Consultancy for Development of a workshop module on the Principles and Guidelines for Ethical Research and Evaluation Call for Expressions of Interest

Transcription

1 Consultancy for Development of a workshop module on the Principles and Guidelines for Ethical Research and Evaluation Call for Expressions of Interest 6 th June 2016 Established in 2009, the Research for Development Impact (RDI) Network (formerly the ACFID University Network) is an Australian based network of practitioners, researchers and evaluators - working in international development. With over 900 individual participants, the Network has become a key outlet for accessing diverse research expertise, brokering partnerships, convening relevant forums and conferences as well as supporting research practice among NGOs and academia in Australia. The RDI Network is a partner of and hosted by the Australian Council for International Development (ACFID), and funded by the Australian Government - Department of Foreign Affairs and Trade (DFAT). Details As part of an earlier program and in consultation with ACFID members, the Network produced two documents, the Principles for Ethical Research and Evaluation in Development, and the Guidelines for Ethical Research and Evaluation in Development. The Principles and Guidelines were developed to support ethical research by practitioners and researchers working in developing countries. The RDI Network now plans to socialise these documents, promote awareness of these ethical research and evaluation guidance tools, build a conversation on ethical research considerations with NGOs and universities, and encourage the use of a review process for any research and evaluation being carried out in developing countries. The RDI Network is seeking to engage an external consultant through a competitive Expression of Interest (EoI) process to develop a workshop module, research guidance tools and resources, and a series of webinars (or a similar electronic format). For more details, the terms of reference are included as Annex 1. Timeframe and Deliverables Planning and development (July Sept) Consult with stakeholders and scope the development of the workshop module Develop the workshop including facilitator notes, teaching materials and hand-outs Develop research guidance tools and resources Develop the webinars (or other electronic format) Testing and finalising (Sept Nov) Test the workshop module with RDI Committee members and key stakeholders Finalise the workshop module The consultant must also be available for regular (monthly) teleconferences with the relevant working group of the RDI Committee. The RDI Network is a network of practitioners, researchers and evaluators working in international development. C/- Australian Council for International Development (ACFID) Office 14 Napier Close, Deakin ACT 2600, Australia E: rdi@acfid.asn.au

2 Any changes to this timeframe need to be agreed in advance by the RDI Network and the consultant. The consultant may be re-engaged (at additional cost) in early 2017 in order to assist in or facilitate the first workshop, and to evaluate and adjust the workshop module, as necessary. Selection Criteria The consultant will be expected to have: 1. Demonstrated experience and capacity to develop effective workshops and associated supporting resources and tools; 2. Demonstrated experience with electronic and online formats for the delivery of seminars and workshops; 3. Demonstrated facilitation and verbal communication skills and the ability to work across a diverse range of stakeholders; 4. Demonstrated familiarity with university ethics committee processes, or of Human Research Ethics Committee (HREC) processes (desirable); and 5. Demonstrated experience with NGO research and / or evaluation (desirable). Research Management The consultancy will be project managed by Philippa Smales, RDI Network and Partnerships Manager, to whom the consultant will report. The relevant working group of the RDI Committee will also engage at key points by pre-organised teleconference meetings during the process to provide input, ideas and high level oversight. Final approval of the deliverables will be the responsibility of the relevant working group of the RDI Committee. Submission of Expressions of Interest Using the below Terms of Reference (ToR), please send an EoI to Philippa Smales, Network and Partnerships Manager, at psmales@acfid.asn.au with: A capacity statement on your suitability, experience and availability to undertake the scope of services (2 pages); A brief statement of the proposed approach for the consultancy, including initial ideas on the workshop and webinars (or other electronic format) (2 pages); Brief samples, or a link to two samples of your work; A brief CV; and An accompanying timeline and budget - inclusive of a daily rate, and anticipated administrative and resource costs (+GST), maximum budget not to exceed $18,500. Questions can be directed to Philippa Smales via at psmales@acfid.asn.au or at The RDI Network is hosted within the office of the Australian Council for International Development (ACFID) in Canberra. Submissions are requested no later than COB Tuesday 28 th June

3 Annex 1: Terms of Reference Development of a module on the ACFID / RDI Network Principles and Guidelines for Ethical Research and Evaluation Background One of the aims of the original Research and Ethics Program , was to establish guiding principles to support ethical research by practitioners and researchers working in developing countries. The Network successfully facilitated a participatory process to develop the Principles for Ethical Research and Evaluation in Development (2013), which was well regarded by stakeholders. It stimulated wide ranging discussions within ACFID members about the issues, which in some cases resulted in changed policies and practices, and at minimum raised the profile of ethical practices. Following the release of the Principles, in 2014 a comprehensive participatory process was followed to develop the more detailed Guidelines for Ethical Research and Evaluation in Development (2015). The process included the organisation of a mock ethics review process in the form of a workshop which involved detailed scrutiny of selected case studies through an ethical lens, facilitated by specialists with both academic and NGO experience. More detail on the development of the Principles and Guidelines, and of the mock ethics review are included in Annex 2. Workshop Module The aim is to develop a workshop module on the Principles and Guidelines for Ethical Research and Evaluation, including detailed facilitator notes, teaching materials and hand-outs. Many of those interviewed for the Research and Ethics Program Evaluation in 2015 saw the key challenge as creating a process through which to socialise and implement the Principles and Guidelines. The ACFID Code of Conduct 1 states that signatory organisations are obliged to consider a minimum of ethical standards required for research and evaluation (Principle B.1.1, B.1.2, and B.4.1). Also, the Australian Code for the Responsible Conduct of Research (2007) 2, states that institutions are expected to: promote awareness of all guidelines and legislation relating to the conduct of research; and train staff regarding responsible research conduct. Very few staff working in NGOs as researchers, evaluators or those who manage research and evaluation, would be aware of the Australian Code and the National Statement on Ethical Conduct in Human Research (2007) 3. NGOs do not have an ethics committee review as part of the research process, unless they are working with or have contracted an academic within a university. The purpose of the module will therefore be to promote awareness and support implementation of these ethical research and evaluation practices using as a starting tool the Principles and Guidelines so as to enable NGOs to develop a greater awareness of and supporting processes for the ethical dimensions of their research. 1 ACFID, ACFID Code of Conduct (1997, revised 2010) 2 National Health and Medical Research Council, Australian Code for the Responsible Conduct of Research (2007 currently under review) accessed 30 May National Health and Medical Research Council, National Statement on Ethical Conduct in Human Research (2007) - Updated May 2015, accessed 30 May

4 The workshop design should be flexible enough to be given by a non-expert facilitator and in different contexts, such as a side event to a conference, to be held as an internal training within an institution or NGO, or as a stand-alone event. Initially, they will be facilitated by the Network and held in Australia through partnering with ACFID member NGOs and Affiliate Member universities, but they later could be facilitated by other organisations in other countries. The workshops will be fee-based, but at a minimum level in order to cover the costs of the workshop facilitator and the venue. Activities Supporting the Module This includes development of sector specific research guidance and tools, as well as communication tools, that support application of the Principles and Guidelines in practice. It also includes a series of webinars or other electronic format to support Network members implementation of the Principles and Guidelines for Ethical Research and Evaluation, with engagement by regional researchers to promote their wider application. The workshops, webinars and resources will be available to anyone working in an NGO or university who is interested in ethical research and evaluation. The resources and tools will be free, and widely available through the Network website in order to supplement the workshops. Hard copies will also be available and can be posted to interested institutions or organisations by request. Ideas for preparation of resources, materials and guidance include: examples and case studies based on the four principles (e.g. samples of consent processes, communicating research); cheat sheets, a list of do s and don ts ; samples of informed consent forms and reference guides for NGOs, (ensuring plain language, easy to translate, graphical to provide to overseas researchers); guides on enriching principles through understanding their application in cross cultural contexts and on informed consent in different contexts (according to the Principles). Participants in the 2015 Network program review, suggested that there are a variety of relevant existing resources, materials and training programs that can be adapted or adopted to support NGOs to conduct ethical research in development. The communications tools will include development of a Prezi to use with the webinar, and to be accessible via the website. It was determined that a webinar would suit the purposes of the workshop module more than E- Learning, which is expensive, and it is often hard to get people to go through a full E-learning module. Webinars, as an alternative, are at scheduled times and give the participant a chance to interact and ask questions in real time. The webinar will be integrated with functionality to facilitate access by those in areas overseas with low bandwidths. 4

5 Annex 2 Further details on the development of the Principles and Guidelines The Principles: This document was prepared by Australian Council for International Development (ACFID), its Ethical Research Working Group and the ACFID-Universities Linkage Network (later the ACFID University Network). It was developed for ACFID members as part Implementation Guidance for ACFID s Code of Conduct, and for other researchers in the development field. Dr Juliet Willetts was the consultant for the development of the Principles, four face-to-face consultations were held on the draft document in addition to ongoing feedback from ACFID members through Working Groups and Committees. The Code of Conduct Committee in particular reviewed the draft principles and guidelines to ensure they are aligned with the values and principles upheld in the ACFID Code of Conduct. In June 2012, the ACFID Executive Committee and Code of Conduct Committee endorsed the Principles for Ethical Research and Evaluation in Development. The principles presented in this document build upon the ACFID Code of Conduct, which exists to assist ACFID members to observe the highest ethical standards in all their activities. It complements and extends the Code in relation to research and evaluation practice by drawing on relevant national and international standards applicable to this area of work. This includes, the Australian Code for the Responsible Conduct of Research (2007) and the National Statement on Ethical Conduct in Human Research (2007). These documents specify the standards expected in the responsible conduct of research by Australian institutions, and are aligned with international agreements such as the Declaration of Helsinki and international human rights instruments. The practical set of principles is accessible, widely relevant and suitable for application to all relevant stakeholders. The four Principles (respect for human beings; beneficence; research merit and integrity; and justice) reflect shared understanding of the critical principles which influence the quality of evaluation and research processes through the lens of both NGOs and academic practitioners. The Principles are intended for use by those who commission, manage, conduct or review research and evaluation in developing country contexts, particularly in relation to poverty reduction, development and social justice. Evaluation is included within the scope of this document due to similarities in the ethical issues raised. Distinctions between research and evaluation are described in the Principles, as well as specific guidance on ethical challenges in relation to evaluation and types of evaluation considered exempt. The Mock Review and Guidelines: From April June 2014, the University of Technology Sydney (UTS) through the Institute of Sustainable Futures (ISF) partnered with ACFID and the Network to research and run and pilot a mock ethics review process. The review process was accompanied by a reflection workshop exploring participant understanding of the application of the ACFID Principles and lessons for an ethics review mechanism suitable for research conducted with or by NGOs. Research preparations for the mock review included a comparative scan of NGO and Australian based processes for ethical review. An assessment of ACFID members use and application of the Principles was thoroughly discussed through the Mock Ethics Review Process and Reflection Workshop on 30 5

6 June This workshop was attended by 30 participants from across the Network. A review committee with expertise relevant to development research and evaluation was established consistent with the criteria of a Human Research Ethics Committee (HREC). The revised Guidelines were available for consultation following the workshop to ensure that the content of the Guidelines were responsive to the learning and discussions emerging through the review process and workshop. The content in the Guidelines builds from the Principles and contains high-level guidance to assist with their application throughout the research process. Key considerations in this guidance include assessing risks and benefits, in-country ethics approval, informed consent, privacy and confidentiality, and cultural sensitivity. The Guidelines are not about a list of do s and don ts, as the kinds of ethical considerations will vary depending on the research methods and context. Rather, the Guidelines are about prompting critical reflection to inform practice and ensuring that research involving human participants can achieve its aims, while protecting the safety, rights, welfare and dignity of those involved (namely, the participants). Given the diversity and range of research conducted by ACFID members, the Guidelines provide a starting point for advice and resources to be used by researchers and practitioners to assist with planning, commissioning and conducting ethical research. The Guidelines were launched during the time of the final ACFID University Network program evaluation, released at the end of July, so the impact has not been evaluated as yet. However, the program evaluation highlighted the quality of the document and the efforts to involve stakeholders during its development. In some cases, the Guidelines have already changed practice. 6