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Guidelines & Procedures

Guidelines and Procedures

Policy and rules for research ethics at the NWU

The policy provides an indication of how research that is in line with the ethical principles adopted by the NWU should be managed and conducted. The policy consists of a policy statement, a code of conduct for researchers at the NWU, and rules for the management of research ethics at the North-West University.  Since the policy has been approved by Council, it now has the same status as any other NWU policy.

The latest version of the policy and rules for research ethics can be downloaded here: Research Ethics Policy and ToR.

Code of conduct for researchers and REC members

As a researcher of the North-West University (NWU), I subscribe to the rules of the NWU Senate Committee for Research Ethics (SCRE), all applicable policies of the NWU as well as all national and international laws and regulations applicable to my field of study. Furthermore, I commit myself to abide by the ethical principles and responsibilities as set out in the Singapore statement on Research Integrity (22 September 2010), in any and all research endeavours that I undertake as a researcher of the NWU.

The four major principles of research integrity to which I will adhere and that will guide my research are:

  • Honesty in all aspects of research.
  • Accountability in the conduct of research.
  • Professional courtesy and fairness in working with others.
  • Good stewardship of research on behalf of others.

Upon approval of a research ethics application the researcher is required to sign the NWU code of conduct for researchers.

Risk level descriptors

A document was compiled to assist researchers in classifying their research projects in terms of the level of risk they contain. This will enable the researcher to take adequate steps to minimise harm and maximise benefits for participants and research subjects.

Please find an example of such risk level descriptors below:

On Ethics Clearance Application Procedures

SCIENTIFIC/PROPOSAL COMMITTEES (SC)

In the Terms of Reference for the Management of Research Ethics at the North-West University document, approved by senate in November 2018 under point 1.2.5 it states that “before any research may be conducted scientific approval must be granted for a project/study by the relevant scientific/proposal committee”.

The scientific/proposal committee (SC) will review and approve the science of the project/study and make a preliminary assessment of the:

  • Scientific validity and integrity
  • The potential risk level
  • Whether there are potential vulnerable participants involved
  • The context of the study

The SC then refers the application to an appropriate REC for ethics clearance.

Issuing of a letter of scientific approval:

In the case of a low to high-risk study that is referred for review by a REC, the SC should issue a letter of scientific approval to the researcher signed by the chairperson indicating their decision. The letter is attached to the ethics application.

The referral process for ethics clearance:

All studies are referred to an appropriate REC for ethics clearance.

The decision to which REC the Scientific Committee (SC) should refer the study is based on;

  1. the risk level of the study (participants or researchers),
  2. whether it involves vulnerable participants,
  3. whether it will negatively impact on the environment,
  4. the risk to the reputation of the NWU, as well as
  5. the nature of the study.
  • A no risk study is considered by the SC and recommended to the Faculty REC (FREC) for clearance using a template and linking the proposal.
  • A low risk study is considered by the SC and recommended to the Faculty REC for clearance and review (except in the case of health or health-related studies where it is referred to NWU-HREC; or animal studies where is referred to either NWU-AnimCare-REC or NWU-AnimProd-REC).
  • A medium to high risk study or a study involving vulnerable participants, is considered by the SC and recommended to the appropriate NHREC-registered REC for ethics clearance and review.
  • A health or health-related study is considered by the SC and recommended to the NWU-HREC for clearance and review irrespective of the risk level.
  • An animal research study is considered by the SC and recommended to the appropriate animal REC for clearance and review irrespective of the risk level (NWU-AnimCare-REC or NWU-AnimProd-REC).
  • A study with a potential negative impact on the environment is considered by the SC and recommended to the appropriate REC for clearance and review.
  • A study with potential reputational damage to the NWU is considered by the SC and recommended tot eh appropriate REC for clearance and review.

See table below for the detail explanation.

NWU-HREC

(North-West University Health Research Ethics Committee)*

REC-130913-037

Note: Functions under the Ethics Office of the Faculty of Health Sciences

NWU-EMELTEN-REC

(North-West University Education, Management and Economics, Law, Theology, Engineering and Natural Sciences Research Ethics Committee)#

REC-011216-053

NWU-HSSREC

(North-West University Human Social Sciences Research Ethics Committee) #

REC-080615-047

NWU-AnimCareREC

(North-West University Animal Care, Health and Safety Research Ethics Committee)*

AREC-130913-01

Note: Functions under the Ethics Office of the Faculty of Health Sciences

NWU-AnimProdREC

(North-West University Animal Production Research Ethics Committee)#

AREC-110913-014

Key factors for making decision:

  1. All health or health-related research
  2. Matching the focus of the study with the expertise of the REC

Definition of health:

A state of complete physical, mental and social well-being and not merely the absence of disease or infirmity.

Key factors for making decision:

  1. Vulnerable participants
  2. Medium to high risk studies
  3. Not health or health-related studies

Not in the Humanities or Social sciences.

Key factors for making decision:

  1. Studies within the broad field of humanistic disciplines that research human functioning in social, political, institutional, cultural and historical environments and developmental contexts.
  2. Other studies in the Faculty of Humanities that involve medium to high risk studies or involve vulnerable participants.

Not health or health-related studies

Key factors for making decision:

  1. The purpose of the study
  2. Matching the focus of the study with the expertise of the REC Determining if a study is focused on health (either animal or human),

environmental or animal production sciences

Definition of health research:

  • Research that contributes to biological, clinical, psychological or social welfare matters.
  • Causes and effects of and responses to disease.
  • Effects of the environment.
  • Health care systems
  • New pharmaceuticals, medicine, interventions, devices.

New technologies to improve health or health care.

 

Definition of health-related:

Any research conducted by disciplines other than health disciplines about topics, systems or participants (patients or personnel) within the field of health or investigating or striving to improve the bio-psycho-social wellbeing of human participants.

 

 

 

REC members:

  1. Health professionals and scientists
  2. Representation from educational psychology
  3. Representation from pastoral care
  4. Representation from metabolomics
  5. A member of NWU-EMELTEN-REC
  6. A member of NWU- HSSREC
  7. Across campus representation

Head and/or advisory member from the Faculty of Health Sciences Ethics Office

REC members:

  1. Representation from all the mentioned faculties
  2. A member from NWU-HREC

Across campus representation

REC members:

  1. Scientists from the Humanities and Social Sciences
  2. A member from NWU-HREC

Across campus representation

REC members:

  1. Health and Environmental Scientists
  2. Representation from NWU- AnimProdREC
  3. Across campus representation

Head and/or advisory member from the Faculty of Health Sciences Ethics Office

REC members:

  1. Scientist from Animal Production Sciences
  2. Representation from NWU- AnimCareREC (both health and Environmental Sciences)

Across campus representation

Faculties:

  • Faculty of Health Sciences
  • Any other Faculty doing health or health related research

Groups:

  • Health professionals
  • Health scientists
  • Scientist from fields associated to health e.g. biochemistry
  • Educational psychology

Theology focused on counselling of vulnerable groups

Faculties:

  • Education
  • Management and Economics Sciences
  • Law
  • Theology
  • Engineering

Natural Sciences

Faculties:

Humanities (including Social Sciences)

Faculties:

  • Health Sciences
  • Natural Sciences (Environmental Sciences)
  • Faculty of Engineering

Any Faculty using animals for health or health-related purposes

Faculties:

  • Natural Sciences (Agriculture)
  • Faculty of Engineering

Health Sciences if for animal production purposes

Criteria:

  • Research of researchers registered as health professionals
  • Research of health scientists
  • Health or health-related research (Note: All risk levels must be sent to the NWU-HREC)
  • Research about health personnel
  • Research about health systems
  • Research to create devices to be used to improve the health of an individual
  • Using human samples

Giving humans substances

Criteria:

  • Vulnerable participants
  • Medium to high risk studies
  • Participants not from a health or health-related context

All themes except those specifically related to Health, Humanities and Social Sciences

Criteria:

  • Vulnerable participants
  • Medium to high risk studied
  • Participants not from a health or health-related context

Themes specifically related to Humanities and Social Sciences

Criteria:

  • Research of researchers registered as health professionals, involving animals
  • Research of health scientists, involving animals
  • Animals involved in research for the purpose of human health
  • Animals involved in research for the purpose of animal health

Animals involved in research for the purpose of environmental health

Criteria:

  • Animals involved in research for the purpose of improving animal breeding

Animals involved in research for the purpose of improving animal nutrition, genetics and reproduction

Ethics Clearance Flow Process

Scientific review by a Faculty Scientific/Proposal Committee (SC)

Actions by the SC:

Review all research applications and refer all studies to the appropriate Research Ethics Committee (REC) for ethics clearance.

 

  • No risk studies:

Issue a letter of scientific approval to the researcher

Complete a template, attach the proposal and send to the FREC for ethical clearance.

 

  • Low risk studies:

Issue a letter of scientific approval to the researcher that they have to attach to the ethics application to the REC

Refer the researcher to the FREC (Note: Except if health or health related research to the NWU-HREC; if animal studies to the NWU-AnimCare- REC or NWU-AnimProd-REC)

 

  • Medium to high risk studies or a study involving vulnerable participants:

Issue a letter of scientific approval to the researcher that they have to attach to the ethics application to the REC Refer the researcher to the appropriate NHREC-registered REC (based on the scope of the RECs)

 

  • All health or health-related studies irrespective of the risk level has to be referred to the NWU-HREC

Issue a letter of scientific approval to the researcher that they have to attach to the ethics application to the REC Refer the researcher to the NWU-HREC

 

  • All animal studies irrespective of the risk level has to be referred to either the NWU-AnimCare-REC or NWU-AnimProd-REC

Issue a letter of scientific approval to the researcher that they have to attach to the ethics application to the REC Refer the researcher to the NWU-AnimCare-REC or NWU-AnimProd-REC

 

  • A study with a potential negative impact on the environment should be referred to the appropriate NHREC-registered REC

Issue a letter of scientific approval to the researcher that they have to attach to the ethics application to the REC

 

  • A study with potential reputational damage to the NWU should be referred to the appropriate NHREC-registered REC Issue a letter of scientific approval to the researcher that they have to attach to the ethics application to the REC

 

 

 

 No risk

 

 

 

 Low risk

 

 Human studies or impact on the environment

 

 

 

 Animal studies

Medium or high risk studies or a study involving vulnerable participants

Ratification by the REC of the recommendation by the SC

Full review by the REC

Full review by the appropriate NHREC-registered REC

Full review by the appropriate NHREC-registered REC

FREC

NWU-HREC for health or health-related studies

NWU-AnimCare-REC or NWU-AnimProd- REC for animal studies

Review template and proposal sent by the SC and ratifies the recommendation of the SC

FREC

NWU-HREC for health or health-related studies

NWU-AnimCare-REC or NWU-AnimProd-REC for animal studies

Conducts either an expedited or full face- to-face review of the ethics application received from the researcher

All health and health-related studies (NWU-HREC)

All studies in Humanities (NWU-HSSREC)

All other studies that is not health or health-related or from Humanities

(NWU-EMELTEN-REC)

Animal studies about:

*Human health

*Animal health

*Environmental health

(NWU-AnimCareREC)

Animal studies about:

*Improving animal breeding

*Improving animal nutrition, genetics and reproduction

(NWU-AnimProdREC)
Actions by REC

Obtain a pre-allocated ethics number from the research support office

 

Provide an ethics number to the study

 

Letter to the researcher of the REC’s decision
(review, ratifica-tion of the SC decision, no risk)

 

After consideration by the REC, send the allocated ethics number to the research support office to be captured on VSS

Obtain a pre-allocated ethics number from the research support office

 

Provide an ethics number to the study

 

Letter to the researcher of the REC’s decision
(review, approval, risk level, period of approval, other requirements)

 

After consideration by the REC, send the allocated ethics number to the research support office to be captured on VSS

Obtain a pre-allocated ethics number from the research support office

 

Provide an ethics number to the study

 

Letter to the researcher of the REC’s decision
(review, approval, risk level, period of approval, other requirements)

 

After consideration by the REC, send the allocated ethics number to the research support office to be captured on VSS

Obtain   a   pre-allocated ethics number from the research support office

 

Provide an ethics number to the study

 

Letter to the researcher of the REC’s decision
(review, approval, risk level, period of approval, other requirements)

 

After consideration by the REC, send the allocated ethics number to the research support office to be captured on VSS

Obtain a pre-allocated ethics number from the research support office

 

Provide an ethics number to the study

 

Letter to the researcher of the REC’s decision
(review, approval, risk level, period of approval, other requirements)

 

After consideration by the REC, send the allocated ethics number to the research support office to be captured on VSS
  • Downloadable version

Scope of Research Ethics Committees and Scientific Committees (PDF)

Issuing ethics certificates

Your proof of ethics approval comes in the form of an NWU ethics clearance letter signed by the chairperson of the REC.  

Please contact the Research Ethics Coordinator, Ms Feziwe Mseleni if you have any queries regarding the ethics clearance letter for your research project.

Please note: An ethics approval letter will only be issued once the ethics committee that reviewed your application has sent a notification of final approval to Ms Feziwe Mseleni at the Research Support Office.