Successfully Navigating the BREB / RISe Human Ethics

Online Application Form Deirdre Kelly

Workshop, April 20, 2011

Remember to apply for a RISe number (can take up to 2 weeks to obtain!)

Obtain department letterhead from Roweena for consent & some other official documents

You must answer items with a red asterisk; if need be, put N/A (not applicable)

Assume your audience is intelligent and informed, but not necessarily in your field◦ Avoid jargon◦ Define key terms◦ Spell out acronyms

When in doubt, answer to the best of your ability & do it in multiple fields in the form

Overarching Comments

Looking at examples is helpful (I will show you some in today’s presentation).

Because, however, each study is specific, you would be wise to request examples from professors on your committee or fellow students doing related work who have recently gotten ethics approval.

It's possible for examples to get out of date, etc.

More Overarching Comments

1.1 – Principal Investigator◦ Use the name of your research supervisor◦ If you have co-supervisors, confer with them◦ All things equal, pick the one with most

experience 1.2 - Primary Contact

◦ List yourself if you’re a regular email user◦ Otherwise, list your research supervisor (the PI)

1.3 – Co-Investigators◦ List yourself as graduate student◦ Optional: List other members of your committee

Section1 – PI & Study Team

1.7 – Project Title◦ Be as descriptive & non-evaluative as possible◦ Avoid clever titles & postmodern slashes◦ This title will appear on all correspondence and on

consent letters to participants◦ You do not need to use the same title for your

final study 1.8 – Nickname

◦ This is a short version for internal use◦ If need be, you can be clever

Section 1- PI & Study Team

2.1.A – Project Period Start Date◦ Do not list a date that is—or could possibly be—

prior to your approval coming through 2.1.B – Project Period End Date

◦ Consider period of analysis where you might need to check back with participants

◦ Cannot hurt to put a date closer to your graduation

◦ In other words, do not err on the side of optimism 2.2 – Types of Funds

◦ Not applicable (N/A); students are typically not funded for particular studies (faculty are)

Section 2 – Dates & Funding Info

Does not exist!

Section 3

4.4.B – Internal Peer Review◦ Your proposal undergoes internal review by your

supervisory committee; mention this 4.5 – Minimal Risk

◦ “... magnitude of possible harms implied by participation in the research to be no greater than those encountered by the subject in those aspects of his or her everyday life that relate to the research...”

◦ Example: professionals, experts who are being interviewed for their expertise

◦ Most studies will not qualify as minimal risk

Section 4 – Study Review Type

5.2 – Inclusion Criteria◦ Summarize who will be included◦ If K-12 students, mention age/s, grade/s

5.3 – Exclusion Criteria◦ Some examples of responses:

“Nobody will be excluded” (only if true, of course!) “Participants who do not meet the criteria stated in

5.2” “Teachers who have not taught media literacy for at

least three years will not be included.”

Section 5 – Summary & Recruitment

5.4 – Method of Recruitment◦ Consider whether you are in a position of relative

power or authority over participants◦ If so, explain how potential coercion can be

mitigated Third-party recruitment Arrange for participants to submit consent forms in

sealed envelopes at a trustworthy site (e.g., in a school-based study, in the counsellor’s office)

Etc. (will very much depend on nature of your study)

Section 5 – Summary & Recruitment

6.1 – Time Dedicated to Project◦ “...beyond that needed for normal care”

Pre-engagement protocols will vary & might be considered “normal care”

Exclude time spent negotiating access & focus on actual time you anticipate participants will spend in the interview, filling out questionnaire, etc.

◦ Okay to give a time range◦ Be sure that the time range listed in field 6.1 matches

that given in all supporting documents (e.g., consent letter)

◦ Goal of the question appears to be “truth in advertising”

Section 6 – Subject Info & Consent Process

6.3 – Risks/Harms of the Proposed Research◦ Consider your social location/s in relation to

participants & the proposed study◦ Are you recognizing & attending to the

power/authority dynamics?◦ If potentially traumatic experiences might

surface, describe nature of counselling resources you will make available

Section 6 - Subject Info & Consent Process

6.4 – Benefits to Participants◦ A common possible benefit is the opportunity to reflect

on one’s own experiences◦ Another is to honour or validate the work or knowledge

of participants

6.5 – Reimbursement for Expenses, Payments, Gifts-in-kind◦ Err on the side of caution in describing reimbursement

(e.g., describe providing snacks)◦ Be aware of how reimbursement might be seen at

coercive

Section 6 - Subject Info & Consent Process

6.6 – Who Will Explain the Consent & Invite Participants to Participate?

1. Who will approach the participant to obtain consent? 2. Who will inform & take the consent from the participant? 3. What is the relationship of the person obtaining consent to the

participant?◦ If doing teacher research in your own classroom, consider having a

trusted adult explain the study to students (your own students are seen as a “captive audience”)

6.7 – How Long to Decide Whether to Participate?◦ A few days up to one week is typical◦ Too little time might be coercive; too much time & people forget to

get back to you

Section 6 - Subject Info & Consent Process

6.8 – Competence to Consent◦ Tick “No” if students under 19 are involved◦ Strongly consider an assent form for children &

youth (use age-appropriate language in the form!)◦ If youth might be harmed by seeking parental

consent, it’s possible to make a case for older youth to consent on their own behalf (e.g., study with queer or questioning youth who may fear asking their parents’ permission; a population where some might be emancipated minors)

Section 6 - Subject Info & Consent Process

7.1 – External Approvals 7.1.A – Other Institutions [not UBC]

◦ Indicate “yes” if the study is conducted at another institution

◦ Note: An institution has official letterhead, a chain of authority, etc.

◦ Note: You are doing research at an institution if you will recruit, observe, or interview people there

◦ This “external approval” is the same thing as the ethics approval from that site

Section 7 – Locations of Study

7.1- Other relevant information◦ Letter of conditional approval : the non-UBC

institution may require UBC BREB to issue a letter of conditional approval (UBC BREB can do so)

◦ All things equal, make a “concurrent application” to UBC BREB & the other institution where you will conduct your study (e.g., Vancouver School Board and UBC BREB); this is common procedure for big or complex organizations

7.1.B – Add Name/s of Institution/s◦ This is where you attach agency approval◦ If you don’t have approval yet, see 7.1.E or 7.1.F

Section 7 – Locations of Study

7.1.C & D – Other Jurisdiction or Country◦ If doing research in a country besides Canada, need

to ALSO go through ethics process at an institution where you will be carrying out the study (can take time!)

7.1.E - Request for Ethics Approval submitted◦ Following from 7.1.A, 7.1.C, or both, answer “yes” or

“no” 7.1.F – Explanation if “no” to 7.1.E

◦ A common reason is that the institution or country does not have a formal ethics approval process; thus, explain your informal steps to get approval

Section 7 – Locations of Study

7.1.G – “Does this research involve aboriginal communities or organizations; or aboriginals as an identified subject category?”◦ Background: colonialism; outsiders “parachuting” in◦ Need to research the protocol for each Aboriginal

community (e.g., chief band council band school advisory)

◦ Protocols will differ depending on if you are an “insider” or an “outsider” to the Aboriginal community or organization

◦ Example of “aboriginals as an identified subject category”: “Aboriginal academics at UBC”

Section 7 – Locations of Study

7.2.A – How Many Participants Enrolled?◦ List possible total you will interview, collect work from,

observe (e.g., if you will select from a class of 20 and don’t know how many will consent to participate, consider listing up to 20)

7.3 – Procedures or Methods◦ The list contains methods that will come under extra

scrutiny. Common ones in EDST are: Action research: potential for coercion when researching

own site of practice Videotaping: need to protect non-participants Focus groups: researcher cannot guarantee that focus

group participants will honour confidentiality Ethnography: be specific about focus of observation

Section 7 - Number of Subjects

7.4 – Who Will Conduct Study & Their Qualifications◦ Mention completion of Tri-Council Tutorial◦ Mention methodology courses, workshops◦ Mention work experience that involved doing

research (e.g., RA-ship conducting interviews)◦ Mention any special qualifications relevant to the

study (e.g., speaking the language of participants, filmmaking, etc.)

Section 7 - Number of Subjects

8.1 – Security of Data◦ All things equal, do not keep data & images on the

web◦ Google Docs is not secure & is kept on a foreign

server 8.3 - Protection of Personal Information

◦ Common to assign pseudonyms (fake names)◦ Possible to get permission to use adult participants’

real names to honour their contributions In consent letter offering this choice, add a separate

signature line, stating: “I agree to use my actual full name in this study”

Section 8 - Confidentiality

9.1 – Protocol◦ Attach your committee-approved research

proposal 9.2 – Consent Forms

◦ Check & re-check adherence to BREB guidelines◦ Inattention to detail here is #1 cause of not

getting approval on the first go-around! 9.5 – Ads to Recruit [Participants]

◦ This might include a flyer, brochure, Internet message

Section 9 - Documentation

9.6 – Questionnaire, Interview Scripts, Observation Protocol◦ You only need to submit sample interview questions

(it’s OK if later need to add, cut, edit)◦ If applicable: Give details about what, who, where,

when you will be observing (observation protocol) 9.7 – Letter of Initial Contact

◦ This would include third-party recruitment letters 9.8.A – Other Documents

◦ This is where to attach agency approvals from other institutions go (some of these might be already attached in 7.1.B & 7.1.D)

Section 9 - Documentation