ETHICS IN RESEARCH MONITORING
AND EVALUATION POLICY
DRAFT 1
MARCH 2015
HUR HASSNAIN
MONITORING, EVALUATION AND LEARNING SECTION
Table of Contents
A.
Purpose of the Ethics policy ............................................................................................................. 2
B.
Introduction to Ethics in RM&E ........................................................................................................ 2
C.
Basic Principles of Ethical Research ........................................................................................... 2
1.
Informed Consent ............................................................................................................................. 2
2.
Consent process ................................................................................................................................ 2
3.
Steps of the consent process - In order to be valid, the consent process must: ....................... 3
4.
No Pressure on Individuals to Participate ......................................................................................... 3
a)
Access to participant(s) ................................................................................................................. 3
b)
Role of Incentives -........................................................................................................................ 3
c)
Do no Harm – ................................................................................................................................ 3
5.
Referral Pathways: ........................................................................................................................ 4
6.
Ethical Complexities of involving Children in RM&E: .................................................................... 4
7.
Programme and research design involving children............................................................................. 5
8.
Key Principles in ensuring ethics in RM&E ............................................................................................ 5
Annexes ......................................................................................................................................................... 7
Photography, Filming, Interview, Audio Recording and Case Study Consent Form ....................... 7
Annex 2- Declaration of Interest by the Consultants................................................................................ 9
Annex 3 Roger Hart’s eight-degree scale Frameworks .......................................................................... 10
Annex 5 to see questions to consider by managers designing Monitoring, Evaluation and Research
activities in which children are involved ................................................................................................. 11
A. Purpose of the Ethics policy
Research, Monitoring and Evaluation (RM&E) involves collecting, analysing and communicating
information about people – therefore, it is especially important that RM&E is conducted in an
ethical and legal manner, with particular regard for the welfare of those involved in and affected
by it.
The purpose of WCUK’s Ethics in RM&E policy is to lay down ethical principles and guidelines
in research and evaluations, as to promote:
 responsible behavior toward all stakeholders, particularly those stakeholders who are
affected by interventions or under research and evaluation;
 increase credibility of evaluation results, by establishing the impartiality, inclusiveness,
and comprehensive nature of the research undertaken;
 responsible use of resources in all agency work
B. Introduction to Ethics in RM&E
War Child UK encourages that all evaluations and research should uphold and promote all
general principles, standards and policies of WCUK including the Evaluation Policy/Framework.
M&E and research should respect the customs, culture and dignity of subjects – this is in line
with the United Nations’ Universal Declaration of Human Rights. This encompasses differences
due to gender, religion, age, disability, sexual orientation and ethnicity. Cultural sensitivity is
especially important when collecting data on sensitive topics (e.g. domestic violence or
contraceptive usage, sexual or reproductive practices), from vulnerable and marginalized
groups (e.g. internally displaced people or minorities), and following psychosocial trauma (e.g.
natural disaster or affected by war or conflict).
C. Basic Principles of Ethical Research
The following is a set of generally accepted principles of good practice in social research:
1. Informed Consent
This basically means that the proposed research is voluntary and is based upon the informed
consent of the participants. Concepts surrounding informed consent are given below:
2. Consent process
Informed consent is the process whereby a person decides, free from any form of coercion or
undue influence, to participate in RM&E after having been apprised of information relevant to
the decision.
Individuals cannot provide informed consent to RM&E unless they are legally capable.
Individuals who do not have the legal capacity to provide consent, such as children or
cognitively impaired adults, should not be enrolled in research without the consent of a parent or
other surrogate decision-maker.
3. Steps of the consent process –




In order to be valid, the consent process must:
precede any intervention
be based on adequate information that the subject is capable of understanding. The
evaluator should share information about possible risks and benefits of participation, use of
results, confidentiality procedures, contact information for voicing concerns, and any other
information relevant to the decision to participate prior to requesting consent.
be freely given without any kind of pressure or influence on the respondent.
be clearly given and recorded. If necessary, a consent form may be used (See Annex 1Consent form sample)
4. No Pressure on Individuals to Participate
a) Access to participant(s) – when considering potential participants it is important to
recognise issues of privacy and that individuals have a right to know how their names were
selected and why they are being approached.
b) Role of Incentives - Monetary or other incentives must be used with caution to attract
participants who would otherwise not have participated.
c) Do no Harm – The proposed research/evaluation should support principles and practices
that do no harm to individuals, groups, society, or the environment. Data collectors and
those disseminating RM&E reports should be respectful that certain information can
endanger or embarrass respondents. Under this circumstance, evaluators should seek to
maximize the benefits and reduce any unnecessary harm that might occur, provided this
will not compromise the integrity of the evaluation or research findings.
Participants in data collection have the legal and ethical responsibility to report any
evidence of criminal activity or wrongdoing that may harm others (e.g. alleged sexual
abuse). Data Collectors should be trained in the War Child UK’s Referral Pathways prior to
gathering the data. Please consult the RM&E team if you need a template to develop the
Referral Pathways.
d) Maintain Anonymity and Confidentiality - All personal information must be safeguarded.
Personal information includes all information “relating to an identified or identifiable natural
person (‘data subject’); an identifiable person is one who can be identified, directly or
indirectly, in particular by reference to an identification number or to one or more factors
specific to his physical, physiological, mental, economic, cultural or social identity”
(Chapter 1, Article 2a of European Parliament and Council Directive 95/46/EC1). This
includes but not limited to name, address, phone number, identifying features, information
that reveals that an individual is a member of a small group of people, date of birth and
place of work that together can reveal the individual’s identity.
All information related to an identified or identifiable person must be safeguarded, but
particular care should be taken with respect to sensitive information such as the following:
 Medical information: medical history, current diagnoses and treatments (especially for
potentially stigmatizing conditions), mental status, substance abuse, genetic
characteristics.
 Social status: level of education, family status, employment status, financial
information, such as income level.
 Other information: sexual orientation and practices, religious beliefs, political affiliation.
5. Referral Pathways:
In line with WCUK’s Child Protection Policy and as mentioned in the WHO guidelines, it is
important that if researchers do learn of cases of people having experienced trauma etc, we
know who we can refer them to for health, legal, counseling, shelter, and other needs.
Consult the Child Protection Officer in the country and follow the already developed Referral
Pathways. If a Referral Pathway is not yet developed, consult the M&E team for a template. The
referral pathways should be ready before any data collection is done.
6. Ethical Complexities of involving Children in RM&E:
Some general principles from the Convention on the Rights of the Child (CRC) covering
involvement of Children in research:
The recent increasing trend of involving children more actively in RM&E as part of their right to
participate brings many practical challenges and raises ethical considerations. The ethical
issues are complex and no straightforward guidelines exist. Children’s rights are established in
international law, where children are defined as those up to 18 years old, but the reality and
meaning of childhood throughout the world differs. The context (cultural, political etc.), the
capacities of each child, which in turn vary with age and stage of development, and the
corresponding possibilities for participation all vary; so, too, then, will the response to ethical
challenges in research and M&E practice.
The responsibilities lie with researchers/evaluators, those technical professionals involved in
design of research, monitoring and evaluation activities and directly in data collection. However,
managers commissioning such activities are equally responsible for ensuring that ethical issues
are identified and resolved in methodology design.
This policy introduces to us the child’s right to participate, related concepts and their
implications for research and M&E activities. In Annex 4, it provides a checklist of questions for
RM&E managers to refer to while designing programmes and research interventions.
The Convention on the Rights of the Child provides clear guidance for children’s participation in
programmes, and in research and M&E:
• All rights guaranteed by the convention must be available to all children without discrimination
of any kind.
• The best interests of the child must be a major factor in all actions concerning children.
• Children’s views must be considered and taken into account in all matters that affect them.
They should not be used merely as data from subjects of investigation.
The four articles related to participation further establish the parameters:
Article 12 states that children who can form their own views should have the right to express
those views and have them taken into account. However, the right to participate and freedom of
expression are not equated with self-determination. Each child’s views are their “reality”, which
must be considered, but also must be weighed against the best interests of the child in any
decisions eventually taken.
Article 13 states that children have the right to freedom of expression, which includes seeking,
receiving and giving information and ideas through speaking, writing or in print, through art or
any other media of the child’s choice. Their participation is not a mere formality; children must
be fully informed and must understand the consequences and impact of expressing their
opinions. The corollary is that children are free to not participate, and should not be pressured.
Participation is a right, not an obligation.
Article 14 establishes that State parties must respect children’s right to freedom of thought,
conscience and religion, as well as parents’ or guardians’ role in their exercising this right.
Research and M&E activities seeking to involve children must clearly acknowledge and ideally
seek to build on these respective roles.
Article 15 establishes that the States parties must recognise children’s right to freedom of
association and of peaceful assembly. As children’s capacities evolve, they will increasingly
participate and seek the representation of their perspectives in wider fora — at community, subnational, national and global levels. Research and M&E activities can help this evolution along.
The Convention establishes that participation should be seen as both a process and an end in
and of itself; that the very act of participation should be seen as contributing to the development
of the children involved.
7. Programme and research design involving children
This policy highlights some important areas to be kept in mind while designing programmes and
research interventions involving children. Please see Annex 3 Roger Hart’s eight-degree scale
Please see Annex 5 to see questions to consider by managers designing Monitoring, Evaluation
and Research activities in which children are involved. This has been adapted from ethical good
practices advocated by UNICEF.
8. Key Principles in ensuring ethics in RM&E
1. Researchers, consultants and those representing on behalf of WCUK should seek to
uphold WCUK policies and values in their conduct.
2. Consultants should discuss their results only with those to whom they are providing
service, unless maintaining such confidentiality would jeopardize the health or safety of
others
3. When identifiable information must be collected, consider replacing individuals’ names or
with code numbers and storing the actual information in the Beneficiary Register or the
Case Study Log which is accessible only to a limited number of persons. Destroy the
information when it is no longer necessary to link data with identities for the purpose of
research.
4. Increase researchers’ awareness of confidentiality issues by providing guidance and
training.
5. Ensure that information is secured by limiting access, using safe storage methods (e.g.
locked drawers and password protected computer access) and using protected means
of communication (e.g. encrypted electronic messages).
6. Destroy information as soon as it is no longer needed.
7. Formal agreements: Obligations of an evaluation (what is to be done, how, by whom,
when) should be agreed to in writing, so that the parties are obligated to adhere to all
conditions of the agreement or formally renegotiate.
8. Disclosure of findings: Ensure that the findings, limitations and lessons learnt are
disseminated as approved by the management.
9. Conflict of Interest: WCUK may decide not to engage consultants who have worked
previously on the design or implementation of a project, program, or policy to conduct
evaluation analysis or prepare evaluation reports on those activities. Where it is
unavoidable to hire such a consultant on a higher order evaluation, such as a
programme or thematic study, the consultant or evaluator shall not engage in any part of
the evaluation that deals directly with activities with which he or she was associated with
in the past. Potential consultants therefore are required to divulge any past experience,
of themselves or their immediate family, that may give rise to a potential conflict of
interest and can consider getting a No Conflict of interest declaration signed (See
Annex-1)
Annexes
Annex 1- Consent Form
Photography, Filming, Interview, Audio Recording and Case
Study Consent Form
War Child UK is a registered NGO that works with children who, as a result of conflict, live with a
combination of poverty, exclusion and insecurity. Our mission is to support and strengthen the protective
environment around all the children we serve.
Activity: ________________________________________________________________
Dear Child/Parent/Guardian/Teacher
We would be grateful if you could sign the attached form and return it to the photographer/social
worker. We cannot use children’s testimonies, or publish images or any other media of children
unless a parent or guardian has signed this form.
The photographs, interview and/or other media may be used in internal reports or any of the
media used by WAR CHILD UK for promotion including t-shirts, newsletters, leaflets and/or
posters. They may also be circulated to the media. The photographs, testimonies and/or other
media may also be used to promote the War Child UK campaign nationally, and used on the
War Child UK website.
Participation in this activity is completely voluntary. Your child does not have to participate in
this activity. Refusal to participate will not affect any benefit you or the child may receive from
War Child or any other activity helping children or families.
For Children
I have been briefed of and understand the likely implications of my/my child’s/the child’s
participation in this activity.
I do agree that I/my child/the child participate in the activity and provide War Child UK with
permission to photograph, film, manually record or audio record the child’s participation.
I do provide War Child UK with permission to use these materials in their media and promotional
activities:
I.
II.
III.
IV.
Photographs
Video Clips
Audio records
Interview transcripts
Child’s Names: ____________________________________________
Names: _______________________
Relationship to Child: _____________________
Date: ________________________
Signature: ______________________________
District, Sub-County, Parish & School
_________________________________________________________________________
Annex 2- Declaration of Interest by the Consultants
Date: ________________
Research/Evaluation Title: _______________________________________________________
Name of the consultant: _________________________
Proposed contribution against work for WCUK
 Declaration of direct interests derived from WCUK or its Implementing or Executing
Agencies in the past three years (for example, financial benefits arising from
employment, contracted work, investments, fees)
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
 Declaration of indirect interests derived from WCUK or its Implementing or Executing
Agencies in the past three years (for example, grants, sponsorships, publications, or
other kinds of benefits)
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
 Declaration of any membership role in or affiliation with organizations/bodies with an
interest in the work of WCUK (for example, prospective or existing partners or
developmental NGOs)
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
 Other interests or facts that the evaluator might consider pertinent
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
______________________________________________________________________
Annex 3 Roger Hart’s eight-degree scale Frameworks
The framework below is not only good for designing programmes, but for defining the participatory
activities for research and M&E exercises as well, i.e. where children will participate, in what role and
through what type of interaction with adults. If the M&E activity itself is designed to build participation,
then managers and evaluators must specify how the activity will influence children’s capabilities and
their supporting environment and therefore their opportunities for participation
Efforts that fall under tokenism, decoration and manipulation not only fail in their objective to foster the
participation of children, but can also discredit the effort and the organisations involved, ultimately
undermining the meaning of the right to participate. Furthermore, the research proposal should spell
out the degree of participation envisaged by the child.
Annex 4 to see questions to consider by managers designing Monitoring,
Evaluation and Research activities in which children are involved
The following is adapted from P. Alderson (1995), “Listening to Children: Children, ethics and social research”,
Barnardos, primarily from "Ten Topics in Ethical Research" (p.2-6).
1- Purpose:
-
Is the topic worthwhile? How are the findings likely to benefit children? How will they add to what is
already known?
-
If the findings are meant to benefit certain children, who are they and how might they benefit?
2- Costs and Hoped-for Benefits:
-
What contributions are children asked to make, such as activities or responses to be tested, observed
or recorded? Is this a one- off contribution or, as in the case of some monitoring activities, will this be
repeated?
-
Might there be risks or costs — time, inconvenience, embarrassment, intrusion of privacy, sense of
failure or coercion, fear of admitting anxiety? Also, consider retribution in contexts of conflict
-
Might there be benefits for children who take part — satisfaction, increased confidence or knowledge,
time to talk to an attentive listener, an increased role in decision-making processes affecting them?
-
What is planned to prevent or reduce any risks?
-
What will be the procedure with children who become distressed (e.g. if they simply feel
uncomfortable, or if participation requires them to relive or experience emotional or psychological
trauma) on the spot and in terms of referrals and follow-up?
-
Are the methods being tested with a pilot group? Will risks and costs be reassessed after piloting and
what protection is offered to children involved in the pilot?
3- Privacy and Confidentiality:
-
How will the names of children be obtained, and will they be told about the
source?
-
Does the selection method allow children and parents to opt into the activity (e.g. to volunteer for
selection)? Is the selection method intrusive or coercive?
-
Will personal names be changed in records and in reports to hide the child's identity? What should be
done if children prefer to be named in reports?
-
Will the data collection records, notes, tapes, films or videos, be kept in lockable storage space? Who
will have access to these records, and be able to identify the children?
Should records be destroyed when the research or M&E activity is completed or when related
programme activity ends?
4- Selection, inclusion and exclusion:
-
Why have the children concerned been selected to take part in the activity?
Have efforts been made to reach marginalised, indigenous or disadvantaged children?
Have some children been excluded because, for example, they have speech or learning difficulties?
Can the exclusion be justified?
-
Are the findings intended to be representative or typical of a certain group of children? If so, have the
children in the study been sufficiently well selected to support these claims?
5- Funding:
-
Are the children's and parents' or carers' expenses
repaid?
-
Should children be paid or given some reward after helping with the activity?
-
How do these practices compare to those of other organisations working in the same region?
6- Process of review and revision of ToRs and methodological proposal:
-
Has a committee, a small group or an individual reviewed the protocol specifically for its ethical
aspects and approach to children?
-
Is there scope for taking account of comments and improving the
design?
Are the researchers accountable to anyone, to justify their work? Are researchers’, managers’
and other stakeholders’ responsibilities vis-à-vis ethical practices clearly established?
-
What are the agreed methods of dealing with complaints?
7- Informing children, parents and other carers:
-
Are the children and adults concerned given details about the purpose and nature of the research or
M&E activity, the methods and timing, and the possible benefits, harms and outcomes? If children
are not informed, how is this justified?
-
Does a researcher/evaluator also encourage children and adults concerned to ask questions,
working with an interpreter if necessary?
8- Consent:
-
As soon as they are old enough to understand, are children told that they can consent or refuse to
take part in the activity?
-
Do they know that if they refuse or withdraw from the activity this will not be held against them in
anyway?
How do the researchers/evaluators help the children to know these things, and not to feel under
pressure to give consent?
9-
How will the situation be handled if a child wants to volunteer but the parents refuse?
Dissemination:
-
Will the children and adults involved receive short reports on the main findings or other forms of
feedback?
-
Are the capacities of children and their preferences for how they receive feedback taken into
consideration?
10- Impact on Children:
-
Does the research, monitoring or evaluation activity have any impact on children’s capabilities, on the
degree to which their environment is supportive of their participation (e.g. a change to attitudes of
parents or other adults, to customs or to laws) or on future opportunities for participation (e.g. a change
to practices in schools or other fora where children may participate; the creation of new fora,
organisations etc.)?
-
Besides the effects of the activity on the children involved, how might the conclusions affect larger
-
groups of children?
What models of childhood are assumed, e.g. children as weak, vulnerable and dependent on
adults; as immature, irrational and unreliable; as capable of being mature moral agents; as
consumers? How do these models affect the methods of collecting and analysing data?
-
Do they try to listen to children and in children's own terms, while aware that children can only speak in
public through channels designed by adults?