Applying for Ethical Approval

What happens when I have submitted my application?

Your application will be sent to two reviewers for their comments and returned to either the chair or deputy chair of the committee. Each reviewer will complete a Reviewer Proforma and make recommendations. Following this review the chair or deputy chair will contact you by e-mail and inform you of the decision. You should receive the decision within four weeks from submission of your application. There are four possible decisions:

• Approval
  Project to proceed with no change
  
  
• Approval with recommendation(s)
  The project is approved but the applicant may wish to consider recommendations made by the reviewers. No further consideration for approval is required.
  
  
• Approval with conditions
  The project cannot go ahead until the identified revisions have been made and confirmed as approved by the Chair of the Business School Ethics Committee.
  
  
• Further information is required
  If the reviewers consider that the applicant has not included sufficient detail to allow an informed judgement to be made, the applicant will be requested to supply clarification/additional evidence in support of the case. In cases where the application raises fundamental ethical concerns, the case may be discussed by the full committee.
  
  
• Not approved
  The project cannot proceed. The Chair of the Business School Ethics Committee will give an explanation of the reasons for this decision
  
  
• No decision
  This indicates that the project will need to be reviewed by the next step in the process of approval. In the first instance, the Chair of the Business School Ethics Committee will assess how the case is best processed.

What counts as 'research'?

A project is defined as ‘research’ if it seeks to systematically generate knowledge to share with others including the academic community, external partners such as funding organisations and/or the wider public. This includes all conventional academic research projects as well as work towards a research degree, whether or not the research is supported by a recognised research funder. It may also include many evaluation studies, for example, evaluations of new or existing services in government, commercial or non-commercial organisations, health and/or social care, education and criminal justice. However, evaluations which are part of routine monitoring of services or systems, which use familiar tools, and do not produce data that could be published in academic journals (or similar) may be excluded from Business School Research Ethics and Integrity Committee scrutiny.

Inevitably there will be grey areas regarding the status of evaluation studies. If in doubt, contact HBSethics@hud.ac.uk for advice.

Do I need to apply for ethics approval?

All research involving human participation or sensitive data conducted by Business School staff, research degree candidates and other students is subject to ethical scrutiny. This means that most staff researchers in the School are required to apply unless they are undertaking research based which pose no specific risk.

You DO NOT* require ethical approval if:

• There is no direct contact with human/ animal participants
• There is no access to identifiable personal data for living individuals not already in the public domain.
• There is no danger of psychological or physical harm for the researcher(s) or subject(s)
• There is no research into potentially sensitive topics.
• Students are not used as research assistants

* You may need to inform your line manager about the activities you are undertaking

 

You DO require ethical approval if:

• There is direct contact with humans (including that obtained via interviews, focus groups, diaries, online methods and participant observation, experiments, surveys or structured observation.)
• There is direct contact with animals
• Access to identifiable personal data for living individuals not already in the public domain is required.
• There is potential danger of psychological or physical harm for the researcher (s) or subject(s)
• There is research into potentially sensitive topics.
• Students are used as research assistants
• It involves covert information gathering or deception
• It involves children under 18 or subjects who may unable to give fully informed consent *
• It involves prisoners or others in custodial care (e.g. young offenders)
• It involves significantly increased danger of physical or psychological harm for researcher(s) or subject(s), either from the research process or from publication of research findings
• It involves joint responsibility for the project with researchers external to the University.

What counts as research using sensitive data?

If you are conducting/planning to conduct research that includes security-sensitive data, you will be asked to declare this on the Business School Research Ethics and Integrity Committee application form and provide extra information about collection and storage of data. Sensitive data includes data which may pose a legal or reputational risk to you or the University if your use of this data is misconstrued (for example, obtaining data relating to child abuse). It also includes data used in security-sensitive research. UUK guidelines class this as research that:

• Is commissioned by or on behalf of the military or the intelligence services
• Is commissioned under an EU security call
• Involves acquisition of security clearances
• Concerns terrorist or extreme groups

If your research concerns terrorist or extreme groups you will also be asked to complete and submit an additional Security sensitive information declaration‌‌.

Please read the UUK guidance on security-sensitive research before completing your application

Ethical review by another ethics committee

If your research project is being scrutinised by another external ethics committee, for example a Health Research Authority Research Ethics Committee (REC) via IRAS (Integrated Research Application System) or an ethics committee at another university, you should notify HBSethics@hud.ac.uk before you apply. 

You will need to confirm that you have met University requirements for sponsorship of your research and to clarify whether your research is security-sensitive. Once you receive approval from the external ethical review body you will also need to send a copy of the approval to Business School Research Ethics and Integrity Committee.

When do I need to apply?

You must apply for Ethics approval before data are collected.  As part of your application, you will need to provide full information about your research including details of the methodology, data collection instruments (for example the final questionnaire or interview schedule).   The ethics approval process normally takes around two weeks, you must ensure that you submit your application in sufficient time to allow the review process to take place. 

How do I apply?

Ethics approval applications should be made by completing the required documents.  Completed documents should be sent via email to HBSethics@hud.ac.uk.

The required documents for staff applications are:

• A completed Application for Ethical Review and Ethics Guidance Sheet.

The following supporting documentation must also be supplied if they are relevant to your project  Please note, you do not need necessarily need to provide separate information and consent sheets providing that participants are provided with sufficient information elsewhere (for example, in the introduction to a questionnaire).

• Evidence of management or other necessary permission to gain access to the research participants or database. An example of organisation participation consent form‌‌ is made available. Emails from the organisation are also acceptable.
• Letters of invitation. 
• Information sheet(s) - an example of a participant information sheet is made available.
• Additional debrief sheet if full information is not provided prior to the research
• Consent form(s) - an example of a participant consent form‌‌‌‌‌ is made available.
• Final questionnaires and/or interview guides.

Ethics approval for external bids

In the case of externally funded research proposals, applications for ethics approval are normally made once the external funding is approved, rather than at the point of application.  As a matter of good practice, it is recommended that bids should be internally peer reviewed and that matters of ethics are considered as part of this process. 

Resubmission

If your application requires resubmission, you must resubmit the amended documents within four weeks, otherwise your application will be removed from the ethics review process. If you no longer wish to continue with your application please contact HBSethics@hud.ac.uk.

Should your application receive approval but subject to amendments to be re-submitted for Chair approval, you will receive a decision within two weeks of the chair receiving clarification of the amendments you have made and any required updates to your documentation.

Should your application require resubmission, the application will be sent out for a second review and you should receive a decision within four weeks.

The Committee secretary will maintain a record of proposals submitted and outcomes from the review process.

External Links

When planning your research you are also advised to consult (i) relevant subject-specific ethical codes and professional guidelines and (ii) the University Code of Practice for Research Ethics and Integrity Framework. This website provides an index of links to these external and internal codes of practice, and to guidance on the legal framework for research.