Jump to: Page Content, Site Navigation, Site Search,
You are seeing this message because your web browser does not support basic web standards. Find out more about why this message is appearing and what you can do to make your experience on this site better.
a response to recent
correspondence
a publisher's duty
In the issue of 12 April 1997 the BMJ invited
comment on the acceptable limits of informed consent in medical
studies. In view of the large correspondence this generated, we invited
the two original commentators, Len Doyal and Jeffrey Tobias, to revisit the subject. We also invited comments from three people who are not
doctors, researchers, or medical ethicists: two of them represent the
views of patients and potential patients
a response to recent
correspondence
Len Doyal St Bartholomew's and
The Royal London Hospital School of Medicine and Dentistry,
London E1 2AD
The publication of the debate between myself and
Jeffrey Tobias about the acceptable limits of informed consent in
medical research has generated an immense and varied number of letters to the BMJ.1-4 This in itself is
gratifying, whether or not correspondents agree with my arguments. It
provides ample evidence of widespread and serious deliberation about
the moral boundaries of the rights of participants in
research.

View larger version (96K):
[in a new window]
Previous articles and comment on informed consent are available
on our website (see Collections)
Many correspondents either explicitly or implicitly endorse the hard line that I take in my paper on the right of competent people to an acceptable level of information before agreeing to participate in medical research. Other contributions confirm my emphasis on the moral importance of the principle of informed consent but, in light of the highly specific circumstances where I argue that the principle must be qualified, question the degree or clarity of my own commitment to it. What is important here is our shared belief in the moral imperative of respecting human autonomy in almost all circumstances.
I still disagree with those authors who argue that it is not necessary
to obtain informed consent if this will lead to the methodological
compromise, or possible cancellation, of potentially beneficial studies
involving clinical interventions that carry minimal risks. What these
correspondents either fail to recognise or to take seriously is that to
fail to respect the autonomy of competent people is to inflict harm on
them that is just as morally unacceptable as direct physical or mental
harm. To do so rejects the letter and spirit of the Helsinki
Declaration
the "interests of the subject must always prevail over
the interest of science or society." Simply to assert that the
declaration is wrong in this regard
without even attempting to rebut
counterarguments, which, for example, I outline in my paper
is to
embrace the dogma of scientific progress at any price. When human
autonomy and dignity are at stake the cost of such progress is too
high.
|
The BMJ and the Committee on Publication Ethics are hosting a conference on Friday, May 15, on informed consent in research, teaching, and clinical practice. The conference will be at Regent's College Conference Centre in London's Regent's Park. Contact the BMA's conference unit. Tel 0171 383 6605. Fax 0171 383 6663. Email eoliver{at}bma.org.uk |
Some correspondents simply misunderstood or misread my paper. For example, Naomi Pfeffer and Priscilla Alderson maintain that I somehow claim that research may be done on children without parental consent.5 In the relevant section I specifically state, "Informed consent should always be obtained from someone with parental authority."1 Similarly, Pat Soutter suggests that the HIV study of Satish Bhagwanjee and colleagues, which did not obtain informed consent from patients for seropositive testing, conforms to qualifications of the principle of informed consent that I outlined in my paper. 6 7 It does not. I specifically exclude all studies in which there is an intent to contact subjects in the future, an inevitable consequence of the HIV study in question since it was designed to inform patients later that they had been tested.
This same mistake is made by Paul Little and Ian Williamson, who
suggest that arguments in my paper are consistent with randomised trials without consent.8 It is true that I do morally
defend some epidemiological research that is based not on direct
patient involvement but on medical records
provided, among a long list of other things, that, again, there is no anticipation of further contact with the patients concerned.1 Yet Little and
Williamson try to defend their position with reference to the merits of
an antibiotic study in which patients were directly involved without obtaining their informed consent. Then, through making this fact clear
in their letter, they go on precisely to initiate further potential
contact with these patients. We can only speculate about the patients'
potential distress and anger when they read or hear about this self
confessed violation of their autonomy. This is the danger: patients may
well (and do) find out about such abuse through, among other things,
talking to other patients. Then utilitarian justifications can blow up
in the face of those who use them to justify disrespect for human
rights.
|
The most puzzling response of all to my paper was that of Michael Baum,
a surgeon for whom I have great respect.9 Professor Baum
seems to want it both ways. On the one hand, he draws an analogy
between the moral appropriateness of conscription in warfare and the
"responsibilities" of the lay public to participate as subjects in
medical research in the "war against cancer" (and presumably other
disease). On the other hand, he never really comes clean about what he
proposes to do if members of the public do not live up to his
perception of their responsibilities. If, ultimately, he accepts their
right to refuse to participate then he agrees with me that they should
be given enough information to do so on an informed basis
and does so
despite my "absolutism," "uncompromising zeal," and
professional life in an "armchair" on a "veranda." If he
rejects this right
as some of his comments and his agreement with
Jeffrey Tobias's paper suggest
and really does support the quite
extraordinary idea of conscription then let him say so and try morally
to defend himself. It will take more than ad hominem arguments to do so
successfully.
References
with three exceptions.
BMJ
1997;
314:
1107-1111
J S Tobias Meyerstein Institute of
Oncology, Middlesex Hospital, London W1N 8AA
Any author would be gratified by an overwhelming
postbag in response to a provocative article As one of the protagonists of the debate, I am greatly concerned by
many of the specific issues raised by correspondents. As well as the
problem of, for example, emergency medical situations, the issue of
risk of bias raised by a senior statistician6 is of
particular importance since well conducted randomised trials tend to
form the most influential basis of today's evidence based medical
practice. Added to this, we have a past chairman of a research ethics
committee at one of London's most prestigious research hospitals
pointing to the wide disagreement as to which clinical situations
require trial without fully informed consent Equally difficult is the argument
provided, of course, that
not all the voices are raised in condemnation. Fortunately, however, it
is clear even from the titles of the letters published by the BMJ 17 May and 26 July 1997 that a wide variety of views
persists. On the one hand, titles such as "Doctors are arrogant to
think they need to debate issue of patient consent"1 and
"Lack of respect for patients in medical research may reflect wider
disrespect in clinical practice"2 provide a clear and
unambiguous view. But on the other, "Ethics committees and the
BMJ should continue to consider the overall benefit to
patients,"3 "Consent is not always practical in
emergency treatments,"4 and "Let readers judge for
themselves"5 offer a more relaxed view. As Little and
Williamson point out,3 writing from a department of
primary medical care, "adopting an absolute ethical view in open
trials ignores the realities of
and would undermine the ability of
research to inform
normal practice and thus could ultimately harm
patients, including those who agree to take part in trials."
reminding us that "no
one can claim to have a monopoly on deciding what is
ethical."7
supported by preliminary data
that
many patients may not digest information sufficiently well to permit a
genuinely informed level of consent8; at the very least,
it is clear that many patients in this study by Montgomery et al had no
recollection whatever of consenting even to a course of radiotherapy
a
consent which, we are assured from the article, had most certainly been
given. If, as I believe, fully informed consent can sometimes be
needlessly cruel,9 what is the point of insisting on it in
all cases when about a quarter of patients (judging by Montgomery et
al's study) cannot even recall being told about common side effects of
treatment when all had been provided with this
information?

View larger version (84K):
[in a new window]
Obtaining fully informed consent can be needlessly cruel
As I pointed out when first setting out my stall, one of my chief
anxieties concerns the somewhat old fashioned concept of doctoring in
its traditional pastoral sense. While applauding the use of evidence
based approaches and recognising the need for powerful trials to
generate essential information, I do, nevertheless, feel a
responsibility of equal importance
to act as patients' adviser,
counsellor, advocate, and support. With many sophisticated patients,
well informed and willing to enter into a robust two way dialogue, the
medical scientist occupying a fair portion (I hope) of my brain can
take the lead. For the majority, however
less educated, less well
informed, and less able to marshal their arguments
a somewhat more
directive or (without being pejorative) "paternalistic" approach
will often be far more appropriate, and gratefully received. As Dr
Thurstan Brewin, past chairman of Health Watch points out, "Those who
want the BMJ to take a rigid view should spend a day in
a ward full of elderly people. They would probably find many who,
though far from being mentally incompetent, are at times confused and
forgetful. What could be more unrealistic than to refuse to recognise
this for fear of being called patronising? ... Some
people underestimate the harm that can be done to many sick patients
when fully informed consent for every trial is sought, no matter how
tense or difficult the situation."10
I willingly give Ms Hazel Thornton, chairwoman of the Consumers'
Advisory Group for Clinical Trials, the final word.11 As she clearly explains, her group "works directly with the professions ... [and] identifies an urgent need to advance
public education about clinical trials. Concepts such as randomisation,
risk perception, and probability are poorly understood
.... Such cooperation
... will create a different attitude to research,
which will be seen not as an imposition but as an activity to which we
all have a responsibility to contribute." Her letter, entitled "We
all have a responsibility to contribute to research," echoes my own
view that both doctors and patients have much to gain from this type of
partnership and that overzealous directives attempting to monopolise the moral high ground will surely prove counterproductive. The BMJ would be unwise to stifle important research by
confining too closely the outline, structure, and phraseology of trial
consent
details that are far better left to the originators of the
studies and their local ethics committees.
References
a publisher's duty
Mary Warnock Great Bedwyn, Marlborough
SN8 3PE
Informed consent has become a shibboleth: you cannot be a
respectable member of the medical research world unless you invoke the
concept and accede to its demands, nor can you be a respectable publisher of research papers unless you ensure that your authors have
clean hands in this regard. Informed consent is also, and perhaps more
urgently, required in the case of medical and surgical procedures; but
it is in the context of research requirements that the following
remarks are offered.
The concept itself is not wholly simple. Questions may be raised
about what counts as full consent or sufficiently informed consent,
especially in the case of subjects who may find the idea of
randomisation difficult to grasp or who may have problems, as we all
do, with the calculation of risk. I believe, however, that we should
not make too much of these difficulties, which are inherent in the
nature of medical research and which can be minimised by tactful and
sympathetic dialogue with potential subjects. The central moral
problem, however, is concerned with the possible exploitation of the
subjects of research. For research, including clinical research, is
aimed, not at the good of the individual patient, but at the production
of medical knowledge, which is for the good of society at large
(although the individual patient may benefit from it by chance). This
is the difference between research and the use even of innovative
treatment for an individual patient.
In a research programme the subjects are being used as a means, not as
an end in themselves. To treat someone merely as a means is widely
agreed to be a moral evil, a breach of the "categorical imperative," on which the very possibility of morality was held by
Kant to depend. Philosophy apart, to make use of people, especially when they are not aware of what is going on, is generally agreed to be
wrong. This evil is removed if people offer their services voluntarily.
They then become willing partners in a joint enterprise rather than
mere tools in it. Since they are free to decline to take part, their
power of choice has not been overridden. They are being treated as
befits a human as opposed to any other animal. The moral principle
involved here is often referred to as the principle of autonomy. I
prefer the more precise title of the principle of non-exploitation.
Since it is especially easy to exploit the helpless and
incompetent The principle of non-exploitation has come to seem to many to be
by far the most important moral principle that should govern research
using human subjects. This is understandable on historical grounds:
there are far too many cases, in the second world war and, sadly, more
recently, of whole populations of people being damaged or destroyed as
victims of research programmes about which they were ignorant or had no
choice. The relevance of history is that it causes people to deploy the
"slippery slope" argument However, the slippery slope is a weak argument (though it
exercises an enormous power over the imagination) in that there is no
logical connection between allowing the principle to be breached in
some cases and allowing it to be totally forgotten. The argument relies
on a poor view of human nature: "Give them an inch and they'll take
an ell." Biological and medical scientists are especially suspect
these days, and this arises from the power of the slippery slope. lt is
crucial, therefore, that in this context editors should keep their
heads and differentiate between different cases in which the
principle has been breached.
There is all the difference in the world between, on the one
hand, extending the use of anonymous data, collected for a particular study, to a further, previously unthought of, study and, on the other
hand, the randomised testing of drugs in the treatment of a specific
disease. In the first case there is no question of harm accruing to the
subjects, and thus the use of the word "exploitation" is an
exaggeration. It seems to me a misuse of words to suggest that not
obtaining informed consent in itself constitutes a harm; sometimes it
amounts to exploitation, sometimes it does not. Nor does it seem that
the use for research purposes of discarded or unwanted tissue is
exploitation The conclusion is that editors must try, in the words of a prayer much
used in Hertford College Chapel, "to distinguish things that
differ." This makes the editorial function hazardous, with editors
potentially subject to accusations of failing in their duty to ensure
the moral respectability of research. But any other policy seems to me
to rely on a dogma
Lisa Power Terrence Higgins Trust,
London WC1X 8JU
Reading the BMJ debate about informed
consent and publication recently, it seemed to me that there was a
basic flaw in the premise. Instead of "Why?" I wanted "How?" If
informed consent is about the dignity and empowerment of trial subjects
and the genuine participation of patients in our health research, then how can this be maximised throughout the trial process? If we look at
the overall issue I do not believe that you can obtain better practice about
informed consent merely by making a rule about publication. There will
always be some people prepared to obtain such consent technically without any real commitment to its spirit, because all they see it as
is a signature at the bottom of a form and not a partnership. This is
not to impugn the motives with which they entered research, but lack of
time and money and urgency of need can put pressure upon the best of
intentions. Of course, there are trials in which informed consent
cannot be obtained, as Len Doyal outlined, and any hard and fast rule
that the BMJ made about publication would probably have
to be broken at some point. But the onus of justifying failure to
obtain consent should not arise at publication stage for the first
time; questions should be being asked far earlier in the process.
To improve the practice of obtaining informed consent wherever
possible there must be a number of changes in attitudes. There needs to
be a greater emphasis in doctors' education on interpersonal and
communication skills, and a greater willingness on the part of some
trial investigators to involve nursing staff in communicating with
trial volunteers; doctors are not the only people with a voice and a
brain. Secondly, there needs to be an understanding that giving
patients or potential patients some say in the design and approval of
trials is a positive process and not just a hoop to jump through. This
involvement can stretch from trial design to writing information sheets
and sitting on ethics committees. Thirdly, the onus should be
clearly on those designing trials to show, as part of their basic data,
their process for subject consent and uptake, rather than on others to
challenge them in retrospect.
Placing the subjects of a trial at the centre of the process is not an
easy matter. It may need extra finance or education, or other forms of
support, and it may take time. Sometimes, I agree, it is not possible
because of the nature of the trial, but this should be the
exception By fostering debate about informed consent, the BMJ has
already added more to this process than any simple rule would do. I
hope that it continues to do so.
Heather Goodare Horsham, West Sussex
RH13 6DF
In his editorial of 12 April 1997 the editor asks,
"Should the BMJ reject all studies that do not include
informed consent?"1 The simple answer is "Yes." This
is the stated policy of others that observe the "uniform requirements
for manuscripts submitted to biomedical journals."2
There is no good reason why the BMJ should not follow
suit.
It is clear that the Declaration of Helsinki is no longer entirely
satisfactory as a standard to which medical journals should adhere. The
declaration is a watered down version of the Nuremberg Code, formulated
after the trials of Nazi doctors who had experimented on concentration
camp inmates during the second world war.3 The code states
unequivocally: "The voluntary consent of the human subject is
absolutely essential." But the Helsinki Declaration introduced a
section on clinical research which says: "If the doctor considers it
essential not to obtain informed consent, the specific reasons for this
proposal should be stated in the experimental protocol for transmission
to the independent committee" (Clause II.5).
Lack of consent in cancer trials has long been a matter of
concern,
4 5
and this clause could have been used as an
excuse for not seeking consent from competent patients in recent
examples of clinical research.6-10 There is some evidence
that not seeking consent, far from eliminating bias (which is usually
the reason given), actually adds to it. Patients who find that others
in the same category are receiving different treatment will want to
know why.11 It is best to come clean at the outset:
patients who discover they have been deceived lose trust in their
doctors.
If the present debate leads to a radical rethink of the way clinical
research is conducted, matters may improve. Researchers are ignoring a
valuable resource if they do not consult patients in designing their
trials in the first place. This can save time and money and lead to
better outcomes.12 Also, "joint ownership of the work
being done keeps patients involved, instead of isolating them."9 There should be no more debate about the need to
seek consent from competent patients. There are, however, some grey areas that need further consideration.
The Helsinki Declaration makes provision for cases of legal
incompetence, or physical or mental incapacity, though national legislation varies, and there is a case for amending legislation when
it is deficient, to make proper provision for proxy responsibility where appropriate. We cannot take it for granted that an unconscious person would have consented to a trial had he or she been conscious: indeed, we have a special duty to respect the rights of those who
cannot speak for themselves. If a proxy for the patient cannot be found
the research should not proceed. In an emergency the doctor's duty is
to do his or her best for the patient in the light of current
knowledge. The rights of children, too, need to be respected: in the
words of Lisa Hammond, aged 15, "Society should accept people of all
types, and respect everyone's right to make their own decisions once
they have all the facts, be they adults or children."13
There remains the matter of clinical audit and epidemiological
research. We cannot assume that patients will not mind their data being
used for such purposes. As Doyal observes, "Normally patients should
give their explicit consent for their records to be
accessed."14 Moreover, these data must be anonymised: we
cannot be sure that patients will not mind if researchers and civil
servants (who could well be colleagues in the same office) see their
clinical details. Researchers may have overstepped the mark in a recent
breast cancer audit,15 by requiring personal data A further problem occurs with the use of stored human tissue. Donors of
blood, organs, or cadavers usually give explicit consent to the use of
their bodies for therapeutic purposes, medical education, or research,
but patients who provide tissue specimens during the course of their
own treatment normally do not. If any use of this material for other
purposes is proposed, patients' permission (or that of a responsible
relative) should be sought. There have already been examples of
commercial exploitation and even attempts to patent such material: any
possible profit should be used in accordance with patients' wishes. A
moving story is told by Steingraber of the cell line MCF-7, widely used
in medical research. The initials stand for Michigan Cancer Foundation,
and the 7 for the seventh attempt to establish a self perpetuating
stock of cells from the body of the patient. The woman was a nun,
Sister Catherine Frances, who died in 1970.18 Would she
have wished a donation by way of royalty to be made to her convent
every time her cells were used? Was she asked?
A breast cancer patient expressed the dilemma to me as: "In Victorian
times they got upset about body snatching. Now they steal bits of your
body when you're still alive." These issues need further debate,
with members of the public and patients themselves taking a full part
in the discussion.
Acknowledgments
HG experienced breast cancer in 1986 and now works as a
counsellor. She chairs the research committee of the UK Breast Cancer Coalition.
I thank Clare Dimmer, Carolyn Faulder, Andrew Herxheimer,
Pamela Goldberg, Ann Johnson, Margaret King, and Charlotte Williamson for helpful comments on an earlier draft. Responsibility for the final
version is, however, mine alone.
References
those who, though human, seem to have little power of
understanding or making a serious choice
the principle ought to be
considered scrupulously in the case of such people. However, if
research into the very conditions that produce such incompetence, such
as Alzheimer's disease, is to continue it may be necessary to
resort to consent by proxy. It seems morally important that such
consent should be sought.
if once the principle of
non-exploitation is allowed to be breached where will it end? To which
the answer implied is that it will end in horrors such as were revealed
at Nuremberg.
though there exists a lack of clarity about the relation
between an individual and his or her body parts, which ought to be
remedied. The matter becomes critical when a pharmaceutical company may
make vast profits from the use of, say, a spleen that has been removed
from the body of an individual. Does the person have property rights
over something that was once, in some sense, his or her property
but is so no longer?
that there are no other principles worth
considering in the ethics of research except the principle of
non-exploitation
and to rely also on an exceptionally wide and
unrealistic view of what counts as exploitation.
Trial subjects must be fully involved in
design and approval of trials
the involvement of patients or potential patients
rather than the single aspect of informed consent we can
begin to treat the disease rather than arguing over the symptoms.
the question about informed consent should always be "Why
not?" rather than "Why?" In my experience, as a participant in a
vaccine trial and as an activist pressing drug companies to talk with
us about their trial designs, such involvement is always to the good. I
can appreciate that it feels like a nuisance to people who have not had
to consider us before, but it leads to better trials with better uptake
and, of equal importance, to greater involvement of individuals in
their own health.
Studies that do not have informed consent from
participants should not be published
including names, dates of birth, and postcodes
not from the patients themselves but from doctors and administrators. This sheds
light on the uses to which cancer registries could be put and raises
awkward questions.16 It seems that careful thought needs
to be given to this matter, including the possibility of a standard
question to patients at the time of treatment asking permission to
review their records for research purposes. Some clinicians already
follow this procedure.17 Patients are well aware of the
importance of such research, and if it is conducted appropriately they
could be enthusiastic participants. But their consent must not be taken
for granted.
with three exceptions.
BMJ
1997;
314:
1107-1111.
© BMJ 1998
Read all Rapid Responses