Research Ethics Framework
Ethical Approval:
Policy, Principles and Process
September 2015
Contents
1.
Introduction
2.
Definitions
3.
Ethical Policy
4.
Ethical Principles
5.
Process of Ethical Approval
6.
Ethical Approval Mechanism
Student Projects/Dissertations
Staff Research
Appendices
Appendix 1
Ethical Approval Application and Administration Forms.

Student REC1, Checklist and REC1D Form.

Staff REC1, Checklist and REC1D Form.
Appendix 2
Ethical Approval Flowchart for UHI Undergraduate and Masters/
Taught Postgraduate Student Research Projects.
Appendix 3
Ethical Approval Flowchart for UHI Staff, PHD/ Postgraduate
Student Research Projects.
1 Introduction
This document sets out the policy, principles and processes which govern ethical approval of
all research studies undertaken by staff or students of the University of the Highlands and
Islands and the UHI Academic Partnership. The UHI Research Ethics Framework has been
designed to support a fair balance between a researcher’s right to unrestricted academic
enquiry whilst ensuring adherence to appropriate and robust ethical standards to ensure
the protection of all those participating in research studies.
2 Definitions
The UHI Ethics Framework employs the following definitions:
‘Research’ is defined in the broadest sense as any gathering of data or facts to facilitate a
contribution to the body of knowledge;
‘Student’ is used as the umbrella term for all UHI Undergraduate, Taught Postgraduate and
Research Students registered on UHI programmes;
‘Staff’ is used as the umbrella term for all staff members listed on the UHI Register of
Academic Staff;
‘Participant’ is used to describe any person who, either as an individual or as a member of a
sample group, is involved in a research study for the purposes of quantitative or qualitative
data collection.
3 Ethical Policy
UHI requires all research undertaken by students and staff to be carried out to a high ethical
standard.
The Research Ethics Framework applies equally to all research projects led or undertaken by
UHI staff or students, as well as all research projects involving staff or students as a sample
group. This includes activity which:






is internally or externally funded or unfunded;
involves paid or voluntary participants;
is undertaken on UHI/Academic Partner property or at any other location;
is undertaken in a laboratory or in the field;
involves data collection undertaken in person or by any other means;
involves research which is basic or applied, descriptive or experimental.
The UHI Ethical Policy is intended to ensure adherence to the Nolan Principles, and the
Ethical Standards in Public Life etc. (Scotland) Act 2000 and should be read in the context of
UHI’s Data Protection Policy, Freedom of Information Policy and Financial Guidelines. It may
also require to be read with other Professional Codes of Practice for research involving
human participants, human data or material, in particular:
Health-related research involving the National Health Service which will need to comply
with NHS Research Ethics Guidelines;
i.
any research involving children under the age of 18, which will need to refer to the
Protection of Children (Scotland) Act 2003 and all other relevant applicable
legislation.
This Framework is developed in keeping with accepted norms and practices of research in
other higher education institutions and professional bodies in the UK and abroad, including:



consideration of the research risks - 'does not harm';
the need for informed and voluntary consent of participants;
the need to respect confidentiality and the anonymity of participants.
It is the responsibility of all researchers to consider ethical issues from the outset of a
research study and at all subsequent stages, from the design and execution of a research
project through to dissemination of the research findings.
It is the responsibility of all researchers to be aware of the UHI Research Ethics Review
mechanism.
4 Ethical Principles
These principles are intended to ensure that all research is designed and undertaken with
integrity:
I.
All researchers and participants must be fully informed of the nature of the research
being undertaken. In particular, participants must be informed of what their
participation entails and of any risks that may be incurred.
II.
Participants must give their consent voluntarily, free from any coercion.
III.
Any data and information gathered must be treated confidentially and the
anonymity of participants respected.
IV.
Harm to participants must be avoided.
V.
Research must be carried out transparently and impartially and any potential
conflicts of interest declared.
VI.
Researchers should give cognisance to any cultural, religious, gender or other
variances in a research population.
5 Process of Ethical Approval
The UHI Research Ethics Framework supports a robust process for ethical approval of all
research that a UHI staff member or student proposes to undertake. No research may be
allowed to go ahead without ethical approval having been first gained as part of this
process. The UHI Research Ethics Committee (REC) and Faculty Research Ethics Committee
(FREC) are actively involved in ensuring that appropriate decisions regarding ethical
approval are taken.
The processes for ethical approval of research studies proposed by both staff and students
are very similar and employ the same stages, differing only in the requisite forms that need
to be completed. A summary of the appropriate processes is given below and samples of the
forms to be used at each stage of the process are given in Appendix A. Individual forms can
be downloaded at UHI Research Ethics.
All enquiries regarding the ethical approval process should be directed to either the UHI
Research Ethics Officer (for administrative issues related to Staff and PHD/ Postgraduate
applications), The Faculty Research Ethics Officer for administrative issues related to
Undergraduate or Taught Postgraduate applications) or the Chair of the REC (for governance
and policy issues).
6 Ethical Approval Mechanism
Student Projects/Dissertations
Ethical approval for student research lies initially with the Student’s lead Project Supervisor,
who is responsible for exercising appropriate professional judgement in the ethical review.
A Student will discuss the proposed research project with his/her Supervisor, covering such
areas as topic understanding, research questions, data requirements, existing sources and
possible new sources of information.
The Student and the Project Supervisor should then complete Form REC1 Student
(Application for Ethical Approval – Research Projects – UHI Students) and, if required,
Form REC1-D Student (Detailed Application for Ethical Approval - Research Projects – UHI
Student) and supporting documentation. (This will include a project outline/methodology,
Participant Information Sheet, Questionnaires and Consent Forms as appropriate.)
If completion of Form REC1-D is not required, and the Project Supervisor is satisfied that a)
the research proposal complies with the ethical principles contained in the Ethics
Framework, or b) that NHS ethical approval is to be sought ahead of project
commencement, the Project Supervisor will endorse and sign Form REC1 accordingly.
The completed form should then be passed to; The Faculty Research Ethics Officer for
Undergraduate and Masters/ Taught Postgraduate Student Research Projects, OR the UHI
Research Ethics Officer for PHD/ Postgraduate Student Research Projects.
A copy should be retained by the researcher for inclusion in his/her research report or
dissertation. If completion of form REC1-D and supporting documentation is required, the
application will be submitted to the Chair of the relevant Research Ethics Committee for
review and approval.
Students seeking ethical approval for Undergraduate and Taught Postgraduate Research
Projects will have their applications passed to the Chair of the Faculty Research Ethics
Committee (FREC) by the Faculty Research Ethics Officer for review. More complex
applications may be referred for full Faculty Research Ethics Committee (FREC) review or
escalated for full UHI Research Ethics Committee (REC) review.
PHD/ Postgraduate Students seeking ethical approval will have their applications passed to
the Chair of the UHI Research Ethics Committee (REC) by the UHI Research Ethics Officer for
review, with more complex applications referred for full Research Ethics Committee (REC)
review and approval.
Submitted REC1D applications complete with all supporting documentation are normally
passed back to the UHI Research Ethics Officer/ Faculty Research Ethics Officer within 10
working days. An email is then sent to the researcher and their supervisor informing them of
the decision.
Notes:
A Project Supervisor may request that the Research Ethics Committee review an application
for ethical approval or may consult members of the Committee at any time during the
ethical approval process should this be deemed helpful.
Any subsequent significant1 change in the question, design or conduct of the research
throughout the duration of the research activity should be notified to the Project Supervisor
and may require the submission of a new application for ethical approval.
Following approval the timeframe for completion of research projects will be one year and
pro rata for part-time courses. If the research project has not commenced during this time
then a new application for ethical approval should be lodged.
Receipt of NHS ethical approval automatically satisfies the UHI Research Ethics Approval
process.
Internet Mediated Research (IMR) If your research project/ methodology involves use of
online surveys, questionnaires, use of social media e.g. Facebook, or on-line support groups,
chat rooms, Skype either for the recruitment of participants or the gathering of data then in
addition to completing your REC1/ REC1D you should read the UHI IMR Guidance, complete
an IMR checklist in consultation with your supervisor and submit this with your application
for ethical approval.
A change is considered to be ‘significant’ if it results in what had been a ‘No’ response to any of the questions
in Form REC1 becoming a ‘Yes’ response.
1
Complex IMR projects may be referred to UHI’s Information Security Officer for consultation
and advice.
Staff Research
Staff proposing to undertake research should complete Form REC1 Staff (Application for
Ethical Approval), along with Form REC1-D Staff (Detailed Application for Ethical Approval
- Research Projects – UHI Staff) if appropriate, at as early a stage as possible, and should
pass the form(s) and supporting documentation (This will include a project
outline/methodology, Participant Information Sheet, Questionnaires and Consent Forms as
appropriate.) to their Senior Line Manager.
If completion of Form REC1-D is not required, and the Senior Line Manager is satisfied that
a) the research proposal complies with the ethical principles contained in the Ethics
Framework, or
b) that NHS ethical approval is to be sought ahead of project commencement
the Senior Line Manager will endorse and sign Form REC1 accordingly. The completed form
should then be passed to the UHI Research Ethics Officer and a copy retained by the staff
member for inclusion in his/her research report.
If completion of form REC1-D is required, the UHI Research Ethics Officer will inform the
Chair of the Research Ethics Committee (REC). Staff seeking ethical approval will have their
applications passed to the Chair of the UHI Research Ethics Committee (REC) by the UHI
Research Ethics Officer for review, with more complex applications referred for full Research
Ethics Committee (REC) review and approval.
Submitted REC1D applications complete with all supporting documentation are normally
passed back to the UHI Research Ethics Officer within 10 working days. An email is then sent
to the researcher and their supervisor or Line Manager informing them of the decision.
Notes:
If the research project depends upon the successful submission of a grant application to an
external funding body, ethical approval need not have been secured at the time of
application, however the ethical approval process should be initiated immediately following
the submission.
A Senior Line Manager may request that the Research Ethics Committee review an
application for ethical approval or may consult members of the Committee at any time
during the ethical approval process should this be deemed helpful.
Any subsequent significant2 change in the question, design or conduct of the research
throughout the duration of the research activity should be notified to the Senior Line
Manager and may require the submission of a new application for ethical approval.
Following approval the timeframe for completion of research projects will be one year and
pro rata for part-time courses. If the research project has not commenced during this time
then a new application for ethical approval should be lodged.
Receipt of NHS ethical approval automatically satisfies the UHI Research Ethics Approval
process.
Internet Mediated Research (IMR) If your research project/ methodology involves use of
online surveys, questionnaires, use of social media e.g. Facebook, or on-line support groups,
chat rooms, Skype either for the recruitment of participants or the gathering of data then in
addition to completing your REC1/ REC1D you should read the UHI IMR Guidelines,
complete an IMR checklist in consultation with your Line Manager and submit this with your
application for ethical approval. Complex IMR projects may be referred to UHI’s Information
Security Officer for consultation and advice.
A change is considered to be ‘significant’ if it results in what had been a ‘No’ response to any of the questions
in Form REC1 becoming a ‘Yes’ response.
2
Appendix 1
Ethical Approval Application and Administration Forms
Research Projects - UHI Students REC1
All Undergraduate, Taught Postgraduate/Masters and Postgraduate Research/PHD Students registered
on any UHI programme undertaking a research project must seek ethical endorsement via their Project
Supervisor prior to undertaking any form of fieldwork or data collection exercise. It is essential that you
read the UHI Research Ethics Framework before completing this form, signing and submitting it to your
Project Supervisor for their endorsement and signature. Please pay close attention to the guidance
notes, as it may be necessary for you to complete another form REC1D as part of this exercise.
Further information on UHI’s Research Ethics Policy and the ethical approval process can be found at
UHI ETHICS Guidance and Forms.
Forename :
Status: (Please tick
the appropriate box)
Surname:
*Undergraduate Student
*Taught Postgraduate/Masters Student
*Postgraduate Researcher/PHD Student
Student/ UHI Email:
@uhi.ac.uk
Tel. No:
Contact address:
Project Title:
Module Title:
Module Code:
Name of Supervisor:
Programme Leader:
Module Leader
Institution/ AP
Faculty (Please tick
the appropriate box)
*Arts Humanities and Business
*Science, Health and Engineering
Proposed Start Date
Proposed End Date
Please complete as appropriate
Yes
1
No
Will the study involve recruitment of patients or staff through the NHS?
If the answer to the above question is “Yes”, compliance with NHS Guidelines will be required (See NHS
Ethics or your local NHS authority for guidance) and you will need to complete an NHS IRAS online
application. (See IRAS Online ) *We recommend that before completing an IRAS application online you
work through the IRAS Training Module. If you have answered “Yes” to Qu1 there is no need for you to
answer the remaining questions on this REC1 form. Please complete and sign the declaration at the end
of this form and submit it to your Supervisor. If the answer is “No”, please continue to Question 2.
Yes
No
2
Will the study involve human participants?
If the answer to the above question (2) is “Yes”, please answer the remaining questions. If the answer is
“No”, please complete and sign the declaration at the end of this form and submit it to your Supervisor.
If your answer to question 2 was “yes”, your study will involve human
participants, please complete all questions 3-19.
3
Will the study involve participants who are particularly vulnerable and may be
unable to give informed consent (e.g. children under 18, persons with disabilities,
people in dependent relationships e.g. university students, prisoners, asylum
seekers etc. people in insecure employment, people who feel that participation
in the research will result in access to better support or treatment for them etc.)?
4
Will any of the interviews or questioning of participants be conducted in a
language other than the respondents’ first language?
5
Will the research require the co-operation of a gatekeeper for initial access to
the groups or individuals to be recruited? (e.g. school students, members of selfhelp group, residents of nursing home, employers) or research in communities
(in the UK or overseas) where access to research participants is not possible
without the permission of another adult, such as another family member (e.g.
the parent or husband of the participant) or a community leader.
6
Will the research involve Internet Mediated Research (IMR); respondents to the
internet, e.g. use of survey monkey, recruiting participants via social networking
sites e.g. Facebook, college/ group email addresses via a project website (Please
consult UHI Ethics Guidelines for IMR projects) or involve visual/ vocal methods
of recording where respondents may be identified? (For IMR projects please
consult UHI IMR Guidelines and complete /submit an IMR_Checklist with your
REC1/REC1D.)
7
Will it be necessary for participants to take part in the study without their
knowledge/consent at the time? (e.g. covert observation of people in non-public
places)
8
Will the study involve discussion of topics which the participants may find
sensitive (e.g. sexual activity, own drug use, mental health, gender or ethnic
status, political behaviour)?
9
Are drugs, placebos or other substances (e.g. food substances, vitamins) to be
administered to the study participants?
10
Will the study involve intrusive interventions or data collection methods- for
example vigorous physical exercise beyond the participant’s everyday activity?
11 Will blood or tissue samples be obtained from participants?
12 Is physical pain or more than mild discomfort likely to result from the study?
13
Could the study induce psychological stress or anxiety, or cause harm or negative
consequences beyond the risks encountered in everyday life?
14 Will the study involve prolonged or repetitive testing?
15
Will financial inducements (other than reasonable expenses and compensation
for time) be offered to participants?
16
Will the research involve administrative or secure data that requires permission
from the appropriate authorities before its use?
17
Is there a possibility that the safety of the researcher may be in question? E.g.
working in the field or remotely.
18 Will the research take place outside the UK?
Yes
No
19
Will research involve the sharing of data or confidential information beyond the
initial consent given?
If you have answered “No” in each case to Questions 3-19, please complete the Declaration and pass
this form to your Project Supervisor for approval.
If you have answered “Yes” to any of the questions, please complete Form REC1-D Student and submit it
with your supporting documentation to your Project Supervisor along with this form.
STUDENT DECLARATION
Yes
I confirm that I have read and understood the UHI Research Ethics Framework
Yes
I confirm that NHS Ethics Approval is being/has been* sought and that the UHI
Research Ethics Committee will be notified that such approval is in place
*please delete as appropriate
Signed:
Date:
Print Name:
PROJECT SUPERVISOR AUTHORISATION
I confirm that:
Yes
The topic merits further research
The researcher has the skills to carry out the research
The Methodology, Participant Information Sheet, Questionnaires
and Consent Forms for research participants are appropriate
The procedures for recruitment and obtaining informed consent
from participants and / or gatekeepers are appropriate
Comments - ‘Endorsed’ or ‘Not Endorsed’:
Signed:
Date:
Print Name:
Email:
No
N/A
N/A
Student Application for Ethical Approval Check List.
PLEASE SUBMIT THIS CHECKLIST WITH YOUR ETHICS APPLICATION
Name:
Student No:
Project Title:
Date:
1.
You should have completed every section of the REC1 Application for Ethical Approval
and REC1D form if applicable.
2.
The Signature Section must be completed in hard copy by the Principal Researcher and
their Supervisor.
3.
Ethical approval must be obtained before any research involving human subjects is
undertaken.
Please indicate if the following documents have been enclosed by ticking the applicable
option.

REC1 Application Form for Ethical Approval (one
electronic and one paper copy signed by the
researcher and their Supervisor/ Line Manager).
Yes

REC1D Application Form for Ethical Approval (one
electronic and one paper copy).
Yes

Have you ensured that you have listed your University
of the Highlands and Islands e-mail address?
Yes

Research Outline/Proposal or Methodology.
Yes

Participant Information Sheet.

No
Not Applicable
Yes
No
Not Applicable
Written Information for Subjects (e.g. Questionnaires,
Interview Schedules, etc)
Yes
No
Not Applicable

Consent Form(s).
Yes
No
Not Applicable

Gate Keeper Information/Consent.
Yes
No
Not Applicable

Internet Mediated Research (IMR) Checklist.
Yes
No
Not Applicable
Undergraduate and Taught Post Graduate /Masters Students: Please submit this form in hard copy
with your full application for ethical approval to your Faculty Research Ethics Officer: Fiona Ryan,
Faculty Research Ethics Officer, University of the Highlands and Islands, 12b Ness Walk, Inverness,
IV3 5SQ, faculty.research.ethics@uhi.ac.uk
PHD, Postgraduate Student Researchers, Please submit this form in hard copy with your full
application for ethical approval to the UHI Research Ethics Officer: University of the Highlands and
Islands, 12b Ness Walk, Inverness, IV3 5SQ. research.ethics@uhi.ac.uk
PDF versions of completed forms may be emailed to UHI Ethics Officer or Faculty Research Ethics
Officer ahead of hard copies, however original signed forms (typed names are not acceptable) must
be received within 10 days of submission of the electronic version in order to process applications.
REC1D Research Projects – UHI Student
Please complete this form if you have answered “Yes” to any of the Questions 3 – 19 in Form REC1
Student.
Name:
Project Title:
Please explain the ethical issues identified, estimate the risks and highlight any mitigating
actions to be taken for only those questions to which there was a “Yes” response:
Question
No.
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
In addition to completing this form, please provide a copy of the Project’s Methodology, Participant
Information Sheet, relevant Consent Forms for Participants and/ or Gatekeepers, Questionnaires or
any other documentation which may inform the Ethical Approval process.
Please submit Form REC1 Student, this form and any supporting documentation to your Project
Supervisor. Thank you
Research Projects - UHI Staff
All staff listed on the UHI Academic Register undertaking a research project must seek ethical approval
via their Senior Line Manager prior to undertaking any form of fieldwork or data collection exercise.
Please read the UHI Research Ethics Framework before completing this form, signing and submitting it
to your Senior Line Manager for their endorsement and signature. Please pay close attention to the
guidance notes, as it may be necessary for you to complete another form REC1D as part of this exercise.
Further information on UHI’s Research Ethics Policy and the ethical approval process can be found at
UHI ETHICS Guidance and Forms.
Chief Investigator:
Co-Investigators:
(If Applicable)
UHI Faculty (please
tick appropriate
box):
Science, Health and Engineering
Arts Humanities and Business

Institution/ AP
UHI Email:
Tel. No.:
Contact address:
Project Title:
Outline Description
Proposed Start Date
Proposed End date
Research Ethics Checklist
Please complete as appropriate
Yes
1
No
Will the study involve recruitment of patients or staff through the NHS?
If the answer to the above question is “Yes”, compliance with NHS Guidelines will be required (See NHS
Ethics or your local NHS authority for guidance) and you will need to complete an NHS IRAS online
application. (See IRAS Online ) If you have answered “Yes” to Qu1 there is no need for you to answer the
remaining questions on this REC1 form. Please complete and sign the declaration at the end of this form
and submit it to your Senior Line Manager. If the answer is “No”, please continue to Question 2.
Yes
2
No
Will the study involve human participants?
If the answer to the above question (2) is “Yes”, please answer the remaining questions. If the answer is
“No”, please complete and sign the declaration at the end of this form and submit it to your Senior Line
Manager.
If your answer to question 2 was “yes”, your study will involve human
participants, please complete all questions 3-19.
3
Will the study involve participants who are particularly vulnerable and may be
unable to give informed consent (e.g. children under 18, persons with disabilities,
people in dependent relationships e.g. university students, prisoners, asylum
seekers etc. people in insecure employment, people who feel that participation
in the research will result in access to better support or treatment for them etc.)?
4
Will any of the interviews or questioning of participants be conducted in a
language other than the respondents’ first language?
5
Will the research require the co-operation of a gatekeeper for initial access to
the groups or individuals to be recruited? (e.g. school students, members of selfhelp group, residents of nursing home, employers) or research in communities
(in the UK or overseas) where access to research participants is not possible
without the permission of another adult, such as another family member (e.g.
the parent or husband of the participant) or a community leader.
6
Will the research involve Internet Mediated Research (IMR); respondents to the
internet, e.g. use of survey monkey, recruiting participants via social networking
sites e.g. Facebook, college/ group email addresses via a project website (Please
consult UHI Ethics Guidelines for IMR projects) or involve visual/ vocal methods
of recording where respondents may be identified? (For IMR projects please
consult UHI IMR Guidelines and complete /submit an IMR_Checklist with your
REC1/REC1D.)
7
Will it be necessary for participants to take part in the study without their
knowledge/consent at the time? (e.g. covert observation of people in non-public
places)
8
Will the study involve discussion of topics which the participants may find
sensitive (e.g. sexual activity, own drug use, mental health, gender or ethnic
status, political behaviour)?
9
Are drugs, placebos or other substances (e.g. food substances, vitamins) to be
administered to the study participants?
10
Will the study involve intrusive interventions or data collection methods- for
example vigorous physical exercise beyond the participant’s everyday activity?
11 Will blood or tissue samples be obtained from participants?
12 Is physical pain or more than mild discomfort likely to result from the study?
13
Could the study induce psychological stress or anxiety, or cause harm or negative
consequences beyond the risks encountered in everyday life?
14 Will the study involve prolonged or repetitive testing?
15
Will financial inducements (other than reasonable expenses and compensation
for time) be offered to participants?
16
Will the research involve administrative or secure data that requires permission
from the appropriate authorities before its use?
17
Is there a possibility that the safety of the researcher may be in question? E.g.
working in the field or remotely.
18 Will the research take place outside the UK?
Yes
No
19
Will research involve the sharing of data or confidential information beyond the
initial consent given?
If you have answered “No” in each case to Questions 3-19, please complete the Declaration and pass
this form to your Senior Line Manager for approval.
If you have answered “Yes” to any of the questions, please complete Form REC1-D Staff and submit it to
your Senior Line Manager along with this form and any supporting documentation.
RESEARCHER DECLARATION
Yes
I confirm that I have read and understood the UHI Research Ethics Framework
Yes
N/A
I confirm that NHS Ethics Approval is being/has been* sought and that the UHI
Research Ethics Committee will be notified that such approval is in place
*please delete as appropriate
Signed:
Date:
Print Name:
SENIOR LINE MANAGER AUTHORISATION
I confirm that:
Yes
The topic merits further research
The researcher has the skills to carry out the research
The Methodology, Participant Information Sheet, Questionnaires and
Consent Forms for research participants are appropriate
The procedures for recruitment and obtaining informed consent from
participants and / or gatekeepers are appropriate
Comments - ‘Endorsed’ or ‘Not Endorsed’:
Signed:
Date:
Print Name:
Email:
No
N/A
Staff Application for Ethical Approval Check List
PLEASE SUBMIT THIS CHECKLIST WITH YOUR ETHICS APPLICATION
Name:
Project Title:
Date:
4.
You should have completed every section of the REC1 Application for Ethical Approval
and REC1D form if applicable.
5.
The Signature Section must be completed in hard copy by the Principal Researcher
and their Senior Line Manager.
6.
Ethical approval must be obtained before any research involving human subjects is
undertaken.
Please indicate if the following documents have been enclosed by ticking the applicable
option.

REC1 Application Form for Ethical Approval (one
electronic and one paper copy signed by the
researcher and their Supervisor/ Line Manager).
Yes

REC1D Application Form for Ethical Approval (one
electronic and one paper copy).
Yes

Have you ensured that you have listed your University
of the Highlands and Islands e-mail address?
Yes

Research Outline/Proposal or Methodology.
Yes

Participant Information Sheet.

No
Not Applicable
Yes
No
Not Applicable
Written Information for Subjects (e.g. Questionnaires,
Interview Schedules, etc)
Yes
No
Not Applicable

Consent Form(s).
Yes
No
Not Applicable

Gate Keeper Information/Consent
Yes
No
Not Applicable

Internet Mediated Research (IMR) Checklist.
Yes
No
Not Applicable
Please submit this form in hard copy with your full application for ethical approval to the;
UHI Research Ethics Officer: University of the Highlands and Islands, 12b Ness Walk, Inverness, IV3
5SQ. research.ethics@uhi.ac.uk
PDF versions of completed forms may be emailed to UHI Ethics Officer ahead of hard copies,
however original signed forms (typed names are not acceptable) must be received within 10
days of submission of the electronic version in order to process applications.
REC1D Research Projects – UHI Staff
Please complete this form if you have answered “Yes” to any of the Questions 3 – 19 in Form REC1
Staff.
Name:
Project Title:
Please explain the ethical issues identified, estimate the risks and highlight any mitigating
actions to be taken for only those questions to which there was a “Yes” response:
Question
No.
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
In addition to completing this form, please provide a copy of the Project’s Methodology,
Participant Information Sheet, relevant Consent Forms for Participants and/or Gatekeepers,
Questionnaires or any other documentation which may inform the Ethical Approval process.
Please submit Form REC1 Staff, this form and any supporting documentation to your Senior
Line Manager. Thank you.
Appendix 2 -Ethical Approval Flowchart for UHI Undergraduate and Masters/
Taught Postgraduate Student Research Projects.
Student
Research Project
Involving Human
Participants
APPROVED
If NO answered to all
19 questions on
REC1 Student Form.
Student emailed
confirmation of
approval from Faculty
Research Ethics
Officer
Student undertakes
supervised
research
project
Student work
submitted with copy
of REC1 Student
Form and Approval.
APPROVED
Student & Project
Supervisor notified
by email.
APPROVED
Student & Project
Supervisor notified
by email.
Student & Project
Supervisor submit
signed REC1Student
Form to Faculty
Research Ethics
Officer.
FURTHER REVIEW
REQUIRED
(Form REC1D)
If YES answered to
any of questions
3-19 on REC1
Student Form
Student & Project
Supervisor submit
signed REC1
Student Form and
REC1D Student
Form & Supporting
Docs to Faculty
Research Ethics
Officer
Faculty Research
Ethics Officer
submits to FREC
Chair for Review.
REFERAL by Chair
of FREC to Full
Faculty Research
Ethics Committee
Review OR Full UHI
Research Ethics
Committee Review.
NOT APPROVED
Student & Project
Supervisor notified
by email.
NHS APPROVAL
MUST BE SOUGHT
If YES answered to
question 1 on REC1
Student form.
Student & Project
Supervisor notify Faculty
Research Ethics Officer
that NHS Approval is
being sought and
complete NHS IRAS
online application.
Level of NHS approval
required determined by
IRAS. Student sends
copy of NHS approval
to Faculty Research
Ethics Officer and
receives confirmation of
UHI Ethical Approval.
Student work
submitted with copy of
REC1 Student Form
and NHS/ UHI
Approvals.
NOT APPROVED
Student & Project
Supervisor notified
by email.
Appendix 3. Ethical Approval Flowchart for UHI Staff,
PHD / Postgraduate Student Research Projects.
UHI Staff or PHD
Student Research
Project Involving
Human Participants.
APPROVED
If NO answered to all
19 questions on
REC1 Form.
Researcher emailed
confirmation of
approval from UHI
Research Ethics
Officer
Researcher undertakes
supervised
research
project.
Researcher work
submitted with copy
of REC1 Form and
Approval.
APPROVED
Researcher &
Project Supervisor
notified by email.
APPROVED
Researcher &
Project Supervisor
notified by email.
Researcher & Project
Supervisor submit
signed REC1 Student
Form (OR REC1Staff
Form) to UHI Research
Ethics Officer.
FURTHER REVIEW
REQUIRED
(Form REC1D)
If YES answered to any
of questions
3-19 on REC1 Form.
Researcher & Project
Supervisor submit
signed REC1 and
REC1D Forms &
Supporting Docs to
UHI Research Ethics
Officer.
UHI Research Ethics
Officer submits to
Research EC Chair
for Review.
REFERAL by Chair
of REC to Full UHI
Research Ethics
Committee Review.
NOT APPROVED
Student & Project
Supervisor notified
by email.
NHS APPROVAL
MUST BE SOUGHT
If YES answered to
question 1 on REC1
Student form.
Researcher & Project
Supervisor notify UHI
Research Ethics Officer
that NHS Approval is
being sought and
complete NHS IRAS
online application.
Level of NHS approval
required determined by
IRAS. Researcher sends
copy of NHS approval to
UHI Research Ethics
Officer and receives
confirmation of UHI
Ethical Approval.
Researcher work
submitted with copy
of REC1 Form and
copy of NHS/ UHI
Approvals.
NOT APPROVED
Researcher &
Project Supervisor
notified by email.