Preliminary Ethical Assessment Form
Please complete this form for every internally or externally funded research application
project
SECTION 1: PROJECT DETAILS
Project Title:
BH Number (If externally funded project):
SECTION 2:
APPLICANT DETAILS
Name of Researcher (Applicant):
Email Address:
Contact Address:
Telephone number:
SECTION 3: APPROVAL
Question 1: Does the research involve any of the following?
YES
NO
Patients and Users of the NHS
Relatives or carers of patients and users of the NHS
Access to data, organs or other bodily material of past
and present NHS patients
Fetal material and IVF involving NHS patients
The recently dead in NHS patients
The use of, or potential access to, NHS premises or
facilities
NHS staff- recruited as research participants by virtue of
their professional role
Vulnerable people unable to make their own decisions
If you answered yes to any of the above, then you need to submit an application for ethical
review to the appropriate external health authority ethics committee through the National
Research Ethics Service (NRES) – see http://www.nres.npsa.nhs.uk for the process.
Question 2:
Does the research involve human participants e.g use of questionnaires
YES
NO
If you answered ‘No’ to question 2 please go directly to section 4.
If you have answered ‘Yes’ to question 2, then you need to complete the following section:
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Preliminary Ethical Assessment Form
YES
a
Does the study involve participants who are particularly vulnerable or
unable to give informed consent (e.g. children, people with learning
disabilities, your own students?
b
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 a self-help group, residents of a nursing home)
C
Will it be necessary for participants to take part in the study without
their knowledge and consent at times? (e.g. covert observation of
people in non-public places)
d
Will this programme/project involve deliberately misleading
participants in any way?
e
Will the study involve discussion of sensitive topics (e.g. sexual
activity, drug use)
f
Are any 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?
g
Will blood or tissue samples be obtained from subjects?
h
Is pain or more than mild discomfort likely to result from the study?
i
Could the study induce psychological stress or anxiety or cause harm
or negative consequences beyond the risks encountered in normal
life?
j
Will the study involve prolonged or repetitive testing?
k
Will financial inducements (other than reasonable expenses and
compensation for time) be offered to participants
l
Will the research involve the use of sensitive economic, social or
personal data about individuals who could be identified?
NO
If you have answered ‘no’ to questions a-l:
Your project does not require ethical approval and you should send copies of the form to
your School Ethics Co-ordinator, Faculty Ethics Co-ordinator and if externally funded to the
appropriate Grants and Contracts team along with the blue form.
If you have answered ‘yes’ to any of questions a-l:
You will need to describe more fully how you plan to deal with the ethical issues raised by
your research by completing the full ethics approval application form, usually at award stage.
This does not mean that you cannot do the research, only that you will need to seek
and satisfy an ethical opinion from a University Research Ethics Committee. You
should now send the completed and signed form to your School Ethics Co-ordinator, Faculty
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Preliminary Ethical Assessment Form
Ethics Co-ordinator and the appropriate Grants and Contracts team along with the blue form
and, if awarded, you will be advised when you need to apply for ethical approval.
Question 3:
Does the research involve the use of animals of other organisms
covered by the Animals (Scientific Procedures) Act?
YES
NO
If you answered yes to question 3, then you need to submit an application for ethical review
to the University Ethical Review Committee.
SECTION 4
Name of Principal Investigator
Signed
Date
If you have any queries about this or any other ethical issue, please contact your Faculty
Ethics Coordinator or appropriate Grants and Contracts team.
-------------------------------------------------------------------------------------------------------------------------For office use only:
Date received in G&C:
Ethics Preliminary Assessment form v 11 070809
Requires full approval: YES/NO
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