Faculty of Arts and Human Sciences Ethics Committee The following advice is designed to allow you to establish very quickly whether your study will need ethical approval, and if so from whom. It will also allow you to consider alternative approaches that do not require ethical approval. This advice relies on the ‘Ethical Guidelines for Teaching and Research at the University of Surrey’. Please read these guidelines. Another issue that you should be aware of relates to the use of students as a data source. Please bear in mind that you will NOT be able to use the e-mail AUTOLISTS. Only posters, the use of the SONA system or to approach people in the general public (who might also be students) are allowed. 1. Research Participants a. Does the study involve staff either in FAHS or across the University of Surrey, investigating their working or professional practices? The emphasis here is on studies investigating working or professional practice. Bear in mind that once again, AUTOLISTS will NOT be available to you. If ‘YES’ seek approval from University Ethics’ committee. b. Does the study involve patients from the NHS or a Health Service overseas? In order to do work with patients, whether in hospital or not, usually requires some sort of approval – from the NHS in the UK, from the Government in other countries. If you are required to submit through the NHS REC you will require the University to act as Sponsor for the research. The University is a recognised research sponsor under the Department of Health’s Research Governance Framework. If ‘YES’ seek approval from Health Service Research Ethics’ Committee AND University Ethics’ Committee in this particular order. c. Does the study involve vulnerable groups (e.g., children under 16 years, 16 and over who are unable to give informed consent, prisoners or young offenders)? To use vulnerable groups in a study you will need a Criminal Records Bureau check. The latter can take up to 2 months to obtain. If you have a CRB check already, unfortunately this does not count. Currently you need a separate check for every setting in which you are working with vulnerable people. Those who are old or have a disability MAY be considered vulnerable. In both cases, the important measure is mental capacity, rather than physical disability. If you include participants with mental incapacity in your studies, then again a CRB check would be needed. If ‘YES’ seek approval from University Ethics’ committee. d. Will the respondents receive payment (including involvement in prize draws)? Incentives may be offered to encourage people to complete a questionnaire or to take part in interviews and experiments. In some cases incentives may be considered coercive. This is, however, different from compensating the participants for their expenses (e.g., travel costs) reimbursement of expenses is considered good practice. Also providing some refreshments during an experiment is not regarded as incentives. You might include the wording ‘Sweets and refreshment will be provided for participant’s well-being during the interviews or completion of questionnaires.’ If ‘YES’ seek approval from University Ethics’ committee. Page 1 of 3 Faculty of Arts and Human Sciences Ethics Committee 2. Research Protocol a. Does the study involve any risk to a participant’s health? Some studies might involve electrical shocks, extreme noise, food and sleep deprivation, blood or saliva sampling, substance intake, and similar treatments. Even fMRI or TMS measurement, if incorrectly applied, might involve some risk to a participant’s health. If a favourable ethical opinion has previously been obtained for a particular methodology check whether this is applicable to your present research. If ‘YES’ seek approval from University Ethics’ Committee. b. Does the research involve donation of bodily materials, organs and the recently deceased? This is unlikely to apply in FAHS. If ‘YES’ seek approval from University Ethics’ Committee. c. Could questioning – in questionnaire or in interview – or other methods used, cause offence, be distressing or be deeply personal for the target group? Although some people may not like answering questions about age or income, this is not what is meant here. The types of question you should consider here are likely to bring back bad memories and/or cause upset. If you are unsure whether this is the case you might seek advice from members of the FAHS Ethics’ committee. If ‘YES’ seek approval from University Ethics’ committee. d. Does the research require participants to take part in the study without their knowledge and consent at the time (e.g. covert observations)? Sometimes this is the only way we can collect data, without biasing results. However, normally a respondent should be given the option whether or not to take part in a study. If your study requires that people are not aware of their involvement, you must show that you are ensuring the anonymity of those involved and explain why it is necessary for the study to be carried out without the participants’ knowledge. If ‘YES’ seek approval from University Ethics’ committee. e. Does the research involve deception other than withholding information about the aims of the research? Deception occurs at different levels. The mildest form is to withhold the aim of the study until the debriefing at the end. Other levels include providing false information to the participants, for instance about their achieved performance or about some general facts. The mildest form of deception is commonly regarded as ethically acceptable. If ‘YES’ seek approval from University Ethics’ committee. f. Does the research involve activities where the safety of the researcher may be in question? Your safety and well-being is also important! Think about the situations you may find yourself in whilst collecting data, and whether this puts you at risk. For instance, are you a young female, interviewing adult males in their own homes? This is potentially risky and you need to think about ways to ensure YOUR safety. This includes conducting this type of research at the University or a clinical/official setting and informing someone in an official capacity, such as University supervisor or department staff about the on-going research. If ‘YES’ seek approval from University Ethics’ committee. Page 2 of 3 Faculty of Arts and Human Sciences Ethics Committee 3. Data Protection a. Does the study, involve access of records of personal or sensitive confidential information? The key thing here will be how you securely store the data that you use, and how you ensure any personal identifiers are removed. Note, that personal data should not be stored on home PCs. If you are not able to follow this on security and storage of data, you should seek full ethical approval. Data that allow the participant to be identified are of special importance and should be treated with special care. You should make sure that your participants are aware that their identity could be revealed. You should obtain the participants permission to use data that might reveal their identity for illustrative purposes in scientific publications. Instead you could use your own photos to illustrate things. In line with current University policies relating to data collection and retention, researchers are normally required to retain research data for ten years. If ‘YES’ seek approval from University Ethics’ committee. Page 3 of 3