六十年的伦理演变:2024年赫尔辛基宣言(DoH)修订。

Haihong Zhang, You Wu, Haibo Wang, Weili Zhao, Yali Cong
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引用次数: 0

摘要

2024年10月19日,在芬兰举行的世界医学协会(WMA)第75届大会通过了最新版本的《赫尔辛基宣言》(DoH)——涉及人体参与的医学研究的伦理原则(以下简称“宣言”)。这一修订过程历时30个月,工作组由19个国家和地区的医学协会代表组成。2022年4月至2024年9月,工作组召开了8次区域专家会议和2次全球磋商会,听取了专家和公众的意见。此外,工作组还建立了定期在线会议工作机制。基本上,尊重和保护人类参与者的一般伦理原则随着时间的推移是稳定的,而更有针对性的解释和理由应该及时调整。修订的重点是与国际上广泛接受的道德准则保持一致,强调与WMA内外的其他相关文件的一致性。《宣言》强调了总体原则,没有深入探讨许多细节;然而,其核心原则仍然普遍适用。虽然这些修订代表了重大进展,但其中一些也反映了实质性的妥协。值得注意的是,为了加强对研究参与者权利和福祉的保护,《宣言》重申“这些目的绝不能优先于研究参与者个人的权利和利益”,并要求所有利益攸关方,包括参与医学研究的个人、团队和组织,遵守尊重和保护研究参与者的伦理原则。鉴于世界医学协会作为一个全球性医生组织的使命,“医学研究”一词被保留,而不是采用更广泛的术语,如“健康相关研究”。然而,该文件在组成段落中提到了“医生”或“医生和其他研究人员”,承认医生在医疗实践中的关键作用以及在涉及人类参与者的研究中角色的专门划分。与2013年版本相比,新的《宣言》加强了研究人员对研究参与者的责任和保护(例如,第9、10、12、17、21、23、32和34条),将“必须”一词的实例从46个增加到58个,并澄清了“应该”和“必须”之间的区别。将“受试者”重新命名为“参与者”不仅要求尊重参与者的权利和代理,而且要求研究人员和参与者之间建立伙伴关系。发展这种伙伴关系要求医生/研究人员严格履行职责,优先考虑患者(包括参与研究的患者)的最大利益,促进和保护他们的健康、福祉和权利,并保障参与者的生命、健康、尊严、人格完整、自主、隐私和保密。此外,研究人员必须考虑风险、利益和负担的公平分配,并更积极地使各种利益相关者——特别是参与者及其社区——能够表达和分享他们的优先事项和价值观的参与。经过广泛讨论后选择的术语“使能”意味着研究人员应该积极参与并与参与者及其社区进行有意义的互动。在这方面,参与者甚至可以通过与研究人员进行有意义的互动、表达健康需求和启发研究问题和方向来发起研究。研究人员的积极参与不仅需要提出相关的科学问题,而且还需要为潜在的参与者创造和提供参与研究的机会。考虑到这种伙伴关系,对特别脆弱的个人、群体和社区给予了特别关注。《宣言》将脆弱性定义为“可能是固定的或情境性的和动态的因素”,强调不应武断地将这些人群排除在外。相反,如果要纳入这些个体,研究人员必须坚持一种公平和负责任的方法,确保遵守三种具体的保护措施。这种做法从传统的排斥保护转变为包容保护,尊重这些人群独特的健康需求和优先事项,作为尊重边缘化群体的一个关键方面。关于在医学研究中使用数据或生物材料的伦理准则,修订仅反映了最低限度的共识,还有很大的改进空间。围绕在医学研究环境中使用数据或生物材料的伦理问题,特别是关于数据治理和动态知情同意的伦理问题,是重点。 最终修订版与WMA的《台北宣言》一致,强调重新识别先前未识别的数据[8]的风险。它赋予研究伦理委员会仔细监督知情同意过程的责任,特别是在医学研究中重复使用现有数据和标本时,以及在不可能或不实际获得知情同意的特殊情况下。然而,这些修订并没有完全解决医疗保健领域大数据和人工智能新兴背景下对数据治理和动态信息解决方案的迫切需求。虽然《宣言》尚未为医疗人工智能等前沿领域确立具体的伦理准则,但它为进一步发展提供了一般原则和基础。《宣言》本身也会定期修订,在未来十年,随着相关领域的道德治理不断完善,很可能会出现更完善、更统一的全球道德共识。然而,要实现这一目标,需要所有利益攸关方的积极参与和彻底合作。张海红:概念化(平等);写作——原稿(主笔);写作—评审与编辑(同等)。尤武:写作——原稿(主笔)。王海波:概念化(平等);资源(领导);监督(领导);写作—评审与编辑(同等)。赵伟丽:写作-审编(平等)。丛雅丽:概念化(主持);监督(领导);写作—评审与编辑(同等)。王海波教授是《卫生保健科学》编委会成员。为了尽量减少偏倚,他被排除在所有与接受这篇文章发表相关的编辑决策之外。其余作者声明无利益冲突。清华大学创业基金资助/奖励号:53335000124。不适用。不适用。
本文章由计算机程序翻译,如有差异,请以英文原文为准。
Sixty years of ethical evolution: The 2024 revision of the Declaration of Helsinki (DoH)

On October 19, 2024, the 75th General Assembly of the World Medical Association (WMA) in Finland adopted the latest version of the Declaration of Helsinki (DoH)—Ethical Principles for Medical Research Involving Human Participants [1] (hereafter referred to as “the Declaration”). This revision process took 30 months, with the working group comprising representatives from medical associations in 19 countries and regions. From April 2022 to September 2024, the working group held eight regional expert meetings and two times global consultations, gathering suggestions from both experts and the general public [2]. Besides, the working group developed regular online meeting working mechanisms.

Basically, the general ethical principles for respecting and protecting human participants are stable over time, while more tailored interpretations and justifications should be adapted in a timely manner. The revision focused on alignment with wide-accepted ethical guidelines at the international level, emphasizing coherence with other related documents within, and beyond the WMA. The Declaration emphasises the overarching principles and does not delve into many specifics; however, its core principles remain universally applicable.

While these revisions represent significant progress, some also reflect substantial compromises. Notably, to strengthen the protection of research participants’ rights and well-being, the Declaration reaffirms that “These purposes can never take precedence over the rights and interests of individual research participants” and requires all stakeholders, including individuals, teams, and organizations involved in medical research to adhere to ethical principles that respect for and protect of research participants [7]. Given the WMA's mandate as a global organization of physicians, the term “medical research” was retained rather than adopting broader terminology such as “health-related research.” However, the document refers to “physicians,” or “physicians and other researchers” in constituent paragraphs, acknowledging both the critical role of physicians in medical practices and the specialized division of roles in research involving human participants. Compared to the 2013 version, the new Declaration strengthens researchers' responsibilities and protections for research participants (e.g., Articles 9, 10, 12, 17, 21, 23, 32, and 34), increasing the instances of the word “must” from 46 to 58 and clarifying the distinction between “should” and “must.”

Renaming “subjects” as “participants” not only mandates respect for participants' rights and agency but also calls for a partnership between researchers and participants. Developing such partnership requires that physicians/researchers strictly fulfill their duties, with the best interests of patients, including those participating in research, as the priority, promoting and protecting their health, well-being, and rights, and safeguarding participants' life, health, dignity, integrity, autonomy, privacy and confidentiality. Furthermore, researchers must consider fair equitable distribution of risks, benefits, and burdens, and more actively to enable engagement from various stakeholders—especially participants and their communities—who can express and share their priorities and values. The term “enable,” chosen after extensive discussions, implies that researchers should actively engage and interact meaningfully with participants and their communities. In this regard, participants can even initiate research by interacting meaningfully with researchers, voicing health needs, and inspiring research questions and directions. Researchers' proactive engagement not only entails formulating relevant scientific questions but also creating and providing opportunities for potential participants to engage in research.

With this partnership in mind, special attention has been given to particularly vulnerable individuals, groups and communities. The Declaration defines vulnerability as potentially arising from “factors that may be fixed or contextual and dynamic,” emphasizing that such populations should not be arbitrarily excluded. Instead, if such individuals are to be included, researchers must uphold a fair and responsible approach, ensuring compliance with three specific protective measures. This approach shifts from traditional exclusion for protection to inclusion for protection, respecting these populations' unique health needs and priorities as a key aspect of respect for marginalized groups.

Regarding the ethical guidelines for the use of data or biological material in medical research, the revisions only reflect a minimum consensus, leaving quite a lot room for improvement. The ethical issues surrounding the use of data or biological material in medical research settings, especially concerning data governance and dynamic informed consent, were key points of focus. The final revision aligns with the WMA's Declaration of Taipei by emphasizing the risk of re-identifying previously deidentified data [8]. It assigns Research Ethics Committees the responsibility to carefully oversee informed consent processes, especially when existing data and specimens are reused in medical research, as well as in particular situations when obtaining informed consent is impossible or impractical. However, the revisions do not fully address the urgent need for solutions in data governance and dynamic information in the emerging context of big data and AI in healthcare [9].

Although the Declaration has yet to establish specific ethical guidelines for cutting-edge fields like medical AI, it provides general principles and a foundation for further development [10]. The Declaration itself undergoes regular revisions, and over the next decade, as ethical governance in related fields continues to improve, it is likely that a more refined and unified global ethical consensus will emerge. Achieving this, however, will require active engagement and thorough collaboration among all stakeholders.

Haihong Zhang: Conceptualization (equal); writing—original draft (lead); writing—review and editing (equal). You Wu: Writing—original draft (lead). Haibo Wang: Conceptualization (equal); resources (lead); supervision (lead); writing—review and editing (equal). Weili Zhao: Writing—review and editing (equal). Yali Cong: Conceptualization (lead); supervision (lead); writing—review and editing (equal).

Professor Haibo Wang is a member of the Health Care Science Editorial Board. To minimize bias, he was excluded from all editorial decision-making related to the acceptance of this article for publication. The remaining authors declare no conflicts of interest.

Tsinghua University Start-up Fund, Grant/Award Number: 53335000124.

Not applicable.

Not applicable.

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