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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:
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.
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Procedures
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.
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.
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.
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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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.
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Full name
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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
YES NO
3. For which category of proposal are you applying for ethical approval?
Category A B
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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:
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.
Signed
Date
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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