STATEMENT OF
SPECIFIC PRINCIPLES FOR CLINICAL EVALUATION OF
DRUGS/DIAGNOSTICS/VACCINES/HERBALREMEDIES ETC.
Human studies designed to evaluate the safety, effectiveness, or usefulness
of an intervention include research on therapeutics, diagnostic procedures
and preventive measures including vaccines. The type of experimental
procedures that a patient is submitted to has become more complex and varied
as the complexities of medical research have increased. It is clearly
accepted that it is essential to carry out research on human subjects to
discover better medical and therapeutic modalities for the benefit of
mankind. It is equally clear that such research on normal subjects and
patients is associated with some degree of risk to the individual concerned.
The guidelines have been framed to carry out the evaluation of drugs,
vaccines, devices and other diagnostic materials on human subjects including
herbal remedies, in accordance with basic ethical principles. These
guidelines are important for the protection of research subjects against any
avoidable risk and to guide the researchers in the preparation of research
proposals/protocols.
For the evaluation of proposed research intervention the framework of
guidelines is as follows:
A. General Ethical Principles
B. Special Ethical concerns related to
- Drug Trials
- Vaccine Trials
- Medical Devices
- Diagnostic agents - with special reference to use of Radioactive
Materials and X-rays
- Trials with Herbal remedies.
A. GENERAL ETHICAL PRINCIPLES
All the research involving human subjects should be conducted in
accordance with three basic ethical principles, namely respect for
person/subject, beneficience and justice. The guidelines laid down are
directed at application of these basic principles to research involving
human subjects.
An investigator is the person responsible for the clinical trial and for
the rights, health and welfare of the subjects recruited for the study.
He/she should have qualification and competence in clinical trial research
methods for proper conduct of the trial and should be aware of and comply
with the legal and ethical requirements of the study protocol
1. Informed Consent of Subject:
1.1 Individual Informed Consent
For all biomedical research involving human subjects, the investigator
must obtain the informed consent of the prospective subject or, in the
case of an individual who is not capable of giving informed consent, the
consent of a legal guardian.
- Informed consent is based on the principle that competent individuals
are entitled to choose freely whether to participate in research or not.
Informed consent protects the individual's freedom of choice and respect
for individual's autonomy.
- When research design involves no more than minimal risk (for example,
where the research involves only collecting data from subject's records)
the ethical review committee may waive some or all elements of informed
consent.
1.2 Essential information for prospective research subjects
Before taking the informed consent of subject, the investigator must
provide the individual with the following information in the language he
or she is able to understand -
- the aims and methods of the research,
- the expected duration of the subject participation,
- the benefits that might reasonably be expected as an outcome of
research to the subject or to others,
- any risk to the subject, associated with study,
- maintenence of confidentiality of records,
- responsibility of investigators,
- provision of free treatment for research related injury,
- compensation of subjects for disability or death resulting from such
injury, and
- freedom of individual to participate and to withdraw from research
any time without penalty or loss of benefits to which the subject would
otherwise be entitled.
1.3 Obligations of investigators regarding informed consent The
investigator has
duty to:
- communicate with prospective subject all the information necessary
for informed consent. There should not be any restriction on subject's
right to ask any questions related to study, and any restriction on this
undermines the validity of informed consent.
- exclude the possibility of unjustified deception, undue influence and
intimidation. Deception of the subject is not permissible. However,
sometimes information can be withheld till the completion of study, if
such information would jeopardize the validity of research.
- seek consent only after prospective subject is adequately informed.
Investigator should not give any unjustifiable assurances to prospective
subject, which may influence the subject's decision to participate in
the study.
- as a general rule obtain from each prospective subject a signed form
as an evidence of informed consent (written informed consent) preferably
witnessed by a person not related with trial, and in case of
incompetence, a legal guardian or other duly authorised representative
should do so.
- renew the informed consent of each subject if there are material
changes in the conditions or procedures of the research along the trial.
- Intimidation in any form invalidates informed consent. The
investigator must assure prospective subjects that their decision to
participate or not will not affect the patient - clinician relationship
or any other benefits to which they are entitled.
1.4 Inducement to participate
Subjects may be paid for the inconvenience and time spent, and should
be reimbursed for expenses incurred, in connection with their
participation in research. They may also receive free medical services.
However, payments should not be so large or the medical services so
extensive as to induce prospective subjects to consent to participate in
research against their better judgement (inducement). All payments,
reimbursement and medical services to be provided to research subjects
should be approved by the Ethical Committee.
- When a guardian is asked to give consent on behalf of an incompetent
person, no remuneration should be offered except a refund of out of
pocket expenses.
- When a subject is withdrawn from research for medical reasons related
to the study the subject should get the benefit for full participation.
When a subject withdraws for any other reasons, he/she should be paid in
proportion to the amount of participation.
2. Selection of Research Subjects:
2.1 Equitable distribution of burdens and benefits
Effort may be made that individuals or communities invited for
research should be selected in such a way that the burdens and benefits of
the research should be equally distributed. Special justification is
required for inviting vulnerable subjects, whose rights and welfare must
be protected.
Vulnerable subjects:- Equitable distribution of the burdens and benefits
of research participation is generally more difficult when the intended
subjects include vulnerable individuals or groups. These subjects are
children, persons with mental or behavioural disorders, who are incapable
of giving informed consent and prisoners, students, subordinates service
personnel etc. who have reduced autonomy. Adequate justification of their
involvement as research subjects is required.
The quality of the consent of certain social groups requires careful
consideration, as their agreement to volunteer may be unduly influenced by
the Investigator.
2.2 Selection of pregnant or nursing women as research subjects:-
As a general rule, pregnant and nursing (breast feeding) women should
not be subjects of any clinical trials except such trials which are
designed to protect or advance the health of pregnant or nursing women or
fetuses or nursing infants, and for which drugs can be tested only in
pregnant women.
The justification of participation of these women in clinical trials
would be that they should not be deprived arbitrarily of the opportunity
to benefit from investigations, drugs, vaccines or other agents that
promise therapeutic or preventive benefits. Example of such trials are, to
test the efficacy and safety of a drug for reducing perinatal transmission
of HIV infection from mother to child, trials for detecting fetal
abnormalities, trials of therapies for conditions associated with or
aggravated by pregnancy etc.
Women should not be encouraged to discontinue nursing for the sake of
participation in research and in case she decides to do so, harm of
cessation of breast feeding to the nursing child should be properly
assessed.
Research related to termination of pregnancy:- Pregnant women who
desire to undergo Medical Termination of Pregnancy (MTP) could be made
subjects for research relating to termination of pregnancy, as per The
Medical Termination of Pregnancy Act, 1971.
Research related to pre-natal diagnostic techniques:- In pregnant
women research on prenatal diagnostic techniques should be limited to
detect the fetal abnormalities. Such research should take the
consideration of The Prenatal Diagnostic Techniques (Regulation and
Prevention of Misuse) Act, 1994.
2.3 Research involving children
Before undertaking children as subjects for clinical trial, the
investigator must ensure that
- children will not be involved in research that might be carried out
equally well with adults,
- the purpose of the research is to obtain knowledge relevant to health
needs of children. For a new drug usually the study in children should
always be after the phase III clinical trials in adults. It can be
studied earlier only if the drug has a therapeutic value in a primary
disease of the children,
- a parent or legal guardian of each child has given proxy consent on
behalf of the child,
- the consent of the child should be obtained to the extent of the
child's capabilities such as in the case of mature minors, adolescents
etc.,
- research involving children should be conducted in settings in which
the child and parent can obtain adequate medical and psychological
support,
- interventions intended to provide direct diagnostic, therapeutic or
preventive benefit for the individual child subject must be justified in
relation to anticipated risks involved in the study. The risks of
interventions that are not intended to be of direct benefit to the child
subject must be justified in relation to anticipated benefits to
society.
3. Confidentiality of Data:
3.1 Safeguarding confidentiality
The investigator should safeguard the confidentiality of research
data, which might lead to the identification of individual subjects.
Data of individual subjects can be disclosed only in a court of law under
the orders of the presiding judge or in some cases may be required to
communicate to drug registration authority or industrial sponsor of
research or in cases of certain communicable diseases to health authority.
Therefore, the limitations in maintaining the confidentiality of data
should be anticipated and assessed.
4. Compensation of Research Subjects from Accidental Injury:
4.1 Right of subjects to compensation
Research subjects who suffer physical injury as a result of their
participation are entitled to financial or other assistance to compensate
them equitably for any temporary or permanent impairment or disability. In
case of death, their dependents are entitled to material compensation.
Obligation of the sponsor to pay:- The sponsor whether a
pharmaceutical company, a government, or an institution, should agree,
before the research begins, to provide compensation for any physical
injury for which subjects are entitled to compensation.
5. Ethical Review Committee:
All trials involving human subjects must be submitted for scientific
review and approval of ethical review committee of institute before
starting such research.
All the medical colleges and research institutions/centres involved in
clinical research should form scientific and ethical committees which may
be either combined or be two independent committees. The scientific
evaluation will assess the technical excellence of the proposed clinical
trial.
5.1 Composition of the Ethical Committee
The ethical committee should be able to provide complete and adequate
review of the research proposals submitted to them. The committee should
be headed by a chairman, who should not be head of the same institution.
Other members should be - one pharmacologist preferably clinical
pharmacologist if available, one pathologist, two clinicans, one or more
members of non-clinical departments, one person having knolwedge of law
(preferably a Judge or Lawyer) and a social scientist or philosopher. The
member secretary should be from the Institute concerned.
The number of persons in an ethical committee be kept fairly small (5-7
members). The ethical committee at any institution should not hesitate to
have as its members, individuals from other institutions or communities if
required. If the Investigator is a member of the Institutional Ethical
Committee, he/she should not be present when his/her own project is
discussed.
5.2 Basic responsibilities
The ethical committee should meet periodically (at least twice a year)
and review all research proposals and their progress reports. Ethical
approval through circulation of research proposal among members should not
be resorted to. The basic responsibilities of ethical committee are -
- to verify the safety, integrity and human rights of the subjects
participating in the trials.
- to verify that all proposed interventions, and particularly the
administration of drugs and vaccines or use of medical devices under
development, have been assessed by a competent expert body as acceptably
safe to be undertaken in human subjects; and
- to ensure that all other ethical and scientific concerns arising from
a protocol are satisfactorily resolved both in principle and in
practice.
5.3 Assessment of research proposal
The ethical committee should review every research proposal on human
subjects. It should observe that the research proposal is scientifically
sound, the possible risks to the subjects are justified by the expected
benefits, informed consent is satisfactory and procedures for selection of
subjects are equitable and properly documented.
The protocol should include -
- clear research objectives and rationale for undertaking the
investigation in human subjects in light of the existing knowledge,
- precise description of methodology of the proposed research,
including intended dosages of drugs and planned duration of treatment,
- a description of plans to withdraw or withhold standard therapies in
the course of research,
- the plans for statistical analysis of the study,
- inclusion and exlusion criteria for admission of subjects in the
study,
- procedure for seeking and obtaining informed consent,
- safety of proposed intervention and any drug or vaccine to be tested,
including results of relevant laboratory and animal research, and
- for research carrying more than minimal risk, if any, an account of
plans to provide medical therapy for such risk or injury should be
included.
- storage and maintenance of all data collected during the trial.
The role of ethical committee is not only to permit the initiation of
research but also to review research during the course of study. When
there is anticipation of likely injury or detection of adverse events
during the course of study the termination of study should be recommended.
6. Externally Sponsored Research:
The externally sponsored research entails two ethical obligations:-
- The external sponsoring agency should submit the research proposal
according to the standards applied by ethical committee of sponsoring
agency/country with due approval.
- The ethical committee of host Institution/country should satisfy
themselves that the proposed research meets their own ethical
requirement before sanctioning approval. The decision of the host
Institution where the study will be conducted is ultimate.
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