1 A Rough Guide to Applying for SIM Ethics Approval for your Research The HEC process is intended to ensure that you, your research participants, and the University are not put at risk. If your research objectives and methodology have been well thought through, the HEC process should not be onerous, and can help to clarify your objectives and achieve a better research outcome. This guide is intended to provide some hints and ideas on how to achieve this. Note that these are guidelines only. Every research project is different, and sometimes situations may arise where these guidelines don t apply. If in doubt, check the VUW Human Ethics Policy document for clarification. APPLICATION FORM GUIDELINES for Section 5 (Details) The guidelines focus on Section 5 of the Application Form because that is where most of the difficulties arise. (a) One paragraph will suffice. (b) Provide basic details of your data collection process: Interviews? how many people do you intend to interview? How long they are likely to take? Will they be audio recorded and transcribed? Survey? online or paper? If online, is it by email, or through a website? If paper, how will they be distributed and collected? What sample size is sought? How will you ensure it is a random sample from the target population? Focus group? where will it be conducted? How many are likely to be involved? How long will it take? Will it be audio (or video) recorded and transcribed? Observation? describe the situation you will be observing, including for how long and what you will be looking for. Will you be audio (or video) recording events and transcribing them? (c) One to two paragraphs will suffice. (d) Be quite specific about the kind of participants you are seeking (e.g. based on demographics, on where they work, on what they do, etc.) (e) Describe how you are going to find them and offer them the opportunity to be involved in your research. (f) Usually none. Note this is for assistance provided to participants to help them participate. Incentives to participate should be noted in (e) as part of the recruitment process. (g) Usually none. See comments to (f) above. (h) Usually none. However, if there are any, you need to describe them in detail. This might be an area where, if in doubt, you discuss it with the HEC Chair.
2 (i) (i) Usually Y. (ii) Usually N. Remember that attribution means explicitly identifying who has provided the information/opinion when writing up the report. If this is set to Y, then this will have to be made clear in the Information Sheet & Consent Form. (iii) Usually N. This refers to the raw data collected. The idea is that you will not release the raw data to other people (including other researchers) without express permission from the people who provided it. (iv) Usually Y. Regardless of your initial intentions, there is always a chance you may wish to publish your research in the future. (v) Usually Y if you are a student (e.g. PhD, masters, honours), in which case include a statement along the lines of supporting the completion of a course of study (specify the paper and/or the programme of study). (j) (i) Note that anonymous means, in practice, that you (the researcher) are unable to identify who may have provided any particular raw data collected. This is mostly set to Y for surveys, because they can be easily organised for anonymity. NOTE: Anonymous data collection usually gets through the HEC process faster! WARNING: Not all survey research is anonymous (e.g. if you are asking a participant the questions face-to-face, or if you ask an online participant to include their email address in their response). (ii) Note that confidential means, in practice, that the raw data a participant provides will not be shared beyond those already identified as researchers involved in the project (such as student supervisors). This is set to Y most commonly for data collection methods like interviews and focus groups. NOTE: Direct quotes in research reporting, for example, can be used, as long as they do not: reveal sensitive information about a person or organisation, or help identify a specific person or organisation. Otherwise, you either need to warn participants ahead of time that this could happen (via the Information Sheet/Consent Form), or seek retrospective written permission from the participants afterwards. (iii) Usually N. This option is set to Y when both anonymity & confidentiality don t apply (e.g. if you indicated in 5(i)(ii) above that you are planning to attribute opinions/information to participants when reporting). NOTE: If you want to indicate Y for some participants (e.g. a manager), but N for other participants (e.g. those working under the manager), then you need to explain this clearly. (iv) Usually N. If this does apply, you need to provide a detailed explanation. If written consent is not sought (apart from anonymous research), please explain, or discuss it with the HEC Chair first.
3 (k) (i) Usually Y for staff research, and N for student research. (ii) Usually Y for student research. (iii) Usually Y. This confirms that you will keep sensitive data confidential, and that you will ensure it will not be possible to identify participants and any organisations involved. NOTE: In practice, there may be some cases where this could be relaxed a little. For example: It may still be possible to identify participants through quotes in spite of your best efforts. In which case you can include a statement in your Information Sheet/Consent Form that says every effort will be made to prevent identification, but it may not always be possible. You might have permission to use an organisation s name, but not the employees you spoke to. This also needs to be stated in the Information Sheet/Consent Form. (iv) Usually not required. If in doubt, put in a brief explanation. (l) (i) Usually Y. (m) (ii) Usually Y. (iii) (a) Usually N ; (b) Usually Y, with recommendations of 2 years for student research and 5 years for PhD or staff research. (iv) Usually Y. (v) Usually doesn t apply, but if it does please explain. Same applies if data is not to be destroyed in the usual ways. Note that feedback refers to the provision of overall research results to the participants. Points to note include: (n) (i) Usually Y. Good practice is to provide a summary of the results, rather than a whole copy of the research report (which can be a little daunting especially for non-academics). For anonymous research, make it clear to participants where they can see the summary of results (e.g. on a website) and when they are likely to be available. Note that online survey software enables participants to separate any personal details they provide from the data they provide this means survey applicants can give contact details (like email addresses) for you to send them feedback without jeopardising anonymity. For research that is not anonymous, good practice would see the results summary automatically sent out to all participants (email is a useful way to do this), rather than asking them to request it. (ii) Usually Y. (iii) Usually Y for student research. NOTE: Where the research report includes the identification of participants or the organisation, or presents sensitive data, the student researcher may request an embargo on the research report so that the University Library does not make the report available online to the public. (iv) Usually N. However, staff should consider the possibility in some situations local case studies can make for very effective teaching materials.
4 GUIDELINES for Information Sheets What you need to include: 1. Use SIM s new logo (found on the SIM HEC website). 2. Main heading: something like Participant Information Sheet with subheadings identifying you and your project title. 3. Provide a brief description about your research project and its benefits (1-2 paragraphs). 4. A statement that this project has been granted ethics approval from the Human Ethics Committee. 5. Information about the participant s (voluntary!) involvement i.e. if they agree to participate, what do they need to do and how long is it likely to take? 6. Briefly explain the aspects of anonymity / confidentiality / attribution / identifiability that apply to your research data collection and reporting in terms of the data, the people, and any organisations involved. 7. If interview transcripts are involved, note that they will have an opportunity to review the transcripts for accuracy (this is good research practice). 8. Explain how the data collected will be stored and secured, and when it will be destroyed. 9. Provide an indication of what will happen to the research report and whether publications in journals/conferences may occur. 10. What feedback will be provided, including how and when. 11. Where appropriate, explain that they can withdraw from the research project as long as they do so by a specific date (set the date around the likely start of your analysis). If they withdraw, make it clear that they are not required to say why, and the data they have provided will be destroyed. a. IMPORTANT NOTE: If the participant was involved in anonymous research, or if they were part of an interactive data collection exercise (like focus groups), then withdrawal is not an option. 12. Finally, provide the name and contact details (telephone and email) of the researchers involved, including student supervisors. a. NOTE: the email address must be a Victoria University email address.
5 GUIDELINES for Consent Forms What you need to include: 1. Use SIM s new logo (found on the SIM HEC website). 2. Main heading: something like Participant Consent Form with subheadings identifying you and your project title. 3. A series of statements, written in first person form, indicating both what the participant understands about the research, and what the participant agrees to in terms of their involvement. They can be expressed within paragraphs, but listing them as separate points will improve clarity. Specifically, subject to variation in terms of the research method, they should typically include statements like: I have been given and have understood an explanation of this research project. I have had an opportunity to ask questions and have them answered to my satisfaction. I understand that I may withdraw myself (or any information I have provided) from this project, without having to give reasons, by e-mailing {{your VUW email address}} by the {{a specific date}}. [The date should be the same as in the Information Sheet.] I understand *Some statement about anonymity / confidentiality / attribution / identifiability this should match what is said in the Information Sheet]. I understand that the data I provide will not be used for any other purpose or released to others. I understand that, if this {{interview?}} is audio recorded, I will have the opportunity to review the transcripts for accuracy. The recording and transcripts of the interviews will be erased within {{X}} years after the conclusion of the project. 4. You may also include one or two check boxes for the participant to tick, regarding: a. If the participant would like to receive feedback [this should match your statement about feedback in the Application Form 5(m)]. b. If the participant agrees to an audio recording [where it applies]. 5. Finally, three fields the participant must complete: a. Signed: b. Participant Name: c. Date: