Almost all theses require various forms during their implementation. This text covers three of them*:
- the Participant Information Sheet
- the Participant Consent Form
- the research permit.
*) Previously, there were several separate forms. The forms have now been consolidated: the Data Protection Privacy Policy for Theses form has been discontinued, and students only need to use the form they have adapted from the Participation Information Sheet to inform participants involved in the development work.
The forms are created using templates found in the Student Guide under Studies > Thesis > “Ethical Guidelines and Documents”. Save all forms used in your thesis to Wihi, with the exception of the Participant Consent Form. Keep the signed Participant Consent Forms securely in your own possession for one year from the date your thesis is approved, then destroy them. Ensure that both storage and destruction are carried out in a data-secure manner.
You have likely collected data in your previous studies through interviews, observation, or surveys. At that stage, the templates and forms described here were not required, as studying is considered domestic use, for which they are not mandatory. Nevertheless, it remains important to handle all data with particular care and in accordance with ethical principles. Your thesis differs from earlier assignments in that it has the status of a public document. For this reason, a different approval process applies to it than to previous coursework.
Participant Information Sheet and Participant Consent Form
When you study people, you must inform them of this. Based on the information they receive, they make an independent decision about whether to participate in your thesis. This decision must be expressed unambiguously, and regardless of whether it is affirmative or negative, it must be respected. The Participant Consent Form requests consent for three separate matters: participation in the study itself, the processing of personal data, and the possible further use of the data in the manner described in the Participant Information Sheet.
The Participant Information Sheet template and the Participant Consent Form template are intended to be customised. Add information relevant to your own work and remove the instructional text, as well as any sections of the Participant Information Sheet template that are not relevant to your work. In order to give participants sufficient time to consider their participation, it is important that they are informed before consent is requested. For this reason, the templates are separate. For example, you may format the Participant Information Sheet template into a document that you send to the prospective participant when inviting them to take part in your thesis. Once they have agreed to participate, you can then send them the Participant Consent Form.
Participants confirm their consent either by signature or by email. If consent is confirmed by email, save the entire email response so that the sender’s email address is visible. Also verify that the response has come from a personal email address that can be unambiguously linked to that individual, and that the response clearly states what the participant is consenting to. Instruct respondents to copy the text of the form into their reply message.
The Participant Information Sheet template includes a Privacy Notice section. This relates to the European Union’s General Data Protection Regulation (GDPR), which requires that a statement describing the principles for processing personal data be maintained for all registers containing personal data. Personal data arises more easily than one might expect. For instance, the Participant Consent Form mentioned above, which includes the name of the person participating in the study, constitutes personal data. An audio or video recording of an interview and its transcription also identify the individual and therefore constitute personal data.
The Privacy Notice section must be completed whenever a participant’s voice or image is recorded, or whenever other direct or indirect identifiers arise that could lead to the identification of an individual. Indirect identifiers refer to the possibility of identifying an individual through factors such as age, gender, place of residence, details of interview content, or a combination of the above. Further information about personal data registers and the circumstances in which they arise is available at www.tietosuoja.fi.
In a thesis, data may be anonymised or pseudonymised. When pseudonymising, a participant’s name may be replaced with a code such as “interviewee 1”. When anonymising data, you must be entirely certain that all identifying factors have been permanently and irreversibly removed. It is important to note that anonymising data at this stage does not mean that a personal data register was not created during data collection and processing.
When you store the relevant documents and files in your possession, even momentarily, you become a data controller. The Privacy Notice section of the Participant Information Sheet template describes in detail all information relating to the collection, processing, and destruction of data containing direct or indirect personal identifiers. Include in that template information about all registers arising in the course of your thesis — for example, consent forms, recordings, and transcriptions.
Research Permit
If your development work concerns a specific organisation, you may need to obtain a separate research permit from that organisation before proceeding. Confirm this well in advance of beginning work. Organisations from which such a permit is required typically have their own form for this purpose — use that form. The research permit template in the Student Guide is intended for situations where the development work concerns Humak itself and the thesis data is based on information produced by Humak students or staff.
The Process for Surveys Differs Slightly
The use of the templates and forms described above relates particularly to situations where people are interviewed or observed. However, informing participants and obtaining unambiguous consent are also essential in surveys. Information is included in the survey’s introductory text (cover letter), and a separate item is added to the survey in which the respondent explicitly expresses their willingness to participate.
If the survey collects direct or indirect personal data, a Privacy Notice is also required. The notice may be attached to the introductory text, for example via a link. If the survey requests personal data, the survey must also include a separate mandatory checkbox through which the respondent can express consent to the processing of their personal data under the terms described in the Privacy Notice.
Checklist
- Apply for a research permit (only if required).
- Inform participants using the Participant Information Sheet template.
- Request consent from participants using the Participant Consent Form template.
- Save the documents listed above to Wihi, with the exception of the Participant Consent Form. Keep the signed Participant Consent Forms securely in your own possession and destroy them one year after your thesis is approved.
If you are unsure which templates and forms you need for your own thesis, contact your thesis supervisor.
Example 1
You are developing online teaching at institution X for your thesis. To this end, you wish to find out about the experiences that the institution’s students have with this topic. You conduct a wide-ranging anonymous survey and also interview a number of students. Proceed as follows:
- Obtain a research permit from the organisation. Save it to Wihi.
- Ensure that the survey produces genuinely anonymous data — that is, respondents cannot be identified even indirectly from their answers.
- Inform survey participants in the cover letter. Since you are not collecting personal data, a Privacy Notice is not required. Add a mandatory checkbox to the survey through which respondents can express their willingness to participate.
- Complete the Participant Information Sheet template for the interviews. Save it to Wihi.
- Inform interviewees using the text you have prepared from the Participant Information Sheet template. Save the information text to Wihi.
- Request consent from interviewees using the Participant Consent Form. Keep the signed Participant Consent Forms securely in your own possession and destroy them one year after your thesis is approved.
- Handle all data in the manner described in your information texts. Store data in a data-secure manner. The software provided by the institution is data-secure — use it.
- Delete recordings, transcriptions, and any other files containing personal data from your computer and/or cloud service appropriately once your thesis has been assessed. Also delete survey responses. If you appeal the grade awarded for your thesis, destroy the files only after the appeal process has concluded.
Example 2
You are developing the service process of organisation X for your thesis. To this end, you wish to find out what people think of the current service. You go to where the service operates and ask clients about their experiences of using the service, while also asking for their development suggestions. You have prepared a set of questions and record each client’s answers on a separate sheet yourself. You also write out clients’ responses to open-ended questions in your own words. You do not record anything, and you do not ask about or record matters that contain direct or indirect personal data. Proceed as follows:
- Check with the organisation whether you need a research permit and obtain one if required. Save it to Wihi.
- Inform interviewees of the purpose of the development work and how the data will be handled. Verbal information is sufficient, but prepare a written version as well that you can present if needed.
- Request the interviewee’s consent to the interview. Asking for and giving consent verbally is sufficient.
- Ensure that what you record does not contain direct or indirect personal data.
- Handle all data in the manner described in your information texts.
- Dispose of the sheets appropriately once the thesis is complete.
The reason for the differences in information and consent practices between the two examples is that in the latter example, no recording is made and the responses are formulated by the interviewer in their own words. What is essential is that nothing is written down in such detail that the interviewee could be identified. In this way, no personal data register is created either. Verbal information and verbal consent are sufficient when dealing with short structured interviews of this kind that are anonymous from start to finish — that is, no direct or indirect personal data is asked for or recorded at any point. However, in longer interviews, which as is typical must be recorded and transcribed verbatim, participants must always be informed and their consent obtained in writing.