Completing the risk assessment

All funding applications require a risk assessment to be completed in Worktribe. Learn more about completing a risk assessment for your project.

Risk assessments help researchers and approvers identify potential risks, make informed decisions, and plan mitigations early. They are also an essential part of UCL’s internal approval process. The assessment is designed to capture key project details, highlight where additional support may be needed, and ensure compliance with funder terms and conditions. 

You can view the full list of risk assessment questions below. Additional guidance is available in Worktribe to provide context and support throughout the assessment process. 

Internal approvers should review the completed risk assessment in full before seeking institutional authorisation. This confirms that the proposed activity does not pose a reputational or financial risk to UCL, and any identified risks have been appropriately considered and mitigating measures agreed. 

Risk assessment questions

Finance and infrastructure 

1.  Will the project require the following: Acquisition of new space and/or Modification of existing space?

2.  Will the project require the acquisition of major equipment (over £25,000)? 

3.  Will the project generate any requirement for: High Performance Research Computing, Data Storage in excess of 1TB and/or Modification of networking infrastructure?

4.  Will the project require UCL to fund any kind of institutional commitment?

• For example: studentship, salary, equipment, fee waiver/support, Other.

Funders and partners 

5.  Will the project involve any partners, collaborators (organisations or individuals) outside the UK? 

6.  Will the project involve any research activities being undertaken outside the UK? 

7.  Does the project involve students as members of the research team? 

8.  Will the project require access to third-party (non-UCL) Intellectual Property (IP)? 

9.  Will the project involve the transfer of Intellectual Property (IP) Rights to a third party? 

Compliance 

10.  Will the project involve the use of: Personal Data, Special Category Personal Data, Security Sensitive Data, and/or Commercially Sensitive Data? 

11.  Will the project involve the international transfer of material which may be subject to import or export restrictions?

• For example: Drugs, Plants, Animal by-products, Pathogens/Toxins, Military, Dual-Use, Other.

12.  Does the project involve human participants?

• For example: Clinical Trial of an Investigational Medicinal Product (CTIMP), Medical Device, Other interventional (introduction of an intervention to assess its impact on participants), Non-interventional and/or qualitative methods.

12.1  [If applicable] Does the project require regulatory approval?

• For example: Medicines and Healthcare products Regulatory Agency (MHRA), Human Fertilisation and Embryology Authority (HFEA), Other.

12.2  [If applicable] Will UCL act as Sponsor?

13.  Does the project require the collection or use of human tissue?

14.  Will the project involve the transfer of genetic material? 

15.  Does the project involve the use of animals? 

16.  Is it possible that the project will give rise to an actual, potential or perceived Conflict of Interest? 

17.  Does your funder require accreditation under the Laboratory Efficiency Assessment Framework (LEAF)? 

Trusted Research 

18.  Was the project initiated as a result of an unexpected or unsolicited approach from a previously unknown individual or organisation? 

Expectations 

19.  Is there any aspect of the research which could be considered a perceived breach of societal or cultural expectations of university research? 

Funder 

20.  Does the project funder have any policies which restrict the ability to work with specific industries? 

Safety and impact 

21.  Does the project involve potential risks (beyond those reasonably expected in normal daily life) to members of the research team? 

22.  Does the project involve potential risks (beyond those reasonably expected in normal daily life) to the environment or ecosystems? 

23.  Does the project involve potential risks (beyond those reasonably expected in normal daily life) to research participants?

• For example: Potential vulnerability of participants, Sensitivity of research topics, Consent, Deception and Covert Research, Potential for disclosures of illegal activity, Security Sensitive Topics, Administration of Substances, Invasive Procedures.

24.  Does the project involve potential risks (beyond those reasonably expected in normal daily life) to communities?