The ethics of promulgating principles of research ethics: the problem of diversion effects

There is an important distinction between ethical standards for the conduct of research with human subjects and the ethics of promulgating principles of research ethics. Those who promulgate ethical standards for the conduct of research have an ethical responsibility to consider the consequences to which those promulgations give rise. In particular, they must consider whether their promulgations will give researchers incentives not to conduct research or not to conduct research in locales in which participants would benefit from participation. I first show how such ‘diversion effects’ are possible and then examine four principles of research ethics in that light. I then consider several objections to the argument that those who promulgate principles of research ethics should consider diversion effects.     

Institutional change in the European Parliament: balancing legislative ethics and parliamentary independence

Research on legislative ethics has shown how scandals often trigger ethics reform; yet, the content of the reform often differs from that of the scandal. Why is this the case? And if scandals don't explain legislative ethics reform outcomes, then what does? If not this kind of external shock, then what factor(s) shape legislative reform outcomes? These questions provide the point of departure for a case study of the European Parliament's 2011 ethics reform. Drawing from the legislative ethics literature and from recent theories of institutional change, the article examines the impact of the scandal that initiated the reform, the interests and strategies of reform agents who wanted a quick reform process that would not undermine the EP's independence; and the institutional order in which those actors were embedded. It argues that an institutional logics perspective offers a convincing and comprehensive account of EP ethics reform, and suggests a new analytical framework that might be used by researchers in future research on legislative ethics.     

Trust,Distrust and Reassurance: Diversion and Preventive Orders Through the Prism of Feindstrafrecht

This article considers Günther Jakobs' controversial theory of ‘the criminal law of the enemy’ (Feindstrafrecht). Taking an interpretive perspective that is anchored in social theory, rather than normative principles, the article traces the implications of Jakobs' central claims concerning trust relations in society as mediated by the criminal law and endeavours to articulate their relevance for English law, particularly as regards the growing role of diversion and preventive orders in criminal justice. It identifies the various ways in which these current alternatives to the criminal sanctioning process link with neo‐liberal technologies of government by connecting Jakobs' thoughts on trust with key themes in the Foucauldian governmentality literature and recent research on the ascent of auditing as a meta‐regulatory mechanism.     

THE “TRUE” JUVENILE OFFENDER: AGE EFFECTS AND JUVENILE COURT SANCTIONING

Age is the only factor used to demarcate the boundary between juvenile and adult justice. However, little research has examined how age guides the juvenile court in determining which youth within the juvenile justice system merit particular dispositions, especially those that reflect the court's emphasis on rehabilitation. Drawing on scholarship on the court's origins, attribution theory, and cognitive heuristics, we hypothesize that the court focuses on youth in the middle of the range of the court's age of jurisdiction—characterized in this article as “true” juveniles—who may be viewed as meriting more specialized intervention. We use data from Florida for court referrals in 2008 (N = 71,388) to examine the decision to proceed formally or informally and, in turn, to examine formally processed youth dispositions (dismissal, diversion, probation, commitment, and transfer) and informally processed youth dispositions (dismissal, diversion, and probation). The analyses provide partial support for the hypothesis. The very young were more likely to be informally processed; however, among the informally processed youth, the youngest, not “true” juveniles, were most likely to be diverted or placed on probation. By contrast, among formally processed youth, “true” juveniles were most likely to receive traditional juvenile court responses, such as diversion or probation.     

Information privacy,impact assessment,and the place of ethics

There is now a flourishing but confusing debate about the ethics of artificial intelligence and other advanced technologies that use data extensively and intensively. There is a rush to define principles and frameworks for these activities, including the research that underlies innovations. This article illustrates and explores some of the perspectives, proposals, inventories and other materials that comprise these efforts. It begins with a look at the current interest in research ethics, and then highlights and comments on examples of the ethical frameworks, principles, and other schemes that have recently appeared. It then considers impact assessment of various kinds, especially regarding data-driven technologies, in which ethical and social issues or values are to the fore. It ends by touching on some issues that relate to attempts to devise ways of dealing with the adverse effects of advanced technologies and systems, including governance and the making of ethics-based judgments.     

Towards an ethics safe harbor for global biomedical research

Although increasingly global, data-driven genomics and other ‘omics’-focused research hold great promise for health discoveries, current research ethics review systems around the world challenge potential improvements in human health from such research. To overcome this challenge, we propose a ‘Safe Harbor Framework for International Ethics Equivalency’ that facilitates the harmonization of ethics review of specific types of data-driven international research projects while respecting globally transposable research ethics norms and principles. The Safe Harbor would consist in part of an agency supporting an International Federation for Ethics Review (IFER), formed by a voluntary compact among countries, granting agencies, philanthropies, institutions, and healthcare, patient advocacy, and research organizations. IFER would be both a central ethics review body, and also a forum for review and follow-up of policies concerning ethics norms for international research projects. It would be built on five principle elements: (1) registration, (2) compliance review, (3) recognition, (4) monitoring and enforcement, and (5) public participation. The Safe Harbor would create many benefits for researchers, countries, and the general public, and may eventually have application beyond (gen)omics to other areas of biomedical research that increasingly engage in secondary use of data and present only negligible risks.     

动物法律人格之否定——兼论动物之法律“物格”

随着德国民法典第 90a条的修正 ,“动物不是物”的规定对法学界带来了巨大的冲击 ,另有环境伦理学有关动物成为权利主体主张的提出 ,似乎动物取得人格权 ,成为权利主体的现实就在面前。但环境伦理学的主张并不能等同于法律学的主张 ,法律人格无法扩张至动物。奥地利、德国、瑞士等国民法典的修正主旨并不是赋予动物以法律人格。不过对动物的法律保护必须加强 ,在民法中应当将其作为一类特殊的物来对待 ,在法律规则的适用上有别于普通物。     

Blind faith and the juvenile justice system: A response to binder

This response to Arnold Binder's critique of my 1985 article, “A Systemic Analysis of Diversion: Net Widening and Beyond,” affirms the validity of that study. Binder seems to be concerned that criticism of diversion programs is equivalent to calling for their abolition. My position is that empirical assessment of these programs is necessary to evaluate not only their manifest consequences, but also their latent effects, including net-widening. Findings indicating that some programs do not meet their stated objectives or have effects contrary to those objectives need to be taken seriously.     

An outcome evaluation of a restorative justice alternative to incarceration

Restorative justice has become an increasingly popular alternative to traditional applications of criminal justice. The emphasis on victim needs and the personalizing of conflict resolution offers an attractive choice for those dissatisfied with the adversarial, impersonal, and retributive focus of the present criminal justice system. Many evaluations of restorative justice programs, especially those with a diversion goal, have rarely controlled for the possibility of net widening and the influence of offender risk on recidivism. This evaluation examined a prison diversion program that followed restorative justice principles. Using a matched comparison group and controlling for offender risk, the program demonstrated a diversion effect and a significant reduction in offender recidivism. The results are encouraging for jurisdictions experimenting with this new approach to justice and seeking a more integrated role for victims in criminal justice processing.     

法医学研究中的伦理审查建设

法医学研究伦理审查既是法医学研究管理工作的内容,也是法医学研究的对象,本文针对法医学研究中的伦理审查问题,论述开展伦理审查的必要性,并对法医学研究伦理审查委员会建设指导原则进行探讨,呼吁开展伦理审查建设。     

Are ethics promulgations self-defeating?

Alan Wertheimer argues that promulgating some ethical standards of international clinical research may be self-defeating: the intended purpose of these standards is to promote the interests of subjects and communities in LMICs, while the outcome of promulgation could be to undermine these very same interests. If enforced, such standards would increase the costs of performing beneficial research in LMICs, potentially diverting opportunities to participate in this research away from those who have no other access to the care participation allows. I argue that these standards are really intended as deontological constraints protecting subjects from being exploited by research sponsors. First, I show that Wertheimer begs the question against this deontological interpretation of ethics promulgations, rejecting it on non-deontological grounds. I go on to show that non-exploitation is an important goal on its own, sometimes independent from—and sometimes even outweighing—the goal of promoting the interests of subjects and communities in LMICs. I conclude by suggesting that those who criticize the promulgation of non-exploitation on the grounds that exploitative practices help those badly off might do best to reconsider the background assumption that sponsors in wealthier countries have no pre-existing obligation to promote the interests of the world''s poor.     

Military genomic testing: proportionality,expected benefits,and the connection between genotypes and phenotypes

Mehlman and Li offer a framework for approaching the bioethical issues raised by the military use of genomics that is compellingly grounded in both the contemporary civilian and military ethics of medical research, arguing that military commanders must be bound by the two principles of paternalism and proportionality. I agree fully. But I argue here that this is a much higher bar than we may fully realize. Just as the principle of proportionality relies upon a thorough assessment of harms caused and military advantage gained, the use of genomic research, on Mehlman and Li''s view, will require an accurate understanding of the connection between genotypes and phenotypes – accurate enough to ameliorate the risk undertaken by our armed forces in being subject to such research. Recent conceptual work in evolutionary theory and the philosophy of biology, however, renders it doubtful that such knowledge is forthcoming. The complexity of the relationship between genotypic factors and realized traits (the so-called ‘G→P map’) makes the estimation of potential military advantage, as well as potential harm to our troops, incredibly challenging. Such fundamental conceptual challenges call into question our ability to ever satisfactorily satisfy the demands of a sufficiently rigorous ethical standard.     

Legal and ethical considerations of forensic anthropological research

In the UK, Forensic Anthropology is maturing rapidly, consequently demanding discussion of previously overlooked yet fundamental principles of this discipline. UK law and ethics are interpreted from a forensic anthropological standpoint. First, the influence of UK law and ethics on the stages of forensic anthropological research (the collection, analysis and storage of human remains) are discussed. Existing ethical codes of conduct are investigated for their relevance to researching forensic anthropologists. It is concluded that: when appropriately interpreted, UK law and ethics are extremely influential on forensic anthropological research; debate within this area is required; and that an understanding of the law and ethical thought is vital for the successful growth of forensic anthropology in the UK.     

Sex offender programmes: New technology coping with old ethics

Abstract

Sex offender treatment programmes offer new technologies for dealing with a serious social problem but demand the sacrifice of many traditional principles of mental health ethics, such as the therapist's obligation to give primacy to the client's interest and the therapist's duties to maintain confidentiality, use non-coercive treatment and offer a choice of therapies in all but exceptional circumstances. Recognizing that such programmes are, in fact, a form of punishment enables the formulation of more consistent and practical ethical guidelines for therapists attempting interventions with sex offenders. An example of how such guidelines could be developed uses a consequentialist justification for punishment which targets the protection of human rights, rather than crime prevention, as its goal.     

Diversion in the Canadian Juvenile Justice System: A Tale of Two Cities

Abstract The present study attempted to evaluate the effectiveness of diversion in the juvenile justice system by comparing two different communities. One community has a formalized, well-established diversion program whereas the other community utilizes the Family Court to a much greater extent. Preliminary data suggests no difference in recidivism for a matched sample of young offenders. The implications of the study are discussed in terms of future research on diversion and the need for appropriate comparison groups. In the past two decades, diversion programs have been one of the major innovations within the juvenile justice system. These programs have attempted to divert juveniles from the formal process involving court hearings by creating alternative interventions at the policy and community level. The basic premises underlying these programs is that the formal court system may do more harm than good by labeling youngsters as “delinquent” and rendering them more vulnerable by involvement in an adversary process (Reference numbers 4, 12, 14). Diversion programs that provide youngsters with an opportunity to make restitution or perform community services are compensation for their misbehavior are seen as more immediate and meaningful consequences than awaiting a formal adversarial court hearing (5, 13). However, diversion programs have not met with universal acceptance. Critics have pointed out that programs, in fact, “widen the justice net” by processing children who never would have gone to court anyway (3, 7). As well, concerns have been raised as to the protection of clients' legal rights in the diversion program and the dangers of “double jeopardy” in the event that failure in a program could lead to an even more severe disposition by the court (8, 9). The debate over the effectiveness of diversion programs has been fueled by the lack of research. Although there are many studies that suggest the success of this approach (1, 6, 10), the research has suffered in its credibility due to the absence of appropriate control groups. The present study attempted to fill this significant void in previous evaluations of diversion, by comparing two communities in southwestern Ontario with different approaches to juvenile justice. The cities of Windsor and London are approximately 200 km apart, with comparative populations (200,000 vs 250,000). Windsor has well established diversion programs with substantial support of community agencies, the police force and Crown Attorney's office. This program is described in detail elsewhere (2, 11) so will not be outlined here. London has no such program and consequently has an obviously greater number of youngsters handled through the formalized juvenile court. The authors hoped to capitalize on this “naturally occurring difference” in approach between the two cities by examining the rate of recidivism of young offenders as well as determine their attitudes (and that of their parents) toward the interventions they received. The hypotheses in the pilot studies outlined were that the diversion program youth in Windsor would have a more positive attitude about their intervention and would be less likely to recidivate than a matched sample of youth in London, based on the theoretical underpinning of diversion as well as the results of previous outcome studies.     

Arbitrary Arbitration: Diverting Juveniles Into the Justice System

Abstract Considerable research has examined the effects of diverting juveniles away from the juvenile justice system. These studies have seldom investigated the possibility that diversion may inadvertently “widen the net.” This article assesses the relationship between diversion and net-widening by evaluating a leading Florida-based diversionary program, and this program's capacity to “create a clientele” in order to justify its very existence. The diversionary program under evaluation herein boasts a 98% nonrecidivist rate among its clients, and is touted as a prototype diversionary program for the nation. The current study results, however, indicate that a majority of youths diverted by this program have committed such trivial acts that entrance into any aspect of the juvenile justice system—even under the guise of a diversionary program—seems unwarranted. The results further suggest that among youths who have committed serious juvenile crimes, most are terminated unsuccessfully from this program, and are returned to the justice system for prosecution.     

Role of Culture and Context: Ethical Issues in Research with Asian Americans and Immigrants in Intimate Violence

Ethical principles are often presented as universal, immutable rules. However, when conducting research with ethnic minority groups, such as Asian Americans and immigrants, ethical issues need to be placed within a sociocultural context as ethical responses are filtered through the specific value orientations and belief systems of the ethnic group under study. Further, when the group is a marginalized population, power dynamics complicate ethical principles of autonomy. The complexities are further accentuated with sensitive topics such as intimate violence or domestic violence. Consequently, ethical questions about autonomy, informed consent, confidentiality, limits to confidentiality, and protecting participants’ safety and reducing distress need to be at the forefront when planning intimate violence research. An overview of sociocultural context of Western biomedical ethics is presented and specific ethical issues that emerge when conducting intimate violence are discussed.     

Legal principles governing expert testimony by experimental psychologists

With increasing frequency, experimental psychologists are called upon to present their research findings and theories in a courtroom. This article reviews the general evidentiary standards regarding such expert testimony, with a specific emphasis on how those principles have been applied in the context of expert psychological testimony on the unreliability of eyewitness identifications. A comprehensive review of the judicial decisions in this area reveals that there has recently been a significant shift in the courts' receptivity toward such testimony. Many courts now believe that psychological research on human perception and memory has progressed to the point that the expert's testimony may be considered both reliable enough and helpful enough to the jury to justify its adminssion in the appropriate case. The author concludes with a discussion of several developments that would help to allay the judicial system's historical concerns over the admission of such expert psychological testimony.     

Merger simulations with observed diversion ratios

One approach to merger simulations used in antitrust cases is to calibrate demand from market shares and a few additional parameters. When the products involved in the merger case are differentiated along several dimensions, actual diversion ratios may be very different from those calculated from market shares. This again may affect the predicted post-merger price effects. This article shows how merger simulation can be performed using observed diversion ratios. To illustrate the potential effects of this approach we use diversion ratios from a local grocery market in Norway. In this case diversions from the acquired to the acquiring stores were considerably smaller than suggested by market shares, and the predicted average price increase from the acquisition was 40% lower using this model rather than a model based upon market shares. This analysis also suggests that even a subset of observed diversion ratios may significantly change the prediction from a merger simulation based upon market shares.     

Resource Material for Ethical Psychological Assessment of Symptom and Performance Validity,Including Malingering

The present paper offers resource material for evaluation of malingering, response bias, and symptom and performance validity. The material mostly consists of noncontroversial, paraphrased excerpts from relevant consensus statements, guidelines, codes, books, and articles. The five principles of the American Psychological Association (APA) ethics code were used to integrate the material. In addition, five other principles were needed (e.g., on science). The companion article on a new consensus statement on the ethical use of symptom and performance validity written for the Association for Psychological Advancement in Psychological Injury and Law (ASAPIL) in the journal Psychological Injury and Law (PIL; Bush, Ruff, & Heibronner, 2014) was instigated by and written partly based on the resources described in the present paper. The resources offered in the present paper are divided into the following sections: I. Malingering; II. Related Terms; III. APA Ethics Code; IV. Other Ethics Guidelines; V. Practice Guidelines; VI. Assessment Guidelines; VII. Other Ethical Sources; IX. Biases, Fallacies, Errors; X. Prior SVT-M/PVT-M Statements; XI. A New Ethical Model of Ten Principles; and XII. Instrumentation, and followed by Conclusions. The ten principles of the present ethical guidelines could be used to help revise the APA ethics code. The companion statement constitutes a major advance in the field and the present resource material facilitates its use.