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Compliance Use Case: Ethics Committee Approval

by Simon Herd on May 1, 2019

Team: Compliance

In order for the Research Project to proceed, formal ethics approval needs to be achieved. As the project involves human participants, the ethical dimensions of the project scope and activity needs to be reviewed by the Ethics Committee.


Typical Request Life Cycle:

  1. A Researcher submits a request using the Ethics Review - Human Participants form in the JSD portal.HRWorkFlow

  2. Upon submission the request is generated and the application form is attached to the request. From the agent view of the request, the application form is accessible, along with an Eligibility form which is automatically added, so that the initial review can take place.

  3. The Ethics Admin team performs an initial review. If they find further clarification is needed, the original request can be re-opened and the applicant can make any required changes.

  4. Otherwise, once the Eligibility form is complete and submitted the request status will automatically change to IN PROGRESS. The application now goes before the Ethics Assessment panel.

  5. The Assessment form is automatically added to the request on entering the IN PROGRESS status.

  6. The ethics panel meets and a tentative outcome is given. The Assessment form is filled out and when submitted, the request status changes to FINAL REVIEW.

  7. The Ethics Admin team accesses the issue, reviews all the work and completes the Outcome Notification form. The Ethics Admin team make the forms accessible to the original applicant by marking the key forms EXTERNAL. This means the form will be accessible through the JSD Portal; however because it is already submitted the applicant won't be able to edit it.

  8. When the Outcome Notification form is submitted, the request changes to CLOSED. If any form remains un-submitted, form validation rules mean that the request cannot be resolved.

Unique Features

  • Reopening forms
    The Agent has the ability to re - open the original request and allow the staff member or the employee to edit the request at any time.
  • External forms
    Being able to add multiple forms to an issue and make them visible on the portal allows for multi-stage process, or the staggered collection of information 

Forms used:

  • Ethics Review - Human Participants
  • Eligibility
  • Panel Assessment
  • Outcome Notification


  • Jira Service Desk (using JSD Portal)

Key Actions

  1. Set up ProForma automation on the Eligibility form to automatically add it to the request upon original request submission.

  2. Set up ProForma automation to transition to IN PROGRESS when the Eligibility form is submitted and to automatically add the Assessment form.  

  3. Set up ProForma automation to transition to FINAL REVIEW when the Assessment form is submitted and to automatically add the Outcome Notification form. 

  4. Set up ProForma automation to transition to CLOSED when the Outcome Notification form is submitted.
  5. Choose to display the Assessment and Final Outcome as required, otherwise send a comment to the requestor to advise on work undertaken.

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