Ethical Conduct of Research – Academic and Support Staff Policy

The UTS Human Research Ethics Committee (HREC) was established to ensure that all research undertaken by staff and students of this University conforms to the highest ethical standards. The Committee conforms to the guidelines of the Australian Health Ethics Committee (AHEC), which is a principal subcommittee of the National Health and Medical Research Council (NHMRC). The role of the HREC, and the ethics review process, is to protect the interests of human participants of research, researchers, and the University, and to facilitate and enhance the research process within the University.

It is important that researchers recognise the debt they owe to those people who agree to be participants of research, and respect them accordingly. This will include a respect for their right to protection of their privacy, protection from embarrassment or intrusion, and protection from any harm.

When to seek ethics approval

The HREC has developed policy and guidelines in consultation with members of the University community. These documents are intended to assist researchers in deciding whether or not they need to seek formal ethics approval for their research and to instruct staff on acceptable ethical practice in research. These guidelines complement the existing HREC Policy and Guidelines for Students. (The HREC Policy and Guidelines are available at HREC Policy and HREC Guidelines.)

Research can be defined as the processes and outcomes associated with the creation, organisation and dissemination of new knowledge and with the application of existing knowledge in innovative ways (1). Research can also involve the systematic collection of data involving people, where there is a reasonable expectation of privacy. The HREC is concerned with research which involves humans as participants or involves issues of privacy, such as access to identifiable records where there is an intention to publish the results of the research. Such research includes strategies such as questionnaires, focus groups, observation studies, access to private or confidential information, surveys and physically invasive procedures.

Not all research involving humans (2) will require formal ethics approval from the HREC, although it may require approval at a Faculty or Divisional level. In fact, one of the major purposes of this document is to identify research which does not require HREC approval. However, regardless of whether formal ethics approval is required, all research conducted by UTS staff or students and involving humans must adhere to HREC policy guidelines, including the relevant NHMRC statements and guidelines (3), the Privacy Principles and the Joint NHMRC/AVCC Statement & Guidelines on Research Practice (4). All University research must also conform to the Occupational Health and Safety Act and Regulations, UTS Environmental Health and Safety (EHS) policy and procedures and any other relevant professional guidelines (e.g. Australian Nursing Council Code of Ethics for Nurses in Australia, etc.).

1. Students

Please refer to the separate policy and guidelines for more information relating to the conduct of research by UTS students. The complete UTS HREC Policy and Guidelines for Students may be accessed on the web at:

• HREC Policy for Students
• HREC Guidelines for Students

Students will generally require formal ethics approval when their research involves humans, and is being conducted as the major component of their degree (i.e. doctoral students, Masters by research). In such cases the supervisor submits an application in conjunction with the student. Approval by the HREC is a safeguard for supervising staff. It ensures that work done by students under the name of the supervising staff member is scrutinised by an independent body.

Where the student has received approval from an external ethics committee, she/he will still be required to seek ethics approval from UTS. This is because the supervisor is responsible, and the application is submitted in his/her name on behalf of the student.

Research being conducted as a project by Honours and coursework students would not normally come before the HREC unless there is a particular reason. Such reasons would include the possibility or likelihood of harm to participants or vulnerable groups and communities, etc. The HREC encourages faculties to establish mechanisms for determining whether or not formal ethics approval is necessary for individual student research projects. The UTS HREC is happy to provide assistance in this matter.

2. Staff

2.1 Formal ethics approval is required when the research involves humans as subjects or participants AND:

1. may involve significant risk for the participant, researcher, or institution
2. involves direct interventions with humans which may have significant consequences for them or cause awkwardness, embarrassment or distress, (e.g. questions about sexuality or cancer could have significant effect on some people because of their own or family experience), changes of treatment protocols, teaching interventions, etc.
3. involves significant issues of privacy (e.g. access to medical, staff or student records or the collection of sensitive information)
4. involves another institution which requires formal ethics approval from UTS (e.g. schools, nursing homes, etc.)
5. involves significant ethical issues, for example, conflict of interest, deception, etc.
6. involves subjects with whom the researcher has an existing or prior relationship which may be open to exploitation, such as student, employee, or family member
7. when the relevant professional codes require such formal ethics approval.

2.2 Formal ethics approval is NOT required when:

1. there is little possibility of harm, whether physical, personal, psychological, financial, political or social, resulting to participants

AND where at least one of the following conditions also apply:

2. the research is anonymous (i.e. the identity of the subject/participant has no possibility of being known to the researcher and therefore names cannot be recorded or disclosed – see explanation of terms below) or confidential (i.e. the identity of the subject/participant is known only to the researcher and will not be disclosed to anyone else without the subject's consent)
3. the subject matter being investigated is a matter of public record
4. the research is purely for normal evaluation purposes, such as teaching evaluation.

Note: Some activities, such as investigative journalism, will involve interviewing people and collecting information but are not "research" as such. Activities such as these may be more readily dealt with through the appropriate professional codes and guidelines (e.g. the MEAA Code of Ethics).

2.3 Regardless of whether or not formal ethics approval is required, the researcher should:

1. adhere to the University guidelines, including EHS policy and procedures, the joint NHMRC/AVCC Statement & Guidelines on Research Practice, the Commonwealth Privacy Act (1988), the National Health and Medical Research Council Statement on Human Experimentation, (5) and any relevant professional codes and guidelines (6)
2. place the research in context through a review of relevant literature, where appropriate, to demonstrate competence in the area of research to be undertaken
3. plan the research carefully so as not to waste time of participants, e.g. ensure the information sought is relevant and necessary for the research
4. plan the research carefully so as to minimise any adverse consequences for the subjects/participants (e.g. minimise disruption, intrusion, risk, discomfort, etc.)
5. identify themselves as either staff or students of UTS
6. provide sufficient information to participants so that they are informed about all relevant aspects of the research
7. obtain appropriate consent (see Appendix 2)
8. accept any decision by participants to withdraw from research projects at any time during the course of the project and without explanation
9. ensure that any information/data is recorded in accordance with the Privacy Principles (7)
10. ensure that confidentiality is maintained (i.e. ensure that any information obtained through the research is not divulged without permission of the subjects/participants)
11. reveal any financial or funding interest (such as commercial sponsorship) arising from the research to the HREC (if submitted for approval) and to participants/subjects
12. reveal any potential conflict of interest arising from the research to the HREC (if submitted for approval) and to participants/subjects
13. conform to the principles of natural justice (see Appendix 2).

3. Access to UTS students and staff

Formal ethics approval is also necessary whenever the research involves use of staff or students of UTS as respondents or access to their records, unless:

1. the research being undertaken is not a required part of subject, course, or employment
2. the research is anonymous and respondents will not be identifiable as a result of their participation
3. the researcher does not have an existing or prior relationship which may be open to exploitation, such as student–teacher or employee–supervisor.

All access to student records must be in accordance with UTS policy. The University's Policy on the Privacy of Student Records follows:

The University treats information on students as confidential and will only reveal such information with the permission of the student or where access is limited to staff required to fulfil the legitimate and authorised purposes of the University ... (4.2) Neither academic supervisors nor any other persons have a right to access any information which is irrelevant to the job needs of the person seeking the information.

(see Appendix 2 for more detail).

In all instances where research is conducted using staff or students of UTS, approval must be obtained from an appropriate academic officer (e.g. the Head of the academic unit, the Associate Dean (Research), Dean, Faculty research committee, etc.).

4. Supporting documents

Appendix 1 Responsible Research Practice

Appendix 2 Explanation of Terms and Notes Relating to Ethical Conduct of Research

Footnotes:

1. Taken from the UTS Research Management Plan, 1996–1997.
2. Note: 'Human' in this context includes individuals, communities, and institutions (e.g. school, companies, etc.).
3. See the NHMRC National Statement on Ethical Conduct in Research Involving Humans (also available in PDF format).
4. Refer to Research Office website for more information.
5. The Joint NHMRC/AVCC Statement and Guidelines on Research, a summary of the information Privacy Principles in Plain English, and the NHMRC Statement on Human Experimentation are available from the Research Office.
6. For example, the Australian Journalists' Association 'Code of Ethics', the Australian Psychological Society Ltd 'Code of Professional Conduct', the 'Ethical Guidelines for Research for the Australian Sociological Association',and the NHMRC National Statement on Ethical Conduct in Research Involving Humans.
7. Note: There are Privacy Principles in both the Privacy and Personal Information Protection Act 1998 and those in the Health Records and information Privacy Act 2002.

Last administrative update on this policy approved by: Professor Peter Booth, Acting Vice-Chancellor, November 2004