1. Ethical Standards for Conducting Research at Unitec
Unitec New Zealand
Ethical Standards for Conducting Research at Unitec
Guidelines and Information for research at Unitec
Prepared by Unitec Research Ethics Committee (UREC)
© Unitec New Zealand

2. Why conduct ethically-sound research?
Unitec New Zealand
Why conduct ethically-sound research?
Moral obligation
Credibility
Legal requirements
Consequences
With ethics approval:
secure legal position (researcher and Unitec indemnified)
ACC & professional coverage
Completion of dissertation / thesis
Without ethics approval:
researcher, supervisor or even Unitec accepts legal liability
professional misconduct
inability to publish (not always)
failure to meet dissertation/thesis requirements
© Unitec New Zealand

3. Ethical considerations apply when…
Unitec New Zealand
Ethical considerations apply when…
Humans (or animals) are used as participants in projects involving:
questionnaires, interviews, focus groups
clinical trials (medical intervention)
some observational studies
bodily tissues and fluids are collected
treatments or exercises applied
genetic modification
use of personal, non-public information
using property/material which is culturally, historically or spiritually significant
depiction of people in creative works
© Unitec New Zealand

4. What UREC do... Our MAIN ROLE is to protect the research participants
Unitec New Zealand
What UREC do...
Our MAIN ROLE is to protect the research participants
PRIOR APPROVAL must be SOUGHT and GAINED before research can commence
We consider ALL aspects of the research
Note: it is possible to make changes to approved applications but the researcher must apply to UREC to have the amendment approved. An amendment judged to be significant by UREC may require a new application
© Unitec New Zealand

5. What are the principles of ethically sound research?
Unitec New Zealand
What are the principles of ethically sound research?
informed and voluntary consent
doesn’t breach privacy
minimisation of physical and emotional harm
cultural and social sensitivity
limitation of deception
respects intellectual and cultural property ownership
avoids conflicts of interest
adequate research design to meet objectives
© Unitec New Zealand

6. Unitec New Zealand
Informed Consent
Informed consent and ability to withdraw involvement/data
Special concern for:
Children as participants – parental & child consent? (Note that there is no set age of consent – depends on child’s ability to give informed consent)
Participants in relationship with researcher where researcher can exercise power over the participant e.g. teacher-student, doctor-patient, principal-teacher
Other vulnerable subjects
© Unitec New Zealand

7. Anonymity & confidentiality
What is collected?
Who else has access to data or personal information?
Where is the information stored?
Note: provisions of the Privacy Act 1993 and any associated codes e.g. The Health Information Privacy Code
Anonymity is when no information is collected about the person’s ID
Confidentiality is when it is known but remains unrevealed
© Unitec New Zealand

8. Specific but common ethical issues (1)
Unitec New Zealand
Specific but common ethical issues (1)
Cultural awareness
Maori involvement
Intellectual and cultural property
Research involving participants of a specific ethnic group
Dealing (personally and collectively) with other cultures
Sample size
Recruiting participants (bias)
Sensitive questions
e.g. Have you ever broken the law?
Are you using drugs?
What is your sexual orientation?
© Unitec New Zealand

9. Specific but common ethical issues (2)
Unitec New Zealand
Specific but common ethical issues (2)
Conflict of interest
eg. Sponsoring agency influences outcome
Researcher benefits from a particular outcome
Note: may be closely associated with bias in research design or process.
Starting before approval is granted
Intellectual property violation
© Unitec New Zealand

10. What then is the PROCESS for seeking approval?
Unitec New Zealand
What then is the PROCESS for seeking approval?
© Unitec New Zealand

11. Forms
Forms, support documents and templates for staff are found on the Unitec Intranet. For researchers these are on the Postgraduate & Student Resources Moodle site and the UREC Moodle site for external member reference
Ensure that applicants are completing the current form
Form A vs Form B (vs Form C)
Form B is for non-contentious anonymous surveys - read by 1 reader.
Form A is for all other applications - read by 3 readers.
Form C is a blanket approval for a paper with a research component
Applicants are Unitec staff, undergraduate and postgraduate students
© Unitec New Zealand

12. What should be included?
Application form
Information sheet – with sufficient information provided to allow for informed consent
Consent form (not required for anonymous survey as consent given by completion of survey)
Questionnaire, Interview material
Organisational consent to recruit and/or research within the organisation if researcher is recruiting and/or carrying out research at a particular organisation (e.g. company, school, hospital, etc) good template available for use in this situation
Any other supporting documentation
© Unitec New Zealand

13. Process Principal researcher (applicant)
Unitec New Zealand
Process
Principal researcher (applicant)
applies for ethical approval (students should do this with supervisor)
Supervisor (for student research)
guides and informs student researcher
signs application
Head of Department
Completed forms submitted to research office by required date.
UREC ( Unitec Research Ethics Committee)
evaluates ethics applications and informs applicant of decision
© Unitec New Zealand

14. Process Form A - Readers
Research office allocates readers to applications by about 10 days ahead of each UREC meeting
Form A has 1 primary reader, 2 secondary readers
Secondary readers try to respond to primary reader within 2 days, where possible. A carefully prepared application will facilitate this process
Primary reader compiles comments from all readers and s the researcher with avaialable information AND advice that more comments might be coming
Researcher makes required/requested amendments, sends back to primary reader
The WHOLE committee then considers the application and changes
© Unitec New Zealandinitially

15. Process From B - Readers
Form B has one reader.
Is normally fairly straight forward and can be approved quickly
Often noted at meeting with little discussion unless any issues have arisen
© Unitec New Zealand

16. Readers contacting researchers
Readers undertake to:
Be polite, summarise comments in a logical order
provide a contact phone number where appropriate recognising that discussing the application is normally much faster than ing
In extreme cases may choose to meet with the researcher (easier for internal members)
Notes:
Often, all that is needed is more explanation or detail from the researcher
With students, the researcher will ensure that the supervisor is involved in all communication (CC s etc)
© Unitec New Zealand

17. At the UREC meeting
The committee members work through the applications
Give brief summary
Ask for discussion
Make a recommendation
Possible Recommendations:
Approve - all okay, research can start
To be ratified (TBR) - if only minor changes required, committee gives delegated authority to the primary reader to approve between meetings, researcher can start, then committee ratifies the decision at the next meeting
On hold - large changes to be made. Re-reviewed at next meeting
Decline
© Unitec New Zealand

18. What readers & UREC look for
Ethical issues
Following the principles previously discussed
Procedural issues
All forms completed and submitted, Unitec logo, standard ethics statement on info and consent form, organisational consent
Other
Study design* (on an ethical basis), spelling, communication etc.
* We are not trying to tell researchers how to conduct their study, but wasting participant time (or worse) with poor research is part of our mandate.
© Unitec New Zealand