For a full alphabetical list of references click Here
References by Essential Element:
Essential Element 1: Addressing Relevant Question
Essential Element 2: Choice of Control and Standard of Care
Essential Element 3: Choice of Study Design
Essential Element 4: Choice of Participant Population
Essential Element 5: Potential Benefits and Harms
Essential Element 6: Informed Consent
Essential Element 7: Community Engagement
Essential Element 8: Return of Research Results and Management of Incidental Findings
Essential Element 9: Post Trial Access
Essential Element 10: Payment for Participation
Essential Element 11: Study Related Injury
Essential Element 1: Addressing Relevant Question
- National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research. The Belmont Report: Ethical Principles and Guidelines for the Protection of Human Subjects of Research. (1979). 9 September 2013
- Emanuel, Ezekiel J; Wendler, David; Grady, Christine. “What Makes Clinical Research Ethical?” The Journal of the American Medical Association 283.20 (2000): 2701-2711. 9 September 2013.
- Chan, A-W; Tetzlaff, JM; Gtzche, PC; Altman, DG; Mann, H; Berlin, J; Dickersin, K; Hróbjartsson, A; Schulz, KF; Parulekar, WR; Krleža-Jerić, K; Laupacis, A; Moher, D. “SPIRIT 2013 Explanation and Elaboration: Guidance for Protocols of Clinical Trials.” British Medical Journal. (2013): 346;e7586. See Items 2, 3. 9 September 2013.
- SPIRIT, Item 7. 9 September 2013.
- Emanuel, et al. 9 September 2013.
- SPIRIT, Items 1, 2. 9 September 2013.
Essential Element 2: Choice of Control and Standard of Care
Choice of Control
- Amdur, RJ; and Biddle, CJ. “An Algorithm for Evaluating the Ethics of a Placebo-Controlled Trial.” International Journal of Cancer (Radiation Oncology Investigations) 96.5 (2001): 261–269. 9 September 2013.
- Council for International Organizations of Medical Sciences (CIOMS). “International Ethical Guidelines for Biomedical Research Involving Human Subjects.” (2002) See Guideline 10. 9 September 2013.
- Cavazos, N; Forster, D; and Bowen, AJ. “Ethical Concerns in Placebo-Controlled Studies: An Analytic Approach.” Drug Information Journal 36.02 (2002) 9 September 2013.
- Freedman, B; Glass, KC; and Weijer, C. “Placebo Orthodoxy in Clinical Research. II: Ethical, Legal, and Regulatory Myths.” Journal of Law, Medicine and Ethics 24.3 (1996): 252-9. 9 September 2013.
- Glass, KC; and Waring, D. “Effective Trial Design Need Not Conflict with Good Patient Care.” American Journal of Bioethics 2.2 (2002): 25-26. Web 9 September 2013.
- Howick, J. “Questioning the Methodologic Superiority of ‘Placebo’ Over ‘Active’ Controlled Trials.” American Journal of Bioethics-Neuroscience 9.9 (2009): 34-48. 9 September 2013.
- International Conference on Harmonisation of Technical Requirements for Registration of Pharmaceuticals for Human Use (ICH). “Choice of Control Group and Related Issues in Clinical Trials (E10). “ ICH. (2000) 9 September 2013.
- Lathyris, DN; Patsopoulos, NA; Salanti, G; Ioannidis, JPA. “Industry Sponsorship and Selection of Comparators in Randomized Clinical Trials.” European Journal of Clinical Investigation 40.2 (2010): 172-182. 9 September 2013.
- Leon, AC. “Placebo Protects Subjects from Nonresponse: A Paradox of Power.” Archives of General Psychiatry 57.4 (2000): 329–330. 9 September 2013.
- Miller, FG. “The Rationale for Placebo-Controlled Trials: Methodology and Policy Considerations.” American Journal of Bioethics- Neuroscience 9.9 (2009): 49-50. 9 September 2013
- Miller, FG; Brody, H. “What Makes Placebo-Controlled Trial Unethical?” American Journal of Bioethics 2.2 (2002): 3-9. 9 September 2013.
- Temple, R; Ellenberg, SS. “Placebo-Controlled Trials and Active-Control Trials in the Evaluation of New Treatments. Part 1: Ethical and Scientific Issues.” Annals of Internal Medicine 133.6 (2000): 455-463. 9 September 2013.
- World Medical Association (WMA). “Declaration of Helsinki.” WMA. 9 September 2013.
Standard of Care
- London, AJ. “The Ambiguity and the Exigency: Clarifying ‘Standard of Care’ Arguments in International Research.” Journal of Medicine and Philosophy 25.4 (2000): 379–397. 9 September 2013.
- Wendler, D; Emanuel, EJ; and Lie, RK. “The Standard of Care Debate: Can Research in Developing Countries Be Both Ethical and Responsive to Those Countries’ Health Needs?” American Journal of Public Health 94.6 (2004): 923-928. 9 September 2013.
- Gu, S. “The Ethics of Placebo-Controlled Studies on Perinatal HIV Transmission and Its Treatment in the Developing World.” Penn Bioethics Journal 2.2 (2006): 21-24. 9 September 2013.
Essential Element 3: Choice of Study Design
- Chan, A-W; Tetzlaff, JM; Gtzche, PC; Altman, DG; Mann, H; Berlin, J; Dickersin, K; Hróbjartsson, A; Schulz, KF; Parulekar, WR; Krleža-Jerić, K; Laupacis, A; Moher, D. “SPIRIT 2013 Explanation and Elaboration: Guidance for Protocols of Clinical Trials.” British Medical Journal (2013): 346;e7586. 9 September 2013.
- Halpern, SD; Karlawish, JHT; Casarett, D; Berlin, JA; Townsend, RR; Asch, DA. “Hypertensive Patients’ Willingness to Participate in Placebo-Controlled Trials: Implications for Recruitment Efficiency.” American Heart Journal 46.6 (2003): 985-992. 28 September 2013.
- Van der Graaf, R; Roes, KCB; van Delden, JJM. “Adaptive Trials in Clinical Research.” Journal of the American Medical Association 307.22 (2012): 2379-2380. 9 September 2013.
Essential Element 4: Choice of Participant Population
- Department of Health and Human Services Subpart A: 45 CFR 46.111(a)(3) Criteria for IRB Approval of Research 9 September 2013.
- Davis, Amy L. “The Study Population: Women, Minorities and Children” in Institutional Review Board: Management and Function, 2d Ed. Edited by Robert Amdur and Elizabeth Bankert. Jones and Bartlett Publishers. Sudbury, MA. (2006). 5 November 2014
- National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research. The Belmont Report: Ethical Principles and Guidelines for the Protection of Human Subjects of Research. (1979). 9 September 2013.
- National Institutes of Health Office of Extramural Research. “Guidelines for the Review of Inclusion on the Basis of Sex/Gender, Race, Ethnicity, and Age in Clinical Research.” (2013). 30 September 2013.
- Dresser, Rebecca. “First-in-Human Trial Participants: Not a Vulnerable Population, but Vulnerable Nonetheless.” Journal of Law, Medicine and Ethics. 37.1 (2009): 38-50. September 30, 2013.
- Emanuel, Ezekiel J; Wendler, David; Grady, Christine. “An Ethical Framework for Biomedical Research” in The Oxford Textbook of Clinical Research Ethics. Edited by Ezekiel J. Emanuel and Christine Grady. Oxford University Press. New York. (2008). 5 November 2014
- Emanuel, Ezekiel J; Wendler, David; Grady, Christine. “What Makes Clinical Research Ethical?” Journal of the American Medical Association 283.20 (2000): 2701-2711. 9 September 2013.
- Emanuel, Ezekiel J; Wendler, David; Grady, Christine. “What Makes Clinical Research in Developing Countries Ethical? The Benchmarks of Ethical Research.” The Journal of Infectious Diseases 189.5 (2004): 930–937. 9 September 2013.
- Food and Drug Administration Policy for the Protection of Human Subjects: 21 CFR 50, 56. 56 FR 28025 Informed Consent; Standards for Institutional Review Boards for Clinical Investigations. 9 September 2013.
- International Conference on Harmonisation of Technical Requirements for Registration of Pharmaceuticals for Human Use (ICH). “Guidance for Industry E6 Good Clinical Practice: Consolidated Guidance.” Department of Health and Human Services. (1996) 9 September 2013
- Council for International Organizations of Medical Sciences (CIOMS). “International Ethical Guidelines for Biomedical Research Involving Human Subjects.” CIOMS. (2002) 9 September 2013.
- Karlberg, Johan; Speers, Marjorie, eds. “Reviewing Clinical Trials: A Guide for the Ethics Committee.” Clinical Trials Centre, The University of Hong Kong and Association for the Accreditation of Human Research Protection Programs, Inc. Washington, DC. (2010): 74-75 9 September 2013.
- Meltzer, LA; Childress, JF. “What is Fair Participant Selection?” in The Oxford Textbook of Clinical Research Ethics. Edited by Ezekiel J. Emanuel and Christine Grady. Oxford University Press. New York. (2008). 5 November 2014
- Thomas, S; Quinn, S. “Poverty and the Elimination of Urban Health Disparities: Challenge and Opportunity.” Annals of the New York Academy of Sciences 1136 (2008): 111-125. 9 September 2013.
- Mastroianni, Anna C; Faden, Ruth; Federman, Daniel, eds."Women's Participation in Clinical Studies" in Women and Health Research: Ethical and Legal Issues of Including women in Clinical Studies, Volume 1. The National Academies Press. Washington, DC. (1994). 9 September 2013.
Essential Element 5: Potential Benefits and Harms
Considerations for the well-being of the subject should take precedence over the interests of science and society
- Council for International Organizations of Medical Sciences (CIOMS). “International Ethical Guidelines for Biomedical Research Involving Human Subjects.” CIOMS. (2002) 9 September 2013.
- World Medical Association (WMA). “Declaration of Helsinki.” WMA. 9 September 2013. See paragraph 5
Research protocols should describe ethical considerations
- Council for International Organizations of Medical Sciences (CIOMS). “International Ethical Guidelines for Biomedical Research Involving Human Subjects.” CIOMS. (2002) 9 September 2013.
- World Medical Association (WMA). “Declaration of Helsinki.” WMA. 9 September 2013.
Special risk limitations for subjects unable to give informed consent
Risks and benefits
Vulnerable groups
Procedure
Essential Element 6: Informed Consent
- Council for International Organizations of Medical Sciences (CIOMS). “International Ethical Guidelines for Biomedical Research Involving Human Subjects.” CIOMS. (2002) 9 September 2013. See Guidelines 4-6
- International Conference on Harmonisation of Technical Requirements for Registration of Pharmaceuticals for Human Use (ICH). “Guidance for Industry E6 Good Clinical Practice: Consolidated Guidance.” Department of Health and Human Services. (1996) 9 September 2013 See §4.8
- World Medical Association (WMA). “Declaration of Helsinki.” WMA. 9 September 2013. See Sections 24-49; 33-35
- Department of Health and Human Services Subpart A: 45 CFR 46 9 September 2013.
- Food and Drug Administration Policy for the Protection of Human Subjects: 21 CFR 50 9 September 2013.
Additional Resources
- Strauss, RP; Sengupta, S; Quinn, SC; Goeppinger, J; Spaulding, C; Kegeles, S M; Millett, G. "The Role of Community Advisory Boards: Involving Communities in the Informed Consent Process." American Journal of Public Health 91.12 (2001): 1938–1943. 9 September 2013.
- Ntshanga, SP; Ngcobo, PS; Mabaso, MLH. "Establishment of a Community Advisory Board (CAB) for Tuberculosis Control and Research in the Inanda, Ntuzuma and KwaMashu (INK) Area of KwaZulu-Natal, South Africa." Health Policy 95.2-3 (2010): 211–215. 9 September 2013.
- Shubis, K; Juma, O; Sharifu, R; Burgess, B; Abdulla, S. "Challenges of Establishing a Community Advisory Board (CAB) in a Low-Income, Low-Resource Setting: Experiences from Bagamoyo, Tanzania." Health Research Policy and Systems 7.16 (2009) 9 September 2013.
Essential Element 7: Community Engagement
- Weijer, C; Goldsand, G; Emanuel, EJ. “Protecting Communities in Research: Current Guidelines and Limits of Extrapolation” in Ethical and Regulatory Aspects of Clinical Research: Readings and Commentary. Edited by Ezekiel Emanuel, Robert Crouch, et.al. The Johns Hopkins University Press. Baltimore. (2003): 340-341. 5 November 2014
- Weijer, C; Goldsand, G; Emanuel, EJ. “Protecting Communities in Research: Current Guidelines and Limits of Extrapolation.” Nature Genetics 23 (1999) 275-280. 9 September 2013
- Weijer, C; Emanuel, EJ. “Protecting Communities in Biomedical Research” in Ethical and Regulatory Aspects of Clinical Research: Readings and Commentary. Edited by Ezekiel Emanuel, Robert Crouch, et.al. The Johns Hopkins University Press. Baltimore. (2003): 342. 5 November 2014
- Council for International Organizations of Medical Sciences (CIOMS). “International Ethical Guidelines for Biomedical Research Involving Human Subjects.” (2002) 9 September 2013. See Guidelines 4, 6.
- Tindana, PO; Singh, JA; Tracy, CS; Upshur, REG; Daar, AS, et al. “Grand Challenges in Global Health: Community Engagement in Research in Developing Countries.” PLoS Medicine 4.9 (2007): e273. 9 September 2013.
- Clinical and Translational Science Awards Consortium Community Engagement Key Function Committee Task Force on the Principles of Community Engagement. “Principles of Community Engagement Second Edition.” National Institutes of Health. (2011) 9 September 2013.
- Effective Interventions Unit of Scotland. “Effective Engagement: A Guide to Principles and Practice.” 9 September 2013.
- Emanuel, EJ; Wendler, D, et al. “What Makes Clinical Research in Developing Countries Ethical? The Benchmarks of Ethical Research.” Journal of Infectious Diseases 189.5 (2004): 930-937. 9 September 2013.
Essential Element 8: Return of Research Results and Management of Incidental Findings
- Zawati , MH; Knoppers, BM. “International Normative Perspectives on the Return of Individual Research Results and Incidental Findings in Genomic Biobanks.” Genetics in Medicine 14.4 (2012): 484-488. 9 September 2013.
- Wolf, SM; Crock, BN; Van Ness, B, et al. “Managing Incidental Findings and Research Results in Genomic Research Involving Biobanks and Archived Data-Sets.” Genetics in Medicine 14.4 (2011): 361-384. 9 September 2013.
- Beskow, LM; Burke, W. “Offering Individual Genetic Research Results: Context Matters.” Science Translational Medicine 2.38 (2010): 38. 9 September 2013.
- Wolf, SM; Lawrenz, FP; Nelson, CA, et al. “Managing Incidental Findings in Human Subjects Research: Analysis and Recommendations.” Journal of Law, Medicine, and Ethics 36.2 (2008): 219-248. 9 September 2013.
- Kaufman, D; Murphy, J; Scott, J; Hudson, K. “Subjects Matter: A Survey of Public Opinions About a Large Genetic Cohort Study.” Genetics in Medicine 10.11 (2008): 831–839. 9 September 2013.
- Symposium on Incidental Findings (assorted accompanying articles). Journal of Law, Medicine, and Ethics 36.2 (2008) 5 November 2014
- Illes, J, et al. “Incidental Findings in Brain Imaging Research.” Science 311.5762 (2006): 783-784. 9 September 2013.
- Fabsitz, RR; McGuire, A; Sharp, RR, et al. “Ethical and Practical Guidelines for Reporting Genetic Research Results to Study Participants: Updated Guidelines from an NHLBI Working Group.” Circulation: Cardiovascular Genetics 3.6 (2010): 574-580. 9 September 2013.
- National Institute of Biomedical Imaging and Bioengineering. “Points to Consider for Investigators: Incidental Findings in Imaging Research.” National Institutes of Health. 9 September 2013
- Council for International Organizations of Medical Science (CIOMS) and World Health Organization. “International Ethical Guidelines for Epidemiological Studies.” CIOMS. (2009) See Guideline 24: Use of Stored Biological Samples and Related Data 9 September 2013.
Essential Element 9: Post Trial Access
- World Medical Association (WMA). “Declaration of Helsinki.” WMA. See Section 33. 9 September 2013.
- Council for International Organizations of Medical Sciences (CIOMS). “International Ethical Guidelines for Biomedical Research Involving Human Subjects.” (2002) See Guideline 21 9 September 2013.
Additional Resources
- Sofaer, Neema. “Reasons Why Post-Trial Access to Trial Drugs Should, or Need Not be Ensured to Research Participants: A Systematic Review.” Oxford Journals Public Health Ethics 4.2 (2011): 160-184. 9 September 2013.
- Global Campaign for Microbiocides. “Chapter 10: After the Trial: Continued Access and Post-Approval Studies” in Rethinking the Ethical Roadmap for Clinical Testing of Microbiocides: Report on an International Consultation. (2005) 9 September 2013.
- Nuffield Council, on Bioethics, “Research in Developing Countries; the Ethics of Research Related to Healthcare in Developing Countries,” Chapter 4, “What Happens When Research is Over?” April 2002. 9 September 2013.
- Macklin, Ruth. “Double Standards in Medical Research in Developing Countries,” Cambridge University Press. Cambridge. (2004). 5 November 2014
Essential Element 10: Payment for Participation
- Department of Health and Human Services. 45 CFR 46. 9 September 2013.
- Council for International Organizations of Medical Sciences (CIOMS). “International Ethical Guidelines for Biomedical Research Involving Human Subjects.” (2002) See Guideline 7. 9 September 2013.
- Emanuel, Ezekiel J. “Ending Concerns About Undue Inducement.” The Journal of Law, Medicine, and Ethics. 32.1 (2004): 100-1005. 10 October 2013.
- Elliot, Carl and Abadie, Roberto. “Exploiting a Research Underclass in Phase 1 Clinical Trials.” The New England Journal of Medicine. 358.22 (2008): 2316-2317. 10 October 2013.
- Grady, Christine. “Payment of Clinical Research Subjects.” The Journal of Clinical Investigation. 115.7 (2005): 1681-1687.10 October 2013.
- Association of the British Pharmaceutical Industry (ABPI). “Clinical Trial Compensation Guidelines.” ABPI. (1994). 9 September 2013.
- European Commission staff Working Document. “Impact Assessment Report on the Revision of the Clinical Trials Directive.” European Commission. (2012). 10 October 2013.
- World Medical Association (WMA). “Declaration of Helsinki.” WMA. 9 September 2013.
- Pharmaceuticals for Human Use (ICH). “Guidance for Industry E6 Good Clinical Practice: Consolidated Guidance.” Department of Health and Human Services. (1996) 9 September 2013
Essential Element 11: Study Related Injury
- Department of Health and Human Services Subpart A: 45 CFR 46.111(a)(3) Criteria for IRB Approval of Research. 9 September 2013.
- Food and Drug Administration Policy for the Protection of Human Subjects: 21 CFR 50.25(a)(6) Elemetns of Informed Consent 9 September 2013.
- Association of the British Pharmaceutical Industry (ABPI). “Clinical Trial Compensation Guidelines.” ABPI. (1994). 9 September 2013
- Council for International Organizations of Medical Sciences (CIOMS). “International Ethical Guidelines for Biomedical Research Involving Human Subjects.” (2002) See Guideline 19 9 September 2013.
- European Commission Health and Consumers Directorate-General. “The Rules Governing Medicinal Products in the European Union Volume 10: Guidance Documents Applying to Clinical Trials: Questions and Answers.” European Commission. (2010) Version 5.0 See Articles 3(2)(f) and 6(3)(h) 9 September 2013.
- Conference on Harmonisation of Technical Requirements for Registration of Pharmaceuticals for Human Use (ICH). “Guidance for Industry E6 Good Clinical Practice: Consolidated Guidance.” Department of Health and Human Services. (1996) See Sections 4.3.2 and 5.8.2 9 September 2013
- Indian Council of Medical Research. “Ethical Guidelines for Biomedical Research on Human Participants.” (2006) See Chapter 3, Section 1(3)(ix)-(xi) and Section VI. 9 September 2013.
- Indian Central Drugs Standard Control Organization. “Good Clinical Practices for Clinical Research in India.” Central Drugs Standard Control Organization. See Section 2.4.3.2(vii)-(ix) and Section 2.4.7. 9 September 2013.
- Institute of Medicine (IoM), Responsible Research: A Systems Approach to Protecting Research Participants. National Academies Press. Washington, DC. (2002) 9 September 2013.
- The Lewin Group, Final Report: Care/Compensation for Injuries in Clinical Research (2005)(Contract Number HHS 100-03-0005, Prepared for the Department of Health and Human Services, Office of the Assistant Secretary for Planning and Evaluation). 9 September 2013.
- National Bioethics Advisory Commission (NBAC), “Ethical and Policy Issues in Research Involving Human Participants.” NBAC. Bethesda, MD. (2001) See p. 123-26 9 September 2013.
- Presidential Commission for the Study of Bioethical Issues, Moral Science: Protecting Participants in Human Subjects Research (2011) See p. 56-70 9 September 2013
- Presidential Commission for the Study of Bioethical Issues, “Appendix III: US Treatment/Compensation for Treatment Methods” in Moral Science: Protecting Participants in Human Subjects Research (2011): 184-185 9 September 2013
- Presidential Commission for the Study of Bioethical Issues, “Appendix IV: International and Transnational Requirements for Treatment and Compensation for Research Injuries” in Moral Science: Protecting Participants in Human Subjects Research (2011): 186-190 9 September 2013
- President’s Commission for the Study of Ethical Problems in Medicine and Biomedical and Behavioral Research, Compensating for Research Injuries. (1982) 9 September 2013
- South African Department of Health, Guidelines for Good Practice in the Conduct of Clinical Trials in Human Participants in South Africa. (2000) See Section 4.11 9 September 2013.
- World Medical Association (WMA). “Declaration of Helsinki.” WMA. 9 September 2013
- Beh, Hazel. “Compensation for Research Injuries.” IRB: Ethics & Human Research 27.3 (2005): 11-15 9 September 2013.
- Capron, Alexander M. “When Experiments Go Wrong: The US Perspective.” Journal of Clinical Ethics 15.1 (2004): 22-29. 9 September 2013.
- Guest, Stephen. “Compensation for Subjects of Medical Research: The Moral Rights of Patients and the Power of Research Ethics Committees.”Journal of Medical Ethics 23.3 (1997): 181-185.9 September 2013.
- Mariner, Wendy K., Compensation for Research Injuries, "Women and Health Research: Ethical and Legal Issues of Including Women in Clinical Studies.” Vol. 2 113 (Anna C. Mastroianni et al. eds., 1994). November 2014
- Paasche-Orlow, Michael K, Brancati, Frederick L. “Assessment of Medical School Institutional Review Board Policies Regarding Compensation of Subjects for Research-Related Injury.” 118.2 American Journal of Medicine (2005): 178-180. 9 September 2013.
- Pike, Elizabeth. “Recovering from Research: A No-Fault Proposal to Compensate Injured Research Participants.” American Journal of Law and Medicine 38.1 (2012): 7-62.9 September 2013.
- Resnik, David B. “Compensation for Research-Related Injuries, Ethical and Legal Issues.” Journal of Legal Medicine 27.3 (2006): 263-287. 9 September 2013.
- Scott, Larry D. “Research-Related Injury: Problems and Solutions.” Journal of Law, Medicine, and Ethics 31.3 (2003): 419-428. 9 September 2013.
- Steinbrook, Robert. “Compensation for Injured Research Subjects.” New England Journal of Medicine 354.18 (2006): 1871-1873. 5 November 2014