World Medical
Association
DECLARATION OF HELSINKI
Ethical Principles for Medical Research Involving
Human Subjects Adopted by the 18th WMA General Assembly Helsinki, Finland,
June 1964
and amended by the
29th WMA General Assembly, Tokyo, Japan, October 1975;
35th WMA General Assembly, Venice, Italy, October 1983;
41st WMA General Assembly, Hong Kong, September 1989;
48th WMA General Assembly, Somerset West,
Republic of South Africa, October 1996; and the
52nd WMA General Assembly, Edinburgh, Scotland, October 2000
A. INTRODUCTION
1. The World Medical Association has developed the Declaration of Helsinki
as a statement of ethical principles to provide guidance to physicians
and other participants in medical research involving human subjects.
Medical research involving human subjects includes research on identifiable
human material or identifiable data.
2. It is the duty of the physician to promote and safeguard the health
of the people. The physician's knowledge and conscience are dedicated
to the fulfillment of this duty.
3. The Declaration of Geneva of the World Medical Association binds
the physician with the words, "The health of my patient will be
my first consideration," and the International Code of Medical
Ethics declares that, "A physician shall act only in the patient's
interest when providing medical care which might have the effect of
weakening the physical and mental condition of the patient."
4. Medical progress is based on research which ultimately must rest
in part on experimentation involving human subjects.
5. In medical research on human subjects, considerations related to
the well-being of the human subject should take precedence over the
interests of science and society.
6. The primary purpose of medical research involving human subjects
is to improve prophylactic, diagnostic and therapeutic procedures and
the understanding of the etiology and pathogenesis of disease. Even
the best proven prophylactic, diagnostic, and therapeutic methods must
continuously be challenged through research for their effectiveness,
efficiency, accessibility and quality.
7. In current medical practice and in medical research, most prophylactic,
diagnostic and therapeutic procedures involve risks and burdens.
8. Medical research is subject to ethical standards that promote respect
for all human beings and protect their health and rights. Some research
populations are vulnerable and need special protection. The particular
needs of the economically and medically disadvantaged must be recognized.
Special attention is also required for those who cannot give or refuse
consent for themselves, for those who may be subject to giving consent
under duress, for those who will not benefit personally from the research
and for those for whom the research is combined with care.
9. Research Investigators should be aware of the ethical, legal and
regulatory requirements for research on human subjects in their own
countries as well as applicable international requirements. No national
ethical, legal or regulatory requirement should be allowed to reduce
or eliminate any of the protections for human subjects set forth in
this Declaration.
B. BASIC PRINCIPLES FOR ALL MEDICAL RESEARCH
10. It is the duty of the physician in medical research to protect
the life, health, privacy, and dignity of the human subject.
11. Medical research involving human subjects must conform to generally
accepted scientific principles, be based on a thorough knowledge of
the scientific literature, other relevant sources of information, and
on adequate laboratory and, where appropriate, animal experimentation.
12. Appropriate caution must be exercised in the conduct of research
which may affect the environment, and the welfare of animals used for
research must be respected.
13. The design and performance of each experimental procedure involving
human subjects should be clearly formulated in an experimental protocol.
This protocol should be submitted for consideration, comment, guidance,
and where appropriate, approval to a specially appointed ethical review
committee, which must be independent of the investigator, the sponsor
or any other kind of undue influence. This independent committee should
be in conformity with the laws and regulations of the country in which
the research experiment is performed. The committee has the right to
monitor ongoing trials. The researcher has the obligation to provide
monitoring information to the committee, especially any serious adverse
events. The researcher should also submit to the committee, for review,
information regarding funding, sponsors, institutional affiliations,
other potential conflicts of interest and incentives for subjects.
14. The research protocol should always contain a statement of the ethical
considerations involved and should indicate that there is compliance
with the principles enunciated in this Declaration.
15. Medical research involving human subjects should be conducted only
by scientifically qualified persons and under the supervision of a clinically
competent medical person. The responsibility for the human subject must
always rest with a medically qualified person and never rest on the
subject of the research, even though the subject has given consent.
16. Every medical research project involving human subjects should be
preceded by careful assessment of predictable risks and burdens in comparison
with foreseeable benefits to the subject or to others. This does not
preclude the participation of healthy volunteers in medical research.
The design of all studies should be publicly available.
17. Physicians should abstain from engaging in research projects involving
human subjects unless they are confident that the risks involved have
been adequately assessed and can be satisfactorily managed. Physicians
should cease any investigation if the risks are found to outweigh the
potential benefits or if there is conclusive proof of positive and beneficial
results.
18. Medical research involving human subjects should only be conducted
if the importance of the objective outweighs the inherent risks and
burdens to the subject. This is especially important when the human
subjects are healthy volunteers.
19. Medical research is only justified if there is a reasonable likelihood
that the populations in which the research is carried out stand to benefit
from the results of the research.
20. The subjects must be volunteers and informed participants in the
research project.
21. The right of research subjects to safeguard their integrity must
always be respected. Every precaution should be taken to respect the
privacy of the subject, the confidentiality of the patient's information
and to minimize the impact of the study on the subject's physical and
mental integrity and on the personality of the subject. 22. In any research
on human beings, each potential subject must be adequately informed
of the aims, methods, sources of funding, any possible conflicts of
interest, institutional affiliations of the researcher, the anticipated
benefits and potential risks of the study and the discomfort it may
entail. The subject should be informed of the right to abstain from
participation in the study or to withdraw consent to participate at
any time without reprisal. After ensuring that the subject has understood
the information, the physician should then obtain the subject's freely-given
informed consent, preferably in writing. If the consent cannot be obtained
in writing, the non-written consent must be formally documented and
witnessed. 23. When obtaining informed consent for the research project
the physician should be particularly cautious if the subject is in a
dependent relationship with the physician or may consent under duress.
In that case the informed consent should be obtained by a well-informed
physician who is not engaged in the investigation and who is completely
independent of this relationship.
24. For a research subject who is legally incompetent, physically or
mentally incapable of giving consent or is a legally incompetent minor,
the investigator must obtain informed consent from the legally authorized
representative in accordance with applicable law. These groups should
not be included in research unless the research is necessary to promote
the health of the population represented and this research cannot instead
be performed on legally competent persons.
25. When a subject deemed legally incompetent, such as a minor child,
is able to give assent to decisions about participation in research,
the investigator must obtain that assent in addition to the consent
of the legally authorized representative.
26. Research on individuals from whom it is not possible to obtain consent,
including proxy or advance consent, should be done only if the physical/mental
condition that prevents obtaining informed consent is a necessary characteristic
of the research population. The specific reasons for involving research
subjects with a condition that renders them unable to give informed
consent should be stated in the experimental protocol for consideration
and approval of the review committee. The protocol should state that
consent to remain in the research should be obtained as soon as possible
from the individual or a legally authorized surrogate.
27. Both authors and publishers have ethical obligations. In publication
of the results of research, the investigators are obliged to preserve
the accuracy of the results. Negative as well as positive results should
be published or otherwise publicly available. Sources of funding, institutional
affiliations and any possible conflicts of interest should be declared
in the publication. Reports of experimentation not in accordance with
the principles laid down in this Declaration should not be accepted
for publication.
C. ADDITIONAL PRINCIPLES FOR MEDICAL RESEARCH COMBINED
WITH MEDICAL CARE
28. The physician may combine medical research with medical care, only
to the extent that the research is justified by its potential prophylactic,
diagnostic or therapeutic value. When medical research is combined with
medical care, additional standards apply to protect the patients who
are research subjects.
29. The benefits, risks, burdens and effectiveness of a new method should
be tested against those of the best current prophylactic, diagnostic,
and therapeutic methods. This does not exclude the use of placebo, or
no treatment, in studies where no proven prophylactic, diagnostic or
therapeutic method exists. To further clarify the WMA position on the
use of placebo controlled trials, the WMA Council issued, during October
2001, a note of clarification on article 29, which is available on this
page.
30. At the conclusion of the study, every patient entered into the study
should be assured of access to the best proven prophylactic, diagnostic
and therapeutic methods identified by the study.
31. The physician should fully inform the patient which aspects of the
care are related to the research. The refusal of a patient to participate
in a study must never interfere with the patient-physician relationship.
32. In the treatment of a patient, where proven prophylactic, diagnostic
and therapeutic methods do not exist or have been ineffective, the physician,
with informed consent from the patient, must be free to use unproven
or new prophylactic, diagnostic and therapeutic measures, if in the
physician's judgment it offers hope of saving life, re-establishing
health or alleviating suffering. Where possible, these measures should
be made the object of research, designed to evaluate their safety and
efficacy. In all cases, new information should be recorded and, where
appropriate, published. The other relevant guidelines of this Declaration
should be followed.
Note of Clarification on Paragraph 29 of the
WMA Declaration of Helsinki
The WMA is concerned that paragraph 29 of the revised Declaration of
Helsinki (October 2000) has led to diverse interpretations and possible
confusion. It hereby reaffirms its position that extreme care must be
taken in making use of a placebo-controlled trial and that in general
this methodology should only be used in the absence of existing proven
therapy.
However, a placebo-controlled trial may be ethically acceptable, even if proven therapy is available, under the following circumstances: - Where for compelling and scientifically sound methodological reasons its use is necessary to determine the efficacy or safety of a prophylactic, diagnostic or therapeutic method; or - Where a prophylactic, diagnostic or therapeutic method is being investigated for a minor condition and the patients who receive placebo will not be subject to any additional risk of serious or irreversible harm. All other provisions of the Declaration of Helsinki must be adhered to, especially the need for appropriate ethical and scientific review.