Ethics Application Form

The Ethics Application Form is a necessary step to consider the ethical implications of your research. It should be completed before starting any data collection. Get approval from your supervisor and ensure all conditions are met.

ETHICS APPLICATION FORM
Introduction
The completion of this form should not be seen as an end in itself but as a vehicle to ensure that
you have gone through a process of considering the ethical implications of your research in detail
and that you are able to communicate this clearly.
Please note that you should NOT begin your project or start any data collection until your
ethics application has been given final approval by your dissertation supervisor and it is
confirmed that all conditions have been met.
If you have any queries whilst completing this form, please get in contact with your dissertation
supervisor.
SECTION 1: PERSONAL DETAILS & DECLARATION
Please complete the header with your name and Department
Name:
Student number:
UR email address:
Programme of Study:
Supervisor:
STUDENT’S SIGNATURE
I confirm that this submission accords with the University Code of Conduct and that
all information supplied on this form is correct
Student’s Signature:
Please use an electronic signature or type your name
Date:
SECTION 1b: SUPERVISOR’S APPROVAL
Dissertation supervisors, please:
 scrutinise the Ethics Application and all participant-facing documentation
 suggest and check any changes which need making before your final approval
1

Please tick the box to confirm that you have approved the application as ethically sound
and the participant-facing documentation as appropriate.
SUPERVISOR’S SIGNATURE
Signature:
Please use an electronic signature or type your name
Print name:
Date:
SECTION 2: PROJECT DETAILS
Title of project:
To investigate how bank can implement business strategy with regards
to globalisation for improving connectivity with clients. A case study
on Barclays Plc.
Proposed start date (start
date of actual data
collection):
Please note that
supervisor’s approval can
take some time. Please
submit applications in a
timely manner. Reasons
should be given for late or
retrospective
submissions.
Duration:
2.1. Purpose of the proposed investigation (300 words maximum)
This section should include the material which concisely outlines the rationale for the project, i.e.
why this study needs to be done. This should be done in a way that is both accessible and
scholarly, i.e. have proper cited sources.
2

The research into consideration is based on investigating how bank can implement business strategy
with respect to globalisation for improving connectivity with clients; therefore, it is a wide area of
academic writing as it is effective in exploring personal as well as professional skills of individual
who are having significant interest in the similar area of study. A business strategy is defined as the
actions which a business takes to reach it organisational goals and be competitive in its industry.
Thus a suitable business strategy within the context to banking sector helps in enhancing the
connectivity wth the customers and clients to attain higher growth and success. Therefore, this refers
as the business needs to do to reach at its goals, that can help to aid the decision making process for
hiring and resources allocations. The business strategy is recognised as the major challenge for the
business as banking industry is facing the issue of business strategy and the analysis is imperative in
exploring in-depth analysis over the aspect of business strategy and how it will be significant for the
business to enhance the opportunity for the business. The present investigation is significant for
Barclays bank in acknowledging the suitable business strategies that are effective for the business
and its operations to attain higher advancement and progression. The project is also effective for the
other businesses which are also deals in the similar sector. Despite from this, the project is also
developing scholar benefit as it renders suitable recognition about the similar area which helps in
attaining significant grads in the academic level of the researcher and the learner. The another
intention of executing project over this area is the personal interest of the researcher as the
investigator wants to explore individual idea in relation to the aspect to business strategy and how
bank can implement business strategy with respect to globalisation for improving connectivity with
clients.
The effective objectives on which the entire project will be based are associated as below:
 To understand the concept of business strategies.
 To evaluate the different type of business strategy used by the Barclays plc with respect to
globalisation for improving the connectivity of the business with clients.
 To examine the challenges faced by the Barclays plc in implementing the various type of
strategies in the global market.
 To recommend some of the measures this will assist Barclays bank in managing global
business and connectivity.
2.2. Outline of the project (300 words maximum)
This section should include the details of the methods i.e. what will be done and how. Please start
by giving a brief summary (one paragraph) including how many participants there are likely to be,
where the research will take place and an indication of how long participation will take for each
3

section (interviews, questionnaires etc.) and in total.
Research methodology is defined as the imperative aspect of a project and helps in better execution
of research project in right manner. Therefore, the research methodology is recognised as the aspect
which provides suitable guidance to the researcher to assist the project in right manner. This section
of investigation is based on multiple applications that are significant to conduct analysis over the
aspect of examine how bank can implement business strategy with regards to globalisation for
improving connectivity with clients.
The selection of research method is encompasses over qualitative and quantitative aspects, thus the
suitable selection of methodology is based on the information that are accumulated for a specific
investigation area. In the context to this present investigation area based on the aspect of examine
how bank can implement business strategy with regards to globalisation for improving connectivity
with client, qualitative research will be considering by the researcher as it recognised as the best and
appropriate source which helps in providing detailed theoretical perspective over the specific area as
in this information mainly gather with the support to analysing models, concepts and theories which
are based on the aspect of business strategy based on banking sector.
In addition to this, here primary and secondary both the tools will be considering by the researcher
as these two are imperative in accumulation of valid and reliable information. Secondary research is
effective in developing comprehension in relation to the chosen study area, as in this information
will be accumulated via books, journals, articles and so on. in this past investigation based on similar
area are more liable to gather valuable information and analysing the potential of executing a project.
On the other side, the primary research will be supportive in gathering specific information and in
this questionnaire will be the significant tool to gather suitable information. Questionnaire is
effective in conducting detailed analysis as in this information will be gather from the wider
population and large range of information will be significant in reaching at the suitable outcome. in
addition to this, sample will be select at random basis as the probabilistic tool is relevant to pick
people to gather information. The sample size for this project will be 100 in which managers and
employees are involved to gather information as they are more liable and effective in authentic
information about the aspect of business strategy and how it will help the bank to enhance
operations.
4

You should attach all the research instruments you are planning to use in your research, e.g.
interview questionnaire, online questionnaire template, etc. These should be checked by your
supervisor prior to Ethics application approval.
Please tick the boxes to confirm that
1) you have attached all research instruments you intend to use
2) you will notify your supervisor of any major changes
2.3. Ethical issues raised by the project and how these will be addressed (500 words
maximum)
Ethical issues raised by the project and how these will be addressed:
Points that should be considered include:
 Participants and consent
 Confidentiality and anonymity
 Right to withdrawal
 Deception
 Permissions from organisations involved
 Whether any vulnerable populations are involved (including under 18s) (also see Section 6)
This section should have some comment and not left blank.
Please refer to the Ethics Guidelines for more information.
In the execution of a project it is important for the researcher to follow all the ethical practices as to
completion of the project within an appropriate manner. Research ethics are the fundamental aspects
which are needs to be considered by the researcher in the manner to executing research projects in
relevant manner to gather information effectively. In the context of the present investigation work
different ethical issues are raised in the manner of participants and consent, confidentiality and
anatomy, right to withdraw, reception, permission from the organisation and so on therefore these
are the major challenges button needs to be overcome by the researcher in the manner to generating
appropriate outcome and completing the project within provided time duration. the primary
consideration of the researcher is to provide consent to their participants in the form of consent form
as it is very much required for the researcher to sign the consent form from the participants in the
manner of receiving their approval regarding taking participation in the existing project. this helps
the researcher in resolving the issue of participants and consent effectively. in this present
investigation worked analysis is based on Barclays Bank and it is very much required for the
researcher to take approval from the bank as in this information is being gathered from its managers
and executive employees so the approval is needed in the case of protecting themselves from any
issue raised by the business. in addition to this researcher also needs to ensure their participants
5

about the safety and security of their private information as the participants are mainly having the
issue of confidentiality of their information as lots of fraud and unauthorized access are happens so
they are having concerned with the leakage of their private information so it is also important for the
researcher to provide assurance regarding maintaining the safety and security of their private
information. at the time of providing consent to the participants the researcher also mentioned that
the participants are having the right to withdraw from their participation in the project as they can
withdraw their participation any time without providing any justification to the researcher this will
help in resolving the issue of right to withdrawal of participants. furthermore researcher also ensure
the selected participants to not asking any question that are very much personal to them and also
influences their emotions and sentiments as the researcher needs to stick over the investigation issue
and gather particular information regarding the topic. Research also needs to focus over the selection
of the participants as investigator needs to select the participants who are major as the researcher is
not allow to investigate from the people who are below than the age group of 18.
6

SECTION 3: RESEARCH INVOLVING PARTICIPANTS
 You should download the Participant Consent Form template and amend as required (you
can also find it at the end of this document).
 You should also attach any other information to be given to participants.
 You should consider carefully what information you provide to participants, e.g. scope of
study, number of participants, duration of study, risks/benefits of the project. It is
recommended that the participant has two copies of the consent form so they can retain one
for information.
 If images or anything else which might allow the identification of participants is to be publicly
accessible (e.g. on the web), further written consent must be secured. A separate section
regarding this should be included on the participant consent form.
3.1. Give details of 1) the method of recruitment and 2) potential benefits or
incentives to participants if any
Please mention whether there will be any financial benefits and give details of amounts involved.
(NB: Please remember that written permission – or in some cases ethics approval – will have to be
sought from any organisations where recruitment is carried out or posters placed (e.g. if you recruit
in GP’s surgeries you may require NHS approval)
1)
2)
Please tick the box to confirm that you have attached written permission from any organisations
where recruitment is carried out or posters placed
3.2. Under 18s and Vulnerable Participants – DBS
Students are NOT advised to carry any research that involves participants who are aged
under 18 or considered to be vulnerable.
Please tick the box to confirm that you understand that you should not carry out any research
involving participants who are aged under 18 or considered to be vulnerable
Please note that you will need to apply for DBS (Disclosure and Barring Service) clearance if you
decide to conduct research that involves participants who are aged under 18 or considered to be
vulnerable. Please seek advice from your supervisor.
7

SECTION 4: HEALTH AND SAFETY
4.1. Please give a brief overview of the main risks involved in the project and what
will be done to mitigate them
Health & safety issues raised by the project, including any risks to participants and/or researcher
and sole working. Think of hazards, who can be harmed, how can someone be harmed, number of
people affected, what are the consequences, what are the existing or possible control measures.
You should clearly indicate how these H&S issues will be addressed. This section should have
some comment and not left blank.
 Please discuss these with your Supervisor
Risks and mitigation:
1)
2)
3)
4.2. Research outside the UK
Students are NOT advised to carry out any travel to conduct research outside the UK.
If your dissertation will focus on a country outside the UK and employ qualitative research methods
(e.g. interviews), you are advised to use technology to collect your data, e.g. Skype or WhatsApp.
Please tick the box to confirm that you understand that you should not carry out any travel to
conduct research outside the UK
If you decide to travel outside the UK (including your home country or the country in which you
reside), please note that you will need to:
1) refer to the relevant section of the Ethics Guidelines
2) complete the Overseas Background Information form
3) consult with the Health & Safety office
4) adhere to the University’s Travel Safety Advice
5) submit an ATO (Authority to Travel Overseas) and ensure that travel assistance and medical
cover is in place.
Please seek advice from your supervisor.
8

SECTION 5: PUBLICATION AND IMPACT OF RESEARCH
The research you are conducting should only be for undergraduate dissertation purposes. You
should not seek to publicly disseminate your research findings in any other way.
Please tick the box to confirm that you have read and understood the above
SECTION 6: DATA PROTECTION
Before completing this section of the form, you should read the Data Protection and Storage
Guidance for Researchers. It is the responsibility of researchers to ensure that they comply with the
University’s policies and procedures regarding data protection.
Please confirm that you have read the Data Protection and Storage Guidance for Researchers,
including dissertation students
All research data must also be processed in line with the University’s IT Policy, which states,
“You must not, unless exempted through the University’s ethics procedures, create, download,
store or transmit unlawful material, or material that is indecent, offensive, threatening or
discriminatory or extremist. Following such approval, the University of Roehampton has
procedures to enable staff and students to access and store downloaded research materials
and data into a specially provisioned university secure safe storage area.”
6.1. Personal data processing
1. Will the research project involve collecting, storing or processing personal data relating to
research participants? ‘Personal data’ is defined as, “Any information relating to an identified or
identifiable person (a ‘data subject) or from which a person can be identified either directly or
indirectly.” Examples of personal data include:
 Name
 Age
 Address
 Job title
YES NO N/A (no human participants)
If yes, other than signed consent forms, please give details of the types of personal data to be
collected/ stored/ processed as part of the research project.
9

2. Will the research project involve collecting, storing or processing special categories of personal
data or criminal convictions relating to research participants?
Special categories of personal data include the following: Racial or ethnic origin, Political opinions,
Religious or philosophical beliefs, Trade union membership, Health, Sex life, Sexual orientation,
Biometric data, Genetic data, Criminal convictions data (More information can be found in the
Guidance, section 7)
YES NO
If yes please give details
Students are expected to anonymise personal data, or where this would be impractical they are
expected to use pseudonymisation as standard practice (see Section 16 of the Guidance).
3. Will the data you collect be Anonymised Pseudonymised Neither
(Please see the Guidance for definitions)
If anonymised or pseudonymised, please explain how exactly you will anonymise/pseudonymise
personal data?
The researcher ensures the participants for maintaining the confidentiality of their private
information and not asking any personal question which hurts the emotion and sentiment of people.
If neither please give details:
Please note: If your participants do not wish to remain anonymous and thus waive their right to
anonymity you must obtain their written consent – perhaps by adding a tick box to the consent form.
Even in cases where anonymity has been waived, you must still ensure compliance with all relevant
data protection policies and legislation.
6.2. Information provided to research participants
All research participants should be provided with information about how their personal data will be
used. The Participant Consent Form template has been designed to include the necessary
information where personal data is collected directly from a research participant.
1. Will the Participant Consent form and Data Privacy Notice be handed out as a hard copy?
(You will also find the templates at the end of this document)
10

YES NO
2. If no, please explain why not.
3. If your research is being conducted in any other language than English, will the Participant
Consent form and Data Privacy Notice be translated into the native language?
YES NO
4. If no, please explain why not.
6.3. Personal data transfers BY students
Students should NOT transfer personal data to any party or organisation outside of the
University.
Please tick the box to confirm that you will NOT transfer personal data to any party or organisation
outside of the University
6.4. Record retention
1. Will the research data be stored and destroyed in line with the University’s Record Retention
Schedule (this states that data subject consent forms for trials and studies should be stored for 6
years after the completion of the project and that research data produced through the life of the
project (including audio files) should be stored for 10 years after the completion of the project.
Anonymised data can be kept indefinitely)?
YES NO
2. If no, please explain why.
6.5. Data storage and security
1. Will you be storing your research data using University IT facilities (see Section 17 of the
Guidance)?
YES NO
11

2. If no, please explain why and give details of the storage medium you intend to use. Please tick
the box to confirm that data will be backed up at Roehampton .
3. Please give details of how and where data will be stored and how they will be kept secure. Please
tick the box to confirm that all electronic data will be password protected, and also encrypted if on
personal devices .
yes
4. If using an online questionnaire/ survey, please give details of the survey platform, the
organisation hosting it and data protection implications associated with using an online survey.
12

PARTICIPANT CONSENT FORM
Title of research project:
Brief description of research project:
This should include:
What participation involves
Where it will take place
How long it will take
How many participants there are likely to be (if appropriate)
How long any personal data will be kept for
Whether personal data will be kept indefinitely in an anonymised form
It should state that research findings will NOT be disseminated
It should state that no data will be shared with third parties
Student contact details: Name
Department
University Address
Email
Consent statement:
I agree to take part in this research, and am aware that I am free to withdraw
at any point without giving a reason by contacting Name of Student.
I understand that if I do withdraw, my data may not be erased but will only be
used in an anonymised form as part of an aggregated dataset. I understand
that the personal data collected from me during the course of the project will
be used for undergraduate dissertation purposes.
By signing this form you are confirming that you have been informed about
and understand the University’s Data Privacy Notice for Research
Participants.
The information you have provided will be treated in confidence by the student
and your identity will be protected in the publication of any findings. The
purpose of the research may change over time, and your data may be re-used
for research projects by the University in the future. If this is the case, you will
normally be provided with additional information about the new project.
Name ………………………………….
Signature ………………………………
Date ……………………………………
13

Please note: if you have a concern about any aspect of your participation or any
other queries please raise this with the investigator (or if the researcher is a student
you can also contact the Director of Studies.) However, if you would like to contact an
independent party please contact the Head of Department/ Director of School.
Module convener contact details:
Name
Department:
Email:
Telephone:
Head of Department contact details:
Name:
Email
Should the Head of Department change over the lifecycle of the research project the
new Head of Department will become the independent contact. Contact details for
the new Head of Department can be obtained from the investigator
14

ORGANISATIONAL CONSENT FORM
Please note that this form is only required if the organisation itself is
taking part in the research – e.g. they are allowing observation of
their operations, they are acting as a case study. It is NOT required
if all you are doing is recruiting via them (in which case their
permission is required but not a formal consent form).
Title of research project:
Brief description of research project:
This should include:
What participation involves for the organisation itself and its staff
Where it will take place
How long it will take
How many participants there are likely to be (if appropriate)
How long any personal data will be kept for
That personal data will be kept indefinitely in an anonymised form
It should state that research findings will NOT be disseminated
It should state that no data will be shared with third parties
Student contact details: Name
Department
University Address
Email
Consent statement:
On behalf of …………… I agree for …………….. to take part in this research,
and am aware that the organisation is free to withdraw at any point without
giving a reason by contacting Name of Student. I understand that if we do
withdraw, the organisation’s data may not be erased but will only be used in
an anonymised form as part of an aggregated dataset. Data collected will be
used for the purposes outlined above in the public interest.
By signing this form you are confirming that you have been informed about
and understand the University’s Data Privacy Notice for Research
Participants.
The information you have provided will be treated in confidence by the
researcher and the identity of the organisation will be protected in the
publication of any findings. The purpose of the research may change over
time, and the organisations data may be re-used for research projects by the
University in the future. If this is the case, the organisation will normally be
provided with additional information about the new project.
15

Name ………………………………….
Organisation Name ………………………………
Position in Organisation ………………………………
Signature ………………………………
Date ……………………………………
Please note: if you have a concern about any aspect of your participation or any
other queries please raise this with the investigator (or if the researcher is a student
you can also contact the Director of Studies.) However, if you would like to contact an
independent party please contact the Head of Department.
Should the Head of Department change over the lifecycle of the research project the
new Head of Department will become the independent contact. Contact details for
the new Head of Department can be obtained from the investigator
16

DATA PRIVACY NOTICE FOR RESEARCH PARTICIPANTS
Research Participants -
Why have I been directed here or been given this form?
This statement explains how the University of Roehampton handles and uses
personal data collected from research participants. This includes data
collected directly from research participants or where the data has been
received from a third party.
Who will process my personal data?
This statement applies to all research conducted by the University of
Roehampton and its members.
What is the purpose of the personal data processing?
You will have been informed about the specific types of personal data that will
be used in connection with the research project you are participating in, and
the nature and purpose of the research project. You will have been informed
of any data sharing with participating research institutions, transfers outside of
the European Union, and any automated decision making that affects you.
In some cases, your data may have been shared with the University by
another organisation for the purposes of conducting research. The University
may also re-use personal data it already holds for the purposes of conducting
new research. The University will only use personal data in this way where it
is legally entitled to do so. In all cases, the University will normally contact you
to give you details of the research unless this would be impossible or involve
disproportionate effort, or would significantly undermine the research
objectives.
The University may in exceptional circumstances release personal data to
appropriate authorities without seeking the permission of or notifying the data
subject, but will only do so in compliance with its legal obligations.
What is the legal basis of the processing?
In the majority of cases, your personal data (including, where appropriate,
sensitive personal data) is used to carry out research, including scientific,
historical and statistical research, in the public interest. Where the research is
commercial in nature or funded by a private company, the legal basis for
processing is likely to be legitimate interests. If the personal data being used
for research purposes falls into one of the special categories of personal data,
including criminal convictions data, the lawful basis will usually be that the
17

processing is necessary for archiving purposes in the public interest, scientific
or historical research purposes.
What are my rights as a data subject?
The General Data Protection Regulation and Data Protection Act 2018
provide exemptions for personal data processing in relation to research
activities.
You have the right to opt-out of any further processing. If you do opt-out, your
personal data may not be erased but will only be used in an anonymised form
as part of the dataset. (Please note that this is separate to withdrawing your
participation from the research project itself).
In accordance with accepted ethical standards, you will not be named in any
published materials unless you have given your explicit permission for this to
happen.
The University considers that other statutory rights held by personal data
subjects do not apply where the personal data is being processed for the
purposes of research. If you would like to request a copy of the personal data
then you can contact the lead researcher. Where practicable, they will provide
you with a copy of this data. However, they are under no obligation to do so.
How long is my information kept for?
Your data will be kept in accordance with the Research data may be retained
indefinitely in an anonymised form by researchers. The University may also
reuse your personal data for a different research project. If it does, the
University will make reasonable attempts to inform you about this reuse and
its impact on your rights as a data subject.
Occasionally a researcher will leave the University and begin working for
another organisation. In this case, your personal data may be transferred to
the new organisation so that the research project can continue. If this
happens, you should be provided with updated privacy information by the new
organisation.
The University is committed to protecting all personal data for which it acts as
a controller. Your information will be safely held on a secure system.
Who can I contact?
The University has a Data Protection Policy which sets out how personal data
will be used across the whole University. Further information about data
protection can also be found on the University’s website.
If you would like to receive hard copies of any policies relating to Data
Protection please contact the University Data Protection Officer.
18

If you would like to make a general query about how your data is being used
as part of a research project, you should contact the researcher whose details
you will already have been provided with.
If you would like to make any further enquiries or raise any concerns with
respect to your personal data, or your rights as a data subject, you can
How do I complain?
If you have any concerns about the University’s handling of your personal data, you
have the right to make a complaint about to the Information Commissioner’s Office
and can
19