MEL Flashcards

1
Q

Ethical principles for Medical Research involving Human subjects

A
  1. Research Ethics Committee
    - review protocol before study starts
    - monitor study compliance
    - authorise protocol amendments
    - receive final report

2.

  • Informed consent
  • Privacy and confidentiality
  • Vulnerable groups and individuals
  • Risks, Burdens, Benefits

3.

  • Scientific requirements and research protocols
  • Use of placebo
  • Unproven interventions in clinical practice

4.

  • Post trial provisions
  • Research registration, publication and dissemination of results
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2
Q

***Protecting participants who cannot give consent

A
  • Risk of negative discrimination
  • Surrogate consent / patients’ best interest followed by assent / informed consent at a later date
  • Minimise risk / burden, societal necessity if no expected health benefit

DOH position on vulnerable groups:

  1. Special protection
  2. Responsive to health needs of this groups and cannot be carried out in non-vulnerable group
  3. Net benefit
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3
Q

Duty to ensure informed consent

A

Each individual who initiates, direct, engage in experiment

- cannot be delegated

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4
Q

Risks vs Benefits

A
  • Risks must be balanced by benefits to individuals / society
  • Assess likelihood + magnitude of harm
  • Identify ways to minimise risk
  • Enhance potential benefits of intervention - not incentives
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5
Q

***Unproven interventions in clinical practice

A
  • When proven interventions not exists / other known intervention ineffective:
  • Physician, after expert advice, with patient / legal representative IC may use an unproven intervention if:
  • Physician’s judgement that it offers hope of saving life, re-establishing health / alleviating suffering
  • There should be subsequent research to evaluate its safety and efficacy
  • new information must be recorded and made publicly available where appropriate
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6
Q

Problems in managing data

A
  • Fabrication
  • Falsification
  • Plagiarism
  • Self-plagiarism
  • Conflicts of interest

Honest errors / differences of opinion are not misconduct

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7
Q

Ethical duty to complete research cycle

A

Prevent publication bias even though a significant amount of research is never published / presented

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8
Q

***Research registration and publication + Dissemination of results

A
  1. Study registered with a publicly accessible database
  2. Duty to make results available
  3. Adhere to guideline for report
  4. Declare affiliations and Conflict of interests
  5. Post-trial provisions: sponsor, researchers, host governments should make provision for post-trial access for all participants who still need an intervention identified as beneficial in the trial
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9
Q

Peer Review

A
  • Quality control measure for research

- prevent flawed medical research papers from being published

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10
Q

Big data: Precision Medicine and Precision Prevention

A
  1. Beneficence:
    Patients:
    - Earlier diagnosis
    - ↓ Morbidity / mortality via tailored treatments
    Provider:
    - Better targeting of resources
    - cost savings (↓ ADR, ↓ in-patient stay etc.)
  2. Autonomy
    - is seeking informed consent practicable?
    - control over use of personal data
    - can opt out?
    - obligation to share own data?
    - “free-riding”
    - ***Confidentiality
    —> anonymisation achievable? —> genetic exceptionalism (probably not achievable)
    - implications for family
    - risk of downstream harms and need for re-identification
  3. Non-maleficence
    - Continuous monitoring and privacy
    —> promote better self management
    —> remote monitoring for chronic conditions (worried well?)
    —> real time monitoring of older people (have choice to opt out? Privacy implications?)
5. Justice
Global:
- health inequalities in / between counties
- representative participation
Local:
- ***best use of funding / resources?
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11
Q

Summary of ethical challenges of Big Data

A
  1. Informed consent, Confidentiality
  2. Privacy, Data security, Accountability
    - Accidental data breaches
    - Data hacking, Cyber attacks
    - Misuse / Sale of data
    —> Who is accountable? (Software developer, Manufacturer, Clinician, Hospital?)
  3. Big brother, Discrimination
    - Constant monitoring
    - Imbalance of power: Organisational to individual
    - Exploitation of behaviours
    —> incentivisation e.g. smart devices partnering with insurance companies to lower premiums
    —> risk of paternalism
    —> equal access
  4. Commercial exploitation
    - Limitations of variable data entry
    - Potential harm if data re-used / recombined with additional data by other organisations
    —> Beyond control of organisation originally collected / used the data
5. Justice
Global:
- health inequalities in / between counties
- representative participation
Local:
- ***best use of funding / resources?
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12
Q

Direct to Consumer testing

A
  1. Consent:
    - Ultimate expression of autonomy?
    —> convenient, easy, extended accountability
    - Informed consent?
    - Wider implications for family
  2. Interpretation of data:
    - Testing for bad genes with strong penetrance
    - Difficulty interpreting results
  3. Confidentiality:
    - General data management concerns
    —> leaks may affect insurability / employability
    - Shared nature of genetic material
    —> 3rd party’s right to know / NOT to know
  4. Governance
    - on health databases and biobanks
    - e.. Personal Data (Privacy) Ordinance of Hong Kong
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13
Q

AI in health care

A
  1. Beneficence
    - societal / individual health benefits
  2. Autonomy
    - informed consent
    - physician authority
    - data privacy + surveillance
  3. Non-maleficence
    - safe guarding free-will
    - data security and commercial exploitation
  4. Justice
    - discrimination
    - accountability
  5. Governance
    - human agency and oversight
    - technical robustness and safety
    - privacy and data governance
    - transparency
    - diversity, non-discrimination, fairness
    - environmental + societal well being
    - NO existing legislation in HK
    - accountability
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14
Q

Artificial intelligence vs Machine learning vs Deep learning

A

DL (範圍最小):
- computers improving performance without being programmed by humans

ML:

  • method of data analysis that automates analytical model building
  • systems learning from data/pattern recognition with minimal human intervention

AI (範圍最大):
- computers carrying out human tasks

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15
Q

Benefits of AI

A
  1. Remote health care delivery
    - help doctors to evaluate patients more efficiently
    - less expensively
    - no fatigue / time limitations
    - allow screening of more rural populations
    - predictive analytics - identifying high risk patients
  2. Enhancing diagnostics
    - detect cancer / other diseases based on imaging
    - facial profiling aid diagnosis of syndromes
    - prediction and prevention of sepsis
    - classifying skin lesions based on images
  3. Enhance drug development
  4. Virtual human simulation in medical education
    —> limitations: reduced human interaction, dependent on clinicians for software development and evaluation

Future:

  1. Healthcare virtual assistant
  2. Personal life coach
  3. Advanced analytics and research including precision medicine
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16
Q

Concerns of AI

A

Human related:

  1. Informed consent to use data - option to opt out (Autonomy)
    - physicians need to understand how AI works and limitations for informed consent
    - patient need to be aware of extent of AI’s role in treatment
    - would AI undermine clinician authority?
    - treatment recommendation by an algorithm without rationale?
    - Automation bias
  2. Privacy / Confidentiality (Autonomy)
    - Overt / Covert monitoring of activities?
    —> right to be left alone
    —> who could use the data?
    —> commercial exploitation
    - Behaviour predictions to urge individuals to make smart decisions
    - Loss of free choice to make inadvisable decisions
    - Penalty if fail to act on prediction?
    - Held accountable for future predicted actions?
  3. Discrimination, Data mining (Justice)
    - assumption of objectivity —> inaccurate / misrepresentative data leads to replication of human bias
    - applicability to data set —> difficult to assess reliability, bias, detect malicious attacks
    - assumption of infallibility
  4. Manipulation - reinforce existing biases
  5. Protection from cyber-attack
  6. Data security and Commercial exploitation (Non-maleficence)
    - manipulations can fool AI systems / change behaviour of AI systems
    - potential for hacker exploitation
    - potential for fraudulent commercial exploitation

Computer / Data related:
1. Blackbox

  1. Limitations of data sets (Non-maleficence)
    - financial motivations of AI product vendors
    - applicability to different populations (failure outside range of data which AI trained)
    - constant requirement for updating —> failure to recognise emerging infections
    - need for comprehensive data including social + economic factors
  2. Accountability for errors (Justice)
    - black box —> difficult for human to understand how ML conclusions reached
    - who’s accountable for errors that lead to mismanagement?
    - would healthcare behaviour change?
    —> no longer seeks physician’s opinion
    —> self-diagnosis / self-medication
    - who would regulate the industry?
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17
Q

Mitigation for risks of AI

A
  1. Independent verification of AI predictions
    - ***critically appraise black box output
  2. Clinical trials to compare AI recommendations with standard care
  3. Transparency when AI related errors occur
    - process for disclosure
    - publication of errors
    - consider how to correct errors
    - clinician engagement with every stage of development and evaluation
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18
Q

AI cannot

A
  1. Assess patient preferences
  2. Take into account access to medication
  3. Take into account cost implications
  4. AI need means of “cooling down” and energy supply
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19
Q

EU’s ethics guidelines for trustworthy AI

A
  1. Human oversight
  2. Technical safety
  3. Privacy + Data governance
  4. Transparency
  5. Diversity, Non-discrimination, Fairness
  6. Environmental + Social well being
  7. Accountability

NB: NO existing legislation relating to AI in HK, only Personal Data (Privacy) Ordinance of HK

20
Q

HK National Organ Donation Program

A
  • Opt in system
  • Family members of deceased still need to sign a consent form to confirm organ / tissue can be used
  • HK one of lowest rates of organ donation
21
Q

Barriers to Cadaveric donation

A
  1. Reluctant to commit to donate
  2. Refuse permission by family
  3. Debate over definition of death
  4. Legal barriers (e.g. Pakistan)
  5. Religious
  6. Cultural (e.g. obligations to family > autonomy of donor, taboo of talking about death)
22
Q

Opt in vs Opt out

A

Opt in: Explicit consent to donate

Opt out: Not clearly refused is presumed donor, permission is a moral rather than legal requirement

23
Q

Incentivisation for deceased organ donation

A
  1. Prioritisation of Donor’s family members

2. Illegal exploitation

24
Q

Living donors

A

Motives of donor:

  1. Altruism
  2. Financial
  3. Publicity

Non-Maleficence:

  1. Low mortality
  2. Long term risks and morbidity?
  3. Support for cadaveric donation “protects living donors”

平衡:
1 harmed + 1 saved
Vs
0 harmed + 1 dead

Consent from living donors:

  1. Autonomous decision if financially motivated?
  2. Voluntary process —> problems can arise within extended family systems / marriages of convenience —> Truly voluntary consent?
  3. Reciprocal obligations —> Anonymised
  4. Children

HK can donate organs from strangers now

25
Q

Is selling organs ok?

A

For:

  1. Autonomy - right to sell their own organs
  2. Safely live with one kidney / remaining part of liver
  3. Reduce illegal trade after legalisation
  4. Net benefit in Utilitarianism

Bad:

  1. Autonomy - Truly voluntary if desperate to sell?
  2. Beneficence / Non-maleficence
    - Average family income declined
    - Decline in health post-nephrectomy
  3. Potential harm to recipient as well? —> guaranteed quality of donor organ?
  4. Justice
    - Exploitation of vulnerable population
    - Reduce promotion / facilitation of altruistic donation

In HK, Commercial dealings of human organs is ***prohibited

26
Q

How to decide who is the most suitable recipient

A

Beneficence:

  • Utilitarian —> who will receive Greatest Net Benefit
  • Most successful outcome
  • Greatest chance of survival

Patient behaviour related:

  • Accountability - Poor lifestyle choices?
  • Demonstration of abstinence
  • Predicted future compliance
  • Contribution to society
  • Willingness to be a donor

Justice:

  • Time on waiting list
  • Most critical patient
  • Demographics e.g. Age, Co-morbidities
  • Financial resources
  • Previous transplantation - success rate lower
  • Surgeon’s commitment to patient
27
Q

MCHK: Organ transplant and donation

WHO Guiding principles

A

MCHK:

  1. Observe Human Organ Transplant Ordinance
  2. Donor ***welfare should be respected + protected
  3. Donor consent must be ***free + voluntary
  4. Recipients referrals outside HK ***unethical without ascertaining status of donor

WHO:

  1. Consent required by law is given
  2. No reason to believe that the deceased person objected to such removal
  3. Physicians certifying death of donor should ***NOT be directly involved in organ removal from donor / transplantation procedures, NOR care of intended recipients
  4. Donation should be developed to maximum therapeutic potential
  5. Should only be donated freely without monetary value
  6. Advertising need for organs with a view to paying donors should be prohibited
  7. Allocation should be guided by ***clinical criteria + ethical norms but NOT financial / other considerations
  8. Allocation rules should be **equitable, **externally justified, ***transparent
  9. High quality, safe, efficacious procedures are essential
  10. Organisation carrying out transplantation activities must be transparent + open to scrutiny, ensuring personal anonymity + privacy of donors / recipients
28
Q

Other problems related to transplantation

A
  1. External structures e.g. Facial transplantation —> Implications for family of donors
  2. Uterine transplant
  3. Xenotransplantation —> Zoonosis, Viral transmission, Religious objections, Moral objections

Pluripotent stem cells —> Solution?

29
Q

***Declaration of Helsinki, WHO’s guidelines for Good Clinical Practice, ICH GCP

A

Declaration of Helsinki

  • International ethical and scientific quality standard for the ***design, conduct and record of research involving humans
  • Encourages adoption by ALL involved in clinical trials
  • **Components:
  • **1. Research Ethics Committee
  • review protocol before study
  • monitor study compliance
  • authorise protocol amendments
  • receive final report
    2. Informed consent, Privacy/Confidentiality, Vulnerable groups/individuals, Risks/Burdens/Benefits
    3. Scientific requirements, Research protocols, Use of placebo, Unproven interventions in clinical practice
    4. Post trial provisions, Research registration, publication, dissemination of results

WHO’s guidelines for Good Clinical Practice
- Guidance for pharmaceutical product ***trials

ICH GCP (International conference on Harmonisation of Good Clinical Practice)
- Aims to harmonise ***regulations and guidelines for drug development
30
Q

Local governance

A
  • NO legal requirement in HKSAR for IRB / Ethics committee approval
  • Each institution advised to establish IR process —> operate according to DOH
  • Local adherence to ***ICH GCP to ensure international compliance
31
Q

***4 Steps in determining Ethical research

A

Proposed research should:
1. Increase in knowledge related to patient care

  1. Necessary to be carried out with proposed subjects rather than less vulnerable groups
  2. Potential benefits outweigh harm
    - avoid discrimination in patient recruitment
    - assessment and minimisation of harm
  3. Informed consent from subjects
  4. Post trial duty to report results
32
Q

DOH position on Informed consent

A
  1. Voluntary
    - Sought by independent party from treating physician
    - Assurance patient decision will not influence care
    - Clinician-Investigators conflict of interest
    - Legally authorised representative and assent
    - Inclusion without consent if outlined in protocol
  2. Adequate information
    - Clear up misconception about benefits
    - Framing up risk “not too negative”
  3. IC for human material / data
33
Q

Research consent vs Clinical consent

A
  1. More ***contractual as opposed to “trust”
  2. Obligatory ***written consent forms
  3. For ***future health benefit of others
  4. Information given ***not individualised
  5. Focus on ***minimising risk rather than benefit
34
Q

Protecting those that can’t consent

A
  • If NOT conduct research because unable to give consent —> Risk of Negative discriminiation
  • those who cannot consent should NOT be included in a study that is NOT likely to benefit them unless it is intended to
    1. Promote health of group represented by the subject
    2. Research cannot be performed with person capable of consent
    3. Research entails only minimal risk / burden
35
Q

People unable to consent: Children / MIA

A
  1. Surrogate consent
  2. Patient’s best interest then subsequently assent / informed consent
  3. Without consent if outlined in protocol
36
Q

Protecting vulnerable populations

A

International Ethical Guidelines for Health-related research involving humans ***(CIOMS) 2016

Sponsor and Investigator must ensure:
1. Research responsive to health needs and priorities of population
+
2. Any intervention / product developed / knowledge generated will be made reasonable available for the benefit of that population / community

37
Q

Declaration of Helsinki: Ethical principles for medical research involving human subjects

A

Benefits / burdens / risk and Effectiveness of a new intervention must be tested against those of a ***proven intervention

EXCEPT

  1. No proven intervention exist
  2. Compelling and scientifically sound methodological reasons
  3. No additional risks of serious / irreversible harm as a result of not receiving the best proven intervention
38
Q

Placebo

A

Hawthorne / Observer effect

  • Treatments almost always lead to improvement just because of being enrolled in a study
  • Always have improvement from placebo response due to natural course of disease

Therefore,
1. Demonstrate improvement due to intervention alone by comparison with placebo control group / known effective treatment group / “no treatment at all” group
—> Specific treatment effect vs Absolute treatment effect

  1. Trials that involve active treatment control groups (New drugs vs Approved drugs)
    —> often only provide evidence of non-inferiority
    —> also need to include ***placebo arm to avoid approving ineffective drugs
39
Q

Equipoise

A

Genuine uncertainty in expert medical community over whether a treatment will be beneficial
—> No intervention is inferior / all arms likely to be beneficial
—> therefore consistent with competent care
—> randomisation becomes ethical

40
Q

Consent

A

Implied / Expressed

Valid informed consent requires:

  1. ***Mental competence
  2. Provision of ***sufficient information material to decision (Montgomery ruling)
  3. Voluntariness / ***Free from coercion
41
Q

Mental competence

A

Able to:
Understand —> Retain and weigh up —> Communicate decision

  • Presumption of mental competence unless reason for doubt
  • Decision specific
42
Q

Consent in minors < 16 yo

A
  1. Non-Gillick competent minor:
    - best interests decision made with ***parents / parental consent
    - child should be involved as much as possible
  2. Gillick competent minor:
    - minor can give consent if fully understand, can weigh up and communicate a decision
    - Gillick competence determined by **doctor
    - NO disclosure of information to parents unless minor consents
    - parents cannot overrule but **
    the courts potentially can
43
Q

Confidentiality and law

A

Common Law: Legal duty of confidentiality between doctor and patient

NOT absolute

  • appropriate information sharing of safe and effective care
  • indirect use e.g. medical research, service planning and financial audit
44
Q

When is disclosure of patient information allowed

A
  1. Patient gives consent
  2. Overall benefit to a mentally incapacitated adult (MIA) unable to give consent
  3. Required by law e.g. reporting of TB
  4. Justifiable in public interest —> to provide a 3rd party —> a real / imminent threat of harm to the patient / others and the threat can only be removed by breach of confidentiality
45
Q

Ethics of old age

A

Defining old age

  • Chronological
  • Biological
  • Functional (influenced by social factors)

Should age factor into clinical decision making / resource allocation?

Should we invest in research to prolong life? Life span vs Health span
For:
1. Extra productive years?
2. Longer to save for retirement
3. Older carers providing child care / family care
4. Smaller child population brought savings in education to offset increasing amount of ageing population spending
5. Significant consumers of goods —> Economically active

Against:

  1. Accelerate population growth —> Environmental consequence
  2. Increased spending on public health and social benefits
  3. Larger burden on working population to support expanding elderly population
  4. Fairness in allocation of anti-ageing interventions

Who’s responsible for looking after older generation?

  • State?
  • Family?