1. Research within the NHS
Information Pack For Postgraduate Students Applying For A Research Passport

2. What is the Research Passport System?
The Research Passport System allows Higher Education Institutions to share pre-engagement information about a researcher with relevant NHS organisations in which that researcher intends to conduct their research activity.
The Research Passport System provides:
Clear guidance on the relevant checks required;
A robust process for LJMU to document and evidence the checks which have been undertaken; and
Clear principles that enable NHS organisations to have a record of and rely on those checks for the duration of the Research Passport.
A Research Passport may be valid for the duration of a research project or for a maximum of three years. Once the checks have been completed and a valid Research Passport has been issued, the checks may be relied upon for the duration of the Research Passport.
The student must apply for permission to conduct the research in the NHS organisation. The Research Passport does not remove the need to apply to the NHS organisation for permission or to apply for ethical review.

3. Who needs a Research Passport?
Researchers not in any of the below categories and who have no contractual relationship with the NHS may need a Research Passport. Not all types of research activity require a Research Passport.
Researchers will not need a Research Passport or an honorary research contract if:
They are employed by an NHS organisation; or
They are an independent contractor (e.g. GP) or employed by an independent contractor; or
They have an honorary clinical contract with the NHS (e.g. clinical academics); or
They are a student undertaking an education course for which there is a healthcare placement agreement already in place with the NHS organisation which is also hosting the student’s research activity; or
They are a student who will be supervised within clinical settings by an NHS employee or HE staff member with an honorary clinical or research contract; or
The research they are doing does not require any checks or honorary research contract (See following slides for information on how to assess this).
Please note that not all researchers involved in a particular project will be conducting the same research activities and so there may be different requirements for different members of a research team.

4. How do researchers get a Research Passport?
The application process for the Research Passport can take some time and applicants should apply 2-3 months prior to the planned start date for your NHS Research Project. With this in mind, the first step in the process should be contacting the Doctoral Academy to notify them of your intention to apply for an NHS Research Passport.
Ensure you have checked whether you will require a DBS check before applying for the Research Passport, and if so liaise with your faculty contact to complete a Basic Disclosure Application BEFORE completing the NHS Research Passport application. If you are unsure, guidance on DBS requirements will be provided by your faculty contact on request. See slides 5, 6 and 7 for further information.
Ensure that the Research Passport and the Medical Referral form (if applicable) are both completed electronically as Microsoft Word documents and forwarded via as the Doctoral Academy are unable to process forms which have been handwritten or in PDF Format.
Check if you are required to obtain Occupational Health Clearance prior to commencing your research, and if so, liaise with the Doctoral Academy to ensure you have filled out the relevant form prior to completing the NHS Research Passport Application. See slides 6, 7 and 8 for further details.

5. Useful Contacts
For DBS applications from students in the Faculty of Education, Health & Community: contact Tricia McMillan, Admissions & Marketing Manager, on
For DBS applications from students in the Faculty of Science or the Faculty of Engineering and Technology: contact Jamie Fearn, Placement Learning Support Unit Manager, on
For general enquiries about the process and obtaining occupational health clearance please contact the LJMU Doctoral Academy, on

6. Will you need DBS or OH Clearance?
Activity
DBS Check
Occupational Health Clearance
Researcher is health care professional providing health care to an adult and/or child.
Requires enhanced DBS + appropriate barred list check.
Required if there is direct contact.
Researcher provides health care to an adult and/or child under the direction of health care professional.
Researcher provides personal care to an adult or child OR Researcher is social care worker providing social work which is required in connection with health care or social services to an adult who is a client or potential client
Researcher undertakes the following activities unsupervised: teach, train, instruct, care for or supervise children, or provide advice/guidance on well-being, or drive a vehicle only for children; with likely direct bearing on the quality of care.
Researcher has opportunity for contact with children in the same Children’s Hospital (formerly a specified place) but is not providing healthcare or other types of regulated activity and has no direct bearing on the quality of care.
Yes, if done regularly enhanced DBS (pre-Sept 2012 definition). No barred list check.
Researcher has access to persons in receipt of healthcare during their normal duties but is not providing health care or other types of regulated activity and has no direct bearing on the quality of care (‘Access' relates to where individuals will have physical, direct contact with patients e.g. observation, qualitative interviews, focus groups).
Yes, standard DBS checks will be required.

7. Will you need DBS or OH Clearance?
Activity
DBS Check
Occupational Health Clearance
Researcher has indirect contact with patients/ service users but isn’t providing healthcare or any type of regulated activity and has no direct bearing on quality of care (e.g. telephone interview). No
Researcher requires access to identifiable patient data from health records, tissues or organs with a likely direct bearing on quality of care.
Yes, only if working with tissues or organs in NHS facilities
Researcher requires access to identifiable patient data derived from health records, tissues or organs with no direct bearing on the quality of care.
Researcher requires access to anonymised patient data derived from health records, tissues or organs only (including by research staff analysing data)
Researcher is working on NHS premises (e.g. laboratory) only (no access to identifiable data)
Researcher requires direct contact with staff only but no access to patients (e.g. staff interviews)
Researcher requires access to identifiable staff data only.
Researcher requires access to anonymised staff data only.

8. Occupational Health Clearance
A health assessment should be carried out for all individuals applying for NHS
positions, regardless of whether this is in a paid or voluntary capacity. A work health assessment aims to identify early on:
Any health condition or disability that may require adjustments in the workplace, to enable the individual to safely carry out the specific duties of the job they are being engaged to do.
Any health condition or disability that may require certain restrictions being placed on their role, may impact on workers who have a blood-borne virus.
The extent of any health assessment will need to be determined against the requirements of the role and any risks identified that might impact either the student’s wellbeing or a patients.
All health assessments must be carried out fairly, objectively and in accordance with equal opportunities legislation and good occupational health practice.
A copy of the LJMU Research Passport Medical Referral Form which must be completed by students hoping to begin a research project can be found here.

9. How do student researchers get a Research Passport?
Complete the Research Passport form
• Sections 1-3 of the Research Passport form are completed by the researcher
• The researcher's line manager (or other authorised person) completes section 4
• LJMU Doctoral Academy completes section 5
The Doctoral Academy will ensure that the appropriate occupational health actions are taken and, if required, a report on occupational health status (commensurate with the research activity) is issued.
The Doctoral Academy will need to see a full, original copy of a DBS disclosure issued within the last six months, commensurate with the research activity as outlined on the Research Passport form, before an application can be signed off.
If the researcher is a staff member People and Organisational Development should complete Section Five of the form.
The Doctoral Academy will complete all relevant pre-engagement checks, sign off the form accordingly, and return it to the researcher.
Please note that a valid research passport for one trust does not necessarily cover you to conduct research in other NHS Trusts, therefore it is imperative that you check your eligibility with the R&D team of all Trusts you intend to conduct research at, and tailor your application accordingly.
The completed Research Passport form with required attachments (e.g. CV, evidence of occupational health clearance, researcher’s own copy of the criminal record disclosure) should be sent to the lead NHS organisation by the applicant.

10. Section One – Details of Researcher
To be completed by Researcher.
Please use this section to provide details of your identity and your place of study.
Question 1. Enter your name and contact details.
Question 2. Enter basic details about your identity. This information may be used to complete the Electronic Staff Record (NHS Human Resources (HR) system).
Question 3. Enter details of any registration with a professional body.
Question 4. Enter details of your place of study and type of study (e.g. Post Graduate Research or Post Graduate Taught).
If you are registered with a professional body please provide details of the professional body and your registration number.
NHS organisations MUST be informed of any changes in study.

11. Section Two – Details of Research
To be completed by Researcher. Please use this section to provide details of your research project and what you aim to accomplish during your study.
Question 5. Enter the type of Research Passport your require. Research Passports are valid for a maximum of 3-years. If you only intend to be involved with one project over this period select “project-specific”. If you plan to work over a number of studies in this period select “multi-project”.
For “project-specific” applications provide the title as well as the start and end dates of the project. The start date should be when you plan to be involved in the study at the first site, and the end date should be when you plan to complete your involvement in the study at the last site.
List the NHS organisation(s) and department(s) where you will be working. Continue on an appendix sheet if necessary.
If you know who will manage or supervise you or be responsible for your conduct in the NHS organisation please insert her/his name.
Describe very briefly what activities you will be undertaking, e.g. prescribing medicine, taking blood, conducting behavioural therapy etc.

12. Passport Appendix
This section is to be completed by the Researcher.
For “multi-project” Research Passports provide details of each project as a separate appendix. Indicate the number of the appendix.
Provide the title, and the start and end dates of the project. The start date should be when you plan to be involved in the study at the first site, and the end date should be when you plan to complete your involvement in the study at the last site.
For a “multi-project” Research Passport please provide the start date for your involvement in your first study at the first site. The end date should be three years later.

13. Section 3 - Declaration by Researcher
This section is to be completed by the Researcher.
Question 6. Please tell us if you have ever been refused an honorary research contract or had it revoked by an NHS organisation, and the reasons for it.
Disclosing this information does not necessarily mean that you will be turned down in your application for an honorary research contract or letter of access this time, but it could be that particular training needs have to be addressed by your substantive employer.
The Research Passport system relies on information you provide in the Research Passport form being shared with relevant NHS organisations. You need to consent to this information being shared otherwise checks that have already been carried out on you may need to be repeated.

14. Section 4 – Suitability of Researcher
To be completed by your academic supervisor
Question 7. This section should be completed by your academic supervisor, who is responsible for ensuring that you are suitably trained, qualified and experienced to carry out the research.
Academic Institutions should agree internal policies for appropriate signatories for Section 4. Confirming suitability does not place individual liability on the signatory. The action of confirming suitability forms part of the core responsibilities of academic institutions.
Training should be commensurate with the nature of the research study and the research environment. Your academic supervisor should make an assessment of your training needs in relation to Good Clinical Practice, data protection, use of equipment etc.
Your academic supervisor, in conjunction with the Doctoral Academy, will need to indicate whether your research activity will involve regulated activity as defined by the Safeguarding Vulnerable Groups Act The algorithm of research activity and pre-engagement checks can be used as a guide however full definitions of regulated and controlled activity are available in the Research Passport and Vetting and Barring Scheme Guidance, and also in the Vetting and Barring Scheme Guidance published by HM Government available at

15. Section 5 – Pre Engagement Checks
To be completed by the LJMU Doctoral Academy. For any inquiries or to submit an application, and a member of the team will get back to you.
Question 8. You and your supervisor should assess whether your research activity is eligible for a criminal record disclosure and at what level. If this is the case the university will need to confirm that you have a criminal record disclosure at the appropriate level with no convictions or police information listed. You and your supervisor place of study should also assess whether your research involves a regulated activity and obtain a check against the appropriate barred lists.
Your place of study should enter details of the disclosure namely date, type (i.e. enhanced or standard), the organisation that requested the disclosure & the disclosure reference number. Where researchers have gained a basic disclosure they should complete details of the date, type and reference number.
Your place of study must indicate whether your research activity will involve regulated activity as defined by the Safeguarding Vulnerable Groups Act 2006.
Your place of study must indicate whether you have had a clear DBS disclosure at the appropriate level. If a disclosure is not required select “N/A” and do not complete the section below on date, type and disclosure reference. If a disclosure is mandated but is not clear select "No" and leave the details of the disclosure section blank. NHS organisations may then need to initiate discussion with the researcher, in order to decide whether to initiate their own DBS disclosure.

16. Section 5 - Pre-engagement checks
To be completed by the LJMU Doctoral Academy. For any inquiries or to submit an application, and a member of the team will get back to you.
Question 9. Your place of study must confirm that it has completed checks with regard to identity, professional registration status and certificates of qualification prior to admitting you.
It must also verify that you have had occupational health screening and are fit to carry out the research activities you plan to undertake. Your place of study should tick the relevant boxes as evidence that the following checks have been completed:
- Student screening:
- ID with a photograph
- Two references
- Verification of permission to study in the UK
- Evidence of qualifications.
- Evidence of professional registration
- Occupational health screening.
For student applications, this section should be signed by a designated person from the LJMU Doctoral Academy.

17. Section 6 - Instructions to applicants
This section is to be completed by the Researcher.
You are now ready to complete your Research Passport application. Here is where you Indicate which documents you have attached.
If you have checked the DBS and OH guidelines in slides 6 and 7 and concluded that you do not require a criminal record disclosure or occupational health screening for the research activities you will be conducting, you should tick “N/A”. If you have completed any Appendices, please give the numbers, otherwise tick “N/A”.
Your completed Research Passport, including original copies of required attachments (i.e. CV, researcher’s copy of the criminal record disclosure and evidence of occupational health clearance), should now be forwarded to the lead NHS organisation for validation. Contact details for the Research & Development department at each NHS organisation in England and Wales are available from

18. Further Information
Applicants for NHS Research Passports may find it useful to familiarise themselves with up to date information on medicine speciality areas within the UK NHS, the NHS Learn Zone for Patient and Public Involvement and Engagement (PPIE) in Research, pre employment screening protocols for research work within the NHS, DBS Check Procedures, Occupational Health Assessments and/or current Safeguarding Vulnerable Groups Legislation