HR Procedures for Investigators

Background

In the past, there was no clear, national guidance on the procedures for handling HR arrangements for researchers in the NHS. In many cases Honorary Research Contracts (HRC) were being issued inappropriately, resulting either in a lack of clarity about liability or waste of resources and the NHS accepting liability inappropriately, depending on whether they were under or over used. Pre-engagement checks were also being performed unnecessarily, resulting in delay and waste of resources.

In response to this situation, standardised procedures, including a Research Passport system, have been introduced.

The procedures, amongst other things, involve NHS Trusts placing reliance - provided certain requirements are met - on existing pre-engagement checks, CRB disclosures and occupational health clearances.

The new procedures will feed into the NIHR Coordinated System for gaining NHS Permission (CSP).

Procedures

The procedure to be followed will differ depending on the status of the investigator.

Investigators with a substantive employment contract or honorary clinical contract with an NHS organisation

Investigators in this category will not need to go down the Research Passport route and do not do not require an HRC.

The investigator will only require a letter of access from the NHS Trust hosting the research. Investigators / teams should speak to the R&D department at the NHS Trust(s) that will be hosting the research. The host NHS Trust(s) will cooperate with the employing NHS Trust to arrange letters of access. The host NHS Trust(s) may request that additional pre-engagement checks (CRB clearance, occupational health clearance etc) be carried out.

Investigators with no contractual relationship with the NHS

Investigators in this category will need to go down the Research Passport route.

The Investigator should complete a Research Passport Form, obtaining the necessary signatures from the appropriate departments at his/her employer, and send the research passport form along with supporting documentation to the R&D department at the host Trust. The host Trust will review the form and may request that additional pre-engagement checks (CRB clearance, occupational health clearance etc) be carried out. If the research will have a direct bearing on quality of care, an HRC will be issued. If the research will not have a direct bearing on quality of care, a letter setting out the researcher’s responsibilities and allowing access to patients will be issued.

Investigators who are students

Investigators in this category will not be required to go down the research passport route and do not need an HRC if their research is part of a healthcare placement and they will be supervised. Student investigators who have a professional qualification (e.g. doctor, nurse etc) and will not be supervised must proceed via the Research Passport route to get an HRC.


Research Passport

The Research Passport is essentially an application form that provides information regarding the researcher and the research process involved in the study to the NHS Trust hosting the research. This information will enable the Trust to decide whether reliance can be placed on existing checks before issuing an HRC or letter setting out the researcher’s responsibilities and allowing access to patients. The Research Passport will be presented, along with supporting documentation, to every Trust that the researcher wishes to conduct research in. It is important to note that the Research Passport does not obviate the need for a researcher to obtain an HRC, or letter setting out the researcher’s responsibilities and allowing access to patients, from each Trust. It is simply intended to speed up the process and reduce the need for fresh pre-engagement checks.

Additional information 

More detailed information can be found about the Research Passport and the implementation of the Vetting and Barring Scheme (VBS) on the NIHR CRN CC Research Passport web page.

You can also visit www.isa-gov.org.uk to find out more about VBS.

Contacts

Last updated: 20 January 2010