Stage 1: Research Ethics Application Form involving Animals and Habitats (A&H Stage 1) This form is for research which involves animals (dead or alive) and significant habitats. It also includes all the standard Stage 1 questions as the research may also involve humans or raise other ethical issues. 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 involving Animals and Habitats at: www.anglia.ac.uk/researchethics Section 1: Details of the Researcher and their Research ResearcherdetailsSurnames, First NamesSchool/FacultyEmail addressName of Institution where you studyor work (if not Anglia Ruskin)Are you: Pleasetick relevant boxUndergraduate (UG) Student Postgraduate Taught (PGT) Student Postgraduate Research (PGR) Student Member of ARU Staff Member of ARU staff carrying out Masters/Doctorate researchStudents (including staff proposing research on a course/programme)Your SIDYour course/programme titleName of your First Supervisor (for PGR) or Supervisor (for UG and PGT)N/AResearch detailsTitleofyourresearchproject N.B. For UG/PGT students,thisisnotthetitleof your researchmoduleName and institutional affiliation of any research collaboratorsDate of applicationStart date of proposed researchBrief ProjectSummary Please summarise your research in non-specialist language.Please describe where relevant.MethodologyPlease explain the potential value of your research to society and/or the economy and its potential to improve knowledge and understanding. Section 2: Research Ethics Checklist (Refer to Section 3 for an explanation of the colour coding) You must provide a response to ALL questions. Please refer to the Question SpecificAdvice for completing the Stage 1 Research Ethics Application Form (Animals and Habitats) for guidance. Willyour r esearch (delete as appropriate) :YesNo1Involve gathering or preparing non-living biological samples not held already in university, museum or other research collections?2Involve scarce, vulnerable or protected species, habitats or sites; or genetic resources and traditional knowledge protected by the Nagoya Protocol?3Involve invertebrates (other than cephalopods or decapod crustaceans)?4Manipulate the environment, including introducing new species or destructive collecting/harvesting?5Include work on live decapod crustaceans, cephalopods or vertebrates? (ANIMAL) (If YES please answer the following questions 6-11. If NO go to Question 12).6Include observation of any free-living or captive animals?7Risk causing pain, suffering, psychological or physical harm to an animal?8Involve removal of biological material directly from a live animal?9Involve manipulating an animal’s environment for the explicit purpose of your study?10Involve a) the breeding of animals and/or b) animals that are either pregnant orraising young?11Involve manipulation of an animal’s diet or drinking water?12Involve human participants?13Utilise data that is not publicly available?14Create a risk that individuals and/or organisations could be identified in the outputs?15Involve participants whose responses could be influenced by your relationship with them or by any perceived, or real, conflicts of interest?16Involve the co-operation of a ‘gatekeeper’ to gain access to participants (for example, a pet owner or zoo, a company manager or a head teacher)?17Offer financial or other forms of incentives to participants?18Involve the possibility that any incidental health issues relating to participants could be identified?19Involve the discussion of topics that participants may find distressing?20Take place outside of the country where you work and/or are enrolled to study?21Cause a negative impact on the environment (over and above that of normal daily activity)?22Involve genetic modification of animal or human tissue, or use of genetically modified organisms as Class One activities?123Involve genetic modification of animal or human tissue, or use of genetically modified organisms above Class One activities?224Collect, use or store any human tissue or DNA (including but not limited to, serum, plasma, organs, saliva, urine, hair and nails)?325Involve medical research with humans, including clinical trials or medical devices?26Involve the administration of drugs, placebos or other substances (e.g. food, vitamins) to animals or humans?27Cause (or have the potential to cause) pain, physical or psychological harm or negative consequences to humans?28Involve the collection of data without the consent of participants, or other forms of deception?29Involve interventions with people aged 16 years and under?30Relate to military sites, personnel, equipment, or the defence industry?31Risk damage/disturbance to culturally, spiritually or historically significant artefacts/places, or human remains?32Contain research methodologies you, or members of your team, require training to carry out?33Involve 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?434Risk being construed as encouraging terrorism or inviting support for proscribed organisations and/or contain extremist views that risk drawing people into terrorism or are shared by extremist groups35Involve 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?36Does your research involve the NHS (require Health Research Authority and/or NHS REC and NHS R&D Office cost and capacity checks)?37Require ethical approval from any recognised external agencies (Social Care, Ministry of Justice, Ministry of Defence)?38Involve individuals aged 16 years of age and over who lack ‘capacity to consent’ and therefore fall under the Mental Capacity Act (2005)?39Involve processing special category data5 and/or you intend to recruit 100 or over participants?40Pose any ethical issue not covered elsewhere in this checklist? 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. Section 3: Approval process 1. FREP = Faculty Research Ethics Panel, SREP = School Research Ethics Panel 2. All student applications must be sent to your Supervisor for checking. Your Supervisor must then forward the application to the SREP/FREP (as appropriate) NO answered to all questions Risk category Green Complete Section 6 of this form and then sendit to your SREP. You do not require ethical approvalfrom a committee. Youcanstartyourresearchimmediately. YES to any of Questions 1-22 and/or 40 but NO to all other questions Risk category Yellow Complete Section 4 – 6 of this form and submit it, and the Participant or Owner Information Sheet (PIS) and Participant or Owner Consent Form (PCF), to your SREP. Your faculty may require further documents. You need to wait for ethical approval before you start your research. YES to anyof Questions 23-35 Risk Category Red Complete Section 5 and 6 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 34 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 any of Questions 36-38 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 forfurther information Youneedtowaitforethical and/or governanceapprovalbefore youstartyourresearch YES to Question 39 Risk Category Blue You must also complete the Further Data Protection Questions and submit this with your application Section 4: Project details Management of Ethical RiskFor each of Questions 1-22 and/or 40 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: Data Protection If your research involves personal data and will be in the European Economic Area (EEA) or involve transferring data in or out of the EEA (the EEA includes EU member states and also Iceland, Liechtenstein and Norway). You must complete the Research Checklist for Data Protection and confirm that you have done this in Section 6. https://web.anglia.ac.uk/anet/staff/sec_clerk/Data%20Protection/guidance/research.phtml If you have said ‘yes’ to Question 28, you must also complete the Further Data Protection Questions and follow further instructions if applicable. You need to submit this document with your ethics application. https://web.anglia.ac.uk/anet/staff/sec_clerk/Data%20Protection/guidance/research2.phtml If your research will not involve the EEA, you need to confirm in Section 6 that you will comply with the data legislation relating to the country you are carrying research out in or transferring data in or out of. Section 6: Confirmation/Declaration statements ConfirmationStatements1I have completed the relevant training in research ethics.6Yes No Not applicable2I have consulted the Research Ethics Policy and the relevant sections of the Code of Practice for Applying for Ethical Approval, available at http://www.anglia.ac.uk/researchethics.Yes No Not applicable3I have completed a Risk Assessment (Health and Safety) and had it approved by the appropriate person7Yes No Not applicable4Either I have reviewed the Research Checklist for Data Protection and comply with its requirements. If I needed to complete the Further Data Protection Questions, I obtained advice from our Data Protection Officer if any of my responses were ‘no’ and submit the correspondence with this ethics application. Or for research that does not involve the EEA, I will comply with any data protection legislation of the country or countries that my research will involve.Yes No Not applicable5For research funded externally where the funding was acquired via Anglia Ruskin, I have completed a Project Risk Assessment.8Yes No Not applicable6I have attached my confirmation of passing a Safeguarding course.Yes No Not applicable7If my research project involves a contract between Anglia Ruskin University and an external party, I have had the contract approved by the Secretary and Clerks Office9Yes No Not applicable ApplicantDeclarationBy sending this form from my Anglia 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/FirstSupervisor DeclarationBy sending this form from my Anglia 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 involving Animals andHabitats (A&H Stage 1). Please note that ethics applications for research involving animals and habitats must be submitted to the Life Sciences (Animal and Environmental Biology) School Research Ethics Panel in the first instance. For details see: https://canvas.anglia.ac.uk/courses/6910/pages/fse-frep-and-drep-information Please submit it as follows: FOR ETHICS LEVEL 3 SUBMIT TO INSTRUCTOR VIA TURN IT IN Staff Researchers: Send form directly to the relevant committee. Student Researchers (including staff carrying out research in a student capacity): Send form to Supervisor/First Supervisor. Supervisor/First Supervisor: Check application and forward to the relevant committee. For FREP/SREP details please visit the Ethics website: https://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 SREPS can be found. Date: 27 March 2019 Version 1.0 1 Email FST-Biologicalsafety.GMO@anglia.ac.uk for further information. 2 As above. 3 For any research involving human material you must email ARU-HBMC@anglia.ac.ukfor further guidance on how to proceed. 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. 5 Special category data is defined as personal data which reveals racial or ethnic origin, political opinions, religious or philosophical beliefs, or trade union membership, and the processing of genetic data, biometric data for the purpose of uniquely identifying a person, and data concerning health or data concerning a person’s sex life or sexual orientation. 6 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. 7 For research conducted at ARU including, University Centre Peterborough and College of West Anglia, go to http://web.anglia.ac.uk/anet/staff/sec_clerk/for the relevant guidance. Students at other institutions must follow local processes. 8 For details go to http://web.anglia.ac.uk/anet/rdcs/compliance/faqs.phtml 9 For details go to http://web.anglia.ac.uk/anet/staff/sec_clerk/
