The University of Waikato
Application for Ethics Approval
Faculty of Science and Engineering
Human Research Ethics Sub-committee (Social Sciences)
Application Instructions
This form should be used by FSEN/TEMS students or staff to request approval to
collect any data from human subjects in their research. Complete this form by deleting
any instructions under each heading and inserting your information. Note you should
read the Human Research Ethics Regulations 2008 prior to completing the application
(see http://calendar.waikato.ac.nz/assessment/ethicalConduct.html). Ensure that your
research supervisor has read through your application and approved its submission to
the ethics committee before submitting it.
When complete, submit one unsigned electronic copy of the application to the Chair
of the Committee, Dr Karsten Zegwaard (k.zegwaard@waikato.ac.nz). Please note
that all documents should be in one Microsoft Word file, including any appendices.
You will receive feedback on your application within three weeks of submitting it.
You will then be advised of any changes that may be required, and these should be
addressed. Once amendments have been made, submit an electronic copy to Dr
Karsten Zegwaard. You will then be advised if your application is approved. Once
your application is approved, and signed by you, the chair and (if applicable) you
supervisor, you may commence collecting data.
Any questions regarding whether an application is required for a study or on how to
complete the application can be emailed to Raewyn at r.oulton@waikato.ac.nz.
Last updated: 11-5-2015
The University of Waikato
Application for Ethics Approval
By FSEN/TEMS Students
Faculty of Science and Engineering
Human Research Ethics Sub-committee
1
Title of Project
2
Researcher(s) and Contact Details
a Name of applicant
State the name of the student researcher only and complete 2b – 2e below for
that person
b School/Department/Centre/Unit
c Contact Address
d Phone number
e Qualifications
f Relevant paper applicant is enrolled in (if applicable)
g Other personnel
List your research supervisor(s) and any co-researchers who may collect or
have access to data from human subjects in this study
Last updated: 11-5-2015
3. Research Design Proposal
The committee needs to see some detail about your research design so it can judge if
you have thought through all the ethical issues in your research. Describe your
research design in points 3a-c below.
a. Research Objectives
Insert a brief description of the research objectives of the project here (say a
paragraph). This may include your research questions.
b. Research Methodology
Insert a brief description of research methodology and choice of methods of the project here
(up to half a page)
c. Significance of Research Project
Insert a brief description of the significance of the project here (2-3 sentences)
Timetable of Events
Add dates where shown. You should allow three weeks to receive feedback on your
ethics application.
Date
Gain ethics approval
Date
Gather research data
Date
Analyse data
Last updated: 11-5-2015
4
Research Procedures
a Procedure for recruitment of participants
Indicate how you are going to recruit participants: include the steps that you
plan to take to recruit them, and how many participants you hope to recruit.
b Procedures in which research participants will be involved
Detail the procedures that you will be asking participants to engage in e.g.
interviews, questionnaires. Be clear as to which participants are doing what,
and how long their participation in each procedure is expected to take.
Include draft data collection instruments (including for example indicative
interview questions) in an appendix to this application.
c Procedures for handling information and materials produced in the course of
the research
Indicate how you will protect the confidentiality of the data you gather.
Normally you will state that any hard data will be kept in a locked space, and
any electronic data will be kept on a password protected device. You should
state that all data will be kept for a minimum of five years after collection
before being destroyed, as national laws require this.
Last updated: 11-5-2015
5
Ethical Concerns
a Access to participants
Explain how you will gain access to potential participants, including any
existing relationship you have with them. Indicate the steps you plan to
take to ask for permission for access (e.g., from parents, school principal or
Board of Trustees). You cannot assume you can gain access to research
participants without permission. If your study includes collection of data
from human subjects outside of New Zealand, you will be required to
follow the ethical practices under the University of Waikato Regulations,
where practicable, even if those requirements are not typical within the
other country. You must also consider whether the ethical practices in the
country of study require other steps to be taken that are different to what
might be required in New Zealand. You should outline any such steps here.
b Informed consent
You are required to ask for informed consent from all your research
participants. You must indicate here the written or verbal information
about the project and the participant’s proposed involvement that you will
provide to them, prior to asking their consent be involved. If you are
dealing with adults (includes children over 16) indicate how you will seek
their informed consent (e.g., in a covering letter that tells them about the
project and where necessary a signed consent form); if you are dealing
with children under 16 you will need to seek informed consent from their
parents/caregivers (by covering letter plus consent form), as well as the
children themselves if you feel they are old enough to understand what you
are requesting. In all cases consider what authorities you may also wish to
gain consent from for your participants’ involvement e.g. line manager,
school principal, Board of Trustees. Include all covering letters and
consent forms in an appendix. Examples of the format of these are
available by emailing r.oulton @waikato.ac.nz.
c Confidentiality
It is a principle of human ethics research that data gathered from
participants is kept confidential to them. Indicate here how you intend to
ensure this occurs. This must be advised to participants when gaining
informed consent. This may include use of pseudonyms for participants for
any data presented in publications.
d Potential harm to participants
It is a principle of human ethics research that participants experience no
harm from participating. Consider what harm your study may cause and
how you can minimise this. You need to acknowledge any time spent in
your study which may impact on a participant. Any time involvement must
be advised to participants when gaining informed consent.
Last updated: 11-5-2015
e Participants right to decline
It is a principle of human ethics research that participants must have the
right to decline to be involved in your study (be careful especially when
power relationships exist), and must also have the right to withdraw at any
time, without stating any reason or without impacting the person adversely.
This must be advised to participants when gaining informed consent.
f Arrangements for participants to receive information
As participants are contributing to your research, it is fair to keep them
informed about the study. Indicate here how this will be done. This often
involved proving interview transcripts to interviewees for verification
(where appropriate), or sending summaries of study outcomes.
g Use of information
Indicate here how you intend to use data collected from your participants
in publicly available outputs such as a thesis, conference presentations,
journal articles, etc. This must be advised to participants when gaining
informed consent.
h Conflicts of interest
Indicate here any conflict of interest you can see between any member of
your research team and any participant. If any is expected, indicate how
this will be dealt with in the study.
i Cultural sensitivity
If your study involves a context where your cultural background as a
researcher differs from that of any participants, their families or their
communities, then indicate what steps you will take to ensure that you
have addressed cultural sensitivity.
j Compensation for participation
Some form of compensation for participation is sometimes used in
research to recognise effort in participation, encourage return rates or
acknowledge cultural customs. Refer to the University Human Research
Ethics guidelines for compensation for advice if you are considering using
compensation. Indicate here if your study involves compensation.
k Procedure for resolution of disputes
Indicate here how any complaints about your study may be raised by
participants. This requires the mention of contacting you as researcher in
the first instance (give your contact details on letters of invitation), and if
the complaint is not resolved in that discussion, indicate that participants
can contact your chairperson/director (give their contact details on letters).
This must be advised to participants when gaining informed consent.
Last updated: 11-5-2015
6
Ethical Statement
The following statement must be included in your application and you are
expected to be familiar with the Regulations of 2008
(see http://calendar.waikato.ac.nz/assessment/ethicalConduct.html)
The project will follow the University of Waikato Human Research Ethics
Regulations 2008 and the ethical guidelines of the NZARE and include the
following. Informed consent of participants will be obtained, without coercion.
Exploitation (or perception of exploitation) of researcher-participant
relationship will be prevented. Privacy and confidentiality will be respected.
The participant will own the raw material collected, and their requests
regarding the material will be honored. Participation in the research will not
impact academically on the participants.
If your research involves schools or early childhood centres, you should
also be familiar with the Guidelines in Appendix 4 (see
http://www.waikato.ac.nz/research/unilink/ethics/human_ethics.shtml).
7
Legal Issues
a Copyright
Indicate here any steps that you may need to take to respect intellectual
property and copyright as specified in the Regulations of 2008
b Ownership of materials produced
It is a principle of human ethics research that participants own their own
raw data and the researcher owns their interpretation and analysis of data.
This must be advised to participants when gaining informed consent, and
also that in the event of a withdrawal by the participant, any data obtained
from them will be returned and not used in the study, where possible.
c Any other legal issues relevant to the research
Indicate here any other legal issues that you foresee
8
Place in which the research will be conducted
Indicate here in general terms the place(s) where the data will be gathered
from participants e.g. schools in the Waikato, participants’ homes, etc
9
Has this application in whole or part previously been declined or approved by
another ethics committee?
Indicate whether declined or approved, and if it has been, provide the
committee name and an explanation of any decline.
10
For research to be undertaken at other facilities under the control of another
ethics committee, has an application also been made to that committee?
If you are working with staff/students at another tertiary institution and will
be carrying out data collection there, you may need permission from their
ethics committee as well.
Last updated: 11-5-2015
11
Further conditions
State here: In the event of this application being approved, the undersigned
agrees to request approval from the FSEN Human Research Ethics subcommittee for any change subsequently proposed.
12
Applicant Request for Approval of Ethics Application
This should be signed by the applicant and their research supervisor only
after receiving feedback from the committee after the first electronic
submission, as per instructions on the front of this document.
As the applicant:
For the study described, I agree to follow the conditions as specified in this
application
Signed
Date
As the applicant’s research supervisor:
I am aware of this study and the
conditions under which it is proposed to
be undertaken
Signed
Date
The ethics application is approved
Signed on behalf of the Committee
(Chairperson of the Committee or their
nominee)
Date