Sie sind auf Seite 1von 11

College Research Ethics Committees (CREC)

Low Risk Ethics Application Form

Only Undergraduate, Taught Postgraduate, PhD students and staff from the Schools of Social Science & Public Policy, Arts & Humanities, Law and KLI are eligible for this Low Risk application procedure. Consult the Low Risk Screening Tool to determine your eligibility for the low risk procedure: research/support/ethics/applications/lowrisk/lowriskscreeningtool.aspx. If your project is not eligible, do not complete this form. Some projects, such as those involving the NHS, Social Care or Ministry of Defence, may require approval through the National Research Ethic Service or the Ministry of Defence Research Ethics Committee instead. In such cases, you do not need to also gain ethical approval through this system. If your project is eligible for the NRES or MODREC procedure, do not complete this form.

This application reflects Kings College Londons belief that ethically sound research entails not only the selection, recruitment & participation of people, but also the way that the data collected are recorded, stored & protected.

Help completing this application

You should read the Guidelines ( and review the Low Risk Screening Tool ( ethics/applications/lowrisk/lowriskscreeningtool. aspx) since these will provide you with step-by-step help for completing this application form.

the relevant Research Ethics Panel (REP) within two working days of the date that we received it. Reviewers may take up to 15 working days to review your application and may request additional information or clarification if they feel it is necessary. You will receive notification of the outcome by email and, if applicable, your supervisor will be copied in. In rare cases, projects may be referred to a Research Ethics Panel or the Social Science, Arts & Humanities and Law Research Ethics Subcommittee (SSHL RESC) because they present issues which cannot be dealt with via the low risk application procedure.

Resubmitting a Not Approved application

If your application is Not Approved, then you are strongly advised to discuss the issues raised by the reviewer with your supervisor or with a colleague before you revise your application. When resubmitting a low risk application, please add the word RESUBMISSION before the title of your study. You must also outline all of the changes that have been made to your application in a covering letter.

The Research Office will not review applications received between 11 July and 1 September 2014. Additionally, your department may have its own deadlines for submitting ethics applications.

Submitting the application

If you are a student, once you and your supervisor are happy with your application, your supervisor should submit this form and any supporting documents to The email must be sent from your supervisors KCL email address. You should be copied in so that you know the submission has been made. If you are a member of staff, you should submit this form and any supporting documents to directly.

Following approval
Once full ethical approval for your study has been granted, you will receive an email stating this. It is important that you retain a copy of this email since evidence that ethical approval has been obtained is a requirement for a final report or dissertation. This email will also contain a unique approval reference number in the format: KCL/13/14-****. This number should be used in any future correspondence regarding your project, and must be included on any documents (such as Information Sheets or Consent Forms) that are being given or presented to potential research participants.

What happens after submission?

Your application will be checked by the Research Office, and then be sent for review to a member of

Low Risk Ethics Application Form (2013/14)

Page 2 of 11

Please note: it is strongly recommended that you do not use the built-in Preview application in Mac OS X to complete this application. Under certain circumstances this may lead to the content of text boxes becoming invisible, though the data is not lost or deleted.

1 Low risk confirmation

In order to use this low-risk form, you must first read the Guidance ( I confirm that I have reviewed the risk principles contained in the guidance material and that all five statements are true for my research.

2 Applicant details
Please complete the details below for both yourself and your supervisor.

2.1 Researcher
Your Name: Your Student ID Number:

This should be in the format *******/*

Your Department & School: Your level of study/work: Undergraduate Taught Postgraduate EdD/DMin

PhD Your contact email:

Please use a KCL or Defence Academy email address where possible.


Your contact phone:

2.2 Supervisor (unless applicant is a member of staff)

Name: Post: Department & School:

If in a different department from you.

Contact email:

Must be a KCL or Defence Academy email address.

Low Risk Ethics Application Form (2013/14)

Page 3 of 11

3 Project overview
Please provide details regarding the project, including expected start and end dates and information on other sponsors and sources of funding:

3.1 Project Title

A working title for your project that accurately reflects its aims.

3.2 Expected Start Date

You may not collect data prior to receiving approval.
This should be when you intend to start work with participants.

3.3 Expected Completion Date

The approval must cover the duration of the study.
This should be when you intend to complete your research.

3.4 Project Summary

Please limit the summary to no more than 500 words that provide an overview in plain English of your research objectives and any essential background information that you think will help us to understand and approve your application.

Low Risk Ethics Application Form (2013/14)

3.5 Expected Location
Where do you expect to conduct your research?
Examples: in a public place, private residence, office.

Page 4 of 11

3.6 Funding Sources

Who is funding your research?
Examples: Self-funded, Kings College London, Economic & Social Research Council (ESRC), Arts & Humanities Research Council (AHRC), EU)

4 Methodology
4.1 Intended methods
Please check only the methods that you intend to use: Questionnaires Structured/Semi-structured interviews Unstructured interviews Focus groups Observation (including ethnography) Oral history Audio/video recording in a public place Audio/video recording in a private place Secondary analysis of previously collected data Other (please specify)

4.2 Confirmation
I confirm that, for each of the data collection methods I have indicated that I will use above, an appropriate Information Sheet and/or Consent Form has been created in line with the recruitment document guidelines.

Low Risk Ethics Application Form (2013/14)

Page 5 of 11

5 Participants
5.1 Sample Selection
Who is eligible/ineligible for your research and why? Please specify the age range and sample size.

5.2 Recruitment
How will participants be approached? (e.g. email, social media, phone)

5.3 Relationship to Participants

Is it possible that a current or past relationship with potential participants could give rise to a perceived pressure to participate because are you in a position of authority or influence over them (e.g. they are your students, colleagues, family, etc.)? If so, what steps will you take to mitigate this issue?

5.4 Participants Under Age 16

Are any of the participants in your study under 16 years of age? YES NO

N.B. Note that any research with vulnerable children still requires an application to the High Risk Panel.

I confirm that I will also seek informed consent from the parents or carers of those under age 16 unless a specific issue precludes this and is fully explained in Section 9.6.

5.5 Incentives
Please specify any incentives being offered and a justification for their use.

Low Risk Ethics Application Form (2013/14)

Page 6 of 11

6 Consent
Informed consent of your participants is an essential component of ethical research.
NB: Please answer YES, NO or NOT APPLICABLE (N/A) to each of the following:



N/A All respondents will be given an Information Sheet and be given adequate time to read it before being asked to agree to participate.  ll participants taking part in an interview, focus group, observation (or other A activity which is not questionnaire based) will be asked to sign a consent form.  ll participants completing a questionnaire will be informed on the InformaA tion Sheet that returning the completed questionnaire implies consent to participate.  ll participants being asked to provide sensitive personal data will be asked to A give explicit consent for the collection and use of such data using the standard wording of the Data Protection Act statement (see the Information Sheet & Consent Form Templates).  ll respondents will be told that they can withdraw at any time, ask for their A interview tape to be destroyed and/or their data removed from the project until it is no longer practical to do so (e.g. when I have written up my report).

If you answered NO to any of the above or think more information could be useful to the reviewer please state why here:

Low Risk Ethics Application Form (2013/14)

Page 7 of 11

7 Privacy & data

You are expected to maintain and respect the privacy of your research participants, and to handle any data collected in an appropriately secure manner.
NB: Please answer YES, NO or NOT APPLICABLE (N/A) to each of the following:

YES NO N/A Questionnaires will be returned to you anonymously.   uestionnaires and/or interview transcripts will only be identifiable by a code Q or pseudonym.  ists of identity number or pseudonyms linked to names and/or addresses will L be stored securely and separately from research data.  ll place names and institutions which could lead to the identification of indiA viduals or organisations will be changed.  confirm that all processing of personal information related to the study will I be in full compliance with the UK Data Protection Act 1998 (DPA), including the Data Protection Principles. I confirm that I will not use the research data for any other purpose. 
NB: If you intend to re-use this data then please complete and attach Appendix Form  One: Use, retention and re-use form.

I confirm that I understand that it is the responsibility of the researcher to ensure that all research data is securely stored during and after the study in accordance with College guidelines. If you answered NO to any of the above (or think more information could be useful to the reviewer) please state why here:

Low Risk Ethics Application Form (2013/14)

Page 8 of 11

8 Research integrity
8.1 Research Integrity
You are expected to read and abide by the standards set out in the following two documents: 1. Statement on Research Integrity (see: Code of Practice for Research (see: I confirm that I have read the Statement on Research Integrity and Code of Practice for Research and will adhere to these principles when undertaking my research.


8.2 Code of Conduct

You must also agree to follow a Research Code of Conduct with your supervisor. A list of suitable Codes of Conduct can be found at: codes.aspx. I confirm that before commencing data collection I will agree with my supervisor on the appropriate Research Code of Conduct to follow.

9 Risks & other issues

9.1 Risk Declaration
I confirm that, if my department has a Risk Assessment Policy, I will complete a risk assessment and have it co-signed by my Supervisor or Head of Department before data collection takes place.
N.B: Please see to establish whether or not your research requires the completion of a Risk Assessment Form.

9.2 Insurance Exclusions

I confirm that my research does not include risks that might cause it be excluded from coverage by the Colleges insurers.
N.B: Please see for information regarding insurance exclusions.

9.3 Insurance Overseas Declaration

I confirm that for overseas research (undertaken outside of the UK and also outside of my country of legal residence) I will make an application to the Finance Department to ensure that the study is covered by the Colleges insurers.
N.B: Please see for information regarding insurance abroad.

Low Risk Ethics Application Form (2013/14)

9.4 Other Permissions & Approvals

Page 9 of 11

Are any other approvals by another reviewing body (including other ethics committees, gatekeepers and peer review) required? YES NO

If Yes, then please specify.

NB: If permissions are required from other organisations, it is your responsibility to ensure that these have been obtained prior to commencing the study. Please retain a copy of your gatekeeper approval letter, to be presented upon request to the Research Office.

9.5 Disclosure & Barring Service (formerly CRB) Declaration

Some types of research require a background check (e.g. with vulnerable populations). Please see the government guidance at about for help with understanding who is required to obtain Disclosure and Barring Service clearance as part of their work/research. If in doubt, please contact the Research Office for advice. Is Disclosure and Barring Service clearance required for your study? YES NO

NB: It is your responsibility to contact the Disclosure and Barring Service confirm whether or not clearance is needed and to obtain approval prior to commencing recruitment or data.

I confirm that, if DBS clearance is required for my project, then I will seek it before commencement of my project.

9.6 Any Other Ethical Issues Arising

If your research presents complex ethical issues that, whilst not making your project High Risk, are not addressed elsewhere in this form, please identify and explain your response to them here.
N.B. Researchers whose projects do not present these issues are not required to complete this section.

10 Secondary data analysis

Some projects, such as those involving primary data collected by other researchers, require additional documentation to demonstrate that the data is being used according to the original permissions granted by participants. If your project uses secondary data, please download and complete Appendix A.

Low Risk Ethics Application Form (2013/14)

Page 10 of 11

11 Supporting documents
Your supervisor must attach all supporting documents to the submission email. At a minimum, this will include a participant Information Sheet unless you will not be collecting data from humans. If your project will involve the use of consent forms, recruitment emails, and adverts/posters/leaflets, then these should be included for review. Any other documents to be used in the project, such as questionnaires, interview questions/topic guides, and other measures should also be included for review. Failure to include relevant documents may mean that your application is returned without review. Template Information Sheets and consent forms are available for you to modify at: There is also extensive guidance and advice available on how to write recruitment documents at the aforementioned page, as well as here: If your project requires gatekeeper access you must include any draft/preliminary approach letters to gatekeeper organisations. Permission letters from gatekeepers should be included if you have them prior to application. Otherwise they must be available for inspection post approval.
NB: If you are employing more than one collection method and/or more working with more than one type of participant you are normally expected to provide tailored Information Sheets & Consent Forms to each. This is required so that the information is relevant to the audience. For further information please refer to the application guidelines.

Your supervisor must have time to review all supporting documents as well as your Low Risk Ethics Application Form prior to submitting your application.

11.1 Required documents

The following additional documents are usually required for all low risk ethics applications: ATTACHED N/A Information Sheet (customised for your project) Consent Form (customised for your project)

11.2 Optional supporting documents

These documents are not always necessary, but the more information that you supply, the greater the likelihood that your research will be approved. ATTACHED N/A Recruitment documents (e.g. recruitment email, posters, flyers or advertisements) Indicative questions, topic guides, etc. (as appropriate) Approach letters to gatekeeper organisations (where applicable) Evidence of any other approvals or permissions (where applicable) Other (please state)

Low Risk Ethics Application Form (2013/14)

Page 11 of 11

12 Declarations
12.1 Researcher Declaration
In conducting your research, you must follow the process set out in the documents submitted to the College Ethics Review Committee. You must agree to the follow declaration: I have read the guidance accompanying this application and understand that failure to follow the relevant guidelines and my approved protocol constitutes academic misconduct and may lead to severe penalties, up to and including expulsion from the College. If I am a student, then I have discussed this application with my supervisor. I confirm that the preceding two statements are correct.

12.2 Supervisor Declaration

It is your responsibility to ensure that the student complies with the approved research protocol and to alert them to issues that might compromise their ability to conduct research of the standard expected by the College. Submission of a completed application to implies that you agree to the following to statements, further details of which can be found in the application guidelines: You believe the research project set out in this application to be in accordance with the guidelines and to meet the ethical standards laid out by Kings College London. You have discussed the research and the necessary permissions with the student and believe that the submitted form and supporting documents accurately represent the students proposed research.