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A preliminary geneaology of research ethics review and Māori0

 

Lindsey Te Ata o Tu MacDonald
AHRECS, Consultant
  

In New Zealand, we have two separate drivers for change in research ethics for working with Māori.  The first are the institutional responses to the legal requirements of government institutions to accord justice to the principles of the Treaty of Waitangi (see Te Puni Kokiri, 2001). The second arise where Māori scholars have pulled on practices and ideas within their iwi and hapū to develop a Māori centred research philosophy, that in turn has created a distinctively Māori research ethics.

I made this argument at a recent conference, in a paper to honour the late Barry Smith. Barry, in reviewing ethics applications and creating ethics policy could articulate how to negotiate both with his usual insight, grace and wit and aloha. Without him to drive developments we must think carefully about how to follow his example of synthesising the best of ethical approaches to advance Māori wellbeing and rangatiratanga (roughly translated as indigenous self-determination, see Durie, 1988).

So what is the history of research ethics approaches to research with Māori? First, the radical 1984 Labour government’s privatisation agenda enshrined ‘the principles of the Treaty of Wāitangi’ that put in critical pieces of legislation to ensure continued Māori support. The first, and most important of these Treaty clauses was in section 9 of the 1986 State-Owned Enterprise Act.

s9 nothing in the Act permitted the Crown to act in a manner that was inconsistent with the principles of the Treaty of Wāitangi.

When the government inevitably breached this section, a judicial review case allowed the Court of Appeal (at the time New Zealand’s highest court) to set out its view of the relationship between the Crown and Māori. (New Zealand Māori Council v Attorney-General 1 NZLR 641, (1987) 6 NZAR 353). Later cases set out that consultation had to be conducted with an open mind, and Māori were to be given complete information about the subject. Wellington International Airport Ltd v Air NZ [1991] 1 NZLR 671 (Court of Appeal)

The case indicated that the courts expected any government institution (with a Treaty clause in its enabling legislation) to ‘consult’ – to the satisfaction of a court – with Māori individuals and groups who may be affected by its policies or practices. So all government agencies have since been on notice that they must consult with Māori fully on decisions that might affect Māori, and not to do so could lead to a judicial review of their decision-making by a court. Moreover, any Māori individual could also ask the Wāitangi Tribunal (an ongoing political commission of inquiry into Treaty breaches) to review a government action or inaction which breached the principles of the Treaty of Wāitangi.

Due to these incentives, government agencies got into the practice of consulting with Māori organisations on anything that might be of interest or affect Māori. So both the health sector ethics committees and the University ethics committees developed policies that asked applicants to demonstrate they had ‘consulted’ with Māori.

At the same time, a more humane approach to Māori research ethics was also being developed – it arose from Māori scholars grappling with how to inject Te Ao Māori (literally, the Māori world) into the systems around them. Models included, Te Whare Tapa Whā (Durie, 1984), The Meihana model (Pitama, 2007) and the Hui model (Lacey, 2011), to name but a few. In all of these models, there is a wealth of indigenous knowledge that is also discussed beautifully in Te Ara Tika (Smith, 2010), a guide to reviewing research involving Māori, that arose from Barry’s concerns around gaps in knowledge about Māori and research ethics.

So there is an objective legal risk driving consultation with Māori over research on the one hand, and on the other, a philosophically normative Māori centred ethics, drawn from a Māori-centric approach. They can sit awkwardly together for researchers and reviewers. For instance, the two approaches are often combined as though they are one – so that researchers are left thinking they are legally required to adopt Māori normative ethics prescribed in the scholarly models of Māori research, and so do not listen to the tikanga (protocols) of the local community with whom they are researching. Alternatively, researchers may comply with the spirit of the law and do consultation – but as the government has proved time and time again; meeting the judicial test for consultation can still leave many feeling deeply unheard.

This leaves non-Māori, and I have seen this as a Māori research consultant for my University, in what Tolich called, ‘Pakeha [non-Māori] Paralysis’ – that is, paralysed by Māori concerns and thus avoiding doing research with Māori. Indeed I have counselled academics to avoid Māori centred research because they do not have skills to do it.

The deeper problem is that non-Māori researchers don’t have the resources to research appropriately with Māori. And Māori don’t, and should not have to have the capacity to serve the needs of non-Māori researchers.

I have pointed out the incentives for ethics review for Māori because I believe they can show us how to solve the problem. The law states that ethics reviewers must take seriously the voices of Māori in the research, but taking that seriously is not to follow the dictates of legal cases about consultation – those cases were decided about events unrelated to research or ethics. Nor must ethics committees think particular Māori philosophies of research must apply, since there are many more communities that have their own philosophies, and it is those local philosophies that should be privileged.

If we look to the underlying principles of both Māori research principles and legal cases, they combine to suggest we must take seriously the idea that research engages with Māori when it takes seriously the voices of the communities and participants involved in, or around the research. That is, the researchers should be seeking and assisting Māori voices to be heard in the research, if those Māori communities and individuals wish to be heard. To meet the legal needs, and to ensure Māori are given rangatiratanga, I suggest the appropriate question for a researcher to ask themselves (or be asked by the review committee) is ‘how are you making it possible for the Māori individuals and communities to communicate and participate with you in the project should they wish?

References

Durie, M. (1998). Te Mana Te Kawanatanga: The politics of Maori self-determination. Auckland; New York: Oxford University Press.

Durie, M. (2001). Mauri Ora: The Dynamics of Māori Health.

Pitama, S., Robertson, P., Cram, F., Gillies, M., Huria, T., & dallas-katoa, W. (2007). Meihana Model: A Clinical Assessment Framework. New Zealand Journal of Psychology, 36.

Lacey, C., Huria, T. B.,Lutz, & Gilles, M. P., Suzanne. (2011). The Hui Process: a framework to enhance the doctor–patient relationship with Māori. New Zealand Medical Journal, 124(1347).

Smith, B., Reynolds, P., Russell, K.,& et.al. (2010). TE ARA TIKA Guidelines for Māori Research Ethics : A framework for researchers and ethics committee members. Health Research Council of New Zealand.

Te Puni KokirI (Ministry or Māori Development) (2001) He tirohanga o kawa ki te Tiriti o Waitangi: A guide to the principles of the Treaty of Waitangi as expressed by the Courts and the Waitangi Tribunal. Wellington, N.Z.: https://www.tpk.govt.nz/documents/download/179/tpk-treatyprinciples-2001-en.pdf

Tolich, M. (2002). Pakeha” paralysis”: Cultural safety for those researching the general population of Aotearoa. Social Policy Journal of New Zealand, 164-178.

For a good guide to the history and impact of Treaty clauses in legislation see
Palmer, M. (2008). The Treaty of Waitangi in New Zealand’s law and constitution. Wellington [N.Z.]: Victoria University Press.

This post may be cited as:

Te Ata o Tu MacDonald, L. (4 December 2019) A preliminary geneaology of research ethics review and Māori. Research Ethics Monthly. Retrieved from: https://ahrecs.com/human-research-ethics/a-preliminary-geneaology-of-research-ethics-review-and-maori

“Reminder about service options and an easy way to pay AHRECS,” we say… aware of how corporate sleazy that sounds0

 

Dr Gary Allen, Senior Consultants AHRECS
Prof. Mark Israel
Prof. Colin Thomson AM
  
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Just in time for the end of the financial year (though we know many research institutions budget around calendar year), AHRECS has the capacity to receive payments by credit card. We thought this a good time to remind you of those of our services that lend themselves nicely to credit card payment.

In-meeting 30-minute professional development for HREC members ($900) – Workshops/briefings/guided discussion about your selected topic.  An easy way to tick the HREC member training box with minimum interruption to the work of a busy committee.  An experienced AHRECS team member will provide a PowerPoint with pre-recorded audio that could be played in a meeting (and retained for five years for viewing by absent and new members); the team member will ‘phone or Zoom into the meeting for Q&A/discussion. If so AHRECS can also record that component for your later use.

Access the new subscription area ($360) – Thank you to everyone who expressed interest and support for the new in-house subscribers’ area.  This is scheduled to go live in July/August.  By subscribing, you will get access to an impressive (and growing) set of HRE and RI resources that are Creative Commons so you can use them within your organisations as much as you want.

Bespoke webinar for your research community ($1500) – A one-hour webinar on a human research ethics or research integrity topic of your choice, tailored to your institution. The price allows for up to 200 attendees and provision of a recording for your later use.

3-hour orientation workshop for new RIAs ($2300) – Provide your new Research Integrity Advisers with a practical, topical and engaging orientation through this four-hour workshop.

Ten hours of on-call advice ($3400) – On-call advice can be used for both human research ethics and research integrity advice.  We can offer advice on everything from review feedback on a difficult application to commenting on a draft policy and providing advice on a tricky question with which the committee has been struggling.  In the research integrity space, we can suggest an appropriate investigation approach for an alleged breach, comment on a RI resource, or suggest references on a key topic.  The purchased time can be used in 15min, 30min, 1h, 4h and 8h blocks

Send an email to gary.allen@ahrecs.comif you have any questions.

The prices above exclude GST and a 2% credit card processing fee

Kua hinga te tōtara i Te Waonui-a-Tāne, the tōtara tree has fallen in Tāne’s great forest1

 

It is with great sorrow that we note the passing of one of our consultants, Barry Smith.

Of Te Rarawa and Ngāti Kahu descent, Barry was an extraordinary man. A true kaumatua, his wit and wisdom on matters of indigenous health and indigenous research ethics is irreplaceable.

Showcasing the best of the leadership through humility, Barry was relied upon by committees to bring an appreciation of Maori – and research ethics more generally – to their work. More than that, because of his diplomacy and humanity he became the kamatua of the process that bought Māori ideas and ways of knowing to the research ethics sector in New Zealand. Just a small list of his appointments is indicative of the status accorded to him senior scientists, ethicists, and government officials and ministers; he was or had been a member (and often a chair) on all the national bodies that set ethical standards and/or reviewed the ethics of research in New Zealand.

– Chair, Royal Society of New Zealand Maori Reference Group on indigenous matters to the Society’s project on gene editing
– Chair, Ministry of Social Development Ethics Committee
– Chair, the Lakes DHB Research and Ethics Committee
– Former Chair, Ethics Committee of the Health Research Council
– Former Chair, multiregional health and disability ethics committee
– Member, Advisory Committee on Assisted Reproductive Technology (ACART)
– Member, Auckland Regional Tissue Bank Governance Advisory Board
– Member, Health and Quality Safety Commission’s (HQSC) Perioperative Mortality Review Committee (POMRC)
– Member, committee re-writing New Zealand’s National Ethics Guidelines.
– Member, Marsden Fund project led by Tim Dare examining the ethics of predictive analytics.

Tena koe BarryGreetings Barry
kua wheturangitia KoeYou who have been adorned as stars
ki te korowai o Ranginuiain the heavens
kua wehe atu Koe ki te poYou who have departed to the night
Ki  tua o Te AraiTo beyond
Ki te okiokingTo the resting place 
o o tatou tupunaOf our ancestors
Haere, haere, haere.Farewell, farewell, farewell

 

The Ethics of Evaluation Research0

 

Evaluation research is used to assess the value of such things as services, interventions, and policies. The term ‘evaluation research’ makes it seem homogeneous but in fact evaluation research draws on a range of theoretical perspectives and a wide variety of quantitative and qualitative methods. However, there are three things evaluation research usually does that set it apart from other kinds of research. It:

  1. asks what is working well and where and how improvements could be made;
  2. involves stakeholders; and
  3. offers practical recommendations for action.

The American Evaluation Association (AEA), with members from over 60 countries, has five ‘guiding principles’ which ‘reflect the core values of the AEA’ (2018):

Systematic inquiry: evaluators conduct data-based inquiries that are thorough, methodical, and contextually relevant.

Competence: evaluators provide skilled professional services to stakeholders.

Integrity: evaluators behave with honesty and transparency in order to ensure the integrity of the evaluation.

Respect for people: evaluators honour the dignity, well-being, and self-worth of individuals and acknowledge the influence of culture within and across groups.

Common good and equity: evaluators strive to contribute to the common good and advancement of an equitable and just society.

The question of how research ethics review processes should engage with evaluation research has not yet been definitively decided in many research institutions in Australia and New Zealand. Helen Kara’s article alerts us to the degree to which evaluation researchers encounters novel ethical issues. We shall explore some of the possible institutional approaches in a forthcoming Patreon resource.

This is unusual in being thorough – there is much more explanation in the document – and up to date. The Australasian Evaluation Society (AES) has Guidelines for the Ethical Conduct of Evaluations which were last revised in 2013. This is a much more discursive document – 13 pages to the AEA’s four – which offers guidance to evaluation commissioners as well as evaluation researchers. The AES guidelines also refer to and include Indigenous ethical principles and priorities. In particular, reciprocity is highlighted as a specific principle to be followed. This is another difference from the AEA document in which Indigenous evaluation and evaluators are not mentioned.
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The United Nations Evaluation Group also specifies evaluation principles in its ethical guidelines (2008) but they are 10 years older than the AEA’s. Beyond these, there are few codes of ethics, or equivalent, readily available from national and international evaluation bodies. Also, evaluation research rarely comes within the purview of human research ethics committees unless it’s being conducted within a university or a health service. And books on evaluation research rarely mention ethics.
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Recent research has shown that a proportion of evaluation researchers will assert that ethics does not apply to evaluation and that they have never encountered ethical difficulties in their work (Morris, 2015, p.32; Williams, 2016, p.545). This seems very odd to me, as I have been doing evaluation research for the last 20 years and I have encountered ethical difficulties in every project. It also seems worrying as I wonder whether the next generation of evaluation researchers are learning to believe that they do not need to think about ethics.
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In my recent book, Research Ethics in the Real World (2018), I demonstrated that ethical issues exist at all stages of the research process, from the initial idea for a research question up to and including aftercare. This applies to evaluation research just as much as it does to any other kind of research. I also demonstrated that there are some ethical considerations at the macro level for evaluation research, such as funding, stakeholder involvement, and publishing.
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Well-funded organisations or projects can allocate money for evaluation; poorly-funded ones cannot. This means that evaluation research is routinely done where funding is available rather than where evaluation is most needed. In the United Kingdom, where I am based, we have been undergoing an ideological programme of austerity involving massive cuts to public services over the last nine years. This has come from successive governments that have also prioritised evaluation research, funding expensive national ‘What Works’ centres on themes such as ageing, health, and childhood, right through the austerity years. Yet to the best of my knowledge there has been no evaluation of the impact of any service closure. This seems short-sighted at best – though it does illustrate my point that evaluation happens where money is being spent. Also, an explicit purpose of evaluation research is often to provide evidence to use in future funding negotiations, which means that results are effectively expected to be positive. This means that pressures associated with funding can introduce bias into evaluation research right from the start. Combine this with an evaluator who needs to be paid for their work in order to pay their own bills, and you have a situation that is well on its way to being a money-fuelled toxic mess.
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Involving stakeholders is a key principle of evaluation research. The AEA define ‘stakeholders’ as ‘individuals, groups, or organizations served by, or with a legitimate interest in, an evaluation including those who might be affected by an evaluation’ and suggest that evaluators should communicate with stakeholders about all aspects of the evaluation (2018). Again, here, the use of a single word implies homogeneity when in fact evaluation stakeholders may range from Government ministers to some of the most marginalised people in society. This can make involving them difficult: some will be too busy to be involved, some will be impossible to find, and some will not want to be involved. Which leaves evaluators caught between an impractical principle and an unprincipled practice. There is some good practice in stakeholder involvement (Cartland, Ruch-Ross and Mason, 2012:171-177), but there is also a great deal of tokenism which is not ethical (Kara, 2018:63). Also, even when all groups of stakeholders are effectively engaged, this can bring new ethical problems. For example, their values and interests may be in conflict which can be challenging to manage, particularly alongside the inevitable power imbalances. Even if stakeholders work well together such that power imbalances are reduced within the evaluation, it is unlikely those reductions will carry over into the wider world.
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Commissioners of evaluation are reluctant to publish reports unless they are overwhelmingly positive. I had an example of this some years ago when I evaluated an innovative pilot project tackling substance misuse. From the start my client said they were keen to publish the evaluation report. I worked with stakeholders to collect and analyse my data and made around 10 recommendations, all but one of which said words to the effect of ‘good job, carry on’. Just one recommendation offered constructive criticism of one aspect of the project and made suggestions for improvement. My client asked me to remove that recommendation; I thought about it carefully but in the end refused because it was fully supported by the evaluation data. We had two more meetings about it and in the end, my client decided that they would not publish the report. This was unfortunate because others could have learned from the evaluation findings and methods, and because failure to publish increases the risk of work being duplicated which results in public funds being wasted. Sadly, as a commissioned researcher, I had signed away my intellectual property so it was out of my hands. Everyone involved in evaluation research can tell these kinds of tales. However, it is too simplistic to suggest that publication should always be a requirement. In some cases, the publication could be harmful, such as when a critical evaluation might lead to the economy of service closure, to the detriment of service users and staff, rather than to more resource-intensive improvements in policy and practice. But overall, unless there is a good reason to withhold a report, the publication is the ethical route.
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As the AEA principles suggest, evaluation researchers are in a good position to help increase social justice by influencing evaluation stakeholders to become more ethical. I would argue that there are several compelling reasons, outlined above, why all evaluation researchers should learn to think and act ethically.
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References

American Evaluation Association (2018) Guiding Principles. Washington, DC: American Evaluation Association.

Australasian Evaluation Society (2013) Guidelines for the Ethical Conduct of Evaluations. www.aes.asn.au

Cartland, J., Ruch-Ross, H. and Mason, M. (2012) Engaging community researchers in evaluation: looking at the experiences of community partners in school-based projects in the US. In Goodson, L. and Phillimore, J. (eds) Community Research for Participation: From Theory to Method, pp 169-184. Bristol, UK: Policy Press.

Kara, H. (2018) Research Ethics in the Real World: Euro-Western and Indigenous Perspectives. Bristol, UK: Policy Press.

Morris, M. (2015) Research on evaluation ethics: reflections and an agenda. In Brandon, P. (ed) Research on evaluation: new directions for evaluation, 31–42. Hoboken, NJ: Wiley.

United Nations Evaluation Group (2008) UNEG Ethical Guidelines for Evaluation. http://www.unevaluation.org/document/detail/102

Williams, L. (2016) Ethics in international development evaluation and research: what is the problem, why does it matter and what can we do about it? Journal of Development Effectiveness 8(4) 535–52. DOI: 10.1080/19439342.2016.1244700.
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Recommended reading

Morris, M. (ed) (2008) Evaluation Ethics for Best Practice: Cases and Commentaries. New York, NY: The Guilford Press.

Donaldson, S. and Picciotto, R. (eds) (2016) Evaluation for an Equitable Society. Charlotte, NC: Information Age Publishing, Inc.

Contributor
Helen Kara, Director, We Research It Ltd | profilehelen@weresearchit.co.uk

This post may be cited as:
Kara, H. (26 January 2019) The Ethics of Evaluation Research. Research Ethics Monthly. Retrieved from: https://ahrecs.com/human-research-ethics/the-ethics-of-evaluation-research

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