University of Birmingham: RE1 Research Ethics Checklist Analysis

The provided document is the RE1 Research Ethics Checklist, a form used by the University of Birmingham (UoB) to assess the ethical considerations of research projects, particularly those involving human participants, sensitive data, or potential reputational risks. The checklist guides researchers, including undergraduate and postgraduate students, through a series of questions to determine if a full ethics application is required. It covers aspects such as participant vulnerability, informed consent, deception, sensitive topics, invasive procedures, and potential risks. The form also includes a declaration section for researchers to confirm adherence to UoB's ethical guidelines and relevant regulatory bodies. If all checklist questions are answered negatively, and all declaration boxes are checked, the research can proceed after submission to the School/Centre Research Ethics Officer (REO). Otherwise, further action, such as completing additional forms (RE2(U) or RE2(D)) or seeking approval from external ethics committees, is necessary. The form concludes with sections for addressing ethical problems and for use by the REO, ensuring proper review and approval processes are followed, which is crucial for maintaining ethical standards in research and protecting participants.

Form RE1
RESEARCH ETHICS CHECKLIST
August 2021
Note: undergraduate and taught postgraduate students must use this form where human
participants, human tissues or data, potentially sensitive material or a potential reputational
risk forms part of their project. Research students, staff and external researchers must use
the online EFIT system.
This checklist should be completed for every research project. 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’ and the ‘Scope of the Code of
Practice’ document. The student’s 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.
Comments from Researcher, and/or from Supervisor:
This research project conforms with the “UoB Research Ethics Framework”. It also meets
the standard set by UoB policy named “Code of Practice for Ethical Standards in
Research involving Human Participants”.
Declaration by Researcher (Please check 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
Section 2: Research Checklist (Please answer each question by selecting the appropriate response)
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
NO

knowledge/consent at the time (e.g. covert observation of people in
non-public places)?
4. Will the study involve discussion of topics which the participants (or
readers of the research) may find sensitive or disturbing (e.g. sexual
activity, drug use, controversial/extreme texts)?
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 human blood or tissue samples be obtained for use in the
research?
NO
7. Will pain or more than mild discomfort be likely to result from the study? NO
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
15. Does the research have any potential implications for the reputation of
the University?
NO
16. Does the research involve socially or politically sensitive (actual of
potential) topics?
NO
17. Will the research have the potential to uncover or highlight illegal or
potentially harmful activities?”
NO
If ALL items in the Declaration are checked and all items in the Section 2 checklist have
been answered NO; send the completed and signed Form RE1 to your School/Centre
Research Ethics Officer (REO) for information. You should receive a signed copy in return
from your REO. 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 the REO signed version with their research report or dissertation.
If
If Question 14 in the Section 2 checklist has been answered YES; you will have to submit an
application to the appropriate external NHS ethics committee for approval. After you have
received approval from the NHS you should then submit an RE2(U) form together with a
copy of the NHS approval to the School/Centre Research Ethics Officer who will arrange for
UREC to consider your request. You cannot proceed with your research at this stage.
If Question 15 and/or Q17 in the Section 2 checklist has been answered YES; you will need
to complete an RE2(U) form and send it together with this RE1 form to the School/Centre
Research Ethics Officer who will arrange for UREC to consider your request. You cannot
proceed with your research at this stage.

If ANY of the items in the Declaration are not ticked AND / OR if you have answered YES to
questions in Section 2 (apart from Q6, Q14, Q15, or Q17); you will need to describe more
fully in Section 3 of this form 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 need to be approved by the School/Centre Research Ethics Officer or
DREC/UREC. You will be guided on completion of form RE2(D) or RE2(U).
Section 3: Addressing Ethical Problems
If you have answered YES to any of questions in Section 2 (apart from Q6, Q14, Q15, or
Q17) please complete below and submit the form to your School/Centre Research Ethics
Officer.
Project Title
Principal Investigator/Student
Supervisor
Summary of issues and action to be taken to address the ethics problem(s)
Please note that it is your responsibility to follow the University’s’ Code of Practice on Ethical
Standards’ and ‘Scope of the Code of Practice’ alongside 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.
You may only conduct your research in line with the ethical approval received. Any
significant change to the design or conduct of the research should be notified to the
School/Centre Research Ethics Officer using form RE7 and may require a new application
for ethics approval. You must stop your research until this variation is approved.
Signed: Principal Investigator/Student
Approved: Supervisor/Module Leader (for UGT & PGT)
Date:
For use by School/Centre Research Ethics Officer (REO):
Tick all
that
apply
No ethical problems are raised by this proposed study ✓
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)) ✓

Note to REO: ensure this form contains all appropriate signatures and is completed fully.
Retain a copy on your file and send a copy to the applicant and their supervisors.
REO name: _____________________________
Signed:
Date: