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As a Federal State, Switzerland is in some ways unique. Article 3 (general principles) and Chapter 2 of the Federal Constitution are key to the distribution of powers between the central government (Confédération/Bund) and the federal states (Cantons/Kantonen). In principle, the Confederation enjoys no powers beyond those expressly conferred by the Federal Constitution, as the cantons retain residual powers in the other areas. Article 118 of the Constitution vests the Confederation with powers in the area of health protection. However, there is no specific provision regarding research involving human beings or Research Ethics Committees.
Currently, legislation governing Research Ethics Committees (REC) is contained in different regulations at federal and cantonal levels. This configuration is the result of the continuous evolution of this regulation, which is gradually being harmonised on a broader scale.
Before the coming into effect of the new Federal Constitution on January 1, 2000 and of the Federal Law on Therapeutic Products on January 1, 2002, the control of therapeutic products fell to the cantons. Accordingly, norms governing clinical trials of drugs and Research Ethics Committees were initially governed by cantonal laws, resulting in disparities between cantons. Today, the regulation of RECs is based on federal regulation of pharmaceutical research, while the cantons still retain powers in regard to other kinds of research.
It is worth emphasising the continued importance of professional and ethical rules governing the development of national regulations, the effect of which is to harmonise practice. The Swiss Academy of Medical Sciences (SAMS, www.samw.ch) has played a key role in this regard, in particular through its directives and the various commissions it has established.
Simultaneously, the regulation of research has undergone increased "institutional" development.
Following the adoption of the Federal Law on Therapeutic Products (LPT), which abolished the UICM, the development of regulations continued at federal level.
Lastly, the Federal law of 18 December 1998 on Medically Assisted Procreation (LPMA), provides for the creation of a national ethics committee (art. 28). To meet this requirement, the Federal Council established a National Ethics Committee for human medicine (CNE) on July 3rd, 2001, through the Ordinance of 4 December 2000 on the National Commission on Ethics in the Field of Human Medicine (OCNE). This committee, however, has no specific powers with regard to the evaluation of research projects.
In Switzerland, the system of Research Ethics Committees is moving towards harmonisation and standardisation, especially procedures. Following the VanTx affaire, private ethics committees are no longer recognised as competent committees. Regarding the types of ethics committees and their duties, see the July 4 2002 judgment of the Federal Court 2A.450/2002.
Research Ethics Committees must be distinguished from other kinds of ethics committees, particularly the national ethics committees (CNE) and Clinical Ethics committees (CEC):
The ethical evaluation of research projects occurs at two levels: at the cantonal level through the REC, and at the federal level through The Swiss Agency for Therapeutic Products (Swissmedic) and the Federal Office of Public Health (FOPH).
At the cantonal level, RECs can be organized under one of two models:
Between the early 1990s and 2007, the number of RECs fell progressively from over a hundred to about fourteen. All cantons do not necessarily have their own REC. There are several intercantonal agreements for the mutual recognition of Committees. This is the case for Bâle-Ville and Bâle-Campagne; Jura, Neuchâtel and Fribourg; Lucerne, Nidwald, Obwald, Schwyz, Uri and Zoug; and Zurich, Glaris and Schaffhouse. These agreements came into being because the number of research projects is relatively low in some cantons. In order to reduce administrative costs, the cantons in question recognise the REC of a canton which has greater research activities. Schaffhouse, for example, expects on average 15 clinical research projects per year to be submitted to the Research Ethics Committee of Zurich, whereas there are more than 500 in the Zurich canton.
The organisation of RECs remains a prerogative of cantons under art. 29 of OClin. Nonetheless, regardless of the type of affiliation of the Committee, it must conduct an ethical, scientific and technical examination of the protocol submitted and if needed, call on outside expert opinion if it does not possess the necessary in-house expertise.
There is a second assessment of clinical trials at federal level:
The competent body depends on the type of trial. Swissmedic is competent in areas within the purview of the LPT and OClin (therapeutic products, medical devices) and areas in which the legislation refers to the LPT (somatic gene therapy, radiopharmaceutical products). FOPH is responsible for research on stem cells and on the transplantation of organs, tissues or cells of human origin.
Thus, studies reviewed by cantonal RECs must still be notified to Swissmedic or to the FOPH, which must satisfy themselves that the legal provisions have been complied with and that the studies have obtained the approval from the competent REC. In some cases, the federal authorities may conduct their own review. If Swissmedic or the FOPH make no comment or give their approval, then the research can begin.
One of the major issues raised by the current system of Research Ethics Committees is their large number (14 in all) and the different opinions that they may issue on a single protocol. This is especially the case when the research is conducted in several cantons (multi-centre studies). It must then be submitted to each of the cantonal RECs for approval, with the possibility that some RECs might approve the study and others might not.
At present, the RECs operate according to a “militia” system, each member of the Committee works as a volunteer. With the increase in workload due to the increase in the number of protocols being submitted, and the increase in the duties of the RECs, this mode of operation is displaying its limitations and this might cause difficulties.
The Swiss legal order is a direct result of the structure of the federal state that it is characterized by legislative involvement at three levels: federal, cantonal and communal. The powers are distributed according to the subject-area of legislation. The health sector in general and biomedical research in particular, also follows this rule.
Hence, even though there is centralisation of provisions in the federal legislative system, the norms to be applied in this area are found in many different provisions, both at federal and cantonal levels. To an outside observer, the legislative landscape appears at first glance to be complex.
At the federal level:
Other norms also apply depending on the area of research:
At the cantonal level (see appendix 1):
While there is no single piece of regulation that applies to research generally in Switzerland, this does not mean that there is a legal vacuum. On the one hand, the basic principles of the Federal State provide that cantons must comply with Federal regulations. This principle not only applies in the drafting of legislation, but also when there is no specific legislation. On the other hand, even where specific regulation does not exist, it should be borne in mind that law remains a complete system. Accordingly, in the absence of a specific law, general principles of law and general norms (Federal Constitution, Civil Code, Criminal Code, etc.) remain applicable. When cantons, in regulating research involving human subjects, refer to federal provisions and particularly to the LPT/OClin system, this also includes referrals made by the latter. The LPT (art. 53) requires that clinical trials of therapeutic products on human subjects comply with the principles of good practice for clinical trials. The OClin (art. 4) sets out these principles. For example, it refers to ICH-GCP and hence to the Declaration of Helsinki, on which it is based.
Beside legal constraints, there are other factors which make the ethical evaluation of protocols effectively mandatory for researchers. Researchers wishing to publish research findings, must abide by the requirement of nearly all scientific journals that ethics review of the project was obtained. Even if the immediate intent of research is not to publish but rather for marketing purposes for example, regulations on the patenting of the tested invention will apply: the Federal Law on Patents for Inventions provides that "inventions the implementation of which would be contrary to public order or morality shall not be patentable" (art. 2 al. 1). Thus, the approval by a REC can be important evidence of conformity with moral values and public order. Lastly, if the research has to be funded by an organisation, it may make its funding conditional upon the prior submission of the research proposal for review by an ethics committee. This is the case for the SNSF (Swiss National Science Foundation - www.snf.ch/e/seiten/default.aspx) whose form for research involving human subjects (division III) states: "In Switzerland, every scientific project involving research on humans has to be approved by an official ethics commission".
In practice, it is not only RECs that review the ethical aspect of protocols. The LPT has instituted a new regulatory organisation as the national authority for the control of therapeutic products: the Swiss Agency for Therapeutic Products or Swissmedic. Swissmedic’s prior approval is required for the commencement of clinical trials of therapeutic products. In practice, the proposal and the opinion of the cantonal REC are submitted to Swissmedic, which conducts the final review. This usually involves an ethical examination although less rigorous than that conducted by the REC.
For the RECs, there are two review procedures: a standard procedure, and a simplified procedure (art. 10 OClin). The simplified procedure is used for multi-centre trials: when the proposal has already been favourably reviewed by a cantonal REC following the standard procedure, the RECs of the other cantons in which the research will be carried out may review the proposal according to a simplified procedure.
Implementation of the 2001/20/EC Directive
As Switzerland is not a member of the European Union, the implementation of a European directive in Switzerland is partly a moot issue. To the extent that there is no reference to the directive in the Swiss legislation, it cannot be applied. At most, one can consider the extent to which Swiss legislation is compatible with European community law.
The 2001/20/EC directive is based on established principles of research ethics, especially those inspired by the Declaration of Helsinki (point 2 of the preamble). Moreover, this directive is equally based on texts predating its adoption, especially the guidelines of ICH-GCP. The ICH-GCP aims to "provide a unified standard for the European Union (EU), Japan and the United States to facilitate the mutual acceptance of clinical data by the regulatory authorities in these jurisdictions". In Switzerland, OClin (art. 4) also refers to ICH-GCP and through this, reference is indirectly made to the Declaration of Helsinki. The recognized ethical bases for research are thus the same. This similarity is reflected for example in the check-list of points the RECs must examine during their reviews. This is not surprising however, because these are minimum requirements as demonstrated the directive (art. 6 al. 3: "In preparing its opinion, the Ethics Committee shall consider, in particular:" and the OClin (art. 10 al. 2: "[the Ethics Committee] shall satisfy itself, in particular:").
However the Euro-compatibility of Swiss legislation concerning ethics is not complete. There are certain differences, including the following:
There are currently 14 Research Ethics Committees in Switzerland distributed between cantons as follows:
Two types of affiliations exist for REC. They can either be part of the cantonal administration or be affiliated with a public institution such as a university or hospital.
Some of the committees are divided into sub-committees. This is the case of Geneva (4 sub-committees for research carried out in the public sector and 1 for research carried out by physicians in private practice). Vaud also has 3 sub-committees (called Sub-committees I, II, and III). Finally, Zurich has 10 specialized sub-committees. This may be explained partly by the fact that these 3 cantons have some the most active hospitals in Switzerland in terms of research and that their RECs are affiliated with these institutions. Nevertheless, it should be noted that the cantons of Berne or Bâle-ville, which also have university hospitals, have a single cantonal REC, which reviews all protocols.
The composition of these committees is not strictly defined by law. Hence, once the minimum standards prescribed by the OClin are met, cantons have some room of manoeuvre in defining their structure. Often, the concrete structure is determined on a case-by-case basis. Cantonal law sets the maximum number of members of a REC and their status (physicians, legal practitioners, biometricians, ethicists, with an education in social science, etc). The by-laws of the REC sets the instances where the REC meets in plenary, who the voting members are, the weight of each vote, etc.
In principle, members of a REC are appointed either by the cantonal government or by health authorities. The OClin (art. 30 al. 4) provides that the committee can call on external experts and is expected to do so when it does not have sufficient expertise to review a research proposal. However, such experts cannot vote.
The organization and operating procedures of RECs vary between committees as these are set by their respective by-laws.
The motion submitted on March 17 2004 by national councillor Jean-Henri Dunant, under the title “Promoting Medical Research”, opened a debate by questioning the present status of RECs. The Federal Council was requested to establish the general conditions necessary for coordination at the national level or for merging different ethics committees for the purpose of strengthening medical research in Switzerland. The federal draft law on human subjects’ research (LRH) rendered this motion redundant, because it dealt with the same issue. Furthermore, the two systems proposed, that is, either having committees only in the university cantons or a national committee, were taken up by the LRH. During the consultation procedure, a clear majority was in favour of the current solution, that is, cantonal RECs.
The issue of reforming RECs has also merged into the general debate in Europe on whether it is appropriate for RECs to evaluate research which is not financed by industry. This is the result of the new awareness of the law among public sector researchers.
The general tendency is not towards reforming the system, but rather towards its reinforcement in the following areas:
Taken together, these two factors encourage naturally cantons with fewer research projects to refer them to the RECs of cantons with more projects.
Among the RECs, there are still 3 main issues that need to be discussed:
At a legislative level, the federal bill on research on human subjects was submitted to consultation in 2006. The purpose of this law is to gather into
one legal instrument all issues concerning health research involving human subjects, which was previously contained in several instruments. The only
exception to this is the law governing research on supernumerary embryos and embryonic stem cells. Since this only recently came into force, it will remain a
separate instrument so that its implementation can be assessed more effectively.
While the project is ambitious, it has been subject to some criticism. It tends to regulate in a uniform way sometimes widely disparate areas of research.
Those against the project consider it is inconceivable to adopt the same solutions to different problems. Moreover, as practice has already shown the
limitations of this approach in some cases. In any event, the LRH is only expected to come into force some time between 2010 - 2012. The situation will
therefore not change in the next few years, and even after it comes into force, it is not certain that the present system will in practice be fundamentally
modified. As noted earlier, a great majority of cantons have already introduced a system governing all research involving human subjects. It is to be hoped
that the future federal law will take into account all efforts made in the best interests of the protection of research participants.