This paper explores the evolution of clinical trial regulations, tracing their
origins and key milestones from early practices to the establishment of
comprehensive legal frameworks. It begins with an examination of historical
practices and significant milestones in clinical research, providing context for
the development of regulatory oversight. The paper then highlights pivotal
incidents that catalyzed changes in regulatory approaches, such as the Tuskegee
Syphilis Study and the thalidomide disaster, which underscored the urgent need
for stringent guidelines to protect human subjects and ensure research
integrity.
A detailed overview of the current legal framework governing clinical
trials is presented, illustrating how regulations have adapted to meet evolving
scientific and ethical standards. The discussion extends to the evolution of
ethical standards within the Indian context, reflecting the country's efforts to
align with international best practices while addressing local challenges. The
paper concludes by synthesizing these developments, emphasizing the ongoing need
for robust regulation in balancing innovation with ethical considerations in
clinical research.
Introduction
"Science is the highest personification of the nation because only that nation
will remain the first, which carries furthest the works of thought and
intelligence."-
Louis Pasteur
Clinical Trials also known as Human subject research is essential for advancing
medical and scientific knowledge, but it raises significant legal and ethical
concerns, particularly within the Indian context. The landscape of clinical
research has undergone profound transformations over the past century, driven
largely by the need to safeguard participants and ensure the integrity of
scientific findings. The rise of clinical trial regulations marks a pivotal
shift in this journey, born from a series of historical events, ethical
concerns, and scientific advancements that demanded greater oversight and
standardization.
This regulatory evolution has been catalyzed by high-profile
scandals, emerging medical technologies, and increasing public awareness of
research ethics. Key drivers such as the Tuskegee Syphilis Study, the
thalidomide tragedy, and growing demands for transparency have collectively
highlighted the critical need for robust regulatory frameworks. These
regulations aim to protect human subjects, ensure data reliability, and foster
ethical conduct in clinical research. Understanding the catalysts behind the
rise of these regulations provides valuable insight into how the field has
evolved to balance innovation with safety and ethics.
Early Practices and Milestones
Human subject research in India has a rich history, with early practices often
reflecting a mix of traditional and modern approaches. In the colonial period,
medical research was largely conducted under British oversight, with limited
ethical guidelines. Early milestones in Indian research include the
establishment of institutions like the All-India Institute of Medical Sciences (AIIMS)
in 1956, which became a pivotal centre for medical research and training. During
the 1970s and 1980s, as India's research infrastructure developed, there was a
growing recognition of the need for ethical oversight, although formal
regulations were still in their infancy.
Key Incidents Influencing Regulatory Changes
Several key incidents have profoundly impacted the regulatory landscape for
human subject research in India. One notable example is the controversy
surrounding the clinical trials conducted by pharmaceutical companies in the
1990s and early 2000s, which revealed significant ethical lapses and
exploitation of vulnerable populations. The case of unethical trials involving
experimental drugs and inadequate informed consent practices led to widespread
criticism and public outcry. These incidents highlighted the need for stringent
regulations and led to the development of the ICMR's ethical guidelines[1] in
the early 2000s, which aimed to address and rectify the deficiencies in research
practices.
When clinical trials began in India is not clear. A search of PubMed database
reveals that earliest research publications were epidemiological reports. A
report on cholera in 1821 was probably the first[2]. There were several
publications on tuberculosis, leprosy, malaria, plague, snakebite, typhoid,
etc., throughout the 18th century and thereafter[3]. The earliest clinical trial
done in India seems to be a study reporting the use of plasma infusion to
correct dehydration caused by cholera in 1945[4].
The earliest controlled trial
was in 1946 testing a new treatment for malaria[5]. From 1947 to 1990s, many
controlled and uncontrolled trials have been undertaken[6]. From the early
1960s, trials on hypertension, cardiovascular disease, and mental diseases,
etc., began to appear, reflecting the changing disease pattern due to
epidemiological transition in India[7]. The early clinical trials were mostly
agency-sponsored trials or investigator-initiated trials having little mention
of patient protection. Although the Helsinki declaration was accepted in June
1964[8], many trials done thereafter do not reflect the spirit of the new
ethical requirements.
For example, in 1968, investigators from All India
Institute of Medical Sciences (AIIMS) had subjected prisoners from a Delhi jail
to repeated phlebotomy for quantifying iron stores in Indian volunteers[9]. In
the early 1980s, one of the researchers (MKM) had coordinated a controlled trial
(while doing his MD medicine) which compared oral amoxicillin versus oral co-trimoxazole
in lower respiratory infections[10].
This trial, undertaken on behalf of the
pharmaceutical industry, did not have a proper informed consenting process or an
ethics committee supervising it. Furthermore, there was no blinding, and no site
monitoring was performed. Later, the same author reviewed numerous poorly
designed and underpowered studies being carried out in teaching hospitals across
India for duodenal ulcer and/or Helicobacter pylori gastritis and raised a red
flag for protecting the research participants[11].
As a matter of fact, there
was little emphasis that Indian research projects should comply with the core
principles of Helsinki declaration: That a physician shall act in the patient's
best interest when providing medical care and must shoulder the responsibility
to protect the life, health, dignity, integrity, right to self-determination,
privacy, and confidentiality of personal information of research
participants[12]. The responsibility is never passed on to the research
participants, even though they have given consent[13].
India's First Clinical Trials (1960s-1970s)
Early clinical trials in India, especially those involving new drug testing and
experimental treatments, were marked by insufficient ethical oversight. During
this period, trials were often conducted with minimal consideration for informed
consent or participant safety, as regulatory frameworks were underdeveloped. The
lack of robust ethical guidelines led to practices where participants,
especially in rural and underserved areas, were often not fully informed about
the risks associated with trials.
Sodium Pentothal Trials (1970s)[14]
Trials involving sodium pentothal, a drug used for various purposes, faced
criticism for unethical practices. Issues included inadequate participant
information and consent processes, as well as concerns about the proper
reporting of adverse effects. These early controversies highlighted the need for
improved regulations and ethical guidelines, prompting calls for better
oversight in clinical research. On May 5, 2010 the Supreme Court Judge
Balasubramaniam in the case "Smt. Selvi vs. State of Karnataka[15]" held that
narcoanalysis, polygraph and brain mapping tests were to be allowed with the
consent of the accused. The judge stated: "We are of the considered opinion that
no individual can be forced and subjected to such techniques involuntarily, and
by doing so it amounts to unwarranted intrusion of personal liberty."[16]
Testing of Anti-TB Drugs (1980s)[17]
Clinical trials for anti-tuberculosis (TB) drugs conducted in the 1980s faced
scrutiny due to concerns about the adequacy of informed consent and the
treatment of participants. Trials were often conducted in economically
disadvantaged communities with little regard for ethical standards. This period
saw increased advocacy for better regulations and ethical standards, driven by
the negative outcomes and ethical breaches reported from these trials.
HIV/AIDS Drug Trials (1990s)[18]
Early trials for HIV/AIDS treatments in the 1990s were controversial due to
issues of informed consent and the ethical treatment of participants. Reports
emerged about inadequate explanations of the risks and benefits associated with
participation in these trials. The controversies surrounding these trials led to
significant reforms in the ethical and regulatory frameworks governing clinical
research in India.
These early controversies played a crucial role in shaping the development of
regulatory and ethical standards for clinical trials in India, highlighting the
need for comprehensive guidelines and oversight to protect research
participants.
Another notable event was the introduction of the National Ethical Guidelines
for Biomedical and Health Research involving Human Participants (2017) by the
ICMR[19]. This development represented a crucial advancement in standardizing
ethical practices nationwide, addressing both domestic and international calls
for enhanced ethical standards and greater protection for research participants.
Evolution of Ethical Standards
The evolution of ethical standards in human subject research in India reflects a
growing awareness of the need to balance scientific advancement with respect for
human rights. Initially, ethical standards were largely influenced by
international frameworks such as the Declaration of Helsinki[20] and the Belmont
Report[21]. Over time, India developed its own set of guidelines to address
specific local issues, leading to the establishment of the ICMR Guidelines for
Biomedical Research in 2000 and subsequent updates[22]. The Indian Council of
Medical research brought out the 'Policy Statement on Ethical Considerations
involved in Research on Human Subjects,' in 1980, and revised these guidelines
in 2000, as the 'Ethical guidelines for Biomedical Research on Human
Subjects'[23].
The introduction of the Clinical Trials Registry - India (CTRI)[24] in 2007 and
the National Guidelines for Stem Cell Research (2017)[25] were key milestones in
advancing transparency and accountability in research practices. These
guidelines focus on informed consent, risk-benefit analysis, and safeguarding
vulnerable populations, demonstrating a continued dedication to maintaining high
ethical standards.
The development of ethical standards has also involved enhancing regulatory
oversight through the creation of Institutional Review Boards (IRBs) and ethics
committees within research institutions. These entities are essential for
reviewing and approving research protocols, ensuring compliance with ethical
guidelines and regulations.
The main role of human participants in research is to serve as sources of data.
Researchers have a duty to 'protect the life, health, dignity, integrity, right
to self-determination, privacy and confidentiality of personal information of
research subjects'[26]. The Belmont Report also provides an analytical framework
for evaluating research using three ethical principles[27]:
- Respect for persons – the requirement to acknowledge autonomy and protect those with diminished autonomy
- Beneficence – first do no harm, maximise possible benefits and minimise possible harms
- Justice – on individual and societal level.
Protocol approval: Research must comply with a protocol approved by the EC and DCGI.
Ethics committee registration: Ethics committees that approve studies must be registered.
Clinical trial registration: The clinical trial must be registered with the Clinical Trials Registry of India.
Adverse event reporting: Serious adverse events that occur during the trial must be reported.
In conclusion, the historical evolution of human subject research in India reveals a steady yet notable progression toward stronger ethical standards and regulatory frameworks. Significant incidents and the advancement of guidelines have influenced the current research landscape, highlighting the continuous necessity for vigilance and adherence to ethical principles in research practices.
Overview of the Legal Framework for Human Subject Research in India
The legal framework governing human subject research in India has evolved significantly to ensure ethical conduct and protect research participants. This framework includes a range of regulations, guidelines, and institutional mechanisms designed to address the complexities of biomedical research.
Key Regulatory Bodies and Guidelines
Indian Council of Medical Research (ICMR) Guidelines - The ICMR is the primary body responsible for setting ethical guidelines and standards for biomedical research in India. Key documents include:
- ICMR Ethical Guidelines for Biomedical Research on Human Participants (2017)
- ICMR Guidelines for Stem Cell Research (2017)
Central Drugs Standard Control Organization (CDSCO) - The CDSCO regulates the clinical trials of new drugs and medical devices in India. Key regulations include:
- Drugs and Cosmetics Act (1940) and Rules
- Clinical Trials Registry - India (CTRI)
Institutional Review Boards (IRBs) and Ethics Committees - Institutional Review Boards (IRBs) and ethics committees are established within research institutions to review and approve research proposals. Their primary functions include ensuring that studies adhere to ethical standards, evaluating risk-benefit ratios, and protecting the rights of participants. IRBs must consist of members with diverse backgrounds, including medical, legal, and ethical expertise. They are responsible for the continuous monitoring of ongoing research to ensure compliance with approved protocols.
Ethical Requirements in Human Subject Research
Informed consent:
For all biomedical research involving human subjects, investigators must secure informed consent from the prospective participant or, if the individual is unable to provide consent, from a legal guardian. Informed consent is grounded in the principle that capable individuals have the right to freely decide whether to participate in research. This process safeguards the individual's freedom to choose and upholds their autonomy.
Compensation For Participation:
Participants may receive compensation for their time and inconvenience, reimbursement for expenses related to their participation, and access to free medical services. However, payments and medical services should not be excessive to the point of persuading individuals to participate in research contrary to their own judgment. All forms of compensation, reimbursement, and medical services offered to research subjects must be approved by the Institutional Ethics Committee (IEC).
Selection of Special Groups as Research Subjects:
- Pregnant Women: As a general rule, pregnant or nursing women should not be subjects of any clinical trial except such trials as are designed to protect or advance the health of pregnant or nursing women or foetuses or nursing infants, and for which women who are not pregnant or nursing would not be suitable subjects.
- Children: The investigator is required to ensure certain factors to protect the best interests of children, including the consent of the child, proxy of parent or guardian, the trial should be benefiting and therapeutic to the child, the research should be conducted in a setting where the child and parent receive adequate medical and psychological support, and new drugs trials should only be conducted on children after the phase III of the trial.
Vulnerable Groups[33]
Effort may be made to ensure that individuals or communities invited for
research be selected in such a way that the burdens and benefits of the research
are equally distributed. Research should not lead to racial inequalities or
economic inequalities. The research subject selection should not be based on
caste, race, poverty, mental differently abled people. If the research involves
prisoners, students, subordinates, employees etc., adequate justification is
required for their involvement as subjects.
Essential Information on Confidentiality for Prospective Research Subjects[34]
The investigator must protect the confidentiality of research data that could
identify individual participants. Such data can only be disclosed in a court of
law by a judge's order or, in certain cases, to drug registration or health
authorities. Consequently, the potential limitations in maintaining data
confidentiality should be anticipated and evaluated.
Researcher's relations with the media and publication practices[35]
Researchers have a responsibility to make sure that the public is accurately
informed about results without raising false hopes or expectations. It should
also not unnecessarily scare the people. The best safeguard against inaccurate
reporting is for the researcher to talk to media on condition that the reporter
submit a full written, rather than oral version, of what will be reported, so
that it enables the researcher to make necessary corrections, if needed, prior
to publication.
Voluntary participation[36] means that all research subjects are free to choose
to participate without any pressure or coercion. All participants are able to
withdraw from, or leave, the study at any point without feeling an obligation to
continue. The participants don't need to provide a reason for leaving the study.
Voluntary participation is an ethical principle protected by international law
and many scientific codes of conduct.
Anonymity[37] means that the researcher does not know who the participants are
and he cannot link any individual participant to their data. Data
pseudonymization[38] is an alternative method where the researcher replaces
identifying information about participants with pseudonymous, or fake,
identifiers. The data can still be linked to participants but it is harder to do
so because you separate personal information from the study data.
As a researcher, all possible sources of harm to participants[39] should be
considered and anticipated. Harm can come in many different forms.
Psychological harm: Sensitive questions or tasks may trigger negative emotions
such as shame or anxiety.
Social harm: Participation can involve social risks, public embarrassment, or
stigma.
Physical harm: Pain or injury can result from the study procedures.
Legal harm: Reporting sensitive data could lead to legal risks or a breach of
privacy.
Conclusion
The journey toward establishing a comprehensive regulatory framework for
clinical trials has been marked by significant historical events and evolving
ethical standards. From the early days of clinical research, characterized by a
lack of oversight and often questionable practices, the field has matured
through critical incidents that exposed the need for stringent regulations. The
Tuskegee Syphilis Study and the thalidomide tragedy, among others, played
crucial roles in highlighting the vulnerabilities in research practices and the
imperative for protective measures.
The development of legal frameworks has been instrumental in shaping modern
clinical trials, ensuring the protection of human subjects, the integrity of
data, and the ethical conduct of research. The paper has provided an overview of
these regulatory advancements, including the establishment of guidelines and
standards that govern contemporary trials.
In examining the evolution of ethical standards within the Indian clinical trial
landscape, it is evident that while there have been significant strides toward
aligning with international norms, challenges remain in balancing innovation
with local ethical considerations. India's ongoing efforts to refine its
regulatory environment reflect a broader global trend towards enhancing research
integrity and participant safety.
In conclusion, the rise of clinical trial regulations represents a critical
advancement in the pursuit of scientific progress, driven by the need to address
past shortcomings and adapt to new challenges. As clinical research continues to
evolve, ongoing vigilance and adaptation of regulatory frameworks will be
essential in maintaining the delicate balance between advancing medical
knowledge and upholding the highest ethical standards.
End Notes:
- ICMR National Ethical Guidelines. Available at: https://ethics.ncdirindia.org/asset/pdf/ICMR_National_Ethical_Guidelines.pdf Last accessed on 18.08.2024
- Blane G. Account of the epidemic spasmodic cholera, which has lately prevailed in India. Med Chir Trans. 1821;11(Pt 1):110–56.
- Rogers L. Further experience in forecasting epidemics of smallpox, plague, and cholera in India. Proc R Soc Med. 1930; 23:793–802.
- Report on cholera studies in Calcutta; value of chemotherapy in the treatment of cholera. U S Nav Med Bull. 1945; 45:1049–53.
- Goldsmith K. A controlled field trial of SN 7618-5 (chloroquine) for the suppression of malaria. J Malar Inst India. 1946; 6:311–6.
- Gharpure PV, Dave KH. Poliovirus vaccine, live, oral (Sabin). Indian J Med Sci. 1962; 16:1–27.
- Datey KK, Hansoti RC, Pandya VN. Fibrinolysin in myocardial infarction. J Assoc Physicians India. 1963; 11:279–86.
- WMA Declaration of Helsinki – Ethical Principles for Medical Research Involving Human Subjects. Available at: https://www.wma.net/policies-post/wma-declaration-of-helsinki-ethical-principles-for-medical-research-involving-human-subjects/ Last accessed on 18.08.2024
- Sood SK, Banerji L, Ramalingaswami V. Geographic pathology of iron deficiency. Am J Clin Nutr. 1968; 21:1149–55.
- Sharma NG. An assessment of amoxycillin versus co-trimoxazole in respiratory tract infections. Indian J Chest Dis Allied Sci. 1984; 26:230–3.
- Mohandas KM. Endoscope disinfection: Are the referees watching? Indian J Gastroenterol. 1992; 11:181–2.
- The Death of Sodium Pentothal: The Rise and Fall of an Anesthetic Turned Lethal ASHER ORKABY AND SUKUMAR P. DESAI.
- AIR 2010 Supreme Court 1974, 2010 (7) SCC 263.
- No narcoanalysis test without consent, says SC. The Times Of India. May 5, 2010. Last Accessed on 18.08.2024.
- https://www.sciencedirect.com/science/article/pii/S1413867012002206#sec0045 Last accessed on 18.08.2024
- https://www.unaids.org/en/resources/presscentre/featurestories/2007/december/20071203ethicalconcernshivtrials Last accessed on 18.08.2024
- WMA Declaration of Helsinki – Ethical Principles for Medical Research Involving Human Subjects. Available at: https://www.wma.net/policies-post/wma-declaration-of-helsinki-ethical-principles-for-medical-research-involving-human-subjects/ Last accessed on 18.08.2024
- https://www.hhs.gov/ohrp/sites/default/files/the-belmont-report-508c_FINAL.pdf Last Accessed on 18.08.2024
- https://cdsco.gov.in/opencms/export/sites/CDSCO_WEB/Pdf-documents/acts_rules/2016DrugsandCosmeticsAct1940Rules1945.pdf
- https://www.kem.edu/wp-content/uploads/2019/12/ICMR_ethical-guidelines-2000.pdf
- https://www.scribbr.com/methodology/research-ethics/#
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