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ImpactMojoResearch Ethics 101www.impactmojo.in
ImpactMojo 101 Series · Free Forever
Research
Ethics
101
Consent, Dignity & Doing No Harm — a Foundational Course on Research Ethics for Development Practitioners in South Asia
Research-BackedSouth Asia Focus~90 SlidesFree Access
ImpactMojoResearch Ethics 101www.impactmojo.in
What We Cover
01
Why Research Ethics Matters
Slides 3–10
02
History & Codes
Slides 11–19
03
Core Principles
Slides 20–28
04
Informed Consent
Slides 29–37
05
Vulnerable Populations & Power
Slides 38–46
06
Privacy, Confidentiality & Anonymity
Slides 47–56
07
Do No Harm & Risk–Benefit
Slides 57–65
08
Ethics Review in India
Slides 66–74
09
Field Realities & Dilemmas
Slides 75–83
10
Data Ethics, Ownership & Dissemination
Slides 84–92
11
Putting It to Work
Slides 93–99
ImpactMojoResearch Ethics 101www.impactmojo.in
01
Section One
Why Research Ethics Matters
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Every row in your data is a person
Development research runs on people — their bodies, their households, their grief, their poverty. When you survey, interview, photograph or trial something with them, you take something from them. Research ethics is the discipline of taking responsibly.
Data are not just numbers; they are people reduced to numbers. The reduction is never neutral.
— a principle of feminist data practice
What you takeWhat it costs them
An hour of timeAn hour of earning, cooking or rest
An account of a difficult eventThe distress of retelling it
Identifying detailsExposure risk they cannot control
A photographHow they appear to strangers, indefinitely
Naming the transaction is the starting point. Research is not a neutral observation of people; it is a demand made on them, and the demand has a cost.
Ethics is the discipline of keeping that cost proportionate to the benefit and of making sure the person bearing it agreed to.
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Research ethics, defined
Research ethics
The set of principles and procedures that govern how we treat people, communities and data in research — ensuring respect, minimising harm, and distributing benefits and burdens fairly.
Ethics is not a form you sign at the end. It is a way of thinking that runs from the research question to the final report and beyond — into how findings are used.
Ethics isEthics is not
A set of judgements you make continuouslyA form signed once
Applied in the field, under pressureA committee’s responsibility
Tested by what you do when nobody checksA compliance step
Improved by naming dilemmas openlyA record of having no problems
An approved protocol tells you what was permitted in advance. Almost every real ethical decision is made in a moment the protocol did not anticipate.
The most useful practical habit is to write down the dilemmas you face and how you resolved them. That record is what makes the next decision better.
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Research is rarely between equals
The researcher holds
  • Education, language, institutional backing
  • Control over what is asked and recorded
  • The power to publish — or not
  • Often, the keys to a programme or benefit
The participant often
  • Is poorer, with less formal schooling
  • May fear losing a service by refusing
  • Gives time and trust for little return
  • Cannot check how their words are used
This asymmetry is the reason ethics exists. Where power is unequal, ‘they agreed’ is not enough.
You holdThey often hold
Institutional backingNo route to complain
Control of the questionsNo say in what is asked
The power to publishNo sight of the output
A link to a programmeA reason not to refuse
The last row is the one that quietly invalidates consent: where the researcher is associated with a benefit, refusal carries a perceived cost whether or not it carries a real one.
Say explicitly, at the start, that participation is unconnected to any benefit — and make sure that is true before you say it.
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No research about us, without us
Ethical research treats participants as the authors of their own lives, not as raw material. They consent to take part, shape what is asked, and retain a stake in what is found. Consent of the governed applies to knowledge as much as to politics.
The test: could you explain your study, honestly and in full, to the people in it — and would they still agree?
Participant as author meansNot
They shape what is askedThey answer what was decided
They see what was foundThey read about it later, or never
They can withdrawTheir data is fixed once given
They retain a stakeThe institution owns it entirely
The disability-rights principle — nothing about us without us — travels directly into research, and its operational form is participation in design rather than only in data collection.
Even a light version helps: showing the questionnaire to a few community members before fielding it regularly changes what gets asked and how.
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Good intentions are not a safeguard
  • Convenience: the poor are easy to study and rarely complain
  • Pressure: deadlines and donors push for data, fast
  • Distance: the analyst never meets the row in the spreadsheet
  • Habit: ‘we always did it this way’
Most ethical harm in development research is not malice. It is thoughtlessness, hurry and unexamined power.
Why ethics failsWhat it looks like
ConvenienceThe same basti surveyed again
Deadline pressureConsent read at speed
DistanceThe analyst never met anyone
Habit"The form we always use"
Optimism"They will not mind"
None of these requires bad intent, and that is the point: the failure modes are ordinary professional behaviours under ordinary pressure.
The structural counter is to give someone in the team explicit responsibility for raising the ethical question, so that it is not everyone’s job and therefore nobody’s.
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What is at risk when ethics fails
People
Real harm — distress, stigma, breach of trust, even physical or legal danger
Truth
Coerced or careless data is bad data — ethics and rigour rise together
Trust
One extractive study can close a community to researchers for years
Ethics is not the enemy of good research. Unethical research is almost always weak research too.
Failure damagesConcretely
PeopleDistress, stigma, danger
TruthCoerced answers are unreliable answers
TrustThe next study is refused
Your organisationAccess lost, reputation with it
The second row deserves emphasis because it is the argument that reaches sceptics: ethics and data quality are not in tension, they rise together.
A participant who feels unable to refuse also feels unable to say "I do not know", and that produces a dataset full of confident, invented answers.
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How this course is built
Foundations
  • Why ethics matters; history & codes
  • The three core principles
  • Informed consent in real conditions
Practice
  • Vulnerable groups, privacy, do-no-harm
  • Ethics review in India; field dilemmas
  • Data ethics and a working checklist
Throughout, examples and rules come from India and the wider region — the conditions you will actually work in.
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02
Section Two
History & Codes
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The rules were written in blood
Modern research ethics did not arrive as abstract philosophy. Each major code was a response to a documented abuse — people harmed, deceived or experimented on without consent. To understand the rules, know what they answer.
The codes are not bureaucracy invented to slow you down. They are hard-won lessons from research that wounded people.
CodeWritten after
Nuremberg, 1947Experiments on prisoners without consent
Helsinki, 1964Continuing abuses in medical research
Belmont, 1979Tuskegee
CIOMSConcerns about research in poor countries
The pattern is consistent: each code followed an exposure rather than preceding it, which is why the rules read as specific prohibitions rather than as general philosophy.
It also means the codes lag current practice. Data-driven research raised questions none of these documents anticipated, which is Section 10.
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The Nuremberg Code
After the Second World War, the Nuremberg trials exposed brutal experiments performed on prisoners without consent. The Nuremberg Code (1947) was the response — the first international statement that research on humans requires consent.
  • Voluntary consent is ‘absolutely essential’
  • Participants may withdraw at any time
  • Risks must be justified by the expected benefit
  • Avoidable suffering and injury must be prevented
Its first principle — voluntary, informed consent — remains the foundation of all research ethics today.
Nuremberg establishedWhich had not been
Voluntary consent is essentialRequired at all
The participant may withdrawRecognised
Risk must be justifiedWeighed
Research must have social valueAssessed
The Code was written by judges rather than by researchers, in response to evidence given at trial, which is why its first principle is stated in absolute terms.
Its absolutism also limited it: it had no provision for people who cannot consent, which later codes had to address.
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The Declaration of Helsinki
Adopted by the World Medical Association in 1964 and revised many times since, the Declaration of Helsinki turned broad principles into working guidance for medical research, and introduced the idea of independent ethics review.
  • The participant’s wellbeing takes priority over science and society
  • Independent committees should review research protocols
  • Special protections for those who cannot consent for themselves
  • Findings should be reported honestly and completely
Helsinki addedBeyond Nuremberg
Independent ethics reviewConsent alone
Wellbeing over scientific interestA researcher’s judgement
Provisions for those who cannot consentAn absolute consent rule
Registration and reporting of trialsPrivate results
Helsinki has been revised repeatedly since 1964, and the revisions track the controversies of each period — placebo controls, post-trial access, publication of negative results.
Its most consequential addition for practitioners is the second row: the participant’s interests take precedence over the interests of science.
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Tuskegee: a study that betrayed
In the U.S. Public Health Service’s Tuskegee Syphilis Study (1932–1972), hundreds of poor Black men with syphilis were observed for decades and deliberately left untreated — even after penicillin became a standard cure — and were never told the truth about their condition.
Tuskegee shows every failure at once: no consent, deception, exploitation of the poor and marginalised, and treatment withheld. Its exposure forced the modern system of ethics oversight into being.
What Tuskegee didWhich principle it broke
Enrolled without informed consentRespect for persons
Withheld a known cureBeneficence
Targeted poor Black menJustice
Continued for forty yearsAll three, knowingly
The study ran from 1932 to 1972 and continued for decades after penicillin became standard treatment. It ended because a journalist published it, not because the research community stopped it.
Its consequences persist: documented distrust of medical research in Black American communities is traced directly to it, half a century later.
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What Tuskegee teaches development research
  • Poverty and marginalisation make people easy to exploit — and easy to ignore
  • ‘Just observing’ can still cause profound harm
  • Withholding benefit or information is itself an ethical breach
  • Trust, once broken, damages a whole community’s relationship with research
The men were chosen because they were poor and powerless. That is precisely the population development research works with — so this history is not foreign; it is a warning aimed at us.
Tuskegee lessonDevelopment analogue
The marginalised are easy to studyThe same bastis, surveyed repeatedly
"Just observing" can harmWithholding a known benefit
Withholding information is a breachNot returning findings
Trust, once broken, does not returnCommunities refusing access
The second row is directly relevant to evaluation design: a control group denied a benefit that is already known to work is not an ethical comparison.
Where the intervention is genuinely uncertain, a control group is defensible. Where it is not, the design question is one of ethics rather than method.
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The Belmont Report
Issued in the United States in 1979 in the wake of Tuskegee, the Belmont Report distilled research ethics into three principles that still anchor ethics review worldwide.
Respect
for persons — autonomy & consent
Beneficence
maximise benefit, minimise harm
Justice
fair distribution of risk & benefit
We unpack all three in the next section — they translate directly into how you design and conduct fieldwork.
Belmont principleOperationalised as
Respect for personsInformed consent
BeneficenceRisk-benefit assessment
JusticeFair selection of participants
The Report’s enduring contribution is the third column: it paired each principle with a procedure, which is what made ethics review operable.
The pairing is also its limit. A study can complete all three procedures and still be exploitative, which is why the principles have to be applied and not just processed.
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A century of codifying conscience
YearMilestoneWhat it added
1947Nuremberg CodeVoluntary consent is essential
1964Declaration of HelsinkiEthics review; wellbeing over science
1972Tuskegee exposedCatalyst for modern oversight
1979Belmont ReportThree guiding principles
1982/93CIOMS guidelinesEthics for low-resource & global settings
2017ICMR National GuidelinesIndia’s comprehensive framework
2023DPDP Act (India)Personal data protection in law
YearWhat changed in practice
1947Consent became a requirement
1964Review by others became expected
1972Public exposure forced reform
1979Principles became procedures
2017India codified its own standard
The 1972 entry is not a code but a newspaper story, and it produced more change than any document on this list.
That is the uncomfortable historical lesson: the profession has generally reformed after exposure rather than after reflection.
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From Western codes to Indian guidance
The early codes came from Europe and North America. But ethics in a context of deep poverty, low literacy and stark power gaps needs more than imported rules. The CIOMS guidelines and India’s own ICMR framework adapt these principles to low-resource realities.
We return to India’s system — ICMR 2017, Institutional Ethics Committees and the DPDP Act — in Section Eight.
Imported codes assumeSouth Asian reality
Written consent is meaningfulMany participants cannot read
Individual autonomy decidesHousehold and community decide
Refusal carries no costIt often carries a perceived one
A regulator can be reachedRarely, in practice
ICMR’s guidelines and the CIOMS framework exist precisely because the general codes do not resolve these, and both address low-resource settings directly.
None of this weakens the principles. It changes what implementing them requires, which is more work rather than less.
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03
Section Three
Core Principles
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Belmont's principles, in practice
01
RESPECT FOR PERSONS: treat people as autonomous; protect those who aren't
02
BENEFICENCE: do good, do no harm, weigh risk against benefit
03
JUSTICE: share the burdens and benefits of research fairly
Every ethics committee, consent form and field protocol is an attempt to operationalise these three ideas. Learn them and you can reason through situations no checklist anticipated.
PrincipleThe question it forces
Respect for personsDid they genuinely choose?
BeneficenceHave we minimised harm, and is there benefit?
JusticeWho bears the burden, who gains?
The three are not a hierarchy and they conflict routinely, which the next slides address. Applying them means weighing, not checking off.
Where a study passes the first two and fails the third, it is usually because the participants are convenient rather than because they are the right population.
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Respect for persons & autonomy
Autonomy
The right of a competent person to make an informed, voluntary decision about whether to take part in research — free from coercion or manipulation.
Respect for persons has two parts: honour the choices of those who can decide for themselves, and protect those whose autonomy is diminished — children, people with cognitive impairment, those under duress.
Respect for persons has two halvesWhich means
Honour the choices of the autonomousDo not override a competent refusal
Protect those with reduced autonomyExtra safeguards, not exclusion
The second half is frequently read as permission to decide for people. It is the opposite: it requires more effort to establish genuine agreement, not less.
Reduced autonomy is situational as well as personal. A person is less able to refuse when the request comes with officials present.
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Beneficence & non-maleficence
Beneficence
Actively do good — design research so its benefits (knowledge, better programmes) are real and reach those who bear the risk.
Non-maleficence
‘First, do no harm.’ Anticipate and prevent injury — physical, psychological, social, legal, economic.
These pull in tension: more ambitious research can do more good but risks more harm. Ethics is the deliberate weighing of the two.
AskNot just
What harms could this cause?Is it physical?
Who benefits, and when?Is knowledge produced?
Do the benefits reach the risk-bearers?Does someone benefit?
What would make it safer?Is it within the rules?
Beneficence is an active duty, not an absence of harm. A study that harms nobody and benefits nobody has not satisfied it.
The third row is where most development research is weakest: the knowledge produced usually benefits people other than those surveyed.
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Justice & fair distribution
Distributive justice
The burdens of research (risk, time, intrusion) and its benefits (knowledge, interventions) should be shared fairly — not loaded onto the poor while the gains flow to others.
Injustice in research: study the slum, publish in a foreign journal, change nothing in the slum. Justice asks — who carries the cost, and who collects the benefit?
Injustice appears asExample
Convenient populationsThe same slum, repeatedly
Benefits flowing elsewhereA paper, a career, a funding round
Burden without feedbackNo results returned
Exclusion from the useful researchWomen omitted from trials
Fair selection means choosing participants for reasons related to the research question rather than for accessibility, and it is the principle most often violated silently.
The last row is the mirror image: excluding a group from research that would benefit them is also an injustice, which is why the answer to vulnerability is safeguards.
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Who is studied, and who gains?
Justice is not abstract here. The same marginalised communities — Dalit, Adivasi, slum, migrant — are surveyed again and again, often with no feedback and no change. Meanwhile the convenient and powerful are rarely subjects at all.
  • Select participants for sound reasons, not just because they are reachable
  • Ensure the group studied can plausibly benefit from the findings
  • Avoid concentrating research burden on the already over-studied
Over-researchedUnder-researched
Urban slums near institutionsRemote and inaccessible areas
NGO programme areasPlaces with no programme
The poorThe powerful and the intermediaries
BeneficiariesThose excluded from the scheme
The right-hand column is where much of the interesting evidence sits, and it is systematically under-collected because it is harder and less fundable.
Before adding another survey of a well-studied population, check whether the question has already been answered. Reuse is an ethical choice as much as an efficient one.
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When principles collide
Real fieldwork pits the principles against each other. Respecting one person’s autonomy may expose another; beneficence may require limiting choice; protecting confidentiality may clash with a duty to report harm.
There is rarely a perfect answer. Ethics is reasoned, transparent judgement — documenting why you weighed the principles the way you did, ideally with an ethics committee’s input.
ConflictWhich principles collide
A survivor discloses ongoing abuseConfidentiality vs. preventing harm
Interviewing a woman privately is impossibleAutonomy vs. safety
A gatekeeper wants to select participantsAccess vs. voluntariness
Publishing a finding may stigmatise a groupTruth vs. non-maleficence
These are not exotic cases; they are ordinary fieldwork. The professional skill is recognising the conflict rather than resolving it by default.
Default resolution favours whichever principle the deadline serves. Naming the conflict aloud, in the team, is what prevents that.
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Newer principles for community research
  • Respect for communities: groups, not just individuals, can be harmed or stigmatised
  • Reciprocity: give something back — findings, services, capacity
  • Transparency: be honest about funders, purpose and limits
  • Cultural humility: local norms shape what consent and respect mean
Development research increasingly adds these to the classic three — because its subjects are communities, not just patients in a clinic.
Beyond BelmontBecause Belmont assumed
Respect for communitiesThe individual is the unit of harm
ReciprocityKnowledge is benefit enough
Transparency about fundingResearch is disinterested
Cultural humilityThe researcher’s categories fit
The additions come largely from indigenous and community-based research traditions, which found the individual-consent model inadequate to group harm.
Group harm is central in South Asia: a finding attached to a caste, a village or a religion damages people who were never surveyed.
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Five questions the principles ask
  • Does each person genuinely choose to take part? (autonomy)
  • Have I minimised every avoidable harm? (non-maleficence)
  • Is there real benefit, and to whom? (beneficence)
  • Are burden and benefit fairly shared? (justice)
  • Could I defend my choices openly to the participants? (transparency)
QuestionFailing answer
Does each person genuinely choose?"They all agreed"
Have I minimised avoidable harm?"There is no physical risk"
Is there real benefit, to whom?"It advances knowledge"
Are burden and benefit shared?"They are the target group"
Could this harm a group?Not considered
Ask all five before fieldwork and again before publication. Publication is a separate ethical act, and several of these change their answer at that stage.
If you take one into habit, take the last. Individual consent does not cover harm to a community, and nothing else in the standard process checks it.
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04
Section Four
Informed Consent
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What informed consent really means
Informed consent
A person’s voluntary agreement to take part in research, given after they genuinely understand what it involves, what it is for, and what it may cost them — and knowing they can refuse or stop.
A thumbprint on a form nobody explained is not consent. A signature obtained under pressure is not consent. Consent is a process, not a piece of paper.
Consent requiresIt is not established by
UnderstandingA signature
VoluntarinessAttendance
DisclosureA form having been read out
The right to stopSilence
A signed form documents a process; it does not constitute one. Where the process was inadequate, the form records the inadequacy in ink.
Test comprehension rather than assuming it: ask the participant to say back what the study is about and what happens to their answers.
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Voluntary, informed, comprehended
Voluntary
Free choice — no coercion, no undue inducement, no fear of losing a service
Informed
Full, honest disclosure of purpose, risks, benefits and rights
Comprehended
Genuinely understood — not just heard or signed
All three must hold. Disclosure without comprehension, or agreement without freedom, is consent in name only.
ElementHow it fails in the field
VoluntaryOfficials present; a benefit implied
InformedRead at speed, in the wrong language
ComprehendedHeard, not understood; never checked
The third element is the one almost never verified, and it is the one that determines whether the other two mean anything.
A two-question comprehension check adds a minute per interview and is the single most effective improvement available to most consent processes.
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What participants must be told
  • Who you are, who funds the research, and why it is being done
  • What participation involves — time, questions, procedures
  • Foreseeable risks, discomforts and any benefits
  • How data will be stored, used, shared and for how long
  • That they may refuse or withdraw at any point, with no penalty
  • Whom to contact with questions or complaints
Disclose in plain, local language — not legal English. If your participant could not paraphrase it back, you have not informed them.
DiscloseCommonly omitted
Who funds it, and whyAlmost always
What participation involvesThe real time it takes
Foreseeable risksSocial and legal ones
How data is stored and sharedOnward sharing
The right to refuse or stopStated once, quickly
Funder disclosure is the omission with the clearest consequence: a participant may well answer differently if they know who commissioned the questions.
Onward data sharing is the second. Consent given for one study does not extend to a repository, and treating it as though it does is common.
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Consent where reading is not assumed
Large numbers of participants in South Asian development research cannot read a printed consent form. A written form they cannot read is a ritual, not consent — and a thumbprint on it can mask total incomprehension.
  • Explain verbally in the local language; let them ask questions
  • Use audio or witnessed oral consent where appropriate and approved
  • Check understanding by asking them to explain it back
  • Have an impartial literate witness when forms are thumb-printed
Where reading is not assumedDo
Read the form aloud, in their languageSlowly, with pauses
Check comprehensionAsk them to say it back
Use an impartial witnessNot a gatekeeper or a relative
Record oral consentAudio, or witnessed note
Leave an information sheetEven if unreadable, it can be shown to others
A thumbprint on a form the person cannot read documents a ritual. The ethical content lies entirely in what was said and understood before it.
Impartial means impartial. A witness who is the sarpanch or the husband is not independent of the pressure being checked for.
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When 'yes' isn't really free
Voluntariness is fragile where power is unequal. A villager may agree because the researcher arrived with officials, because they fear losing a ration or a programme, or simply because refusing a visitor feels rude or risky.
Separate research from service delivery in the participant’s mind. State clearly — and mean it — that refusing will not affect any benefit, scheme or relationship they have.
Pressure sourceCounter
Officials accompanying youInterview without them
Fear of losing a benefitState the separation, clearly
Refusing a visitor feels rudeOffer refusal actively, twice
A gatekeeper has instructed themConfirm privately
Actively offering refusal — "many people say no, and that is completely fine" — measurably raises refusal rates, which is evidence it was suppressed.
A study with a refusal rate near zero in a poor community should be treated as a warning about the process rather than a sign of good rapport.
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Children: assent and parental permission
Assent
A child’s own affirmative agreement to take part, alongside a parent or guardian’s consent. A child who cannot legally consent can still meaningfully decline.
For minors, you generally need both a parent’s or guardian’s informed consent and the child’s own assent, in language suited to their age. A child’s refusal should be respected even if a parent agrees.
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Consent when capacity is limited
SituationWho consentsExtra safeguard
Minor (child)Guardian + child’s assentAge-appropriate explanation
Cognitive impairmentLegally authorised representativeAssent where possible
Acute distress / crisisDefer or seek surrogateRe-consent when stable
Group / community studyIndividuals + community gatekeepersAvoid coercive leaders
Illiterate participantThe person (orally)Impartial literate witness
Diminished capacity never means no consent — it means more protection, not less.
SituationWho consentsSafeguard
MinorGuardian, plus child’s assentAge-appropriate explanation
Cognitive impairmentLegal representativeAssent where possible
Acute distressDeferReturn later, or not at all
Detained or institutionalisedThe person, independentlyNo staff present
The third row is a real decision rather than a formality: consent taken from someone in acute crisis is not voluntary, and the data will also be poor.
A child’s refusal should be respected even where a guardian has consented. Assent is not a courtesy; it is a veto.
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Consent is a process, not a moment
  • Consent can be withdrawn at any time, for any reason
  • For long studies, re-consent as the research evolves
  • New uses of old data may need fresh consent
  • Silence or non-response is not agreement
Treat consent as a living relationship: keep checking that the person still understands and still agrees as the work goes on.
Consent as a process meansIn practice
It can be withdrawn any timeSay so more than once
Long studies need re-consentAt each major change
New uses need new consentRepositories, secondary analysis
Silence is not agreementAsk explicitly
Withdrawal should be operationally possible, not just permitted. If you cannot find and delete one person’s data, the right is nominal.
Build the deletion route when you build the database. Retrofitting it after collection is difficult and is usually the reason withdrawal is refused.
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05
Section Five
Vulnerable Populations & Power Asymmetry
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Vulnerability is about power, not weakness
Vulnerable population
A group whose capacity to give free, informed consent or to protect its own interests is constrained — by poverty, age, dependence, stigma or lack of power — and which therefore needs additional protection.
Vulnerability is not a flaw in people. It is a feature of their situation — and often of the very inequality development research seeks to study.
Vulnerability comes fromNot from
Dependence on the researcher or a benefitBeing uneducated
Restricted ability to refuseBeing poor as such
Stigma attached to the topicBeing a member of a group
Legal or physical exposureAny inherent weakness
Framing vulnerability as a property of people leads to blanket exclusions. Framing it as a property of the situation leads to safeguards, which is what is actually needed.
The same person can be vulnerable in one study and not in another. It depends on what is asked, by whom, and what refusal would cost.
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Many overlapping forms of vulnerability
GroupSource of vulnerabilityHeightened risk
People in povertyEconomic dependenceUndue inducement; can't refuse
ChildrenLimited autonomyCannot fully consent; easily led
Women (in some settings)Gendered powerCoerced consent; safety after
Dalit / AdivasiCaste & social exclusionStigma; extractive study
Persons with disabilityAccess & capacity barriersExclusion or paternalism
Refugees / migrantsPrecarious legal statusFear; deportation; reprisal
Vulnerabilities stack: a poor, Dalit, disabled woman faces several at once. Read the whole person, not one label.
GroupSource of vulnerabilitySafeguard
People in povertyEconomic dependenceModest, explained compensation
ChildrenLimited autonomyGuardian consent plus assent
Women, in some settingsHousehold authorityPrivate interview; women interviewers
Stigmatised groupsDisclosure riskMinimal identifiers
Detained or dependentCannot freely refuseIndependent consent, no staff present
The categories overlap constantly, and a person at several intersections needs the safeguards for all of them rather than the strongest single one.
Vulnerability is also created by your own study design. A question about legal status makes an otherwise ordinary interview high-risk.
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Poverty turns inducement into pressure
For someone living on the edge, a payment, a meal, or even the hope of future help can override free choice. The poorer the participant, the smaller the sum needed to compromise consent — and the harder it is to walk away.
Never let the promise — explicit or implied — of a benefit, scheme or job hang on participation. Decouple research from relief.
Inducement sizeEffect
Below the value of the timeUnder-compensation
Roughly the value of the timeFair, and usually right
Well above local daily earningsConsent is compromised
The ethical target is compensation for time and cost, not payment for participation. The distinction is the difference between respect and inducement.
Set the amount against local wage rates and say what it is for. An unexplained sum is read as payment, which is exactly what creates the pressure.
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Gender, consent and safety
  • A woman’s ‘yes’ may be a household’s decision, not hers
  • Interviews on sensitive topics can put her at risk after you leave
  • Privacy is often impossible at home — others listen in
  • Women interviewers and safe spaces materially change what can be said
On violence, reproduction or autonomy, ask: could this conversation, if overheard or discovered, endanger her? Design so the answer is no.
Risk to a woman participantMitigation
A household decides her answerInterview privately
Others listen in at homeNeutral location, or a walk
Repercussions after you leaveDo not disclose what she said
Male interviewer on sensitive topicsWomen interviewers, trained
Privacy at home is frequently impossible, and pretending otherwise produces both unsafe conditions and unusable data on sensitive topics.
Never repeat a woman’s answers to her family, including approvingly. A researcher praising a candid response has exposed it.
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Caste, stigma and group harm
Research on caste, manual scavenging, untouchability or atrocity touches deep stigma. A finding that brands a community — not just an individual — can entrench prejudice and cause collective harm.
Protect groups, not only individuals. Ask how your framing and findings might be used against the community — and write to avoid feeding stigma.
Group-level harmHow it happens
A finding brands a communityReported by caste or village
Stigma is entrenchedA statistic quoted without context
A place becomes shorthandNamed in a headline
People never surveyed are affectedThey share the label
Individual consent does not license group harm, because the people harmed did not consent and were never asked.
Where a finding attaches to an identifiable group, consider whether the group needs to be named at all. Often the analytical point survives without it.
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When status itself is the risk
For refugees, undocumented migrants and the displaced, the very act of being recorded can be dangerous. Data on identity, location or movement could expose them to detention, eviction or violence.
  • Collect the minimum identifying data — or none
  • Never record status in a way that could be subpoenaed or leaked
  • Understand that fear may make refusal feel impossible
Data pointRisk if it leaks
Immigration statusDetention or deportation
Location of a settlementEviction
Names and photographsTargeted violence
Movement patternsInterception
For these populations the safest data is the data you did not collect. Every identifier gathered is a risk held for as long as the file exists.
Ask of each field: what would happen if this file reached the wrong authority? If the answer is serious, the field needs a reason beyond usefulness.
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The burden of being studied too much
Research burden is concentrated on the most marginalised (illustrative)
Illustrative, not real data
‘Survey fatigue’ is real and unequal. The same camps and bastis are visited endlessly, often with nothing in return. Justice means spreading — and lightening — the load.
Over-researching costsWhich shows as
Participant time, repeatedlyDeclining cooperation
Raised and disappointed expectationsOpen cynicism
Communities surveyed often learn which answers produce which responses — a real data problem.
Before fielding, ask who else has surveyed here recently and whether their data could answer your question. It is a courtesy and frequently a shortcut.
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Extra protection, not exclusion
The answer to vulnerability is not to exclude these groups — that would erase exactly the people development research exists to serve. The answer is stronger safeguards.
  • Stronger consent processes and impartial witnesses
  • Ethics-committee review attentive to the specific vulnerability
  • Match interviewer to participant (gender, language, community) where it helps
  • Clear referral pathways if research surfaces distress or danger
SafeguardRather than
Stronger consent processExcluding the group
Impartial witnessA gatekeeper’s word
Community consultationIndividual consent alone
Referral routes readyAsking and leaving
Data minimisationCollecting all you might need
Exclusion is not protection. Leaving vulnerable groups out of research means designing programmes for them on evidence that does not include them.
Referral is the safeguard most often missing. Asking about violence, illness or debt creates an obligation to know where to send someone.
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06
Section Six
Privacy, Confidentiality & Anonymity
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Privacy, confidentiality, anonymity
Privacy
The person’s right to control access to themselves and their information
Confidentiality
Your duty to protect the data they entrusted to you
Anonymity
Data that cannot be traced back to the individual at all
These are often confused. You may promise confidentiality (you will guard it) without anonymity (you still know who said it). Promise only what you can deliver.
ConceptBelongs toFails when
PrivacyThe participantYou question them in public
ConfidentialityYouYou share or gossip
AnonymityThe dataQuasi-identifiers combine
The three are routinely used interchangeably and are distinct duties. You can maintain confidentiality perfectly and still have violated privacy during the interview.
Anonymity is a property that has to be demonstrated rather than asserted. Deleting names is the beginning of the work, not the end.
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Respecting the right to be left out
Privacy is about boundaries: people decide what of themselves to reveal, to whom, and in what setting. Barging into a home, questioning in front of neighbours, or probing beyond what was agreed all violate it.
Interview where the participant can speak freely and unheard. In crowded homes that may mean a courtyard, a separate room, or returning at a quieter time.
Privacy violationLooks like
Entering without invitationArriving with officials
Questioning in front of othersA crowd at the doorstep
Probing beyond what was agreed"While I am here..."
Observing without saying soNotes taken unannounced
Privacy is violated during the interview and confidentiality afterwards. A study can protect the data perfectly and still have intruded badly in the room.
Ask where the person would prefer to talk rather than choosing for them. It is one question and it transfers a decision that is theirs.
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Keeping the promise you made
  • Share identifiable data only with those who genuinely need it
  • Never gossip about a participant’s answers, even informally
  • Store names separately from responses, linked only by a code
  • State the limits of confidentiality up front (see Section Nine)
A breach is not only a data leak. Repeating a woman’s words to her husband, or a worker’s to a boss, can ruin a life. Confidentiality is protection, not paperwork.
PracticeWhy
Names stored separately from responsesA leak of one is not a leak of both
Linked only by a codeThe key can be locked separately
Need-to-know access onlyFewer holders, less risk
No informal discussion of answersVillages are small
State the limits up frontDo not promise what you cannot hold
The fourth row is where confidentiality most often breaks in practice: a remark between enumerators, overheard, in a place where everyone knows everyone.
Brief field teams explicitly on this. It is not obvious to someone who has not been told, and it is not covered by a signed protocol.
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Removing names is not enough
Anonymity is harder than deleting a name. A combination of quasi-identifiers — village, age, caste, occupation, number of children — can pick out one person, especially in a small area where few share those traits.
Direct IDs
Name, Aadhaar, phone, photo — remove
Quasi-IDs
Age + place + caste can re-identify — aggregate or coarsen
Quasi-identifierCombined with
VillageAge
CasteOccupation
Number of childrenHousehold composition
DisabilityAnything else
Three or four of these together will identify one household in a small area, and the last row often identifies someone on its own.
Before releasing anything, check the smallest cells. If a combination of variables matches one or two records, that combination has to be coarsened or removed.
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How a 'de-identified' file gives someone away
01
REMOVE names & IDs — feels anonymous
02
KEEP village + age + caste + job
03
SMALL AREA: only one person matches that combination
04
RE-IDENTIFIED — anonymity broken without a single name
The risk rises as the area shrinks and the detail grows. Coarsen (age bands not exact ages, district not village), suppress rare combinations, and check before you share.
StepWhat is still exposed
Remove names and IDsEverything else
Keep village, age, caste, jobA unique combination
Small geographic unitOne matching person
PublishThey are identifiable
This sequence has occurred repeatedly in released datasets, including well-resourced ones, because each step individually looks reasonable.
The standard remedies are aggregation of geography, banding of age, and suppression of rare categories. Applying all three costs some analytical detail and prevents the failure.
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Smaller the area, higher the re-identification risk
Re-identification risk rises sharply as the geographic unit shrinks (illustrative)
Illustrative, not real data
The same quasi-identifiers that are harmless nationally can pin down one family in a village. Match the detail you publish to the size of the area — coarsen aggressively for small places.
Geographic unitRe-identification risk
NationalLow
Village or wardHigh
Variables harmless in a national file identify a household in a village file.
Publish at the smallest unit your analysis needs and no smaller.
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Guard the data you hold
  • Encrypt devices and files holding personal data
  • Use strong, unique passwords and access controls
  • Keep the name–code key separate and locked
  • Delete or fully anonymise raw identifiers once they’re no longer needed
  • Beware paper forms, unencrypted phones and shared laptops in the field
Most breaches are mundane: a lost phone, an open spreadsheet, a forwarded email. Security is a daily habit, not a one-off setting.
Security stepFrequently skipped
Encrypt devices and filesOn personal phones
Unique passwords, access controlShared logins
Keep the name-code key separateStored in the same folder
Delete identifiers when doneKept indefinitely
Secure paper formsLeft in a field office
Paper is the most-forgotten risk. Completed consent forms and questionnaires in an unlocked field office are the commonest real-world breach.
Set a deletion date for identifiers at the start and write it into the protocol. Data kept "in case" is data whose risk has no end date.
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Some data demands extra care
Information on health (HIV, mental illness), caste, religion, sexuality, immigration status, criminal involvement or experiences of violence carries higher stakes — disclosure can bring stigma, eviction, violence or prosecution.
For sensitive categories, raise every safeguard: minimise collection, tighten storage, restrict access, and ask whether you truly need the detail at all.
Sensitive categoryConsequence of disclosure
HIV statusStigma, exclusion, violence
Mental illnessStigma; loss of standing
CasteDiscrimination
SexualityViolence; legal exposure in some settings
Experience of violenceRetaliation
For each of these the harm from disclosure is severe and irreversible, which raises the bar for collecting them at all.
If you do not have a clear analytical need for a sensitive variable, do not collect it. Curiosity is not a justification for holding this risk.
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Don't over-promise protection
It is tempting to reassure participants with blanket promises of secrecy. But you may not control every risk — a court order, a funder, a small sample that gives people away. Promising the impossible is its own breach of trust.
Tell the truth about what you can and cannot guarantee. Honest, limited promises protect people better than reassuring, false ones.
Do not promiseSay instead
"This is completely confidential""We will protect this, and here are the limits"
"Nobody will ever know""Your name will not appear"
"It is fully anonymous""We remove names and check for identifiability"
"Nothing bad can happen""Here is the risk as we see it"
Over-promising is a breach of trust in advance, because the promise is one you may not be able to keep — a court order, a small sample, a colleague’s error.
Stating the limits honestly also improves data. Participants calibrate what they disclose to what they believe about protection, and accurate beliefs serve everyone.
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07
Section Seven
Do No Harm & Risk–Benefit Assessment
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Harm in research is not only physical
Development research rarely involves needles or drugs — so it is easy to assume it is harmless. It is not. Asking questions, recording answers and publishing findings can injure people in ways that never show on a body.
‘It’s only a survey’ is a dangerous thought. Map every kind of harm before you enter the field, not after a participant is hurt.
Assumed harmless becauseBut
No needles or drugsQuestions can retraumatise
"Only a survey"Time is a real cost
"We just observed"Tuskegee was observation
"Nothing was published locally"Data travels
Social-science fieldwork is treated as low-risk by default, which is why its risks are under-assessed rather than because they are small.
The harms are mostly invisible to the researcher: they occur after you leave, to people you will not meet again.
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Five kinds of harm to anticipate
TypeExample in development research
PhysicalFieldwork that exposes a participant to danger or reprisal
PsychologicalRe-traumatising a survivor by probing painful memories
SocialStigma, gossip or exclusion if answers become known
LegalRecording undocumented status or illegal work that can be used against them
EconomicLost wages for time given; a job lost if an employer learns what was said
Walk through all five for every study. The harms that hurt most in development settings are usually social, psychological and economic — the invisible ones.
Harm typeExampleOccurs
PhysicalReprisal after speakingAfter you leave
PsychologicalRetraumatising a survivorDuring
SocialGossip; exclusionAfter
EconomicLost work; a lost benefitImmediately
LegalStatus exposedLater, possibly
Only the second column is visible during fieldwork, which is why harm assessment cannot rely on what the team observed.
A follow-up conversation weeks later, on a small sample, is the only practical way to find out whether harm occurred. Almost nobody does it.
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In development research, the unseen harms dominate
Relative share of harm types in social-science fieldwork (illustrative)
Illustrative, not real data
The harms that hurt most in development settings are usually the invisible ones — social, psychological, economic — not the physical risks a clinical model worries about.
Harm typeVisible to you?
PhysicalRarely — occurs later
PsychologicalSometimes, during
The dominant harms are ones the researcher cannot observe, so "we saw no problems" is not evidence.
A short follow-up question weeks later is the only route to knowing.
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Weighing likelihood against severity
Risk = Likelihood × SeveritySeverity →Likelihood →ReviewMitigateAvoidProceedReviewMitigateProceedProceedReview
High-severity, high-likelihood research should not proceed as designed — redesign it. Low-low can proceed. The middle demands mitigation and ethics review.
Likelihood x severityAction
High x HighRedesign; do not proceed as planned
Low x HighMitigate; have a response ready
The low-likelihood, high-severity cell is handled worst: rare catastrophic outcomes get discounted.
For that cell the requirement is a prepared response rather than a lower estimate: know what you will do if it occurs, before it does.
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The minimal-risk benchmark
Minimal risk
Risk no greater than that ordinarily encountered in daily life or in routine interviews and examinations. Most social-science fieldwork aims to sit at or below this threshold.
But ‘daily life’ differs by person. For an undocumented migrant or an abuse survivor, an ordinary-seeming question can carry far-from-minimal risk. Judge risk through the participant’s eyes.
"Daily life" risk differs bySo minimal risk is
WealthNot a fixed threshold
GenderHigher for some to speak
Legal statusNot minimal at all
TopicRelative to the question
The minimal-risk benchmark was written for populations whose daily life does not include eviction, reprisal or destitution, and it travels badly.
Apply it against the participant’s life rather than yours. A question that is trivial for you can be dangerous for a person with irregular status.
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The risk–benefit balance
01
IDENTIFY every plausible harm and benefit
02
ESTIMATE likelihood and severity of each
03
MINIMISE harms through design changes
04
JUDGE: do the benefits justify the residual risk?
05
If not — redesign or do not proceed
Crucially, ask who bears the risk and who gains the benefit. Risk to the poor for benefit to others fails the justice test even if the totals look favourable.
StepWhat people skip
Identify harmsThe non-physical ones
Estimate likelihood and severityDoing it explicitly
Minimise by designDropping a question
Judge the residualConcluding no
Redesign or stopThe stop option
The final step has to be genuinely available or the assessment is decorative. A risk-benefit analysis whose only possible outcome is proceed is not one.
Dropping a single high-risk, low-value question is the commonest and cheapest mitigation, and it is resisted because someone wanted the variable.
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Harm to those who ask, too
Researchers and field staff who hear accounts of violence, abuse and death can suffer vicarious or secondary trauma. Ignoring their wellbeing is both an ethical failure and a threat to data quality.
  • Brief and debrief field teams on emotionally heavy topics
  • Build in breaks, rotation and access to support
  • Treat enumerators’ distress as real, not weakness
Field team exposureResponse
Hearing accounts of violence dailyDebriefing, routinely
No outlet or supervisionA named person to talk to
Pressure to complete quotasRealistic targets
No option to stopRotation off difficult modules
Secondary trauma is an ethical obligation to your own staff and a data-quality issue at once: distressed enumerators collect worse data and make worse judgements.
Build debriefing into the fieldwork schedule as a paid activity. Where it is optional and unpaid it does not happen.
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Designing harm out of the study
  • Drop questions whose risk outweighs their value
  • Offer referral to services when sensitive issues surface
  • Let participants skip questions or pause at any time
  • Interview in private, safe settings; protect data tightly
  • Plan for the unexpected — disclosure of harm, acute distress
Good design is the cheapest, most powerful ethical safeguard. Most harms are prevented at the protocol stage, not patched in the field.
MitigationCost
Drop a high-risk questionA variable
Offer referralA list, and follow-up
Let people skip or pauseSome missing data
Private, safe settingsTime and logistics
Tighten data handlingProcess discipline
Every mitigation costs something, and stating the cost honestly is what makes the trade-off a decision rather than a preference.
Allowing skips produces missing data that is informative rather than a defect: the pattern of refusals tells you which questions were unsafe.
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08
Section Eight
Ethics Review in India
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Why someone else must review your study
Researchers are poorly placed to judge their own ethics — they are invested in their study going ahead. Independent ethics review exists so that a body with no stake in the result checks that participants are protected before any data is collected.
Review is not a hurdle to clear and forget. It is a second pair of eyes that often catches risks the proposer cannot see.
Self-review fails becauseWhich is why
You are invested in proceedingThe reviewer must be independent
You cannot see your own blind spotsComposition matters
Deadline pressure is on youReview sits outside the timeline
You wrote the consent formSomeone else must read it
Independence is the whole mechanism. A committee drawn entirely from the institution running the study reproduces the institution’s incentives.
Committees also need lay and community members for the same reason: a room of researchers shares assumptions that need to be challenged from outside.
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Ethics review has expanded across India
Growth in formal ethics review of research over time (illustrative trend)
Illustrative, indicative of direction not exact figures
The direction is real even if these figures are illustrative: ICMR’s 2017 guidelines and clinical-trial reforms have made independent ethics review the expected norm, not the exception.
Ethics review has expandedWhat still varies
More institutions have committeesWhether they meet regularly
ICMR 2017 set a national standardHow consistently it is applied
Clinical trials are registeredSocial research often is not reviewed
The direction is real and uneven. Much social and development research in India still proceeds without formal review because nobody requires it.
Where no requirement exists, seeking review anyway is the mark of a serious organisation and is increasingly expected by international funders.
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Institutional Ethics Committees (IEC / IRB)
Institutional Ethics Committee (IEC)
A formally constituted, independent committee — the Indian counterpart of the IRB — that reviews research involving human participants to ensure their rights, safety and wellbeing are protected.
A well-constituted committee includes scientists, a clinician, a legal expert, an ethicist and crucially a lay member who represents the community’s perspective.
IEC requirementPurpose
Independent membersNo stake in the outcome
A lay or community memberA non-researcher perspective
A legal memberRights and law
Gender balanceWhose risks are recognised
Documented proceduresDecisions can be reviewed
India’s IEC is the counterpart of the IRB, and its composition requirements exist precisely so that the review is not a room of colleagues.
Where your organisation has no committee, an external or shared IEC is the usual route. Proceeding without any review is not an alternative.
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ICMR's National Ethical Guidelines, 2017
The Indian Council of Medical Research’s National Ethical Guidelines for Biomedical and Health Research Involving Human Participants (2017) are India’s principal ethics framework — an update of ICMR’s earlier guidance and the reference point for ethics committees.
  • Sets out core principles: autonomy, beneficence, justice and more
  • Defines how ethics committees are constituted and function
  • Details consent requirements and protection of vulnerable groups
  • Covers community-based, social and behavioural research, not only clinical
ICMR 2017 coversApplies to
Biomedical and health researchClinical and community studies
Social and behavioural research in healthMuch development research
Consent, privacy, vulnerable groupsAll of it
Committee composition and functionInstitutions
The 2017 guidelines update ICMR’s 2006 version and are India’s principal reference. They are freely available and worth reading rather than summarising.
Their scope is broader than clinical work. Much social research in health, nutrition and wellbeing falls within them, which practitioners frequently do not realise.
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What the ICMR guidelines emphasise
  • Essentiality & voluntariness: the research must be needed and freely joined
  • Non-exploitation: fair compensation; no undue inducement
  • Privacy & confidentiality: protect identity and data
  • Accountability & transparency: answerable conduct throughout
Even if your study is not biomedical, the ICMR principles are the practical benchmark Indian reviewers and funders will expect you to meet.
ICMR principleWhat it asks of you
EssentialityIs this research necessary at all?
VoluntarinessIs agreement genuinely free?
Non-exploitationFair compensation, no undue inducement
Privacy and confidentialityProtect identity and data
Accountability and transparencyBe answerable for conduct
Essentiality is the first principle and the one least often applied. A study that duplicates existing evidence imposes cost on participants for nothing.
Check whether the question is already answered before designing the instrument. That check is an ethical step, not a literature-review formality.
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DCGI and clinical trials
Clinical trials of drugs and devices carry an extra layer of regulation. In India the Drugs Controller General of India (DCGI), under the CDSCO, regulates clinical trials, and committees overseeing them must be registered with the national authority.
Most development research is not a clinical trial — but if your work touches drugs, devices or medical interventions, this regulatory regime applies and is non-negotiable.
Clinical trials carryBeyond ordinary review
DCGI regulation, under CDSCOA statutory approval
Registered committee oversightNot just any IEC
Compensation rules for injuryDefined in law
Most development research is not a clinical trial, and the boundary matters: a study testing a health product or procedure may cross it without the team realising.
If your study involves a drug, device, or a clinical procedure, check the regulatory position before designing it rather than after.
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What an ethics committee checks
AreaThe committee asks
Value & designIs the research worth doing and methodologically sound?
ConsentIs the process genuinely free, informed and understood?
Risk–benefitAre harms minimised and justified by benefit?
Vulnerable groupsAre extra safeguards in place and appropriate?
Privacy & dataHow will identity and data be protected?
JusticeIs participant selection and benefit-sharing fair?
The committee asksPrepare
Is it worth doing, and sound?The design rationale
Is consent genuinely free?The process, not just the form
Are harms minimised and justified?The risk assessment
Is selection fair?Why these participants
How is data protected?Storage, access, deletion
Methodological soundness is an ethical question in their eyes: a study too weak to answer its question imposes burden for no benefit.
Submit the consent materials in the local language. A committee cannot assess comprehension from an English form that will never be used.
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Working with the committee well
  • Submit before any data collection — never retrospectively
  • Include consent forms in the local language for review
  • Report changes, adverse events and completion as required
  • Treat reviewers’ questions as help, not obstruction
Skipping review to ‘save time’ can void publication, breach funder rules and — far worse — leave participants unprotected. Build review time into the plan from the start.
DoDo not
Submit before collecting anythingSeek retrospective approval
Include local-language materialsSubmit English only
Report changes and adverse eventsAmend quietly
Treat questions as helpTreat review as an obstacle
Retrospective approval is not approval. Data collected before review cannot be made ethical afterwards, and most committees will decline to bless it.
Reporting an adverse event promptly is what a functioning system looks like. Concealment is what turns a mistake into misconduct.
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09
Section Nine
Field Realities & Dilemmas
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The form is signed. Now the hard part.
Textbook ethics meets messy reality the moment you reach the village. Gatekeepers, crowds, raw emotion and impossible trade-offs do not appear in the protocol. This section rehearses the dilemmas you will actually face.
Ethics is not what you do when someone is watching. It is what you do in the doorway of a stranger’s home, alone, deciding.
— a field researcher’s maxim
The protocol saysThe field gives you
Private interviewA crowd around the chair
Voluntary participationA sarpanch who has selected people
Neutral questionsA participant in tears
A defined samplePeople who want to be included
None of these is a failure of planning; they are the standard conditions of fieldwork, and the protocol cannot anticipate them individually.
What the protocol can do is establish the rule you will apply when they occur. Deciding in the moment, alone, under pressure, is where errors happen.
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The people who grant — or block — access
Gatekeeper
A person who controls access to a community or group — a sarpanch, landlord, employer, NGO worker, husband or elder — whose permission you may need to reach participants.
A gatekeeper’s permission is not the participant’s consent. And a powerful gatekeeper present in the room can make free, honest answers impossible. Their access can become their control.
Gatekeeper permission gives youIt does not give you
Access to the communityAny individual’s consent
Local legitimacyFreedom from their influence
A list of peopleA representative sample
CooperationVoluntariness
Gatekeeper permission is necessary and is routinely mistaken for consent. Every individual still consents separately, out of the gatekeeper’s hearing.
A gatekeeper-selected sample is also a biased one, usually toward the compliant and the connected. That is a methodological problem as well as an ethical one.
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The fine line between thanks and coercion
We met this under consent; in the field it sharpens. A crowd gathers when a payment is known; people answer to qualify; gatekeepers expect a cut. What was meant as respect becomes a market — and a source of pressure.
Be consistent, modest and transparent about any compensation. Never let it become the reason people take part, or a prize gatekeepers ration.
Field consequence of paymentManage by
A crowd gathersDo not announce amounts publicly
People answer to qualifyScreen before mentioning payment
A gatekeeper expects a sharePay participants directly
Refusal becomes costlyKeep the amount modest
Once an amount is known locally, it changes who comes forward and what they say, which damages both the ethics and the sample.
Paying directly and privately, after the interview, avoids most of these effects. Announcing payment in advance creates all of them.
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When you learn of serious harm
A participant discloses ongoing child abuse, a serious threat, or imminent danger. Confidentiality, normally sacred, now collides with a duty to prevent harm — and sometimes a legal mandatory-reporting obligation.
  • State the limits of confidentiality before the interview
  • Know your legal reporting duties (e.g. child protection) in advance
  • Have referral pathways and a clear plan ready, not improvised
Before fieldwork, decideBecause in the moment
What triggers disclosureYou will not want to
To whom you would reportYou will not know
What you tell the participant firstIt is too late afterwards
Who in the team decidesIt should not be one person alone
The duty to disclose must be stated in the consent process, before anything is said. Warning someone after they have disclosed is not a limit, it is a betrayal.
India has mandatory reporting obligations in some circumstances, notably under POCSO for offences against children. Know which apply to your study before it starts.
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Photographs, video and recognisable faces
A photograph is identifiable data and can travel far beyond your intent — into reports, websites, donor decks and social media. A recognisable face attached to a story of poverty, illness or violence can stigmatise for years.
  • Get specific consent for images, separate from interview consent
  • Explain exactly where the image may appear — and that it may be permanent
  • Avoid ‘poverty-porn’ framing that strips dignity
  • For children and sensitive topics, default to no identifiable images
A photographConsequence
Is identifiable dataConsent must cover it separately
Travels beyond your intentReports, websites, donor decks
Attaches a face to a storyStigma follows the person
Cannot be withdrawn once circulatedConsent has to precede use
Consent to be interviewed is not consent to be photographed, and consent to a photograph for one purpose is not consent to its use in another.
Ask separately, name the specific uses, and record the answer. This is the ethical failure most likely to appear in your organisation’s own communications material.
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Representation is an ethical act
Ask of every image you publish: would I be comfortable if this were a photo of my own family, captioned this way, seen by my neighbours and my employer? If not, do not use it.
How you portray people in outputs — the framing, the caption, the crop — carries the same ethical weight as how you collected the data. Respect does not end at the camera.
Ask of every imageIf the answer is no
Would I accept this of my own family?Do not use it
Would they recognise themselves in it?Show them first
Does it show agency, not only need?Choose another
Is the caption theirs or mine?Quote them
The family test is crude and works. It converts an abstract judgement about representation into one most people can make instantly and consistently.
How you portray people in outputs is an ethical act with the same standing as consent, and it is governed by nobody — no committee reviews the annual report.
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When the field hurts the researcher
Sitting with grief, violence and destitution day after day leaves a mark. Enumerators and researchers carry secondary trauma, and exhausted, distressed field teams also collect worse data and make worse ethical calls.
Caring for the field team is an ethics issue, not a perk: debriefs, peer support, realistic workloads and permission to step back protect both people and data.
Sign in a field teamResponse
Emotional flatness or irritabilityRotate off the module
Avoiding certain interviewsTake it seriously, not as slacking
Sleep and appetite changesTime off; professional support
Cynicism about participantsA supervision conversation
These are recognised indicators of secondary traumatic stress and are frequently read by supervisors as attitude problems.
Rotation, realistic quotas and a named person to talk to are the practical measures. All three cost budget and all three protect data quality as well as staff.
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A method for the dilemma in front of you
01
NAME the conflict — which principles clash?
02
WHO is affected, and how badly?
03
OPTIONS — what are the realistic choices?
04
DECIDE for the most vulnerable person’s protection
05
DOCUMENT the reasoning; consult your committee or peers
You will not always get it right. But reasoned, documented, participant-centred judgement is the ethical standard — not pretending dilemmas do not exist.
StepWhat it produces
Name the conflictWhich principles clash
Who is affected, how badlyA ranking of stakes
Realistic optionsNot just the two obvious ones
Decide for the most vulnerableA defensible rule
Document itA record you can be held to
The fourth step is the tie-breaker worth adopting as a standing rule: where principles conflict irreducibly, protect the person with least power.
Documenting is not self-protection. It is what lets a team learn, and it turns an individual’s judgement into an institutional one.
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10
Section Ten
Data Ethics, Ownership & Dissemination
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Ethics doesn't stop at data collection
The interview ends; the ethical duty does not. How you store, analyse, own, share and report the data — and whether anything flows back to the community — are ethical questions every bit as serious as consent.
Much extractive research is impeccable in the field and then takes everything and gives nothing back. The ethics of dissemination is where good intentions most often fail.
Stage after the fieldEthical question
StorageWho can reach it, for how long?
AnalysisAre we reading people fairly?
OwnershipWhose data is this?
SharingCould release harm anyone?
ReportingAre we over-claiming?
Each of these is a decision made months after consent was given, usually by people who never met a participant, and typically without any review.
Write the answers into the protocol before fieldwork, so the decisions are made when the participants are still in mind.
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Whose data is it, anyway?
Communities are routinely extracted from — surveyed repeatedly while the knowledge, the publications and the value flow to outside institutions. The people who generated the data rarely own, control or benefit from it.
  • Ask who owns the data — and who profits from it
  • Involve participants in deciding what gets measured and asked
  • Treat data as a shared resource, not a one-way harvest
AskUsual answerBetter
Who owns the data?The institutionShared, with agreed terms
Who can use it?The researchersThe community too
Who benefits?The publisherBoth
Who holds a copy?The institutionLeave one behind
Leaving a usable copy of the data and the findings with the community costs almost nothing and is the clearest practical form of reciprocity.
Data-sharing agreements with community organisations are increasingly common and are worth proposing even where nobody asks.
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Return the findings to the community
Reciprocity means the people studied learn what was found, in a form they can use — not a 60-page English PDF, but a meeting, a poster, a radio spot, a conversation in their language.
Plan and budget for dissemination back to participants from the start. ‘We’ll share results later’ almost always means never.
Return findings asNot as
A meeting, in their languageA 60-page English PDF
A poster or a one-page summaryA link nobody can open
A radio spot or a community screeningA journal article
A conversation, with questionsA one-way presentation
Dissemination back to participants needs a budget line and a date, or it becomes the thing everyone intended and nobody did.
It also improves the work: communities correct interpretations, and the corrections are usually right.
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Answerable to the community, not only the donor
  • Be honest about who funds the work and why
  • Let participants challenge or correct your interpretation
  • Report uncomfortable findings, not only the flattering ones
  • Acknowledge the limits of what your study can claim
True accountability runs downward to the researched, as well as upward to funders. Ask: to whom am I really answerable?
Accountability meansWhich requires
Naming the funderSaying so up front
Letting participants challenge findingsA forum to do it in
Reporting uncomfortable findingsA funder who tolerates them
Acknowledging limitsWriting them down
The third row is where independence is tested. A finding suppressed because the funder disliked it is a research-integrity failure as well as an ethical one.
Agree publication rights before the work starts. Discovering that a funder can veto findings after they exist is too late.
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India's Digital Personal Data Protection Act, 2023
The DPDP Act, 2023 is India’s first comprehensive data-protection law. It sets duties for anyone handling personal digital data — researchers and NGOs included.
  • Collect only what you need, for a clearly stated purpose
  • Obtain free, informed, specific consent for personal data
  • Protect data with reasonable security safeguards
  • Stronger protections for children’s data
Know your obligations before you collect. ‘We’re a small NGO’ is not an exemption.
DPDP Act dutyWhat it means for a researcher
Collect only what is neededJustify every field
A clear, stated purposeConsent notice in plain terms
Security safeguardsEncryption and access control
Erasure when the purpose endsA deletion date
Notify breachesA process, in advance
The Act applies to digital personal data handled by anyone, including NGOs and researchers, and its obligations largely restate good research practice in legal form.
Where the Act and your ethics protocol differ, follow the stricter. Legal compliance is a floor rather than the standard.
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Two principles for ethical data sharing
FAIR
Findable, Accessible, Interoperable, Reusable — making data useful and shareable for science.
CARE
Collective benefit, Authority to control, Responsibility, Ethics — centring the people in the data, especially Indigenous communities.
FAIR optimises data for use; CARE asks who benefits and who decides. Open data is not automatically ethical data — hold both together.
FAIRCARE
CentresThe dataThe people in it
AsksIs it usable by science?Who controls and benefits?
Risk if used aloneExtraction at scaleData that helps nobody
CARE was developed by and for Indigenous data governance and is increasingly applied wherever a dataset describes a community that had no say in its collection.
The two are complements. Open, reusable data that a community neither controls nor benefits from is exactly the pattern this course has been describing.
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When sharing data can harm
Open data advances science — but releasing micro-data on marginalised people can enable re-identification, surveillance or stigma. The push to share must be balanced against the duty to protect.
Before releasing a dataset, ask: could this be used to identify, target or harm the people in it? Aggregate, restrict access, or withhold where the risk is real.
Before releasing micro-data, checkIf in doubt
Smallest cell sizesAggregate or suppress
Combinations of quasi-identifiersCoarsen them
Whether consent covered sharingDo not release
Who could misuse it, and howRestrict access
Controlled access — a data-use agreement and an approved-researcher route — is the usual middle path between open release and no sharing at all.
For marginalised populations, "someone might misuse this" is not hypothetical. Surveillance and targeting are the documented uses of exactly this kind of file.
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Ethics in how you write it up
  • Do not over-claim — report uncertainty and limitations honestly
  • Do not cherry-pick the findings that flatter the programme or funder
  • Do not write people in ways that strip dignity or entrench stigma
  • Do credit communities and field staff for the knowledge they made possible
How you write is an ethical act. The last harm a study can do is to misrepresent the very people who trusted it with their lives.
Writing failureWhat it costs
Over-claimingCredibility, and future access
Cherry-pickingTruth
Stripping dignityThe people described
Not crediting communitiesThe relationship
Ethics in writing is the least regulated stage and one of the most consequential, because the write-up is what everyone else will see.
Credit communities and field staff by name where they consent to it. It costs a line and it changes who is visible as a producer of the knowledge.
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11
Section Eleven
Putting It to Work
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Ethics checklist: planning
  • Is the research necessary, and could existing data answer the question?
  • Who bears the risk, and who gains the benefit?
  • Has an ethics committee reviewed the protocol and consent materials?
  • Are consent forms in the local language and tested for comprehension?
  • Are extra safeguards in place for vulnerable participants?
Planning checkFailing answer
Is this research necessary?"It would be interesting"
Could existing data answer it?Not checked
Who bears risk, who gains?Not asked
Has a committee reviewed it?"We will do it later"
Are materials in the local language?English only
The second row is the cheapest ethical improvement available: an existing dataset that answers your question means nobody has to be surveyed at all.
Answer all five in writing before fieldwork. They are the questions a committee will ask and the ones a critic will ask afterwards.
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Ethics checklist: fieldwork
  • Is consent genuinely voluntary, informed and understood — every time?
  • Can people refuse or stop without losing any benefit?
  • Are interviews private, safe and free of coercive gatekeepers?
  • Are the limits of confidentiality stated up front?
  • Do you have referral pathways for distress or disclosed harm?
  • Is the field team supported and protected too?
Fieldwork checkWatch for
Consent genuinely understoodSpeed; no comprehension check
Refusal costs nothingA benefit implied
Interviews private and safeA crowd; a gatekeeper
Limits of confidentiality statedBlanket promises
Referral routes readyAsking and leaving
These are checks on the process every day, not once at the start. Consent quality degrades through fieldwork as teams speed up under quota pressure.
Spot-check a few interviews yourself, unannounced. It is the only way to know what the consent process actually sounds like in the field.
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Ethics checklist: data & dissemination
  • Is personal data stored securely, with identifiers protected?
  • Have you guarded against re-identification before sharing?
  • Are you meeting DPDP Act obligations for personal data?
  • Will findings be returned to the community in a usable form?
  • Is the write-up honest, dignified and free of stigma?
After fieldworkConcretely
Store securelyEncrypted; key separate
Guard against re-identificationCheck smallest cells
Meet DPDP obligationsPurpose, security, erasure
Return findingsBudgeted, with a date
Delete identifiersOn the date you set
The last row rarely happens because nothing forces it. Set the deletion date in the protocol and put it in a calendar with an owner.
Returning findings is the obligation most often deferred indefinitely. Fixing a date at the start is what converts intention into practice.
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Warning signs to stop and rethink
  • ‘They’re poor, they won’t mind a few questions’
  • ‘We don’t have time for ethics review’
  • ‘The incentive is large — everyone will agree’
  • ‘Just remove the names, it’s anonymous’
  • ‘We’ll share results back with them eventually’
Each of these sentences has preceded real harm. When you hear yourself or a colleague say one, stop and apply the principles.
Red flagWhat it actually means
"They are poor, they will not mind"You have not asked
"No time for ethics review"The timeline is the problem
"The incentive is large, everyone will agree"That is the concern
"Just remove the names"Anonymity has not been checked
"We will share results eventually"You will not
Each of these is said routinely, in good faith, by competent people under pressure. Recognising them as flags rather than as reasonable remarks is the skill.
The third is the most counter-intuitive: enthusiastic universal agreement in a poor community is evidence about the inducement, not about the study.
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Where to turn for guidance
  • ICMR National Ethical Guidelines (2017) — India’s primary reference
  • Declaration of Helsinki & the Belmont Report — the foundations
  • CIOMS guidelines — ethics in low-resource & international research
  • DPDP Act, 2023 — India’s data-protection obligations
  • Your own Institutional Ethics Committee — consult it early and often
Pair this deck with ImpactMojo’s Data Literacy, Qualitative Methods and Research Methods 101 courses.
SourceUse it for
ICMR 2017 guidelinesThe Indian standard, in full
Declaration of HelsinkiThe foundational principles
Belmont ReportThe three principles, briefly
CIOMS guidelinesLow-resource and cross-country research
DPDP Act, 2023Legal duties on personal data
The Belmont Report is short enough to read in an hour and is the clearest statement of the framework everything else elaborates.
Read at least the consent and vulnerable-populations sections of ICMR 2017 before your next study. They are specific and they are what a committee will apply.
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If you remember five things
  • Every row is a person — treat them as you would your own family
  • Consent is a process — voluntary, informed, understood, revocable
  • Vulnerability means more protection, never exclusion
  • Anonymising is harder than deleting names — guard against re-identification
  • Give the findings back — research should serve the researched
TakeawayThe habit
Every row is a personAsk what this costs them
Consent is a processCheck comprehension, every time
Vulnerability means more protectionSafeguards, not exclusion
Anonymising is hardCheck the smallest cells
Ethics does not end at collectionReturn the findings
All five are practices rather than positions, and each can be adopted independently of the others in your next study.
If you take one, take the second. Almost every consent failure in development research is a comprehension failure that nobody checked for.
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Research Ethics 101 · Complete
Now go research
with conscience.
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