[ajb]

> You do not experiment on people without their consent.

Exactly this. Research involving human participants is supposed to have been approved by the University's Institutional Review Board; the kernel developers can complain to it: https://research.umn.edu/units/irb/about-us/contact-us

It would be interesting to see what these researches told the IRB they were doing (if they bothered).

Edited to add: From the link in GP: "The IRB of UMN reviewed the study and determined that this is not human research (a formal IRB exempt letter was obtained)"

Okay so this IRB needs to be educated about this. Probably someone in the kernel team should draft an open letter to them and get everyone to sign it (rather than everyone spamming the IRB contact form)

T

[hobofan]

According to their website[0]:

> IRB exempt was issued

[0]: https://www-users.cs.umn.edu/~kjlu/

[throwawaybbq1]

These two sentences seem contradictory from the author's response is contradictory: " The IRB of UMN reviewed the study and determined that this is not human research (a formal IRB exempt letter was obtained). Throughout the study, we honestly did not think this is human research, so we did not apply for an IRB approval in the beginning."

I would guess their IRB had a quick sanity check process to ensure there was no human subject research in the experiment. This is actually a good thing if scientists use their ethics and apply good judgement. Now, whoever makes that determination does so based on initial documentation supplied by the researchers. If so, the researchers should show what they submitted to get the exemption.

Again, the implication is their University will likely make it harder to get exemptions after this fiasco. This mistake hurts everyone (be it indirectly). Although, and this is being quite facetious and macabre, the researchers have inadvertently exposed a bug in their own institutions IRB process!

[DetroitThrow]

Combined with their lack of awareness of a possible breach of ethics in their response to Greg, I find it hard to believe they did not mislead the UMN IRB.

I hope they release what they submitted to the IRB to receive that exemption and there are some form of consequences if the mistake is on their part.

[pacbard]

A few things about IRB approval.

1. You have to submit for review any work involving human subjects before you start interacting with them. The authors clearly state that they sought retroactive approval after being questioned about their work. That would be a big red flag for my IRB and they wouldn't approve work retroactively.

2. There are multiple levels of IRB approval. The lowest is non regulated, which means that the research falls outside of human subject research. Individual researchers can self-certify work as non regulated or get a non-regulated letter from their IRB.

From there, it goes from exempt to various degrees of regulated. Exempt research means that it is research involving human subjects that is exempt from continued IRB review past the initial approval. That means that IRB has found that their research involves human subjects but falls within one (or more) of the exceptions for continued review.

In order to be exempt, a research project must meet one of the exemptions categories (see here https://hrpp.msu.edu/help/required/exempt-categories.html for a list). The requirements changed in 2018, so what they had to show depends on when they first received their exempt status.

The bottom line is that the research needs to (a) have less than minimal risks for participants and (b) needs to be benign in nature. In my opinion, this research doesn't meet these requirements as there are significant risks to participants to both their professional reputation and future employability for having publicly merged a malicious patch. They also pushed intentionally malicious patches, so I am not sure if the research is benign to begin with.

3. Even if a research project is found exempt from IRB review, participants still need to consent to participate in it and need to be informed of the risks and benefits of the research project. It seems that they didn't consent their participants before their participation in the research project. Consent letters usually use a common template that clearly states the goals for the research project, lists the possible risks and benefits of participating in it, states the name and contact information of the PI, and data retention policies. IRB could approve projects without proactive participant consent but those are automatically "bumped up" to full IRB approval and approvals are given only in very specific circumstances. Plus, once a participant removes their consent to participate in a research project, the research team needs to stop all interactions with them and destroy all data collected from them. It seems that the kernel maintainers did not receive the informed consent materials before starting their involvement with the research project and have expressed their desire not to participate in the research after finding out they were participating in it, so the interaction with them should stop and any data collected from them should be destroyed.

4. My impression is that they got IRB approval on a technicality. That is, their research is on the open source community and its processes rather than the individual people that participate in them. My impression of their paper is that they are very careful in addressing the "Linux community" and they really never talk about their interaction with people in the paper (e.g., there is no data collection section or a description of their interactions on the mailing list). Instead, it's my impression that they present the patches that they submitted as happening "naturally" in the community and that they are describing publicly available interactions. That seems to be a little misleading of what actually happened and their role in producing and submitting the patches.

[db48x]

I’m interested in MSU’s list of exempt categories. Most of them are predicated on the individual subjects not being identifiable. Since this research is being done on a public mailing list that is archived and available for all to read, it is trivial to go through the archive and find the patches they quote in their paper to find out who reviewed them, and their exact responses. Would that disqualify the research from being exempt, even if the researchers themselves do not record that data or present it in their paper?

What if they did a survey of passers–by on a public street, that might be in view of CCTV operated by someone else?

[pacbard]

The federal government has updated the rules for exemption in 2018. The MSU link is more of a summary than the actual rules.

The fact that a mailing list is publicly available is what made me worry about the applicability of any sort of exemption. In order for human subject research to be exempt from IRB review, the research needs to be deemed less than minimal risk to participants.

The fact that their experiment happens in public and that anyone can find their patches and individual maintainers' responses (and approval) of them makes me wonder if the participants are at risk of losing professional reputation (in that they approved a patch that was clearly harmful) or even employment (in that their employer might find out about their participation in this study and move them to less senior positions as they clearly cannot properly vet a patch). This might be extreme, but it is still a likely outcome given the overall sentiment of the paper.

All research that poses any harm to participants has to be IRB approved and the researchers have to show that the benefits to participants (and the community at large) surpass the individual risks. I am still not sure what benefits this work has to the OSS community and I am very surprised that this work did not require IRB supervision at all.

As far as work on a public street is concerned, IRB doesn't regulate common activities that happen in public and for which people do not have a reasonable expectation of privacy. But, as soon as you start interacting with them (e.g., intervene in their environment), IRB review is required.

You can read and analyze a publicly available mailing list (and this would even qualify as non human subject research if the data is properly anonymized) without IRB review or at most a deliberation of exempt status but you cannot email the mailing list yourself as a researcher as the act of emailing is an intervention that changes other people's environment, therefore qualifying as human subject research.

[ajb]

Thanks (This thread may now read a bit confusingly as I independently found that and edited my comment above)