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UCL Research Ethics Committee

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Procedures for Applications

Step 1

Check Application Submission Deadlines and Meeting Dates →

Step 2

Register within the Ethics database (Registration Form →), with your personal details, if not already registered. If this is your first application to the Committee, a personal account will be established for you. If you have made any previous applications to the Committee, the current proposal will be added to your account which can be viewed when you enter the site. You can track your application at any time by viewing your account.

A unique Project ID for your proposal will be issued. The finance department will require this Project ID in order to process grant applications based on this research. Once a Project ID has been issued, the application form and guidelines will be available for download.

A sample copy of the documentation can be viewed below.

Step 3 (if required)

Data Protection – You can register for Data Protection on the → UCL Legal Services website by downloading 'Research Registration Form'. The form should be completed and e-mailed to: data-protection@ucl.ac.uk. The Legal Services should be able to process your application within 5 days upon which time you will be issued with a Data Protection Registration Number.

Please quote your data protection registration number in section A2 of the application form as evidence that the project has been registered with the UCL Data Protection Officer.

Step 4 (if required)

Formal Sponsorship Review for Clinical Trials Conducted in Developing Countries - If your project is an interventional study in a developing country i.e. a drug, device or surgery trial then you will need to register your study within the new UCL Interventional Clinical Trials Portal: www.ucl.ac.uk/ictm/portal by completing an Entry Questionnaire (EQ) and emailing a copy to ucl.trials.portal@ucl.ac.uk (cc.d to ethics@ucl.ac.uk). On receipt of your EQ, the ICTM Portal Review Group (who administer the portal) will discuss your EQ and an email response will be sent to you with information on the next steps in the process. General queries/questions regarding the Portal should be directed to: ucl.trials.portal@ucl.ac.uk

Step 5 (if required)

Disclosure and Barring Service (DBS) Checks. A criminal record check will be required by law if the research includes working in 'Regulated' activity with vulnerable groups as defined by the Safeguarding Vulnerable Groups Act 2006 or in a position of trust as defined by the Rehabilitation of Offenders Act Exception Order 1975. Further information and advice is available at the → Disclosure and Barring Service (DBS) Checks website. It is imperative that researchers to whom this applies take action promptly. It can take a month or more to arrange and complete the check; but it is important that researchers have received their clearance before entering a position of trust. Please quote your DBS Disclosure Number in section A2 of the application form. Current students or those who have applied for a place on a programme at UCL which needs DBS clearance must visit the Student Centre to have their DBS form checked and authorised, and should email studentrecords@ucl.ac.uk for information about this in the first instance.

Staff who need the DBS check as part of their work (for a research project, for example) should contact the Employment Contracts Administration of Human Resources at HR.ECA@ucl.ac.uk for a form to complete to decide what level of certificate is required. Once they have seen your completed form and made their decision, you will need to go to HR in person to collect the DBS form itself.

As stated in the UCL DBS staff policy: ‘UCL will accept portability of DBS checks, which individuals may have from previous employers, as proof of satisfactory clearance when the disclosure is at the correct level i.e. Standard / Enhanced / Enhanced +Barred list free from any offences that would prevent them being employed by UCL and the individual has subscribed to the update service, which states that there is no change to the certificate.’

Step 6

Risk Assessment – In order to determine whether there are any risks associated with your research i.e. risks to yourself as the researcher and to those you are researching, it is important to carry out a risk assessment. It is a legal requirement that all research is assessed for risk. Refer to your Departmental arrangements for risk assessment procedures. Alternatively please refer to UCL Safety Services guidance on how to carry out a risk assessment. The guidance includes how to record the assessment which must be authorised by your Supervisor and retained for your records. Please e-mail: safety@ucl.ac.uk if you require further advice.

Step 7 (if required)

Insurance – The insurance for all UCL studies is provided by a commercial insurer. For the majority of studies the cover is automatic. However, for a minority of clinical research studies the insurer requires prior notification of the project before cover can be provided (see → UCL Insurance).

Travel Insurance arrangements for students conducting research overseas – for studies conducted overseas an application form will need to be completed so that an insurance cover note can be issued. For further information and guidance please visit: → Insurance website.

Step 8

Complete the application form and appendices that are applicable to your study ensuring that both the Principal Researcher and the Head of Department have signed the form. The Head of Department should also indicate on the form whether the application is being submitted for (a) Chair's action or (b) Full Committee Review based on the criteria of minimal risk (see → application guidelines).

Recruitment Documents for Participants – All studies that involve the recruitment of participants will use recruitment documents such as information sheets and consent forms. For example forms as well as guidance on formulating your participant information sheet (see → Advice on Formulating Participant Information Sheets).

Step 9

When the application is complete, please submit a signed electronic copy of your application to: ethics@ucl.ac.uk

It is important that your application is submitted as a single pdf document which contains the electronic signatures of both the Principal Researcher and Head of Department and includes any supporting documentation, all in one file. Please do not provide a scanned physically signed version as this creates a large pdf document.

Step 10

Following Approval – The Principal Researcher must report any proposed changes, any adverse events and if required report progress on an annual basis (see Key Responsibilities of the Principal Researcher following Approval).

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