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伦理与社会评论:伦理反思是研究资助的前提。

Ethics and society review: Ethics reflection as a precondition to research funding.

机构信息

Department of Computer Science, Stanford University, Stanford, CA 94305.

Center for Advanced Study in the Behavioral Sciences, Stanford University, Stanford, CA, 94305;

出版信息

Proc Natl Acad Sci U S A. 2021 Dec 28;118(52). doi: 10.1073/pnas.2117261118.

Abstract

Researchers in areas as diverse as computer science and political science must increasingly navigate the possible risks of their research to society. However, the history of medical experiments on vulnerable individuals influenced many research ethics reviews to focus exclusively on risks to human subjects rather than risks to human society. We describe an Ethics and Society Review board (ESR), which fills this moral gap by facilitating ethical and societal reflection as a requirement to access grant funding: Researchers cannot receive grant funding from participating programs until the researchers complete the ESR process for their proposal. Researchers author an initial statement describing their proposed research's risks to society, subgroups within society, and globally and commit to mitigation strategies for these risks. An interdisciplinary faculty panel iterates with the researchers to refine these risks and mitigation strategies. We describe a mixed-method evaluation of the ESR over 1 y, in partnership with a large artificial intelligence grant program at our university. Surveys and interviews of researchers who interacted with the ESR found 100% (95% CI: 87 to 100%) were willing to continue submitting future projects to the ESR, and 58% (95% CI: 37 to 77%) felt that it had influenced the design of their research project. The ESR panel most commonly identified issues of harms to minority groups, inclusion of diverse stakeholders in the research plan, dual use, and representation in datasets. These principles, paired with possible mitigation strategies, offer scaffolding for future research designs.

摘要

计算机科学和政治学等领域的研究人员必须越来越多地应对其研究对社会可能带来的风险。然而,对弱势群体进行医学实验的历史影响了许多研究伦理审查,使它们只关注人类研究对象的风险,而不关注人类社会的风险。我们描述了一个伦理与社会审查委员会(ESR),它通过要求获得资助必须进行伦理和社会反思来填补这一道德空白:研究人员只有在完成 ESR 对其提案的审查程序后,才能从参与计划中获得资助。研究人员撰写一份初始声明,描述他们提议的研究对社会、社会群体内部以及全球的风险,并承诺制定减轻这些风险的策略。一个跨学科的教师小组与研究人员一起完善这些风险和缓解策略。我们描述了一项针对 ESR 的混合方法评估,该评估是与我们大学的一个大型人工智能资助项目合作进行的。对与 ESR 互动的研究人员进行的调查和访谈发现,100%(95%置信区间:87 至 100%)的研究人员愿意继续将未来的项目提交给 ESR,58%(95%置信区间:37 至 77%)的研究人员认为 ESR 影响了他们的研究项目设计。ESR 小组最常发现的问题是对少数群体的伤害、将不同利益攸关方纳入研究计划、双重用途和数据集中的代表性。这些原则加上可能的缓解策略,为未来的研究设计提供了框架。

https://cdn.ncbi.nlm.nih.gov/pmc/blobs/0b39/8719852/fc4efcfd1218/pnas.2117261118fig01.jpg

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