Undergraduate Ethics Application Form: Business Dissertation Project

This document presents an ethics application form submitted by an undergraduate student at the University of Roehampton for a business dissertation focusing on the impact of microcredit on small businesses in India. The application details the project's purpose, outlining the rationale for analyzing microcredit's influence on Indian businesses and its benefits for organizational growth. The research employs a quantitative method, utilizing online surveys with a random sample of 50 respondents. Ethical considerations, including informed consent, confidentiality, anonymity, and data protection, are addressed. The application includes a participant consent form template, outlines health and safety measures, and confirms compliance with data protection guidelines, covering the collection, storage, and processing of personal data. The student commits to anonymizing data through encryption and other modification techniques, ensuring adherence to ethical standards throughout the research process.

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 Roehampton 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
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
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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:
“The Impact of microcredit on small businesses in
India. A case study A G Technologies Pvt Ltd,
Mumbai, India.”
(Please include name of project on participant documentation if
different)
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.
17/11/2020
Duration:
3 weeks
2.1. Purpose of the proposed investigation (300 words maximum)
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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.
This dissertation is based on analysing the influence of micro credit on small
business. The main reason behind performing this study is that it assists
understanding the influence of micro credit on businesses of India over some
past years. Apart from this, it also helps in determining the benefits of micro
credit for small businesses in India and also assist in understanding the
influence of micro credit on organisational growth over developing operations of
small organisation in India. In addition to the topic, this study also help
researcher in gaining knowledge about the areas associated with the topic.
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.
This research is based on quantitative research method in which for collecting the primary data, online survey will
be conducted through making use of questionnaire. It is a tool which consists of some questions that must be
answered by respondents. For selecting the sample size from overall population, simple random sampling method
will be used. The sample size will be 50 respondents to which the questionnaire will be provided through email.
After getting their responses, the data will be analysed and interpreted and valid outcomes of research will be
drawn.
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)
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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.
 Participants and consent: Taking informed consent from the participants is very necessary. This
issue can be address through asking participants to provide their consent by filling the consent form.
 Confidentiality and anonymity: It is the ethical issue in research which will be address through
ensuring that all the data will be kept confidential and ensuring compliance with Data Protection Act,
2018.
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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) The participants will be recruited through using simple random probability sampling
method.
2) By participate in research, the participants will contribute in advancement of science
and in successful completion of the study.
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.
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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) Data theft: this risk can be mitigating through ensuring that all the data will be encrypted
and secured with password protection.
2) Discrimination: In order to ensure that all the participants will be treated equally without
any discrimination, the compliance with Equality Act, 2010 will be ensure.
3) Leak of data to third part: this risk will be mitigating through ensuring compliance with Data
Protection Act, 2018
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.
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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?
A mirror version of database will be created and modification techniques like encryption will
be used to anonymised data.
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)
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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 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
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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 ✔ .
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.
Online survey will be conducted and questionnaire will be sent to participants through
emails.
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PARTICIPANT CONSENT FORM
Title of research project: “The Impact of microcredit on small
businesses in India. A case study A G Technologies Pvt Ltd,
Mumbai, India.”
Brief description of research project:
This should include:
What participation involves
Informed consent
Where it will take place
In UK
How long it will take
14 weeks
How many participants there are likely to be (if appropriate)
50 respondents
How long any personal data will be kept for
10 years
Whether personal data will be kept indefinitely in an anonymised form
Yes
It should state that research findings will NOT be disseminated
The findings will not be disseminated
It should state that no data will be shared with third parties
Data will not be shared with third party
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.
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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 ……………………………………
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. Contact details for
the new Head of Department can be obtained from the investigator
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