In 2022, Porticus joined forces with the University of Utrecht in the Netherlands, to produce guidance around ethical practices for Monitoring, Evaluation, and Learning (MEL) activities.

Led by Porticus’ 360 Philanthropy Team, the goal of this collaboration was to develop a set of ethical guidelines that could inform MEL activities of the organisation and share them with a wider network of partners and peer funders. Porticus believes learning and sharing is essential for driving impact toward and to better understand effective strategies that address complex social issues.

Where did this come from?

The way the philanthropic sector approaches ethical considerations in research and monitoring and evaluation practices varies greatly. A wide range of research has already been conducted but is varied in terms of who conducted the study, the size and scope, and the protocols followed when conducted. This raises questions around research quality, and ethics. Some studies directly engage children or vulnerable adults without any ethical clearance or research protocols in place. Protocols designed to protect research subjects vary widely, depending on the type of study. In addition, there is an increasing awareness of the potentially harmful effects of particular monitoring and evaluation practices. In contrast to the regulated academic research space (research often needs to go through several layers of ethical approval by independent boards), non-academic monitoring and evaluation practices lack any such strict and clear requirements. Sometimes even principles of engagement are absent.

The context above presented an opportunity to make a contribution around ethical standards in MEL practice. Which standards and principles could be meaningfully and realistically applied from the academic world to MEL activities relevant to the philanthropic space?

The collaboration between Porticus and University of Utrecht resulted in an Ethical Guidance document for MEL activities featuring 11 principles that can guide funders, implementing organizations and MEL practitioners. An infographic has also been created to help activate the Ethical Guidance in our daily work, including a short explanation of the 11 principles and guiding questions.

The 11 principles – a snapshot

1. Equitable partnerships require commitment: mutual trust and respect between all partners, recognition and resolution of power imbalances, and shared risks and benefits in an equitable manner.
2. MEL activities must have social and scientific value. Meaning MEL activities contribute to social change and advancing the wellbeing of its intended beneficiaries, are scientifically sound by producing reliable and valid information.
3. The MEL plan it should carefully consider whether the benefit-risk ratio is likely to be favourable. The expected benefits of MEL, primarily through learning and informed decision-making in the implementation of a programme, should outweigh the risks and burdens. Risks should be minimized and balanced in relation to the social value of the work.
4. Be mindful of potential conflicts of interest in MEL projects. Before the start of MEL activities, conflicts of interest must be identified, and mitigated or eliminated. For minor conflicts, a disclosure of interest to participants might suffice, whereas major conflicts might require the removal of a partner from the team.
5. Appropriate protection of vulnerable populations/persons in vulnerable positions should be a key priority. MEL partners must formalize procedures to protect the privacy and maintain confidentiality of research participants and put in place appropriate support services during and after the data collection.
6. MEL activities should recognize that the principle of leaving no one behind is interconnected with poverty, discrimination, and social exclusion within society. Throughout the stages of a programme, MEL activities can fulfil a diagnostic role by identifying vulnerable groups at risk and can also monitor and evaluate how the intervention may affect (sub-) groups differently Leave no on behind calls for a recognition of multiple and intersecting deprivations, or forms of discrimination and inequality.
7. MEL activities must obtain informed consent from participants. MEL partners should design a process suitable to the local context. This may require individual and community consent.
8. Confidentiality must be managed throughout all MEL processes in order to reduce the risk of harm to research participants through the disclosure of sensitive data. MEL partners must plan for the storage of personal data and include a consideration who may have access to personal and anonymized stored data.
9. An independent ethical review means researchers submit their proposals to an expert panel to assess the ethical acceptability of the proposed study and its design. This ethical approval or clearance must be obtained before starting the study. Ideally, a review process is performed by a knowledgeable, local, independent review board or as close to the community involved as possible.
10. All partners responsible for MEL activities should be carefully selected and receive adequate training and ongoing support. Where possible, the programme should seek to select MEL partners and data collectors close to the community studied. MEL partners and data collectors should be aware of their own role in looking after MEL participants’ well-being.
11. Knowledge Translation and Dissemination. MEL partners must ensure MEL activities are embedded in the programme early on, to allow for optimal data capturing and to foster learning throughout the entire project cycle. Which outcomes could be of relevance to a wider public, including the community and policymakers? MEL partners and commissioners must recognize and navigate potential tensions between a safe space for learning, including openness to honest feedback, and the dissemination of knowledge and findings.

Practical application

To activate and start utilizing these guiding principles across the organisation, Porticus organized a practical learning session for staff and MEL partners. During this session, participants brainstormed different ways in which the Ethical Guidance principles can be embedded into practice. Porticus is encouraging a fit-for-purpose and contextualized incorporation of these principles into the various initiatives funded by the organisation, and in close collaboration with partners. 

Lessons Learnt:

• to ensure the Ethical Guidance principles are incorporated, it was proposed to share the principles with the potential MEL partner(s) during the final stages of selection and have an open discussion on how the guidance would be incorporated into the MEL framework.
• in relation to already contracted MEL partner(s) there was common agreement on having a conversation to review in what way the MEL partners have been considering the principles thus far, at what stages of MEL support they could incorporate the principles and what they might do to integrate them more strongly in the future.
• there was general agreement that important principles around Meaningful Participation, Collaboration, and Gender Equity and Social Inclusion (GESI) are missing and that the 11 principles are not enough looking forward and adapted to the current way of working with the MEL partners.

Based on the outcomes and lessons learnt in the learning session, the 360 team works towards a practical translation of the Ethical Guidance for our daily work and hopes to share this later this year. We hope that by sharing the guidelines and principles as well as our journey to activate them can help others to maintain ethically sound MEL practices.

Elisabeth Wilmer is a Learning Specialist on the Porticus 360 Philanthropy team.