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Ethics review is not paperwork added at the end. It is the step that decides whether the study can be conducted at all — and, for the journal, whether it can be published.

30-second summary
  • Every study with human participants or their data needs prior approval.
  • In Brazil the protocol goes through Plataforma Brasil and receives a CAAE number.
  • Retrospective chart review also requires approval, with or without a waiver of consent.
Protocolwritten before the study
Plataforma Brasilsubmission to the local CEP
CAAEthe number that identifies the study
CONEPonly for special categories
Approvalthen data collection starts
The CAAE number is generated at submission and identifies the study in every later document.
1

Informed consent

The written consent form explains, in plain language, what the participant will go through, the risks, the alternatives and the right to withdraw at any time without losing care. It is signed before any study procedure.

2

Waiver of consent

For retrospective studies using records already collected, the committee may waive consent when contacting patients is impracticable and risk is minimal. The waiver is granted by the committee — the researcher never grants it — and must be stated in the manuscript.

3

Data protection

Identifiers stay out of the database; the linkage key, when it exists, is kept separately and destroyed at the end. In Brazil this follows the LGPD, and images of patients require specific authorisation.

4

What goes in the paper

Name of the committee, approval number (CAAE), the statement that consent was obtained or waived, and adherence to the Declaration of Helsinki. ABCD asks for all of this in the title page.

✓ Approval obtained before data collection, with the CAAE number reported in the manuscript.
✗ Approval requested after the analysis is finished, or a study submitted with no committee at all.
The most common reason a manuscript is returned. “Ethics approval was not necessary because the study was retrospective” — it is necessary. What may be waived is consent, and only the committee can waive it.

Frequently asked questions

Does a retrospective study need ethics approval?

Yes. Using records already collected is still research on human data. What the committee may waive is the signed consent form.

What is the CAAE?

The Certificate of Presentation for Ethical Consideration, the number generated by Plataforma Brasil when the protocol is submitted. It identifies the study in every subsequent document.

Can I submit the paper while approval is pending?

No. Approval must precede data collection, and the number is required at submission.

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Written by Francisco Tustumi, digestive system surgeon (FMUSP), associate editor of ABCD.

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ABCD – BRAZILIAN ARCHIVES OF DIGESTIVE SURGERY is a periodic with a single annual volume in continuous publication, official organ of the Brazilian College of Digestive Surgery - CBCD. Technical manager: Dr. Francisco Tustumi | CRM: 157311 | RQE: 77151 - Cirurgia do Aparelho Digestivo

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