Skip to main content

Abstract

Clinical trials are conducted for many reasons, including to determine whether a new drug is safe and effective for a therapeutic use. A clinical study protocol acts as a how-to guide for the conduct of a study and is essential for successful trial execution. When drugs or biologics are being developed for regulatory approval, the Food and Drug Administration (FDA) requires that a clinical protocol be submitted for each planned clinical study or trial enrolling participants in the United States. According to the US Code of Federal Regulations (21 CFR Part 312), the specific elements and level of detail for a protocol can vary depending on the phase of the study. The clinical study protocol for a phase 1 study should be designed with a focus on safety and dosing; protocols for phase 2 and 3 studies should include detailed descriptions for all aspects of the study, including safety, efficacy, and statistical considerations. The US Code of Federal Regulations (21 CFR Part 312) describes specific elements that should be included in all clinical protocols, regardless of the clinical phase. The International Conference on Harmonization Good Clinical Practice Guidelines (ICH GCP E6, Section 6) specify additional sections that should generally be included in a protocol. The objective of this chapter is to describe the elements that should be included in a clinical trial protocol.

The opinions expressed herein are those of the authors and do not necessarily reflect those of the US Food and Drug Administration.

This is a preview of subscription content, log in via an institution to check access.

Access this chapter

Chapter
USD 29.95
Price excludes VAT (USA)
  • Available as PDF
  • Read on any device
  • Instant download
  • Own it forever
eBook
USD 149.00
Price excludes VAT (USA)
  • Available as EPUB and PDF
  • Read on any device
  • Instant download
  • Own it forever
Hardcover Book
USD 199.99
Price excludes VAT (USA)
  • Durable hardcover edition
  • Dispatched in 3 to 5 business days
  • Free shipping worldwide - see info

Tax calculation will be finalised at checkout

Purchases are for personal use only

Institutional subscriptions

References

  1. Basics about clinical trials. https://www.fda.gov/patients/clinical-trials-what-patients-need-know/basics-about-clinical-trials#:~:text=to%20determine%20whether%20a%20new,or%20decrease%20certain%20side%20effects. Accessed 16 Jan 2023

  2. E6(R2) Good clinical practice: integrated addendum to ICH E6(R1) https://www.fda.gov/regulatory-information/search-fda-guidance-documents/e6r2-good-clinical-practice-integrated-addendum-ich-e6r1. Accessed 16 Jan 2023

  3. FDA. IND applications for clinical investigations: clinical protocols. https://www.fda.gov/drugs/investigational-new-drug-ind-application/ind-applications-clinical-investigations-clinical-protocols. Accessed 16 Jan 2023

  4. 21 CFR 312. https://www.accessdata.fda.gov/scripts/cdrh/cfdocs/cfcfr/CFRsearch.cfm?CFRPart=312. Accessed 16 Jan 2023

  5. FDA. The drug development process. https://www.fda.gov/patients/drug-development-process/step-3-clinical-research. Accessed 16 Jan 2023

  6. Al-Jundi A, Sakka S (2016) Protocol writing in clinical research. J Clin Diagn Res 10(11):ZE10–ZE13

    PubMed  PubMed Central  Google Scholar 

  7. FDA (2019) Enrichment strategies for clinical trials to support approval of human drugs and biological products: guidance for industry. https://www.fda.gov/regulatory-information/search-fda-guidance-documents/enrichment-strategies-clinical-trials-support-approval-human-drugs-and-biological-products. Accessed 16 Jan 2023

  8. How to comply with the Pediatric Research Equity Act: draft guidance for industry. 2005. https://www.fda.gov/regulatory-information/search-fda-guidance-documents/how-comply-pediatric-research-equity-act. Accessed 17 Jan 2023

  9. Ethical considerations for clinical investigations of medical products involving children: draft guidance for industry, sponsors, and IRBs. 2022. https://www.fda.gov/regulatory-information/search-fda-guidance-documents/ethical-considerations-clinical-investigations-medical-products-involving-children. Accessed 17 Jan 2023

  10. ICH E11 clinical investigation of medicinal products in the pediatric population 2000. https://www.fda.gov/regulatory-information/search-fda-guidance-documents/e11-clinical-investigation-medicinal-products-pediatric-population. Accessed 17 Jan 2023

Download references

Author information

Authors and Affiliations

Authors

Corresponding author

Correspondence to Rekha Kambhampati .

Editor information

Editors and Affiliations

Ethics declarations

None.

Rights and permissions

Reprints and permissions

Copyright information

© 2023 The Author(s), under exclusive license to Springer Nature Singapore Pte Ltd.

About this chapter

Check for updates. Verify currency and authenticity via CrossMark

Cite this chapter

Kambhampati, R., Mistry, K. (2023). Elements of Clinical Trial Protocol Design. In: Jagadeesh, G., Balakumar, P., Senatore, F. (eds) The Quintessence of Basic and Clinical Research and Scientific Publishing. Springer, Singapore. https://doi.org/10.1007/978-981-99-1284-1_22

Download citation

Publish with us

Policies and ethics