Understanding ethics approval in academic research

Ethical considerations are foundational to the integrity and validity of scholarly work, guiding researchers to conduct studies that are academically sound and morally responsible. Securing ethics approval is critical for group or individual research projects at any academic level. This process ensures the research respects and protects participants' rights, dignity and welfare.

However, students and supervisors often face challenges that can delay or obstruct approval, such as a lack of understanding of ethical guidelines and inadequate preparation of ethics applications. Students might struggle with articulating study risks and benefits or ensuring data confidentiality, especially in research involving vulnerable populations or sensitive topics. Supervisors may find it difficult to guide students through ethical research practices while balancing academic rigour and ethical responsibility.

Common problems in ethics applications

Documentation and consent issues: the omission of crucial documents (eg, participant information sheets, consent forms, questionnaires or interview guides) is a common oversight. These documents are crucial for informing participants about the research and securing their informed consent.

“Respect for persons” entails acknowledging the autonomy of all participants, obtaining informed consent and ensuring that they are fully aware of their rights to withdraw from the study at any point. 

Privacy and security concerns: failing to mention which online tools will be used for video interviews can lead to ethical and technical issues. It is essential to specify platforms to ensure they meet privacy and security standards. When researchers do not disclose the specific platforms they intend to use, they risk compromising the confidentiality and security of participant data. 

Ethical issues arise when participants are not adequately informed about how their data will be collected, stored and protected. This lack of transparency can undermine the trust between researchers and participants, potentially leading to a reluctance to participate or the withdrawal of consent. 

Project clarity and methodological details: despite the fact that ambiguity can result in misunderstandings about the research aims, methods and potential impacts, applications often lack a clear description of the project. Without this, ethics review boards cannot accurately assess the ethical implications of the research.

Applications frequently lack details about methodological choices, such as research instruments, data collection processes and sampling strategies. Clear, detailed methodologies are necessary to evaluate the ethical implications fully. 

Power dynamics and confidentiality: some students overlook power dynamics and gatekeeping issues. For example, recruiting staff members through line managers can introduce significant power imbalances. Ensuring anonymity and confidentiality is also often inadequately addressed. 

Software and data analysis: the lack of specifics regarding software tools for data analysis and storage can be problematic. Researchers must provide details about the tools to be used to ensure they comply with ethical standards. 

Primary and secondary data use: there is often a lack of understanding regarding the differences between primary and secondary data. Some students fail to specify the databases they intend to use or attempt to use non-subscribed databases.

Supervisor review and endorsement: there have been instances where forms lack the supervisor’s signature. This indicates that the application has not been thoroughly reviewed and endorsed by a faculty member. 

Data storage and security: students sometimes fail to mention how they will store their primary data securely, which is essential for protecting participant confidentiality. Secure data storage practices are vital for preventing unauthorised access and ensuring that data is preserved accurately and ethically. 

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Strategies for overcoming obstacles

To address these common problems, we can implement several effective strategies:

Developing and distributing standardised checklists: supervisors can use these when reviewing student applications to ensure all essential components are included and identify missing elements quickly. These checklists should cover participant information, consent forms, specified tools for data collection and data storage plans. 

Integrating checklists into the university’s research ethics management system: this would streamline the review process, enabling supervisors to ensure all criteria are met before approving applications. By configuring the system to recognise primary data collection, it can mandate attaching relevant files (eg, recruitment materials and participant information sheets). 

Creating a centralised repository of resources: this should include exemplary ethics applications submitted and approved in the past, which would provide supervisors and students with clear examples of best practices. 

Offering training sessions and workshops on ethical research practices: this helps students and supervisors understand and address ethical considerations in their applications. The dissertation handbook should include detailed guidelines on ethical research. Consistent online training should be provided for staff and students before and during the initial months of the dissertation process. These sessions should cover topics such as informed consent, confidentiality and managing sensitive data. Additionally, incorporating case studies and real-life scenarios in these workshops provides practical insights into handling ethical dilemmas effectively. 

Providing clear guidelines on the use of software tools and data sources: including a list of approved databases and platforms can prevent confusion and ensure compliance with institutional policies. 

Addressing ethics application issues proactively streamlines the approval process, enhances research quality and upholds ethical standards. Informing and preparing students and supervisors fosters an ethical research environment, while comprehensive resources empower researchers to navigate challenges responsibly and with integrity. 

Marios Kremantzis and Fatema Zaghloul are lecturers in business analytics and Rushana Khusainova is a senior lecturer in marketing at the University of Bristol Business School.