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 overview explaining how 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.
2.
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:
a. Deception is completely unavoidable if the purpose of the research is to be
achieved.
b. The research objective has strong scientific merit.
c. 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.
3.
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.
4.
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.
5.
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.
6.
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.
7.
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
a. 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.
b. Mentor – your mentor should confirm approval after you have
discussed the research with them.
c. 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)
Action 1: Student to
complete Research Project
Proposal
and
Ethical Approval Form
Action 2: Discuss with
Supervising Tutor and then
Mentor who review
Research Project Proposal
and Ethical Approval Form
according to Ethics Policy.
Action 3: proceed with
Research Project, with
continuing communication
with supervising tutor and
mentor as appropriate.
Decision:
Approved Go to
Action 3
Decision: Approved
subject to action
points/clarification
Go to Action 1
Not approved. Go
to Action 1 but work
closely with supervising
tutor and mentor before representing
project proposal and
ethical approval form as
soon as possible.
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.
2. 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?)
3. Design and methodology for the project (this links to underpinning theoretical models
for research design, references for reading on research and the topic, etc.)
4. 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)
5. 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)
6. 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
1. the analysis of data obtained from/about human
participants where the data has been previously
collected but is not in the public domain
2. new data collection from/about human participants
Yes

No



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: ____________________________________