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Published on 21/12/2025

Swiss Ethics and BASEC Submissions and Communications SOP

Department	Clinical Research
SOP No.	CS/SWISS-ETHICS/190/2025
Supersedes	N.A.
Page No.	1 of 24
Issue Date	28/08/2025
Effective Date	05/09/2025
Review Date	05/09/2027

Purpose

This SOP outlines procedures for preparing, submitting, and managing communications with Swiss Ethics Committees via the Business Administration System for Ethics Committees (BASEC). It ensures compliance with Swissmedic regulations, ICH GCP, and ethical governance requirements in Switzerland.

Scope

This SOP applies to all sponsor-led and investigator-initiated clinical trials conducted in Switzerland requiring submission to Swiss Ethics Committees through BASEC. It covers initial submissions, responses to ethics queries, substantial amendments, safety reporting, communications, and documentation archiving.

Responsibilities

• Sponsor: Ensures complete and timely ethics submissions through BASEC and maintains oversight of communications.
• Regulatory Affairs (RA): Prepares submission dossiers, manages BASEC portal entries, and tracks approval status.
• Principal Investigator (PI): Provides site-specific documentation and ensures compliance with approved protocols.
• Clinical Project Manager (CPM): Tracks submission timelines and ensures communication logs are maintained.
• Quality Assurance (QA): Audits ethics submissions and ensures inspection readiness.

Accountability

The Sponsor’s Head of Regulatory Affairs is accountable for ethics submissions and communications. The PI is accountable for ensuring site compliance with approved ethics requirements.

Procedure

1. Preparation of Ethics Submission

1. Compile submission package including protocol, ICF, IB, recruitment materials, insurance certificate, and investigator CVs.
2. Translate documents into German, French, or Italian as required by the region.
3. Maintain Submission Checklist (Annexure-1).

2. Submission through BASEC

1. Submit the complete application electronically through the BASEC portal.
2. Record submission reference number and acknowledgment in Submission Log.

3. Ethics Committee Communication

1. Respond promptly to EC queries through the BASEC portal within defined timelines.
2. Maintain Communication Log documenting correspondence with ethics committees.

4. Substantial Amendments

1. Prepare amended documents with tracked changes.
2. Submit amendments through BASEC prior to implementation.
3. Record approvals in Amendment Log (Annexure-2).

5. Safety Reporting

1. Submit SUSARs and DSURs to ECs via BASEC as per timelines.
2. Ensure acknowledgment receipts are retained in TMF.

6. Documentation and Archiving

1. Maintain ethics approval letters, submission logs, and correspondence in TMF.
2. Archive ethics records for at least 10 years or per Swiss retention requirements.

Abbreviations

• BASEC: Business Administration System for Ethics Committees
• EC: Ethics Committee
• Swissmedic: Swiss Agency for Therapeutic Products
• ICF: Informed Consent Form
• IB: Investigator’s Brochure
• CTA: Clinical Trial Application
• PI: Principal Investigator
• RA: Regulatory Affairs
• QA: Quality Assurance
• CPM: Clinical Project Manager
• TMF: Trial Master File

Documents

1. Submission Checklist (Annexure-1)
2. Amendment Log (Annexure-2)
3. Communication Log (Annexure-3)

References

• Swiss Ethics Committees (BASEC)
• Swissmedic — Clinical Trials
• ICH E6(R2) Good Clinical Practice

Version: 1.0

Approval

Prepared By	Checked By	Approved By
Name: Rajesh Kumar Date: 20/08/2025 Signature: __________	Name: Sunita Reddy Date: 22/08/2025 Signature: __________	Name: Dr. Meera Iyer Date: 28/08/2025 Signature: __________

Annexures

Annexure-1: Submission Checklist

Document	Included (Y/N)	Reviewer	Date
Protocol	Y	Rajesh Kumar	05/08/2025
Investigator’s Brochure	Y	Sunita Reddy	06/08/2025

Annexure-2: Amendment Log

Date	Amendment	Submitted To	Status	Owner
15/09/2025	Amendment 1 — Updated ICF	BASEC	Under Review	Neha Sharma

Annexure-3: Communication Log

Date	Committee	Topic	Response	Owner
12/08/2025	BASEC	Request for clarification on SAE reporting	Response provided	Sunita Reddy

Revision History

Revision Date	Revision No.	Revision Details	Reason for Revision	Approved By
28/08/2025	1.0	Initial SOP for Swiss ethics and BASEC submissions and communications.	New SOP created for regulatory compliance in Switzerland.	Head of Clinical Research

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