NWU Ethics Checklist

Note:

In the Faculty Humanities of the NWU this checklist is completed and approved with proposals by the appropriate structures.

Please answer each question by ticking the appropriate box:	YES	NO
Does the study involve participants who are particularly vulnerable or unable to give informed consent? (e.g. children, people with learning or other mental of physical disabilities, people who are incarcerated, unemployed or otherwise compromised in responding to your questions)
Are you planning on making use of NWU students or direct and secondary/contracted staff members in this research?
Will the study 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 groups, residents of a nursing home, the Minister of Education, a tribal chief or village elder)
Will it be necessary for participants to take part in the study without their knowledge and consent at the time? (e.g. covert observation of people)
Will the study involve discussion of or questions about a sensitive topic? (e.g. sexual activity, drug use, crime, harassment, violence)
Are drugs, placebos or other substances (e.g. food substances, vitamins) to be administered to the study participants or will the study involve invasive, intrusive or potentially harmful procedures of any kind or any physical, psychological or socio-economic intervention?
Will blood or tissue samples be obtained from participants?
Could the study induce physical, psychological or social stress or anxiety or cause harm or negative consequences beyond the risks encountered in normal life?
Will the study require the identification of individuals for follow-up evaluation?
Will financial inducements (other than reasonable expenses and compensation for time) or inducements of any other kind be offered to participants?
Could the image of the NWU, the relevant academic department, your employer, or any other institution however affected by/involved in the project be negatively affected by this research or put in a bad light?

Please note that it is the responsibility of the student to follow NWU’s Guidelines for Ethical Research as set out in the Manual for Postgraduate studies and any relevant academic or professional guidelines in the conduct of your study. This includes providing appropriate information sheets and consent forms, and ensuring the confidentiality in the storage and use of data. Any significant change in the question, design or conduct over the course of the research should be notified to the Study Leader and may require a new application for ethics approval.

Please tick the appropriate box below:	YES	NO
I have read the NWU’s Manual for Postgraduate Studies and am familiar with the Guidelines for Research Ethics contained therein.

If you answered no to questions 1-11, submit the completed and signed form to the relevant ethics committee. You should attach relevant documentation such as: applications and/or permission required to conduct the study, consent forms for participants (if applicable) and instruments you plan to use (if applicable).

If you answered yes to any of the questions from 1-11, you will need to describe more fully how you plan to deal with the ethical issues raised by your proposal. This does not mean that you cannot do the research, only that your proposal will need to be approved by the Research Ethics Committee. You will need to submit your plans for addressing the ethical issues raised by your proposal using the NWU Ethics Approval Application Form.

CANDIDATE

Name and Surname:

Date:

SUPERVISOR

Name and Surname:

Date:

Adapted from Economic and Social Research Council (2005) Research Ethics Framework (REF) www.esrcsocietytoday.ac.uk

Vulnerable groups raise special issues of informed consent and potential risk. “Vulnerable” participants are not clearly described, but have been noted to include “…children, prisoners, pregnant women, mentally disabled persons, economically or educationally disadvantaged persons” (Common Federal Policy, 1991). Weijer and Emanuel (2000) consider participants to be vulnerable if they are not in a position to provide informed consent, due to their position (such as being in prison), or not possessing adequate intellectual faculty (such as children or the mentally ill).”Children” here are defined as participants younger than 18 years of age.

Risk: These possible risks are described as an “…invasion of privacy, loss of confidentiality, psychological trauma, indirect physical harm, embarrassment, stigma, and group stereotyping” (Oakes, 2002: 449), and also risks posed to . “…a subject’s personal standing, privacy, personal values and beliefs, their links to family and the wider community, and their position within occupational settings, as well as the adverse effects of revealing information that relates to illegal, sexual or deviant behaviour” (Economic and Social Research Council (ESRC), 2005: 21). Minimal risk may be defined as where “…the probability and magnitude of harm or discomfort anticipated in the proposed research are not greater, in and of themselves, than those ordinarily encountered in daily life” (Code of Federal Regulations, 2005).