SCHOOL OF SOCIETY, ENTERPRISE AND ENVIRONMENT
ETHICS ASSESSMENT
All researchers have moral and legal responsibilities to ensure their research is ethical and does not
represent a potential source of physical, emotional, or psychological harm to participants, intended or
otherwise. Research that fails to properly undertake an ethical assessment is in breach of
Professional Standards and/or University practice and policy and the researcher may be subject
to appropriate disciplinary action. Click to consult BSU research policies and the British Psychological
Society (BPS) Ethical Guidelines.
This Ethical Assessment should be maintained throughout the life of your project and stored safely so
that you can record your ethical considerations as the project evolves. Subsequent changes to research
plans should remain subject to the considerations listed here and should be noted accordingly.
For all research involving human participants you MUST NOT begin data collection until you have
had signed ethical clearance from your tutor/supervisor and the Ethics Committee/SEE approver.
Research in other academic institutions is subject to that institution’s research ethics process.
SUMMARY
Name
Are you a student or member of BSU staff?
Student number and module code (if applicable)
Title of Project
Data collection: anticipated start date and
duration of activity
Researcher signature and date
By signing this document I confirm that I have read the
relevant policies/guidelines and understand that is my
responsibility to complete a Risk Assessment if appropriate
Comments
DECISION
Signature and Date
Reviewer 1
Reviewer 2
Pass
SEE Ethics Approver Conditional Pass
signature and date Resubmit
Please delete as appropriate
January 2014
1 Please provide a brief academic rationale for your proposed project
2 Please give a brief description of the research aims and objectives
3 Please provide a brief description of methods and measurements you wish to
use
For example, laboratory experiment, web-based data collection, questionnaire survey, individual
interviews, a group interview or focus group, an observational study, action or participant research, field
based activity, use of photography/video/audio capture, etc.
4 Does this project include human participants? Yes/No
If Yes complete this form in full and give a brief description of participants below including recruitment
methods, number, age, gender, exclusion/inclusion criteria
If No then only complete this form if your project has other ethical considerations, for example possible
consequences for wildlife and habitats.
However Psychology students must in all cases complete the form in full.
5 Does your research include any of the following?
Deceptive research*
Yes/No
Covert research*
Yes/No
Working with vulnerable groups*
Yes/No
*See Guidance Notes below for definitions. If you answer Yes to any of the above you MUST consult
your Supervisor before proceeding any further.
January 2014
6 All research that involves human participants MUST consider the issues and
principles listed below from the inception of the research project.
You should consult your supervisor, BSU policies and the BPS Guidelines and then briefly
describe how each of the following issues affects your project (if at all). Also include any action
necessary for your project to remain ethically justifiable, should it be required.
Is your research with an external partner?
If Yes state the body
How will you ascertain the age(s) of
participants?
How will you ensure consent is informed?
If applicable provide details of how you will
protect the confidentiality and anonymity of
participants and data
(click here for brief guidance on the Data Protection Act)
If your research involves secondary data
analysis, outline the ways in which you have
sought to establish the ethicality of the original
data set and stipulate any permission required
to use the data in the way you intend.
How will you make it clear to the participant
that they have the right to withdraw in part or
completely without penalty?
Describe how participants will be protected
from physical, emotional, or psychological
harm, intended or otherwise
Explain how you are working within the limit of
your competence
Please provide any other useful information
about your project
January 2014
7 Please include the following forms, if applicable, with official letterheads where
necessary, as appendices to this form.
Information sheet
Informed consent form
Debrief
Scales/questionnaires/interview schedules etc
Permissions from outside agencies
Other (please describe)
SUBMIT THIS ETHICS ASSESSMENT FORM TO YOUR TUTOR AS ONE
DOCUMENT (WHICH INCLUDES ANY APPENDICES)
For all research involving human participants you MUST NOT begin data collection until you have
had signed ethical clearance from your tutor/supervisor and the Ethics Committee/SEE approver.
January 2014
Guidance Notes and Definitions
Human participants
the phrase ‘human participants’ refers to persons used in all types of research.
Qualitative based research projects may include personal interviews,
questionnaires, interviews, focus groups, observation of groups etc.
Quantitative and experimental research may include questionnaires, surveys,
trials etc.
Deceptive research
Research in which the investigator deliberately misrepresents his/her self, the
true nature of the research and/or any other significant characteristic.
Deceptive research may be a necessity, though as part of the procedures
established above the investigator(s) must justify why deception is required.
Covert research
Research gathering information about participants (in whatever form) without
the participant’s knowledge or consent. Note that this is not always
problematic, the gaining of ‘naturalistic’ data of ‘normal’ behaviour may not be
unethical, unless it infringes on some of the principles outlined above. Covertly
observing people at public meetings or events is also normally not considered
unethical. Key issues of anonymity and/or recording of sensitive data must still
be considered.
Vulnerable groups
include any person(s) who may be precluded from giving informed consent.
Note that this does not necessarily include all groups whose consent is given
by parents or by those in loco parentis. It should additionally be noted that
even in those circumstances the ‘real’ consent of those individuals under study
should also be sought wherever possible.
Legal Responsibilities:
research ethics are not covered by any single piece of legislation, but
responsibilities are implied in many others. Of particular relevance to School
activities are: Data Protection Act, Human Rights Act; Report of the Nolan
Committee on Standards in Public Life; Public Interest and Disclosure Act;
Children’s Act; and common laws defining Duty of Care, negligence (especially
professional negligence), and libel.
BSU Research Policies
There are several policies which can help inform researchers at BSU including:
Research Degree Handbook 2013-14 (.pdf)
Data Protection for Research (.doc)
Research and Ethics at Bath Spa University (.doc)
Research Principles at Bath Spa University (.doc)
They can be found on line:
https://thehub.bathspa.ac.uk/services/research-and-graduateaffairs/research-support/research-integrity-and-ethics
British Psychological Society
the British Psychological Society (BPS) Ethical Guidelines offer a lot of advice
and helpful guidance, whatever subject you are studying. They can be found
online at:
http://www.bps.org.uk/publications/policy-and-guidelines/policy-andguidelines
You can view an example of a completed Ethics Assessment Form by clicking here
January 2014