Research Ethics Guide

Research Ethics Guide
Undergraduate and Postgraduate Taught
students
Version 2.1
28 Sept 2021

Ethics handbook – UG & PGT Version: 2.1 Date: Sept 2021
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NOTE: This handbook is subject to regular review. Please ensure that the version of this ethics handbook
is the most up to date by accessing
https://lncn.ac/eth_ugpgt_hb
The information provided in this handbook compliments guidance provided on the Research Governance
portal pages and in LEAS.
OUT OF DATE DOCUMENTS SHOULD NOT BE USED AND HARD COPIES SHOULD BE
DESTROYED

Research Ethics Guide
UG & PGT Students
Version 2.1 Date 28 Sept 2021
Effective Date: 28 Sept 2021
Next review: 2 years
Author: Research Governance Team: [email protected]

 

Version History Reason for change
2.0 Additional training materials referenced throughout.
Changes made in line with LEAS updates.
Clinical SOPs information added.
Survey platform section edited in line with university shift to Jisc Online Surveys.
2.1 Minor change to clinical research guidance

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Research related policies and guidance …………………………………………………………………………. 5
Research Integrity ………………………………………………………………………………………………. 5
Research responsibilities ……………………………………………………………………………………….. 5
Research Misconduct……………………………………………………………………………………………. 6
Appeals and complaints ………………………………………………………………………………………… 6
Ethics Queries ……………………………………………………………………………………………………. 6
Ethics Leads ……………………………………………………………………………………………………… 6
Frequently Asked Questions (FAQ)……………………………………………………………………………. 6
What is LEAS?………………………………………………………………………………………………………. 7
Ethics Application Form types …………………………………………………………………………………….. 7
Proportionate review vs full committee review………………………………………………………………. 7
Expedited reviews……………………………………………………………………………………………….. 8
The Ethics Process ………………………………………………………………………………………………. 8
Starting your research………………………………………………………………………………………….. 8
Ending your research……………………………………………………………………………………………. 8
Training videos……………………………………………………………………………………………………… 8
Project Registration Forms………………………………………………………………………………………… 9
What is a Project Registration Form? …………………………………………………………………………. 9
Points to consider when writing a PRF………………………………………………………………………… 9
Exemplar Applications …………………………………………………………………………………………….10
Completing your LEAS application……………………………………………………………………………….10
Sharing the Application with a colleague / student ………………………………………………………10
………………………………………………………………………………………………………………….10
Commenting on a shared application ………………………………………………………………………11
Completeness Check …………………………………………………………………………………………11
Action required………………………………………………………………………………………………..11
Project Tree……………………………………………………………………………………………………11
Unlocking your form………………………………………………………………………………………….11
Responding to reviewer comments……………………………………………………………………………12
Table view………………………………………………………………………………………………………..12
Academic Supervisor sign off ………………………………………………………………………………….12
Recruitment of participants……………………………………………………………………………………….12
Recruiting via social media …………………………………………………………………………………….12
Templates for recruitment of participants ……………………………………………………………………12
Paid Participants/CAPTCHA verification ………………………………………………………………………13
eConsent………………………………………………………………………………………………………….13
Social Media Research ………………………………………………………………………………………….13
Research Involving Children or Vulnerable Adults……………………………………………………………..13
Research Involving Children……………………………………………………………………………………13
Is a DBS required?………………………………………………………………………………………………13

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Guidelines for the Production of Research Materials…………………………………………………………..14
General Guidance …………………………………………………………………………………………….14
Optional Additions…………………………………………………………………………………………….14
Poster/Leaflets ………………………………………………………………………………………………..14
Social Media …………………………………………………………………………………………………..14
Emails ………………………………………………………………………………………………………….15
Guidance for the use of images/videos from the internet in research………………………………………16
Using google search to Find free to use images …………………………………………………………….16
Find images, text, and videos you can reuse……………………………………………………………..16
Types of usage rights ………………………………………………………………………………………..16
How usage rights work ………………………………………………………………………………………16
Where it is not possible to use free to use or share images ……………………………………………16
Is permission always required to copy or use an image? ……………………………………………….16
Non-commercial research and private study ……………………………………………………………..17
Fair dealing ………………………………………………………………………………………………………17
Pornographic stimuli…………………………………………………………………………………………….17
Questionnaires……………………………………………………………………………………………………..18
Online Surveys…………………………………………………………………………………………………..18
Qualtrics (Psychology and limited users ONLY)……………………………………………………………..18
IP addresses…………………………………………………………………………………………………..18
Student questionnaire approval …………………………………………………………………………….18
Importing Templates into Qualtrics ………………………………………………………………………..18
Qualtrics Help and Support ………………………………………………………………………………….19
CAPTCHA verification…………………………………………………………………………………………19
Amending an existing ethics application (LEAS)……………………………………………………………….20
Amending a LEAS form …………………………………………………………………………………………20
LEAS amendment guide ……………………………………………………………………………………..20
LEAS amendment reference…………………………………………………………………………………20
Viewing Completed Sub Forms (inc. amendments, progress reports, student sub forms). ………..20
Annual Progress Reports and End of Study Forms…………………………………………………………….20
Annual Progress Reports (APR) ……………………………………………………………………………….20
End of Study Forms (EoS) ……………………………………………………………………………………..21
Sub Form Guidance………………………………………………………………………………………………..22
SubForm training (students) ………………………………………………………………………………..22
Viewing Completed Sub Forms (inc. amendments, progress reports, student sub forms). ………..22
Risk Assessments ………………………………………………………………………………………………….23
Health and Safety Risk Assessments …………………………………………………………………………23
Research Integrity Risk Assessments…………………………………………………………………………23
Clinical research ……………………………………………………………………………………………………24
Research Sponsor……………………………………………………………………………………………….24
IRAS applications………………………………………………………………………………………………..24

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Sponsor Process …………………………………………………………………………………………………24
Local document pack……………………………………………………………………………………………24
Clinical Governance……………………………………………………………………………………………..24
Applying to the HRA:……………………………………………………………………………………………25
Research Passport / Honorary Contract / Letter of Access (LoA) …………………………………………25
HRA Training……………………………………………………………………………………………………..25
Single Centre Student Research (involving LPFT, LCHS, ULHT or EMAS) ……………………………….25
Useful Links and External Guidance……………………………………………………………………………..26
Glossary of Terms………………………………………………………………………………………………….29

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This ethics guide is designed to provide useful guidance, hints, and tips for completing and submitting
ethics applications via the University’s online ethics application system LEAS.
Research related policies and guidance
All Staff and students undertaking research must familiarise themselves with this handbook and Research
related policies
Research Ethics Policy https://lncn.ac/re
Code of Practice for Research https://lncn.ac/copr
Procedure for the Investigation of Misconduct in Research (UKRIO) – https://lncn.ac/rmisconduct
Research Data Management Policy https://lncn.ac/rdm
Research Integrity
The University of Lincoln is committed to encouraging research of the highest quality by supporting good
conduct and helping to prevent misconduct. It aims to uphold the following commitments outlined in the
UUK Concordat to support Research Integrity (the concordat)
https://lncn.ac/concordat_ri, which provides
a comprehensive national framework for good research conduct and its governance.
The university’s code of practice for research
https://lncn.ac/copr translates the UUK concordat to
supportresearch integrity
https://lncn.ac/concordat_ri into university policy.
The five core principles are:
Maintain the highest standards of rigour and integrity in all aspects of research
Ensure that research is conducted according to appropriate ethical, legal, and professional
frameworks, obligations, and standards
Support a research environment that is underpinned by a culture of integrity and based on
goodgovernance, best practice, and support for the development of researchers
Use transparent, robust, and fair processes to deal with allegations of research misconduct
shouldthey arise
Work together to strengthen the integrity of research and to review progress regularly and openly.
Research responsibilities
The University requires that all those carrying out such research engage with the University’s commitment
toconduct research to high ethical standards; understand the reasons for, and participate fully in, the
ethical review process (whether under the University’s procedures or those of authorised bodies such as
the Health Research Authority); and fulfil their moral and legal responsibilities in respect of the rights and
welfare of participants. The Research Ethics Policy may be found
https://lncn.ac/re
Good research conduct applies to all researchers who conduct research for the University of Lincoln –
regardless of whether the research is funded or unfunded, who it is funded by and where the research is
conducted.
The conduct of all students must always be overseen by an identified academic, who takes responsibility
forensuring that the Code of Practice for Research and all relevant policies and procedures are followed.
The research code of practice may be found here
https://lncn.ac/copr
The University of Lincoln is committed to ensuring that its research activities involving human participants
and personal data are conducted in a way which:
respects the dignity, rights, and welfare of all participants in research.
minimises risk to participants, researchers and third parties.
appropriately manages personal data; and
aims to maximise the public benefit of research.
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Research Misconduct
The University of Lincoln expects all staff, students, and non-members conducting research to observe the
highest standards of ethics and integrity.
Anyone wishing to raise concerns about the integrity of research can do so in confidence, further details
available here:
https://www.lincoln.ac.uk/home/researchatlincoln/researchethicsandintegrity/
Public Interest Disclosure (Whistleblowing) policy https://lncn.ac/whistleblow
Appeals and complaints
If you wish to appeal the committee’s decision on your application or make a complaint, please visit the
following link
https://lncn.ac/ethicsa&c
Ethics Queries
For ethics queries related to your discipline please contact your College/School Research Ethics Lead.For
system queries please contact
[email protected]
Ethics Leads
Research Ethics Leads:
Act as a local point of contact for staff and students
Provide advice and guidance on ethical issues
Provide ethics advice in relation to grant applications
Signpost to relevant University guidelines and policies around research conduct and professional
Codes of Conduct where necessary
Direct staff and students to the online ethics review process
Monitor potential issues and report as required to the Research Governance Team and or relevant
Committee Chair/Deputy
The list of ethics Leads may be found here
https://lncn.ac/fecmembers
Frequently Asked Questions (FAQ)
Check out our FAQs section on LEAS here https://lncn.ac/ethicsfaq
The FAQ section covers topics such as:
Creating an application
Where is my application
Amending an application
Creating/Using Online Questionnaires (Qualtrics)
Uploading documents
Exporting your application
When do I need a protocol / research proposal?
Academic supervisors
If you are unable to find an answer here please contact
your ethics lead in the first instance.
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What is LEAS?
The Lincoln Ethics Application System (LEAS https://lncn.ac/leas pronounced ‘Lees’) is the University of
Lincoln’s ethics application system.
The system is used for all researchers conducting any research whilst at the University of Lincoln.
Video guides on how to use LEAS may be found here
https://lncn.ac/ethics_train
As our online system is customisable, we encourage continuous feedback. If you would like to leave us
feedback you may do this here
https://lncn.ac/leasquestionnaire.
The main training video for navigating LEAS may be found at:
https://lncn.ac/leasguide
The video covers the following topics:
Create a project
Open the application
Question guidance
Navigate button
Templates
Sharing the application
Completeness check
Signing the application/submitting the application
Requesting a signature
Transferring a project
Viewing the status of the application
Ethics Application Form types
Below is a quick summary of the differences between application types. Further information may be found
below.
Project registration forms (PRFs) – low risk projects that involve no human participants. Most
PRFsare systematic reviews/desk-based research.
Proportionate review application – minimal risk, burden, or intrusion to research participants.
Often inthe form of questionnaires, interviews and focus groups.
Full committee review application – pose more of a risk to participants or involve a vulnerable
samplegroup such as children.
Expedited application – urgent applications that need fast tracking through the review process.
All of the above forms may be completed using LEAS
https://lncn.ac/leas
Proportionate review vs full committee review
Full ethics applications (those that do not fit the criteria for a PRF) will either be proportionately reviewed
or go to a full committee. Typically these reviews take 15 working days.
Proportionate reviews are for ethics applications with minimal risk, burden, or intrusion to research
participants. These applications are reviewed by two reviewers.
Ethics applications that have more than minimal risk and/or involve a vulnerable group will be assigned to
afull committee meeting.
Full committee meetings involve staff members from a variety of different disciplines plus a ‘lay member’
who may be external to the university. Applicants (and supervisors, if applicable) are invited to these
meetings torespond to feedback.
Dates of the next full committee meetings may be found here https://lncn.ac/fec, please note for
applications to be considered they must be submitted a minimum of 10 working days prior to the meeting.
Please also note that we are limited to the number of applications which may be reviewed at any meeting;
therefore, it isadvisable to submit your application as soon as you may.

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Expedited reviews
Under exceptional circumstances an expedited review may be appropriate where a research project requires
full review but has a short lead time and is commissioned in response to a demand of pressing importance).
Expedited reviews typically have 5 working days turn around rather than 15 working days.
If you are unsure whether your application may be expedited, please contact
[email protected]
The Ethics Process
Standard Operating Procedures (SOPs) which outline the applicant and review process may be found here:
https://lncn.ac/ethics_sops.
Starting your research
Prior to commencing any research activity (including advertising) a favourable ethical opinion must be
received.
Ending your research
At the end of your study, please complete the End of Study Declaration (EoS) in LEAS. Guidance for
creating and completing the EoS may be found here
https://lncn.ac/apr_eos
Training videos
A suite of training videos has been created by the research governance team to aid completion and
navigation of the online ethics system. These may be found here
https://lncn.ac/ethics_train
The following training videos are currently available for students
Amending an amendment
Amendments
Annual progress reports and end of study forms
Completing a sub form (students only)
How to duplicate a project
How to unlock an application
How to view your sub forms
Navigating LEAS
Responding to reviewer comments
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Project Registration Forms
What is a Project Registration Form?
A Project Registration Form (PRF) is designed to register your project that is unlikely to have any material
ethical issues. A PRF is required when collaborating with another institution where that is the lead
institution and they responsible for making an ethics application.
You should complete a PRF when your research is one of the following:
Chemistry / Pharmacy / Physics (not using human participants or human tissue)
Computing / Mathematical / Modelling / Equation-based (not using human participants)
Collaborator on project with other (HEI/NHS) ethics – recruiting via UoL
Collaborator on project with other (HEI/NHS) ethics – no recruitment via UoL
Creative practice
Engineering or mechanical-based (not using human participants)
Exhibition / Performance / Curation (no contact with audience)
Library or desk-based research
Programming (not using human participants)
Review of data held publicly (if collecting data from social media please tick no to A.3)
Review of published literature
Robotics (not using human participants)
Systematic review
(NCFM) Food Microbiology
(NCFM) Product development not involving human sensory evaluation
(NCFM) Research using commercially available food products
If you have any queries about this, please contact
[email protected]
Note: Project Registration Forms are audited periodically by the research governance team, in rare instances
and where appropriate, a full ethics application may be subsequently required.
To create a Project Registration Form, select yes to A.3 on LEAS.
Points to consider when writing a PRF
See also guidance below ‘Completing your LEAS application’
The PRF summary section should briefly outline the topics you intend to cover and how you intend to research
them. The most common type of PRF we receive is for desk-based research.
Things to consider when writing your desk-based research PRF summary:
What are your research questions? What overarching question does your research intend to
answer?
What resources will you be using? Do you intend to use books, online journal libraries?
Are there any particular journals you intend to focus on?
What key search terms will you be using?
Please note if you intend to collect primary data e.g. a questionnaire /interview you will need
tocomplete a full application
List any potential benefits your research might have e.g. it will explore an under researched area.
Note: Staff may complete a PRF that covers their broad research interests (provided they fall within the
remit of a PRF). The maximum duration for a PRF should be 5 years.

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Exemplar Applications
A suite of exemplar applications is available as a guide. It is recommended that researchers / academic
supervisors familiarise themselves with these.
To view exemplar applications please see
https://lncn.ac/ethguidance
Completing your LEAS application
When completing your application please ensure that you provide the enough detail so that the
ethics reviewers can make an informed decision about your study. There are ‘i’ guidance buttons
throughout the system – please refer to these. The buttons provide additional guidance for completing
the questions.
LEAS is dynamic and the form will populate based on your responses. Please therefore ensure that you
select the correct form in A.3 / A.4. Failure to do so, will extend the review process.
C.1 suggests a word count of 500 words, this is so sufficient detail is provided – if you need to provide
more detail please do so, however please ensure that it is clear and concise – see ‘i’ for further guidance.
It is the applicant’s responsibility to highlight any ethical, legal or management concerns (C.2
full ethics
applications only
). Please see the ‘i’ guidance relating to this question.
Submitted applications should be ‘review ready’, this speeds up the review process and avoids
unnecessary delays. Please ensure that you:
Proofread your application especially any Participant Facing Materials (PFM) in relation to
spelling/grammar/syntax.
Keep your project summary in lay terms
Personal data is information such as names, email addresses (work/personal), phone numbers
andaddresses – as should only be retained for as long as necessary to contact a participant. This
information should be stored separately to the research data. If you are collecting/using
any of
these,you must tick yes to R.1
Research data is data collected during the course of the project and may also contain personal
data(including special category data)
Read the guidance information provided in the ‘i’ button
Provide all documents relevant to the study
Academic supervisors should provide guidance and comments to student applications before
submission
Ethics system emails come from [email protected] – please do not ignore these
Complete/modify Risk Assessments: Your ethical opinion is not dependent on a risk assessment being
completed/modified, in line with Health and Safety policy and guidance – that data collection isnot
permitted to commence until a risk assessment is completed or existing risk assessment reviewed and
updated (see also risk assessment section).
Sharing the Application with a colleague / student
If you have created an application but wish to share it with others who willbe working on the project,
you may do so by pressing the ‘Share’ button in your ‘Actions’panel. Ensuring that you set any relevant
access levels (read, write, submit, share, createall sub forms, receive notifications).
Please note that you cannot share the application with externals using this functionality. To share with
them, you will need to print a PDF – using the print icon.

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Commenting on a shared application
In some instances, you wish to comment on a shared application. You may comment on a question by
clickingon the speech bubble at the top of the screen.
In the pop-up box press ‘+Add Comment’, write your comment making sure to include the question
numberthat it relates to, then press save.
N.B. Comments made on an application prior to submission are not visible to reviewers.
Completeness Check
The Completeness Check button assesses how much of the application has been
completed and how much there is left to do.
It will also highlight if you are not using the most up to date version of LEAS. If you
are not using the latest version, please click the blue update button at the top of the
page (this is only visible if you are not using the latest version) Inside the project
you can viewa column called ‘Ready for submission’, this indicates the status of the
form. The statusesare outlined below.
Action required
Action required – This column will indicate if any actions are required from the applicant.
Yes
No
When the “Action required” status is set to “Yes” the text will be blue click this to run the completeness
check. It will inform you of any outstanding actions are required.
Status – This column will indicate the form’s review status
Not Submitted – when the form is newly created and has not been submitted
Submission in Progress – when the form is complete and is in the process of being
submitted.
Submission Failed – when the form submission has failed. Please check action required, if still
having issues submitting please contact
[email protected]
Project Tree
To view other related sub forms such as amendments and annual progress reports you can
click on the project tree button.
This will also show you the current status of each sub form.
Unlocking your form
When trying to make changes you may find that your application is locked, please check your project
status. If the status is ‘Not Submitted’, please view the following video https://lncn.ac/leasunlock If
your status is showing as submitted, please contact [email protected]

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Responding to reviewer comments
A video guide for responding to review comments can be found here: https://lncn.ac/leasguide2
This video covers the following topics:
Opening the application
Viewing reviewer comments/supervisor comments
Summary document
Resubmitting the application
Further guidance and support
Table view
Some questions in LEAS like those in section R (Confidentiality and Personal Data) allow you to view
your responses in table view. An example of table view can be found below. To get to table view, click
save and then the blue ‘View as Table’ button.
Academic Supervisor sign off
Academic Supervisors are required to review and electronically authorise a student’s form before it is
submitted. A thorough academic review prior to sign off will reduce the time taken for ethical review.
Poor / incomplete applications will be returned.
Recruitment of participants
If you intend to recruit participants to take part in your study, please ensure that you provide the
reviewers with as much detail as possible. Please provide detail relating to how you will approach potential
participants, if you intend to use email or social media – please ensure that you provide the text / advert
that will supplement the participant information sheet. It is recommended that the text / advert also
includes the expected time commitment involved.
Recruiting via social media
Please ensure that you provide the recruitment text that will be shared with potential participants. You
may need different text dependent on whether or not characters are limited (e.g. twitter posts). Please
ensure that you also follow the Guidelines for the Production of Research Materials in the section below
and ensure thatyour UoL ethics reference is included. Your ethics reference may be found at the top of
your favourable opinion letter e.g. UoL2020_0001.
Templates for recruitment of participants
A suite of templates is available for you to use, these ensure compliance with university policies and
external legislation. The templates include guidance text, suggested text, and mandatory text. The
templates are available under the help section in LEAS
https://lncn.ac/templates:
Participant Information Sheets (PIS)
Age-Appropriate Information Sheet Guidelines For: Under 5, 6-11, 11-15
Consent Forms
Debrief
Demographic, Gender, Ethnicity, Sexual Orientation Guidance
Recruitment text examples
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Paid Participants/CAPTCHA verification
If you are intending to pay participants an ‘inconvenience allowance’ for taking part in your research.
Please ensure that payment complies with the University’s Paid Participant Policy
https://lncn.ac/paidparticip. You should also outline any payment details in your ethics application.
If you are using paid participants through sites such as MTurk your online questionnaire must have a
captcha question at the beginning on your questionnaire. This is a tool that may be used to make sure
robots are not spamming your responses.
It is recommended that where possible questionnaires use CAPTCHA verification.
eConsent
eConsent (seeking consent by electronic methods) is increasingly being adopted by researchers: either
to supplement the traditional paper-based approach or, where appropriate, as a replacement for it.
The university guidance for e-consent may be found here
https://lncn.ac/econsent
Social Media Research
Internet-mediated / social media research can take place in a range of settings, for example email, chat
rooms, web pages, social media (e.g. Facebook or Twitter) and various forms of instant messaging.
These can pose specific ethics dilemmas, such as:
What constitutes ‘privacy’ in an online environment?
How easy is it to get informed consent from the participants in the community being researched?
What does informed consent entail in that context?
How certain is the researcher that they can establish the ‘real’ identity of the participants?
When is deception or covert observation justifiable?
How are issues of identifiability addressed?
How do country-specific legal requirements (e.g. for data protection) apply in internet-mediated
research that crosses national boundaries?
All of the above should be considered when writing an application where you are studying social media
– refer to this in C.2 There are a range of resources on social media research available in the external
guidance section on our portal page
https://lncn.ac/ethics
Research Involving Children or Vulnerable Adults
Research Involving Children
Templates for child and parental information sheets and consent forms may be found here
https://lncn.ac/templates
Is a DBS required?
The Disclosure and Barring Service (DBS) helps employers make safer recruitment decisions each year
by processing and issuing DBS checks for England, Wales, the Channel Islands, and the Isle of Man. DBS
alsomaintains the adults’ and children’s Barred Lists and makes considered decisions as to whether an
individual should be included on one or both of these lists and barred from engaging in regulated activity.
If you are not sure whether or not a DBS is required when conducting your research, please see the
following guidance. A DBS is required for regulated activities:
When working with children please see Regulated activity in relation to children
https://lncn.ac/govchild1

When working with adults please see Regulated activity in relation to Adults in England
https://lncn.ac/govadult1

DBS checks are required when working with child for regulated activities, if you are staff and need a
DBS check, please contact your school administrator to organise this for you. If you are a student and
require a DBS check, please speak to your academic supervisor.
Further guidance on DBS checks may also be found here:
https://www.gov.uk/government/organisations/disclosure-and-barring-service
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Guidelines for the Production of Research Materials
All Participant Facing Materials (PFM) must follow the Guidelines for the Production of Research Materials.
General Guidance
All materials must have been reviewed and approved by a University Ethics Committee.
All materials should clearly state the advertisement is for a research study and always include
the UoL logo and your ethics reference
If materials are to be placed outside the University a copy must be sent to administrative staff
at relevant bodies/institutions for information
All materials should make clear to participants that involvement is voluntary
Under no circumstances should coercion, implicit or explicit, be used:
This includes using ‘scare tactics’ to emotionally coerce participants or
Bribery, only discreetly mentioning agreed incentives where applicable
Appropriate lay language should be used that is easily understood by the audience
All material should give a reasonable idea of the nature of the research and what
participantinvolvement will include
Under no circumstances should materials make misleading claims about the research or
researchers
All materials must include the Lead Researchers full contact details – name, position,
department/school, email, and phone number
No personal contact details should be included on any material
All materials must include [email protected] for any participants to contact with concerns
All recruitment materials must include a University of Lincoln reference (found at the top of your
favourable opinion letter) e.g. UoL2021/1234’
Optional Additions
Where relevant, materials should mention if participation requires the consent of others e.g.
parents or guardians.
Where relevant, materials should mention if participation is to be confidential/anonymous with
a clause that if laws are broken or there is potential harm to the participant or others then the
information may be disclosed.
Poster/Leaflets
All materials must include the University logo from Corporate Branding, which must be straight,
legible, and not touched by anything else
All materials must use the fonts in line with the University’s Corporate Branding Guidelines
All text must be in a colour that makes it legible
All text must be a readable size
All materials must include a footer with the title, date, version number and an ethics reference
Social Media
Social media relates to any internet sites used for social purposes, including but not limited to:
Facebook, Twitter, LinkedIn, Instagram, Reddit, and YouTube
All posts must follow the General Guidance outlined at the beginning of this document
Recruitment text designed for social media must be submitted and agreed as part of the ethical
review process; including a list of any sites and any hashtags to be used
Permission from page/group administrators must be sought prior to posting in any private/closed
groups
Under no circumstances should vulnerable groups be targeted using social media unless agreed
by an appropriate University Research Ethics Committee

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Recruitment for projects involving offensive/distressing topics using social media should be
avoided, unless justified in the ethics application.
Emails
Under no circumstances should ‘All Staff’ mailing lists be used as a method of recruitment
Only relevant staff mailing lists may be used for approaching potential participants and the Head
of School must have approved this
Email recruitment text must be submitted as part of the ethical review process
The ethics reference must be made clear in the subject of the email
https://www.gov.uk/guidance/exceptions-to-copyright
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Guidance for the use of images/videos from the internet in research
Should you wish to use images from the internet in your research, it is recommended to search for images
using the Google ‘Advanced Image search’ functionality and where possible use ‘Free to use or share’
images.
It is the
responsibility of the applicant to satisfy the ethics committee that images from the internet are
beingused in accordance with any applicable laws/exceptions. When completing an ethics application, you
must ensure that you make clear to the ethics committee (in C.2) where the images / videos are sourced,
and which legal basis isbeing used for using the images in research.
Using google search to Find free to use images
When you do a Google Search, you can filter your results to find images, videos, or text that you have
permission to use. To do this, use an Advanced Search filter called “usage rights” that lets you knowwhen
you can use, share, or modify something you find online.
Find images, text, and videos you can reuse
1. Go to Advanced Image Search for images or Advanced Search for anything else.
2. In the “all these words” box, type what you want to search.
3. In the “Usage rights” section, use the drop-down to choose what kind of license you want the
content to have.
4. Select Advanced Search.
Note: Before reusing content, make sure that its license is legitimate and check the exact terms of reuse.
For example, the license might require that you give credit to the image creator when you usethe image.
Google can’t tell if the license label is legitimate, so we don’t know if the content is lawfullylicensed.
Types of usage rights
Free to use or share: Allows you to copy or redistribute its content if the content remains
unchanged.
Free to use share or modify: Allows you to copy, modify, or redistribute in ways specified in the
license.
Commercially: If you want content for commercial use, be sure to select an option that includes
the word “commercially.”
How usage rights work
Usage rights help you find content that you can use above and beyond fair use. Site owners can uselicenses
to let you know if and how content on their sites can be reused.
The usage rights filter in Advanced Search shows you content either labelled with a
Creative Commons or
similar license, or is in the public domain. For images, the usage rights filter also shows you images labelled
with the
GNU Free Documentation license.
Where it is not possible to use free to use or share images
Images that have been found on the web may be used in the following situations:
you know the copyright term has expired.
you have permission from the copyright owner for exactly what you want to do with it (for example,
todisplay it on your website) – this may be in the form of something like a licence you purchase
from apicture library or a Creative Commons Licence; or
you use the images for specific purposes known in law as permitted acts.
Is permission always required to copy or use an image?
Sometimes permission is not required from the copyright holder to copy an image, such as if the copyright
has expired. Permission is also not required if the image is used for specific acts permitted by law
(“permitted acts”, or sometimes referred to as “exceptions to copyright”). People can use copyright
works without permission from the copyright owner, such as for private study or non-commercial research,
although some exceptions are not available for photographs

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Non-commercial research and private study
You are allowed to copy limited extracts of works when the use is non-commercial research or private
study, but you must be genuinely studying (like you would if you were taking a university course). Such
use is onlypermitted when it is ‘fair dealing’ and copying the whole work would not generally be considered
fair dealing.
The purpose of this exception is to allow students and researchers to make limited copies of all types of
copyright works for non-commercial research or private study. In assessing whether your use of the work
is permitted or not you
must assess if there is any financial impact on the copyright owner because of your
use. Where the impact is not significant, the use
may be acceptable.
If your use is for non-commercial research, you must ensure that the work you reproduce is supported by
a sufficient acknowledgement.
Fair dealing
Certain exceptions only apply if the use of the work is a ‘fair dealing’. For example, the exceptions relating
to research and private study, criticism or review, or news reporting.
‘Fair dealing’ is a legal term used to establish whether a use of copyright material is lawful or whether it
infringes copyright. There is no statutory definition of fair dealing – it will always be a matter of fact,
degree, and impression in each case. The question to be asked is: how would a fair-minded and honest
person have dealt with the work?
Factors that have been identified by the courts as relevant in determining whether a particular dealing with
a work is fair include:
does using the work affect the market for the original work? If a use of a work acts as a substitute
forit, causing the owner to lose revenue, then it is not likely to be fair
is the amount of the work taken reasonable and appropriate? Was it necessary to use the
amountthat was taken? Usually, only part of a work may be used
The relative importance of any one factor will vary according to the case in hand and the type
ofdealing in question.
Pornographic stimuli
Where pornographic stimuli are used in research, the source of the video and/or images should be provided
as part of your ethical review in C.2. Where possible the committee suggest that IAPS is used.
Please note that research involving pornography will be referred to Human Full Committee Meetings,
therefore please allow enough time for the ethical approval process. Further information about the
committee can be found in the ‘Ethics Application Type’ section of this handbook.

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Questionnaires
If you are conducting online questionnaires, you must ensure you are compliant with General Data
Protection Regulations (GDPR).
Questionnaires must be created using either Online Surveys or MS forms.
Note: Qualtrics is available to Psychology staff and students and a
limited number of other users.
Other survey platforms should
not be used
For Online Survey help go to
http://lncn.ac/onlinesurvey
For Qualtrics help go to https://lncn.ac/qualtrics
For Microsoft forms help go to https://lncn.ac/msformshelp
Research questionnaires / surveys must not be made live until the project has been given a favourable
ethical opinion.
If you intend to pay participants for completing your questionnaire / survey the University’s Paid Participant
Policy must be adhered to.
NOTE: Questionnaires / Surveys MUST NOT be made live and distributed until you have received a
favourable ethical opinion.
Online Surveys
Online Surveys is the University’s recommended survey platform. For information on how to create an
Online Survey account and how to use the platform please visit
https://lncn.ac/onlinesurvey
Online Survey help guides can be found here https://www.onlinesurveys.ac.uk/help-support/
Please ensure you add your supervisor as a collaborator before launching your survey, once they have
informed you your survey is ready you may launch it.
You can easily add scale / rank questions in your online survey by following this guide
https://www.onlinesurveys.ac.uk/help-support/scalerank-questions/.
We have compiled a list of commonly used scales / ranks which you may use to copy and paste into your
survey. Alternatively, you may create your own. Guidance for adding scale / rank questions is included in
this guidance document
https://lncn.ac/surveyscales
Qualtrics (Psychology and limited users ONLY)
Instructions on how to create a university Qualtrics account may be found on our portal page
https://lncn.ac/qualtrics
If you are a staff member you will need to contact [email protected] to upgrade your account.
Students cannot make questionnaires live without a staff members approval.
To learn more about Qualtrics and signing up visit our Qualtrics portal page
https://lncn.ac/qualtrics
IP addresses
Qualtrics automatically collects IP addressed for every response. You cannot collect this information without
specific content from the participant and ethical approval to do so.
To stop Qualtrics from collecting this datago to questionnaire options and click ‘Anonymise response. Do
NOT record any personal information and remove contact association.’
Student questionnaire approval
Students cannot approve their own questionnaires, you will need to request approval from your Academic
Supervisors. All students should use the participant information sheet template and consent form template
provided. Instructions on importing these templates can be found below.
Importing Templates into Qualtrics
To add a template (e.g. participant information sheet or consent form) to your questionnaire. Please create
a new question on Qualtrics > Import Questions from… > All Uni > Block Library > Approved templates
> Participant Information Sheet >Import block.

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Qualtrics Help and Support
A number of short tutorials are available from on various features of Qualtrics, to view these resources
please visit
http://lncn.ac/qualtrics
The tutorials show both the basics and intermediate features available on Qualtrics.
Qualtrics have training videos via their Experience Basecamp
https://lncn.ac/basecampqual for learning
how to use Qualtrics for Research and Research Administration.
For help and support with questionnaire features:
E-mail
[email protected] or visit the Qualtrics support page https://lncn.ac/supportqualt
CAPTCHA verification
To add a captcha question using Qualtrics create a new question > in the question type click captcha
verification > then add the following text above it: ‘Please use the captcha verification below to ensure
that you are a real human and not a program written to spam the questionnaire.’ This will make it clear
to ethics reviewers that a captcha question has been used. The University’s Paid Participant Policy should
be adhered to.

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Amending an existing ethics application (LEAS)
Amending a LEAS form
If there have been any changes to your project since submitting a LEAS application including adding
staff/students, please use this guide to amend it
https://lncn.ac/amendment
This video covers the following topics:
Opening the application
Create the amendment
Signing the application
Submitting the amendment
Further guidance and support
How to create an amendment to an approved project
How to submit the amendment
Further guidance and support
LEAS amendment guide
To amend an amendment please see the guide here https://lncn.ac/amendamend
LEAS amendment reference
Within the LEAS amendment form you will be asked for a unique amendment reference. This will be used
to differentiate between your amendments. An example of this is: ‘Adding student cohort 2021/2022’ or
‘Amending Participant Information Sheet May 2021’. The reference should be short and different from your
other amendments.
Viewing Completed Sub Forms (inc. amendments, progress reports, student sub forms).
A training video on how to review sub forms may be found here https://lncn.ac/viewsubforms.
Annual Progress Reports and End of Study Forms
Annual Progress Reports (APR)
A condition of approval on all staff and PGR ethics applications is to complete an annual progress report.
This is a sub form within LEAS which allows you to update us on the progress of your research.
LEAS will send you two reminders each year to complete this form, the reminders are 5 days apart. If you
complete the form within those 5 days, please ignore the second reminder.
You can check if you have submitted your annual progress report or end of study report by looking at the
status section. Please note that the system refreshes periodically. Therefore, it may take up to 10 minutes
for your application to submit.

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End of Study Forms (EoS)
Once you have finished your research you should fill in an end of study form.
A video guide on how to create an APR and EOS can be found here:
https://lncn.ac/apr_eos
This video covers the following topics:
Creating an Annual Progress Report
Updating your application
Signing and submitting the form
Amending a form
Creating an End of Study Form
Signing and submitting the form
Further data collection
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Sub Form Guidance
This section is only relevant where a module / overarching application exists, and students are required
to complete an ethics sub form and not a full application.
Academic supervisors / module leads need to share the UG sub form with any students who are required
to complete an ethics application. See section below
Where a question is greyed out/shows the information is collected from the original application and
may not be altered.
Project specific responses should be in line with the response given in the previous question.
Academic supervisors are required to review and electronically authorise the form before it is submitted,
Academic supervisors – please see supervising student section for details on reviewing and authorising
applications.
SubForm training (students)
A training video on how to complete a sub form can be found here https://lncn.ac/stu_subform
This video covers the following topics:
Opening the sub form
Navigating the form
Signing
Requesting an academic supervisor’s signature
Submitting the form
How to view your sub forms
Viewing Completed Sub Forms (inc. amendments, progress reports, student sub forms).
A training video on how to review sub forms may be found here https://lncn.ac/viewsubforms
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Risk Assessments
Health and Safety Risk Assessments
A condition of approval of all research is to ensure a health and safety risk assessment is in place.
In line with University Health and Safety department policy and guidance a risk assessment is required for
all activities. Where your activity is not covered by a risk assessment already completed (please note you
may need to review any risk assessments already undertaken) then a new risk assessment must be
completed prior to any research commencing.
Responsibility for the completion of a risk assessment and for compliance with it lies with the academic
overseeing the research (the “responsible academic” – this may be the individual project supervisor or
module leader, for example). The responsible academic should be explicitly identified for each research
activity. It ispermissible (but not compulsory) for students to be involved in preparing risk assessments
as part of their learning experience, provided that these are approved (and if necessary updated) by the
responsible academic.
Risk assessments and guidance documents may be found on the H&S risk assessments portal
page (
https://lncn.ac/researchh&s H&S portal pages are only accessible by members of Staff – students
should contact their academic supervisor).
The following links may also be of use:
Health & Safety Portal Page https://lncn.ac/h&s
Travel approval https://lncn.ac/ue
Offsite working https://lncn.ac/offsite
Offsite working includes Lone Working guidance, Offsite Working policy & guidelines, USHA Safety in
Fieldwork Guide)
Your research related risk assessment may be audited by the health and safety department and/or research
governance team.
Please note that you do not need to submit your risk assessment with your ethics application. These should
be held centrally by the school’s health and safety co-ordinator.
Research Integrity Risk Assessments
The Research Integrity (RI) Risk Assessments https://lncn.ac/ri_ra have been created with a specific focus
on Research Integrity rather than the traditional Health and Safety (H&S) Risk Assessments. It is expected
that there should also be H&S risk assessments completed for travel/lone working etc. in line with H&S
policyand guidance (above).
Research Integrity Risk Assessments are available for the following topics:
Vulnerable groups
Interview / Focus groups
Questionnaire (electronic)
Questionnaire (paper based)
It is not necessary for a RI risk assessment to be completed for each individual project, rather one may
becompleted that covers multiple staff/students.
The RI risk assessments are not exhaustive, it is anticipated that researchers may need complete additional
lines in relation to the nuances of any research projects.
The compliance matrix is slightly different to the H&S matrix but may be found on p2 of the risk assessment.
Completed RI risk assessments should be completed, stored at local level, and made available to
allresearchers (staff and students).
Your localised RI risk assessment may be audited by the H&Sdepartment and/or research governance team.

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Clinical research
Where an NHS ethics review IS required, there is no requirement for the application to be reviewedby a
University Research Ethics Committee.
Where an
NHS ethics review is NOT required (e.g. NHS staff research, exempt from NHS ethical review,
service evaluation, clinical audit) then a University Research Ethics review
is required via LEAS (as NHS
ethics will not review staff projects).
Please note an ethical review is required in addition to the requirement for NHS permissions. In most cases
HRA approval is required, except where it is single centre student research involving LPFT, LCHS, ULHT or
EMAS – see below
Research Sponsor
The University of Lincoln will take on the role of research sponsor where the Chief Investigator is an
employee of the University, or where a student is conducting research as part of an educational
qualification (in these instances an academic supervisor/Director of Studies should be named as the Chief
Investigator).
IRAS applications
Applications to the Health Research Authority (HRA) are made through the Integrated Research Application
System (IRAS)
https://lncn.ac/iras
The IRAS e-learning module provides guidance on how to use the system. https://lncn.ac/iras_elearn.
Sponsor Process
An IRAS application form must be electronically signed off by the research sponsor before it can be
submitted to the HRA. All applications for research sponsorship will be reviewed by the Research
Governance Manager (RGM) and should be sent to
[email protected].
See Sponsorship SOP CG-QMS SOP CG02 Sponsorship (link to SOPs below)
‘Review ready’ applications should include the following documents (templates are available
here):
• Protocol (please use the appropriate template either Protocol (Non-interventional e.g.
interview/focus groups/questionnaire) or Protocol (Interventional e.g. taking blood/active
participation))
• Completed IRAS dataset
https://www.myresearchproject.org.uk/ as a pdf
• Participant information sheet (if required) – (please use the appropriate template)
• Consent form (if required) – (please use the appropriate template)
• Local document pack (see below)
• Any other applicable study documents – see IRAS checklist.
Local document pack
As part of your IRAS submission are required to complete and submit (via IRAS) a local document pack –
guidance/templates available here
https://lncn.ac/clinical_res
Once the sponsor governance review is complete, the Research Governance Manager will issue a letter
confirming sponsorship and relevant certificate of insurance, which should be uploaded to the IRAS
application.
Clinical Governance
All Research Sponsored by the University of Lincoln (including student research covered by an existing
MoU) must adhere to the Clinical Governance Quality Management System. Further details
here
The purpose of the Clinical Governance Quality System (CG-QMS) is to document the processes in the
form of Standard Operating Procedures (SOPs) for the governance of clinical research to ensure that all
University of Lincoln researchers* and Lincoln Clinical Trial Unit (LinCTU) staff understand the necessary
requirements and procedures covered by the standards set by ICH-GCP and any regulatory bodies.
SOPs marked with * are mandatory for all research (including student research).
SOPs marked with ** are also mandatory for CTIMP and Device studies

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Applying to the HRA:
The NHS REC and HRA will communicate behind the scenes, i.e. there is no need to let the HRA know that
the REC has approved the study. As pictured above, the HRA will collate all approvals that are required for
the type of study before HRA approval is issued e.g. MHRA approval, CAG approval, NOMS approval etc.
Research Passport / Honorary Contract / Letter of Access (LoA)
University researchers wishing to conduct studies within the NHS need to obtain NHS permission from each
Trust that is involved in the study and researcher may also require a research passport and/ or honorary
contract/letter of access (LoA) – the NHS organisation will be able to advise whether a research passport/LoA
is required.
HRA Training
The HRA offer e-learning modules https://lncn.ac/hra_elearn in the following areas:
• Medical devices
• Use of the HRA Schedule of Events
• Research involving participants lacking mental capacity
• Research involving exposure to ionising radiation
• Research involving human tissue
• Confidentiality and information governance considerations in research
• HRA Approval: Training for commercial and non-commercial studies
• Reviewing the Research Design of Clinical Trials
HRA training is free of charge, applicants will need to create an HRA training account in order to receive
acertificate of completion
Single Centre Student Research (involving LPFT, LCHS, ULHT or EMAS)
The UK Policy Framework for Health and Social Care Research outlines that special arrangements are
permitted for the approval of certain student research projects in the NHS. These projects do not
necessarily require HRA approval but can instead be locally approved by participating NHS organisations.
The MoU allows us to bypass the requirement for HRA approval but does not apply to studies where the
main purpose of the study is to undertake the research and the educational qualification is secondary.
Projects that are eligible for this simplified review process are as follows:
Student projects in the NHS that:
are undertaken  primarily for the purpose of obtaining an educational qualification.
do not require NHS REC review.
are limited to  one NHS organisation in  England  (single site).
are not applying for support from the NIHR Clinical Research Network (CRN)
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Useful Links and External Guidance

Internal guidance Link
Amending an Amendment (LEASguide) https://lncn.ac/amendamend
Amendment (LEASguide) https://lncn.ac/amendment
Appeals and complaints procedure https://lncn.ac/ethicsa&c
Applicant ethics guidance https://lncn.ac/ethguidance
Clinical Research https://lncn.ac/clinical_res
Clinical Research https://lncn.ac/clinical_res
Code of practice forresearch https://lncn.ac/copr
Data Management Policy https://lncn.ac/dpp
Data Protection https://lncn.ac/ethics-dpia
Data protection policy https://lncn.ac/dpp
Data Protection portal https://lncn.ac/dataprotect
Due diligence policy https://lncn.ac/ddpolicy
E-consent https://lncn.ac/econsent
Ethics portal http://lncn.ac/ethics
Ethics SOPs https://lncn.ac/ethics_sops
Ethics Terms ofReference https://lncn.ac/ethicstor
Health & Safety portal https://lncn.ac/h&s
Health & Safety Research https://lncn.ac/researchh&s
HR training portal https://lncn.ac/training
IP and contracts https://lncn.ac/ip_contracts
LEAS Guide https://lncn.ac/leasguide
Lincoln Ethics Application System(LEAS) https://lncn.ac/leas
Microsoft forms support page https://lncn.ac/msformshelp
Misconduct – procedure for the investigation of
misconduct in research
https://lncn.ac/rmisconduct
New reviewer portal page https://lncn.ac/newreviewer
Online Survey portal https://lncn.ac/onlinesurvey
Open Access Policy https://lncn.ac/opena_policy

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External guidance Link
Research Governance
Health and Social Care Policy Framework
Professional Codes of Conducts
ACM Association of Computing Machinery
BCS The charters institute for IT
BERA Ethical Guidelines for Educational Research
BPS Code of Human Research Ethics
BSA Statement of Ethical Practice
GPhC General Pharmaceutical Council
IBMS Institute of Biomedical science
MRS Code of Conduct
SPA Guidelines on Research Ethics

 

Paid Participant Policy https://lncn.ac/paidparticip
Paid participant policy https://lncn.ac.uk/paidparticip
Qualtrics Portal Page https://lncn.ac/qualtrics
Recruitment guidelines https://lncn.ac/res_recruit
Research data management policy https://lncn.ac/rdm
Research DevelopmentPortal Page https://lncn.ac/researchdev
Research ethics policy https://lncn.ac/re
Research GovernancePortal Page https://lncn.ac/research_gov
Research Integrity Risk Assessments https://lncn.ac/ri_ra
Staff and PGR handbook https://lncn.ac/ethics_hb
Standard OperatingProcedures https://lncn.ac/ethics_sops
Templates https://lncn.ac/templates
Training videos https://lncn.ac/ethics_train
Undergraduate ethics https://lncn.ac/ugethics
Undergraduate/PGT handbook https://lncn.ac/eth_ugpgt_hb

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SRA Ethical Guidelines
Research Related Links
UKRIO Code of Practice for Research
Concordat to Support Research Integrity
Guidance on the Operation of the Animals (Scientific
Procedures) Act 1986
Guidelines for psychologists working with animals
Oversight of Security Sensitive Research
ESRC Framework for Research Ethics
Human Tissue Links
The Human Tissue Act 2004
Human Tissue Authority Codes of Practice (please
note those of Consent, Research and Traceability)
Relevant Materials
Other External links IRAS
Qualtrics UK support page
Jisc online survey support page

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Glossary of Terms
Amendment – Since the application was approved there have been changes to the project (e.g. dateshave
been extended, new documents added, new staff added, methodology change)
Approved – see favourable opinion definition.
Approved with conditions – This research is almost ready to begin. Subject to any conditions that must
be fulfilled before the research may commence, these are detailed in the letter sent to you via e-mail.
E-consent – Seeking informed consent by electronic methods. The university guidance for this may be
found here
https://lncn.ac/econsent .
Ethics reviewer – Members of staff at the university who formally evaluate the moral grounding of the
proposed research. They attempt to ensure the research treats subjects fairly and safely.
Favourable Opinion – The research has passed the ethical review process and research may now begin,
subject to any conditions and/or completion/review of health and safety and research integrity risk
assessments.
Full Ethics Committee – Studies with more than minimal risk and/or involve a vulnerable group will be
assigned to a full committee meeting. Further details may be found here
https://lncn.ac/fec .
Governance review – Your application has been reviewed by the research governance team. Theyhave
checked for consistency, missing documents, and adhering to university policy and processes.
LEAS Lincoln Ethics Application System https://lncn.ac./leas – This is the University of Lincoln’s system
used for ethics applications.
LEAMS Lincoln Ethics Application Management System https://lncn.ac./leams – The system usedby
ethics reviewers and the research governance team.
Project Registration Form (PRF) – The Project Registration Form is designed to register your projectthat
is unlikely to have any material ethical issues. PRFs may be filled in using LEAS. Further information about
PRFs may be found earlier in this handbook.
Provisional Opinion – Changes have been requested based on your submission. Please make the changes
before resubmitting the application. Remember to add a summary of changes document. This makes the
application easier to re-review.