Children and Protected Adults

Research involving children or protected adults

This guidance explains what you need to consider when planning and conducting research involving children or vulnerable adults. It covers definitions, consent, ethics review, safeguarding, and additional approvals. It does not cover specific ethical issues or considerations – researchers must consider these in the context of their specific research project and participants.

Who this guidance is for

This guidance applies if your research involves:

  • participants under the age of 18
  • adults who may be vulnerable
  • adults who lack capacity to consent.

Key definitions

Children and adults

A child is generally defined as anyone under 18 but definitions vary depending on legislation and context, particularly in Scotland. For example:

  • An adult is defined as someone aged 16 or over under the Adults with Incapacity (Scotland) Act 2000.
  • The University Safeguarding Policy defines a child as anyone under 18.

In Scotland, anyone aged 16 or over has legal capacity. However, even where 16–17-year-olds have legal capacity, they may still be vulnerable and require additional safeguards.

Competent youths

In some contexts (particularly outside Scotland), 16–17-year-olds are described as competent youths. This means they:

  • may be able to make informed decisions independently
  • are still considered potentially vulnerable
  • require careful ethical consideration.

There is separate guidance on competent youths.

Protected adults

In Scotland, a protected adult is someone aged 16 or over who:

  • receives care or welfare services, or
  • lives in a supervised or institutional setting, such as a care home or school.

You will usually need PVG clearance to work with protected adults.

Adults lacking capacity

Adults (i.e. those who would usually have legal capacity by virtue of their age) lacking capacity cannot understand enough about the research to give informed consent.

If your research involves adults lacking capacity:

Age, capacity and consent

You must apply the legal definition of capacity relevant to where your participants are based.

  • If participants have legal capacity, they can give their own consent.
  • If participants are under 18 but have legal capacity (for example, in Scotland), they can consent independently. However, you must still treat them as a higher-risk group and apply additional safeguards. See the guidance on competent youths.
  • If participants lack capacity, consent must be provided by a legally authorised representative. Research of this type in the UK requires NHS REC A review.

Informed consent and assent

Provide clear, accessible information

You must give participants (and, where appropriate, caregivers) clear information about:

  • why the research is being carried out
  • what participation involves
  • how data will be collected, used and stored.

Information must be appropriate to the participant’s age, understanding and communication needs.

Caregiver consent and participant assent

When working with children or vulnerable adults, you must:

  • obtain consent from a caregiver (for example, a parent or legal guardian), and
  • seek assent from the participant.

You must respect the participant’s wishes at all times, even if caregiver consent has been given.

Use a continuous consent approach. Check regularly that participants are comfortable and willing to continue.

When caregiver consent may not be appropriate

In rare cases, it may be appropriate to seek consent without involving a caregiver. This might apply if involving them could place the participant at risk.

If you plan to do this, you must:

  • provide a strong justification
  • seek advice from the University Legal Office [email protected]
  • obtain approval through the ethics process.

Ethics applications

If your research involves children or vulnerable adults, your ethics application must explain:

  • how consent and assent will be obtained and ongoing
  • what risks have been identified
  • how those risks will be managed
  • what safeguarding measures are in place

Issues you may need to address

You should consider:

  • how you will communicate with participants
  • power imbalances (for example, teacher–student relationships)
  • how you will confirm participant age, particularly online
  • whether research topics are sensitive
  • possible stigma or peer pressure
  • how you will identify and respond to distress
  • whether caregivers will have access to participant data

Child Panel Representative

You must consult a Child Panel Representative if:

  • your research involves children, and
  • you have not previously received a favourable ethics opinion following Child Panel input, and
  • your application is not being reviewed by a School Ethics Committee with equivalent expertise (Geography & Sustainable Development, IELLI, Medicine, Psychology & Neuroscience).

The child panel representatives/contacts are

  • Dr Barbara Dritschel (Psychology & Neuroscience) - [email protected] - for queries from Schools of:
    • Biology
    • Business School
    • Chemistry
    • Computer Science
    • International Relations
    • Maths
    • Physics & Astronomy
  • Dr Mark Carver (IELLI) - [email protected] - for queries from Schools of:
    • Art History
    • Classics
    • Divinity
    • English
    • History
    • Modern Languages
    • Philosophy, Anthropology & Film Studies. 

You are strongly encouraged to make contact at an early stage.

Participant materials

You must present participant information in a way that your audience can understand.

This may include:

  • simplified written materials
  • visual or graphical formats
  • audio or video formats

You must always include a contact point at the University who is independent of the research, such as a SEC convenor, in case a participant wishes to make a complaint or raise a concern.

If you use non-written formats, you must still provide written information for caregivers.

The University has example templates for use, with suggestions for how these might be used:

Child aged 0 to 8 years

Participant information:

  • Parents or guardians should be given the PIS - PG (0-12y) (Word).
  • The child should be given information verbally.

Consent:

  • Parents or guardians should be given the consent form - PG (0-12y) (Word).
  • The child’s ongoing assent should be ensured throughout the research activity.
Child aged 8 to 12 years

Participant information:

  • Parents or guardians should be given the PIS - PG (0-12y) (Word)
  • The child should be either given the information verbally, or using the PIS - PG (12-16y) (Word) depending on their literacy and comprehension levels.

Consent:

  • Parents or guardians should be given the consent form - PG (0-12y) (Word).
  • The child’s ongoing assent should be ensured throughout the research activity.
Child aged 12 to 16 years (Scotland) or 12 to 18 years (outside of Scotland)

Participant information:

Consent:

These are examples and may be adapted if needed, see the consent guidance.

PVG and DBS checks

When checks are required

You may need PVG or DBS clearance if you:

  • work directly with children or protected adults
  • carry out research in settings such as schools, nurseries or care homes.

When checks may not be required

Checks may not be needed if:

  • your research is observational only, and
  • you are supervised at all times by an authorised person.

Additional requirements

  • PVG is not valid in England or Wales. You must apply for DBS clearance instead.
  • If you have lived outside the UK, you may need to provide an overseas criminal record check.
  • If you are working outside the UK, you should obtain equivalent local approvals where available.

The University has a PVG policy with more information.

To obtain a PVG, members of staff must contact their HR business partner. Students must contact the Advice and Support Centre [email protected]

Safeguarding

Your responsibilities

Everyone involved in the research must:

  • understand the University safeguarding policy and procedures
  • understand any local safeguarding policies and procedures
  • know how to recognise and report concerns
  • ensure partner organisations follow appropriate safeguarding practices.

Planning for safeguarding

You must consider safeguarding from the start of your project. This includes:

  • identifying potential risks
  • understanding the local context
  • ensuring your research does not increase risk of harm.

This is particularly important if you are working in unfamiliar settings.