A Multicenter, Randomized, Open, Comparative Study of Efficacy, Safety and Tolerability of Imupret Application in the Concept of Delayed Prescription of Antibiotics in Children, Aged 6-12 With Acute Tonsillitis
Phase: NA
Conditions: Acute Tonsillitis
Sponsor: Ivano-Frankivsk National Medical University

 
 
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1 
TITLE PAGE 
 
Clinical Trial Protocol  
 
Title: 
 
A Protocol of a Multicenter, Randomized, Open-Label, Com-
parative Study of Therapeutic Efficacy, Safety and Tolerability 
of Imupret application in the therapeutic concept of delayed 
prescription of antibiotics in children, aged 6-12 with severe 
acute tonsillitis.          
 
       
 
 
 
 
 
Trial code: 
 
Working Title: 
 
ATi-2 
 
Imupret in tonsillitis 
Clinical phase:  
 
IV 
 
Name of the investigational prod-
uct: 
 
Imupret® 
 
Coordinating Investigator: 
Prof. Dr. Vasyl Ivanovych Popovych 
 
 
 
Sponsor: 
 
Ivano-Frankivsk National Medical University 
Prof. Dr. Vasyl Popovych 
2, Galytska str., 
Ivano-Frankivsk, 
Ukraine, 76000 
 
 
 
 
 
 
 
 
 
 
Version Number: 
 
Version Date: 
1 February  2019 
 
1.0 

 
 
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The information in this document is confidential and provided to you as investigator 
or consultant for review by you, your staff, and applicable institutional ethics 
committees. By accepting this document you agree that the information contained 
herein will not be disclosed to others without authorization 
 
 
 
 
 

 
 
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SIGNATURE PAGE I 
 
The signatory agrees to comply in all respects with this clinical trial protocol, the standards of 
Good Clinical Practice as defined in the "Note of Guidance on Good Clinical Practice 
(CPMP/ICH/135/95)" and related Guidelines and with all applicable regulatory requirements 
including national drug law and data protection law. 
 
 
 
 
 
 
 
 
Coordinating Investigator 
  
 
 
 
 Date 
(dd/mmm/yyyy) 
 
Signature 
 
 
 
  
 
 
 
 
 

 
 
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2 
TABLE OF CONTENTS 
1 
Title Page ...................................................................................... 1 
2 
TABLE OF CONTENTS ..................................................................... 4 
3 
ADMINISTRATIVE STRUCTURE ......................................................... 6 
4 
LIST OF ABBREVIATIONS AND DEFINITION OF TERMS .......................... 7 
5 
Trial SYNOPSIS .............................................................................. 8 
6 
INTRODUCTION ........................................................................... 14 
6.1 
Medical background ....................................................................... 14 
6.2 
Drug profile .................................................................................. 15 
6.3 
Description and rationale for conducting the trial ..................................... 16 
6.4 
Risk / benefit assessment ................................................................ 17 
6.5 
Guidelines for the development of the trial protocol .................................. 17 
7 
TRIAL OBJECTIVES ...................................................................... 17 
8 
Trial PLAN ................................................................................... 18 
8.1 
Trial design .................................................................................. 18 
8.2 
Sample size estimation.................................................................... 18 
8.3 
Trial treatment .............................................................................. 18 
8.4 
Randomization .............................................................................. 20 
8.5 
Time schedule and visits .................................................................. 20 
9 
PATIENTS .................................................................................. 22 
9.1 
Description of recruitment procedures .................................................. 22 
9.2 
Inclusion criteria ............................................................................ 22 
9.3 
Exclusion criteria ........................................................................... 22 
9.4 
Premature discontinuation ................................................................ 23 
10 
Methodology ................................................................................ 24 
10.1 
Screening examination - Visit 1 .......................................................... 24 
10.2 
Status evaluation - Visit 2 ................................................................. 24 
10.3 
Interim evaluation of treatment efficacy- Visit 3 ....................................... 25 
10.4 
Treatment efficacy, end of Reference treatment - Visit 4 ............................ 25 
10.5 
Treatment efficacy, end of treatment - Visit 5 ......................................... 25 
10.6 
Follow-up study phase - Visits 6, 7, and 8Ошибка! Закладка не определена. 
10.7 
Clinical assessments and parameters .................................................. 26 
10.8 
Appropriateness of measurements ...................................................... 26 
10.9 
Handling and documentation of clinical data .......................................... 26 
10.10 
Risks related to the participation in the clinical trial ................................... 27 
11 
SAFETY ASPECTS ........................................................................ 29 
11.1 
Definitions ................................................................................... 29 
11.2 
Period of observation ...................................................................... 31 
11.3 
Assessment and recording of adverse events ........................................ 31 
11.4 
Reporting of SAE ........................................................................... 34 
11.5 
Abnormal laboratory parameters ........................................................ 35 
11.6 
Handling of pregnancies .................................................................. 35 
12 
EVALUATIONs ............................................................................. 36 

 
 
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12.1 
Data Management ......................................................................... 36 
12.2 
Statistical evaluation ....................................................................... 36 
13 
Record keeping ............................................................................. 38 
13.1 
Documentation of patients' participation ................................................ 38 
13.2 
Data protection ............................................................................. 38 
13.3 
Essential documents at trial center ...................................................... 38 
13.4 
Archiving ..................................................................................... 38 
14 
Quality assurance .......................................................................... 39 
15 
Legal and business matters .............................................................. 39 
15.1 
Insurance for patients ..................................................................... 39 
15.2 
Contracts, finances ........................................................................ 39 
15.3 
Disclosure of all information and results ................................................ 39 
16 
REGULATORY AND ETHICS ........................................................... 40 
16.1 
Good Clinical Practice ..................................................................... 40 
16.2 
Subject information and informed consent ............................................. 40 
17 
PUBLICATION Policy ..................................................................... 40 
18 
References .................................................................................. 41 
 
 
 

 
 
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3 
ADMINISTRATIVE STRUCTURE 
 
 
Sponsor / Prin-
cipal Investiga-
tor 
 
 
Prof. Dr. Vasyl Popovych 
Head of Department of Otorhinolaryngology,  
Head & Neck Surgery 
Ivano-Frankivsk National Medical University 
2, Galytska str. 
Ivano-Frankivsk 
Ukraine, 76000 
 
 
 
Clinical Trial 
Manager 
 
Prof. Ihor Vakalyuk 
Vice-rector for scientific work 
2, Galytska str. 
Ivano-Frankivsk 
Ukraine, 76000> 
phone: +380505403435 
email : ifnmu@ifnmu.edu.ua 
 
 
 
Biometrics 
 
Dr. Ivana Koshel 
Doctor of Medical Sciences, Associate Professor of the Department of Otorhi-
nolaryngology,  Head & Neck Surgery 
Ivano-Frankivsk National Medical University 
2, Galytska str. 
Ivano-Frankivsk 
Ukraine, 76000 
 
 
 
 
 

 
 
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4 
LIST OF ABBREVIATIONS AND DEFINITION OF TERMS 
 
ADR 
Adverse drug reaction 
AE 
Adverse Event 
AR 
Adverse reaction 
BDRM 
Blind Data Review Meeting 
CRF 
Case Report Form 
CRO 
Contract Research Organization 
CTM 
Clinical trial manager 
ENT 
Ear-nose-throat 
EudraCT 
European Union Drug Regulating Authorities Clinical Trials 
FAS 
Full analysis set 
FPI 
First Patient In 
GCP 
Good Clinical Practice 
GMP 
Good Manufacturing Practice 
ICD 
International Classification of Diseases 
ICH 
International Committee of Harmonization 
IEC 
Independent Ethics Committee 
IMP 
Investigational Medicinal Product 
Int. 
International 
LPO 
Last Patient Out 
MedDRA 
Medical Dictionary for Regulatory Activities 
NSAID 
Non-steroidal inflammatory drugs 
PPS 
Per protocol set 
SAE 
Serious Adverse Event 
SAP 
Statistical analysis plan 
SE 
Societas Europaea 
SUSAR 
Suspected Unexpected Serious Adverse Reaction 
V 
Visit 
VAS 
Visual analogue scale 
 

 
 
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5 
TRIAL SYNOPSIS 
Trial code 
ATi-2 
Title of Trial 
A Protocol of a Multicenter, Randomized, Open-Label, Comparative Study of Therapeutic 
Efficacy, Safety and Tolerability of Imupret application in the therapeutic concept of delayed 
prescription of antibiotics in children, aged 6-12 with severe acute tonsillitis.          
Working title 
Imupret in tonsillitis  
Trial Design 
open-label, exploratory, comparative, multicentre, randomized, prospective, parallel-group 
study. 
Clinical phase 
IV 
Inclusion diagnosis 
Acute tonsillitis 
Trial objectives 
 Assessment of   the influence of Imupret (drops) prescriptions  in the therapeutic concept  of 
delayed prescription of antibiotics to: 
• 
need for antibiotics 
• 
regression of the tonsillitis symptoms 
• 
duration of antipyretics administration 
 
Number of patients 
approximately N=200 (1:1 ratio active treatment: reference)  
Specialization of  
investigator 
Head of Department of Otorhinolaryngology  
Head & Neck Surgery 
Time schedule 
Planned FPI (First patient in): 
approximately February 2019 
Planned LPO (Last patient out): approximately December 2019 
Efficacy endpoints 
The main criterion (main variable): 
- 
- decrease in the severity of each symptom (complaint) that is part of the McIsaac 
scale of tonsillitis manifestations, up to 1 point or less. This variable is dichotomous, 
with the categories "treatment effective" and "treatment not effective": 
- 
Treatment is effective - reducing the severity of each symptom (complaint) that is part 
of the Local Tonsillitis Manifestation Scale (0-15),of tonsillitis manifestations, up to 1 
point or less in the evaluation stages. Absence of indications for prescribing antibacte-
rial therapy 
- 
Treatment is not effective - the condition given for the category "therapy is effective" is 
not met. 
Secondary end-
points 
Secondary variables: 
- a decrease in the severity of the symptoms of the underlying disease,  at the 2- nd, 3 -rd and 
4- th visits compared to the 1- st visit. 
- decrease in the total score (the sum of scores for each symptom) according to the scale of 
local manifestations of tonsillitis at the 2-nd, 3-rd and 4-th visits in comparison with the 1-st 
visit. 
- a decrease in temperature in the armpit at the 2-nd and 3-rd visits compared to the 1-st visit. 
- a patient's self-assessment of the quality of life (every day). 
- Duration of NSAID administration. 
-Therapy compliance 
Safety evaluation 
- Adverse events (AEs), serious adverse events (SAEs) 
- Incidence of adverse drug reactions (ADRs) 

 
 
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- Overall assessment of tolerability 
Methodology 
1. Medical history, demographic and anthropometric data at screening. 
2. Complaints, 
patient 
questioning 
by 
organs 
and 
systems  
 
– at each visit, including any unscheduled visit and telephone contact.  
 
All complaints are assessed using a 4-point rating scale, beginning from the visit at which 
the complaint was identified for the first time. 
 
 
3. Physical examination:  
 
 
skin 
and 
visible 
mucosa 
examination, 
palpation 
of 
abdomen 
and 
 
lymph 
nodes, 
oropharyngoscopy 
are 
performed 
at 
each 
visit 
including 
 
any unscheduled visit.  
 
Symptoms are assessed using a 4-point rating scale, beginning from the visit at which the 
symptom was identified for the first time.  
 
4. Evaluation of probability of acute bacterial tonsillitis in accordance to McIsaac 
scale (sum of scores) 
 
 
McIsaac scale (sum of 
scores) 
The probability of the 
identification of β-
hemolytic streptococcus 
in a smear from pharynx 
-1 or 0 
1% 
1 
10% 
2 
~17% 
3 
~35% 
4 or 5 
~50% 
 
 
5. Complaints 
included 
in 
the 
Local 
Tonsillitis 
Manifestations 
Scale 
are 
 
assessed at each visit including any unscheduled visits 
 
6. Symptoms 
included 
in 
the 
Local 
Tonsillitis 
Manifestations 
Scale 
are 
 
assessed at each visit 
 
 
7. Axillary 
temperature 
assessment 
at 
each 
visit 
including 
any 
 
unscheduled visits. 
 
8. Clinical 
blood 
count, 
urinalysis 
and 
blood 
chemistry 
according 
to 
the 
  
investigator’s decision. 
 
 
9. Self-assessment of the patient’s state of health by him/herself and (or) 
  
his/her parents using a visual analogue scale is performed on a daily 
  
basis. 

 
 
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Inclusion criteria 
1. Children (males/females), 6 - 12 years old, with severe acute tonsillitis. 
2. Possibility to initiate therapy within 72 hours since the onset of the disease symptoms. 
3. Score 4-5 according to McIsaac Scale. 
4. Patient’s and (or) one of his/her parents’ willingness and ability to fulfil the requirements of 
the Study Protocol. 
5. Signed informed consent of the patient and (or) his/her parents for participation in the 
study. 
 
Exclusion criteria 
1. Score -1 to 3 according to McIsaac Scale. 
2. Indication for hospitalization, including: 
3. purulent complications (peritonsillar abscess and others); 
4. severe general condition. 
5. Indication for immediate initiation of systemic antibiotic therapy 
6. patients at risk of developing severe complications, including e.g. clinically relevant con-
comitant diseases of heart, lungs, kidneys, liver, neuromuscular apparatus, cancer dis-
eases, immunosuppression, diabetes mellitus, cystic fibrosis. 
7. suspected infectious mononucleosis (by clinical signs); 
8. use of systemic antibacterial or antifungal agents, systemic glucocorticosteroids, cytostat-
ics, immunomodulatory drugs, “interferons” or interferon derivatives during the last 14 
days prior to inclusion; 
9. presence of haemorrhagic or pronounced necrotic process in oral cavity or pharynx, in-
cluding the lymphoid ring. 
10. Intolerability or individual hypersensitivity to any of the study drug ingredients and the 
reference treatment scheme. 
Sample size calcula-
tion 
Justification of the number of subjects 
This trial is parallel, two-group, with the same size groups.                                                           
The planned test power is 80% (the probability of making a second kind error is 0.2), the two-
way probability of making a type 1 error is 0.05. The sample size was estimated by the main 
variable of the clinical trial. 
Thus, this trial was a comparative for superior efficiency. 
When proving superior therapeutic efficacy, the following statistical hypotheses are 
tested: 
H0: e £ d versus On: e> d, where d is the limit of greater efficiency — the marginal 
value of clinically important differences, at which it can be considered that the tested drug 
exceeds its effectiveness by control (in this study it was taken equal to 15%); e - estimated 
(observed) differences between groups in therapeutic efficacy. 
Given that the main variable is dichotomous, the size of each group can be estimated using 
the following expressions: 
n control = k · n main 
 
where: 

z
 and 

z
 —the corresponding percentage points of the standard normal distribu-
tion; d - the minimum acceptable value of clinically important differences; e - presumed 
(observable) differences between groups on therapeutic efficacy (the difference between the 
shares of positive results in groups); рcontrol and р main —shares of positive results in the 

 
 
Page 11 of 41 
 
main and control groups, respectively; k - coefficient for unequal number of patients in groups 
(control is greater than the main); nmain и ncontrol - the planned number of patients in the 
main and control groups, respectively; α is the boundary value of the error of the 1st kind (lev-
el of significance); β - is the boundary value of the error of the second kind. 
In the planned study, it was assumed that the number of patients in the main and con-
trol groups was the same (k = 1), the significance level was α = 0.05 (two-sided); the bounda-
ry value of the error of the second kind is β = 0.2 (which makes it possible to achieve a re-
search power of 80%). Baseline data and the results of calculations using the above formula 
are given in Table. 1. 
Table 1 - Baseline and Sample Size Estimation Results 
Statistical indicator 
Value of the indicator 
Multiplicity factor k 
1 
 Boundary probability error of the first kind α 
0,025 
The probability of an error of the second 
kind  β 
0,2 
The percentage point S.N.R. for α 
1,96 
The percentage point S.N.R. for β 
0,84 
The observed frequency of the positive ef-
fect for the control group рcontrol 
0,75 
Estimated value of the positive effect for the 
main group рmain 
0,90 
The value of the clinically important differ-
ences d 
0,15 
 Estimated differences between groups e 
0,0 
The size of the main group nmain 
97 
The size of the control group ncontrol 
97 
Estimated share of departures 
3 
Adjusted main group size 
100 
Adjusted control group size 
100 
 
   The final number of patients in each group was adjusted for their possible dropout. 
Thus, the final number of subjects in each group was 100 patients (200 patients in to-
tal). 
 
 

 
 
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Test treatment 
˗ 
Treatment with Imupret® oral drops according to the respective Summary of 
Product characteristics 
(Imupret® coated tablets or oral drops during acute period for 5 days, afterwards 
switch to the subacute dosage regimen for further 28 days 
˗ 
Sparing diet; fractional feeding (5-6 times a day) in small portions with the excep-
tion of coarse, spicy, heavily digestible foods 
˗ 
Elimination of factors irritating pharyngeal mucosa (thermal, chemical) 
˗ 
As needed, Paracetamol (Acetaminifen) in a single dose of up to 400 mg not 
more than 3 times daily or paracetamol in a single dose of up to 500 mg 3-4 
times daily (if necessary). 
˗ 
Topical agents such as Benzydamine, Lidocaine as needed (in case of severe 
sore throat). 
 
Reference treatment 
˗ 
Sparing diet; fractional feeding (5-6 times a day) in small portions with the 
exception of coarse, spicy, heavily digestible foods 
˗ 
Elimination of factors irritating pharyngeal mucosa (thermal, chemical) 
˗ 
As needed, Paracetamol (Acetaminifen) in a single dose of up to 400 mg not 
more than 3 times daily or paracetamol in a single dose of up to 500 mg 3-4 
times daily (if necessary). 
˗ 
Topical agents such as Benzydamine, Lidocaine as needed (in case of 
severe sore throat). 
 
Investigational  
Medicinal Product 
Active (add on) 
treatment 
Imupret® oral drops 
Mode of admi-
nistration and 
dosage regimen 
Imupret® oral drops 
Dosage for acute symptoms: 
Children from 6 to 12 years: 15 drops 5-6 times daily 
Adults and adolescents from the age of 12 years: 
25 drops 5-6 times daily 
Dosage after acute symptoms have subsided: 
Children from 6 to 12 years: 15 drops 3 times daily 
Adults and adolescents from the age of 12 years: 
25 drops 3 times daily 
 
Duration of  
treatment 
Disease will be evaluated 36-48 hours prior to active treatment. 
 
Active Imupret® treatment group: 10 treatment days 
Reference treatment group: 10 days 
 
Afterwards, there will be a follow up observation phase of 1 months 
 
 
 

 
 
Page 13 of 41 
 
SCHEDULE OF ASSESSMENTS 
 
 
 
V1 
  
V2 
  
V3       
(Telephone 
call) 
  
  
  
  
V4 
V5 
 
day 1 
day 2 
day 3 
day 4 
day 5 
day 6 
day 7 
day 8 
day 9 
day 10 
day 28 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Study group 1 
Imupret  (dosage acute phase)                             
Reference treatment 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Study group 2 
Reference treatment 
 
 
V1 
day 1 
Screening, randomization, prescription of treatment 
V2 
day 3 
Status evaluation, possible prescription of antibiotics 
V3 
day 5 1 
Evaluation of treatment efficacy, telephone call 
V4 
day 10 1 
Evaluation of treatment efficacy, end of reference treatment 
V5 
day 28 
Telephone call 
 
 
 
 
 
 
 
 
 
 
 
 

 
 
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6 
INTRODUCTION 
6.1 
Medical background 
 
The problem of acute inflammatory diseases of the tonsils is one of the most urgent in modern 
clinical medicine. The prevalence of pathology ranges from 2 to 15% of the total population. 
Morbidity is especially common among children: 50% of patients aged 5 to 15 years, often in 
early school age. The incidence among the age group 18 years and older is 11.36 cases per 
1000 population per year, among children aged 0-17 years - 62.61. Such patients constitute a 
significant proportion of outpatients both among otorhinolaryngologists and pediatricians, and 
the diagnosis of inflammation of the lympho-pharyngeal apparatus is established in 19-20% of 
the cases among the 20 most commonly diagnosed diseases (in accordance to Medical Data 
Management). 
Acute tonsillitis (ICD J03.0-J03.9) refers to viral or bacterial tonsillitis. Acute tonsillitis 
in most cases is due to viral infections. The most frequent pathogens are adenovirus, Epstein-
Barr virus and enteroviruses, including Coxsackie viruses. Bacterial acute tonsillitis occurs in 
immunocompetent children in 20-30% of cases, adults - in 5-15%, and the most frequent 
cause of it is β-hemolytic streptococcus group A (GABS). Acute relapsing / recurrent tonsillitis 
(ICD J35.0) refers to repeated acute tonsillitis and is not a sign of bacterial tonsillitis. 
Acute tonsillitis is defined as the sudden appearance of the following specific symp-
toms: sore throat, hyperemia, edema of the tonsils, increase in swollen lymph nodes (regional 
lymphoadenopathy) and nonspecific additional symptoms like fever, weakness and joint pain. 
It has to be  noticed, that there are no pathognomonic symptoms of bacterial tonsillitis. To 
assess the patient's condition and to determine the indications for antibacterial therapy, the 
Mclsaac scale is a commonly used tool for decision. This scale is used to classify patients ac-
cording to their symptoms and to determine the patients for whom antibiotic therapy is not 
indicated. 
McIsaac scale (sum of 
scores) 
The probability of the 
identification of β-
hemolytic streptococ-
cus in a smear from 
pharynx 
-1 or 0 
1% 
1 
10% 
2 
~17% 
3 
~35% 
4 or 5 
~50% 
 
 
Thus, in most cases of acute tonsillitis (even if there are 4-5 points according to the scale), it 
has to be taken into account that there is a low probability of the presence of GABS. There-
fore, there are no unconditional indications for the prescription of antibiotics. 
 It should be noted that unjustified antibiotic therapy of acute tonsillitis is only based  
on the symptom "sore throat" or "exudate (plaque)  tonsils" and plays a significant role in the 
formation of antibiotic resistance. Antibiotic therapy does not affect pain. In order to avoid the 

 
 
Page 15 of 41 
 
irrational use of antibiotics, one should distinguish the desire of the patient or his parents to 
get rid of the pain, from the rational assessment of the doctor for all pros and cons about an 
antibacterial therapy. 
To prevent unjustified prescription of antibiotics, a therapeutic concept of delayed ad-
ministration is proposed. A patient with acute tonsillitis is prescribed treatment with antibacte-
rial agents in a delayed manner (a prescription is written out, the dose and the frequency of 
administration is calculated).  In the absence of positive effect within 36-48 hours from the 
beginning of treatment with Imupret the antibacterial therapy with antibiotics is started. The 
advantage of deferred antibiotic prescription is, that a higher number of patients and doctors, 
awaiting antibiotic therapy, may be more agreeable with this way of treatment than with a 
complete rejection of the antibiotics prescription. This is why delayed use of antibiotics is an 
important treatment strategy to reduce the number of unreasonable prescription of antibacte-
rial agents. 
Considering this fact, it becomes necessary to use drugs with a complex effect on the 
main processes  of pathogenesis and have an evidence-based efficacy base for acute tonsillitis. 
At the present moment, there is an insignificant evidence base for the application of the phy-
toneering drug Imupret in acute tonsillitis. The spectrum of its pharmacological properties in-
cludes antiviral, antibacterial, antiinflammatory and immunomodulating effects. The combina-
tion of these properties makes it possible to influence practically all parts of acute tonsillitis. 
Additionally a good safety profile allows to consider Imupret as an adequate  basic therapy for 
the treatment of acute tonsillitis, especially in the therapeutic concept of of delayed prescrip-
tion of antibiotics. The already existing studies were not conducted under GCP conditions. 
Confirmation of the high effectiveness of Imupret in the treatment of acute tonsillitis would 
serve as a rationale for optimizing the treatment regimen of this nosology and recommenda-
tions for the inclusion of the drug in national guidelines. 
 
 
 
 
 
 
6.2 
Drug profile 
6.2.1 
Pharmacology / Safety profile 
6.2.1.1 
Pharmacology 
Herbal products containing individual drugs, similar to this herbal combination product, were 
developed several decades ago on the basis of traditional medical use. They have gained wide 
recognition and clinical application. 
 
Pharmacodynamic in vitro and in vivo studies have demonstrated anti-inflammatory, antiviral 
and antibacterial, immune-modulatory properties of components of Imupret (please refer to 2.6.2 
and 2.4) [Kommission E, 1984-1989 (1, 2, 3), 1990 (5, 6, 7), 1992 (8)]. 
 
The pharmacodynamic effects might be based on the more or less plant specific ingredients like 
flavonoids, polysaccharides, terpenoids, sesquiterpens etc. Pharmacokinetic data are not avail-
able to sufficiently show their systemic availability in humans. Effects of the single plants or of 
the extract from all plants contained in Imupret cannot clearly be linked to single plant specific 
ingredients. However, the effects of the complex extract have been investigated in in-vitro or in-
vivo animal experiments. The results indicate that it displays the anti-inflammatory, antibacterial, 
antiviral, or immune-modulatory effects. This can also be measured after systemic application 
including oral and intraperitoneal administration. This indicates that the basic characteristics of 
the single herbal drugs known from administration according to the monographs are also dis-
played after systemic administration in the dosage and composition of Imupret (module 2.4). 

 
 
Page 16 of 41 
 
 
It is generally accepted that the combination of drugs in a multi-component mixture may lead to 
increased or maintained efficacy while decreasing the dosage of the individual components to 
avoid toxicity. The mathematical basis of this concept was already set up in 1963 by Webb in a 
simplified model, the so-called ‘fractional product method’ [Webb, 1963 (9)].  
 
6.2.1.2 
Safety profile 
Imupret and its herbal constituents Althaeae radix, Millefolii herba, Taraxaci herba, Equiseti 
herba, Juglandis folium, Matricariae flos, and Quercus cortex have a long history of traditional 
use. Furthermore, Imupret (formerly Tonsilgon) has been prescribed by doctors over several 
decades. From these applications a very good safety profile is apparent. 
The data from all clinical surveys provide just one category of ADRs that came up: gastrointes-
tinal complaints (0.17 %) that eventually stopped the patients from further taking Imupret.  
As been described in 2.5.4, all surveys were performed in private practices of general practi-
tioners or ENT doctors. Patients of all age groups have been included. The medical conditions 
investigated covered recurrent infections of the upper airways, including tonsillitis, catarrhal 
rhinosinusitis and tracheobronchitis. 
In total, the intake of Imupret coated tablets or oral drops was monitored for 2483 patients. Both 
solid and liquid application forms have been used, numbers of applications of each formulation 
in the 2 older surveys of Maier and Maier 1974 [9] and Sprenger 1975 [10] are unknown. The 
large majority of patients were treated either for 2 weeks ([Berger T. 2008 (11), Vavilova V. et 
al. 2016 (12)]) or 3 months.  
 
   Adverse events: 
Of 2 adverse events with Imupret oral drops reported in 1 of 3 surveys, both were related to the 
gastro-intestinal system: vomiting and stomach ache. Both were transitory; dose-withdrawal 
was the consequence in both cases. No adverse event was reported with the coated tablets in 
this surveillance. 
 
Post-marketing experience: 
Although more than 653 million DDDs of Imupret®/Tonsilgon® oral drops and coated tablets 
were marketed from 1973 until now, only 7 spontaneous cases of serious adverse drug reac-
tions (sADR) in association with Imupret®/Tonsilgon® oral drops or coated tablets have been 
reported worldwide. Hereof only two cases of sADR were assessed as possibly related to the 
intake of Imupret®/Tonsilgon® by the MAH, one case was assessed as unlikely due to evident 
other reason and four cases were assessed as unassessable because of insufficient and / or 
contradictory information.  
 
 
6.3 
Description and rationale for conducting the trial 
At present, there is minor evidence of using the phytoneering-based drug product Imupret® in 
acute tonsillitis, pharyngitis and tonsillopharyngitis. The spectrum of its pharmacological proper-
ties includes antiviral, anti-inflammatory, and immunomodulatory action. The aggregate of these 
properties allows affecting almost all pathogenetic process links underlying the nosology in 
question, and favourable safety profile allows viewing Imupret as a basic therapeutic agent in 
treatment of non-bacterial forms of acute tonsillitis, pharyngitis, and tonsillopharyngitis. Оur 
previous work showed that the use of Imupret in patients with non-bacterial tonsillitis acceler-
ates regression of symptoms of tonsillitis and reduces the need for antibiotics.  At the same 
time, there is a lack of studies, valid from the viewpoint of compliance with GCP standards have 
been conducted. Confirmation of high efficacy of Imupret in treatment of the above nosology 
group would be served as a justification for optimization of this nosology treatment scheme of 
delayed antibiotic prescription and recommendations for inclusion of this drug product into the 
national guidelines. 
 
 
 

 
 
Page 17 of 41 
 
 
In the context of this clinical trial the two questions that are to be answered are: 
1. Does Imupret®, taken during the diseases acute period help reduce the frequency of 
antibiotic use in children aged 6-12 ? 
2. Does Imupret®, taken during the diseases acute period helps to accelerate the regres-
sion of symptoms in children aged 6-12? 
 
3. Is the use of antibiotic delay technology safe for children aged 6-12 years?  
 
 
6.4 
Risk / benefit assessment 
Imupret combines the anti-microbial, anti-inflammatory and immune-modulatory effects of seven 
herbal drugs used traditionally in the combination product Imupret. Clinical surveys have 
demonstrated that it can be successfully applied in therapy of acute infections and inflamma-
tions of the upper respiratory tract.  
 
The benefit of therapy with Imupret N can be concluded from long years of successful applica-
tion in medical practice and in self-medication, but also from the results of the post marketing 
surveillances and experience report. Side effects observed in clinical surveys are almost exclu-
sively gastro-intestinal complaints or allergic skin reactions which lead to intake termination or 
dose adjustment.  
 
 
6.5 
Guidelines for the development of the trial protocol 
The moral, ethical, and scientific principles governing clinical research as set out in the Declara-
tion of Helsinki from 2013, the principles of GCP as described in the ICH E6 guideline and the 
provisions of the EU Directive 2001/20/EC on the implementation of GCP in the conduct of clini-
cal trials. All aspects of these regulations were observed in the clinical trial development pro-
cess. 
 
7 
TRIAL OBJECTIVES 
The aims of this clinical trial are: 
To investigate the influence of Imupret prescriptions  in the therapeutic concept  of delayed pre-
scription of antibiotics to: 
• 
To compare the need for antibiotics in patients, received Imupret in addition to conven-
tional therapy and in patients of the control group (received conventional therapy only) 
• 
 To evaluate the effect of the study drug in complex with conventional therapy versus 
conventional therapy only on regression of the tonsillitis symptoms 
• 
To evaluate the effect of the study drug in complex with conventional therapy versus 
conventional therapy only on duration of antipyretic (paracetamol as antipyretic) administration. 
 
 
 
 
 

 
 
Page 18 of 41 
 
8 
TRIAL PLAN 
8.1 
Trial design 
This is an open-label, exploratory, comparative, multicenter, randomized, prospective, parallel-
group phase IV clinical trial. The trial is designed in order to reveal effects of an additional 
Imupret therapy in comparison to the standard therapy alone (diet, NSAID, elimination of irrita-
tive factors, local anaestethics). 
 
Imupret® oral solution is registered and marketed in the Ukraine. The dose of Imupret was se-
lected based on the recommendations given in the respective Summary of Product Characteris-
tics of both dosage forms, which is also reflected in the package leaflet, respectively. 
 
 
 
8.2 
Sample size estimation 
The clinical trial is designed in order to obtain a valid description of the in vivo performance of 
the active (add-on) treatment of Imupret in comparison to the reference standard treatment 
alone. Endpoints are defined as exploratory endpoints. Depending of the data finally obtained, 
several exploratory descriptive and statistic evaluations will be performed, so that a biometrical-
ly based sample size estimation is not necessary. However, in order to guarantee a sufficient 
sample size for exploratory analyses of the data captured, a sample size of N=200 will be in-
cluded. Treatments will be assorted in a 1:1 ratio, i.e. N=100 will receive an add-on treatment 
with Imupret® and N=100 will receive the standard treatment only. 
 
 
 
8.3 
Trial treatment 
The IMPs in this trial are Imupret® oral drops. The preparation is registered and available on the 
Ukrainian market without prescription. Therefore, the formulation, manufacturing, packaging and 
labelling of the IMPs follow the principles of Good Manufacturing Practice and currently valid 
national Ukrainian requirements. The detailed description covering all aspects regarding quality 
and safety of Imupret® oral drops are part of the respective Summary of Product characteristics.  
 
 
 

 
 
Page 19 of 41 
 
8.3.2 
Imupret® oral solution 
The composition of the medicinal product is as follows: 
 
Active substances: 100 g drops contain 29 g of an alcoholic aqueous extract (extracting agent: 
ethanol 59% (V/V) made from the following medicinal plants: 
 
 
Marshmallow root (Radix Althaeae)  
 
0,4 g; 
Cammomile flowers (Flores Chamomillae) 
0,3 g; 
Horstail herb (Herba Equiseti) 
 
 
0,5 g; 
Walnut leaves (Folia Jungladis)  
 
0,4 g; 
Yarrow herb (Herba Millefolii) 
 
 
0,4 g; 
Oak bark (Cortex Quercus) 
 
 
0,2 g; 
Dandelion herb (Herba Taraxaci)  
 
0,4 g; 
 
Excipients: Ethanol 19 % (V/V), purified water. 
 
Pharmaceutical form: Oral drops. 
Clear or slightly turbid yellow-brown fluid with characteristic taste and chamomile aroma. 
Turbidity or flocculation may occur during storage. 
 
Name and address of the manufacturer. 
Bionorica SE, Kerschensteinerstrasse, 11 – 15, 92318, Neumarkt, Germany. 
 
Indications. Diseases of the upper respiratory passages (tonsillitis, pharyngitis, laryngitis). Pre-
vention of complications and recurrences in patients with respiratory viral infections caused by 
the reduced resistance of the organism.  
 
Age 
Dosage for acute symptoms 
Dosage after acute symptoms 
have subsided and for 
prophylactic treatment 
Children of 1 year of age 
  5 drops 5 – 6 times daily 
  5 drops 3 times daily 
Children from 2 to 5 years 
10 drops 5 – 6 times daily 
10 drops 3 times daily 
Children from 6 to 11 years 
15 drops 5 – 6 times daily 
15 drops 3 times daily 
Adults and adolescents from 
the age of 12 years 
25 drops 5 – 6 times daily 
25 drops 3 times daily 
 
However, only patients from the age of 6 upwards will be included in the trial. 
 
 
 
 
8.3.3 
Reference treatment 
All patients of the trial will undergo the reference treatment described below. However, only one 
of the two study groups (study group 1) will receive and add-on treatment with either Imupret® 
oral solution (see 0 and 8.3.2).  
 
Reference treatment comprises instructions for patient’s behavior as well as possible medical 
treatment when needed: 
- 
Sparing diet with fractional feeding (5-6 times a day) in only small portions explicitly ex-
cluding coarse, spicy, or heavily digestible food 
- 
At the discretion of the investigator, elimination of all factors irritating pharyngeal muco-
sa (e.g. thermal, chemical influence etc.)  
 

 
 
Page 20 of 41 
 
 
At the discretion of the investigator, Paracetamol as single doses up to 500 mg – not 
more than 3-4 times daily 
- 
At the discretion of the investigator, topical treatment like benzydamine, lidocaine (in 
case of severe sore throat) 
- 
At the discretion of the investigator, antibiotic treatment in case it is indicated with e.g. 
amoxicillin clavulanate, cephytryaxons (in case of prescription of antibiotics patients will 
be evaluated separately) 
 
 
 
 
8.3.4 
Concomitant medication not allowed 
Patients need to be withdrawn from the study in case of the administration of the following med-
ication groups: 
 
• Inhaled and systemic corticosteroids  
• Interferon preparations 
• Antiviral drugs 
• Immunomodulators 
• Antihistamines 
 
Patients may be withdrawn following the intake of any medication which, at the discretion of the 
investigator, might interfere with the objectives of the trial. 
 
 
 
 
 
8.4 
Randomization 
The clinical part of the trial will be open and randomized with no blinding procedure. Subjects 
will be randomly assigned to one of the two possible treatments with according to the underlying 
randomization list. Randomization will be performed using [StatSoft – generator of random fig-
ures] software. 
 
The appropriate number of the randomisation schedule and associated treatment will be allo-
cated for each subject whose entry in the randomised part of the clinical trial is confirmed. The 
randomisation list will be part of the trial documentation.  
 
 
 
 
8.5 
Time schedule and visits 
 
Four scheduled visits will be performed during the first phase of the study: 
First study phase 
 
• 
1 visit (1st day): screening, randomization and treatment; evaluation by  Mc Isaac Score 
scale;  LTM Scale (Local Tonsillitis Manifestation Scale): (5 symptoms: Sore throat at 
swallowing (0 – absent, 1 – mild, 2 – moderate, 3 – severe / pronounced); Sore throat at 
rest; Throat irritation at rest; Palatine tonsils hyperemia; Palatine tonsils edema); 
Patients self-assessment (VAS; 0-10)   

 
 
Page 21 of 41 
 
• 
2 visit (3rd±1 day): intermediate evaluation of the effectiveness of treatment - 
clarification of the patient's condition, the need to prescribe an antibiotic; evaluation by 
LTM Scale, patients self-assessment (VAS; 0-10)   
• 
3 visit: intermediate evaluation of the effectiveness of treatment (day 5-day ±1) via 
telephone (or visit if necessary); patients self-assessment (VAS; 0-10)   
• 
4 visit: final (10th day ±1 day). Evaluation by LTM Scale (0-15), patients self-
assessment (VAS; 0-10)   
• 
5 Follow up; day 28: evaluation of the long-term effects of treatment 
• 
- An unscheduled visit can be made if the patient's condition worsens (according to the 
patient and / or the researcher, including if the symptoms of the disease persist or 
worsen, including but not limited to an increase in the temperature in the armpit above 
38.0 ° C at the 3rd and / or subsequent days of treatment). 
• 
The total duration of the treatment: 10 days 
• 
The total duration of the  study for one patient is not longer  than 38 days. 
 
Any unscheduled visit may be carried out in case of worsening of the patient’s condition (at 
patient’s and/or investigator’s opinion), including persistence or aggravation of the disease 
symptoms. 
 
 
 

 
 
Page 22 of 41 
 
9 
PATIENTS 
9.1 
Description of recruitment procedures 
Non-institutionalised healthy male or female subjects will be enrolled in the clinical trial. 
Recruitment may be accompanied by advertisement and patients may be contacted verbally, by 
telephone or in writing. Recruitment and inclusion of patients who are possibly dependent on 
the sponsor or an/the investigator and/or will have financial interests will be disclosed in any 
case. 
 
 
9.2 
Inclusion criteria 
• 
Children (males/females), 6 - 12 years old, with severe acute tonsillitis. 
• 
Possibility to initiate therapy within 72 hours since the onset of the disease symptoms. 
• 
Score 4-5 according to McIsaac Scale. 
• 
Patient’s and (or) one of his/her parents’ willingness and ability to fulfil the requirements 
of the Study Protocol. 
• 
Signed informed consent of the patient and (or) his/her parents for participation in the 
study. 
 
 
 
9.3 
Exclusion criteria 
• 
Score -1 to 3 according to McIsaac Scale. 
• 
Indication for hospitalization, including: 
          o purulent complications (peritonsillar abscess and others); 
          o severe general condition. 
• 
Indication for immediate initiation of systemic antibiotic therapy 
• 
patients at risk of developing severe complications, including e.g. clinically relevant 
concomitant diseases of heart, lungs, kidneys, liver, neuromuscular apparatus, cancer diseas-
es, immunosuppression, diabetes mellitus, cystic fibrosis. 
• 
suspected infectious mononucleosis (by clinical signs); 
• 
use of systemic antibacterial or antifungal agents, systemic glucocorticosteroids, cyto-
statics, immunomodulatory drugs, “interferons” or interferon derivatives during the last 14 days 
prior to inclusion; 
• 
presence of haemorrhagic or pronounced necrotic process in oral cavity or pharynx, 
including the lymphoid ring. 
• 
Intolerability or individual hypersensitivity to any of the study drug ingredients and the 
reference treatment scheme. 
 
 
 
 
Patients who refuse to sign the informed consent or who do not agree to passing on of their 
pseudonymous data to the monitor / CRO, the sponsor, and competent national or European 
community authorities must not be included in this trial. 
 
 
 

 
 
Page 23 of 41 
 
9.4 
Premature discontinuation 
 
9.4.1 
Withdrawal criteria for included patients 
Patients may prematurely discontinue their participation in the trial at any time, without giving 
reasons and without any disadvantageous consequences for their subsequent medical care. 
Patients can be withdrawn from the trial by the investigator for the following reasons:  
• 
Withdrawal of consent 
• 
Serious Adverse Events (SAEs) at the Principal Investigator’s discretion 
• 
Appearance of non-tolerable AE(s) 
• 
Appearance of an exclusion criterion, which concerns the safety of the patient in the opinion 
of the investigator 
• 
non-adherence to the trial conditions or relevant deviations from procedures with regard to 
medical aspects at the Principal Investigator’s discretion 
• 
Diseases, AEs requiring treatment that occur after inclusion, which do not constitute SAEs 
but which, in the opinion of the Principal Investigator, would probably prevent achievement 
of the clinical trial objectives or which unacceptably endangered the safety of the subject 
• 
Poor compliance of the patient 
• 
Patient lost to follow-up 
• 
Pregnancy (females of childbearing potential) 
• 
Any situation judged by the investigator to be more harmful for the patient if he/she remains 
in the trial 
• 
Other reasons which in the opinion of the investigator justify withdrawal of a patient (e.g. not 
meeting inclusion criteria during screening period)  
In all cases, the reason for and date of withdrawal from the trial as well as the day and time of 
last intake of IMP must be recorded in the CRF and in the patient’s medical records. 
The investigator must make every effort to contact patients lost to follow-up. Attempts to contact 
such patients must be documented in the patient’s records (e.g. times and dates of attempted 
telephone contact, documentation for sending a registered letter etc.). 
 
 
9.4.2 
Replacements 
Patients withdrawn from the trial after randomization, regardless of the reason for withdrawal, 
will not be replaced. 
 
 
9.4.3 
Premature termination of the trial 
Premature termination of a clinical trial may occur upon decision of the sponsor, the Principal 
Investigator, by request of an authority or because of withdrawal of positive vote by the respon-
sible ethics committee. Furthermore, the Principal Investigator / sponsor has the right to close 
participating center(s) of the trial, at any time, although this can occur only after consultation 
between involved parties. 
 
 

 
 
Page 24 of 41 
 
10 
METHODOLOGY 
 
10.1 
Screening examination - Visit 1 
Screening examination will be performed prior to inclusion and prior to the first intended admin-
istration of the IMP to ensure that patients are eligible for the clinical trial. 
The following assessments will be performed on Visit 1 (V1): 
• 
demographic (age, sex, ethnic origin) and anthropometric data (body weight, height, 
BMI) 
• 
medical history (including prior and concomitant medication) 
• 
physical examination vital signs (blood pressure, pulse rate, body temperature (axillar))
 
Objective examination: skin and visible mucosa, palpation of abdomen and lymph 
nodes (submandibular, anterior and posterior cervical ones), oropharyngoscopy will be 
performed to assess the status of the tonsillitis. 
Hence, objective symptoms included in the “Local Tonsillitis Manifestation Scale” are 
assessed using a 4-point rating scale using score “0” absent, “1” mild, “2” moderate, 
and “3” severe/pronounced. Diagnoses will be refined by using the McIsaac Scale (see 
0) 
 
• 
clinical laboratory investigation: blood analysis including haematology, haemostatic sys-
tem, serum chemistry, serology, urinalysis or other laboratory investigations are per-
formed at the discretion of the investigator 
• 
female status (in females with childbearing potential pregnancy test) 
Finally, a self-assessment of the patient’s throat pain by him/herself and (or) his/her parent(s) 
using a visual analogue scale (VAS) is performed.  
All data has to be documented by the investigator in the patient’s medical file and recorded in 
the CRF. Afterwards, inclusion and exclusion criteria are checked by the investigator, docu-
mented in the patient’s medical file, and recorded in the CRF. 
 
At the end of Visit 1 the patient will be randomized, sorted to one of the two study groups and 
IMP will be handed over.  
 
 
 
 
10.2 
Status evaluation - Visit 2 
The next status evaluation of the disease will be performed on day 3, i.e. ± 1 day after Visit 1 
(V1). 
 
A physical examination of vital signs (blood pressure, pulse rate, body temperature (axillar)) will 
be performed. All physical examinations done at V1 including skin and visible mucosa, palpation 
of abdomen and lymph nodes, oropharyngoscopy will be repeated to assess the status of the 
tonsillitis. 
Again, objective symptoms included in the “Local Tonsillitis Manifestation Scale” are assessed 
and diagnoses will be refined by using the McIsaac Scale (see 0). 
Checks for general well-being (AE-checks), checks of restrictions and medication will be per-
formed. 
The investigator will estimate indicators for prescription of antibiotics and will decide whether a 
patient will remain on the study treatment or not. If an antibiotic agent is prescribed, details will 
be documented and the patient will be instructed about the mode of administration. Intake of 

 
 
Page 25 of 41 
 
antibiotic drug will be documented in the CRF. Patients with intake of antibiotics will be evaluat-
ed separately. At the discretion of the investigator the patient may be advised not to take IMP 
anymore. If so, this will be documented as well. 
Self-assessment of the patient’s throat pain by him/herself and (or) his/her parent(s) using a 
visual analogue scale (VAS) is performed afterwards. Moreover, forms for VAS assessment will 
be handed over to the patient. The patient will have to assess his/her sore throat every study 
day until visit 4 on study day 101. 
 
 
 
 
10.3 
Interim evaluation of treatment efficacy- Visit 3 
Visit 3 (V3) will be performed on day 5 1 by a telephone call. 
 
Intermediate evaluation of the effectiveness of treatment (day 5-day ±1) via telephone (or visit if 
necessary); patients self-assessment (VAS; 0-10)   
 
 
 
10.4 
Treatment efficacy, end of Reference treatment - Visit 4 
At visit 4 (V4) on day 10 1 the status of the disease will be again evaluated. 
 
A physical examination of vital signs (blood pressure, pulse rate, body temperature (axillar)) will 
be performed. All physical examinations done at V1 including skin and visible mucosa, palpation 
of abdomen and lymph nodes, oropharyngoscopy will be repeated to assess the status of the 
tonsillitis. 
Again, objective symptoms included in the “Local Tonsillitis Manifestation Scale”. 
Checks for general well-being (AE-checks), checks of restrictions and medication will be per-
formed. 
 
Self-assessment of the patient’s throat pain by him/herself and (or) his/her parent(s) using a 
visual analogue scale (VAS; 0-10 points) is performed. Forms of VAS assessment will be col-
lected from the patient. 
 
 
 
 
 
10.5 
Treatment efficacy, end of treatment - Visit 5 
Visit 5 (V5) will be performed on day 28 by a telephone call (for bough the groups).  
 
Checks for general well-being (AE-checks), checks of restrictions and medication will be per-
formed. 
 
 
 
 

 
 
Page 26 of 41 
 
10.6 
Clinical assessments and parameters 
Assessment of tonsillitis will be performed according to the Local Tonsillitis Manifesta-
tion Scale. In detail the following symptoms will be investigated: 
 
 
Local Tonsillitis Manifestation Scale 
o 
Sore throat at swallowing (0 – absent, 1 – mild, 2 – moderate, 3 – severe / pro-
nounced); 
o 
Sore throat at rest, i.e. during the intervals between swallowing acts (0 – absent, 1 – 
mild, 2 – moderate, 3 – severe / pronounced); 
o 
Throat irritation at rest, i.e. during the intervals between swallowing acts (0 – ab-
sent, 1 – mild, 2 – moderate, 3 – severe / pronounced); 
o 
Cough associated with throat discomfort (0 – absent, 1 – mild, 2 – moderate, 3 – 
severe / troublesome). 
o 
Posterior pharyngeal wall hyperaemia (0 – absent, 1 – mild, 2 – moderate, 3 – se-
vere / pronounced); 
o 
Palatine tonsils hyperaemia (0 – absent, 1 – mild, 2 – moderate, 3 – severe / pro-
nounced); 
o 
Palatine tonsils oedema (0 – absent, 1 – mild, 2 – moderate, 3 – severe / pro-
nounced). 
 
Diagnoses will be further refined using the McIsaac Scale  
 
Symptom 
Score 
Body temperature exceeding 38°С 
+1 
Absence of cough 
+1 
Painful anterior cervical lymph nodes 
+1 
Tonsillar oedema and/or exudate on tonsils 
+1 
Age 3–14 years old 
+1 
15–44 years old 
  0 
>45 years old 
- 1 
 
Assessment of type of tonsillitis: 
Score 0 – probability of group A β-haemolytic streptococcus (GABHS) infection is 1-2%; 
Score 1 – probability of GABHS infection is 5-10%; 
Score 2 – probability of GABHS infection is 11-17%; 
Score 3 – probability of GABHS infection is 28-35%; 
Score 4 – probability of GABHS infection is 51-53%; 
 
Self-assessment of the quality of life by the patient. 
 
o Sore throat at swallowing (0 –10 points VAS); 
o Sore throat at rest, i.e. during the intervals between swallowing acts (0 –10 points VAS); 
o Throat irritation at rest, i.e. during the intervals between swallowing acts (0 –10 points VAS); 
o Cough associated with throat discomfort (0 –10 points VAS). 
 
 
 
10.7 
Appropriateness of measurements 
All methods used for efficacy and safety assessments are standard methods for which reliabil-
ity, accuracy and relevance have been documented (e. g. vital signs, body temperature, urine 
dip sticks etc.). 
 
 
10.8 Handling and documentation of clinical data 
The Principal Investigator has to ensure that all data required according to this protocol will be 
entered promptly in the patient’s file, raw data sheets or directly in the CRF.  

 
 
Page 27 of 41 
 
Co-ordinating Investigator, a member of the trial team will check data in the CRFs for formal 
correctness, completeness and legibility of the entries. 
 
Documentation on clinical raw data, i.e. documentation on VAS will be collected on personal 
visits. A member of the trail team will check these raw data for formal correctness, complete-
ness and legibility of the entries. 
 
Entries on CRFs must be made with a black ball-point pen and must be legible. Pencils and 
correction fluids are not to be used. If corrections are necessary, they will be entered by a 
member of the trial team in the following manner: the wrong CRF entry will be crossed out; 
however, it must remain legible, and the correct entry will be placed next to the wrong entry. 
Changes and corrections to a CRF will be initialled and dated. For changes and corrections of 
direct CRF entries a reason must be provided, except in case of self-explanatory correction. 
 
 
 
 
10.9 Risks related to the participation in the clinical trial 
Blood withdrawal might occur during the study at the discretion of the investigator. Blood with-
drawal might be painful or the subjects might temporarily become dizzy. Subjects may also ex-
perience intermittent complaints like re-bleeding or puncture site bruises, blood clot (thrombus) 
in the punctured vessel (rarely), puncture site infections (rarely) or mechanical nerve damage 
(very rarely) 
 
 
 
 
10.9.1 
Procedure related risks 
10.9.2 
Risks related to the investigational medicinal product 
Imupret® oral drops 
 
The investigational products Imupret® oral drops contain the ingredients given in sections 0 and 
8.3.2.  
According to the Summaries of Product characteristics the following site effects and interactions 
may occur during intake: 
 
Side effects 
Rarely gastrointestinal disorders (e.g. abdominal pain, nausea, vomiting) may occur. Allergic 
reactions (e.g. rash, itching, dyspnea) may also occur. 
 
When taken together with preparations containing matricaria flowers and also in patients with 
hypersensitivity to other plants of the Composite family (e.g. Yarrow herb (Achillea Millefolium)) 
allergic reactions may occur. In case of any undesirable side effects the use of the medicinal 
product should be discontinued and a doctor should be consulted. 
 
Interactions with other medicines and other forms of interaction  
No interactions with other medicines have been reported. When using preparations which con-
tain oak bark, the resorption of alkaloids and other alkaline medicinal agents may be reduced or 
blocked if taken together.  
 
Overdose  
No cases of intoxication due to overdose has been reported. 
 
Reference treatment 
 
At the discretion of the investigator, Paracetamol as single doses up to 500 mg – not more than 
3-4 times daily will be prescribed. Moreover, at the discretion of the investigator, topical treat-
ment with e.g. benzydamine, lidocaine (in case of severe sore throat) may be prescribed. In 

 
 
Page 28 of 41 
 
case an antibiotic treatment will be necessary, the investigator may prescribe e.g. amoxicillin 
clavulanate, cephytryaxons etc. 
 
As it is not yet known, what kind of prescription will be exactly done by the investigator, possible 
side effects and interactions are hardly to be described in here in the protocol. In any case the 
investigator has to inform the patient and (or) his/her parent(s) about the risks related to the 
intake of Reference medication according to the respective Summaries of Product Characteris-
tics.  
 
 

 
 
Page 29 of 41 
 
11 
SAFETY ASPECTS 
11.1 
Definitions 
11.1.1 
Adverse event [AE] 
An Adverse Event [AE] is defined as any untoward medical occurrence in a clinical trial subject 
to whom an Investigational Medicinal Product [IMP] has been administered and which does not 
necessarily have a causal relationship with this treatment. 
An AE can therefore be any unfavourable and unintended sign (including an abnormal laborato-
ry finding, refer to section 11.5), symptom, or disease temporarily associated with the use of an 
IMP, whether or not considered related to the IMP.  
 
Examples of an AE include:  
• 
A new sign, symptom, illness, or syndrome;  
• 
Worsening of a pre-existing condition including either an increase in severity and/ or 
frequency of existing symptoms to a clinically significant exacerbation or the appear-
ance of a new symptom during the AE reporting period; 
• 
An effect of the IMP, including comparator or of concomitant medication; 
• 
Signs, symptoms, or the clinical sequelae of a suspected interaction; 
• 
Signs, symptoms, or the clinical sequelae of a suspected overdose of either IMP or a 
concomitant medication; 
• 
An effect of a procedure required by the protocol; 
• 
An accident or injury. 
 
 
Examples of an AE do not include: 
• 
A pre-existing condition, i.e. illnesses, clinical signs or symptoms, and/ or pathological 
laboratory values, which were already present at the first examination, unless an atypi-
cal course of the disease with exacerbation or increase in incidence of symptoms is ob-
served; 
• 
Medical or surgical procedures (e.g. endoscopy, appendectomy);  
In general, these comprise therapeutic measures for conditions that require surgery. 
The condition for which the surgery is required is an AE if it occurs or is detected during 
the clinical trial. Planned surgical measures and the condition(s) leading to these 
measures are not AEs if the condition was known before the period of observation. In 
the latter case the condition should be reported as medical history. 
• 
Worsening or deteriorations of common symptoms of the disease under study and/ or 
other expected clinical outcomes of the disease under study will generally not be rec-
orded as AE. 
AEs fall into the categories ‘non-serious’ or ‘serious’ (refer to section 11.1.2). 
 
 
11.1.2 
Serious adverse event [SAE] 
A Serious Adverse Event [SAE] is an AE that at any dose (including overdose):  
• 
results in death; 
• 
is life-threatening1; 
 
• 
requires inpatient hospitalisation or prolongation of existing hospitalisation2; 

 
 
Page 30 of 41 
 
• 
results in persistent or significant disability or incapacity3; 
• 
is a congenital anomaly or birth defect; 
• 
is a medical important event4. 
 
1 
‘Life-threatening’ means that the subject is at immediate risk of death at the time of the SAE; it does not refer to 
an AE which hypothetically might have caused death if it were more severe. 
2 
Hospital inpatient admission (for more than one calendar day) or prolongation of a hospital stay by at least 
one calendar day are required for the treatment of the AE, or occurs as a consequence of the AE.  
 
 
 
Hospitalisation does not include the following: 
• 
Emergency room/ accident and emergency/ casualty department visits; 
• 
Out-patient/ same-day/ ambulatory procedures; 
• 
Observation/ short-stay units; 
• 
Rehabilitation facilities/ health resorts; 
• 
Hospice facilities; 
• 
Respite care (e.g. caregiver relief); 
• 
Skilled nursing facilities; 
• 
Nursing homes; 
• 
Custodial care facilities; 
• 
Clinical research/ phase I units; 
• 
Hospitalisation in the absence of a precipitating, clinical AE: 
o 
Admission for treatment of a pre-existing condition not associated with the 
development of a new AE or with worsening of a pre-existing condition (e.g. 
for work up of persistent pre-existing lab abnormality); 
o 
Social admission (e.g. patient has no place to sleep); 
o 
Administrative admission (e.g. for annual physical examination); 
o 
Optional admission not associated with a precipitating clinical adverse event 
(e.g. for elective cosmetic surgery). 
 
3 
‘Persistent or significant disability or incapacity’ means a permanent or significant and substantial disruption of a 
person’s ability to carry out normal life functions. This definition is not intended to include experiences of rela-
tively minor medical significance such as uncomplicated headache, nausea, vomiting, diarrhoea, influenza, and 
accidental trauma (e.g. sprained ankle) which may interfere or prevent everyday life functions, but do not consti-
tute a substantial disruption. 
4 
Medical and scientific judgement should be exercised in deciding whether immediate reporting is appropriate in 
other situations where none of the serious criteria above are met. Important medical events that may not be im-
mediately life-threatening or result in death or hospitalisation but may jeopardize the subject or may require in-
tervention to prevent one of the other outcomes listed in the definition above should also usually be considered 
‘serious'.  Examples of such events are intensive treatment in an emergency room or at home for allergic bron-
chospasm, blood dyscrasias, or convulsions that do not result in inpatient hospitalisation, or development of 
drug dependency or drug abuse. 
Difference between ‘severe’ and ‘serious’ 
The term ‘severe’ is often used to describe the intensity (severity) of an event (as in mild, mod-
erate, or severe myocardial infarction). The event itself, however, may be of relatively minor 
medical significance (e.g. severe headache). This is not the same as ‘serious’, which is based 
on the outcome or action criteria usually associated with events that pose a threat to life or func-
tioning. Seriousness (not severity) serves as a guide for defining regulatory reporting obliga-
tions. 
 
 
 
11.1.3 
Adverse reactions [AR] 
An adverse reaction [AR] is any noxious and unintended response to an IMP irrespective of the 
dose administered. The phrase ‘response to an IMP’ means that a causal relationship between 

 
 
Page 31 of 41 
 
the administration of the IMP and the occurrence of an AE is at least a reasonable possibility 
(refer to section 11.3). 
All AEs will be judged by either the investigator or the sponsor as ‘related’ or ‘not related’ to the 
IMP. 
An unexpected AR is an AR for which the nature or severity is not consistent with the applicable 
reference safety information for the Imupret® or Reference treatment provided in the Summaries 
of Product Characteristics. 
When an unexpected AR also meets the definition of a SAE (refer to section 11.1.2), it is con-
sidered an unexpected serious AR. The co-ordinating investigator will report all suspected un-
expected serious adverse reactions [SUSAR] to competent authorities, ethic committees, inves-
tigational sites, Bionorica SE as the supporter of this trial and other relevant recipients in all 
participating countries, in accordance with applicable reporting requirements. 
 
 
11.1.4 
Alert terms and other reasons for expedited reporting to Pharmacovigi-
lance 
No special events are to be reported as alert terms in this trial. 
 
11.2 
Period of observation 
For the purpose of this trial, the period of observation for collection of AEs extends from signing 
of the informed consent form until the end of the trial (including follow-up period). 
The investigator is not expected to actively monitor subjects for AEs once the clinical trial has 
ended. However, if the investigator becomes aware of a SAE in a subject after the end of the 
period of observation (regardless of the time elapsed from the trial end), and considers the 
event possibly related to prior trial treatment or procedures, the investigator should contact the 
Drug Safety department of Bionorica SE to determine how the AE should be documented and 
reported. 
Regardless of the individual duration of the trial, any AE (including abnormal laboratory find-
ings), irrespective of severity and whether serious or not, must be monitored by the investigator 
until it has satisfactorily subsided or has stabilized to such an extent that further marked im-
provement can no longer be expected or until a satisfactory medical explanation is found. The 
investigator must make every effort to contact subjects lost to follow-up. Attempts to contact 
such subjects must be documented in the subject’s records (e.g., times and dates of attempted 
telephone contact, receipt for sending a registered letter). 
This also applies to AEs still ongoing at the last visit of the individual patient. If necessary a 
further visit must be scheduled by the investigator. 
It is the responsibility of the investigator to ensure that any necessary additional therapeutic 
measures and follow – up procedures are performed. 
 
 
11.3 
Assessment and recording of adverse events 
The occurrence of AEs will be assessed by non-directive questioning of the subject at each 
visit. Further, AEs volunteered by the subject during or between visits or detected through ob-
servation, physical examination, laboratory test or other assessments will be documented. AEs 
that were ongoing at the end of the previous visit should be queried for resolution or change in 
severity or seriousness. 

 
 
Page 32 of 41 
 
Clinical trial subjects will be instructed by the investigator to report any AEs, subjective com-
plaints or objective changes in their well-being to the investigator or the clinic personnel, regard-
less of the perceived relationship between event and IMP. 
All AEs (whether serious or non-serious, or considered as an alert term) must be documented. 
In case of a SAE (refer to section 11.1.2), the investigator must additionally complete a ‘SAE 
report form’ at the time the SAE is detected. This form will be immediately send to the Drug 
Safety department of Bionorica SE as detailed in section . 
For each AE the following data will be recorded in the CRF: 
• 
Description of the AE in medical terms (preferably: diagnosis), not as reported by sub-
ject. 
Note: Every attempt should be made to describe the AE in terms of a diagnosis. If a 
clear diagnosis has been made, individual signs and symptoms will not be recorded un-
less they represent a typical or extreme manifestation of the diagnosis, in which case 
they should be reported as separate AE. 
• 
Date of onset (start date) and date of recovery (stop date). 
• 
Intensity of the AE as assessed by the investigator as follows: 
- 
Mild: The AE is easily tolerated and does not interfere with routine activities/ normal 
functioning of the subject. 
- 
Moderate: The AE causes discomfort and affects the subject’s normal activities, i.e. 
interferes with routine activities, but are not hazardous, uncomfortable or embar-
rassing to the patient. 
- 
Severe: The AE causes considerable interference with the subject’s usual activi-
ties, e.g. inability to work. 
• 
Causal relationship of the AE to the IMP according to the available data as: 
- 
Related: There is a reasonable causal relationship, which means that there is evi-
dence to suggest a causal relationship. The adverse event could medically (phar-
macologically/ clinically) be attributed to the investigational product under trial in this 
protocol. 
- 
Not related: There is no reasonable causal relationship, which means that there is 
no evidence to suggest a causal relationship. The adverse event could not medical-
ly (pharmacologically/ clinically) be attributed to the investigational product under 
trial in this protocol.  
• 
Actions taken on the IMP: 
- 
e.g. drug withdrawn, dose reduced, dose increased, dose not changed, permanent-
ly discontinued, temporarily discontinued and reintroduced, unknown, not applicable 
(e.g. AE occurred in IMP-free period) 
• 
Other actions taken due to the AE: 
- 
e.g. corrective treatment 
• 
Outcome of the AE, e.g.: 
- 
Recovered/ resolved: The AE had stopped completely and the stop date is rec-
orded. 
- 
Recovered/ resolved with sequelae: No further changes are expected due to the 
AE and residual symptoms are assumed to persist. 
- 
Not recovered/ not resolved: The AE is ongoing; the event is followed up. 
- 
Fatal: The subject died as a consequence of the AE; date of death is recorded as 
stop date of the AE. 
- 
Unknown: Unknown to the investigator (e.g. patient lost to follow up). 

 
 
Page 33 of 41 
 
• 
Seriousness according to definition in section 11.1.2. 
 

 
 
Page 34 of 41 
 
11.4 
Reporting of SAE 
Any SAE and AE that fulfil a reason for immediate reporting (as defined in section 11.1.4) will be 
reported immediately (within 24 hours after receipt) to the responsible ethics committee and 
authority according to the obligations of the Ukraine (online to State Expert Center MH).  
Moreover, within 15 days after receipt by the investigator via telephone, fax or e-mail to the 
Drug Safety department of Bionorica SE: 
Bionorica SE 
Drug Safety 
Phone:  +49 9181 231 7200 
Fax:  
+49 9181 231 6 7200 
E-mail:  drugsafety@bionorica.de 
The initial report must be as complete as possible. The report should include at least the follow-
ing information: 
• 
Clinical trial subject identification (e.g. assigned subject number, age or year of birth, 
gender) 
• 
Identifiable reporting source (e.g. centre number, name of investigator, telephone 
number, fax and/ or e-mail address) 
• 
Identification of the clinical trial (e.g. trial code) or IMP  
• 
SAE term (preferably: diagnosis; if possible, also including description and course of 
the SAE) 
• 
Seriousness criterion (refer to section 11.1.2) 
• 
Causal relationship between the occurrence of an AE and the administration of the 
IMP as assessed by the investigator according to the available data as defined in 10.2. 
If based on follow-up information the investigator changes his/her initial causality as-
sessment, this should be submitted to the Drug Safety department of Bionorica SE im-
mediately (i.e. within 24 hours after receipt) by using the SAE report form. 
• 
Signature of the investigator 
Following a report by phone, written information has to be sent by fax or e-mail to the Drug 
Safety department of Bionorica SE within two working days. When necessary an ‘SAE Report 
Form’ will be accompanied by relevant pages from the CRF, e.g. for medical history, AEs or 
concomitant medication (online-form in official site of State Expert Centre MH). 
If the investigator does not have all information regarding an SAE, he/she will not wait to receive 
additional information before notifying the sponsor of the event and completing the ‘SAE report 
form’. Information not available at the time of the initial report (e.g. an end date for the SAE or 
laboratory values received after the report) will be documented on a follow-up ‘SAE report form’ 
and reported within 15 days after receipt to the Drug Safety department of Bionorica SE. 
Additional information not covered by an ‘SAE Report Form’, including copies of hospital re-
ports, autopsy reports or other relevant documents, will be requested, if necessary, by either the 
monitor or the Drug Safety department of Bionorica SE for a detailed description and a final 
evaluation of the case. All personal identifiers (e.g. name, detailed birth of date) must be pseu-
donymized prior to submission by blinding personal data and using the assigned identification 
code of the subject.  
The investigator should institute any supplementary investigations of SAE based on their clinical 
judgement of the likely causative factors. This may include seeking further opinion from a spe-
cialist in the field of the SAE. Bionorica SE may also request extra tests.  
If the SAE information is incomplete or inconsistent and directly affects the sponsor’s reporting 
obligation to health authorities, the Drug Safety department may directly contact the investigator 
for clarification. 

 
 
Page 35 of 41 
 
The sponsor will be responsible for notification of the competent authorities, ethics committee(s) 
and investigators in the event of a SUSAR and any other important safety issues requiring ex-
pedited reporting, in accordance with the applicable legislation. 
 
11.5 
Abnormal laboratory parameters 
Abnormal laboratory findings (e.g. clinical chemistry, haematology, or urinalysis) or other ab-
normal assessments (e.g. vital signs) will be judged by the investigator as ‘clinically relevant’ or 
‘not clinically relevant’ based on the investigator’s medical and scientific expertise. Abnormal, 
clinically relevant results should be verified to rule out laboratory error.  
Clinically relevant, abnormal findings or other clinically relevant abnormal assessments that are 
detected during the clinical trial or that were present at baseline and significantly worsen during 
the trial will be recorded as AE. However, clinically relevant abnormal laboratory findings or 
other abnormal assessments that are associated with a medical condition already documented 
as medical history or AE will not be recorded separately, unless judged by the investigator as 
more severe than expected for the subject’s condition. 
If during treatment with an IMP abnormal laboratory findings occur which were not present at 
baseline and which were judged by the investigator as ‘clinically relevant’ and recorded as AE in 
the CRF, the investigator is responsible to carry out further clinical or laboratory tests until the 
values return to the normal range or until a plausible explanation is given by the investigator 
(e.g. disease). 
 
 
 
11.6 
Handling of pregnancies 
 
The investigator will collect pregnancy information on any female subject, who becomes preg-
nant while participating in this clinical trial. The investigator will inform Bionorica about pregnan-
cy department of Bionorica SE within 15 days after acknowledgment of a subject’s pregnancy). 
Any subject who becomes pregnant while participating in the trial should discontinue treatment 
and will be withdrawn from the trial. 
The pregnancy must be followed up to determine outcome (including premature termination) 
and status of mother and child. Generally, follow-up will be no longer than 3 months following 
the estimated delivery date. 
Newly diagnosed pregnancy in a clinical trial subject is not considered to be an AE or SAE un-
less meeting seriousness criteria, or it is suspected that the IMP interacted with a contraceptive 
method and led to pregnancy. 
Pregnancy complications and elective terminations for medical reasons must be reported as an 
AE or SAE. Spontaneous abortions must be reported as an SAE.  
Furthermore, any SAE occurring as in association with a pregnancy (in cases where the preg-
nancy occurred after the end of the trial participation of the subject) brought to the investigator’s 
attention after the subject has completed the trial and considered by the investigator as reason-
ably related to the IMP must be promptly reported to the sponsor. 
 
 
 

 
 
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12 
EVALUATIONS 
12.1 
Data Management 
Data management comprises the following general processes in chronological order: Set-up of 
database, data entry and cleaning including query handling, coding procedures, data validation 
and final review of data. 
Upon receipt of CRFs and respective raw data sheets, the data from the CRFs will be entered 
and transferred into the trial data base. Data base will be prepared for data entry and will reflect 
the final version of the CRF and raw data sheets. Adequate quality control methods will be ap-
plied. Identified discrepancies, will be queried by a responsible data manager using data clarifi-
cation forms and forwarded to the investigator. Data sets and data base will be hard locked after 
all discrepancies are resolved and the analysis sets of subjects are documented. In case, that 
the data base has to be opened, this will be done only after agreement with all involved parties. 
All changes after data base hard lock will be tracked. All clinical data included in the data base 
will at least be listed. 
For data coding (e.g. AEs, medical / surgical history, medication) internationally recognized and 
accepted dictionaries will be used (Medical Dictionary for Regulatory Activities (MedDRA) for 
AEs and WHO-dictionary for medication). In general, the latest version of medical dictionaries 
valid at data base setup will be used for coding throughout the clinical trial. 
 
 
12.2 
Statistical evaluation 
The statistical planning of the trial and the statistical analyses will be conducted following the 
principles specified in the ICH Topic E9 (ICH, 1998), and will be carried out by a qualified statis-
tician in accordance with the ICH. Technical details of the statistical analyses will be specified 
prior to data analyses. 
In general, there will be one main statistical evaluation. 
Data base will be closed after all data are entered and cleaned.  
In general, unless otherwise stated, continuous data will be summarized by means of descrip-
tive statistics (mean, standard deviation (SD), median, quartiles, minimum, and maximum). Cat-
egorical variables will be described in contingency tables as absolute number and percentages. 
AEs will be evaluated considering frequency and intensity. Furthermore, AEs will be evaluated 
considering relationship to the IMP, outcome, and seriousness. Both will be described by abso-
lute and relative frequency. Descriptive statistics will be calculated for clinical laboratory param-
eters determined. Frequencies of values inside and out of normal range (i.e. above and below) 
will be given where possible.  
 
This is an exploratory trial with no formal sample size estimation. Therefore, beneath descriptive 
statistics of efficacy endpoints, concluding statistics may be performed in a data driven way, in 
order to find clinically relevant differences between study participants, time points and treat-
ments. Possible corrections to prevent an alpha inflation will be performed, if meaningful.  
 
Specifications of the biometrical evaluation will be defined after all data management processes 
of the study phase will be terminated and data base was closed. In general, variables will be 
analyzed considering the underlying analysis set, treatment and time point, if meaningful.  
 
 
 
 

 
 
Page 37 of 41 
 
12.2.1 
Analysis sets 
Full Analysis Set (FAS) 
The FAS consists of all randomized patients with at least one documented application of IMP 
and with at least one observed post-baseline value. 
Per Protocol Set (PPS) 
The PPS consists of all patients of the FAS without major protocol deviations. The evaluation of 
protocol deviations and whether they lead to the exclusion of a patient from the PPS will be 
performed during data review of the study. 
 
 
 
 
12.2.2 
Primary endpoint 
Main criterion for evaluation in the trial will be: 
 
• 
Scores determined by the Local Tonsillitis Manifestations Scale refined by McIsaac’s 
scale. Scores will be dichotomized to decide for two categories (therapy effec-
tive/therapy ineffective).  
Scores will be evaluated by treatment and time point, i.e. per visit 
• 
Need for an antibacterial therapy, i.e. number of patients per treatment. 
 
 
 
 
 
12.2.3 
Secondary endpoints 
• 
Scores/Intensity of each underlying disease symptom assessed by the Local Tonsillitis 
Manifestations Scale by treatment and time point, i.e. per visit 
• 
Axillary temperature per treatment and measurement time point 
• 
Patient’s self-assessments on VAS per treatment and measurement time point 
• 
Self-assessment of the symptoms by the patient. 
 
 
 
 
12.2.4 
Safety evaluation 
AEs will be evaluated considering frequency and intensity. Furthermore, AEs will be evaluated 
considering relationship to the IMP, outcome, and seriousness. Both will be described by abso-
lute and relative frequency. Descriptive statistics will be calculated for clinical laboratory param-
eters determined. Frequencies of values inside and out of normal range (i.e. above and below) 
will be given where possible. 
 
 
 
 

 
 
Page 38 of 41 
 
13 
RECORD KEEPING 
The investigator will maintain adequate and accurate records to enable the conduct of the trial 
to be fully documented and the trial data to be subsequently verified according to the interna-
tional legal requirements or according to the local applicable regulatory requirements. 
 
 
 
13.1 
Documentation of patients' participation 
Patient clinical source documents include, but are not limited to, patient clinic records, physi-
cian’s and nurse’s notes, appointment book, original laboratory reports, imaging diagnostic, 
pathology and special assessment reports, consultant letters, etc. 
 
 
 
13.2 
Data protection 
13.3 
Essential documents at trial center 
Essential documents related to the clinical trial will be retained in the Trial Master File and pa-
tient clinical source documents. 
The Trial Master File will contain the clinical protocol/protocol amendments, sample of eCRF 
printout, ECs/IRB and regulatory authorities’ approval with correspondence, original initialed 
and dated PI as well as the signed IC, sample PI sheet and IC form, trial medication records, 
investigator’s curriculum vitae and authorization forms, screening and enrollment logs, and oth-
er appropriate documents/correspondence as per ICH-GCP and local regulations. 
 
 
 
 
13.4 
Archiving 
Documents must be kept on file by the investigator for 15 years. If source documents are not 
durable as long as needed (e.g. printouts on thermo labile paper), they must be preserved as 
certified copy. 
 
 
 

 
 
Page 39 of 41 
 
14 
QUALITY ASSURANCE 
Domestic and foreign regulatory authorities, the ECs/IRB, and an authorized auditor may re-
quest access to all source documents, CRF, and other trial documentation for on-site audit or 
inspection. Audits and inspections can be conducted at any time during or after the trial to as-
sure the validity and integrity of trial data.  
Direct access to these documents must be guaranteed by the investigator, who must provide 
support at all times for these activities. Medical records and other trial documents may be cop-
ied during audit or inspection provided that patient names are obliterated on the copies to en-
sure confidentiality. 
 
 
15 
LEGAL AND BUSINESS MATTERS 
15.1 
Insurance for patients 
Liability and insurance provisions for patients will be arranged according to legal requirements. 
In accordance with the applicable national laws of each participating country and GCP, the 
sponsor has effected a patient insurance. The investigator will receive a copy of the insurance 
certificate as well as of the corresponding insurance conditions prior to the start of the study. 
Following the clauses of the contract, the patients have to be informed about the existence of 
the insurance contract and about their obligations. 
Liability and insurance provisions for patients and investigators participating in this trial are giv-
en in separate agreements. 
 
 
15.2 
Contracts, finances 
Before the start of the trial, the investigator will disclose any proprietary or financial interests he 
or she might hold in the investigational products as outlined in a ‘financial disclosure form’ pre-
pared for this trial. The investigator agrees to update this information in case of significant 
changes during the trial. Similar information will be provided by each sub-investigator to whom 
the investigator delegates significant trial related responsibilities. 
 
 
15.3 
Disclosure of all information and results 
All information concerning the results derived from the trial and the investigational product are 
regarded as confidential. The investigators and members of their research teams are not per-
mitted to disclose any such information without prior written approval as long as the data are 
unpublished. By his signature the investigator(s) agree(s) to keep the data confidential. 
 
 
 

 
 
Page 40 of 41 
 
16 
REGULATORY AND ETHICS 
16.1 
Good Clinical Practice 
This trial is to be conducted according to globally accepted standards of GCP (as defined in the 
ICH E6 R2 Guideline), in agreement with the Declaration of Helsinki from 2013 and in keeping 
with local regulations. The investigator should ensure on an ongoing basis that all persons as-
sisting with the trial are adequately qualified, informed about the protocol, any amendments to 
the protocol, the trial treatments, and their trial-related duties and functions. Minutes of trial 
team meetings and documentation of trial team training should be maintained in the trial investi-
gator site file. 
The investigator should maintain a list of sub-investigators and other appropriately qualified 
persons to whom he/she has delegated significant trial-related duties. 
Serious GCP breaches or serious protocol deviations mean a breach likely to affect to a signifi-
cant degree the safety and rights of a patient or the reliability and robustness of the data gener-
ated in the clinical trial.  
 
 
16.2 
Subject information and informed consent 
Every trial participant will receive a complete and comprehensive explanation of the signifi-
cance, nature, extent and possible risks of the trial. To this end a detailed, written sheet will be 
made available. In addition, the investigator will carry out an oral information session during 
which the patients will be given sufficient time and opportunity to clarify remaining questions. 
The investigator has to document his/her conversation with the patient with date, duration of the 
conversation, main contents, questions and answers in patient’s medical file. In addition, the 
investigator has to document in the patient’s file that the patient is enrolled into the trial. 
 
The investigator will inform the patient or his/her legal representative(s) that his/her consent to 
participation can be withdrawn at any time without giving any reason and that no disadvantages 
will result concerning further medical treatment. Neither the investigator nor the site staff should 
coerce or unduly influence a patient to participate or to continue to participate in the trial. 
 
The patient information sheet has to be initialed and dated by the patient and/or his/her legal 
representative(s) to confirm comprehension. Afterwards, the patient and the investigator will 
sign and date the Informed Consent form personally. The original initialed and dated patient 
information as well as the signed Informed Consent Form will be archived in the Trial Master 
File. The patient will receive the second original of the patien information and signed Informed 
Consent Form.  
 
The investigator is responsible for correctly obtaining the Informed Consent in accordance with 
the applicable regulatory requirement(s), GCP and the ethical principles that have their origin in 
the Declaration of Helsinki. A signed Informed Consent form must be obtained prior to initiation 
of any trial-specific procedures. Date and time of signature must be documented. The record of 
the Informed Consent must be available for an audit by competent authorities (CAs) whenever 
requested. The patient will be informed about any changes in the trial protocol due to substan-
tial protocol amendments and will be asked to sign an amended patient information sheet and 
Informed Consent form accordingly.  
 
 
17 
PUBLICATION POLICY 
Publication of trial results requires a mutual agreement between the investigator(s) and Bionori-
ca SE. Any publication of the trial data by the sponsor or investigator(s) will wholly be consistent 
with the integrated report in accordance with the ethical principles of the Declaration of Helsinki. 
 

 
 
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18 
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