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  <front>
    <journal-meta>
      <journal-id journal-id-type="publisher-id">abc</journal-id>
      <journal-title-group>
        <journal-title>Arquivos Brasileiros de Cardiologia</journal-title>
        <abbrev-journal-title abbrev-type="publisher">Arq. Bras. Cardiol.</abbrev-journal-title>
      </journal-title-group>
      <issn pub-type="ppub">0066-782X</issn>
      <issn pub-type="epub">1678-4170</issn>
      <publisher>
        <publisher-name>Sociedade Brasileira de Cardiologia - SBC</publisher-name>
        <publisher-loc>S&#227;o Paulo, SP, Brazil</publisher-loc>
      </publisher>
    </journal-meta>
    <article-meta>
      <article-id pub-id-type="publisher-id" specific-use="scielo-v3">QYQjhKPz8B3vtxYwL5LXtFc</article-id>
      <article-id pub-id-type="other">00002</article-id>
      <article-id pub-id-type="publisher-id" specific-use="scielo-v2">S0066-782X2008000500002</article-id>
      <article-id pub-id-type="publisher-id" specific-use="scielo-v1">S0066-782X(08)09000502</article-id>
      <article-id pub-id-type="doi">10.1590/S0066-782X2008000500002</article-id>
      <article-categories>
        <subj-group subj-group-type="heading">
          <subject>Artigos Originais</subject>
        </subj-group>
      </article-categories>
      <title-group>
        <article-title>Revis&#227;o &#233;tica e termo de consentimento livre e esclarecido nas publica&#231;&#245;es de pesquisas cardiovasculares na Argentina</article-title>
      </title-group>
      <contrib-group>
        <contrib contrib-type="author">
          <name>
            <surname>Borracci</surname>
            <given-names>Ra&#250;l A.</given-names>
          </name>
          <xref ref-type="aff" rid="aff01"/>
        </contrib>
        <contrib contrib-type="author">
          <name>
            <surname>Calder&#243;n</surname>
            <given-names>Gustavo</given-names>
          </name>
          <xref ref-type="aff" rid="aff01"/>
        </contrib>
        <contrib contrib-type="author">
          <name>
            <surname>Seoane</surname>
            <given-names>Mart&#237;n R.</given-names>
          </name>
          <xref ref-type="aff" rid="aff01"/>
        </contrib>
        <contrib contrib-type="author">
          <name>
            <surname>Perez</surname>
            <given-names>Anal&#237;a C.</given-names>
          </name>
          <xref ref-type="aff" rid="aff01"/>
        </contrib>
        <contrib contrib-type="author">
          <name>
            <surname>Doval</surname>
            <given-names>Hern&#225;n C.</given-names>
          </name>
          <xref ref-type="aff" rid="aff01"/>
        </contrib>
      </contrib-group>
      <aff id="aff01">
        <addr-line>
          <named-content content-type="state"/>
        </addr-line>
        <institution content-type="orgname">Sociedad Argentina de Cardiolog&#237;a</institution>
        <institution content-type="orgdiv1">Dept. Drugs &amp; Clinical Trial Evaluation </institution>
        <country country="AR">Argentina</country>
      </aff>
      <pub-date date-type="collection" publication-format="electronic">
        <month>05</month>
        <year>2008</year>
      </pub-date>
      <volume>90</volume>
      <issue>5</issue>
      <fpage>317</fpage>
      <lpage>321</lpage>
      <history>
        <date date-type="rev-recd">
          <day>07</day>
          <month>11</month>
          <year>2007</year>
        </date>
        <date date-type="received">
          <day>27</day>
          <month>09</month>
          <year>2007</year>
        </date>
        <date date-type="accepted">
          <day>13</day>
          <month>11</month>
          <year>2007</year>
        </date>
      </history>
      <permissions>
        <license license-type="open-access" xlink:href="http://creativecommons.org/licenses/by-nc/4.0/" xml:lang="en">
          <license-p>This work is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License.</license-p>
        </license>
      </permissions>
      <abstract>
        <p>FUNDAMENTO: Existem evid&#234;ncias de que algumas vezes os requisitos de aprova&#231;&#227;o do Conselho de Revis&#227;o Institucional (IRB) e obten&#231;&#227;o de termo de consentimento livre e esclarecido (TCLE) para a realiza&#231;&#227;o de pesquisas com seres humanos n&#227;o s&#227;o cumpridos nas publica&#231;&#245;es argentinas de pesquisas cardiovasculares. OBJETIVO: Analisar a freq&#252;&#234;ncia com que a aprova&#231;&#227;o do IRB e o TCLE s&#227;o obtidos na Argentina. M&#201;TODOS: Pedimos que cem autores de artigos apresentados no nosso encontro cient&#237;fico de 2006 respondessem a um question&#225;rio. RESULTADOS: Trinta e seis por cento dos question&#225;rios foram devolvidos com confirma&#231;&#227;o de revis&#227;o &#233;tica, 34% responderam que n&#227;o havia sido feita, 23% disseram que tinham sido isentados da revis&#227;o e 7% n&#227;o foram devolvidos. A maioria dos artigos submetidos &#224; revis&#227;o era de estudos farmacol&#243;gicos ou pesquisas sobre avalia&#231;&#227;o de novos dispositivos. A maioria dos artigos que n&#227;o passaram por revis&#227;o &#233;tica era referente a pesquisas epidemiol&#243;gicas ou estudos para avalia&#231;&#227;o de m&#233;todos n&#227;o-invasivos; 60% dos estudos farmacol&#243;gicos, implante celular ou avalia&#231;&#227;o de novos dispositivos atendiam &#224;s exig&#234;ncias das normas federais. CONCLUS&#195;O: A taxa de revis&#227;o &#233;tica e a obten&#231;&#227;o do TCLE nas publica&#231;&#245;es argentinas de pesquisas cardiovasculares varia entre os artigos. A maior parte das pesquisas referentes a estudos observacionais prospectivos e cerca de 50% dos protocolos de interven&#231;&#245;es ou procedimentos invasivos n&#227;o relatam a realiza&#231;&#227;o de revis&#227;o &#233;tica. Essa porcentagem elevada de artigos que n&#227;o s&#227;o submetidos &#224; revis&#227;o &#233;tica indica a exist&#234;ncia de falhas legais e &#233;ticas que devem ser discutidas e corrigidas.</p>
      </abstract>
      <kwd-group xml:lang="pt" kwd-group-type="author-generated">
        <kwd>Revis&#227;o &#233;tica</kwd>
        <kwd>consentimento esclarecido</kwd>
        <kwd>publica&#231;&#245;es de divulga&#231;&#227;o cient&#237;fica</kwd>
        <kwd>Argentina</kwd>
      </kwd-group>
      <pub-date publication-format="electronic" date-type="pub">
        <day>27</day>
        <month>05</month>
        <year>2008</year>
      </pub-date>
    </article-meta>
  </front>
  <body>
    <p>ARTIGOS ORIGINAIS </p>
    <p>
      <bold>Revis&#227;o &#233;tica e termo de consentimento livre e esclarecido nas publica&#231;&#245;es de pesquisas cardiovasculares na Argentina</bold>
    </p>
    <p>
      <bold>Ra&#250;l A. Borracci; Gustavo Calder&#243;n; Mart&#237;n R. Seoane; Anal&#237;a C. Perez; Hern&#225;n C. Doval</bold>
    </p>
    <p>Research Area, Argentine Society of Cardiology, Ethical Board, Argentine Society of Cardiology, Dept. Drugs &amp; Clinical Trial Evaluation, A.N.M.A.T., Argentina</p>
    <p>
      <xref ref-type="corresp" rid="back">Correspond&#234;ncia</xref>
    </p>
    <p>
      <bold>RESUMO</bold>
    </p>
    <p><bold>FUNDAMENTO:</bold> Existem evid&#234;ncias de que algumas vezes os requisitos de aprova&#231;&#227;o do Conselho de Revis&#227;o Institucional (IRB) e obten&#231;&#227;o de termo de consentimento livre e esclarecido (TCLE) para a realiza&#231;&#227;o de pesquisas com seres humanos n&#227;o s&#227;o cumpridos nas publica&#231;&#245;es argentinas de pesquisas cardiovasculares. </p>
    <p><bold>OBJETIVO:</bold> Analisar a freq&#252;&#234;ncia com que a aprova&#231;&#227;o do IRB e o TCLE s&#227;o obtidos na Argentina. </p>
    <p><bold>M&#201;TODOS:</bold> Pedimos que cem autores de artigos apresentados no nosso encontro cient&#237;fico de 2006 respondessem a um question&#225;rio. </p>
    <p><bold>RESULTADOS:</bold> Trinta e seis por cento dos question&#225;rios foram devolvidos com confirma&#231;&#227;o de revis&#227;o &#233;tica, 34% responderam que n&#227;o havia sido feita, 23% disseram que tinham sido isentados da revis&#227;o e 7% n&#227;o foram devolvidos. A maioria dos artigos submetidos &#224; revis&#227;o era de estudos farmacol&#243;gicos ou pesquisas sobre avalia&#231;&#227;o de novos dispositivos. A maioria dos artigos que n&#227;o passaram por revis&#227;o &#233;tica era referente a pesquisas epidemiol&#243;gicas ou estudos para avalia&#231;&#227;o de m&#233;todos n&#227;o-invasivos; 60% dos estudos farmacol&#243;gicos, implante celular ou avalia&#231;&#227;o de novos dispositivos atendiam &#224;s exig&#234;ncias das normas federais. </p>
    <p><bold>CONCLUS&#195;O:</bold> A taxa de revis&#227;o &#233;tica e a obten&#231;&#227;o do TCLE nas publica&#231;&#245;es argentinas de pesquisas cardiovasculares varia entre os artigos. A maior parte das pesquisas referentes a estudos observacionais prospectivos e cerca de 50% dos protocolos de interven&#231;&#245;es ou procedimentos invasivos n&#227;o relatam a realiza&#231;&#227;o de revis&#227;o &#233;tica. Essa porcentagem elevada de artigos que n&#227;o s&#227;o submetidos &#224; revis&#227;o &#233;tica indica a exist&#234;ncia de falhas legais e &#233;ticas que devem ser discutidas e corrigidas.</p>
    <p><bold>Palavras-chave:</bold> Revis&#227;o &#233;tica, consentimento esclarecido, publica&#231;&#245;es de divulga&#231;&#227;o cient&#237;fica, Argentina.</p>
    <p>
      <bold>Introdu&#231;&#227;o</bold>
    </p>
    <p>Nos &#250;ltimos anos, tem havido um enfoque crescente sobre a prote&#231;&#227;o dos seres humanos que participam de pesquisas e a documenta&#231;&#227;o da revis&#227;o &#233;tica em estudos cl&#237;nicos, principalmente em vista das transgress&#245;es &#233;ticas denunciadas pela m&#237;dia<sup>1-3</sup>. Por conseguinte, as avalia&#231;&#245;es &#233;ticas passaram de praticamente uma aus&#234;ncia de normas para regulamenta&#231;&#245;es bastante r&#237;gidas, n&#227;o apenas para estudos cl&#237;nicos farmacol&#243;gicos mas tamb&#233;m para pesquisas epidemiol&#243;gicas.</p>
    <p>As exig&#234;ncias de aprova&#231;&#227;o do Conselho de Revis&#227;o Institucional (IRB) e obten&#231;&#227;o do termo de consentimento livre e esclarecido (TCLE) para pesquisas com seres humanos existem h&#225; mais de duas d&#233;cadas, e as regulamenta&#231;&#245;es federais de muitos pa&#237;ses exigem que as pesquisas cl&#237;nicas sejam aprovadas por um conselho de &#233;tica<sup>4-8</sup>.</p>
    <p>Entretanto, as evid&#234;ncias indicam que essas exig&#234;ncias nem sempre s&#227;o cumpridas nas publica&#231;&#245;es de pesquisas cardiovasculares na Argentina. Acreditamos que, como os padr&#245;es &#233;ticos variam amplamente entre os conselhos, talvez os pesquisadores n&#227;o tenham bem clara a necessidade de revis&#227;o &#233;tica no caso de pesquisas de baixo risco, como pesquisas epidemiol&#243;gicas. Da mesma forma, as exig&#234;ncias legais de salvaguardas seguras da confidencialidade de dados pessoais poderiam passar despercebidas, sobretudo em estudos observacionais com acompanhamento.</p>
    <p>O objetivo deste estudo foi analisar a freq&#252;&#234;ncia com que a aprova&#231;&#227;o do Conselho de Revis&#227;o Institucional e o termo de consentimento livre e esclarecido s&#227;o obtidos na Argentina.</p>
    <p>
      <bold>M&#233;todos</bold>
    </p>
    <p>Analisamos todos os artigos sobre pesquisas cardiovasculares envolvendo seres humanos apresentados no nosso encontro cient&#237;fico anual (Congresso de Cardiologia Argentino) realizado em 2006. Os artigos foram divididos em estudos cl&#237;nicos farmacol&#243;gicos, pesquisas sobre cardiologia intervencionista, eletrofisiologia ou cirurgia, estudos para avalia&#231;&#227;o de novos dispositivos, estudos prospectivos para avalia&#231;&#227;o de novos m&#233;todos diagn&#243;sticos ou novas aplica&#231;&#245;es de tecnologia conhecida e estudos observacionais prospectivos ou epidemiol&#243;gicos envolvendo ou n&#227;o dosagens bioqu&#237;micas ou m&#233;todos diagn&#243;sticos n&#227;o-invasivos. Estudos observacionais retrospectivos ou epidemiol&#243;gicos, metan&#225;lises e relatos de casos foram exclu&#237;dos da an&#225;lise, uma vez que n&#227;o existe consenso sobre a necessidade de revis&#227;o &#233;tica. Depois de analisar os artigos restantes, entramos em contato com os autores para ver se eles podiam documentar a avalia&#231;&#227;o do Conselho de Revis&#227;o Institucional, os mecanismos de obten&#231;&#227;o do termo de consentimento livre e esclarecido e o cumprimento das normas do Departamento de Medicamentos e Avalia&#231;&#227;o de Estudos Cl&#237;nicos da ANMAT, &#243;rg&#227;o respons&#225;vel pelo controle de alimentos, medicamentos e tecnologia m&#233;dica na Argentina. Quando nenhum desses aspectos podia ser corroborado, ped&#237;amos que os autores explicassem os motivos.</p>
    <p>O projeto de pesquisa foi aprovado pelo Conselho de Revis&#227;o Institucional local, em conformidade com a Declara&#231;&#227;o de Helsinque.</p>
    <p>
      <bold>Resultados</bold>
    </p>
    <p>Dos 341 resumos de pesquisas com seres humanos, cem (29,3%) eram de estudos prospectivos que preenchiam os crit&#233;rios de inclus&#227;o para serem avaliados. A classifica&#231;&#227;o dos artigos revelou que 34 (9,9%) eram estudos prospectivos que avaliavam novos m&#233;todos diagn&#243;sticos, como angiografia coronariana por tomografia computadorizada (TC) com multidetectores ou novas aplica&#231;&#245;es de m&#233;todos conhecidos, como resson&#226;ncia magn&#233;tica para avalia&#231;&#227;o de comunica&#231;&#227;o interatrial. Trinta e dois artigos (9,4%) eram sobre estudos epidemiol&#243;gicos prospectivos; esses artigos compreendiam pesquisas observacionais baseadas em registros prospectivos que inclu&#237;am ou n&#227;o procedimentos n&#227;o-invasivos ou de baixo risco, como dosagens bioqu&#237;micas, radiografias etc. Vinte e quatro resumos (7%) eram de pesquisas que envolviam procedimentos invasivos, como cirurgia ou cardiologia intervencionista. Esse grupo tamb&#233;m incluiu estudos cl&#237;nicos controlados para avalia&#231;&#227;o de novos dispositivos m&#233;dicos, como <italic>stents</italic>, valvas card&#237;acas etc. Por fim, dez artigos (2,9%) eram de estudos cl&#237;nicos t&#237;picos de farmacologia ou terapia celular. A <xref ref-type="table" rid="tab02g1">tabela 1</xref> apresenta as recomenda&#231;&#245;es para avalia&#231;&#227;o do Conselho de Revis&#227;o Institucional, os requisitos para obten&#231;&#227;o do termo de consentimento livre e esclarecido e as normas federais locais para cada tipo de artigo<sup>9-14</sup>.</p>
    <p content-type="asset">
      <table-wrap id="tab02g1">
        <graphic xlink:href="1678-4170-abc-90-05-0317-00002-gt01.jpg"/></table-wrap>
    </p>
    <p>Os autores desses cem artigos responderam a um question&#225;rio sobre dados de natureza &#233;tica. Trinta e seis por cento dos question&#225;rios foram devolvidos com confirma&#231;&#227;o de revis&#227;o &#233;tica, 34% responderam que n&#227;o havia sido feita revis&#227;o &#233;tica, 23% alegaram ter sido isentados da revis&#227;o e 7% n&#227;o foram devolvidos. A maioria dos artigos submetidos &#224; revis&#227;o &#233;tica era de estudos cl&#237;nicos farmacol&#243;gicos ou pesquisas para avalia&#231;&#227;o de novos dispositivos m&#233;dicos (<xref ref-type="table" rid="tab02g2">tabela 2</xref>). Em contrapartida, a maioria dos artigos que n&#227;o passaram por revis&#227;o &#233;tica referia-se a pesquisas epidemiol&#243;gicas ou estudos para avalia&#231;&#227;o de m&#233;todos diagn&#243;sticos n&#227;o-invasivos.</p>
    <p content-type="asset">
      <table-wrap id="tab02g2">
        <graphic xlink:href="1678-4170-abc-90-05-0317-00002-gt02.jpg"/></table-wrap>
    </p>
    <p>Setenta por cento dos estudos cl&#237;nicos farmacol&#243;gicos de fase IV, pesquisas sobre implante celular ou avalia&#231;&#227;o de novos dispositivos estavam de acordo com as exig&#234;ncias das normas federais.</p>
    <p>
      <bold>Discuss&#227;o</bold>
    </p>
    <p>Este estudo indica que a taxa de revis&#227;o do IRB e o uso de termo de consentimento livre e esclarecido variam entre os tipos de artigos. A maior parte das pesquisas sobre estudos observacionais prospectivos e cerca de 53% dos protocolos para interven&#231;&#245;es ou procedimentos invasivos n&#227;o relatam avalia&#231;&#245;es &#233;ticas. Essa elevada porcentagem de artigos que n&#227;o s&#227;o submetidos &#224; revis&#227;o &#233;tica indica a presen&#231;a de falhas legais e &#233;ticas que devem ser discutidas e corrigidas.</p>
    <p>N&#227;o resta d&#250;vida que os estudos cl&#237;nicos devem ser supervisionados por conselhos institucionais, para que a viabilidade &#233;tica da pesquisa durante os est&#225;gios de elabora&#231;&#227;o, implementa&#231;&#227;o e desenvolvimento possa ser julgada. Alguns tipos de protocolo para a avalia&#231;&#227;o de novos medicamentos ou dispositivos exigem autoriza&#231;&#245;es oficiais do &#243;rg&#227;o federal, cujos requisitos sempre incluem revis&#227;o e aprova&#231;&#227;o do Conselho de Revis&#227;o Institucional. Por outro lado, ainda existem controv&#233;rsias sobre a necessidade de aprova&#231;&#227;o do conselho de &#233;tica para os estudos epidemiol&#243;gicos.</p>
    <p>A maior parte das pesquisas epidemiol&#243;gicas observacionais baseia-se em dados j&#225; existentes, em geral obtidos por meio de revis&#227;o retrospectiva de prontu&#225;rios m&#233;dicos. Nesse caso, o consenso &#233; de que n&#227;o h&#225; necessidade de revis&#227;o &#233;tica quando os pesquisadores providenciam salvaguardas seguras de confidencialidade. Aproximadamente 70% dos artigos avaliados neste trabalho eram desse tipo. Da mesma forma, 72% dos autores achavam que as pesquisas epidemiol&#243;gicas prospectivas com procedimentos de baixo risco tamb&#233;m estavam isentas de revis&#227;o &#233;tica e obten&#231;&#227;o do termo de consentimento livre e esclarecido, embora essa opini&#227;o n&#227;o seja un&#226;nime entre os Conselhos de Revis&#227;o Institucionais. A atitude dos pesquisadores poderia ser justificada, pois v&#225;rias diretrizes &#233;ticas internacionais para pesquisas epidemiol&#243;gicas indicam que, quando o delineamento dos estudos acarreta apenas um risco m&#237;nimo e a exig&#234;ncia de obten&#231;&#227;o do termo de consentimento livre e esclarecido &#233; impratic&#225;vel (por exemplo, quando a pesquisa envolve apenas a extra&#231;&#227;o de dados de registros de pacientes), o Conselho de Revis&#227;o Institucional pode abrir m&#227;o de alguns ou de todos os elementos do termo de consentimento<sup>13-14</sup>. Vale a pena enfatizar que o fato de n&#227;o haver necessidade do termo de consentimento livre e esclarecido n&#227;o isenta o pesquisador da revis&#227;o por um conselho de &#233;tica, que decidir&#225; se abrir&#225; ou n&#227;o m&#227;o desse requisito. Dessa maneira, os Conselhos de Revis&#227;o Institucionais avaliariam cada protocolo a fim de fazer com que os pesquisadores se comprometam a instituir salvaguardas de confidencialidade dos dados pessoais. O mesmo vale para estudos epidemiol&#243;gicos prospectivos com procedimentos de baixo risco, como dosagens bioqu&#237;micas adicionais ou m&#233;todos diagn&#243;sticos n&#227;o-invasivos, pois cabe &#224; revis&#227;o &#233;tica decidir se existe necessidade de um termo de consentimento livre e esclarecido.</p>
    <p>Outros casos especiais dizem respeito a estudos para avalia&#231;&#227;o de novos m&#233;todos diagn&#243;sticos n&#227;o-invasivos ou novas aplica&#231;&#245;es de tecnologias conhecidas. Em nosso trabalho, 9,9% dos artigos eram desse tipo, e um ter&#231;o deles foi considerado isento de avalia&#231;&#227;o &#233;tica pelos pesquisadores por se tratar de pesquisa cl&#237;nica de baixo risco. Nesse caso, os pesquisadores costumavam subestimar o risco dos procedimentos, como foi o caso de um protocolo de avalia&#231;&#227;o de teste de esfor&#231;o com bicicleta ergom&#233;trica em pacientes com estenose grave da valva a&#243;rtica.</p>
    <p>Encontramos uma grande porcentagem de artigos sobre pesquisas envolvendo m&#233;todos invasivos, como cardiologia intervencionista, eletrofisiologia e cirurgia, que n&#227;o foram submetidos &#224; revis&#227;o &#233;tica. Embora esses procedimentos invasivos sejam empregados com freq&#252;&#234;ncia na &#225;rea de cardiologia, o risco associado a eles n&#227;o pode ser considerado baixo. Nesses casos, n&#227;o se pode admitir a falta de aprova&#231;&#227;o do Conselho de Revis&#227;o Institucional e do termo de consentimento livre e esclarecido; &#233; preciso fazer com que os pesquisadores cumpram os padr&#245;es &#233;ticos vigentes para esse tipo de protocolo.</p>
    <p>As sociedades cient&#237;ficas e revistas locais geralmente alertam o pesquisador sobre a necessidade de submeter o trabalho ao Conselho de Revis&#227;o Institucional, mas muitas vezes a monitora&#231;&#227;o do cumprimento dos requisitos &#233; negligenciada, sobretudo quando os resumos s&#227;o apresentados em um encontro cient&#237;fico. Os editores e as organiza&#231;&#245;es cient&#237;ficas devem sanar esse problema, exigindo ades&#227;o aos padr&#245;es &#233;ticos nacionais e internacionais dos estudos que os autores enviam para avalia&#231;&#227;o e publica&#231;&#227;o<sup>3</sup>.</p>
    <p>Alguns estudos analisaram a atitude dos pesquisadores de pa&#237;ses em desenvolvimento em rela&#231;&#227;o ao papel dos Conselhos de Revis&#227;o Institucionais locais de garantir a adequa&#231;&#227;o dos padr&#245;es &#233;ticos em pesquisas multinacionais realizadas nesses pa&#237;ses. Embora os pesquisadores tenham afirmado que em geral existe um processo de revis&#227;o local, eles admitiram que algumas falhas no procedimento de revis&#227;o podem fazer com que diversos projetos de pesquisa n&#227;o sejam revistos por um conselho de &#233;tica<sup>15</sup>.</p>
    <p>A regulamenta&#231;&#227;o federal dos Estados Unidos identifica tr&#234;s n&#237;veis de revis&#227;o para pesquisas realizadas com seres humanos: revis&#227;o expressa, revis&#227;o completa e isen&#231;&#227;o de revis&#227;o. Um estudo apropriado para revis&#227;o expressa &#233; o que acarreta risco m&#237;nimo para o sujeito da pesquisa. De acordo com a defini&#231;&#227;o na norma federal, "risco m&#237;nimo significa que a probabilidade e a magnitude do dano ou desconforto previsto na pesquisa n&#227;o s&#227;o maiores que os encontrados normalmente no cotidiano ou durante a realiza&#231;&#227;o de exames ou testes f&#237;sicos ou psicol&#243;gicos de rotina"<sup>9</sup>. Nesse caso, os conselhos de &#233;tica poderiam fornecer uma aplica&#231;&#227;o simplificada de uma revis&#227;o expressa de pesquisa que utilizasse revis&#227;o de dados, registros ou amostras de pacientes. Entretanto, os processos dos Conselhos de Revis&#227;o Institucionais para estudos com risco m&#237;nimo variam consideravelmente<sup>10,12</sup>. Estudos expressos realizados por meio de revis&#245;es de prontu&#225;rios e radiografias, estudos observacionais ou epidemiol&#243;gicos e pesquisas que envolvem exerc&#237;cios f&#237;sicos, coleta de sangue ou outros procedimentos de risco m&#237;nimo<sup>9</sup> rotineiros podem ser revistos por uma subcomiss&#227;o ou em n&#237;vel administrativo, em vez de exigirem uma aprova&#231;&#227;o plena do Conselho de Revis&#227;o Institucional<sup>12</sup>.</p>
    <p>Os estudos que requerem avalia&#231;&#227;o completa s&#227;o os que imp&#245;em riscos maiores do que os m&#237;nimos para os sujeitos da pesquisa; incluem-se nessa categoria os estudos cl&#237;nicos de medicamentos, dispositivos m&#233;dicos ou procedimentos invasivos, bem como pesquisas com popula&#231;&#245;es vulner&#225;veis.</p>
    <p>Por fim, os estudos isentos de aprova&#231;&#227;o do Conselho de Revis&#227;o Institucional abrangem revis&#245;es retrospectivas de dados desidentificados ou coleta de amostras de tecidos desidentificadas; entretanto, essas isen&#231;&#245;es devem ser feitas por um conselho de &#233;tica, pois as pesquisas destinadas &#224; publica&#231;&#227;o geralmente precisam ser revistas por um Conselho de Revis&#227;o Institucional.</p>
    <p>As pesquisas devem basear-se em padr&#245;es &#233;ticos aceitos, mas esses padr&#245;es devem ser aplicados levando-se em considera&#231;&#227;o o equil&#237;brio entre os riscos e benef&#237;cios associados &#224; pesquisa. No caso de avalia&#231;&#227;o de novos medicamentos, dispositivos ou m&#233;todos invasivos, devem ser obrigat&#243;rias a aprova&#231;&#227;o do Conselho de Revis&#227;o Institucional e a obten&#231;&#227;o do termo de consentimento livre e esclarecido; por&#233;m, no caso de estudos observacionais prospectivos que envolvem procedimentos de baixo risco ou estudos para avalia&#231;&#227;o de m&#233;todos diagn&#243;sticos n&#227;o-invasivos, pode-se abrir m&#227;o do TCLE. Em suma, como as avalia&#231;&#245;es &#233;ticas muitas vezes s&#227;o demoradas e dispendiosas, todos os protocolos devem ser analisados levando-se em conta os riscos e benef&#237;cios<sup>16</sup>.</p>
    <p>Para elevar os padr&#245;es &#233;ticos das pesquisas em todos os estudos cl&#237;nicos, ser&#225; necess&#225;rio fornecer instru&#231;&#245;es adicionais aos pesquisadores e diretrizes mais precisas para os membros do Conselho de Revis&#227;o Institucional. A ades&#227;o &#224;s pesquisas e uma documenta&#231;&#227;o completa da revis&#227;o &#233;tica dos estudos cl&#237;nicos aumentar&#227;o a prote&#231;&#227;o dos sujeitos de pesquisa, bem como a confian&#231;a do p&#250;blico no processo.</p>
    <p>Concluindo, este trabalho demonstrou que a taxa de an&#225;lise do Conselho de Revis&#227;o Institucional e a obten&#231;&#227;o do termo de consentimento livre e esclarecido variam entre os tipos de artigos nas publica&#231;&#245;es argentinas de pesquisas cardiovasculares. A maior parte das pesquisas referentes a estudos observacionais prospectivos, e cerca de 50% dos protocolos de interven&#231;&#245;es ou procedimentos invasivos, n&#227;o relatam a exist&#234;ncia de revis&#227;o &#233;tica. A elevada porcentagem de artigos que n&#227;o s&#227;o submetidos &#224; revis&#227;o &#233;tica indica a presen&#231;a de falhas legais e &#233;ticas que devem ser discutidas e corrigidas.</p>
    <p>Este estudo foi revisado e aprovado pelo Conselho de Revis&#227;o Institucional (Conselho de Bio&#233;tica) da Sociedade Argentina de Cardiologia em 22 de novembro de 2006. A discuss&#227;o do estudo foi registrada no Livro 1 (um), p&#225;gina 16 desse Conselho. Para obter uma c&#243;pia impressa do texto, entre em contato com o IRB da Sociedade Argentina de Cardiologia (<ext-link ext-link-type="uri" xlink:href="http://www.sac.org.ar">www.sac.org.ar</ext-link>), Azcu&#233;naga 980, 1115 Buenos Aires, Argentina (<email xlink:href="bioetica@sac.org.ar">bioetica@sac.org.ar</email>)".</p>
    <p>
      <bold>Potencial Conflito de Interesses</bold>
    </p>
    <p>Declaro n&#227;o haver conflito de interesses pertinentes.</p>
    <p>
      <bold>Fontes de Financiamento</bold>
    </p>
    <p>O presente estudo n&#227;o teve fontes de financiamento externas.</p>
    <p>
      <bold>Vincula&#231;&#227;o Acad&#234;mica</bold>
    </p>
    <p>N&#227;o h&#225; vincula&#231;&#227;o deste estudo a programas de p&#243;s-gradua&#231;&#227;o.</p>
    <p>
      <fn id="back" fn-type="corresp">
        <p>Correspond&#234;ncia:</p>
        <p> Ra&#250;l A. Borracci </p>
        <p> La Pampa 3030 1&#186;B - 1428 </p>
        <p> Buenos Aires - Argentina </p>
        <p> E-mail: </p>
        <p>
          <email xlink:href="borracci@univerisa.com.ar">borracci@univerisa.com.ar</email>
        </p>
      </fn>
    </p>
    <p>Artigo recebido em 27/09/07; revisado recebido em 13/11/07; aceito em 13/11/07.</p>
  </body>
  <back>
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  </back>
  <sub-article article-type="translation" id="TRen" xml:lang="en">
    <front-stub>
      <article-categories>
        <subj-group subj-group-type="heading">
          <subject>Original Articles</subject>
        </subj-group>
      </article-categories>
      <title-group>
        <article-title xml:lang="en">Ethical review and informed consent in cardiovascular research reports in Argentina</article-title>
      </title-group>
      <abstract xml:lang="en">
        <p>BACKGROUND: Requirements for Institutional Review Board approval and informed consent for research involving human subjects have existed for more than 2 decades. However, evidence of fulfillment of these requirements is sometimes lacking in cardiovascular research reports in Argentina. Since ethical standards vary between committees, there may be some confusion among researchers regarding the need for an ethical review when conducting low risk research. OBJECTIVE: To examine the frequency of obtaining an ethical review and informed consent in cardiovascular research in Argentina. METHODS: Through a questionnaire, we contacted authors of 100 reports submitted to our annual scientific meeting during 2006. RESULTS: Thirty six per cent of questionnaires were resubmitted with confirmation of ethical review, 34% responded that ethical review was not obtained, 23% reported as being exempt and 7% were never resubmitted. Most articles obtaining ethical review were pharmacological trials or research involving assessment of new devices. On the other hand, most articles reporting lack of or exemption from ethical review come from epidemiological research or studies evaluating non-invasive methods. Sixty percent of phase IV pharmacological trials, research on cellular implantation or assessment of new devices met federal regulations requirements. CONCLUSION: The rate of ethical review and use of informed consent in cardiovascular reports in Argentina vary among articles. Most research involving prospective observational studies and nearly 50% of protocols including intervention or invasive procedures do not report ethical review. This high proportion of articles lacking ethical review suggests the presence of legal and ethical flaws which should be discussed and overcome.</p>
      </abstract>
      <kwd-group xml:lang="en">
        <kwd>Ethical review</kwd>
        <kwd>informed consent</kwd>
        <kwd>publications for science diffusion</kwd>
        <kwd>Argentina</kwd>
      </kwd-group>
    </front-stub>
    <body>
      <p>
        <bold>ORIGINAL ARTICLE</bold>
      </p>
      <p>
        <fn id="top-body2">
          <label>
            <bold>Ethical review and informed consent in cardiovascular research reports in Argentina </bold>
          </label>
          <p>
            <bold>Ra&#250;l A. Borracci; Gustavo Calder&#243;n; Mart&#237;n R. Seoane; Anal&#237;a C. Perez; Hern&#225;n C. Doval</bold>
          </p>
        </fn>
      </p>
      <p>Research Area, Argentine Society of Cardiology, Ethical Board, Argentine Society of Cardiology, Dept. Drugs &amp; Clinical Trial Evaluation, A.N.M.A.T., Argentina</p>
      <p>Mailing address</p>
      <p>
        <bold>SUMMARY</bold>
      </p>
      <p><bold>BACKGROUND:</bold> Requirements for Institutional Review Board approval and informed consent for research involving human subjects have existed for more than 2 decades. However, evidence of fulfillment of these requirements is sometimes lacking in cardiovascular research reports in Argentina. Since ethical standards vary between committees, there may be some confusion among researchers regarding the need for an ethical review when conducting low risk research.</p>
      <p><bold>OBJECTIVE:</bold> To examine the frequency of obtaining an ethical review and informed consent in cardiovascular research in Argentina.</p>
      <p><bold>METHODS:</bold> Through a questionnaire, we contacted authors of 100 reports submitted to our annual scientific meeting during 2006.</p>
      <p><bold>RESULTS:</bold> Thirty six per cent of questionnaires were resubmitted with confirmation of ethical review, 34% responded that ethical review was not obtained, 23% reported as being exempt and 7% were never resubmitted. Most articles obtaining ethical review were pharmacological trials or research involving assessment of new devices. On the other hand, most articles reporting lack of or exemption from ethical review come from epidemiological research or studies evaluating non-invasive methods. Sixty percent of phase IV pharmacological trials, research on cellular implantation or assessment of new devices met federal regulations requirements.</p>
      <p><bold>CONCLUSION:</bold> The rate of ethical review and use of informed consent in cardiovascular reports in Argentina vary among articles. Most research involving prospective observational studies and nearly 50% of protocols including intervention or invasive procedures do not report ethical review. This high proportion of articles lacking ethical review suggests the presence of legal and ethical flaws which should be discussed and overcome.</p>
      <p><bold>Key words:</bold> Ethical review; informed consent; publications for science diffusion; Argentina.</p>
      <p>
        <bold>Introduction</bold>
      </p>
      <p>In recent years there has been increased focus on human subject protection and documentation of ethical review in clinical studies, especially since media reports of ethical transgressions have been denounced<sup>1-3</sup>. Consequently ethical appraisals have gone from almost no rules to very strictly regulations including not only clinical pharmacological trials but also epidemiological research.</p>
      <p>The requirements for Institutional Review Board (IRB) review and informed consent for research involving human subjects have existed for more than two decades, and in many countries federal regulations on clinical investigation demand approval by an ethics committee<sup>4-8</sup>.</p>
      <p>We questioned the fact that evidence of fulfillment of these requirements is sometimes lacking in cardiovascular research in Argentina. We hypothesize that, since ethical standards vary widely between different committees, researchers might be confused regarding the need for an IRB approval when conducting low risk clinical investigation, such as epidemiological research. In the same way, legal requirements for secure safeguards of personal data confidentiality could pass unnoticed, especially in observational studies involving follow-up.</p>
      <p>The aim of this study was to examine the frequency of obtaining IRB approval and informed consent in cardiovascular reports in Argentina.</p>
      <p>
        <bold>Methods</bold>
      </p>
      <p>We reviewed all reports of cardiovascular research involving human subjects submitted to our annual scientific meeting (Argentine Congress of Cardiology) during 2006. Articles were divided into pharmacological clinical trials, research involving interventional cardiology, electrophysiology or surgery, trials evaluating new devices, prospective studies assessing new diagnostic methods or new applications of known technology and prospective observational or epidemiological studies that did or did not involve biochemical determinations or non-invasive methods for diagnosis. Retrospective observational or epidemiological studies, meta-analyses and case reports were excluded from the analysis since consensus exists on no need for ethical review. The remaining articles were examined and authors contacted to determine if they could document IRB evaluation, informed consent mechanisms and fulfillment of requirements of the Department of Drugs &amp; Clinical Trial Evaluation of the Argentine Federal Agency (A.N.M.A.T.). If either of these features could not be corroborated, authors were asked to explain reasons for the lack thereof.</p>
      <p>This research project has been approved by our local Institutional Review Board, according to the Declaration of Helsinki.</p>
      <p>
        <bold>Results</bold>
      </p>
      <p>Of 341 abstracts involving research with human subjects, 100 (29.3%) were prospective studies which met inclusion criteria to be evaluated. Classification of articles revealed that 34 (9.9%) were prospective studies assessing new diagnostic methods such as coronary angiography with multislice computed tomography (CT), or new applications of well-known methods like magnetic resonance for atrial septal defect evaluation. Thirty-two papers (9.4%) were prospective epidemiological articles; these comprise observational research based on prospective records, including or not non-invasive or low-risk procedures such as biochemical determinations, X-rays, etc. Research involving invasive procedures such as surgery or interventional cardiology comprised 24 abstracts (7.0%). This group also included controlled trials assessing new medical devices such as stents, heart valves, etc. Finally, 10 articles (2.9%) were typical clinical trials of pharmacology or cellular therapy. <xref ref-type="table" rid="tab1-body2">Table 1</xref> resumes recommendations for IRB evaluation, informed consent and local federal regulations requirements for each type of article<sup>9-14</sup>.</p>
      <table-wrap id="tab1-body2">
        <graphic xlink:href="1678-4170-abc-90-05-0317-00002-gt01-en.jpg"/></table-wrap>
      <p>Authors of these 100 papers were contacted by means of a questionnaire asking for ethics information. Thirty-six per cent of questionnaires were resubmitted with confirmation of ethics review, 34% responded that ethical review was not obtained, 23% reported as being exempt from review and 7% were never resubmitted. Most articles obtaining ethical review were pharmacological clinical trials or research involving assessment of new medical devices (<xref ref-type="table" rid="en_02t2-body2">Table 2</xref>). On the other hand, most articles reporting lack of or exemption from ethics review come from epidemiological research or studies evaluating new non-invasive diagnostic methods.</p>
      <p content-type="asset">
        <table-wrap id="en_02t2-body2">
          <graphic xlink:href="1678-4170-abc-90-05-0317-00002-gt02-en.jpg"/></table-wrap>
      </p>
      <p>Seventy per cent of phase IV pharmacological clinical trials, research on cellular implantation or assessment of new devices met federal regulation requirements.</p>
      <p>
        <bold>Discussion</bold>
      </p>
      <p>This study suggests that the rate of IRB review and use of informed consent vary among types of articles. Most research involving prospective observational studies and 53% of protocols including intervention or invasive procedures do not report ethical appraisals. The high proportion of articles lacking ethical review suggests the presence of legal and ethical flaws which should be discussed and overcome.</p>
      <p>There is no doubt that clinical investigation must be supervised by institutional boards in order to judge the ethical viability of research during elaboration, implementation and development stages. Some kinds of protocols evaluating new drugs or devices do require official authorizations from the national Federal Agency whose requirements always include IRB review and approval. On the other hand, need for an ethics committee approval in epidemiological studies remains controversial.</p>
      <p>Most observational epidemiological research is based upon already existing data, usually obtained by retrospective chart review. In these cases, consensus exists that there is no need for ethical review as long as investigators provide secure safeguards of confidentiality. Nearby 70% of articles evaluated in this paper were of this type. Similarly, 72% of authors perceived that prospective epidemiological research involving low-risk procedures were also exempt from ethics review and informed consent, though this opinion is not usually shared by many IRB. Researchers' attitudes could be justified taking into account that several international ethical guidelines for epidemiological research suggest that when the research design involves no more than minimal risk and requirement of individual informed consent would be impracticable (for example, where research involves only excerpting data from subjects' records), the IRB may waive some or all of the elements of informed consent<sup>13-14</sup>. It is noteworthy that waiver of the need for informed consent does not exempt the research from review by an ethics committee, which will decide whether or not to waive this requirement. In this way, IRBs would evaluate every protocol in order to commit researchers in securing safeguards of personal data confidentiality. Likewise, in prospective epidemiological studies involving low-risk procedures such as extra biochemical determinations or non-invasive methods for diagnosis, ethical appraisals are necessary to decide the requirements for informed consent.</p>
      <p>Another special case is regarding investigations assessing new non-invasive diagnostic methods or new applications of known technologies. In our study 9.9% were of this type, and one-third of these were considered by researchers as exempt from ethical appraisal because of being low-risk clinical investigations. In this situation, researchers tend to underestimate the risk of procedures, such as was the case of a protocol assessing an exercise test using a bicycle ergometer in patients with critical valvular aortic stenosis.</p>
      <p>A high proportion of articles lacking ethical review were found in research involving invasive methods such as interventional cardiology, electrophysiology or surgery. Although these invasive procedures are frequently employed in cardiology, associated risk cannot be considered low. In these cases, lack of IRB approval and informed consent cannot be accepted; much work must be done for investigators to fulfill current ethical standards in this type of protocols.</p>
      <p>Scientific societies and local journals usually alert the researcher to the need for IRB review, but subsequent monitoring of fulfillment of said requirements is often neglected, especially when abstracts are communicated in a scientific meeting. Editors and scientific organizations must rectify this problem by enforcement of national and international ethical standards in the research studies that authors send for evaluation and publication<sup>3</sup>.</p>
      <p>Some studies have explored the attitudes of researchers from developing countries regarding the role of local IRB in ensuring the adequacy of ethical standards in multinational research conducted in those countries. Although researchers have reported that the local review process generally takes place, they admitted that gaps in the review procedure can result in a number of research projects not being reviewed by an ethics committee<sup>15</sup>.</p>
      <p>United States' federal regulation identifies three levels of review for human subjects research. These are expedited review, full review, and exemption from review. A study suitable for expedited review is one involving minimal risk to the research subject. As defined by federal regulation, "minimal risk means that the probability and magnitude of harm or discomfort anticipated in the research are not greater in and of themselves than those ordinarily encountered in daily life or during the performance of routine physical or psychological examinations or tests"<sup>9</sup>. In this case, ethics committees could provide a simplified application for an expedited review of research involving a review of patient data, records, or specimens. However, considerable variability in IRB processes for minimal risk studies has been reported<sup>10,12</sup>. Expedited studies that include chart and radiograph reviews, observational or epidemiological studies, and research that involve routine physical exercise, blood drawing, and other minimal risk procedures<sup>9</sup>, may be reviewed by a subcommittee or administratively within the office, instead of full IRB approval<sup>12</sup>. Studies requiring full evaluation are those that pose greater than minimal risk to research subjects; these include most clinical trials involving drugs, devices or invasive procedures, as well as research including vulnerable populations. Finally, studies exempted from IRB include retrospective reviews of de-identified data or collection of de-identified tissue samples; however these exemptions must be made by an ethics committee, since research intended for publication generally warrants review by an IRB.</p>
      <p>Research must rest upon accepted ethical standards, but these standards must be applied taking into consideration the balance between the risk involved in the investigation and the benefits provided by research. Within this scope, IRB approval and informed consent must be mandatory when assessing new drugs, devices or invasive methods, but requirements for informed consent could be waived for prospective observational studies involving low-risk procedures, or trials evaluating new non-invasive diagnostic methods. In short, since ethical appraisals are often time consuming and costly, it is reasonable to address all protocols taking risk and benefits into consideration<sup>16</sup>.</p>
      <p>Improving research ethical standards for clinical investigation will require additional education for investigators and clearer guidelines for IRB members. Research adherence and full documentation of ethical review in clinical studies will improve protection for research subjects as well as the public trust in the process.</p>
      <p>In conclusion, this study demonstrated that the rate of IRB review and the use of informed consent in cardiovascular research reports in Argentina vary according to the type of article. Most research involving prospective observational studies and nearly 50% of protocols including intervention or invasive procedures do not report ethical appraisals. The high proportion of articles lacking ethical review suggests the presence of legal and ethical flaws which should be discussed and overcome.</p>
      <p>The study was reviewed and approved by the Institutional Review Board (Bioethics Committee) of the Argentine Society of Cardiology on November 22, 2006. The discussion of the study was registered in Book 1 (one), page 16 of this Board. If necessary a hard copy of the text can be obtained by contacting the IRB of Argentine Society of Cardiology (<ext-link ext-link-type="uri" xlink:href="http://www.sac.org.ar">www.sac.org.ar</ext-link>), Azcu&#233;naga 980, 1115 Buenos Aires, Argentina (<email xlink:href="bioetica@sac.org.ar">bioetica@sac.org.ar</email>)".</p>
      <p>
        <bold>Potential Conflict of Interest</bold>
      </p>
      <p>No potential conflict of interest relevant to this article was reported.</p>
      <p>
        <bold>Sources of Funding</bold>
      </p>
      <p>There were no external funding sources for this study.</p>
      <p>
        <bold>Study Association</bold>
      </p>
      <p>This study is not associated with any graduation program.</p>
      <p>
        <bold>References</bold>
      </p>
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  </sub-article>
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