Human ethics protocols provide structured guidance for documenting ethical reflection and peer review in applied research and evaluation. This page provides practical ethics protocols for independent social research and evaluation, designed for applied and collaborative work that often sits outside formal institutional ethics systems.
Researchers, evaluators, and organisations have a responsibility to ensure their work meets ethical expectations, particularly when it involves social or human dimensions. The downloadable protocols below offer a structured way to document ethical reflection and peer discussion. They may be used for internal planning, collaborative peer review, or as supporting documentation for funders, partners, publishers, or governance purposes.
For a full description of how the collaborative peer review process works, see the Collaborative ethics review in applied and multi-actor work page. Two versions are available below: one for independent social research, and one tailored specifically for evaluation.
Who these protocols are for
These protocols are intended for:
- Independent researchers and evaluators
- Small organisations and consultancies
- Collaborative and multi-actor teams
- Community-based, participatory, and action-oriented projects
They are particularly relevant where:
- Work involves multidisciplinary or cross-organisational collaboration
- Ethical considerations arise through relationships, power, and use of findings
- Teams want structured dialogue to strengthen shared judgement and clarify roles
- Documentation of ethical reflection is required for funders, partners, or publication
- Institutional ethics processes are unavailable or poorly aligned with applied work
Used collaboratively, the process can strengthen team alignment, support constructive multidisciplinary engagement, and build shared ethical capability across the life of a project. The emphasis is on ethical judgement exercised in context, with transparency and responsibility carried by the team.
Download human ethics protocols and collaborative peer review guidance
Social research – human ethics protocol [
fillable DOCX file for download]
Designed for social research undertaken outside formal institutional systems, this protocol provides a structured ethics review pathway across the life cycle of a project. It is especially suited to participatory, community-based, and action-oriented research.
The protocol may be used as a self-check or as the basis for a collaborative peer review discussion. In collaborative review, one or two experienced reviewers work with the team to reflect on draft responses, surface ethical risks early, and clarify responsibilities before key decisions are finalised.
Responsibility for ethical practice remains with the research team. The completed and signed protocol provides a documented record of ethical reasoning and peer discussion in contexts where no institutional review pathway applies. Used collaboratively, it can also strengthen shared judgement, accountability, and ongoing ethical reflection across the life of the project.
Evaluation – human ethics protocol [ fillable DOCX file for download]
Designed for independent and collaborative evaluation work, this protocol provides a structured ethics review pathway for developmental, formative, summative, and impact evaluations.
In addition to core participant protections, it addresses issues distinctive to evaluation practice, including evaluator positioning and independence, judgement criteria, use and ownership of findings, stakeholder involvement, and the potential consequences of evaluative conclusions.
It is particularly well suited to participatory, cross-sector, and multi-actor settings where evaluations influence decisions, shape relationships, and carry reputational implications. The completed and signed protocol provides a documented record of ethical reasoning and peer discussion in contexts where no institutional review pathway applies. Used collaboratively, it can also strengthen shared judgement, accountability, and ongoing ethical reflection across the life of the project.
Why these protocols matter in independent practice
Ethics protocols help make explicit how ethical principles will be upheld in practice, whether in research or evaluation contexts. They provide a clear record of intent and reasoning, and can be included as supporting documentation for funding applications, partnership agreements, publication processes, or organisational accountability.
For independent practitioners, these protocols offer a credible and documented review pathway where institutional ethics approval is unavailable or poorly aligned with applied work.
Ethics as an ongoing practice
These protocols are practical guides, not one-off approval forms. They support teams to consider issues such as informed consent, participant wellbeing, transparency, data use, cultural safety, Indigenous protocols, and equity, while recognising that ethical judgement must be exercised in context.
Protocols support this work. Used collaboratively, they help structure conversation and strengthen shared understanding within teams. They do not replace responsibility or care.
For a broader framing of ethics across this site, see the Human ethics hub page. The Collaborative ethics review in applied and multi-actor work page provides an overview of this pathway, including intended audiences and potential benefits. Additional sources for online frameworks and readings are available on the Human ethics resources page.
For wider reflective discussions of how ethical questions arise in practice, see the related blog posts Working with care: Supporting ethics in research and evaluation and Strengthening ethics in applied and collaborative work.
If you’re working independently or as part of a collaborative team and would like to discuss your approach to ethical reflection or explore a collaborative peer review, feel free to contact me. I’m always happy to explore what might be helpful in your context, whether that’s by email or through a quick videoconference.
[* Photo by Alex P via Pexels]