Gaining Research Permissions in Rwanda and Tanzania: Engaging Locally and Building Integrity as an ‘Outsider’

While not necessarily the most enjoyable aspect of a research project, due to the time and paperwork involved, gaining research clearance is vital, and has a number of additional benefits for the research itself. It fosters critical thought processes in understanding the local context and expectations of researchers that are necessary, especially for any ‘outsider’ researcher. Gaining research approval is not just a legal requirement, it is also about respecting local customs, its people and gaining a better grasp of the moral parameters that are involved in a given research project.

Given our research experience, we use this article to discuss the research permission process for Rwanda and Tanzania. We are both currently conducting research in sub-Saharan Africa, where receiving research permission from local authorities is not only required, but also a vital step in our projects and crucial components in our research design. Most importantly, the foundation of our permission processes was premised on a collaborative effort involving local actors who played a key role in developing a viable research project that is part of a larger, long-term effort that benefits local communities.

Positionality and the local context

Everyone needs permission to undertake research, regardless of nationality status and/or whether you are considered an ‘insider’ or an ‘outsider’. For our particular case, as outsiders to the contexts where we have the opportunity to carry out our research, we have to remember that we are guests in these countries. As researchers from outside of the country we struggle to and may never fully grasp intricate local dynamics, legal frameworks, and processes which are required to obtain research permits.

In the process of gaining research permission, academic knowledge about a research topic needs to take a back seat and the researcher needs to learn how to best conduct themselves in a foreign environment and collaborate with local partners in a research design that is both effective and culturally sensitive.

Upon arriving in Tanzania, for example, a foreign researcher will be termed as a ‘Mzungu’ (‘foreigner’ or ‘white person’ in Swahili); they remain so, even if spending many years in the country, as they were not born and raised there. Moreover, our backing institutions and countries of origin can influence the perception of local authorities. There could be some built-in tensions. Gender can also play a role – especially in the case of research involving a male principal investigator from the Global North wishing to conduct research in the rural Global South about sensitive issues (in this case, menstrual hygiene management education). Effectively, awareness of positionality matters, and it is vital to be mindful of it during the research approval process.

A foreign researcher’s awareness about positionality is an ongoing reflexive process. Conducting research with other researchers with relevant experience, as well as local collaborators is imperative as they can provide insights and suggestions that are invaluable, while giving timely critical reminders throughout the research process to dispel any inherent biases. In fact, having collaborators who are part of a local institution or government agency is a requirement if seeking to get approval from ethics boards in both Rwanda and Tanzania. 

Setting the scene

The comprehensiveness and rigour of research permission processes within East African countries including Rwanda and Tanzania stems largely from the need to protect local citizens from past failures in ethical procedures. Researchers have also noted that it is a response to problems caused in the past from international researchers behaving in ways that have not been ethical and so, having had profound impacts upon local lives. Within the context of Rwanda, for example, there has been much external research interest in the country over the past three decades. This interest has related not only to the aftermath of the 1994 genocide, but also to the country’s recent rapid urbanisation in parts, as well as to changes to the educational system. This has given rise to the need to make sure external researchers are sensitive to the local context in the way they collect and analyse their data.

Many external researchers have pursued research without going through the required government procedures. For example, a Canadian researcher who travelled to Rwanda in order to conduct research on political uses of history surrounding the genocide observed that miscommunication with partner institutions, lack of awareness of local protocol and an unwillingness to invest time and money required to understand bureaucratic procedures prevented international academics from obtaining local permissions. Other reasons have included a lack of understanding amongst those more directly involved in the data collection process (e.g. teachers and principals within schools) concerning their rights during the research process. This reality has therefore necessitated the establishment and close monitoring of rigorous permissions processes which protect local stakeholders from inadequately designed research, especially when vulnerable populations are involved. 

Processes for gaining ethical approval

Gaining research approval varies from country to country. The process also varies if the proposed research is conducted by an organisation (as in our Rwandan example) or by an individual as a PhD research project (as in our Tanzanian example). It could also vary according to the type of research which is conducted. That said, some commonalities are apparent across both processes. The following table highlights example steps from our experience of gaining research permissions in both Rwanda and Tanzania:

	Rwanda	Tanzania
Step 1: Establish relationship with local partners and institutions	E.g. Rwandan Education Board*	E.g. Shirati KMT Hospital, Maji Safi Group, Tina’s Pre-and Primary School
Step 2: Gain ethical approval to undertake the research	Rwandan National Ethics Committee	National Institute of Medical Research
Step 3: Obtain research permit to conduct the research	National Centre for Science and Technology	Tanzania Commission for Science and Technology
Step 4: Obtain visa and/or residence permit for conducting the research	Directorate General of Immigration and Emigration**	Business Visa (upon arrival, if needed) Resident Permit: Class C-1 – research (upon receiving COSTECH research permit)***

Table 1

*A letter of support for research is also required in the case of Rwanda from a local institution or government agency; ** An additional visa is also required for quantitative survey-based data collection that is nationally representative or involving at least one province from the National Institute of Statistics in Rwanda (NISR); *** If the physical resident permit is not ready in time, a visa or special pass can be acquired to enter the country and start data collection. 

Benefits of gaining in-country permissions

While obtaining local permission to conduct research within East African contexts, including Rwanda and Tanzania, is undoubtedly a complex endeavour, there are a number of benefits which emerge from the process. In our joint experience, we have found that having affiliated local institutions strongly engaged in the research from the outset helps to better contextualise the research to the local setting, therefore increasing its quality and relevance. This relationship can further help with the logistics of fieldwork and aid insight into subsequent findings.

Additionally, it can be highly beneficial for facilitating subsequent approval applications for research conducted in the country. A further advantage arising from the meticulousness of the permissions process is its encouragement of ongoing reflection and refinement of one’s tools and approaches for research. It further builds local trust and provides reassurance that both participants and researchers will be protected throughout the period of data collection.

Challenges of gaining in-country permissions

As well as benefits, there are also challenges. Given the range of individuals and institutions involved in the approval process, the length of time can vary and proposed timelines of feedback/approvals at different stages can get delayed. These uncertainties can cause stress and anxiety for researchers. Beyond uncertainties, one also needs to manage realities, which include regular follow-up with local collaborators, considering insider tips, and perhaps most importantly, knowing the right people at all stages that can help to progress an application. In many ways, it is a juggling act that involves multi-tasking on a weekly basis until a researcher has a research permit in hand and the necessary immigration documentation.

There are two other potential challenges: managing costs and conducting a pilot study. The costs can increase unexpectedly if 1) a researcher is not aware of every component of the approval process, and 2) does not allow for additional administrative overhead costs to facilitate the approval at various steps. For a PhD student, the costs can be high so can require the need to identify sources of funding in advance. Conducting a pilot study is an important part of a research process but can create complications with the research permission. Ideally, changes to the research design would be made after the pilot, but permission is needed before the pilot and this might not then be much flexibility for adaptations.       

Further thoughts

In light of our experiences within Rwanda and Tanzania, we conclude with several further thoughts for conducting research as external researchers within similar settings.

1. Researchers need to devote sufficient time and energy into understanding the specific context in which they are working. This includes past as well as current political, social and cultural events which have shaped local lives. It also includes an awareness of norms and practices which may better sensitise researchers to local realities.
2. All documentation including research instruments, protocols and permissions applications must be detailed and clearly explain how the research can enhance the lives of the beneficiaries involved.
3. Careful planning needs to allow sufficient time and resources for understanding requirements, preparing needed documentation and obtaining approvals.
4. Researchers need to establish connections with other researchers with relevant experience, and local stakeholders, including government agencies, universities and researchers. This should be done from the outset and can be invaluable for leveraging previous lessons learnt with obtaining local permissions. More importantly, it can greatly enrich the quality of the research being conducted and increase the opportunity for meaningful dissemination of findings once data has been collected. 

About the authors:

Dr Emma Carter is aSenior Research Associate, REAL Centre, Faculty of Education at the University of Cambridge. She has been working on the Mastercard Foundation’s Leaders in Teaching programme since 2019, a research project focused on improving teaching quality in secondary schools in Rwanda, with a particular focus on STEM teaching quality.

Manuel Kernen is a 3rd year PhD Candidate working under the supervision of Professor Pauline Rose at the REAL Centre, Faculty of Education at the University of Cambridge. His doctoral research is based in rural Tanzania and looks at the effect, design and improvements of health education interventions that focus on menstrual hygiene management.