This form should be used for any research projects carried out under the auspices of the School of Divinity which involve human subjects and that have been identified by self-audit (Level One) as requiring detailed assessment - i.e. level 2 and level 3.  The levels within the system are explained in the Divinity School Ethics in Research Policy document - http://www.div.ed.ac.uk/ethics_procedures.html

The form provides general School-wide provisions.  Researchers should feel free to supplement these with detailed provisions that may be stipulated by research collaborators (e.g. NHS) or professional bodies (e.g. BSA). The signed and completed form should be submitted, along with a copy of the research proposal as follows:
•	Academic researchers submit one copy of the form with the supporting documents to the convenor of the School Research in Ethics Committee (Cecelia Clegg) via the research administrator (Karoline McLean) in the general office.
•	First Supervisors of postgraduate researchers (PhD ) submit one copy of the form with supporting documents to the convenor of the School Research in Ethics Committee (Cecelia Clegg) via the research administrator (Karoline McLean) in the general office.
•	Dissertation supervisors of postgraduate researchers (Masters) and Undergraduate researchers (Honours) submit one copy of the form with supporting documents to the convenor of the School Research in Ethics Committee (Cecelia Clegg) via the research administrator (Karoline McLean) in the general office, if deemed necessary.

The Ethics in Research Committee will monitor level 2 proposals to ensure that the School Ethics Policy is being adhered to. They will contact researchers and/or supervisors in cases where there may be particular concerns.  For research which requires, or may require, level 3 ethics clearance, work should not proceed until the Ethics in Research Committee has considered the issues and given a determination. Level 3 applications should be submitted well in advance of a required date of approval. 

SECTION 1: PROJECT DETAILS

1.1 	Title of Project

1.2	Principal Investigator, and any Co-Investigator(s)
(Please provide details of Name, Institution, Email and Telephone)

1.3	Does the sponsor/funder require formal prior ethical review? YES  	NO   
If yes, by what date is a response required

1.4	Does the project require approval of any other institution/ethics committee? YES  	NO   

If YES, give details and indicate the status of the application at each other institution or ethics committee (i.e. submitted, approved, deferred, rejected).

1.5	This project has been assessed using the Level One form and is judged to be

LEVEL2   	(for information to Research Ethics Committee)

LEVEL 3  	(for discussion by Research Ethics Committee)

1.6	If Level 3, is there a date by which a response from the committee is required?

Name………………………………………    Signature…………………………

PLEASE ATTACH A COPY OF THE RESEARCH PROPOSAL 

SECTION 2: POTENTIAL RISKS TO PARTICIPANTS

2.1	Could the research induce any psychological stress or discomfort? 	YES	NO 

If YES, state the nature of the risk and what measures will be taken to deal with such problems. 

2.2	Does the research require any physically invasive or potentially physically harmful procedures?	
                                                                              	YES	NO 

If YES, give details and outline procedures to be put in place to deal with potential problems.

2.3	Does the research involve the investigation of any illegal behaviour?	YES	NO 

If YES, give details.

2.4	Is it possible that this research will lead to the disclosure of information about child abuse or neglect? 
                                           	YES	NO 

If YES, indicate the likelihood of such disclosure and your proposed response to this. If there is a real risk of such disclosure triggering an obligation to make a report to Police, Social Work or other authorities, a warning to this effect must be included in the Information and Consent documents.

2.5	Is there any purpose to which the research findings could be put that could adversely affect participants? 
                                           	YES	NO 

If YES, describe the potential risk for participants of this use of the data. Outline any steps that will be taken to protect participants.

2.6	Could this research adversely affect participants in any other way? 	YES	NO 

If YES, give details and outline procedures to be put in place to deal with such problems.

2.7	Could this research adversely affect members of particular groups of people?

	YES	NO 

If YES, describe these possible adverse effects and the protection to be put in place against them.

2.8	Is this research expected to benefit the participants, directly or indirectly?

                                           	YES	NO 
If YES, give details.

2.9	Will the true purpose of the research be concealed from the participants? 

                                           	YES	NO 

If YES, explain what information will be concealed and why. Will participants be debriefed at the conclusion of the study? If not, why not?

2.10	At any stage in this research could researcher’s safety be compromised or could the research induce emotional distress in the researchers?

If yes to either or both, give details and outline the procedures to be put in place to deal with potential problems.

SECTION 3: PARTICIPANTS

3.1	How many participants is it hoped to include in the research?

3.2	What criteria will be used in deciding on the inclusion and exclusion of participants in the study?

3.3	Are any of the participants likely to be:

under 16 years of age?	YES	NO 
children in the care of a Local Authority?	YES	NO 
known to have special educational needs	YES	NO 
physically or mentally ill?	YES	NO 
vulnerable in other ways	YES	NO 
members of a vulnerable or stigmatized minority?	YES	NO 
unlikely to be proficient in English?	YES	NO 
in a client or professional relationship with the researchers?	YES	NO 
in a student-teacher relationship with the researchers?	YES	NO 
in any other dependent relationship with the researchers?	YES	NO 
have difficulty in reading and/or comprehending any printed 
material distributed as part of the study?	YES	NO 

If YES to any of the above, explain and describe the measures that will be used to protect and/or inform participants.

3.4	How will the sample be recruited?

3.5 	Will participants receive any financial or other material benefits because of participation?
                                           	YES	NO 

If YES, what benefits will be offered to participants and why?

Before completing Sections 4 & 5 please refer to the University Data Protection Policy to 
ensure that the relevant conditions relating to the processing of personal data under 
Schedule 2 and Schedule 3 are satisfied. Details are Available at: 

www.recordsmanagement.ed.ac.uk

SECTION 4: CONFIDENTIALITY AND HANDLING OF DATA 

4.1	Will the research require the collection of personal information from e.g. universities, schools, employers, or other agencies about individuals without their direct consent? 

                                           	YES	NO 

If YES, state what information will be sought and why written consent for access to this information will not be obtained from the participants themselves.

4.2 	Will any part of the research involving participants be audio/film/video taped or recorded using any other electronic medium? 

                                           	YES	NO 

If YES, what medium is to be used and how will the recordings be used?

4.3	Who will have access to the raw data?

4.4	Will participants be identified?  			YES	NO 

4.5	If yes, how will their consent to quotations/identifications be sought?

4.6	If not, how will anonymity be preserved?

4.7  	Will the datafiles/audio/video tapes, etc. be disposed of after the study? 	YES	NO 

4.8	How long they will be retained? 

4.9	How they will eventually be disposed of?

4.10 	How do you intend for the results of the research to be used?

4.11	Will feedback of findings be given to participants?	 YES	NO 

If YES, how and when will this feedback be provided?

SECTION 5: PARTICIPANT INFORMATION AND CONSENT

5.1	Will written consent be obtained from participants? 
	YES	NO 

If  YES, attach a copy of the information sheet and consent forms.

In some contexts of ethnographic research, written consent may not be obtainable or may not be meaningful. If written consent will not be obtained, please explain why circumstances make obtaining consent problematic.

Administrative consent may be deemed sufficient:

a)	for studies where the data collection involves aggregated (not individual) statistical information and where the collection of data presents:

(i)	no invasion of privacy;
(ii)	no potential social or emotional risks:

b)	for studies which focus on the development and evaluation of curriculum materials, resources, guidelines, test items, or programme evaluations rather than the study, observation, and evaluation of  individuals.

5.2	Will administrative consent be obtained in lieu of participants’ consent?	 YES	NO 

If YES, explain why individual consent is not considered necessary.

5.3	In the case of minors participating in the research on an individual basis, will the consent or assent of parents be obtained?	YES	NO 

If YES, explain how this consent or assent will be obtained.

If NO, give reasons.

5.4 	Will the consent or assent (at least verbal) of minors participating in the research on an individual basis be obtained? 

                                           	YES	NO 
If YES, explain how this consent or assent will be obtained.

If NO, give reasons.

5.5	In the case of participants whose first language is not English, will arrangements be made to ensure informed consent?

                                           	YES	NO 
If YES, what arrangements will be made?

If NO, give reasons. 

5.6	In the case of participants with special educational needs will arrangements be made to ensure informed consent?

                                           	YES	NO 
If YES, what arrangements will be made?

If NO, give reasons. 

SECTION 6: CONFLICT OF INTEREST

The University has a draft ‘Policy on the Conflict of Interest’ (copies available from the Research Support Office).  Regarding research the draft states that a conflict of interest would arise in cases where an employee of the University might be 

	“ compromising research objectivity or independence in return for 
	financial or non-financial benefit for him/herself or for a relative or friend.”  

The draft policy also states that the responsibility for avoiding a conflict of interest, in the first instance, lies with the individual, but that potential conflicts of interest should always be disclosed, normally to the line manager or Head of Department.  Failure to disclose a conflict of interest or to cease involvement until the conflict has been resolved may result in disciplinary action and in serious cases could result in dismissal.

6.1	Does your research involve a conflict of interest as outlined above	YES 	NO 

If YES, give details.