Table Of ContentSPRINGER BRIEFS IN RESEARCH AND
INNOVATION GOVERNANCE
Doris Schroeder · Julie Cook
François Hirsch · Solveig Fenet
Vasantha Muthuswamy Editors
Ethics Dumping
Case Studies
from North-
South Research
Collaborations
SpringerBriefs in Research and Innovation
Governance
More information about this series at http://www.springer.com/series/13811
Doris Schroeder Julie Cook
(cid:129)
ç
Fran ois Hirsch Solveig Fenet
(cid:129)
Vasantha Muthuswamy
Editors
Ethics Dumping
Case Studies from North-South Research
Collaborations
Editors
DorisSchroeder Solveig Fenet
Centrefor Professional Ethics,School Institut National dela Santéet dela
ofHealth Sciences Recherche Médicale
University of Central Lancashire Paris
Preston, Lancashire France
UK
Vasantha Muthuswamy
Julie Cook ManchesterRegent
Centrefor Professional Ethics Coimbatore, Tamil Nadu
University of Central Lancashire India
Preston, Lancashire
UK
FrançoisHirsch
Institut National dela Santéet dela
Recherche Médicale
Paris
France
ISSN 2452-0519 ISSN 2452-0527 (electronic)
SpringerBriefs inResearch andInnovation Governance
ISBN978-3-319-64730-2 ISBN978-3-319-64731-9 (eBook)
https://doi.org/10.1007/978-3-319-64731-9
LibraryofCongressControlNumber:2017953819
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To Andries Steenkamp (1960−2016)
Foreword
Today, humanity faces grand challenges of a global nature, such as epidemics,
disease outbreaks, food security challenges, climate change and increasing energy
demands. Such challenges can only be resolved through cooperation between
countries, as no country acting alone could possibly tackle them effectively.
A main driver towards the resolution of these challenges is research and inno-
vation. International cooperation in research and innovation is particularly impor-
tant, as it promotes the sharing of knowledge, skills and resources; it raises
awareness and may contribute to the fair sharing of the benefits of research and
innovation among partners. Undertaking international cooperation in research and
innovation responsibly requires equitable and respectful relationships between
countries and among research and innovation partners. Fair research relationships
areparticularlyimportantforEurope,givenitsleadingrolesinresponsibleresearch
and innovation and human rights compliance, in order to foster the building and
maintaining of equitable research partnerships with low- and middle-income
countries (LMICs).
When it comes to international cooperation with LMICs, the most fundamental
element of responsible research and innovation is adherence to high ethical stan-
dards,independentlyofwheretheresearchtakesplace.Thisisparticularlythecase
when we take into account the power imbalances and disparities in know-how
between high-income countries and LMICs, whichmay result inthe former taking
advantageofthevulnerabilitiesofthelatter.ParticipantsandresourcesfromLMICs
must not be exploitedin international partnerships,even if local ethics compliance
structuresareweakcomparedwithcompliancestructuresinEurope.Inotherwords,
researchandinnovationpartnersshouldrefrainfromtakingeitheractiveorpassive
advantage of loopholes and weaknesses in the governance systems of another
countryinordertoperformresearchthatwouldbelegallyorethicallyunacceptable
in their own country.
Ensuring equitable and respectful partnerships and avoiding exploitation of
LMICsrequiremutualunderstanding.Inordertoreachsuchmutualunderstanding,
itisofparticularimportancetoexaminecasestudies,astheymayelucidateethical
issues relevant to real-life recent research and innovation activities involving
vii
viii Foreword
LMICs, which may contribute to avoiding the duplication of past mistakes and
injustices.
This book aims to raise awareness of the topic of unethical research and
therefore presents case studies of exploitative research conducted in LMICs.
FundedbytheEuropean Commission, itbringstogether experts onthistopicfrom
around theworld. Adheringcloselytoanimportant feature ofresponsibleresearch
andinnovation,namelysocietalengagement,thebookhasdirectlyinvolvedhighly
vulnerable populations in its outputs (LMIC sex workers and indigenous peoples).
Inordertomaximizeoutreach,thisbookismadeavailableasgoldopenaccess.
ThismeansthatstakeholdersfromLMICswhohaveaccesstotheInternetwillnot
be excluded from the learning outcomes of this work. Learning about the
exploitation of LMICs from open-access case studies will hopefully increase the
chancesthatthoseinvolvedinresearchwillbeopentotheworldinaninclusiveand
equitable manner. Presenting such case studies aims to contribute to the develop-
mentoffairandequitableresearchandinnovationcollaborationsbetweencountries
—collaborations that are mutually beneficial for all participants, as well as for
scientific progress at large.
LouizaKalokairinouisaPolicyOfficerattheEthicsandResearchIntegritySector
of the Directorate General (DG) for Research and Innovation (European
Commission), and a Ph.D. candidate at the Centre for Biomedical Ethics and Law
(University of Leuven).
Isidoros Karatzas is Head of the Ethics and Research Integrity Sector, European
Commission (EC), DG Research & Innovation. A biochemist by training, he
established advanced training courses on research ethics and research integrity for
EC staff, the research ethics expert community, early career researchers and
National and European professional associations. He was the first to set up a
European system of ethics checks and contributed to the publication of the new
European Code of Conduct for Research Integrity and the preparation of the
Horizon 2020 research integrity strategy.
Acknowledgements
This book is an output of the TRUST project funded by the European
Commission.1 We first want to thank our funder, and in particular Mr. Dorian
Karatzas, head of the Ethics and Research Integrity Sector at the European
Commission’s Directorate-General for Research and Innovation. It was Dorian’s
long-standingcommitmenttoensuringthatlearningforHorizon2020stakeholders
takes place through case studies that led to this book.
We also thank our project officer, Roberta Monachello from the Research
Executive Agency of the European Commission, for her engaged interest in the
TRUST project and Louiza Kalokairinou from the Ethics and Research Integrity
Sector for promoting our work. The project was chosen as one of Horizon 2020’s
success stories (SiS.net nd), which energized us greatly, and we hope that those
interested in this book will also find the project’s future outputs useful.2
TheauthorsofthesecasestudiescomefromAustria,Cameroon,Canada,China,
France, Germany, India, Kenya, Liberia, the Philippines, Russia, South Africa and
the UK. We would like to thank them all for bringing these cases to our attention.
The inclusion of a case from India is thanks to Dr. Urmila Thatte and Dr.
Vasantha Muthuswamy, who organized an inspirational workshop in Mumbai in
2016. Here, we also thank Dr. Nandini Kumar for her specialist advice.
Thisisthefifthbookthatoneoftheeditors,DorisSchroeder,haspublishedwith
seniorSpringereditorFritzSchmuhl.Asbefore,hisproblem-solvingattentionfrom
the first email to the last step in production has been invaluable. It is also the fifth
collaboration with our copy editor, Paul Wise, who is simply the best.
VariousinstitutionalservicesattheUniversityofCentralLancashireintheUK,
whereTRUSTiscoordinated,havesupportedthisbookindirectly.Inparticular,we
wouldliketothankAishaMalik(seniorfinanceofficer),MichelleCartmellandher
team (travel office), Kate Hutchinson (funding development and support) and
Alexander Rawcliffe (research support team). Isabelle Pires (accounting at the
1Projectnumber664771.
2trust-project.eu/.
ix
x Acknowledgements
French National Institute of Health and Medical Research) also provided essential
support. Our thanks go to you all.
Lastly, but most importantly, we thank Andries Steenkamp, the San traditional
leader from the Kalahari in South Africa, for his leadership over many years in
working to make North-South research relationships more equitable. We dedicate
this book to his memory.
Reference
SiS.net(nd)Successstories.NetworkofNationalContactPointsforSciencewithandforSociety
inHorizon2020.http://www.sisnetwork.eu/about/success-stories/
