79C3C34C52B45572883A05D425EB0F82
UWI Policy on Research Ethics
https://sta.uwi.edu/research/sites/default/files/research/documents/UWI-Policy-Research-Ethics.pdf
http://leaux.net/URLS/ConvertAPI Text Files/222F3A39F3A49A8F6CD206D91B71C3FC.en.txt
Examining the file media/Synopses/222F3A39F3A49A8F6CD206D91B71C3FC.html:
This file was generated: 2020-12-01 09:10:30
| Indicators in focus are typically shown highlighted in yellow; |
Peer Indicators (that share the same Vulnerability association) are shown highlighted in pink; |
"Outside" Indicators (those that do NOT share the same Vulnerability association) are shown highlighted in green; |
Trigger Words/Phrases are shown highlighted in gray. |
Link to Orphaned Trigger Words (Appendix (Indicator List, Indicator Peers, Trigger Words, Type/Vulnerability/Indicator Overlay)
Applicable Type / Vulnerability / Indicator Overlay for this Input
Political / Captive/Exiled Population
Searching for indicator captive:
(return to top)
p.000011: who are: legally incompetent (e.g. minors); significantly mentally ill or impaired; imprisoned persons, residents of a
p.000011: nursing facility, or persons who are in any other way involuntarily confined. The categories are also not exempt if
p.000011: students of the University of the West Indies are subjects of the research being conducted.
p.000011:
p.000011: It is the responsibility of the Principal Investigator to consult with the Dean (or Director in the case of Centres
p.000011: and Institutes), and if so advised with the Chair of the Campus Research Ethics Committee, to determine
p.000011: whether any proposed study meets the criteria for exemption from review.
p.000011:
p.000011: 9.2 Full Reviews
p.000011:
p.000011: Full Reviews will be carried out for all proposals involving invasive or experimental research on live
p.000011: animals, for all research which involves the capture and harvesting of endangered species, and for all research
p.000011: in where there is potential for significant negative environment impact.
p.000011:
p.000011: Full Reviews will also be carried out for all research using human participants in which there is more than minimal
p.000011: risk to the participant(s), which involve the withholding of information on the objectives of the research or
p.000011: the methodology to be used from the participants, which involve participants that are members of a vulnerable
p.000011: or captive population, or in which there is potential for significant negative impact on human groups that are not
p.000011: themselves the subjects of the research. Full Reviews will also be conducted where these are required by the
p.000011: funding agencies to which the proposals will be submitted.
p.000011:
p.000011: A Full Review requires the in-person convening of the relevant Campus Research Ethics Committee, which is required to
p.000011: render a decision on all submissions (see Article 9.4). Information requirements for research proposals in applications
p.000011: for ethical approval are provided in Appendix 3 of this document, and the additional information requirements when the
p.000011: research involves the use of live animals are provided in Appendix 4. Information requirements necessary to obtain
p.000011: Informed Consent of participants are provided in Appendix 5.
p.000011:
p.000011: The results of all Full Reviews will be submitted semi-annually to the UWI Committee on Research Ethics.
p.000011:
p.000011: 9.3 Expedited Review
p.000011:
p.000011: Expedited Reviews of proposals involving invasive or experimental research on live animals, research on
p.000011: endangered species, or research with significant potential environmental impact, may be conducted
p.000011: when the researcher is making minor modifications to a research project that has already received full approval.
p.000011:
p.000011:
p.000012: 12
p.000012:
p.000012: Expedited Reviews of research proposals involving human participants may be conducted when the Chair of the Campus
...
Political / Criminal Convictions
Searching for indicator prisoners:
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p.000028: of the child as long as the child is old enough to understand the principle of consent. Older children should be
p.000028: encouraged to sign the consent form with their parent or guardian. The researcher should also clearly explain to
p.000028: younger children that what they are doing is voluntary and that they could refuse to take part or withdrew if they
p.000028: wish. Even in cases where parental consent is obtained, researchers should not coerce children to continue
p.000028: participating in the absence of the child's assent. Assent is not required for essential medical treatment if parental
p.000028: consent for treatment is in place.
p.000028:
p.000028: 6. Specific Considerations For Research With Vulnerable Populations
p.000028:
p.000028: Campus Research Ethics Committees at UWI must make every reasonable effort to consider and protect the
p.000028: unique needs and rights of vulnerable groups, including, among others, prisoners, persons with disability, persons with
p.000028: reduced capacity for consent, and pregnant women. When considering projects involving vulnerable groups, Committees
p.000028: should make every effort to consult with advocates or members of the relevant group to inform the deliberations.
p.000028:
p.000028:
p.000028: 7. Research Involving Withholding Full Information on Research Objectives or Methodologies
p.000028:
p.000028: Certain types of research in certain disciplines, e.g., psychology, may require the withholding of full
p.000028: information about the objectives of the research from the particpants. In such cases, the researcher may request the
p.000028: use of a modified Informed Consent form. In other types of research, it may be necessary to conduct surveillance (e.g.
p.000028: criminological research).
p.000028:
p.000028: The Campus Research Ethics Committee must pay particular attention to these cases. Where it is established that
p.000028: this type of research will contribute to knowledge and understanding, the researcher is expected to justify
p.000028: that alternative procedures are not available or feasible and that the withholding of information is integral to the
p.000028: viability of the research. The researcher is still expected to obtain the participant‟s consent and to
p.000028:
p.000028:
p.000028: 5 Ibid p.20
p.000028:
p.000029: 29
p.000029:
...
Political / criminal
Searching for indicator criminal:
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p.000009: or human groups that are not themselves the subjects of the research. The mandate, responsibilities and
p.000009: composition of the Campus Committee are provided in Appendix 2 of this document.
p.000009:
p.000009:
p.000009:
p.000009:
p.000009:
p.000009:
p.000009:
p.000009:
p.000010: 10
p.000010:
p.000010: 9. The Research Ethics Review Process
p.000010: 9.1 Exemptions from Review
p.000010:
p.000010: Proposals for research studies on live animals that are purely observational will be exempt from review.
p.000010:
p.000010: Proposals for research studies involving human participants will be exempt from review if they fall into any of the
p.000010: categories of research listed below:
p.000010:
p.000010: • Educational research involving normal educational practices, e.g. classroom instruction, strategies,
p.000010: curricula management techniques. This exemption does not apply in cases were school records of identifiable students
p.000010: are involved, or where teachers and instructors or other school personnel are interviewed about identifiable students.
p.000010:
p.000010: • Educational Tests and Measurements, e.g. diagnostic, aptitude and achievement tests. This exemption does not apply
p.000010: if the information, whether in the researchers‟ private data set or in a published form, could reasonably lead to the
p.000010: identification of the participants; or if the information disclosed outside of the research could place the subject at
p.000010: risk of criminal or civil liability or cause damage to the person‟s financial standing, employability or reputation.
p.000010:
p.000010: • Surveys or Interviews in which researchers‟ private data, field notes and published materials are so encoded that
p.000010: there is no likelihood that the identity of the human subjects will be revealed, will normally be exempt from review,
p.000010: unless the nature of the questions could clearly cause distress or even harm. Surveys and interviews of minors
p.000010: (children) are not exempted. Researchers conducting research in the Caribbean must therefore take into
p.000010: consideration the legal age of consent of children in the various islands and territories of the Caribbean.
p.000010:
p.000010: • Public Observation. All research involving the observation of public behaviour, including observation by
p.000010: participants, is exempted unless the observation is recorded in such a way that it can be linked to an
p.000010: identifiable human subject. However, sociological studies conducted on public personalities, such as authors,
p.000010: politicians and corporate leaders, or their work, are exempt, on the assumption that the resultant outputs will be
p.000010: guided by well established academic conventions of balance, good taste and fair play.
p.000010:
p.000010: • Existing Data. Research which involves the collection or study of existing data, documents, records,
p.000010: pathological specimens or diagnostic specimens is exempted if these are publically available, or if both the
...
Political / political affiliation
Searching for indicator party:
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p.000006:
p.000006: 5.4 Misuse of Research Funds
p.000006:
p.000006: Where a research funding body provides guidelines on the use of research funds, Principal Investigators and
p.000006: other researchers must adhere to these guidelines stringently. They must also follow all University guidelines and
p.000006: codes relating to the management and disbursement of funds. Should misuse of research funds occur, including the
p.000006: failure to account for funds, offenders will be subject to the disciplinary procedures of the University under
p.000006: Ordinance 8.
p.000006: 5.5 The Duty to Acknowledge Sources of Funding
p.000006:
p.000006: All public and private sources of funding, including grants, contracts and gifts, among others, used in the conduct of
p.000006: research should be acknowledged in resulting publications.
p.000006:
p.000006:
p.000006: 6. Ethical Treatment of Data
p.000006: 6.1 Definition of Data
p.000006:
p.000006: “Data” in this document is taken to include the actual research results, the analysis and interpretations by the
p.000006: researchers, and the methodology used to obtain the results.
p.000006:
p.000006: 6.2 Gathering of Data
p.000006:
p.000006: Data must be organised in a manner that allows ready verification, and must be gathered in accordance with the
p.000006: principles governing the use of human and animal subjects (see Articles 10 and 11).
p.000006:
p.000007: 7
p.000007:
p.000007: 6.3 Availability of Data
p.000007:
p.000007: Subject to exceptions based on a duty of confidentiality and the laws respecting intellectual property and
p.000007: access to information, after data are published, they must be made available to any party presenting a reasonable
p.000007: request to examine them. Where there is a disagreement between the researcher and the person requesting the data, the
p.000007: matter shall be referred to the School for Graduate Studies and Research for resolution.
p.000007:
p.000007:
p.000007: 6.4 Maintenance of Data
p.000007:
p.000007: All original data must be retained in paper or electronic format for at least five years from the date of publication.
p.000007:
p.000007:
p.000007: 7. Collaborative Research
p.000007: 7.1 Attribution of Authorship and Copyright Ownership
p.000007:
p.000007: Research collaborators should establish, as early as possible, the manner in which authorship will be
p.000007: attributed, as well as the allocation of copyright.
p.000007:
p.000007: 7.1.1 Rules for the Attribution of Authorship
p.000007:
p.000007: In the absence of an a priori agreement among researchers, the following rules will govern the attribution of
p.000007: authorship:
p.000007:
p.000007: (a) Authorship is attributed to all those persons, whether staff or students, who have made significant scholarly
p.000007: contributions to the work and who share responsibility and accountability for the results.
p.000007:
p.000007: (b) An administrative relationship to the investigation does not of itself qualify a person for co-authorship.
p.000007:
p.000007: (c) The order of the names in a publication is decided according to the quality of the contribution, the extent
p.000007: of the responsibility and accountability for the results, and the customs of the discipline.
p.000007:
p.000007: (d) The attribution of authorship is not affected by whether researchers were paid for their contributions or by
p.000007: their employment status.
p.000007:
p.000007:
p.000007:
p.000007:
p.000008: 8
p.000008:
...
p.000008:
p.000008: 7.2.1 The Duty on the Parties to Resolve Disputes
p.000008:
p.000008: When disputes between co-researchers arise, they should be resolved amicably, in a respectful and collegial
p.000008: fashion, and in good faith. Where a dispute cannot be resolved by the parties themselves, they should seek the advice
p.000008: of the appropriate authorities in their unit, who may help them resolve the dispute in any way in which the parties may
p.000008:
p.000008:
p.000009: 9
p.000009:
p.000009: agree, including conciliation, mediation, and binding and non-binding arbitration. To this end, the parties may agree
p.000009: that other persons become involved in the dispute in order to help facilitate its resolution. The parties may
p.000009: stipulate that their own involvement in any dispute resolution process is without prejudice to their rights in any
p.000009: subsequent process.
p.000009:
p.000009: 7.2.2 The Duty of the University to Facilitate the Resolution of Disputes
p.000009:
p.000009: Although the University has no obligation to ensure that disputes are resolved, since the resolution of disputes is
p.000009: ultimately subject to the will of the parties to the dispute, the University has a duty to help facilitate the
p.000009: resolution of disputes, in accordance with the guidelines below:
p.000009:
p.000009: • If the dispute is between individuals working under a Principal Investigator, the Principal Investigator will
p.000009: attempt to resolve the matter.
p.000009: • If the Principal Investigator is involved in the dispute, the Head of Department, or the Dean of the Faculty if
p.000009: staff from more than one Department is involved, should attempt to resolve the matter.
p.000009: • If the Head or Dean is involved in the dispute, or if any party involved in the dispute objects to the
p.000009: investigation of the Head or Dean, the Pro Vice Chancellor (Research) shall be informed and may either
p.000009: investigate the dispute and attempt to resolve it, or nominate a senior academic staff member, acceptable to
p.000009: the parties, who will attempt to resolve the matter.
p.000009:
p.000009:
p.000009: 8. Research Ethics Committees at the University of the West Indies
p.000009:
p.000009: The University of the West Indies Committee on Research Ethics is the University body responsible for developing,
p.000009: coordinating and ensuring the implementation of the University‟s policies and procedures for the ethical
p.000009: conduct of research. The mandate, responsibilities and composition of this Committee are provided in Appendix
p.000009: 1 of this document.
p.000009:
p.000009: There will be a Campus Research Ethics Committee on each Campus that will conduct activities on that Campus on behalf
p.000009: of the UWI Committee on Research Ethics. The Campus Committees will review and approve, or otherwise provide
p.000009: feedback on, student and faculty research proposals which involve human participants, invasive or
p.000009: experimental work on live animals, endangered species, or research with potential to harm the environment
p.000009: or human groups that are not themselves the subjects of the research. The mandate, responsibilities and
...
p.000025:
p.000025: 2.1 Research
p.000025:
p.000025: Research means a systematic investigation designed to develop or contribute to generalized knowledge. Pilot
p.000025: Testing is usually considered part of the research2, but need not require ethical approval unless the testing may
p.000025: itself engender risk of harm.
p.000025:
p.000025: Class room instruction, surveys for evaluating the performance of faculty or students, or studies for institutional use
p.000025: only, students‟ coursework and undergraduate theses (unless the intention is to make them available to the
p.000025: public or to other researchers) are not considered part of research for the purposes of this policy.
p.000025: However, UWI faculty members, especially Supervisors, must ensure that all student researchers ensure the well-being
p.000025: of their participants even when the work does not qualify as research.
p.000025:
p.000025: 2.2 Human participants
p.000025:
p.000025: Human subject refers to a living person about whom a researcher obtains (a) data through interventions or
p.000025: interactions with the person or (b) identifiable private information
p.000025:
p.000025:
p.000025:
p.000025:
p.000025: 2 US Office of Human Subject Research. Code of Federal Regulations Title 45 Public Welfare Part 46 Protection of Human
p.000025: Subjects P.6
p.000025:
p.000026: 26
p.000026:
p.000026: (observations or private record). A person may be a human participant when a researcher obtains data about him/her from
p.000026: a third party as well as from the person directly3.
p.000026:
p.000026:
p.000026: 2.3 Interventions
p.000026:
p.000026: Interventions include both medical and physical procedures and manipulation of the participant or the
p.000026: participant‟s environment that are performed for research purposes.3
p.000026:
p.000026: 2.4 Interaction
p.000026:
p.000026: Interaction includes communication or interpersonal contact between investigator and participant.
p.000026:
p.000026: 2.5 Identifiable
p.000026:
p.000026: Identifiable implies that the identity of the participant is or may be readily ascertained by the investigator or
p.000026: associated with the information obtained as part of the research.4
p.000026:
p.000026: 2.6 Private information
p.000026:
p.000026: Private information includes information about behaviour that occurs in a context in which an individual can reasonably
p.000026: expect that no observation or recording is taking place, and information which has been provided for specific purposes
p.000026: by an individual and which the individual can reasonably expect will not be made public (e.g. medical record).5
p.000026:
p.000026: 2.7 Conducted or sponsored at UWI
p.000026:
p.000026: Conducted or sponsored at UWI means:
p.000026:
p.000026: o Using facilities at UWI o Paid for by UWI or Campus funds
p.000026: o Conducted as a prerequisite for obtaining a degree at UWI o Conducted by UWI faculty members or employees in the
p.000026: course of employment at UWI
p.000026: o Using UWI staff or students as participants
p.000026:
p.000026: 2.8 Minimal Risk
p.000026:
...
Political / vulnerable
Searching for indicator vulnerable:
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p.000011: The categories identified above are not exempted from review if any of the research subjects are persons
p.000011: who are: legally incompetent (e.g. minors); significantly mentally ill or impaired; imprisoned persons, residents of a
p.000011: nursing facility, or persons who are in any other way involuntarily confined. The categories are also not exempt if
p.000011: students of the University of the West Indies are subjects of the research being conducted.
p.000011:
p.000011: It is the responsibility of the Principal Investigator to consult with the Dean (or Director in the case of Centres
p.000011: and Institutes), and if so advised with the Chair of the Campus Research Ethics Committee, to determine
p.000011: whether any proposed study meets the criteria for exemption from review.
p.000011:
p.000011: 9.2 Full Reviews
p.000011:
p.000011: Full Reviews will be carried out for all proposals involving invasive or experimental research on live
p.000011: animals, for all research which involves the capture and harvesting of endangered species, and for all research
p.000011: in where there is potential for significant negative environment impact.
p.000011:
p.000011: Full Reviews will also be carried out for all research using human participants in which there is more than minimal
p.000011: risk to the participant(s), which involve the withholding of information on the objectives of the research or
p.000011: the methodology to be used from the participants, which involve participants that are members of a vulnerable
p.000011: or captive population, or in which there is potential for significant negative impact on human groups that are not
p.000011: themselves the subjects of the research. Full Reviews will also be conducted where these are required by the
p.000011: funding agencies to which the proposals will be submitted.
p.000011:
p.000011: A Full Review requires the in-person convening of the relevant Campus Research Ethics Committee, which is required to
p.000011: render a decision on all submissions (see Article 9.4). Information requirements for research proposals in applications
p.000011: for ethical approval are provided in Appendix 3 of this document, and the additional information requirements when the
p.000011: research involves the use of live animals are provided in Appendix 4. Information requirements necessary to obtain
p.000011: Informed Consent of participants are provided in Appendix 5.
p.000011:
p.000011: The results of all Full Reviews will be submitted semi-annually to the UWI Committee on Research Ethics.
p.000011:
p.000011: 9.3 Expedited Review
p.000011:
p.000011: Expedited Reviews of proposals involving invasive or experimental research on live animals, research on
p.000011: endangered species, or research with significant potential environmental impact, may be conducted
p.000011: when the researcher is making minor modifications to a research project that has already received full approval.
p.000011:
p.000011:
p.000012: 12
p.000012:
...
p.000028:
p.000028: 5. Specific Considerations for Research with Children
p.000028:
p.000028: In addition to obtaining the consent of parents or guardians, researchers must still attempt to obtain the real consent
p.000028: of the child as long as the child is old enough to understand the principle of consent. Older children should be
p.000028: encouraged to sign the consent form with their parent or guardian. The researcher should also clearly explain to
p.000028: younger children that what they are doing is voluntary and that they could refuse to take part or withdrew if they
p.000028: wish. Even in cases where parental consent is obtained, researchers should not coerce children to continue
p.000028: participating in the absence of the child's assent. Assent is not required for essential medical treatment if parental
p.000028: consent for treatment is in place.
p.000028:
p.000028: 6. Specific Considerations For Research With Vulnerable Populations
p.000028:
p.000028: Campus Research Ethics Committees at UWI must make every reasonable effort to consider and protect the
p.000028: unique needs and rights of vulnerable groups, including, among others, prisoners, persons with disability, persons with
p.000028: reduced capacity for consent, and pregnant women. When considering projects involving vulnerable groups, Committees
p.000028: should make every effort to consult with advocates or members of the relevant group to inform the deliberations.
p.000028:
p.000028:
p.000028: 7. Research Involving Withholding Full Information on Research Objectives or Methodologies
p.000028:
p.000028: Certain types of research in certain disciplines, e.g., psychology, may require the withholding of full
p.000028: information about the objectives of the research from the particpants. In such cases, the researcher may request the
p.000028: use of a modified Informed Consent form. In other types of research, it may be necessary to conduct surveillance (e.g.
p.000028: criminological research).
p.000028:
p.000028: The Campus Research Ethics Committee must pay particular attention to these cases. Where it is established that
p.000028: this type of research will contribute to knowledge and understanding, the researcher is expected to justify
p.000028: that alternative procedures are not available or feasible and that the withholding of information is integral to the
p.000028: viability of the research. The researcher is still expected to obtain the participant‟s consent and to
p.000028:
p.000028:
p.000028: 5 Ibid p.20
p.000028:
p.000029: 29
p.000029:
p.000029: make the participant aware that information was withheld, as well as to inform the participant of what
p.000029: results were obtained, as soon as possible.
p.000029:
p.000029:
p.000029: 8. The Use of the Internet
p.000029:
p.000029: The UWI Policy on Research Ethics and the conduct of research with human participants also apply to internet-based
...
Health / Cognitive Impairment
Searching for indicator impaired:
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p.000010: consideration the legal age of consent of children in the various islands and territories of the Caribbean.
p.000010:
p.000010: • Public Observation. All research involving the observation of public behaviour, including observation by
p.000010: participants, is exempted unless the observation is recorded in such a way that it can be linked to an
p.000010: identifiable human subject. However, sociological studies conducted on public personalities, such as authors,
p.000010: politicians and corporate leaders, or their work, are exempt, on the assumption that the resultant outputs will be
p.000010: guided by well established academic conventions of balance, good taste and fair play.
p.000010:
p.000010: • Existing Data. Research which involves the collection or study of existing data, documents, records,
p.000010: pathological specimens or diagnostic specimens is exempted if these are publically available, or if both the
p.000010: private data and the published material of the researcher is so recorded that there is no likelihood that the human
p.000010: subject may be identified, either directly or indirectly.
p.000010:
p.000010:
p.000010:
p.000010:
p.000011: 11
p.000011:
p.000011: The categories identified above are not exempted from review if any of the research subjects are persons
p.000011: who are: legally incompetent (e.g. minors); significantly mentally ill or impaired; imprisoned persons, residents of a
p.000011: nursing facility, or persons who are in any other way involuntarily confined. The categories are also not exempt if
p.000011: students of the University of the West Indies are subjects of the research being conducted.
p.000011:
p.000011: It is the responsibility of the Principal Investigator to consult with the Dean (or Director in the case of Centres
p.000011: and Institutes), and if so advised with the Chair of the Campus Research Ethics Committee, to determine
p.000011: whether any proposed study meets the criteria for exemption from review.
p.000011:
p.000011: 9.2 Full Reviews
p.000011:
p.000011: Full Reviews will be carried out for all proposals involving invasive or experimental research on live
p.000011: animals, for all research which involves the capture and harvesting of endangered species, and for all research
p.000011: in where there is potential for significant negative environment impact.
p.000011:
p.000011: Full Reviews will also be carried out for all research using human participants in which there is more than minimal
p.000011: risk to the participant(s), which involve the withholding of information on the objectives of the research or
p.000011: the methodology to be used from the participants, which involve participants that are members of a vulnerable
p.000011: or captive population, or in which there is potential for significant negative impact on human groups that are not
p.000011: themselves the subjects of the research. Full Reviews will also be conducted where these are required by the
...
Health / Drug Usage
Searching for indicator influence:
(return to top)
p.000026: 3 US Office of Human Subject Research. Code of Federal Regulations Title 45 Public Welfare Part 46 Protection of
p.000026:
p.000027: 27
p.000027:
p.000027: Human Subjects
p.000003: 3
p.000003: Ibid 4
p.000003: Ibid 5
p.000003: Ibid
p.000003: 6 University of Arkansas, Fayetteville - Policy and Procedures, Governing Research with Human
p.000003: Subjects. P2.
p.000003:
p.000003: 2.9 Protocol
p.000003:
p.000003: Protocol refers to the researcher‟s written research plan, which is submitted to the Campus Research Ethics
p.000003: Committee.
p.000003:
p.000003: 3. Advance Submission of Protocol
p.000003:
p.000003: Researchers are required to submit a protocol to the Campus Research Ethics Committee if the proposed research involves
p.000003: human participants and is not exempted. The protocol must be reviewed and approved by the Committee before the
p.000003: research begins. The University of the West Indies will not grant retroactive approval of research protocols.
p.000003:
p.000003: 4. Requirement for Informed Consent
p.000003:
p.000003: Informed consent is a decision to participate in research taken by a competent individual who has received all the
p.000003: information necessary to arrive at an informed decision. The individual is required to have understood the information,
p.000003: considered the information and to have arrived at the decision without coercion, undue influence inducement
p.000003: or intimidation4.
p.000003:
p.000003: In almost all cases, the researcher must obtain the informed consent of each participant
p.000003: prior to the start of the research activities.
p.000003:
p.000003: In cases where the participant lacks capacity to provide informed consent, the researcher must obtain the consent of
p.000003: the participant‟s legally authorized representative, e.g., parent or guardian.
p.000003:
p.000003: The researcher must ensure that the participant, or his or her legal representative, is provided with
p.000003: sufficient opportunity and time to understand and carefully consider the request to participate in the research
p.000003: and thereby minimize the possibility that the consent is obtained through undue pressure, haste or influence.
p.000003:
p.000003: The researcher must also ensure that the information provided to the participant or his/her representative is in
p.000003: clearly understandable language. Informing the individual must not be
p.000003:
p.000003:
p.000003:
p.000003: 4 The Council for International Organizations of Medical Sciences in collaboration with the WHO International Ethical
p.000003: Guidelines for Biomedical research Involving Human Subjects p.20
p.000003:
p.000028: 28
p.000028:
p.000028: simply a ritual recitation of the content of a written document5. That is, in words and terms appropriate to the
p.000028: educational level of the participants. Every effort must be made to avoid the use of jargon and technical terms.
p.000028:
p.000028: Under no condition must the researcher appear to encourage the participant to waive any of his/her legal rights
p.000028: including releasing the researcher the sponsor or the University from any liability due to negligence.
p.000028:
p.000028: 5. Specific Considerations for Research with Children
p.000028:
p.000028: In addition to obtaining the consent of parents or guardians, researchers must still attempt to obtain the real consent
p.000028: of the child as long as the child is old enough to understand the principle of consent. Older children should be
...
Health / Mentally Disabled
Searching for indicator mentally:
(return to top)
p.000010: (children) are not exempted. Researchers conducting research in the Caribbean must therefore take into
p.000010: consideration the legal age of consent of children in the various islands and territories of the Caribbean.
p.000010:
p.000010: • Public Observation. All research involving the observation of public behaviour, including observation by
p.000010: participants, is exempted unless the observation is recorded in such a way that it can be linked to an
p.000010: identifiable human subject. However, sociological studies conducted on public personalities, such as authors,
p.000010: politicians and corporate leaders, or their work, are exempt, on the assumption that the resultant outputs will be
p.000010: guided by well established academic conventions of balance, good taste and fair play.
p.000010:
p.000010: • Existing Data. Research which involves the collection or study of existing data, documents, records,
p.000010: pathological specimens or diagnostic specimens is exempted if these are publically available, or if both the
p.000010: private data and the published material of the researcher is so recorded that there is no likelihood that the human
p.000010: subject may be identified, either directly or indirectly.
p.000010:
p.000010:
p.000010:
p.000010:
p.000011: 11
p.000011:
p.000011: The categories identified above are not exempted from review if any of the research subjects are persons
p.000011: who are: legally incompetent (e.g. minors); significantly mentally ill or impaired; imprisoned persons, residents of a
p.000011: nursing facility, or persons who are in any other way involuntarily confined. The categories are also not exempt if
p.000011: students of the University of the West Indies are subjects of the research being conducted.
p.000011:
p.000011: It is the responsibility of the Principal Investigator to consult with the Dean (or Director in the case of Centres
p.000011: and Institutes), and if so advised with the Chair of the Campus Research Ethics Committee, to determine
p.000011: whether any proposed study meets the criteria for exemption from review.
p.000011:
p.000011: 9.2 Full Reviews
p.000011:
p.000011: Full Reviews will be carried out for all proposals involving invasive or experimental research on live
p.000011: animals, for all research which involves the capture and harvesting of endangered species, and for all research
p.000011: in where there is potential for significant negative environment impact.
p.000011:
p.000011: Full Reviews will also be carried out for all research using human participants in which there is more than minimal
p.000011: risk to the participant(s), which involve the withholding of information on the objectives of the research or
p.000011: the methodology to be used from the participants, which involve participants that are members of a vulnerable
p.000011: or captive population, or in which there is potential for significant negative impact on human groups that are not
...
Searching for indicator disability:
(return to top)
p.000028: encouraged to sign the consent form with their parent or guardian. The researcher should also clearly explain to
p.000028: younger children that what they are doing is voluntary and that they could refuse to take part or withdrew if they
p.000028: wish. Even in cases where parental consent is obtained, researchers should not coerce children to continue
p.000028: participating in the absence of the child's assent. Assent is not required for essential medical treatment if parental
p.000028: consent for treatment is in place.
p.000028:
p.000028: 6. Specific Considerations For Research With Vulnerable Populations
p.000028:
p.000028: Campus Research Ethics Committees at UWI must make every reasonable effort to consider and protect the
p.000028: unique needs and rights of vulnerable groups, including, among others, prisoners, persons with disability, persons with
p.000028: reduced capacity for consent, and pregnant women. When considering projects involving vulnerable groups, Committees
p.000028: should make every effort to consult with advocates or members of the relevant group to inform the deliberations.
p.000028:
p.000028:
p.000028: 7. Research Involving Withholding Full Information on Research Objectives or Methodologies
p.000028:
p.000028: Certain types of research in certain disciplines, e.g., psychology, may require the withholding of full
p.000028: information about the objectives of the research from the particpants. In such cases, the researcher may request the
p.000028: use of a modified Informed Consent form. In other types of research, it may be necessary to conduct surveillance (e.g.
p.000028: criminological research).
p.000028:
p.000028: The Campus Research Ethics Committee must pay particular attention to these cases. Where it is established that
p.000028: this type of research will contribute to knowledge and understanding, the researcher is expected to justify
p.000028: that alternative procedures are not available or feasible and that the withholding of information is integral to the
p.000028: viability of the research. The researcher is still expected to obtain the participant‟s consent and to
p.000028:
p.000028:
p.000028: 5 Ibid p.20
p.000028:
p.000029: 29
p.000029:
...
Health / Pregnant
Searching for indicator pregnant:
(return to top)
p.000028: encouraged to sign the consent form with their parent or guardian. The researcher should also clearly explain to
p.000028: younger children that what they are doing is voluntary and that they could refuse to take part or withdrew if they
p.000028: wish. Even in cases where parental consent is obtained, researchers should not coerce children to continue
p.000028: participating in the absence of the child's assent. Assent is not required for essential medical treatment if parental
p.000028: consent for treatment is in place.
p.000028:
p.000028: 6. Specific Considerations For Research With Vulnerable Populations
p.000028:
p.000028: Campus Research Ethics Committees at UWI must make every reasonable effort to consider and protect the
p.000028: unique needs and rights of vulnerable groups, including, among others, prisoners, persons with disability, persons with
p.000028: reduced capacity for consent, and pregnant women. When considering projects involving vulnerable groups, Committees
p.000028: should make every effort to consult with advocates or members of the relevant group to inform the deliberations.
p.000028:
p.000028:
p.000028: 7. Research Involving Withholding Full Information on Research Objectives or Methodologies
p.000028:
p.000028: Certain types of research in certain disciplines, e.g., psychology, may require the withholding of full
p.000028: information about the objectives of the research from the particpants. In such cases, the researcher may request the
p.000028: use of a modified Informed Consent form. In other types of research, it may be necessary to conduct surveillance (e.g.
p.000028: criminological research).
p.000028:
p.000028: The Campus Research Ethics Committee must pay particular attention to these cases. Where it is established that
p.000028: this type of research will contribute to knowledge and understanding, the researcher is expected to justify
p.000028: that alternative procedures are not available or feasible and that the withholding of information is integral to the
p.000028: viability of the research. The researcher is still expected to obtain the participant‟s consent and to
p.000028:
p.000028:
p.000028: 5 Ibid p.20
p.000028:
p.000029: 29
p.000029:
p.000029: make the participant aware that information was withheld, as well as to inform the participant of what
p.000029: results were obtained, as soon as possible.
p.000029:
p.000029:
p.000029: 8. The Use of the Internet
p.000029:
...
Health / ill
Searching for indicator ill:
(return to top)
p.000010: (children) are not exempted. Researchers conducting research in the Caribbean must therefore take into
p.000010: consideration the legal age of consent of children in the various islands and territories of the Caribbean.
p.000010:
p.000010: • Public Observation. All research involving the observation of public behaviour, including observation by
p.000010: participants, is exempted unless the observation is recorded in such a way that it can be linked to an
p.000010: identifiable human subject. However, sociological studies conducted on public personalities, such as authors,
p.000010: politicians and corporate leaders, or their work, are exempt, on the assumption that the resultant outputs will be
p.000010: guided by well established academic conventions of balance, good taste and fair play.
p.000010:
p.000010: • Existing Data. Research which involves the collection or study of existing data, documents, records,
p.000010: pathological specimens or diagnostic specimens is exempted if these are publically available, or if both the
p.000010: private data and the published material of the researcher is so recorded that there is no likelihood that the human
p.000010: subject may be identified, either directly or indirectly.
p.000010:
p.000010:
p.000010:
p.000010:
p.000011: 11
p.000011:
p.000011: The categories identified above are not exempted from review if any of the research subjects are persons
p.000011: who are: legally incompetent (e.g. minors); significantly mentally ill or impaired; imprisoned persons, residents of a
p.000011: nursing facility, or persons who are in any other way involuntarily confined. The categories are also not exempt if
p.000011: students of the University of the West Indies are subjects of the research being conducted.
p.000011:
p.000011: It is the responsibility of the Principal Investigator to consult with the Dean (or Director in the case of Centres
p.000011: and Institutes), and if so advised with the Chair of the Campus Research Ethics Committee, to determine
p.000011: whether any proposed study meets the criteria for exemption from review.
p.000011:
p.000011: 9.2 Full Reviews
p.000011:
p.000011: Full Reviews will be carried out for all proposals involving invasive or experimental research on live
p.000011: animals, for all research which involves the capture and harvesting of endangered species, and for all research
p.000011: in where there is potential for significant negative environment impact.
p.000011:
p.000011: Full Reviews will also be carried out for all research using human participants in which there is more than minimal
p.000011: risk to the participant(s), which involve the withholding of information on the objectives of the research or
p.000011: the methodology to be used from the participants, which involve participants that are members of a vulnerable
p.000011: or captive population, or in which there is potential for significant negative impact on human groups that are not
p.000011: themselves the subjects of the research. Full Reviews will also be conducted where these are required by the
...
Social / Access to Social Goods
Searching for indicator access:
(return to top)
p.000022: • Describe the procedures to be followed and indicate which procedures are investigational
p.000022: • Indicate the expected duration and frequency of the person‟s participation and where the activities will take
p.000022: place
p.000022:
p.000022: Risks and Discomforts:
p.000022: • Inform the participants of any risks or discomforts that may result from their participation in the study and
p.000022: provide an estimate of their likelihood
p.000022: • Inform the participants of help or treatments that are available if any adverse reactions occur and how they may
p.000022: be obtained
p.000022: • Inform the participants of any potentially beneficial treatments or procedures that may be withheld for the
p.000022: purpose of the study
p.000022:
p.000022: Benefits:
p.000022:
p.000022:
p.000022:
p.000022:
p.000022:
p.000022:
p.000023: 23
p.000023:
p.000023: Components of this information may not be applicable for all types of proposals.
p.000023: • Describe the benefits to the participant and the wider society, including other patients in the future, that may
p.000023: reasonably be expected as a result of the study
p.000023: • State clearly if there is no direct benefit to the participant, but only societal benefit
p.000023:
p.000023:
p.000023: Alternatives:
p.000023: • For a study which involves more than minimal risk, indicate appropriate alternative procedures or
p.000023: courses of treatment that might be advantageous to the participant
p.000023: • Emphasise the participant‟s right to pursue the alternatives
p.000023:
p.000023: Confidentiality:
p.000023: • Explain to the participant how confidentiality will be maintained, who will have access to the data, how the
p.000023: data will be reported in order to maintain the individual‟s confidentiality, and how and where the data will be
p.000023: published or reported
p.000023: • Inform the participant if confidentiality will not be maintained
p.000023:
p.000023: Cost and Payments:
p.000023: • Explain the type of costs that might be expected and any compensation that can be provided
p.000023: • Ensure that payment is not consequential and therefore seen to be an inducement
p.000023:
p.000023: Freedom to Withdraw:
p.000023: • Explain that participation is voluntary and that participants are free to withdraw at any time if any
p.000023: problems occur or if they simply change their minds. Participants will have the option to exclude from
p.000023: the study data obtained through their participation, should they decide to withdraw
p.000023: • Explain that refusal to participate or withdrawal thereafter will not adversely affect the participant‟s
p.000023: relationship with the Investigator(s) or their right to any other treatment or services available to them at
p.000023: the University of the West Indies or its affiliated institutions
p.000023:
p.000023: Opportunity to ask Questions:
p.000023: • Explain that the participant has the right to ask questions and to have them answered before the start of the
p.000023: study
p.000023: • List the names and telephone numbers of persons who can be contacted for answers to questions about the study
p.000023: (this list should include at least one member of the Campus Research Ethics Committee).
p.000023:
p.000023:
p.000023:
p.000023:
p.000023:
p.000023:
p.000024: 24
p.000024:
p.000024: CONSENT AND SIGNATURE
p.000024:
...
Searching for indicator access to information:
(return to top)
p.000006: interest that may be relevant to the performance of their duties on the Committee.
p.000006:
p.000006: 5.4 Misuse of Research Funds
p.000006:
p.000006: Where a research funding body provides guidelines on the use of research funds, Principal Investigators and
p.000006: other researchers must adhere to these guidelines stringently. They must also follow all University guidelines and
p.000006: codes relating to the management and disbursement of funds. Should misuse of research funds occur, including the
p.000006: failure to account for funds, offenders will be subject to the disciplinary procedures of the University under
p.000006: Ordinance 8.
p.000006: 5.5 The Duty to Acknowledge Sources of Funding
p.000006:
p.000006: All public and private sources of funding, including grants, contracts and gifts, among others, used in the conduct of
p.000006: research should be acknowledged in resulting publications.
p.000006:
p.000006:
p.000006: 6. Ethical Treatment of Data
p.000006: 6.1 Definition of Data
p.000006:
p.000006: “Data” in this document is taken to include the actual research results, the analysis and interpretations by the
p.000006: researchers, and the methodology used to obtain the results.
p.000006:
p.000006: 6.2 Gathering of Data
p.000006:
p.000006: Data must be organised in a manner that allows ready verification, and must be gathered in accordance with the
p.000006: principles governing the use of human and animal subjects (see Articles 10 and 11).
p.000006:
p.000007: 7
p.000007:
p.000007: 6.3 Availability of Data
p.000007:
p.000007: Subject to exceptions based on a duty of confidentiality and the laws respecting intellectual property and
p.000007: access to information, after data are published, they must be made available to any party presenting a reasonable
p.000007: request to examine them. Where there is a disagreement between the researcher and the person requesting the data, the
p.000007: matter shall be referred to the School for Graduate Studies and Research for resolution.
p.000007:
p.000007:
p.000007: 6.4 Maintenance of Data
p.000007:
p.000007: All original data must be retained in paper or electronic format for at least five years from the date of publication.
p.000007:
p.000007:
p.000007: 7. Collaborative Research
p.000007: 7.1 Attribution of Authorship and Copyright Ownership
p.000007:
p.000007: Research collaborators should establish, as early as possible, the manner in which authorship will be
p.000007: attributed, as well as the allocation of copyright.
p.000007:
p.000007: 7.1.1 Rules for the Attribution of Authorship
p.000007:
p.000007: In the absence of an a priori agreement among researchers, the following rules will govern the attribution of
p.000007: authorship:
p.000007:
p.000007: (a) Authorship is attributed to all those persons, whether staff or students, who have made significant scholarly
p.000007: contributions to the work and who share responsibility and accountability for the results.
p.000007:
p.000007: (b) An administrative relationship to the investigation does not of itself qualify a person for co-authorship.
p.000007:
p.000007: (c) The order of the names in a publication is decided according to the quality of the contribution, the extent
p.000007: of the responsibility and accountability for the results, and the customs of the discipline.
p.000007:
p.000007: (d) The attribution of authorship is not affected by whether researchers were paid for their contributions or by
p.000007: their employment status.
p.000007:
p.000007:
...
Social / Age
Searching for indicator age:
(return to top)
p.000010:
p.000010: • Educational research involving normal educational practices, e.g. classroom instruction, strategies,
p.000010: curricula management techniques. This exemption does not apply in cases were school records of identifiable students
p.000010: are involved, or where teachers and instructors or other school personnel are interviewed about identifiable students.
p.000010:
p.000010: • Educational Tests and Measurements, e.g. diagnostic, aptitude and achievement tests. This exemption does not apply
p.000010: if the information, whether in the researchers‟ private data set or in a published form, could reasonably lead to the
p.000010: identification of the participants; or if the information disclosed outside of the research could place the subject at
p.000010: risk of criminal or civil liability or cause damage to the person‟s financial standing, employability or reputation.
p.000010:
p.000010: • Surveys or Interviews in which researchers‟ private data, field notes and published materials are so encoded that
p.000010: there is no likelihood that the identity of the human subjects will be revealed, will normally be exempt from review,
p.000010: unless the nature of the questions could clearly cause distress or even harm. Surveys and interviews of minors
p.000010: (children) are not exempted. Researchers conducting research in the Caribbean must therefore take into
p.000010: consideration the legal age of consent of children in the various islands and territories of the Caribbean.
p.000010:
p.000010: • Public Observation. All research involving the observation of public behaviour, including observation by
p.000010: participants, is exempted unless the observation is recorded in such a way that it can be linked to an
p.000010: identifiable human subject. However, sociological studies conducted on public personalities, such as authors,
p.000010: politicians and corporate leaders, or their work, are exempt, on the assumption that the resultant outputs will be
p.000010: guided by well established academic conventions of balance, good taste and fair play.
p.000010:
p.000010: • Existing Data. Research which involves the collection or study of existing data, documents, records,
p.000010: pathological specimens or diagnostic specimens is exempted if these are publically available, or if both the
p.000010: private data and the published material of the researcher is so recorded that there is no likelihood that the human
p.000010: subject may be identified, either directly or indirectly.
p.000010:
p.000010:
p.000010:
p.000010:
p.000011: 11
p.000011:
p.000011: The categories identified above are not exempted from review if any of the research subjects are persons
p.000011: who are: legally incompetent (e.g. minors); significantly mentally ill or impaired; imprisoned persons, residents of a
p.000011: nursing facility, or persons who are in any other way involuntarily confined. The categories are also not exempt if
...
p.000019: • Funding Sources for the Project
p.000019: 5. Confidentiality
p.000019: • Methods for storing and securing study data
p.000019: • Methods for protecting participants‟ confidentiality
p.000019: 6. Expected Outcomes of the Project
p.000019: • How the results will be disseminated (reporting, publication)
p.000019: • How the results will be acted upon for both the participants and the community
p.000019: 7. Qualifications of the Principal Investigator and Collaborators
p.000019:
p.000019:
p.000019:
p.000019:
p.000019:
p.000020: 20
p.000020:
p.000020: All applications must be presented under the above headings. If a particular heading is not applicable, indicate with
p.000020: N/A. Submissions not in this format may be returned without review.
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000020:
p.000021: 21
p.000021:
p.000021: Appendix 4
p.000021:
p.000021: Additional Information Requirements by Campus Research Ethics Committees for Research Proposals involving Invasive or
p.000021: Experimental work on Live Animals as well as work on Endangered Species
p.000021:
p.000021: 1. Provide the species, variety, conservation status, sex, age and source of the animals to be used (where
p.000021: available),and state the total number of each species needed for the project.
p.000021:
p.000021: 2. Justification of animal use: Explain why the proposed use of the animal (or endangered species) is
p.000021: required, what alternative approaches are available and how the numbers used will be minimized. Provide a
p.000021: justification of the numbers to be used, as well as their prior history (if applicable and available).
p.000021:
p.000021: 3. If applicable, state where the animals will be housed, who will care for them, how they will be maintained and
p.000021: who will carry out any anaesthesia, surgery or euthanasia required.
p.000021:
p.000021: 4. State the Use of the Animals in the Research:
p.000021:
p.000021: • Animals to be treated under anaesthesia, (and/or) administered or deprived of materials, (and/or) subjected to
p.000021: unusual conditions. All animals expected to recover at termination of research.
p.000021: • Animals to be treated under anaesthesia and killed without regaining consciousness.
p.000021: • Animals to be killed for preparation of tissues.
p.000021: • Animals to be used for antisera production by standard techniques.
p.000021: • Any other uses.
p.000021:
p.000021: 5. Describe the anaesthesia or euthanasia procedures (if applicable). Give specific drugs, doses and routes of
p.000021: administration.
p.000021:
p.000021: 6. Describe the surgical procedures (if applicable). Give details for each type of operation.
p.000021:
p.000021: 7. Describe the provisions for post-research recovery and care (if applicable).
p.000021:
p.000021: 8. Indicate the fate of the animals following their recovery and the conclusion of the study.
p.000021:
p.000021: 9. In the case of endangered species, indicate the fate of the individuals on completion of the project.
p.000021:
p.000021:
p.000021:
p.000021:
p.000021:
p.000022: 22
p.000022:
p.000022: 10. In the case of endangered species, indicate the impact of the project on the conservation status of
p.000022: the species.
p.000022: Appendix 5
p.000022:
p.000022:
p.000022: Campus Research Ethics Committee
p.000022:
p.000022:
p.000022: Information Requirements to obtain Informed Consent and for Completion of the Informed Consent Form in Applications to
p.000022: the Campus Committee for Ethical Approval*
p.000022:
p.000022: Identification of Project:
p.000022: • Provide the Title of the project
p.000022: • Provide the names of the Investigators and other key personnel participating in the project, indicating
p.000022: qualifications
p.000022: • Explain that the project involves research
p.000022:
p.000022: Purpose of the Research and Invitation to Participate:
p.000022: • Explain the purpose of the research and how long it will take to complete the project
p.000022: • Invite the person to participate and explain why they were selected
p.000022: • Indicate the need for parental or guardian‟s consent, if subject is under age of legal consent
p.000022:
p.000022: Description of Procedures:
p.000022: • Explain what you expect the participant to do in the study
p.000022: • Describe the procedures to be followed and indicate which procedures are investigational
p.000022: • Indicate the expected duration and frequency of the person‟s participation and where the activities will take
p.000022: place
p.000022:
p.000022: Risks and Discomforts:
p.000022: • Inform the participants of any risks or discomforts that may result from their participation in the study and
p.000022: provide an estimate of their likelihood
p.000022: • Inform the participants of help or treatments that are available if any adverse reactions occur and how they may
p.000022: be obtained
p.000022: • Inform the participants of any potentially beneficial treatments or procedures that may be withheld for the
p.000022: purpose of the study
p.000022:
p.000022: Benefits:
p.000022:
p.000022:
p.000022:
p.000022:
p.000022:
p.000022:
p.000023: 23
p.000023:
p.000023: Components of this information may not be applicable for all types of proposals.
p.000023: • Describe the benefits to the participant and the wider society, including other patients in the future, that may
p.000023: reasonably be expected as a result of the study
p.000023: • State clearly if there is no direct benefit to the participant, but only societal benefit
p.000023:
p.000023:
p.000023: Alternatives:
p.000023: • For a study which involves more than minimal risk, indicate appropriate alternative procedures or
p.000023: courses of treatment that might be advantageous to the participant
p.000023: • Emphasise the participant‟s right to pursue the alternatives
p.000023:
p.000023: Confidentiality:
...
p.000023: the University of the West Indies or its affiliated institutions
p.000023:
p.000023: Opportunity to ask Questions:
p.000023: • Explain that the participant has the right to ask questions and to have them answered before the start of the
p.000023: study
p.000023: • List the names and telephone numbers of persons who can be contacted for answers to questions about the study
p.000023: (this list should include at least one member of the Campus Research Ethics Committee).
p.000023:
p.000023:
p.000023:
p.000023:
p.000023:
p.000023:
p.000024: 24
p.000024:
p.000024: CONSENT AND SIGNATURE
p.000024:
p.000024: I confirm that the purpose of the research, the study procedures, and any possible risks or discomforts, as well as the
p.000024: possible benefits that I may receive by taking part in the study, have been explained to me. Alternatives to my
p.000024: taking part have also been discussed and all my questions have been answered. I further confirm that I have been
p.000024: provided with the telephone number(s) of the Principal Investigator for contact in the case of an emergency. I have
p.000024: read this Consent Form and my signature below confirms that I am willing to take part in this study.
p.000024:
p.000024:
p.000024: Participant‟s Name (print)
p.000024:
p.000024:
p.000024:
p.000024: Participant‟s Signature
p.000024:
p.000024:
p.000024: Date
p.000024:
p.000024: Name and Signature of Parent, Guardian or Legally Authorised Representative (if participant is below the age
p.000024: of legal consent; note that certain types of research may require that the requirement for parental consent be
p.000024: waived).
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024: Date
p.000024:
p.000024:
p.000024: INVESTIGATOR’S STATEMENT AND SIGNATURE
p.000024:
p.000024: I have explained the purpose of the research, the study procedures, including those that are investigational, the
p.000024: possible risks and discomforts, and the potential benefits, and have answered all questions regarding the study to the
p.000024: best of my ability. In my opinion, the participant understands these issues and has voluntarily agreed to participate
p.000024: in the study.
p.000024:
p.000024:
p.000024: Name and Signature of Investigator obtaining Informed Consent:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000025: 25
p.000025:
p.000025: Date
p.000025:
p.000025: A copy of the signed Informed Consent Form must be left with each participant.
p.000025: Appendix 6
p.000025:
p.000025: Policy and Procedures for the Ethical Conduct of Research involving Human Participants at the UWI
p.000025:
p.000025: 1. Preamble
p.000025:
p.000025: The University of the West Indies is strongly committed to the protection of human participants in
p.000025: research and is guided by the principles of (a) respect for persons, (b) beneficence or concern for the well being of
...
Social / Child
Searching for indicator child:
(return to top)
p.000003: and thereby minimize the possibility that the consent is obtained through undue pressure, haste or influence.
p.000003:
p.000003: The researcher must also ensure that the information provided to the participant or his/her representative is in
p.000003: clearly understandable language. Informing the individual must not be
p.000003:
p.000003:
p.000003:
p.000003: 4 The Council for International Organizations of Medical Sciences in collaboration with the WHO International Ethical
p.000003: Guidelines for Biomedical research Involving Human Subjects p.20
p.000003:
p.000028: 28
p.000028:
p.000028: simply a ritual recitation of the content of a written document5. That is, in words and terms appropriate to the
p.000028: educational level of the participants. Every effort must be made to avoid the use of jargon and technical terms.
p.000028:
p.000028: Under no condition must the researcher appear to encourage the participant to waive any of his/her legal rights
p.000028: including releasing the researcher the sponsor or the University from any liability due to negligence.
p.000028:
p.000028: 5. Specific Considerations for Research with Children
p.000028:
p.000028: In addition to obtaining the consent of parents or guardians, researchers must still attempt to obtain the real consent
p.000028: of the child as long as the child is old enough to understand the principle of consent. Older children should be
p.000028: encouraged to sign the consent form with their parent or guardian. The researcher should also clearly explain to
p.000028: younger children that what they are doing is voluntary and that they could refuse to take part or withdrew if they
p.000028: wish. Even in cases where parental consent is obtained, researchers should not coerce children to continue
p.000028: participating in the absence of the child's assent. Assent is not required for essential medical treatment if parental
p.000028: consent for treatment is in place.
p.000028:
p.000028: 6. Specific Considerations For Research With Vulnerable Populations
p.000028:
p.000028: Campus Research Ethics Committees at UWI must make every reasonable effort to consider and protect the
p.000028: unique needs and rights of vulnerable groups, including, among others, prisoners, persons with disability, persons with
p.000028: reduced capacity for consent, and pregnant women. When considering projects involving vulnerable groups, Committees
p.000028: should make every effort to consult with advocates or members of the relevant group to inform the deliberations.
p.000028:
p.000028:
p.000028: 7. Research Involving Withholding Full Information on Research Objectives or Methodologies
p.000028:
p.000028: Certain types of research in certain disciplines, e.g., psychology, may require the withholding of full
p.000028: information about the objectives of the research from the particpants. In such cases, the researcher may request the
...
Searching for indicator children:
(return to top)
p.000010:
p.000010: Proposals for research studies involving human participants will be exempt from review if they fall into any of the
p.000010: categories of research listed below:
p.000010:
p.000010: • Educational research involving normal educational practices, e.g. classroom instruction, strategies,
p.000010: curricula management techniques. This exemption does not apply in cases were school records of identifiable students
p.000010: are involved, or where teachers and instructors or other school personnel are interviewed about identifiable students.
p.000010:
p.000010: • Educational Tests and Measurements, e.g. diagnostic, aptitude and achievement tests. This exemption does not apply
p.000010: if the information, whether in the researchers‟ private data set or in a published form, could reasonably lead to the
p.000010: identification of the participants; or if the information disclosed outside of the research could place the subject at
p.000010: risk of criminal or civil liability or cause damage to the person‟s financial standing, employability or reputation.
p.000010:
p.000010: • Surveys or Interviews in which researchers‟ private data, field notes and published materials are so encoded that
p.000010: there is no likelihood that the identity of the human subjects will be revealed, will normally be exempt from review,
p.000010: unless the nature of the questions could clearly cause distress or even harm. Surveys and interviews of minors
p.000010: (children) are not exempted. Researchers conducting research in the Caribbean must therefore take into
p.000010: consideration the legal age of consent of children in the various islands and territories of the Caribbean.
p.000010:
p.000010: • Public Observation. All research involving the observation of public behaviour, including observation by
p.000010: participants, is exempted unless the observation is recorded in such a way that it can be linked to an
p.000010: identifiable human subject. However, sociological studies conducted on public personalities, such as authors,
p.000010: politicians and corporate leaders, or their work, are exempt, on the assumption that the resultant outputs will be
p.000010: guided by well established academic conventions of balance, good taste and fair play.
p.000010:
p.000010: • Existing Data. Research which involves the collection or study of existing data, documents, records,
p.000010: pathological specimens or diagnostic specimens is exempted if these are publically available, or if both the
p.000010: private data and the published material of the researcher is so recorded that there is no likelihood that the human
p.000010: subject may be identified, either directly or indirectly.
p.000010:
p.000010:
p.000010:
p.000010:
p.000011: 11
p.000011:
p.000011: The categories identified above are not exempted from review if any of the research subjects are persons
p.000011: who are: legally incompetent (e.g. minors); significantly mentally ill or impaired; imprisoned persons, residents of a
p.000011: nursing facility, or persons who are in any other way involuntarily confined. The categories are also not exempt if
p.000011: students of the University of the West Indies are subjects of the research being conducted.
p.000011:
...
p.000003: the participant‟s legally authorized representative, e.g., parent or guardian.
p.000003:
p.000003: The researcher must ensure that the participant, or his or her legal representative, is provided with
p.000003: sufficient opportunity and time to understand and carefully consider the request to participate in the research
p.000003: and thereby minimize the possibility that the consent is obtained through undue pressure, haste or influence.
p.000003:
p.000003: The researcher must also ensure that the information provided to the participant or his/her representative is in
p.000003: clearly understandable language. Informing the individual must not be
p.000003:
p.000003:
p.000003:
p.000003: 4 The Council for International Organizations of Medical Sciences in collaboration with the WHO International Ethical
p.000003: Guidelines for Biomedical research Involving Human Subjects p.20
p.000003:
p.000028: 28
p.000028:
p.000028: simply a ritual recitation of the content of a written document5. That is, in words and terms appropriate to the
p.000028: educational level of the participants. Every effort must be made to avoid the use of jargon and technical terms.
p.000028:
p.000028: Under no condition must the researcher appear to encourage the participant to waive any of his/her legal rights
p.000028: including releasing the researcher the sponsor or the University from any liability due to negligence.
p.000028:
p.000028: 5. Specific Considerations for Research with Children
p.000028:
p.000028: In addition to obtaining the consent of parents or guardians, researchers must still attempt to obtain the real consent
p.000028: of the child as long as the child is old enough to understand the principle of consent. Older children should be
p.000028: encouraged to sign the consent form with their parent or guardian. The researcher should also clearly explain to
p.000028: younger children that what they are doing is voluntary and that they could refuse to take part or withdrew if they
p.000028: wish. Even in cases where parental consent is obtained, researchers should not coerce children to continue
p.000028: participating in the absence of the child's assent. Assent is not required for essential medical treatment if parental
p.000028: consent for treatment is in place.
p.000028:
p.000028: 6. Specific Considerations For Research With Vulnerable Populations
p.000028:
p.000028: Campus Research Ethics Committees at UWI must make every reasonable effort to consider and protect the
p.000028: unique needs and rights of vulnerable groups, including, among others, prisoners, persons with disability, persons with
p.000028: reduced capacity for consent, and pregnant women. When considering projects involving vulnerable groups, Committees
p.000028: should make every effort to consult with advocates or members of the relevant group to inform the deliberations.
p.000028:
p.000028:
p.000028: 7. Research Involving Withholding Full Information on Research Objectives or Methodologies
p.000028:
p.000028: Certain types of research in certain disciplines, e.g., psychology, may require the withholding of full
...
Social / Linguistic Proficiency
Searching for indicator language:
(return to top)
p.000003: information necessary to arrive at an informed decision. The individual is required to have understood the information,
p.000003: considered the information and to have arrived at the decision without coercion, undue influence inducement
p.000003: or intimidation4.
p.000003:
p.000003: In almost all cases, the researcher must obtain the informed consent of each participant
p.000003: prior to the start of the research activities.
p.000003:
p.000003: In cases where the participant lacks capacity to provide informed consent, the researcher must obtain the consent of
p.000003: the participant‟s legally authorized representative, e.g., parent or guardian.
p.000003:
p.000003: The researcher must ensure that the participant, or his or her legal representative, is provided with
p.000003: sufficient opportunity and time to understand and carefully consider the request to participate in the research
p.000003: and thereby minimize the possibility that the consent is obtained through undue pressure, haste or influence.
p.000003:
p.000003: The researcher must also ensure that the information provided to the participant or his/her representative is in
p.000003: clearly understandable language. Informing the individual must not be
p.000003:
p.000003:
p.000003:
p.000003: 4 The Council for International Organizations of Medical Sciences in collaboration with the WHO International Ethical
p.000003: Guidelines for Biomedical research Involving Human Subjects p.20
p.000003:
p.000028: 28
p.000028:
p.000028: simply a ritual recitation of the content of a written document5. That is, in words and terms appropriate to the
p.000028: educational level of the participants. Every effort must be made to avoid the use of jargon and technical terms.
p.000028:
p.000028: Under no condition must the researcher appear to encourage the participant to waive any of his/her legal rights
p.000028: including releasing the researcher the sponsor or the University from any liability due to negligence.
p.000028:
p.000028: 5. Specific Considerations for Research with Children
p.000028:
p.000028: In addition to obtaining the consent of parents or guardians, researchers must still attempt to obtain the real consent
p.000028: of the child as long as the child is old enough to understand the principle of consent. Older children should be
p.000028: encouraged to sign the consent form with their parent or guardian. The researcher should also clearly explain to
...
Social / Presence of Coercion
Searching for indicator coerce:
(return to top)
p.000028: educational level of the participants. Every effort must be made to avoid the use of jargon and technical terms.
p.000028:
p.000028: Under no condition must the researcher appear to encourage the participant to waive any of his/her legal rights
p.000028: including releasing the researcher the sponsor or the University from any liability due to negligence.
p.000028:
p.000028: 5. Specific Considerations for Research with Children
p.000028:
p.000028: In addition to obtaining the consent of parents or guardians, researchers must still attempt to obtain the real consent
p.000028: of the child as long as the child is old enough to understand the principle of consent. Older children should be
p.000028: encouraged to sign the consent form with their parent or guardian. The researcher should also clearly explain to
p.000028: younger children that what they are doing is voluntary and that they could refuse to take part or withdrew if they
p.000028: wish. Even in cases where parental consent is obtained, researchers should not coerce children to continue
p.000028: participating in the absence of the child's assent. Assent is not required for essential medical treatment if parental
p.000028: consent for treatment is in place.
p.000028:
p.000028: 6. Specific Considerations For Research With Vulnerable Populations
p.000028:
p.000028: Campus Research Ethics Committees at UWI must make every reasonable effort to consider and protect the
p.000028: unique needs and rights of vulnerable groups, including, among others, prisoners, persons with disability, persons with
p.000028: reduced capacity for consent, and pregnant women. When considering projects involving vulnerable groups, Committees
p.000028: should make every effort to consult with advocates or members of the relevant group to inform the deliberations.
p.000028:
p.000028:
p.000028: 7. Research Involving Withholding Full Information on Research Objectives or Methodologies
p.000028:
p.000028: Certain types of research in certain disciplines, e.g., psychology, may require the withholding of full
...
Social / Property Ownership
Searching for indicator property:
(return to top)
p.000004: norms governing the conduct of the research.
p.000004:
p.000004: 3.5 Responsibility of Supervisors of Student Researchers
p.000004:
p.000004:
p.000004:
p.000005: 5
p.000005:
p.000005: All student research conducted at the University of the West Indies must be guided and supervised by a member of
p.000005: the University‟s faculty, even if only as a co-supervisor. Supervisors and co-supervisors are responsible for
p.000005: informing the student of his or her obligations in respect of the ethical conduct of research, and for taking the
p.000005: measures necessary to ensure that the student‟s research is conducted within the established ethical
p.000005: policies and guidelines.
p.000005:
p.000005: Supervisors are also responsible for ensuring that, where required, student researchers obtain the necessary
p.000005: approvals prior to the start of their research project. The Chief Supervisor is responsible for co-signing
p.000005: the submission documents that may be necessary for ethical review of the student‟s research.
p.000005:
p.000005:
p.000005: 4. Rules and Regulations
p.000005:
p.000005: Research projects must be conducted with due consideration for all University Policies, including, inter alia, this
p.000005: Policy, University Ordinances, the Financial Code, Financial Procedures, Financial Rules and Regulations and the
p.000005: University‟s Policy on Intellectual Property.
p.000005:
p.000005:
p.000005: 5. The Duty of Honesty and Integrity
p.000005:
p.000005: Researchers are expected to maintain the highest standards of honesty and integrity. Any form of academic dishonesty,
p.000005: including but not limited to the activities identified below, is a serious offence. However, nothing in the provisions
p.000005: of this policy is intended to impugn the actions of a person who exercises judgment, or interprets data, or reports
p.000005: results in a way that may simply be the consequence of reasonable differences of opinion.
p.000005:
p.000005: 5.1 Falsification of Data
p.000005:
p.000005: The gathering, analysis and reporting of data must be undertaken with honesty and integrity. Researchers
p.000005: should never publish as true, data they know to be false or the result of deliberate acts of falsification.
p.000005:
p.000005: 5.2 Plagiarism
p.000005:
p.000005: Plagiarism is an act of academic dishonesty and is considered to be misconduct meriting severe disciplinary penalties.
p.000005: Researchers should not knowingly represent the published or unpublished work of another person as their own or assist
p.000005: anyone else in doing so. The use of work done by other persons must be appropriately and adequately
p.000005: acknowledged.
p.000005:
p.000005:
p.000005:
p.000005:
p.000006: 6
p.000006:
p.000006: Upon demonstration that a researcher has misappropriated another person‟s work and represented it as his or her own,
p.000006: the researcher will bear the burden of rebutting the presumption of plagiarism. Procedures for dealing with the
p.000006: presumption of plagiarism by graduate students are provided in the University of the West Indies Policy on Graduate
p.000006: Student Plagiarism.
p.000006:
...
p.000006: interest that may be relevant to the performance of their duties on the Committee.
p.000006:
p.000006: 5.4 Misuse of Research Funds
p.000006:
p.000006: Where a research funding body provides guidelines on the use of research funds, Principal Investigators and
p.000006: other researchers must adhere to these guidelines stringently. They must also follow all University guidelines and
p.000006: codes relating to the management and disbursement of funds. Should misuse of research funds occur, including the
p.000006: failure to account for funds, offenders will be subject to the disciplinary procedures of the University under
p.000006: Ordinance 8.
p.000006: 5.5 The Duty to Acknowledge Sources of Funding
p.000006:
p.000006: All public and private sources of funding, including grants, contracts and gifts, among others, used in the conduct of
p.000006: research should be acknowledged in resulting publications.
p.000006:
p.000006:
p.000006: 6. Ethical Treatment of Data
p.000006: 6.1 Definition of Data
p.000006:
p.000006: “Data” in this document is taken to include the actual research results, the analysis and interpretations by the
p.000006: researchers, and the methodology used to obtain the results.
p.000006:
p.000006: 6.2 Gathering of Data
p.000006:
p.000006: Data must be organised in a manner that allows ready verification, and must be gathered in accordance with the
p.000006: principles governing the use of human and animal subjects (see Articles 10 and 11).
p.000006:
p.000007: 7
p.000007:
p.000007: 6.3 Availability of Data
p.000007:
p.000007: Subject to exceptions based on a duty of confidentiality and the laws respecting intellectual property and
p.000007: access to information, after data are published, they must be made available to any party presenting a reasonable
p.000007: request to examine them. Where there is a disagreement between the researcher and the person requesting the data, the
p.000007: matter shall be referred to the School for Graduate Studies and Research for resolution.
p.000007:
p.000007:
p.000007: 6.4 Maintenance of Data
p.000007:
p.000007: All original data must be retained in paper or electronic format for at least five years from the date of publication.
p.000007:
p.000007:
p.000007: 7. Collaborative Research
p.000007: 7.1 Attribution of Authorship and Copyright Ownership
p.000007:
p.000007: Research collaborators should establish, as early as possible, the manner in which authorship will be
p.000007: attributed, as well as the allocation of copyright.
p.000007:
p.000007: 7.1.1 Rules for the Attribution of Authorship
p.000007:
p.000007: In the absence of an a priori agreement among researchers, the following rules will govern the attribution of
p.000007: authorship:
p.000007:
p.000007: (a) Authorship is attributed to all those persons, whether staff or students, who have made significant scholarly
p.000007: contributions to the work and who share responsibility and accountability for the results.
p.000007:
p.000007: (b) An administrative relationship to the investigation does not of itself qualify a person for co-authorship.
p.000007:
p.000007: (c) The order of the names in a publication is decided according to the quality of the contribution, the extent
p.000007: of the responsibility and accountability for the results, and the customs of the discipline.
p.000007:
p.000007: (d) The attribution of authorship is not affected by whether researchers were paid for their contributions or by
p.000007: their employment status.
p.000007:
p.000007:
p.000007:
p.000007:
p.000008: 8
p.000008:
p.000008: 7.1.2 The Status of the Student in Attribution of Authorship
p.000008:
p.000008: The guidelines and rules in Articles 7.1 and 7.1.1 apply whether the collaborators are staff or students. Further to
p.000008: these rules, when a multi-authored article is based primarily on a student‟s research, the student should be granted
p.000008: priority prominence on the list of co- authors, according to the practice in the discipline.
p.000008:
p.000008: 7.1.3 Duties of the Principal Author in Attribution of Authorship
p.000008:
p.000008: In the absence of an a priori agreement among collaborating researchers, the following additional rules apply:
p.000008:
p.000008: (a) The author who submits a manuscript for publication accepts the responsibility of including as co-authors all
p.000008: persons who are entitled to co-authorship, and none who are not so entitled.
p.000008:
p.000008: (b) The submitting author should send to each co-author a draft copy of the manuscript in advance of submission,
p.000008: and should make every reasonable attempt to obtain consent to co-authorship, including the order of authorship.
p.000008:
p.000008: (c) Other contributions to the manuscript should be indicated in a footnote or an
p.000008: „Acknowledgments‟ section, in accordance with the practice in the discipline and the publisher.
p.000008:
p.000008: 7.1.4 Ownership of Copyright
p.000008:
p.000008: The University of the West Indies Policy on Intellectual Property, as well as relevant national
p.000008: legislation, governs copyright issues in relation to research undertaken by staff and students.
p.000008:
p.000008: 7.2 Disputes among Co-Researchers
p.000008:
p.000008: The provisions of this Article govern disputes between co-researchers. They do not govern allegations of
p.000008: misconduct under this Policy. Allegations of misconduct are dealt with in Article 12.
p.000008:
p.000008: 7.2.1 The Duty on the Parties to Resolve Disputes
p.000008:
p.000008: When disputes between co-researchers arise, they should be resolved amicably, in a respectful and collegial
p.000008: fashion, and in good faith. Where a dispute cannot be resolved by the parties themselves, they should seek the advice
p.000008: of the appropriate authorities in their unit, who may help them resolve the dispute in any way in which the parties may
p.000008:
p.000008:
p.000009: 9
p.000009:
p.000009: agree, including conciliation, mediation, and binding and non-binding arbitration. To this end, the parties may agree
p.000009: that other persons become involved in the dispute in order to help facilitate its resolution. The parties may
p.000009: stipulate that their own involvement in any dispute resolution process is without prejudice to their rights in any
p.000009: subsequent process.
p.000009:
p.000009: 7.2.2 The Duty of the University to Facilitate the Resolution of Disputes
p.000009:
p.000009: Although the University has no obligation to ensure that disputes are resolved, since the resolution of disputes is
p.000009: ultimately subject to the will of the parties to the dispute, the University has a duty to help facilitate the
p.000009: resolution of disputes, in accordance with the guidelines below:
p.000009:
...
Social / Religion
Searching for indicator faith:
(return to top)
p.000008:
p.000008: 7.1.3 Duties of the Principal Author in Attribution of Authorship
p.000008:
p.000008: In the absence of an a priori agreement among collaborating researchers, the following additional rules apply:
p.000008:
p.000008: (a) The author who submits a manuscript for publication accepts the responsibility of including as co-authors all
p.000008: persons who are entitled to co-authorship, and none who are not so entitled.
p.000008:
p.000008: (b) The submitting author should send to each co-author a draft copy of the manuscript in advance of submission,
p.000008: and should make every reasonable attempt to obtain consent to co-authorship, including the order of authorship.
p.000008:
p.000008: (c) Other contributions to the manuscript should be indicated in a footnote or an
p.000008: „Acknowledgments‟ section, in accordance with the practice in the discipline and the publisher.
p.000008:
p.000008: 7.1.4 Ownership of Copyright
p.000008:
p.000008: The University of the West Indies Policy on Intellectual Property, as well as relevant national
p.000008: legislation, governs copyright issues in relation to research undertaken by staff and students.
p.000008:
p.000008: 7.2 Disputes among Co-Researchers
p.000008:
p.000008: The provisions of this Article govern disputes between co-researchers. They do not govern allegations of
p.000008: misconduct under this Policy. Allegations of misconduct are dealt with in Article 12.
p.000008:
p.000008: 7.2.1 The Duty on the Parties to Resolve Disputes
p.000008:
p.000008: When disputes between co-researchers arise, they should be resolved amicably, in a respectful and collegial
p.000008: fashion, and in good faith. Where a dispute cannot be resolved by the parties themselves, they should seek the advice
p.000008: of the appropriate authorities in their unit, who may help them resolve the dispute in any way in which the parties may
p.000008:
p.000008:
p.000009: 9
p.000009:
p.000009: agree, including conciliation, mediation, and binding and non-binding arbitration. To this end, the parties may agree
p.000009: that other persons become involved in the dispute in order to help facilitate its resolution. The parties may
p.000009: stipulate that their own involvement in any dispute resolution process is without prejudice to their rights in any
p.000009: subsequent process.
p.000009:
p.000009: 7.2.2 The Duty of the University to Facilitate the Resolution of Disputes
p.000009:
p.000009: Although the University has no obligation to ensure that disputes are resolved, since the resolution of disputes is
p.000009: ultimately subject to the will of the parties to the dispute, the University has a duty to help facilitate the
p.000009: resolution of disputes, in accordance with the guidelines below:
p.000009:
p.000009: • If the dispute is between individuals working under a Principal Investigator, the Principal Investigator will
p.000009: attempt to resolve the matter.
p.000009: • If the Principal Investigator is involved in the dispute, the Head of Department, or the Dean of the Faculty if
p.000009: staff from more than one Department is involved, should attempt to resolve the matter.
p.000009: • If the Head or Dean is involved in the dispute, or if any party involved in the dispute objects to the
p.000009: investigation of the Head or Dean, the Pro Vice Chancellor (Research) shall be informed and may either
p.000009: investigate the dispute and attempt to resolve it, or nominate a senior academic staff member, acceptable to
...
Social / Student
Searching for indicator student:
(return to top)
p.000004:
p.000004:
p.000004: FGP.P2C 2010/2011
p.000004:
p.000004:
p.000004:
p.000004: The University of the West Indies
p.000004:
p.000004:
p.000004: Policy and Procedures on Research Ethics
p.000004:
p.000004:
p.000004:
p.000004:
p.000004:
p.000004: The School for Graduate Studies and Research*
p.000004:
p.000004:
p.000004:
p.000004:
p.000004:
p.000004:
p.000004: February, 2011
p.000004:
p.000004:
p.000004: * The Pro Vice Chancellor (Research) wishes to acknowledge the intellectual input of Gale Hall, Cheryl Brown, Anthony
p.000004: Mullings, Mike Campbell and David Rampersad in contributing to the development of a revised and expanded version of the
p.000004: University of the West Indies Policy and Procedures on Research Ethics; and the role of Gale Hall, with input
p.000004:
p.000004: from Mike Campbell and David Rampersad, in preparing drafts of the document. The input of the many other UWI colleagues
p.000004: who made comments, suggestions and recommendations on earlier drafts is also gratefully acknowledged; their input
p.000004: significantly improved the quality of the document. Any errors, omissions or inaccuracies remaining are the
p.000004: responsibility of the Pro Vice Chancellor (Research).
p.000004: Table of Contents
p.000004: 1. Background
p.000004: 4
p.000004: 2. Introduction
p.000004: 4
p.000004: 3. Responsibilities
p.000004: 4
p.000004: 3.1 Responsibility of the University
p.000004: 4
p.000004: 3.2 Responsibility of the Office of Research
p.000005: 5
p.000005: 3.3 Responsibility of Directors, Deans and Heads
p.000005: 5
p.000005: 3.4 Responsibility of Researchers
p.000005: 5
p.000005: 3.5 Responsibility of Supervisors of Student Researchers 5
p.000005: 4. Rules and Regulations
p.000006: 6
p.000006: 5. The Duty of Honesty and Integrity 6
p.000006: 5.1 Falsification of Data
p.000006: 6
p.000006: 5.2 Plagiarism
p.000006: 6
p.000006: 5.3 Conflict of Interest
p.000007: 7
p.000007: 5.4 Misuse of Research Funds
p.000007: 7
p.000007: 5.5 The Duty to Acknowledge Sources of Funding 7
p.000007: 6. Ethical Treatment of Data
p.000007: 7
p.000007: 6.1 Definition of Data
p.000007: 7
p.000007: 6.2 Gathering of Data
p.000007: 7
p.000007: 6.3 Availability of Data
p.000008: 8
p.000008: 6.4 Maintenance of Data
p.000008: 8
p.000008: 7. Collaborative Research
p.000008: 8
p.000008: 7.1 Attribution of Authorship and Copyright Ownership 8
p.000008: 7.1.1 Rules for the Attribution of Authorship
p.000008: 8
p.000008: 7.1.2 The Status of the Student in Attribution of Authorship 9
p.000008: 7.1.3 Duties of the Principal Author in Attribution of Authorship 9
p.000008: 7.1.4 Ownership of Copyright
p.000009: 9
p.000009: 7.2 Disputes among Co-Researchers
p.000009: 9
p.000009: 7.2.1 The Duty on the Parties to Resolve Disputes 9
p.000009: 7.2.2 The Duty of the University to Facilitate the Resolution of Disputes 10
p.000009: 8. Research Ethics Committees at the University of the West Indies 10
p.000009: 9. The Research Ethics Review Process 11
p.000009: 9.1 Exemptions from Review
p.000011: 11
p.000011: 9.2 Full Reviews
p.000012: 12
p.000012: 9.3 Expedited Review
p.000012: 12
p.000012: 9.4 Results of the Review
p.000013: 13
p.000013: 9.5 Continuing Review
p.000013: 13
p.000013: 9.6 Appellate Review
p.000013: 13
p.000013: 10. Research with Human Participants 13
p.000013: 11. Animal Research
p.000014: 14
p.000014:
p.000014: 12. Disciplinary Action and Grievance 14
p.000014: Appendix 1
p.000014: 14
p.000014: Appendix 2
p.000017: 17
p.000017: Appendix 3
p.000020: 20
p.000020: Appendix 4
p.000022: 22
p.000022: Appendix 5
p.000023: 23
p.000023: Appendix 6
p.000026: 26
p.000026: Appendix 7
p.000032: 32
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
...
p.000004: for ensuring that the University‟s policies on research ethics are publicized, promoted and adhered to.
p.000004: Abstracts of all research proposals submitted to the Campus Research Ethics Committee (see Section 8) must be copied to
p.000004: the Head of Department and Dean, or Director in the case of Centres and Institutes. Abstracts of research proposals
p.000004: deemed to be exempt from ethical review (see Section 9.1) must also be copied to the Head of Department. The Deans, or
p.000004: Directors in the case of Centres and Institutes, shall keep a register of all research projects not submitted to the
p.000004: Campus Research Ethics Committee and shall provide a report of these projects (Title and Abstract) to the
p.000004: Campus and University Research Ethics Committees at the end of each Academic Year.
p.000004:
p.000004: 3.4 Responsibility of Researchers
p.000004:
p.000004: The primary responsibility for the content and conduct of research rests with the individuals performing
p.000004: the research. Researchers bear the principal responsibility for protecting the well-being, human rights and
p.000004: dignity of their human participants and for the humane treatment of animal subjects. In the case of collaborative or
p.000004: team research, the Research Director or Principal Investigator is obliged to ensure that the members of the research
p.000004: team or group are aware of and are complying with the contents of this Policy, as well as with other applicable ethical
p.000004: norms governing the conduct of the research.
p.000004:
p.000004: 3.5 Responsibility of Supervisors of Student Researchers
p.000004:
p.000004:
p.000004:
p.000005: 5
p.000005:
p.000005: All student research conducted at the University of the West Indies must be guided and supervised by a member of
p.000005: the University‟s faculty, even if only as a co-supervisor. Supervisors and co-supervisors are responsible for
p.000005: informing the student of his or her obligations in respect of the ethical conduct of research, and for taking the
p.000005: measures necessary to ensure that the student‟s research is conducted within the established ethical
p.000005: policies and guidelines.
p.000005:
p.000005: Supervisors are also responsible for ensuring that, where required, student researchers obtain the necessary
p.000005: approvals prior to the start of their research project. The Chief Supervisor is responsible for co-signing
p.000005: the submission documents that may be necessary for ethical review of the student‟s research.
p.000005:
p.000005:
p.000005: 4. Rules and Regulations
p.000005:
p.000005: Research projects must be conducted with due consideration for all University Policies, including, inter alia, this
p.000005: Policy, University Ordinances, the Financial Code, Financial Procedures, Financial Rules and Regulations and the
p.000005: University‟s Policy on Intellectual Property.
p.000005:
p.000005:
p.000005: 5. The Duty of Honesty and Integrity
p.000005:
p.000005: Researchers are expected to maintain the highest standards of honesty and integrity. Any form of academic dishonesty,
p.000005: including but not limited to the activities identified below, is a serious offence. However, nothing in the provisions
p.000005: of this policy is intended to impugn the actions of a person who exercises judgment, or interprets data, or reports
p.000005: results in a way that may simply be the consequence of reasonable differences of opinion.
p.000005:
p.000005: 5.1 Falsification of Data
p.000005:
p.000005: The gathering, analysis and reporting of data must be undertaken with honesty and integrity. Researchers
p.000005: should never publish as true, data they know to be false or the result of deliberate acts of falsification.
p.000005:
p.000005: 5.2 Plagiarism
p.000005:
p.000005: Plagiarism is an act of academic dishonesty and is considered to be misconduct meriting severe disciplinary penalties.
p.000005: Researchers should not knowingly represent the published or unpublished work of another person as their own or assist
p.000005: anyone else in doing so. The use of work done by other persons must be appropriately and adequately
p.000005: acknowledged.
p.000005:
p.000005:
p.000005:
p.000005:
p.000006: 6
p.000006:
p.000006: Upon demonstration that a researcher has misappropriated another person‟s work and represented it as his or her own,
p.000006: the researcher will bear the burden of rebutting the presumption of plagiarism. Procedures for dealing with the
p.000006: presumption of plagiarism by graduate students are provided in the University of the West Indies Policy on Graduate
p.000006: Student Plagiarism.
p.000006:
p.000006: 5.3 Conflict of Interest
p.000006:
p.000006: A conflict of interest arises when the researcher has a material interest, whether personal, financial, professional,
p.000006: or otherwise, that may conflict with the researcher‟s duty of honesty and integrity. Where a conflict of
p.000006: interest arises, a researcher is required to disclose that interest to the appropriate University authorities,
p.000006: including the University‟s Committee on Research Ethics.
p.000006:
p.000006: Members of any Research Ethics Committee of the University are required to disclose any actual or potential conflict of
p.000006: interest that may be relevant to the performance of their duties on the Committee.
p.000006:
p.000006: 5.4 Misuse of Research Funds
p.000006:
p.000006: Where a research funding body provides guidelines on the use of research funds, Principal Investigators and
p.000006: other researchers must adhere to these guidelines stringently. They must also follow all University guidelines and
p.000006: codes relating to the management and disbursement of funds. Should misuse of research funds occur, including the
p.000006: failure to account for funds, offenders will be subject to the disciplinary procedures of the University under
p.000006: Ordinance 8.
p.000006: 5.5 The Duty to Acknowledge Sources of Funding
p.000006:
p.000006: All public and private sources of funding, including grants, contracts and gifts, among others, used in the conduct of
p.000006: research should be acknowledged in resulting publications.
p.000006:
p.000006:
p.000006: 6. Ethical Treatment of Data
p.000006: 6.1 Definition of Data
p.000006:
...
p.000007: request to examine them. Where there is a disagreement between the researcher and the person requesting the data, the
p.000007: matter shall be referred to the School for Graduate Studies and Research for resolution.
p.000007:
p.000007:
p.000007: 6.4 Maintenance of Data
p.000007:
p.000007: All original data must be retained in paper or electronic format for at least five years from the date of publication.
p.000007:
p.000007:
p.000007: 7. Collaborative Research
p.000007: 7.1 Attribution of Authorship and Copyright Ownership
p.000007:
p.000007: Research collaborators should establish, as early as possible, the manner in which authorship will be
p.000007: attributed, as well as the allocation of copyright.
p.000007:
p.000007: 7.1.1 Rules for the Attribution of Authorship
p.000007:
p.000007: In the absence of an a priori agreement among researchers, the following rules will govern the attribution of
p.000007: authorship:
p.000007:
p.000007: (a) Authorship is attributed to all those persons, whether staff or students, who have made significant scholarly
p.000007: contributions to the work and who share responsibility and accountability for the results.
p.000007:
p.000007: (b) An administrative relationship to the investigation does not of itself qualify a person for co-authorship.
p.000007:
p.000007: (c) The order of the names in a publication is decided according to the quality of the contribution, the extent
p.000007: of the responsibility and accountability for the results, and the customs of the discipline.
p.000007:
p.000007: (d) The attribution of authorship is not affected by whether researchers were paid for their contributions or by
p.000007: their employment status.
p.000007:
p.000007:
p.000007:
p.000007:
p.000008: 8
p.000008:
p.000008: 7.1.2 The Status of the Student in Attribution of Authorship
p.000008:
p.000008: The guidelines and rules in Articles 7.1 and 7.1.1 apply whether the collaborators are staff or students. Further to
p.000008: these rules, when a multi-authored article is based primarily on a student‟s research, the student should be granted
p.000008: priority prominence on the list of co- authors, according to the practice in the discipline.
p.000008:
p.000008: 7.1.3 Duties of the Principal Author in Attribution of Authorship
p.000008:
p.000008: In the absence of an a priori agreement among collaborating researchers, the following additional rules apply:
p.000008:
p.000008: (a) The author who submits a manuscript for publication accepts the responsibility of including as co-authors all
p.000008: persons who are entitled to co-authorship, and none who are not so entitled.
p.000008:
p.000008: (b) The submitting author should send to each co-author a draft copy of the manuscript in advance of submission,
p.000008: and should make every reasonable attempt to obtain consent to co-authorship, including the order of authorship.
p.000008:
p.000008: (c) Other contributions to the manuscript should be indicated in a footnote or an
p.000008: „Acknowledgments‟ section, in accordance with the practice in the discipline and the publisher.
p.000008:
p.000008: 7.1.4 Ownership of Copyright
p.000008:
p.000008: The University of the West Indies Policy on Intellectual Property, as well as relevant national
p.000008: legislation, governs copyright issues in relation to research undertaken by staff and students.
p.000008:
p.000008: 7.2 Disputes among Co-Researchers
p.000008:
p.000008: The provisions of this Article govern disputes between co-researchers. They do not govern allegations of
p.000008: misconduct under this Policy. Allegations of misconduct are dealt with in Article 12.
p.000008:
p.000008: 7.2.1 The Duty on the Parties to Resolve Disputes
p.000008:
...
p.000009: attempt to resolve the matter.
p.000009: • If the Principal Investigator is involved in the dispute, the Head of Department, or the Dean of the Faculty if
p.000009: staff from more than one Department is involved, should attempt to resolve the matter.
p.000009: • If the Head or Dean is involved in the dispute, or if any party involved in the dispute objects to the
p.000009: investigation of the Head or Dean, the Pro Vice Chancellor (Research) shall be informed and may either
p.000009: investigate the dispute and attempt to resolve it, or nominate a senior academic staff member, acceptable to
p.000009: the parties, who will attempt to resolve the matter.
p.000009:
p.000009:
p.000009: 8. Research Ethics Committees at the University of the West Indies
p.000009:
p.000009: The University of the West Indies Committee on Research Ethics is the University body responsible for developing,
p.000009: coordinating and ensuring the implementation of the University‟s policies and procedures for the ethical
p.000009: conduct of research. The mandate, responsibilities and composition of this Committee are provided in Appendix
p.000009: 1 of this document.
p.000009:
p.000009: There will be a Campus Research Ethics Committee on each Campus that will conduct activities on that Campus on behalf
p.000009: of the UWI Committee on Research Ethics. The Campus Committees will review and approve, or otherwise provide
p.000009: feedback on, student and faculty research proposals which involve human participants, invasive or
p.000009: experimental work on live animals, endangered species, or research with potential to harm the environment
p.000009: or human groups that are not themselves the subjects of the research. The mandate, responsibilities and
p.000009: composition of the Campus Committee are provided in Appendix 2 of this document.
p.000009:
p.000009:
p.000009:
p.000009:
p.000009:
p.000009:
p.000009:
p.000009:
p.000010: 10
p.000010:
p.000010: 9. The Research Ethics Review Process
p.000010: 9.1 Exemptions from Review
p.000010:
p.000010: Proposals for research studies on live animals that are purely observational will be exempt from review.
p.000010:
p.000010: Proposals for research studies involving human participants will be exempt from review if they fall into any of the
p.000010: categories of research listed below:
p.000010:
p.000010: • Educational research involving normal educational practices, e.g. classroom instruction, strategies,
p.000010: curricula management techniques. This exemption does not apply in cases were school records of identifiable students
p.000010: are involved, or where teachers and instructors or other school personnel are interviewed about identifiable students.
p.000010:
p.000010: • Educational Tests and Measurements, e.g. diagnostic, aptitude and achievement tests. This exemption does not apply
p.000010: if the information, whether in the researchers‟ private data set or in a published form, could reasonably lead to the
...
p.000014:
p.000014: 1 Should the proposed University of the West Indies Centre for Ethics be established, the Director of that Centre will
p.000014: be a Member of the UWI Committee on Research Ethics.
p.000014:
p.000014:
p.000015: 15
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000015:
p.000016: 16
p.000016:
p.000016: Appendix 2
p.000016:
p.000016: Campus Research Ethics Committees
p.000016:
p.000016: There will be a Research Ethics Committee on each Campus that will conduct activities on that Campus on behalf of
p.000016: the UWI Committee on Research Ethics. The Campus Committees will be formed through appropriate modifications of
p.000016: any existing Research Ethics Committees currently operative on the Campuses. The Campus Committees will review and
p.000016: approve, or otherwise provide feedback on, all student and faculty research proposals which involve human participants
p.000016: (but see Exemptions in Article 9.1), or have the potential to negatively impact human groups that are not themselves
p.000016: the subjects of the research; as well as all proposals involving invasive or experimental procedures on live animals,
p.000016: requiring the collection and harvesting of endangered species, or having the potential to result in significant
p.000016: negative environmental impact. No research involving any of the above will proceed without the explicit and written
p.000016: approval of the relevant Campus Committee.
p.000016:
p.000016: The principal responsibilities of the Campus Research Ethics Committees are to:
p.000016:
p.000016: • Review prospectively all research protocols involving human subjects to ensure that they meet the required
p.000016: ethical and scientific standards, as well as those protocols with the potential to impact negatively on
p.000016: human groups that are not themselves the subjects of the research.
p.000016: • Review prospectively all protocols involving experimental or invasive procedures on animals to ensure their humane
p.000016: treatment in accordance with UWI guidelines, national legislation and international best practice.
p.000016: • Review prospectively all protocols involving the use of endangered species, as well as those with potential for
p.000016: significant negative environmental impact.
p.000016: • Monitor practices for recruiting individuals in research involving human participants to manage multiple enrolments
p.000016: and misuse of relational power in the recruitment process.
...
p.000018:
p.000018: The University Research Ethics Committee may pursue registration or accreditation of individual Campus Research Ethics
p.000018: Committees with external agencies, as appropriate and valuable.
p.000018:
p.000018: The University recognises the level of commitment required for Research Ethics Committee service and will
p.000018: take this into account in decisions relating to assessment, promotion and distribution of workload.
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000018:
p.000019: 19
p.000019:
p.000019: Appendix 3
p.000019:
p.000019: Campus Research Ethics Committee
p.000019:
p.000019: Information Requirements for Research Proposals in Applications for Ethical Approval
p.000019:
p.000019: 1. A Cover Page that includes:
p.000019: • The Title of the Research Project.
p.000019: • The Names of the Investigators and Collaborators, with affiliations.
p.000019: • An Abstract that summarises the Aims, Methodology, Location and Time Frame for the Study.
p.000019: • The Signature of the Principal Investigator
p.000019: If the Investigator is a student, the Cover Page must also include the name of the student‟s Supervisor and the
p.000019: Supervisor‟s signature indicating support of the Project.
p.000019: 2. Background and Rationale for Study
p.000019: 3. Aims, Objectives and Hypotheses (if applicable)
p.000019: 4. Methodological and Financial Details of the Study
p.000019: • Overall Study Design
p.000019: • Location and Time Frame of Study
p.000019: • Participants or subjects (Study Population), inclusion and exclusion criteria and sample size
p.000019: • Data Collection Instruments (e.g. measurements, questionnaires)
p.000019: • Methods of Data Analysis
p.000019: • Materials and Procedures to be administered to participants or subjects (e.g. drugs, diet)
p.000019: • Treatments or beneficial procedures that may be withheld from participants
p.000019: • Samples to be taken from participants or subjects, including methods of processing
p.000019: • Discomfort, inconvenience, side effects and financial costs to participants
p.000019: • Benefits to participants, including payments or payments in kind
p.000019: • Impacts of the study on human groups that are not participants in the study (where applicable)
p.000019: • Impacts of the study on the environment (where applicable)
p.000019: • Funding Sources for the Project
p.000019: 5. Confidentiality
p.000019: • Methods for storing and securing study data
p.000019: • Methods for protecting participants‟ confidentiality
p.000019: 6. Expected Outcomes of the Project
p.000019: • How the results will be disseminated (reporting, publication)
p.000019: • How the results will be acted upon for both the participants and the community
p.000019: 7. Qualifications of the Principal Investigator and Collaborators
p.000019:
p.000019:
p.000019:
p.000019:
p.000019:
p.000020: 20
p.000020:
...
p.000025: of Biomedical and Behavioural Research (The Belmont Report, 1979). The University also subscribes to the
p.000025: principles and philosophy articulated by the World Medical Association (commencing with Alma Ata and Helsinki; most
p.000025: recent revision in 2008) and the Council for International Organisations of Medical Sciences (2009). This policy
p.000025: hereby sets out the Policies, Procedures and administrative structures for the ethical review of human
p.000025: subject research, in all faculties of the University of the West Indies.
p.000025:
p.000025: 2. Definitions
p.000025:
p.000025: 2.1 Research
p.000025:
p.000025: Research means a systematic investigation designed to develop or contribute to generalized knowledge. Pilot
p.000025: Testing is usually considered part of the research2, but need not require ethical approval unless the testing may
p.000025: itself engender risk of harm.
p.000025:
p.000025: Class room instruction, surveys for evaluating the performance of faculty or students, or studies for institutional use
p.000025: only, students‟ coursework and undergraduate theses (unless the intention is to make them available to the
p.000025: public or to other researchers) are not considered part of research for the purposes of this policy.
p.000025: However, UWI faculty members, especially Supervisors, must ensure that all student researchers ensure the well-being
p.000025: of their participants even when the work does not qualify as research.
p.000025:
p.000025: 2.2 Human participants
p.000025:
p.000025: Human subject refers to a living person about whom a researcher obtains (a) data through interventions or
p.000025: interactions with the person or (b) identifiable private information
p.000025:
p.000025:
p.000025:
p.000025:
p.000025: 2 US Office of Human Subject Research. Code of Federal Regulations Title 45 Public Welfare Part 46 Protection of Human
p.000025: Subjects P.6
p.000025:
p.000026: 26
p.000026:
p.000026: (observations or private record). A person may be a human participant when a researcher obtains data about him/her from
p.000026: a third party as well as from the person directly3.
p.000026:
p.000026:
p.000026: 2.3 Interventions
p.000026:
p.000026: Interventions include both medical and physical procedures and manipulation of the participant or the
p.000026: participant‟s environment that are performed for research purposes.3
p.000026:
p.000026: 2.4 Interaction
p.000026:
p.000026: Interaction includes communication or interpersonal contact between investigator and participant.
p.000026:
p.000026: 2.5 Identifiable
p.000026:
p.000026: Identifiable implies that the identity of the participant is or may be readily ascertained by the investigator or
p.000026: associated with the information obtained as part of the research.4
p.000026:
p.000026: 2.6 Private information
p.000026:
p.000026: Private information includes information about behaviour that occurs in a context in which an individual can reasonably
...
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p.000028: younger children that what they are doing is voluntary and that they could refuse to take part or withdrew if they
p.000028: wish. Even in cases where parental consent is obtained, researchers should not coerce children to continue
p.000028: participating in the absence of the child's assent. Assent is not required for essential medical treatment if parental
p.000028: consent for treatment is in place.
p.000028:
p.000028: 6. Specific Considerations For Research With Vulnerable Populations
p.000028:
p.000028: Campus Research Ethics Committees at UWI must make every reasonable effort to consider and protect the
p.000028: unique needs and rights of vulnerable groups, including, among others, prisoners, persons with disability, persons with
p.000028: reduced capacity for consent, and pregnant women. When considering projects involving vulnerable groups, Committees
p.000028: should make every effort to consult with advocates or members of the relevant group to inform the deliberations.
p.000028:
p.000028:
p.000028: 7. Research Involving Withholding Full Information on Research Objectives or Methodologies
p.000028:
p.000028: Certain types of research in certain disciplines, e.g., psychology, may require the withholding of full
p.000028: information about the objectives of the research from the particpants. In such cases, the researcher may request the
p.000028: use of a modified Informed Consent form. In other types of research, it may be necessary to conduct surveillance (e.g.
p.000028: criminological research).
p.000028:
p.000028: The Campus Research Ethics Committee must pay particular attention to these cases. Where it is established that
p.000028: this type of research will contribute to knowledge and understanding, the researcher is expected to justify
p.000028: that alternative procedures are not available or feasible and that the withholding of information is integral to the
p.000028: viability of the research. The researcher is still expected to obtain the participant‟s consent and to
p.000028:
p.000028:
p.000028: 5 Ibid p.20
p.000028:
p.000029: 29
p.000029:
p.000029: make the participant aware that information was withheld, as well as to inform the participant of what
p.000029: results were obtained, as soon as possible.
p.000029:
p.000029:
p.000029: 8. The Use of the Internet
p.000029:
...
Social / Youth/Minors
Searching for indicator minor:
(return to top)
p.000011: the methodology to be used from the participants, which involve participants that are members of a vulnerable
p.000011: or captive population, or in which there is potential for significant negative impact on human groups that are not
p.000011: themselves the subjects of the research. Full Reviews will also be conducted where these are required by the
p.000011: funding agencies to which the proposals will be submitted.
p.000011:
p.000011: A Full Review requires the in-person convening of the relevant Campus Research Ethics Committee, which is required to
p.000011: render a decision on all submissions (see Article 9.4). Information requirements for research proposals in applications
p.000011: for ethical approval are provided in Appendix 3 of this document, and the additional information requirements when the
p.000011: research involves the use of live animals are provided in Appendix 4. Information requirements necessary to obtain
p.000011: Informed Consent of participants are provided in Appendix 5.
p.000011:
p.000011: The results of all Full Reviews will be submitted semi-annually to the UWI Committee on Research Ethics.
p.000011:
p.000011: 9.3 Expedited Review
p.000011:
p.000011: Expedited Reviews of proposals involving invasive or experimental research on live animals, research on
p.000011: endangered species, or research with significant potential environmental impact, may be conducted
p.000011: when the researcher is making minor modifications to a research project that has already received full approval.
p.000011:
p.000011:
p.000012: 12
p.000012:
p.000012: Expedited Reviews of research proposals involving human participants may be conducted when the Chair of the Campus
p.000012: Research Ethics Committee determines that there is minimal risk or no risk to the participant(s) or other human
p.000012: groups, or when the researcher is making minor modifications to a research project that has already received full
p.000012: approval. The Chair, or a delegated Member(s) of the Committee, may conduct the Expedited Review. The
p.000012: results of all Expedited Reviews will be submitted semi-annually to the UWI Committee on Research Ethics.
p.000012:
p.000012: 9.4 Results of the Review
p.000012:
p.000012: The following decisions may be taken as a result of the review process: Approved; Conditional approval
p.000012: subject to modifications that should lead to approval; Not approved; Not approved, but with permission to
p.000012: resubmit for review following significant modifications.
p.000012:
p.000012: 9.5 Continuing Review
p.000012:
p.000012: Research projects which have been in progress for one year or more require Continuing Review as a condition of
p.000012: continued approval. This Review may simply take the form of Annual Reports from the Principal Investigators to
p.000012: the Campus Research Ethics Committee. Types of information that should be included in Annual Reports are: number of
p.000012: participants to date; whether data collection is ongoing; reports of adverse incidents or unanticipated events;
p.000012: participant complaints; instances of participants withdrawing from the study and why; and any changes to procedure
p.000012: and/or informed consent forms.
p.000012:
p.000012: 9.6 Appellate Review
p.000012:
p.000012: A researcher whose research proposal has not been approved by a Campus Research Ethics Committee may appeal to the
...
Social / education
Searching for indicator education:
(return to top)
p.000016: procedures related to research ethics.
p.000016: • Assist the UWI Committee on Research Ethics in its efforts to provide training in research ethics at UWI.
p.000016:
p.000016:
p.000016:
p.000016:
p.000017: 17
p.000017:
p.000017: • Encourage researchers and participants in research to bring to the Committee matters deemed to be of
p.000017: ethical importance.
p.000017:
p.000017: The information required by Campus Research Ethics Committees in research proposals seeking ethical approval is
p.000017: provided in Appendix 3 of this document. The additional information required to be submitted to Campus
p.000017: Committees in research proposals involving invasive or experimental work on live animals, or involving endangered
p.000017: species, is provided in Appendix 4. The information required to obtain Informed Consent in research
p.000017: applications involving human participants is provided in Appendix 5.
p.000017:
p.000017: The Campus Research Ethics Committee will consist of a core membership (Core Members) of at least six
p.000017: persons who will be invited to participate in all meetings of the Committee. The Core Membership must: Include at
p.000017: least one representative from the medical sciences, one representative from the pure and applied sciences or
p.000017: engineering, and one representative from education, humanities and the social sciences at UWI; Two non-UWI community
p.000017: members; Be generally interested in and knowledgeable about ethical issues in research; Be willing to undertake
p.000017: formal training in research ethics when such opportunities arise. The Campus Coordinator for Graduate Studies and
p.000017: Research will be a Core Member of the Campus Research Ethics Committee. Administrative Support for the
p.000017: Committee must be adequate enough to ensure that the Committee can function in an efficient and effective manner. The
p.000017: administrative arrangements in support of the Committee will be those preferred on individual Campuses.
p.000017:
p.000017: Apart from its Core Membership, the Committee will also consist of at least four more Members, each with specific
p.000017: expertise in the ethical issues relating to their particular discipline (Discipline Members). Discipline
p.000017: Members will be obligated to participate only in those meetings reviewing protocols in their disciplines, but
p.000017: will have the option to participate in any meeting that they choose to. They will in effect be Specialized Panels
p.000017: dealing with projects coming from particular disciplines or groups of disciplines. The Chair of the Campus Research
p.000017: Ethics Committee may ask a Specialized Panel to serve as a sub-committee to review and make recommendations to the
p.000017: Campus Committee on a particular set of protocols. In such a case, the sub-committee must include the
p.000017: appropriate Discipline Member(s) and at least two Core Members of the Campus Committee.
p.000017:
...
Searching for indicator educational:
(return to top)
p.000009: coordinating and ensuring the implementation of the University‟s policies and procedures for the ethical
p.000009: conduct of research. The mandate, responsibilities and composition of this Committee are provided in Appendix
p.000009: 1 of this document.
p.000009:
p.000009: There will be a Campus Research Ethics Committee on each Campus that will conduct activities on that Campus on behalf
p.000009: of the UWI Committee on Research Ethics. The Campus Committees will review and approve, or otherwise provide
p.000009: feedback on, student and faculty research proposals which involve human participants, invasive or
p.000009: experimental work on live animals, endangered species, or research with potential to harm the environment
p.000009: or human groups that are not themselves the subjects of the research. The mandate, responsibilities and
p.000009: composition of the Campus Committee are provided in Appendix 2 of this document.
p.000009:
p.000009:
p.000009:
p.000009:
p.000009:
p.000009:
p.000009:
p.000009:
p.000010: 10
p.000010:
p.000010: 9. The Research Ethics Review Process
p.000010: 9.1 Exemptions from Review
p.000010:
p.000010: Proposals for research studies on live animals that are purely observational will be exempt from review.
p.000010:
p.000010: Proposals for research studies involving human participants will be exempt from review if they fall into any of the
p.000010: categories of research listed below:
p.000010:
p.000010: • Educational research involving normal educational practices, e.g. classroom instruction, strategies,
p.000010: curricula management techniques. This exemption does not apply in cases were school records of identifiable students
p.000010: are involved, or where teachers and instructors or other school personnel are interviewed about identifiable students.
p.000010:
p.000010: • Educational Tests and Measurements, e.g. diagnostic, aptitude and achievement tests. This exemption does not apply
p.000010: if the information, whether in the researchers‟ private data set or in a published form, could reasonably lead to the
p.000010: identification of the participants; or if the information disclosed outside of the research could place the subject at
p.000010: risk of criminal or civil liability or cause damage to the person‟s financial standing, employability or reputation.
p.000010:
p.000010: • Surveys or Interviews in which researchers‟ private data, field notes and published materials are so encoded that
p.000010: there is no likelihood that the identity of the human subjects will be revealed, will normally be exempt from review,
p.000010: unless the nature of the questions could clearly cause distress or even harm. Surveys and interviews of minors
p.000010: (children) are not exempted. Researchers conducting research in the Caribbean must therefore take into
p.000010: consideration the legal age of consent of children in the various islands and territories of the Caribbean.
p.000010:
p.000010: • Public Observation. All research involving the observation of public behaviour, including observation by
p.000010: participants, is exempted unless the observation is recorded in such a way that it can be linked to an
p.000010: identifiable human subject. However, sociological studies conducted on public personalities, such as authors,
...
p.000003: or intimidation4.
p.000003:
p.000003: In almost all cases, the researcher must obtain the informed consent of each participant
p.000003: prior to the start of the research activities.
p.000003:
p.000003: In cases where the participant lacks capacity to provide informed consent, the researcher must obtain the consent of
p.000003: the participant‟s legally authorized representative, e.g., parent or guardian.
p.000003:
p.000003: The researcher must ensure that the participant, or his or her legal representative, is provided with
p.000003: sufficient opportunity and time to understand and carefully consider the request to participate in the research
p.000003: and thereby minimize the possibility that the consent is obtained through undue pressure, haste or influence.
p.000003:
p.000003: The researcher must also ensure that the information provided to the participant or his/her representative is in
p.000003: clearly understandable language. Informing the individual must not be
p.000003:
p.000003:
p.000003:
p.000003: 4 The Council for International Organizations of Medical Sciences in collaboration with the WHO International Ethical
p.000003: Guidelines for Biomedical research Involving Human Subjects p.20
p.000003:
p.000028: 28
p.000028:
p.000028: simply a ritual recitation of the content of a written document5. That is, in words and terms appropriate to the
p.000028: educational level of the participants. Every effort must be made to avoid the use of jargon and technical terms.
p.000028:
p.000028: Under no condition must the researcher appear to encourage the participant to waive any of his/her legal rights
p.000028: including releasing the researcher the sponsor or the University from any liability due to negligence.
p.000028:
p.000028: 5. Specific Considerations for Research with Children
p.000028:
p.000028: In addition to obtaining the consent of parents or guardians, researchers must still attempt to obtain the real consent
p.000028: of the child as long as the child is old enough to understand the principle of consent. Older children should be
p.000028: encouraged to sign the consent form with their parent or guardian. The researcher should also clearly explain to
p.000028: younger children that what they are doing is voluntary and that they could refuse to take part or withdrew if they
p.000028: wish. Even in cases where parental consent is obtained, researchers should not coerce children to continue
...
Social / employees
Searching for indicator employees:
(return to top)
p.000025: Subjects P.6
p.000025:
p.000026: 26
p.000026:
p.000026: (observations or private record). A person may be a human participant when a researcher obtains data about him/her from
p.000026: a third party as well as from the person directly3.
p.000026:
p.000026:
p.000026: 2.3 Interventions
p.000026:
p.000026: Interventions include both medical and physical procedures and manipulation of the participant or the
p.000026: participant‟s environment that are performed for research purposes.3
p.000026:
p.000026: 2.4 Interaction
p.000026:
p.000026: Interaction includes communication or interpersonal contact between investigator and participant.
p.000026:
p.000026: 2.5 Identifiable
p.000026:
p.000026: Identifiable implies that the identity of the participant is or may be readily ascertained by the investigator or
p.000026: associated with the information obtained as part of the research.4
p.000026:
p.000026: 2.6 Private information
p.000026:
p.000026: Private information includes information about behaviour that occurs in a context in which an individual can reasonably
p.000026: expect that no observation or recording is taking place, and information which has been provided for specific purposes
p.000026: by an individual and which the individual can reasonably expect will not be made public (e.g. medical record).5
p.000026:
p.000026: 2.7 Conducted or sponsored at UWI
p.000026:
p.000026: Conducted or sponsored at UWI means:
p.000026:
p.000026: o Using facilities at UWI o Paid for by UWI or Campus funds
p.000026: o Conducted as a prerequisite for obtaining a degree at UWI o Conducted by UWI faculty members or employees in the
p.000026: course of employment at UWI
p.000026: o Using UWI staff or students as participants
p.000026:
p.000026: 2.8 Minimal Risk
p.000026:
p.000026: Risk refers to the probability of harm which may reasonably be anticipated in connection with the proposed research.
p.000026: Research will be deemed to involve no more than minimal risk, if it does not increase the participant‟s risk of harm
p.000026: either in probability of magnitude, beyond those risks, which are inherent in ordinary daily living.6
p.000026:
p.000026:
p.000026:
p.000026: 3 US Office of Human Subject Research. Code of Federal Regulations Title 45 Public Welfare Part 46 Protection of
p.000026:
p.000027: 27
p.000027:
p.000027: Human Subjects
p.000003: 3
p.000003: Ibid 4
p.000003: Ibid 5
p.000003: Ibid
p.000003: 6 University of Arkansas, Fayetteville - Policy and Procedures, Governing Research with Human
p.000003: Subjects. P2.
p.000003:
p.000003: 2.9 Protocol
p.000003:
p.000003: Protocol refers to the researcher‟s written research plan, which is submitted to the Campus Research Ethics
p.000003: Committee.
p.000003:
p.000003: 3. Advance Submission of Protocol
p.000003:
p.000003: Researchers are required to submit a protocol to the Campus Research Ethics Committee if the proposed research involves
...
Social / parents
Searching for indicator parent:
(return to top)
p.000023: relationship with the Investigator(s) or their right to any other treatment or services available to them at
p.000023: the University of the West Indies or its affiliated institutions
p.000023:
p.000023: Opportunity to ask Questions:
p.000023: • Explain that the participant has the right to ask questions and to have them answered before the start of the
p.000023: study
p.000023: • List the names and telephone numbers of persons who can be contacted for answers to questions about the study
p.000023: (this list should include at least one member of the Campus Research Ethics Committee).
p.000023:
p.000023:
p.000023:
p.000023:
p.000023:
p.000023:
p.000024: 24
p.000024:
p.000024: CONSENT AND SIGNATURE
p.000024:
p.000024: I confirm that the purpose of the research, the study procedures, and any possible risks or discomforts, as well as the
p.000024: possible benefits that I may receive by taking part in the study, have been explained to me. Alternatives to my
p.000024: taking part have also been discussed and all my questions have been answered. I further confirm that I have been
p.000024: provided with the telephone number(s) of the Principal Investigator for contact in the case of an emergency. I have
p.000024: read this Consent Form and my signature below confirms that I am willing to take part in this study.
p.000024:
p.000024:
p.000024: Participant‟s Name (print)
p.000024:
p.000024:
p.000024:
p.000024: Participant‟s Signature
p.000024:
p.000024:
p.000024: Date
p.000024:
p.000024: Name and Signature of Parent, Guardian or Legally Authorised Representative (if participant is below the age
p.000024: of legal consent; note that certain types of research may require that the requirement for parental consent be
p.000024: waived).
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024: Date
p.000024:
p.000024:
p.000024: INVESTIGATOR’S STATEMENT AND SIGNATURE
p.000024:
p.000024: I have explained the purpose of the research, the study procedures, including those that are investigational, the
p.000024: possible risks and discomforts, and the potential benefits, and have answered all questions regarding the study to the
p.000024: best of my ability. In my opinion, the participant understands these issues and has voluntarily agreed to participate
p.000024: in the study.
p.000024:
p.000024:
p.000024: Name and Signature of Investigator obtaining Informed Consent:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000025: 25
p.000025:
p.000025: Date
p.000025:
p.000025: A copy of the signed Informed Consent Form must be left with each participant.
p.000025: Appendix 6
p.000025:
p.000025: Policy and Procedures for the Ethical Conduct of Research involving Human Participants at the UWI
p.000025:
p.000025: 1. Preamble
p.000025:
p.000025: The University of the West Indies is strongly committed to the protection of human participants in
...
p.000003: Committee.
p.000003:
p.000003: 3. Advance Submission of Protocol
p.000003:
p.000003: Researchers are required to submit a protocol to the Campus Research Ethics Committee if the proposed research involves
p.000003: human participants and is not exempted. The protocol must be reviewed and approved by the Committee before the
p.000003: research begins. The University of the West Indies will not grant retroactive approval of research protocols.
p.000003:
p.000003: 4. Requirement for Informed Consent
p.000003:
p.000003: Informed consent is a decision to participate in research taken by a competent individual who has received all the
p.000003: information necessary to arrive at an informed decision. The individual is required to have understood the information,
p.000003: considered the information and to have arrived at the decision without coercion, undue influence inducement
p.000003: or intimidation4.
p.000003:
p.000003: In almost all cases, the researcher must obtain the informed consent of each participant
p.000003: prior to the start of the research activities.
p.000003:
p.000003: In cases where the participant lacks capacity to provide informed consent, the researcher must obtain the consent of
p.000003: the participant‟s legally authorized representative, e.g., parent or guardian.
p.000003:
p.000003: The researcher must ensure that the participant, or his or her legal representative, is provided with
p.000003: sufficient opportunity and time to understand and carefully consider the request to participate in the research
p.000003: and thereby minimize the possibility that the consent is obtained through undue pressure, haste or influence.
p.000003:
p.000003: The researcher must also ensure that the information provided to the participant or his/her representative is in
p.000003: clearly understandable language. Informing the individual must not be
p.000003:
p.000003:
p.000003:
p.000003: 4 The Council for International Organizations of Medical Sciences in collaboration with the WHO International Ethical
p.000003: Guidelines for Biomedical research Involving Human Subjects p.20
p.000003:
p.000028: 28
p.000028:
p.000028: simply a ritual recitation of the content of a written document5. That is, in words and terms appropriate to the
p.000028: educational level of the participants. Every effort must be made to avoid the use of jargon and technical terms.
p.000028:
p.000028: Under no condition must the researcher appear to encourage the participant to waive any of his/her legal rights
p.000028: including releasing the researcher the sponsor or the University from any liability due to negligence.
p.000028:
p.000028: 5. Specific Considerations for Research with Children
p.000028:
p.000028: In addition to obtaining the consent of parents or guardians, researchers must still attempt to obtain the real consent
p.000028: of the child as long as the child is old enough to understand the principle of consent. Older children should be
p.000028: encouraged to sign the consent form with their parent or guardian. The researcher should also clearly explain to
p.000028: younger children that what they are doing is voluntary and that they could refuse to take part or withdrew if they
p.000028: wish. Even in cases where parental consent is obtained, researchers should not coerce children to continue
p.000028: participating in the absence of the child's assent. Assent is not required for essential medical treatment if parental
p.000028: consent for treatment is in place.
p.000028:
p.000028: 6. Specific Considerations For Research With Vulnerable Populations
p.000028:
p.000028: Campus Research Ethics Committees at UWI must make every reasonable effort to consider and protect the
p.000028: unique needs and rights of vulnerable groups, including, among others, prisoners, persons with disability, persons with
p.000028: reduced capacity for consent, and pregnant women. When considering projects involving vulnerable groups, Committees
...
Searching for indicator parents:
(return to top)
p.000003:
p.000003: The researcher must ensure that the participant, or his or her legal representative, is provided with
p.000003: sufficient opportunity and time to understand and carefully consider the request to participate in the research
p.000003: and thereby minimize the possibility that the consent is obtained through undue pressure, haste or influence.
p.000003:
p.000003: The researcher must also ensure that the information provided to the participant or his/her representative is in
p.000003: clearly understandable language. Informing the individual must not be
p.000003:
p.000003:
p.000003:
p.000003: 4 The Council for International Organizations of Medical Sciences in collaboration with the WHO International Ethical
p.000003: Guidelines for Biomedical research Involving Human Subjects p.20
p.000003:
p.000028: 28
p.000028:
p.000028: simply a ritual recitation of the content of a written document5. That is, in words and terms appropriate to the
p.000028: educational level of the participants. Every effort must be made to avoid the use of jargon and technical terms.
p.000028:
p.000028: Under no condition must the researcher appear to encourage the participant to waive any of his/her legal rights
p.000028: including releasing the researcher the sponsor or the University from any liability due to negligence.
p.000028:
p.000028: 5. Specific Considerations for Research with Children
p.000028:
p.000028: In addition to obtaining the consent of parents or guardians, researchers must still attempt to obtain the real consent
p.000028: of the child as long as the child is old enough to understand the principle of consent. Older children should be
p.000028: encouraged to sign the consent form with their parent or guardian. The researcher should also clearly explain to
p.000028: younger children that what they are doing is voluntary and that they could refuse to take part or withdrew if they
p.000028: wish. Even in cases where parental consent is obtained, researchers should not coerce children to continue
p.000028: participating in the absence of the child's assent. Assent is not required for essential medical treatment if parental
p.000028: consent for treatment is in place.
p.000028:
p.000028: 6. Specific Considerations For Research With Vulnerable Populations
p.000028:
p.000028: Campus Research Ethics Committees at UWI must make every reasonable effort to consider and protect the
...
Social / philosophical differences/differences of opinion
Searching for indicator opinion:
(return to top)
p.000005: informing the student of his or her obligations in respect of the ethical conduct of research, and for taking the
p.000005: measures necessary to ensure that the student‟s research is conducted within the established ethical
p.000005: policies and guidelines.
p.000005:
p.000005: Supervisors are also responsible for ensuring that, where required, student researchers obtain the necessary
p.000005: approvals prior to the start of their research project. The Chief Supervisor is responsible for co-signing
p.000005: the submission documents that may be necessary for ethical review of the student‟s research.
p.000005:
p.000005:
p.000005: 4. Rules and Regulations
p.000005:
p.000005: Research projects must be conducted with due consideration for all University Policies, including, inter alia, this
p.000005: Policy, University Ordinances, the Financial Code, Financial Procedures, Financial Rules and Regulations and the
p.000005: University‟s Policy on Intellectual Property.
p.000005:
p.000005:
p.000005: 5. The Duty of Honesty and Integrity
p.000005:
p.000005: Researchers are expected to maintain the highest standards of honesty and integrity. Any form of academic dishonesty,
p.000005: including but not limited to the activities identified below, is a serious offence. However, nothing in the provisions
p.000005: of this policy is intended to impugn the actions of a person who exercises judgment, or interprets data, or reports
p.000005: results in a way that may simply be the consequence of reasonable differences of opinion.
p.000005:
p.000005: 5.1 Falsification of Data
p.000005:
p.000005: The gathering, analysis and reporting of data must be undertaken with honesty and integrity. Researchers
p.000005: should never publish as true, data they know to be false or the result of deliberate acts of falsification.
p.000005:
p.000005: 5.2 Plagiarism
p.000005:
p.000005: Plagiarism is an act of academic dishonesty and is considered to be misconduct meriting severe disciplinary penalties.
p.000005: Researchers should not knowingly represent the published or unpublished work of another person as their own or assist
p.000005: anyone else in doing so. The use of work done by other persons must be appropriately and adequately
p.000005: acknowledged.
p.000005:
p.000005:
p.000005:
p.000005:
p.000006: 6
p.000006:
p.000006: Upon demonstration that a researcher has misappropriated another person‟s work and represented it as his or her own,
p.000006: the researcher will bear the burden of rebutting the presumption of plagiarism. Procedures for dealing with the
p.000006: presumption of plagiarism by graduate students are provided in the University of the West Indies Policy on Graduate
p.000006: Student Plagiarism.
p.000006:
p.000006: 5.3 Conflict of Interest
p.000006:
p.000006: A conflict of interest arises when the researcher has a material interest, whether personal, financial, professional,
p.000006: or otherwise, that may conflict with the researcher‟s duty of honesty and integrity. Where a conflict of
p.000006: interest arises, a researcher is required to disclose that interest to the appropriate University authorities,
p.000006: including the University‟s Committee on Research Ethics.
p.000006:
...
p.000024:
p.000024: I confirm that the purpose of the research, the study procedures, and any possible risks or discomforts, as well as the
p.000024: possible benefits that I may receive by taking part in the study, have been explained to me. Alternatives to my
p.000024: taking part have also been discussed and all my questions have been answered. I further confirm that I have been
p.000024: provided with the telephone number(s) of the Principal Investigator for contact in the case of an emergency. I have
p.000024: read this Consent Form and my signature below confirms that I am willing to take part in this study.
p.000024:
p.000024:
p.000024: Participant‟s Name (print)
p.000024:
p.000024:
p.000024:
p.000024: Participant‟s Signature
p.000024:
p.000024:
p.000024: Date
p.000024:
p.000024: Name and Signature of Parent, Guardian or Legally Authorised Representative (if participant is below the age
p.000024: of legal consent; note that certain types of research may require that the requirement for parental consent be
p.000024: waived).
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024: Date
p.000024:
p.000024:
p.000024: INVESTIGATOR’S STATEMENT AND SIGNATURE
p.000024:
p.000024: I have explained the purpose of the research, the study procedures, including those that are investigational, the
p.000024: possible risks and discomforts, and the potential benefits, and have answered all questions regarding the study to the
p.000024: best of my ability. In my opinion, the participant understands these issues and has voluntarily agreed to participate
p.000024: in the study.
p.000024:
p.000024:
p.000024: Name and Signature of Investigator obtaining Informed Consent:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000025: 25
p.000025:
p.000025: Date
p.000025:
p.000025: A copy of the signed Informed Consent Form must be left with each participant.
p.000025: Appendix 6
p.000025:
p.000025: Policy and Procedures for the Ethical Conduct of Research involving Human Participants at the UWI
p.000025:
p.000025: 1. Preamble
p.000025:
p.000025: The University of the West Indies is strongly committed to the protection of human participants in
p.000025: research and is guided by the principles of (a) respect for persons, (b) beneficence or concern for the well being of
p.000025: participants and (c) justice, as outlined in The National Commission for the Protection of Human Subjects
p.000025: of Biomedical and Behavioural Research (The Belmont Report, 1979). The University also subscribes to the
p.000025: principles and philosophy articulated by the World Medical Association (commencing with Alma Ata and Helsinki; most
p.000025: recent revision in 2008) and the Council for International Organisations of Medical Sciences (2009). This policy
...
Searching for indicator philosophy:
(return to top)
p.000024: possible risks and discomforts, and the potential benefits, and have answered all questions regarding the study to the
p.000024: best of my ability. In my opinion, the participant understands these issues and has voluntarily agreed to participate
p.000024: in the study.
p.000024:
p.000024:
p.000024: Name and Signature of Investigator obtaining Informed Consent:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000025: 25
p.000025:
p.000025: Date
p.000025:
p.000025: A copy of the signed Informed Consent Form must be left with each participant.
p.000025: Appendix 6
p.000025:
p.000025: Policy and Procedures for the Ethical Conduct of Research involving Human Participants at the UWI
p.000025:
p.000025: 1. Preamble
p.000025:
p.000025: The University of the West Indies is strongly committed to the protection of human participants in
p.000025: research and is guided by the principles of (a) respect for persons, (b) beneficence or concern for the well being of
p.000025: participants and (c) justice, as outlined in The National Commission for the Protection of Human Subjects
p.000025: of Biomedical and Behavioural Research (The Belmont Report, 1979). The University also subscribes to the
p.000025: principles and philosophy articulated by the World Medical Association (commencing with Alma Ata and Helsinki; most
p.000025: recent revision in 2008) and the Council for International Organisations of Medical Sciences (2009). This policy
p.000025: hereby sets out the Policies, Procedures and administrative structures for the ethical review of human
p.000025: subject research, in all faculties of the University of the West Indies.
p.000025:
p.000025: 2. Definitions
p.000025:
p.000025: 2.1 Research
p.000025:
p.000025: Research means a systematic investigation designed to develop or contribute to generalized knowledge. Pilot
p.000025: Testing is usually considered part of the research2, but need not require ethical approval unless the testing may
p.000025: itself engender risk of harm.
p.000025:
p.000025: Class room instruction, surveys for evaluating the performance of faculty or students, or studies for institutional use
p.000025: only, students‟ coursework and undergraduate theses (unless the intention is to make them available to the
p.000025: public or to other researchers) are not considered part of research for the purposes of this policy.
p.000025: However, UWI faculty members, especially Supervisors, must ensure that all student researchers ensure the well-being
p.000025: of their participants even when the work does not qualify as research.
p.000025:
p.000025: 2.2 Human participants
p.000025:
p.000025: Human subject refers to a living person about whom a researcher obtains (a) data through interventions or
p.000025: interactions with the person or (b) identifiable private information
p.000025:
p.000025:
p.000025:
...
General/Other / Public Emergency
Searching for indicator emergency:
(return to top)
p.000023: Freedom to Withdraw:
p.000023: • Explain that participation is voluntary and that participants are free to withdraw at any time if any
p.000023: problems occur or if they simply change their minds. Participants will have the option to exclude from
p.000023: the study data obtained through their participation, should they decide to withdraw
p.000023: • Explain that refusal to participate or withdrawal thereafter will not adversely affect the participant‟s
p.000023: relationship with the Investigator(s) or their right to any other treatment or services available to them at
p.000023: the University of the West Indies or its affiliated institutions
p.000023:
p.000023: Opportunity to ask Questions:
p.000023: • Explain that the participant has the right to ask questions and to have them answered before the start of the
p.000023: study
p.000023: • List the names and telephone numbers of persons who can be contacted for answers to questions about the study
p.000023: (this list should include at least one member of the Campus Research Ethics Committee).
p.000023:
p.000023:
p.000023:
p.000023:
p.000023:
p.000023:
p.000024: 24
p.000024:
p.000024: CONSENT AND SIGNATURE
p.000024:
p.000024: I confirm that the purpose of the research, the study procedures, and any possible risks or discomforts, as well as the
p.000024: possible benefits that I may receive by taking part in the study, have been explained to me. Alternatives to my
p.000024: taking part have also been discussed and all my questions have been answered. I further confirm that I have been
p.000024: provided with the telephone number(s) of the Principal Investigator for contact in the case of an emergency. I have
p.000024: read this Consent Form and my signature below confirms that I am willing to take part in this study.
p.000024:
p.000024:
p.000024: Participant‟s Name (print)
p.000024:
p.000024:
p.000024:
p.000024: Participant‟s Signature
p.000024:
p.000024:
p.000024: Date
p.000024:
p.000024: Name and Signature of Parent, Guardian or Legally Authorised Representative (if participant is below the age
p.000024: of legal consent; note that certain types of research may require that the requirement for parental consent be
p.000024: waived).
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024: Date
p.000024:
p.000024:
p.000024: INVESTIGATOR’S STATEMENT AND SIGNATURE
p.000024:
p.000024: I have explained the purpose of the research, the study procedures, including those that are investigational, the
p.000024: possible risks and discomforts, and the potential benefits, and have answered all questions regarding the study to the
p.000024: best of my ability. In my opinion, the participant understands these issues and has voluntarily agreed to participate
p.000024: in the study.
p.000024:
p.000024:
p.000024: Name and Signature of Investigator obtaining Informed Consent:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000025: 25
p.000025:
p.000025: Date
p.000025:
p.000025: A copy of the signed Informed Consent Form must be left with each participant.
...
General/Other / belmont
Searching for indicator belmont:
(return to top)
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024: Date
p.000024:
p.000024:
p.000024: INVESTIGATOR’S STATEMENT AND SIGNATURE
p.000024:
p.000024: I have explained the purpose of the research, the study procedures, including those that are investigational, the
p.000024: possible risks and discomforts, and the potential benefits, and have answered all questions regarding the study to the
p.000024: best of my ability. In my opinion, the participant understands these issues and has voluntarily agreed to participate
p.000024: in the study.
p.000024:
p.000024:
p.000024: Name and Signature of Investigator obtaining Informed Consent:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000025: 25
p.000025:
p.000025: Date
p.000025:
p.000025: A copy of the signed Informed Consent Form must be left with each participant.
p.000025: Appendix 6
p.000025:
p.000025: Policy and Procedures for the Ethical Conduct of Research involving Human Participants at the UWI
p.000025:
p.000025: 1. Preamble
p.000025:
p.000025: The University of the West Indies is strongly committed to the protection of human participants in
p.000025: research and is guided by the principles of (a) respect for persons, (b) beneficence or concern for the well being of
p.000025: participants and (c) justice, as outlined in The National Commission for the Protection of Human Subjects
p.000025: of Biomedical and Behavioural Research (The Belmont Report, 1979). The University also subscribes to the
p.000025: principles and philosophy articulated by the World Medical Association (commencing with Alma Ata and Helsinki; most
p.000025: recent revision in 2008) and the Council for International Organisations of Medical Sciences (2009). This policy
p.000025: hereby sets out the Policies, Procedures and administrative structures for the ethical review of human
p.000025: subject research, in all faculties of the University of the West Indies.
p.000025:
p.000025: 2. Definitions
p.000025:
p.000025: 2.1 Research
p.000025:
p.000025: Research means a systematic investigation designed to develop or contribute to generalized knowledge. Pilot
p.000025: Testing is usually considered part of the research2, but need not require ethical approval unless the testing may
p.000025: itself engender risk of harm.
p.000025:
p.000025: Class room instruction, surveys for evaluating the performance of faculty or students, or studies for institutional use
p.000025: only, students‟ coursework and undergraduate theses (unless the intention is to make them available to the
p.000025: public or to other researchers) are not considered part of research for the purposes of this policy.
p.000025: However, UWI faculty members, especially Supervisors, must ensure that all student researchers ensure the well-being
p.000025: of their participants even when the work does not qualify as research.
p.000025:
p.000025: 2.2 Human participants
p.000025:
...
General/Other / cioms guidelines
Searching for indicator cioms:
(return to top)
p.000032: ensure that investigators and personnel have appropriate qualifications or experience for conducting
p.000032: procedures on animals. Adequate opportunities shall be provided for in-service training, including the
p.000032: proper and humane concern for the animals under their care.
p.000032:
p.000032: • Research which involves the collection and harvesting of endangered species should be allowed only
p.000032: after careful consideration of its relevance to the advancement of knowledge and its impact on the
p.000032: conservation status of the species; and the numbers harvested should be kept to the absolute minimum
p.000032: necessary to obtain scientifically valid results.
p.000032:
p.000032: • Where waivers are required from any of these Guiding Principles, a request for the waiver must be made to the
p.000032: appropriate Campus Research Ethics Committee, who may refer it to the University Committee on Research Ethics.
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000033: 33
p.000033:
p.000033: The above Principles governing the use of animals in research are based primarily on the Council for International
p.000033: Organisations of Medical Sciences (CIOMS): International Guiding Principles for Biomedical Research Involving
p.000033: Animals.
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
p.000033:
...
General/Other / declaration of helsinki
Searching for indicator helsinki:
(return to top)
p.000024: possible risks and discomforts, and the potential benefits, and have answered all questions regarding the study to the
p.000024: best of my ability. In my opinion, the participant understands these issues and has voluntarily agreed to participate
p.000024: in the study.
p.000024:
p.000024:
p.000024: Name and Signature of Investigator obtaining Informed Consent:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000024:
p.000025: 25
p.000025:
p.000025: Date
p.000025:
p.000025: A copy of the signed Informed Consent Form must be left with each participant.
p.000025: Appendix 6
p.000025:
p.000025: Policy and Procedures for the Ethical Conduct of Research involving Human Participants at the UWI
p.000025:
p.000025: 1. Preamble
p.000025:
p.000025: The University of the West Indies is strongly committed to the protection of human participants in
p.000025: research and is guided by the principles of (a) respect for persons, (b) beneficence or concern for the well being of
p.000025: participants and (c) justice, as outlined in The National Commission for the Protection of Human Subjects
p.000025: of Biomedical and Behavioural Research (The Belmont Report, 1979). The University also subscribes to the
p.000025: principles and philosophy articulated by the World Medical Association (commencing with Alma Ata and Helsinki; most
p.000025: recent revision in 2008) and the Council for International Organisations of Medical Sciences (2009). This policy
p.000025: hereby sets out the Policies, Procedures and administrative structures for the ethical review of human
p.000025: subject research, in all faculties of the University of the West Indies.
p.000025:
p.000025: 2. Definitions
p.000025:
p.000025: 2.1 Research
p.000025:
p.000025: Research means a systematic investigation designed to develop or contribute to generalized knowledge. Pilot
p.000025: Testing is usually considered part of the research2, but need not require ethical approval unless the testing may
p.000025: itself engender risk of harm.
p.000025:
p.000025: Class room instruction, surveys for evaluating the performance of faculty or students, or studies for institutional use
p.000025: only, students‟ coursework and undergraduate theses (unless the intention is to make them available to the
p.000025: public or to other researchers) are not considered part of research for the purposes of this policy.
p.000025: However, UWI faculty members, especially Supervisors, must ensure that all student researchers ensure the well-being
p.000025: of their participants even when the work does not qualify as research.
p.000025:
p.000025: 2.2 Human participants
p.000025:
p.000025: Human subject refers to a living person about whom a researcher obtains (a) data through interventions or
p.000025: interactions with the person or (b) identifiable private information
p.000025:
p.000025:
p.000025:
p.000025:
...
Orphaned Trigger Words
p.000009: 7.2.2 The Duty of the University to Facilitate the Resolution of Disputes 10
p.000009: 8. Research Ethics Committees at the University of the West Indies 10
p.000009: 9. The Research Ethics Review Process 11
p.000009: 9.1 Exemptions from Review
p.000011: 11
p.000011: 9.2 Full Reviews
p.000012: 12
p.000012: 9.3 Expedited Review
p.000012: 12
p.000012: 9.4 Results of the Review
p.000013: 13
p.000013: 9.5 Continuing Review
p.000013: 13
p.000013: 9.6 Appellate Review
p.000013: 13
p.000013: 10. Research with Human Participants 13
p.000013: 11. Animal Research
p.000014: 14
p.000014:
p.000014: 12. Disciplinary Action and Grievance 14
p.000014: Appendix 1
p.000014: 14
p.000014: Appendix 2
p.000017: 17
p.000017: Appendix 3
p.000020: 20
p.000020: Appendix 4
p.000022: 22
p.000022: Appendix 5
p.000023: 23
p.000023: Appendix 6
p.000026: 26
p.000026: Appendix 7
p.000032: 32
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000032:
p.000003: 3
p.000003:
p.000003: The University of the West Indies
p.000003:
p.000003: Policy and Procedures on Research Ethics
p.000003:
p.000003:
p.000003:
p.000003: 1. Background
p.000003:
p.000003: The first University of the West Indies Policy on Research Ethics was written by the then Pro Vice Chancellor Research,
p.000003: Professor Roger Prichard, and approved by the relevant University Committees and Boards in 1998. This document is a
p.000003: revision and expansion of that Policy, and will replace that Policy when the necessary University approvals are
p.000003: obtained.
p.000003:
p.000003: 2. Introduction
p.000003:
p.000003: This Policy on Research Ethics should be interpreted in a manner that is consistent with the vision of the University
p.000003: of the West Indies (UWI) as a research community committed to the principles of honesty, trust and collegiality and to
p.000003: the idea that fair play must prevail at all times.
p.000003:
p.000003: The Policy applies to all individuals who conduct research at UWI, and to individuals at affiliated institutions who
p.000003: submit research proposals to the UWI research ethics review system. Conducting research at UWI means research work
p.000003: undertaken by UWI staff and students and by all persons who use UWI facilities for the creation, dissemination and
p.000003: publication of research work. The term „research‟ here includes those efforts directed primarily towards the creation
p.000003: and dissemination of new knowledge, those efforts directed towards acquiring and representing existing knowledge
p.000003: (defined as
p.000003: „scholarship‟ in UWI Ordinance 8), as well as other forms of creative work not traditionally considered research (e.g.
p.000003: theatre, cinema); the term applies whether the activities are funded or unfunded.
p.000003:
p.000003: Some of the provisions of this Policy deal with matters that are also treated in other University
p.000003: guidelines and regulatory documents. Where appropriate, reference should be made to these guidelines and documents.
p.000003:
p.000003:
p.000003: 3. Responsibilities
p.000003: 3.1 Responsibility of the University
p.000003:
p.000003: The University requires honesty and integrity in research and scholarship. Through the appropriate administrative
p.000003: offices and in accordance with the provisions of this Policy and other applicable regulatory procedures, the University
p.000003: will: (a) Facilitate the training in
p.000003:
p.000003:
p.000004: 4
p.000004:
p.000004: research ethics of all members of staff who conduct, manage or supervise human and animal research at UWI; (b)
p.000004: Facilitate the resolution of disputes concerning matters dealt with in this Policy (see Article 7.2); and (c)
p.000004: Investigate allegations of misconduct under this Policy and take action, as appropriate (see Article 12).
p.000004: 3.2 Responsibility of the Office of Research
p.000004:
p.000004: The University of the West Indies Office of Research has oversight of research ethics policies and practice throughout
p.000004: the UWI. The Office is responsible for ensuring that the University‟s policies and procedures on research ethics are
p.000004: implemented and that the University community is educated on the policies and procedures. The Office is the body
p.000004: responsible for certifying that research projects have been subjected to ethical review and are conducted according
p.000004: to UWI‟s stated guidelines. The Office will provide the administrative support for the UWI Committee on
p.000004: Research Ethics and will support ethics activities on individual campuses when feasible.
p.000004:
p.000004: 3.3 Responsibility of Directors, Deans and Heads
p.000004:
p.000004: Directors of Centres and Institutes, Faculty Deans and Heads of Departments are responsible for the
p.000004: conduct of research which falls within their jurisdiction. They are expected to be aware of the research
p.000004: activities conducted by the staff and students for whom they have responsibility. They are also responsible
p.000004: for ensuring that the University‟s policies on research ethics are publicized, promoted and adhered to.
p.000004: Abstracts of all research proposals submitted to the Campus Research Ethics Committee (see Section 8) must be copied to
p.000004: the Head of Department and Dean, or Director in the case of Centres and Institutes. Abstracts of research proposals
p.000004: deemed to be exempt from ethical review (see Section 9.1) must also be copied to the Head of Department. The Deans, or
p.000004: Directors in the case of Centres and Institutes, shall keep a register of all research projects not submitted to the
p.000004: Campus Research Ethics Committee and shall provide a report of these projects (Title and Abstract) to the
p.000004: Campus and University Research Ethics Committees at the end of each Academic Year.
p.000004:
p.000004: 3.4 Responsibility of Researchers
p.000004:
p.000004: The primary responsibility for the content and conduct of research rests with the individuals performing
p.000004: the research. Researchers bear the principal responsibility for protecting the well-being, human rights and
...
p.000012:
p.000012: 9.4 Results of the Review
p.000012:
p.000012: The following decisions may be taken as a result of the review process: Approved; Conditional approval
p.000012: subject to modifications that should lead to approval; Not approved; Not approved, but with permission to
p.000012: resubmit for review following significant modifications.
p.000012:
p.000012: 9.5 Continuing Review
p.000012:
p.000012: Research projects which have been in progress for one year or more require Continuing Review as a condition of
p.000012: continued approval. This Review may simply take the form of Annual Reports from the Principal Investigators to
p.000012: the Campus Research Ethics Committee. Types of information that should be included in Annual Reports are: number of
p.000012: participants to date; whether data collection is ongoing; reports of adverse incidents or unanticipated events;
p.000012: participant complaints; instances of participants withdrawing from the study and why; and any changes to procedure
p.000012: and/or informed consent forms.
p.000012:
p.000012: 9.6 Appellate Review
p.000012:
p.000012: A researcher whose research proposal has not been approved by a Campus Research Ethics Committee may appeal to the
p.000012: University Committee on Research Ethics, which will conduct an initial review to determine whether or not to hear the
p.000012: Appeal and, if warranted, conduct an Appeal hearing. Pursuant to other regulations of the University, the judgment of
p.000012: the University Committee on Research Ethics will be final.
p.000012:
p.000012:
p.000012:
p.000012: 10. Research with Human Participants
p.000012:
p.000012: Research involving human participants must be carried out in accordance with the highest standards of conduct. It
p.000012: must be conducted in a manner which is ethical, which is respectful of the rights of the persons who are
p.000012: participants in the research, and which is in accordance with the rules and guidelines prescribed by research funding
p.000012: bodies, the relevant legislation in the countries where the research is to be conducted, and the
p.000012:
p.000013: 13
p.000013:
p.000013: relevant University policies. Given this, further information on the policy and procedures for the ethical conduct of
p.000013: research involving human participants at UWI is provided in Appendix 6 of this document.
p.000013:
p.000013:
p.000013: 11. Animal Research
p.000013:
p.000013: All animal research must be conducted in a manner which is ethical, respectful, humane and in accordance with the rules
p.000013: and guidelines prescribed by research funding bodies, the relevant legislation in the countries where the research is
p.000013: to be conducted, and the relevant University guidelines on the use of animals in research. Basic
p.000013: principles governing the use of animals in research at the University of the West Indies is provided in Appendix 7 of
p.000013: this document.
p.000013:
p.000013:
p.000013: 12. Disciplinary Action and Grievance
p.000013:
p.000013: Any allegation of misconduct made against a member of the University community under this Policy shall be brought to
p.000013: the attention of the UWI Committee on Research Ethics. Should the Committee consider it justified, it shall
p.000013: refer the matter to the University Registrar for appropriate disciplinary procedures in accordance with the
p.000013: relevant policies and legal instruments of the University. The Research Ethics Committees are also
p.000013: authorised to take corrective action, including the rescinding of approval of a research project, in the event that any
p.000013: allegation of misconduct in research is upheld. The gathering and assessing of information in cases of alleged
p.000013: research misconduct can be difficult and time-consuming. The professional reputations of those involved must be fully
p.000013: protected throughout the process, particularly since, following investigation, the allegations may not hold.
p.000013:
p.000013: Appendix 1
p.000013:
p.000013: The University of the West Indies (UWI) Committee on Research Ethics
p.000013:
p.000013: The University of the West Indies (UWI) Committee on Research Ethics is the University body responsible for developing,
p.000013: coordinating and ensuring the implementation of the University‟s policies and procedures for the ethical
p.000013: conduct of research. The Committee‟s main goals are to:
p.000013:
p.000013: • Protect the dignity, human rights, health, safety and privacy of human participants in research.
p.000013: • Ensure the care and humane treatment of animals used in the conduct of research.
p.000013: • Ensure that research on endangered species is responsible and sensitive to the conservation status of the species.
p.000013:
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p.000014: 14
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p.000014: • Ensure that research is sensitive to negative environmental impacts and to negative impacts on human
p.000014: groups that are not themselves the subjects of the research.
p.000014: • Promote a culture of ethics in research at the UWI.
p.000014: • Promote the reputation of the University as a centre of ethical and high quality research.
p.000014: • Ensure the health and safety of researchers.
p.000014:
p.000014:
p.000014: The Committee will be chaired by the Pro Vice Chancellor, Research (or his/her nominee), and will consist of the
p.000014: following persons (or their nominees)*:
p.000014:
p.000014: • The Chairs of the Campus Committees on Research Ethics at each Campus (see Appendix 2).
p.000014: • A representative of each of the Campus Principals.
p.000014: • The University of the West Indies Legal Counsel.
p.000014: • The Pro Vice Chancellor (Graduate Studies).
p.000014: • Two community representatives who are not associated with the UWI.1
p.000014:
p.000014:
p.000014: The Committee may draw upon additional members, as may be necessary for it to effectively fulfill its
p.000014: responsibilities.
p.000014:
p.000014: The main functions of the Committee will be to:
p.000014:
p.000014: • Develop and review policies, guidelines and procedures relating to research ethics at UWI.
p.000014: • Respond to issues raised by the Campus Committees on Research Ethics and to audit and provide general guidance to
p.000014: the Campus Committees.
p.000014: • Promote training in ethics in research at UWI.
p.000014: • Provide assurance of the ethical conduct of research at UWI, particularly that involving human and
p.000014: animal subjects.
p.000014: • Serve as the Final Appeal Committee on research ethics disputes for all Campuses.
p.000014: • Based on information provided by the Campus Research Ethics Committees, maintain a Register of proposed
p.000014: and approved research proposals submitted to those Committees.
p.000014: • Report to the University Council on the ethical conduct of research at the UWI.
p.000014:
p.000014: The Committee will meet at least twice per year. The Chairman may act on behalf of the Committee between meetings, but
p.000014: at the next meeting will report to the Committee on any actions taken on its behalf.
p.000014:
p.000014: 1 Should the proposed University of the West Indies Centre for Ethics be established, the Director of that Centre will
p.000014: be a Member of the UWI Committee on Research Ethics.
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p.000016: 16
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p.000016: Appendix 2
p.000016:
p.000016: Campus Research Ethics Committees
p.000016:
p.000016: There will be a Research Ethics Committee on each Campus that will conduct activities on that Campus on behalf of
...
p.000016: (but see Exemptions in Article 9.1), or have the potential to negatively impact human groups that are not themselves
p.000016: the subjects of the research; as well as all proposals involving invasive or experimental procedures on live animals,
p.000016: requiring the collection and harvesting of endangered species, or having the potential to result in significant
p.000016: negative environmental impact. No research involving any of the above will proceed without the explicit and written
p.000016: approval of the relevant Campus Committee.
p.000016:
p.000016: The principal responsibilities of the Campus Research Ethics Committees are to:
p.000016:
p.000016: • Review prospectively all research protocols involving human subjects to ensure that they meet the required
p.000016: ethical and scientific standards, as well as those protocols with the potential to impact negatively on
p.000016: human groups that are not themselves the subjects of the research.
p.000016: • Review prospectively all protocols involving experimental or invasive procedures on animals to ensure their humane
p.000016: treatment in accordance with UWI guidelines, national legislation and international best practice.
p.000016: • Review prospectively all protocols involving the use of endangered species, as well as those with potential for
p.000016: significant negative environmental impact.
p.000016: • Monitor practices for recruiting individuals in research involving human participants to manage multiple enrolments
p.000016: and misuse of relational power in the recruitment process.
p.000016: • Monitor those approved research projects which have the potential for significant risk of harm to research
p.000016: subjects, with the Committee being empowered to disallow unacceptable research to continue.
p.000016: • Record all review decisions and monitoring activities, and submit them in semiannual reports to the UWI
p.000016: Committee on Research Ethics, necessary for the University Committee to maintain its Register on research involving
p.000016: humans and animal subjects.
p.000016: • Investigate and make recommendations on ethical problems related to the conduct of researchers.
p.000016: • Assist the UWI Committee on Research Ethics in the development of new institutional policies and
p.000016: procedures related to research ethics.
p.000016: • Assist the UWI Committee on Research Ethics in its efforts to provide training in research ethics at UWI.
p.000016:
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p.000017: 17
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p.000017: • Encourage researchers and participants in research to bring to the Committee matters deemed to be of
p.000017: ethical importance.
p.000017:
p.000017: The information required by Campus Research Ethics Committees in research proposals seeking ethical approval is
p.000017: provided in Appendix 3 of this document. The additional information required to be submitted to Campus
p.000017: Committees in research proposals involving invasive or experimental work on live animals, or involving endangered
p.000017: species, is provided in Appendix 4. The information required to obtain Informed Consent in research
p.000017: applications involving human participants is provided in Appendix 5.
p.000017:
p.000017: The Campus Research Ethics Committee will consist of a core membership (Core Members) of at least six
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p.000028:
p.000028:
p.000028: 7. Research Involving Withholding Full Information on Research Objectives or Methodologies
p.000028:
p.000028: Certain types of research in certain disciplines, e.g., psychology, may require the withholding of full
p.000028: information about the objectives of the research from the particpants. In such cases, the researcher may request the
p.000028: use of a modified Informed Consent form. In other types of research, it may be necessary to conduct surveillance (e.g.
p.000028: criminological research).
p.000028:
p.000028: The Campus Research Ethics Committee must pay particular attention to these cases. Where it is established that
p.000028: this type of research will contribute to knowledge and understanding, the researcher is expected to justify
p.000028: that alternative procedures are not available or feasible and that the withholding of information is integral to the
p.000028: viability of the research. The researcher is still expected to obtain the participant‟s consent and to
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p.000028: 5 Ibid p.20
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p.000029: 29
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p.000029: make the participant aware that information was withheld, as well as to inform the participant of what
p.000029: results were obtained, as soon as possible.
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p.000029: 8. The Use of the Internet
p.000029:
p.000029: The UWI Policy on Research Ethics and the conduct of research with human participants also apply to internet-based
p.000029: research. Use of the internet may present unique risks to confidentiality; however, the technologies for on-line
p.000029: data collection are developing. When researchers collect or manage data via internet, they are responsible for
p.000029: taking the best available security precautions and for ensuring that the Informed Consent
p.000029: procedures accurately portray the risks associated with their research.
p.000029:
p.000029:
p.000029: 9. Collaborative Research with other Institutions
p.000029:
p.000029: In cases where the research is to be conducted with researchers from other universities or organizations which do not
p.000029: have a Research Ethics Committee, a full application must be submitted to the Campus Research Ethics Committee on the
p.000029: relevant Campus of UWI.
p.000029:
p.000029: Where a UWI researcher conducts research with a researcher from another institution where there is a fully functional
p.000029: Research Ethics Committee, the approval will be sought from the Research Ethics Committee of the Principal
p.000029: Investigator. It will be the responsibility of the UWI researcher to submit a copy of the approval to the relevant
p.000029: UWI Campus Ethics Committee. The UWI Campus Research Ethics Committee may ratify the approval or request the UWI
p.000029: researcher to submit a full application
p.000029:
p.000029: 10. New Staff
p.000029:
p.000029: A new faculty member who brings a grant from another institution must provide the Campus Research Ethics
p.000029: Committee with a copy of the original ethics approval for its review. The researcher must obtain written approval
p.000029: from the UWI Committee before proceeding with the research at UWI.
p.000029:
p.000029:
p.000029: 11. Submission of Research Protocols
p.000029:
p.000029: Research protocols may be submitted at any time during the year but at least six weeks prior to the start of the
p.000029: project. Since many donors require a certification of ethics approval, researchers should submit the request
p.000029: for approval from the relevant Campus Research Ethics Committee before the grant application is submitted.
p.000029:
p.000029: Researchers are expected to submit 5 copies of the research protocols, of all questionnaires
p.000029: which are to be administered, and of the Informed Consent Form.
p.000029:
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p.000030: The Faculties of Medicine have Faculty-specific Guidelines which should be used by them in conjunction with the
p.000030: above Policy. The Guidelines are subject to review by the University Committee on Research Ethics.
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p.000031: 31
p.000031:
p.000031: Appendix 7
p.000031:
p.000031:
p.000031: Basic Principles Governing the Use of Live Animals and Endangered Species in Research at the University of the West
p.000031: Indies
p.000031:
p.000031:
p.000031: • The advancement of biological knowledge and the development of improved means for the protection of the
p.000031: health and well-being both of man and of animals may require recourse to experimentation on intact live animals of a
p.000031: wide variety of species.
p.000031:
p.000031: • Methods such as mathematical models, computer simulation and in vitro biological systems should be used wherever
p.000031: appropriate.
p.000031:
p.000031: • Animal experiments should be undertaken only after due consideration of their relevance for human or
p.000031: animal health and the advancement of biological knowledge.
p.000031:
p.000031: • The animals selected for an experiment should be of an appropriate species and quality, and should be the minimum
p.000031: number required to obtain scientifically valid results.
p.000031:
p.000031: • Investigators and other personnel should never fail to treat animals as sentient, and should regard their proper
p.000031: care and use and the avoidance or minimization of discomfort, distress, or pain as ethical imperatives.
p.000031:
p.000031: • Investigators should assume that procedures which would cause pain in human beings cause pain in other vertebrate
p.000031: species.
p.000031:
p.000031: • Procedures with animals that may cause more than momentary or minimal pain or distress should be performed with
p.000031: appropriate sedation, analgesia, or anesthesia in accordance with accepted veterinary practice. Surgical or
p.000031: other painful procedures should not be performed on unanesthetized animals paralysed by chemical agents.
p.000031:
p.000031: • At the end of, or when appropriate during, an experiment, animals that would otherwise suffer severe
p.000031: or chronic pain, distress, discomfort, or disablement that cannot be relieved should be painlessly killed.
p.000031:
...
Appendix
Indicator List
| Indicator | Vulnerability |
|---|
| access | Access to Social Goods |
| access to information | Access to information |
| age | Age |
| belmont | belmont |
| captive | Captive/Exiled Population |
| child | Child |
| children | Child |
| cioms | cioms guidelines |
| coerce | Presence of Coercion |
| criminal | criminal |
| disability | Mentally Disabled |
| education | education |
| educational | education |
| emergency | Public Emergency |
| employees | employees |
| faith | Religion |
| helsinki | declaration of helsinki |
| ill | ill |
| impaired | Cognitive Impairment |
| influence | Drug Usage |
| language | Linguistic Proficiency |
| mentally | Mentally Disabled |
| minor | Youth/Minors |
| opinion | philosophical differences/differences of opinion |
| parent | parents |
| parents | parents |
| party | political affiliation |
| philosophy | philosophical differences/differences of opinion |
| pregnant | Pregnant |
| prisoners | Criminal Convictions |
| property | Property Ownership |
| student | Student |
| vulnerable | vulnerable |
| women | Women |
Indicator Peers (Indicators in Same Vulnerability)
| Indicator | Peers |
|---|
| child | ['children'] |
| children | ['child'] |
| disability | ['mentally'] |
| education | ['educational'] |
| educational | ['education'] |
| mentally | ['disability'] |
| opinion | ['philosophy'] |
| parent | ['parents'] |
| parents | ['parent'] |
| philosophy | ['opinion'] |
Trigger Words
capacity
coercion
consent
developing
ethics
harm
justice
protect
protection
risk
sensitive
welfare
Applicable Type / Vulnerability / Indicator Overlay for this Input