Independent Evaluation of the GEC II – Ethical Research and Safeguarding Framework

Annex A: Key documents

The following documents are key frameworks and guidelines which are relevant to the principles above. As these documents are updated or new frameworks released, the principles above will be revised accordingly:

• ESOMAR International Code of Conduct on Market, Opinion and Social Research and Data Analytics

• FCDO 2011 Ethics Principles for Research and Evaluation

• FCDO 2013 Evaluation Policy

• FCDO 2018 DFID Digital Strategy 2018 to 2020: doing development in a digital world

• FCDO 2019 FCDO ethical guidance for research, evaluation and monitoring activities

• FCDO 2020 Child Safeguarding Due Diligence: for external partners

• FCDO 2020 Enhanced Due Diligence: Safeguarding for external partners

• FCDO 2020 Guidance on Safeguarding against Sexual Exploitation and Abuse and Sexual Harassment (SEAH) in the aid sector

• HM Government 2018 Data Protection Act

• HM Government 2011 Involving Disabled People in Social Research: Guidance by the Office for Disability Issues

The following documents are key consortium policies to which the principles above are aligned:

• Tetra Tech Code of Conduct

•

Tech of Interest Policy Tetra Tech Whistleblowing Policy •

The following documents are key IE documents which should be read in conjunction with this framework:

• Inception Report (in development)

• RRLF Handbook

• GESI Approach Paper: GEC II Independent Evaluation: Our Approach to Gender Equality and Social Inclusion

• Memorandum of Understanding between the Fund Manager and Independent Evaluator

• IE contract with the FCDO

27 Available at: https://www.research-integrity.admin.cam.ac.uk/files/policy_on_the_ethics_of_research_involving_human_participants_and_personal_data_oct_2016.pdf

28 Available at: https://www.research-integrity.admin.cam.ac.uk/files/policy_on_the_ethics_of_research_involving_human_participants_and_personal_data_oct_2016.pdf

29 Available at: https://www.hr.admin.cam.ac.uk/files/children_and_adults_at_risk_policy_v3_final.pdf

30 Available at: https://www.governanceandcompliance.admin.cam.ac.uk/files/bribery-and-corruption-policy.pdf

Annex B: Tetra Tech Safeguarding Checklist

The Safeguarding checklist should be used by the Programme Manager at the beginning of the programme to ensure compliance with the Safeguarding Policy. The Programme Manager should ensure that each activity/ operating standard has an allocated responsible staff member (e.g. Programme Manager, Safeguarding Focal Point, Grant Officer, HR Manager, Risk Manager). The form should be reviewed regularly to ensure that all standards are maintained.

Activity or operating standard

Is the Safeguarding Policy included as an annex to all contracts?

Has safeguarding been included in all partner assessments (due diligence, organisational capacity assessments etc.) and their capacity building plans?

Do all offices have a Safeguarding Reporting Poster? Is the reporting procedure readily accessible by all staff?

Responsible Progress

Example: IE Programme Manager

Example: Grant Officer

Has safeguarding been incorporated into relevant programme implementation and research tools, such as risk assessments, monitoring checklist, workplan and budget, programme learning review tools? If so, how?

Have you undertaken a safeguarding risk assessment and identified risks and mitigation measures which are specific to your programme and the local context?

Have all staff members, subcontractors and consultants (including research partners and their enumerators) received training on safeguarding?

Example: IE Programme Manager / Safeguarding Focal Point

Example: IE Programme Manager

Example: IE Programme Manager

Who is the dedicated project Safeguarding Focal Point?

Does the project have an allocated staff member who will deliver safeguarding training to partners and staff?

Example: IE Programme Manager Safeguarding Focal Point

Example: IE Programme Manger

Example: IE Programme Manager; IE Field Research Manager

Is safeguarding included in the orientation for all programme visitors together with security briefing? If not, how are project visitors made aware of programme’s reporting procedures?

Example: IE Programme Manager/

Have all staff members, subcontractors and consultants successfully completed national police checks and reference checks?

Are operational suppliers aware of our safeguarding policy? Do they have a reporting mechanism for beneficiaries, staff and others to report safeguarding concerns?

Do they have a safeguarding policy which includes training and/or awareness raising?

Risk Manager

Example: IE Programme Manager/ HR Manager

Example: IE Programme Manager

Annex C: Indicative Safeguarding Incident Form

Please remember that all allegations of abuse must be reported to your IE Programme Manager. Please complete this form and send it to the IE Programme Manager. If for any reason, you do not feel comfortable reporting to the Programme Manager, please report their concern directly to the Team Leader, Deputy Team Leader or the Programme Director, or follow the whistleblowing reporting procedures [insert reference to associated documentation] within a 24-hour reporting period.

• Programme name:

• Programme Manager:

• Programme Director:

• Incident occurrence date:

Incident report

• Incident location:

• Incident report date:

• Associated Organisation/s:

If possible, please include details of the person who originally made the report and other people involved in the incident.

If possible, explain what type of abuse is being reported and its consequences (e.g. injuries, behaviour or mood changes)

Accurately describe the incident – be objective and focus on facts.

Incident report:

Actions taken:

What is the current safety and health status of the reported survivor/affected individual and their family? Are they at risk of further abuse or violence? Are there any immediate needs or risks that have to be addressed? Have any actions been taken to mitigate them?

Based on the incident report, is emergency medical attention needed? Has any medical care been provided? By whom?

Have the local police been notified?

Has this report been referred to any other bodies (e.g. client or using other safeguarding mechanisms)?

Actions taken:

Follow on action

What actions have to be taken?

Are there any other processes or investigations that are underway?

Who is aware (project level and stakeholders) of this incident?

Follow on actions: