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Research Involving Vulnerable Individuals. Research Involving Vulnerable Individuals. Dr. Nick Neave (Chair of PSS Ethics Committee)

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Presentation on theme: "Research Involving Vulnerable Individuals. Research Involving Vulnerable Individuals. Dr. Nick Neave (Chair of PSS Ethics Committee)"— Presentation transcript:

1 Research Involving Vulnerable Individuals. Research Involving Vulnerable Individuals. Dr. Nick Neave (Chair of PSS Ethics Committee)

2 What is a vulnerable individual? Individuals under the age of 18. Individuals under the age of 18. Older adults (aged 65+). Older adults (aged 65+). Individuals with learning disabilities. Individuals with learning disabilities. Patient groups. Patient groups. Any individual who is unable to give their informed consent. Any individual who is unable to give their informed consent.

3 Requirements for Working with Vulnerable Individuals 1. Vetting & Barring Scheme. 1. Vetting & Barring Scheme. This was launched in October 2009 to replace CRB checks. This was launched in October 2009 to replace CRB checks. It comprises two new lists of individuals barred from working with vulnerable individuals, and is to be administered by the ‘Independent Safeguarding Authority’. It comprises two new lists of individuals barred from working with vulnerable individuals, and is to be administered by the ‘Independent Safeguarding Authority’. Anyone who wishes to work with vulnerable individuals will thus have to complete a new CRB form that allows them to be also registered by the ISA – this will cost £64. Anyone who wishes to work with vulnerable individuals will thus have to complete a new CRB form that allows them to be also registered by the ISA – this will cost £64. By November 2010 it will be a legal requirement that anyone wishing to work with vulnerable individuals will have to be ISA registered, and employers will be legally bound to check this information – they can do so online. By November 2010 it will be a legal requirement that anyone wishing to work with vulnerable individuals will have to be ISA registered, and employers will be legally bound to check this information – they can do so online. Information on this new scheme is still being finalised, please consult Information on this new scheme is still being finalised, please consult

4 On-Line Training. On-Line Training. There is a ‘Basic Awareness in Child Protection’ certificate that can be completed online at : There is a ‘Basic Awareness in Child Protection’ certificate that can be completed online at :

5 2. 2. NHS Ethical Approval. Any study involving patient groups, carers, or those who administer treatments, requires NHS Research Ethics Committee (REC) approval. E.g: Any study involving patient groups, carers, or those who administer treatments, requires NHS Research Ethics Committee (REC) approval. E.g: –patients and users of the NHS. –individuals identified as potential research participants because of their status as relatives or carers of patients. –individuals identified as potential research participants because of their status as relatives or carers of patients. –access to data, organs or other bodily material of past and present NHS patients. –access to data, organs or other bodily material of past and present NHS patients. –the recently dead in NHS premises. –the recently dead in NHS premises. –the use of, or potential access to, NHS premises or facilities. –the use of, or potential access to, NHS premises or facilities. –NHS staff - recruited as research participants by virtue of their professional role.

6 The ‘Research Passport’. The University is part of a regional group including Universities, NHS Trusts and Clinical Research Networks who have signed up to use the new national ‘Research Passport Scheme’ from 1 st September The University is part of a regional group including Universities, NHS Trusts and Clinical Research Networks who have signed up to use the new national ‘Research Passport Scheme’ from 1 st September This allows University staff/students who are carrying out research in the NHS to need only one set of checks before they can be issued an ‘Honorary Contract’ or ‘Letter of Access’. This allows University staff/students who are carrying out research in the NHS to need only one set of checks before they can be issued an ‘Honorary Contract’ or ‘Letter of Access’. The University is currently finalising local policy and processes in order to implement the scheme and these will be published shortly. The University is currently finalising local policy and processes in order to implement the scheme and these will be published shortly. In the interim, any staff who may require a passport, please contact Laura Tweddell or Tracey Henderson in ‘Human Resources (ext 4747). In the interim, any staff who may require a passport, please contact Laura Tweddell or Tracey Henderson in ‘Human Resources (ext 4747).

7 3. Parental Consent. 3. Parental Consent. In all research involving children, written, informed parental consent must be obtained before recruitment takes place. In all research involving children, written, informed parental consent must be obtained before recruitment takes place. The ‘information to parents/carers’ must be included with the ethical submission, the document should be written in a user-friendly fashion, without jargon. The ‘information to parents/carers’ must be included with the ethical submission, the document should be written in a user-friendly fashion, without jargon. Signed and dated consent forms must be obtained before a child is tested. Signed and dated consent forms must be obtained before a child is tested. In addition, the child must give their verbal assent before taking part. In addition, the child must give their verbal assent before taking part. If testing in Schools/Clubs a signed and dated letter of approval on official notepaper, stating that permission is granted for the research to take place, must also be included in the ethic’s submission. If testing in Schools/Clubs a signed and dated letter of approval on official notepaper, stating that permission is granted for the research to take place, must also be included in the ethic’s submission.

8 Opt-in versus opt-out! The preferred form of consent from a parent/carer is ‘opt-in’, i.e. before the research commences the parent/carer ‘opts-in’ by returning a signed consent form. The preferred form of consent from a parent/carer is ‘opt-in’, i.e. before the research commences the parent/carer ‘opts-in’ by returning a signed consent form. This is the preferred method. This is the preferred method. However, in certain circumstances it might be permissible to use ‘in loco parentis’. However, in certain circumstances it might be permissible to use ‘in loco parentis’. In this case, the Headteacher or other individual with legal responsibility for the child can sign a letter stating that they are acting ‘in loco parentis’, and opt the children in. In this case, the Headteacher or other individual with legal responsibility for the child can sign a letter stating that they are acting ‘in loco parentis’, and opt the children in. Such research should only be approve d on an individual basis, and will require convincing justifications beforehand. Such research should only be approve d on an individual basis, and will require convincing justifications beforehand. The use of an ‘opt-out’ method, where the parents/carers are informed that the research is to take place, and their consent is assumed unless otherwise stated, is not recommended. The use of an ‘opt-out’ method, where the parents/carers are informed that the research is to take place, and their consent is assumed unless otherwise stated, is not recommended.

9 Payments to Minors. Payments to Minors. This is a thorny issue. This is a thorny issue. A payment could be seen as an inducement to take part, i.e the parent may gain financially for getting their children to take part in research. A payment could be seen as an inducement to take part, i.e the parent may gain financially for getting their children to take part in research. It is recommended that any payments be limited to a ‘token of thanks’ or as recompense for travel/time etc. It is recommended that any payments be limited to a ‘token of thanks’ or as recompense for travel/time etc. In PSS we employ two types of payment policy: In PSS we employ two types of payment policy: 1. Institution-based: After research has been conducted in a School say, a ‘thank-you’ gesture may be provided in the form of vouchers (e.g. book tokens) commensurate with the involvement of the Institution. 1. Institution-based: After research has been conducted in a School say, a ‘thank-you’ gesture may be provided in the form of vouchers (e.g. book tokens) commensurate with the involvement of the Institution. Following completion of the study the children could also be provided with some sort of token of appreciation (e.g. sticker, badge, certificate etc) for taking part. Following completion of the study the children could also be provided with some sort of token of appreciation (e.g. sticker, badge, certificate etc) for taking part.

10 Payment to Minors, continued. Payment to Minors, continued. 2. Non-institution-based. 2. Non-institution-based. It may be difficult to obtain volunteers for participation unless some form of financial recompense is made at the outset. This should reflect travelling and time expenses and not act as an inducement for parents to encourage their children to take part. It may be difficult to obtain volunteers for participation unless some form of financial recompense is made at the outset. This should reflect travelling and time expenses and not act as an inducement for parents to encourage their children to take part. Full information as to the payment should be outlined at the information/consent stage. Full information as to the payment should be outlined at the information/consent stage. Following completion of testing, rewards should be in the form of vouchers that are in a sealed envelope with the minor’s name written on, it should be explained to the parents that the token represents appreciation of the minor’s involvement. Following completion of testing, rewards should be in the form of vouchers that are in a sealed envelope with the minor’s name written on, it should be explained to the parents that the token represents appreciation of the minor’s involvement. Researchers may have to justify the amount chosen to the ethical reviewers. Researchers may have to justify the amount chosen to the ethical reviewers. As the current minimum wage for years olds is £3.40 per hour then under normal circumstances we should not be providing more than this for a minor. As the current minimum wage for years olds is £3.40 per hour then under normal circumstances we should not be providing more than this for a minor.

11 Testing Vulnerable Individuals In the University. Testing Vulnerable Individuals In the University. Inform line managers/administrators/first aiders /security etc in advance. Inform line managers/administrators/first aiders /security etc in advance. Families should be met on arrival in a designated reception area and shown out of the building at the end of the visit. Families should be met on arrival in a designated reception area and shown out of the building at the end of the visit. Visitors should be given directions to relevant facilities prior to testing sessions (e.g. toilets/refreshments etc). Visitors should be given directions to relevant facilities prior to testing sessions (e.g. toilets/refreshments etc). If parents/carers are not in constant attendance then the child should not be left unattended (except for toilet visits). If parents/carers are not in constant attendance then the child should not be left unattended (except for toilet visits). If parents/carers leave the child with the researcher for any period of time then a means of contacting the parents/carers must be established prior to their departure. If parents/carers leave the child with the researcher for any period of time then a means of contacting the parents/carers must be established prior to their departure. Name and contact details of first-aiders must be on hand in testing areas. Guidelines on what to do in case of emergencies e.g. fire alarms must be clearly displayed. Name and contact details of first-aiders must be on hand in testing areas. Guidelines on what to do in case of emergencies e.g. fire alarms must be clearly displayed. Risk Assessments must be undertaken for all research procedures. Risk Assessments must be undertaken for all research procedures.

12 Testing In Other Institutions (e.g. Schools). Inform your line manager where and when you will be conducting your research. Inform your line manager where and when you will be conducting your research. Consult any appropriate Risk Assessment forms and/or Standard Operating procedures beforehand. Consult any appropriate Risk Assessment forms and/or Standard Operating procedures beforehand. Agree with your line manager a means by which you can communicate that you have completed the research visit and have left the institution/returned home safely. Agree with your line manager a means by which you can communicate that you have completed the research visit and have left the institution/returned home safely. Obtain written permission from the institution before any research visits take place. Obtain written permission from the institution before any research visits take place. Provide a letter of ethical approval/letter from principal researcher (if required). Provide a letter of ethical approval/letter from principal researcher (if required). Establish with the institution the exact nature and format of each visit, when they will take place, how long they will last, who will be attending, relevant roles and responsibilities of researchers etc. Establish with the institution the exact nature and format of each visit, when they will take place, how long they will last, who will be attending, relevant roles and responsibilities of researchers etc. Take along a CRB clearance form. Take along a CRB clearance form.

13 Testing In Other Institutions, continued.. Testing In Other Institutions, continued.. Wear some identification – name badge etc and sign in/out of the institution if required. Wear some identification – name badge etc and sign in/out of the institution if required. Obtain information about local emergency procedures. Obtain information about local emergency procedures. Ensure that wherever possible you are not left alone with children. Ensure that wherever possible you are not left alone with children. Escort children to and from the testing area if necessary. Escort children to and from the testing area if necessary. Identify procedures for toilet visits for the children during testing. Identify procedures for toilet visits for the children during testing. Ask someone in the institution if there are any sensitive issues that you should be aware of when testing individual children. Ask someone in the institution if there are any sensitive issues that you should be aware of when testing individual children. If in any doubt about anything ask someone in the institution for advice (e.g. class teacher). If in any doubt about anything ask someone in the institution for advice (e.g. class teacher). Ensure that the testing place is ‘safe’ for the researcher and participants, e.g. by ensuring that any potential hazards posed by equipment being used in the research has been minimised – consult RA’s and SOPS. Ensure that the testing place is ‘safe’ for the researcher and participants, e.g. by ensuring that any potential hazards posed by equipment being used in the research has been minimised – consult RA’s and SOPS.

14 Testing In Someone‘s Home. Testing In Someone‘s Home. Inform your line manager where and when you will be conducting your research; consult any appropriate Risk Assessment forms and/or Standard Operating procedures beforehand. Inform your line manager where and when you will be conducting your research; consult any appropriate Risk Assessment forms and/or Standard Operating procedures beforehand. Agree with your line manager a means by which you can communicate that you have completed the home visit and have returned home safely. Agree with your line manager a means by which you can communicate that you have completed the home visit and have returned home safely. Obtain written permission from the homeowner before your visit. Obtain written permission from the homeowner before your visit. Provide a letter of ethical approval (if required). Provide a letter of ethical approval (if required). Establish with the homeowner the exact nature and format of each visit, when they will take place, how long they will last, who will be attending, relevant roles and responsibilities of researchers etc. Establish with the homeowner the exact nature and format of each visit, when they will take place, how long they will last, who will be attending, relevant roles and responsibilities of researchers etc. Take along a CRB clearance form. Take along a CRB clearance form. Wear some identification – name badge etc. Wear some identification – name badge etc. Wherever possible test in pairs and ensure that you possess a fully charged mobile phone. Wherever possible test in pairs and ensure that you possess a fully charged mobile phone. If you experience any reservations about testing or continuing to test then leave immediately, equipment is not important! If you experience any reservations about testing or continuing to test then leave immediately, equipment is not important!

15 Testing In Someone‘s Home, continued.. Testing In Someone‘s Home, continued.. Call 999 in any emergency. Call 999 in any emergency. Where possible ensure that you are not left alone with a child or their siblings and try to ensure that the other researcher/parent/carer is within sight/earshot. Where possible ensure that you are not left alone with a child or their siblings and try to ensure that the other researcher/parent/carer is within sight/earshot. If invited to visit a child’s bedroom politely decline. If invited to visit a child’s bedroom politely decline. If an accident occurs make the parent/carer aware of it without delay. Write down what has happened and sign/date it. If an accident occurs make the parent/carer aware of it without delay. Write down what has happened and sign/date it. Report any such incidents to your line manger when the visit has ended. Report any such incidents to your line manger when the visit has ended.

16 Making Recordings. Obtain parental consent for a child to be photographed / videotaped– it must be made clear for what purpose the recording will be used for, and whether the recording will be made public (i.e. used on a website). Obtain parental consent for a child to be photographed / videotaped– it must be made clear for what purpose the recording will be used for, and whether the recording will be made public (i.e. used on a website). Obtain the consent of the individual to use their image/recording. Permission should be obtained for each photograph and the context within which it is to be used. Obtain the consent of the individual to use their image/recording. Permission should be obtained for each photograph and the context within which it is to be used. Only take photographs of vulnerable individuals in suitable clothing. Only take photographs of vulnerable individuals in suitable clothing. Avoid using real names in photographic captions, video voice-overs etc. Avoid using real names in photographic captions, video voice-overs etc. Avoid unsupervised recording sessions. Avoid unsupervised recording sessions.

17 Using Appropriate Tests. When testing vulnerable individuals it is important that any tests used must have been validated for that population. When testing vulnerable individuals it is important that any tests used must have been validated for that population. For example if you are assessing possible eating disorders in children then you must ensure that the questionnaires you intend to use have been validated on the age range you are wanting to test. For example if you are assessing possible eating disorders in children then you must ensure that the questionnaires you intend to use have been validated on the age range you are wanting to test.

18 Feedback and Data Protection Feedback and Data Protection It is essential that relevant parties receive some feedback following the conclusion of the research programme. It is essential that relevant parties receive some feedback following the conclusion of the research programme. This feedback should be in a form commensurate with the status of the individual – i.e. the feedback should be simple and easy to understand for a child, it should be more comprehensive for a parent/carer. This feedback should be in a form commensurate with the status of the individual – i.e. the feedback should be simple and easy to understand for a child, it should be more comprehensive for a parent/carer. If an institution has been involved then they should also be provided with general feedback concerning the key findings of the study, it is also polite to send the organiser/head teacher/class teacher etc a thank-you letter. If an institution has been involved then they should also be provided with general feedback concerning the key findings of the study, it is also polite to send the organiser/head teacher/class teacher etc a thank-you letter. The feedback should provide some information concerning the data that has been provided – i.e. it should state how the data will be stored, for what purposes it will be used for, and when it will be destroyed. The feedback should provide some information concerning the data that has been provided – i.e. it should state how the data will be stored, for what purposes it will be used for, and when it will be destroyed.


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