Stage 1 Research Ethics Application Form

This document is the Stage 1 Research Ethics Application Form for researchers conducting a study. It includes sections for researcher details, research details, methodology, data collection method, data analysis, ethical considerations, theoretical approaches, research questions, and potential value of the research. The form also includes a research ethics checklist and information on the approval process.

Stage 1 Research Ethics Application Form
Section 1: Details of the Researcher and their Research
N.B. If you are conducting research that involves ‘animals and significant
habitats’, please use the Stage1 Research Ethics Application Form involving
Animals and Habitats (
Applicants carrying out research with children or vulnerable adults may also
need to carry out an online Safeguarding course and submit the pass
certificate with their ethics application. Please refer to the Question
Specific Advice for the Stage 1 Research Ethics Application Form at the
above weblink.
Researcher details
First name
Family name
Department/Faculty
Email address
Name of Institution where you study or
work (if not Anglia Ruskin)
Are you:
Please tick
 Undergraduate(UG)Student
 Postgraduate Taught(PGT)Student
 Postgraduate Research (PGR)
Student
 Member of ARU Staff
 Member of ARU staff carrying out Masters/Doctorate research
Students (including staff proposing research on
a course/programme)
Your SID
Your course/programme title
Name of your First Supervisor(for PGR)or
Supervisor (for UG and PGT)
Research details
Title of your research project
N.B. For UG/PGT students, this is not the
title of your research module
Name and institutional affiliation of any
research collaborators
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Date of application
Brief Project
Summary(upto700words) Please
summarise your research in non-specialist
language.
You may find these headings useful:
Methodology
Method
There are various types of research designs which
might research can adopt such as case study, descriptive,
analytical, and exploratory and others. Selecting
appropriate research design is a key requisite for every
research because it integrates all the components of the
study in a logical and effective order and helpful for
carrying out the study in highly suitable and effective
manner (Danie and Sam, 2011). In the current study, it
has been planned to examine the financial performance of
two well-established British retailers, named Tesco and
Sainsbury. Thus, multiple case study research design will
be proposed by the investigator wherein two companies,
Tesco and Sainsbury will be selected by the researcher
and the entire focus of the research will be upon
examining and analyzing each and every financial aspect
such as profitability, solvency, liquidity and efficiency of
two selected business organizations, Tesco and Sainsbury.
Data collection method
With the planned study, investigator will collect data
by employing secondary sources, wherein data regarding
the financial performance of the business will be gathered
from the annual reports available at the official website
and London Stock Exchange (Downey, Hamilton and
Catterall, 2007). Further, online resource, competitor’s
financial statements, previous research studies also will
be taken into account in order to investigate the internal
as well as external financial performance evaluation. In
this regards, internally, the financial position will be
analyzed over the two accounting years whereas external
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analysis will be carried out through comparison between
Tesco and Sainsbury’s profitability performance and
financial health. Besides this, interviews also will be
conducted by asking several questions from the
respondents, so as to gather appropriate and sufficient
quantum of data. Following will be the interview
questions that will asked from the company’s managers,
stated below:
1. How well you are performing currently in the market?
2. What strategies do you employed to maximize business
profitability?
3. What cost minimization strategies and actions do you
follow to minimize costs so as to improve net yield?
4. Does your organizations has efficient capital structure to
manage long-term risk?
5. How do you maintain a right balance between current assets
and current liabilities so as to manage creditworthiness and
liquidity?
Data analysis
Ratio analysis, graphical presentation and other
financial techniques will be applied for examining the
performance of the business by computing different kind
of ratios i.e. solvency, liquidity, profitability, investor’s
performance and efficiency as well.
Ethical consideration
For giving value to the ethical aspects, researcher
will first receive consent from the respective managerial
authority of the Tesco and Sainsbury to obtain
information regarding their profit performance and
financial status. Moreover, privacy & confidentiality are
the two main requirements for every research to maintain
ethical aspects. Investigator will not disclose the private
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and confidential information of the companies to any
other party or competitor which can leads to breach the
principle of privacy & confidentiality (Harley and et.al.,
2015). For such purpose, data will be kept in highly
secured manner by warehousing and storing it into a
computerized database where it will be protected by
password security. At the same time, data compliance
legislations also will be followed and complied
throughout the study.
Theoretical approaches
In order to conduct the research literature review will be
done. Moreover, ratio analysis method will be used to
conduct the present research study.
Research questions
 What is the impact of low efficiency on the performance of
the business performance?
 What role competition play in reducing firm business
performance?
Details of participant population (recruitment, inclusion and
exclusion criteria)
In the current research study primary data will not be collected
and only secondary data will be gathered. In respect to secondary
data income statement and balance sheet data will be taken from
the firm relevant website and same will be analysed by using ratio
analysis method. Results will be interpreted to obtain results of
ratios.
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Please explain the potential value of your
research to society and/or the economy
and its potential to improve knowledge and
understanding. There are certain positive aspects of the present research study that is
carried out in respect to the retail industry of UK. It is well known fact
that relevant domain cover large part of the nation GDP and due to this
reason it have significant importance for the nation. From past couple of
years fierce competition is observed in the retail industry of the nation.
In order to survive in this tough environment firms are cutting product
price and at same time cost remain same or elevate. All these things
affects firm’s profitability which directly affects the nation. Current
research study mainly focused on identifying impact of fierce cut throat
competition on the firm’s profitability and efficiency. The results of
present research study will help one in identifying the impact of
completion on retail firm’s financial health. Thus, overall research will
help one in measuring whether there is need to make any intervention
in the market to control the situation.
Section 2: Research Ethics Checklist (Refer to Section 3 for
an explanation of the colour coding.)
N.B. If you are conducting research that involves‘ animals and
significant habitats’, please use the Stage1 Research Ethics Application
Form involving Animals and Habitats
(www.anglia.ac.uk/researchethics).
You must provide a response to ALL questions. Please refer to the Question Specific
Advice for completing the Stage 1 Research Ethics Application Form for guidance.
Will your research (delete as
appropriate):
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1 Involve human participants? YES NO
2 Create a risk that individuals and/or organisations could be identified in the outputs? YES NO
3 Involve participants whose responses could be influenced by your relationship with
them or by any perceived, or real, conflicts of interest?
YES NO
4 Involve the co-operation of a ‘gatekeeper’ to gain access to participants? YES NO
5 Offer financial or other forms of incentives to participants? YES NO
6 Involve the possibility that any incidental health issues relating to participants be
identified?
YES NO
7 Involve the discussion of topics that participants may find distressing? YES NO
8 Take place outside of the country where you work and/or are enrolled to study? YES NO
9 Cause a negative impact on the environment (over and above that of normal daily
activity)?
YES NO
10 Involve gathering or preparing non-living biological samples not held already in a
university, museum or other collection?
YES NO
11 Involve genetic modification of human tissue, or use of genetically modified organisms
classified as Class One activities?1.
YES NO
12 Involve genetic modification of human tissue, or use of genetically modified organisms
above Class One activities?2.
YES NO
13 Collect, use or store any human tissue or DNA (including but not limited to, serum,
plasma, organs, saliva, urine, hairs and nails)?3
YES NO
14 Involvemedicalresearchwithhumans,includingclinicaltrialsormedicaldevices? YES NO
15 Involve the administration of drugs, placebos or other substances (e.g. food, vitamins) to
humans?
YES NO
16 Cause(orhavethepotentialtocause)pain,physicalorpsychologicalharmornegative
consequences to humans?
YES NO
1 ?[e-mail] further information.
2As above.
2
3 ?For any research involving human material you must contact Matt Bristow ([e-mail] ) for further guidance on
how to proceed
6

17 Involve the collection of data without the consent of participants, or other forms of
deception?
YES NO
18 Involve interventions with people aged 16 years of age and under? YES NO
19 Relate to military sites, personnel, equipment, or the defence industry? YES NO
20 Risk damage/disturbance to culturally, spiritually or historically significant artefacts/places,
or human remains?
YES NO
21 Contain research methodologies you, or members of your team, require training to carry
out?
YES NO
22 Involve access to, or use(including internet use) of, material covered by the Counter
Terrorism and Security Act (2015), or the Terrorism Act (2006),or which could be
classified as security sensitive?4
YES NO
23 Involve you or participants in a) activities which may be illegal and/or b) the observation,
handling or storage (including export) of information or material which may be regarded
as illegal?
YES NO
24 Require ethical approval from any recognised external agencies? e.g. NHS, Social
Care, Ministry of Justice, Ministry of Defence. Please refer to the Question Specific
Advice for the Stage 1 Research Ethics Application Form and Code of Practice for
Applying for Ethical Approval for further information.
YES NO
25 Involve individuals aged 16 years of age and over who lack ‘capacity to consent’ and
therefore fall under the Mental Capacity Act (2005)?
YES NO
26 Pose any ethical issue not covered elsewhere in this checklist (excluding issues relating
to animals and significant habitats which are dealt with in a separate form)?
YES NO
Please note that the Faculty Research Ethics Panel(FREP) will refer to the Office of the Secretary
and Clerk any application where, in the view of the Chair, the proposed research poses a risk of a
legal or security related nature to Anglia Ruskin University. The Chair will seek guidance from the
Secretary and Clerk before the FREP decides if the proposed research can be granted ethical
approval and/or the nature of any special arrangements which need to be put in place.
4 ?The Counter Terrorism and Security Act (2015) and Terrorism Act (2006) outlaws web posting of material that encourages or
endorses terrorist acts, even terrorist acts that have occurred in the past. Sections of the Terrorism Act also create a risk of prosecution
for those who transmit material of this nature, including transmitting the material electronically. The storage of such material on a
computer can, if discovered, prompt a police investigation. Visits to websites related to terrorism and the downloading of material issued
by terrorist groups (even from open-access sites) may be subject to monitoring by the police. Storage of this material for research
purposes may also be subject to monitoring by the police. Therefore, research relating to terrorism, or any other research that could be
classified as security-sensitive (for example, Ministry of Defence-commissioned work on military equipment, IT encryption design for
public bodies or businesses) needs special treatment. If you have any doubts about whether your research could be classified as
security-sensitive, please speak to your FREP Chair.
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Section 3: Approval process
All student applications must be sent to your Supervisor for checking.
Your Supervisor must then forward the application to the DREP/FREP(as appropriate)
FREP=Faculty Research Ethics Panel
DREP=Departmental Research Ethics Panel
NO answered to all
questions
Risk category Green
CompleteSection5 of this form and
then send it to your DREP(or FREP
for the Faculty of Medical Science
only).
You do not require ethical approval from
a committee.
You can start your research
immediately.
YES to any of Questions
1-11 and/or 26 but NO to
all other questions
Risk category Yellow
Complete Section 4 and 5 of this form and
submit it, and the Participant Information
Sheet (PIS) and Participant Consent Form
(PCF), to your DREP (or FREP for Faculty of
Medical Science only). Your faculty may
require further documents.
You need to wait for ethical approval before you
start your research.
YEStoanyofQuestions12-
23
Risk Category Red
Complete Section 5 of this form and
complete the Stage 2 Approval form. Submit
both, and any other documents required, to
your FREP.
If you answered YES to Question 22
you must also complete and submit
for consideration by the committee
the Stage 3 Approval form.
You need to wait for ethical approval before you
start your research.
YES to either or
both of Questions
24-25
Risk Category Purple
You need external approval(s) which, if
granted, may be regarded as equivalent to
approval from an Anglia Ruskin ethics
committee.
Refer to the Question Specific Advice for the
Stage 1 Research Ethics Application Form
and Code of Practice for Applying for Ethical
Approval for further information
You need to wait for ethical and/or
governance approval before you start
your research.
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Section 4: Project details
Management of Ethical Risk
For each of Questions 1-11 and Question 26, where you have responded ‘Yes’, please explain for the
committee how you justify and will manage the ethical risk created. Your research is in the Yellow
risk category.
Section 5: Confirmation/Declaration statements
Confirmation Statements (delete as appropriate)
1 I have completed the relevant training in research ethics.5 Yes No
Not applicable
2 I have consulted the Research Ethics Policy and the relevant sections of the Code of Practice for
Applying for Ethical Approval, available atwww.anglia.ac.uk/research ethics.
Yes No
3 I have completed a Risk Assessment (Health and Safety).6 Yes No
Not applicable
4 My research complies with the UK Data Protection Act (1998) and /or the data protection laws of
the country where there search is being conducted.7
Yes No
Not applicable
5 For research funded externally where the funding was acquired via Anglia
Ruskin, I have completed a Project Risk Assessment.8
Yes No
Not applicable
5 ?Where required, UG or PGT students must submit confirmation with this form that they have passed the on-line ethics
training. Some courses have exemption from this requirement. Please check with your supervisor.
6 ?For research conducted at ARU including Ixion, University Centre Peterborough and College of West
Anglia,gotohttp://web.anglia.ac.uk/anet/staff/sec_clerk/gen_info.phtmlfor the relevant guidance. Students at other institutions
must follow local processes.
7 ?For guidance go to web.anglia.ac.uk/anet/staff/sec_clerk/dpa.phtml
8 ?Fordetailsgotoweb.anglia.ac.uk/anet/rdcs/compliance/faqs.phtml

6 I have attached my confirmation of passing a Safeguarding course. Yes No
Not applicable
7 If my research project involves a contract between Anglia Ruskin University and an external
party, I have had the contract approved by the Secretary and Clerk’s Office9
Yes No
Not applicable
Confirmation of Data Storage Compliance
By sending this form you confirm that:
 Physical documents containing personal or confidential information will be stored securely and only accessible to the
research team and other authorised individuals.
 You will not store protected information [as defined by the Data Protection Act 1998] in personal cloud
services, such as Dropbox, Google Drive or Microsoft OneDrive as their quality or security cannot be
guaranteed.
 Any portable media, such as USB storage devices, removable hard drives, CDs or DVDs, that are used to hold
personal, confidential or sensitive data will be securely stored on-premises and appropriately encrypted when
used off-premises.
 Access to our remote desktop facilities will always be via an approved connection.
The preferred storage solution for electronic files is on a University server accessed from a password protected computer.
Please consult our IT Acceptable Use Policy for further information and guidance: http://web.anglia.ac.uk/it/policy/
Applicant Declaration
By sending this form from myAnglia Ruskin e-mail account, I confirm that I will undertake the research as detailed here. I
understand that I must abide by the terms of my ethical approval and that I may not amend the research without further ethical
approval. I also confirm that the research will comply with all Anglia Ruskin ethical guidance, all relevant legislation and any
relevant professional or funding body ethical guidance.
Supervisor/First Supervisor Declaration
By sending this form from myAnglia e-mail account, I confirm the statements in the Applicant Declaration and that I will
supervise the research as detailed in the application.
Thank you for completing the Stage 1 Research Ethics Application Form.
Please submit it as follows:
Staff Researchers: Send form directly to the relevant committee.
Student Researchers: Send form to Supervisor/First Supervisor.
Supervisor/First Supervisor: Check application and forward to the relevant committee.
9 ? For details go to http://web.anglia.ac.uk/anet/staff/sec_clerk/

For FREP/DREP details please visit the Ethics website:
http://web.anglia.ac.uk/anet/rido/ethics/about/frep.phtml. On this page you will also find links to each
Faculty’s website where more information on DREPS can be found.