Ethical Implications of Malaria Vaccine Development
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Institute of Biomedical Ethics and History of Medicine, University of Zurich Director: Prof. Dr. med. Dr. phil. Nikola Biller-Andorno ______________________________________________________________________ Dissertation under the supervision of Prof. Dr. med. Dr. phil. Nikola Biller-Andorno and Prof. Dr. phil. Marcel Tanner Ethical Implications of Malaria Vaccine Development INAUGURAL-DISSERTATION To receive the title of (Dr. sc. med./PhD) awarded by the Faculty of Medicine University of Zurich submitted by Machteld van den Berg Dissertation committee: Prof. Dr. med. Dr. phil. Nikola Biller-Andorno (chair and main supervisor) Prof. Dr. phil. Marcel Tanner (co-supervisor) PD Dr. med. et sc. nat. Sonja Merten This dissertation has been accepted by the Medical Faculty, University of Zurich upon request of Prof. Dr. Dr. Nikola Biller- Andorno Zurich 2019 Publication record These dissertation chapters have been published/submitted in/to the following journals: 1. RTS,S malaria vaccine pilot studies: addressing the human realities in large-scale clinical trials Machteld van den Berg, Bernhards Ogutu, Nelson Sewankambo, Nikola Biller-Andorno, Marcel Tanner Published: May 2019 Journal: BMC Trials 2. Clinical trials in low-resource settings: the perspectives of caregivers of paediatric participants from Uganda, Tanzania and Kenya Machteld van den Berg, Bernhards Ogutu, Nelson Sewankambo, Sonja Merten, Nikola Biller-Andorno, Marcel Tanner Published: June 2019 Journal: Tropical Medicine & International Health 3. Applying complexity theory to model the operation of clinical trials in human communities Machteld van den Berg, Bernhards Ogutu, Nelson Sewankambo, Sonja Merten, Nikola Biller-Andorno, Marcel Tanner Submission date: March 2019 Journal: BMC Trials 4. Communities and clinical trials: A case study from the RTS,S malaria vaccine trials in eastern Africa Machteld van den Berg, Bernhards Ogutu, Nelson Sewankambo, Sonja Merten, Nikola Biller-Andorno, Marcel Tanner Submission date: August 2019 Journal: Journal of Empirical Research on Human Research Ethics to my first teachers, my mother and father and their classroom, the vegetable garden a prairie field or a buzzing beehive. ABSTRACT Clinical trials conducted in low-resource settings have unique challenges associated with their conduct. This is mainly attributed to the power and resource discrepancy between actors in the clinical trial. This thesis provides an in-depth look at clinical trials in low-resource settings and the effects of the resource discrepancy on the actors. It aims to answer what the ethical challenges are when conducting research in low-resource settings and the subsequent implications for research design. It focuses on capturing both the experience of caregivers of pediatric participants and the frontline researchers in a malaria vaccine clinical trial. Through exploring these two stories and bridging the relational with the formal, it provides a novel approach to address the challenges with research in low-resource settings. This approach employs the lens of complexity theory to evaluate the outcome of two systems, a human community and a clinical trial, merging. I will begin by outlining a general introduction of clinical trials in low-resource settings and the case study of a pediatric malaria vaccine clinical trial, here I detail the need to generate a vaccine against malaria and outline why such research should take place. This situates the reasons for the study and provides familiarity with the contextual reality. Then I will move into detailing the caregiver experiences, researcher experiences, and the application of complexity theory to bridge together the different experiences. This thesis is a result of qualitative data gathered from 78 interviews with caregivers of pediatric participants and 11 interviews with researchers involved on the frontline of a pediatric malaria vaccine clinical trial. The final part of the thesis is a theoretical reflection that explores the realities faced by researchers and argues for an approach that embraces the non-linearity of research taking place in human communities. Here I identify the challenges associated with choice and structural inequity, the conflict between beneficence and autonomy, and being a frontline researcher in low-resource settings. 1 2 ACKNOWLEDGEMENTS Embarking on this PhD project together with the Institute of Biomedical Ethics and Law and the Swiss Tropical and Public Health Institute has been a wonderful experience for me as an early researcher. So, to start out, thank you to Nikola at the IBME who accepted me into the program and supervised my PhD, I am grateful for this opportunity you have given me and have appreciated your academic insight. And to Marcel at the Swiss TPH, your guidance, inspiration, and care has carried me through this PhD journey. My gratitude to you extends far beyond words that fit on this page a deep thank you for all that you do for the students who are fortunate enough to be guided by you. Thank you to all those who made this project possible. In particular the community respondents and members of the research team in Uganda, Kenya and Tanzania: your open arms local coordination and language support from many allowed for this project to become a reality. In particular, Sally Mtenga (Tanzania), Bernhards Ogutu (Kenya), Nelson Sewankambo (Uganda) for your help with the organisation and design of this project. And to the local research assistants who translated, interviewed and helped me connect to local communities this would not have been possible without you. Thank you to Sonja for the qualitative expertise, your patient and reflective demeanor built a foundation in me as a social scientist. The administrative support I have received has been wonderful. Therefore, thank you to Daniela, Michelle and Dominik at the IBME and Margrith at the Swiss TPH for your help and vital role in project organisation. To all my dear colleagues and friends: thank you! In particular, Manya and Martina, two fiercely bright women who have lit up my PhD journey in every which way. Your friendship runs deep, and you are two great blessings to come out of this experience. And also: Mirriam, Ana, Sebastian, Daniel, Corine, Holger and Matthias for the warmth and encouragement you have brought to our shared workplace. To my first bioethics professor eight years ago, Doris, who continues to walk this journey with me as a dear friend I would not be here without your support. Then my friends from across the globe, particularly in Canada, the list is too long and my words too vacant, but you have played 3 such a unique role in my life. My friends in Switzerland: Hannah, Julia, Silvan, Sandra, Nici, Jeanine, and Kevin you each make this country feel very much like home. My dear, dear Christian, your love has strengthened me for many years and has been my great cornerstone for this journey. From your small notes of encouragement to our long runs and garden projects, every step with you is the stuff of magic. Most profoundly, thank you to my family where my roots are forever strong and protected. You have taught me, challenged me, and always nurtured me. My parents, Leen and Maria, thank you for being the embodiment of integrity and love. My siblings, Daniel, Josine and Leendert who keep me on my toes and ground me: it is not an understatement to say I would not be who I am without you. And lastly, to all those not mentioned but who have inspired, loved and sustained me throughout my life. Thank you! 4 FUNDING This work was supported by a Doc.CH grant from the Swiss National Science Foundation (SNSF P0ZHP1_172115), the Rudolf Geigy Foundation and the Canadian International Development Research Centre (IDRC). 5 6 TABLE OF CONTENTS ABSTRACT .............................................................................................................. 1 ACKNOWLEDGEMENTS .................................................................................... 3 FUNDING ................................................................................................................. 5 TABLE OF CONTENTS ........................................................................................ 7 ABBREVIATIONS ................................................................................................11 INTRODUCTION ..................................................................................................13 Background ............................................................................................................................. 15 Clinical trials in low-resource settings .................................................................................. 15 A pediatric malaria vaccine as a case study .......................................................................... 15 Why a malaria vaccine? ........................................................................................................ 16 Malaria vaccine ethics ............................................................................................................ 18 Principle-based research ethics ............................................................................................. 18 Respect for autonomy ........................................................................................................... 18 Beneficence and non-maleficence ........................................................................................ 20 Justice ...................................................................................................................................