Faculty of Arts and Human Sciences Ethics Committee

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