Complaints and Appeals

The National Statement for Ethical Conduct in Research Involving Humans requires that an institution with a Human Research Ethics Committee (HREC) establish mechanisms for receiving and promptly handling complaints or concerns about the conduct of an approved research project (refer p.21, paragraph 2.39-2.43). It requires that the name or position and contact details of the person nominated by the HREC to receive complaints be included in the written information which is provided to participants.

To that end the University of Ballarat requires that researchers ensure plain language statements/information sheets for participants include some wording advising participants that if they have any concerns regarding the conduct of the research project they should contact:

The Executive Officer,
Human Research Ethics Committee,
University of Ballarat, Vic 3350
ph: (03) 5327 9765;
fax: (03) 5327 9602.

(Contact details for the researchers should also be included in the plain language statement for specific queries relating to the research.)

Complaints concerning the conduct of the research project

Complaints or concerns relating to the ethical aspects of a research study should be directed to the Executive Officer, Human Research Ethics Committee in the first instance.

The procedure for investigation would normally be:

• complaint referred to the Chair of the Human Research Ethics Committee
• the Chair (or delegate of the Chair) would consider the complaint - including, where necessary, reference to original protocol, contact with researchers, contact with complainant
• action would be taken including, if warranted, implementing formal and complainant advised accordingly
• a report would be sent to the next Human Research Ethics meeting

Where the complainant is not satisfied with the actions taken, the complaint would be referred to the Deputy Vice-Chancellor (Academic & Research)

Complaints concerning ethics administration and committee decisions

The National Statement requires that an institution establish procedures for receiving and promptly handling concerns or complaints from researchers about the consideration of their research protocol by an HREC. If a researcher wishes to appeal the decision of the ethics committee about their research project or express concerns about the ethics administration process, the following action would normally be taken:

• complaint received by the Vice-Chancellor (Academic & Research)
• the Vice-Chancellor (Academic & Research), to take action, including, where appropriate, consultation with the Chair of the HREC, contact with the researcher, consultation with the Head of School
• if the researcher is not satisfied with the result, the Vice-Chancellor (Academic & Research), to refer the matter to the Chair of the HREC for consideration by the full committee of the HREC.