Protecting us and them from “them and us”
A blog intended to convince you of the role of approvals and assurance as a benefit. A factor of doing things well but often missing or ineffective – creating that “them and us” attitude. An individual view, drawing from the ethics process in academic context compared to assurance in other domains.
The ethical approvals process in PhD level research is probing and exacting upon the researcher. I like it. I do however wonder if mine is the minority view of “the dreaded” ethics approval process. With this resistance in mind, this blog attempts to convince you that the role of assurance is a positive one, in what ever field you are in or whether in academic or professional life. I now have experience enough to make reference to both.
I speak with some authority of assurance processes for two reasons. Firstly, my professional background involves questioning the internal controls in project-based organisations. In advising tier one contractors (i.e., main contractors often managing tier two or three specialisms), assurance is part of what we colloquially called “risk, internal control, and assurance” or RICA. This may be layered or distinguished by commercial, planning, design, and other specialist roles. In construction design management this includes questioning the effectiveness of the internal controls and how they relate to key interfaces (internal and external), the capability and capacity of those using them, the leadership overseeing all of this, and the assurances in place to inform that overseeing. Secondly, my PhD research is focused upon governance in this same “project” context. Subsequent to my professional learning therefore, I can also now borrow from academic conceptualisations and theory. Without labouring on that too much, both professional and academic learning can be positioned toward the same need for appropriate assurance.
In both experience and theory terms, I would also observe that assurance and governance are terms that have contextual meaning. As such, there is potential for much confusion of where one starts and the other stops. Arguably, assurance sits within governance. However, one can be talking at cross-purposes where one level of assurance is confused with another level of governance, or an obfuscation of these distinct terms. All depends on the context. For example, the overall governing of an organisational process is a context. Depending on context the internal controls in a project-based company are one part of a governance framework. The accompanying sign-offs within the overall procedures, the approved persons lists, stated policies, or standards or procedures, have potential assurance aspects or framing as governance. I may be guilty of having crossed purposes or confused terms with your own preferred definitions. Which is to some extent my point.
The academic researcher might borrow from methodology literature and understand this obfuscation or confusion as highlighting the need to be clear on the applicable level of analysis. For example, an organisational level of analysis here directs the distinction between terms with clear hierarchical delineation of what formal governance may be. However, the randomised checking, or spot checks, via formal audit is also an assurance process with a distinct and separate formality. A separate line of defence. In a project-based organisation I have often encountered confusion in discussions where two interlocutors are talking of approvals processes, audits, and the broader notions of what governance relates to. The interchanging level of analysis may be a source of confusion. However, the definition of the project or what the project is to that one organisation versus another – i.e., at interorganisational project scale – or the project as the temporary organisation, all create potential for misunderstanding. My research is focused on this confusion – which is everywhere once one considers perspectives beyond ones own. In the remainder of this blog, the framing of sign-off of what is “ethical” will next be turned to. A change of unit and level of analysis once more.
The ethics approval process becomes an assurance of the prior-start process of empirical research. It is applicable to every researcher in my university, and a demand of any researcher in most all academic settings. I will not dwell on the details of the academic approvals process I am going through per se because the generalisations are quickly lost. I will offer an experiential account instead. In truth, I have taken much longer on this ethics process than most PhD candidates would (or should). I have read through the guidance notes from other fields, I have also read other university guides from other Russell Group universities, and Oxbridge and the US Ivy League. I have worked through the various templates of key supporting documents required. That is very much overkill. Such reading around is not necessary, indeed much the same is asked in broad terms overall. For me this extended reading around the theory and practice, specific to the issues of ethical concerns in academic context, is of interest and use to me. Ultimately, my own application has taken four months to prepare (on and off). Anecdotally my reading suggests the norms are more like six weeks. I am consequently behind the curve in research project or process terms. But I think I am also now better prepared, in the context of my wider research aims. Overall, I applaud the process now engrained within the norms of universities everywhere, and the habits instilled which peer review journals now expect as standard. The levels of questioning the researcher must apply to ones own research and how it has been framed are robust – whether they always followed is a separate assurance related question. There is plenty of evidence to suggest other problems grounded in motives not means.
Elsewhere on this website I also talk of visibility | behaviour | trust ( v | b | t ) – as three legs of a stool that supports an interest in truth. Assurance can be canvassed in these same terms. The unit of analysis applicable there may be leadership, and the level of analysis perhaps the assurance process itself. A decent assurance process compliments the broader internal governance framework because it requires leadership to behave with ongoing care, by seeking visibility that confirms what they think is happening is in fact the case. All parties involved can become more trusting of the overall process if all are included in ensuring there is clarity and efficacy in that process.
Another framing of this assurance challenge would be to ask who is checking the checkers? Or challenge whether leadership takes the possibility of not hearing bad news because of the processes they insist upon. In practical terms this means leadership proactively ensuring all involved are being given the right guidance and training to act in accordance with this accepted way. Based on practical experience, I would also observed this attitude of leadership is rarely in place. At institutional level I think the current Post Office fiasco in the UK highlights such leadership apathy. At national level I think the parliamentary process weakened by a lack of constitutional oversight, and telling that current government have taken to calling the Civil Service and its many layers of checking “the blob”. At lesser levels of analysis, if the process is working well, one is required to use the best tools to do what is expected and the given right training to do or manage at all levels of authority. Furthermore the clarity of priority and purpose also becomes bound to the overall vision of leadership. In broad terms I think this applicable to most levels of process. This same top-down need exists in this context of priority and vision, but this should also be ground-up effective by design. The ground level view is critical — both for buy-in but also efficacy and capture of emergent best-practice — from those working within this framework. The assurance of leadership should be much the same. It is the doers who must be given means to ensure what is being asked of them is relevant, do-able, and universally upheld. Leadership should be accountable for making that so. There is great power in being empowered by this collective interest in truth.
The three legs of v | b | t is an idea which emerged from my dissertation in my first masters [link here]. However, the RICA idea was firmly a matter of learning for me, taken directly from my consulting colleagues and betters – they developed this idea which predates me going back several decades. All of these notions are pointing toward the same positive outlook of what assurance can be. In essence, the benefit of good assurance (distinct from the broader notions of governance) is as the final aspect of this increased visibility. Seeking the truth of what is actually going on. This is about critically challenging what leadership thinks is going on, based on the policing of what is actually going on, via the combined effectiveness of the systems of control and the people managing and relying upon that process (i.e., the risk in RICA being managed via that compliment to leadership). That is the professional summary – what frames consulting discussions in areas such as design management – but the notions apply equally well to what the academic ethics approval process represents.
In summary, this is all important stuff and to be taken seriously by the researcher. Even in “low risk” situations such as my own. I observed risk assessments being demanded in context terms, which is great to see. I learned besides in going through this so thoroughly. The process is useful, because it is demanding of oneself and ones research assumptions. For example, my interview method is now more clearly stated and supported by the new-found clarity of my interview protocols. The recruitment materials – participant information sheet, consent forms, draft email – all prepared and agreed via my supervisors’ critical interventions. Within the ethics application I wrote and rewrote several times, there is now a clarity of purpose, process, and outcome of my research methodology and the reasoning for that chosen design. All of this has necessarily become more exacting of me. I have been challenged in new ways. Kudos to my university for the quality of supporting information and various modes of training or guidance which all made this process meaningful. The new online system – Phoenix – one I have grown to like (and trust) these last four months. I very much approve.
My ethics application was formally submitted yesterday evening. Electronically signed by me. Then separately approved by my lead supervisor. Now with the ethics committee to deliberate over for between six and eight weeks. I will no doubt need to make amendments, or offer clarifications. Just as it should be! An “us and them” in compliance terms, only in the context of hierarchy. That hierarchy ultimately acting as a “we” within the university. Approvals governing the same protections of others -i.e., of the researched them to whom we must act ethically as a researching us (including me) who may cause harm. The ethics process is a means to manage that risk.
to be continued…