TERMS AND CONDITIONS OF USE OF WARWICK UNIVERSITY S SONA SYSTEM AND WARWICK EXPERIMENTAL LABORATORIES

Transcription

1 TERMS AND CONDITIONS OF USE OF WARWICK UNIVERSITY S SONA SYSTEM AND WARWICK EXPERIMENTAL LABORATORIES In order to be granted access to Warwick s SONA System ( for managing participation in experiments, and the Warwick Experimental Laboratories (all laboratory facilities used for conducting experiments where Participants are invited via the SONA System) for running experimental sessions, all Researchers are required to abide by the Terms and Conditions, contained in this document. These Terms and Conditions apply to this website and all affiliated websites of the users of the Warwick SONA System. The Agreement Page, which accompanies this document as a separate online form, should be submitted by all Researchers upon gaining access to the SONA System. Full access to Warwick s SONA System is granted only to these Researchers who accept Terms and Conditions specified in this document by filling out and submitting the Agreement Page. Additionally, in order to receive an access to Warwick s SONA System, each Researcher should attend a Compulsory Induction Meeting with an Administrator (please, see below). The instructions received by the Researcher during the Compulsory Induction Meeting with the Administrator and Terms and Conditions specified in this document constitute the Researchers Code of Conduct. All Researchers are responsible for following this Code of Conduct at all times. Failure to comply with, or breach of, the Terms and Conditions set out below may result in access to Warwick s SONA System and Warwick Experimental Laboratories being withdrawn. If you have any questions with regards to Warwick s SONA System please do not hesitate to contact the Administrators: Alexander Mushore Behavioural Science Group Warwick Business School The University of Warwick Coventry CV4 7AL United Kingdom Alexander.Mushore[at]wbs.ac.uk Linda Wilson Psychology Department The University of Warwick Coventry CV4 7AL United Kingdom Linda.Wilson[at]warwick.ac.uk 1

2 CONDUCTING EXPERIMENTS IN A WARWICK EXPERIMENTAL LABORATORY All research conducted using Warwick s SONA System and/or Warwick Experimental Laboratories ultimately falls under the scope of the University of Warwick Research Code of Conduct. As such, by undertaking research, you agree to abide by the terms and conditions of the Research Code of Conduct which is viewable at Furthermore, the University has introduced a comprehensive ethical scrutiny process to ensure that all research involving Participants, their data and/or tissue, addresses relevant ethical considerations and is subject to appropriate ethical review. On the 1st October 2003 the University of Warwick Council approved the establishment of a University Research Ethics Committee (UREC) to govern ethical policy and establish a research governance framework across the University. The University is committed to promoting guidelines on ethical practice and supporting researchers with emerging issues in relation to ethics across all research fields. The University expects that staff and students will behave ethically and professionally in all their activities. It is the responsibility of staff and students to consider the ethical implications of their research using the Ethical Scrutiny Framework and all relevant guidelines of appropriate professional bodies to assist them in fulfilling their obligations. To this end, all Researchers wishing to use Warwick s SONA System and/or Warwick Experimental Laboratories should familiarise themselves with the University Guidelines on Ethical Practice, available at ctice/researchethicscommittees/ All researchers should also ensure they observe due process, given by the Ethical Scrutiny Framework available at 2

3 Typically, research to be conducted in Warwick Experimental Laboratories will fall under the purview of the Humanities and Social Sciences Ethics Committee (HSSREC), details of which can be found at ractice/researchethicscommittees/hssrec/ As stated All staff research from the Social Sciences, Arts, Humanities or Psychology Department that does not fall within the scope of NHS ethical approval and involves human Participants, their data and/or tissue must be sent to the HSSREC committee for appropriate approval. In most cases, ethical approval will have already been obtained in the grant application process, but, where this is not the case, ethical approval for an experiment to be run using Warwick s SONA System and/or Warwick Experimental Laboratories can be sought by completing an application to HSSREC, details of which can be found at ractice/researchethicscommittees/hssrec/ It is the responsibility of individual Researchers to ensure they are fully compliant with the terms and conditions of the University of Warwick Research Code of Conduct, and, where required, have sought and obtained ethical approval, before commencing any experimental research using Warwick s SONA System and/or Warwick Experimental Laboratories. All Researchers will be required to submit their relevant Ethical approval number on Warwick s SONA System for each new experiment they wish to set up. If a Researcher operates using the internal ethical approval of his/her relevant Department, the name of the faculty member who has issued approval should be submitted to Warwick SONA System. PROTECTION OF PARTICIPANTS AND THEIR RIGHTS 1. All Participants have the right not to participate in any experiment and this right must be respected at all times. There should be no coercion of research Participants to take part in experiments. Students and others in a dependent relationship with investigators must be assured that any decision not to participate will not prejudice their progress (academically or otherwise) in any way. 2. Each Participant must have the right to withdraw easily from the experiment whenever and for whatever reason without explanation or penalty. That is, Participants should be free to leave any study conducted using Warwick s SONA System and/or Warwick Experimental Laboratories at any point if they wish to do so. 3

4 3. All Participants and research assistants have the right to expect protection from physical, psychological, social, legal and economic harm at all times during the experiment. Participants and researchers staff must be fully informed in advance of, and protected against, any hazardous, stressful or uncomfortable contexts and procedures. In addition, researchers should attempt to avoid harm not only to an immediate population of Participants but also to their wider family, kin and community. Should any adverse reaction / event occur, researchers must report this immediately via to the Administrator (please, see p. 1 of Terms and Conditions). The report should describe fully the adverse reaction /event, the action taken and the date, time and place of the event. INFORMED CONSENT As per the University Guideline on Ethical Practice, all researchers must ensure Participants are...fully informed about all aspects of the research project, which might reasonably be expected to influence willingness to participate. In addition, the researcher must explain all other aspects of the research about which the prospective Participants enquire. The only exception to this rule are studies conducted using deception. In case of such studies, Researchers must obtain Ethical approval from the Humanities and Social Sciences Ethics Committee (HSSREC). At the end of any study involving deception, all Participants should receive a compulsory debriefing where they are informed about the actual procedures of the experiment. Studies involving deception should not take place in the Laboratory of the Department of Economics (University of Warwick). If the HSSREC approval specifies obtaining written consent from Participants, Researchers are responsible for obtaining written consent from all Participants prior to commencement of all research projects, taking...all reasonable and practicable steps to ensure that they (Participants), or their authorised representatives, have adequately understood the nature of the research and any anticipated consequences. Under no circumstances must coercion be used to obtain a person s consent to participate in research. Furthermore...Participants have the right to change their minds and withdraw consent at any time without explanation or penalty. All signed consent forms must be kept securely by the lead researcher of any experimental project for a period of no less than 10 years, as per University guidelines. It is Researchers responsibility to ensure the security and safety of all consent materials during the period specified above. CONFIDENTIALITY AND ANONYMITY All Participants registered in Warwick s SONA System were informed at the time of sign up that confidentiality and privacy of their personal data is of the utmost importance and we take any violations of this trust on the part of Warwick Researchers, extremely seriously. Specifically, Participants were informed that At the beginning of the experiment, each Participant will be assigned a unique numerical identification number. The study data will include only the identification number for each Participant. Any personal information collected by the researchers (names and/or other identifying information) will be kept separate from the study data and never shared 4

5 with third parties. Your personal information will not be linked to your performance in the experiment. As such, Warwick Researchers are required to uphold this code of conduct with regards to personal information, and must take all reasonable steps to ensure any personally identifiable information collected is held and stored entirely separate from study data. All study data collected must be entirely anonymous, and all reasonable steps should be taken by researchers to ensure Participants are fully aware that the study data collected will not be linked to personally identifiable information. To facilitate this, Warwick Researchers have access to the SONA Participant database, which has been created and populated with individuals who have expressed an interest in participating in Warwick research projects. All Participants have submitted personal information and characteristics to Warwick s SONA System which enables researchers to recruit and manage participation at experiments entirely online, with the data held securely on SONA Systems servers, and without the need to mix study data and personal data required for managing participation. As such All data and personal information entered in Warwick s SONA System will be securely held in the SONA Systems servers and will be treated confidentially and appropriately in carrying out the ongoing business of the University. Only authorized researchers and administrators will have access to it. Data held on Warwick s SONA System will be used to manage your participation at all Warwick research sessions, and enable us to contact you with dates, time and locations of new research sessions. The statement above sets out the only possible uses of personal data held on Warwick s SONA System (and, therefore, accessible via Warwick s SONA System), and Researchers must strictly abide by this policy. Specifically, personal information, including, but not limited to, names and addresses, should not be used for any other purpose than managing participation at authorised Warwick research sessions and projects. Use of this data for involvement in other research efforts, which do not fall under our banner, is prohibited. Personal data held on Warwick s SONA System must never be disclosed to third parties. Data is stored online under the terms of the 1998 Data Protection Act and is subject to the central University Data Protection Policy, which is available to view at Furthermore, all Researchers should be familiar with the University Information Security Policy, which is available to download at wick_information_security_policy_d04_2012.pdf 5

6 RECRUITMENT AND MANAGEMENT OF PARTICIPANTS USING SONA All Participants for SONA experiments must be recruited using the Warwick s online SONA System, which grants access to the Participant database, held and maintained at Warwick s SONA System is powered by the Online Recruitment System for Experiments (SONA - More comprehensive documentation on SONA is available at Warwick s SONA System allows Participants to be invited to experimental sessions based on some personal characteristics such as nationality, language skills and degree course. Yet, any selection to the study using personal characteristics of Participants should be approved by the relevant Ethics Committee. It is Researcher s responsibility to ensure that Participants in his/her experiment are not subject to any kind of discrimination. Participants who have failed to show up for previous experimental sessions can be viewed by their no-show marks. A no-show is a term used to indicate a Participant who signed up for a research session, but did not show up at the appointed time, or did not cancel in advance and inform the Researcher they would not be attending. The system relies on each individual Researcher keeping up to date records about which Participants showed and which no-showed for every research session they run. Attendance at sessions must be recorded online using SONA, and done within a reasonable time frame after each experimental session. Where possible, attendance should be recorded online immediately at the start of each experimental session. Failure to maintain accurate records of attendance at experimental sessions using SONA may result in the right to use Warwick Experimental facilities being withdrawn. A no-show should only be recorded where a Participant did not show up at the appointed time and failed to inform the Researcher in advance that they would not be attending. For each new experiment registered through Warwick s SONA System, an invitation must be created, to be sent out to potential Participants. The invitation must be very clear and unambiguous. All conditions in the invitation must be specified explicitly to avoid any possible misunderstanding. 6

7 The following has to be included in the invitation: The study name of the research project (e.g. Group decision task) - this is how the study is identified throughout the system, including to how it is identifiable to participants. Ensure they are unique as you will be prevented from adding a study if there is another study with the same name. The dates, times, duration and location of every research session that they are being invited to sign up for. A brief nature of the experiment (e.g. computer-based study, group task, etc.) A contact address, to which potential Participants can address queries, and make changes to their participation at sessions. The specific compensation method for the experimental session. Where appropriate, this should include: the show-up fee (if any) or participation fee; the maximum available compensation attainable by Participants. COMPENSATION As stated previously, the specific mechanism by which Participants receive compensation for their participation in SONA experiments must be stated in the invitation . Where this compensation is monetary, the following rules must be observed by Researchers: 1. Every Participant who has registered for the experiment, and shows up on the appropriate day and time, must receive the advertised show-up fee (if such a fee was advertised). This does not apply to Participants who are late for the experimental session. It is advisable to stress in a manually written reminder to Participants that late arrivals will be marked as no-shows. 2. All monetary compensations must be paid, in cash, immediately following the conclusion of the experimental session. The only exception to this rule are studies which assume delayed payments (e.g., studies on discounting) in which case the Participants and the Researcher agree that payments will be made a specific date in the future either prior or during the experimental session. 3. Cash should be paid to Participants in private, ensuring other Participants cannot observe or hear the Researcher reading the amounts out loud. 4. In no circumstances should the Participants make losses, i.e., earn negative payments. Researchers must have a procedure in place to deal with the possibility of Participant bankruptcy (such as providing a higher flat fee or show-up fee). 5. Participants must sign a receipt for the payment they receive. Researchers must ensure secure storage of the copy of receipts for a period of no less than 10 years, as per University guidelines. 7

8 GOOD PRACTICE AND FACILITIES IN WARWICK EXPERIMENTAL LABORATORIES If a Researcher uses Warwick s SONA System to recruit Participants for a laboratory experiment, any laboratory facility he/she is using becomes a Warwick Experimental Laboratory. Good practice must be ensured by Researchers in all Warwick Experimental Laboratories. The overview of the main laboratories, including their description and directions, can be found on Prior to running any experimental session in one of Warwick Experimental Laboratories using Warwick s SONA System, software testing and a pilot session should be run in the Laboratory to ensure all software and hardware run correctly. The laboratories in the Economics and Warwick Business School departments provide IT assistance. To request IT assistance in the Economics lab, contact the Economics IT support team. To request IT support in the WBS laboratory, contact the lab IT developer. In both of these instances it is important to contact the relevant support before booking any experimental session, to ensure all is installed and tested before you run your experiment. Where additional software on the computers needs to be installed, this must be approved by the IT team of the relevant department. In all Warwick Experimental Laboratories, when running an experimental session there is always a small probability of equipment malfunctions, software problems, or other chance events that result in a premature termination of an experiment. In the case of a premature termination of an experiment that cannot be restarted, the experimenter will be obligated to pay the Participants the show-up fee or participation fee (if no show-up fee is specified) and dismiss the Participants. Regardless of the cause of a premature termination of an experiment, we will not reimburse these or any other costs incurred by the Researcher. If the experiment was not cancelled at least 24 hours in advance, Researchers are obliged to pay to all participants the show-up fee or participation fee. All bookings for sessions to be run in Warwick Experimental Laboratories must be made through the Warwick s SONA System to ensure there is no conflict with other experimental sessions. Software testing or running pilot sessions without Participants can be done through adding such sessions as studies on the system but making them invisible to participants. However, all experimental sessions run using Warwick s SONA System must be registered using the add new study feature. The Laboratory in the Department of Economics (S2.82) may be used for experiments after 12 p.m. on Tuesdays, all day on Wednesdays and before 1 p.m. on Thursdays. If Researchers wish to run an experiment between 9-12am on Tuesday or after 1pm on Thursday, this must also be checked and booked with the administration of the Department of Economics prior to booking is made on the Warwick s SONA System. It is 8

9 the Researcher s responsibility to make sure that other Warwick Experimental Laboratories are available for booking prior to running their experimental sessions. In all Warwick Experimental Laboratories, all sessions must be scheduled with enough time between them. It is imperative that Participants of one experimental session not encounter Participants from a previous or subsequent session in the vicinity of the Warwick Experimental Laboratories premises. When holding a session, it is the responsibility of individual Researchers to ensure there is sufficient experimental assistance to maintain the smooth running of the session. Researchers should be aware that, dependent on a particular laboratory facility they are using, there may be up to 26 students in a tight space outside the laboratory which may necessitate paid assistance. Researchers and assistants should aim to arrive at the Warwick Experimental Laboratories a minimum of 30 minutes prior to commencement of an experimental session, aware that Participants may turn up much earlier than the scheduled start time. For the Laboratory in the Department of Economics (S2.82), we recommend that Participants are advised to wait at the top of the main second floor stairs in Social Sciences, where there is much more space than directly outside the Laboratory. Depending on the experiment type, there is a branded (Decision Research at Warwick - DR@W) roller banner which can be erected to let Participants know they are at the correct place if they have arrived for a DR@W Experiment. The banner is stored and available from the Economics Laboratory S2.82, or Behavioural Science lab (in WBS) and must be returned immediately after use. Researchers are liable for any loss or damage to the banner whilst in their possession. Experiments should be run in a relaxed but professional atmosphere. It is particularly important that Participants should not perceive experiments like games or examinations. If a Participant causes trouble and is sent away, his/her name should be noted, and then sent to a SONA Administrator to exclude him/her from further experiments. After using the Warwick Experimental Laboratories we expect all Researchers leave them in the state they were found upon arrival. No experiment-related papers should be left on any desk, and all experiment-specific software and files should be removed from the computers. Upon completion of an experimental project, it is recommended that research material relating to the nature of experiment run, and (where applicable) the software and other experimental documentation, is made available to other Researchers by uploading all relevant information to the Warwick s SONA System. This can be done by adding additional information in the shared comments section of the study creation page and/or including links to information. It is also advisable to keep a track of how much money was paid out to Participants and include this figure within the private comments of the same page (not viewable by participants or other researchers). Furthermore, a link to the research paper which was produced from the experimental data should be added to the experimental 9

10 information as soon as is practically possible. This can be used by Researchers to ensure Participants have not been subject to prior experimental treatments which may bias their participation in your future experimental sessions. When producing research papers using data obtained from SONA experiments, Researchers must ensure SONA is adequately referenced, along with any software used during the experimental procedure. If applicable, we encourage all Researchers to present their work at the Decision Research at Warwick Forum ( To request the opportunity to present at the Forum, please contact the Coordinator (Alexander Mushore - see p. 1 of Terms and Conditions). MISUSE OF WARWICK S SONA SYSTEM In order to maintain good reputation among Participants and academic community it is essential that all Researchers behave ethically and responsibly. Any failure to comply with, or breach of, the Terms and Conditions may result in access to Warwick s SONA System and Warwick Experimental Laboratories being withdrawn. The fact of breach of Terms and Conditions is determined in each individual case by the Administrator. In general, any activity that damages the image of our online participant recruitment in the eyes of Participants and Researchers; usage of system for purposes other than research; multiple repeated mass mailing to the entire subject pool which causes inconveniences for Participants; using any part of Participants database for purposes outside the scope covered by these Terms and Conditions; unethical behavior during the experiments; intentional or unintentional breach of confidentiality which violates Participants rights will be cast as a violation of Terms and Conditions and may result in a Researcher s account being temporarily suspended or a Researcher s access to the system permanently withdrawn. 10

11 In case of detection of direct/indirect violation or suspicion of violation of Terms and Conditions of Warwick s SONA System the following procedures will apply: 1. Any Researcher suspected in violation or evidently violating Terms and Conditions, dependent on the severity of violation, will receive a warning from the Administrator asking to either (a) change their practice and fix the current problem (in case of light violation) or (b) to temporarily cease their activities on the system and come in for a meeting with the Administrator (in case of a severe violation). The severity of violation is determined by the Administrators in each individual case. 2. If the Researcher cooperates and takes actions advised by the Administrator, the matter is resolved either (a) via (in case of light violation) or (b) during the meeting between Researcher and the DR@W Coordinator (in case of a severe violation). 3. In case when the Researcher does not react to the warning and/or continues activities which breach these Terms and Conditions or engages in other activities which directly or indirectly damage Warwick s SONA System reputation among Participants/Researchers, the Researcher s account is temporarily suspended. In this case, the Researcher receives a notification from the Administrator about the temporal suspension of his/her account. 4. Researcher s account is suspended until the Administrator has investigated the issue. Upon completion of investigation, the Administrator organizes a meeting between Researcher and the Warwick Experiments Team. At the meeting, Warwick s SONA System is represented by the Administrator and at least one other Researcher (who is a member of Warwick s SONA System). This member of Warwick s SONA System is present to witness the meeting and ensure that all procedures are carried out with objectivity and impartiality. In cases where the Researcher is a graduate/postgraduate student, the Researcher should inform his/her supervisor or director of postgraduate studies (other senior member of staff) of the relevant department and invite them to the meeting. The participation of supervisor or director of postgraduate studies of the relevant department in the meeting is not compulsory as long as Researcher informs them about this meeting. 5. In the majority of cases the meeting between Researcher and the Warwick Experiments team should result in reaching a mutual understanding. Yet, in exceptional cases of severe violations and Researcher s reluctance to comply with Warwick s SONA System requirements, the meeting may result in the permanent loss of the Researcher s right to use the Warwick s SONA System. 11

12 6. In case when the mutual understanding is found during the meeting, the Researcher receives a verbal warning and is required to attend another meeting with the Administrator to be instructed about the rules and procedures of the system again. This meeting represents a training session similar to the Compulsory Induction Meeting with the Administrator (please, see p. 1 of Teams and Conditions). In cases where the Researcher is a graduate/postgraduate student, supervisor or director of postgraduate studies of the relevant department (another senior member of academic staff in the relevant department) will be asked to guarantee that further activities of the student will not result in violations. Once the Researcher has come in for the training session and, in case of graduate/postgraduate student, once the Administrator has received an confirmation of the guarantee from the supervisor or director of postgraduate studies (another senior member of academic staff) in the relevant department, the Researcher regains access to Warwick s SONA System. 7. In case of repeated violations, further warnings are not issued. If the Researcher with a record of one verbal warning engages in further activities which violate these Terms and Conditions, his/her account is permanently deleted without possibility of reactivation. In this case, the Researcher receives a notification e mail from the Administrator. In cases where the Researcher is a graduate/postgraduate student, supervisor or director of postgraduate studies of the relevant department (or other senior member of staff) who acts as a guarantor receives a notification from the Administrator with a copy sent to the Researcher. Warwick Experiments Team, September