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Clinical Ethics Consultation Service

Research Ethics Consultation Service

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Research Ethics Consultation Service

This service to the UTMB research community is supported by a President's Cabinet Award. The consultation service is intended to compliment the work of the Institutional Review Board, which is the authoritative body for reviewing any research involving human subjects at UTMB. The Institutional Review Board is usually called, "the IRB".

All UTMB research that involves human subjects must be approved by the IRB. In deciding if they can approve a research project (the protocol), the IRB follows the rules the U.S. Government has set up to protect people who take part in research. These rules are found in: The Code of Federal Regulations: Title 45, Part 46. For Food and Drug Administration (FDA) regulations, see: The Code of Federal Regulations: Title 21, Part 50.

Learn more about research at UTMB at the following websites:
  • UTMB Research Services
  • UTMB Office of Research Education
  • UTMB General Clinical Research Center (GCRC)


  • What is a 'clinical research ethics consultation'?

    A 'consultation' happens whenever one person asks someone else (the 'consultant') for help or advice. In this case, for help or advice about a question or situation that has to do with clinical research involving human subjects. If you have a doubt, concern, question or any issue at all that you think someone trained in clinical research ethics might be able to help you with, then this service is here for you.

    Why is there a Research Ethics Consultation Service at UTMB?

    There has been much growth in the amount of clinical research being done in recent years. Along with this growth has come increased public awareness of research being done, and the potential for serious harm to people that volunteer to be subjects in research. This has led to questions as to how much the public trusts researchers to protect human subjects.

    Compliance and regulation have an essential role in protecting human subjects in research. But compliance needs to be seen within the larger context of an institution's culture in order to more fully affirm that the research community is worthy of the public's trust. When a university's culture routinely pursues excellence, integrity, service to the community and moral accountability in its projects, then rules and regulations that command compliance fit comfortably within this larger ethical framework. Here science and ethics are not in conflict, but inform one another and work together to nurture strong relationships in a community of care, mutual trust, and professional accountability.

    UTMB, in pursuing its mission, vision and values, is committed to nurturing these relationships and values within its research community through innovative education and service.

    An important tool to help further this work is the UTMB Research Ethics Consultation Service:

    • Our mission is to promote integrity and strive for clarity in the midst of what can be complex and confusing ethical situations that arise in the conduct of clinical research. Our mission is also to be a strong voice of compassionate care for all people involved in the pursuit of clinical research at UTMB.

    • Our vision is to be a model of service and education for the research community in identifying and responding to ethical issues. Beyond compliance, we seek to deepen UTMB's commitment to the principles of Respect for Persons, Beneficence and Justice.

    • Our values include the pursuit of truth, excellence, respect, empathy, mutuality, responsibility, integrity and honesty within all relationships between members of the research community.


    What kinds of things could the UTMB Research Ethics Consultation Service help me with?

    • Advise if the issue is something that should be addressed by the IRB
    • Help learn about appropriate ethical standards, responsibilities and values
    • Identify additional resources available to address the issue
    • Clarify values involved in a situation, especially if they are in conflict
    • Assist with the practical interpretations of ethical regulations
    • Determine whether an ethical problem or dilemma exists
    • Help reason through ethical conflicts as they arise during research
    • Provide appropriate ethical recommendations
    • Help promote responsible conduct and ethical sensitivity in research
    • Advice and problem solving


    What are some specific examples of situations where the consultation service might be an appropriate place to turn to for help?

    Here are just a few possible examples:
    • I am a Principal Investigator at UTMB. The NIH told me that to be approved my recent grant application needs to include plans for ongoing training in the "responsible conduct of research" for myself and my team. What exactly do they mean? What resources are available to me at UTMB to comply with this request?
    • The IRB has asked that I re-write my consent form so that it is more "readable" to someone at the 7th grade level. How can I do this? Where can I go for help with this?
    • I have a protocol in progress, and another one I hope to begin in two months. How will recent HIPAA regulations impact these protocols? What, if anything, will I need to do differently?
    • I don't have enough time to consent all of my subjects in person - can I obtain their consent over the phone?
    • Can I enroll my graduate student as a subject in my research?
    • During screening for my protocol's inclusion/exclusion criteria one of my potential subjects tested positive for HIV. What do I need to do with this information? What are my responsibilities?
    • Recently I learned that there are new regulations requiring a data and safety monitoring plan. What is this? Where do I get information on how to meet this requirement?


    Who can ask for a research ethics consultation?

    ANYONE involved with research and/or its regulation at UTMB may request consultation, including:
    • Research study participants (subjects/patients/volunteers)
    • Participants' family members
    • Clinical Investigators (the PI, or anyone on the research team)
    • UTMB students, faculty or employees
    • Research Coordinators
    • Institutional Review Board members
    • Basic scientists interested in translational research
    • Members of the public


    How would someone request a consultation?

    Call the director at (409) 772-1208. If you are on campus, just dial: 21208.

    Where is the UTMB Research Ethics Consultation Service located?

    In the UTMB Hospital - John Sealy Towers, 5th Floor - Room 5.106

    When can a consultation be requested?

    You can call the director at any time and leave a message with your full name and how you can be reached. Your message will be responded to between 8:00 a.m. and 5:00 p.m. the following day if possible.

    If you have an urgent or emergency situation you need to contact UTMB Research Services at (409) 772-3481. If you are on campus, just dial: 23481.

    Who are the UTMB Research Ethics Consultants?



    DEFINITIONS:


    What is 'research'?

    "Research means a systematic investigation, including research development, testing and evaluation designed to develop or contribute to generalizable knowledge." This is the definition found in Title 45, Part 46:102 - Code of Federal Regulations. The Code of Federal Regulations are the guidelines the government uses to make sure that research is done in the proper way - to make sure that there is a good reason for doing the research, and to make sure that no one is harmed because of it.

    What is a 'systematic investigation'?

    If you're curious about how something works, or why something is the way it is, one way to learn more about it is to investigate it - look at it more closely in a thorough way. If you look at something more closely by using the method that science uses, then your investigation is systematic because it will have a reason behind it, and a method of learning more about whatever it is you are studying.

    What is 'generalizable knowledge'?

    This means that whatever you learn about the particular thing you're studying applies to a broader picture as well. You could say, for example, "If it is true for these people that I have been studying, then it is probably true for a larger population as well." The knowledge gained can be generalized to apply to more people than the particular ones that took part in a study.

    So research is the same as doing an experiment?

    Not exactly. They are similar because you set out to learn something that you don't know by comparing it to what you do know, and by testing out an idea you have that might be true. But research means that the way you go about learning something is organized, makes good sense, and is worth doing based on the experience of people who have done research before you. An experiment can be a part of research, but research is something much more than a particular experiment.

    And 'Clinical Research' means?

    Clinical research means any study that's done about people and their health or illness. The word, 'clinical', refers to a medical setting, but means more than just a doctor's office or the hospital. It's used to talk about anything having to do with the observation or treatment of people in a healthcare setting. Clinical research is the way people learn about sickness and health.

    What does 'human subject' mean?

    "Human subject means a living individual about whom an investigator (whether professional or student) conducting research obtains: 1.) Data through intervention or interaction with the individual, or, 2.) Identifiable private information. This is the definition found in Title 45, Part 46:102 - Code of Federal Regulations. (see above for an explanation of the Code)
    In other words, a human subject is a living person who, (along with other people), is the focus of some particular research project. Human subjects might be patients who are ill, or they might be healthy people who volunteer to be a subject of research.

    An 'investigator' is the person doing the research. The 'human subject' is the person who is being studied. 'Data' means any information that is learned in the study. 'Intervention or interaction' means any direct contact the person doing the research has with the human subject. 'Identifiable private information' means any information that the human subject would normally consider private, and that can be tied directly to the person it is about.

    What does 'ethics' mean?

    A very simple answer is that 'ethics' means what is right or wrong, good or bad - especially when it has to do with what people do. Right and wrong, good and bad mean very different things to different people in different situations. But there are some guidelines, or principles of 'ethics', that most people can agree on most of the time.

    Codes of Ethics

    Since World War II there have been three major "Codes of Ethics" that apply directly to research involving human subjects. These codes are listed below. They are based on general principles of ethics that most people agree are very important to keep in mind at all times in doing research that involves people.
    • The Nuremberg Code: This code of ethics was written as a result of the Trials of War Criminals right after World War II. It was written in response to the terrible things that Nazi doctors did to other people during the war. The doctors claimed that what they did was o.k. because it was research. The Nuremberg Code responds to this by giving guidelines for how people should do research so that human subjects are respected.
    • World Medical Association Declaration of Helsinki: Adopted in 1964, this statement also gives guidelines for anyone who wants to do research that involves human beings.
    • The Belmont Report: This 1979 report was written by the 'National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research'. The report talks about the boundaries between medical practice and research, basic ethical principles (see below), and what these principles mean when you apply them to human subject research.


    What are some examples of 'principles of ethics' that most people agree on?

    There are three important ones in particular for talking about research with human subjects. Please click here: The Belmont Report to read more about these three principles. Here are some very basic definitions:
    1. Respect for Persons: To treat people as human beings, not things to be studied. To respect people for who they are, not what they can do for you.
    2. Beneficence: To not harm or hurt people in research. To do what is best for them (the human subjects) while the research is being done.
    3. Justice: To do what is fair for everyone involved in research with human subjects.

    Research Subject Bill of Rights:

    The rights below are the rights of every person who is asked to be in a research study:
    1. To be told what the study is trying to find out.
    2. To be told what will happen to me, and whether any of the procedures, drugs, or devices is different from what would be used in standard practice.
    3. To be told about the frequent and/or important risks, side effects, or discomforts of the things that will happen to me for research purposes.
    4. To be told if I can expect any benefit from participating, and if so, what the benefit might be.
    5. To be told of the other choices I have and how they may be better or worse than being in the study.
    6. To be allowed to ask any questions concerning the study both before agreeing to be involved and during the course of the study.
    7. To be told what sort of medical treatment is available if any complications arise.
    8. To refuse to participate at all or to change my mind about participation after the study is started. This decision will not affect my right to receive the care I would receive if I were not in the study.
    9. To receive a copy of the signed and dated consent form.
    10. To be free of pressure when considering whether I wish to agree to be in the study.
    LINKS TO OTHER WEBSITES OF INTEREST:




    Educational Resources for Human Subjects Protections, Scientific Integrity, and the Responsible Conduct of Research:

    HHS, NHLBI, NIH: Who Needs Human Subject Protections Training?
    NIH Office of Human Subjects Research: Researcher Computer-Based Training
    NCI: Human Participant Protections Education for Research Teams
    UCLA: Stanley G. Korenman book: Teaching the Responsible Conduct of Research
    AAAS / NAS: Scientific Integrity Program
    UTMB GCRC CREO: Tools and Techniques for Clinical Research: Ethics Module
    UTMB Data & Safety Monitoring Planning Computer-Based Course

    Government Resources and Federal Regulations:
    Institutional Review Board Guidebook
    NIH Roadmap
    NLM listing of currently active clinical trials
    RegSource Regulatory Page
    HHS Code of Federal Regulations: Browser
    HHS Code of Federal Regulations: Protection of Human Subjects
    HHS: Office for Human Research Protections
    HHS: Office of Research Integrity
    HHS: HIPAA regulations
    FDA: Protection of Human Subjects
    FDA: Good Clinical Practice in FDA-Regulated Clinical Trials
    FDA: Guidance for Institutional Review Boards and Clinical Investigators
    NIH: Bioethics Resources on the Web
    NIH: Office of Human Subjects Research
    NIH: HIPAA regulations
    NIH: Office of Biotechnology Activities - Recombinant DNA and Gene Transfer

    Helpful Websites for Developing a Data and Safety Monitoring Plan:
    Adverse Event Reporting on Patient Safety at UTMB
    Adverse Event Reporting of Events with Human Subjects at UTMB
    UTMB Data & Safety Monitoring Planning Computer-Based Course
    HHS OHRP: Guidance on Reviewing and Reporting Unanticipated Problems Involving Risks to Subjects or Others and Adverse Events NIH Guidelines for Adverse Event Reporting
    NIH Guidelines for Data and Safety Monitoring
    Further NIH Guidance on Data and Safety Monitoring for Phase I and Phase II Trials
    National Center for Complementary and Alternative Medicine
    National Cancer Institute
    National Cancer Institute Guidance for Conducting Clinical Trials
    National Heart, Lung and Blood Institute
    National Heart, Lung and Blood Institute
    National Heart, Lung, and Blood Institute
    National Heart, Lung and Blood Institute
    National Institute on Aging
    National Institute of Allergy and Infectious Diseases
    National Institute for Arthritis and Musculoskeletal and Skin Diseases
    National Institute for Arthritis and Musculoskeletal and Skin Diseases
    National Institute of Child Health and Human Development
    National Institute on Drug Abuse
    National Institute of Dental and Craniofacial Research
    National Institute of Diabetes and Digestive and Kidney Diseases
    National Institute of Mental Health
    National Institute of Neurological Disorders and Stroke

    University Websites and Centers for Bioethics:
    Johns Hopkins University Bioethics Institute
    Washington University Medical Center: Human Studies Committee
    University of Toronto Joint Centre for Bioethics
    Michigan State University Center for Ethics and Humanities in the Life Sciences
    University of Pennsylvania Center for Bioethics
    The Hastings Center: An Independent Bioethics Research Organization
    The Medical College of Wisconsin Center for the Study of Bioethics
    Kennedy Institute of Ethics at Georgetown University

    Websites of Interest to Principal Investigators and Research Teams:
    NIH: Human Participant Protections Education For Research Teams (online course)
    National Library of Medicine: Gateway Search Page
    Public Responsibility in Medicine and Research
    Centerwatch Clinical Trial Listing Service
    Drug Information Association
    BioSpace: Web Solutions for the Life Sciences
    The National Academies Institute of Medicine
    The National Academies: Science, Engineering and Medicine
    National Institutes of Health Homepage
    American Medical Association Ethics Program
    GCRC: Society of Research Subject Advocates
    Canadian Institute of Health Research: Ethics Training Grant Website
    The Greenwall Foundation Faculty Scholars Program in Bioethics
    Friends Research Institute
    Kluwer Online: research related publications
    National Academies Press: Institute of Medicine publication "Integrity in Scientific Research."
    NORD: National Organization for Rare Disorders
    Association of American Medical Colleges
    NIH: National Center for Research Resources
    Society for Research Subject Advocates: Bioethics Reading List
    Society for Research Subject Advocates: Useful Links
    MedicineNet: Medical Dictionary
    Stanford RCO: Glossary of Lay Terms for Use in Preparing Consent Forms
    HHS OHRP: Frequently Asked Questions About Research with Children
    HHS OHRP: Frequently Asked Questions about Human Subject Research
    UTMB Research Listserv

    International Human Subjects Research:
    Canadian Institute of Health Research
    International Conference on Harmonization
    The World Medical Association
    Office for Human Research Protections

    Of Interest to Human Subjects of (Participants in) Biomedical Research:
    National Institutes of Health / National Library of Medicine: Information about Clinical Trials
    Centerwatch Clinical Trial Listing Service
    Public Responsibility in Medicine and Research
    National Institutes of Health Homepage
    DHHS: Office for Human Research Protections
    FDA: Protection of Human Subjects
    National Library of Medicine: Gateway Search Page

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