UTS HUMAN RESEARCH ETHICS COMMITTEE

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UTS HUMAN RESEARCH ETHICS COMMITTEE

• Applying for ethics approval

Susanna Gorman, Research Ethics Manager
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Guiding Ethical Principles
Research Ethics

• Lead to good, desirable or acceptable conduct
• Help to justify or explain our actions

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Research Ethics

• Protects rights and welfare of research
  participants
• Facilitates good research
• Protects researchers
• Protects institutions

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Basic ethical principles

• Integrity
• Respect for persons
• Beneficence
• Justice

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Integrity

• Guiding value for researchers
• Commitment to the search for knowledge,
  recognised principles of research conduct,
  honest and ethical conduct of research and
  dissemination and communication of results
  (NS1.1)

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Respect for Persons

• Regard for welfare, rights, beliefs, perceptions,
  customs and cultural heritage, both individual
  and collective, of persons involved in research
  (NS1.2)

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Beneficence

• Meaning to do good
• Responsibility to minimise risk of harm or
  discomfort
• Dignity and well being of participants takes
  precedence over expected benefits to knowledge
  (NS1.4)

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Justice

• Fair distribution of benefits and burdens of
  participation in research both for individuals
  and groups (NS1.5)

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Australian Health Ethics Committee

• AHEC oversees accredits ethics committees in
  Australia
• Under the umbrella of the National Statement on
  Ethical Conduct in Research Involving Humans (NS)
• http//www.health.gov.au80/nhmrc/publications/hum
  ans/contents.htm

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UTS Guidelines

• Available on UTS web page http//www.uts.edu.au/r
  esearch/policies/human.html
• Separate guidelines and policies for staff and
  students

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Students

• Where required, application submitted by
  supervisor on students behalf
• The University will not accept theses for
  examination unless necessary ethics approval(s)
  have been obtained
• The HREC cannot grant retrospective approval

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Program Approval

• Umbrella Application to cover a program of
  research
• Involves initial very detailed application,
  including Standard Operating Procedures (SOPs)
• Requires regular 6 monthly report
• Reapply for approval after 3 years

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Program application - continued

• Reduces workload for students, researchers and
  HREC
• Places greater responsibility control with
  supervisors students
• Avoids time delays which can be critical for
  students in particular
• SOPs of benefit to students

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What the HREC needs to approve an application

• Sufficient detail of the research design
• Ethical issues considered and addressed
• Attachments
• Signed original 15 copies

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Ethics Form

• Available on web http//www.uts.edu.au/research/
  policies/human.html
• Should be completed electronically
• Every question must be answered

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Ethics Form

• Designed to raise awareness of ethical issues
• General Information title, name, contact
  details etc
• Section 1 methodology and research design
• Section 2 research participants
• Section 3 data privacy

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Ethics Form

• Section 4 additional ethics issues
• Section 5 final checklist and attachments

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Appendices

• A Clinical Trials
• B Children
• C Language Cultural Considerations
• D Commonwealth Agency Records

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Section 1 Methodology research design

• Description of research aims, hypotheses,
  research design etc
• Literature review bibliography
• Appendix A Clinical Trial

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Section 2 Research participants

• Recruitment
• What research will involve
• Risk/harm
• Benefit/payment/compensation
• Deception
• Relationship between researcher and participants
  (students, employees, etc)

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Section 2 - continued

• Consent written/oral etc
• Appendix B - Children legislative requirements
  declaration
• Appendix C - Language and culture role of
  Jumbunna
• Involvement with other institution(s)

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Section 3 - Data

• Data collection
• Who
• What
• How
• Copies of survey instruments
• Database/personal records
• Data interpretation analysis

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Section 3 - continued

• Data storage
• Publication
• Privacy confidentiality(IPPs)
• Disposal
• Appendix D Commonwealth Records

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Section 4 Other ethical issues
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Section 5 - Final Checklist

• Signatures
• Attachments
• Consent form/information letter(s)
• Advertisements
• Translations of forms/letter/instruments etc
• External approvals (institutional, DET etc)
• Dean/Head of School approval to access students
• Letter of approval of candidature (students)

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Section 5 - continued

• Attachments
• Explanation of technical terms
• Appendices
• Signed declaration(s)
• Original and 15 copies of application and
  attachments
• Electronic copy

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Ratification of external approval

• Approval must be from an accredited HREC
• 4 copies of external application approval
  letter, plus UTS coversheet

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Consent

• Sample form at back of application
• Should be on letterhead (preferably UTS)
• Must contain UTS contact details for researchers
  (both students and staff)
• Must contain local contact if research conducted
  overseas
• Consent form and information sheet should be
  translated if necessary and both English and
  translated version provided

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Consent - continued

• Must explain research clearly
• Must identify students degree
• Must contain withdrawal information
• Must contain standard complaints paragraph

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Types of consent

• Written
• Oral
• Electronic
• Implied

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Ethical considerations

• Consent
• Cost/benefit
• Confidentiality/anonymity
• Cultural considerations
• Children
• Care
• Communication
• Commercial interests
• Conflict of interest

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Ethical considerations - continued

• Collection of data
• Control of data
• Consultation
• Consequences
• Complaints
• Commonsense

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Research in another institution

• Consider institutional requirements re
• written approval
• access to staff/students/clients
• ethics considerations
• publication/confidentiality

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Language/culture

• Local contact (if overseas)
• Language translation
• Community considerations negotiating consent
• Indigenous community issues

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Work-based research - issues

• Power imbalance
• Stability of job situation
• Ownership of access to data
• Commercial considerations
• Publication
• Possible outcomes

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Educational research - issues

• Power imbalance
• Paramount responsibility to students
• Parental involvement/approval
• Publishing of results
• Possible outcomes
• Privacy

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Research involving children

• NSW Legislation
• Protection of children
• Consent from both parents and children

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Available Assistance

• Supervisor
• Research Ethics Officer/Manager available to
  answer questions
• Guidelines also available on web

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Contact Details

• Hadiza Yunusa
• Research Ethics Officer
• Research Innovation Office
• Level 7, Tower Building
• Ph 02 9514 9615
• Email Hadiza.Yunusa_at_uts.edu.au
• http//www.uts.edu.au/research/policies/human.ht
  ml

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Contact Details

• Susanna Gorman
• Research Ethics Manager
• Research Innovation Office
• Level 7, Tower Building
• Ph 02 9514 1279
• Email Susanna.Gorman_at_uts.edu.au
• http//www.uts.edu.au/research/policies/human.ht
  ml

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Useful References

• UTS Web page
• http//www.uts.edu.au/research/policies/human.ht
  ml
• National Statement on the Ethical Conduct of
  Research Involving Humans
• http//www.health.gov.au/nhmrc/publications/synops
  es/e35syn.htm

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Useful references continued

• Australian Institute of Aboriginal and Torres
  Strait Islander Studies
• http//www.aiatsis.gov.au/
• NSW Department of Education and Training
• http//www.det.nsw.edu.au/aboutus/index.htm