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Apply for ethics approval

This page explains the process of applying to AHEC for ethics approval. If you have any questions about the process, email hrc-ethics@york.ac.uk or the Committee chair, Professor Mariana López (mariana.lopez@york.ac.uk) for clarification.

1. Researcher completes the appropriate submission form and accompanying documentation

There are three different forms for submission of applications for approval - the Full Submission Form, the Standard Submission Form and the Non-Anonymous Interview Checklist. It is up to the researcher to determine which form to complete at the outset, using the following guidelines:

Research involving vulnerable groups, sensitive topics or deception

For research that falls into one or more of the following categories:

  1. Involves vulnerable group eg:
    • Children
    • Those with learning disabilities
    • People with mental impairment due to health or lifestyle
    • Those who are terminally ill
    • Recently bereaved
    • Those unable to consent to or understand the research
  2. Concerns sensitive topics / illegal activities
  3. Uses deception
  4. Requires a DBS check

you should use the Full Submission Form

AHEC Full Submission Form (MS Word , 3,434kb)

Low risk research

For research that does not involve vulnerable groups (see above), sensitive topics or deception and is low-risk, ie:

  • Small scale evaluation and audit work
  • Non-invasive research

You should use the Standard Submission Form

AHEC Standard Submission Form (MS Word , 3,427kb)

Non-anonymous interviews

It is normally expected that anonymity is offered to research participants, and the standard or full application forms should be normally used. However, if you plan to interview people in the public eye (eg writers, artists, performers) whose individual position, status and contribution is unique, and the interviews are low risk, with members of non-vulnerable groups, and the participants do not require anonymity, then it is acceptable to make the interviews non-anonymous.  In this case, you should use the Non-Anonymous Interviews Checklist.

 AHEC Non-Anonymous Interviews Checklist (MS Word , 54kb)

2. Researcher submits the form with accompanying documentation to the appropriate approver

The appropriate form must be submitted, together with all accompanying documentation (eg information sheets, consent forms) to the Arts and Humanities Ethics Committee (hrc-ethics@york.ac.uk).

In addition to the forms you also need to submit evidence that you engaged with the DPIA Screening Questionnaire. To do this you will need to visit the Data Protection Impact Assessments page and use the DPIA Online Screening Tool which is basically a Google Form. In most cases, you won’t need to do a full DPIA and all you need to do is to download the result of your questionnaire you received via email as a .pdf and send it with your application. However, if the questionnaire indicates you need to do a DPIA, please note that you will need to do this BEFORE you submit your ethics application. Research that uses social media data (for example, comments from YouTube or Instagram posts, etc) requires a DPIA because direct consent cannot be granted so we need to work with privacy notices (please visit our FAQs for more information on this). If you are doing this type of work and need further guidance please contact the committee chair (mariana.lopez@york.ac.uk). 

If you are a member of staff, once you have everything ready please just send your application direction to hrc-ethics@york.ac.uk.

If you are a research student please make sure you share your application with your supervisor first so that they can provide you with feedback, they will then need to sign the form.

Once everything is signed you can send the application yourself to hrc-ethics@york.ac.uk but please copy your supervisor in.

Information Sheets and Consent Forms

For guidance on producing information sheets and consent forms, see the Guidance and Useful Links page. 

To comply with the General Data Protection Regulation (GDPR), you need to use the template information sheet AHEC template information sheet for personal and special category data (MS Word , 12kb) if you are collecting:

  • 'Personal data’: any information relating to an identified or identifiable natural person ('data subject'); an identifiable natural person is one who can be identified directly or indirectly, in particular by reference to an identifier such as a name, an identification number, location data, an online identifier or to one or more factors specific to the physical, physiological, genetic, mental, economic, cultural or social identity of that natural person. 
  • ‘Special category personal data’: personal data revealing racial or ethnic origin, political opinions, religious or philosophical beliefs or trade union membership or the processing of genetic data, biometric data for the purposes of uniquely identifying a natural person, data concerning health or data concerning a natural person's sex life or sexual orientation. 

Ethical approval for undergraduate projects is dealt with at departmental level, and undergraduate students should apply for approval according to the procedures set out by their department.  However, if the proposed project presents particularly complex ethical issues (for instance, it concerns terrorism or political extremism), the applicant’s supervisor should submit the application to AHEC for approval. 

Ethical approval for low-risk work on postgraduate taught (PGT) modules excluding the Dissertation in the Departments of English and Related Literature, History, History of Art, and Philosophy should be provided by the Department’s Ethics Officer. 

3. Committee responds

The committee will aim to respond to submissions within a maximum of 10 working days. The applicant should not start the research until approval has been given. Please note that although we try to do everything within this time limit sometimes it is just not possible due to staff workload or periods of leave. You should submit your application with plenty of time so that delays don’t affect your research.  

The committee will respond by email once the submission has been reviewed.  The response will indicate whether the application has been approved with no need for any changes or whether any changes or further considerations are needed before proceeding. Please note that most applications will need a resubmission so please account for the time that might take. Please note that if revisions are required, once the application is resubmitted, the timeframe for a response is reset. So each review of an application is likely to take 10 working days each.

Our top tip is to make sure you familiarise yourself with our FAQs before submitting and that you make sure you have proofread all your documents and checked everything thoroughly. The top reason for delays is that the wrong files are submitted or things are missing or applicants have not engaged with our processes. This causes unnecessary delays to the research which we would like to avoid. Don’t assume you know the answer to something, please check in advance. We want to support staff and students in their research, so please make sure you engage with the process so we can do this efficiently.