Principles and practices for international development practitioners and evaluators

Doing research or evaluation work in international development in an ethical way requires us to engage with several distinct areas of expertise. These include safeguarding, protection, data protection, gender equality and social inclusion, conflict sensitivity and research design. This guide attempts to bring these different thematic areas together in one source document – a sort of one-stop-shop for research ethics.

This guide makes an important contribution to ensuring the evidence we generate within the development sector is of good quality. In the introduction, you will be introduced to some key definitions that will help you to understand the scope and purpose of this guide – to whom and to what activities of (I)NGOs it relates. Key terms and core research ethical principles are introduced.

Section 1: Ethics during the evaluation and research design phase

The guide is grounded in the understanding that research ethics ought to inform every stage in the process of conducting an evaluation or piece of research – from design and planning, to data collection, analysis, write-up and communication. It is structured accordingly, so that this section covers ethical considerations relating to the first stage: the design phase. During this stage it is crucial to: ensure the research design and methodology are coherent; draw from best-practice risk-management approaches; assess and mitigate the ethical risks associated with the research or evaluation; and plan for responsible data management and meaningful engagement.

Section 2: Ethical principles during data collection in the field

This section covers the data-collection phase. Though it should not be the only stage at which ethical thinking occurs, data collection is usually the stage at which researchers and evaluators engage the most with participants, as well as their wider communities. Ethical implications of this engagement are considered here, including how to: plan for inclusion and participation; ensure the safety and privacy of participants; obtain consent from participants that is truly informed; and express respect and gratitude to participants in appropriate ways. Protecting the well-being of researchers and evaluators themselves is also considered as critically important.

Section 3: Ethics during analysis, write-up and communication of findings

In this section, consideration is given to the ethics of data being analysed, presented and communicated in ways that are suited to the audience. It considers too how doing ethical research in development means maintaining and sustaining relationships with a web of research stakeholders (ie local intermediaries, interpreters, translators, gatekeepers etc), not just research participants (Sumner and Tribe, 2008). During this stage, those involved in evidence generation need to orientate their decisions and actions towards ensuring that the data and findings are of the highest-possible quality, and are presented and shared in a way that promotes fairness and social justice. The concept of ‘reflexivity’ is also defined and explored here – to describe how researchers and evaluators should be reflecting on power and representation when interpreting the data and communicating participants’ perspectives. This section also stresses that reflexivity is not just about being sensitive and responsible to research participants. It is also about being constantly aware of the larger social and political contexts in which research is pursued, and about bringing such awareness to bear as part of the analysis and reporting of data (Mauthner and Doucet, 2003).

Section 4: Sensitive topics and high-risk research

At this point in the guide, the authors call for particular care and caution to be exercised when planning and conducting ‘high-risk’ research or evaluation: any evidence-generating activity that involves children or adults who are vulnerable, including those affected by or reeling from conflict, or humanitarian crises, ie those who are defenceless in the face of ‘external shocks’ (Chambers, 1989). This also applies to: sensitive topics such as trauma, sexual or gender-based violence (SGBV), or bereavement; and/or where there are significant concerns for the personal safety of the participants, evaluators or researchers. This section includes real-life examples of managing the risks associated with high-risk research or evaluation.

Section 5: Research Ethics Toolkit

The final section of the guide contains four tools, designed to assist (I)NGO practitioners to practise research ethics. Although research ethics concerns the moral integrity with which research or evaluation is carried out in practice – meaning that it is much bigger than the tools we use – tools are nonetheless important. (They are what we refer to as ‘procedural ethics’.) This toolkit includes a short checklist to identify whether research ethics apply, an ethical risk assessment template and guidance, a data management plan, and a participant information sheet and consent form.

Link to the guide in the Tearfund website