Download Declaration of Helsinki 1 of 35

Ethical Issues in
Clinical Trials
Masoud Solaymani-Dodaran
This presentation


Declaration of Helsinki
Protection Code for Human Subject In Medical Research
Declaration of Helsinki



1947 : Nuremberg declaration, unethical
medical research on prisoners of war by
Nazis
1967: 18th gathering of World Medical
Association in Helsinki (First Helsinki
Declaration)
1975: 29th gathering of WMA in Tokyo
resulted in Second Helsinki Declaration
Declaration of Helsinki 1 of 35

The World Medical Association (WMA) has
developed the Declaration of Helsinki as a
statement of ethical principles for medical research
involving human subjects, including research on
identifiable human material and data.

The Declaration is intended to be read as a whole
and each of its constituent paragraphs should not be
applied without consideration of all other relevant
paragraphs.
Declaration of Helsinki 2 of 35

Although the Declaration is addressed
primarily to physicians, the WMA encourages
other participants in medical research
involving human subjects to adopt these
principles.
Declaration of Helsinki 3 of 35

It is the duty of the physician to promote and
safeguard the health of patients, including
those who are involved in medical research.
The physician's knowledge and conscience
are dedicated to the fulfilment of this duty
Declaration of Helsinki 4 of 35

The Declaration of Geneva of the WMA binds
the physician with the words, “The health of
my patient will be my first consideration,” and
the International Code of Medical Ethics
declares that, “A physician shall act in the
patient's best interest when providing medical
care.”
Declaration of Helsinki 5 of 35

Medical progress is based on research that
ultimately must include studies involving
human subjects. Populations that are
underrepresented in medical research should
be provided appropriate access to
participation in research.
Declaration of Helsinki 6 of 35

In medical research involving human
subjects, the well-being of the individual
research subject must take precedence over
all other interests.
Declaration of Helsinki 7 of 35

The primary purpose of medical research
involving human subjects is to understand the
causes, development and effects of diseases
and improve preventive, diagnostic and
therapeutic interventions (methods,
procedures and treatments). Even the best
current interventions must be evaluated
continually through research for their safety,
effectiveness, efficiency, accessibility and
quality.
Declaration of Helsinki 8 of 35

In medical practice and in medical research,
most interventions involve risks and burdens.
Declaration of Helsinki 9 of 35

Medical research is subject to ethical
standards that promote respect for all human
subjects and protect their health and rights.
Some research populations are particularly
vulnerable and need special protection.
These include those who cannot give or
refuse consent for themselves and those who
may be vulnerable to coercion or undue
influence.
Declaration of Helsinki 10 of 35

Physicians should consider the ethical, legal
and regulatory norms and standards for
research involving human subjects in their
own countries as well as applicable
international norms and standards. No
national or international ethical, legal or
regulatory requirement should reduce or
eliminate any of the protections for research
subjects set forth in this Declaration.
Declaration of Helsinki 11 of 35

It is the duty of physicians who participate in
medical research to protect the life, health,
dignity, integrity, right to self-determination,
privacy, and confidentiality of personal
information of research subjects.
Declaration of Helsinki 12 of 35

Medical research involving human subjects
must conform to generally accepted scientific
principles, be based on a thorough
knowledge of the scientific literature, other
relevant sources of information, and
adequate laboratory and, as appropriate,
animal experimentation. The welfare of
animals used for research must be
respected.
Declaration of Helsinki 13 of 35

Appropriate caution must be exercised in the
conduct of medical research that may harm
the environment.
Declaration of Helsinki 14 of 35

The design and performance of each research study involving
human subjects must be clearly described in a research protocol.
The protocol should contain a statement of the ethical
considerations involved and should indicate how the principles in
this Declaration have been addressed. The protocol should
include information regarding funding, sponsors, institutional
affiliations, other potential conflicts of interest, incentives for
subjects and provisions for treating and/or compensating
subjects who are harmed as a consequence of participation in
the research study. The protocol should describe arrangements
for post-study access by study subjects to interventions identified
as beneficial in the study or access to other appropriate care or
benefits.
Declaration of Helsinki 15 of 35

The research protocol must be submitted for consideration,
comment, guidance and approval to a research ethics committee
before the study begins. This committee must be independent of
the researcher, the sponsor and any other undue influence. It
must take into consideration the laws and regulations of the
country or countries in which the research is to be performed as
well as applicable international norms and standards but these
must not be allowed to reduce or eliminate any of the protections
for research subjects set forth in this Declaration. The committee
must have the right to monitor ongoing studies. The researcher
must provide monitoring information to the committee, especially
information about any serious adverse events. No change to the
protocol may be made without consideration and approval by the
committee.
Declaration of Helsinki 16 of 35

Medical research involving human subjects must be
conducted only by individuals with the appropriate
scientific training and qualifications. Research on
patients or healthy volunteers requires the
supervision of a competent and appropriately
qualified physician or other health care professional.
The responsibility for the protection of research
subjects must always rest with the physician or other
health care professional and never the research
subjects, even though they have given consent.
Declaration of Helsinki 17 of 35

Medical research involving a disadvantaged
or vulnerable population or community is only
justified if the research is responsive to the
health needs and priorities of this population
or community and if there is a reasonable
likelihood that this population or community
stands to benefit from the results of the
research.
Declaration of Helsinki 18 of 35

Every medical research study involving
human subjects must be preceded by careful
assessment of predictable risks and burdens
to the individuals and communities involved
in the research in comparison with
foreseeable benefits to them and to other
individuals or communities affected by the
condition under investigation
Declaration of Helsinki 19 of 35

Every clinical trial must be registered in a
publicly accessible database before
recruitment of the first subject.
Declaration of Helsinki 20 of 35

Physicians may not participate in a research
study involving human subjects unless they
are confident that the risks involved have
been adequately assessed and can be
satisfactorily managed. Physicians must
immediately stop a study when the risks are
found to outweigh the potential benefits or
when there is conclusive proof of positive and
beneficial results.
Declaration of Helsinki 21 of 35

Medical research involving human subjects
may only be conducted if the importance of
the objective outweighs the inherent risks and
burdens to the research subjects.
Declaration of Helsinki 22 of 35

Participation by competent individuals as
subjects in medical research must be
voluntary. Although it may be appropriate to
consult family members or community
leaders, no competent individual may be
enrolled in a research study unless he or she
freely agrees.
Declaration of Helsinki 23 of 35

Every precaution must be taken to protect the
privacy of research subjects and the
confidentiality of their personal information
and to minimize the impact of the study on
their physical, mental and social integrity.
Declaration of Helsinki 24 of 35

In medical research involving competent human subjects, each
potential subject must be adequately informed of the aims,
methods, sources of funding, any possible conflicts of interest,
institutional affiliations of the researcher, the anticipated benefits
and potential risks of the study and the discomfort it may entail,
and any other relevant aspects of the study. The potential subject
must be informed of the right to refuse to participate in the study
or to withdraw consent to participate at any time without reprisal.
Special attention should be given to the specific information
needs of individual potential subjects as well as to the methods
used to deliver the information. After ensuring that the potential
subject has understood the information, the physician or another
appropriately qualified individual must then seek the potential
subject’s freely-given informed consent, preferably in writing. If
the consent cannot be expressed in writing, the non-written
consent must be formally documented and witnessed.
Declaration of Helsinki 25 of 35

For medical research using identifiable human
material or data, physicians must normally seek
consent for the collection, analysis, storage and/or
reuse. There may be situations where consent
would be impossible or impractical to obtain for such
research or would pose a threat to the validity of the
research. In such situations the research may be
done only after consideration and approval of a
research ethics committee.
Declaration of Helsinki 26 of 35

When seeking informed consent for
participation in a research study the physician
should be particularly cautious if the potential
subject is in a dependent relationship with the
physician or may consent under duress. In
such situations the informed consent should
be sought by an appropriately qualified
individual who is completely independent of
this relationship.
Declaration of Helsinki 27 of 35

For a potential research subject who is incompetent,
the physician must seek informed consent from the
legally authorized representative. These individuals
must not be included in a research study that has no
likelihood of benefit for them unless it is intended to
promote the health of the population represented by
the potential subject, the research cannot instead be
performed with competent persons, and the
research entails only minimal risk and minimal
burden.
Declaration of Helsinki 28 of 35

When a potential research subject who is
deemed incompetent is able to give assent to
decisions about participation in research, the
physician must seek that assent in addition to
the consent of the legally authorized
representative. The potential subject’s
dissent should be respected.
Declaration of Helsinki 29 of 35

Research involving subjects who are physically or mentally
incapable of giving consent, for example, unconscious patients,
may be done only if the physical or mental condition that
prevents giving informed consent is a necessary characteristic of
the research population. In such circumstances the physician
should seek informed consent from the legally authorized
representative. If no such representative is available and if the
research cannot be delayed, the study may proceed without
informed consent provided that the specific reasons for involving
subjects with a condition that renders them unable to give
informed consent have been stated in the research protocol and
the study has been approved by a research ethics committee.
Consent to remain in the research should be obtained as soon as
possible from the subject or a legally authorized representative.
Declaration of Helsinki 30 of 35

Authors, editors and publishers all have ethical obligations with
regard to the publication of the results of research. Authors have
a duty to make publicly available the results of their research on
human subjects and are accountable for the completeness and
accuracy of their reports. They should adhere to accepted
guidelines for ethical reporting. Negative and inconclusive as well
as positive results should be published or otherwise made
publicly available. Sources of funding, institutional affiliations and
conflicts of interest should be declared in the publication. Reports
of research not in accordance with the principles of this
Declaration should not be accepted for publication.
Declaration of Helsinki 31 of 35

The physician may combine medical
research with medical care only to the extent
that the research is justified by its potential
preventive, diagnostic or therapeutic value
and if the physician has good reason to
believe that participation in the research
study will not adversely affect the health of
the patients who serve as research subjects.
Declaration of Helsinki 32 of 35



The benefits, risks, burdens and effectiveness of a new
intervention must be tested against those of the best current
proven intervention, except in the following circumstances:
The use of placebo, or no treatment, is acceptable in studies
where no current proven intervention exists; or
Where for compelling and scientifically sound methodological
reasons the use of placebo is necessary to determine the
efficacy or safety of an intervention and the patients who receive
placebo or no treatment will not be subject to any risk of serious
or irreversible harm. Extreme care must be taken to avoid abuse
of this option.
Declaration of Helsinki 33 of 35

At the conclusion of the study, patients
entered into the study are entitled to be
informed about the outcome of the study and
to share any benefits that result from it, for
example, access to interventions identified as
beneficial in the study or to other appropriate
care or benefits.
Declaration of Helsinki 34 of 35

The physician must fully inform the patient
which aspects of the care are related to the
research. The refusal of a patient to
participate in a study or the patient’s decision
to withdraw from the study must never
interfere with the patient-physician
relationship.
Declaration of Helsinki 35 of 35

In the treatment of a patient, where proven
interventions do not exist or have been ineffective,
the physician, after seeking expert advice, with
informed consent from the patient or a legally
authorized representative, may use an unproven
intervention if in the physician's judgement it offers
hope of saving life, re-establishing health or
alleviating suffering. Where possible, this
intervention should be made the object of research,
designed to evaluate its safety and efficacy. In all
cases, new information should be recorded and,
where appropriate, made publicly available.
‫‪ ‬كدهاي حفاظت آزمودني انساني‬
‫درپژوهشهاي علوم پزشكي‬
‫‪1997 ‬‬
‫كدهاي حفاظت آزمودني ‪ 1‬از ‪26‬‬
‫‪ ‬كسب رضايت آگاهانه دركليه تحقيقاتي كه بر‬
‫روي آزمودني انساني انجام ميگيرد ضروري‬
‫است‪ .‬در مورد تحقيقات مداخلهاي كسب رضايت‬
‫آگاهانه بايد كتبي باشد‪.‬‬
‫كدهاي حفاظت آزمودني ‪ 2‬از ‪26‬‬
‫‪ ‬ارجحيت منافع جامعه يا پيشرفت علم نمي توان‬
‫توجيهي براي قراردادن آزمودني درمعرض‬
‫ضرر و زيان غيرمعقول باشد و يا محدوديتي‬
‫دراعمال اراده و اختيار او ايجاد نمايد‪.‬‬
‫كدهاي حفاظت آزمودني ‪ 3‬از ‪26‬‬
‫‪ ‬كسب رضايت آگاهانه بايستي فارغ از هرگونه‬
‫اجبار‪ ،‬تهديد‪ ،‬تطميع و اغوا انجام گيرد‬
‫درغيراينصورت‪ ،‬رضايت اخذ شده باطل و هيچ‬
‫اثر قانوني بر آن مترتب نيست و در صورت‬
‫بروز هرگونه خسارت‪ ،‬مسئوليت آن متوجه‬
‫پژوهشگر خواهد بود‪.‬‬
‫كدهاي حفاظت آزمودني ‪ 4‬از ‪26‬‬
‫‪ ‬در مواردي كه بلحاظ تشكيالتي‪ ،‬محقق موقعيتي‬
‫باالتر و موثرتر نسبت به آزمودني داشته باشد‪،‬‬
‫علت انتخاب آزمودني بايد به تائيد كميته اخالق در‬
‫پژوهش رسيده و توسط فردي ثالث‪ ،‬رضايت‬
‫آگاهانه كسب شود‪.‬‬
‫كدهاي حفاظت آزمودني ‪ 5‬از ‪26‬‬
‫‪ ‬درانجام تحقيقات علوم پزشكي اعم از درماني و‬
‫غيردرماني‪ ،‬محقق مكلف است اطالعات مربوط‬
‫به روش اجراء و هدف از انجام تحقيق‪ ،‬زبانهاي‬
‫احتمالي‪ ،‬فوايد‪ ،‬ماهيت و مدت تحقيق را به‬
‫ميزاني كه با آزمودني ارتباط دارد به وي تفهيم‬
‫نموده و به سواالت او پاسخهاي قانعكننده دهد و‬
‫مراتب مذكور را در رضايت نامه قيد نمايد‪.‬‬
‫كدهاي حفاظت آزمودني ‪ 6‬از ‪26‬‬
‫‪ ‬در تحقيقات علوم پزشكي‪ ،‬بايد قبل از انجام‬
‫تحقيق‪ ،‬تمهيدات الزم ( از قبيل امكانات پيشگيري‪،‬‬
‫تشخيصي‪ ،‬درماني ) فراهم گردد و در صورت‬
‫بروز خسارت غيرمتعارف‪ ،‬جبران شود‪.‬‬
‫كدهاي حفاظت آزمودني ‪ 7‬از ‪26‬‬
‫‪ ‬نحوه ارائه گزارش يا اعالم نتيجه تحقيقات ميبايد‬
‫متضمن رعايت حقوق مادي و معنوي عناصري‬
‫ذيربط‬
‫( آزمودني پژوهشي‪ ،‬پژوهش و سازمان مربوطه)‬
‫باشد‪.‬‬
‫كدهاي حفاظت آزمودني ‪ 8‬از ‪26‬‬
‫‪ ‬محقق بايد به آزمودني اعالم نمايد كه ميتواند در‬
‫هر زمان كه مايلي باشد از شركت در تحقيق‬
‫منصرف شود‪ .‬بديهي است در صورت انصراف‬
‫پژوهشگر مكلف است مواردي را كه ترك تحقيق‪،‬‬
‫تبعات نامطلوبي نصيب آزمودني مي نمايد به‬
‫ايشان تفهيم نموده و او را حمايت كند‪.‬‬
‫كدهاي حفاظت آزمودني ‪ 9‬از ‪26‬‬
‫‪ ‬چنانچه به نظر پژوهشگر ارائه بعضي از‬
‫اطالعات به آزمودني‪ ،‬منجر به مخدوش شدن‬
‫نتايج تحقيق گردد‪ .‬عدم ارائه اين اطالعات مي‬
‫بايستي با تائيد كميته اخالق در پژوهش باشد و‬
‫ضمنا ً برنامه ريزي كاملي جهت آگاهي به موقع‬
‫آزمودني از آن اطالعات تدارك ديده شود‪.‬‬
‫كدهاي حفاظت آزمودني ‪ 10‬از ‪26‬‬
‫‪ ‬مسئوليت تفهيم اطالعات به آزمودني به عهده‬
‫محقق است در مواردي كه فرد ديگري اين‬
‫اطالعات را به آزمودني بدهد از محقق سلب‬
‫مسئوليت نمي گردد‪.‬‬
‫كدهاي حفاظت آزمودني ‪ 11‬از ‪26‬‬
‫‪ ‬شركت دادن آزمودني در پژوهش‪ ،‬بدون ارائه‬
‫اطالعات مربوط به پژوهش‪ ،‬ممنوع است‪ .‬مگر‬
‫اينكه آزمودني‪ ،‬آگاهانه ازحق خود در كسب‬
‫اطالعات صرفنظر كرده باشد‪.‬‬
‫كدهاي حفاظت آزمودني ‪ 12‬از ‪26‬‬
‫‪ ‬در تحقيقات كارآزمايي باليني ‪(Clinical‬‬
‫)‪ trials‬كه وجود دو گروه شاهد و مورد‬
‫ضروري است‪ :‬بايستي به آزمودنيها اطالع داد كه‬
‫در تحقيقي شركت كرده اند كه ممكن است بطور‬
‫تصادفي در يكي از دو گروه فوق قرار گيرند‪.‬‬
‫كدهاي حفاظت آزمودني ‪ 13‬از ‪26‬‬
‫‪ ‬در تحقيقات درماني ميزان ضرر و زيان )‪(Risk‬‬
‫بايستي كمتر از منافع )‪ (Benefits‬تحقيق باشد‪.‬‬
‫مرجع تشخيص نفع و ضرر‪ ،‬كميته اخالق در‬
‫پژوهش مي باشد كه پس از مشورت با متخصصان‬
‫حرفه اي رشته مربوطه اعالم نظر مي نمايد‪.‬‬
‫كدهاي حفاظت آزمودني ‪ 14‬از ‪26‬‬
‫‪ ‬در تحقيقات غيردرماني ميزان ضرر قابل پذيرش‬
‫نبايستي از ميزان ضرري كه آزمودني در زندگي‬
‫روزمره با آنها مواجه است بيشتر باشد‪ .‬توضيح آنكه‬
‫درمحاسبه ضرر و زيان در زندگي روزمره ‪،‬‬
‫ضرورت دارد آن دسته از ضرر و زيانهايي كه‬
‫آزمودني به اقتضاي موقعيت و شرايط شغلي سني‪،‬‬
‫زماني و مكاني با آنها مواجه مي باشد مستثني گردد‪.‬‬
‫كدهاي حفاظت آزمودني ‪ 15‬از ‪26‬‬
‫‪ ‬عملي بودن ساده بودن راحت بودن سريع بودن‪،‬‬
‫اقتصادي بودن و مشابه آن نمي تواند توجيهي‬
‫براي مواجه نمودن آزمودني با ضرر و زيان‬
‫اضافي درتحقيق باشد‪.‬‬
‫كدهاي حفاظت آزمودني ‪ 16‬از ‪26‬‬
‫‪ ‬در تحقيقاتي كه داراي زيان احتمالي بوده و‬
‫آزمودنيهايي در آنها مورد پژوهش قرار ميگيرند‬
‫كه دچار فقر فرهنگي يا اجتماعي و يا مالي‬
‫هستند‪ .‬الزم است درك صحيح آزمودنيها از اين‬
‫زيانها‪ ،‬مورد تاييد كميته اخالق در پژوهش قرار‬
‫گيرد‪.‬‬
‫كدهاي حفاظت آزمودني ‪ 17‬از ‪26‬‬
‫‪ ‬محقق موظف است كه اطالعات مربوط به‬
‫آزمودني را بعنوان « راز تلقي و آن را افشاء‬
‫ننموده و ضمنا ً شرايط عدم افشاء آن را نيز فراهم‬
‫كند‪ ،‬مگر آنكه دراين مسير محدويتي داشته باشد‬
‫كه در اينصورت بايد قبالً آزمودني را مطلع‬
‫نمايد‪.‬‬
‫كدهاي حفاظت آزمودني ‪ 18‬از ‪26‬‬
‫‪ ‬در مواردي كه آزمودني از نوع دارو در تحقيق‬
‫بي اطالع باشد‪ ،‬محقق بايستي ترتيبي اتخاذ نمايد‬
‫كه در شرايط ضروري‪ ،‬اطالعات مربوط به دارو‬
‫را در اختيار آزمودني و يا پزشك معالج او قرار‬
‫دهد‪.‬‬
‫كدهاي حفاظت آزمودني ‪ 19‬از ‪26‬‬
‫‪ ‬هرگونه صدمه جسمي و زيان مالي كه در پي‬
‫انجام تحقيق برآزمودني تحميل شود بايستي مطابق‬
‫قوانين موجود جبران گردد‪.‬‬
‫كدهاي حفاظت آزمودني ‪ 20‬از ‪26‬‬
‫‪ ‬انجام روشهاي گوناگون تحقيق نبايد مغاير با‬
‫موازين ديني و فرهنگي آزمودني و جامعه باشد ‪.‬‬
‫كدهاي حفاظت آزمودني ‪ 21‬از ‪26‬‬
‫‪ ‬در شرايط مساوي در روند تحقيق – چه از نظر‬
‫نوع آزمودني و چه از نظر روش تحقيق –‬
‫انتخاب آزمودني از بين زندانيان و گروههاي‬
‫خاص (صغار‪ ،‬عقبماندگان ذهني‪ ،‬مبتاليان به‬
‫زوال عقل‪ ،‬بيماران روانپريش وجنين ) از طرفي‬
‫و بقيه جامعه از طرف ديگر‪ ،‬انتخاب اولويت به‬
‫عهده كميته اخالق در پژوهش است‪.‬‬
‫كدهاي حفاظت آزمودني ‪ 22‬از ‪26‬‬
‫‪ ‬شركت زندانيان درتحقيقاتي كه نتايج آن منحصر‬
‫به زندانيان مي شود با كسب رضايت آگاهانه كتبي‬
‫بالمانع است ‪.‬‬
‫كدهاي حفاظت آزمودني ‪ 23‬از ‪26‬‬
‫‪ ‬زندانيان را بعلت شرايط خاص از جمله در‬
‫دسترس بودن آنان نبايد بعنوان آزمودني ترجيحي‬
‫در تحقيقات شركت داد و از طرفي نيز نمي توان‬
‫آنها را از منافع تحقيق محروم نمود‪.‬‬
‫كدهاي حفاظت آزمودني ‪ 24‬از ‪26‬‬
‫‪‬‬
‫شركت گروههاي صغار‪ ،‬عقبماندگان ذهني‪ ،‬مبتاليان به زوال‬
‫عقل و بيماران روان پريش دركليه تحقيقات به شرط كسب‬
‫رضايت كتبي از ولي قانوني آنها و اثبات ضرورت انجام چنين‬
‫تحقيقي بالمانع است‪ .‬درصورتيكه درابتداي تحقيق‪ ،‬آزمودني‪،‬‬
‫زوال عقل و يا عالئم روان پريشي نداشته و در مدت انجام‬
‫تحقيق مبتال به عالئم روانپريشي )‪ (Psychotic signs‬و يا‬
‫زوال عقل گردد‪ ،‬رضايت قبلي باطل بوده و بايد از ولي قانوني‬
‫او رضايت كتبي كسب شود ‪ .‬آزمودنيهايي كه در ابتداي تحقيق‬
‫روانپريشي يا صغير بودهاند‪ ،‬اگر در مدت انجام تحقيق به‬
‫ترتيب واجد صالحيت يا كبير شوند‪ .‬رضايت قبلي ولي ايشان‬
‫باطل بوده و الزم است رضايت كتبي جديدي از خود ايشان‬
‫كدهاي حفاظت آزمودني ‪ 25‬از ‪26‬‬
‫‪ ‬انجام تحقيقات غيردرماني بر روي جنين مجاز‬
‫نيست‪ .‬انجام تحقيقات درماني هنگامي بر روي‬
‫جنين مجاز است كه به نفع جنين و مادرش بوده و‬
‫ضرري متوجه هيچ يك از آنان نگردد ‪ .‬بديهي‬
‫است كسب رضايت آگاهانه كتبي از مادر و ولي و‬
‫ولي قانوني جنين ضروري است ‪.‬‬
‫كدهاي حفاظت آزمودني ‪ 26‬از ‪26‬‬
‫‪ ‬انجام تحقيق بر روي جنينهاي سقط شده به شرط‬
‫ضرورت و رعايت موازين قانوني بالمانع است‬
‫‪.‬‬