PGCE/Cert Ed (inc the Diploma in Education & Training)

Guidance Notes - Research Project Proposal and Ethics Protocol

Extract from: from Plymouth University Research Ethical Guidance for Researchers

Ethics is something to which you should pay attention throughout your research. However, there are normally a number of specific documents you will need to prepare at the start of your project, before you carry out any data collection or field work. A protocol is a set of guidelines which informs all ethical aspects of the research and the different ways in which these are to be communicated to all concerned with the project.

Most projects involve the production and regular review of the ethical issues, which may include the following elements that should be included as appendices to your research project, as appropriate:

  1. A written overviewexplaininghow you will address all the principles of ethical research, permission and negotiation of access to field, such as: confidentiality and anonymity, trust, integrity and truthfulness, legality, protection from harm and professionalism. This statement underpins your whole approach to the research and is for discussion with your supervising tutor.
  2. An introductory letter to the person/s in charge of the organisation/s where you wish to carry out your research.
  3. Information sheet/s explaining the context and aims of your project. You may need more than one version of this, if you are involving different groups of participants to ensure accessibility and suitability for each – for example, adults, children, professionals, etc.
  4. Consent forms for participants to complete, again presented in a way that is accessible to all those you wish to take part in your research project.

When completing your Ethics Protocol, you should ensure that you indicate how you will address the following areas:

  1. Informed consent

The researcher should inform potential participants in advance of any features of the research that might reasonably be expected to influence their willingness to take part in the study.

Where the research topic is sensitive, the ethical protocol should include verbatim instructions for the informed consent procedure and consent should be obtained in writing.

Where children/vulnerable adults are concerned, informed consent may be obtained from parents or teachers acting in loco parentis, or from the children themselves if they are of sufficient understanding. However, where the topic of research is sensitive, written informed consent should be obtained from individual parents/carers/advocates.

  1. Openness and honesty

Researchers should be open and honest about the research, its purpose and application. Some types of research appear to require deception in order to achieve their scientific purpose. Deception will be approved in experimental procedures only if the following conditions are met:

  1. Deception is completely unavoidable if the purpose of the research is to be achieved.
  2. The research objective has strong scientific merit.
  3. Any potential harm arising from the proposed deception can be effectively neutralised or reversed by the proposed debriefing procedures (see 5. below).

Failing to inform participants of the specific purpose of the study at the outset is not normally considered to be deception, provided that adequate informed consent and debriefing procedures are proposed.

Covert observation should be resorted to only where it is impossible to use other methods to obtain essential data. Ideally, where informed consent has not been obtained prior to the research it should be obtained post hoc.

  1. Right to withdraw

Participants should be informed at the outset of the study that they have the right to withdraw at any time without penalty.

In the case of children/vulnerable adults, those acting in loco parentis or the children themselves if of sufficient understanding, shall be informed of the right to withdraw from participation in the study.

  1. Protection from Harm

Researchers must endeavour to protect participants from physical and psychological harm at all times during the investigation.

Note that where stressful or hazardous procedures are concerned, obtaining informed consent (see 1. above) whilst essential, does not absolve the researcher from responsibility for protecting the participant. In such cases, the ethical protocol must specify the means by which the participant will be protected, e.g. by the availability of qualified medical assistance or psychological support.

Where physical or mental harm nevertheless does result from research procedure, investigators are obliged to take action to remedy the problems created.

  1. Debriefing

Researchers should, where possible, provide an account of the purpose of the study as well as its procedures. If this is not possible at the outset, then ideally it should be provided on completion of the study.

  1. Confidentiality

Except with the consent of the participant, researchers are required to ensure confidentiality of the participant's identity and data throughout the conduct and reporting of the research.

Ethical protocols may need to specify procedures for how this will be achieved. For example, transcriptions of the interviews may be encoded so that no written record of the participant's name and data exist side by side. Where records are held on computer, the Data Protection Act also applies.

  1. Ethical principles of professional bodies

This set of principles is generic and not exhaustive of considerations which apply in all disciplines. Where relevant professional bodies have published their own guidelines and principles, these must be followed and the current principles interpreted and extended as necessary in this context.

The following guidance is provided to support the completion of the Research Project Proposal and Ethical Approval Form.
Point
1 / Provide accurate details.
  • Project title is the full title of the research project

2 / Aims and objectives.
  • be specific and clear about what you want to do
  • ensure your objectives are achievable within the timescale for the project

3 / Design/methodology
  • Broad underpinning principles and theoretical positions of the research design to achieve the aims and objectives

4 / Research methods
  • Sample size and details about participants
  • Outline of procedures to collect relevant data? E.g. use of questionnaires, interviews, observation, assessments, library etc.
  • How and why are these methods appropriate for this project?
  • When you do you intend to start collecting data?
  • What is the timescale for the project?

5 / Documentation required
  • Tick ‘yes’ or ‘no’ as appropriate for each sub category of research in Section 6 of the Research Project Proposal and Ethical Approval Form
  • If ‘yes’ ticked for option 2., complete Form A and attach any documentation that will be provided to the participants to demonstrate that your research conforms with each clause of the Plymouth University Ethical Principles for Research Involving Human Participants listed.

6 / Signatures
  1. Supervising tutor – the tutor who will supervise your project should sign the approval form to state they have discussed the research design and ethics protocol with you and have agreed the research can go ahead subject to any agreed action points and/or clarification. If there are any ethical concerns which would need further approval, your tutor will discuss possible changes to the project with you.
  2. Mentor – your mentor should confirm approval after you have discussed the research with them.
  3. Ethics Review Panel – consisting of the Centre Tutor (or if supervising the project, another programme tutor) and other programme tutor to finally sign to agree the research project can proceed subject to agreed action points and/or clarification.

Guidance Flow Chart: Process for Research Proposal

and Ethical Approval for

PGCE/Cert Ed (inc Diploma in Education & Training)


Research Project Proposal and Ethical Approval Form

PGCE/Cert Ed (inc Diploma in Education & Training)

Research Project - Enhancement Module

  1. Research Project Proposal details

Student Name: / Supervising Tutor:
Project Title:
Please complete this form along with Form A, where appropriate, and attach any supplementary documentation, depending upon your response to No. 6 below. The project cannot be commenced until this process is complete.
  1. Aims and objectives of the project (e.g. what are you hoping to find, what might the intended purpose be and who might the audience be?)

  1. Design and methodology for the project (this links to underpinning theoretical models for research design, references for reading on research and the topic, etc.)

  1. Summary of research methods(including the research tools you may use to collect the data (questionnaire, interview, literature search, reflections on practice), who participants will be and procedures involved)

  1. Analysis and evaluation (which model/framework/approach will you use to structure this section – e.g. the methods used, findings, recommendations and possible impact on learning)

  1. Documentation required

Please identify whether your research intends to include any of the following aspects. This project is not intended to include active research with children (under 16)/vulnerable adults
Yes / No
  1. the analysis of data obtained from/about human participants where the data has been previously collected but is not in the public domain
/  / 
  1. new data collection from/about human participants
/  / 
If analysing new data collected from/about human participants (2) you will need to complete Form A and refer to the Guidance Notes in order to identify supplementary paperwork to be included.

Form A – Research involving Human Participants (expand as necessary)

Ethical procedures
Please state how you will ensure that your research conforms with each clause of the Plymouth University Ethical Principles for Research Involving Human Participants and include any relevant documentation as appendices to your Research Project.
Informed consent
Openness and honesty
Right to withdraw
Protection from harm
Debriefing
Confidentiality
Other professional bodies
7. Signatures for Ethical Approval
7.a Supervising Tutor
I have discussed the design of this research project with the trainee and agree that this project has been:
 approved and the research may continue
approved and the research may continue subject to completion of the agreed action points and/or clarification. Date amendments to be completed by:…………….
Signed:______Date: ______
7.b Mentor/Placement Co-ordinator
I have discussed the design of this research project with the trainee and agree that this project can proceed:
 agree for research to proceed
Signed:______Date ______
NB If there are any ethical concerns which would need further approval, refer back to your tutor for discussion about possible changes to the project.
7.c Ethics Review Panel (PGCE/Cert EDE programme team)
We agree that this project has been:
 approved and the research may continue
 approved and the research may continue subject to completion of the agreed action points and/or clarification
declined, a review of the methodology and resubmission is still required.
Signed:______Centre Tutor / or other programme tutor
Signed:______Other programme tutor
Date: ______