University of Edinburgh, School of Law

Self-audit checklist for level 1 ethical review (consult the School’s ethical policy before completing this form)

Audit to be conducted by investigator (for undergraduate and postgraduate students by the student and supervisor in discussion)

Title of Project:

Principal Investigator, and any Co-Investigator(s):

Complete this form IF you intend to conduct empirical research (in the senses outlined in the School’s draft ethical policy), gather and/or store personal data on living or recently deceased persons, or utilize any information not otherwise in the public domain from which individuals might in principle be identified. If in doubt complete the form.

Section 1: Protection of research subject confidentiality and consent
Are you able to give undertakings of confidentiality and anonymity to anyone who participates in your research without exception? / YES/NO
Note: This guarantee includes both individuals and organizations (such as companies or public bodies). If in doubt go to level 2.
Data protection and consent
Can you affirm that all reasonable steps have been taken to ensure that anyone participating in your research (for example by being interviewed) has given their informed consent? / YES/NO
For example: have you sent a prior letter or given respondents a consent form as appropriate?
Can you affirm that to the best of your knowledge and belief there are no problems regarding data storage, data handling, security, privacy or consent arising from this research? / YES/NO
For example: will personal data be held about respondents and if so have you taken reasonable steps to ensure its security?
Are there special issues about confidentiality/informed consent in this case?
Is research compliant with University Data Protection procedures (See )?
Moral issues and Researcher/Institutional Conflicts of Interest
Can you affirm that to the best of your knowledge and belief no institutional or personal conflicts of interest arise from this research and that no special moral difficulties arise from the methods adopted? / YES/NO
For example: Might the researcher be compromising research objectivity or independence in return for financial or non-financial benefit for him/herself or for a relative of friend?
Are there particular moral issues or concerns that may arise, for example where the purposes of research are concealed, where respondents are unable to provide informed consent or where research findings impinge negatively/differentially upon the interests of participants?
If you answered NO to any of the above go to level 2 assessment NOW.
Section 2: Potential physical or psychological harm, discomfort or stress
Is there SIGNIFICANT FORSEEABLE POTENTIAL FOR PSYCHOLOGICAL HARM OR STRESS TO PEOPLE PARTICIPATING IN THIS RESEARCH? / YES/NO
Is there SIGNIFICANT FORSEEABLE POTENTIAL FOR PHYSICAL HARM OR DISCOMFORT / YES/NO
Is there SIGNIFICANT FORSEEABLE PHYSICAL OR EMOTIONAL RISK TO THE RESEARCHER(S) / YES/NO
If you answered YES to any question in section 2 go to level 2 assessment NOW.
Overall assessment: Self audit has been conducted and confirms that there are NO REASONABLY FORESEEABLE ETHICAL RISKS / YES/NO

Signed……………………………………………………………………………… Date…………………………