What Makes Clinical Research Ethical?
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SPECIAL COMMUNICATION What Makes Clinical Research Ethical? Ezekiel J. Emanuel, MD, PhD Many believe that informed consent makes clinical research ethical. How- David Wendler, PhD ever, informed consent is neither necessary nor sufficient for ethical clinical Christine Grady, PhD research. Drawing on the basic philosophies underlying major codes, dec- larations, and other documents relevant to research with human subjects, HAT MAKES RESEARCH IN- we propose 7 requirements that systematically elucidate a coherent frame- volving human subjects work for evaluating the ethics of clinical research studies: (1) value— ethical? Informed con- enhancements of health or knowledge must be derived from the research; sent is the answer most (2) scientific validity—the research must be methodologically rigorous; (3) WUS researchers, bioethicists, and insti- fair subject selection—scientific objectives, not vulnerability or privilege, and tutional review board (IRB) members the potential for and distribution of risks and benefits, should determine com- would probably offer. This response re- munities selected as study sites and the inclusion criteria for individual sub- flects the preponderance of existing jects; (4) favorable risk-benefit ratio—within the context of standard clini- guidance on the ethical conduct of cal practice and the research protocol, risks must be minimized, potential research and the near obsession with benefits enhanced, and the potential benefits to individuals and knowledge autonomy in US bioethics.1-4 While gained for society must outweigh the risks; (5) independent review— informed consent is necessary in most unaffiliated individuals must review the research and approve, amend, or but not all cases, in no case is it suffi- terminate it; (6) informed consent—individuals should be informed about cient for ethical clinical research.5-8 In- the research and provide their voluntary consent; and (7) respect for en- deed, some of the most contentious con- rolled subjects—subjects should have their privacy protected, the opportu- temporary ethical controversies in nity to withdraw, and their well-being monitored. Fulfilling all 7 require- clinical research, such as clinical ments is necessary and sufficient to make clinical research ethical. These research in developing countries,9-13 requirements are universal, although they must be adapted to the health, the use of placebos,14-16 phase 1 re- economic, cultural, and technological conditions in which clinical research search,17-19 protection for communi- is conducted. ties,20-24 and involvement of chil- JAMA. 2000;283:2701-2711 www.jama.com dren,25-29 raise questions not of informed consent, but of the ethics of subject se- THE 7 ETHICAL For the past 50 years, the main sources lection, appropriate risk-benefit ratios, REQUIREMENTS of guidance on the ethical conduct of and the value of research to society. Since The overarching objective of clinical re- clinical research have been the Nurem- obtaining informed consent does not en- search is to develop generalizable berg Code,35 Declaration of Helsinki,36 sure ethical research, it is imperative to knowledge to improve health and/or in- Belmont Report,37 International Ethical have a systematic and coherent frame- crease understanding of human biol- Guidelines for Biomedical Research In- work for evaluating clinical studies that ogy30,31; subjects who participate are the volving Human Subjects,38 and similar incorporates all relevant ethical consid- means to securing such knowledge.32 documents (TABLE 1). However, many erations. By placing some people at risk of harm of these documents were written in re- In this article, we delineate 7 require- for the good of others, clinical re- sponse to specific events and to avoid fu- ments that provide such a framework by search has the potential for exploita- ture scandals.50,51 By focusing on the in- synthesizing traditional codes, declara- tion of human subjects.33,34 Ethical re- stigating issues, these guidelines tend to tions, and relevant literature on the eth- quirements for clinical research aim to ics of research with human subjects. This minimize the possibility of exploita- Author Affiliations: Department of Clinical Bioeth- ics, Warren G. Magnuson Clinical Center, National In- framework should help guide the ethi- tion by ensuring that research sub- stitutes of Health, Bethesda, Md. cal development and evaluation of clini- jects are not merely used but are treated Corresponding Author and Reprints: Christine Grady, PhD, Warren G. Magnuson Clinical Center, Bldg 10, cal studies by investigators, IRB mem- with respect while they contribute to Room 1C118, National Institutes of Health, Bethesda, bers, funders, and others. the social good.30 MD 20892-1156 (e-mail: [email protected]). ©2000 American Medical Association. All rights reserved. (Reprinted) JAMA, May 24/31, 2000—Vol 283, No. 20 2701 Downloaded from www.jama.com at Dartmouth College, on September 19, 2006 ETHICAL REQUIREMENTS FOR CLINICAL RESEARCH emphasize certain ethical requirements peutic and nontherapeutic research that large-scale trials of vaccines and drugs.” while eliding others. For instance, the is rejected or not noted by other docu- The CIOMS guidelines lack a separate Nuremberg Code35 was part of the judi- ments.30,52 The Belmont Report37 was section devoted to risk-benefit ratios, al- cial decision condemning the atrocities meant to provide broad principles that though the council considers this issue of the Nazi physicians and so focused on could be used to generate specific rules in commentary on other guidelines. It the need for consent and a favorable risk- and regulations in response to US re- also includes a section on compensa- benefit ratio but makes no mention of fair search scandals such as Tuskegee53 and tion for research injuries not found in subject selection or independent re- Willowbrook.54,55 It focuses on in- other documents. Because the Advisory view. The Declaration of Helsinki36 was formed consent, favorable risk-benefit ra- Committee on Human Radiation Experi- developed to remedy perceived lacunae tio, and the need to ensure that vulner- ments was responding to covert radia- in the Nuremberg Code, especially as re- able populations are not targeted for risky tion experiments, avoiding deception was lated to physicians conducting research research. The Council for International among its 6 ethical standards and rules; with patients, and so focuses on favor- Organizations of Medical Sciences most other major documents do not able risk-benefit ratio and independent (CIOMS) guidelines38 were intended to highlight this.56 This advisory commit- review; the Declaration of Helsinki also apply the Declaration of Helsinki “in de- tee claims that its ethical standards are emphasizes a distinction between thera- veloping countries...[particularly for] general, but acknowledges that its choices were related to the specific cir- cumstances that occasioned the re- Table 1. Selected Guidelines on the Ethics of Biomedical Research With Human Subjects* port.56 Finally some tensions, if not Guideline Source Year and Revisions outright contradictions, exist among Fundamental the provisions of the various guide- Nuremberg Code35 Nuremberg Military Tribunal 1947 lines.5,19,30,51,52,57,58 Absent a universally ap- decision in United States v Brandt plicable ethical framework, investiga- Declaration of Helsinki36 World Medical Association 1964, 1975, 1983, tors, IRB members, funders, and others 1989, 1996 lack coherent guidance on determining Belmont Report37 National Commission for the 1979 whether specific clinical research pro- Protection of Human Subjects of Biomedical and Behavioral tocols are ethical. Research There are 7 requirements that pro- International Ethical Guidelines for Council for International Proposed in 1982; vide a systematic and coherent frame- Biomedical Research Involving Organizations of Medical revised, 1993 work for determining whether clinical re- Human Subjects38 Sciences in collaboration with World Health Organization search is ethical (TABLE 2). These Other requirements are listed in chronologi- 45 CFR 46, Common Rule8 US Department of Health and DHHS guidelines in cal order from the conception of the re- Human Services (DHHS) and 1981; Common search to its formulation and implemen- other US federal agencies Rule, 1991 tation. They are meant to guide the Guidelines for Good Clinical World Health Organization 1995 Practice for Trials on ethical development, implementation, Pharmaceutical Products42 and review of individual clinical proto- Good Clinical Practice: International Conference on 1996 cols. These 7 requirements are in- Consolidated Guidance44 Harmonisation of Technical Requirements for Registration of tended to elucidate the ethical stan- Pharmaceuticals for Human Use dards specific for clinical research and Convention on Human Rights and Council of Europe 1997 assume general ethical obligations, such Biomedicine43 as intellectual honesty and responsibil- Guidelines and Recommendations European Forum for Good 1997 ity. While none of the traditional ethi- for European Ethics Clinical Practice Committees45 cal guidelines on clinical research ex- Medical Research Council Medical Research Council, 1998 plicitly includes all 7 requirements, these Guidelines for Good Clinical United Kingdom requirements systematically elucidate the Practice in Clinical Trials46 fundamental protections embedded in Guidelines for the Conduct of Uganda National Council for 1998 Health