newcehnheader
home ] resource guide ] training manual ] get involved ] publications ] index ] about CEHN ]

 


What's New

Donate
Donate Now

Links

 

 

 
August 18, 2003


Public Information and Records Integrity Branch (PIRIB)
7502C
Office of Pesticide Programs (OPP)
U.S. Environmental Protection Agency
1200 Pennsylvania Ave., NW.
Washington, DC 20460-0001

RE: Docket ID number OPP-2003-0132

The Children’s Environmental Health Network strongly supports the establishment of criteria and standards for the U.S. Environmental Protection Agency (EPA) to apply in deciding the extent to which it will consider or rely on various types of research with human subjects to support its actions. We appreciate the opportunity to submit comments as part of this rulemaking process.

The Network is a national multi-disciplinary non-profit organization dedicated to protecting the fetus and child from environmental toxicants and to promoting a healthy environment. The Children’s Environmental Health Network was created to promote the incorporation of these basic pediatric principles in policy and practice:

  • Children are growing. Pound for pound, children eat more food, drink more water and breathe more air than adults. Thus, they are likely to be more exposed to substances in their environment than are adults. Children have higher metabolic rates than adults and are different from adults in how their bodies absorb, detoxify and excrete toxicants.

  • Children’s systems, including their nervous, reproductive, digestive, respiratory and immune systems, are developing. This process of development creates periods of vulnerability. Exposure to toxicants at such times may result in irreversible damage when the same exposure to a mature system may result in little or no damage.

  • Children behave differently than adults, leading to a different pattern of exposures to the world around them. For example, they exhibit hand-to-mouth behavior, ingesting whatever substances may be on their hands, toys, household items, and floors. Children play and live in a different space than do adults. For example, very young children spend hours close to the ground where there may be more exposure to toxicants in dust, soil, and carpets as well as low-lying vapors such as radon or pesticides.

  • Children have a longer life expectancy than adults; thus they have more time to develop diseases with long latency periods that may be triggered by early environmental exposures, such as cancer or Parkinson's disease.

Children do not have control over their environment and are not able to remove themselves from harmful situations. They must rely on adults to assure they are in a healthy environment.

Though the process of child growth and development does not change, the world in which today’s children live has changed tremendously from that of previous generations. One of these changes is the phenomenal increase in substances to which children are exposed. Synthetic chemicals are ubiquitous in our environment worldwide, and traces of these compounds are found in all humans and animals. For the majority of the thousands of new chemicals introduced into children’s environments since World War II, little is known about the health effects on children.

The Network has closely followed the issue of EPA’s handling of third-party research involving human subjects for several years and has submitted numerous comments to the Agency on this topic. It is our sense that the EPA has had great difficulty in understanding that it has an obligation to protect human rights while responsibly implementing the laws of the nation with respect to pesticide regulation. An extraordinary variety of organizations share our concerns, such as the American Public Health Association, the Association of Women's Health, Obstetric and Neonatal Nurses, the National Medical Association, the Farmworker Justice Fund, the National Council of La Raza, and religious denominations including the United Methodist Church, the Evangelical Lutheran Church, the Catholic Church and the Presbyterian Church. In 1999, more than 45 organizations wrote to the Administrator expressing their concerns about tests that intentionally dose humans with substances designed to be toxic, with no conceivable benefit to the subject, solely for eliminating or lessening regulatory safety margins.

Clearly, these organizations agree with us that the issue now before the Agency is of the highest import. Yet, to this date, there has been a failure to act.

This issue is of course vital to any individuals who may participate directly in such studies as subjects; their welfare must be assiduously protected. But the decision on whether and how to conduct tests to be submitted to the Agency and how the Agency will assure compliance with ethical standards also has implications for a variety of different populations, from all children, to children with disabilities, to children in minority and/or farmworker communities, to farmworkers and others. For example, deciding that it would be acceptable to use “data” from a “study” where a dozen healthy adult men drank a pesticide cocktail to eliminate one of the core safety factors used in regulating pesticides would directly affect children. Such a decision would allow children to be exposed to that pesticide at ten times the level previously considered acceptable. Thus the Agency must consider, as directed by Executive Order 10345 and EPA policy, the impact its policies, standards and guidance in this matter will have on children.

Just as the EPA is responsible for protection of health and the environment, also it is responsible for assuring the protection of human rights. The U.S., along with most other nations of the world, have made strong commitments to the protection of human rights in research. Neither the EPA nor the pesticide manufacturers have been exempted from these agreements. When we fail to provide adequate protection from exposure to toxicants in the environment, there are groups who will be more affected; most often these are low income or minority communities. These same communities are the ones that most likely would be tempted by large incentives to participate in human studies that are of no benefit to them personally or to their communities. This is a critical issue that must also be addressed.

For these reasons and others, the Network strongly supports the adherence to the highest ethical and scientific standards in conducting scientific inquiry and in setting policies, guidelines and standards. Direction and policy from the EPA on this matter is long overdue and the Network commends the Agency for proceeding with rulemaking on this topic.

Correcting the Record

The Network strongly urges the EPA to correct troubling and inaccurate statements included in the Federal Register notice of this request for comments regarding the findings of the joint SAB/SAP Data from Testing of Human Subjects Subcommittee (DTHSS) advisory committee, created in 1998 to examine some of these issues. Whether this is a matter of poor recall or a deliberate effort to erase the work of its advisory process, it is important to set the record straight. The EPA and the public will be ill-served if the Agency builds its standards on the foundation of such faulty history as presented in the Register. The Federal Register notice mischaracterizes (at best) a main conclusion of the committee:

“No clear consensus emerged from the advisory committee process on the acceptability of NOAEL or NOEL [respectively, No Observed Adverse Effect Level or No Observed Effect Level] studies of systemic toxicity of pesticides to human subjects, and significant differences of opinion remain on both their scientific merit and ethical acceptability.”

It is true that the panel did not reach a complete consensus on every single issue. However, as the numerous citations below attest, there was a full consensus on the specific issue of the acceptability of human studies to assess systemic toxicity of pesticides and thereby develop NOAEL/NOEL’s. Below are direct quotes from the committee report that clearly demonstrate that this indeed was their consensus. From the committee’s report, page 11:

“the Subcommittee, in general, would not support human experimentation primarily to determine a No Observed Adverse Effects Level (NOAEL).
(emphasis in the original)

and page 12:

[other types of studies would result in ]“fewer of the ethical quandaries that arise when they are used simply to establish a NOAEL that lacks cogent scientific value and whose purpose can be interpreted as simply an argument for higher permissible exposure levels.”
(emphasis in the original)

and page 16:

“Considering the other problems associated with the use of NOAEL/LOAEL’s (e.g. design dependency, not an estimated value but the result of a test), the Subcommittee does not believe human studies should be used to directly estimate these quantities.”

and page 17:

“It agreed that, generally, human dosing experiments are not appropriate if the primary intent of the study is to determine or revise a NOEL or NOAEL so as to eliminate the interspecies uncertainty factor.”

and page 26:

“But research that yields benefits to the population at the expense of risk to the subjects of research is ripe for exploitation, and may arguably be inherently exploitative. In this vein, the Subcommittee would not support human dosing that intended bring (sic) about increased allowable residue levels.”

Relating to differences of opinion on these tests, the report makes repeated statements, such as:

“If it can be justified at all to expose human subjects intentionally to toxic substances, the threshold of justification for such action should be very high.”

The Network calls on the Agency to discard the faulty interpretation published in Federal Register notice and urges the Agency to protect against the use of this defective analysis in further developing these standards and criteria. The Agency’s reluctance to straightforwardly acknowledge recommendations by its own advisory panel that it apparently is balking at accepting (by, for example, not acting on the recommendations for several years now) does not bode well for the ability of EPA to uphold its responsibility to protect human rights even while it serves as a responsible steward of the nation’s pesticide registration process.

General Comments

The Network provides brief answers to the questions raised in the Federal Register notice after our general comments on this issue.

The genesis of this current effort evolved from concerns raised by one specific type of test conducted by pesticide registrants or similar “third parties”: human studies conducted by manufacturers after the passage of the Food Quality Protection Act (FQPA) in 1996. These studies involved dosing people orally with organophosphate pesticides to determine acute “no effect” levels (herein called HOPT, or human oral pesticide toxicity studies). The joint SAB/SAP panel whose recommendation was misrepresented in the Federal Register, as described above, focused on this category of “study.”

As the Federal Register notice states, “EPA is now interested in addressing these issues more broadly, and in all Agency programs.” The Network commends EPA for seeking Agency-wide guidance. Protection of human subjects and support of ethically- and scientifically-conducted studies should be an Agency-wide goal and standard and the Network strongly supports the adoption of rigorous standards regarding tests involving human subjects.

The Agency considers many types of studies, including some studies required as part of the “Occupational and Residential Exposure” pesticide test guidelines. These contain requirements for biological monitoring of pesticide exposures to workers exposed as applicators and in post-application work situations. These studies as well as epidemiology studies that might be considered by the Agency are in a different category than the HOPT studies, in that they were assessing exposures and health impacts among people who already were exposed in order to determine the need for additional protections. While a strong agreement exists that no regulatory testing of pesticides should ever be conducted on children (unlike pharmaceuticals), children might well be subjects of epidemiological investigations to monitor exposures and effects of pesticides. All of these studies are scientifically and ethically different than the HOPT studies.

Though the Agency is developing standards for all programs, the critical issue at this time remains the HOPT study. The Network believes that, whether under either a general Agency-wide standard that considers all types of studies or under criteria focused solely on this single category of study, no genuinely ethical or scientific yardstick would allow such studies to be submitted and considered by the Agency. No matter the lens through which these HOPT studies are scrutinized, every facet of review would lead to the same conclusion: they are scientifically invalid, they are unneeded and thus, they are a priori unethical.

Specifically regarding the HOPT-type studies, two categories of “acute” hazard are at issue. One is the issue of acute systemic toxicity, such as occurs when there is a sufficient level of inhibition of the enzyme acetyl cholinesterase (ACHE). In defining what level of such inhibition is an “effect” versus an “adverse effect,” the Network believes these effects, if measurable, should be presumed to be adverse, at least to those in the population who are most susceptible. Even for assessment of this type of acute toxicity -- toxicity to adults -- the HOPT studies are inappropriate. They have been typically conducted on a small group of 10-50 healthy adult male volunteers and are not superior to similar data generated from animal testing. In fact, one could easily imagine a strong participation bias acting here by which men who are healthier and who are less susceptible to the ACHE inhibition effect volunteer repeatedly for these tests whereas those who have more adverse effects do not.

The second category of acute hazard is disruption of normal developmental processes in utero and in early stages of life. These effects are acute effects because typically they can occur only during relatively brief “windows of vulnerability” that occur during unique developmental processes. History is replete with examples of errors that have occurred when we have attempted to treat children as if they were merely small adults. Indeed, it is likely that the presence in the brain of a developing fetus of a xenobiotic substance such as an organophosphate insecticide would confer a unique set of hazards. Laboratory researchers have found that certain organophosphate pesticides are associated with changes in DNA expression in the brains of rodents in utero, and other profound biological changes, even at levels below those that result in measurable changes in the activity of acetyl cholinesterase. Thus, the mechanisms of action for developmental toxicity may be unrelated to those causing toxicity in adults. This is a basic fallacy of relying on HOPT studies to better address risks to humans. Such tests will not generate developmental neurotoxicity data. If the Agency is most interested in the developmental toxicity to the fetus, and we would argue that is indeed the case, then the highest quality data are from animal studies. As the National Academy of Science noted in its 1993 report, Pesticides in the Diets of Infants and Children, data derived from experiments conducted on human adults can not be assumed to be valid indicators of a chemical’s toxicity to the fetus, infant or young child. Since human oral pesticide toxicity tests cannot provide information on developmental toxicity to the fetus, they are unnecessary.

The Network has concluded that HOPT testing does not conform to the Declaration of Helsinki principles. First, according to the Declaration:

“The primary purpose of medical research involving human subjects is to improve prophylactic, diagnostic and therapeutic procedures and the understanding of the aetiology and pathogenesis of disease.”

Obviously, testing ACHE inhibiting pesticides to determine LOEL/LOAELs does not fall under that statement of purpose. Second, the Declaration states:

“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.”

This criterion also is not met by HOPT testing, given the marginal to zero benefit of the information in terms of its ability to predict risks to children. Thus, these HOPT tests are clearly unacceptable under any ethical framework adopted by the EPA.

Additionally, of the Agency’s 49 test guidelines for pesticides on human health, not a single test standard includes oral challenge to determine acute toxicity thresholds. Nor has the Agency ever initiated a process to develop such guidelines. While the Agency has requested that companies go beyond the routine testing to generate additional data in many, many instances, we are unaware of a single instance when EPA requested that a registrant do such a HOPT test, to fill an information gap in the EPA’s risk assessment process. No nation requires such testing as part of its pesticide registration process. Clearly, no requirement human oral pesticide toxicity studies has been identified by experts. As a result, the testing that has been conducted has been a hodgepodge of study designs and the companies have been allowed to define “adverse effect” among their test subjects in any way they have pleased. The result has been “negative” studies in which subjects were terminated because of symptoms or ACHE depression, in which there was prolonged ACHE depression, and so forth. By failing to regulate these studies out of existence, the EPA has invited a situation where there is a not only a breach of human rights but also an opportunity for companies to use these ill-gotten gains as a means of misleading farmers and the public about pesticide risks.

Our views in this regards are supported by a clear consensus by the SAB/SAP panel that was convened to advise the EPA on this issue. In addition to the comments from the panel report that we have cited above, the panel stated that:

“Any policy adopted by the Agency must reflect a special concern for the interests of vulnerable populations, such as fetuses, children, adolescents, pregnant women, . . .”

“. . . we believe that they (pregnant women) should be excluded from clinical studies with pesticides, as should all other sensitive subpopulations such as the elderly, those with already compromised health, children, and adolescents.”

“The most serious problem of those identified above is that of generating data applicable to the developing child (or fetus). There seems little probability that high quality data relevant to children can be derived from studies on adults at this time, or in the foreseeable future. The Subcommittee rules out the only alternative, the testing of children and adolescents, as being ethically unacceptable. There are too many unknown dangers to justify the effort, even under the most extraordinary circumstances.

“Though the Subcommittee opposes the use of children and adolescents as experimental subjects particularly in relation to intentional exposure to toxic agents, it also supports the concept that the relevance of studies to assessing the risk to children should be specifically addressed. Special concerns were expressed that risks to developing organ systems might be less reversible than to mature systems and that the risk to children is unacceptable. This concern also would affect the potential ability to generalize from adult subjects to children.”

Yet the Network believes that even these statements fall short. The Network agrees with the panel’s minority report that the report does not go far enough to protect children, including:

“The applicability of adult studies to children’s safety is nowhere mentioned in the draft. The Draft acknowledges the enhanced vulnerability of children as a reason to exclude them from dosing. If children are different, then what information can adult dosing provide that is of use to set FQPA standards for protecting children?

“. . .children will be placed at higher risk of exposure to neurotoxic pesticides if this is allowed to become part of EPA’s pesticide policy.”

Given that Executive Order 13045, “Protection of Children from Environmental Health Risks and Safety Risks,” and other policies require the Agency to specifically consider environmental health or safety effects on children, clearly any Agency policy on this topic must be even more protective of children than that recommended in the SAB/SAP report.

In summary, for a solid framework for the Agency’s standards and criteria, the Network urges the Agency to follow these broad principles:

  • Children should not be subjects of studies involving intentional dosing.

  • Conducting HOPT-type studies in adult volunteers provides limited or no information that protects children. The Agency cannot assume that such tests are going to prove protective of children.

  • HOPT studies are not ethical in that they serve no purpose in improving our ability to diagnose, treat, or understand the etiology of disease nor do they provide information sufficient to overcome the risks to individual subjects.

  • Any policy adopted by the Agency should reflect the highest standards of respect for human subjects and should prohibit research protocols that override the interests of subjects in order to obtain useful data.

  • Any policy adopted by the Agency must reflect a special concern for the interests of vulnerable populations, such as fetuses, children, adolescents, pregnant women, the elderly, and those with fragile health due to compromised respiratory function or other reasons.

  • In no case should developing humans (i.e., the fetus, infant, young children, or adolescents) be exposed to toxic chemicals. There are currently too many unknown dangers to justify such studies, even under the most extraordinary circumstances.

  • Bad science is always unethical; research protocols that are fundamentally flawed, such as those with sample sizes inadequate to support reasonable inferences about the matter in question, are unjustifiable.

  • The EPA should take whatever administrative action is necessary to extend the protections of 40 CFR Part 26 to all human research activities whose results will be submitted to the Agency.

  • If it can be justified at all to expose human subjects intentionally to toxic substances, the threshold of justification for such action should be very high. Pesticide exposure to human subjects must be approached with the greatest degree of caution. If studies are to be accepted by the Agency, the Agency has the obligation to assure that the studies have been conducted with the very highest of scientific and ethical standards. If the EPA scientists feel certain studies are needed for risk assessment, then EPA should provide guidance for how they are done. If they are not needed for risk assessment, then, a priori, they are not justified.

  • In considering research protocols, it is not enough to determine a risk/benefit ratio; it is important also to consider the distribution of risks and of benefits, and to ensure that risks are not imposed on one population for the sake of benefits to be enjoyed by another. It is also important to be sensitive to the difference between a reversible risk and one that may be irreversible, such as possible interference with normal neurological development.

The Network urges the Agency to adopt and expand Food and Drug Administration’s (FDA) policy with respect to use of human data for regulatory purposes. We believe the FDA policy provides a number of safeguards and the experience of the FDA is instructive. In 1980, 1981, and in 1996 the FDA issued regulations in this area (21 CFR Part 50) which provide clear and enforceable requirements for informed consent of human subjects in any studies that are submitted to the FDA for regulatory approval of products. Likewise, in 1981 and in 1991, the FDA issued regulations related to requirements for Institutional Review Boards for such studies (21 CFR Part 56). The FDA also has issued regulations on the use of foreign clinical studies. These regulations require that the studies conform to whichever of the following provides greater protection of the human subjects: the Declaration of Helsinki or the laws and regulations of the country.

Additionally and critically, a mechanism for the administration and enforcement of these standards must be established. The Agency must be held to the highest standards in meeting its responsibilities under these standards. For studies that are submitted to EPA for regulatory or risk assessment purposes, the Agency should establish a stronger locus of control for this issue, such as within its Office of General Counsel, and staffed by fulltime individuals whose duties address exclusively compliance oversight. EPA’s science staff, enforcement office, and possibly the international office, need to be involved as well, given the complexity of assuring that any regulations in this area are followed (especially when studies are conducted in other countries). EPA needs to budget for the inspection of laboratories that conduct human research for the purpose of product registration, to assure the complete integrity of the process. (Pesticide testing laboratories have been caught in acts of wholesale falsification of test data submitted for pesticide registrations. ) If the Agency determines it will accept third-party studies conducted outside of the U.S., it must be prepared to grapple with the challenges of overseas studies. The Network is deeply concerned that such tests may be performed in other nations precisely because research oversight and human protections can be lax and financial inducements to potential subjects that may be minimal in the U.S. can be far more coercive. The Network does not believe the Agency currently has the ability to oversee such studies, creating an inherent danger by using data obtained out of the country, particularly in developing countries.

The Agency needs also to sever this issue from the issue of the management of the protection of human subjects in its own research and in the research carried out in its own laboratories or funded by its extramural research program. It needs to strengthen its own internal processes of informed consent and Institutional Review, establish a strong central office within its Office of Research and Development to enforce this process, and invest in individual training of all of its research program staff (including staff within program offices who fund research) to elevate and strengthen the protections it provides. At the EPA, as elsewhere, no one should be allowed to be involved with funding or conduct of human research unless they have completed a course in research ethics. To our knowledge, this is not a requirement at the EPA at this time.

Comments on Specific EPA Questions

1. Applicability of existing standards—a. Is it appropriate to use a standard intended to guide the conduct of research (e.g., the Common Rule, Declaration of Helsinki, or the Nuremberg Code) to assess the acceptability for review of completed research?

Yes. Obviously the Agency should not be using data from unethically conducted studies. Utilizing data from past experiments that don’t meet today’s ethical standards would require a thorough ethics review and quite possibly such data would not be usable, which would most appropriate. In the late 1980s, 22 of EPA’s own scientists filed a petition to request that then-EPA Administrator Lee Thomas not utilize an experiment conducted in a Nazi concentration camp as a basis for the regulation of phosgene as a toxic air contaminant (Science Magazine, April 1, 1988). At that time, EPA withdrew the assessment on the basis of ethical considerations.

The 1998 SAB/SAP ethics review identified that at a minimum studies need to meet U.S. ethical standards of their time, regardless of where they are conducted. The EPA needs to write a regulation that clarifies how it will assure (and enforce) that the studies it uses meet ethical standards.

b. Is it appropriate to use a standard intended to guide the conduct of therapeutic or diagnostic medical research or to clarify causes of disease, such as the Declaration of Helsinki, to assess the acceptability for review of other kinds of research without diagnostic or therapeutic intent, conducted with healthy subjects?

This question demonstrates the extent to which the EPA is confused about this issue. The Declaration of Helsinki clearly states that such research is either for the purpose of improvement of diagnosis and treatment or for broadening the understanding of health and disease. Studies such as the HOPT or similarly ill-conceived studies should not be submitted under the Declaration of Helsinki, not only because they are performed solely for the purpose of meeting a narrow commercial interest (that is completely unrelated to human health and wellbeing) but also because they do not meet even the basic requirements that a study be scientifically valid and have adequate statistical power.

c. Should the Agency apply the same standard of acceptability independent of the type of substance tested (e.g., pharmaceutical, pesticide, pathogen, or environmental contaminant)? If not, how might differing standards be applied when a single substance has multiple uses, e.g., as both a pesticide and a drug?

These are four very different circumstances and it is critical that the EPA disentangle them. There is a wide gap between pharmaceutical testing, where the substance tested is reasonably expected to provide a human health benefit, and where the FDA requires Phase I clinical trials, versus a pesticide, where there is no health benefit and EPA has no such requirement. It is unconscionable and unethical to dose humans with substances designed to be toxic with no conceivable benefit to the subject for the purpose of being able to expand the market for such a substance by attempting to eliminate or lessen regulatory safety margins.

As for testing of pathogens and environmental contaminants, like any study these would need to pass muster of individual Institutional Review Boards. We would not ban them across the board because quite possibly such studies could expand knowledge about the diagnosis or treatment of diseases or causes of diseases or ill health.

d. Does it matter who maintains a standard, or by what process it is maintained? For example, would it be appropriate for EPA to accept and apply a standard maintained by a private, non-governmental organization, as is the Declaration of Helsinki?

It is surprising that the EPA is asking this question. The Declaration of Helsinki has been adopted by the World Medical Association; the U.S. member of this association is the American Medical Association. Thus, medical practitioners are ethically bound this document just as attorneys must follow the ethical guidelines of the American Bar Association. The Common Rule incorporates the Declaration of Helsinki in consideration of ethics of research conducted outside of the U.S. Moreover, the FDA has elected to explicitly incorporate the principles of the Declaration of Helsinki into its regulations in Sec. 312.120(c)(4), which it utilizes as follows:

TITLE 21. CHAPTER I. PART 312. --INVESTIGATIONAL NEW DRUG APPLICATION Subpart F--Miscellaneous
Sec. 312.120 (c) Conformance with ethical principles.
(1) Foreign clinical research is required to have been conducted in accordance with the ethical principles stated in the “Declaration of Helsinki” (see paragraph (c)(4) of this section) or the laws and regulations of the country in which the research was conducted, whichever represents the greater protection of the individual.
(2) For each foreign clinical study submitted under this section, the sponsor shall explain how the research conformed to the ethical principles contained in the “Declaration of Helsinki” or the foreign country’s standards, whichever were used. If the foreign country’s standards were used, the sponsor shall explain in detail how those standards differ from the “Declaration of Helsinki” and how they offer greater protection

The primary questions for the Agency are: why would it be appropriate for the EPA to be less protective with respect to human studies on pesticides than the FDA is for studies regarding drugs and therapeutic devices? Should physicians disregard the ethical standards of their profession when it comes to the conduct of human studies for pesticides? Would it be appropriate for anyone other than a physician to conduct such investigations? Also, the EPA should ask itself, what makes sense, in the context of regulating multinational companies? The Declaration of Helsinki applies to nearly every medical professional body in the world and thus represents a harmonized set of ethical guidelines for medical professionals that they themselves developed.

It only makes sense that the EPA (like FDA) would utilize these as a framework for assuring that pesticide human studies conducted outside the U.S. (and therefore outside of U.S. laws) meet high ethical standards. Moreover, such researchers often already are making efforts to comply with FDA guidelines, since many of the same laboratories handle both pesticides and pharmaceuticals. Ultimately, the EPA should be asking which standards are most protective of test subjects and most appropriate for the Agency, rather than expecting that the medical profession will adopt a lower standard for pesticides. EPA’s considerations of which standard to apply should consider first the protections offered test subjects and second EPA’s ability to administer the application of the standard in a manner that is fair and equitable.

e. Should the Agency extend the requirements of the Common Rule to the conduct of third-party research with human subjects intended for submission to EPA?

Yes. We agree strongly with the recommendation made in 1998 by the EPA’s own SAB/SAP advisory panel which the Agency has not yet adopted: “The EPA should take whatever administrative action is necessary to extend the protections of 40 CFR Part 26 [the Common Rule] to all human research activities whose results will be submitted to the Agency.” (p. 3 and p. 39 of the report). We point to the precedent in the FDA for formally doing so, including research conducted in other countries.

What are the advantages and disadvantages of conducting a rulemaking or undertaking other Agency action for this purpose alone?

We see only clear advantages in fulfilling the Agency’s responsibility to the protection of human rights by making clear to all parties how it will extend these protections to human test subjects. The disadvantage in undertaking rulemaking is the time that would be required to finalize such a rule. In the interim, the EPA will need to rely on its policy-making apparatus to achieve this goal. When it comes to pesticides, this could be done via a PR (Pesticide Registration) notice that would be replaced when a final rule is put in place.

2. Should the standard of acceptability vary depending on the research design?—

This question is oddly phrased, such that it doesn’t have a “yes” or “no” answer. Do standards of acceptability vary? No. The standards of acceptability for studies do not “vary depending on the research design.” The problem facing the EPA is not that it is difficult to identify what these standards are, or should be, but the woeful failure of the EPA to identify these standards, communicate them clearly, implement them, and enforce them. Is research design among the standards of acceptability? Yes. It is a fundamental ethical principle in all standards that have been developed that no research should be conducted on humans if it is of questionable scientific value. We have suggested that there is one category of study, human dosing with ACHE pesticides to determine NOEL/NOAELs, that is unacceptable as a category, because it is of limited scientific value and provides no information relevant to diagnosis and treatment of disease, or improvement of human health.

a. Should the Agency apply the same standard of acceptability independent of whether the research design involves intentional exposure? For example, should the same standard apply to research involving intentional exposures to human subjects, to research designed to follow-up accidental exposure, and to studies of individuals occupationally or incidentally exposed?

Once again the EPA is asking the wrong question. Intentionality of exposure is not the issue. The issue is the intent of the research. Is it intended to improve our ability to diagnose or treat disease? Will it illuminate issues regarding causes of disease or improvement of health? Within the category of studies that would provide real human health benefits, some might utilize intentional exposures, others might not. For such studies, the Institutional Review Board would need to take a very careful look at the risks to such subjects to assure that the benefits outweigh the risk, that subjects are very carefully monitored, and so forth. In other words, such a study would need to receive a very careful review yet might be the only way to gain valuable information for public health. As the SAB/SAP panel recommended: “Unintended exposures provide valuable opportunities for research; it is an error not to take full advantage of such opportunities to gain major information through careful incident follow-up.”

b. Should the Agency apply the same standard of acceptability independent of the level of exposure of the human subjects? For example, does it matter if the level of exposure to a chemical is below the Reference Dose or other established health standard designed to protect the general public? Should the same standard apply if intentional exposure to an environmental pollutant occurs at ambient levels, or at elevated levels? If research involves intentional exposure to a pesticide, does it matter if exposure results from use of the pesticide in conformity with approved label directions?

Certainly, any study that is conducted with the intention of poisoning subjects, or otherwise making them ill, should be viewed differently than a study conducted at levels that are well below such levels. However, the Agency needs to be very cautious about using the substance’s Reference Dose or other established health standard as an automatic assurance that lower exposures would be of no concern. As the Agency well knows, the Reference Dose derived from animal tests may or may not be protective of all humans in the population and certainly is not protective when we have less than perfect knowledge of the toxicology of a substance. In other words, such studies must be approached with great caution and only under the strictest regulatory supervision. This is especially the case if such studies were to involve children, pregnant women, poor minority groups, prisoners, the elderly, or other vulnerable populations.

c. Should the Agency apply the same standard of acceptability independent of the pathway of exposure? For example, should the same standard apply when exposure is oral, or dermal, or by inhalation?

Yes. It is difficult to understand why the Agency would even consider this as a question. The route of entry of the substance into the body is not the point.

d. Should the Agency apply the same standard of acceptability independent of the effects being evaluated? For example, should the same standard apply to a study measuring transitory changes in blood chemistry or levels of a substance in urine that applies to studies measuring longer-lasting changes? Should the same standard apply to a study of localized skin irritation that applies to a study of systemic dermal toxicity? Should the same standard apply to studies measuring organoleptic effects, such as taste or smell, that applies to studies of toxic effects? Should the same standard apply to measurements of toxic effects and to measurements through genomic or proteomic assessments?

Again, we have stated that a certain category of studies, the HOPT studies should be banned. The reason for our concern does have to do with the fact that this is deliberate dosing to elicit systemic neurotoxicity. In terms of other studies, we certainly think that a common set of ethical standards should apply. It would be up to the Institutional Review Board to grapple with the issues such as the nature of the effects, whether the effect is reversible or irreversible, and how the effect is measured. Most daunting is that often we do not yet have enough information to know if an effect is reversible until studies are conducted! This means that in addition to refusing to accept the HOPT studies, we would recommend that the EPA take a very cautious approach to requiring or accepting any human dosing studies.

e. Should conduct of research in compliance with the provisions of the Common Rule or another standard for the protection of human subjects be accepted as evidence of its ethical acceptability?

As discussed elsewhere, the Agency has the responsibility to assure compliance with whatever standard it adopts. Requiring compliance with the provisions of the Common Rule is an important first step but is only relevant to research conducted in the U.S., since researchers in other countries are not covered by the Common Rule. In the U.S., allowing the testing entity to self-report compliance with the Common Rule would not be adequate assurance of acceptability. The Agency will have to establish and implement a system for independently assuring that its standards have been followed. For other countries, the U.S. needs to require compliance with the Declaration of Helsinki as well as the domestic laws of that country. It needs to have a system in place to assure such compliance, as well.

f. Should the Agency consider whether research has been performed consistent with an EPA guideline for data development in determining its acceptability? For example, EPA has published guidelines for certain kinds of human studies required for pesticide registration; should conduct of a required study in compliance with an EPA guideline be accepted as evidence of its acceptability?

No. Tests that are developed under EPA Guidelines involve a public process and extensive review by EPA’s FIFRA Scientific Advisory Panel. Tests that are required by the EPA presumably have a key role in EPA’s safety determinations. But this alone is not a guarantee or presumption that a test has been conducted ethically or scientifically. The EPA must have the capability of doing surveillance and enforcement to assure that the guidelines have actually been followed, and should not rely on a paper trail for such assurance.

g. Should the Agency apply the same standard of acceptability independent of a study's statistical power?

Again, the EPA is asking the wrong question. It should ask whether statistical power is among the considerations of whether a study meets scientific criteria for ethical acceptability. The answer is “yes.” No matter what the risks to subjects, it is unethical per se to conduct a study that a priori has inadequate statistical power or is otherwise a priori not expected to be able to answer the question under study. As mentioned above, we believe that the HOPT studies do not address questions about acute toxicity, nor do they have adequate statistical power. A study without adequate statistical power is unacceptable under any standard of research ethics.

h. Should the Agency apply the same standard of acceptability whether or not a human study design is able to measure the same endpoints in humans that have been observed in animal testing of the same substance? For example, if the most sensitive adverse effects shown in animal studies have been detected through histopathological evaluation of brain tissue, is subsequent research involving intentional exposure of human subjects acceptable?

Not necessarily. This consideration would not trump ethical principles of human research.

i. Should the Agency apply the same standard of acceptability to intentional dosing studies independent of whether there are alternative methods of obtaining data of comparable scientific merit that would not require deliberate exposure of humans?

This is always a question in considering the ethics of a human study. As mentioned above, deliberate dosing of human subjects should be considered to be a last resort (unless people are already being dosed at such levels on a regular basis, as explained elsewhere.) Even when a substance has an anticipated therapeutic benefit, human dosing should be done only after careful consideration and a determination that there are no alternative means to obtain the information that is required. Embedded in this is the concept of the importance of the information. Dosing of human subjects with pesticides is not warranted merely to make small improvements in the level of precision of a lower effect level, for example. Other types of studies would require case by case consideration by Institutional Review Boards to answer this question.

If not, to what extent, if any, should the cost of the alternate method be a factor?

“Cost savings” cannot make an unethical study ethical.

j. What special considerations, if any, should the Agency apply in judging the acceptability of studies when some or all of the subjects are from populations likely to be vulnerable to coercion or undue influence, such as children, prisoners, pregnant women, mentally disabled persons, or economically or educationally disadvantaged persons?

All ethical guidelines for research make it clear that such populations should be avoided whenever possible and require special protections. As mentioned earlier: “In no case should developing humans (i.e., the fetus, infant, young children, or adolescents) be exposed to toxic chemicals.”

Before any tests on such populations are undertaken, special care must be taken, especially to involve ethicists and those who can speak for those populations and any Institutional Review Board should want to take special care in the review process.

3. Should the standard of acceptability vary depending on the provenance of the research?—a. Should the Agency apply the same standard of acceptability without regard to who or what organization sponsors or supports the research? Since 1991, human research conducted or supported by the U.S. government has been subject to the Common Rule. Should the same standard apply to research conducted or supported by others? Should a single standard apply independent of whether the sponsor is a commercial enterprise, a non-profit organization, another government in the United States (such as state, tribal, or local), or the government in another country? Should the same standard apply without regard to the test sponsor's interest in a regulatory matter that could be affected by EPA's consideration of the data?

The critical issue is whether the research will provide any benefit in terms of diagnosis, treatment, or health protection. Generally, as a regulatory agency, EPA must of course be mindful at all times of the test sponsors’ interests in performing tests and of course of the almost overwhelming economic incentives that companies have to find ways to market more of their products. However, like all government entities, the EPA must always assure the protection of human rights as it fulfills its mission as a regulatory agency protecting human health and the environment, considering, when appropriate, economic concerns. This would mean that the EPA must be very cognizant of who conducted and/or supported the research and must be prepared to apply greater scrutiny to tests conducted and/or supported by those with an economic interest in the results. That is because there are enormous financial incentives to economic interests to cut ethical corners (here as well as in many other areas).

b. Should the Agency apply the same standard of acceptability independent of who or what organization conducts the research? For example, a research organization--public or private--holding a “Federal-Wide Assurance” from the Department of Health and Human Services' Office of Human Research Protections usually promises to comply with the Common Rule in all its human research.

See above.

Should third-party work conducted by a research organization holding a Federal-Wide Assurance be assessed by the same standard that applies to other third-party human research?

Yes.

c. Should the Agency apply the same standard of acceptability without regard to where the research was conducted? For example, does it matter whether research is conducted entirely in the United States or partially in the United States? If it is conducted outside the United States, does it matter in what country it is conducted? What are the advantages and disadvantages of judging the acceptability of human studies based on a single uniform standard versus prevailing local standards (e.g., in different countries)?

Generally, the same high standards must apply to domestic as well as internationally-conducted tests. As mentioned earlier, tests conducted outside of the U.S. place special challenges on the Agency. Such research will be very difficult to audit and the EPA needs to budget adequate resources for inspection to assure that it is done ethically and properly. As mentioned above, the Declaration of Helsinki is more applicable than the Common Rule in international situations.

d. Should the Agency apply the same standard of acceptability without regard to the reasons the research was conducted? If not, how might the Agency determine intent?

The impact of and motivation for tests is not related to the standards that are applied. However, this issue must be considered when it comes to the issue of how EPA will assure that the highest ethical standards have been applied. As indicated by the HOPT tests that have forced the EPA to address these concerns, the pressure for acceptance of these tests comes in large part because of their presumed regulatory impact. The primary motive of industry will be to find ways to make regulations more permissive, so that they can sell more products. This is as it should be but it is the job of the EPA to assure that there are strict and clear ethical boundaries that cannot be breached. This is because the profit motive of companies is not a benefit that can justify risks to human volunteers, absent some overriding interest such as to improve the ability to diagnose or treat disease or to improve health.

e. Should the Agency apply the same standard of acceptability to submitted research without regard to who submitted it? For example, should the same standard apply to submissions from regulated industry, from public interest groups, from the public, or from other governments? Should the Agency apply the same standard of acceptability independent of whether the study was submitted voluntarily, or in response to a particular regulatory requirement of EPA?

All research, submitted voluntarily or as a result of a requirement, regardless of the submitter, should be subject to the same strong standard.

f. Should the Agency apply the same standard of acceptability to human research which is not submitted, but which the Agency obtains at its own initiative from the scientific literature or other sources, independent of how or where EPA obtains it?

Yes, the EPA should also apply a strong ethical standard to human research obtained at its own initiative.

4. Should the standard of acceptability vary depending on EPA's potential use of the data?

No. The same standard should apply regardless of how EPA intends to utilize the data in its regulatory activity.

--a. Should the Agency apply the same standard of acceptability independent of whether the results of the study would support a more or less stringent regulatory position? For example, should the same standard apply whether the data indicate that the substance tested is more risky or less risky than is indicated by other available data?

The same standard applies whether the data indicates the substance is more or less risky to humans.

b. Should the Agency apply the same standard of acceptability without regard to how EPA intends to use the results, e.g., to reduce or remove the traditional tenfold interspecies uncertainty factor, to provide an endpoint for use in calculating a Reference Dose or Reference Concentration for the test substance, to provide a dose-response function for use in quantitative risk assessment, or for some other purpose?

The same standard applies whether the Agency is using data to establish an endpoint, an uncertainty factor, or for any other regulatory purpose. As mentioned above, we believe that certain types of tests, such as oral dosing with ACHE inhibitor pesticides for the purpose of establishing a NOAEL or a NOEL are unethical and that EPA should ban their use in regulatory decisions. In addition, EPA should consider banning any human study whose object is the reduction of the interspecies uncertainty factor, for the same reasons that we feel that the ACHE inhibition studies do not have scientific merit. For other studies, we believe that Institutional Review Boards would have to take a careful look at any proposed design that involves intentional human dosing with any compound for the purpose of eliminating the interspecies uncertainty factor, identifying an endpoint for a reference dose in humans, or to describe a human dose response function. Any such study is likely to have unanticipated adverse consequences and, unless there is some overriding concern having to do with improving our ability to diagnose or treat disease or to improve health, these studies may be difficult to justify.

5. Should the standard of acceptability vary depending on EPA's assessment of the risks and benefits of the research to the subjects or to society?—

Yes. However, EPA needs to consider not only its point of view, but also the viewpoints of others. Such others might include representatives of the general public and people with specific expertise in areas such as ethics, medicine, child health, human rights, human research, and environmental justice. Some of the factors that EPA needs to consider are: What kinds of incentives are offered to subjects in these studies? Do they understand that they are being tested with pesticides or are they told that the material might be a pharmaceutical? In terms of benefits to society, these need to be drawn narrowly to include only research that is likely to improve our ability to diagnose, prevent, or treat disease, or to improve health. It is difficult to posit societal benefits that outweigh the risks of deliberately dosing human subjects with pesticides at toxic levels.

a. Should the Agency apply a standard of acceptability based on a comparison of the anticipated benefits of the research in relation to the risks to human subjects, provided the risks are minimized and informed consent is obtained?

A principle of medical ethics is that this weighing of risks and benefits needs to occur at the level of the individual, and not at an aggregate, societal level. To take an extreme example that makes the point, the possible societal benefits of the Tuskegee experiment did not justify the pain and suffering to the individuals who were subjects in that experiment. Thus, the SAB/SAP panel recommended: “In considering research protocols, it is not enough to determine a risk/benefit ratio; it is important also to consider the distribution of risks and of benefits, and to ensure that risks are not imposed on one population for the sake of benefits to be enjoyed by another.”

The SAB/SAP committee also commented: “If the use of human subjects in pesticide testing can be justified, that justification cannot be to facilitate the interests of industry or of agriculture, but only to better safeguard the public health.” We would agree and would further assert that there would be very few instances in which the dosing of a human subject with a toxicant or potential toxicant would be justified.

b. Should the Agency independently assess the risks of the research to the subjects and the benefits of the research to the research subjects or to society, or should it defer to the judgment of Institutional Review Boards or similar oversight panels?

The Agency cannot assume that IRBs or other oversight panels will do their job correctly all of the time. EPA must hold companies who develop and present such research accountable for assuring that the IRBs have actually applied the standard it establishes and that submitted research meets this standard. It cannot delegate this responsibility to others or assume that, because there is a paper trail, all is well. That being said, EPA should not attempt to recreate the effort of the IRBs, nor should the EPA run all of the research through its own IRB. Rather, EPA needs to find an approach that will set high standards and hold others accountable to those standards.

c. If EPA were to assess independently the risks and benefits of human research, on what range of information should it base its assessment? How might EPA obtain information relevant to such an assessment?

As noted above, we are not advocating for EPA running all of the research through its own IRB. Rather, EPA needs a process to enforce whatever regulations it puts into place. What we would recommend is that following the development of regulations (or perhaps initially Pesticide Registration Notices), EPA would put forth guidelines to industry clearly outlining its expectations for compliance with ethical guidelines. It would then develop enforcement policies and a trained staff of investigators who can assure that the guidelines have been followed. At a minimum, such a procedure needs to assure that the only benefits considered had to do with human health and not company return on investment. It needs to assure that the full array of risks were assessed and further that there was integrity of the informed consent process and implementation of any IRB recommendations.

6. How should the Agency implement standards of acceptability?

The Network believes that the FDA’s regulations and regulatory guidance in this regard should be the starting point for considering how EPA can address this question. The FDA standards should be viewed as a starting point, since it makes sense to have stronger standards for pesticides and industrial chemicals than for drugs and medical devices (which a priori involve possible therapeutic improvements for illnesses.) One possible weakness of the FDA regime may be its capacity to actually enforce its regulations, particularly in international labs. This means that the EPA must draft regulations and must fund inspection and enforcement activities; otherwise it has no basis on which to enforce the compliance with such standards. These standards and procedures should include transparency to the public and reviews independent of the Agency.

If the Agency is unable or unwilling to dedicate the resources necessary to assure compliance with appropriate standards for a class of tests, the Agency should promptly and visibly declare that to be the case. In that case, the Agency should have a moratorium on the acceptance of human studies, to remove the incentive for third parties to conduct and submit such tests, in the absence of protections for the wellbeing of the subjects of such experiments. If the Agency and Congress feel that there is a public interest that warrants the time and effort of EPA staff to consider such data, then it needs to appropriate funds to assure protection of human subjects as well.

a. To what extent and how should the submitter of research with human subjects to EPA be required to document or otherwise demonstrate compliance with appropriate standards for the protection of human research subjects, e.g., fully informed and fully voluntary participation, and independent oversight of research design and conduct by an Institutional Review Board or comparable entity?

See above. EPA needs to issue guidelines to third parties laying out the required documentation. EPA needs to use its inspection and enforcement authority to make sure that the documentation is accurate.

b. How should the Agency determine compliance with an appropriate standard for human research data which is not submitted, but which it obtains from the scientific literature or other sources?

If such information is not described in research articles, EPA should contact investigators and research institutions to assure that indeed appropriate efforts were made to protect human subjects. EPA will need to develop guidelines and procedures to assure that it can carry this out in an efficient manner. It also will need to create an independent, adequately funded office within its Office of General Counsel whose job it is to assure that programs implement these procedures properly.

c. To what extent should new standards be applied to research which has already been conducted, or is underway? Should a different standard be applied to such research? Does fairness require a period of transition to any new rule or standards of acceptability, or do other considerations override that factor?

What is relevant is the prevalent ethical standards at the time of conduct of the study, not when the EPA issues a policy. The reason EPA needs to make a clear statement of policy is so that everyone understands what behaviors are expected and to assure that companies will uphold the same standards of ethics for human studies, regardless of where in the world they are conducted.

EPA should not accept any such data until the Agency has established clear policy to assure ethical conduct and it should advise industry that any studies that are conducted prior to issuance of such a policy are likely to be rejected. EPA should not take a “case by case” approach which could result in arbitrary and inconsistent decisions in these matters.

In certain extreme cases, for example, the concentration camp experiments conducted by Nazi scientists, or, closer to home, radiation experiments by the U.S. government several decades ago, it has been recognized that there is a category of research that may have been believed ethical years ago, but is so abhorrent that the use of the data today is very controversial. The EPA needs to be sensitive to these issues and, if and when it is ever confronted with such data, may need to assemble a special ethics panel to advise it on whether the data are appropriate for any use today.

d. Should the Agency apply the same standard of acceptability to research already submitted to or obtained by EPA and to research newly submitted to or obtained by EPA? Does it matter if the submitted research was conducted for the specific regulatory purpose at hand or for other purposes (even though the study was conducted after EPA issued a policy on human testing)? Does fairness require a period of transition to any new rule or standards of acceptability, or do other considerations override that factor?

The Agency should apply the same standard of acceptability to research already submitted as to research newly submitted. It is not relevant ethically whether the research was conducted for the regulatory purpose or another purpose. Fairness to human subjects requires that there would be no transition and that EPA would as quickly as possible take steps to protect their welfare.

Conclusion

This is an issue of great import that calls for prompt and protective Agency action. We share the general concerns that were raised repeatedly at the joint SAB/SAP December 1998 meeting about the ethical, moral and scientific implications of the human testing of pesticides. The EPA should not have allowed the situation where on one hand it has no policies or oversight system to protect human subjects in tests (theoretically discouraging such tests on humans), while on the other hand accepting such experimental studies when submitted in the course of pesticide regulation.

We are disappointed that so little has been done by the EPA since 1998 to address the situation.

However, we were heartened by the Agency’s moratorium on the acceptance of such experimental tests and by its intention to establish standards and guidelines on tests involving human subjects. This at least has delivered the message that the EPA is taking the issue seriously.

The adoption of standards which do not adequately assure ethically and scientifically valid tests and which do not protect human health would not be an improvement of this sad situation.

Thus, in brief:

  • EPA needs to adopt strong and enforceable standards with regards to all regulatory data submissions for human testing of pesticides and other chemicals. It should follow FDA’s lead and promulgate enforceable regulations for third parties that clearly articulate policies and expectations. These comments have highlighted some key principles that should form the foundation of these standards, as well as provided direction on some specific Agency questions.

  • The Agency needs to delegate the responsibility for this task to one strong central authority, such as the Office of General Counsel, and provide adequate resources and training for this effort. This includes cleaning its house with regards to its own internally conducted and funded research to train its scientists and to assure that the highest ethical standards are followed there as well.

  • These efforts must move forward with alacrity.

In addition, the EPA must, immediately, issue a supplemental notice to correct the record regarding its misrepresentation of the conclusions of the SAB/SAP Data from Testing of Human Subjects Subcommittee (DTHSS) advisory committee. Such false and misleading statements at best create confusion among those who would seek to contribute to EPA’s rulemaking process, and at worst convey the impression that the EPA has already concluded that it will ignore the input of its own scientific advisors.

The Network thanks you for your consideration of these vital issues.

Sincerely,

Lynn Goldman, MD, MPH, Chair, Board of Directors
Daniel Swartz, Executive Director

Cc: Marianne Lamont Horinko, Acting EPA Administrator
Joanne Rodman, Associate Director, OCHP

   

8/18/2004
©