Ethics Application Form: Challenges in Bank of England Operations

This document is an ethics application form submitted by an undergraduate student to the University of Roehampton's Business School for a dissertation project focusing on the operational management challenges within the Bank of England. The application details the project's purpose, which is to identify the challenges in the banking industry related to operational management, and outlines the data collection methods, primarily using questionnaires. It addresses ethical considerations such as participant confidentiality, right to withdrawal, and informed consent. The form also covers health and safety risks, data protection measures, and compliance with the university's policies. The student confirms adherence to ethical guidelines, data protection regulations, and that all necessary permissions and approvals have been obtained from the supervisor before commencing the research and data collection.

November 2019 Version
ETHICS APPLICATION FORM
Undergraduate Students
Introduction
An ethics application should be submitted for
review and approval by anyone conducting
research at, or under the auspices of, the
University of that involves human beings,
animals or personal data relating to human
beings.
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
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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
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 discuss challenges related to operation management: Case study on: Bank
of England.
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
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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.
Aim: To identify the challenges present
in banking industry related to
operational management.
Importance of operational management
is important in the banking industry so
that there is going to be effective
working and efficiency which is going to
be present. Services of this industry
need to have planned working and
efficiency which needs to be present so
that there would be better operations.
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 section (interviews, questionnaires etc.) and
in total.
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Data collection is going to be from primary method
so that there is effective working and efficiency
which would be used to collect information.
Sampling is going to be through questionnaires and
that is going to make the understanding of the topic
more effective.
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.
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Confidentiality of the participants is very important, and they would be provided with the right to
withdraw any time of the survey. Permission and self involvement is present of the participants and
no bias will be done while conducting the survey will be kept in mind.
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) There is no personal benefit of the participants which is going to be provided while doing this
research.
Please tick the box to confirm that you have attached written permission from any organisations
where recruitment is carried out or posters placed ✓
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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.
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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) There is going to be no hazard which is going to be present for the participants who would
be present in the survey which is going to be a great factor. It is important for the bank to
make sure of that so that there is going to be right information which is going to be collected.
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 no
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.
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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.
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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 participants does not want to get involved and they do not want to get disclosed in the survey
which is being conducted.
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)
YES ✓ NO
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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.
It is important to make sure that the local language which is understood by all has to be there which
is going to be a great factor.
6.3. Personal data transfers BY Roehampton 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
2. If no, please explain why and give details of the storage medium you intend to use. Please tick
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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 .
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.
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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 ……………………………………
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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.
Should the Head of Department change over the lifecycle of the research project the
new Head of Department will become the independent contact
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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.
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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
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DATA PRIVACY NOTICE FOR RESEARCH PARTICIPANTS
Research Participants - How the University of uses your personal
data
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
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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
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 University of Roehampton’s
Record Retention Schedule. 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.
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If you would like to receive hard copies of any policies relating to Data
Protection please contact the University Data Protection Officer.
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
contact the University’s Data Protection Officer, Alison Bainbridge, at
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 do so at
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