Royal Society of New Zealand code of ethics

The Council of the Royal Society adopted a revised code of Professional Standards and Ethics, and Rules, for members at its 12 June 2003 meeting

 

Preamble to a code of ethics

Science in all its aspects - the natural and physical sciences (including the deductive sciences based on mathematics), the medical sciences and the social sciences in their many forms - is now a pervasive part of many contemporary cultures. Its application through technology has brought hitherto unimaginable benefits. These advantageous outcomes underpin the public trust and respect and the public support which science and technology have enjoyed. But this trust can be, and indeed has been, eroded by various circumstances. Some arise from the difficulty in understanding science that besets the general public and the feeling of vulnerability which can then occur. Other misgivings arise when applications have been shown to be detrimental to the general well being of society, although possibly beneficial to a sector.

This ambiguity in the public perception can be seen clearly in the debate over the use of the knowledge revealed in the genetic code. With the possible exception of nuclear fission no other issue has, to date, excited as much concern about the consequences of scientific discoveries and their application and exploitation. As with nuclear research the public is aware of its benefits, particularly in medicine, but also of its dangers. They are equally aware that they are in the hands of scientists and of commercial enterprises and they are disinclined to fully trust either group to always act in the overall interests of humanity.

If, therefore, natural and physical scientists, medical scientists, social scientists and technologists, technicians and all involved in research or its application are to continue to have the freedom to operate, and to have the public support that that freedom requires, it is imperative that they, whatever their field of expertise and whether in the private or public sector, are seen to act professionally by following a formalised code of practice. Because of the all-pervasive and inter-connected nature of science and technology, and the consequent difficulty in prescribing detailed procedures for all fields of endeavour, it is particularly important that practitioners always follow the spirit, and not just the letter, of such codes.

In addition to the above, scientists and technologists in New Zealand must keep in mind their responsibility to act in accordance with the spirit of the Treaty of Waitangi, particularly when their work includes investigations relating to individual people, to groups of people (e.g. geographical, descent-based or chosen communities), to the natural environment or to customs, objects or places of special cultural significance.

As specified by its enabling legislation the Society will require all its members to adhere to the Code and will also ask its affiliated bodies to require their own members to also comply. In so doing it is not wishing to be prescriptive but to help ensure that the high standing in the community generally enjoyed by scientists and technologists in New Zealand is maintained and enhanced and, at the same time, to support its members and others as they endeavour to act ethically and professionally.

Code of Professional Standards and Ethics

Statutory provision

Section 34 of the Royal Society of New Zealand Act 1997 makes the following provision for members to have a Code of Professional Standards and Ethics in Science and Technology. Section 34 reads:

34. Code of professional standards and ethics -

1. The Council must issue for members a code of professional standards and ethics in science and technology.
2. The Council may from time to time issue amendments to a code of professional standards and ethics issued under subsection (1).
3. The council must make the code of professional standards and ethics, and any amendments to it, publicly available.

Application

The Code hereby promulgated after extensive discussion and revision is to be adopted by, and must be followed by, all members of The Royal Society of New Zealand. Members whose conduct is considered to be in breach of the provisions of the Code will be asked to account to the Society for their actions.

This is a voluntary Code for all other scientists and technologists in New Zealand. The Society recommends its provisions to them.

Title

The code may be cited as "The Royal Society of New Zealand Code of Professional Standards and Ethics".

Presentation of the code

Because the Society’s Code serves a wide range of individuals and covers an equally wide range of scientific and technological interests and circumstances it is necessarily written in a general style.

Following an introductory statement the Code is first presented as a succinct summary and then in a more detailed, but still general, form. Each sub-heading in the latter mode is accompanied by an explanatory statement which aims at encapsulating the essential spirit of the standards and ethics to be applied to the particular issue being addressed. Specific comments and examples then follow by way of illustration.  

Introduction to the code

Scientific and technological operations and investigations, their application and their teaching, must be undertaken with integrity through the use of rigorous methods.

Such investigations expand knowledge and it is the responsibility of all members of the Society to ensure that the application of that knowledge conforms to standards acceptable to the wider community, whether or not the members be self-employed, on the staff of private or public companies or of Government or private institutions, or whether they be natural and physical scientists, social scientists, medical scientists or practitioners, technologists, technicians or others.

To this end, all scientific and technological practices and advances, and their applications and dissemination, must be open to scrutiny and criticism. In undertaking their work all members must strive to ensure that their actions do not detrimentally impact on society or on the living or physical environment.

To ensure that this is so all investigations must be undertaken in accordance with all relevant and accepted professional standards and codes of ethics, both those prescribed by Parliamentary legislation and those promulgated by professional bodies.

 

The Royal Society of New Zealand Summary code of professional standards and ethics

1. Professionalism
   Members must always act with integrity and professionalism and work within their level of competence.
2. Honesty
   Members must conduct themselves honestly at all times and fairly represent their abilities and their findings.
3. Standards
   Members must always endeavour to conform to the requirements of all relevant statutes, regulations and the Codes of Ethics of their professional associations and must seek and obtain all necessary consents and approvals before beginning a project.
4. Collegues
   Members must treat their colleagues fairly, reviewing their work without bias and appropriately acknowledging their contributions to science and technology. See also "Workplace Bullying" at http://nzas.rsnz.org/policy/nzaswb2005.pdf
5. Community
   Members have a duty to respect the values of communities which may be affected by their work, to respect the natural environment in which those communities are situated and to heed their responsibility to act in accordance with the Treaty of Waitangi.
6. People
   Members have a duty to protect the well being and privacy of individuals. They must ensure that the involvement of people as participants in research is always fully justified.
7. Funders and purchasers of research
   When members undertake work for employers or other purchasers the interests of these clients normally take priority over other interests but always within the limits imposed by law, by this Code, by accepted ethical standards and by the public interest.
8. Animals
   Members have a duty to respect and promote the welfare of all animals with which they are involved in their work.
   
9. Environment
   Members have a duty to protect the natural environment and to minimise any adverse impact their work may have.
10. Education & Communication
    Members are expected to continue the development of their skills and knowledge throughout their professional life and, when and where appropriate, to communicate their knowledge to the public. In communicating with the public members must endeavour to ensure that their statements are correct and endeavour to avoid distortion arising from misleading simplification or extrapolation.
11. Other areas of concern
    Members must be aware that the above Summary of the Code is not exhaustive and that they must act ethically in all circumstances whether specifically mentioned by the Code or not.

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The Royal Society of New Zealand Code of Professional Standards and Ethics

It is to be noted that what follows is not intended to cover every situation and it is anticipated, and is required as part of the Code, that all members will not only adapt the general principles to the particular circumstances of their work but will also adhere to all ethical requirements placed on them by Government regulations, statutes or Advisory Committees (e.g. in the use of animals), by their professional bodies (e.g. by the Institute of Professional Engineers of New Zealand or the Association of Social Science Researchers) or by their employer (e.g. a private or public company, a University or Crown Research Institute).

THE CODE LAYS THE FOLLOWING RESPONSIBILITIES ON MEMBERS:

1. To act with integrity and professionalism 

Members must always behave with integrity using their knowledge and skills in a professional manner so as to competently pursue their work. They must endeavour not to compromise the well being of society or the sustainable use of the natural environment. In instances of conflict the welfare and the needs of the community must take precedence over responsibilities to clients, colleagues or other interests. Obligations arising from the Treaty of Waitangi must always be kept in mind and especially in situations involving community interests.

These requirements mean, for example, that members must:

1. endeavour to obtain and present facts and interpretations in an objective and open manner;
2. strive to be fair and unbiased in all aspects of their research and in their application of their scientific and technological knowledge;
3. strive to enhance the reputation of their scientific or technological profession;
4. strive not to compromise the health, safety or welfare of the community or of colleagues and others directly associated with science and technology;
5. show respect, consideration and courtesy to clients and to the public;
6. avoid or declare real or apparent conflicts of interest and document them beforehand whenever possible;
7. where appropriate, acknowledge themselves as interested parties in controversies about scientific and technical procedures;  
8. always observe the requirements of specific statutes and/or codes applicable to the work they are to undertake;
9. act in accordance with the spirit of the Treaty of Waitangi and particularly when that work includes investigations which impinge on the New Zealand natural environment, on individual persons and communities or on customs, objects or places of special cultural significance.
10. not present themselves as experts outside their areas of expertise.

2. To act honestly

Members must conduct themselves honestly and with integrity at all times. This applies to dealings with clients, colleagues and the public as well as to ensuring personal integrity in the recording of data, the drawing of conclusions and in other professional actions.

These requirements mean, for example, that members must:

1. honestly represent their research goals and intentions to any potential participants in the research process;
2. fairly and fully represent their results without falsification or bias;
3. fairly record the intellectual, material and practical contributions of others to their work and results;
4. ensure that joint authors of publications and reports share responsibility for their contents;
5. endeavour to retain all types of research records for a period long enough after publication of the work to allow examination by bona fide critics (two years at a minimum) but archiving the data if possible, and, where commercial sensitivity is not an issue, making them freely available to others; [Attention is drawn to section 4. RESPONSIBILITY TO CARE FOR COLLEAGUES.]
6. not falsify qualifications or wittingly make other untrue claims of experience;
7. not commit plagiarism, or condone acts of plagiarism by others;
8. always be scrupulously honest in the application of findings from scientific research and in the transfer of technology to the community wherever it occurs;
9. unless commercial considerations indicate otherwise, do all that they can to ensure the earliest possible publication of the results of publicly-funded research;
10. ensure that all speculative and interpretive statements in their reports are clearly identified as such.

3. To meet acceptable standards

Members must only claim expertise commensurate with their qualifications and fields of competence and must follow investigative and work practices which conform to recognised national and international standards.

These requirements mean, for example, that members must:

1. only represent themselves as experts in their fields of competence as defined by their formal qualifications or other demonstrable experience;
2. maintain their technical and general competence in their area of expertise and familiarise themselves with recent national and international advances therein;
3. ensure that they make appropriate disclosure of any limitations on proposed work due to insufficient resources or other factors;
4. strive to adhere to the requirements of relevant New Zealand legislation and regulations and all appropriate codes of work standards and ethical practice;
5. strive to adhere to the codes and disciplinary standards of learned societies and professional bodies of which they are members or by which they are registered;
6. have regard to the requirements, work practices and ethical standards of the International Council for Science (ICSU) or any other relevant international organisation;
7. ensure that the highest standard prevails whenever there is any discrepancy or conflict in standards.

4. To care for collegues

Members must support ethical behaviour and high professional standards in their colleagues and must treat such colleagues with integrity and honesty.

These requirements mean, for example, that members must:

1. review the work of colleagues without bias and treat all information gained in such activity as privileged and confidential;
2. appropriately acknowledge the work and contributions of colleagues;
3. avoid falsely, vexaciously or maliciously attempting to impugn the reputations of colleagues or otherwise compromising or denigrating them in order to achieve commercial, professional or personal advantages;
4. support the career development of colleagues by providing honest, unbiased comment on their career prospects, on the conduct of their work or on their proposals, manuscripts and papers;
5. encourage and support the development of junior colleagues;
6. be aware that in the event of a challenge to a member over his or her past ethical conduct the retention of and ability to produce all the appropriate records may prove to be crucial.  

5. To care for the community

Members must endeavour to make the results of their work as widely available to the public as possible and to present those results in an honest, straightforward and unbiased manner.

These requirements mean, for example, that members must:

1. endeavour to communicate the results of their work to the wider community without distortion arising from misleading or unjustified simplification or extrapolation.
2. endeavour to ensure that all public statements are correct and supported by competent research and/or scholarship;
3. ensure that all speculative and interpretative statements are identified as such;
4. accept that researchers working on different approaches to a problem may reach different but supportable conclusions within the context of their own research;
5. acknowledge that in some instances and in some areas of research their own values may impinge on the way they approach a scientific problem and that different values and paradigms may also have validity;
6. avoid attempting to influence public policy in situations where the available scientific evidence is contradictory or inconclusive without making the state of that evidence clear;
7. support the publication and dissemination of all competent research even when the conclusions drawn by the authors are contrary to a member's own opinions or to the currently accepted consensus.

6. To safeguard human participation in research

Members must always ensure that the involvement of people as participants in any proposed research is fully justified by first establishing that there will be potential significant benefits from the research and that these benefits will greatly outweigh any potential harm which may be experienced by the participants. The interests, safety, well being and dignity of participants must be of paramount concern at all times. The following underlying principles must therefore all be observed in the planning and in the conduct of the research:

• Informed and voluntary consent.
• Respect for privacy and confidentiality.
• Minimisation of harm to participants.
• Avoidance of unnecessary deception.
• Respect for property rights.
• Sensitivity to the age, gender, culture, religion and social class of participants.

Research involving human participants must not commence until after it has been approved by an appropriate ethics committee accredited or approved to conduct ethics review. Information on accredited ethics committees and guidelines on ethics in health research in New Zealand can be obtained from the Health Research Council of New Zealand (www.hrc.govt.nz).

Researchers should also comply with any code of ethics developed by their professional associations (e.g. the New Zealand Psychological Society, the Association of Social Science Researchers, the New Zealand Association for Research in Education) , and with the requirements of other external bodies (for e.g. approval by the Research Access Committee operated by the Department of Child Youth and Family).

Members should be aware that most scientific journals require research to have been approved by an ethics committee before it will be published.

Any vested interest in a trial should be disclosed to the institution, the body granting approval, and to participants. Trials involving human participants may have an overseeing committee which is independent of those who may have a vested interest in the outcomes of a trial.

These requirements mean, for example, that members must:

1. ensure that their research with human participants adheres to the requirements of all relevant legislation , these include, the New Zealand Bill of Rights 1990; the New Zealand Public Health and Disability Act 2000; the Code of Health and Disability Consumers’ Rights1996; Privacy Act 1993; the Health Information Privacy Code 1994; the Injury Prevention, Rehabilitation and Compensation Act 2001; and the Health Research Council Act 1990;
2. adhere, in addition, to the Codes of Ethics and Conduct covering research with human participants which are in place in their institutions as well as with the Codes of Ethics developed by their professional associations;
3. ensure that the information provided to gain consent is adequate and appropriate and that the consent gained is voluntary. Members should be aware that, gaining informed and voluntary consent from minors and from those of diminished responsibility is not straightforward and that they should be careful to follow the requirements of any relevant Code of Ethics;
4. ensure that research is stopped and the matter referred to the appropriate authority should any ethical issue that was not envisaged when the research was planned unexpectedly arise and also ensure that the research does not restart until the authority's approval to do so has been obtained;
5. endeavour to ensure that individuals who choose not to participate in a project are not discriminated against by their community or by the researchers and others involved;
6. ensure the identity of participants is not disclosed unless they consent otherwise;
7. ensure confidentiality of information at all stages of the project unless participants choose otherwise;
8. ensure that any overseeing committee has access to trial data as they accumulate so that the committee can assess whether the trial should proceed or be discontinued;
9. endeavour to ensure that all research is conducted in accordance with the principles of the Treaty of Waitangi by paying proper regard to the rights of individuals and communities in matters of protection, participation and partnership;
10. ensure that research they conduct in other countries conforms to the same ethical standards as those pertaining in New Zealand, while also endeavouring to follow local ethical requirements and codes which are compatible with New Zealand standards;
11. ensure that there are sufficient protections for participants who may suffer injury as a result of participation in research; in this context, the application of the accident compensation legislation should be considered, or where relevant, appropriate insurance or indemnity cover should be arranged;
12. ensure that any vested interest which either the institution, the member personally, or any other member, has in a research project, particularly of a fiduciary kind, is disclosed to the institution, the body granting approval, and to participants.

7. To do duty to the funders and purchasers of research

The general principles listed under the categories of Integrity and Professionalism, Honesty, Standards and Responsibility for Colleagues and the Community apply both to basic (curiosity driven) research and to research and technology in the community and industrial-commercial sectors. Thus members involved in research, technological developments, testing or other operations for employers, funding agencies or other paying clients must maintain the high standards expected of all natural and physical scientists, medical scientists, social scientists, technologists, technicians and others.

When members undertake work for employers or other purchasers the interests of these clients normally take priority over other interests but always within the limits imposed by law, by this Code, by accepted ethical standards and by the public interest.

These requirements mean, for example, that members must:

1. exercise initiative, skill and judgement for the benefit of an employer or client;
2. endeavour to ensure that clients are aware of the ethical and legal obligations of the natural and physical scientists, social scientists, technologists, technicians or other members whose services they are purchasing;
3. ensure that employers or clients are aware of the general place which publication of research findings plays in the world of science/social science;
4. encourage employers and other clients to permit public disclosure of their results unless there are legitimate and lawful reasons for confidentiality but, nevertheless, always respecting that confidentiality when it is legitimately required by the employer or client;
5. identify and respect any intellectual property employed within, or arising from, research or other work undertaken for an employer or client;
6. accept personal responsibility for all research or associated work undertaken by themselves or under their supervision;
7. not accept anything of substantial value from any third party by way of gratuity or personal advantage, nor promise to give anything of such value to any third party;
8. within appropriate time-frames, make available to funding agencies an appropriate report on each funded project;
9. oppose any manipulation of results to meet the perceived needs or requirements of employers, funding agencies, the media or other clients and interested parties whether this be attempted before or after the relevant data have been obtained;
10. not undertake any work which they know will be in conflict with the standards and ethical requirements of this Code.  

8. To protect the welfare of animals

All who are concerned with experiments, procedures or tests involving sentient animals have a duty to respect and promote the welfare of those animals and this duty is expressed in the manner in which the animals are treated. Although it is generally accepted that research involving animals contributes to the advancement of knowledge, to improvements in the health and well being of animals as well as humans and in the maintenance of balance and sustainability in ecosystems, any experimental undertaking involving animals, no matter how laudable, must always be ethically acceptable and this means that;

1. if there are ways of undertaking an investigation or of achieving the results sought without the use of animals these possibilities must be investigated and used unless there are sound reasons to the contrary;
2. any harm or distress which will be inflicted on an animal requires full justification and must be clearly outweighed by the realistic benefits likely to accrue from an experiment;
3. any harm or distress inflicted on an animal must be minimised as much as possible.

These requirements mean, for example, that members must:  

1. first consider alternative methods, not involving animals, of meeting the research, teaching or testing requirements of any investigation;
2. undertake their research, teaching or testing in accordance with all institutional and legal requirements and also follow formal published guidelines (e.g. the New Zealand Code of Recommendations and Minimum Standards for the Care and Use of Animals for Scientific Purposes);
3. apply and obtain ethical approval for their work from an appropriate Ethical Committee and follow the advice and requirements of that Committee;
4. ensure that the Ethical Committee considers the need for an overseeing person or committee for each trial and that the committee has ongoing access to experimental data and assesses whether or not a trial should continue;  
5. endeavour to ensure that their work always adheres to the highest possible standards for the humane treatment of animals such that:
   1. adequate steps are taken to ensure that animals do not suffer unnecessary pain or distress at any time,
   2. animals are kept under the supervision of an experienced investigator and are housed, fed and cared for to safeguard their health and comfort,
   3. all animals used in research are legally acquired, retained and used;
6. give consideration to the appropriateness of the animal species proposed for any investigation, to the possibility of using less-sentient or non-sentient animals, and to the minimum number needed to meet the required scientific and/or statistical standards;
7. use appropriate and approved methods of anaesthesia, analgesia and tranquillisation on animals subjected to invasive procedures;
8. seek to make those using animals in research, teaching and testing aware of the need to practise and encourage the highest standards of animal care and welfare;
9. be aware that the health and stress levels in animals as well as the level of human interaction with them need to be considered in designing research protocols;
10. endeavour to foster an awareness of the importance of animal welfare within the technological and scientific professions and within the wider community.

9. To sustain and protect the environment

Members must always be aware of the need for the sustainable management of the planet's resources and must seek to minimise any unnecessary adverse environmental impacts on present and/or future generations consequent upon their investigations or upon the applications of their technology. In considering these environmental implications, they must draw the attention of both decision makers and those to be affected to any environmental impacts of the proposed work and to the perceived immediate and potential consequences which may follow. (Sustainable management is defined as meeting the needs of the present without compromising the ability of succeeding generations to meet the needs of the future.)  

These requirements mean, for example, that members must:

1. be committed to the efficient use of resources;
2. minimise the generation of waste and, where applicable, encourage the environmentally sound re-use, recycling and disposal of waste;
3. seek to observe the principles and practices of sustainable management and the needs of future generations both local and international:
4. strive to identify the impacts of their work on the environment and on people and communities, endeavour to assess and report on such impacts and seek to avoid or mitigate any adverse effects;
5. strive to encourage the avoidance or the minimisation of any adverse effects on the environment arising from the application of science and technology;
6. pay regard to international resource agreements and protocols and the obligations they may impose on the work of scientists and technologists;
7. encourage an awareness of environmental issues within the science and technology professions and among the wider public;
8. be aware of their obligations under the Treaty of Waitangi and the need to protect areas and places of cultural significance.

10. To act ethically in educational and communications settings

Members are expected to continue the development of their skills and knowledge and, when and where appropriate, to communicate their knowledge to the public. Members in educational and communications settings, whether as teachers in a formal classroom, as supervisors of student work, as mentors to junior colleagues or in dealing more generally with the wider community, must at all times present themselves and their information in an ethical and responsible manner. Their aims must always be the advancement of scientific and technological awareness, knowledge and understanding. This includes the fostering of informed critical responses to issues relating to science in all its aspects, including mathematics, as well as to technology.

These requirements mean, for example, that members must:

1. present science and technology as a major component of modern knowledge and culture;
2. endeavour to always provide high quality, up-to-date instruction and guidance in their specialist areas, including reference to established knowledge, recent developments and areas of controversy;
3. illustrate, in their specialist areas, the observational foundations of the experimental sciences and of technology and stress the importance of accurate and pertinent observation, experimental design and data analysis;
4. stress the importance of analytical, critical and innovative thinking in scientific and technological enquiry;
5. indicate how imagination and independence of thought enhance scientific and technological creativity;
6. recognise an ethical responsibility to provide balanced and open-minded presentation of issues where controversy and differences of opinion exist so that alternative views are aired and explained;
7. remain aware of and encourage the wider awareness of the fact that understanding in science and technology is not fixed, by demonstrating, when appropriate, that accepted explanations and knowledge are revised as a consequence of well-founded challenges;
8. when circumstances allow, endeavour to demonstrate to the public how communities benefit, both directly and indirectly, from progress in science and technology but taking care to also objectively state the known risks, as well as the benefits and advantages, in any new development;
9. endeavour to ensure that those, such as students and junior colleagues, for whom they are responsible understand and follow appropriate ethical codes and statutes for the conduct of research including the special codes and statutes covering research involving individuals, communities, live animals and genetically modified organisms.

11.  Always to act ethically and appropriately

Two areas are seen as especially important at the present time and are expanded upon below. It is, however, emphasised again that members must treat all areas of scientific/technological endeavour with equal ethical and professional concern, whether or not they be particular or routine and whether or not they are mentioned in this Code.

(a) THE USE AND STORAGE OF GENETIC INFORMATION

The rapid progress in the understanding of the Genetic Code and in the techniques of using the information contained therein imply that the ethical questions surrounding molecular genetics apply particularly to the guardianship of genetic information, from whatever source, and to the use to which such information is put, rather than to the particular process or technique which is to be applied in its use. The ability to manipulate organisms, as in the processes of "genetic engineering" of bacteria and plants, or in areas of animal and human reproduction such as "cloning" or "assisted fertilisation", bring these wider ethical matters to the fore.

Given that deoxyribonucleic acid (DNA) can be extracted from most bodily tissues and can be stored almost indefinitely the collection and storage of DNA, and the data extracted from it by experimentation, need special consideration. Additionally, the methods of disposal of DNA may raise cultural difficulties among some ethnic and/or religious communities. The following comments highlight a number of the consequential issues that require the specific attention of researchers.

1. Since DNA is a "blueprint" it can be used for purposes other than those for which original consent was given. This is normally unacceptable and specific consent should be sought for all applications.
2. With the exception of monozygotic twins, DNA is unique to an individual and cannot be made truly unidentifiable.
3. Inadvertent, and often unwelcome, information may unintentionally arise from genetic research - paternity/non-paternity, unusual family relationships - and such a possibility needs to be anticipated.
4. Genes and matters of heredity carry with them cultural, spiritual and emotional dimensions. These may give rise to unforeseen difficulties during research or similar investigations if researchers are not cognisant of such dimensions or choose to disregard them.
5. Ethical considerations apply, at least in part, to all living species and not just to human beings.  

The arguments and debate about "genetic engineering" are often not about genetic modification per se but about whether, in any particular circumstance, the projected outcome and the consequences of any side effects are ethically and morally acceptable. In this respect there are strong similarities with environmental issues. In other words, the scientist or technologist involved in genetic modification for a specific purpose must always consider, in a broad context, other possible outcomes.

These requirements mean, for example that members must:

1. follow with special care and diligence the general responsibilities outlined earlier in this Code to act honestly with integrity and professionalism;
2. follow all statutes and codes of practice which apply to the acquisition, the manipulation and the use of genetic information;
3. take particular care to secure and appropriately store all genetic information which they acquire in the course of their work;
4. note that although DNA can readily be used for purposes other than those for which consent had been given such a course is ethically unacceptable and that specific consents must be sought and obtained for each and every application of the material;
5. be aware that since "germline" gene therapy is generally regarded as being unethical because the genetic effects of such therapy are transmitted to subsequent generations, researchers contemplating any experiments of this kind must be especially careful to gain all necessary consents and to consult widely before commencement;
6. be always aware that any research into the genome of any indigenous species needs special consideration in New Zealand because of Treaty of Waitangi issues.  

(b) OPERATIONS INVOLVING GENETIC MODIFICATION

Because "genetic engineering" is the current expression in the public domain signifying all aspects of genetic modification an additional statement on responsibilities is included for the guidance of those working with these techniques. This will also assure the public that the Society is aware of the need to ensure that its members act professionally and ethically in all areas of genetic research and development.  

The power to genetically modify living organisms lies alongside the power to harness the energy of the atom in placing a special responsibility on those who have the knowledge and skills to do so. It is essential that all scientists and technologists keep firmly in mind the general requirements of this Code of Ethics and that they do nothing that could potentially be detrimental to the community or harmful to the environment.

These requirements mean, for example, that members must:

1. follow the spirit of this Code in striving to ensure that their actions have no detrimental effects on the welfare of humankind;
2. before starting their work apply for and gain all necessary approvals from appropriate Government Agencies such as the Environmental Risk Management Authority and national and local Ethics Committees;
3. undertake their activities in accordance with all legislative and institutional requirements and follow all specific codes and guidelines appropriate to their investigations;
4. keep abreast of on-going research and developments in genetic modification so that they are able, where possible, to select approaches and techniques which contribute to containment and the minimisation of residual risks;
5. acknowledge and understand that the public debate about genetic modification has a wide compass and includes ethical, moral and religious dimensions and that Maori concerns about the effect of genetic changes on belief systems, and on the possible exploitation of indigenous knowledge and indigenous flora and fauna, add a further aspect, through the Treaty of Waitangi, to the issues to be considered in New Zealand.

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The Royal Society of New Zealand Rules for Hearing and Determining Complaints of Breaches of the Royal Society’s Code of Professional Standards and Ethics

These Rules are made by the Council of the Royal Society of New Zealand on 12 June 2003 under section 32 of the Royal Society of New Zealand Act 1997.

1  Commencement

These Rules come into force on 1 July 2003.

2  Definitions

In these Rules unless the context otherwise requires,—

Academy Council means the council established by section 31 of the Act
Act means the Royal Society of New Zealand Act 1997
Chief Executive means the Chief Executive of the Council
Code means The Royal Society of New Zealand Code of Professional Standards and Ethics issued under section 34 of the Act, as adopted by resolution of the Council on 12 June 2003, and includes any amendments to the Code issued to replace it
complaint means a complaint made under Rule 3
Council means the Council of the Society constituted under section 20 of the Act
material conflict of interest means, in relation to any matter, a financial or other interest of a person that is likely to affect the person’s judgement in relation to the matter
Member means a Member of the Royal Society of New Zealand in accordance with clauses 9 to 19 of the Act. Clause 9 of the Act summarises membership as:  

1. Fellows:
2. Ordinary Members:
3. Companions:
4. Constituent Organisations:
5. Regional Constituent Organisations:
6. Affiliate Organisations that are members in accordance with section 15 (2) of the Act:
7. Honorary Members:
8. Honorary Fellows.

notify means to send a written notice (by post, email, fax, or other similar means of communication) to the last known address of the person concerned.
Professional Standards and Ethics Panel means a panel appointed under Rule 7.

3  How to complain about a Member

1. A person may request the Royal Society of New Zealand to enquire into a breach of the Code by a Member in accordance with this clause.
2. A complaint must be made in writing to the Chief Executive, or the President of the Society, or the President of the Academy Council, and must contain the complainant’s name and contact details.  
3. The complaint must summarise the grounds and evidence upon which a breach of Code is alleged.
4. The Society must give all reasonable assistance that is necessary in the circumstances to enable a person who wishes to make a complaint to put the complaint in writing.

4  Log of events on complaint

The Society will open a log of events on the complaint and notify the Member complained about of the general nature of the complaint before commencing its review.

5  Society may hold enquiry without complaint

1. The Society may enquire into any matter covered by these rules on its own initiative if the Council has reason to suspect that a Member may have breached the Code.
2. If a complaint on a matter has already been made, but is subsequently withdrawn, the Society may continue to enquire into the matter.

6  Material Conflict of Interest

  All who are asked to investigate a complaint are ruled ineligible if they have a material conflict of interest.

7  Complaint passes to Chair of Professional Standards and Ethics Panel  

1. The Society officer who receives the complaint must, as soon as practicable, forward it to the President of the Society, or the President of the Academy Council if the President of the Society has a material conflict of interest in relation to the complaint.  
2. The person receiving the complaint under subclause (a) must, by notice in writing, appoint a Chair of the Professional Standards and Ethics Panel.
3. The person appointed as Chair of the Professional Standards and Ethics Council must appoint by notice in writing two members of a Professional Standards and Ethics Panel convened to hear this complaint and refer the complaint to the panel.
4. The Chair has a deliberative vote only.
5. This panel may dismiss the complaint if any one of the following apply:
   1. a prima facie case for breach of Code has not been made:
   2. the subject matter of the complaint is trivial:
   3. the complaint is frivolous or vexatious or is not made in good faith:
   4. the person alleged to be aggrieved does not wish action to be taken or continued:
   5. the complainant does not have a sufficient personal interest in the subject matter of the complaint:
   6. a hearing on the complaint is no longer practicable given the time elapsed since the matter giving rise to the complaint.
6. If the complaint is not dismissed, then the Chair may appoint by notice in writing two more Panel members.

8  Society will notify and implement decision

The Society will notify the complainant and the Member complained about of the decision under Rule 7 and the reasons for the decision.

9  Member of Panel

1. The Professional Standards and Ethics Panel must comprise—
   1. the Chair appointed under Rule 7(b); and
   2. either 2 or 4 persons appointed by the Chair of the Panel by notice in writing to those persons.
2. The persons appointed under subclause (a)(ii) must be persons who—
   1. are members of the Council or the Academy Council; and
   2. do not have a material conflict of interest in relation to the matter in relation to which they are appointed to the Panel.
      

10  Powers of Professional Standards and Ethics Panel

The Professional Standards and Ethics Panel may:

1. make, or appoint a person to make, any enquiries it considers necessary:
2. engage counsel, who may be present at a hearing of the committee, to advise the committee on matters of law, procedure, and evidence:
3. request the Member complained about and/or the complainant to provide to the committee, within a specified period of not less than 14 days that the committee thinks fit, any documents, things, or information that are in the possession or control of the person and that are relevant to the investigation:
4. take copies of any documents provided to it:
5. request the Member complained about and/or the complainant to attend before the committee, at that person’s own cost, on no less than 14 days’ notice:
6. receive any evidence it thinks fit:
7. request a person giving evidence to verify a statement by statutory declaration:
8. provide information to assist the complainant and the Member complained about to obtain legal or other advocacy assistance.

11  Professional Standards and Ethics Panel may explore alternative dispute resolution for complaints

1. Before making the decision on a complaint, the Professional Standards and Ethics Panel may explore, with the complainant and the Member complained about, the possibility of the complaint being referred to conciliation, mediation, arbitration, or another dispute resolution process.
2. If a complaint is referred to a dispute resolution process under subclause (a) and the complainant and Member complained about fail to resolve the dispute within 60 days of the reference, or within any other time period that the Professional Standards and Ethics Panel thinks fit, the panel must make a decision on the complaint.

12  Professional Standards and Ethics Panel will give Society Member complained about opportunity to respond

The committee must, before making a decision on a complaint—

1. notify the Member complained about of the information on which the proposed decision is based; and
2. give the Member complained about a reasonable opportunity to make submissions on the matter.

13  How Professional Standards and Ethics Panel’s decision must be made

The Professional Standards and Ethics Panel’s must make its decision on a complaint in accordance with the following:

1. the Panel must make its decision on the complaint as soon as practicable, but may delay making the decision until the outcome of any legal proceedings that may affect its findings is known; and
2. if the Panel is not unanimous, the decision of the majority of the committee is the decision of the committee (but dissenting members may issue dissenting views); and
3. the Panel must give reasons for the decision, or the decision of the majority, as the case may be.

14  Royal Society of New Zealand to notify and implement decision

The Society must—

1. notify the complainant and the Member complained about of the decision on the complaint, the reasons for the decision, and any dissenting views; and
2. if the Professional Standards and Ethics Panel finds that the complaint was justified in whole or in part, refer the complaint to the Council for consideration of disciplinary action.

15  Council of the Royal Society must determine complaint or enquiry

The Council must, as soon as practicable after receiving the decision of the Professional Standards and Ethics Panel, review the decision and decide—

1. whether or not there are grounds under the Code for disciplining the Member complained about; and
2. if so, whether and how to exercise the Council’s Institution’s powers under the Act, including imposing one or more of the following penalties:
   1. revoking the Member’s membership of the Society or suspending the Member’s membership for any period;  
   2. requiring the Member to relinquish, or be suspended for any period from, any official positions within the Society.  
   3. reprimanding or admonishing the Member.

16  How Council’s decision must be made

The Council’s decision on a complaint must be made in the following way:

1. the Council will make its decision as soon as practicable, but may delay making the decision until the outcome of any legal proceedings that may affect its findings is known; and
2. if the Council is not unanimous, the decision of the majority of the Council is the decision of the Council (but dissenting members may issue dissenting views); and
3. the Council must consider the member’s diligence in applying the Code; the degree of implicit compliance through quality assurance procedures in use; the degree to which account was taken of each clause of the Code; and the extent of explicit disregard of the Code.

17  Society must notify and implement decision

The Society must—

1. notify the complainant and the Member complained about of the Council’s decision, the reasons for the decision, any dissenting views, and the Members right of appeal under these Rules; and  
2. implement any decision that requires action by it, but must allow at least 28 days after notifying the complainant of the decision before the decision takes effect.

18  Lodging of appeals

1. The complainant or the Member complained about may lodge an appeal against a decision of the Council, under these Rules.
2. An appeal must—
   1. be lodged in writing with the Chief Executive within 28 days of notification of the decision of the Council; and
   2. set out the grounds for the appeal and any evidence in support of the appeal.

19  Appeal Committee will determine appeals

The Chief Executive must forthwith transmit the appeal to the Chair of the Academy Council, who must appoint an Appeal Committee from membership of the Academy Council, other than those who served on the Professional Standards and Ethics panel. The Appeal Committee will, as soon as practicable after receiving an appeal, review the matter and decide whether to confirm, vary or reverse the decision or any order of the Council.

20  Powers of Appeal Committee

The Appeal Committee may—

1. engage counsel, who may be present at a hearing of the committee, to advise the committee on matters of law, procedure, and evidence:
2. request the Member complained about and/or the complainant to provide to the committee, within a specified period of not less than 14 days that the committee thinks fit, any documents, things, or information that are in the possession or control of the person and that are relevant to the investigation:
3. take copies of any documents provided to it:
4. request the Member complained about and/or the complainant to attend before the committee, at that person’s own cost, on at least 14 days’ notice:
5. receive any evidence that it thinks fit:
6. request a person giving evidence to verify a statement by statutory declaration:
7. provide information to assist the complainant and the Member complained about obtaining counsel or other advocacy assistance.

21  How the Appeal Committee must consider appeal

1. The Appeal Committee must—

   1. give the complainant, the Member complained about, and any person alleged to be aggrieved (if not the complainant) at least 28 days’ notification of—
      1. the time and place of the hearing of the Appeal; and
      2. the right of those persons to be heard and represented at the hearing; and
   2. advise each of the persons specified in paragraph (i) that the person must notify the Appeal Committee within a specified period (which must be no less than 14 days after the date of the notice) if the person wishes to be heard by the Appeal Committee on the complaint or enquiry.
2. The complainant, the Member complained about, and any person alleged to be aggrieved have the right to be heard and represented at the hearing and to make written submissions.
3. Unless the Appeal Committee directs otherwise no person attending a hearing may recall witnesses who gave evidence before the Professional Standards and Ethics Panel or call other witnesses.
4. The material before the Appeal Committee is—
   1. the record of the proceedings of the Professional Standards and Ethics Panel and its report; and  
   2. any documents which supported it; and
   3. any submissions made in respect of the appeal.

22  How the Appeal Committee’s decision must be made

The Appeal Committee‘s decision on an appeal must be made in the following way:

1. the committee must make its decision as soon as practicable, but may delay making the decision until the outcome of any legal proceedings that may affect its findings is known; and
2. if the committee is not unanimous, the decision of the majority of the committee is the decision of the committee (but dissenting members may issue dissenting views).
3. the Committee Chair has a deliberative vote only.

23  Society will notify and implement decision

1. The Society must notify the complainant and the Society Member complained about of the Appeal Committee’s decision.
2. The Appeal Committee’s decision is final.

24  Disclosure to Membership of the Society

In all cases where any order or orders are made under these Rules the Chief Executive must report to the Council, with particulars of the order or orders. In all such cases particulars of the order or orders must be notified to all Members by publication in such manner as the Board may decide and the Board may disclose to all Members the name of the Member against whom an order was made.

25  Disclosure to Interested Parties

The Council may inform any other professional body to which the Society Member concerned is known to belong.

26  Grants towards costs

The Society is not liable for any expense by way of travelling, engagement of counsel, calling of any witness or in any other matter connected with the investigation, incurred either by the Member whose conduct is under investigation or by person or persons who make a complaint; but the Society may, in its discretion, and without being deemed to make any admission of liability by so doing, make a grant to such Member or person to cover the whole or any part of such expense.

27  Rules do not limit the Council’s power to carry out delegated functions and powers itself

The fact that these Rules give a function or power to a person or committee does not prevent the Council from performing the function or exercising the power itself.

28  General provisions about revocations of appointments and resignations

1. The Council may, at any time—
   1. revoke a person’s appointment to a role under these Rules by written notice to him or her; or
   2. reconstitute any body of persons appointed under these Rules by written notice to that body.
2. A person appointed under these Rules may resign the appointment by written notice to the Chief Executive.

29  General provisions about procedures

1. Every person or body appointed under these Rules must—
   1. observe the rules of natural justice; and
   2. give reasons for any decision it makes.
2. Except as otherwise provided in any other Rules of the Society or these Rules, a person or body of persons appointed under these Rules may regulate the person’s or body’s own procedure as it thinks fit.