| Literature DB >> 32727514 |
Henriette Rau1, Lars Geidel2, Martin Bialke3, Arne Blumentritt2, Martin Langanke4, Wenke Liedtke5, Sandra Pasewald2, Dana Stahl2, Thomas Bahls3, Christian Maier6, Hans-Ulrich Prokosch6, Wolfgang Hoffmann3.
Abstract
BACKGROUND: Defining and protecting participants' rights is the aim of several ethical codices and legal regulations. According to these regulations, the Informed Consent (IC) is an inevitable element of research with human subjects. In the era of "big data medicine", aspects of IC become even more relevant since research becomes more complex rendering compliance with legal and ethical regulations increasingly difficult.Entities:
Keywords: Consent management; GDPR; General data protection regulation; Informed consent
Mesh:
Year: 2020 PMID: 32727514 PMCID: PMC7391490 DOI: 10.1186/s12967-020-02457-y
Source DB: PubMed Journal: J Transl Med ISSN: 1479-5876 Impact factor: 5.531
List of requirements for a comprehensive informed consent management.
Based on Bahls et al. [15] and modified with [6], [16] and [17]
| No. | Requirement and/or use case |
|---|---|
| 1 | Support of a general consent form for a research project, e. g. a digital consent template |
| 2 | Support of individual participant consents to digitally store filled-in participants’ consents |
| 3 | Clarity and transparency regarding each consent status to support Use and Access processes in compliance with data protection regulations |
| 4 | Editing and updating, i.e. consent templates, and enabling the participant to change his/her will any time |
| 5 | Support of consent exclusions [ |
| 6 | Possibility to define any number of (external) properties to support study-specific requirements |
| 7 | Possibility to define free text fields to support study-specific input fields, e. g. study site or specific dates/timestamps |
| 8 | Possibility to withdraw consent (fully or partially) in compliance with participants’ right to withdraw and to be forgotten (Art. 7 and 17 GDPR) |
| 9 | Support of consent versioning to support multiple consent versions within a study, e. g. to track changes over time or to provide consents in multiple languages |
| 10 | Possibility to freely configure automatable queries for consent status, e. g. for Use and Access processes |
| 11 | Possibility to define policies and combine them into modules to support fine-granular depiction of the participant’s expressed consent |
| 12 | Possibility to define mandatory policies/modules |
| 13 | Possibility of automated search or query of individual consented consent forms, policies, modules or specific identifiers, e. g. case number, to support use cases for data trustees such as List all participants, who consented to a specific policy List all consent forms existing for a study List all digital consents of a study, for which no scan of the paper-based IC is attached List all policies to which a participant has consented to List all consent forms, which exist for a participant Display the current consent form existing for a participant Answer the query, whether a given participant consented to a specific policy |
| 14 | Support of exporting consented cases, e. g. by providing a list of participants’ pseudonyms with valid consents |
| 15 | Integration of paper-based workflows, e. g. attaching documents to a participant’s digital consent |
| 16 | Management of domains (e. g. multiple projects, different study sites, or countries) |
| 17 | Intuitive usage and support of use cases, e. g. using an frontend with menu items like “search” |
| 18 | Possibility to define the time of validity of a consent |
Fig. 1Structure of a modular Informed Consent within gICS
Fig. 2Architecture of the gICS application
Fig. 3Web-based user interface of the gICS application
Fig. 4Summary of all managed consents within various research projects using gICS (as of October 2019; statistics for GANI_MED over time are not available—number of consents at project end: 13,934)
Fig. 5Overview of available consent status values within gICS (v.2.9.1) and their usage in the NAKO, DZHK and GANI_MED projects (logarithmic representation of the y-axis) as of October 2018
List of requirements for a comprehensive informed consent management (see Table 1) and respective solutions using gICS
| No. | Requirement and/or use case | gICS solution |
|---|---|---|
| 1 | Support of a general consent form for a research project | By design gICS facilitates to create general as well as project-specific templates for informed consents [ |
| 2 | Support of individual participant consents | To address individual requirements of cohorts or groups of participants, the structure of each template can easily be adopted to the target groups’ needs using gICS |
| 3 | Clarity and transparency regarding each consent status to support Use and Access processes in compliance with data protection regulations | gICS supports depicting the participants’ will for each application scenario, such as Use and Access, in currently nine values: Accepted, Declined, Unknown, Not asked, Not chosen, Withdrawn, Invalidated, Refused and Expired [ |
| 4 | Editing and updating a consent | The participant is enabled to change his/her will at any time. A given consent can be updated as well as withdrawn without any restrictions using gICS. For a precise chronological documentation every change results in a new “latest” and versioned consent easily manageable with gICS [ |
| 5 | Support of consent exclusions | gICS supports the “opt-in” approach, which is the EU-GDPR default. To exclude specific purposes of data usage, the project consent has to contain a respective consent module, which can be accepted or declined by the participant. [ |
| 6 | Possibility to define any number of (external) properties | To achieve a maximum of flexibility, the gICS data model allows to define gICS-specific properties (e. g. mandatory scans, scan size limits, permanent withdrawals, version and date weighting) and application-specific (external) properties (e. g. VALIDITY_PERIOD = p1y30d) for policies, modules and templates. [ |
| 7 | Possibility to define free text fields | Each consent template in gICS can be enhanced with free text fields of the types DATE, BOOLEAN, STRING, INTEGER or DOUBLE, e. g. to additionally document the name of a treatment facility. [ |
| 8 | Possibility to withdraw consent (fully or partially) | The modular structure of consents within gICS facilitates partial and full withdrawals, e. g. as successfully applied in the German National Cohort. [ |
| 9 | Support of consent versioning | Each policy, module and template of a consent references a specific version in gICS to ensure reproducibility. [ |
| 10 | Possibility to freely configure automatable queries for consent status | gICS facilitates the functionality to request consent status (policy-based) via interface including further possible configurations as “ignoreVersionNumber” or unknownStateIsConsideredAsDecline [ |
| 11 | Possibility to define policies and combine them into modules to support fine-granular depiction of the participant’s expressed consent | gICS uses policies and modules as fine-granular as needed for a comprehensive consent representation [ |
| 12 | Possibility to define mandatory policies/modules | Each consent module references assigned consent policies in gICS. For each consent template within gICS mandatory consent modules can easily be specified [ |
| 13 | Possibility of automated search or query of individual, consented consent form, policies, modules or specific identifiers, e. g. case number | Using automated searches or queries of consent, policies, modules or specific identifiers already provided by gICS or manually created by the researcher, e. g. by using the search-function of the web frontend [ |
| 14 | Support of exporting consented cases, e. g. by providing a list of participants’ pseudonyms with valid consents | gICS offers more than 50 comfort functionalities via a web service-based interface (SOAP) to manage and query consents and respective information. A complete list of functions and required parameters is provided in the online specification [ |
| 15 | Integration of paper-based workflows, e. g. attaching documents to a participant’s digital consent | Digitising and managing consents in gICS includes the possibility to upload one or more files (PDF-format, jpg), e. g. a scanned document of the participant’s paper-based consent, to the digital consent [ |
| 16 | Management of domains (e. g. projects, study countries or sites) | Possibility to use specific domains in gICS and the gICS web frontend to manage those domains [ |
| 17 | Intuitive usage and support of use cases | The up-to-date web-frontend of gICS supports the most common application scenarios while additional comfort functionalities, provided by the web-based interface, facilitate system integration purposes |
| 18 | Possibility to define the time of validity of a consent | Within gICS a consent’s time period of validity can be defined either by a fixed date, e. g. end of the research project, or by a dynamic date, e. g. 18th birthday of a study participant. This can be defined for domains, e.g. a study, specific consent templates, or modules |