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Office of Research Services (ORS)

Alternative methods of gaining consent

Telephone surveys/interviews

When obtaining consent for telephone surveys or interviews in minimal risk research, the human research ethics board (HREB)  may accept the use of a verbal consent script. The script must contain all the relevant information normally included in a consent form, but it is provided verbally to the participant.

Wherever possible, a written copy of the consent script should be provided to respondents. The script should contain contact explain how this will be handled or why it is not feasible for your study.

If a written copy is not provided, participants should be reminded of whom they may contact for questions at the end of the survey or interview. To document consent, researchers may audio-record the consent with permission from the participant.

In minimal risk survey research when identification of the individual is not necessary for the study design, the HREB recommends you use implied consent. This can help protect participants’ anonymity.

You can obtain implied consent by providing participants with an information letter which contains all the relevant information normally included in a consent form without a signature line. In this information letter, the participant is instructed that this is an anonymous survey. They are asked to not put their name on the questionnaire. They are also asked to not include any other identifying information.

No signed consent form is requested. If a person mails in a survey with a consent form when their identity is not required for the study design, their signature can be linked to their data.

The implied consent process may state something like: “By completing and submitting the questionnaire, your free and informed consent is implied. This indicates that you understand the above conditions of participation in this study. It also indicates that you’ve had the opportunity to have your questions answered by the researchers.”

The HREB may approve research without requiring that you obtain the participant’s consent. This is in accordance with Articles 3.1 to 3.5 of the TSPC 2. The researcher’s reasoning must be satisfactory and all of the following must apply:

  • the research involves no more than minimal risk to the participants
  • the lack of the participant’s consent is unlikely to adversely affect the welfare of the participant
  • it is impossible or impracticable to carry out the research and to answer the research question properly if the prior consent of the participant is required
  • after participation, or at a later time during the study, participants will be debriefed and provided with additional pertinent information in accordance with Articles 2 and 3.4, at which point they will have the opportunity to refuse consent in accordance with Article 3.1
  • the research does not involve a therapeutic intervention or other clinical or diagnostic interventions

Note: all these research aspects must be documented.

Normally researchers who plan to examine personal records or files that contain identifying information must obtain informed consent from the individuals. They must also conform to applicable privacy legislation.

  • for example, researchers would require individuals’ consent prior to obtaining access to patients’ hospital records, students’ school records or an agency’s client files for research purposes
  • if a UVic researcher has access to records, it is unethical to access them for research purposes without first gaining informed consent
  • this requirement respects free and informed consent and the protection of a person’s right to privacy and confidentiality

Informed consent is not normally required if research observations:

  • do not allow for the identification of the participants
  • do not involve staging or manipulating the setting/circumstances
  • are conducted in an open setting (e.g., parking lot or public park)
  • there is no reasonable expectation of privacy by those who are being observed

Anonymized data

The HREB may accept researchers accessing information from such records without free and informed consent from the individuals if the information is extracted and provided to the researchers in an anonymized format.

An application for use of anonymized data/biological materials must be submitted to the HREB before commencing such research. If the study meets the requirements for an anonymized application, but is conducted in a public space that involves observing children under the age of 13, you must plan to address any potential concerns.

Closed settings

If a researcher is observing participants in a closed setting such as a hospital ward or classroom, they must obtain individual informed consent.

  • this is particularly important in settings where there is an expectation of confidentiality and respect for privacy
  • if there are secondary participants, they must at least be informed about the study
  • for example, if research is being conducted in a hospital ward and doctors are the primary focus, then patients and families may be observed as secondary participants
  • before observations are conducted, you must provide the patients and families with information about the study
  • they must have the opportunity to contact the researcher to ask questions or refuse to be observed
  • this is done by developing an information sheet, poster or brochure for secondary participants

Organizations, corporations or government

If you are conducting research on an organization, corporation or government, you are not required to seek their approval.

  • if you approach individuals (e.g., employees), you must obtain free and informed consent
    • the participants should be fully informed of any possible consequences of participation
    • they should also be informed of the views of the organization’s authorities
  • private corporations and organizations can refuse to cooperate with researchers and can deny access to their private records
  • you must have organizational approval when participants are being recruited through an organization
  • many organizations have policies about employees participating in research about their organization
  • if you decide to research an organization without obtaining approval from the organization, you must thoroughly evaluate the risks to employees if they are being asked to participate and how they will be addressed in the study

Internet data collection

Research that relies exclusively on information that is publicly available may be eligible for an application for use of anonymized data/biological materials. Even identifying information may be disseminated publicly with no reasonable expectation of privacy.

However, there are publicly accessible digital sites where there is a reasonable expectation of privacy. For example, if users of the site must create a login or represent themselves in a certain way, the privacy expectation of contributors to these sites is much higher.

These cases might include internet chat rooms, self-help groups with restricted membership, or sites where users must log in to access information. In these cases, you should complete the standard research ethics application and clarify how you will seek informed consent from your participants.

If you do not plan to seek free and informed consent, you must provide a rationale in item 19. The HREB will examine this rationale very carefully.