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Reasearch 1 Credita To The Author
Reasearch 1 Credita To The Author
DOI 10.1007/s10728-011-0194-8
ORIGINAL ARTICLE
Søren Holm
Introduction
S. Holm (&)
Centre for Social Ethics and Policy, School of Law, University of Manchester,
Manchester M13 9PL, UK
e-mail: soren.holm@manchester.ac.uk
S. Holm
Center for Medical Ethics, Faculty of Medicine, University of Oslo, Oslo, Norway
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9. During the course of the experiment the human subject should be at liberty
to bring the experiment to an end if he has reached the physical or mental state
where continuation of the experiment seems to him to be impossible.
It is explicit in the first Helsinki Declaration of 1964 where paragraph III.4b
states:
4b. At any time during the course of clinical research the subject or the
subject’s guardian should be free to withdraw permission for research to be
continued.
The investigator or the investigation team should discontinue the research if in
their judgment, it may, if continued be harmful to the individual.
It is restated in the current version of the Declaration in the central paragraph 22
about consent:
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.1 (my emphasis)
It occurs in the Council of Europe’s Bioethics Convention in article 5, second
part:
The person concerned may freely withdraw consent at any time.
And the European Community Directive implementing the ICH Good Clinical
Practice rules in Europe states in Article 3.2.1:
2. (e) the subject may without any resulting detriment withdraw from the
clinical trial at any time by revoking his informed consent2;
Finally the US ‘Common Rule’ requires consent procedures to include:
1
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. Note of Clarification on Paragraph 29 added by the WMA
General Assembly, Washington 2002.
2
DIRECTIVE 2001/20/EC OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL of 4 April
2001 on the approximation of the laws, regulations and administrative provisions of the Member States
relating to the implementation of good clinical practice in the conduct of clinical trials on medicinal
products for human use.
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In the clinical research situation the justification of a right to withdraw with the
components outlined above is straightforward, although it relies on several distinct
lines of argument and on specific aspects of the clinical research situation. Some of
the lines of argument developed here have already been taken up by critics of the
right to withdraw who have exploited the fact that each line of argument only
supports part of the right as traditionally conceived (see below).
The following is an attempt to develop a justification of the right to withdraw as a
moral right in its own right and not merely as a component in an institutional
framework designed to protect other, presumably more fundamental moral rights. In
a recent article Schaefer and Wertheimer pursue a line of argument justifying a right
3
If there is a moral duty to participate in research as many have argued [5, 7] there may also be a moral
duty not to withdraw from research without good reason. Such a duty would potentially conflict with
unconditionality, since we normally find it acceptable to ask people to explain or justify their prima facie
breaches of moral duties. I will not pursue this line of argument here although I believe it has some merit.
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care of the patient participants, either concurrently with the research or before and
after.4
We also need to recognise that the right to withdraw creates an important and
ethically justifiable incentive for researchers to develop and maintain good research
practice in order to keep withdrawal levels low.
Finally the right to withdraw cannot be seen in isolation. If there was no right to
withdraw we would have to go to much greater lengths to ensure that the consent to
participate in research was fully informed and completely voluntary, and we would
need to control much more strictly and diligently that researchers never deviated
from the research plan that participants had agreed to. Initial consent and a right to
withdraw protect the participant’s interests as one integrated package.
Given that the right to withdraw in its current form must draw on a number of
different lines of supporting argument it may be better to consider it as a family of
slightly different but related ‘rights to withdraw’, or alternatively as a bundle of rights.
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to test its efficacy. The proposed test is also safe: subjects take the drug, and
then their pulse oximetry is measured via finger-clip for the next five minutes.
However, suppose that the drug is so expensive that the researcher cannot
afford to have any subjects remove the clip from their finger within this five-
minute window, if statistical power is to be preserved. Thus, without a
guarantee that subjects will not withdraw, the researcher will not be able to
perform the study. In such a situation, I think that researchers and subjects are
morally permitted to come to an (informed) agreement whereby the subjects
autonomously choose to waive their right to withdraw (Chwang [2], p. 370).
Apart from the persuasive force of the scenario Chwang provides a meticulous
analysis of features of a right that might make that right inalienable or non-
tradeable, and argues that none of these features characterise the right to withdraw
from research in all the circumstances where it can currently be invoked (for a direct
counterargument see [11] and for a more restricted argument in the context of
follow up after xenotransplantation [16]).
Based on his analysis Chwang therefore concludes that:
… we should sometimes allow people to waive their right to withdraw. The
reason we should sometimes allow this is that it respects our autonomy and
allows us to make beneficial agreements, together with the important fact that
the right to withdraw doesn’t deserve special exemption to the general
principle that rights are typically alienable (Chwang [2], p. 378).
Even if we accept this conclusion in general, and I am inclined to accept it, we do
need to note that something like the Nuremberg right is probably inalienable. Even
in Chwang’s scenario there must be a right to withdraw if the pulse oximeter
malfunctions and the probe start to fry the finger of the research subject.
A slightly different argument to the same conclusion is developed in a paper by
Hansson and Hakama who argue that non-exploitative ‘Ulysses contracts’
restricting withdrawal should be allowed between researchers and research
participants, because this promotes the general interests of research participants
in the success of research [6]. This justification raises the interesting question of
whether part of such a Ulysses contract could be a requirement that the researchers
or the sponsors of the research committed to completing the research project and not
withdraw from it. This issue is beyond the scope of the present paper, but it is worth
remembering that we generally accept that a sponsor of a research project can
terminate it at any point without providing a reason to the research participants and
without taking any account of the public good.
Finally Gert Helgesson and colleagues consider the specific issue of withdrawal
from biobank research in two papers that, at least on the face of it seem to be
inconsistent. One paper argues that because the potential harms in biobank research
are smaller than in clinical research withdrawal should only be possible if the
participant can give sufficient reason [4]. The paper then gives the following
explication of this view:
To reflect the different context, the previously cited Nuremberg clause could
be rewritten as follows:
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Research biobanks may arise and be structured in many ways (see [15]). The kind of
biobank which is of concern here is the large, non-specific, and open-ended research
biobank that is becoming increasingly common. Biological samples and other data
5
There are many kinds of biobanks (e.g. structured collections of human biological material). This paper
is only concerned with research biobanks that fit the description given in the following paragraphs,
not with therapeutic biobanks or with stem cell banks, or other cell banks where the individual cell line is
the central area of concern.
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What makes the traditional right to withdraw problematic in the biobank context,
and what are the available alternatives to this right?
What makes the right of withdrawal problematic from a pragmatic and scientific
point of view is that it can significantly diminish the scientific value of the biobank,
with the attendant wastage of resources invested. Withdrawal is a cumulative
process, and insofar as new recruitment to the biobank is impossible (for instance in
6
I will leave out discussion of whether it is preferable that biobanks are public, private or constituted
along fiduciary or charitable trust lines [17], as well as discussion about benefit sharing arrangements.
Although the mode of constitution has some linkage with ethics I can see no reason to believe that one of
these forms of constitution is necessarily better. They will for instance all be subject to economic
incentives, simply in order to generate the amount of finance necessary to sustain the functioning of the
bank.
7
Specifying what is ‘adequate’ ethical oversight is not a simple matter, but it will at least include
consideration of each specific use of material and data including consideration of whether that specific use
is ethically justifiable in light of the original consent and the interests of the research participants.
I have previously written about the use of biobanks where materials were originally entered without
consent and will not further analyse these issues here but see [1].
Biobanks with material obtained from children following proxy consent also raise specific issues that I
will not analyse here but see [9].
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time limited cohort biobanks), withdrawals will over time make the biobank smaller
and smaller, and in cohort biobanks less and less representative of the original
cohort of donors, because those who withdraw are very unlikely to be a random
sample of the participants.
The wastage of resources caused by withdrawal is not only a question of
economic waste (and the initial analysis of samples and the sustaining of the
biobank (storage costs etc.) may be very large), but also a question of the effect of
withdrawal on the scientific value of the remaining material in the bank. If someone
withdraws, he not only diminishes the scientific value of the bank, he also
diminishes the value of the contribution of each of those participants who do not
withdraw. In so far as the person withdrawing still wants to benefit from the fruits of
biobank research he is a Rawlsian ‘free rider’, and his free riding is perhaps even
more problematic than standard free riding because he has initially contributed to
the practice of biobanking, but now wants no longer to do his share.8
If some of the components of the right to withdraw can be modified to ameliorate
the problems caused by withdrawal, without incurring important moral costs, there
is good reason to make such modifications. Let us therefore look at the five
components of the traditional right to withdraw, i.e. that it is Absolute,
Unconditional, Immediate, Complete and Inalienable.
Let us first look at the immediacy component of the right. In the context of
biobank research immediacy may not be as important as in the clinical research
context. Research on stored samples does not involve breaches of bodily integrity,
and requiring immediate withdrawal may in some cases significantly sacrifice
further autonomous choice.
Consider the following hypothetical scenario which illustrates the problems that
the immediacy component may create:
A national, populist newspaper publishes a horror story about abuses of data in
a large national biobank, it is picked up by the electronic media and within one
week 20,000 people exercise their right of withdrawal from the biobank. It is
then revealed that the story was completely untrue and that the source was
maliciously intending to wreck an important research project. A lot of the
people who withdrew their data now regret their decision and want to
participate again, but this is impossible because the samples and data have
been destroyed.
In this example the right to immediate withdrawal leads to a result that is worse
for everyone, researchers and research participants alike. It is important to note that
withdrawal in this case has more profound consequences than withdrawal from a
usual clinical research project, by withdrawing from the biobank a person not only
withdraws from one project, but from an indefinite number of future projects,
including possibly some (many) that the person might want to participate in (this is
discussed more below in the section on completeness).
8
A person withdrawing could try to avoid the free rider problem by joining another biobank, but given
the irreversible loss to the first biobank, and the initial costs to be borne by the second biobank he will still
impose costs on others, even though this will only be in the short term.
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But does withdrawal from a biobank have to have immediate and complete
effect? Not necessarily, what is presumably important is that the researchers stop
using my samples and data, not that they destroy them. We can therefore dissociate
completeness from immediacy when considering biobanks. This gives us the
opportunity to consider the option of a cooling off period, i.e. a system where
withdrawal has immediate effects concerning the researchers’ use of my samples
and data, but no immediate effect concerning the samples and data themselves.
The withdrawn samples and data could be parked in ‘limbo’, or be dead-locked
for a period of time (say 3 months) and only destroyed/erased at the end of that
period if the person withdrawing has not changed her mind. Here one could either
employ a system requiring confirmation of the decision to withdraw at the end of the
cooling off period, or a system automatically destroying/erasing if the patient has
not indicated a change of mind.
It is important to note that imposing a cooling off period could be communicated
to prospective participants during the original consent process, and that it
would only minimally infringe autonomy, and would not infringe privacy at all.
Completely blocking access to samples and data protects privacy as well as
destruction/erasure does!
What about the completeness component? Completeness of withdrawal is usually
taken to imply that data about the participant cannot be used further by the
researchers and that they have to stop collecting new data. The participant simply
has to be listed as ‘withdrawn’ or ‘lost to follow up’. In the biobank case this has, as
noted above been taken to imply that samples must be destroyed (or given back to
participants), and data erased.
Let us consider the following alternative options:
• Anonymisation
• With no further generation of data from existing samples
• With further generation of data from existing samples
• Consent to individual projects
• Donor’s committee/donor representation on REC
One possibility which is worth considering as an alternative to destruction is
anonymisation of data and samples, either without permission to generate further
data from the existing biological samples, or with permission to generate further
data.9 This will allow the researchers to include the record in all analyses for which
it contains a complete set of data.10 There are many examples of extremely valuable
research based on asking new questions of old datasets without further data
collection.
9
If there is complete anonymisation it will no longer be possible to link to information outside of the
biobank, or to collect new information about the person who has now withdrawn.
10
Many statistical methods will allow for the analysis of incomplete datasets which may further add to
the continued usefulness of incomplete records.
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Conclusion
The arguments in this paper have shown that although there must undoubtedly be a
right to withdraw from research that extends to biobank research, the exact contents
of that right does not necessarily have to be the same as in the context of clinical
research.
The arguments further suggest that there are good reasons to rethink the right to
withdraw in biobank research, to achieve a better balance between current and
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References
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4. Eriksson, S., & Helgesson, G. (2005). Potential harms, anonymization, and the right to withdraw
consent to biobank research. European Journal of Human Genetics, 13, 1071–1076.
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