Self Assessment Form information

Please note:  On 3 June 2019 the University implemented the new Worktribe – New Core system. The new system will require some process changes for completing of SAFs, as follows:

There is currently no change for student and unfunded research for which you should continue to complete the SAF available here before beginning a new staff (unfunded only) or PGR research project. 

For funded staff research that will be administered via Worktribe: Please do not complete the SAF here, but instead go into Worktribe and complete an ethics checklist (see the ‘Ethics’ tab). Once the ethics checklist actions in the system have been completed, a member of the Ethics Team will be in touch as usual to support you with the ethics review process. If you need to submit a University or HRA/NHS ethics application (see ‘second step’ below) your checklist will be returned to you with a message that from the new system that the application is ‘not approved’ and you will get confirmation that your application will be managed via the ethics or governance systems.

Ethics self assessment (via either this form or the ethics tab in Worktribe) is required for all work classified as research by the University (including projects deemed to be service evaluation by the NHS, and excluding consultancy projects).

Please be aware that ethics self assessment acts as both:

1. The first stage of the University's ethics review process
2. A request for sponsorship in line with the Department of Health's 
    Research Governance Framework (replacing the previous PF1, PF2
    and PF3 forms, and the 'pink form' ).

This form should be used for all new staff-led (unfunded) or PGR student research proposals  and grants, including those that require ethical review via the National Health Service Research Ethics Committee system (NRES) or the Animals (Scientific Procedures) Act.  Undergraduate and taught postgraduate students should not use this form but should seek advice from their respective Department or School.

Following submission of this self assessment form, please note that, while funding may be released for preliminary work (e.g. recruitment of research staff), if further ethical review is required no work with human participants should be undertaken until the relevant Ethical Review Committee has issued its written approval.

Researchers are reminded that their ethical conduct should at all times comply with the University Code of Practice for Research (available here).

Submitting a self-assessment form for unfunded staff led research

In this context a self-assessment form (and any further ethical approval as required) is necessary before a staff member starts a new self-contained research activity or when a new research grant is obtained for work covered by an existing ethics approval.  Ethical review must take place before the start of any substantive research (including pilot studies, but excluding literature review). 

Submitting a self-assessment form for PGR student research

Please be aware that all new research projects undertaken by postgraduate research (PGR) students are subject to the University’s Ethical Review Process. 

It is recommended that the student’s academic supervisor encourage the student to consider the relevant ethical issues at an appropriate point during the first year of the studentship, taking into account the research workplan.  It is advised that the need for ethical review be discussed by the student and supervisor during routine progress reviews (e.g. 6 month or 12 month review).

Ethical review must take place before the start of any substantive research (including pilot studies, but excluding literature review).  At the latest, ethical approval should have been sought by the end of year 1 for full-time PGR students (pro-rata as appropriate for part-time students). The end of year 1 progress review should record whether ethical approval has been sought.

Continue to online form