1. Ethical_Principles@AUT
The principles used by AUTEC in granting ethical approval for research.

2. Basic Values
A major problem within a multicultural and multivalent society:
How do we decide what is ethical in a society in which there are many competing, and conflicting, systems of values?

3. Basic Values
A basic set of values for social relationships in New Zealand are the three key principles of the Treaty of Waitangi, as defined by the courts and the Waitangi Tribunal:
Partnership
Participation
Protection

4. Aotearoa’s Basic Values
The next three slides show on the left the obligations as determined by the Courts and the Waitangi Tribunal under each principle for maintaining the social relationship between Maori and others in New Zealand, and on the right suggests how these may be used in building and maintaining ethical social relationships between researchers and participants

5. As a key value on which to build social relationships
Partnership
As a key value on which to build social relationships
Between Maori and Others
A duty to act reasonably, honourably and in good faith
Mutual benefit
Reciprocity
Between researcher and participants
A duty to act reasonably, honourably and in good faith
Mutual benefit
Reciprocity

6. As a key value on which to build social relationships
Participation
As a key value on which to build social relationships
Between Maori and Others
An equal status
The duty to consult
The right to self-management
The principle of mutual benefit
Between researcher and participants
Participant vs subject
Voluntary
The right to stop participating
Mutual benefit

7. As a key value on which to build social relationships
Protection
As a key value on which to build social relationships
Between Maori and Others
A duty of active protection:
Of language
Of Taonga
Of culture
Respect for Diversity
Between researcher and participants
A duty of active protection:
From harm
From coercion
From deceit
Respect for Diversity

8. The following ethical principles are those chosen by AUTEC to guide its decision making processes.

9. Please take the time to read the links on the following slides to sections of Applying for Ethics: Guidelines and Procedures as these contain AUTEC’s official statements about its principles and how it uses them.

10. The following slides also contain some tips based on issues arising from AUTEC’s previous consideration of applications. These are offered as additional assistance only and may not relate to your research.

11. AUTEC identifies two categories of principles. There are:
Seven Key Principles; and
Two Other Relevant Principles.

12. The Key Principles

13. Informed and Voluntary Consent
Section 2.1 of AUTEC’s Applying for Ethics Approval: Guidelines and Procedures

14. Informed and Voluntary Consent
Allow people genuine choice as to whether they join or stay in the research;
Let people know everything that will be involved beforehand;
Avoid giving participants surprises;

15. Informed and Voluntary Consent
Remember that you can only use information for the purpose for which it was given and inform people of all probable uses;
Ensure that information is given in appropriate language;
Always remember that by participating, people are helping you more than you are helping them.

16. Respect for rights of privacy and confidentiality
Section 2.2 of AUTEC’s Applying for Ethics Approval: Guidelines and Procedures

17. Respect for rights of privacy and confidentiality
Observe the Information Privacy Principles and the Privacy Act;
Keep the information safely secure;
Observe the Code of Health and Disability Users’ Rights;
Treat confidentially any information which is incidental to the research.

18. Minimisation of Risk
Section 2.3 of AUTEC’s Applying for Ethics Approval: Guidelines and Procedures

19. Minimisation of Risk
Try and evaluate risk from the participant’s point of view; your familiarity with your processes may reduce the level of risk that you associate with them.
Advise people beforehand about the possibility and probability of any risk;

20. Minimisation of Risk
Avoid unnecessary risk of harm to other people, one’s self, and the University;
Have a contingency plan;
Ensure involvement of, or access to, appropriately skilled people.

21. Truthfulness, including limitation of deception
Section 2.4 of AUTEC’s Applying for Ethics Approval: Guidelines and Procedures

22. Truthfulness, including limitation of deception
Remember to do what you tell people you’re going to do;
If you need to change something, let people know what you’re changing and why;
Use deception only when there is no other way to gain the data and even then, limit its use as much as possible.

23. Social and Cultural Sensitivity and Commitment to the principles of the Treaty of Waitangi.
Section 2.5 of AUTEC’s Applying for Ethics Approval: Guidelines and Procedures
See also the appropriate Frequently Asked Questions article

24. Social and Cultural Sensitivity and Commitment to the principles of the Treaty of Waitangi.
Respect difference by acting differently;
Be aware that consultation is also part of the initial planning stage of research;

25. Social and Cultural Sensitivity and Commitment to the principles of the Treaty of Waitangi.
Be familiar with the principles of the Treaty of Waitangi;
Communicate appropriately and politely.

26. Research Adequacy
Section 2.6 of AUTEC’s Applying for Ethics Approval: Guidelines and Procedures

27. Research Adequacy Your research must have clear goals;
Your research method must enable these goals to be achieved;
Your research needs to be sufficiently significant to justify the participation of other people (remember to take your education into account when evaluating this factor).

28. Avoidance of Conflict of Interest
Section 2.7 of AUTEC’s Applying for Ethics Approval: Guidelines and Procedures

29. Avoidance of Conflict of Interest
It is preferable to invite people who are not in a dependant relationship to the researcher to participate in the research;
The role of funding is to enable the research, not to influence the research outcome;
Use appropriate means to prevent conflicts of interest arising, e.g. third party involvement etc.

30. Other Relevant Principles

31. Respect for the Vulnerability of Some Participants
Section 2.8 of AUTEC’s Applying for Ethics Approval: Guidelines and Procedures

32. Respect for the Vulnerability of Some Participants
People may be vulnerable because of their age, disability, health status or some other reason;
Be familiar with the difference between consent and assent and be sure to obtain both when applicable;

33. Respect for the Vulnerability of Some Participants
Make the effort to be familiar with any special guidelines relating to particular groups to which people involved in your research belong.

34. Respect for Property including University property and intellectual property rights.
Section 2.9 of AUTEC’s Applying for Ethics Approval: Guidelines and Procedures

35. Respect for Property including University property and intellectual property rights.
Be aware of and respect legal or culturally determined property rights;
Obtain the necessary permissions before using that which belongs to someone else;
Ensure that your research enhances the reputation of the University.

36. Some additional thoughts on how to achieve ethical research

37. Ethical considerations apply from the start
“The beginning is the most important part of the work.”
Plato, The Republic Greek author & philosopher in Athens (427 BC BC)

38. Our fellow human beings are involved as participants with us in our research.

39. No human being is a means to an end but is always an end in themselves.

40. Ethics lives in Diversity
Many Values
Many Cultures
Legal and Social Responsibilities

41. For research to be ethical:
The goals of the research need to be ethical; and
The ways in which these goals are achieved need to be ethical; and
Both the goals and the ways in which they are achieved need to be seen to be ethical.

42. Always do right – this will gratify some and astonish the rest
Mark Twain

43. Further Information (click on the links)
The Ethics Knowledge Base - a comprehensive online resource available through
The Ethics Coordinator