PROCEDURES FOR USE OF HUMANS AS RESEARCH SUBJECTS IN THE EXTRAMURAL RESEARCH PROGRAM

• Document Type: CREST
• Collection: STARGATE
• Document Number (FOIA) /ESDN (CREST): CIA-RDP96-00788R001500160007-3
• Release Decision: RIFPUB
• Original Classification: K
• Document Page Count: 20
• Document Creation Date: November 4, 2016
• Document Release Date: August 30, 2000
• Sequence Number: 7
• Publication Date: June 25, 1990
• Content Type: REGULATION

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PROCEDURES FOR USE OF HUMANS AS RESEARCH SUBJECTS
I. Purpose: This is to establish uniform procedures and respon-
sibility for review of the use of humans as research subjects,
negotiation of provisions, and administration of research projects
in the extramural program. Wherever the term "contractor" appears
it shall also mean grantee and other Government agency.
II. References
1. 45 CFR 46 HHS Regulation on Protection of Human Subjects;
2. 10 U.S.C. Section 980 Limitations on Use of Humans as
Experimental Subjects;
3. 21 CFR 312 Investigational Drugs and Vaccines;
4. 21 CFR 812 Investigational Medical Devices;
5. 21 CFR 56.111(a)(3) Advertisement Guidelines for the
Recruiting of Research Subjects;
6. DOD Directive 6465.2 Organs and Tissues Obtained from
Autopsy;
7. DOD Directive 3216.2 Protection of Human Subjects in
DOD-Supported Research;
8. Federal Acquisition Regulation (FAR) 52.228-7 Insurance
Liability to Third Persons and FAR 31.109 Advance Agreements;
9. USAMRDC Regulation 70-25 Use of Human Subjects in
Research, Development, Testing and Evaluation;
10. USAMRDC Broad Agency Announcement (BAA);
11. Army Regulation 340-21 The Army Privacy Program; and
12. Federal Acquisition Regulations (FAR) Part 24 Protection
of Privacy and Freedom of Information, 52.224-1 Privacy Act
Notification, and 52.224-2 Privacy Act.
III. Objectives:
1. Safeguarding the rights and welfare of human subjects
participating in research and development supported by contracts,
grants and orders awarded by U.S. Army Medical Research and
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Development Command (USAMRDC) is of utmost concern to the Command,
and is primarily the responsibility of the contractor or recipient
who receives or is accountable to USAMRDC for the funds awarded for
the support of the project. However, the sensitivity of such
research necessitates that the Command exercise prudence in its
oversight responsibilities. The procedures employed shall be
flexible and tailored to the requirements of the specific acquisi-
tion.
2. It is the policy of USAMRDC that the Department of Health
and Human Services (HHS) Regulation on Protection of Human Sub-
jects, Food and Drug Administration Regulations on Investigational
Drugs and Vaccines and Investigational Medical Devices, and
Advertisement Guidelines for the Recruiting of Research Subjects
shall be adhered to by USAMRDC contractors and recipients, with the
addition of the following specific DOD/USAMRDC requirements.
a. Informed consent must be obtained in advance from the
subject, or in the case of research intended to he beneficial to
the subject, the informed consent of the subject or a legal
representative of the subject must be obtained in advance.
b. Contractors and recipients shall provide all neces-
sary medical care to research subjects for injury or disease which
is the proximate result of participation in the research.
co Anatomical Substances (organs, tissues, or tissue
fluids) obtained from autopsy shall not be used for research or
investigational purposes without the expressed consent of the next
of kin. It should be noted that a general autopsy consent may not,
in itself, be sufficient. If autopsy tissue is to be used, the
protocol should include a copy of the consent form used to obtain
the tissue.
d. Anatomical Substances (organs, tissues, or tissue
fluids) obtained from a surgical procedure shall not be used for
research or investigational purposes without the expressed consent
of the patient or patient's legal representative. It should be
noted that a consent to perform surgery may not, in itself, be
sufficient. If excised tissue is to be used, the protocol should
include a copy of the consent form used to obtain the tissue.
e. Anatomical substances linked by identifiers to a
particular person and used for research shall be donated for the
purpose of research, and shall be lawfully acquired. The donor
shall be the person from whom the substance is removed or, in the
event of death or legal disability of the person from whom the
substance is removed, the next of kin or legal representative of
such person. Donation shall he made by written consent and the
donor shall relinquish all ownership and/or rights to the sub-
stance. If excised or autopsy tissue is to be used, the protocol
should include a copy of the consent form used to obtain the
tissue.
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subjects.
Prisoners of war shall not be used as research
f.
of prisoners as research subjects shall follow 45
g. Use P
CFR 46, Subpart C.
the U.S., its territories
of non-U.S. citizens as
h. Studies conducted outside
CFR 46 and above
or pos sessions, which involve the e with 45
o compliance
shall comply with the laws,
in addition t wi
subjects, uirements, is to laws,
special DOD anractices ofq the country in which the study
customs, and practices ro osal
minimum standards to be adherThetoreare searchtplnpd in
conducted. The Helsinki (Tab D). In exceptional
the Declaration of
submitted for approval will document this act?ces of the country
customs or pr
uirements of
circumstances where laws, particular procedural req
med
involved take exceptionfor example, the documentation of infor*fic
rovision (as, is obtained), sPec'
this p the procedures by which it U.S. Army Medical
consent or obtained from the command ntegral part of the
approval will be Command as an i
Research and approval process.
proposal review and 1Y to epidemiological
i. None of these provisions app
surveys involving no more than minimal risk.
- records concerning
t r records concerning
J.
human use.
The USAMRDC may inspect contrac
IV. Goals:
s
The Human
e ther ul
shall be responsibl use
(SGRD-HR)
lving
invo
extramural program human anatomical
testing, and use of
ble for:
a p
of humans in research and
substances. SGRD-HR is
specifically respond
contract,
proposal and consent form, or
a. Review of any p p
ct grant, intragovehe useelofrahumans or human anatomical
modification which shall ensure;
substances. Regulations,
(1) that applicable DOD directives, Army with;
FDA and HHS regulations, and public laws will be complied (2) that
appropriate validation of the human use
process has occurred, and;
that the recipientatis#actorytor has an as surance
(3) to the HHS, or has
satisfactory
otiwith the USAMRDC
compliance with 45 CFR 46
of comp
lianceor negation
provided sufficient information
a special assurance of comp
r Affairs office
and Re ulato
e Review s ects of the USAMRDC
U
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b. Development, in coordination with the U.S. Army
Medical Research Acquisition Activity (SGRD-RMA), of special
provisions to he included in RFPs, contracts, and grants. Develop-
ment, in coordination with the Acquisition Management Office
(SGRD-ACQ), of special provisions to be included in the BAA and
intragovernmental transfer of fund orders.
c. Participating in negotiations (in conjunction with
SGRD-RMA or SGRD-ACQ) with prospective contractors for the develop-
ment of special assurance of compliance with HHS 45 CFR 46. The
SGRD-HR shall be the final approval authority for special assuran-
ces,
d. Review and approval of proposals recommended for
inclusion in the competitive range as a result of solicitations,
and its accompanying consent form. Where applicable, advertise-
ments used to recruit subjects will be reviewed.
e. Assuring that all parties (e.g., contracting
officer's representative (COR), Project Manager and Product Manager
(PM), SGRD-ACQ, AMLO, and SGRD-RMA) are kept informed regarding
issues relative to the use of humans.
f. Monitoring contracts, grants, and orders funded by
USAMRDC by means of documentation review or site survey (pre- and
post-award) as required.
g. Receiving reports of research related illnesses or
injuries from principal investigators.
2. The SGRD-RMA shall be responsible for the following
concerning the use of humans as research subjects or the use of
human anatomical substances:
a. Negotiation, in conjunction with SGRD-HR, of special
assurances of compliance with regulations with prospective contrac-
tors.
b. Development, in coordination with SGRD-HR, of special
provisions to be included in RFPs and contracts.
c. When assigned contract administration, assuring
compliance with contract terms.
d. Approval of use of prisoners as research subjects,
after review and approval of the Command Judge Advocate and
SGRD-HR.
3. The SGRD-ACQ shall be responsible for the following
concerning the use of humans as research subjects:
a. Issuing required changes to this procedure.
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b. Negotiation, in conjunction with SGRD-HR, of special
assurances of compliance with regulations with other Government
agencies.
c. Development, in coordination with SGRD-HR, of special
provisions to be included in intragovernmental transfer of fund
orders.
d. Approval of use of prisoners as research subjects,
after review and approval of the Command Judge Advocate and
SGRD-HR.
e. Administration of intragovernmental orders to assure
compliance with the order.
4. The U.S. Army Medical Materiel Development Activity shall
assist and participate with SGRD-HR, SGRD-RMA, and SGRD-ACQ on all
matters pertaining to the use of humans as research subjects in
programs under their cognizance.
5. The Office of the Command Judge Advocate shall advise
SGRD-HR, SGRD-RMA, and SGRD-ACQ on all legal matters pertaining to
the use of humans as research subjects or the use of anatomical
substances.
6. The appointed COR through the AMLO or PM shall assist and
participate with SGRD-RMA, SGRD-HR, and SGRD-ACQ in administration
of contracts, grants, and intragovernmental orders.
V. Procedures:
1. Proposed contracts, RFPs, and proposals received under
the BAA, and proposals from other Government agencies which are
recommended for funding shall be reviewed by SGRD-HR prior to
submission to SGRD-RMA for procurement or to SGRD-ACQ for intra-
government transfer of funds.
a. Clarifications or changes to proposals received in
response to the BAA or from other Government agencies is the
responsibility of SGRD-HR. Copies of all correspondence will be
provided the affected AMLO.
b. Clarification or changes in RFPs and contracts is the
responsibility of SGRD-HR. All communications with the contractor
will be through SGRD-RMA.
2. To permit timely award of the contract, the USAMRDC Form
9 and documentation may be submitted by SGRD-HR to SGRD-RMA or
SGRD-ACQ, even though all issues relating to the use of human
subjects have not been resolved, on the condition that the Prohibi-
tion of Use of Human Subjects provision will be included in the
contract, grant, or order.
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a. Comments on proposals submitted in response to
specific RFPs shall be provided by SGRD-HR to SGRD-RMA prior to
negotiation by SGRD-RMA with organizations in the competitive
range. SGRD-HR shall provide SGRD-RMA recommendations for negotia-
tion of provisions to be included in contracts to be awarded as the
result of other than full and open competition, and provisions for
changes or tasks after contract award.
b. Upon receipt of required information, SGRD-HR shall
review and approve the appropriate provision in the contract,
grant, or order.
c. SGRD-HR will review and approve task order protocols
in accordance with the provisions of the contract.
d. Upon resolution of all issues involving the use of
humans in research, the clause entitled "Use of Human Subjects,
Investigational Drugs, and Investigational Medical Devices" (TAB B)
will be included in the contract.
3. Compliance by subcontractors with 45 CFR 46 and these
procedures is the responsibility of the prime contractor, subject
to the following:
a. Subcontracts shall contain the prime contract clause
Prohibition of Use of Human Subjects (Tab A) or Use of Human
Subjects, Investigational Drugs, and Investigational Medical
Devices (Tab B). The proposed subcontract and assurance of
compliance with 45 CFR 46 satisfactory to the HHS, or sufficient
information for negotiation with USAMRDC of a special assurance of
compliance, shall be submitted to SGRD-RMA for review and approval
by SGRD-HR prior to award of the subcontract, or use of humans as
research subjects.
b. The SGRD-RMA will obtain comments and approval of
SGRD-HR prior to SGRD-RMA approval of the subcontract or use of
humans, or negotiation of a special assurance with the subcontrac-
tor.
c. The prime contractor shall be involved with and
participate in all discussions and negotiation. Responsibility for
compliance with 45 CFR 46 and this procedure shall be the
responsibility of the prime contractor and subcontractor(s)
utilizing humans as research subjects. Subcontractors shall have
Institutional Review Boards and follow 45 CFR 46, except under
unusual circumstances where SGRD-HR and SGRD-RMA (or SGRD-ACQ)
approve the prime's assuming responsibility for the subcontractor
in this regard.
4. The requirement for site visits, extent of examination of
records, and discussions with researchers and research subjects
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shall, except under unusual circumstances, be coordinated between
SGRD-HR, the assigned administrative contracting office (ACO) (or
SGRD-ACQ), AMLO, and the COR or PM. Copies of correspondence and
telephone memoranda shall be exchanqed between SGRD-HR, ACO (or
SGRD-ACQ) and the COR and AMLO or PM to assure awareness of human
use issues. If the ACO, in consultation with SGRD-HR, determines
that the contractor is not in compliance with the requirements of
the provisions in Tab B, the ACO may suspend work and further
payment until corrections are made by the contractor.
5. All contracts, grants, and intragovernmental orders which
involve the use of humans shall:
a. Contain the provision (Tab A) to prohibit the use of
humans as research subjects, or
b. Contain the provision (Tab B) governing the use of
human subjects, investigational drugs or vaccines, and investiga-
tional medical devices, and/or
c. Contain the provision (Tab C) governing the use of
donated anatomical substances,
d. Be reviewed and approved by SGRD-JA prior to award,
e. Be reviewed and approved by SGRD-HR prior to award.
6. Due to the fact that DA policy requires the contractor to
provide necessary medical care of research subjects, requests may
be made by prospective contractors for assurance of future funding
for certain liabilities, as set out in FAR 52.228-7(c)(2). Since
the Government's liability is subject to the availability of funds
at the time the contingency occurs, to cover such a contingency, an
advance agreement (pursuant to FAR 31.109) may be negotiated to
recognize costs, associated with such medical care, which exceed
those covered by the contractor's insurance required by the
contract. Such allowable costs, however, may not exceed the total
amount of funds obligated by the Government to the contract. It is
the responsibility of the contractor to initiate a specific request
for funds to pay premiums for additional insurance coverage, or the
costs of medical care required as a result of research performed
under the contract. Approval of the Secretary of the Army to
indemnify a contractor against unusually hazardous risks may be
requested pursuant to DOD FARS 235.070. Such requests shall only
be made after receipt of proof the risk cannot be compensated by
insurance or otherwise.
7. a. It is the policy of the USAMRDC that whenever the use
of volunteers exists in USAMRDC sponsored research, data sheets are
to be completed on all volunteers for entry in the USAMRDC's
Volunteer Registry data base. SGRD-HR may, on request, exempt this
requirement for studies which the IRB has determined to be minimal
risk. The intent of the data base is two fold: first, to readily
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answer questions concerning an individual's participation in
research conducted or sponsored by the USAMRDC; and second, to
ensure that the USAMRDC can exercise its "duty to warn." The "duty
to warn" is an obligation to ensure that research volunteers are
adequately informed concerning the risks involved with their
participation in research, and to provide them with any newly
acquired information that may affect their well-being when that
information becomes available. The duty to warn exists even after
the volunteer has completed his or her participation in research.
To accomplish this, a system must be established which will permit
the identification of volunteers who have participated in research
conducted or sponsored by the USAMRDC. The data base must contain
items of personal information, for example, name, Social Security
number, etc., which subjects it to the provision of the Privacy Act
of 1974 (Reference 11.).
b. For each subject enrolled in a study a Volunteer
Registry Data Sheet (USAMRDC Form 60-R), TAB E, is to be completed.
The principal investigator is to complete Part A of Form 60-R;
after which, Form 60-R is to be provided to volunteers for comple-
tion at the time of consent. The information collected is then
sent to SGRD-HR upon completion of the research or upon expiration/
termination of the contract, whichever occurs first. Data sheets
collected on volunteers participating in task orders are to be
submitted to SGRD-HR upon completion of each task order. The
information is stored in the USAMRDC Headquarters data base for a
minimum of 75 years.
c. Information stored in the Volunteer Registry data
base will be disclosed in accordance with Reference 10, and the
privacy Act of 1974. Upon written or oral requests, persons on
whom data is collected, or his or her designated agent or legal
guardian may have access to the record pertaining to that individ-
ual contained in the Volunteer Registry data base. Only authorized
staff of the HURRAO may have access to information entered in and
information selected from the Volunteer Registry data base.
d. The record system name and notice number for the
Volunteer Registry data base is Medical Research Volunteer Regist-
ry, AD 1304-22a DASG, as published in the Federal Register/VOL. 51,
No. 125/Monday, June 30, 1986.
8. Research and development conducted outside the U.S. utilizing
investigational drugs, vaccines, and devices is subject to the same
safety reviews and regulatory procedures as research and develop-
ment conducted within the U.S. Initial dose ranging, toxicity and
safety studies (Phase I studies) will only be conducted within the
U.S.
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Prohibition of Use of Human Subjects
Notwithstanding any other provisions contained in this
contract or incorporated by reference herein, the contractor is
expressly forbidden to use or subcontract for the use of human
subjects in any manner whatsoever. In the performance of this
contract, the contractor agrees not to come into contact with, use
or employ, or subcontract for the use or employ of any human
subjects for research, experimentation, tests or other treatment
under the scope of work as set out in the contract without express
written approval from the contracting officer.
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Use of Human Subjects, Investigational Drugs and Vaccines, and
Investigational Medical Devices
a. Definitions
(1) Subject at risk means any individual who may be
exposed to the possibility of injury, including physical, psycho-
logical, or social injury, as a consequence of participation as a
subject in any research, development, or related activity which
departs from the application of those established and accepted
methods necessary to meet his needs, or which increases the
ordinary risks of daily life, including the recognized risks
inherent in a chosen occupation or field of service.
(2) Investigational drugs and vaccines means a drug or
vaccine that may be considered investigational when the composition
is such that:
(a) Its proposed use is not recognized for the use
under the conditions prescribed; or its proposed use is not
recommended or suggested in its approved labeling. Experts
qualified by scientific training and experience evaluate the safety
and effectiveness of drugs and vaccines to make this determination.
(b) Its use has become recognized as investigation-
al, as a result of studies to determine its safety and effective-
ness for use under such conditions (21 CFR 312).
(3) Investigational medical devices means a device that
is not generally used in the diagnosis, cure, mitigation, treatment
or prevention of disease in humans, and recognized as safe and
effective. Research is usually, but not necessarily, initiated to
determine if the device is safe or effective (21 CFR 812).
b. None of these provisions applies to epidemiological
surveys which involve no more than minimal risk.
c. Requirements for the Use of Humans
(1) Safeguarding the rights and welfare of subjects at
risk in activities supported by this contract is primarily the
responsibility of the contractor. Compliance with this contract
will in no way render inapplicable pertinent federal, state, or
local laws or regulations. In order to provide for the adequate
discharge of this institutional responsibility, it is the policy of
the U.S. Army Medical Research and Development Command (USAMRDC)
that no activity involving human subjects under this contract shall
be undertaken unless an Institutional Review Board (IRB) has
reviewed and approved such activity.
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(2) The institution shall have provided to USAMRDC a
written assurance that it will abide by the policy for the pro-
tection of human subjects as contained in 45 CFR 46. When an
institution has an assurance of compliance satisfactory to the
Department of Health and Human Services (HHS), evidence of IRB
approval of the study shall have been accomplished by submission to
USAMRDC of an executed HHS Form 596. For an institution without a
HHS approved assurance of compliance, an assurance concerning the
protection of human subjects shall have been negotiated with the
USAMRDC contracting officer, and IRB approval given.
(3) In addition to the requirements of Title 45, Part 46
of the CFR, the following shall apply to all USAMRDC contracts
supporting research, development, and related activities:
(a) Informed consent must be obtained in advance from
a subject at risk, or in the case of research intended to be
beneficial to the subject, a legal representative of the subject
may give informed consent in advance of the research.
(b) The contractor shall provide for all necessary
medical care of subjects at risk for injury or disease which is the
proximate result of participation in the research.
(c) Prisoners of war shall not be used under any
(d) Use of prisoners as research subjects shall have
been specifically approved by the USAMRDC contracting officer.
(e) Studies conducted outside the United States, its
territories or possessions, which involve the use of non-U.S.
citizens as subjects, in addition to compliance with 45 CFR 46 and
special DOD requirements, shall comply with all laws, customs, and
practices of the country in which the study is to be conducted.
The minimum standards to be adhered to are contained in The
Declaration of Helsinki. The research proposal submitted for
approval will document this action. In exceptional circumstances
where laws, customs or practices of the country involved take
exception to particular procedural requirements of this provision
(as, for example, the documentation of informed consent or the
procedures by which it is obtained), specific approval will be
obtained from the Commander, U.S. Army Medical Research and
Development Command as an integral part of the proposal review and
approval process.
(4) In accordance with 21 CFR 56.111(a)(3), IRBs are
responsible for reviewing the methods used by investigators to
recruit subjects. One method of recruiting subjects is through
advertisements which should be seen as an extension of the informed
consent. IRB review of advertisements is necessary to ensure that
the information is not misleading to subjects. The FDA has
established guidelines on advertisement for research subjects.
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Generally, the FDA believes that any advertisement to recruit
subjects should be limited to:
(a) The name and address of the principal investi-
gator;
(b) The purpose of the research and, in summary form,
the eligibility criteria that will be used to admit subjects into
the study;
(c) A straightforward and truthful description of the
benefits (e.g., payments or free treatment) to the subject from
participation in the study;
(d) The location of the research and the person to
contact for further information.
(5) In addition to the requirements noted above, a copy
of the protocol and informed consent for each phase of a study will
be forwarded to the Commander, U.S. Army Medical Research and
Development Command, ATTN: SGRD-HR, Fort Detrick, Frederick, MD
21701-5012. If available, a copy of the local IRB review and
approval should be provided. Research involving the use of human
subjects may not commence until approved by the contracting
officer.
d. Requirements for the Use of Investigational Drugs and
Vaccines
The contractor shall comply with 21 CFR. 312 for the study
and evaluation of those new drugs restricted by the Federal Food,
Drug, and Cosmetic Act. The drug shall be used by, or under the
supervision of an investigator pursuant to an Investigational New
Drug Application (IND). A copy of the current applicable forms as
related under Part 312 shall have been provided with the contrac-
tor's proposal.
e. Requirements for the Use of Investigational Medical
Devices
The contractor shall comply with 21 CFR 812 for the study
and evaluation, of those devices which are not generally recognized
as safe and/or effective, intended for use in the diagnosis, cure,
mitigation, treatment, or prevention of disease in, or research on
humans. Should the contractor propose to use an investigational
device in the research, he shall provide with his proposal a copy
of Food and Drug Administration (FDA) approval of, or grant of
waiver for, use of an investigational device exemption (IDE).
f. Requirements for Reporting and Documentation:
(1) Immediate telephone notification shall be given to
the USAMRDC Human Use Review and Regulatory Affairs Office of any
significant adverse reactions. (Telephone weekdays, Area
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Code 301/663-2165; nights, weekends, and holidays, the Duty Officer
Telephone Area Code 301/ 663-7114.)
(2) Copies of all documents presented or required for
initial and continuing review by the IRB, e.g., Board minutes
pertaining only to the contract, record of subject's consent,
transmittals on actions, instructions, and conditions resulting
from IRB deliberations addressed to the activity director, are to
be retained by the contractor for at least three years after
completion of the research. All documents shall be accessible for
inspection during normal working hours, by the USAMRDC contracting
officer or authorized representative.
(3) Information on volunteers used in research sponsored
by USAMRDC will be entered in the USAMRDC Volunteer Registry data
base. The data base is required to ensure that USAMRDC can readily
exercise its "duty to warn" individuals of any newly acquired
information which may affect their well-being, even after partici-
pation in the research. The SGRD-HR may, on request of the
contractor, exempt the research from this requirement; such
exemption may only be granted for studies which the local IRB has
determined to be minimal risk. The Volunteer Registry Data Sheet
USAMRDC Form 60-R (Tab E) is to be completed at the time the
subject consents to participate and is entered into the study. The
forms shall be submitted to the HURRAO upon completion of the
research project or upon expiration/termination of the contract,
whichever occurs first. The USAMRDC will retain information in the
data base for 75 years. Persons on whom data is collected, or a
designated representative or legal guardian, may have access to the
record pertaining to that individual.
(4) Except as otherwise provided by law, information in
the records or possession of the contractor which refers to or can
be identified with a particular subject may not be disclosed
except:
(a) with the consent of the subject or his legally
authorized representative, or
(b) as may be necessary for the USAMRDC to carry out
its legal responsibilities.
(5) Upon expiration or termination of this contract, a
list of all unused test material shall be provided to the USAMRDC
contracting officer.
(6) The contractor shall immediately notify the USAMRDC
contracting officer, by telephone, of inquiries outside the
Department of Defense concerning the use of human subjects
under this contract. In addition, the contracting officer shall be
notified as soon as possible of inspections of the facility or
contract protocols by the FDA.
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 Approved For Release 2001/03/07 : CIA-RDP96-00788R00150016 g030A 1990
g. Subcontracts. Compliance by subcontractors with Code of
Federal Regulations 45 CFR 46 and this contract provision is the
responsibility of the prime contractor. All subcontracts which
contain this contract provision shall be approved by the contract-
ing officer prior to award. The requirements of paragraph c(2)
above shall apply to subcontractors.
h. If at any time during performance of this contract, the
contracting officer determines, in consultation with the USAMRDC
Human Use Review and Regulatory Affairs Office, that the contractor
is not in compliance with any of the requirements and/or standards
stated in paragraphs c, d, and e above, the contracting officer may
immediately suspend, in whole or in part, work and further payments
under this contract until the contractor corrects such noncompli-
ance. Notice of the suspension may be communicated by telephone
and confirmed in writing. If the contractor fails to complete
corrective action within the period of time designated in the
contracting officer's written notice of suspension, the contracting
officer may terminate this contract in whole or in part, and the
contractor's name may be removed from the list of those contractors
with approved policies on the use of human subjects.
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 Approved For Release 2001/03/07 : CIA-RDP96-00788R001500160007-3
Use of Anatomical Substances 5 JUN 1990
Any anatomical substance (organs, tissues, or tissue fluids)
linked by identifiers to a particular person and used for research
under this contract shall be donated for the purpose of research or
investigation. The donor shall be the person from whom the
substance is removed or, in the event of death or legal disability
of the person from whom the substance is removed, the next of kin
or legal representative of such person. Donation shall be made by
written consent and shall relinquish all ownership and/or rights to
the substance. All human anatomical substance used in research
under this contract shall be lawfully acquired. It should be noted
that a general autopsy consent form or a consent to perform surgery
in and of themselves, may not be adequate. If excised or autopsy
tissue is to be used, the protocol should include a copy of the
consent form used to obtain the tissue.
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 Approved For Release 2001/03/07 : CIA-RDP96-00788R001500160007-3
2 5 JUN 199o
THE DECLARATION OF HELSINKI
a. Biomedical research involving human subjects must conform
to generally accepted scientific principles and should be based
on adequately performed laboratory and animal experimentation and
on a thorough knowledge of the scientific literature.
b. The design and performance of each experimental procedure
involving human subjects should be clearly formulated in an
experimental protocol which should be transmitted to a specially
appointed independent committee for consideration, comment, and
guidance.
C. Biomedical research involving human subjects should be
conducted only by scientifically qualified persons and under the
supervision of a clinically competent medical person. The
responsibility for the human subject must always rest with a
medically qualified person and never rest on the subject of the
research, even though the subject has given his or her consent.
d. Biomedical research involving human subjects cannot
legitimately be carried out unless the importance of the
objective is in proportion to the inherent risk to the subject.
e. Every biomedical research project involving human
subjects should be preceded by careful assessment of predictable
risks in comparison with foreseeable benefits to the subject or
to others. Concern for the interests of the subject must always
prevail over the interests of science and society.
f. The right of the research subject to safeguard his or her
integrity must always be respected. Every precaution should be
taken to respect the privacy of the subject, and to minimize the
impact of the study on the subject's physical and mental
integrity and on the personality of the subject.
g. Doctors should abstain from engaging in research projects
involving human subjects unless they are satisfied that the
hazards involved are believed to be predictable. Doctors should
cease any investigation if the hazards are found to outweigh the
potential benefits.
h. In publication of the results of his or her research, the
doctor is obliged to preserve the accuracy of the results.
Reports of experimentation not in accordance with the principles
laid down in this Declaration should not be accepted for
publication.
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 Approved For Release 2001/03/07 : CIA-RDP96-00788R00150016-08Q7.3
i. in any research on human beings, each potential subject
must be adequately informed of the aims, methods, anticipated
benefits and potential hazards of the study and the discomfort it
may entail. He or she should be informed that he or she is at
liberty to abstain from participation in the study and that
he or she is free to withdraw his or her consent to participation
at any time. The doctor should then obtain the subject's given
informed consent, preferably in writing.
j. When obtaining informed consent for the research project,
the doctor should be particularly cautious if the subject is in a
dependent relationship to him or her or may consent under duress.
In that case the informed consent should be obtained by a doctor
who is not engaged in the investigation and who is completely
independent of this official relationship.
k. In case of legal incompetence, informed consent should be
obtained from the legal guardian in accordance with national
legislation. Where physical or mental incapacity makes it
impossible to obtain informed consent, or when the subject is a
minor, permission from the responsible relative replaces that of
the subject in accordance with national legislation.
1. The research protocol should always contain a statement
of the ethical considerations involved and should indicate that
the principles enunciated in the present Declaration are complied
with.
2. MEDICAL RESEARCH COMBINED WITH PROFESSIONAL CARE
(CLINICAL RESEARCH)
a. In the treatment of the sick person, the doctor must be
free to use a new diagnostic and therapeutic measure, if in his
or her judgment it offers hope of saving life, reestablishing
health, or alleviating suffering.
b. The potential benefits, hazards and discomforts of a new
method should be weighed against the advantages of the best
current diagnostic and therapeutic methods.
c. In any medical study, every patient--including those of a
control group, if any--should be assured of the best proven
diagnostic and therapeutic methods.
d. The refusal of the patient to participate in a study must
never interfere with the doctor-patient relationship.
e. If the doctor considers it essential not to obtain
informed consent, the specific reasons for this proposal should
be stated in the experimental protocol for transmission to the
independent committee.
D-2
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 Approved For Release 2001/03/07 : CIA-RDP96-00788ROO1500160007-3
2 5 JUN 1990
f. The doctor can combine medical research with professional
care, the objective being the acquisition of new medical
knowledge, only to the extent that medical research is justified
by its potential diagnostic or therapeutic value for the patient.
3. NON-THERAPEUTIC BIOMEDICAL RESEARCH INVOLVING HUMAN SUBJECTS
(NON-CLINICAL BIOMEDICAL RESEARCH)
a. In the purely scientific application of medical research
carried out on a human being, it is the duty of the doctor to
remain the protector of the life and health of that person on
whom biomedical research is being carried out.
b. The subjects should be volunteers--either healthy persons
or patients for whom the experimental design is not related to
the patient's illness.
c. The investigator or the investigating team should
discontinue the research if in his or her or their judgment it
may, if continued, be harmful to the individual.
d. In research on man, the interest of science and society
should never take precedence over considerations related to the
well-being of the subject.
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 and to contact you if futnra tttfasmaucat ~aacbcattrs flat+onor t
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PART A-INVESTIGATOR INFORMATION
(To Be Completed By Investigator)
PLEASE PRINT, USING INK OR BALLPOINT PEN
1. Study NR: 2. Protocol Title:
3. Contractor (Laboratory/Institute Conducting Study):
4. Study Period: From: 01/_J_ To: 15/_j_
(DA/MO/YR) (DAIMO/YR)
5. Principal/Other Investigator(s) Names(s)
(1)
(Last)
(First)
(2)
(3)
6. Location/iaboratory
PART B-VOLUNTEER INFORMATION
(To Be Completed By Volunteer)
PLEASE PRINT, USING INK OR BALLPOINT PEN
7. SSN:
9. Sex: M_F 10. Date of Birth: _J_/
11. *MOS/Job Series:_
13. Permanent Home Address (Home of Record) or Study Location Address:
(Street)
(City)
( ) -
(Perm Home Phone No)
14. *Local Address (If Different From Permanent Address):
(Street)
( ) -
(Local Phone No)
5.*Military Unit:
Organization: Post:
8. Name:
12. *Rank/Grade?
Zip Code:
Duty Phone No. ( ) -
USAMRDC FAp(ft-bej;jg{
TAB E
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PART C-ADDITIONAL INFORMATION
(To Be Compkted By lnvesdgator)
PLEASE PRINT, USING INK OR BALLPOINT PEN
16. Location of Study.
17. Is Study Completed: Y_ N_
Did volunteei finish participation: Y N If YES. Date finis}xd: _/
(DAIMO/YR)
If NO, Date withdrawn: _J_/
(DA/MO/YR)
18. Did Any Serious or Unexpected Adverse Incident or Reaction Occur. Y N If YES, Explain.
19.* Volunteer Followup:
Purpose:
Date: _J_/ Was contact made: Y N If No action taken, explain:
(DAIMO/YR)
20.*Hard Copy Records Retired: Place File NR:
21 *Product Information:
Product:
Manufacturer.
Lot NR: Expiration Date.
NDA NR: IND/IDE NR:
*Indicates that item may be left blank if information is unavailable or does not apply.
Entries must be made for all other items.
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