REGULATION (EU) No 536/2014 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of 16 April 2014
on clinical trials on medicinal products for human use, and repealing Directive 2001/20/EC
(Text with EEA relevance)
CHAPTER I
GENERAL PROVISIONS
Article 1
Scope
Article 2
Definitions
Article 3
General principle
CHAPTER II
AUTHORISATION PROCEDURE FOR A CLINICAL TRIAL
Article 4
Prior authorisation
Article 5
Submission of an application
Article 6
Assessment report — Aspects covered by Part I
Article 7
Assessment report — Aspects covered by Part II
Article 8
Decision on the clinical trial
Article 9
Persons assessing the application
Article 10
Specific considerations for vulnerable populations
Article 11
Submission and assessment of applications limited to aspects covered by Part I or Part II of the assessment report
Article 12
Withdrawal
Article 13
Resubmission
Article 14
Subsequent addition of a Member State concerned
CHAPTER III
AUTHORISATION PROCEDURE FOR A SUBSTANTIAL MODIFICATION OF A CLINICAL TRIAL
Article 15
General principles
Article 16
Submission of application
Article 17
Validation of an application for the authorisation of a substantial modification of an aspect covered by Part I of the assessment report
Article 18
Assessment of a substantial modification of an aspect covered by Part I of the assessment report
Article 19
Decision on the substantial modification of an aspect covered by Part I of the assessment report
Article 20
Validation, assessment and decision regarding a substantial modification of an aspect covered by Part II of the assessment report
Article 21
Substantial modification of aspects covered by Parts I and II of the assessment report
Article 22
Assessment of a substantial modification of aspects covered by Parts I and II of the assessment report — Assessment of the aspects covered by Part II of the assessment report
Article 23
Decision on the substantial modification of aspects covered by Parts I and II of the assessment report
Article 24
Persons assessing the application for a substantial modification
CHAPTER IV
APPLICATION DOSSIER
Article 25
Data submitted in the application dossier
Article 26
Language requirements
Article 27
Update by way of delegated acts
CHAPTER V
PROTECTION OF SUBJECTS AND INFORMED CONSENT
Article 28
General rules
Article 29
Informed consent
Article 30
Informed consent in cluster trials
Article 31
Clinical trials on incapacitated subjects
Article 32
Clinical trials on minors
Article 33
Clinical trials on pregnant or breastfeeding women
Article 34
Additional national measures
Article 35
Clinical trials in emergency situations
CHAPTER VI
START, END, TEMPORARY HALT, AND EARLY TERMINATION OF A CLINICAL TRIAL
Article 36
Notification of the start of a clinical trial and of the end of the recruitment of subjects
Article 37
End of a clinical trial, temporary halt and early termination of a clinical trial and submission of the results
Article 38
Temporary halt or early termination by the sponsor for reasons of subject safety
Article 39
Update of the contents of the summary of results and summary for laypersons
CHAPTER VII
SAFETY REPORTING IN THE CONTEXT OF A CLINICAL TRIAL
Article 40
Electronic database for safety reporting
Article 41
Reporting of adverse events and serious adverse events by the investigator to the sponsor
Article 42
Reporting of suspected unexpected serious adverse reactions by the sponsor to the Agency
Article 43
Annual reporting by the sponsor to the Agency
Article 44
Assessment by Member States
Article 45
Technical aspects
Article 46
Reporting with regard to auxiliary medicinal products
CHAPTER VIII
CONDUCT OF A CLINICAL TRIAL, SUPERVISION BY THE SPONSOR, TRAINING AND EXPERIENCE, AUXILIARY MEDICINAL PRODUCTS
Article 47
Compliance with the protocol and good clinical practice
Article 48
Monitoring
Article 49
Suitability of individuals involved in conducting the clinical trial
Article 50
Suitability of clinical trial sites
Article 51
Traceability, storage, return and destruction of investigational medicinal products
Article 52
Reporting of serious breaches
Article 53
Other reporting obligations relevant for subject safety
Article 54
Urgent safety measures
Article 55
Investigator's brochure
Article 56
Recording, processing, handling and storage of information
Article 57
Clinical trial master file
Article 58
Archiving of the clinical trial master file
Article 59
Auxiliary medicinal products
CHAPTER IX
MANUFACTURING AND IMPORT OF INVESTIGATIONAL MEDICINAL PRODUCTS AND AUXILIARY MEDICINAL PRODUCTS
Article 60
Scope of this Chapter
Article 61
Authorisation of manufacturing and import
Article 62
Responsibilities of the qualified person
Article 63
Manufacturing and import
Article 64
Modification of authorised investigational medicinal products
Article 65
Manufacturing of auxiliary medicinal products
CHAPTER X
LABELLING
Article 66
Unauthorised investigational and unauthorised auxiliary medicinal products
Article 67
Authorised investigational and authorised auxiliary medicinal products
Article 68
Radiopharmaceuticals used as investigational medicinal products or as auxiliary medicinal products for a medical diagnosis
Article 69
Language
Article 70
Delegated act
CHAPTER XI
SPONSOR AND INVESTIGATOR
Article 71
Sponsor
Article 72
Co-sponsorship
Article 73
Principal investigator
Article 74
Legal representative of the sponsor in the Union
Article 75
Liability
CHAPTER XII
DAMAGE COMPENSATION
Article 76
Damage compensation
CHAPTER XIII
SUPERVISION BY MEMBER STATES, UNION INSPECTIONS AND CONTROLS
Article 77
Corrective measures to be taken by Member States
Article 78
Member State inspections
Article 79
Union controls
CHAPTER XIV
IT INFRASTRUCTURE
Article 80
EU portal
Article 81
EU database
Article 82
Functionality of the EU portal and the EU database
CHAPTER XV
COOPERATION BETWEEN MEMBER STATES
Article 83
National contact points
Article 84
Support by the Agency and the Commission
Article 85
Clinical Trials Coordination and Advisory Group
CHAPTER XVI
FEES
Article 86
General principle
Article 87
One payment per activity per Member State
CHAPTER XVII
IMPLEMENTING ACTS AND DELEGATED ACTS
Article 88
Committee procedure
Article 89
Exercise of the delegation
CHAPTER XVIII
MISCELLANEOUS PROVISIONS
Article 90
Specific requirements for special groups of medicinal products
Article 91
Relation with other Union legislation
Article 92
Investigational medicinal products, other products and procedures, free of charge for the subject
Article 93
Data protection
Article 94
Penalties
Article 95
Civil and criminal liability
CHAPTER XIX
FINAL PROVISIONS
Article 96
Repeal
Article 97
Review
Article 98
Transitional provision
Article 99
Entry into force
ANNEX I
APPLICATION DOSSIER FOR THE INITIAL APPLICATION
A. INTRODUCTION AND GENERAL PRINCIPLES
B. COVER LETTER
C. EU APPLICATION FORM
D. PROTOCOL
E. INVESTIGATOR'S BROCHURE (IB)
F. DOCUMENTATION RELATING TO COMPLIANCE WITH GOOD MANUFACTURING PRACTICE (GMP) FOR THE INVESTIGATIONAL MEDICINAL PRODUCT
G. INVESTIGATIONAL MEDICINAL PRODUCT DOSSIER (IMPD)
1.1.
Data relating to the investigational medicinal product
Introduction
Quality data
Non-clinical pharmacology and toxicology data
Data from previous clinical trials and human experience
Overall risk and benefit assessment
1.2.
Simplified IMPD by referring to other documentation
Possibility of referring to the IB
Possibility of referring to the SmPC
Types of previous assessment |
Quality data |
Non-clinical data |
Clinical data |
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The investigational medicinal product is authorised or has a marketing authorisation in an ICH country and is used in the clinical trial: |
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SmPC |
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SmPC |
If appropriate |
If appropriate |
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P+A |
SmPC |
SmPC |
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Another pharmaceutical form or strength of the investigational medicinal product is authorised or has a marketing authorisation in an ICH country and the investigational medicinal product is supplied by the marketing authorisation holder |
SmPC+P+A |
Yes |
Yes |
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The investigational medicinal product is not authorised and has no marketing authorisation in an ICH country but the active substance is contained in an authorised medicinal product, and |
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|
|
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|
SmPC+P+A |
Yes |
Yes |
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SmPC+S+P+A |
Yes |
Yes |
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The investigational medicinal product was subject to a previous clinical trial application and authorised in the Member State concerned and has not been modified, and |
|
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Reference to previous submission |
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New data |
New data |
New data |
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If appropriate |
If appropriate |
If appropriate |
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(S: Data relating to the active substance; P: Data relating to the investigational medicinal product; A: Additional information on Facilities and Equipment, Adventitious Agents Safety Evaluation, Novel Excipients, and Solvents for Reconstitution and Diluents) |
1.3.
IMPD in cases of placebo
H. AUXILIARY MEDICINAL PRODUCT DOSSIER
I. SCIENTIFIC ADVICE AND PAEDIATRIC INVESTIGATION PLAN (PIP)
J. CONTENT OF THE LABELLING OF THE INVESTIGATIONAL MEDICINAL PRODUCTS
K. RECRUITMENT ARRANGEMENTS (INFORMATION PER MEMBER STATE CONCERNED)
L. SUBJECT INFORMATION, INFORMED CONSENT FORM AND INFORMED CONSENT PROCEDURE (INFORMATION PER MEMBER STATE CONCERNED)
M. SUITABILITY OF THE INVESTIGATOR (INFORMATION PER MEMBER STATE CONCERNED)
N. SUITABILITY OF THE FACILITIES (INFORMATION PER MEMBER STATE CONCERNED)
O. PROOF OF INSURANCE COVER OR INDEMNIFICATION (INFORMATION PER MEMBER STATE CONCERNED)
P. FINANCIAL AND OTHER ARRANGEMENTS (INFORMATION PER MEMBER STATE CONCERNED)
Q. PROOF OF PAYMENT OF FEE (INFORMATION PER MEMBER STATE CONCERNED)
R. PROOF THAT DATA WILL BE PROCESSED IN COMPLIANCE WITH UNION LAW ON DATA PROTECTION
ANNEX II
APPLICATION DOSSIER FOR SUBSTANTIAL MODIFICATION
A. INTRODUCTION AND GENERAL PRINCIPLES
B. COVER LETTER
C. MODIFICATION APPLICATION FORM
D. DESCRIPTION OF THE MODIFICATION
E. SUPPORTING INFORMATION
F. UPDATE OF EU APPLICATION FORM
G. PROOF OF PAYMENT OF FEE (INFORMATION PER MEMBER STATE CONCERNED)
ANNEX III
SAFETY REPORTING
1. REPORTING OF SERIOUS ADVERSE EVENTS BY THE INVESTIGATOR TO THE SPONSOR
2. REPORTING OF SUSPECTED UNEXPECTED SERIOUS ADVERSE REACTIONS (SUSARS) BY THE SPONSOR TO THE AGENCY IN ACCORDANCE WITH ARTICLE 42
2.1.
Adverse Events and Causality
2.2.
Expectedness, unexpectedness and the RSI
2.3.
Information for the reporting of SUSARs
2.4.
Follow-up reports of SUSARs
2.5.
Unblinding treatment allocation
3. ANNUAL SAFETY REPORTING BY THE SPONSOR
ANNEX IV
CONTENT OF THE SUMMARY OF THE RESULTS OF THE CLINICAL TRIAL
A. CLINICAL TRIAL INFORMATION:
B. SUBJECT DISPOSITION:
C. BASELINE CHARACTERISTICS:
D. END POINTS:
E. ADVERSE EVENTS:
F. ADDITIONAL INFORMATION:
ANNEX V
CONTENT OF THE SUMMARY OF THE RESULTS OF THE CLINICAL TRIAL FOR LAYPERSONS
ANNEX VI
LABELLING OF INVESTIGATIONAL MEDICINAL PRODUCTS AND AUXILIARY MEDICINAL PRODUCTS
A. UNAUTHORISED INVESTIGATIONAL MEDICINAL PRODUCTS
A.1.
General rules
A.2.
Limited labelling of immediate packaging
A.2.1.
Immediate and outer packaging provided together
A.2.2.
Small immediate packaging
B. UNAUTHORISED AUXILIARY MEDICINAL PRODUCTS
C. ADDITIONAL LABELLING FOR AUTHORISED INVESTIGATIONAL MEDICINAL PRODUCTS
D. REPLACING OF INFORMATION
ANNEX VII
CORRELATION TABLE
Directive 2001/20/EC |
This Regulation |
Article 1(1) |
Article 1 and Article 2(1) and (2) points (1), (2) and (4) |
Article 1(2) |
Article 2(2) point (30) |
Article 1(3), first subparagraph |
— |
Article 1(3), second subparagraph |
Article 47, third subparagraph |
Article 1(4) |
Article 47, second subparagraph |
Article 2 |
Article 2 |
Article 3(1) |
— |
Article 3(2) |
Articles 4, 28, 29 and 76 |
Article 3(3) |
Article 28(1)(f) |
Article 3(4) |
Article 28(1)(g) |
Article 4 |
Articles 10(1), 28, 29 and 32 |
Article 5 |
Articles 10(2), 28, 29 and 31 |
Article 6 |
Articles 4 to 14 |
Article 7 |
Articles 4 to 14 |
Article 8 |
— |
Article 9 |
Articles 4 to 14 |
Article 10(a) |
Articles 15 to 24 |
Article 10(b) |
Article 54 |
Article 10(c) |
Articles 37 and 38 |
Article 11 |
Article 81 |
Article 12 |
Article 77 |
Article 13(1) |
Article 61(1) to (4) |
Article 13(2) |
Article 61(2) |
Article 13(3), first subparagraph |
Articles 62(1) and 63(1) and (3) |
Article 13(3), second subparagraph |
Article 63(1) |
Article 13(3), third subparagraph |
— |
Article 13(4) |
Article 62 |
Article 13(5) |
— |
Article 14 |
Articles 66 to 70 |
Article 15(1) |
Article 78(1), (2) and (5) |
Article 15(2) |
Article 78(6) |
Article 15(3) |
— |
Article 15(4) |
— |
Article 15(5) |
Articles 57, 58 and 78(7) |
Article 16 |
Article 41 |
Article 17(1)(a) to (c) |
Article 42 |
Article 17(1)(d) |
— |
Article 17(2) |
Article 43 |
Article 17(3)(a) |
— |
Article 17(3)(b) |
Article 44(1) |
Article 18 |
— |
Article 19, first paragraph, first sentence |
Article 75 |
Article 19, first paragraph, second sentence |
Article 74 |
Article 19, second paragraph |
Article 92 |
Article 19, third paragraph |
— |
Article 20 |
— |
Article 21 |
Article 88 |
Article 22 |
— |
Article 23 |
— |
Article 24 |
— |