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2024 | OriginalPaper | Buchkapitel

Enabling Secondary Use of Health Data for the Development of Medical Devices Based on Machine Learning

verfasst von : Lea Köttering

Erschienen in: The Law and Ethics of Data Sharing in Health Sciences

Verlag: Springer Nature Singapore

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Abstract

Medical devices based on machine learning (ML) promise to have a significant impact and make advances in healthcare. This chapter analyzes to what extent data protection law, de lege lata and de lege ferenda, enables the development of ML-based medical devices. A key aspect of this is the processing of health data, which does not originate with the developers but with the healthcare providers. ML-based medical devices are trained with a large amount of health data. According to the current legal situation under the General Data Protection Regulation (GDPR), secondary use of health data is possible in principle (Article 6 (4) GDPR). However, the consent of the data subjects faces certain difficulties, and as the following analysis shows, the development of an ML-based medical device does not necessarily constitute scientific research within the meaning of the GDPR. Therefore, this chapter argues that a separate legal basis is needed. This must be accompanied by technical-organizational measures that safeguard the rights of the data subject to a large extent and should only be allowed if the general public benefits from the research on and/or deployment of the ML-based medical device. In addition, there is a need for infrastructural measures such as the establishment or expansion of intermediary bodies, given the lack of incentives, personnel capacity, and expertise among healthcare providers to share health data with a broad range of interested parties. Furthermore, to ensure a reliable output from ML-based medical devices, standards for data preparation must be established. Finally, this chapter discusses the proposal of the European Health Data Space (EHDS) and briefly examines whether this is a step in the right direction.

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Fußnoten
1
In this chapter, the term machine learning is used as an umbrella term for several sub-disciplines such as deep learning, convolutional neural networks, etc.
 
2
For an overview, see Panesar (2019).
 
3
The largest group of ML-based medical tools in the EU comes from the field of diagnostics according to EIT Health and McKinsey (2020), p. 65.
 
4
Hosny et al. (2018), p. 500; Esteva et al. (2017), p. 115; Madabhushi et al. (2016), p. 170.
 
5
This is feasible, for example, using the decision support tool e-ASPECTS: https://​www.​brainomix.​com/​stroke/​e-aspects/​ accessed 1 March 2023.
 
6
Russell and Norvig (2021), pp. 45, 723. In the context of ML in radiology: Kleesiek et al. (2020), p. 64; Richter and Slowinsky (2019), pp. 5, 26; Schneider (2020), para 6.
 
7
Alpaydin (2016), p. 155.
 
8
Kop (2021), p. 3 with further reference.
 
9
In the context of ML in radiology, see Tang et al. (2018), Fig. 2; Langs et al. (2020), p. 7; Kleesiek et al. (2020), p. 64.
 
10
On unbalanced datasets, see Russell and Norvig (2021), p. 725. In the context of ML in radiology and regarding representativeness, see Langs et al. (2020), p. 7. Also, there is sometimes striking talk of “garbage in, garbage out”, see Barocas (2016), p. 683.
 
11
Kooi (2020), para 2.3; Also highly discussed with regard to transfer learning: Choudhary et al. (2020), p. 129.
 
12
Kooi (2020), para 2.3; Choudhary et al. (2020), p. 129.
 
13
In the field of radiology, particularly medical device manufacturers for MRI-/CT-devices have an increasing interest in providing software that is based on ML and support the use of the equipment. In this context, manufacturers are also working on so-called app stores, which will enable the implementation of software from external providers in the future. See for example: syngo.via OpenApps from Siemens Healthineers.
 
14
See, Fig. 1.
 
15
Article 6 (4) GDPR.
 
16
Article 6 (4) GDPR “for a purpose other than that for which the personal data have been collected”.
 
17
On this example, see also Custer and Uršič (2016), p. 8.
 
18
European Commission, COM (2022) 197 final, 2022/0140.
 
19
It remains to be seen whether this definition will survive the legislative process without change.
 
20
Council of the European Union (2016), p. 5.
 
21
Wouters (2021), p. 210.
 
22
With further references: European Commission (2021), p. 77; Peloquin et al. (2020), p. 700.
 
23
EHDS, p. 13.
 
24
 However, this could change when the EHDS comes intro force.
 
25
Critically in the 36th edition: Albers and Veit (2020), para 77. Broad interpretation by the Bundesgerichtshof (Federal Supreme Court of Germany): Decision of 24.09.2019—Case No. VI ZB 39/18, para 38: “In fact, the regulatory powers of the Union and the Member State diverge with regard to initial collection and processing for a purpose compatible with the original purpose of collection pursuant to Article 6 (1) and (4) (a-e) of the GDPR, on the one hand, and with regard to further processing for a purpose incompatible with the original purpose of collection pursuant to Article 6 (4) of the GDPR, on the other.” (translated by the author).
 
26
Kühling et al. (2016), pp. 43 et seq.
 
27
For an overview, see: European Commission (2017), pp. 42–82; Molnár-Gábor et al. (2022).
 
28
Köttering (forthcoming) Part 2 Chap. 3.
 
29
Molnár-Gábor et al. (2022), p. 273; Karaalp (2017), p. 284.
 
30
Recital 159 of the GDPR.
 
31
Ruffert (2022), para 6; Hofmeister (2022), p. 300 with further references.
 
32
Article 29 Data Protection Working Party (2017), WP 259 rev.01 p. 28.
 
33
Trute (1994), p. 146; Hofmeister (2022), p. 300.
 
34
Köttering (forthcoming) Part 3 Chaps. 8 & 16.
 
35
Köttering (forthcoming) Part 3 Chaps. 8 & 16.
 
36
Roßnagel (2019a, b), p. 158.
 
37
Köttering (forthcoming) Part 3 Chaps. 8 & 16.
 
38
Köttering (forthcoming) Part 3 Chaps. 8 & 16.
 
39
Köttering (forthcoming) Part 3 Chaps. 8 & 16.
 
40
Köttering (forthcoming) Part 3 Chaps. 8 & 16.
 
41
Meszaros and Ho (2021), p. 7.
 
42
EIT Health and McKinsey (2020), pp. 9, 15.
 
43
Köttering (forthcoming) Part 3 Chaps. 8 & 16.
 
44
On industry research: Trute (1993), p. 104.
 
45
Köttering (forthcoming) Part 3 Chaps. 8 & 16.
 
46
Trute (1994), p. 427; Köttering (forthcoming) Part 3 Chaps. 8 & 16.
 
47
Gärditz (2022a), para 2.
 
48
Köttering (forthcoming) Part 3 Chaps. 8 & 16.
 
49
European Data Protection Supervisor (2020), pp. 2, 26; Shabani and Borry (2018), p. 152.
 
50
European Data Protection Supervisor (2020), p. 2; Recital 113 sentence 4 GDPR.
 
51
“Processing for archiving purposes in the public interest, scientific research […]”, Article 89 (1) GDPR.
 
52
European Data Protection Supervisor (2020), p. 2. Spiecker gen. Döhmann (2022), p. 164.
 
53
Schrader (2022), p. 349 with further references.
 
54
Köttering (forthcoming) Part 3 Chaps. 8 & 16.
 
55
Köttering (forthcoming) Part 3 Chaps. 8 & 16.
 
56
Köttering (forthcoming) Part 3 Chaps. 8 & 16.
 
57
Schneider (2019), p. 268.
 
58
Trute (1994), p. 106.
 
59
Trute (1994), p. 722.
 
60
Köttering (forthcoming) Part 3 Chaps. 8 & 16.
 
61
Köttering (forthcoming) Part 3 Chaps. 8 & 16.
 
62
Gärditz (2022a, b), para 104.
 
63
Roßnagel (2019a), para. 34 with further references.
 
64
This already goes back to the Hippocratic Oath.
 
65
Köttering (forthcoming) Part 3 Chaps. 8 & 17.
 
66
OECD (2019) Misaligned incentives, and limitations of current business models and markets, externalities of data sharing, and re-use and the misaligned incentives.
 
67
See also, Devriendt (2022), p. 3008.
 
68
OECD (2019) Misaligned incentives, and limitations of current business models and markets, externalities of data sharing and re-use and the misaligned incentives.
 
69
This is at least to be assumed when it comes to functionality of an ML-based medical device.
 
70
Russell and Norvig (2021), pp. 40, 672 et seq; Hildebrandt (2023), para 4.1. On unbalanced datasets, see Russell and Norvig (2021), p. 725.
 
71
See also, Peloquin et al. (2020), p. 700.
 
72
Kop (2021), p. 5.
 
73
European Commission, COM (2020) 66 final p. 1, 5.
 
74
European Commission, COM (2020) 66 final p. 1; see also “Health Research and Innovation, available at: https://​research-and-innovation.​ec.​europa.​eu/​research-area/​health_​en accessed 2 March 2023.
 
75
See above, Sect. 2 Secondary Use of Health Data for ML Under the GDPR.
 
76
European Commission, DG Health and Food Safety (2021), p. 139; European Commission, COM (2020) 66 final p. 22.
 
77
European Commission, COM (2020) 66 final p. 29; European Commission, COM (2018) 237 final p. 3.
 
78
Schuessler et al. (2022), pp. 338–339.
 
79
Kop (2021), pp. 1, 8; Drexl (2019), p. 19.
 
80
Kop (2021), pp. 1, 8.
 
81
Trute (2017), p. 84.
 
82
Kop (2021), pp. 1, 8; Jurcys et al. (2020), p. 7; European Commission, SWD (2017) 2 final, p. 17.
 
83
Kop (2021), p. 8. Rather, a rethinking of classical property law is necessary. See in this regard, Kop (2021), p. 8.
 
84
Drexl et al. (2016), p. 2.
 
85
Kop (2021), p. 8.
 
86
Further on the topic of data as infrastructure, see OECD (2015), pp. 177–206; Trute (2017), pp. 87 et seq.
 
87
Kop (2021), p. 3 with further references.
 
88
Kop (2021), p. 1.
 
89
Kop (2021), pp. 11–12 states that in some cases, it may be necessary to designate authorized persons. However, this might be less future-proof and it does also not necessarily guarantee sufficient protection.
 
90
Kop (2021), p. 11; see, Article 8 (2) CFR.
 
91
Kop (2021), p. 10.
 
92
Schuessler et al. (2022), pp. 338 et seq.
 
93
Panagopoulos et al. (2022), p. 3.
 
94
On this subject in general, see also Devriendt et al. (2022).
 
95
Richter et al. (2019), p.10; Devriendt et al. (2022), p. 3009.
 
96
However, they could be remunerated for certain services, such as the preparation of data.
 
97
European Commission, DG Health and Food Safety (2021), pp. 98 et seq. Also, the secondary use of health data for typical research projects is not free of difficulties. There are a number of limitations and conditions.
 
98
For regulatory mechanisms developed by member states, see European Commission, DG Health and Food Safety (2021), pp. 98 et seq.
 
99
Kaissis et al. (2020), pp. 305 et seq; Rossello et al. (2021).
 
100
See, e.g., Peloquin et al. (2020), p. 698; Mourby (2020).
 
101
Article 29 Data Protection Working Party (2014) WP216; see also, Kolain et al. (2022) and Wood et al. (2018).
 
102
Shokri et al. (2017).
 
103
Kaissis (2020), p. 305; Eit Health and McKinsey (2020), p. 91; OECD (2015), p. 340.
 
104
Hildebrandt (2023), para 4.1.
 
105
Kooi (2020) para 2.3; Choudhary et al. (2020), p. 129.
 
106
Hildebrandt (2023), para 4.1.
 
107
European Commission, COM (2022) 197 final, pp. 1, 4.
 
108
European Commission, COM (2020) 66 final, p. 5.
 
109
European Commission, COM (2022) 197 final, p. 16.
 
110
Article 34, 35, 47 EHDS.
 
111
Article 36, 37 EHDS.
 
112
Article 46 EHDS.
 
113
However, as the definition of “secondary use” (Article 2 (2) (e) EHDS) indicates, health data may also be gathered for the purposes outlined in Article 34 EHDS.
 
114
Recital 37.
 
115
Recital 37.
 
116
Recital 37 seems to rather assume that the legal bases overlap.
 
117
Article 44 EHDS.
 
118
Article 56 EHDS. Critically: Hildebrandt (2023), para 4.2.
 
119
Article 33 EHDS.
 
120
This is particularly expressed in the frequently chosen legal basis of consent. Also, the right to data portability gives the data subject rights of disposal.
 
121
This primarily concerns secondary use. In general, the EHDS shall also ensure that data subjects can exercise their rights. European Commission, COM (2022) 197 final p. 1.
 
122
Article 33 EHDS.
 
123
The EHDS also provides for altruism rules. Whether these rules become applicable next to the obligation to share data by the data holder seems unclear.
 
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Metadaten
Titel
Enabling Secondary Use of Health Data for the Development of Medical Devices Based on Machine Learning
verfasst von
Lea Köttering
Copyright-Jahr
2024
Verlag
Springer Nature Singapore
DOI
https://doi.org/10.1007/978-981-99-6540-3_8