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Research Ethics Review Tier 1 Checklist
This Tier 1 checklist should be completed for every research project that involves human
participants. It is used to identify whether a Tier 2 application for ethics approval needs to be
submitted. If a Tier 2 application is required, please use the Tier 2 Ethics Approval Application
Form.
Before completing this form, please refer to the Ethical Research Guidelines for Staff and Students
and the University’s Guidance on Good Practice in Research Ethics and Governance; both are
available at: http://staffcentral.brighton.ac.uk/ro/ethics_govern.shtm. The principal investigator or,
where the principal investigator is a student, the supervisor, is responsible for exercising
appropriate professional judgement in this review. This checklist must be completed before
potential participants are approached to take part in any research.
□
The principal investigator/student has read and understood the Ethical Research Guidelines for
Staff and Students and referred to the University Guidance on Good Practice in Research Ethics
and Governance.
Section A: Applicant Details
1
Project title
2
Name of researcher (applicant)
3
Status (please select)
4
Email address
5a
Contact address
5b
Telephone number
Undergraduate Student / Postgraduate Student / Staff
Section B: For Students Only
6
Module or Unit name and
number – or
MA/MPhil/PhD course & School
7
Supervisor / tutor’s name
8
Email address
9
Contact address
Please submit this form as a Word document.
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Supervisor / tutor: Please answer Yes / No to the statements below (or N/A where not
applicable). The study should not begin until ‘Yes’ is applied to all statements where
relevant
The topic and ethical implications of the research have been addressed with
the student.
The topic merits further research of the kind being proposed and this is
appropriate to their level of study
YES
NO
YES
NO
The student has confirmed they understand the Ethical Research Guidelines for
Staff and Students
YES
NO
The student has the skills to carry out the research
YES
NO
The participant information sheet or leaflet and consent form are appropriate
YES
NO
N/A
The procedures for recruitment and obtaining informed consent are appropriate
YES
NO
N/A
The procedures for ensuring confidentiality/anonymity of respondent data are
appropriate
Risk assessment has been carried out and the form completed where
necessary
YES NO
N/A
YES
N/A
NO
Comments from supervisor / tutor
Section C: Project Details
Brief description of project:
Please submit this form as a Word document.
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Approximately how many participants do you anticipate will be involved in your research?
Section D: Research Checklist
Please answer each question by indicating the appropriate answer: YES / NO
1
Does the study involve participants who are particularly vulnerable or unable to
give informed consent? (For example, children, people with learning disabilities,
your own students)* See below for more details.
YES
NO
2
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 selfhelp group, residents of nursing home)
YES
NO
3
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 in nonpublic places)
YES
NO
4
Will the study involve discussion of sensitive topics (e.g. sexual activity, drug YES
use)?
NO
5
Will the study involve invasive, intrusive or potentially harmful procedures of any YES
kind?
NO
6
Is pain or more than mild discomfort likely to result from the study?
YES
NO
7
Is the study likely to induce psychological stress or anxiety or cause harm or YES
negative consequences beyond the risks encountered in normal life?
NO
8
Will the study involve prolonged or repetitive testing?
YES
NO
9
Will financial inducements (other than reasonable expenses and compensation for YES
time) be offered to participants?
NO
Comments from supervisor/tutor
Please submit this form as a Word document.
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* Children are defined as those under the age of 16 years. Any research activities involving children or vulnerable adults
must be referred to the Arts & Humanities Research Ethics and Governance Committee for Tier 2 approval prior to the
start of the research. Vulnerable participants are those who are vulnerable by reason of temporary or permanent mental
or physical disability or incapacity, age or illness. They could also include people who are vulnerable for reasons such as
social inequality or marginalisation, or their status as homeless people, drug users, sex workers, victims of crime, bullying
or domestic violence, as well as those who may be vulnerable due to their sexual orientation. People who have
undergone traumatic or adverse emotional events may also be vulnerable, especially with regard to research relating to
that event.
In cases where researchers are working with children, Disclosure and Barring Service (DBS) checks may be required,
notably if researchers are working unsupervised. Researchers should liaise in advance with the organisation(s) in which
they plan to work to discuss this and clarify those details on the Tier 2 Ethics Approval Application Form.
If you have answered ‘NO’ to all questions:


Submit the completed and signed form to the supervisor/tutor for approval
Attach copies of any relevant documentation, i.e. questionnaires/interviews and/or focus
group questions; participant information sheets; consent forms; risk assessment forms;
feedback forms; and procedures for ensuring confidentiality/anonymity in the storage and
use of data.
If you have answered ‘YES’ to any of the questions in Section D:

You will need to describe more fully how you plan to deal with the ethical issues raised by
your research. This does not mean that you cannot do the research, only that your
proposal will require further review, and possibly referral to the Arts & Humanities
Research Ethics and Governance Committee. You will need to submit your plans for
addressing the ethical issues raised by your proposal using the Tier 2 Ethics Approval
Application Form and in the first instance submit this to your supervisor/tutor. He/she will
decide the level of approval required.
If you answered ‘YES’ to question 1:

You will need to consult the Ethical Research Guidelines for Staff and Students and the
University Guidance on Good Practice in Research Ethics and Governance. If you or
anyone connected with the research will be working directly with young people you may also
need to conduct a DBS in order to carry out this work. It is advisable to initiate this process
well in advance of your project start date. Please consult your supervisor/tutor for further
advice as to whether a check is required. If it is advised, you should liaise in advance with
the organisation(s) in which you are planning to work to discuss this.
Please note that it is your responsibility to follow the College’s and University’s Guidance on Good
Practice in Research Ethics and Governance including providing appropriate information sheets
and consent forms, and ensuring 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 your
supervisor/tutor and may require a new application for ethics approval.
Signed:
Date:
Principal Investigator:
Please submit this form as a Word document.
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Signed:
Date:
Supervisor / tutor (where
appropriate):
Emailed version with names in the signature boxes is acceptable.
In the case of students, supervisors/tutors should retain the completed forms.
In the case of staff they should be submitted to the Secretary of the Arts & Humanities Research
Ethics and Governance Committee. Secretary to A&HREGC: j.embleton@brighton.ac.uk
Updated March 15
Please submit this form as a Word document.
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