THE BARTLETT SCHOOL OF ENVIRONMENT, ENERGY AND RESOURCES

MSc ESDA Dissertation Module

Research Ethics, Data Protection & Risk Check
Part A: Declaration of Review Stream Applicable to the Research

This document is for MSc ESDA students to use to determine which ethics stream is applicable to their
Dissertation research. It comprises five steps:
 ALL STUDENTS TO COMPLETE…
Step A1 – Does the research require a Risk Assessment?
Step A2 – Does the research require External research ethics approval?
 Where external ethics approval is not required, students complete…
Step A3 – Is the research Exempt from the need for ethics approval?
 Where the research is not exempt from the need for ethics approval, students complete…
Step A4 – Does the research require High Risk ethics approval?
 Where the research is not exempt from the need for ethics approval,
but does not require high risk ethics approval, students complete…
Step A5 – Does the research require:
o Low risk ethics approval for questions-based methods – from MSc ESDA.

o Low risk ethics approval for other methods – from BSEER.

 ALL STUDENTS TO COMPLETE…

Step A6 – MSC ESDA Dissertation Ethics Declaration
where students and their supervisors declare
o Whether or not the research requires a risk assessment, and

o Which of the following ethics review streams applies to the Dissertation research:

 External (to UCL) research ethics review.

 Exempt from the need for research ethics approval.
 High risk research ethics review from the UCL Research Ethics Committee.
 Low risk research ethics review for questions-based methods – from MSc ESDA.
 Low risk research ethics review for other methods – from BSEER.
The MSC ESDA Dissertation Ethics Statement is submitted to the Dissertation module convenor as
per their specifications, and included as a Dissertation Appendix, where it will be evaluated by the
Dissertation’s second marker.

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 Step A1 – Does the research require a Risk Assessment?
UCL has a duty of care to students under the Health and Safety at Work Act.
MSc Esda Students: If you are unsure about answer the below, consult your Supervisor.

Evaluate Covid-19 related risks:

Will you conduct any of this research: YES NO

In a way that could breach any relevant Covid-19 laws or guidance?* ✘

In a way that could put you or anyone else at increased risk of Covid-19?* ✘

*Evaluating Covid-19 related risks – UCL resources:

 Evaluating Fieldwork activity in taught and MRes programmes, 2020-21 – see
[Link]
 Risk assessment for return to on-site working at UCL – see [Link]
working-ucl
 Risk assessments for teaching labs, studios, workshops and other specialist spaces – see [Link]
learning/education-planning-2020-21/educating-campus-2020-21/risk-assessments-teaching-labs-studios-workshops
If you ticked YES to any of the Covid-19 related risks, your supervisor must complete a RiskNet assessment for this research
and you should attach that assessment to this form.
If Covid-19 risks or laws or guidance relevant to the research changes whilst the research is under way, students must immediately
discuss this with their supervisors. Students and supervisors should consult the UCL resources above again and decide whether a
(new) RiskNet assessment is necessary.

Evaluate laboratory-related risks:

Will you conduct any of this research: YES NO

In a laboratory? ✘

If you ticked YES to conducting any of this research in a laboratory, please explain exactly what risk assessment(s) will be
completed prior to the research commencing and (if relevant) prior to each laboratory visit:

Evaluate fieldwork related risks:

Will you conduct any of this research: YES NO

Alone in a non-public place (e.g. dwellings other than those you usually use, workplaces with very few ✘

workers present, etc)?

Alone in a public place with few other people present (e.g. quiet park/street)? ✘

In a place where the research topic might be considered sensitive? ✘

Overseas in an area where the UK Foreign and Commonwealth Office (FCO) advises against travel ✘

(amber / red on the FCO map of that country)? Note that familiarity with that overseas area is
irrelevant to this answer at this stage (see below).
If you ticked YES to ANY of the above, you must complete a Risk Assessment with your supervisor
Your supervisor is responsible for ensuring that any risk assessment necessary for your research is undertaken and completed
appropriately. Complete the Department of Geography Dissertation Fieldwork Risk Assessment template under the close supervision of
your supervisor. The form and instructions for completing it are available here: [Link]
assessment. Submit an e- copy of your completed and signed Risk Assessment to the Dissertation Module convenor well before
undertaking any of the activities covered by the risk assessment. The Dissertation Module convenor or Course Director may need your
supervisor to complete a UCL RiskNet risk assessment for your research; if so, you may only undertake the activities covered by the
risk assessment once the assessment is approved.
If the risks associated with this research turn out to be higher than expected, or the risks increase for any reason, students
must immediately discuss this with their supervisors and decide whether a (new) risk assessment is required.

ALL Students: Proceed to Step A2 – Does the research require external ethics committee approval?

Step A2 – Does the research require external ethics committee approval?

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MSc ESDA Students: If you are unsure about what to answer, consult your Supervisor.
YES NO
1. Is your research social care research funded by the Department of Health?
✘
If you ticked YES, you require ethics approval from their authorised ethics committee.
2. Is your research funded, sponsored or undertaken by the Ministry of Defence?
✘
If you ticked YES, you require ethics approval from their authorised ethics committee.
3. Does the study involve participants lacking the capacity to give informed consent?
A person lacks the capacity to give informed consent if at the time when consent is sought they are
unable to make a decision for themselves in relation to the matter (i.e. deciding whether to
participate) because of an impairment of, or a disturbance in the functioning of, the mind or brain.
A person is unable to make a decision for themselves if they are unable:
a) to understand the information relevant to the decision,
b) to retain that information,
c) to use or weigh that information as part of the process of making the decision, or ✘

d) to communicate their decision (by talking, using sign language or any other means).
If you ticked YES, you require ethics approval from a research ethics committee falling within the
UK Health Departments’ Research Ethics Service (HRA). UCL committees cannot ethically
review research involving participants who fall under the Mental Capacity Act 2005.
When unsure please refer to the Mental Capacity Act 2005:
 People who lack capacity [Link]
 Research [Link]
4. Does your research involve any of the following:
 NHS patients and carers
 Invasive research involving prisoners
 Clinical Trial of an Investigational Medicinal Product ✘

 Human tissue requiring ethics approval from ‘approved’ ethics committee (Human Tissue Act 2004)
When unsure please refer to the HRA checklist and the decision tool.
If you ticked YES, you require ethics approval through NHS Research Ethics Review (NRES).

If your research DOES require external ethics approval, you must secure this from the relevant authorized ethics
committee before data collection starts. **Proceed to Step A6 – MSc ESDA Dissertation Ethics Declaration.**
If your research does NOT require external ethics approval, proceed to Step A3 – Is the research exempt from the need for
ethics approval? (next page).

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 Step A3 – Is the research exempt from the need for ethics approval?
MSc ESDA Students: If you are unsure about what to answer, consult your Supervisor.

Research that is not exempt and requires ethics approval YE NO

S

1a. Will your research collect / use / store / process personal data?
The legal definition of Personal Data is any information relating to an identifiable person who could directly
or indirectly be identified from that information. It includes Personal Data that you are collecting simply to
contact your participants. It is data that a motivated intruder or analyst (including you) could use to identify
someone. This includes if someone could potentially identify individuals from an interview transcript, or from a
subsequent report. Examples include:
 Name (can be sufficient to ID an individual; usually sufficient if combined with other information) ✘
 Email address / Phone number
 Home address / Postcode
 Photo / Audio / Video  can reveal ID if accessed by someone able to digitally enhance
 Location data? EG taxi fleet location data can be processed to reveal identifiable information on individuals
 Online identifiers (including IP addresses)
 Data derived from electronic sensors or digital ‘tracking’ tools
 Combinations of data that may reveal identifiable data (e.g. Employer + Job Title)

1b. Will your research involve human participants or observing humans? ✘

All research involving human participants and/or their data requires ethics approval.

1c. Will your research potentially raise other ethics issues?

Research that does not involve human participants and/or their data may still raise other ethics issues that require
consideration. Below are some examples that will require ethics approval (this list is not exhaustive):
 research on terrorism / extreme violence
 research on pornography
 environmental studies that have the potential to impact on or change the environment
 archaeological excavations in disputed territories ✘

 studies involving access to sacred sites or the analysis of sacred cultural objects where access is restricted or
where there are particular modern sensitivities or issues
 access to indigenous communities that have come to insist upon prior permission gained from official or
informal indigenous bodies
 interpretations of publicly available data that make sensitive or personal claims about individuals. EG
analysing speeches and concluding that the language used indicates dementia onset or autistic features

If you ticked YES to ANY of the above, your research IS NOT EXEMPT from the need for ethics approval. Proceed to
Question 2, below.
If you ticked NO to ALL of the above, your research IS EXEMPT from the need for ethics approval. **Proceed to Step
A6 – MSC ESDA Dissertation Ethics Declaration**.

Additional research that is exempt from the need for ethics approval YES NO

2. Is all of your research literary or artistic criticism, or reviews of professional and other publicly-affirmed
opinions?
If you ticked YES, your research IS EXEMPT from the need for ethics approval. Proceed to Step A6 – MSC ✘
ESDA Dissertation Ethics Declaration.
If you ticked NO, your research IS NOT exempt from the need for ethics approval. Proceed to Step A4 – Does
the research require High Risk ethics approval?

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 Step A4 – Does the research require High Risk ethics approval?
MSc ESDA Students: If you are unsure about what to answer, consult your Supervisor.

Vulnerability YES NO
1. Will your research involve participants who are particularly vulnerable?
For example individuals:
 with learning disabilities or a cognitive impairment (see note below)
 with emotional and mental health problems (see note below)
 who are highly dependent or in unequal positions such as those in care who are
unlikely to comprehend the rationale of the research or who are at risk of being
traumatised or physically debilitated by it. ✘

A person will not be considered automatically vulnerable if, for example, they are
illiterate or have dyslexia or OCD. A vulnerable participant is someone:
- who is, or may be, in need of community services due to age, illness or a mental
or physical disability
- who is, or may be, unable to take care of himself/herself, or unable to protect
himself/herself against significant harm or exploitation.
2. Will your research include participants who due to their personal circumstances
are particularly vulnerable?
✘

This includes asylum seekers, people in care facilities, prison, young offenders, refugees
(UK and elsewhere), victims of crime, those who have suffered a traumatic event.
Perceived pressure to participate (power relationships) YES NO
3. Will the project involve researching your own students/clients?
If so, will the research collect personal data that would not otherwise be disclosed ✘

during normal relationships/business?

Sensitive Topics YES NO
4. Will the project cover topics and include the collection of data that would usually
be considered as sensitive? For example:
 terrorism / extreme violence (including contact with terrorists, communities in which
terrorists are thought to be based or very likely targets of terror),
 pornography (to include pornographic materials or contact with persons and ✘

organisations that make these materials),

 exploration of participants’ experiences of violence, abuse or exploitation,
 exploration of participants’ illegal behaviour (to include direct contact with those
persons knowingly engaged in illegal activities).

5. Will the project involve collecting data that, if disclosed outside of the research,
foreseeably would place the participants at risk of criminal or civil liability or be ✘
damaging to participants’ financial standing, employability, reputation or their
ties with family or standing in the community?
Risk of Disclosure YES NO
6. Will your research involve a risk of disclosure?
In the course of their research, colleagues will sometimes collect information or data that
appears to disclose criminal or illegal activity. In some cases there could be a legal
obligation to inform the authorities. However, even if there is no legal obligation to report an
activity, researchers may still find themselves in possession of information about acts that
could potentially harm the participants themselves, specific third parties or the general ✘
public.
Although it is generally the case that information should remain confidential there are limits
to confidentiality and situations where confidentiality will need to be broken. You must
consider beforehand whether the research involves an increased likelihood of a disclosure
happening should a participant tell the researcher something that causes significant
concern, or it could be something that is observed during fieldwork such as an illegal activity.

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 Consent, deception and covert methods YES NO
7. Will your research involve an element of deception or covert methods* (observation or
other data collection), whereby fully informed consent is not obtained, partial consent
is sought or participants are included without their knowledge?
*This means situations where it is not appropriate to inform participants either in full or at ✘

all about the study as it may either affect the behaviour of participants and/or make it
impossible to collect the data.
This does not include observation of individuals in public spaces.
Intrusive/Medical Interventions YES NO
8. Will your research involve any of the following intrusive or medical interventions:
 taking blood samples
 administering drugs or other medicinal products
 a medical device
 exposure to strong magnetic fields, including Magnetic Resonance Imaging (MRI)
and Transcranial Magnetic Stimulation (TMS) ✘

 making electrical recordings from muscle (ECG, EMG) or brain (EEG)

 use of non-ionising radiation
 physically intrusive procedures such as biopsies
 DNA / RNA / genetic analysis
 samples from participants that could reveal an unknown medical condition
Risk of Harm to Participants YES NO
9. Will your research present a significant risk of harm to the rights and wellbeing of
participants; physical, emotional (i.e. distress or humiliation), psychological (i.e. stress
or anxiety), reputational, legal or financial beyond the risks encountered in normal life?
The answer in this section should be ‘yes’ where there is a risk of participants experiencing
psychological stress, anxiety, humiliation, harm or negative consequences as a result of
participation and where this risk is significantly greater than anticipated for the participant in
their everyday life. For example, the discussion of sensitive topics such as child abuse,
terrorism, pornography, eating disorders, suicidal thoughts or sexual or political behaviour,
experiences of violence, abuse or exploitation. However, discussing such topics with
professionals whose work is related to those areas, such as social workers or psychologists,
may not involve an increased risk of them becoming distressed as the nature of their
professional lives is that these topics are for them less sensitive than for most people.
Risk of Harm to Researcher/s YES NO
10. Will your research present a real and/or significant risk to a member of the
research team? This includes but is not limited to:
 working in potentially unsafe environments (e.g. overseas research where the FCO
has advised against all travel
 lone working such as at night in non-public places where there are other risk
elements to consider (for example, the study may be looking at domestic abuse)
 engaging with groups or behaviour that could result in harm
The Social Research Association highlights these potential risks to researchers:

✘
physical threat or abuse
 psychological trauma, as a result of actual or threatened violence or the nature of
what is disclosed during the interaction
 being in a compromising situation, in which there might be accusations of improper
behaviour
 increased exposure to risks of everyday life and social interaction, such as road
accidents and infectious illness
 causing psychological or physical harm to others

If you tick YES to ANY of the above questions, your research is deemed high risk and you require approval from the UCL
Research Ethics Committee (see [Link] Proceed to Step A6 – MSC ESDA Dissertation
Ethics Declaration.
If you ticked NO to ALL of the above questions, your research is not deemed high risk. Proceed to Step A5 —Check if
ESDA or BSEER Low Risk Ethics Review.

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 Step A5 – Does the research require
MSc ESDA Low Risk Ethics Review for Questions-based methods
OR
BSEER Low Risk Ethics Review for Other methods?
This step is for the use of MSc ESDA Dissertation students who have confirmed that their research does not require approval
from an external ethics committee (Step A2), that their research is not exempt from the need for ethics approval (Step A3),
and that their research will not include any high-risk elements (Step A4). It will help students determine whether they may
apply for research ethics approval to the MSc ESDA Dissertation module coordinator, or whether they should submit a
BSEER Low Risk Ethics application.

MSc ESDA Students: If you are unsure about what to answer, consult your Supervisor.
1. Will you use questions-based methods for your Dissertation?
Interviews are question-and-answer sessions with mostly open answer response options. They can be verbal
(e.g. face-to-face, phone) or written (e.g. email, chat) and with either individuals or groups.
Yes No ✘
Focus groups: where researchers facilitate discussion on a topic among a group of participants.
Yes No ✘
Social surveys / Questionnaires are highly structured questions with mostly closed answer response options.
They can be verbally administered by the researcher (e.g. face-to-face, phone), or written self-completion (e.g.
paper, online, via apps).
Yes No ✘
If you ticked YES to ANY of the above, proceed to Question 2.
If you ticked NO to ALL of the above, submit a BSEER Low Risk Ethics application
([Link] and proceed to Step A6 – MSC ESDA Dissertation Ethics Declaration.

2. OTHER THAN these interviews / focus groups / questionnaires, will the research involve human participants?
Yes No ✘

If YES, submit a BSEER Low Risk Ethics application ([Link] Proceed to Step A6
– MSC ESDA Dissertation Ethics Declaration.
If NO, proceed to Question 3.
3. Will you collect or use personal data for your Dissertation?
The legal definition of Personal Data is any information relating to an identifiable person who could directly or
indirectly be identified from that information. It includes Personal Data that you are not using as research data –
EG personal data you are collecting simply to contact participants. It is data that a motivated intruder or analyst
(including you) could use to identify someone. This includes if someone could potentially identify individuals from
an interview transcript, or from a subsequent report. Examples include:
 Name (can be sufficient to ID an individual; usually sufficient if combined with other information)
 Email address / Phone number
 Home address / Postcode
 Photo / Audio / Video  can reveal ID if accessed by someone able to digitally enhance
 Location data? EG taxi fleet location data can be processed to reveal identifiable information on individuals
 Online identifiers (including IP addresses)
 Data derived from electronic sensors or digital ‘tracking’ tools
 Combinations of data that may reveal identifiable data (e.g. Employer + Job Title)
Yes No ✘
If YES, go to Question 4.
If NO, submit an MSc ESDA Ethics Assessment Part B Research Ethics Protocol & Application – Methods
involving questions. Proceed to Step A6 – MSC ESDA Dissertation Ethics Declaration.
4. Why are you collecting this personal data?
Just for the interviews / focus groups / questionnaires (e.g. to contact participants)
Submit an MSc ESDA Ethics Assessment Part B Research Ethics Protocol & Application – Methods
involving questions.
✘ For some other aspect of my Dissertation as well / instead.
Submit a BSEER Low Risk Ethics application ([Link]

Proceed to Step A6 – MSC ESDA Dissertation Ethics Declaration.

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 Step A6 – MSC ESDA Dissertation Ethics Declaration

Statement of Risk Assessment & Ethics Approval Requirements

Student Candidate Number [FILL IN]:
Student Name: [FILL IN]:
Student UCL Email Address: [FILL IN]:
Supervisor Name: [FILL IN]:
Supervisor UCL Email Address: [FILL IN]:
Dissertation Research Proposal [FILL IN]:
 Title / Topic: Advancing sustainable energy solutions to promote global equity in accessing
photovoltaic resources - PV
 Research Question(s) / Aims & Objectives:

Research Aim:
To evaluate strategies for the adoption and implementation of photovoltaic resources in
regions at initial stages of development, focusing on overcoming technological, financial,
infrastructural barriers and political instability.

Research Questions

What are the primary barriers to implementing photovoltaic resources in regions at

initial stages of development?

How can cost-effective and scalable PV solutions be adapted to meet the specific needs
of these regions?

What role do policy frameworks and international collaboration play a significant role
in facilitating PV deployment in early-stage regions (or countries)?

 Data & source (specify all data to be used; if none, explain why):

 Stakeholder Input Data: Qualitative data collected through interviews and focus groups involving
key stakeholders, decision-makers, and policymakers.

 Economic Data: Regional data on energy demand, solar irradiance (e.g., from meteorological
stations or satellite data), local economic indicators (GDP, employment rates), and photovoltaic (PV)
technology costs.

 Infrastructure Data: Quantitative data on existing electricity grid capacity, storage systems,
transmission lines, and distribution networks, obtained from utility companies and regional energy
authorities.

 Simulation Parameters: Technical specifications and performance data of PV systems from

manufacturer datasheets or prior research studies to model efficiency and scalability.

 Method(s) (specify all methods to be used):

Multi-Actor Multi-Criteria Decision Analysis (MAMCDA): Conduct semi-structured interviews

and focus groups with diverse stakeholders to identify, rank, and evaluate alternative photovoltaic
deployment options based on multiple criteria. Facilitate discussions to assess stakeholder preferences
and likelihood of implementation.

Economic Modelling: Apply cost-benefit analysis using collected regional economic and solar
resource data to estimate the economic viability and potential returns of PV implementation in early-

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 stage regions.

Infrastructure Assessment: Perform quantitative analysis of current grid and storage infrastructure
data to evaluate readiness and identify gaps for solar integration.

Performance Metrics via Simulation: Use simulation software to model the technical performance,
efficiency, and scalability of proposed PV systems under local solar conditions and infrastructure
constraints.
I have read and understood Step A1 ‘Does the research require a Risk Assessment?’ and:
 This planned research does NOT require a risk assessment.
I have read and understood Step A2 ‘Does the research require External research ethics approval?’ and:
 This planned research does NOT require external ethics review.
External ethics approval is not required and
I have read and understood Step A3 ‘Is the research Exempt from the need for ethics approval?’ and:
 This planned research is NOT EXEMPT from the need for research ethics approval.
The research is not exempt from the need for ethics approval and
I have read and understood Step A4 ‘Does the research require High Risk ethics approval?’ and:
.
 This planned research is NOT deemed high risk.
The research is not exempt from the need for ethics approval, does not require high risk ethics approval and:
I have read and understood Step A5 ‘Does the research require ESDA low risk ethics review for questions-
based methods OR BSEER low risk ethics review for other methods?’ and:
 This planned research requires BSEER low risk ethics approval (for other methods), which will be
secured before data collection starts.
I confirm that:
 the information I have provided is accurate to the best of my knowledge.
 if the answers to any of these questions changes, I will go through this protocol again.

NEXT STEPS:
 STUDENT: Copy the text of the completed statement above into an email and email it to your supervisor.
 SUPERVISOR: Reply to the email confirming your approval of the completed statement, copying the
Dissertation PGTA ([Link]@[Link]). It is the student’s responsibility to ensure that happens.
 STUDENT:
o Include this A6 Statement as a Dissertation Appendix after you have BLACKED OUT YOUR NAME & EMAIL
ADDRESS so the second marker can mark anonymously.

The Dissertation mark sheet asks the second marker whether this form was filled out correctly and, if not, what % mark deduction
they recommend.

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