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Research Ethics Review Tier 1 ChecklistThis 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) Undergraduate Student / Postgraduate Student / Staff

4 Email address

5a Contact address

5b Telephone number

Section B: For Students Only

6 Module or Unit name and number – orMA/MPhil/PhD course & School

7 Supervisor / tutor’s name

8 Email address

9 Contact address

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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.

YES NO

The topic merits further research of the kind being proposed and this is appropriate to their level of study

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

YES NO N/A

Risk assessment has been carried out and the form completed where necessary

YES NO N/A

Comments from supervisor / tutor

Section C: Project Details

Brief description of project:

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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 self-help 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 non-public places)

YES NO

4 Will the study involve discussion of sensitive topics (e.g. sexual activity, drug use)?

YES NO

5 Will the study involve invasive, intrusive or potentially harmful procedures of any kind?

YES 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 negative consequences beyond the risks encountered in normal life?

YES NO

8 Will the study involve prolonged or repetitive testing? YES NO

9 Will financial inducements (other than reasonable expenses and compensation for time) be offered to participants?

YES NO

Comments from supervisor/tutor

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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:

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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

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