Ethical considerations when engaging adolescents in research, monitoring and evaluation activities
1. INTRODUCTION
This guidance note builds on Oxfam’s existing resources on research ethics1 and safeguarding policies, to provide an overview of ethical considerations specific to adolescent participation in research, monitoring, and evaluation activities. The document will prepare research teams to center the best interests of the child in the study design, risk and safety planning, data collection, and at all other key decision-making points.
Soliciting information from adolescents requires special considerations, particularly when asking about sensitive topics. The intent is to mitigate against potential risks and consequences to children and youth as a result of their participation in the study or evaluation. Responding to ethical concerns will also contribute to greater quality data, ensuring that the results are valid.
Adolescence is the period between childhood and adulthood—beginning with puberty and transitioning from dependence on caregivers to self-sufficient adult members of society. During this period of life, adolescents develop knowledge and skills, begin to understand how to manage emotions and relationships, and develop traits and capabilities to enjoy their adolescent years and transition to assuming adult responsibilities. While the official age bracket of adolescence varies across countries, the United Nations (UN) defines this period as between 10 and 19 years of age. In this guidance note, very young adolescents are considered 10 – 14 years old, and older adolescents 15 – 19 years old. These two groups have different levels of maturity that should be considered when assessing the risks to their health and safety. Furthermore, adolescents facing additional, context-specific vulnerability factors should be accommodated for, as explained further in this note.
2. MANDATORY LAWS AND POLICIES
The following Oxfam policies and protocols, national and international laws, and ethics approvals must be adhered to when engaging adolescents in research and evaluations.
a. Oxfam Codes of Conduct – Oxfam staff, consultants, and partners involved in the research and evaluation activities must review, sign, and abide by this professional code of conduct that clearly states obligations to treat all people with respect and dignity, and challenge any form of harassment, discrimination, intimidation, and exploitation of abuse.
b. Oxfam Child and Youth Safeguarding policies – These policies outline Oxfam’s specific commitments to promote children’s rights and partners, and avoid any harms to children and youth from its programming including sexual exploitation and abuse, physical abuse, verbal or emotional abuse, and neglect. Adolescent participation in research, monitoring, and evaluation activities is held to this same standard. Any instances of harm resulting from their participation must be reported using the mechanisms outlined in the safeguarding policies. Oxfam’s Safeguarding teams will offer immediate supports to adolescents who have suffered harm2
c. Child protection laws - Abide by local laws related to professional conduct with adolescents as they relate to research, monitoring, and evaluations involving adolescents. In addition, researchers are held by the United Nations Convention on the Rights of the Child (CRC) and its various articles related to children’s multi-faceted rights, non-discrimination, the best interests of the children, and the right to be heard. There may be times at which legal and ethical obligations conflict. For instance, there is an ethical obligation to ensure adolescents receive treatment for sexually transmitted infection, however the legal obligation to obtain parental consent in some countries may bring risk of harm for some young people. In these circumstances, Oxfam teams should in most cases adhere to local laws while seeking exemptions from official bodies when possible, citing Article 3 of the CRC on the best interests of the child.
d. Ethics review approvals - An ethics review may be required in some countries or by some agencies and institutions depending on the nature of the research or evaluation. Adolescent participation increases potential risks, and likely require a formal ethics approval process.
3. PRINCIPLES OF ADOLESCENT PARTICIPATION
Oxfam has adopted various sets of principles to guide its approaches and ways of working. These extend to the organization’s monitoring and evaluation activities as well. The organization’s values highlight that “How we work is as important as what we work on.” When engaging adolescents, a well informed and deliberate process is critical to upholding Oxfam’s values of equality, empowerment, solidarity, inclusiveness, accountability, and courage. Oxfam Canada is also guided by feminist principles that outline its commitments to tackle the root causes of gender inequality, racism, and discrimination, shift power to the most disadvantaged people, take an intersectional approach, and priority safety and wellbeing. The feminist monitoring, evaluation, accountability, and learning (MEAL) guidance note applies these feminist principles to MEAL activities. Consider how your research, monitoring and evaluation activities will adopt Oxfam’s values and principles to empower adolescents from diverse backgrounds and protect them from harm.
In addition to Oxfam principles, Table 1 outlines a set of guiding principles for adolescent engagement in research, monitoring, and evaluation activities3
2 In countries where the safeguarding policy contravenes local legislation, local legislation must be followed with guidance from the safeguarding team. Oxfam policy will apply in the event that it is more stringent than local legislation.
3 The principles are adapted from UNICEF and Women’s Refugee Commission’s Toolkit for monitoring and evaluating adolescent sexual and reproductive health interventions in safe spaces. (2020) pg. 15
Table 1. Principles of adolescent engagement in research, monitoring, and evaluation
Transparent and informative
Do adolescents and their caregivers have enough information about the project, in a language and modality they can understand, to make an informed decision about whether or not to participate?
Voluntary Can adolescents stop participating at any time they wish, without suffering from negative consequences as a result of their withdrawal? Do adolescents feel any pressure to participate?
Respectful Do the ways of working with the adolescents consider and build upon local cultural practices, and have the support of key adults? Are adolescent perspectives and ideas being meaningfully heard?
Relevant Are the issues being discussed and addressed of real relevance to adolescents’ lives?
Does the research design study issues of discrimination from an intersectional lens that affect adolescents in particular?
Adolescentfriendly Are staff and consultants adequately trained in adolescent-friendly approaches and methods that account for their capacities and interests? Is research conducted in safe, accessible spaces for adolescents?
Supported with training
If adolescents are part of the research team, have they been adequately trained to feel confident and comfortable with their roles and responsibilities?
Inclusive Are adolescents of different ages and backgrounds (e.g. ethnicity, religion, rural/urban) given opportunities to participate? Are required accommodations made to foster their engagement, including for those with developmental and/or physical (dis)abilities?
Safe and sensitive to risks Are adolescents aware of the impact or potential consequences of participation?
Have you identified ways to keep them safe?
Accountable Do adults take adolescents’ views and suggestions seriously and act upon them, or offer adequate justification for why they cannot be actioned? How will the research and M&E findings be shared back with adolescent participants?
4. CONSENT & ASSENT
In most cases, children (individuals under 18 years old) must acquire consent from their parent/guardian to participate in research, monitoring, and evaluation activities. Local laws should be adhered to as well if there are any instruction on age at which adolescents can provide informed consent independently.
Be sure to find out when you need to secure parental/legal guardian permission. If no legal standards exist, ask for advice and input from the community. In some cases, it may be considered in the best interest of the child to forgo parental permissions, particularly when the child’s safety at home is in question or in cases when children are ‘emancipated minors’ in that they do not have guardians, or are already living independently of their parents (e.g. married, serving in the military). The child’s safety, wellbeing, and agency are all considerations to weigh when making decisions regarding consent.
For children who are deemed too young to provide informed consent, it is highly encouraged that they are fully informed on the parameters of the research/MEL activities and given agency to decide whether or not they’d like to participate. This is referred to as assent. In particular, assent empowers adolescents to engage in decision making on their own lives when fully informed on the risks and benefits. It also mitigates the risk of possible coercion. No child should be forced to participate against their own will. It should be noted that assent is required even if consent was given by a child’s parent/legal guardian.
Information to be shared with children and their parents/caregivers for informed consent/assent:
4 Explain with clarity what the project is and purpose of the research or monitoring, evaluation, and learning activities.
4 Explain what the specific role of the adolescent would be, what they will be asked to do, and the timing and duration of their engagement.
4 Share all the foreseeable risks that may arise, and how the project intends to minimize their occurrence. This includes the possible legal requirement to disclose any harmful behavior in which the adolescent is implicated should this be revealed.
4 Explain that participation is voluntary. There will be no penalty or repercussions for not engaging in the research. Participants can also choose to withdraw at any point in time without risk of penalty, harm, or disappointing others.
4 Outline the anticipated benefits for participants.
4 Provide a separate consent/assent form outlining intended content usage, if requesting any photos/videos of adolescent participants. Prioritize the Do No Harm principle when considering any content gathering. See Oxfam’s ethical content guidelines
4 Explain how the research team will protect the confidentiality of the records
4 Explain how the research data will be used by the program.
4 Make very clear that as participants, they have a right to be protected from harm. Inform them of Oxfam’s Complaints and Feedback Mechanism (CFM). Provide local contact information and explain process to making complaints using the CFM. Provide assurance that Oxfam encourages feedback on its work and is accountable to the communities they engage in.
For accessibility, it is critical that consent/assent information, written forms and/or oral scripts are all delivered in an appropriate language to the local context4. The language and format used should be adapted to the literacy levels of adolescents, guardians, and community leaders, and to the age and developmental levels of adolescents being recruited. In addition, provide adolescents and their guardians with adequate time to consider the information and ask any questions they may have.
5. ANONYMITY & CONFIDENTIALITY
Providing anonymity means that there will not be any identifying information about participants (name, place of residence, etc.) in any of the knowledge dissemination from research or evaluations. With young people, collecting names and identifying information should be avoided altogether, and replaced with numerical tracking. If personal information is gathered (such as a registration form), it should be kept separate from the other data, and a coding system can be used to connect the two.
When interviewing adolescents about sensitive matters, such as experiences of violence or sexual and reproductive health, extra care must be taken to minimize the number of people who are privy to the nature of the research and its data. Interview respondents in a private space where they cannot be overheard, and avoid written materials or handouts that identify research topics in ways that could put adolescents at risk. Train interviewers to ensure privacy and change the topic if anyone comes into the space where a respondent is being interviewed. Ensure that all research staff understand the importance of confidentiality.
Maintaining confidentiality means that only certain people involved in data collection can identify the responses of individual subjects. Minimize any risks of breaches in data confidentiality by establishing clear protocols for data viewing, collecting, handling, and storing before data collection begins. Store the collected data in secure locations, either digitally with password protected files, or in locked cabinets.
Note that adolescents may not fully understand the concepts of anonymity and confidentiality, which may result in them disclosing information shared by their peers in focus group discussions. To avoid the risks associated with such disclosure for projects of a sensitive nature, individual interviews are recommended.
Possible exemptions:
• Parents may want access to interview transcripts for their children. Set expectations between parents/guardians and adolescents on information sharing from the onset, to avoid any breaches in confidentiality later.
• Adolescents should be made aware in advance that any disclosures they make about instances of abuse or violence committed by themselves or others (e.g. their family, siblings, friends) must be reported if there are legal requirements to do (unless waived by an ethics committee).
• Adolescents may also ask to have a relative or peer present for their interview, in which case there is a possible risk of their perspectives being shared with other community members. These considerations should be raised with participants before data collection begins.
4 For more guidelines on consent/assent forms, please visit the Internal Rescue Committee (IRC) and World Health Organization resources and templates.
6. DATA COLLECTION
Forming a suitable research/evaluation team
Demographics: Who collects information from young people is one of the most important factors both from an ethical perspective and for data validity. Depending on the context, adolescents, and especially girls, may feel more comfortable discussing personal information with someone closer to their age. However, in some cases, mature researchers may be preferred. In most cultural contexts, a data collection team comprising of both youth and adult members, and matching participants with a data collector of their gender and language is most suitable, particularly for adolescent girls.
Safety: If engaging adolescents or youth in the data collection team, choose individuals from within the local community where data gathering will take place to the extent possible, to promote their safety. Make sure they have a safe way to travel to and from their home when engaging in research and evaluation activities. Adolescents should never be left unsupervised. During research and evaluation activities, children may be at risk and in need of safeguarding protections from potentially abusive or exploitative team members (consultants, partners, staff).
Training: All members of the research or evaluation team must sign Oxfam’s Code of Conduct and undergo a background check, or at least a vetting process, before being selected to engage with children and youth. They will require training in best practices in adolescent engagement, child safeguarding, adolescent safety and ethical considerations in research, monitoring, and evaluation. Extensive training is especially important when engaging younger adolescents. If translators are involved, they must receive much of the same training as other data collectors, and consult with community members on what terminology is contextually appropriate to avoid stigmatizing adolescents or causing them discomfort.
Adolescent selection 5
All children and young people should be approached with a focus on their capacities and strengths. Make efforts to include girls and boys of different backgrounds and ages, especially those from traditionally marginalized populations. Consider engaging young people who identify with one or more of these cases:
» Physical, cognitive, or learning disabilities
» Sensory impairments (deaf, blind, or deaf and blind)
» Ethnic and religious minorities
» Economically poor household
» Diverse sexual identity or gender expression
Adolescents that fall within these categories are not homogeneous. Each has their own lived experience and various intersecting physical, social, economic, or cultural factors that may limit their ability to participate fully or on equal basis with other adolescents. Take time to adapt the tools and methods so that they are suitable for participating adolescents’ specific and varied needs and capacities.
To avoid the biased or preferential selection of adolescents by influential stakeholders, invite a neutral, well-respected group to support with this process.
Partnerships and Community input
To safely engage with adolescents, work with partner organizations, institutions, and advocates who already have trusting relationships with young participants, including more vulnerable populations, and who already have protocols and measures in place for adolescent participation. This will create more peace of mind for parents/caregivers and ensures that the data collection team is working in the best interest of the child.
As noted in the Risk Assessment section, provide opportunities for community input in the research and evaluation planning and implementation phases. Engaging them in decision making ensures that cultural norms are respected in the study design, adolescents are kept safe, and concerns are addressed on an ongoing basis to avoid backlash. However, depending on the subject matter, it may be in the best interest of the child to limit publicly available information on the sensitive topics addressed by the study. Expect to navigate strong views on what kinds of questions are relevant, acceptable, and comfortable for youth. Community stakeholders that you may want to engage include parent groups, youth clubs, civil society organizations, religious leaders, teachers, local authorities, health facilities, and/or child and gender advocates. Document community input for reference in case any issues arise during the research or evaluation study.
Location and Timing
When engaging adolescents, choose a safe and adolescent-friendly environment where young people will feel comfortable to participate whether as researchers or as participants. Consult with child advocates and partner organizations to identify appropriate community spaces that children and youth, and their guardians, are already familiar with.
In addition, schedule data collection activities in a way that accounts for other constraints on adolescents’ time, such as school, household responsibilities, elder care, work, and child care (as some may be parents themselves).
Data collection tools
» Data collection tools should be adapted to the local context and to children’s developmental levels. When possible, data collection tools should be pre-tested to ensure the language is understood, and the questions and length are appropriate for adolescents.
» Consider what tools would be appropriate for adolescents and make them feel comfortable to participate. Typical modes of data collection, such as surveying, may not be suitable, especially when discussing sensitive topics. Despite the potential benefits of having privacy and anonymity with surveys, there are no opportunities to build rapport or notice children’s non-verbal cues. At a minimum, phone surveying allows for some interaction, with a skilled interviewer being able to create a safe space and pick up on signs of distress.
» Use flexible tools that meet adolescents where they are, such as individual interviews, storytelling methodologies, Photo Voice, Cellphilms, body and participatory mapping, ranking exercises, score cards, and transect walks6
» Adolescents may have a shorter attention span than adults, making it difficult to stay engaged for a long survey or group activity. Surveys should be piloted and kept as succinct as possible, and group activities should be kept to one hour.
» Adolescents may be more adept with technology than adults, making it possible to conduct selfadministered surveys that are considered safe to use for adolescents.
» Adolescents may feel shy to discuss some issues, such as SRH or GBV, in front of a large group of peers. Smaller group activities or discussions (4–5 participants) that are gender-specific are recommended.
Incentives
In all contexts when asking adolescents (or any participants for that matter) to participate, reimbursement of any costs incurred (transport, mobile credit, food or accommodation costs, etc.) should be mandatory. In addition, compensation for their time and effort should be considered, as long as donor compliance guidelines are met. However, such compensation should not be used as an incentive to influence or coerce adolescent participation, or to influence the nature of their responses.
In order to ensure that children are not vulnerable to exploitation for financial aid, consider non-monetary compensations that are most beneficial in the local context. If participation could result in lost wages for children and their families, financial compensation should be provided.
7. RISK ASSESSMENT & MITIGATION
Identify the most pertinent risks and ethical issues for adolescent participation in your research, monitoring, or evaluation activities, with ample consideration of the social, political, and cultural context and the individual situation of targeted adolescents. Involve adolescents and community stakeholders (e.g. family members, adolescent-focused institutions and advocates, local leaders, school representatives, government representatives) in the risk assessment and mitigation strategies. Ethics review committees can also provide important insights on possible risks. A participatory risk assessment can provide clarity on the specific roles and responsibilities it is safe for adolescents to play, accounting for their different levels of maturity and capacities. Determine a threshold of risk that indicates when it is and is not safe to engage adolescents.
Adolescent participation is only a viable option if the study is considered necessary and justified and the direct benefits for adolescents outweigh the risks. If adolescent participation in the study is likely to jeopardize adolescents’ personal safety, and/or cause emotional or psychological harm, do not conduct the assessment. Use secondary data as a proxy instead. In some cases, there may be a certain segment of adolescent population that may face higher risks than others; these individual assessments are essential for child protection.
Also assess how adolescent participation may cause harm for their families, peers, and the researchers. Consider for example that danger to children, their guardian or the researcher can occur if a violent partner becomes aware of, and is threatened by, the participants talking to people outside the family.
According to Oxfam’s Youth Safeguarding Policy, young people should not be involved in Oxfam supported activities if:
» They are of compulsory school age and this would harm school attendance or performance
» It is deemed to put them at risk of violence (e.g. gender-based violence, political violence)
» It is deemed to put them at risk of non-physical abuse such as socio-cultural marginalization
» It is beyond their physical or psychological capacity (e.g. heavy lifting)
» It involves a risk to their health from extreme temperature, noise or vibration
» It exposes them to substances harmful to human health (e.g. toxic substances)
» It involves risk of accidents which they are unlikely to recognize (e.g. due to lack of previous experience)
» Any other restriction specific to local legislation
Possible risks and mitigation strategies
Below are some of the common risks identified when engaging adolescents in research, monitoring, and evaluation activities, and suggested mitigation strategies. Consider that these risks can be even greater for younger adolescents and plan accordingly.
i. Distress and vicarious trauma
Both adolescent participants and research team members could experience vicarious trauma during data collection from the sensitive subject matter and relive harmful experiences. Questions about sexual abuse, for example, can deeply upset adolescent survivors. Note that children’s signs of distress (e.g. being distracted, going quiet) are different than adults.
What to do:
» Develop rapport with adolescents before, during, and after engaging formal data collection. Consider using an in-depth interview format.
» Avoid asking sensitive questions (e.g. experiences of violence and abuse, sexuality)
» Have service providers available who can provide psychosocial counselling and support, and have immediate referrals available. Support must be offered to participants and researchers even if they do not show signs of distress.
» Be thoughtful in the ordering of questions so that more sensitive questions come last; consider geographic differences in what is deemed to be sensitive.
» Design data collection tools in collaboration with local communities.
» Have a distress protocol in place.
ii. Disclosure of violence
Adolescents may disclose cases of abuse (i.e. recent or imminent, or self-harming behavior) that researchers may be required to report according to local laws. This may happen when they feel safe to share openly. Unfortunately, this disclosure could potentially exacerbate rather than reduce harms for children and youth.
What to do:
» During consent and assent process, adolescents must be informed if researchers are required by law to report disclosed cases of abuse.
» Have a disclosure protocol in place. Be prepared for this possibility.
» Have psychosocial counselling, support, and immediate referrals ready to share with participants.
iii. Resistance to adolescent participation
There may be community resistance to adolescent participation, especially girls. This may be due to local social and cultural norms on adolescent and/or gender roles, and unfavourable community perceptions towards development and/or humanitarian projects and perceived negative influence on adolescents.
What to do:
» Prior to involving adolescents, meet with families and community members to provide transparent information on the study, and to deepen understanding of cultural norms surrounding adolescent participation.
» Clearly explain why adolescent participation is to the benefit of the community, and share all steps that will be taken to mitigate risks. Provide pictures (that have consent for sharing) and examples of past studies with adolescents.
» Gain support of local leaders to give credibility to the research or evaluation.
» Be flexible with the research design and approach to accommodate girls’ participation in ways that respect local customs.
iv. Power dynamics, coercion, and exploitation
There may be power dynamics at play within the research team or community that serve to silence, manipulate, or coerce adolescents participating in the research or evaluation. This may lead to biased selection of adolescent participants. Young people may be hesitant to participate fully as a result and/or their perspectives may not be meaningfully valued.
What to do:
» Ensure that all researchers including consultants have signed Oxfam’s Code of Conduct and reviewed Oxfam’s Child and Youth Safeguarding policies that clearly state zero tolerance for the mistreatment of beneficiaries.
» Train all researchers in adolescent participation and garner their support.
» Hold regular check ins and refresher trainings on ways of working with research team. Ensure regular supervision of adolescent participants and researchers and observe interactions with others.
» Look for potential signs of coercion (e.g. disinterest or resistance by adolescent) or manipulation (e.g. misalignment between their words/opinions and body language, or refusal to speak). If signs are evident, take all actions to protect the safety and best interests of the child. In some cases, this may mean keeping them in the study to avoid further harm, while in other cases, their withdrawal may be best.
» Discard any unreliable data that may have been tainted by coercion.
» Consult with child advocates who understand the local context for further guidance.
v. Backlash/retaliation
Even after initially gaining community acceptance towards adolescent participation, any indications of adolescents contradicting normative views during the study may result in backlash that can put adolescents at risk. Recognize the constraints placed upon partner organizations and child advocates who are supporting the activities – they may not even have institutional power within their own organizations to push back. Adolescents’ commitment and interest in the research or evaluation may fluctuate as a result, due to pressure to disengage. This is more likely for adolescent girls who face stricter expectations.
What to do:
» A child’s wellbeing is always the first priority. Support their withdrawal from the study if it is in their best interest.
» During research planning processes, consult with local child advocates and partners on how to deescalate any backlash that may arise.
» During introductory sessions with community stakeholders on the research or evaluation study, collectively discuss how to respond to differing opinions from the status quo.
» Avoid asking any sensitive questions that may cause retaliation against adolescents and researchers.
» To the extent possible, collect data in private, confidential spaces to avoid onlookers and mitigate harms for participating adolescents.
vi. Online safety
Any discussion of risks in today’s world must consider the particular issues of safety and harm that arise in online spaces for adolescents, such as cyberbullying and harassment, technology-facilitated sexual violence and exploitation, identity theft, misinformation and data mining. It’s also important to consider who may be excluded due to limited access to technology and the internet.
What to do:
» Take measures towards maximum privacy protection in the design and/or adoption of digital tools by using platforms, portals, analytical software and other applications that are more secure with elevated privacy features to generate and store data. Use Oxfam approved tools.
» Avoid utilizing common social media platforms.
» Advise against adolescent use of personal accounts that are linked to a personal photo, their actual name, or that clearly identifies them in other ways. Instead, encourage them to create a separate non-identifying account for the purposes of the research activity.
» Any GPS tracking mechanism on mobile or other devices should be turned off, unless it is requested by parents/guardians to monitor their location.
» Any data that is collected should be carefully stored, password protected, or encrypted (if possible), and only accessible to a limited number of people on the research team.
» Provide digital literacy training to adolescents, their families, and peers.
vii. Humanitarian settings
In humanitarian contexts, children and youth face heightened risks of violence, abuse, malnutrition and starvation, illness, and other potential harms that must be taken into consideration when weighing the benefits and risks of adolescent engagement in your research or evaluation activities. It most cases, it is advised to forgo adolescent participation in these studies during crisis situations, and reserve these for protracted crisis or stable situations. There are specific resources on adolescent participation in humanitarian settings provided in the reference section for more guidance.
8. RESOURCES
This guidance note was informed by the following literature. If your research, monitoring, and evaluation activities are specific to sexual and reproductive health and rights, humanitarian settings, or violence against children, you are encouraged to review the thematic resources shared below.
General
Guidance note: Adolescent participation in Monitoring and Evaluation (UNICEF)
The ten step guide to monitoring and evaluating children’s participation (Save the Children)
Sexual and Reproductive Health and Rights
Monitoring and Evaluating Adolescent Sexual and Reproductive Health Interventions in Safe Spaces (Women’s Refugee Commission and UNICEF)
A guide to monitoring and evaluating adolescent reproductive health programs (FHI360)
Guidance on ethical considerations in planning and reviewing research studies on sexual and reproductive health in adolescents (WHO)
Humanitarian
Adolescent Sexual and Reproductive Health (ASRH) Toolkit for Humanitarian Settings: 2020 Edition | InterAgency Working Group on Reproductive Health in Crises (IAWG)
Measuring violence against children in humanitarian settings (Together for Girls)
Violence Against Children
Inspire Handbook – Action for implementing the seven strategies for ending violence against children
Ethical and safe: Research with children about domestic violence (sagepub.com)
Oxfam Canada
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Prepared by Kimia Ghomeshi, with support from Rotbah Nitia, Fabian Pacheco, and Colleen Dockerty
Oxfam Canada, International Programs Department
