Good research practice and other ethical issues
On this page, you will find information about research ethics and good research practice, and how you, as a doctoral student, should conduct yourself.
Are you conducting research on people’s behavior or attitudes, health-related data, technologies intended to be used by people, or are you planning to carry out interviews, observations, or change-oriented interventions within an organisation? As a doctoral student, you will encounter several ethical issues and need to be aware of existing legislative demands and how you can make adequate ethical assessments. Ethical issues in research can span a wide range, from obtaining formal permission in connection to studies involving humans, to issues of longterm consequences of research, data management, use of AI-tools, publishing and good research practice.
All research requires ethical considerations
Research ethics is part of good research practice and concerns balancing the needs of science and society for knowledge against individuals’ fundamental rights, such as the right to freedom, privacy and protection from risks and harm. It may, for example, involve considering how people who are to participate in a research project might be affected, or how the research methods or results could have consequences for individuals after the project has concluded. By identifying, assessing, reducing, and managing risks that could arise for people, you develop your ability to make research ethics judgments. Protection of individuals’ fundamental rights should always be prioritised over other interests and needs, including the interests of research and openness (see the guidelines Good Research Practice 2024, p. 52). The completed dissertation should include a separate section in which you account for the ethical considerations of the research, regardless of whether the project has required an ethical review or not.
Good Research Practice, Swedish Research Council, 2024 External link.
Certain research requires ethical review
According to Swedish law, research involving human beings must undergo specific protective measures to ensure respect for human dignity and the integrity of individuals (see the Ethical Review Act for Research Involving Humans, 2003). A formal application for ethical review must be submitted to the Swedish Ethical Review Authority if your research involves any of the following:
- Sensitive personal data (regarding ethnicity, religion/belief, political opinions/trade union membership, health, disability, or sexuality/sexual orientation) or data concerning crimes.
- An obvious risk of causing harm – either physically or psychologically.
- Methods with intention to affect participants – either physically or psychologically.
- Physical interventions or biological material from humans.
Submitting an ethics review application
Keep in mind that all necessary approvals must be in place before data collection begins. Since research often involves a certain degree of openness regarding exactly what will be analysed and which factors may turn out to be relevant – particularly in qualitative research – you need to account for different possibilities at the planning stage. If there is any possibility that the project could involve any of the points listed above, an ethical review application must be submitted. If your research is part of a research project that has already undergone ethical review in Sweden, you can feel confident that the necessary approvals are already in place. If your research is part of an international project, you need to ensure that the part to be carried out in Sweden, or by you as an employee in Sweden, has the required approvals.
An ethical review application is submitted to the Swedish Ethical Review Authority through the application system Ethix. It takes at least two months to receive a decision, and data collection may not begin before that. As a doctoral student, it is not possible to submit an application entirely on your own. However, you may start the application and then invite your supervisor to review, supplement, sign, and submit it (after the Head of School has also signed). Be prepared that the required documentation is rather extensive and detailed, and that the main body of the application must be written in Swedish, although supplemental materials can be in English. The application carries a fee of at least 5,000 SEK, but this is normally covered by your School or the project budget.
If you are uncertain whether an ethical review application is required, or if you need advice on how to prepare one, you can talk with your supervisor or contact the University’s Research Ethics Committee via etik@hh.se.
Guide to the Ethical Review of Research on Humans External link.
What is good research practice?
Good research practice can be described as a set of ethical requirements for how research should be conducted. Some of the fundamental principles here are reliability, honesty, respect, and accountability (ALLEA 2023). These principles must be followed in all research. Naturally, it is not permitted to misrepresent the purpose or methods of the research, manipulate data or results, or present others’ conclusions as one’s own. Using AI or other automated tools to produce or process text or data without clearly disclosing this in the final publication is also considered a violation of these principles. Deviations from good research practice are also referred to as “research misconduct” and are punishable under law. In the Swedish Act on Responsibility for Good Research Practice and the Examination of Research Misconduct (2019:504), which entered into force in January 2020, “research misconduct” is defined as serious deviations from good research practice in the form of fabrication, falsification, or plagiarism. Other deviations from good research practice may also be considered serious. In cases of suspected serious deviations from good research practice, the University’s Guidelines for Suspected Serious Deviations from Good Research Practice are applied. “Suspected” refers to a belief, based on concrete circumstances, that serious deviations from good research practice are occurring in research.
More information about good research practice
Good Research Practice, Swedish Research Council, 2024 External link.
ALLEA 2023 (European Code of Conduct for Research Integrity) External link.
What happens if ethical requirements are not followed?
Research that lacks an approved ethical review despite needing one, that fails to comply with the conditions set for approval, or that contains other deviations from good research practice, is in violation of the law. This can have serious consequences for the doctoral student and those responsible at the higher education institution. The dissertation will be rejected at the defence. Since ethical approval can only be granted before the research begins, any data collected without the necessary approval is rendered invalid, and the work must be redone. If there is suspicion of a violation of ethics legislation, a report is made to the Swedish Ethics Review Board (Överklagandenämnden för etikprövning, Önep), which may in turn initiate a criminal prosecution. The penalty for violating ethics legislation is a fine or imprisonment for up to two years (Act on Ethical Review of Research Involving Humans, Section 38). However, no such penalty has yet been imposed on a doctoral student in Sweden.
Even for projects that do not require ethical review approval under Swedish law, journals may require an ethical certificate in connection with publication. Such an advisory certificate can be obtained from the Swedish Ethical Review Authority, but only before the research has begun. It is recommended to discuss with your supervisor what the publication norms are in your research field.
Data management and personal data in research
According to the University’s Guidelines for Research Data Management (dnr L 2021/122), all researchers should have a data management plan for their research projects, regardless of whether the funder requires one or not. The University also imposes specific requirements regarding the storage, archiving, and possible sharing of research data. There must be a lawful basis for processing personal data in the research project, which is often achieved through informed consent and/or an approved ethical review (in the latter case the lawful ground is called public interest). The University provides prepared templates for information and consent that ensure all essential information is included. If you are an employee of the University, you can find these on Staffnet.
Ethical use of AI tools
The ethical core principles of reliability, honesty, respect, and accountability mean that researchers must exercise caution when using AI and other automated tools in their research (ALLEA 2023). All use must be deliberate, well-justified, responsibly conducted, and clearly disclosed in publications so that it can be critically reviewed by experts. Several journals provide standard wording for disclosure based on different situations and needs. During peer review, unjustified or unclear use may be criticised and require revision. If the use of AI or other automated tools is not disclosed at all in the publication, or not disclosed clearly, it is considered a form of plagiarism. Plagiarism constitutes a violation of good research practice and is reportable and punishable.
Responsible authorship in publications
In projects and publications involving multiple participants, questions arise regarding criteria for authorship and author order. Norms for which project contributors should be listed as authors and in what order vary significantly between disciplines. According to the principles of good research practice, however, these issues must always be discussed in relation to reliability, honesty, respect, and accountability. The European ALLEA principles (2023) emphasise that authorship and author order should be based on the following criteria: (1) a significant contribution to the design of the research, data collection, analysis, and/or interpretation; (2) drafting and/or critical revision of the publication; (3) approval of the final publication; and (4) agreement to take responsibility for the content of the publication, unless otherwise stated in the publication. All co-authors must be able to take responsibility for relevant parts of the publication. Important contributions from, for example, assistants, collaborators, or organizations that do not meet the criteria for authorship should still be acknowledged in the publication. If you, as a doctoral student, feel that your contribution to a project is not accurately reflected in a publication or its author list, you should discuss this with your supervisor and the project leader as early as possible. You can also turn to the Director of Studies for your PhD programme.
Questions regarding research ethics, data management and personal data
If you have any questions regarding good research practice and ethical review, please feel free to contact the University’s Research Ethics Committee at etik@hh.se.
Questions regarding data management and personal data in research can be addressed to the University’s Research Data Group at forskningsdata@hh.se and the University’s Data Protection Group at dataskydd@hh.se.
