Code of Ethical Conduct for Research Involving Humans (fwd)

[Anne Nothof]

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Date: Fri, 24 Oct 97 16:45:01 MDT
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To: faculty at cs.athabascau.ca
Subject: Code of Ethical Conduct for Research Involving Humans (fwd)

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From: HSSFC Secretariat <fedcan at hssfc.ca>
Subject: Code of Ethical Conduct for Research Involving Humans

To: members of the general assembly of the Humanities and Social Sciences
Federation of Canada

From: Carole Gerson, Simon Fraser University


        If you have not had time to read through the Proposed Tri-Council
Code of Ethical Conduct for Research Involving Humans, I would like to
draw the following features to your attention before the response deadline
of 31 October.  It is particularly important for humanities researchers,
who may not be aware of the extent to which their research falls within
the scope of the Code, to realize its mandate. Please consider whether
adoption of the Code will allow you and your students to perform your
research "without unreasonable constraints."

        Please also note the CAUT response, as summarized in the October
1997 issue of the CAUT Bulletin (p. 8).  This draws attention to
potential restrictions on humanities and social sciences research (such
as public policy research and artistic criticism) that chould result from
the Code's concept of harmlessness, and from the Code's inclusive
approach to collectivities.

1)      Scope

"All research involving humans as research participants requires ethics
review. Research involves the systemic investigation to establish facts,
principles, or generalizable knowledge." (Part I, p. 3)

"In any situation where there is uncertainty as to whether ethics review
is required, the REB [research ethics board] must be consulted." (p. II-1)

For the full scope of the Code, see p. II-1 of the published document,
which is too long to reproduce here.


2)   Research Ethics Boards (REBs)

Each institution must have at least one Research Ethics Board that is
responsible for reviewing all research involving humans conducted at the
institution (regardless of funding source, intended audience, etc). The
Board must include 5 members, including one lawyer, one member of the
general community, and "one member knowledgeable in the discipline of
ethics." (Article 2.3, p. II-3)

"The primary tests to be used by REBs should be ethical probity and
scholarship." (p. II-5)

" ... departmental REBs normally are not acceptable." (p. II-4)

"REB decisions concerning research ethics must be reached in face-to-face
meetings, and must be based upon reviews of fully detailed research
proposals, or where applicable, progress reports." (Article 2.4, p. II-6)

        The Code advocates a "proportionate approach to ethics
assessment," which requies individual REBs to establish "an appropriate
threshold for normally accepted risk." (pp. 15-16)  While low-risk
proposals may be reviewed by a subcommittee, they must still be forwarded
to the REB for approval (p. II-5).

3)      The following must receive advance REB approval:

        Undergraduate research projects (p. II-5)

        Naturalistic observation (Article 1.10, p. I-11)

        Research using "private information obtained directly from
participants or from the secondary use of data that identifies them."  The
sole exclusion, for which REB approval is not required, is "access to
information in the public domain, including archival documents." (Article
3.1, p. III-2)

        Examples of research requiring REB approval include marketing and
consumer studies on preferred brands, and fleeting opportunity interviews
with visiting speakers or dignitaries, or with individuals connected with a
biographical subject.


4) Inclusiveness in Research

"Researchers must not discriminate against prospective or actual research
participants on the basis of culture, religion, race, mental or physical
disability, ethnicity, sex or age." (Article 6.1, p. VI-2).

See pp. VI-2 to VI-6 for elaboration of this section (Articles 6.2 to 6.6).


 --

Carole Gerson                   internet: gerson at sfu.ca
Professor                       phone:    (604) 291-4097
Dept. of English                fax:      (604) 291-5737
Simon Fraser University
Burnaby B.C. Canada V5A 1S6


Humanities and Social Sciences Federation of Canada
Federation canadienne des sciences humaines et sociales
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Tel:  (613) 238-6112 x311; Fax:  (613) 238-6114
Email/Courrier electronique:  fedcan at hssfc.ca