Undergraduate Dissertation Handbook – 2016/17Contents

1 Objectives of the dissertation2 Assessment criteria3 Choosing a topic4 Planning your work5 Supervision6 Structuring your dissertation7 Presentation 8 Submission of the dissertation9 Results10 Recommended reading

Appendix One – Key Dates

Appendix Two – Dissertation Schedule Template

Appendix Three – Topic Registration Form

Appendix Four – Ethical Guidelines for Research

Appendix Five – Research Proposal Form

Appendix Six – Ethics Application

Appendix Seven - Dissertation Title Page

Appendix Eight – Example wording for introductions to questionnaires/interviews

April 20161. Objectives of the dissertationThe dissertation involves an extended, independent investigation of a topic of your own choosing and the preparation of a 10,000 word dissertation describing your work. Preparation of a dissertation requires you to: Identify a suitable topic for study; Design and undertake an appropriate investigation strategy; Identify and access useful sources of information; Plan and manage an appropriate schedule of work; Liaise with your supervisor; Write a well presented dissertation.

Essentially, the dissertation is a test of your ability to create, on your own initiative, a text which demonstrates a thorough understanding of a particular management issue. You will be assigned a supervisor to advise you on how to approach the dissertation work, but it is your responsibility to manage and undertake the necessary work.

2. Assessment criteria In particular, this means you need to: State clear objectives for your study and ensure that the dissertation addresses

these objectives. In other words, explain what you're going to do, why, and then make sure you do it!

Present a clear, logical, and coherent line of argument throughout your dissertation. Demonstrate in-depth knowledge of your chosen topic and related conceptual

literature, making appropriate reference to relevant sources of literature. Draw on concepts/techniques/frameworks from your previous studies. Ensure that your own ideas and analysis are a prominent part of your dissertation. Provide in depth, critical reflection in your analysis and discussion of results. Draw appropriate conclusions, related to objectives, that are credible and with clear

implications to academia, practitioners or government policy. Avoid superficial, simplistic analysis.

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In addition to the quality of content, assessment will also be affected by the quality of presentation (see Section 7 for points about presentation).

3. Choosing a topic and dissertation titleChoosing a suitable topic and then deciding on a more specific title for your dissertation can be a bit daunting, especially if you have not written a dissertation before. The topic selected should investigate the strategic or operational issues of managerial interest to one or more organisations, although largely theoretical dissertations are not excluded. In general, more successful dissertations sweep a small corner thoroughly rather than attempt a wide-ranging study.

Generally, students are encouraged to undertake an applied dissertation based on a particular organisation context or related to a generic ‘management’ issue. (‘Management’ being broadly defined to include Management, Accounting, Finance, Management Sciences, Entrepreneurship, Marketing and Organisational Behaviour). Your project should clearly be relevant to some aspect of your studies, but it might also be relevant to your career plans. This can be very advantageous in enhancing your employability. Many employers regard the dissertation as a strong statement of your potential employability and independence.

The research area must be of a nature that enables you to investigate independently and explore concepts, theories and issues in depth and produce a rigorous dissertation at Honours degree level. Dissertations that comprise purely descriptive material are not acceptable i.e. there needs to be deduction in relation to a research question.

The best approach is to first identify a topic you are interested in, then think about possible titles for your dissertation within this topic. Think about particular modules you have studied, or particular assignments you have completed and which you found enjoyable, or particular strengths you feel you have. These will help you focus upon an idea or area that you would like to explore. Think about whether particular things you have learnt in one subject area or module appear to have parallels with issues in other areas, which you might fruitfully compare and contrast, perhaps in an interdisciplinary way. In undertaking this preliminary research, there's often no substitute for a few hours in the library, skim reading a range of materials. A book title or journal article that looks promising in a literature search might not have anything relevant to your tightly focused topic. By contrast, a book whose title may not look initially promising might contain chapters or sections that are relevant and helpful. The only way to find

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out is to read.

Approach your ideas with a balance of enthusiasm and realism. There is little point in becoming overexcited about an idea that you subsequently find has been either researched too extensively already, or which is clearly going to be unmanageable within the constraints of the module without major revisions. Keep an open mind and be willing to refine your ideas, especially at the point when you seek initial feedback on your ideas from your supervisor.

Whatever your topic, it is likely that it will be relevant to the subject matter of your programme. Topics covered in individual modules in your degree programme are a useful starting point. Once you have identified a topic area, you need to identify a title for your dissertation related to a problem, issue, or particular aspect of the topic area. A good title is short, reasonably specific, and one that conveys an objective. For example, the title ‘Risks and contracts’ is too broad and lacks focus. A better title is: ‘Effective allocation of risk in a construction contract”. This title is more focused both in terms of scope and direction. Your final dissertation title will evolve through the period of writing your dissertation and may be the final item you decide. What is important is to have a working title which you use to focus your work and which you modify as your ideas develop.

A parallel consideration is what kind of dissertation work you want to undertake. At one extreme a dissertation could be wholly literature based, critically synthesising current knowledge and research on a specific topic, and developing concepts. At the other extreme, the dissertation could be based largely on an application of a technique in a particular organisational context. In between is a dissertation that reviews relevant literature and also undertakes empirical work (e.g. survey, questionnaire, case-study) followed by analysis and discussion related back to the literature.

It is important to investigate the feasibility of possible topics (and titles) at an early stage. This helps to ensure that a study is appropriate for a dissertation and achievable in the time available. If your dissertation is to be based on investigations within a single organisation, an important consideration is to avoid over-emphasising company requirements at the expense of what is required in a good dissertation. For example, a company might want a set of customer data or insurance claims analysed in detail to guide future decision-making, but such data ‘crunching’ would have little value for a dissertation unless it were used as a basis for examining a set of hypotheses or used to add context to discussion of generic conceptual issues.

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Dissertations can take a number of forms, for example: An in-depth critical review of an area of literature; Development of a technique or issues; Empirical work involving quantitative or qualitative analysis of collected data; A survey of business practice in a particular context; A case-study of a particular firm or industry; Study of a particular problem in an organisation or industry.

Each of these types of dissertation requires a slightly different approach and advice should be sought from your supervisor on the most appropriate way to proceed in particular cases.

4. Planning your workGive yourself as much time as possible to complete your dissertation by starting early. It is rare for you to have a clear focus at the outset of your research, and you may find this is a major impediment to getting started. You have limited time to complete the work so the false starts must be dealt with very quickly. The sooner you begin the better.

It is very important that you plan your schedule of work for the dissertation to ensure that your time is managed efficiently and effectively, and that adequate time is allowed for the different activities needed to complete and submit your dissertation. In devising a project plan, work backwards from submission, identifying all constraints, and be realistic about the time needed for different tasks. Use the template in Appendix Two to plan your project. Build in some contingency time to allow for unforeseen circumstances. Allow too for holidays, business travel, job interviews (both yours and your supervisor’s!).

Normally, one assignment in MANG2008 requires that you prepare a research proposal. You may continue to develop and pursue this proposal as the basis for your dissertation if you wish.

Draft Discussion of Prior Literature. Many students choose a topic on the basis of a lecture or class discussion and lack a sufficient knowledge of the subject to form the basis for a dissertation. Hence, in order to encourage you to engage with your topic at an early stage, you are advised to submit a draft discussion of prior literature of approx 3000 words early in semester 1 (see Appendix 1 – key dates). This essay will then form

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the basis of discussion between you and your supervisor prior to submitting your research proposal. To write a research proposal you need to answer for yourself some basic questions:

What do I want to know?

How do I find the answer?

Who am I going to ask?

What am I going to ask them?

How am I going to ask them?

The purpose of the draft discussion of prior literature is for you to have sufficient depth of understanding of your topic in order to ask and answer these questions. You are advised to work on this over the summer and seek an early meeting with your supervisor to discuss your ideas for your dissertation proposal. The draft literature will become the focus and guide for your research and give your supervisor a clear understanding of the purpose of your research.

From past experience, it is only when you start to do the necessary reading to write a review of the academic literature that you really discover whether the topic is one you want (or are able) to do and it might be better to investigate two or three potential topics concurrently. If one or two turn out to be impractical for some reason, you will not then have the dispiriting experience of having to go back to the beginning of the process.

It is very important that you see your supervisor at this stage if you are having difficulties choosing your topic.

Research Proposal and Ethics Application. You should submit a dissertation research proposal (maximum 500 words) which indicates what the research is about and how it is to be investigated. After the proposal has been produced you should submit it, through Reception or directly to your supervisor, using the relevant submission form (see Appendix Five) - your supervisor may also add comments and provide specific feedback on this form.

In addition, all students MUST complete the Insurance and Research Governance Application (IRGA) from. If your dissertation involves human participation for data collection or the publication of data that is not normally available for public consumption, you must complete and submit an ethics application e.g. via Ethics and Research Governance Online (www.ergo.soton.ac.uk). An ethics application includes

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the following material, which must be presented in ENGLISH (irrespective of nationality). Any missing information or forms will likely result in a requested revision to your application. An ethics application can include:

An Insurance and Research Governance Application (IRGA) Ethics Form Risk Assessment Form Participant Information, Consent and Debriefing Forms (if collecting primary

data) Copies of Your Questionnaires or Sample Interview Questions (if applicable) Any other requested documents (e.g. confirmation letters)

It is advised that you submit your proposal and ethics application within a couple of months of embarking upon your research process (see appendix 1).

The main items to include in your research proposal are (Easterby-Smith et al, 2001): a research topic, its background and a justification for its choice; a question for the focus of the research and the main questions to be

investigated; an explanation of how it relates to, builds on, or differs from, previous work in the

field; a description of how and what data will be collected, plus the means of

collection; an explanation of how data will be analysed and interpreted and how this will

relate back to the initial questions posed; comments on the practical value of the research (a brief description of the value

of your research to either yourself, managers, business or the wider academic community), and any problems that may be relevant to its conduct;

a plan outlining your proposed timescale, bearing in mind that final submission will be required around the Easter vacation in your final semester.

Allow AT LEAST ONE MONTH for an ethics application to be reviewed and approved (assuming no submission errors). To ensure that there’s adequate time to obtain ethical approval and to collect data before the dissertation due date, you SHOULD submit your ethics application by the date shown in 'Appendix 1, Key Dates.

An ethics application is required for ALL PRIMARY DATA collected on HUMAN PARTICIPANTS. You must NOT start your research with human participants until you have ethical approval to do so! Submitting an ethics application provides you with insurance if anything goes wrong during your data collection phase. If you fail to do so, you WILL BE

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LIABLE for all costs, such as legal fees, if anything goes wrong during data collection. In addition the data that you collect cannot be used in any dissertation work meaning that you are likely to fail the module.

If you change your research method (data collection methods, questionnaires, interview questions), you MUST submit an amended ethics application describing your new methods. If you CHANGE your research methods and FAIL to submit an amended ethics application, you WILL BE LIABLE for all costs if anything goes wrong during data collection.

Similarly, an ethics application is needed if you are using secondary data not made available for public consumption, or personal data about another person (e.g. bank records, personnel or admin records, test results, etc.) that has already been collected by someone else. In your ethics application, you’ll need to include a confirmation letter from the organisation (uploaded as an attachment) or the contact details of the person granting you permission to access this data. There is an additional form that relates to the collection and use of secondary data that is required for non-public collection of evidence.

If you ARE required to submit an ethics application (as explained above), a copy of your ethics approval email MUST be included in the Appendices in your dissertation. If your study does NOT involve human participation, such as literature based studies or analysis of corporate data from public data bases, then a simple statement to this effect is REQUIRED in the Methodology of your dissertation

Remember the dissertation is worth a large part of the credits for your degree classification; e.g. one quarter of your final year. Hence, it is important that, whilst the dissertation makes an essential contribution to your studies, you must not neglect the remaining degree modules in your final year.

5. SupervisionEach student proceeding to the dissertation will be assigned a supervisor. It is important that you are proactive in this relationship and ensure that you are getting what you need from it.

You will be allocated a supervisor by the module coordinator. The role of your supervisor is to: advise on the suitability of the title and scope of your dissertation advise on an appropriate dissertation structure advise on the suitability of your methodology advise you on your work timetable

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provide formative feedback on your research proposal and two chapters, providing these are submitted by specified dates.

Supervisors will not normally provide specific advice or guidance on pertinent sources of information or literature for your particular topic. This is your responsibility.

The time available for supervision will be limited and must be used effectively, typically six hours in total per student as a benchmark. You should not expect your supervisor to be available for frequent and lengthy guidance. Your relationship with your supervisor throughout the production of your dissertation is likely to be an important one. The relationship will vary from individual to individual, depending on factors such as the level of support needed.

Some supervisors might have very clear requirements as to their expectations of the working relationship between you, or alternatively they may take a highly flexible approach. Remember your supervisor will have other supervisees to see, other modules to teach, other research responsibilities and other administrative duties to undertake. You must be flexible in accommodating your supervisor’s other work responsibilities. Do not expect your supervisor to be on hand just whenever you wish – communication and mutual respect is the key factor in this relationship – so accept that you may have to wait several days before you next meet.

Try to make a positive start with your supervisor and then do all you can to maintain this good working relationship. To get the most from supervision sessions:

Don't book your first appointment with your supervisor without having done some preliminary thinking and research. It's not really reasonable to expect your supervisor to present you with an idea or topic; the choice is yours, although they will advise you on the suitability of your suggestions.

Be flexible about the ways in which you communicate with your supervisor; be prepared to use a combination of face-to-face meetings, e-mail and phone. Don’t bombard them with unnecessary communications, but don’t be afraid to get in touch with them if you really do need guidance. Remember that you are undertaking an independent study and most of your questions can be answered by yourself, if you make use of the learning resources and reference materials available.

At your first meeting agree some realistic dates by which you will have made specific and measurable progress on your project. You can then arrange subsequent meetings around this. Regular meetings are probably most useful in

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the early stages. When you next see your supervisor, make sure you have done (or mainly done!)

what you said you would do at the previous meeting. If your progress has been slow for some reason, ask for a postponement until another convenient date. Don’t get into the habit of postponing though, as this may indicate that you are not on top of your project. It is not the supervisor’s responsibility to chase you; you drive the dissertation, not your supervisor.

Take your supervisor's formative feedback very seriously and evaluate how you can use it. Sometimes you may find that a suggestion is not really going to help your research overall, so don't feel compelled to incorporate everything he or she says into the finished project – the final decision is yours.

The content and presentation of the dissertation are your responsibility. The supervisor is not a proof reader so the impression created by the final product is down to you.

However, and not withstanding the points above, do not delay seeing your supervisor if you are having problems with your work on the dissertation, meeting key dates etc. It is far better to deal with these difficulties quickly and avoid them becoming a REAL problem when you are approaching the final deadline!!

Staff availabilityUndergraduate teaching takes place during university terms, and staff are normally available for reasonable consultation during these terms. Teaching staff offer weekly office hours when they guarantee availability, and, in addition, all can be met by appointment. Many staff are prepared to talk to students in their offices on an unscheduled “drop-in” basis if they are not busy. Vacations, however, are not regarded as undergraduate teaching periods. During vacations, staff are not required to be available for consultation with undergraduates (though many may be, either casually or by appointment), and students should not assume or expect that they will be.

6. Structuring your dissertationA key feature of any dissertation is the way in which it is structured or organised. Structure is important because it dictates the topics discussed and the order in which they are discussed. A good structure can considerably enhance the finished quality of a dissertation; a poor structure usually means a poor dissertation regardless of the

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quantity and quality of the work that went into writing it. Characteristics of good dissertation structure include:

The order of discussion is natural and logical to any reader. The order and nature of discussion are readily apparent from the contents page which

shows chapter titles and major sub-headings that are clearly differentiated. Headings and sub-headings are informative, and reflect accurately and concisely the

discussion they precede. Discussion and analysis develops progressively through the dissertation. Note that in

many cases a "hierarchical" structure is appropriate, with early chapters giving a general overview and later chapters giving a more detailed discussion of specific topics.

Repetition of points is minimal. The existence of unnecessary repetition is invariably a sign of poor structure.

Include summaries at the end of sections, providing an overview of topics covered and explaining relevance to ensuing sections.

Introduce each section, describing topics to be covered and the links between them.

The introduction chapterAll dissertations should have an effective introduction whatever form the dissertation work takes (literature review, empirical investigation, an application, etc). An introduction could usefully include the following: A brief explanation of the nature and significance of the dissertation topic, and the

problems or issues implicit in the dissertation title. Some contextual statistics/general information may be useful here.

What your interest/motivation for working on this topic is (for example, relevant previous work experience, or personal links with a company or issue).

The objectives of your dissertation. An outline of the approach/methodology you have adopted. An overview of the line of argument your dissertation will follow (not simply a list of

what each chapter contains).

The main body of your dissertationThe structure of your dissertation is likely to vary depending on whether your dissertation is primarily (a) literature-based, (b) empirical research, (c) an application. Type (b) dissertations also involve type (a) work, and type (c) dissertations involve both type (a) and type (b) work.

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(a) Literature based (concept clarification and development)Dissertations are expected to involve some personal contribution by the student. In empirically-based dissertations this presents no difficulty, but where reviews of the literature are involved the need for significant personal contribution is easily forgotten. When reviewing literature, or indeed whenever referring to literature, use material critically. Always be critical of what you read. This means that you should compare and contrast the views of authors and, where possible, try to comment on the relevance, value, shortcomings or advantages (as appropriate) of cited references. Unless you attempt some individual assessment of cited literature, your efforts at citing the literature will attract minimal marks. Note, however, this means that you should only comment based upon the facts that you can elicit from past publications, not based upon your subjective personal evaluation.

A dissertation based entirely on a review of literature is not an easy option. It generally requires in-depth study of a particular body of literature, intelligent summarising of key aspects, critical reflection on research, and an attempt at synthesis and concept development in the chosen area. The nature of chapters will be highly dependent on the subject being studied. However, it is usually best to use chapter headings which reflect aspects of the selected topic rather than the source of the literature (eg text books, papers, empirical work, theoretical studies, websites, etc).

In general, introductory material covered in your degree programme modules should be summarised only briefly to allow attention to be focused on more advance/deeper treatment of the topic – start general and then progress to specific concepts and findings drawn from the most relevant and recent publications.

(b) Empirical research (investigations)Empirical research usually involves some form of systematic data collection, subsequent analysis, followed by discussion of findings and how this relates to the literature.

Dissertations involving the collection and/or processing of data require careful planning in order, in the time available, to: (a) identify data required; (b) check on the availability of data; (c) obtain data; (d) analyze data.

Do not be too ambitious in what you hope to achieve. Such dissertations are often very interesting and very successful, but problems in respect of (a), (b), (c) or (d) can easily

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restrict the scope of project work. Supervisors are aware of these potential difficulties and will advise you.

Data can take many forms. It may be data that you originate yourself through interviews, questionnaires, focus groups or direct observation of live processes. Case studies or other dissertations involving contact and interviews with organisation managers require careful preparation. Consult with your supervisor at an early stage about contacting organisations or requesting information from organisation representatives. To get the most out of interviews or surveys it is essential that you discuss with your supervisor the questions you propose to ask interviewees or the contents of questionnaires you propose to use.

A particular question which must be considered early in this type of dissertation is ‘Who are you going to ask?’ A dissertation on the marketing strategy of say Marks & Spencer may be interesting but unless you have access to key managers in the organisation you are unlikely to be able to speak to people who have the answers. Also you will need to consider why people should give you time to answer your questions and whether they are prepared to give you information in terms of commercial security.

Alternatively, you may want to make use of data compiled by other people (secondary data), such as company accounts, data sets, reports, or published surveys. In the latter case you will usually be extracting specifically selected data items for your work.

For example, students undertaking research in the financial markets may find it helpful to access Datastream. Datastream delivers a comprehensive range of data and functionality for investment research and analysis. Datastream services cover two key areas; first is historical content, on securities, companies, markets and economies globally. It is also possible to analyse, manipulate and display the data. Datastream also contains Global Market Indices consisting of sector, national, regional and worldwide indices. This set of indices enable single sector-to-sector and stock-to-market comparisons.

If your dissertation requires you to analyse numerical (quantitative) data then you will need to learn how to handle statistics. SPSS and MicroSoft Excel are widely recognised as leading statistical analysis packages.

In terms of qualitative data, analysis needs to be no less thorough than for quantitative

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data and although there are computer programmes to assist in this analysis (e.g. NVivo), it is usually quicker to do this manually. However rigour is still needed and qualitative data analysis can take far longer than statistical techniques. For example interviews will need transcribing and the transcripts coded using criteria for analysis you have devised and then relevant quotes extracted to form the basis of your discussion.

Whatever the source of your data, you will need to explain and justify, thoroughly and in detail, exactly what specifically selected data item(s) have been extracted, why that data item(s) is required, and how that data item(s) have been extracted. You should treat data extracted from published sources in the same way as data you might have originated yourself for the purposes of presentation, analysis, and critical evaluation.

Irrespective of the formal tests applied to data collected, it is extremely important that the quality of the data under consideration is assessed, and that this is recognised in the dissertation itself. This is good practice, as it draws attention to any weaknesses in the analysis, and alerts the reader to the possible uncertainties which underlie the conclusions. In addition, identifying the weaknesses in the analysis provides useful indicators for future research. The final conclusions may be used as a basis for specific actions in an organisation, consequently it is only fair that organisational decision-makers should be made familiar with any inherent limitations of the work, and hence the possible risks of acting on the research results.

The required chapter structure for dissertations based on empirical research will include:

A. Introduction - including objectives of research (as outlined above).

B. Literature review - clarify relevant concepts, extent of current understanding, and outstanding problems/issues by discussing prior research (mainly academic). In reviewing the literature that underpins and influences your empirical research, do not simply write a number of summaries of other people’s work, but identify the general themes, or differences between writers, in the explanations advanced. Make sure you evaluate the relevance, reliability and validity of your citations. The work of others will not help or support your work and analysis unless their research is relevant, reliable and valid. Most importantly, make sure that you relate that consideration of themes to what you are doing. State in your chapter/section the relevance of the work you are commenting on, or to which

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you are referring, to your own work. If you cannot identify the relevance it probably is not relevant.

C. Research Methodology - A description of the research methodology adopted which explains the research rationale (why?, what?, when?, how?, who is involved?). For example in respect of questionnaires or interviews: Explain your reasons for choosing this methodology rather and some other

approach, including the pros and cons of the approach adopted. Explain the rationale for the questions asked relating this to your literature

review, reasons for the questionnaire structure adopted (multiple choice, Likert scales etc). Provide a complete list of questions either in the text or in an Appendix.

Explain who was involved, how and why they were selected. Explain how data is to be analysed. Consider ethical issues.

The University stipulates that there MUST BE AN ETHICS SECTION WITHIN THE RESEARCH METHODOLOGY CHAPTER. This section MUST explain the risk and ethics considerations that were submitted and approved in your ethics application. Specifically, i) How the research instruments used to collect data -such as

questionnaires and interviews - elicited valid, accurate and unbiased data.

ii) How the researcher ensured that their data collection did not cause reputational damage, both personally and to the University of Southampton.

iii) Steps that were taken to gain access to data, to solicit and be granted permission to use data for analysis within the researcher’s investigation.

iv) Measures taken to ensure that individuals were not harmed, distressed or mislead during data collection. Also, how the researcher ensured their own personal safety during data collection.

D. Results and analysis - present results in as complete, clear and helpful way as possible. Analyse and provide critical commentary on the quality of responses and the reliability/limitations of findings.

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E. Discussion of implications - relate your findings back to the literature review, discussing similarities and differences. Explain the implications of your findings for managers and decision makers.

F. Conclusion (see below)

(c) Applications (Action Research)Applications involve making use of concepts/techniques/frameworks to propose or demonstrate ways of improving the performance of some organisational activity. Generally application-orientated dissertations involve a case study drawing on a live organisation context. Such dissertations rely less on a comprehensive review of a body of literature, and more on identifying and applying pertinent concept/techniques/frameworks from the literature. The quality of such dissertations then depends on:

how effectively the problem/issue has been explored, the appropriateness of concepts/techniques/frameworks selected, the use made of these concepts/techniques/frameworks, and the discussion of limitations of your analysis and conclusions and further

development of concepts/techniques/frameworks.

Dissertations of this kind offer great opportunities for originality and creative thinking. They can often involve elements of both type (a) and (b) dissertations, that is, some reference to relevant literature and the collection of empirical data.

A useful chapter structure for such dissertations is:1. Introduction (see above)

2. A general conceptual discussion of problems/issues, scope of relevant literature (see above).

3. A suitably detailed description of the problem/issue context (eg key organisation features).

4. Specific problem/issue context examined in detail. Critical commentary on underlying causes of existing problems and the nature of issues that management are, or should be, concerned about.

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5. Application of concepts/techniques/frameworks to address, clarify, improve current situation.

6. Discussion of difficulties in making future changes, the possibility of recurring issues or further, new issues.

7. Conclusions (see below).

Note that titles for chapters other than the Introduction and Conclusions chapters will depend on the specific topic and context, and you may want to add additional chapters to improve the structure where the topic warrants this. The guiding principle should be to use chapters and titles that are helpful and informative. The use of subheadings can also help to structure and clarify important themes.

The ‘Conclusions’ chapterAll dissertations need a useful, ‘conclusion’ chapter that adds value, rather than merely summarises previous chapters. A perfunctory, single page summary of the dissertation inserted at the end of your dissertation will serve little purpose, and create a poor impression! Useful points to cover in the conclusions chapter are: A brief summary of key points made in the dissertation. A ‘so what?’ section which discusses the implications of the dissertation for: (a) a

given organisation context, (b) organisations in general, and (c) concept/theory/technique development. A deduction is formulated in relation to the research question and hypotheses that the dissertation seeks to address.

Limitations of the scope, quality, and validity of the analysis undertaken in the dissertation.

Suggestions for further work. Personal reflections on the difficulties in designing and carrying out your empirical

work (if any), and in writing the dissertation. Personal lessons learnt.

7. Presentation Good presentation is important because it ensures that all your hard work is effectively and efficiently communicated to the reader. It is achieved through work that is neatly set out; a well-organised, clear and logical structure; and clear, understandable analysis. In particular, it is important to ensure that you: Write good, clear, grammatically correct English without spelling mistakes. Students

are reminded of the English Language support available.

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Make use of chapters, helpful headings, and subheadings to structure your work clearly. Numbering chapters is a good idea, and numbering sections within each chapter can be helpful. Don’t forget page numbering throughout.

Format pages, headings and paragraphs to make the text easy to read. Clearly cite ALL sources of information and list FULL details of ALL cited sources in a

list of references. Logically order material across and within individual chapters.

Weakness in these areas will result in loss of marks and significant weakness in these areas may result in your dissertation being failed.

Avoiding breaches of academic integrity By now you should be very familiar with the requirement for academic integrity in all the work you do. Given the nature of the dissertation, it is particularly important that you are careful to avoid plagiarism in your dissertation. In previous years, undergraduate dissertations have shown clear evidence of some degree of plagiarism and students have received significantly reduced marks (in some cases zero) as a result, with consequent significant implications for their degree classification.

Plagiarism is copying or paraphrasing, without acknowledgement, from published or private (i.e. unpublished) material attributable to, or which is the intellectual property of, another, including the work of other students. Acknowledge when you are using the ideas, arguments and words of others. You plagiarise if you do not provide references for all direct quotations and paraphrases, for borrowed ideas, and for facts that do not belong to general knowledge. When you write a quotation also make sure that it has quotation marks around it, even if it is a short one, and a page number for the source document. When you paraphrase in your notes, do not copy words and phrases in your paraphrase thinking that you will improve it later; you will forget. Separate your ideas from those of others as you take notes.

‘Cutting and pasting’

The single most common cause of plagiarism is ‘cutting and pasting’ material from published sources, typically from the internet. Cutting and pasting of textual material is poor practice and is best avoided altogether, even if you cite material properly and put everything in quotations. The presence of large amounts of cut and pasted

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material in a dissertation usually demonstrates lack of understanding, originality, lack of effort and/or rushed, last minute efforts to complete the dissertation. Cutting and pasting of illustrations and diagrams is more acceptable in moderation, providing there is full citation of the source.

Use of quotations

In general, it is usually better to paraphrase, or summarise concisely, important key points from the literature, rather than rely on numerous direct quotations from various sources. Direct quotations are best used sparingly for particularly well worded or significant observations. The exception is where you are discussing the findings from the interview research, and then it is useful to illustrate issues or arguments with carefully selected quotes from interviewees.

Keep the following points in mind when you are using material from other sources: Select material intelligently. Use direct quotations only when the author’s wording is

necessary or particularly effective. Quotations should give weight to your argument. Be sure to integrate all ideas from other sources into your own discussion. Introduce

direct quotations with your own words. After quoting, explain the significance of quotations.

If you are using material cited by an author and you do not have the original source, introduce the quotation with a phrase such as "as is quoted in…"

Just as it is important to indicate where you are making use of other people's work in your dissertation, it is also important to indicate clearly your own contributions. If you are developing arguments of your own or drawing inferences from published material, make it clear that this is your own work. Otherwise you may not get credit for this and it may appear that you have simply failed to properly cite someone else’s ideas! If you are reinterpreting or building on someone else's work explain what you're doing and why it is desirable, perhaps including some criticisms of the source arguments. For example, you may wish to modify a framework or diagram drawn from the literature as part of your analysis/discussion. In such cases you might cite the original source using the citation ‘(adapted from X, year)’, and then explain how and why you have modified the source material.

Most students do not set out to plagiarise the work of others. You can prevent this happening by being more organised when you gather relevant information for your work and by learning how to reference properly.

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For more information on Academic Integrity, please go to: http://www.calendar.soton.ac.uk/sectionIV/academic-integrity-regs.html http://www.southampton.ac.uk/quality/assessment/academic_integrity.page?

ReferencesIn Business Management publications, the preferred method of referencing is the Harvard system, and students are expected to use this referencing system in their coursework and dissertations.

It is essential that you indicate clearly throughout your dissertation the source of any material you use, be it papers, textbooks, websites, interviews, newspapers, questionnaires, etc. This applies to all text, diagrams, data, tables, and appendices in your dissertation. This is best done by citing sources using the Harvard system: for example “Watts (2003) suggests that..”, or “the key arguments are made by Brown (2002: page23)”. List full details of every source in a single list of references at the end of your dissertation, and check carefully that you have done this before submitting your dissertation. References should be listed in alphabetical order of authors. Do not make separate lists for books, journal articles, newspapers, websites etc! A bibliography, which comprises a list of related reading or sources not actually cited in your dissertation, is not appropriate in a dissertation, only a complete list of references is acceptable.

Footnotes may look professional, but are not usually very helpful and are best avoided.

Length of the dissertation

Dissertations should have a maximum of 10,000 words. This is about 30 typed pages using Arial size 12 font type and 1.5 line spacing. You will be penalised for exceeding the above limit, and in any case there is no merit in making the dissertation longer than it should be. The length should be commensurate with presenting a systematic, readable, but concise account of the work done. Superfluous material and verbiage will attract minimal marks whatever the length of the project.

Conversely, it is not advisable to submit a dissertation which is significantly shorter than 10,000 words, as you may risk not including enough quality material in your dissertation to achieve a pass.

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Limits on length are set for most written assignments to reflect the amount of submitted work that is expected. Where there is a limit on length expressed as a word count set for your coursework, this is a maximum word count (rather than a target) and needs to be adhered to. Any text that is beyond the maximum word count will not attract any marks.  The word limit will have been chosen with care and deemed to be appropriate for the task. As always, you should aim to write with clarity, coherence and conciseness.

The relevant word count includes items such as cover page, executive summary, title page, table of contents, tables, figures, in-text citations and section headings, if used.

The relevant word count excludes your list of references and any appendices at the end of your coursework submission. Appendices are not always needed or expected, but they can be a useful way of providing supplementary material which your coursework draws on but which is not essential for the reading of the coursework. If you are running out of words then it is best to place tables and background material into the Appendix.

Beyond the above points, if you are not sure about whether something is included or not in the relevant word count, then assume it is included.

You should always include the word count (from Microsoft Word, not Turnitin), at the end of your coursework submission, before your list of references.

Appendices and the use of background/basic materialAppendices are not included in the word limit, but they are not a dumping ground for material that you are uncertain how to use. Appendices should contain detailed quantitative, statistical and/or qualitative data which might be important for further reference, but is not directly related to the main thrust of your argument. You might well include a copy of your questionnaire or interview protocol here, if it has not been included in the main body of the text. The attention of the reader should be drawn to the content of the appendices at the relevant parts of the dissertation. Statistical and other analysis of direct relevance to the written text must be included in the main body of the dissertation, possibly as graphs or histograms.

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Page layout

All dissertations reports must be in Arial size 12 font typescript at 1.5 line spacing, using both sides of the paper. Double spacing may be used at a candidate's discretion for parts involving formulae. The paper should be A4 size (210 x 297 mm) of Bond quality. Exemption from the use of this size paper can only be granted by the School in cases where the subject matter of the project renders the A4 size unsuitable.

Sufficient margins should be made on both edges to enable a binder to guillotine the pages if necessary - the left-hand margin being not less than 38 mm.

Pages should be numbered consecutively. Tables and diagrams must be numbered serially in type-script. Pencilled diagrams and page numbers are not acceptable.

Any diagrams, tables, or exhibits on oversize sheets should be folded so that they are at least 7 mm from the right-hand edge of the text sheets.

Large diagrams, pamphlets etc., unsuitable for binding in the text, may be accommodated in a pocket in the back cover of the dissertation.

Dissertation Format The dissertation should be put together in the following order:1. Title page (see Appendix 8 for required format)2. Abstract (Max. 300 words)3. Acknowledgements page4. Contents page. This should be a list, chapter by chapter, of the contents of

the dissertation including Appendices and References, followed by a list of illustrations, figure by figure. Each listed item should have a page reference number in the dissertation.

5. The body of the report (pages numbered).6. References. A single list of ALL sources used in your dissertation.7. Any appendices, designated I, II, III and pages numbered I1, I2, ... II1, II2 etc.

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BindingDissertations may be soft bound, i.e. between card covers. The trade description is ‘quarter bound’, stabbed through mounting board covers, hinged back and front with plastic strip on spine. Among binders who will undertake binding to this specification are the University Copy Rooms.

Please allow sufficient time to get your Dissertation bound, there will obviously be an increase in demand closer to the submission date.

Illustrations and photographs should be mounted on good quality paper the same size as the text sheet; this eliminates the necessity for guards in binding and thus reduces binding cost.

Folded material should be avoided if possible as this greatly increases the cost of binding, as does the provision of a pocket, but the latter may be cheaper if all difficult material is gathered into it, suitably numbered and indexed.

8. Submitting your dissertationYou must present TWO printed copies (illustrations and photographs can be copied) and an electronic version of your dissertation should be submitted to Turnitin via Blackboard. Each printed copy must be presented in a bound form. BOTH copies of your dissertation AND the electronic version MUST be entirely anonymous, bearing ONLY your student registration number. You must replace every mention of your name with your student registration number. You should also remove any detail, such as an address or name of a relative, which might allow someone to identify you. All copies, including the electronic version will be retained by the University. If you wish to retain a copy for your own use you must arrange printing and binding independently.

A reminder – the bindery service becomes extremely busy as the deadline for submission approaches. It is your responsibility to ensure that your dissertation is completed, bound and submitted by the due date. Delay in bindery is NOT a valid or accepted reason for late submission. Late submissions will be penalised in accordance with the standard University Assessment Regulations that apply to your programme.

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Special consideration and extension

Students who submit their dissertation after the specified submission date may not be able to graduate in the same year. Requests for deferred submissions should be accompanied by supporting written evidence, such as medical notes where appropriate, and MUST be submitted through personal tutors following the standard procedures. All such requests are considered ONLY at the Special Consideration Board, which does not meet until well after the formal submission date.

If you only require a short extension to complete your dissertation (1-2 weeks), you should complete an extension request form with the supporting written evidence such as medical notes where appropriate

In any of the situations above, you may want to discuss it with your personal academic tutor or dissertation supervisor who will be able to advise you accordingly.

For more information on special considerations and extensions, please go to:http://www.calendar.soton.ac.uk/sectionIV/special-considerations.htmlhttp://www.southampton.ac.uk/quality/assessment/special_considerations.page?

9. ResultsYour dissertation will be marked by two internal examiners, one of whom is normally your supervisor. The criteria used to assess your dissertation are explained in Section 2 above.

10. Recommended readingBaker M J (2003) Business and Management Research Westburn Publishers Ltd, Helensburgh, Scotland ISBN 0-946433-02-X

Saunders M, Lewis P and Thornhill A (2006) Research Methods for Business Studies (4rd ed.) Pearson Education Ltd, Harlow, UK ISBN 0-273-3701487

Easterby-Smith M, Thorpe R and Lowe A (2001) Management Research: An Introduction Sage Publications, London, UK ISBN 0-7619-7285-4 Fraley R C (2004) How to Conduct Behavioural Research Over the Internet Guilford Press, New York, USA ISBN 1-57230-997-0

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Appendix One – Key Dates for Dissertations – 2016/17

These dates are here to help you complete your dissertation successfully and with limited stress BUT it is very important to see your supervisor regularly throughout semesters. If you are having problems, PLEASE, PLEASE see your supervisor without delay

Key Date/Time Key Event

Friday 6th May 2016 Register your dissertation topic

Start of Semester One, academic year 2016/17

Supervisor allocations notified

Within the first two weeks of Semester One, academic year 2016/17

See your supervisor at least once

Within the first month of Semester One, academic year 2016/17

Submit a draft discussion of prior research (literature review) of 2000 -3000 words to your supervisor

Within the first two months of Semester One, academic year 2016/17 – e.g. November 23rd 2016

Submit a formal dissertation research proposal to your supervisor, plus the Ethics Application (via ERGO).

Within the first two weeks of Semester Two, academic year 2016/17

Submit ANOTHER chapter direct to your supervisor

Wednesday 26th April 2017 16.00hrs Submit final dissertation document to School Reception

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Appendix Two Dissertation Schedule TemplateUse this schedule template to help you to plan your dissertation writing process.

You may find the following tips helpful: It is best to start with the submission date and work backwards. Plan to submit your dissertation at least two weeks before the final deadline (this

will almost certainly be sometime during the Easter Vacation) to give you some protection against delays caused by unexpected problems.

Include in the schedule any other major commitments you may have during the dissertation writing period (e.g. examination revision).

Once you have drafted your schedule, think about when would be the best times for you to meet with your supervisor, agree the dates with your supervisor and insert them into the schedule.

Stage of the dissertation writing process

Number of days/ weeks needed Start date End

dateSTAGE ONE: Reading and research a) Seek to identify an original, manageable topic b) Reading & research into chosen topic STAGE TWO: The detailed plan a) Construct a detailed plan of the dissertation STAGE THREE: Initial writing a) Draft the various sections of the dissertation b) Undertake additional research where necessary STAGE FOUR: The first draft a) Compile and collate sections into first draft of dissertation b) Check the flow of the dissertation c) Check the length of the dissertation d) Undertake any additional editing and research STAGE FIVE: Final draft a) Check for errors b) Prepare for submission c) Final proof-read (by a friend or yourself) and final editing d) Compile bibliography e) Get the dissertation bound f) Submit your dissertation

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Appendix Three Topic Registration Form

Dissertation –Topic Registration form 2016/17

Complete and return this form to School Reception by: Friday 6th May 2016, 4:00 pm.

NAME (in full): ............................................................... Student No.: ........................

Degree Programme: .....................................................................................................

Proposed Dissertation Topic (not more than 100 words)

Provisional Dissertation Title: …………………………………………………………..

Please tick in the last column, the most appropriate subject area your research is related to. Please note that all students will receive supervision on the research process and we cannot guarantee that supervisors will be experts in your chosen area.

A.

Centre for Digital Interactive and Data Driven Marketing (DIDDM)- Marketing

1. Digital Marketing2. Data-driven marketing3. International retailing4. International marketing5. Consumer culture

B.

Centre for Accounting (CEA)-Accounting

1. Management Accounting2. Financial Accounting3. Corporate governance4. Auditing5. Taxation

C. Centre in Banking & Finance (CEBF) – Finance

1. Mergers and Acquisitions2. Pricing anomalies3. Technical analysis4. Market efficiency5. Derivative securities6. Predictability of Commodity

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Returns

D Centre for Innovation and Enterprise(CIE) - Strategy and Innovation

1. Gamification and firm performance

2. Product innovation 3. Public sector4. Crowdsourcing5. Open data business model6. Growth of academic spinoffs7. Managing innovation8. Social entrepreneurship9. Sustainable entrepreneurship10.Corporate social responsibility

E. Centre for Relational Leadership and Change (CRLC)-Organisational Behaviour and HRM

1. Organisational change2. Training and development3. Leadership 4. Career development5. Motivation6. Organisational culture7. Selection and recruitment8. Talent management9. Employee engagement

F. Centre for Decisions Analytics and Risk Research (CEDARR) - Knowledge & Information Systems & Management Science

1. Project Management2. Stakeholder Management3. Risk Management4. Systems Thinking5. Leadership6. Business Analytics

Have you discussed this topic with a academic member of staff ? Yes/No (delete as applicable)

If yes, who did you speak to? ………………………………………………. Date:.………..……….

Your Signature: ....................................................................................... Date:…………..........

________________________________________________________________________________________For office use only:

Supervisor

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Appendix Four – Ethical Guidelines for Research The ethical guidelines produced below are based on the belief that all research should be conducted within an ethic of respect for persons, respect for knowledge, respect for the quality of research, and respect for justice and within the law. It is recognised that there may be times when the principles conflict and where, for instance, a respect for justice may be at odds with the law as currently constituted. In such a situation, the researcher will need to exercise professional ethical judgment paying due regard to the tenor of the guidelines and their personal conscience. The guidelines aim to provide a justifiable balance between respect for individuals’ privacy in the conduct of research and the responsibility for public reporting and advancing public knowledge. It is important to stress that these are broad guidelines of principle. In any one research study, participants will have to establish precise ethical principles of procedure taking the specific context into account.

The guidelines also incorporate ethical issues noted in the ESRC Guidelines for Postgraduate Research where these are considered to be also relevant for Undergraduate research.

Responsibility to the research profession

1 Researchers should avoid fabrication, falsification or misrepresentation of evidence, data and findings.

2 Researchers should report research conceptions, procedures, results, and analyses accurately and in sufficient detail to allow other researchers to understand and interpret them.

3 Researchers should aim to report their findings to all relevant stakeholders and so refrain from keeping secret or selectively communicating their findings consistent with the principle of maintaining confidentiality and respect for the law. There may be cases where full disclosure would render potential harm to participants. In such cases the rights of the participants shall be paramount over the furtherance of public knowledge.

4. Researchers should aim to conduct their professional lives in such a way that they do not jeopardise future research, the public standing of the field, or the publication of results.

Responsibility to the participants

1 Participants in a research study have the right to be informed about the aims and purposes of the research, likely publication of findings in the context in which they will be reported and of potential consequences for participants, and to give their informed consent before participating in the research.

2 Honesty and openness should characterise the relationship between researchers, participants and institutional representatives.

3 In research involving children and students up to school leaving age informed consent should be obtained from the children and students themselves and the parents should be informed. Where it is deemed difficult to ensure genuine informed consent from children informed consent should be obtained from parents. The school, through the head and Board of Governors, should be informed of the focus and potential audience for the research and agree to its conduct in the school.

4 Researchers have a responsibility to be mindful of cultural, religious, gender and other significant differences within the research population in the planning, conducting and reporting of their research,

5 Participants do not abdicate their rights by consenting to participate in a research project. They have the right to withdraw from the research at any time.

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Responsibility to the public

1 Researchers should communicate their findings and the practical significance of their research in clear, straightforward and appropriate language to relevant research populations, institutional representatives and other agreed stakeholders.

2 Informants and participants have a right to remain anonymous. This right should be respected when no clear understanding to the contrary has been reached. Researchers are responsible for instituting appropriate procedures to protect the confidentiality of both participants and data. However, participants should also be made aware that in certain situations anonymity cannot be achieved. In such cases clearance should be sought for identifiable comment. This principle refers to institutions as well as to individuals.

Relationship with funding agencies

1 The data and results of a research study belong to the researchers who designed and conducted the study unless alternative contractual arrangements have been made with respect to either the data or the results or both.

2 Researchers should remain free to interpret and publish their findings without censorship or approval from individuals or organisations, including sponsors, funding agencies, participants, colleagues, supervisors or administrators. This understanding should be conveyed to participants as part of the responsibility to secure informed consent. This does not mean however that researchers should not try to ensure that agreements on publication are reached.

3 Researchers should not agree to conduct research that conflicts with academic freedom, nor should they accede to undue or questionable influence by government or other funding agencies.

4 The aims and sponsorship of the research should be made explicit by the researcher. Sponsors or funders have the right to have disclaimers included in research reports to differentiate their sponsorship from the conclusions of the research. In the event of the sponsor misrepresenting the findings of the research, researchers have the right to remove their names from publication of the report.

5 Researchers should fulfil their responsibilities to agencies funding research, which are entitled to an account of the use of their funds, and to a report of the procedures, findings and implications of the funded research.

6 The host institution should appoint staff in the light of its routine practices and according to its normal criteria. The funding agency may have an advisory role in this respect, but should not have control over appointments.

7 The funding agency should respect the right of the researcher(s) to keep his or her sources of data confidential.

8 In the event of a dispute between the funding agency and researcher(s) over the conduct of the research, or threatened termination of contract, the terms of the dispute and/or grounds for termination should be made explicit by the funding agency or researcher and be open to scrutiny by the advisory group. If either party feels that grounds for termination are unreasonable then there should be recourse to arbitration by a body or individual acceptably to both parties.

Publication

1. The right to publish is essential to the long-term viability of any research activity, to the credibility of the researcher, of the funding agency in seeking to use research findings and in the interests of an open society. The methodological principle of maximising the dissemination of information to all interested parties is an integral part of a research strategy aimed at testing on a continuous basis the relevance, accuracy and comprehensiveness of findings as they emerge within the process of inquiry.

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2. Researcher(s) have a duty to report both to the funding agency and to the wider public, including educational practitioners and other interested parties. The right to publish is therefore entailed by this duty to report. Researchers conducting sponsored research should retain the right to publish the findings under their own names. Authorship carries with it the responsibility to report accurately and fairly.

3. The conditions under which the right to publish might be legitimately restricted are: (a) general legislation (e.g. in the area of libel or race relations); (b) undertakings given to participants concerning confidentiality and generally not to cause unnecessary harm to those affected by the research findings; (c) failure to report findings in a manner consistent with the values of inquiry i.e. to report findings honestly, accurately, comprehensively, in context, and without undue sensationalisation.

4. Plagiarism clearly should be avoided. Authors are obliged to cite sources of information or ideas drawn from elsewhere.

A List of Ethical Guidelines consulted

From Professional Associations: The British Educational Research Association; The American Educational Research Association; The Social Research Association; The British Sociological Association; The American Evaluation Society; Canadian Social Research Association Universities Ethical Guidelines including: Memorial University of Newfoundland (1982), Canada University of Colarado at Boudler (non-dated), USA McGill University, Canada University of Southampton, UK Other Regulatory Bodies including: OPRR Reports: Protection of Human Subjects, Code of Federal Regulations, Title

45 Public Welfare (1983) Department of Health and Human Services National Institutes of Health Office for Protection from Research Risks.

International Ethical Guidelines for Biomedical Research Involving Human Subject, Prepared by the Council for International Organisations of Medical Sciences (CIOMS) in collaboration with the World Health Organisation (WHO), Geneva, 1993.

World Medical Association Declaration of Helsinki (1989) Good Clinical (Research Practice) (1991) The Association of the British

Pharmaceutical Industry, Whitehall London Good Clinical (Research) Practice

Texts on Ethics Burgess, R. (ed) (1988) Ethics in Social and Educational Research, Lewes: Falmer

Press House, E. R. (1993) Professional Evaluation: Social Impact and Political Consequences, London: Sage Publications

Simons, H. (1991) ‘Principles and Procedures for an Independent External Evaluation’, in Adelman, C. The Politics and Ethics of Evaluation, London: Croom Helm

Soltis, Jones, F. (1989) `The Ethics of Qualitative Research’, Qualitative Studies in Education, . 2(2), 123-130

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Appendix Five – Research Proposal Form

Dissertation – Research Proposal 2016/17

Complete and return this form, together with ONE written copy of your research proposal to your supervisor within the first two months of Semester One.

NAME (in full): ............................................................... Student No.: ….........................

Programme: ...................................................................................................................

Proposed Dissertation Title: …………………………………………………………………………...

Supervisor Comments

Student Signature: Date: Supervisor Signature: Date:

…………………………………………………………………………………………………Print names below

……………………………………………………………………………………………

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Appendix Six – Ethics Application Process Used at Southampton University

At all times students and staff of the University are required to behave ethically in all aspects of their work. As you will know, one aspect of this requirement is Academic Integrity, which includes the need to acknowledge all sources of material that you use in your work. A second aspect of ethical behaviour concerns the proper conduct of research involving human participants. It is a University requirement that all research involving human participants must be registered on the University’s electronic document management system, Ethics and Research Governance Online (ERGO) http://www.ergo.soton.ac.uk . Once registered, all research work must be approved by a designated reviewer(s) before the human participation element of your work can begin.

This requirement applies in particular to any research, dissertation or coursework that involves collecting information via interviews or questionnaires of any kind, whether face-to-face, or via any electronic interface. It also applies to studies involving the observation of people. Registration and ethics review is also required where you are accessing proprietary information from organisations which is not publicly available.

Creating an Ethics Application1. Log onto ERGO (www.ergo.soton.ac.uk) using your university username and password2. Click ‘Create a research project’3. Enter submission title4. Click ‘Create Submission’5. You can add other people to the application byclicking ‘Research coordinators’ and ‘Add coordinator to this submission’. Enter the other coordinators’ surname (family name) and select the required person. Repeat the process as many times as necessary6. Complete the IRGA form- ALL students must complete this form7. Download and complete the ethics form. Upload the completed ethics application as an attachment8. Download and complete the risk assessment form. Upload the completed risk assessment form as an attachment9. Upload your participant information, consent and debriefing forms (if collecting primary data). Templates of these forms can be downloaded from ERGO10. Upload copies of any questionnaires or interview questions that you intend to use in your research.11. Upload any other requested documents (e.g. confirmation letters)12.Click ‘Submit this research proposal’13.Click ‘Submit this submission to my supervisor and then the Ethics Committee’14. If your supervisor is member of the university, enter your dissertation supervisor’s surname (family name) and select the required person. If your supervisor is a visiting lecturer, click ‘Selectan external supervisor’ and add the name of your supervisor and his/her email address15. Add any additional comments (if applicable)16. Click ‘Save and continue’

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17. Check all your attached forms and documents. You will not be able to submit your ethics application until you have completed the IRGA form and uploaded the ethics and risk assessmentforms as separate attachments. If you do need to go back and change any of the details you have provided, click on the ‘Return to previous page’ link 18. Proceed to ‘Submission Declarations’19. Make sure you have read the ethics guidelines from the RGO website(http://www.southampton.ac.uk/inf/ethics_policy.html) and then tick the box.20. Click ‘Finalise and submit’21. You should get a verification message that your application has been submitted in green text at the top of the page. You’ll also see the status of your ethics application.22. Your supervisor will be sent a link to your ethics application and will need to review and approve your submission before it is reviewed by the Ethics Committee.23. Any communication, updates or comments after this stage will be made to you electronically by email

Await approval of your ERGO submission before proceeding with the human participation elements of your study. Allow two weeks for this response, especially at peak times, although reviewers will aim to respond more quickly than this.

When completing your ethics review form, make sure you provide sufficient responses to each and every question. Incomplete applications with inadequate or missing responses to questions, or missing questionnaires will result in your ERGO submission not being approved and you will receive a request to provide any missing information or answer any queries in respect of your submission. With large numbers of applications to process, incomplete applications are likely to result in significant delay in you receiving approval for your proposed research. It is quite likely that final ‘go-ahead’ from the Ethics Committee will take four weeks to achieve, or maybe longer in some cases.

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ERGO application form – Ethics formAll mandatory fields are marked (M*). Applications without mandatory fields completed are likely to be rejected by reviewers. Other fields are marked “if applicable”. Help text is provided, where appropriate, in italics after each question.1. APPLICANT DETAILS1.1 (M*) Applicant name:      1.2 Supervisor (if applicable):      1.3 Other researchers/collaborators (if applicable): Name, address, email, telephone

     

2. STUDY DETAILS

2.1 (M*) Title of study:      2.2 (M*) Type of study (e.g. Undergraduate, Doctorate, Masters, Staff):

Please Select

2.3 i) (M*) Proposed start date:

     

2.3 ii) (M*) Proposed end date:

     

2.4 (M*) What are the aims and objectives of this study?     

2.5 (M*) Background to study (a brief rationale for conducting the study. This involves providing a brief discussion of the past literature relevant to the project):     

2.6 (M*) Key research question (Specify hypothesis if applicable):     

2.7 (M*) Study design (Give a brief outline of basic study design)Outline what approach is being used, why certain methods have been chosen.     

3. SAMPLE AND SETTING3.1 (M*) How are participants to be approached? Give details of what you will do if recruitment is insufficient. If participants will be accessed through a third party (e.g. children accessed via a school, employees accessed via a specific organisation) state if you have permission to contact them and upload any letters of agreement to your submission in ERGO or provide the name and contact details of the person granting you permission to access the sample (to check that permission has been granted).

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3.2 (M*) Who are the proposed sample and where are they from (e.g. fellow students, club members)? How many participants do you intend to recruit? List inclusion/exclusion criteria if applicable. NB The University does not condone the use of ‘blanket emails’ for contacting potential participants (i.e. fellow staff and/or students).

It is usually advised to ensure groups of students/staff have given prior permission to be contacted in this way, or to use of a third party to pass on these requests. This is because there is a potential to take advantage of the access to ‘group emails’ and the relationship with colleagues and subordinates; we therefore generally do not support this method of approach.

If this is the only way to access a chosen cohort, a reasonable compromise is to obtain explicit approval from the Faculty Ethics Committee (FEC) and also from a senior member of the Faculty in case of complaint.     

3.3 (M*) Describe the relationship between researcher and sample (Describe any relationship e.g. teacher, friend, boss, clinician, etc.)     

3.4 (M*) Describe how you will ensure that fully informed consent is being given. You must specify how participants will be told what to expect by participating in your research. For example, will participants be given a participant information sheet before being asked to provide their consent? Upload copies of the participant information sheet and consent form to your submission in ERGO.     

3.5 (M*) Describe the plans that you have for feeding back the findings of the study to participants. You must specify how participants will be informed of your research questions and/or hypotheses. For example, will participants be given a debriefing form at the end of your study? Upload a copy of the debriefing form to your submission in ERGO.     

4. RESEARCH PROCEDURES, INTERVENTIONS AND MEASUREMENTS4.1 (M*) Give a brief account of the procedure as experienced by the participant Make clear who does what, how many times and in what order. Make clear the role of all assistants and collaborators. Make clear total demands made on participants, including time and travel. You must also describe the content of your questionnaire/interview questions and EXPLICITLY state if you are using existing measures. If you are using existing measures, please provide the full academic reference as to where the measures can be found. Upload any copies of questionnaires and interview schedules to your submission in ERGO.     

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5. STUDY MANAGEMENT5.1 (M*) State any potential for psychological or physical discomfort and/or distress?     

5.2 Explain how you intend to alleviate any psychological or physical discomfort and/or distress that may arise? (if applicable)     

5.3 Explain how you will care for any participants in ‘special groups’ (i.e. those in a dependent relationship, vulnerable or lacking in mental capacity) (if applicable)?     

5.4 Please give details of any payments or incentives being used to recruit participants (if applicable)?     

5.5 i) (M*) How will participant anonymity and/or data anonymity be maintained (if applicable)?Two definitions of anonymity exist:i) Unlinked anonymity - Complete anonymity can only be promised if questionnaires or other requests for information are not targeted to, or received from, individuals using their name or address or any other identifiable characteristics. For example if questionnaires are sent out with no possible identifiers when returned, or if they are picked up by respondents in a public place, then anonymity can be claimed. Research methods using interviews cannot usually claim anonymity – unless using telephone interviews when participants dial in.ii) Linked anonymity - Using this method, complete anonymity cannot be promised because participants can be identified; their data may be coded so that participants are not identified by researchers, but the information provided to participants should indicate that they could be linked to their data.     

5.5 ii) (M*) How will participant confidentiality be maintained (if applicable)?Confidentiality is defined as the non-disclosure of research information except to another authorised person. Confidential information can be shared with those who are already party to it, and may also be disclosed where the person providing the information provides explicit consent.     

5.6 (M*) How will personal data and study results be stored securely during and after the study? Researchers should be aware of, and compliant with, the Data Protection policy of the University (for more information see www. southampton .ac.uk/inf/dppolicy.pdf ). You must be able to demonstrate this in respect of handling, storage and retention of data (e.g. you must specify that personal identifiable data, such as consent forms, will be separate from other data

37

and that the data will either be stored as an encrypted file and/or stored in a locked filing cabinet).     

5.7 (M*) Who will have access to these data?     

N.B. – Before you upload this document to your ERGO submission remember to:

1. Complete ALL mandatory sections in this form

2. Upload any letters of agreement referred to in question 3.1 to your ERGO submission

3. Upload copies of your participant information sheet, consent form and debriefing form referred to in questions 3.4 and 3.5 to your ERGO submission

4. Upload any interview schedules and copies of questionnaires referred to in question 4.1

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ERGO – Risk Assessment FormPlease Tick () one: Undergraduate Postgraduate (Taught) MPhil/PhD Staff

Degree programme/Certificate (if applicable):

Your Name: Univ of Soton Email:

Supervisor (if applicable)

Other researchers/collaborators (if applicable):

Title of Study:

Expected start date and duration:

Part 1: Who does your research involve?

Does your research involve any of the following? YES NO

(Please tick below)1. Interviews/ Focus Groups

2. Questionnaires/Surveys

3. Physical Observation/ Factory Visits

If you have answered ‘NO’ to all of the above then your research does not need any further risk assessment.

If you answered ‘YES’ to any question then please continue on the next page

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Part 2: Description of the intended empirical research:

Population to be targeted (e.g. list the organisation(s) where you will solicit participation from employees and specify the number of people you intend to recruit):

Nature of survey method (e.g. questionnaire, interview, etc.):

Method of data collection (please tick all relevant boxes)

Face-to-face

Telephone

Email/Web

Post

Location, including full postal address(es) and telephone numbers. (List on a separate sheet if necessary)

Time of day that research will be taking place:

Part 3a: Risk Assessment: Travel

Risk/Hazard(Please add any further risks/hazards to which you might be exposed through travel in the spare rows below)

(Tick one box in each row below)

Assessment of Risk (tick one box below in each row)

If Medium or high, what can you do to reduce the risks? (append details on a separate sheet as necessary)Low Mediu

mHigh

Travelling within the UK

Yes

No

Travelling outside the UK but to home country

Yes

No

Travelling outside the UK but not to home country

Yes

No

Mode of Travel to reach address(es) listed above:

You must notify either a colleague, friend, housemate or your supervisor of your actual date and time of travel. Ensure that you let them know the exact address where you have gone to and let them know when you have returned.

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Part 3b: Risk assessment: Empirical Research

Risk/Hazard(Please add any further risks/hazards to which you might be exposed in the spare rows below)

Assessment of Risk (tick one box below)

If Medium or high, what can you do to reduce the risks?

Low Medium

High

The location of your research:

Street

Office

Factory

Other (please describe)

(Tick one box below)

If you have ticked ‘Factory’, give details of what is manufactured there:Time of research if outside standard office hours:

Start time:

__________End time:

__________

(Continue on separate sheet if necessary)

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ERGO - Participant Information SheetStudy Title:

Researcher: Ethics number:

Please read this information carefully before deciding to take part in this research. If you are happy to participate you will be asked to sign a consent form.

What is the research about?State if this is a student project or if you are working towards an academic qualification. Give a brief summary of who you are and why you are doing the research. What questions are you asking, and why? Where appropriate, you may wish to state who is funding the study, and who the Research Sponsor is.

Why have I been chosen?Potential participants should know if there is a particular reason why they are approached, even if this is a random selection or opportunity sample.

What will happen to me if I take part?This important section should state who will do what, and in what sequence. You should make clear the full extent of the involvement (how long it will take, how many visits, etc, and whether there will be a follow up).

Are there any benefits in my taking part?There may be no benefit to the individual, but a benefit to others perhaps, or in respect of adding to current knowledge.

Are there any risks involved?State all risks however small. Risks involved in any invasive technique (e.g. taking of blood) should be clear and comprehensive. Do not alarm the reader, but properly inform them.

Will my participation be confidential?Here you should state your compliance with the Data Protection Act/University policy and say how the information will be stored and remain confidential (for example, data coded and kept on a password protected computer). Anonymity should also be assured if this is the case, but be careful in situations where anonymity cannot be assured (i.e. focus groups, etc). For definitions of anonymity and confidentiality see the ‘Tips’ section at the end of this form.

What happens if I change my mind?Clearly state the right to withdraw at any time without their legal rights (or routine care if a patient) being affected.

What happens if something goes wrong?In the unlikely case of concern or complaint, you should provide a named independent contact with phone number and email address. This should not be the researcher, supervisor, or any other person involved in the study, but may be the chair of ethics committee, the research governance office, or any other authoritative body. If the Chair of Ethics Committee is also your supervisor, then the contact should be someone independent of the study; Dr Martina Prude, Head of Research Governance (02380 595058, mad4@soton.ac.uk) is happy to be the named party.

Where can I get more information?Offer contact details of anyone in the research team who could answer any questions that a potential participant may have after reading this information sheet.

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Tips for Designing a Participant Information Sheet (PIS)(Please delete this section before submitting your documents to RGO)

A good PIS will be written in appropriate language and give relevant information from the perspective of the potential participant (i.e. information that would help a potential participant decide whether or not to take part in the study).

A useful format is a question-and-answer style sheet where the questions are relevant to the study. The example given here gives a useful, but not exhaustive, list of questions to cover.

The important components of a PIS are clear explanations of the consequences of taking part. It is important to give full details of what will be expected of, and experienced by, the participant. Also the risks and any other implications should be addressed. The complaints mechanism should be clearly defined.

You should be clear about the degree of anonymity/confidentiality you are promising to your participants. For assistance some useful definitions are:Anonymity:i) Unlinked anonymity - Complete anonymity can only be promised if questionnaires or other requests for information are not targeted to, or received from, individuals using their name or address or any other identifiable characteristics. For example if questionnaires are sent out with no possible identifiers when returned, or if they are picked up by respondents in a public place, then anonymity can be claimed. Research methods using interviews cannot usually claim anonymity – unless using telephone interviews when participants dial in.ii) Linked anonymity - Using this method, complete anonymity cannot be promised because participants can be identified; their data may be coded so that participants are not identified by researchers, but the information provided to participants should indicate that they could be linked to their data. Confidentiality – The non-disclosure of research information except to another authorised person. Confidential information can be shared with those who are already party to it, and may also be disclosed where the person providing the information provides explicit consent.

It is important that the PIS is version-numbered and dated (you can use the footer of the document as set-up in this example) so it is possible to track changes if and when they occur.

You should enter the Submission ID number generated by ERGO when you create a submission as the Ethics Number – this helps give the participants confidence that your study has undergone ethical review.

For studies involving the NHSFor NHS research, extensive guidance notes and exemplars are available on the National Research Ethics Support website:http://www.nres.npsa.nhs.uk

For studies involving minors/vulnerable adultsFor studies involving minors/vulnerable adults, an information sheet should be written for the parent/guardian/carer and a simplified information sheet written for the children in age-appropriate language, or vulnerable adult if appropriate. If required you should seek advice from your local Ethics Committee or the Research Governance Office.

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ERGO - CONSENT FORM (Insert Version number)

Study title:

Researcher name:Study reference:Ethics reference:

Please initial the box(es) if you agree with the statement(s):

Data ProtectionI understand that information collected about me during my participation in this study will be stored on a password protected computer and that this information will only be used for the purpose of this study. All files containing any personal data will be made anonymous.

Name of participant (print name)……………………………………………………

Signature of participant……………………………………………………………..

Date…………………………………………………………………………………

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I have read and understood the information sheet (insert date /version no. of participant information sheet) and have had the opportunity to ask questions about the study.

I agree to take part in this research project and agree for my data to be used for the purpose of this study

I understand my participation is voluntary and I may withdraw at any time without my legal rights being affected

I am happy to be contacted regarding other unspecified research projects. I therefore consent to the University retaining my personal details on a database, kept separately from the research data detailed above. The ‘validity’ of my consent is conditional upon the University complying with the Data Protection Act and I understand that I can request my details be removed from this database at any time.

Tips for Designing a Consent Form

(Please delete this section before submitting your documents to your Ethics Committee/RGO)

The main features of a good consent form are:

Date and Version numberIt is important that the consent form is version numbered and dated so it is possible to track changes if and when they occur.

Use of Ethics referenceThis is evidence of ethical approval and will reassure participants – enter the Submission ID generated when you create a submission in ERGO

Use of itemised statement to allow each component of the research to be agreed toInformation will be commensurate with the study. For example, in an interview study you may want consent to (i) interview and (ii) tape the interview.

Use of Initial boxes (For all non-internet based research)Better than tick boxes to minimise fraud

Use of participant in other research (For all non-internet based research)If you wish to keep the contact details of the participant for potential use in further studies you should include a separate statement for them to initial to give consent, and be clear that they can be removed from this contact list at any time.

Confirmation of the right to withdraw (For all non-internet based research)You may wish to include a separate statement on confidentiality/anonymity but this is often best explained in the participant information sheet

Space for printed names, signatures and dates (For all non-internet based research)A space for the name and signature of the person taking consent is also desirable if different from the named researcher

Use of a tick box (For online surveys only)Most online survey software programmes have an option to allow participants to continue with the survey only if they tick a box giving their consent. This feature should be used at all times. For example, the University of Southampton’s online software, iSurvey, uses the following text and tick box:

Please tick (check) this box to indicate that you consent to taking part in this survey.

For studies involving the NHSFor NHS research, extensive guidance notes and exemplars are available on the National Research Ethics Support website:http://www.nres.npsa.nhs.uk

For studies involving minors/vulnerable adultsFor studies involving minors/vulnerable adults, consent should be taken from the parent/guardian/carer and it is desirable for the participant to sign an assent form to indicate their willingness to take part. There are situations where it is appropriate to use ‘opt-out consent’ (informing parents/carers of the study and that if they do not respond to inform the researcher that they do not want their child/dependent to take part then it will be assumed that

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their consent is given). If you are in any doubt about the method of consent required you should seek advice from your local Ethics Committee or the Research Governance Office.

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ERGO - DebriefingStudy Title:

Researcher: Ethics number:

Thank you so much for participating in this study. Your participation was very valuable. It has been acknowledged that you are very busy and very much appreciate the time you devoted to participating in this study. There was some information about the study that could not be discussed with you prior to the study, because doing so probably would have impacted your actions and thus skewed the study results. This form explains these things to you now.

What is the research about?Describe your research questions and/or hypothesis. State how your questions/hypotheses are related to prior research and include a few references (if applicable). Describe possible implications for the expected findings.

Use of active deception or misleading participantsIf you did not use active deception in your study, please state this. If you used active deception in your study, please provide some justification for doing so.

We hope this clarifies the purpose of the research, and the reason why we could not tell you all of the details about the study prior to your participation. If you would like more information about the research, you may be interested in the following:Cite books, articles, etc.

If you have any questions or concerns, you may contact me:Cite your name and provide your contact details.

It is very important that you do not discuss this study with anyone else until the study is complete. Our efforts will be greatly compromised if participants come into this study knowing what is about and how the ideas are being tested. Once again results of this study will not include your name or any other identifying characteristics.

If you have questions about your rights as a participant in this research, or if you feel that you have been placed at risk, you may contact Chair of the Ethics Committee, Business School , University of Southampton, Southampton, SO17 1BJ or Dr Martina Prude, Head of Research Governance, Research Governance Office, University of Southampton, Southampton, SO17 1BJ. Phone: (02380 595058; email: mad4@soton.ac.uk).

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Tips for Designing a Debriefing Statement(Please delete this section before submitting your document)

This section should contain information that describes the full nature of your project. These statements make research participation educational, especially when participants were deceived or not fully informed immediately after the study, and to remove any discomfort that may have resulted from the study. They also make participants to feel appreciated and good about their experience and to know that their participation was important. Replace this information with your debriefing for your project.

A good debriefing statement will be written in appropriate language and give a full description of your research questions/hypotheses. You should also include a discussion as to how your research links to past research and the implications of your expected findings. If you used active deception in your research, you must provide justification for doing so (Active deception refers to actively misleading participants about aspects of the research. The use of this type of deception must be justified. In contrast, in deception by omission, information is left out about relevant experimental details. Most researchers use this form of deception to minimise influencing participants’ response. This form of deception is fine and does not need to be justified.).

Also, this form should thank participants for their time. Finally, you must provide your contact details in case participants have any further question(s) about your research. A useful format has been provided for you in the template, but you may wish to add more information. This form should also contain the version number and the date of submission in a header or footer. Please note that your first submission for a research project will be version one. Any amendments that you are requested to make will reflect in a new version number.

The template on the previous page is a good working example. If you choose to use it, retain all the text in bold and replace the remaining text with your debriefing for your project.

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Appendix Seven – Example Title Page

The University of Southampton

2016/17

Faculty of Business, Law, and Arts

Business School

MANG3025 Dissertation

(Title)

(Your student registration number)

Presented for BSc. (your degree programme)

This project is entirely the original work of student registration number xxxxxxxxx. Where material is obtained from published or unpublished works, this has been fully acknowledged by citation in the main text and inclusion in the list of references.

Word Count: 9,978 words

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Appendix Eight – Example wording for introductions to questionnaires/ interviews

[Title of project]

Consent Form for Research Participants

I am [name] a [title and affiliation]. I am requesting your participation in a study regarding

[briefly describe the general nature of your study]. The study should last approximately ___

minutes. You will be asked to fill out a short questionnaire. Personal information will not be

released or viewed by anyone other than researchers involved in this project. Results of

this study will not include your name or any other information to identify you as you. Your

participation is voluntary and you may withdraw your participation at any time. A debriefing

statement will be narrated upon completion of the study.

If you have any questions please ask them now, or contact me {name} at (email)

Sincerely,

Name

Statement of ConsentI have read the above informed consent form.

[participants name]

I understand that I may withdraw my consent and discontinue participation at any time

without penalty or loss of benefit to myself. I understand that data collected as part of this

research project will be treated confidentially, and that published results of this research

project will maintain my confidentially. In signing this consent letter, I am not waiving my

legal claims, rights, or remedies. A copy of this consent letter will be offered to me.

(Circle Yes or No)I give consent to participate in the above study.

Yes No

Signature Date

Name

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I understand that if I have questions about my rights as a participant in this research, or if I

feel that I have been placed at risk, I can contact the project supervisor.

[Title of project]

Consent Form for Research Participants

I am [name] a [title and affiliation]. I am requesting your participation in a study regarding [briefly describe the general nature of your study]. The study should last approximately ___ minutes. You will be asked to fill out a short questionnaire. Personal information will not be released or viewed by anyone other than researchers involved in this project. A debriefing statement will be given to you upon completion of the study.

Any information you give will be kept completely confidential and in no cases will responses from individual participants be identified. As with any piece of research it is important to consider whether there are any risks to participants. The study involves minimal risk to participants (i.e., the level of risk encountered in daily life). There may be no direct benefit to you other than the sense of helping the public at large and contributing to knowledge.

All responses are treated as confidential, and in no case will responses from individual participants be identified. Rather, all data will be pooled and published in aggregate form only. Participants should be aware, however, that the experiment is not being run from a 'secure' https server of the kind typically used to handle credit card transactions, so there is a small possibility that responses could be viewed by unauthorised third parties (e.g., computer hackers). However, the data would appear only as a string of numbers, so your responses will remain totally anonymous.

Visitors to this web site are welcome to complete the study, although they will receive no credit or monetary compensation. Participation is voluntary, refusal to take part in the study involves no penalty or loss of benefits to which participants are otherwise entitled, and participants may withdraw from the study at any time without penalty or loss of benefits to which they are otherwise entitled.

If participants have further questions about this study or their rights, or if they wish to lodge a complaint or concern, they may contact the principal investigator, [name] at (email) or the project supervisor.

_____ Please tick (check) this box to indicate that you consent to taking part in this survey.

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[Title of project]Debriefing Statement

The aim of this research was [brief statement of research aim and/or hypothesis]. It is expected that [explanation of expected results]. Your data will help our understanding of [explanation of participants contribution]. Once again results of this study will not include your name or any other identifying characteristics. The experiment/research did/did not use deception. [Reason if it was used]. You may have a copy of this summary if you wish [also offer summary of research finding once project is completed if not available at time of debriefing]. If you have any further questions please contact me [researchers name] at [phone number and/or email address NB: students should not give out their home phone number. Supervisors numbers should be used where appropriate].

Your participation in this research is greatly appreciated.

Thank you.

If you have questions about your rights as a participant in this research, or if you feel that you have been treated inappropriately, you may contact the project supervisor.

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