The Function of—and Need for—Institutional Review Boards


Review by  of The Censor’s Hand: The Misregulation of Human-Subject Research (Carl E. Schneider, The MIT Press): “Scientific research can be a laborious and frustrating process even before it gets started—especially when it involves living human subjects. Universities and other research institutions maintain Institutional Review Boards that scrutinize research proposals and their methodologies, consent and privacy procedures, and so on. Similarly intensive reviews are required when the intention is to use human tissue—if, say, tissue from diagnostic cancer biopsies could potentially be used to gauge the prevalence of some other illness across the population. These procedures can generate absurdities. A doctor who wanted to know which television characters children recognized, for example, was advised to seek ethics committee approval, and told that he needed to do a pilot study as a precursor.

Today’s IRB system is the response to a historic problem: academic researchers’ tendency to behave abominably when left unmonitored. Nazi medical and pseudomedical experiments provide an obvious and well-known reference, but such horrors are not found only in totalitarian regimes. The Tuskegee syphilis study, for example, deliberately left black men untreated over the course of decades so researchers could study the natural course of the disease. On a much smaller but equally disturbing scale is the case of Dan Markingson, a 26-year-old University of Michigan graduate. Suffering from psychotic illness, Markingson was coercively enrolled in a study of antipsychotics to which he could not consent, and concerns about his deteriorating condition were ignored. In 2004, he was found dead, having almost decapitated himself with a box cutter.

Many thoughtful ethicists are aware of the imperfections of IRBs. They have worried publicly for some time that the IRB system, or parts of it, may claim an authority with which even many bioethicists are uncomfortable, and hinder science for no particularly good reason. Does the system need re-tuning, a total re-build, or something even more drastic?

When it comes to IRBs, Carl E. Schneider, a professor of law and internal medicine at the University of Michigan, belongs to the abolitionist camp. In The Censor’s Hand: The Misregulation of Human-Subject Research, he presents the case against the IRB system plainly. It is a case that rests on seven related charges.

IRBs, Schneider posits, cannot be shown to do good, with regulators able to produce “no direct evidence that IRBs prevented harm”; that an IRB at least went through the motions of reviewing the trial in which Markingson died might be cited as evidence of this. On top of that, he claims, IRBs sometimes cause harm, at least insofar as they slow down medical innovation. They are built to err on the side of caution, since “research on humans” can cover a vast range of activities and disciplines, and they struggle to take this range into proper account. Correspondingly, they “lack a legible and convincing ethics”; the autonomy of IRBs means that they come to different decisions on identical cases. (In one case, an IRB thought that providing supplemental vitamin A in a study was so dangerous that it should not be allowed; another thought that withholding it in the same study was so dangerous that it should not be allowed.) IRBs have unrealistically high expectations of their members, who are often fairly ad hoc groupings with no obvious relevant expertise. They overemphasize informed consent, with the unintended consequence that cramming every possible eventuality into a consent form makes it utterly incomprehensible. Finally, Schneider argues, IRBs corrode free expression by restricting what researchers can do and how they can do it….(More)”

Revolutionizing Innovation: Users, Communities, and Open Innovation


Book edited by Dietmar Harhoff and Karim R. Lakhani: “The last two decades have witnessed an extraordinary growth of new models of managing and organizing the innovation process that emphasizes users over producers. Large parts of the knowledge economy now routinely rely on users, communities, and open innovation approaches to solve important technological and organizational problems. This view of innovation, pioneered by the economist Eric von Hippel, counters the dominant paradigm, which cast the profit-seeking incentives of firms as the main driver of technical change. In a series of influential writings, von Hippel and colleagues found empirical evidence that flatly contradicted the producer-centered model of innovation. Since then, the study of user-driven innovation has continued and expanded, with further empirical exploration of a distributed model of innovation that includes communities and platforms in a variety of contexts and with the development of theory to explain the economic underpinnings of this still emerging paradigm. This volume provides a comprehensive and multidisciplinary view of the field of user and open innovation, reflecting advances in the field over the last several decades.

The contributors—including many colleagues of Eric von Hippel—offer both theoretical and empirical perspectives from such diverse fields as economics, the history of science and technology, law, management, and policy. The empirical contexts for their studies range from household goods to financial services. After discussing the fundamentals of user innovation, the contributors cover communities and innovation; legal aspects of user and community innovation; new roles for user innovators; user interactions with firms; and user innovation in practice, describing experiments, toolkits, and crowdsourcing, and crowdfunding…(More)”

Research and Evaluation of Participatory Budgeting in the U.S. and Canada


Public Agenda: “Communities across the country are experimenting with participatory budgeting (PB), a democratic process in which residents decide together how to spend part of a public budget. Learning more about how these community efforts are implemented and with what results will help improve and expand successful forms of participatory budgeting across the U.S. and Canada.

Public Agenda is supporting local evaluation efforts and sharing research on participatory budgeting. Specifically, we are:

  • Building a community of practice among PB evaluators and researchers.
  • Working with evaluators and researchers to make data and research findings comparable across communities that use participatory budgeting.
  • Developing key metrics and research tools to help evaluate participatory budgeting (download these documents here).
  • Publishing a “Year in Participatory Budgeting Research” review based on data, findings, experiences and challenges from sites in the U.S. and Canada.
  • Conducting original, independent research on elected officials’ views of and experiences with participatory budgeting.
  • Convening the North American Participatory Budgeting Research Board.

…Below, you will find evaluation tools and resources we developed in close collaboration with PB evaluators and researchers in the U.S. and Canada. We also included the local evaluation reports from communities around the U.S. and Canada using PB in budget decisions.

To be the first to hear about new PB resources and news, join our email list. We also invite you to email us to join our listserv and participate in discussion about evaluation and research of participatory budgeting in the U.S. and Canada.

New to PB and looking to introduce it to your community? You should start here instead! Once your PB effort is under way, come back to this page for tools to evaluate how you’re doing.

15 Key Metrics for Evaluating Participatory Budgeting: A Toolkit for Evaluators and Implementers

Evaluation is a critical component of any PB effort. Systematic and formal evaluation can help people who introduce, implement, participate in or otherwise have a stake in PB understand how participatory budgeting is growing, what its reach is, and how it’s impacting the community and beyond.

We developed the 15 Key Metrics for Evaluating Participatory Budgeting toolkit for people interested in evaluating PB efforts in their communities. It is meant to encourage and support some common research goals across PB sites and meaningfully inform local and national discussions about PB in the U.S. and Canada. It is the first iteration of such a toolkit and especially focused on providing practical and realistic guidance for the evaluation of new and relatively new PB processes.

Anyone involved in public engagement or participation efforts other than participatory budgeting may also be interested in reviewing the toolkit for research and evaluation ideas.

The toolkit requires registration before you can download.

The toolkit includes the following sections:

15 Key Metrics for Evaluating Participatory Budgeting: 15 indicators (“metrics”) that capture important elements of each community-based PB process and the PB movement in North America overall. Click here for a brief description of these metrics….(More)”

Design for policy and public services


The Centre for Public Impact: “Traditional approaches to policymaking have left policymakers and citizens looking for alternative solutions. Despite the best of intentions, the standard model of dispassionate expert analysis and subsequent implementation by a professional bureaucracy has, generally, led to siloed solutions and outcomes for citizens that fall short of what might be possible.

The discipline of design may well provide an answer to this problem by offering a collection of methods which allow civil servants to generate insights based on citizens’ needs, aspirations and behaviours. In doing so, it changes the view of citizens from seeing them as anonymous entities to complex humans with complex needs to match. The potential of this new approach is already becoming clear – just ask the medical teams and patients at Norway’s Oslo University Hospital. Women with a heightened risk of developing breast cancer had previously been forced to wait up to three months before receiving an appointment for examination and diagnosis. A redesign reduced this wait to just three days.

In-depth user research identified the principal issues and pinpointed the lack of information about the referral process as a critical problem. The designers also interviewed 40 hospital employees of all levels to find out about their daily schedules and processes. Governments have always drawn inspiration from fields such as sociology and economics. Design methods are not (yet) part of the policymaking canon, but such examples help explain why this may be about to change….(More)”Screen Shot 2016-03-07 at 8.52.52 AM

Citizen Science and the Flint Water Crisis


The Wilson Center’s Commons Lab: “In April 2014, the city of Flint, Michigan decided to switch its water supply source from the Detroit water system to a cheaper alternative, the Flint River. But in exchange for the cheaper price tag, the Flint residents paid a greater price with one of the worst public health crises of the past decade.

Despite concerns from Flint citizens about the quality of the water, the Michigan Department of Environmental Quality repeatedly attributed the problem to the plumbing system. It was 37-year-old mother of four, LeeAnne Walters who, after noticing physical and behavioral changes in her children and herself, set off a chain of events that exposed the national scandal. Eventually, with the support of Dr. Marc Edwards, an environmental engineering professor at Virginia Tech (VT), Walters discovered lead concentration levels of 13,200 parts per billion in her water, 880 times the maximum concentration allowed by law and more than twice the level the Environmental Protection Agency considers to be hazardous waste.

Citizen science emerged as an important piece of combating the Flint water crisis. Alarmed by the government’s neglect and the health issues spreading all across Flint, Edwards and Walters began the Flint Water Study, a collaboration between the Flint residents and research team from VT. Using citizen science, the VT researchers provided the Flint residents with kits to sample and test their homes’ drinking water and then analyzed the results to unearth the truth behind Flint’s water quality.

The citizen-driven project illustrates the capacity for nonprofessional scientists to use science in order to address problems that directly affect themselves and their community. While the VT team needed the Flint residents to provide water samples, the Flint residents in turn needed the VT team to conduct the analysis. In short, both parties achieved mutually beneficial results and the partnership helped expose the scandal. Surprisingly, the “traditional” problems associated with citizen science, including the inability to mobilize the local constituent base and the lack of collaboration between citizens and professional scientists, were not the obstacles in Flint….(More)”

Privacy as a Public Good


Joshua A.T. Fairfield & Christoph Engel in Duke Law Journal: “Privacy is commonly studied as a private good: my personal data is mine to protect and control, and yours is yours. This conception of privacy misses an important component of the policy problem. An individual who is careless with data exposes not only extensive information about herself, but about others as well. The negative externalities imposed on nonconsenting outsiders by such carelessness can be productively studied in terms of welfare economics. If all relevant individuals maximize private benefit, and expect all other relevant individuals to do the same, neoclassical economic theory predicts that society will achieve a suboptimal level of privacy. This prediction holds even if all individuals cherish privacy with the same intensity. As the theoretical literature would have it, the struggle for privacy is destined to become a tragedy.

But according to the experimental public-goods literature, there is hope. Like in real life, people in experiments cooperate in groups at rates well above those predicted by neoclassical theory. Groups can be aided in their struggle to produce public goods by institutions, such as communication, framing, or sanction. With these institutions, communities can manage public goods without heavy-handed government intervention. Legal scholarship has not fully engaged this problem in these terms. In this Article, we explain why privacy has aspects of a public good, and we draw lessons from both the theoretical and the empirical literature on public goods to inform the policy discourse on privacy…(More)”

See also:

Privacy, Public Goods, and the Tragedy of the Trust Commons: A Response to Professors Fairfield and Engel, Dennis D. Hirsch

Response to Privacy as a Public Good, Priscilla M. Regan

Encryption and Evolving Technology: Implications for U.S. Law Enforcement Investigations


Kristin Finklea at the Congressional Research Service: “Because modern-day criminals are constantly developing new tools and techniques to facilitate their illicit activities, law enforcement is challenged with leveraging its tools and authorities to keep pace. For instance, interconnectivity and technological innovation have not only fostered international business and communication, they have also helped criminals carry out their operations. At times, these same technological advances have presented unique hurdles for law enforcement and officials charged with combating malicious actors.

Technology as a barrier for law enforcement is by no means a new issue in U.S. policing. In the 1990s, for instance, there were concerns about digital and wireless communications potentially hampering law enforcement in carrying out court-authorized surveillance. To help combat these challenges, Congress passed the Communications Assistance for Law Enforcement Act (CALEA; P.L. 103-414), which among other things, required telecommunications carriers to assist law enforcement in executing authorized electronic surveillance.

The technology boundary has received renewed attention as companies have implemented advanced security for their products—particularly their mobile devices. In some cases, enhanced encryption measures have been put in place resulting in the fact that companies such as Apple and Google cannot unlock devices for anyone under any circumstances, not even law enforcement.

Law enforcement has concerns over certain technological changes, and there are fears that officials may be unable to keep pace with technological advances and conduct electronic surveillance if they cannot access certain information. Originally, the going dark debate centered on law enforcement’s ability to intercept real-time communications. More recent technology changes have potentially impacted law enforcement capabilities to access not only communications, but stored data as well….(More)”

The Digital Equilibrium Project


Press Release by The Digital Equilibrium Project: “Cybersecurity, government and privacy experts are banding together as part of The ‘Digital Equilibrium Project’ to foster a new, productive dialogue on balancing security and privacy in the connected world. The project aims to address the underlying issues fueling acrimonious debates like the contentious court order between Apple and the U.S. Government.

  • The diverse group includes current and former leaders of some of the world’s largest cybersecurity firms and organizations, former officials in the NSA and national law enforcement, and leaders of some of the nation’s most influential privacy organizations. These individuals believe new thinking and collaboration is needed to avert potential catastrophes as the digital and physical worlds become more interdependent.
  • The group will release its foundational paper ‘Balancing Security and Privacy in the Connected World’ on Tuesday, March 1st at the RSA Conference – the world’s largest cybersecurity conference.
  • This project and related paper, months in the making, seek to end the kinds of standoffs we are seeing between Apple and the U.S. Government, addressing the underlying lack of social norms and legal constructs for the digital world.
  • They will convene a mid-year summit to craft a framework or ‘constitution’ for the digital world. The intent of this constitution is to help guide policy creation, broker compromise and serve as the foundation for decision making around cybersecurity issues. Senior executives from the Justice Department, Apple and other technology firms will be invited to participate…..

Next week the group will publish its foundational paper, crafted over extensive meetings, interviews and working sessions. The paper is meant to foster a new, collaborative discussion on the most pressing questions that could determine the future safety and social value of the Internet and the digital technologies that depend on it. In addition to releasing the paper at the RSA Conference, members of the group will discuss the paper and related issues during a main-stage panel session moderated by Art Coviello, former Executive Chairman of RSA Security, and James Kaplan, a McKinsey partner, on Thursday, March 3rd. Panel members will include: Michael Chertoff, Executive Chairman of The Chertoff Group and former Secretary of Homeland Security; Trevor Hughes, President and CEO of the International Association of Privacy Professionals; Mike McConnell, former Director of the NSA and Director, National Intelligence; and Nuala O’Connor, President and CEO, Center for Democracy & Technology.

The paper urges governments, corporations and privacy advocates to put aside the polarizing arguments that have cast security and privacy as opposing forces, and calls for a mid-year summit meeting between these parties to formulate a new structure for advancement of these pressing issues. It poses four fundamental questions that must be addressed to ensure the digital world can evolve in ways that ensure individual privacy while enabling the productivity and commercial gains that can improve quality of life around the globe. The four questions are:

  • What practices should organizations adopt to achieve their goals while protecting the privacy of their customers and other stakeholders?
  • How can organizations continue to improve the protection of their digital infrastructures and adopt privacy management practices that protect their employees?
  • What privacy management practices should governments adopt to maintain civil liberties and expectations of privacy, while ensuring the safety and security of their citizens, organizations, and critical infrastructure?
  • What norms should countries adopt to protect their sovereignty while enabling global commerce and collaboration against criminal and terrorist threats?

The Digital Equilibrium Project’s foundational paper will available for download on March 1st at www.digitalequilibriumproject.com

Data Could Help Scholars Persuade, If Only They Were Willing to Use It


Paul Basken at the Chronicle of Higher Education: “Thanks to what they’ve learned from university research, consultants like Matthew Kalmans have become experts in modern political persuasion. A co-founder of Applecart, a New York data firm, Mr. Kalmans specializes in shaping societal attitudes by using advanced analytical techniques to discover and exploit personal connections and friendships. His is one of a fast-growing collection of similar companies now raising millions of dollars, fattening businesses, and aiding political campaigns with computerized records of Facebook exchanges, high-school yearbooks, even neighborhood gossip.

Applecart uses that data to try to persuade people on a range of topics by finding voices they trust to deliver endorsements. “You can use this sort of technology to get people to purchase insurance at higher rates, get people to purchase a product, get people to do all sorts of other things that they might otherwise not be inclined to do,” said Mr. Kalmans, a 2014 graduate of the University of Pennsylvania. And in building such a valuable service, he’s found that the intellectual underpinnings are often free. “We are constantly reading academic papers to get ideas on how to do things better,” Mr. Kalmans said. That’s because scholars conduct the field experiments and subsequent tests that Mr. Kalmans needs to build and refine his models. “They do a lot of the infrastructural work that, frankly, a lot of commercial companies don’t have the in-house expertise to do,” he said of university researchers. Yet the story of Applecart stands in contrast to the dominant attitude and approach among university researchers themselves. Universities are full of researchers who intensively study major global problems such as environmental destruction and societal violence, then stop short when their conclusions point to the need for significant change in public behavior.

Some in academe consider that boundary a matter of principle rather than a systematic failure or oversight. “The one thing that we have to do is not be political,” Michael M. Crow, the usually paradigm-breaking president of Arizona State University, said this summer at a conference on academic engagement in public discourse. “Politics is a process that we are informing. We don’t have to be political to inform politicians or political actors.” But other academics contemplate that stance and see a missed opportunity to help convert the millions of taxpayer dollars spent on research into meaningful societal benefit. They include Dan M. Kahan, a professor of law and of psychology at Yale University who has been trying to help Florida officials cope with climate change. Mr. Kahan works with the four-county Southeast Florida Regional Climate Change Compact, which wants to redesign roads, expand public transit, and build pumping stations to prepare for harsher weather. But Mr. Kahan says he and his Florida partners have had trouble getting enough

But Mr. Kahan says he and his Florida partners have had trouble getting enough policy makers to seriously consider the scale of the problem and the necessary solutions. It’s frustrating, Mr. Kahan said, to see so much university research devoted to work inside laboratories on problems like climate, and comparatively little spent on real-world needs such as sophisticated messaging strategies. “There really is a kind of deficit in the research relating to actually operationalizing the kinds of insights that people have developed from research,” he said. That deficit appears to stem from academic culture, said Utpal M. Dholakia, a professor of marketing at Rice University whose work involves testing people’s self-control in areas such as eating and shopping. He then draws conclusions about whether regulations or taxes aimed at changing behaviors will be effective. Companies find advanced personal behavioral data highly useful, said Mr. Dholakia, who works on the side to help retailers devise sales strategies. But his university, he said, appears more interested in seeing him publish his findings than take the time to help policy makers make real-world use of them. “My dean gets very worried if I don’t publish a lot.” Because universities h

That deficit appears to stem from academic culture, said Utpal M. Dholakia, a professor of marketing at Rice University whose work involves testing people’s self-control in areas such as eating and shopping. He then draws conclusions about whether regulations or taxes aimed at changing behaviors will be effective. Companies find advanced personal behavioral data highly useful, said Mr. Dholakia, who works on the side to help retailers devise sales strategies. But his university, he said, appears more interested in seeing him publish his findings than take the time to help policy makers make real-world use of them. “My dean gets very worried if I don’t publish a lot.” …(More)

Improving government effectiveness: lessons from Germany


Tom Gash at Global Government Forum: “All countries face their own unique challenges but advanced democracies also have much in common: the global economic downturn, aging populations, increasingly expensive health and pension spending, and citizens who remain as hard to please as ever.

At an event last week in Bavaria, attended by representatives of Bavaria’s governing party, the Christian Social Union (CSU) and their guests, it also became clear that there is a growing consensus that governments face another common problem. They have relied for too long on traditional legislation and regulation to drive change. The consensus was that simply prescribing in law what citizens and companies can and can’t do will not solve the complex problems governments are facing, that governments cannot legislate their way to improved citizen health, wealth and wellbeing….

…a number of developments …from which both UK and international policymakers and practitioners can learn to improve government effectiveness.

  1. Behavioural economics: The Behavioural Insights Team (BIT), which span out of government in 2013 and is the subject of a new book by one of its founders and former IfG Director of Research, David Halpern, is being watched carefully by many countries abroad. Some are using its services, while others – including the New South Wales Government in Australia –are building their own skills in this area. BIT and others using similar principles have shown that using insights from social psychology – alongside an experimental approach – can help save money and improve outcomes. Well known successes include increasing the tax take through changing wording of reminder letters (work led by another IfG alumni Mike Hallsworth) and increasing pension take-up through auto-enrolment.
  2. Market design: There is an emerging field of study which is examining how algorithms can be used to match people better with services they need – particularly in cases where it is unfair or morally repugnant to let allow a free market to operate. Alvin Roth, the Harvard Professor and Nobel prize winner, writes about these ‘matching markets’ in his book Who Gets What and Why – in which he also explains how the approach can ensure that more kidneys reach compatible donors, and children find the right education.
  3. Big data: Large datasets can now be mined far more effectively, whether it is to analyse crime patterns to spot where police patrols might be useful or to understand crowd flows on public transport. The use of real-time information allows far more sophisticated deployment of public sector resources, better targeted at demand and need, and better tailored to individual preferences.
  4. Transparency: Transparency has the potential to enhance both the accountability and effectiveness of governments across the world – as shown in our latest Whitehall Monitor Annual Report. The UK government is considered a world-leader for its transparency – but there are still areas where progress has stalled, including in transparency over the costs and performance of privately provided public services.
  5. New management models: There is a growing realisation that new methods are best harnessed when supported by effective management. The Institute’s work on civil service reform highlights a range of success factors from past reforms in the UK – and the benefits of clear mechanisms for setting priorities and sticking to them, as is being attempted by governments new(ish) Implementation Taskforces and the Departmental Implementation Units currently cropping up across Whitehall. I looked overseas for a different model that clearly aligns government activities behind citizens’ concerns – in this case the example of the single non-emergency number system operating in New York City and elsewhere. This system supports a powerful, highly responsive, data-driven performance management regime. But like many performance management regimes it can risk a narrow and excessively short-term focus – so such tools must be combined with the mind-set of system stewardship that the Institute has long championed in its policymaking work.
  6. Investment in new capability: It is striking that all of these developments are supported by technological change and research insights developed outside government. But to embed new approaches in government, there appear to be benefits to incubating new capacity, either in specialist departmental teams or at the centre of government….(More)”