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Prog Hum Geogr OnlineFirst, published on May 20, 2008 as doi:10.

1177/0309132508090475

Progress in Human Geography (2008) pp. 1–19

Ã
Un-ethical review? Why it is wrong to
apply the medical model of research
governance to human geography
Sarah Dyer1* and David Demeritt2
1
Oxford University Centre for the Environment, South Parks Road,
Oxford OX1 3QY, UK
2
Kings College London, Department of Geography, Strand,
London WC2R 2LS, UK

Abstract: The Economic and Social Research Council, the body which funds much social science
in the UK, recently imposed on UK social science a system of research ethics governance already
well established in other areas of research and in much of the rest of the developed world. This
system requires that research involving human subjects receive prior ethical approval from a
committee made up of, typically, multidisciplinary researchers and lay people. Our aim in this
paper is to prompt debate about the purpose and practice of such an anticipatory ethical review. We
begin by describing the rich and varied ethical and political debates ongoing in human geography.
We argue that these are, at best, ignored and, at worst, threatened by this system of ethical
review by committee. We describe the emergence of these formal mechanisms of research
governance and important differences between the ethical contexts, history, and demands of
research in the medical and social sciences. The paper draws on empirical research investigating
National Health Service (NHS) research ethics committees to propose three salutary lessons
geographers would do well to consider from experience elsewhere with ethical review. We argue
that in review by committee deliberations extend beyond the ethical to include the methodological,
that the system is a self-perpetuating and increasingly rule-bound mechanism, and that despite a
rhetoric of accountability it is a system as obscure to outsiders as professional ethics.

Key words: ethical review, informed consent, research ethics, research ethics committees,
research governance, standardization.

I Introduction universities must now satisfy if they are to re-


In July 2005, the Economic and Social ceive any funding from the UK Government’s
Research Council (ESRC) published its funding body for social science research. At
Research Ethics Framework (2005) setting the centre of these new regulations is formal
out a series of requirements that all UK ethical review by a designated Research

*Author for correspondence. Email: sarah.dyer@ouce.ox.ac.uk

© 2008 SAGE Publications DOI: 10.1177/0309132508090475

Copyright 2008 by SAGE Publications.


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2 Progress in Human Geography

Ethics Committee (REC).1 ‘[C]harged with volving human subjects (apart from a few
reviewing research involving human par- legally exempted areas, such as research on
ticipants to ensure that their dignity, rights elected officials or about educational testing
and welfare are protected’ (ESRC, 2005: 7), procedures). Although the legislative and in-
RECs are arbiters of more than just research stitutional histories of research governance
ethics. In so far as their approval is required in Canada, New Zealand, and Australia are
to do any social science involving human different (NMHRC, 2007), the broad pat-
subjects, RECs also determine what kinds tern is similar to the USA. Formal procedures
of human geography gets done. It is some- of ethical review by REC, initially developed
what surprising, then, that the introduction to regulate doctors conducting research
of these new requirements has prompted so on their patients, have been gradually ex-
little debate in the UK, particularly as there tended to encompass most social science
is a growing chorus of complaints about research involving human subjects.
the appropriateness of this model of ethical In this sense, then, the new ESRC de-
governance from social scientists in other mand for external ethical assurance might
countries where it is operating (eg, Sieber seem like little more than a tidying up of a
et al., 2002; Social Sciences and Humanities long-standing administrative anomaly. Ian
Research Ethics Special Working Committee, Diamond, the chief executive of the ESRC,
2004; Gunsalus et al., 2005; Halse and justifies imposing this medical model of ethical
Honey, 2005; Cohen, 2007). review on UK social science by pointing to
Ethical review by REC is a form of ac- the need to facilitate greater interaction
countability initially developed in the USA with medical researchers and those in other
to regulate doctors conducting research on countries already subject to similar external
their patients. Within the UK, the first RECs oversight (Diamond, 2005). Seen in that
developed locally within NHS hospitals light, the new requirement for formal ethical
and other research institutions to regulate review by RECs might seem like an inevit-
clinical research and manage the risks, to able step, bringing UK social science into line
patients and institutional reputations alike, with accepted practice elsewhere.
of doctors conducing medical research on Moreover, concern with public assurance
patients. Although the ESRC now ‘hope[s] and accountability is hardly unique to social
and expect[s]’ (Diamond, 2005: 1) that all science. Across a whole range of profes-
UK universities will create RECs (or expand sions, from teaching and social work to
existing ones) to review all human subject medicine and the bar, traditional forms of
research, there is still no legal requirement self-regulation are giving way to increasingly
for it. In keeping with the British penchant more formalized and governmentally man-
for ‘light touch’ regulation, the only thing dated external audit procedures designed to
that is formally required is that ESRC-funded win public trust and assure ethical conduct
research be reviewed. In the USA, by con- and public accountability of experts (Power,
trast, the requirement for RECs or, as they 1999). Accountability is the new mother-
are called there, Institutional Review Boards hood and apple pie. The ESRC (2005) invokes
(IRBs) to give their prior ethical approval to this term five times, without ever specifying
clinical research involving patients was set exactly who is being made accountable for
down centrally by the federal government what or to whom.
in 1966. During the 1970s and 1980s a series RECs are part of a wider sea-change in the
of US government regulations steadily ex- governance of professional conduct. Until
panded the kinds of research for which ethical recently, research ethics were treated as
review was legally required. This ultimately matters of personal and professional
culminated in the 1991 ‘common rule’, which integrity. Some British learned societies pro-
required ethical review of most research in- duced descriptive and non-binding codes

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Sarah Dyer and David Demeritt: Un-ethical review? 3

of research practice, but many others, about whether the principles and practices
including the Royal Geographical Society, of ethical review, developed in the context
did not. The presumption was that individual of medical research, should be applied to
researchers were responsible for morally regulate geographical research with human
interrogating their own research as an subjects. Moreover, there are also important
ongoing and integrated aspect of the re- practical problems with the operation of
search process. Adherence to disciplinary this medical model of REC-based ethical
norms was inculcated, judged, and enforced assurance, which we highlight in the final part
through processes internal to the research of the paper. Drawing on the lead author’s
community, such as research training, peer empirical research into the conduct of Local
review, and private sanction. However, such RECs operating within the UK’s NHS, we
processes of professional self-regulation point to three perverse and unintended con-
are often informal and uncodified. As such, sequences of the institutional dynamics of
they are potentially vulnerable to charges ethical review.
of bias and self-interest. Ethical review is
designed to pre-empt complaint by imposing II Ethics, politics, and research practice
a system of external accountability. In this in geography’s moral turn
way, explains Diamond (2005), formal ethical Ethics has long been central to debates
review is intended to ‘ensure that the public within human geography about the norma-
will remain confident (as we are) in UK social tive and political implications of different
science’. Of course funding agencies have understandings of the nature, purpose, and
their own reputations to think about too, practice of geographical research. Indeed,
and demanding ethical review from grant there are even regular progress reports in
holders offers ESRC a way to assure poten- this journal on the topic of ethics and geo-
tial critics that it too is accountable. graphy (eg, Smith, 1997; 2001; Cutchin,
In this paper we take the introduction of 2002; Valentine, 2005). Here we will reflect
REC review to UK human geography as a on these wider concerns with the ethical
moment for reflection. Our aim in this paper and the political. Our argument is that the
is to spark debate about the purposes and ethical frameworks applied by formal ethical
practice of ethical review. Our argument, review processes ignore those wider nor-
in a nutshell, is that the prevailing medical mative and political concerns at best, and
model of research governance is unsuited at worst actively subvert ongoing efforts to
to human geography (and by extension to infuse geographical practice with an ethical
other social sciences as well) and that its sensibility (cf. Cloke, 2002; Valentine, 2005).
wholesale and indiscriminate application will One of the major themes of what Smith
create more problems than it solves. (1997) has called the ‘moral turn’ in geography
We begin by considering the recent ‘moral has been the effort to rethink traditional
turn’ within human geography. Those rich questions of moral philosophy through the
and wide-ranging discussions of ethics and geographer’s conceptual lens of space. Thus
the politics and practice of research go far Harvey (1996) tried to theorize justice as
beyond the much narrower range of ethical involving a necessary tension between ac-
concerns at issue in the medical model of knowledging militantly particular claims to
ethical review, whose emergence and ex- local difference while still maintaining the
pansion we go on to describe in the next ambition towards all-encompassing global
section. We argue that medical research universals that override those particular-
conducted by doctors on their patients in- ities. In a somewhat similar vein, a number
volves very different aims, objects, risks, and of geographers have also considered the
relationships than geographical research. nature and scope of our ethical obligations
Consequently, there is an important question to others (Corbridge, 1993; Smith, 2000;

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4 Progress in Human Geography

Murdoch, 2003; Massey, 2004). Drawing a regrettable tendency to hyperbole and


on poststructural theory, geographers have posturing, the ensuing discussion about the
questioned the ways in which the distinc- relevance of cultural geography raised im-
tion between a personalized ethic of loving portant questions about for whom, how, and
care and universal ideals of justice has been why geography should be relevant (Castree,
‘mapped onto a spatial distinction between 2000; Massey, 2001; Dorling and Shaw,
responsibilities to proximate others and 2002; Imrie, 2004; Murphy et al., 2005;
… to distant others’ (Barnett, 2005: 5). Staeheli and Mitchell, 2005; Demeritt and
In turn, that concern with the spatiality Lees, 2005). It highlighted the effect of par-
of moral claims has led geographers to re- ticular theoretical and epistemological com-
consider the underlying metaphysics of moral mitments in facilitating or preventing en-
philosophy. For instance, feminist geog- gagement with different audiences (Lees,
raphers and environmental ethicists have 1999; Massey, 2001; Demeritt, 2005).
both called into question the long-standing These concerns about the funding, control,
Cartesian dualisms of self/other and human/ and dissemination of research fall outside
nature organizing Enlightenment claims of the remit of RECs. They are, nevertheless,
to moral standing and ethical recognition central to professional assessments of the
(McDowell, 1999; Proctor, 2001; Popke, ethics and politics of geographical research.
2003). Acknowledging the relationality of Underlying the ongoing controversy over the
our place in a ‘more-than-human world’ political and epistemological value of the cul-
unsettles the idea, absolutely central to the tural turn is a question about the wider role
liberal principlism of conventional ethical of geographers and geographical research in
review, of an autonomous individual subject society. This too is a long-standing concern.
who might give its informed consent to It is nearly 40 years now since the first radical
becoming the object of research by another geographers boldly declared that the pur-
(Whatmore, 1997; Popke, 2003). It also chal- pose of geographical research was not simply
lenges the anthropocentrism of prevailing to understand the world but also to change
moral frameworks. Whereas Smith’s (2000) it. There are, of course, different ways to
work on moral geographies is concerned change the world through our research,
largely with anthropocentric geographies of ranging from liberal ideas of speaking truth to
community and justice, Whatmore (2002) power to more radical conceptions of ideo-
invokes an ontology of hybridity to raise logy critique and action research that involve
ethical questions about living together much stronger challenges to the long-standing
with an expanded and yet also less clear- epistemic commitments to Mertonian values
cut sense of morally significant others of scientific objectivity and disinterestedness
(cf. Hobson, 2007). on which the scientific status of geographical
In parallel with those often quite abstract research depends.
debates about the relationships between The undoubted academic success of
metaphysics, moral philosophy, and geog- critical geography has led to questions about
raphy, a second strand of the moral turn whether it has lost its critical edge (Castree,
in geography has focused attention on the 2000). Some bemoan the apparent attenu-
politics of geographical research and the ation of ‘activism and the academy’ (Blomley,
normative responsibilities it implies. For 1994), which they regard as proof that geog-
instance, Dorling and Shaw (2002: 630), raphy has abandoned its revolutionary re-
among others (eg, Martin, 2001; Hamnett, sponsibilities for the comforts of the ivory
2003), slate the cultural turn for ‘turn[ing] tower (eg, Smith, 2005). Others strike a less
its back on public policy and particularly the polemical tone. Cloke (2002) for instance,
issues of poverty and inequality’. Despite argues that geography has not taken its

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Sarah Dyer and David Demeritt: Un-ethical review? 5

responsibility to represent the world in an has addressed the sort of questions about
honest and constructive way seriously enough research ethics and practice considered by
over the past decade, while Lees (2003) notes RECs. For instance, there is now quite a sub-
that gentrification researchers have tended stantial literature on the particular dilemmas
to talk among themselves rather than engage of conducting research on social elites or
with urban policy-makers and practitioners in other situations where geographers hold
whose activities they critique. little power or influence over those they
Geographers have also raised ethical and study (Hughes and Cormode, 1998; Ward
political questions about the wider polit- and Jones, 1999; Smith, 2006). This work
ical economy of research and publishing. highlights the importance, at once prac-
For instance, Chatterton and Featherstone tical, ethical, and political, of questioning the
(2007) recently called for a boycott on re- patronising assumption that our research
viewing and publishing for Elsevier-owned subjects are necessarily socially inferior or
journals to protest at the company’s involve- vulnerable to us (Shea, 2000). In the con-
ment in the arms trade. Meanwhile, other text, for example, of contract research for
geographers have pointed to the ways in policy-makers, the opposite is often the
which what gets published in geography is case, and, as Beaumont et al. (2005) note,
determined by the profit-making imperatives there is an ethical and epistemic obligation to
of private corporations, such as Sage (now maintain academic independence in the face
owner of Progress in Human Geography, of demands from clients to tailor research
which it bought in 2006 from the Hodder findings to their particular purposes.
Group). Sage are keen to push textbooks But geographers have not ignored the
over monographs and to squeeze value from ethical issues arising from research involving
their intellectual property by limiting wider potentially vulnerable people, such as children
public access to often publicly funded geo- (McDowell, 2003; Valentine and Skelton,
graphical research (Barnett and Low, 1996). 2003), or those in socially or economically
Others have pointed to how the changing precarious positions (Evans et al., 2005). The
contexts for research, such as the UK’s Re- aim of such research is usually to highlight
search Assessment Exercise or the demand those precarious and unjust conditions, and
to generate research grant income, condition in the process it is paramount that ‘partici-
the possibilities for geographers to exercise pants’ interests or well-being … not be dam-
their critical faculties (Peck, 1999; Demeritt, aged as a result of their participation in the
2000; Ward, 2005). In this regard there has research’ (ESRC, 2005: 25). But, whereas
also been extensive discussion within the ethical review is focused largely on reducing
discipline about the politics of contract re- ‘potential physical or psychological harm,
search and the ethical responsibilities owed discomfort, or stress’ (ESRC, 2005: 21), femi-
by universities and principal investigators nist and development geographers, in par-
to contract researchers on temporary or ticular, have also considered the wider ques-
non-tenure track contracts (Ní Laoire and tions of voice, representation, and power
Shelton, 2003; Purcell, 2007). such research involves (McDowell, 1999;
The scope for the ethical in these geo- Mahtani, 2006). Speaking of something,
graphical engagements with moral philo- like the marginalization of low-paid care
sophy and critical politics is thus considerably workers, is simultaneously speaking for it.
broader than the much more restricted Representation has that double sense. Thus,
concern of ethical review with assuring the in addition to reducing harm, academic re-
protection of human subjects involved in searchers also have a moral obligation to
research. But a third strand of the moral consider the ways in which their own efforts
turn in contemporary human geography to speak up for the oppressed can sometimes

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6 Progress in Human Geography

serve to reproduce the very powerlessness of revelations about the horrific experiments
that their research was originally designed to performed by Nazi doctors on concentration
highlight and thereby reduce. In that regard, camp prisoners, the 1948 Nuremberg Code
geographers have discussed the notions of (US GPO, 1949) formally established the
reflexivity and positionality at great length ‘voluntary consent of the human subject’ as
(eg, Rose, 1997; Barker and Smith, 2001). the first and ‘essential’ principle of research
Another response to that dilemma ethics.
has been to develop various participatory The Nuremberg Code, like the sub-
methods by which researchers and their sequent 1964 Helsinki Declaration on
subjects work together, so as to make the Ethical Principles for Medical Research
research an empowering and emancipatory Involving Human Subjects (World Medical
process for all participants (McDowell, 1999: Association, 1964), made compliance with
231–44; see also Pain, 2004). Such practices its ethical principles a ‘personal duty and re-
break down the sharp distinction between sponsibility’ falling upon ‘each individual who
researcher and consenting object of research initiates, directs or engages in the experi-
on which informed consent and the process ment … which may not be delegated to
of ethical review are both predicated. another with impunity’. Drawing expressly
In sum then, geography is alive with on the Helsinki Declaration, the Medical
healthy debate about the ethics, politics, and Research Councils of both Australia and
practice of research. Although these pro- the UK developed voluntary codes to guide
cesses of ethical consideration are informal individual researchers doing experimental
and often go unreported in write-ups of em- research on human subjects (MRC, 1964;
pirical research, they do provide a variety of NMHRC, 2007).
ways in which ethical standards in human The practice of independent ethical re-
geography are continually examined and view to ensure that doctors were actually
maintained. What these internal processes of upholding these ethical principles was first
self-regulation are perhaps less effective at is mandated in the USA, in response to a series
communicating those standards and assuring of scandals about medical research. In the
others that we uphold them. USA, the 1962 Kefauver-Harris amendments
It is this public assurance function that eth- to the 1938 Food, Drug, and Cosmetic Act
ical review is designed to provide. However, made informed consent a legal requirement
as we go on to describe in the next section, in drug testing. They followed on from
REC review originated in a rather different Senate investigations, chaired by Senator
context and in response to different needs. Estes Kefauver, in which it emerged that
drug companies routinely provided untested
III Emergence of ethical review drugs to physicians who were then paid to
The model of REC-based ethical governance prescribe them and to collect data on the
was first developed in the specific context of responses of patients who often did not
clinical research by doctors on their patients. know they were taking experimental drugs
Such research is haunted by a long history of or participating in loosely controlled research
scandal over the proper distinction ‘between on their safety and efficacy (ACHRE, 1995).
procedures undertaken as part of patient- Writing in the shadow of both this scandal
care which are intended to contribute to the and the Thalidomide tragedy, in which an ex-
benefit of the individual patient … and those perimental drug was prescribed to pregnant
procedures which are undertaken, either women leading to thousands of birth de-
on patients or on healthy subjects, solely fects, Wolfensberger (1964: 48) predicted:
for the purpose of contributing to medical ‘There is the danger that, if scientists do
knowledge’ (MRC, 1964: 178). In the wake not respond to the public’s concern about

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Sarah Dyer and David Demeritt: Un-ethical review? 7

research conduct, research rules will be im- they were protecting the rights and welfare
posed on science from without.’ Indeed, this of human research subjects by requiring re-
is exactly what happened. search proposals involving human subjects
Against the backdrop of a landmark paper to seek prior approval from a designated
by Harvard anesthesiologist Henry Beecher REC, whose membership, mandate, and re-
(1966) highlighting widespread abuses in view procedures were set down in the 1974
clinical trials, the US Surgeon General issued rule. Although concerns were raised at the
the first federal requirement for ethical review time about extending these requirements
in 1966. To assure that appropriate ethical to social and behavioural research, DHEW
standards were being observed, all clinical re- (1974) cited the administrative need for con-
search funded by the National Institutes of sistency in defending its decision to hold social
Health or Public Health Service, the largest scientists to the same regulatory standards
federal funders of medical research, was to as biomedical research. The 1974 rule dra-
be subject to some kind of peer-review style matically expanded the remit for REC
ethical scrutiny: reviews and the administrative burdens in-
volved in meeting them, particularly since
This review should assure an independent universities tended to apply it even to non-
determination (1) of the rights and welfare of
the individual or individuals involved, (2) of
DHEW funded research so as to protect
the appropriateness of the methods used to their ‘general assurance’ status with DHEW
secure informed consent, and (3) of the risks and avoid a cut-off of federal funding, which
and potential medical benefits of the investi- cost Johns Hopkins University some US$301
gation. (Quoted in ACHRE, 1995: Chapter 3) million when its general assurance status was
suspended in 2001 for procedural failings by
These regulations were soon made more its RECs (Curry, 2001). With some minor
stringent in response to further revelations modifications in 1981 and again in 1991 when
about unethical medical research, most it was adopted by 14 other federal agencies
notoriously the Tuskegee experiments in as the so-called ‘common rule’ of human
which treatment was withheld from African- subject protections, these 1974 DHEW
American men infected with syphilis so that regulations provide the legal basis for federal
doctors could observe its etiology. In 1974, regulation of human subject research in the
Congress passed the National Research Act, USA (ACHRE, 1995).
establishing the National Commission for The regulatory path blazed by the USA
the Protection of Human Subjects of Bio- was soon followed by other countries, if
medical and Behavioral Research (1979) only to ensure that their pharmaceutical
whose Ethical principles and guidelines for research would be admissible in drug
the protection of human subjects of research, licensing applications to US Food and Drug
better known as the Belmont Report, articu- Administration, which controls access to
lated the basic ethical principles of respect for the world’s largest market. In Australia,
persons, beneficence, and justice that would the practice of ethical review by committee
underwrite ethical review in the USA and was first officially recommended in 1976, in
internationally. Supplementary Note 1 to the NMHRC’s
Federal requirements for ethical review Statement on human experimentation. It was
were greatly elaborated in 1974 regulations not, however, formally required of all insti-
on the Protection of Human Subjects issued tutions receiving funding from the Medical
by the US Department of Health, Education, Research Council until 1985 when a further
and Welfare (DHEW, 1974). The 1974 rule amendment also extended the jurisdiction of
required all institutions receiving DHEW RECs to encompass social and behavioural
funding to provide written assurance that as well as clinical research involving human

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8 Progress in Human Geography

subjects (NMHRC, 2007). In Canada, the 2001/20/EC (European Parliament, 2001),


Medical Research Council of Canada and which required member states to institute
the Social Science and Humanities Research standard operating procedures for the ethical
Council adopted separate ethical guidelines review of clinical trials.
during the 1970s, helping to spawn a com- The European clinical trials directive is one
plex patchwork of rules and institutional outcome of a wider effort by the pharma-
practices. Initially voluntary, requirements ceutical industry to press national regulators
for ethical review were both standardized, to coordinate their requirements for develop-
along the lines set out in the US ‘common ing, testing, and licensing of drugs and other
rule’, and made compulsory in 1998 with medicinal products. Through the Inter-
the publication of the Tri-Council Policy national Conference on Harmonization
Statement on Ethical Conduct for Research (ICH), for example, regulators from Europe,
Involving Humans (Canadian Institutes of Japan, and the USA are working with the
Health Research, Natural Sciences and pharmaceutical industry to develop inter-
Engineering Research Council of Canada, national guidelines on good clinical practice
Social Sciences and Humanities Research so as to ensure:
Council of Canada, 1998).
a more economical use of human, animal, and
The UK has followed these same trends material resources, and the elimination of un-
towards both the expansion and standard- necessary delay in the global development
ization of ethical review by REC. As in and availability of new medicines whilst main-
Australia, the first RECs in the UK were taining safeguards on quality, safety, and
efficacy, and regulatory obligations to protect
established in the late 1960s to oversee
public health. (ICH, 2005)
medical research being conducted locally
in NHS hospitals. Without any central Abetted by a rhetoric of universal human
oversight or statutory force, each REC rights, the ICH guidelines set out international
operated according to its own standards standards for ethical research and for REC
and procedures. Through the 1990s, the review to assure they are met. In this way
government made a series of reforms to the RECs serve, in part, as mechanisms for
system in response to persistent criticisms creating ‘open’ worldwide markets in pharma-
from the medical research community about ceuticals and clinical devices (Abraham and
the costs, inconvenience, and inconsistency Reed, 2002).
of this patchwork system of unregulated Repatriated to UK law in the 2004 Medi-
local RECs. The Department of Health cine for Human Use Act, the clinical trial
(1997) created a second tier of Multi-Centre directive does not require ethical review for
RECs to review clinical trials taking place social and behavioural research (though it is
over multiple sites and established a Central required under the Department of Health’s
Office of Research Ethics Committees to Research Governance if the research involves
oversee the system and provide guidance NHS staff, patients, or facilities). It is this in-
and training to RECs in the UK. In 2001, the consistency that the ESRC’s new Research
Department of Health published a national Ethics Framework now seeks to eliminate by
Governance Arrangements for Research applying the procedures of ethical review by
Ethics Committees, which set out standard REC, initially developed to regulate doctors
operating procedures for RECs (Depart- conducting research on their patients, to all
ment of Health, 2001). For the first time the social research involving human subjects.
Governance also made ethical review a legal This move begs the question of whether that
requirement for any research involving NHS medical model of ethical assurance can be
patients, staff, or facilities. This coincided appropriately applied outside of the context
with the EU publishing European Directive of its initial development.

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Sarah Dyer and David Demeritt: Un-ethical review? 9

IV Differences between human based researchers, and prior ethical review


geography and medical research is not necessary to ensure compliance with
The system of ethical governance that the them. If human geography requires some
ESRC is seeking to introduce in the UK, special system of ethical review to assure the
the system already commonplace in North observance of ordinary good manners, then
America and Australasia, takes its lead the cure of ethical review is perhaps worse
from the medical model of ethical review. than the disease. What then makes research
There are obvious reasons for adapting an with human subjects so different from those
established system for use in our own field. other forms of ordinary social interaction that
There is no point reinventing the wheel, if a system of prior ethical review by REC is
the existing medical model already provides required to assure good conduct?
a good way of dealing with the ethical prob- The answer to that question is twofold
lems of human geography research. In this and turns on the conflicting social roles and
section we reflect upon the differences in potential harms that may be involved in
the nature, purpose, and practice of human research. In both cases, these ethical dilemmas
geography 2 and biomedical research. Our are much more acute for medical research
argument is that these differences make it than they are for social research. First, one of
inappropriate to apply the medical model the most fundamental ethical issues in clinical
of research governance to most research in and medical research is managing two con-
human geography. current but conflicting relationships, that of
As human geographers we stand in a very ‘carer-cared for’ and ‘researcher-subject’.
different relationship to our research par- As we have already argued, this relationship
ticipants than doctors do when undertaking of ‘carer-cared for’ does not generally apply
research on their patients. Unlike medical to human geographers, apart from in special
researchers who must balance their role as cases, such as research on students over
carers, charged with advancing the best whom we have a direct and professional duty
interest of the patient in their custody, of care, or the recruitment of research par-
with that as researcher seeking to advance ticipants through an institution or individual
knowledge, we typically approach our re- who has such a duty of care, though in that
search subjects as simply researchers. They case the duty is not our own. By contrast,
have no other expectation of us, and in turn these dual relationships are central to medical
we bear them no special duty of benefi- research. People engage with health services
cence or care beyond those owed to anyone with certain expectations, such as that they
in normal social intercourse. In pursuit of will be enrolled in the most appropriate
our research, we have a moral duty to be treatment regime. Taking part in medical
civil and to keep our promises, whether of research can confound these expectations
confidentiality, anonymity, or simply of by, for example, allocating treatment regimes
arriving on time for an interview. This is very randomly. REC review serves as a check that
different from medical researchers, who, this potential conflict between the roles of
whether as doctors themselves or as em- carer and researcher is properly managed.
ployees of health-care institutions, have Managing that role conflict is particularly
moral and legal responsibilities to protect the important because of the physical risks that
best interests of the patients on whom they can be involved in medical research. This is
are conducting research. the second reason why a system of ethical
In European countries there are now review might be desirable. Experimental
also legal requirements for data protection, treatments may have dangerous and un-
but these apply to government and private- anticipated side-effects – discovering those
sector organizations, as well as university- risks, after all, is often the point of the

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10 Progress in Human Geography

research. As part of their reviews, RECs are in the ordinary course of human interaction
charged with assessing the balance of risk absent of investigative intent, when they
believe the good of what might be learned does
and benefit involved in proposed research
not justify the risk of that ‘harm.’ Yet such a
and with ensuring that unnecessary harms to conversation is normally not at all beyond the
subjects are avoided. risks of everyday life. From anthropology to
Applied to social research, however, that business, history, and law, IRBs straining to
ethical standard of beneficence towards the interpret and apply these regulations some-
individual research subject can lead to per- times have taken peculiar stands. One IRB,
verse results if applied too strictly. We argue for example, told ‘a Caucasian Ph.D. student
seeking to study career expectations in relation
in the next section that it inevitably will be to ethnicity that African-American Ph.D.
given the organizational dynamics of REC students could not be interviewed because it
review. First, in the case of critical social might be traumatic for them to be interviewed
science, the aim of the research is typically by the student. (Gunsalus et al., 2005: 9)
to expose wider social injustices and in that
way actually harm those who benefit from The new ESRC (2005: para 2.1.2) has a
them. But, following the injunction of the similarly expansive definition of harm and
ESRC (2005: para 3.2.5) that ‘[p]articipants’ fragile view of the human subject in need of
interests or well-being should not be dam- protection by a REC.
aged as a result of their participation in the One way to manage those risks is to
research’, it would be impossible to secure ensure that participants are fully aware of
permission to interview employers whose what is involved and on that basis freely
discriminatory practices a researcher was consent to participate in research. This has
hoping to expose and thereby end. In this been formalized in the requirement to seek
way, the priority given to the rights of the an informed consent from participants taking
individual by the bioethical principle of be- part in research. Informed consent has be-
neficence and associated ethical review come the sine qua non for ethical approval
standard of harm avoidance is at odds with from RECs (Corrigan and Williams-Jones,
the ideas of academic freedom to inquiry, 2003; Dyer, 2006).
public right to know, and the moral duty to In a medical context there are good reasons
expose injustice emphasized in geography’s for this emphasis on informed consent. In-
moral turn. formed consent provides a way to distribute
Second, unlike medical research that may responsibility for managing several tensions
involve physical pain or even death from ex- inherent to medical research by doctors on
posure to novel drugs or surgical techniques, their patients. First, it is only by giving their
most social research does not involve any consent that human subjects transform
risks beyond those encountered in everyday themselves into objects of scientific research.
life. This distinction in kind was recognized in Without such consent, the doctor has no
the old nursery rhyme about the categorical licence to perform experimental procedures
difference between sticks and stones that on the patient that may be of great scientific
can break bones and mere names that can significance and benefit to other patients,
never hurt you. But, with federal guidance in but are not intended for the direct benefit
the USA inviting IRBs ‘to consider the ‘stress of the individual being subjected to them.
and feelings and guilt or embarrassment’ that Second, medical research often involves risks
‘may arise simply from … talking about one’s of harm or other injury. Securing informed
… behavior or attitudes’ to the researcher,’ consent serves to enroll the patient in
IRBs can sometimes: managing those risks. As well as providing
concrete substantiation to the bioethical
reject a research proposal entailing just such principle of respect for persons, informed
a conversation, one that could be carried on consent ensures that research subjects

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Sarah Dyer and David Demeritt: Un-ethical review? 11

are involved in ensuring the beneficence methods and intended possible uses of the
of the doctor by participating actively in research, what their participation in the
managing the tensions between risk and research entails and what risks, if any, are
benefits and between carer and researcher involved.’
necessarily involved in medical research. • ‘Research participants must participate in
While there is a lively philosophical debate a voluntary way, free from any coercion.’
about whether informed consent actually ful-
fills those promises (Meisel and Kuczewski, It feels uncomfortable questioning the ethical
1996; Chalmers and Lindley, 2001; Bulletin significance of informed consent, as if we are
of Medical Ethics, 2003), it is important to somehow endorsing the exploitation of re-
recognize that the requirement for informed search subjects, but there are both practical
consent arises not simply from a particular and principled reasons why informed con-
research context – of doctors performing sent is not always a relevant or appropriate
research on their patients – but also from standard for ethical social research. For
a particular history. The history of medical instance, it would be practically impossible
research is a history of scandals involving to secure the prior informed consent of all
doctors using people as research subjects the shoppers one might observe in an ethno-
without their knowledge. Like the emergence graphic study of a shopping centre, quite
of ethical review itself, the emphasis given to apart from the question of whether it should
securing an informed consent, typically in even be required since the research poses no
certifiable written form, is driven as much risk and in such a context there can be no pre-
by the need to protect against scandal as it sumption of privacy to publicly observable
is to protect patients from harm. Informing behaviour. Nevertheless, it is very common
research subjects of potential harms and for RECs to insist upon informed consent as
then formally soliciting their consent to them a condition for approval of research involving
frames those harms as risks the research participant observation (Sieber et al., 2002;
subject has freely chosen to assume. Should Social Sciences and Humanities Research
something bad occur, informed consent Ethics Special Working Committee, 2004;
ensures that moral responsibility for it is Gunsalus et al., 2005; Cohen, 2007), and
shared between the doctor and the patient. In the ESRC (2005: para 3.2.2) fails to mention
this way the bioethical imperative to respect ethnographic research in its page-long
patient autonomy, through the requirement enumeration of the ‘exceptional research
for informed consent, is in part also about contexts’ in which departures from the
blame avoidance. normal expectation of informed consent
In contrast to medical research, social might be permissible.
science involves much less potential risk to In the medical context, it has been argued
subjects. It is also less marked by the same that informed consent can come to colonize
history of ethical scandal. Despite these and and impoverish researcher-participant com-
other important differences, RECs still hold munication (Hochhauser, 1999). In particular,
social scientists to the same requirement the process of obtaining an informed con-
of seeking prior approval of their plans for sent has come to serve as a mechanism for
obtaining informed consent from research securing access. As such, it is very useful in
subjects. Informed consent is embedded in both medical and social research. However,
two of the six ‘key principles of ethical re- this is a very different role than an obviously
search’ the ESRC (2005: 1) expects UK social ethical one. We need to be very careful
scientists to uphold: about blindly accepting the ethical primacy
of an informed consent from individual re-
• ‘Research staff and subjects must search subjects. This is a liberal, northwest
be informed fully about the purpose, European vision of ethics, and, as the

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12 Progress in Human Geography

ESRC (2005: 24) itself notes, its ‘emphasis human tissue is what Hacking (2002) calls an
on the individual can seem inappropriate or indifferent kind. By contrast, the objects of
meaningless in some cultural contexts, where social science research are also subjects who
the individual may take less precedence than respond to how we interact with them. This
broader notions of kin or community’. As ontological difference between the indif-
Uitermark (2006) observed in an exchange on ferent objects of natural and physical science
the Critical Geographers email list, there are and the interactive kinds of interest to the
times when safety, either of the investigator social sciences requires an interpretative and
or of research subjects themselves, means hermeneutic rather than experimental and
that research subjects cannot be informed positivist epistemology. In the open-ended
about the true nature of research. He gives and exploratory traditions of hermeneutic
the example of an investigation of the cocaine social science, research purposes, methods,
trade. We might add studies of human traf- and intended outcomes are fluid and evolving.
ficking, illegal workers’ gang masters, and so They cannot be specified in advance in a
on. In such cases the notion of asking par- participant information sheet that potential
ticipants to sign a consent form of the sort research participants might sign to signify
envisioned by the ESRC (2005) is ridiculous, their informed consent to participating.
and the ill of deception balanced by the im- The ESRC (2005) acknowledges these
portance of the research and a commitment philosophical differences, but its recom-
to protecting anonymity. Researchers do not mended response is ludicrously dispro-
hold a monopoly view of whether these ten- portionate. Whereas drugs trials involving
sions are held in the right balance, but then vast sums of money, or biomedical research
neither do RECs. However, in the system on extremely vulnerable people in enormous
adapted from medicine, research cannot go pain need only gain anticipatory approval,
ahead without REC approval. It might be de- the ESRC argues that because ‘purposes,
sirable to have formal mechanisms for com- methods, and intended uses’ of qualitative
ment and input into ethically contentious research evolves as it proceeds, this kind of
research. However, we should be wary of a research should be required to seek REC
system of ethical governance that denies re- approval on multiple occasions. Such a dis-
searchers much discretion or autonomy. proportionate response is itself unethical if
Furthermore, the requirement for re- it overburdens researchers such that worth-
searchers to present prospective subjects while research does not get done. There
with a complete listing of the ‘purposes, is already good evidence of such a chilling
methods, and intended uses of the research’ effect on social science in North America
tacitly imposes on the social sciences a philo- where overzealous RECs have insisted that
sophical framework for research developed qualitative researchers apply research norms
for the natural sciences. In this deductive- and practices developed in the clinical to
nomological model, empirical predictions are their very different contexts of field research
deduced from universal theoretical postulates (Sieber et al., 2002; Social Sciences and
whose validity can then tested through the Humanities Research Ethics Special Working
conduct of experimental research. In this Committee, 2004; Gunsalus et al., 2005;
positivist, hypothesis-testing tradition of Cohen, 2007).
research, it is possible to specify in advance to
potential research subjects exactly what their V Unintended consequences of ethical
participation will be testing. Moreover, there review
is also the assumption that informing research We have argued that the system of ethical re-
subjects will not influence the results. This view developed to govern medical research
assumption holds for clinical research, where is, as a matter of principle, inappropriate for

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Sarah Dyer and David Demeritt: Un-ethical review? 13

the social sciences because of fundamental found it difficult to receive approval for
differences in their philosophies and practices proposals that do not include double blind
and in the risks and relationships enacted experimental controls and other norms of
through them. At the same time, we have positivist methodology that medically do-
also pointed at a number of practical problems minated RECs associate with ‘good science’
with the operation of this medical model of (Social Sciences and Humanities Research
REC-based ethical assurance. In this final Ethics Special Working Committee, 2004).
section, we draw on the lead author’s em- In turn, researchers complain that RECs
pirical research into the conduct of Local are neither sufficiently qualified to make such
RECs (LRECs) operating within the NHS scientific judgements nor formally author-
to highlight three perverse and unintended ized to do so. In the case of funded research,
consequences likely to follow from the insti- proposals have already undergone a more
tutional dynamics of requiring ethical review exacting peer review than an REC including
of social science research.3 ‘lay’ members, bioethicists, and a wide range
First, the distinction between an ethical of disciplinary specialisms is able to provide.
review of human subject protections and a Aside from the questions about the cost,
scientific review of research design and valid- duplication of effort, and added delay this
ity is both controversial and difficult in prac- involves, there is a more fundamental ques-
tice to uphold. The Department of Health tion about whether these are the people we
(2005: 4.5, 5.4) is quite clear that NHS RECs want to see deciding what kind of human
must restrict themselves to judging the ethical geography gets done and by whom.
soundness of human subject protections. Second, in order to fend off such com-
Ethics review is ethics review, the logic goes, plaints from the research community and
and not a review of scientific value or valid- the pharmaceutical industry, procedures for
ity, which are epistemological questions to be REC review in the NHS have become steadily
judged by expert peer reviewers. This insti- more elaborate, involved, and rule-based.
tutional distinction between scientific validity In 2001, the Department of Health intro-
and ethical governance builds upon a long- duced binding Governance Arrangements
standing, Enlightenment distinction between for Research Ethics Committees (GAfREC).
facts and values. Faced with often angry complaints from
While perhaps logically valid, demarca- researchers denied permission to proceed,
tions between the two must be constructed LREC members often stressed the import-
through practice, and LREC members ance of being able to point to the rule-bound
often have a more expansive understanding nature of their decision-making. As one com-
of the remit of an ethical review. As the mittee member explained, ‘Problems are
chair of one LREC explained in interview, more easily dealt with if GAfREC guidelines
‘We do look at the science, and if that is not are quoted’ (C16).
right, the project is not ethical’ (C19). There Guidelines do more, though, than provide
is a view among some REC members that if a a defence for decisions. They also discipline
trial is unscientific and will not produce valid the decision-making and do so to the extent
and therefore useful results then resources that they can be said to colonize ethical de-
have been wasted and patients put at risk un- liberations (Rothstein et al., 2006; Power,
necessarily in the course of research. From 1999). A member of a different committee
this perspective, ethical review is neces- described how the need to justify decisions
sarily scientific review because bad science has, in her opinion, superseded ‘ethical’
is unethical (Dawson and Yentis, 2007). judgments: ‘We do not make moral judg-
The prevalence of that view is one reason ments. As we have to have arguments
that qualitative researchers have sometimes for our decisions you cannot do that any

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14 Progress in Human Geography

more. You have to itemize your objections’ REC members and researchers. The cur-
(C13). Although the ethical review of human rent Manual for Research Ethics Committees
geography is unlikely to face the same com- runs to 578 pages (Eckstein, 2003), while the
mercial pressures for standardization as NHS now has a National Research Ethics
medical research, we are in no doubt that the Service (superseding the old Central Office
ethical review of social science by committee for Research Ethics Committees), which
is subject to exactly these sorts of pressure. issues guidelines for filling in the application
Over time the review of human geography form, templates of participant information
research will become increasingly rule-bound sheets, guidance on information sheets,
and self-referencing. newsletters, and so on.
In the case of NHS LRECs, such a cen- All this paperwork and guidance creates
trally standardized review process does not transparency of a sort about decision-making,
necessarily lead to better or more ethical but it is a technical, legalistic one that de-
decision-making. It does not even lead to mands considerable expertise to understand.
better decisions on its own terms. As one While advocates of REC-based ethical gov-
LREC member put it: ernance insist that ethical review provides
for a more transparent and accountable form
[REC review] has become more formalized. of decision-making than traditional forms of
It used to be something that was low profile, professional self-regulation (Kent et al., 2002;
people doing it out of good will and in their
own time … We are still in the situation where Tinker and Coomber, 2004: 5), it is clear from
the accountability is not very clear. And all we listening to REC members describe their pre-
have got is more bureaucracy. (C45) parations how much effort and expertise is
required to make sense of all the rules and
Many queries raised about applications by paperwork. As one member explained, ‘I try
LRECs concerned minor paperwork vio- and read all the forms the night before to let
lations, such spelling and grammatical errors it sink in. I cannot read these things in a rush.
on patient information sheets, rather than The forms are very awkward’ (C16). Ethical
substantive concerns about human subjects. review is a time-consuming activity for REC
Similarly, in the USA the lapses most fre- members. Not only do they have to prepare
quently cited in federal audits of RECs are for and attend meetings, but they also have
minor record-keeping and paperwork errors. to attend training sessions. The majority of
Standard procedures create standards to be LRECs surveyed reported that their monthly
upheld, such as signed consent forms, which meetings lasted between two and three
RECs sometimes require even of ethno- hours (36%) but a sizable proportion had
graphers seeking permission to do research meetings that lasted up to four hours (26%).
with non-literate and oral cultures without Many professional members estimated they
written languages (Gunsalus et al., 2005). In spent half a day a month reading applications
this way, ethical review becomes a process before meetings. This time spent on REC
of ticking boxes and ensuring that paperwork duties is time away from ‘proper’ work, in
is in order rather than making substantive our case teaching, research, and writing. Lay
ethical judgements. members tended to take even more time to
Third, the emphasis on standards and prepare, with many putting a couple of days
standardization has led to a proliferation of aside for this work.
paperwork, effort, and expense. Standard- If REC review is difficult and time-
ization, as Timmermans and Berg (2003) consuming for REC members habituated
argue, depends on and triggers more stand- to its procedures, it is even more so for re-
ardization. There been exponential growth searchers (Randerson, 2006). In the early
in the number and volume of guidelines for 1990s one researcher condemned the REC

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Sarah Dyer and David Demeritt: Un-ethical review? 15

system as cumbersome, confusing, and frus- the institutional structures governing human
trating to the point of being unworkable geography research. In this paper we have de-
(Meade, 1990). Despite all of the changes to scribed the specific institutional context and
the system, similar comments are still being history – of scandal over doctors conducting
made. In a recent article in the British Medical experiments on their patients without their
Journal, oncologists labelled the new require- knowledge and consent or due regard to their
ments labour-intensive, bureaucratic, and best interests – in which ethical review by
expensive (Hemminki and Kellokumpu- REC emerged and the demands, for ethical
Lehtinen, 2006). Reporting research con- assurance and reputational risk manage-
ducted by the European Organization for ment as much as human subject protection,
Research and Treatment of Cancer, the larg- to which its institution responds. We have
est independent cancer research network in also highlighted important differences
Europe, they described how a third fewer between such medical research and human
patients were enrolled in new trials in the geography.
year after the EU clinical trials directive was Our central claim is that these differences
implemented than in the year before. More- make it inappropriate to apply indiscrimin-
over, they reported, the cost of trials had in- ately the principles and practices of REC re-
creased by 85% and the cost of insuring trials view to regulate geographical research with
had doubled. This research confirms what is human subjects. In questioning the value
clear from anecdotal evidence: the increasing and appropriateness of ethical review, we
standardization of ethical review has altered do not mean to deny either the existence of
rather than eradicated the burden of making ethical dilemmas in geographical research or
an application for ethical review. This is par- the need to address them. We acknowledge
ticularly true for less active researchers and that there are problems. Our concern is that
research teams who do not make a sufficient ethical review may make things worse. First,
volume of applications to become experts at the central focus of RECs with protecting
filling in forms. Ethical review by REC re- individual subjects represents just one of a
mains a complicated and laborious process number of contestable normative and polit-
for all those involved. Standardization and ical issues arising from geographical research.
the proliferation of paperwork have made the At best, formal ethical review disregards
process more predictable and accountable for most of the concerns raised by geography’s
those familiar with the system, but it would moral turn, when it does not actually subvert
be difficult to claim that ethical review by them by giving priority to protecting the rights
committee is really ‘transparent’. Certainly, of the individual research subject over the
for most of the patients it is designed to pro- wider ideas of academic freedom to inquiry,
tect, the new system is just as obscure and public right to know, and the moral duty to
inaccessible as the one it replaces. expose injustice emphasized in geography’s
moral turn. Moreover, in so far as the purpose
VI Conclusions of such mechanisms of audit and assurance is
Our aim in this paper has been to spark precisely to assure against the need for further
debate about applying the medical model of thought, there is the danger that ethical
research governance and ethical review to review can dull researchers’ ethical sens-
human geography. Although geography’s ibilities and effectively make ethics someone
‘moral turn’ involves lively and wide-ranging else’s problem (Valentine, 2005). As Power
discussion of the normative and political im- notes: ‘the fact of being audited deters public
plications of geographical research, there curiosity and inquiry and the users of audit
has been comparatively little discussion of are often just a mythical reference point

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16 Progress in Human Geography

within expert discourses. Audit is in this re- One reason why British social scientists have
spect a substitute for democracy rather than remained quiet about the introduction of
an aid to it.’ ethical review, no doubt, is that they see
Second, the costs – in terms of time, it as innocuous. However, we believe that
money, effort, and delay – of requiring formal this is just not the case. Even if the principles
ethical review for all research involving applied by REC review were appropriate to
human subjects are substantial, but in the the governance of human geography, we
case of social research involving competent have argued that the institutional dynamics
human subjects there is little or no benefit; of ethical review are such that the medical
there are few real risks and none that require model of ethical governance is more likely, as
external oversight or intervention to assure Halse and Honey (2005: 2142) bemoan, to
their proper management. Despite the bio- ‘cultivat[e] cultures of counterfeit practice’
ethical principle of respect for persons, there than ‘foster genuinely moral behaviour and
is more than a little paternalism in the idea ethical research’.
that RECs are required to protect competent
adults perfectly capable of protecting them- Acknowledgements
selves from nosy human geographers by We would like to thank the referees of this
hanging up the phone, refusing to fill in a paper for their insightful comments. The
survey, and telling off an impertinent inter- empirical research discussed in this paper
viewer. Requiring ethical review by REC is was funded by the University of London,
a disproportionate response to a poorly for- Triangle Trust and the AHRB (as was) ref.
mulated problem. 2003/102692.
In the science-fiction comedy A hitchhikers
guide to the galaxy the characters discover Notes
that the answer to the meaning of life, the 1. Such Research Ethics Committees (RECs) are
universe, and everything is 42, only to realize also known as Institutional Review Boards (USA),
Research Ethics Boards (Canada), Human and
they must now uncover what the question
Health Research Ethics Committees (Australia),
is. It seems like we might be at a similar Health and Disability Research Ethics Committees
juncture in research ethics. While there are (New Zealand). In the interests of simplicity, we
problems with the current system in the UK, use the term REC throughout this paper to refer to
such as the disconnect between the treat- all such committees.
ment of ethical questions by researchers 2. We do not seek to homogenize important diversity
in human geography, but the following argument
and the reporting of them in publication, we
recognizes a difference between clinical research
have argued that mandatory ethics review of and human geography generally.
human geography is a solution in search of a 3. The research was conducted in May 2002 and
problem. History shows that ethical review is February 2004. It involved a survey of all 218
no guarantee of ethical research (Dyer, 2004). Local RECs operating in the NHS at the time, and
Those involved in ethical review recognize it a subsequent in-depth phase of observing the
deliberations of 19 different committees, followed
is a check on but not a guarantee of ethical by 49 interviews with committee members to
research. As one paediatrician serving on an discuss the ethical review process and substance
LREC explained: of committee deliberations. Quotations from
interviewees are referred to using the code ‘C’
If someone is hell bent on doing some poor and then a number. Further details are available in
quality research and not doing it ethically they Dyer (2006).
are going to do it irrespective of what they
have written down on paper and I don’t think References
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