Ethics and compliance
New Online Human Research Ethics Application and Review System
Important information for staff and students wishing to undertake a research project involving humans from January 2010 – please read:
All staff and students who wish to undertake a research project involving humans (including direct collection of data, accessing data from databases and/or collection of human tissues/samples etc) must apply for ethics approval from the University of South Australia's Human Research Ethics Committee using the Online Human Research Ethics Application and Review System (the Ethics System) from January 2010.
Prior to commencing your research, please consult your supervisor regarding possible ethics requirements.
- UniSA policies
- Ethical conduct in research, thesis writing and project reports
- Human research ethics
- Other research ethics approvals
- Data storage
- Forms and guidelines
- Research skills support
UniSA policies
The University has adopted a framework of policies spanning research ethics and compliance matters. All research conducted by members of the University, including HDR students, must conform to these policies. These policies are available from the UniSA Research policies website and include:
- Animal experimentation RES 3.1
- Authorship Policy RES 12.0
- Biological Hazards and Genetically Modified Organisms RES 4.3
- Guidelines for responsible practice in research RES 1.0
- Human research ethics RES 2.2
- Radiation Safety HR 29.1
- Research funded by tobacco companies RES 14.0
- Quality Assurance and Improvement in Higher Degrees by Research RES 15.1
For other policies, see Responsible practice in
research
Ethical conduct in research, thesis writing and project reports
You are working as members of the academic collegiate and therefore are expected to conduct yourself in an ethical manner in all aspects of your research and to give assurance that you will attempt to do so. Ethical conduct in research, thesis writing and project reports includes:
- working out appropriate relationships with your immediate family members. Research can place great strains on your partners and your children. It is important not to assume that those close to you will automatically give absolute priority to your research and pick up responsibilities you may find it difficult to continue to fulfil
- conducting yourself in relation to others with whom you have to interact at any stage in your research in an ethically appropriate manner. This includes your peers, supervisors, colleagues, research assistants, technical advisers and editors. It is important that you respect these people and their rights and do not use them in a way that benefits only you
- negotiating approval to conduct your research in various settings. Your research may take you into places where you have no automatic right to be, such as people's homes, work places, schools, libraries, etc. Where your data is being collected from such settings you are required to obtain consent. Written approval from institutions must be submitted with your proposal
- not presenting the ideas of others as if they were your own. See the section on Plagiarism
- not falsifying your data. There are hosts of subtle and not so subtle ways in which data can be falsified. It is important that you can be trusted to deal with the data you obtain with the utmost integrity
- not ignoring disconfirming data. There are many ways in which we can deliberately hide data we obtain which disconfirms or contradicts our research conclusions. Ethical researchers deal honestly with all the evidence within the limits of their skills.
Human research ethics
Higher degrees by research involving human participants must be conducted in an ethical manner and in accordance with University and government guidelines and policies on human research, in order to protect the researcher, the research participants and the University. Such research might involve the collection of quantitative or qualitative data through, for example, invasive or clinical procedures, interviews, audio or video taping of participants, surveys or questionnaires.
Principles
Some principles underlying human research ethics will confront you in different ways during the different stages of your research and thesis preparation. These issues include:
- Informed consent - where both informed and consent are equally important
- Non exploitation - that through your research and thesis or project you do not gain benefit at the expense of your participants or cause them any physical, economic, psychological, social, political or spiritual harm. Non exploitation can be particularly important in producing project artefacts which may involve artists, actors, technical assistants, etc
- Non coercion - that no pressure is exerted on any participants to participate and that participants will not be disadvantaged in any way by not participating or withdrawing consent. Participants must have the right to withdraw without offering you any explanation.
Please see Human research ethics (Research and Innovation Services) for more information about participant protocols and Ethical considerations under 'Section headings' guidelines for suggestions on addressing ethics in the research proposal (Writing the research proposal RESA Online workshop) (staff and student access only).
Gaining HREC approval
All HDR students intending to involve human participants or access medical records must obtain approval from the University's Human Research Ethics Committee (HREC) through the submission of an ethics protocol.
Ethics protocols provide HREC with information about the purpose of the research, the way in which the research is designed, how participants will be selected and what information they will receive about their participation in the research, how data will be recorded, reported and stored and the involvement of other institutions or Aboriginal communities in the research.
Some funding bodies require that ethics approval be obtained before an application will be considered for funding. There are certain categories of research, such as those involving Aboriginal and Islander participants that need approval from other bodies as well as HREC.
Students are advised to seek ethics approval for their research as early as possible in their candidature. Note that while there is no obligation to obtain ethics clearance before submitting your research proposal, your supervisor may suggest that you do so.
1. Prepare a submission
- Carefully read the University's webpages on human research ethics and consult your supervisor before you attempt to complete an ethics proforma.
- Guidelines for preparing ethics protocols are available from the Research and Innovation Services website.
- If you require any additional information or assistance, please contact the Ethics and Compliance Officer, Research and Innovation Services.
Your protocol submission must include a discussion of how you propose to ensure that your research involving human participants is ethical. This may cover:
- negotiating access to institutions in which the research is to be conducted
- ensuring the informed consent of human participants
- ensuring voluntary participation and freedom to withdraw without penalty
- validating information supplied by informants which may be used in the thesis
- guaranteeing confidentiality and anonymity
- guaranteeing security of data from unauthorised personnel both during and after the research.
Questions HREC will ask
The sorts of questions which approval panels and the HREC will consider include:
- Is the level of ethical discussion appropriate for the particular award?
- Are the safeguards put in place sufficient to ensure the ethical integrity of the research?
- Will human participants be adequately and appropriately informed about what their participation will involve and their rights?
- Are the safeguards regarding confidentiality, validation and anonymity adequate?
- Does the consent form(s) meet requirements?
- Are the expectations and rights of human participants adequately set out?
- Are the safeguards against exploitation adequate?
- Are the questions set out in the questionnaire and/or interview schedule relevant to the research topic?
- Are the questions such that they do not constitute any unnecessary invasion of privacy?
If the answer to any of these questions is not an unqualified 'Yes', then what amendments should be made?
2. Send your submission
Once complete, send the requisite number of copies to the Human Research Ethics Committee via your Supervisor. Your Supervisor must sign the protocol.
Other research ethics approvals
Animals
Compliance with animal ethics requirements is mandated under State legislation (Prevention of Cruelty to Animals Act 1985) as well as being a requirement of National Health Medical and Research Council (NHMRC), Australian Research Council and other research funding bodies.
Before you conduct any research involving animals, your supervisor must apply for clearance for the project from the Institute for Medical and Veterinary Sciences (IMVS) Animal Ethics Committee, of which UniSA is a participant. In addition to project clearance, each person working on the project must obtain an Animal User Permit through the Committee to conduct animal experimentation. You must also attend at least one annual training day held by the IMVS and University of Adelaide.
All applications for project approval must comply with the NHMRC Australian code of practice for the care and use of animals for scientific purposes (PDF file, 469kb) and you and your supervisor are required to sign a declaration that your work is in accord with the Code before submitting an application (so you need to download the Code and read it before commencing any work involving animals).
The Animal Ethics Committee and the RSPCA regularly inspect animal houses and from time to time visit experiments in progress.
The Animal Ethics Committee meets approximately every six weeks
throughout the academic year to consider applications, so you must ensure
that your applications are submitted on time for meetings, and in good time
for you to commence your research. Contact the
Ethics and Compliance Officer for details of the Animal Ethics Committee
schedule.
Hazardous substances
The Chemical Hazards Subcommittee and Institutional Biosafety Committee must approve the research or teaching involving the use of any toxic substances (chemical or biological). Areas that fall into this category include use of pathogenic micro-organisms falling into Risk Groups 3 or 4 of the Australian Standard (AS/nzs2243.3), radioactive substances, chemical substances (carcinogenic, teratogenic or highly toxic chemicals including cytotoxic drugs, carcinogens, heavy metals or chemicals with a ChemWatch chronic or acute health risk rating of 4, plus large volume use of chemicals with a risk rating of 3) and genetically manipulated organisms (GMOs) or gene technology procedures which are subject to Federal Government guidelines under the Gene Technology Act 2000 and the Gene Technology Regulations 2001, as outlined in the Office of the Gene Technology Regulator website
For detailed risk management information on chemicals, including Material Safety Data Sheets (MSDSs) and labelling requirements, visit the web-based version of ChemWatch (ChemGold II). Access ChemWatch (student and staff access only)
Forms and guidelines
Research and Innovation Services
- Ethics and compliance forms
- Human research ethics
- Animal experimentation
- Biosafety and gene technology
- Use of human tissue
- Plant, equipment, devices and pressure vessels
Other links
- Principles of ethical and safe research - Australian Code for the Responsible Conduct of Research
- Statement of authorship form - RTF (pc) and Word (Mac)
- Occupational Health, Safety and Welfare (UniSA)
Committees
For submission and contact details -
Ethics and compliance committees
Research skills support
RESA Online workshop -
Research ethics and compliance
(staff and student access only)