Investigator’s Manual for
the Protection of Human Subjects
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Chapter 1: Introduction

The Foundation of 45 CFR 46: The Belmont Report

In 1974, the passage of the National Research Act (URL not responding as of 01-20-06) established the National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research. (URL not responding as of 01-20-06) The Commission published the Belmont Report (URL not responding as of 01-20-06) which articulates the basic ethical principles that guide the conduct of research with human subjects (Please see Appendix 7 for more information) and form the foundation of 45 CFR 46. Three principles were defined in the report as basic to the protection of human subjects: 1) respect, 2) beneficence, and 3) justice. The HSPCs are guided by the ethical principles set forth in the Belmont Report. The Commission also published a report on IRBs and a series of reports on research involving the human fetus, children, prisoners, and mentally impaired individuals ("those institutionalized as mentally infirm").

Respect

In consideration of respect for persons, investigators are required to seek voluntary, written informed consent from potential subjects. Voluntary informed consent means that subjects are given explicit assurances of the voluntary nature of their participation in terms that are easy to understand and are not under duress. The consent form also includes adequate information about the study that will assist subjects in intelligently deciding whether to participate in research. In addition, respect means honoring the privacy of individuals and maintaining their confidentiality. Respect for minors and mentally disabled persons requires taking extra precautions to protect those individuals who are immature or incapacitated, perhaps even to the extent of excluding them from participation in certain research. The extent of protection depends on the risks and benefits of the research to the participants.

Beneficence

The principle of beneficence requires that researchers maximize the potential benefits to the subjects and minimize the potential risks of harm. Benefits to the subjects, or in the form of generalized knowledge gained from the research, should always outweigh the risks. Finally, if there are any risks resulting from participation in the research, then there must be benefits, either to the subject, or to humanity or society in general.

Justice

The principle of justice means that subjects are selected fairly and that the risks and benefits of research are distributed equitably. Investigators should take precautions not to systematically select subjects simply because of the subjects’ easy availability, their compromised position, or because of social, racial, sexual, economic, or cultural biases institutionalized in society. Investigators should base inclusion criteria on those factors that most effectively and soundly address the research problem.

 


Investigator’s Manual for
the Protection of Human Subjects
Table of Contents
Last Chapter | Next Chapter
Last Section | Next Section
Chapter 1: Introduction
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October 29, 2004
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