Improving institutional research ethics capacity assessments: lessons from sub-Saharan Africa

Figures & data

Table 1. Overview of domains and components of the Octagon model as adapted for institutional research ethics capacity evaluation.

Domain	Example components
Basic values and identity	Does the institution have clearly stated research ethics goals and objectives?
Structure and organization of activities	Are the roles and responsibilities clear for each member of the institution? Are members aware of these roles?
Implementation of activities	Are the operational plans clearly defined? Is there a system in place to determine programmatic strengths and weaknesses?
Relevance	Do the programs in place actually help the institution accomplish its goals?
Right skills in relation to activities	Are institutional personnel involved in research ethics capacities qualified for such roles?
Systems for financing and administration	Is there adequate funding for the institution to accomplish its research ethics goals?
Target groups	Are target groups clearly identified and actively engaged with research ethics as relevant to their institutional roles?
Working environment	What role does the institution play in the larger research ethics context (locally, nationally or internationally) of which it is a part?

Note: Adapted from: Swedish International Development Cooperation Agency. The Octagon: A Tool for the Assessment of Strengths and Weaknesses in NGOs; 2002.

Figure 1. Components of the FABTP research ethics system strengthening approach.

Figure 2 . Octagon scores from three case studies. A) Zambia B) Botswana C) Uganda. Institutional self-evaluation (internal) scores on left, FABTP (external) scores on right.

Table 2. Characteristics of the Octagon Model applied in each of the case studies.

Characteristics of model	Case study
	Botswana	Uganda	Zambia
Locally relevant	Yes	Yes	Yes
Timely	Three years between data collection and completion of evaluation	Three years between data collection and completion of evaluation	Three years between data collection and completion of evaluation
Multi-dimensional	Yes	Yes	Yes
Participatory	Yes	Yes	Didn’t include students and other key stakeholders
Empirically based	First study from FABTP – relied on previous verification and published studies	Yes - One previous case study from FABTP	Yes - Two previous studies from FABTP
Multi-method	Yes	Yes	Relied almost entirely on structured questionnaire and site visits
Iterative	Yes	Yes	Yes

Note: Adapted from Hyder et al. (2013, 2015, 2017).

Table 3. The ESSENCE principles and comparison with Octagon Model.

ESSENCE principles	Octagon Model equivalent domains
Collaboration and communication	Implementation of activities
Understanding local context and existing research capacity	Working environment, Right skills in relation to activities
Local ownership and support	Working environment, Target groups
Ensure monitoring and evaluation	Broadly encompassed by Octagon overall
Robust research governance and effective leadership	Right skills in relation to activities, Structure and organization of activities, Basic values and identity, Systems for financing and administration
Strong support, supervision and mentorship structures	Right skills in relation to activities
Plan for long-term and ensure flexibility and continuity	Basic values and identity, Relevance

Note: Adapted from: ESSENCE on Health Research (2014).

Hyder, A., Zafar, W., Ali, J., Ssekubugu, R., Ndebele, P., & Kass, N. (2013). Evaluating institutional capacity for research ethics in Africa: A case study from Botswana. BMC Medical Ethics, 14(1), 31. doi: 10.1186/1472-6939-14-31

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Hyder, A., Ali, J., Hallez, K., White, T., Sewankambo, N., & Kass, N. (2015). Exploring institutional research ethics systems: A case study from Uganda. AJOB Empirical Bioethics, 6(2), 1–14. doi: 10.1080/23294515.2014.981316

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Hyder, A., Deutsch-Feldman, M., Ali, J., Sikateyo, B., Kass, N., & Michelo, C. (2017). Rapid assessment of institutional research ethics capacity: A case study from Zambia. Acta Bioethica, 23(1), 35–46. doi: 10.4067/S1726-569X2017000100035

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ESSENCE on Health Research. (2014). Seven principles for strengthening research capacity in low- and middle-income countries: simple ideas in a complex world, in ESSENCE Good practice document series.

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