Research Ethics Application Form
School of Health and Related Research
Ethics Application Form
for Undergraduate & Postgraduate Taught Students
Guidance Notes for Completion
Should you complete the Ethics Application Form?
You should complete this form if you are an undergraduate or a postgraduate-taught student who plans to undertake a research project which will not involve the NHS but which will involve people participating in research either directly (e.g. interviews, questionnaires) and/or indirectly (e.g. people permitting access to data).
Who decides if ethics approval is required for your proposed research?
If you are an Undergraduate, your Personal Tutor usually decides and if you are a Postgraduate Taught student, your Supervisor decides.
Why is ethics approval necessary?
The main purpose of the Department’s procedures for gaining ethics approval is to facilitate the carrying out of your research in a way that protects both you and your research participants.
Which documents should you submit with the application form?
This form should be accompanied by your research proposal.
Where appropriate you should submit an information sheet/covering letter/written script that informs prospective participants about the proposed research and/or a consent form that prospective participants will sign.
Who decides if your proposed research should be classed as ‘low risk’ or potentially ‘high risk’?
Again, if you are an Undergraduate, your Personal Tutor usually decides and if you are a Postgraduate Taught student, your Supervisor decides.
If your personal tutor/supervisor classes your proposed research as potentially ‘high risk’, two members of the department’s research ethics committee must review your research ethics application form. This fuller review is not required if your personal tutor/supervisor classes your proposed research as ‘low risk’.
What do you do if your proposed research is classed as LOW RISK?
You must complete the application form and sign Annex 1, the student declaration.
Undergraduates:
Your designated supervisor will be review the application form along with a copy of your research proposal. (S)he will sign Annex 1 and give you a copy of it at your first meeting. This confirms that (s)he agrees with your personal tutor’s classification of the proposed research as ‘low risk’ and completes the ethics review. Your research now has ethics approval.
Postgraduate taught students:
Your supervisor will review the application and sign Annex 1 and give you a copy of it. This should be submitted to ethics administrator, Cheryl Oliver and you will receive confirmation of your ethics approval.
You must not begin your proposed research until you have a letter of approval. You must hand in this fully signed copy of Annex 1 and letter of approval with your dissertation/research project so please keep it safe.
What do you do if your research is classed as HIGH RISK?
You must complete the application form Annex 1, the student declaration, and your Personal Tutor/Supervisor must complete Annex 2. Submit your application form to Cheryl Oliver for ethical review to be undertaken.
Undergraduates:
Your designated supervisor will inform you of the outcome of the ethics review and of any ethics conditions that have been set at your first supervision meeting. Your supervisor will then give you a fully signed copy of Annex 1 and Annex 2. This completes the ethics review and your research now has ethics approval. You must advise your personal tutor if you wish to begin the research before your first meeting with your supervisor so that the department can make alternative arrangements for advising you of the outcome of the ethics review.
Postgraduate taught students:
You will receive confirmation of the outcome of the ethics review and of any ethics conditions that have been set at your first meeting. You should discuss any conditions set with your supervisor
You must not begin your proposed research until you have a fully signed copy of Annex 1 and Annex 2 and a letter of approval. You must hand in these fully signed copies of Annex 1 and Annex 2 with your dissertation/research project so please keep them safe.
School of Health and Related Research
Ethics Application Form
for Undergraduate & Postgraduate Taught Students
| |
|I confirm that I plan to inform the prospective participants about the research project by using an Information |
|Sheet/Covering Letter/Pre-Written Script: |
| | | |
|Yes: ( |Mark 1 Box |No: |
| | |
| | |
|(if yes, then this must be enclosed) | |
| |
|I confirm that I plan to invite prospective participants to sign a consent form: |
| | | |
|Yes: ( |Mark 1 Box |No: |
| | |
| | |
|(if yes, then this must be enclosed) | |
A1. Title of research project:
Components of an Effective Early Supported Discharge Team for Stroke: A West Ethicshire Perspective.
A1. 1 URMS Number:
A1.2 Research sponsor, where appropriate: N/A
A2. Name of Student: Tara Morgan
Department: SCHARR PG taught student
Email: TAMorgan1@sheffield.ac.uk
Tel: 334455
Degree registered for: Master Of Public Health (Europubhealth) 2009-2011
Name of Supervisor: Professor John Smith
A3. Proposed Project Duration:
|Start date: 22/12/2010 |End date: May 10th 2011 |
A4. Mark ‘X’ in one or more of the following boxes if your research:
|Please tick |YES |NO |
|1. Does your research involve participants who are particularly vulnerable or unable to give informed consent (e.g. | | |
|adults with mental incapacity or mental illness)? | | |
| | |X |
|2. Does your research involve children or young people under the age of 18? | | |
| | |X |
|3. Will it be necessary for participants to take part in your research without their knowledge/consent at the time? | | |
| | |X |
|4. Will your research involve discussion of topics that the participants might find sensitive (e.g. sexual activity,| | |
|own drug use)? | |X |
|5. Will your research involve prolonged or repetitive testing? | |X |
|6. Could your research induce psychological stress or anxiety or cause harm or negative consequences beyond risks | | |
|encountered in normal life? | | |
| | |X |
|7. Will financial inducements (other than reasonable expenses and compensation for time) be offered to participants?| | |
| | |X |
|8. In terms of personal safety, are you putting yourself and/or your participants at risk in any way? e.g. out alone| | |
|at night, interviewing in your or your participant’s home alone, carrying out observation in potentially volatile or| | |
|sensitive situations. | |X |
|9. Will your research involve the production of recorded media such as audio and video recordings? | | |
| |X | |
|10. Will the study involve the recruitment of research participants through Sheffield City Council or any other | | |
|council? | |X |
|Please note: if you tick ‘yes’ to question 1 or 2, you may require a Criminal Records Bureau (CRB) check. Your proposed research will be |
|designated potentially high risk and two members of the department’s research ethics committee will review your application to decide if one|
|is necessary. |
|If you have answered ‘yes’ to any of the above questions, please note the number in this box and explain how you will manage the ethical |
|issue (continue on a separate sheet if necessary) |
|9. Subject informed consent will be gained prior to entry into focus groups. This will comprise statement of understanding of the |
|information sheet and agreement to be audio-taped. Subjects will be identified in transcripts and tape recordings by their role only e.g. |
|therapist 1, support worker 1, manager 1 etc. No names or other identifying information will be included in the transcripts resulting from |
|this study. Anonymsied transcripts will be kept under lock and key or in password protected files for the duration of the study. |
A5. Briefly summarise the project’s aims, objectives and methodology?
(This must be in language comprehensible to a lay person)
A recent study of early supported discharge researchers agreed the components of an “effective” early supported discharge (ESD) team for stroke. They involve the composition of the team; it’s method of working, intervention and measures of success. The aim of this study is twofold:
• to apply these components to the Rehabilitation in the Home service in Western Ethicshire to see if they are achieved, and
• To understand whether these components are important from a staff point of view.
A mixture of secondary data analysis and primary data collection will be undertaken.
Population level, service level and individual patient data will be collected in anonymised format in order to study the number of clients accepted, their severity of stroke, the outcome measures taken and their discharge destination.
Rates of institutionalisation, re-admission to hospital and lengths of stay for stroke patients will be studied in the years before and since the introduction of the ESD service in order to investigate trends.
Focus groups will be conducted of staff in order to discuss the importance of the components identified in the research and to uncover themes relating to the implementation of ESD for stroke in this health service with these components in mind.
A6. What is the potential for physical and/or psychological harm / distress to
participants?
There are no foreseeable risks or discomforts that may be associated with the focus group discussion although some people may feel uncomfortable voicing opinions in front of others or having their point of view challenged. It will be up to subjects how much they wish to take part and they will be free to discontinue involvement at any time by notifying the group facilitator.
A7. Does your research raise any issues of personal safety for you or other researchers involved in the project? (especially if taking place outside working hours, off University premises or outside the UK)
No
If yes, explain how these issues will be managed
A8. Explain how the potential participants in the project will be
i) Identified?
The service employs approximately 30-40 staff. All paid staff will be eligible to be included in the focus groups. Focus groups will be conducted for managers and coordinators of which there are 5, so all will be approached. Another focus group will include therapists and support staff who will be invited purposively to ensure a balanced group according to gender, clinical experience, number of years with the service and age.
ii) Approached?
Subjects will be invited at a team meeting and/or by email.
(iii) Recruited?
Those agreeing to be involved will be chosen according to the desired balance of factors above. Informed consent will then be gained.
9. Will informed consent be obtained from the participants?
| YES |X |NO | |
If informed consent or consent is not to be obtained please explain why.
A9.1. This question is only applicable if you are planning to obtain informed consent:
How do you plan to obtain informed consent? (i.e. the proposed process?):
Subjects will be invited into the study and given the information sheet to read before consenting to the study. They will also be encouraged to talk to the researcher and others prior to agreeing to be involved as necessary. They will then be requested to sign the consent form. They will also be advised that they can discontinue their involvement at any time without explanation.
A10. What measures will be put in place to ensure confidentiality of personal data, where appropriate?
No personal data will be collected in this study. Consent forms and information sheets will be kept under lock and key in the service office. All secondary data will be requested without names, medical record numbers, dates of birth or addresses for the individual patient level data. Focus group participants will be identified by role only and notated as such in transcripts. Anonymised transcripts will be kept in password protected files and in locked drawers.
A11. Will financial / in kind payments (other than reasonable expenses and compensation for time) be offered to participants? (Indicate how much and on what basis this has been decided)
| YES | |NO |X |
A12. Will the research involve the production of recorded media such as audio and/or video recordings?
| YES |X |NO | |
A12.1. This question is only applicable if you are planning to produce recorded media:
How will you ensure that there is a clear agreement with participants as to how these recorded media may be stored, used and (if appropriate) destroyed?
The information sheet will contain details as to the storage and use of the recordings and whether subjects will be identifiable. Consent will be gained for the use of audio recording. Subjects will also sign that they understand that they will not be identifiable and that they understand the contents of the information sheet. Information sheets will be given to participants to keep after consent is gained and a record kept of this. Consent will also be requested to use the transcripts for future study.
A13. Does this work involve data collection outside of the UK?
| YES |X |NO | |
If yes, please explain how the proposed research meets the ethical and legal requirements of the country where the research is being undertaken?
An application has been made to the Ethicshire Area Health Service Human Research Ethics Committee for ethical approval for all sites involved in the research in Western Ethicshire. It has been made on the standard application form along with copies of the information sheet and consent form in line with the requirements of the ethics committee. The study has the full support of the Hospital management staff. I am an employee of the service being studied.
A13.1 Do you have approval from the hosting country or organisation within that country to undertake the research?
| YES |X |NO | |
If yes, please provide copies of letters/ documents granting approval for the research
|Copies included | YES | |NO |X |
If no, please justify why approval has not been sought.
I am awaiting approval documents from the ethics committee. No formal documented approval given, only informal agreement given by management. Ethics committee will sit February 8th 2011.
Guidance fact-sheets on ‘Safety and Well-Being’, on ‘Consent’ and on ‘Anonymity, Confidentiality and Data Protection’ are at:
shef.ac.uk/researchoffice/gov_ethics_grp/ethics/factsheets.html
These three fact-sheets have been updated in the light of new findings from three Social Research Association-funded research projects, which were published in 2008, that focused on the perspective of participants regarding their experience as participants.
School of Health and Related Research
Ethics Application Form
for Undergraduate & Postgraduate Taught Students
Student Declaration
(the student completes Annex 1 if the Supervisor has classed the student’s proposed research project as ‘low risk’)
The Supervisor needs to receive an electronic copy of the form, and other documents where appropriate, plus a signed, dated paper copy of this Annex 1 ‘the Student Declaration’.
Full Research Project Title: Components of an Effective Early Supported Discharge Team for Stroke: A West Ethicshire Context.
In signing this Student Declaration I am confirming that:
• The research ethics application form for the above-named project is accurate to the best of my knowledge and belief.
• The above-named project will abide by the University’s ‘Good Research Practice Standards’ : shef.ac.uk/researchoffice/gov_ethics_grp/grpstandards.html
• The above-named project will abide by the University’s ‘Ethics Policy for Research Involving Human Participants, Data and Tissue’:
shef.ac.uk/researchoffice/gov_ethics_grp/ethics/system.html
• Subject to the above-named project being ethically approved I undertake to adhere to any ethics conditions that may be set.
• I will inform my Supervisor of significant changes to the above-named project that have ethical consequences.
• I will inform my Supervisor if prospective participants make a complaint about the above-named project.
• I understand that personal data about me as a researcher on the research ethics application form will be held by those involved in the ethics review process (e.g. my Supervisor and the Ethics Administrator) and that this will be managed according to Data Protection Act principles.
Name of Supervisor:
Name of student:
Signature of student:
Date: 2nd February 2011
School of Health and Related Research
Ethics Application Form
for Undergraduate & Postgraduate Taught Students
Supervisor Declaration
(the Supervisor completes Annex 2 if s/he has classed the student’s proposed research project as potentially ‘high risk’)
The Ethics Administrator needs to receive an electronic copy of the form, and other documents where appropriate, plus a signed, dated paper copy of this Annex 2 ‘the Supervisor Declaration’.
Full Research Project Title: insert name
In signing this Supervisor Declaration I am confirming that:
• The research ethics application form for the above-named project is accurate to the best of my knowledge and belief.
• The above-named project will abide by the University’s ‘Good Research Practice Standards’: shef.ac.uk/researchoffice/gov_ethics_grp/grpstandards.html
• The above-named project will abide by the University’s ‘Ethics Policy for Research Involving Human Participants, Data and Tissue’:
shef.ac.uk/researchoffice/gov_ethics_grp/ethics/system.html
• Subject to the above-named project being ethically approved I will undertake to ensure that the student adheres to any ethics conditions that may be set.
• The student or the Supervisor will undertake to inform the Ethics Administrator of significant changes to the above-named project that have ethical consequences.
• The student or the Supervisor will undertake to inform the Ethics Administrator if prospective participants make a complaint about the above-named project.
• I understand that personal data about the student and/or myself on the research ethics application form will be held by those involved in the ethics review process (e.g. the Ethics Administrator and/or reviewers) and that this will be managed according to Data Protection Act principles.
Name of Supervisor: insert name
Name of student: insert name
Signature of Supervisor: sign here
Date: insert date
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