ETHICS CHECKLIST FOR STAFF AND ASSOCIATE RESEARCHERS (approved
February 2013)
This form is intended as an initial checklist for staff and associate researchers proposing to
undertake ANY research.
Lead Researcher:
Other researcher(s):
Email:
Institute/Service:
Status:
Dr. Colin B. Price
c.price@worc.ac.uk
Worcester Business School
Staff member
Direct Observation Pilot Study
Project Title:
Checklist
Yes
No
1.
Does your proposed research involve human participants?
☒
☐
2.
Does your proposed research use personal data from the living or
recently deceased?
☐
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3.
Does your proposed research involve participants who are
particularly vulnerable or unable to give informed consent? (e.g.
children, people with learning disabilities, your own
students/employees)
☒
☐
4.
Will your proposed research require the co-operation of a gatekeeper
for initial access to the groups or individuals to be recruited? (e.g.
students at school, members of self-help group, residents of nursing
home)
☐
☒
5.
Will financial inducements be offered to participants in your proposed
research beyond reasonable expenses and/or compensation for
time?
☐
☒
6.
Will your proposed research involve collection of data relating to
sensitive topics (e.g. sexual activity, drug use, abuse,
discrimination)?
☐
☒
7.
Is pain or discomfort likely to result from your proposed research?
☐
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8.
Could your proposed research induce psychological stress or anxiety
or cause harm or negative consequences beyond the risks
encountered in normal life?
☐
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9.
Will it be necessary for participants to take part in your proposed
research without their knowledge and consent at the time? (e.g.
covert observation of people in non-public places)
☐
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Does your proposed research involve deception?
☐
☒
10.
11.
Will your proposed research require the gathering of information
about unlawful activity?
☐
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12.
Does your proposed research involve access to, or the collection of,
sensitive/confidential data from other organisations?
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13.
Will invasive procedures be part of your proposed research (e.g.
blood sampling, temperature probes)?
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14.
Will your proposed research involve prolonged, high intensity or
repetitive testing?
☐
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15.
Does your proposed research involve the testing or observation of
animals?
☐
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16.
Does your proposed research involve collection of DNA, cells, tissues
or other samples from humans or animals?
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17.
Does your proposed research involve human remains or burial sites?
☐
☒
18.
Does your proposed research involve NHS patients, staff or
premises?
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19.
Is your proposed research externally funded?
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☒
If the answers to any of these questions change during the course of
your research, you must alert your Institute Ethics Coordinator.
Signature
By signing below I declare that I have answered the questions above honestly and to the best
of my knowledge:
CBPrice
Lead researcher:
Date:
30-07-14
(Please note that the Lead Researcher is, where applicable, signing on behalf of all
researchers involved with the research. Electronic signatures are only valid if the signee then
emails the form from their own university email address to the recipient.)
What next?
If you have answered NO to all of the questions, you do not need to complete the next
three pages and you should now email this signed and dated checklist to your Institute Ethics
Coordinator; wbsethics@worc.ac.uk.
If you have answered YES to one or more questions, you must also complete the next
three pages, unless you have answered yes to q.18 in which case you must complete the
relevant NHS ethical review process (seek advice from the NHS authority that you intend to
do your research within. If they advise that no formal NHS approval is needed, you will still
need to obtain written confirmation of this). Only after pages 1-4 have been completed, you
should email this signed and dated checklist to your Institute Ethics Coordinator.
Application for Ethical Approval (Staff and Associate Researcher)
Details of the research
Outline the context and rationale for the research, the aims and objectives of the research
and the methods of data collection
We are interested in researching whether individuals without a scientific background
can make “direct observations” on physics experiments presented in a virtual lab and
describe the main features of the experimental behaviour understood by the physics
experts. By “direct observations” we mean simply observing the visual representation
of an experiment in action, without access to any numbers or theory.
Consider the example of the experiment shown below consisting of a glider tethered
by two springs. The behaviour of this experiment is as follows: (i) The glider
“oscillates” from left to right, (ii) the time for each “cycle of oscillation” is the same, (iii)
the maximum displacement to the left is the same as the maximum displacement to
the right, (iv) these displacements are equal. We are interested to see if participants
can “see” this behavior.
We do not expect participants to use technical language, indeed it will be interesting
to code their observations made in “plain English” onto the technical vocabulary.
Methodology. This is straightforward. Participants will be shown a number of virtual
experiments and will be asked one question: “Describe in as much detail as you can
what you observe happening”. Their responses will be voice-recorded and
subsequently analysed. The voice recording will then be destroyed on the same day
as individuals’ participation.
This research forms part of a larger program of study, to establish guidelines for the
design of virtual physics laboratories.
Who are your participants/subjects?
Adults including students at the University of Worcester whom are selected to have
had no experience or recent experience of Physics and Physics experimentation
How do you intend to recruit your participants?
This should explain the means by which participants in the research will be recruited. If any
incentive and/or compensation (financial or other) is to be offered to participants, this should
be clearly explained and justified.
Recruitment through network of personal contacts and through students known to the
researcher. No incentive will be employed and participation will be voluntary.
How will you gain informed consent/assent?
Where you will provide an information sheet and/or consent form, please append this. If you
are undertaking a deception study or covert research please outline how you will debrief
participants below
Attached
Confidentiality, anonymity, data storage and disposal
Provide explanation of any measures to preserve confidentiality and anonymity, including
specific explanation of data storage and disposal plans.
No identification is requested. The voice recording will be analysed on the day of the
event and immediately destroyed. No information identifying the participants will be
recorded.
Ethical considerations and potential risks to participants/subjects
Outline the ethical issues you think the research raises and how you intend to address these
issues.
There is no risk to participants and no ethical issues other than involving human
participants.
Published ethical guidelines to be followed
Identify the professional code(s) of practice and/or ethical guidelines relevant to the subject
domain of the research.
The form has been written in line with Saunders, M. N. K., Lewis, P. & Thornhill, A.
2012. Research methods for business students. 6th ed. Harlow, England: FT
Prentice Hall
Declaration of Researcher
I have read the University Ethics Policy and any relevant codes of practice or guidelines and I
have identified and addressed the ethical issues in my research honestly and to the best of
my knowledge
C.B.Price
Signature*:
Date:
10-08-14
What next?
Email this form to your Institute Ethics Coordinator; h.watts@worc.ac.uk who will liaise with
other Ethics Representatives and email you with the decision. If approved, the approval is
subject to any advice which may have been given being followed.
Institute Ethics Coordinator Declaration
☐ The application is approved without any changes needed
☒ The application is approved subject to revisions being made to the satisfaction
of the committee
☐ The application is not approved
☐ The application is referred to the Ethics and Research Governance Committee
WBS Committee comments:




Needs to be made clear that as the results are anonymised, they cannot be withdrawn after
the experiment has been completed.
Right to withdraw needs including (a right not to participate is different).
An additional, alternative email address (wbsethics@worc.ac.uk) should be included as well
as Colin’s if the participants have any questions or concerns.
Would advise a week turnaround for keeping interview data to allow enough time for
transcription could be stated therefore all audio recordings will be destroyed once
transcribed (a maximum of seven days after the experiment).
Helen Watts
Signature*:
Date:
02/09/2014
Chair of the Ethics & Research Governance Committee Declaration
☐ The application is approved without any changes needed
☐ The application is approved subject to revisions being made to the satisfaction
of the committee
☐ The application is not approved
ERGC Comments:
Signature*:
Date:
*Electronic signatures are only valid if the signee then emails the form from their own university email
address to the recipient.