Research Ethics
Why not consider the UK model?

In the Moving Ahead report of August 15, 2007, under the heading “Other International Developments” there are ten lines (934-44) devoted to the United Kingdom’s system of research ethics. However this discussion only mentions the health-related research ethics arrangements and misleadingly implies that this supports the direction for the governance of research ethics in Canada recommended in the Moving Ahead report, with its single system for all disciplines. In fact the United Kingdom has established a separate Research Ethics Framework (REF) for social sciences administered by the Economic and Social Research Council (available at www.esrcsocietytoday.ac.uk/ESRCInfoCentre/opportunities/research_ethics_framework). This framework took effect in 2006 after extensive consultation. In considering reforms to Canada’s research ethics governance it is important to seriously consider alternatives to the US model, since the US model has been seen as very problematic by many social scientists. The model of the UK’s Economic and Social Research Council is one such alternative.

The ESRC’s REF very explicitly notes that "ESRC feels that it is important that there are a set of standards and guidelines that are relevant specifically to social science research rather than drawing on those developed primarily for clinical research."

With regard to multi-site research, which is cited by the Moving Ahead report as a reason that accreditation is needed, the REF notes: "In order to minimise bureaucracy and avoid unnecessary duplication of efforts, universities and research organisations should consider agreeing arrangements for accepting one another’s decisions following formal ethical review. Each institution would retain formal responsibility for overseeing the ethical review of research conducted under its auspices but would accept the decisions made by the REC of the institution where the Principal Investigator is based" (REF, p. 17).

The REF incorporates a useful disciplinary perspective by requiring researchers applying for funding to address ethical issues in their application (REF, p. 2). The peer reviewers of the project are then responsible to review the ethical analysis of the researcher.

On joint biomedical and social science research, which is cited by the Moving Ahead report as another reason that a single system of accreditation for all disciplines is needed, the REF sets out a more flexible arrangement:

"Researchers and their employing organisations should avoid duplication of ethics review, especially in respect of research that may fall under the rubric of other ethical frameworks – such as that of the Department of Health’s Research Governance Framework. Researchers must submit proposals either to their institution’s REC or to a Department of Health Local or Multi-site Research Ethics Committee as appropriate, but the ESRC does not require both bodies to be involved...This will apply to both single discipline and interdisciplinary research where social and biomedical scientists are working together." (REF, p. 4)

In contrast to the Moving Ahead report’s call for a centralization of control in order to strengthen monitoring and compliance, the REF specifies a more flexible approach, noting that the ESRC will "engage in dipstick testing of institutions with awards to check that commitments to ethical review have indeed been followed through by institutions." (REF, p. 2).

The REF allows Research Ethics Committees to be established at more than one level in a university in addition to a university-wide one. There can also be one at the faculty or department level: "A university–wide ethics committee might advise on broad strategy for ethics review, and monitor university performance overall, rather than consider applications per se. Wherever they are located, they should meet the requirements of this REF, even at department level if this is where the decision to approve a project is to be taken." (REF, p. 9). This allows more flexibility and disciplinary input than the system in Canada.

The REF has a checklist that identifies social science research hazards. If you answer no to the eleven questions then you only need to file the form with the appropriate authority. If you answer yes to any question then you need to write up an ethical plan and get approval from the Research Ethics Committee. (REF, pp. 33-34).