Research Ethics Checklist

This checklist is used to determine if a research project involving human participants requires ethics approval. It covers applicant details, project details, declaration by researcher, and a research checklist. It is important to follow the University's Code of Practice on Ethical Standards.

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RESEARCH ETHICS CHECKLIST Form RE1
This checklist should be completed for every research project which involves human
participants. It is used to identify whether a full application for ethics approval needs to be
submitted.
Before completing this form, please refer to the University Code of Practice on Ethical
Standards for Research Involving Human Participants. The principal investigator and,
where the principal investigator is a student, the supervisor, is responsible for exercising
appropriate professional judgment in this review.
This checklist must be completed before potential participants are approached to take
part in any research.
Section I: Applicant Details
1. Name of Researcher (applicant):
2. Status (please click to select): Active
3. Email Address:
4a. Contact Address:
4b. Telephone Number:
Section II: Project Details
5. Project Title: Impact of Managing technology & innovation
on the success of an organisation within
automotive industry of UK. A research
project on Aston Martin.
Section III: For Students Only:
6. Course title and module name and
number where appropriate
School/Centre:
7. Supervisor’s or module leader’s name:
8. Email address:
9. Telephone extension:
Declaration by Researcher (Please tick the appropriate boxes)
I have read the University’s Code of Practice
The topic merits further research
I have the skills to carry out the research
The participant information sheet, if needed, is appropriate
The procedures for recruitment and obtaining informed consent, if needed, are
appropriate
The research is exempt from further ethics review according to current University
guidelines
Where relevant, I have read the ethical guidelines of the regulatory body that is
relevant to my discipline and verify that the research adheres to these guidelines
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Comments from Researcher, and/or from Supervisor if Researcher is Undergraduate
or Taught Postgraduate student:
This project meets the standard set by UoB policy named “Code of Practice for Research
Students and Supervisors 2019-20”.
This project also confirms with “UoB Research Ethics Framework”.
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Section IV: Research Checklist
Please answer each question by ticking the appropriate box:
YES NO
1. Will the study involve participants who are particularly vulnerable or
who may be unable to give informed consent (e.g. children, people
with learning disabilities, emotional difficulties, problems with
understanding and/or communication, your own students)?
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 self-help group, residents of nursing home)?
No
3. Will deception be necessary, i.e. will participants take part without
knowing the true purpose of the study or without their
knowledge/consent at the time (e.g. covert observation of people in
non-public places)?
No
4. Will the study involve discussion of topics which the participants may
find sensitive (e.g. sexual activity, own drug use)?
No
5. Will drugs, placebos or other substances (e.g. food substances,
alcohol, nicotine, vitamins) be administered to or ingested by
participants or will the study involve invasive, intrusive or potentially
harmful procedures of any kind?
No
6. Will blood or tissues samples be obtained from participants? No
7. Will pain or more than mild discomfort be likely to result from the
study?
8. Could the study induce psychological stress or anxiety or cause
harm or negative consequences beyond the risks encountered in
normal life?
No
9. Will the study involve prolonged or repetitive testing? No
10. Will financial inducements (other than reasonable expenses and
compensation for time) be offered to participants?
No
11. Will participants’ right to withdraw from the study at any time be
withheld or not made explicit?
No
12. Will participants’ anonymity be compromised or their right to
anonymity be withheld or information they give be identifiable as
theirs?
No
13. Might permission for the study need to be sought from the
researcher’s or from participants’ employer?
No
14. Will the study involve recruitment of patients or staff through the
NHS?
No
If ALL items in the Declaration are ticked AND if you have answered NO to ALL questions in
Section IV, send the completed and signed Form RE1 to your School/Centre Research
Ethics Officer for information. You may proceed with the research but should follow any
subsequent guidance or requests from the School/Centre Research Ethics Officer or your
supervisor/module leader where appropriate. Undergraduate and taught postgraduate
students should retain a copy of this form and submit it with their research report or
dissertation (bound in at the beginning). MPhil/PhD students should submit a copy to the
Board of Studies for Research Degrees with their application for Registration (R1). Work
which is submitted without the appropriate ethics form will be returned unassessed.
If ANY of the items in the Declaration are not ticked AND / OR if you have answered YES to
ANY of the questions in Section IV, you will need to describe more fully in Section V of the
form below how you plan to deal with the ethical issues raised by your research. This does
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not mean that you cannot do the research, only that your proposal will need to be
approved by the School/Centre Research Ethics Officer or School/Centre Research
Ethics Committee or Sub-committee. When submitting the form as described in the
above paragraph you should substitute the original Section V with the version
authorized by the School/Centre Research Ethics officer.
If you answered YES to question 14, you will also have to submit an application to the
appropriate external health authority ethics committee, after you have received approval
from the School/Centre Research Ethics Officer/Committee and, where appropriate, the
University Research Ethics Committee.
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Section V: Addressing Ethical Problems
If you have answered YES to any of questions 1-12 please complete below and submit the
form to your School/Centre Research Ethics Officer.
Project Title
Impact of Managing technology & innovation on the success of an organisation within
automotive industry of UK. A research project on Aston Martin.
Principal Investigator/Researcher/Student
Supervisor
Summary of issues and action to be taken to address the ethics problem(s)
 Implication of BERA code of ethics
 Adoption of provisions of Data protection act
Please note that it is your responsibility to follow the University’s Code of Practice on Ethical
Standards and any relevant academic or professional guidelines in the conduct of your
study. This includes providing appropriate information sheets and consent forms, and
ensuring confidentiality in the storage and use of data. Any significant change to the
design or conduct of the research should be notified to the School/Centre Research Ethics
Officer and may require a new application for ethics approval.
Signed: Principal Investigator/Researcher
Approved: Supervisor or module leader (where appropriate)
Date:
For use by School/Centre Research Ethics Officer:
 No ethical problems are raised by this proposed study - Retain this form on record
 Appropriate action taken to maintain ethical standards
 The research protocol should be revised to eliminate the
ethical concerns or reduce them to an acceptable level,
using the attached suggestions
 Please submit School/Centre Application for Ethics Approval
(Form RE2(D))
 Please submit University Application for Ethics Approval
(Form RE2(U))
Signed:
Date:
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Retain this form on record
and return a copy of section V
to Researcher

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