Exemptions

If research is exempt from formal approval under the following criteria, it is still expected that UCL researchers will abide by their appropriate disciplinary ethical guidelines. → Useful Links.

In accordance with the following criteria, Department Heads have final judgement as to whether a particular activity should be exempt from the requirement for approval by the UCL Ethics Committee. But note that the exemptions below do not apply to research involving vulnerable participants (e.g. mental patients, prisoners), fetuses, pregnant women or human in vitro fertilization. Note also that exemption (b) does not apply to research on children except when the investigator(s) do not participate in the activities being observed.

Exemption from approval by the UCL Ethics Committee DOES NOT IMPLY that the research is also exempt from registration with the UCL Data Protection Officer. If you are in doubt about Data Protection requirements, please consult the → UCL Legal Services for further information.

The following types of human participant research DO NOT require ethics approval (however, the exemptions below do not apply to research involving vulnerable groups as defined earlier):

Research involving the collection or study of EXISTING data, documents or records that are publicly available. For example, published biographies, newspaper accounts of individual's activities and published minutes of a meeting would not be considered 'personal data'.
Research involving anonymised records and data sets that exist in the public domain, for example, datasets available through the office for National Statistics where appropriate permissions have already been obtained and where it is not possible to identify individual from the information provided.
Research involving the use of educational tests (cognitive, diagnostic, aptitude, achievement), survey procedures, interview procedures or observation of public behaviour UNLESS information obtained is recorded in such a manner that human participants can be identified AND any disclosure of the human participants' responses outside the research could reasonably place the participants greater at risk of criminal or civil liability or be damaging to the participants' financial standing, employability, or reputation.
Research involving the use of educational tests (cognitive, diagnostic, aptitude, achievement), survey procedures, interview procedures or observation of public behaviour that is not exempt under paragraph (c) of this section, if the human participants are elected or appointed public officials or candidates for public office.
Taste and food quality evaluation and consumer acceptance studies, if wholesome foods without additives are consumed, OR if a food is consumed that contains a food ingredient at or below the level and for use found to be safe, or agricultural chemical or environmental contaminant at or below the level found to be safe by the appropriate government regulators.
Service Evaluation and Audit – Ethical approval is not required for an audit or service evaluation.
Audit is defined as assessing the level of service being provided against a set of pre-determined standards. This generally involves analysing existing data with results usually being used/distributed locally in order to effect change to improve/change the level of service currently being provided. It does not require ethical approval.

Service Evaluation is undertaken to benefit those who use a particular service and is designed and conducted solely to define or judge current service. Your participants will normally be those who use the service or deliver it. It involves an intervention where there is no change to the standard service being delivered (e.g. no randomisation of service users into different groups). This does not require ethical approval.

It is possible to use data collected from participants during a service evaluation for later research as long as:
- the data is completely anonymous;
- it is not possible to identify participants from any resulting report;
- use of the data will not cause substantial damage and distress.