School of Education

Ethical Procedures 2008-09

This document provides guidance to the securing of ethical approval in relation to

research projects that use human subjects. It relates to all research work
carried out under the auspices of the School of Education (SEd), whether this is
to be undertaken by undergraduate or postgraduate students or by members of
staff.

Within SEd a sub-committee of the School’s Research Committee considers

ethical issues and reports to the Research Committee. The sub-committee has
membership from several strands of SEd work. Attendance at an ethics sub-
committee meeting wherein ethical approval for a proposal is to be considered
will include the chair and at least one other member.

All researchers are advised to consider the ethical guidelines set out by the British
Educational Research Association, which can be located through their website on
www.bera.ac.uk/guidelines.html.

Working with human subjects will fall into one of two categories:

Definition: Category A Proposals

In a category A proposal there will be no severe or significant interference with
the subjects’ physical or psychological wellbeing. The subjects are not considered
vulnerable to the procedures or topic of the project proposed. Proposals may
involve access to confidential records provided that the investigator’s access to
these is part of her/his normal professional duties.

Definition: Category B Proposals

In category B proposals there is likely to be significant physical intervention
between the researcher and the subjects. This includes the administering of
questionnaires or interviews on sensitive issues that could cause psychological
harm or suffering to the subjects. In such cases, the subjects’ vulnerability is
determined in relation to the methods and content of the research project rather
than by an assumption of being ‘at risk’.

Subjects (and/or their parents/carers in the case of young people under 18 years
of age) must be informed of the nature of the research project and a means of
consent must be obtained.

With the approval request form (Appendix 1) copies of additional information are
also required, namely:
• outline summary: rationale and expected benefits from the study;
• explanation of the methodology to be used;
• a copy of the consent form to be used with subjects;
• details of how information will be kept;
• details of how results will be fed back to participants;
• letter of consent from any collaborating institutions;
• letter of consent from the head of institution wherein any research activity will
take place.

Undergraduates will not be permitted to undertake category B projects.

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Procedures

i) Research undertaken by students

For students attending a research methods module, the person to whom ethical
approval should be addressed in the first instance, is the module leader.
Students actually undertaking research will have a project or dissertation
supervisor. For the purposes and convenience of this document, these are all
referred to collectively as “supervisor”. The student is referred to as the
“researcher” to cover all categories and stages of research ability.

The following flow of activity applies:

1. The researcher applies to carry out research involving human subjects at

undergraduate or postgraduate level, using the “Ethical Approval Request”
form (see Appendix 1).

2. The supervisor recommends the appropriate category (A or B, see below) for

consideration of the ethical issues (or if unsure, seeks advice from a member
of the ethics sub-committee).

3. The researcher follows guidance given for category A or B (see below) of

ethical approval.

4. The supervisor will give ethical approval for category A proposals. Category B
proposals must be considered by the ethics sub-committee and should be
forwarded to the sub-committee by the supervisor on behalf of the
researcher.

5. If required, the researcher applies for an Enhanced Disclosure Certificate from

the Criminal Records Bureau via SEd, at a cost of £29. Where a researcher
already has an Enhanced Disclosure Certificate, the researcher must be
prepared to permit the supervisor (for category A projects) or the chair of the
ethics sub-committee (for category B projects) to see the original certificate
(i.e. not a photocopy). If the certificate was gained at a place of previous
employment or study, the researcher will be required to apply for a new
certificate, unless the date of issue of the original was within four months of
the application for ethical approval.

6. After approval has been given at the appropriate level, the researcher may
begin working. Fieldwork must not be commenced prior to approval being
given.

ii) Research undertaken by members of staff

The following flow of activity applies:

1. For a category A proposal (see below), the member of staff applies to the
chair of the ethics sub-committee for approval to carry out research involving
human subjects by using the “Ethical Approval Request” form (see Appendix
1). Where there is uncertainty about the category to be granted, the ethics
sub-committee will assist.

2. For category B proposals members of staff must gain approval from the ethics
sub-committee and the request should be forwarded by the member of staff
to the chair of the ethics sub-committee.

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3. Where appropriate, a member of staff must have an Enhanced Disclosure

Certificate from the Criminal Records Bureau if human subjects are to be part
of the research proposal. The member of staff must be prepared to permit the
chair of the ethics sub-committee to see the original certificate (i.e. not a
photocopy).

4. After ethical approval has been given, the researcher may begin working.
Fieldwork must not be commenced prior to approval being given.

Human subjects

Care and consideration for those involved must always be at the forefront of any
research activity. This is of particular importance when dealing with young
people below the age of 18 years and vulnerable adults.

Definition:Vulnerable Adults

All of us are vulnerable at different times in our life. Bereavement, illness, social
or work pressures may render us vulnerable. It is important whilst conducting
research to proceed with respectful awareness and care in dealings with
participants. To run a robust, ethically principled research project the researcher
will need to remain vigilant and will need to monitor participants' welfare, seeking
relevant guidance and assistance when in need of support.

The regulations contained within the Police Act (UK 1997) give a three-part
definition of a vulnerable adult (see A – C below). For the purposes of
conducting research under the auspices of the School of Education, a fourth
category has been added (D below). A vulnerable adult will be over the age of
eighteen years and will fall into one or more categories.

A – Services:
a) accommodation and nursing or personal care in a care home;
b) personal care or support to live independently in their own home;
c) any services provided by an independent hospital, clinic, medical agency or
NHS body;
d) social care services;
e) any services provided in an establishment catering for a person with learning
difficulties.

B – Conditions:
a) a learning or physical disability;
b) a physical or mental illness, chronic or otherwise, including an addiction to
alcohol or drugs, c) a reduction in physical or mental capacity.

C – Disabilities:
a) a dependency on others to assist with or perform basic physical functions;
b) severe impairment in the ability to communicate with others;
c) impairment in a person’s ability to protect themselves from assault, abuse or
neglect.

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D – Experiences:
a) bereavement, illness, social or work-related stress;
b) post-traumatic stress relating to war or other catastrophic events;
c) physical or psychological abuse, bullying, victimisation or sustained
harassment;
d) experiences based on caste, religion, ethnicity, gender or other socially,
culturally or politically structural situations, which may place some groups in
chronically disadvantaged or vulnerable contexts.

This list may guide thinking about vulnerability but makes no claim to being
exhaustive; neither does it assume that everyone who has these experiences is
vulnerable at all times. It suggests that vigilant researchers should try to
understand and empathise with people's circumstances and conduct their
research activities with appropriate regard and respect for participants' actual or
potential vulnerability.
In addition it should be recognised that:
(a) research activities may awaken latent vulnerability in others;
(b) a researcher's own vulnerability may, as a consequence, increase; and
(c) strategies for managing research activities need to be designed and
supported, in some cases with the guidance and assistance of colleagues or
others with relevant experience and local knowledge.

Proposals requiring ethical approval from more than one

institution
There are some occasions when a researcher will be required to gain ethical
approval from different institutions, e.g. an educare project that may come under
both S.Ed and SoH. Whilst this may appear to be over-cautious, the differing
focus of each institution may mean that an important issue for one may not be
covered by the other. When duplicate approval is required the ethical procedures
for each body should be consulted and followed. If SEd is the principal School
for a research proposal, then one of the conditions may be that ethical approval
for the other has also to be obtained. If SEd is not the lead School, then a
lighter touch may be taken provided that evidence of ethical approval from the
other body is presented to the SEd ethics sub-committee.

Evidence of ethical approval

The signed form remains with the supervisor though students may keep a
photocopy. If for any reason after ethical approval has been granted the research
proposal changes significantly the student must immediately inform and seek
advice from their supervisor.

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Request for Ethical Approval

Section 1 – to be completed by the researcher

Full name

Module number and title

(student researchers
only)
Research Proposal title

Brief outline of proposal

Level of research, e.g.

staff, undergraduate,
postgraduate, master’s
(award related), MPhil,
PhD
Please outline the
methodology that would
be implemented in the
course of this research.

Please indicate the

ethical issues that have
been considered and how
these will be addressed.

Please indicate any

issues that may arise
relating to diversity and
equality whilst
undertaking this research
and how you will manage
these.

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Please answer the following questions by deleting the inappropriate response:

1. Will your research project involve young people under the age of 18?

YES NO

If yes, do you have an Enhanced Disclosure Certificate from the Criminal Records Bureau?

YES NO

1. Will your research project involve vulnerable adults?

YES NO

3. For which category of proposal are you applying for ethical approval?

Category A B

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Confirmation of ethical approval

Section 2 – to be completed as indicated, by module leader, supervisor

and/or chair of ethics sub-committee

For Category A proposals:

I confirm that the proposal for research being made by the above
student/member of staff is a category A proposal and that s/he may now continue
with the proposed research activity:

For a student’s proposal –

Name of module leader or
supervisor giving approval
For a member of staff’s proposal –
name of chair of ethics sub-
committee giving approval
Signed

Date

Category B proposals:

I confirm that the proposal for research being made by above student/member of
staff is a category B proposal and that all requirements for category B proposals
have been met.

On behalf of students (only):

Name of module leader or

supervisor

Signed

Date

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On behalf of members of staff and students

I confirm that the proposal for research being made by above student/member of
staff is a category B proposal and that s/he may now continue with the proposed
research activity:

Signed

Name of chair of ethics sub-

committee

Any conditions attached to this Yes

ethical approved (attached on
a separate sheet) No
Date

Checklist of submissions required for category B proposals:

Outline summary: rationale and expected benefits from the study,

with a statement of what the researcher is proposing to do and how
Explanation of the methodology to be used
An information sheet and copy of a consent form to be used with
subjects
Details of how information will be kept
Details of how results will be fed back to participants
Letter of consent from any collaborating institutions
Letter of consent from head of institution wherein any research
activity will take place