MDUM8010 Chap.6 Research Ethics Approval at HKU
Research Ethics Approval at HKU
Why a dissertation student needs approval
Under the University's Policy on Research Integrity, whoever leads a study that asks people to agree to take part, or that uses vertebrate animals, must send the protocol to the relevant ethics committee for clearance first.
The policy covers taught postgraduate students as well as staff and research students, so a dissertation student running a survey or interviews is the investigator and carries the obligation.
Which body reviews what
The briefing names three bodies. Research involving human participants from non-clinical faculties goes to the Human Research Ethics Committee.
Research involving human participants from clinical faculties goes to the Institutional Review Board run jointly by the University and the Hospital Authority Hong Kong West Cluster. Research with live animals goes to a separate animal use committee.
The human research committee and the clinical board can pass applications between them when a study falls outside one remit.
The form and how to complete it
Students download the newest student version of the ethics application, the one for taught postgraduates and undergraduates, from the HKU Research Services website.
The form asks applicants to read the Policy on Research Integrity, the committee's operating procedures and a short summary of the Belmont principles first.
The supervisor approves the application, and the briefing advises completing it carefully with the supervisor's advice to avoid mistakes and resubmissions.
Timing inside the course
The course timetable sets a deadline for the draft ethics application with the dissertation title and revised proposal, and a deadline for the final application with the first progress report.
The rule that governs everything else is printed on the form: no data may be collected or analysed before approval is obtained. The form also offers a box for projects collecting no new data, and approved project titles are listed publicly, with an abbreviated title allowed.
What this chapter covers
- 01
The Policy on Research Integrity and who it covers
- 02
Human participants and live animals as triggers
- 03
Routing to the committee, the clinical board or the animal committee
- 04
Downloading the current application form
- 05
The supervisor's role in the application
- 06
The draft and final application deadlines
- 07
No collection or analysis before approval
- 08
The option for projects collecting no new data
- 09
Public listing and abbreviated titles
Worked example · free
Plan the ethics step for an interview study
- 2Decide whether approval is needed and from which body.
- 3List the steps and documents in order.
- 2Set the start date against the rule on collection.
Key terms
- Principal Investigator
- The person responsible for a research project; for a dissertation involving human participants, the student.
- Human Research Ethics Committee
- The HKU committee that reviews research involving human participants from non-clinical faculties.
- Institutional Review Board
- The joint University and Hospital Authority board that reviews research involving human participants from clinical faculties.
- Ethical Clearance
- Approval from the appropriate committee that must exist before any data is collected or analysed.
- Belmont Report
- A foundational statement of principles for research with human subjects, whose summary the HKU form asks applicants to read.
Research Ethics Approval at HKU FAQ
Do I need ethics approval for a survey in my dissertation?
A survey involves the consent of human participants, and the University's Policy on Research Integrity requires the principal investigator of such a project, including a taught postgraduate student, to refer the protocol to the appropriate ethics committee. For non-clinical departments that is the Human Research Ethics Committee, using the application form for taught postgraduate and undergraduate students.
When can I start collecting data for my dissertation?
Only after ethics approval has been obtained where it is required. The application form states that no data can be collected or analysed before approval from the relevant committee. The course timetable places the draft application in early February and the final application in early March, so plan design and reading work for the weeks before approval.
What if my dissertation uses only published data?
The application form includes a box for projects where no new data will be collected, and the briefing's checklist marks the ethics application as needed where it applies. Decide with your supervisor whether an application is required for your design and record that decision.
Will my dissertation title be made public by the ethics committee?
For applications processed by the committee, the project title and the investigator's name and department are posted on a public webpage while the approval is valid. If you have concerns about revealing the full title, the form lets you provide an abbreviated project title for that listing.
Assessment move
Draft the ethics application alongside the full proposal rather than after it, because both describe the same participants, instruments and data handling. Ask your supervisor to read them together. Use the weeks before approval for pilot design on paper, sampling frames and analysis plans, so that data collection can start the day approval arrives.
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