Ethics Forms and Processes
Source: https://www.ncl.ac.uk/research/research-governance/ethics/process/ Parent: https://www.ncl.ac.uk/undergraduate/
Who we Are - Excellence and impact - Research Excellence - Teaching and Student Experience - Graduate Employability - League Tables and Rankings - Our Strengths - Engagement and Place - Research Strategy - Education Strategy - Social and Environmental Justice - Social Justice - Sustainability - University of Sanctuary - Our Campuses - Faculties, Schools and Research Units - Newcastle Campus - NUMed Malaysia - Singapore Campus - Our People - Global - Structure and Governance - Transparency - Office for Students Transparency Data - Access and Participation - Brand Hub - Deans - Key Dates - Our Partnerships - History of Newcastle University - Contact Us - Maps and Directions - Study with Us
Study with Us - Undergraduate - Find a Degree - Subject Areas - Applications and Offers - Undergraduate Application Advice - Step-by-Step Guide for UK Students - Step-by-Step Guide for International and EU Students - Applying through UCAS - Entry Requirements - A and AS Levels - Personal statements - Application Decisions - Access Schemes and Pathway Programmes - PARTNERS - Policies and Procedures - Applicants with Disabilities - Mature Applicants - Deferred Entry - Fees and Funding - Scholarships and Bursaries - Vice-Chancellor's Excellence Scholarships - Vice-Chancellor’s EU Scholarships – Undergraduate - Vice-Chancellor's International Scholarships - International Foundation Scholarships - International Family Discounts - Opportunity Scholarships - Subject Scholarships - Sports Scholarships - St Nicholas’ Educational Trust Scholarship - NU Sanctuary Scholarships - Tuition Fees and Costs - Additional Costs - Student Loans - International Student Finance - Global Scholarships - Undergraduate Open Days - Sign up and Discover - School and College Outreach - Information for Parents and Supporters - Request a Prospectus - Chat to Our Students - Postgraduate Taught - Find a Degree - Why Choose Newcastle? - Your Study Options - Qualifications Explained - Fees & Funding - Search for Funding - Funding Your Studies - Global Scholarships - Applications & Offers - Application Help - Advice & Resources - Your Offer Guide - Postgraduate Open Days - Chat to Our Students - Postgraduate Research - Find a Degree - Why Choose Newcastle? - Qualifications Explained - Research at Newcastle - Is a PhD for me? - Fees and Funding - How to Apply - How to apply for Studentships - How to Propose your Research - How to Write a Research Proposal - Occasional Students - Student Support - Careers - Our Doctoral College - Postgraduate Open Days - Chat to Our Students - Global Scholarships - Distance Learning - Continuing Professional Development (CPD) - Why Choose Newcastle University? - Our Campus - Libraries - IT - Study Support - Sport - Campus Tours - Student Safety - Student Life - Life in Newcastle - City Suburbs - Sports and Fitness - Food and Drink - Local Services - Things to do - Our North East Region - Cost of Living - Support and Wellbeing - Teaching and Learning - Student Stories - Chat to Our Students - Student Blog - Belong - Accommodation - Our Accommodation - Accommodation Types - Types of Rooms - Accessible accommodation - Staff and Visitors - Bedrooms we offer - Booking - Applying for Accommodation - Accommodation Guarantee - Applying for Undergraduate Accommodation - Applying for Postgraduate Accommodation - Applying for Accessible Accommodation - Part Year Student Accommodation - Clearing and Insurance - Living with Us - Safety and Security - Moving In - Leaving Us - Returning Next Year - Extending Your Stay - Room Changes - Current Residents - Insurance - Parking & Bicycle Storage - Post and Parcels - Guest Visitors and Going Away - Energy & Recycling - ResLife - ResLife Find a Flatmate - Your ResLife Team - Student Support - Policies - Accommodation Payments - Payment Methods - Payment Schedules - Managed Partnerships - Rent Adjustments - Contact Us - Student Village Receptions - Your Accommodation Team - Report a Fault - Feedback and Complaints - Internet Connection - Your Future - Work Placements - Careers Service - About the Careers Service - Careers Service Events - Work for Yourself - Career Planning - Careers Modules - Making Applications - Interviews, Tests & Assessment Centres - Internships, Placements & Shadowing - Finding Jobs - Handling Job Offers - Researching Employers - Making Contacts - Further Study - Awards, Competitions & Project Funding - Volunteering - Boost Your CV - Defence Technical Undergraduate Scheme (DTUS) - Meet Us - Getting Here - Undergraduate Open Days - Undergraduate Virtual Event - Undergraduate Offer Holder Days - Undergraduate Pop Up Event London - Campus Tours - Self-Guided Campus Tours - Postgraduate Open Days - Postgraduate Schools & Supervisors - International Students - Find your Country/Region - International Student Experience - Fees and Funding - English Language Requirements - Visa and Immigration - Chat to Our Students - International Pathway Courses - Newcastle University International Study Centre - Student Exchange and Study Abroad - Request a Prospectus - Key Dates - Contact Us - Your Academic Experience - Our Research
Our Research - Research Impact - Research Strengths - Centres of Research Excellence - Centre for Ageing - Centre for AI Safety - Centre for Behaviour - Centre for Biomedical Engineering - Centre for Cancer - Centre for Children and Youth - Centre for Climate and Environmental Resilience - Centre for Cyber Security and Resilience - Centre for Data Science and AI - Centre for Energy - Centre for Healthier Lives - Centre for Heritage - Centre for Industrial Biotechnology - Centre for Landscape - Centre for Mobility and Transport - Centre for Rare Disease - Centre for Researching Cities - Centre for Transformative Neuroscience - Centre for Water - Research Culture - Research Culture Action Plan - Working Together on Research Culture - Doctoral College - Global Challenges Academy - Global Partnerships - Let's Work Together - Research Excellence Framework (REF) 2021 - Research Directory - Research Governance - Research Integrity - Code of Good Practice in Research - University Research and Innovation Committee - Ethics at Newcastle - Ethics Forms and Processes - GDPR Information for Research - Ethics Toolkit - Responsible Research Innovation - Animals and Research - Security and Defence Research - Research Metrics - Export Control - Open Research - Policies and Guidance - Research and Innovation Support - People - Equipment - Researcher Development - Technicians' Community - Research Facilities - Research Funding - Work with Us
Work with Us - Case Studies - Expert Solutions - Continuing Professional Development - CPD Courses - Collaborative Research - Company Creation - Consultancy - Corporate Partnerships - Facilities and Equipment - Intensive Industrial Innovation Programme - Knowledge Transfer Partnerships - Clinical Trials & Research - Procuring Goods & Services - Working with Newcastle - Tender Opportunities - Submitting an Invoice - Sustainable Procurement - Code of Conduct & Terms and Conditions - Contact Us - Business and Partnerships - Arrow - Degree Apprenticeships - Expert Solutions - Technology Transfer and Licensing - Contact Us - Health & Social Challenges - Creative Collaborations - Alumni
Alumni - Connect with alumni - Develop your career - Discover lifelong learning opportunities - Support future generations - News - Events - Contact us
Search for something
Search... Search...
Important update: Please ensure that once you submit your completed ethics form that you save a copy of your responses by pdf, you will not be able to go back in and see your responses once you close the submission window. It is no longer possible for the Research, Policy, Intelligence and Ethics team to provide a copy of your responses via a word document or PDF after submission.
Staff and students at Newcastle University undertake thousands of (funded and unfunded) projects each year. Newcastle University’s ethics policy and procedure is designed so that ethics review is proportionate to the potential risk. The procedure is as follows:
Step 1: The principal investigator completes Newcastle University's Online Ethics Form. The form is made up of a series of questions, which aim to help the principal investigator identify whether the project is 'high risk' and requires further formal ethical review by a Research Ethics Committee.
Step 2: Once the form is completed and submitted, the principal investigator will receive a notification that either:
- based on the answers provided, the University is satisfied that the project meets the University's ethical expectations and grants the project ethical approval
- based on the answers provided, the project requires further review by a Research Ethics Committee before any research can begin
Where a principal investigator is applying for funding for a project, at the proposal stage (within NUProjects), the principal investigator is also asked to identify the ethics route that will be required for their project proposal (before the project is submitted and any funding is awarded).
Important note
Where a project requires further review, no work should begin until the project is granted ethical approval by the relevant ethics committee. The decision will be communicated directly from the relevant committee.
Ethics Process flowchart
Ethics Process flowchart (PDF:181kb)
Online ethics form
Newcastle University's online ethics form can be divided into two parts:
- preliminary questions, used to identify whether a project is considered high risk by Newcastle University
- additional information, used to acquire further information if the project is identified as requiring formal ethical review by a Newcastle University Ethics Committee
Please see sections below for further information.
Preliminary questions
The online ethics form will begin by asking for key details about the project (including, for example, the principal investigator, the title of the project, a short description of the project, details of any existing ethics etc.)
The form will then ask a series of preliminary questions to determine whether the project is considered high risk by Newcastle University, and therefore requires formal ethical review.
There are six sections:
- animals
- NHS, health and social care
- human participants
- data
- environment
- international
Additional information required for high risk projects
Where a project is considered as 'high risk' by Newcastle University (based on the answers to the preliminary questions on the online ethics form), the form will ask for additional information, including:
- the project outline and research methods
- data access, use and storage
- permissions required and/or obtained
- risk considerations and insurance
- supporting documentation, for example, participant information sheets, consent forms
Additionally, the form will ask further questions regarding the area of risk that was identified by the preliminary questions. For example, if the answers to the preliminary responses indicated that there was a potential risk to the environment, further information regarding this risk will be required.
It is recommended that a minimum of 30 minutes is set aside to complete the additional information section of the form. Should the form take longer than expected, it is possible to save the form by clicking the ‘Resume later’ button at the bottom of the webpage. To return to the form, click the 'Load unfinished survey' button at the bottom of the webpage.
Once a form has been submitted, amendments cannot be made. Should the information provided change, a new form will need to be submitted.
Outcomes
Depending on the answers provided to the preliminary questions, there are four potential outcomes:
- ethical approval required from an NHS/HSC REC (see Ethics Toolkit - NHS & Social Care)
- ethical approval required from the Animal Welfare Ethics Review Board (see Ethics Toolkit - Animals)
- ethical approval required from a Faculty Research Ethics Committee (see Newcastle University Ethics Approval Committees)
- no further ethical review required
Please see the sections below for further information.
Projects already granted ethical approval by an external ethics committee:
- the form will ask whether the project has already been granted ethical approval
- if so, the form will ask whether the Faculty Ethics Representative has agreed to accept the existing approval in lieu of a new application, see Ethics Toolkit - External Ethical Approval
- where the external ethics approval has been accepted, the form will not proceed to ask any further questions and the outcome will be: No further ethical review required
No further ethical review required
A copy of the form and any supporting documentation will be saved. The applicant will receive an email confirming the decision, which should be saved for their records.
Where a project is funded and awarded, the decision will be copied onto the relevant NUProjects record.
Ethical approval required from a University Ethics Committee
On submission, the form and any supporting documentation attached are sent directly to the relevant Research Ethics Committee (REC) for review. The applicant will receive an email confirming their application has been identified as requiring formal review by:
- Animal Welfare Ethics Review Board, or
- FMS REC
- SAgE REC
- HaSS REC
- School of Psychology REC
The project will then undergo formal review (please see Ethics Approval Committees for more details). The applicant will receive an email notifying them of the decision made by the committee, which should be saved for their records. Committees may:
- grant approval
- request further information
- request amendments
- reject the application
Research must not commence until the research has undergone ethical review and received approval from the relevant committee.
Where a project is funded and awarded, the decision (and any supporting documentation) will be added to the relevant NUProjects record.
Ethical approval required from NHS/HSC Research Ethics Committee
A copy of the form and any supporting documentation will be saved. The applicant will receive an email advising them that the project requires NHS/HSC Research Ethics Committee (REC) approval. For further information regarding how to apply for NHS/HSC REC approval, please see the Ethics Toolkit - NHS & Social Care.
Where a project is funded and awarded, the outcome of the NHS/HSC REC review will be recorded on the relevant NUProjects record.
Appealing a decision
Where a researcher wishes to appeal a decision reached by a Faculty Ethics Review Committee (FMS/HaSS/SAgE RECs), they should submit their appeal in writing to the Chair of the Committee, via the Faculty Ethics Coordinator. The Chair can reject, uphold or ask for an alternative review from within their own committee or another of the Faculty committees.
Following the Chair's decision, if the applicant is still dissatisfied, the matter can be referred for consideration by the Chair of the University Ethics Committee. Their decision is final. No research should start until the appeal has been resolved.
Amending approved projects
If you wish to make an amendment to a low-/high-risk project that has already been approved, please contact res.policy@ncl.ac.uk to clearly explain what it is that you require to change on your project. Based upon the information you provide, the amendment will either be categorised as low or high risk and will then follow these processes:
Low risk:
If the Research Policy, Intelligence and Ethics Team determine that this amendment is low risk they will amend the ethics survey that you originally submitted, to reference the amendment based upon the information that you have provided. You will be notified via email of this decision and will receive a pdf copy of the amended ethics survey relating to the project, for your records. No further actions are required following this process and you can implement the amendment to your project.
High risk:
If the Research Policy, Intelligence and Ethics Team determine that this amendment is high risk, they will notify you of this decision via email. You will be instructed to contact your Faculty Research Manager in order to inform them of the details of the amendment request and that it has been classified as high risk following the review by the team. Your amendment request will then be processed at faculty level, who will inform you of a decision directly.