Ethical Approval for Research

As part of the requirements for research governance, the University of Aberdeen requires approval from a research ethics committee for all research involving human participants or biological samples. The School of Medicine, Medical Sciences and Nutrition Ethics Review Board (SERB) has been established to ensure that all research carried out by staff and students is reviewed by an appropriate ethics committee.

Some projects will fall under the remit of NHS Research Ethics Committee, Psychology or Rowett. 

1. The study is 'research'.
   Research is defined by the University as "a process of systematic enquiry leading to new insights which contribute to a body of knowledge, effectively shared". Research is discriminated from audit or service evaluation by whether it is designed to generate knowledge beyond local circumstances that can be applied more generally. For practical purposes, this tends to mean that research studies are those designed to generate knowledge that may be published. Please refer to the ethical review flow chart for further guidance.
2. The principal investigator is a member of staff within SMMSN.
3. Please consult the University of Aberdeen Research Governance handbook. You may also find it useful to consult the flow chart above. If you think you don't need ethical approval or need further information, contact the SERB chair.

The local NHS ethics review service is called The North of Scotland Research Ethics Service. For information about NOSRES, meeting dates and closing dates, please visit the North of Scotland Research Ethics Service page on the NHS Grampian website.

Applications to SERB are now being accepted through Worktribe. Access and more information can be found on the Ethics System: Worktribe webpage.

Please refer to this document before starting your application and it is also highly recommended that you consult ethics guidance. All applications must include evidence of Research Ethics and Governance Training - more details are here

Dates for review meetings and application deadlines can be found here.

Key contacts

• General enquiries: SMMSN Ethics Review Board
• Chair: Professor Gareth Jones
• Vice-chair: Dr James Ross
• Clerk: Dr Katie Crosley

The following Participant Information Sheet (PIS) and Consent form are provided for guidance only and there may be reasons why these forms are not applicable to your study. The same applies to the exemplar form for obtaining peer review.

• Information Generic Infosheet Sheet
• Consent to Participate
• Peer Review
• PIS template
• End of Study Form
• Research Governance for Clinical Research
• Dates for 2023-24 review meetings

IMPORTANT NOTICE:  The Physical Sciences & Engineering Ethics Board introduced a NEW ethics approval process for staff and PGR ethics applications (Worktribe Ethics) as of 19 October 2022.  Please note that any new ethics applications submitted using the previous copsethics email application process WILL NO LONGER BE ACCEPTED.  

Staff and PGR applicants should now log in to Worktribe at https://uoa.worktribe.com (University username and password will be required).  Please read the self-assessment guidance below BEFORE you commence your Worktribe Ethics application, and remember to attach your completed Annex A (checklist) to your Worktribe Ethics application, plus any other required documentation e.g. participant information sheet, consent form, questionnaire, etc.

Further information and support for Worktribe Ethics applicants is available here.   Please ensure you consult the Worktribe Ethics FAQs before you commence your application.

All staff and PGR applicants for ethical approval must complete the mandatory Research Ethics & Governance online training course before submitting an application for ethical approval.  Staff and PGR applicants are also reminded of the mandatory Research Integrity online training course for all researchers.

All staff and PGR research projects should be ethically assessed by the researcher to identify whether there is a need for formal ethical approval, using the self-assessment process detailed below. 

Ethical approval should be sought as early in the research proposal process as possible, and certainly before the research commences. For all research projects, the applicant should complete the self-assessment Ethical Review Checklist (Annex A) as described below to determine whether further ethical review will be required. All applicants must adhere to the University's Research Ethics requirements, and for funded research projects this includes abiding by any further ethics principles specified by the funding body.

The ethical review process has two stages:

1.Self-Assessment
The Principal investigator shall determine by self-assessment if the research is requires formal ethical approval, using the Ethical Review Checklist (Annex A).  If the answer to any of the questions is YES, the project must be reviewed according to this Ethical Review and Approval Policy by submitting an application to Worktribe Ethics at https://uoa.worktribe.com (University username and password will be required)

Please note the following types of research are handled using different processes.

• Research involving NHS staff, patients, facilities and premises is subject to ethical review by the NHS North of Scotland Research Ethics Service.  This includes research involving individuals when their status as NHS staff or patients is relevant to the research, even when a medical condition is not the subject of the research.  Research involving adults who do not have the capacity to consent may also be subject to these ethical review procedures.  Further guidance is available at researchgovernance@abdn.ac.uk 
• Research involving animal and biological materials is subject to Home Office regulations. Forms and guidance can be obtained from the School of Biological Sciences. Please also refer to the University's Statement on the Use of Animals in Research (downloadable from the Policy Zone).
• If collection of genetic resources (organisms, microorganisms, DNA, RNA, proteins, small molecules) from signatories to the Convention on Biodiversity/Nagoya Protocol is involved, then a relevant agreement must be in place before this can begin. This agreement must provide prior informed consent with mutually agreed terms and the must be in keeping with the Convention on Biodiversity/Nagoya Protocol and be obtained via the national focal point of the provider country. A statement to this effect must be included in grant applications that intend to make such collection.  Contact your Research Development Executive for further guidance.

2. Ethical Review and Approval
Once completed, staff applications will be submitted to the triage stage.

PGR applications will be submitted via the Supervisor who will be required to review the application for completeness and to either (i) 'approve' the application for ethical review, or (ii) to return the application to the student for further revision and resubmission.  Once the Supervisor 'approves' the application, PGR applications will then be forwarded to the triage stage.  Triagers will conduct an initial assessment of the application and will ensure the required documentation has been attached.   

Once the triage stage has been completed, the application will either be returned to the applicant if any issues have been identified, or forwarded to the Board members for ethical review.  The application will be forwarded to the appropriate School representative on the Ethics Board for review, and in line with the the risk level applied to the research project, may also be forwarded for ethical review by other Board members from a different discipline.  In the event of a conflict of interest for the reviewer(s), or for a particular specialist piece of research, the application may be forwarded to a delegated alternative.  

A response will normally be provided to the applicant within 14 - 21 days, although very complex proposals may take longer.  The approval period will be extended if the application is returned to the applicant at any stage for revision and resubmission.  The outcome of the ethics review will be communicated to the applicant via the Worktribe Ethics process.

The University is responsible for all research activities undertaken at the institution.  As a result, the University must also be satisfied that research undertaken by students is also in compliance with these ethics procedures.  Ethical approval should be sought as early in the research proposal process as possible, and before any research activity is undertaken.

ALL taught postgraduate students and Undergraduate Honours students preparing research projects must follow the steps below prior to the commencement of the research project.

1. Self-Assessment
Complete the Ethical Review Checklist (Annex A).  Once completed you should hand it into to your research/dissertation supervisor.  If the answer to any of the questions is YES, the research project needs further ethical review, as described below.  The project cannot begin until approval has been granted. 

Please note the following important exceptions to this process:

• Research involving NHS staff, patients, facilities and premises is subject to ethical review by the NHS North of Scotland Research Ethics Service.  This includes research involving individuals when their status as NHS staff or patients is relevant to the research, even when a medical condition is not the subject of the research.  Research involving adults who do not have the capacity to consent may also be subject to these ethical review procedures.  Further guidance is available at researchgovernance@abdn.ac.uk 
• Research involving animal and biological materials is subject to Home Office regulations. Forms and guidance can be obtained from the School of Biological Sciences. Please also refer to the University's Statement on the Use of Animals in Research (downloadable from the Policy Zone).
• If collection of genetic resources (organisms, microorganisms, DNA, RNA, proteins, small molecules) from signatories to the Convention on Biodiversity/Nagoya Protocol is involved, then a relevant agreement must be in place before this can begin. This agreement must provide prior informed consent with mutually agreed terms and the must be in keeping with the Convention on Biodiversity/Nagoya Protocol and be obtained via the national focal point of the provider country. A statement to this effect must be included in grant applications that intend to make such collection.  Contact your Research Development Executive for further guidance.

2. Ethical Review and Approval
These projects will be ethically reviewed within the School; the precise nature of the review process depends on the discipline. Students should consult their supervisor and/or Course/Programme Co-ordinator for details, or their School Ethics Officer   The current list of School Ethics Officers is available on the associated Ethics Committee webpage (i.e. follow this weblink, then scroll down the webpage and click on the banner 'Committees for Research Ethics and Governance' and click on 'Physical Sciences and Engineering').

Please ensure you are using the most up-to-date version by always downloading from below.

• Ethics Review Policy (Revised December 2022)
• Guidance Note for Applicants (Revised December 2022)
• ANNEX A - Ethics Checklist (Revised December 2022) - completed checklists should be attached to ALL applications submitted for ethical approval
• ANNEX B - Research Ethics Review Form (Revised December 2022) - for UG and PGT students only
• ANNEX C - Participant Information Sheet Template (Revised October 2022)
• ANNEX D - Consent Form Template (Interview) (Revised October 2022)
• ANNEX E - Consent Form Template (Online) (Revised October 2022)

Internal

• University of Aberdeen Research Governance Handbook
• Worktribe Ethics Process (for staff and PGR applicants only)

External

• BBSRC Statement on Safeguarding Good Scientific Practice
• ESRC Research Ethics Framework
• NERC Policy on Ethics
• The Department for Business, Innovation and Skills (BIS): A Universal Ethical Code for Scientists
• UK Research Integrity Office: Code of Practice for Research: Promoting good practice and preventing misconduct