Ethical Approval for Research

As part of the University requirements for research governance, all research involving human participants or biological samples requires approval from a research ethics committee.  SERB (the School of Medicine, Medical Sciences and Nutrition Ethics Review Board) has been established to ensure that all research carried out by staff and students in the School is reviewed by an appropriate ethics committee.  However, some projects will fall under the remit of Psychology, the Rowett Institute, or the NHS Research Ethics Service.

Other projects, including service evaluations and audit, do not require research ethics approval – although they may require other approvals.  Under the resources tab, the document “SERB Guidance 01 - Requirements for research ethics approval” gives some guidance regarding:

• What approvals you may need;
• The difference between Research, Audit, and Service Evaluation;
• Special situation – e.g., studying NHS staff, or student projects; and
• Brief considerations about applying for ethical approval from SERB.

Applications to SERB must be submitted through Worktribe.  More information, including how to access Worktribe, can found on the Ethics System: Worktribe webpage.

Under the resources tab, the document “SERB Guidance 02 - Guidance for applicants” gives advice for the preparation of your protocol and associated documents.  Please refer to this document before starting your application.

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

• SERB Guidance 01 - Requirements for research ethics approval
• SERB Guidance 02 - Guidance for applicants
• SERB Guidance 03 - Hints, tips and common mistakes
• SERB - Workflows
• SERB - End of study report
• Grampian Research Office
  • Grampian Research Office (templates)
• Dates for 2023-24 review meetings

Staff and PGR applicants should submit their ethics application via 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 any 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 and the Guidance on Preparing your Application 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.  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 University's Ethics Checklist.  If this determines that ethical review is required, the project must be reviewed according to the Board's Standard Operating Procedure 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 by the student applicant and subsequently reviewed by the Supervisor at the 'Submission' stage for completeness.  The Supervisor must either (i) approve the application for ethical review by clicking the 'Approve' button, or (ii) to return the application to the student for further revision and resubmission by clicking the 'Not Approved' button.  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 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 review 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, click on 'Physical Sciences and Engineering'.

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

• PSEEB Ethical Review - Standard Operating Procedure (Revised November 2023, and replaces the former 'Ethics Review Policy')
• Guidance Note for Applicants (Revised November 2023) - for UG and PGT students only
• ANNEX A - Ethics Checklist (Revised November 2023) - completed checklists should be attached to UG and PGT student applications submitted for ethical approval
• ANNEX B - Research Ethics Review Form (Revised March 2024) - for UG and PGT students only
• ANNEX C - Participant Information Sheet Template (Revised November 2023)
• ANNEX D - Consent Form Template (Interview) (Revised November 2023)
• ANNEX E - Consent Form Template (Online) (Revised November 2023)

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