THE UNIVERSITY OF HONG KONG - HKU



FE2/1015 amendedTHE UNIVERSITY OF HONG KONGFaculty of Education Faculty Research Ethics CommitteeChecklist for Preparation of Applications for Ethical ClearanceThis checklist is prepared to help staff and students prepare their applications for ethical clearance and will be amended whenever necessary, in line with the latest University guidelines and any new requirements. Given that every research project is different, not all items will be applicable for your application. You may be asked to provide justifications if the preparation of your application and consent forms deviate from the normal practice and the guidelines of the University. You are also strongly advised to refer to the guidelines and samples provided in the website of the HREC: . Please enclose the completed checklist in your application for ethical approval to be submitted to the Office of Research. Applications submitted by staff and postgraduate students without the checklist enclosed will not be processed.Note to applicants: Ethical approval must be obtained before any data collection involving human participants. Staff and students are strongly advised to submit their application for ethical approval as early as possible, at least 6 weeks before data collection or the deadline set by funding bodies for obtaining ethical approval.DoneN/A(Please check below all the information which has been included in your application)Attach the most up-to-date version of the research proposal to the application.Attach the interview questions or protocol in English and original language (if any).Attach the questionnaire in English and original language (if any).The application and the consent forms should cover all stages of the project, including both the pilot study and the main study, if applicable. (Please note that if ethical approval is obtained only for part of the project, you must submit a separate application for the remaining part of the project and obtain ethical approval before you proceed to further data collection.) The consent forms should cover all concerned parties (e.g. teachers, parents and children) of the research project. For school-based studies, prepare a consent form for the school principals regardless of whether the principals are involved in the data collection. For research with only minimal risk:obtain both active consent of parents and assent from students [for school-based studies of children below Primary]obtain assent of students and passive consent of parents [for school-based studies of children in Primary, provided that only anonymous and non-sensitive data will be collected; and for school-based studies of children in Secondary]parental consent is not normally required for studies outside school with adolescents aged 16 or aboveThe student assent forms should be written in an easily comprehensible manner at children’s reading level, in order to facilitate their decision making on participating. Prepare age-appropriate assent form(s) for Kindergarten / Primary 1 to Primary 3 / Primary 4 to Primary 6 / Secondary 1 to Secondary 3 / Secondary 4 to Secondary 6 students. (Samples for different levels are available at the website of the HREC.)Students should indicate the programme of study and the name of the supervisor in the consent forms.The research procedure has been clearly explained in the consent forms, covering duration, number of occasions, location and type of information to be collected.For research involving video-recording of classes, mention the actions for children who do not consent to be video-taped in the consent forms.For research involving audio/videotaping, mention the participants’ right to review recording and erase part of or entire recording in the consent forms.Clearly specify the method, location and duration of storage of research data in the consent forms (audio/videotapes, questionnaires and notes etc). Explain the procedure to ensure confidentiality of data collected in the consent forms (e.g. data encryption and password protection for electronic data, storage in locked cabinet for physical data).For study which involves potential conflict of interest (e.g., power over participants such as teacher-student relationship), mention measures that will protect the students from any conflicts in the consent forms. For study involving matching procedures (e.g., linking pre- and post-evaluations as in longitudinal study), mention in the consent forms how the matching will be done (e.g., whether there will be the use of personal identifiers) and the confidentiality will be ensured.Include the HREC reference number (e.g. HREC Reference No.: EAXXXXXXX) in all materials to be sent to potential and actual participants [for applications from staff and MPhil/PhD students only].For studies to be conducted in Hong Kong, provide the telephone number of the PI or relevant personnel of the study in the consent forms.For studies involving external parties in co-organizing the research project, attach a letter of agreement/consent form signed before the commencement of the project. Alternatively, an authorized representative of the external organization can participate in the research project as a co-investigator.Check the consent forms in English and Chinese for consistency.Name:Date:Office of Research, -615188024130000March 30, 2017 ................
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