulings, but not
according to CIOMS Document 17.
Islamic rulings allow revealing confidential information if it brings social benefit or prevents
public harm. This is not mentioned explicitly in CIOMS Document 18 but is implied in certain
situations. The concept of public versus private interest is again invoked here as in the discussion
about Document 8. It needs further elaboration by Islamic scholars.
Another difference relates to Document 19. Whereas Islamic rulings will allow waiving of
liability against the researcher (s) under certain conditions, the document prohibits such waivers.
I expressed my stand against the waiver.

Integrity in Clinical Research
It has been stressed in Document 1 and in the Islamic prerequisites for research that the
researchers should be qualified and competent to conduct the study by virtue of their education
and experience. I believe it is important to add that they need to be honest. Although honesty is
implied in competency, it is better and more practical to have it as a separate trait. Integrity or
honesty can be manifested in two aspects. The first is for an researcher , upon noting unexpected
side effects or harm to the study subjects, to discontinue the study and notify the concerned IRB
or ethics review committee. An example of this has been reported32. The second aspect is to
never falsify research data. Unfortunately, there have been instances of “competent” researchers
falsifying data. Article 30 of The Declaration of Helsinki touches on the subject:
Authors, editors and publishers all have ethical obligations with regard to the publication of the
results of research. Authors have a duty to make publicly available the results of their research
on human participants and are accountable for the completeness and accuracy of their reports.
They should adhere to accepted guidelines for ethical reporting. Negative and inconclusive as
well as positive results should be published or otherwise made publicly available. Sources of
funding, institutional affiliations, and conflicts of interest should be declared in the publication.
Reports of research not in accordance with the principles of this Declaration should not be
accepted for publication17. These points cannot be stressed enough. Islam stresses honesty and
truthfulness. It abhors false testimony under which falsification of scientific data falls: O you
believe! Be staunch in justice, witness for Allah even though it be against yourselves or your
parents or your kindred33 …
. . . So shun the filth of idols, and shun lying speech34.
Conclusion
In this paper I presented the current ethical principles embodied in the Helsinki Declaration and
the guidelines the CIOMS established for the application of these principles. They are mostly in
conformity with Islamic law. I did point out some of the differences. Some of these are outlined

in the “International Ethical Guidelines for Biomedical Research (An Islamic Perspective). ”20
Other differences represent my personal viewpoints. It behooves Muslim researchers to fully
abide by these principles and guidelines. Muslims who have taqwā (God consciousness) should
be the first to promulgate those ideals as we are given the privilege by Allah _to care for His
most honored creation, humans.
Citation sources for Appendix 10
1. Khan FA. Clinicians as effective researchers. J Islam Med Assoc. 2010;42:9-

14.http://dx.doi.org/10.5915/42-1-4846
2. Muazzam MG, Muazzam N. Important contributions of early Muslim period to medical
science. I.Basic sciences. J Islam Med Assoc. 1989;21:8-13.http://dx.doi.org/10.5915/21-
1-5513
3. Muazzam MG, Muazzam N. Important contributions of early Muslim period to medical
Science. II. Clinical sciences. J Islam Med Assoc. 1989;21:64-
70.http://dx.doi.org/10.5915/21-2-5514
4. Khan HR. Contributions of Muslims to medicine and science: up to the middle of thirteen
century. J Islam Med Assoc. 1982;14:111-4. http://dx.doi.org/10.5915/14-4-5526
5. Haddad FS. Original contributions of physicians during the Islamic era. J Islam Med
Assoc.1996;28:103-12. http://dx.doi.org/10.5915/28-3-5530
6. The Glorious Qur’an Chapter 96, Verses 1-5.
7. The Glorious Qur’an Chapter 20, Verse 114.
9. The Glorious Qur’an Chapter 88, Verses 17-20.
11. Sunan Abī Dāwūd. Kitāb al-ṭibb.Bāb fī al-adwiya al-makrūha. Hadith no. 3874.
muhaddith.org
12. Pressel DM. Nuremberg and Tuskegee: lessons for contemporary American medicine. J
Natl Med Assoc. 2003;95:1216-25. PubMed Central PMCID: PMC2594827
13. Vonderlehr RA, Clark T, Wenger OC et al. Untreated syphilis in the male Negro: a
comparative study of treated and untreated cases. JAMA. 1936;107:856-60.
http://doi.org/hd6
14. Schuman SH, Olansky S, Rivers E et al. Untreated syphilis in the male Negro:
,background and current status of patients in the Tuskegee study. J Chronic Dis.
1955;2:543-58. http://doi.org/hd7
15. Olansky S, Schuman SH, Peters JJ et al. Untreated syphilis in the male Negro: X. Twenty
years of clinical observation of untreated syphilitic and presumably nonsyphilitic groups.
J Chronic Dis. 1956;4:177- 85. http://dx.doi.org/10.1016/0021-9681(56)90019-4
16. Rockwell DH, Yobs AR, Moore MB. The Tuskegee study of untreated syphilis: the 30th
year of observation. Arch Intern Med. 1964;114:792-8. http://doi.org/hd8
17. 59th World Medical Association General Assembly. Declaration of Helsinki: ethical
principles for medical research involving human subjects. 2008.
http://www.wma.net/en/30publications/10policies b3/17c.pdf
18. The National Commission for the Protection of Human Participants of Biomedical and
Behavioral Research. Department of Health Education and Welfare. The Belmont Report.
Ethical principles and guidelines for the protection of human participants of research.
April 18, 1979. http://www.hhs.gov/ ohrp/humansubjects/guidance/belmont.html
19. Council for International Organizations of Medical Sciences. International ethical
guidelines for biomedical research involving human subjects. Geneva: World Health
Organization; 2002. http://www.cioms.ch/publications/guidelines/guid
elines_nov_2002_blurb.htm
20. Islamic Organization for Medical Sciences. International ethical guidelines for
biomedical research involving human participants “an Islamic perspective.” In El-Gendy
AR, Al-Awadi ARA, editors. The international Islamic code for medical and health
ethics. Kuwait: Islamic Organization for Medical Sciences; 2005:Vol 2, 121-276.
21. Beauchamp TL, Childress JF. Principles of biomedical ethics. 5th ed, Oxford (UK) and
New York: Oxford University Press; 2001.
22. The Glorious Qur’an, Chapter 17, Verse 70.
25. Sahih Muslim. Siddiq AH, translator. Lahore: Sh. Muhammad Ashraf; 1987: 1425, hadith
no 6568.
27. Jalāl al-dīn al-Suyūṭi. Al-Jāmi` al-ṣaghīr. Vol 2. Chapter of Alif. Hadith no 1861.
http://muhaddith.org
28. Chiarelli LC. Muslim Sicily and the beginnings of medical licensing in Europe. J Islam
Med Assoc. 1999;31:79-82. http://doi.org/hd9
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http://doi.org/hfb
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32. Straus SE. Unanticipated risk in clinical research. In: Gallin JI, Ognibene FP, editors.
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Guidelines for Responsible Conduct of Clinical Studies and Trials I

Guidelines for Responsible Conduct of Clinical Studies and Trials I

Dr. Ahmed Mohamed Al-Saidi

Guidelines for Responsible Conduct of Clinical Studies and Trials II

Ph.D. in Flow Cytometry and Molecular Genetics, University of Adelaide (Australia)

Doctor of Science in Biostatistics, Tulane University (United States of America)

MD, FRCPC, University of Alberta (Canada)

Dr. John Idikula, Senior Specialist, (Ministry of Health)

MS; M.Med.Sci. in Epidemiology, University of Newcastle (Australia)

M.Sc. in Epidemiology and Medical Statistics, Sultan Qaboos University (Oman)

PhD in Medicinal Chemistry. University of Strathclyde (United Kingdom)

M.Sc. Clinical Pharmacy, University of Strathclyde (United Kingdom)

Guidelines for Responsible Conduct of Clinical Studies and Trials III

Guidelines for Responsible Conduct of Clinical Studies and Trials IV

Guidelines for Responsible Conduct of Clinical Studies and Trials V

Guidelines for Responsible Conduct of Clinical Studies and Trials VI

Abbreviation Full term

ADR Adverse Drug Reaction

CDBI Comité Directeur pour La Bioéthique (Steering Committee on Bioethics,

CIOMS Council for International Organizations of Medical Sciences

CRF Case Record Form

DGPADC Directorate General of Pharmaceutical Affairs and Drug Control

DSMB Data Safety Monitoring Board

GCP Good Clinical Practice

GLP Good Laboratory Practice

GMP Good Manufacturing Practice

IOMS Islamic Organization for Medical Sciences

IRB Institutional Review Board

RERAC Research and Ethical Review & Approve Committee

SAE Serious Adverse Events

SOP Standard Operating Procedure

WHO World Health Organization

WMA World Medical Association

Guidelines for Responsible Conduct of Clinical Studies and Trials 1

Research misconduct is defined as fabrication, falsification, or plagiarism, including

Compliance to ethical issues in clinical research is of critical importance. Failure to adhere to

Guidelines for Responsible Conduct of Clinical Studies and Trials 3

Guidelines for Responsible Conduct of Clinical Studies and Trials 4

Guidelines for Responsible Conduct of Clinical Studies and Trials 5

1.2 Information Retrieval and Appraisal

Guidelines for Responsible Conduct of Clinical Studies and Trials 6

1.3 Framing an Answerable Research Question

1.4 Formulating a Research Hypothesis

1.5 Utilising an Appropriate Study Design

Guidelines for Responsible Conduct of Clinical Studies and Trials 8

1.6 Selecting the Study Population

1.7 Proper Sampling

Guidelines for Responsible Conduct of Clinical Studies and Trials 9

1.8 Maintaining and Following up After Intervention

Inadequate follow up after intervention, use of an unproven or inappropriate “proxy” outcome

1.9 Avoiding / Reducing Bias

1.10 Analysing and Managing Data

Guidelines for Responsible Conduct of Clinical Studies and Trials 10

1.12 Research Output

Guidelines for Responsible Conduct of Clinical Studies and Trials 11

Guidelines for Responsible Conduct of Clinical Studies and Trials 12

2.2 Research and Ethics Committee

A. Establishment of Research and Ethical Review & Approve Committee

Guidelines for Responsible Conduct of Clinical Studies and Trials 13