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HEALTH POLICY AND ETHICS |
Patricia A. McDaniel is with the Center for Tobacco Control Research and Education, University of California, San Francisco. Gina Solomon is with the Natural Resources Defense Council and the Division of Occupational and Environmental Medicine, Department of Medicine, University of California, San Francisco. Ruth E. Malone is with the Department of Social and Behavioral Sciences, School of Nursing, University of California, San Francisco.
Correspondence: Requests for reprints should be sent to Patricia A. McDaniel, PhD, Center for Tobacco Control Research and Education, University of California, San Francisco, 530 Parnassus Ave, Suite 366, San Francisco, CA 941431390 (e-mail: patricia.mcdaniel{at}ucsf.edu).
| ABSTRACT |
|---|
In the United States, companies that use their own funds to test consumer products on their employees are subject to few regulations. Using previously undisclosed tobacco industry documents, we reviewed the history of that industrys efforts to create internal guidelines on the conditions to be met before employee taste testers could evaluate cigarettes made from tobacco treated with experimental pesticides.
This history highlights 2 potential ethical issues raised by unregulated industrial research: conflict of interest and lack of informed consent. To ensure compliance with accepted ethical standards, an independent federal office should be established to oversee industrial research involving humans exposed to experimental or increased quantities of ingested, inhaled, or absorbed chemical agents.
| INTRODUCTION |
|---|
Previously undisclosed tobacco industry documents provide an opportunity to evaluate one industrys attempts to create internal guidelines for research using its employees. In this study, we focus on one type of employee research conducted by the tobacco industry: taste tests (called "smoke panels" or "taste panels") of cigarettes treated with experimental pesticides. Although tobacco industry employees have also been regularly used to evaluate the impact on cigarette taste of additives, flavorings, and other product modifications,39 we focus on pesticide-treated cigarettes because the industry saw this type of research as particularly vulnerable to lawsuits. It therefore developed guidelines stipulating that toxicological data be reviewed before employees smoked these cigarettes in experimental settings. We highlight the ethical issues raised by this research and propose extending, in certain instances, federal protection of human subjects to privately funded research.
| METHODS |
|---|
Between July 2003 and January 2005, the first author retrieved documents by using a snowball sampling strategy, beginning with broad search terms (e.g., "smoke panel") and using retrieved documents to identify more specific search terms (e.g., "Tobacco Pesticide Committee") (Table 1
). This process produced over 8400 documents. These documents index entries were reviewed, and duplicates and irrelevant documents were excluded. The final sample size was approximately 1000 documents, spanning the years 1947 to 2000. All 3 authors iteratively reviewed successive collections of key documents while developing interpretations and analyses; the first author then assembled the data and analyses into a chronologically organized case study, a method common to sociology, political science, and anthropology.13,14
|
| EMPLOYEE TASTE PANELS |
|---|
Tobacco companies recruited groups of 3 to 26 employees, smokers and nonsmokers, to taste-test cigarettes manufactured from pesticide-treated tobacco.4,2328 At ATC in the 1950s, some employees served on panels for at least 2 years.26,29,30 The documents we located lack additional details on these early panelists; however, documents from the 1980s and 1990s reveal that some panelists worked in Research and Development at PM and RJR27,31 and in the Flavor Development Department at PM.31,32 Flavor Development employees regularly tested experimental cigarettes, including those containing new flavor additives and new pesticides.31,33 We were unable to determine whether they received additional compensation for tasting work. At RJR in the 1980s, employee taste-testers were company-wide volunteers who served on panels 2 to 3 times per week.23 They earned no additional pay, but received sweets after sessions.23
At ATC in the 1950s, each employee evaluated 3 cigarettes: 1 made from untreated tobacco and 2 made from pesticide-treated tobacco.26 In the 1980s, panelists from ATC, Brown and Williamson, RJR, and PM smoked 3 to 12 cigarettes, some with tobacco treated with the pesticide at the maximum proposed use rate, some with tobacco treated with the pesticide at twice the maximum proposed use rate, and some with untreated tobacco.3436 At RJR in the 1980s, employee panelists smoked on company time (approximately 15 minutes per session) in individual booths.23 Panelists scored cigarettes as "normal" or "off-taste."26,37,38 Test results were communicated to pesticide manufacturers or to agricultural experiment station personnel, who would discourage pesticide manufacturers from registering pesticides rated unfavorably.39,40
| EARLY SELF-REGULATION |
|---|
Several months later, North Carolina State Universitys Coordination Committee for Manufacturing Cigaretteswhich was apparently headed by T. J. Sheets, director of the universitys pesticide residue research laboratorydeveloped a toxicological safety protocol (Table 2
, second column). The protocol requested that pesticide manufacturers provide data on acute oral and inhalation toxicity (derived from animal tests), residue concentrations, and pesticide transfer into cigarette smoke.42
|
| SAFETY PROTOCOL DISSATISFACTION |
|---|
In March 1977, tobacco company representatives joined North Carolina State University researchers at the annual "Fate of Pesticide Residues on Tobacco" meeting.51 Sheets solicited comments on the 1972 toxicological safety protocol.52,53 RJRs James and PMs P. A. Eichorn recommended requiring more pyrolysis information.5355 Eichorn also suggested requiring more information on a pesticides transfer into cigarette smoke.55 Although such "stringent" requirements "could seriously limit a chemical companys interest in providing new compounds," Eichorn argued that they were necessary because of "the climate in which we work today."52 Eichorn may have been referring to the litigious climate in which tobacco companies operated.
At the April 1978 Fate of Pesticide Residues on Tobacco meeting, several tobacco company representatives reportedly stated that their companies would no longer conduct employee taste panels without first reviewing pesticide toxicological data.56 A Lorillard memo on this meeting indicated that
[t]he concern was less that harm might be done from pyrolysis products of untested pesticides than from unfavorable publicity should a smoker from the taste panel choose to bring suit against a tobacco manufacturer claiming damages from smoking a cigarette containing an unapproved pesticide.57
Someone at the meeting proposed that pesticide manufacturers assume responsibility for conducting taste panels.56,57
The following month, North Carolina State University hosted a meeting between representatives of RJR, PM, and Imperial Tobacco and several chemical companies, including CIBA-Geigy, DuPont, Union Carbide, and Mobil.58 An RJR memo described the chemical company representatives as initially "rather naïve about the entire process of smoking evaluations."59 After discussions, "[t]hey now appreciate that safety considerations are a real and legitimate concern."59 But for reasons not elaborated, chemical companies were unwilling to take responsibility for conducting taste panels. Instead, tobacco companies agreed to continue to do so, provided that chemical companies first supplied them with toxicological data.59 Sheets revised the 1972 safety protocol to reflect the additional information requested by tobacco companies (Table 2
, third column).43
This procedure appears to have been followed for several years.6062 However, an RJR review characterized it as unsuccessful.63 Chemical companies often failed to supply toxicological information; when they did, tobacco companies lacked the expertise to evaluate it.63(p139),64 At least 2 tobacco companies (RJR and PM) stated that if they lacked sufficient toxicological information, they did not permit employees to smoke experimental cigarettes.63(p139),65,66 According to RJR, this "inhibited the development of new pesticides for use on tobacco,"63(p121) presumably because without early feedback from tobacco companies, chemical companies hesitated to commit resources to a pesticide that might later be rejected because it negatively affected taste.
| THE TOBACCO-PESTICIDE WORKING GROUP |
|---|
In April 1983, after the Tobacco-Pesticide Working Group changed its name to the Tobacco Pesticide Committee (TPC), Sheets reported on a meeting he had with Duke University toxicologist Leon Golberg.73,74 Golberg had outlined his view of the role he would assume as consultant: he would interpret chemical company pesticide data for a committee composed of "the public-at-large"academics, lawyers, and industry representatives.73 This committee would make the decision on whether to proceed with taste panels.73 Golbergs proposed procedure was similar to the IRB policies established by the Department of Health and Human Services (formerly the Department of Health, Education and Welfare) in 1981, which required institutions receiving federal funding to establish IRBs composed of 5 members of varying backgrounds, including one outside member.75(p60)
The minutes of the meeting indicate that TPC members had not "expected Dr Goldberg to take this stand," of which they disapproved.73 They commented that "the sole purpose for employing a toxicologist was for him to determine whether it would be safe for the general public to smoke cigarettes treated with a particular pesticide under study [italics added]."73 Ultimately, Golberg chose not to work with the TPC, which identified another candidate, Lamar Dale, a private consultant (and former EPA toxicologist), who did not suggest forming an IRB.76 In their initial negotiations, the committee asked Dale to prepare a draft safety protocol.77,78
When Dale discussed this protocol with committee members (Table 2
, fourth column), they were concerned that some of the requested information would be unavailable, such as that on pyrolysis products and acute inhalation toxicity data.78 A PM memo explained that "[c]hemical companies . . . would like to know whether or not [candidate pesticides] could pass an . . . evaluation by smoking panels before getting involved in . . . toxicological studies."79 The memo also explained that the potential profit for tobacco pesticides was small and comprehensive toxicological testing expensive79; thus, chemical companies had little incentive to conduct tests early to satisfy tobacco companies. When a pesticide already had EPA approval for use on other crops, chemical companies would have fairly extensive toxicological data, but not pyrolysis data.80
Sheets discussed these problems with representatives of chemical companies Uniroyal and Union Carbide.81 They apparently raised no objections to supplying the information, so TPC decided to proceed.81 In April 1984, Sheets offered Dale the consulting toxicologist position.34 Before assigning him any pesticide reviews, however, Sheets asked Tobacco Institute lawyers to review liability issues.82
| LIABILITY ISSUES |
|---|
| NEW PESTICIDES NEEDED |
|---|
Some TPC members considered Dales safety protocol too comprehensive. One argued that it was "really a suggested list of requirements and not a total commitment to all its parts."86 At the next TPC meeting, ATCs Eugene Glock suggested adding to the protocol the following statement: "[t]he basis for deletion of specific information as suggested below should be explained with the submission of the information to the toxicologist. Under certain circumstances all the suggested information . . . may not be required [emphasis in original]."87 Dale reported that he had sent the protocol to a Shell Development Company scientist88; 6 weeks later, after receiving no response, he wrote to Sheets, "I hope the requirements did not frighten Shell away. I explained . . . [that they] were suggested and not to be taken as writ in stone [emphasis in original]."88
| A FLEXIBLE APPROACH |
|---|
Sometimes, when insufficient information was available from chemical manufacturers, the committee did not approve taste panels. For example, in April 1993, when a chemical company decided to register a Bacillus thuringiensisencapsulated endotoxin for use on tobacco without conducting allergenicity testing, the TPC advised against taste panels.96,97 The documents do not indicate whether individual companies followed this advice or chose to purchase the treated tobacco.
| INFORMED CONSENT POLICIES |
|---|
RJR consent forms for several employee taste panels conducted in 2000 that evaluated cigarettes made from tobacco treated with fungicides (o-ethyl phosphonate and azoxystrobin) and insecticides (emamectin benzoate and thiamethoxam) provided information on the nature of the test (evaluation of cigarettes containing a named pesticide about to be submitted to the EPA for approval) and the reason (taste appraisal).101104 They also assured employees that RJR toxicologists and an independent consultant had concluded that "there is no evidence for any potential adverse health effect from smoking cigarettes in this panel." By signing the consent form, employees affirmed that their participation was voluntary and took "full responsibility" for it.
Unlike RJR, PM does not appear to have created a human subjects research committee. In 1994, 2 company researchers devised toxicology testing guidelines for research involving humans.105 The guidelines suggested that a PM researcher consider pyrolysis, smoke chemistry, and acute toxicology studies before conducting employee testing of new cigarette components.105 Rather than establish an IRB, they recommended that an expert approve the research plan.105 Advice regarding informed consent was brief: "Informed consent can be a standard form (e.g., this is a novel substance, believed not to be harmful for intended use)."105 In 1995, PM established a Scientific Research Review committee to approve the scientific and ethical basis of company research.106 Although an early draft of its charter included subjective product evaluations under the committees purview, this was dropped in all subsequent versions.107112
In 1998, PM created an annual consent form to be signed by employee panelists.113 It explained that participation was voluntary and that experimental cigarettes had been judged by PM to "not pose risks different from those associated with commercial cigarettes under these experimental conditions."113,114 When PM employees participated in a panel, the taste evaluation form contained a small-print reminder of the voluntary nature of the test, but no other information.115 (We were unable to determine whether employees testing pesticide-treated cigarettes were given information on the pesticide under consideration.)
| DISCUSSION |
|---|
Another ethical issue is informed consent. While some have argued for an even more robust notion of informed consent,116 at minimum, it requires that the following conditions be met: disclosure, comprehension, voluntariness, and competence.117(p274) Disclosure generally consists of statements indicating that the subject is being asked to participate in research, the purpose of the research, a description of the procedures, and alternatives to participation.118 Disclosure also includes a description of foreseeable risks of participation, and any individual or societal benefits.118 PMs and RJRs consent forms were a patchwork of disclosure. Neither explicitly indicated that the employee was being asked to participate in research; rather, the employee would be involved in "evaluating" cigarettes. PMs form also left out important details, possibly including information on the pesticide being evaluated; it did, however, state that employees were free to discontinue participation at any time, information that was lacking on RJRs consent form. Neither PM nor RJR informed employees of possible risks or benefits, but instead provided reassuring statements regarding safety.
It is unclear whether tobacco industry employees understood the limited written information provided and were given sufficient time to decide whether to participate. While PMs consent form indicated that employee panelists were free to ask questions, the context in which this communication took place is unknown, including when and how questions were asked and answered, and by whom.
It is also unclear if participation by tobacco company employees was truly voluntary. Employees may be in an "implicitly coercive" research environment because to refuse participation could threaten their careers.119 Federal regulations recognize that research on special populations requires particular attention to ethical issues.120 Yet the TPC apparently never discussed ways to minimize coercion and ensure respect for employees autonomy, a key ingredient of the competence required to grant consent.116(p288) Voluntary participation also depends on ones ability to weigh the risks of participation without being unduly influenced by potential benefits. Although the tobacco industry does not appear to have offered many rewards to its employee taste panelists, other industries might.
While both the extent to which other industries conduct research using employees and the risks involved remain unknown, there is nothing in the employeremployee relationship that would provide ethical justification for conducting such research outside accepted standards. To ensure compliance with these standards, the tobacco industry and other industries, when conducting certain types of research, should be subject to the same federal regulations regarding human subjects that govern publicly funded research and FDA products research.
Specifically, industrial research involving experimental or increased quantities of ingested, inhaled, or absorbed chemical agents should be regulated. Some of this research is already subject to regulation. For example, the FDA requires that taste tests involving certain food ingredients above an FDA-established safety level or food-use pesticides unapproved by the EPA conform to its regulations regarding human subjects, which include IRB oversight and informed consent. Companies not subject to the FDA approval process should be required to adhere to federal requirements regarding human subjects before conducting flavor, inhalation, absorption, or toxicity tests in humans. (Exceptions could be made for taste tests of foods with increased levels of ingredients that are generally recognized as safe.) Just as industry should meet data quality standards recently instituted for publicly funded studies,121 so should it meet, in particular circumstances, the same ethical requirements as publicly funded research.
The National Bioethics Advisory Committee recommended in 2001 that an independent office be established to oversee research using human subjects in all segments of the federal government as well as the private sector.122(p6) This office could be charged with ensuring industry compliance with IRB and informed consent regulations, and with addressing flaws in the current IRB system, such as overwork, inadequate expertise, and conflicts of interest.122(p3),123
Managing conflicts of interest is particularly important in the context of industrial research, because internal reviewers might have for-profit incentives to approve research. One remedy proposed by the National Bioethics Advisory Committee is to ensure that at least 25% of the IRB is composed of individuals who represent participants perspectives, have no institutional affiliation, or have nonscientific interests.122(p12) Another option is to encourage companies to seek research approval from independent review boardsentities with no ties to the institution conducting researchthat are structured, like those in France and Denmark, so that they have exclusive, mandatory regional jurisdiction and accredited members, and are financed by fees paid by companies submitting protocols for review.124,125
Recently, in response to concerns raised by pesticide toxicity tests conducted on humans by pesticide manufacturers, Congress barred the EPA from evaluating such data until the agency establishes comprehensive ethical guidelines, including establishing an independent human subjects review board.126131 Thus, an additional category of privately funded research involving human subjects will be subject to some form of federal regulation. This appears to be an opportune time for public health professionals to encourage policymakers to treat other industrial research in a similar fashion.
| Acknowledgments |
|---|
We thank members of the University of California San Francisco Institute for Health Policy Studies writing seminar and the anonymous reviewers for valuable comments on earlier drafts of this essay.
| Footnotes |
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Contributors
All authors originated the study. P. A. McDaniel conducted the tobacco industry document searches, analyzed documents, wrote the first draft, and revised successive drafts. G. Solomon and R. E. Malone analyzed documents and reviewed, edited, and revised all drafts.
Accepted for publication August 28, 2005.
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69. Seltmann H. Corrected minutes Tobacco Pesticide Working Group. October 24, 1982. RJ Reynolds. Bates no. 504313291/3292. Available at: http://legacy.library.ucsf.edu/tid/cii58d00. Accessed December 9, 2004.
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72. Kroustalis CS. Fate of pesticide residues on tobacco: Tobacco Pesticide Working Group Committee. April 21, 1982. Philip Morris. Bates no. 2000330869/0871. Available at: http://legacy.library.ucsf.edu/tid/gmj35e00. Accessed December 9, 2004.
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74. Sheets TJ. For some time, concern about the potential hazard to smoke panels. April 12, 1983. RJ Reynolds. Bates no. 500909500/9502. Available at: http://legacy.library.ucsf.edu/tid/rbk18c00. Accessed February 25, 2005.
75. Sugarman J, Mastroianni AC, Kahn JP, eds. Ethics of Research With Human Subjects: Selected Policies and Resources. Frederick, Md: University Publishing Group; 1998.
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77. Dale LB. I have the following comments on the proposed changes in the "smoke panel taste evaluation of cigarettes made from pesticide treated tobacco." March 19, 1984. RJ Reynolds. Bates no. 505755786. Available at: http://legacy.library.ucsf.edu/tid/wvt05d00. Accessed December 9, 2004.
78. Seltmann H. Tobacco Pesticide Committee minutes of meeting. April 4, 1984. Philip Morris. Bates no. 2000330675/0676. Available at: http://legacy.library.ucsf.edu/tid/xoy61f00. Accessed December 9, 2004.
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80. Hausermann M. Legal liability of the Tobacco Pesticide Committee. February 20, 1985. Philip Morris. Bates no. 2000330657/2000330659. Available at: http://tobaccodocuments.org/bliley_pm/22570.html. Accessed December 10, 2004.
81. Sheets TJ. Draft of "smoke panel taste evaluation of cigarettes made from pesticide treated tobacco." April 18, 1984. RJ Reynolds. Bates no. 505346237. Available at: http://legacy.library.ucsf.edu/tid/kkh25d00. Accessed December 9, 2004.
82. Sheets TJ. It was a pleasure to see you again last week. May 22, 1984. RJ Reynolds. Bates no. 504750606. Available at: http://legacy.library.ucsf.edu/tid/qgu55d00. Accessed December 9, 2004.
83. RJ Reynolds. The combined meeting of the Industry Technical Committee and Tobacco Pesticide Committee. 1985. Bates no. 504968889/8894. Available at: http://legacy.library.ucsf.edu/tid/zdr35d00. Accessed December 9, 2004.
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85. Nystrom CW. Weekly activity report. January 1, 1985. RJ Reynolds. Bates no. 504973741/3744. Available at: http://legacy.library.ucsf.edu/tid/pyq35d00. Accessed December 9, 2004.
86. Seltmann H. Minutes of meeting. Tobacco Pesticide Committee. April 17, 1985. RJ Reynolds. Bates no. 505346223/6226. Available at: http://legacy.library.ucsf.edu/tid/gkh25d00. Accessed December 9, 2004.
87. Seltmann H. Tobacco Pesticide Committee of the Tobacco Workers Conference. Minutes of meeting. December 3, 1985. RJ Reynolds. Bates no. 505351346/1349. Available at: http://legacy.library.ucsf.edu/tid/hig25d00. Accessed December 9, 2004.
88. Dale LB. On Friday, January 10, 1986 I was contacted by Dr Linda Malley of Shell Development Company. March 3, 1986. RJ Reynolds. Bates no. 505346890/6891. Available at: http://legacy.library.ucsf.edu/tid/tah25d00. Accessed December 9, 2004.
89. Baron RL. Exposure/risk assessment associated with a flavor taste testing panel smoking cigarettes made with tobacco grown following agricultural treatment with CGA 215944. March 7, 1997. Brown and Williamson. Bates no. 144010691/0697. Available at: http://legacy.library.ucsf.edu/tid/hft11c00. Accessed January 13, 2005.
90. Baron RL. Sulfentrazone; a toxicological assessment associated with the risk to a taste testing flavor panel. February 2, 1996. Brown and Williamson. Bates no. 144010716/0721. Available at: http://legacy.library.ucsf.edu/tid/eft11c00. Accessed January 13, 2005.
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92. Gooden DT. Tobacco Pesticide Committee meeting. 37th Tobacco Workers Conference. July 30, 1996. RJ Reynolds. Bates no. 519064665/4666. Available at: http://legacy.library.ucsf.edu/tid/kkc01d00. Accessed December 9, 2004.
93. Gooden D. Tobacco Pesticide Committee meeting 38th Tobacco Workers ConferenceLexington, KY. January 12, 1998. Philip Morris. Bates no. 2073229661. Available at: http://legacy.library.ucsf.edu/tid/xnx27d00. Accessed April 5, 2005.
94. Baron RL. [Re-review of toxicity data.] March 28, 1997. Brown and Williamson. Bates no. 144010702/0703. Available at: http://legacy.library.ucsf.edu/tid/gft11c00. Accessed April 5, 2005.
95. Saunders S. Use of cigarettes treated with Cyhalothrin (Karate Insecticide) in smoke panel test. December 15, 1988. RJ Reynolds. Bates no. 506835277/5279. Available at: http://legacy.library.ucsf.edu/tid/bvq54d00. Accessed December 9, 2004.