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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