Abstract
Protecting participants – especially the vulnerable and/or young – is essential to respecting individuals and doing so upholds the merit and integrity of research. Research is a way of improving the lives of the vulnerable as research informs policy and service provision. Research participants need to be protected, but as their right, they also need to be able to participate in research as a way of being heard on matters which affect them. This article argues that ethical review of research is so heavily focused on minimising risk that young people’s right to participate in discussion is often overlooked. I use my own research with young people who have experienced problematic substance use as a running case study to discuss the tension between balancing protection and participation in research design and offer strategies for balancing the two when designing research.
Keywords
Researching the young, who by virtue of their age are a ‘vulnerable’ group, needs to be done in a way that is sensitive to their levels of both maturity and competency. To avoid researchers taking advantage of the vulnerable, research ethics guidelines have various stipulations in place to protect participants from abuses of trust. While the stipulated requirements are well intended, they have led to unintended consequences. For instance, researchers often choose to work with over-18s because obtaining approval to talk with younger people about even remotely sensitive topics can be perceived as too arduous and bureaucratically complex (Bessant, 2006). Although working with only those over 18 is often about convenience rather than an active attempt to silence a group, it raises ethical issues. Further to this, the exclusion of young people from research is in violation of Article 12 of the United Nations Convention on the Rights of the Child (United Nations, 1989) which stipulates that young people have the right to have a say in matters which affect them. The risk-mitigation approach adopted in research ethics guidelines has seen the need to protect the young supersede the need to ensure that that are able to participate in discussions that are about them, and which will affect them.
There is a widely held assumption that the need to protect people is more important than the need to enable participation (King and Churchill, 2000). This is valid if the potential risks from participating outweigh the potential benefits. In making the decision to abrogate someone’s right to give voice, it is imperative to think carefully about what constitutes harm and benefit, as well as the likelihood of each prevailing. Further to this, consideration ought to be given to the potential risks and benefits of disallowing participation. King and Churchill (2000) astutely point out that there is a distinction between harms and wrongs and Human Research Ethics Committees (HRECs) tend to focus on the former. Consequently, while there may be no immediate harm that arises from a young person not participating in research, over-riding their self-determination – where competency has been established – is wrong and can lead to harms. This wrong has broader implications for young people’s well-being. For instance, not including young people in research is likely to lead to misrepresentations and misunderstandings about their lives and their experiences. Billett (2012) observes that because young people under 16 are frequently not invited to participate in research, there is only a ‘constructed’ picture of their lives available. Additionally, she supports De Vaus (2002, in Billett, 2012) in arguing that this leads to an invisibility of this group. A lack of understanding as to how young people experience their lives may see policy and service provision develop in ways which are counter to their needs.
In this article I demonstrate how the focus on preventing harm in ethical review has contributed to the exclusion of some young people from research participation (see Billett, 2012; te Riele and Brooks, 2012). I argue that a heavy focus on protection without due consideration to enabling participation is problematic. First I introduce the research project I use as a running case study to illustrate various points. This is followed by an overview of how research ethics decisions are implicitly political, after which I discuss the commonly perceived risks of social research with vulnerable young people. I also offer some practical questions to use as a checklist to ensure a balance is struck between protection and participation rights. I conclude by suggesting that rather than solely assessing risks, researchers and HRECs also anticipate and assess any potential wrongs which may arise from their decisions about who can and cannot participate in research. Assessing harms and wrongs of both protection and participation will better enact the principle of justice and ensure that those most oppressed in society are not so protected that research precludes them from giving voice.
The project
Similarly to Billett (2012), my path to researching ethical issues came from researching an area with many ethical questions. The research project which initiated my line of ethical inquiry was exploring young people’s pathways into problematic substance use. This came about after having worked as a youth alcohol and other drug (AOD) worker for several years and frequently lamenting the absence of a sound sociological understanding of young people’s pathways into problematic substance use. It was of concern that policy was being based on risk factors (i.e. ‘Early age of initiation is correlated with later problem drug use’), rather than broader contextual factors (i.e. ‘What environment is a young person in where drugs are both available and appealing at age 10?’). Research looking at the complex interplay of structure and agency was necessary to create a rich understanding of young people’s experiences so as to best inform prevention and early intervention initiatives.
The project I undertook to do this adopted a mixed-method design and collaborated with two youth AOD services that operate across 17 sites in Victoria. The most significant data source was in-depth interviews with 61 young people accessing these services (15–25 years; 57% male). Interviews sought an oral history of participants’ lives from early childhood to their current situation. Among other things, young people spoke about how it felt to sleep on the streets; how they raised enough money to get by; why cutting their own flesh made them feel better; how being sexually abused affected their intimate relationships; and how it felt to be 12, and kicked out of home because, ‘she got a bit sick of me being, just, um, [sick of] having a daughter’ (Lisa, 18 years).
These young people spoke to me about sex work, neglect, and abuse so severe that I am not sure I will ever sleep well again. They told me how they coped in a world that had treated them so poorly that I was frequently left wondering how it was they were still alive. I visited young women in public housing that was so unsafe I thought perhaps they would fare better on the street; the security door of a teenage girl’s unit had provided little security when a neighbour hacked at it with a machete while she hid in the bathroom with her 2-year-old son. Its shredded remains were what welcomed me.
Unsurprisingly, these interviews were not a joyous experience for anyone. Many of the young men and women whom I spoke to cried throughout the interview. I reminded all of them that they were able to stop or take a break; however, without exception, they were all adamant that they wished to continue. I made sure that each of them knew that I was comfortable with their tears and that they could keep on crying if letting it out was helpful; this was provided I was comfortable that the tears were cathartic and not distressing. 1 At the end of each interview, I asked my participants what name they would like to be called in my reports. I iterated that they were more than welcome to adopt a pseudonym, yet the vast majority wanted to attach their own names to their stories. I offered participants the option of using their own names as a way of destabilising the stigma that was so frequently attached to their lives; the assumption that their story was not something that they would want to affix their name to is both presumptuous and offensive. It incorrectly places the shame of their story onto them, rather than onto the perpetrators of the neglect and abuse.
While I do not regret providing participants the option of owning their stories, I have thought a lot about whether they would be so open to attaching their names to these experiences were they older, or working in politics, or had something – anything – to lose. I felt the heavy responsibility I have to protect my participants from feeling regretful, while also weighing how much right I had to abrogate their liberty to choose. It was of critical importance to me that my participants’ safety and well-being was not ever compromised and it was made explicit to participants, prior to their consenting, that if at any time I felt that they, or someone else, was at risk of harm, I would need to do something about this. While there is no legal requirement for researchers to report or act upon such concerns, I feel a moral obligation to do so. This said, with the exception of some referrals to various counselling or drug treatment services, I did not need to intervene. It is important that the researcher develop their own moral parameters prior to beginning the research process so that they can be prepared for how they might handle precarious situations. The myriad of ethical quandaries which may arise in the field means that specific instruction on ‘what is right’ is impossible. Therefore, a well-developed philosophical framework to inform ethical decision-making when out ‘doing research’ equips the researcher to make sound decisions (Daley, 2012).
In my own research, I needed to ensure my participants were protected, but not be so paternalistic that I failed to respect their self-determination. This is a dilemma that HRECs frequently face and this point is recognised in the current National Statement on Ethical Conduct in Human Research (henceforth referred to as the National Statement) which notes: For ethical review bodies, there can be a profound tension between the obligation on the one hand to give maximum scope to participants’ freedom to accept risk, and on the other to see that research is conducted in a way that is beneficent and minimises harm. (NHMRC et al., 2007: 17)
How researchers and ethics committees negotiate these competing obligations can vary considerably and this tension is the central issue of this article. To contextualise and illustrate the complexities of this, I next discuss some of the competing ideas about the most ethical way to conduct this research project.
Ethical review of research with young people
While the need for formal ethics approval for this project was obvious, dilemmas such as the liberalism vs. paternalism challenge noted above highlight that what constitutes best ethical practice is far from absolute. All approaches to ethical review seek to provide a way to define what the most ethical action is. Barratt et al. (2006) observe that research ethics guidelines are in place to protect and assist the research participants; nonetheless, they are not without limitation. Te Riele and Brooks suggest principles should be understood as a ‘provisional resource’ as they ‘are not straightforward recipes leading to perfect solutions, but they can support a person’s own deliberations in relation to a genuine ethical dilemma in a specific (research) situation’ (2012: 11). This is a similar sentiment to that expressed by Kellehear (1989), who suggests that guidelines should be interpreted as a ‘minimum standard’ rather than a definitive authority on the matter. The current National Statement (NHMRC et al., 2007) cites research merit as its first principle and this is because research design and approval must start with the foundational question: ‘Does this research have merit?’ No other line of ethical query need to be pursued if the answer to this question is no, as research lacking merit is unethical. Providing the research has merit, the final three principles guiding the National Statement pertain to how ethical its design is. Specifically, review seeks to consider whether a research project upholds the principles of justice, beneficence and respect.
Curiously, while both my university and collaborating agencies placed great emphasis on being ‘ethical’, how each defined ethical research practice was not always consistent. Meeting the needs of both committees, when they were sometimes contradictory, was a balancing act that required careful consideration. For instance, one of my collaborating agencies would not approve the project unless participants were to be remunerated for their time, whereas my institutional HREC were concerned that this could be seen as inducement. Remunerating participants is a contested practice. Seymour (2012) provides an overview of some of the debates around this topic, which include whether paying participants creates more or less equity in research participation. The core questions concern whether the poor are less able to participate in unpaid research due to financial constraints (time, petrol, childcare); or perhaps they are more vulnerable to exploitation as they may be more inclined to participate in research for the monetary incentive. Similarly, while there is an increasing practice of not disclosing payment until after completion, Ely and Coleman (2007) have argued that this is deceptive and that central to informed consent is that participants are aware of all risks and benefits. In addition to this, Wiles et al. (2007) comment that using this method as an ethical precaution is somewhat tokenistic as it is highly probable that participants are likely to tell others about the payment anyhow.
As well as participant payments, another issue where the ‘most ethical’ approach was disputed pertained to the location of the interviews. Collaborating agencies felt that if young people were able to suggest a location that they would feel comfortable being interviewed in, this would be a small step in attempting to address the inherent power imbalance between researcher and participants as it gives participants options and choices about the research process. Beals expresses the power imbalance well by describing traditional research methods as positioning ‘researchers as possessors of power and young people as objects of knowledge’ (2012: 35). Numerous authors have argued that it is important to provide participants with choices in the research process as it is empowering to be able to contribute to the process rather than only to the data (Billett, 2012; Tierney and Blumberg Corwin, 2007). Providing participants with an option of having a say in decisions about the research does more than just tell young people that they have rights; it encourages them to enact them.
In my own experience, when assessing the issue of interview locations, attention to enabling participant rights was not the focus of my institutional HREC. The committee expressed concern that allowing young people to suggest interview locations would compromise the researcher’s personal safety and this was an experience shared by Billett (2012), who also wanted to provide participants with choice but was constrained by her reviewing committee. Likewise, Tierney and Blumberg Corwin (2007) faced this competing interpretation of what is ‘right’. These researchers highlighted that the assumption from their Institutional Review Board (the UK equivalent of HREC) was that the researcher themselves did not have adequate capacity to assess whether or not the young person’s suggested location was safe and/or appropriate. It is interesting to note that, in this instance, the perceived risks to the researcher were placed as a higher-order focus than making provisions to support the young participants. If there are real risks to the researcher, then this may be justified. However, given that welfare professionals visit these young people at their homes regularly, it is questionable whether this risk is real, or illustrative of review committees’ assumptions about these young people (Daley, 2009).
In discussion with my HREC prior to submitting my application, there was also debate about whether the experiences these young people had been through had made them more vulnerable or more resilient. Vulnerability and resiliency seemed to be framed as mutually exclusive. Various committee members and collaborating partners were either emphasising protection or participation. My experience was that in some ways these young people were vulnerable and in some ways they were particularly resilient. I needed to ensure adequate protections for their vulnerabilities as well as enable participation in a way that respected their resilience. Because these young people had been through such significant experiences they were obviously very resilient. Nonetheless, sharing these stories can open or exacerbate particular vulnerabilities. Researching humans always entails a level of vulnerability; ethical research must comprise due respect to protecting participants, while also respecting and enabling their right to participate (Mishna et al., 2004). Newman (2005: 23) has suggested that framing young people as ‘reliant and of limited competence’ has contributed to vulnerability, rather than resilience, being the presumed starting point in attempts to understand young people’s needs.
When done with both skill and care, providing someone with a safe space to share their story can be cathartic and therapeutic; however, attempting to do this without adequate thought or training can be distressing and problematic. A well-executed research interview provides participants the opportunity for their life story to be afforded some validity in its own right: the interviewer is not a worker assessing their needs, or a magistrate determining their fate. Sharing sensitive stories may be emotionally heavy, even upsetting, but it should not be assumed that preventing this is more important to participants than being given a place to be heard. Kellehear (1989), who researched 100 people dying of cancer, captures the nuances of the protection/participation tension well when he argues that it is arrogant to assume that the discomfort of talking about painful experiences in a research interview is more distressing than being excluded from attempts to be understood.
The research interview itself has potential to open tender wounds. Given that the interviewer is not in a position to be conducting follow-up, it is necessary that they make considered decisions about whether the interview is providing similar benefits to a ‘single session’ style of counselling, or if the participant is at risk of over-disclosure and likely to regret sharing so much. This was an assessment I made on a case-by-case basis in my own research and the nuances of making this decision and its implications I have discussed elsewhere (Daley, 2012). It is pertinent to acknowledge that only once in the 61 interviews did I feel it in the best interests of the young person to actively prevent them from sharing so much of their story. For the vast majority, whether or not they intended to disclose so much, the interviews were a positive experience. As well as my own perception of it, I had two measures in place for assessing this. Fist, all participants bar one enthusiastically agreed to be contacted in the future to see if they are interested in participating in a follow-up study. Second, at the end of each interview, I undertook a debrief with my participants which gave me a way to ensure that they were feeling okay and gave them an opportunity to reflect on the interview itself. This debrief always revealed a consistent narrative. One young woman captured this common sentiment well: I haven’t talked like this in ages. But for me, like, whenever I talk about the past sort of stuff, it’s a lot better for me to get it off my chest. ’Cause I love it when people [listen] – when I know they won’t tell anyone, when they won’t go off and blabber – I love that. Yeah, I feel good.
This was similar to a young man who had a very cathartic and tear-filled interview and who emphasised many times in my time at the detox centre he was residing in how grateful he was ‘for letting me download’. I obviously emphasised my own gratitude and privilege that he shared so much with me.
While it is an additional benefit if the interview provides some therapeutic benefit to the participant, the most valuable repayment the researcher can make for those who share their stories is to tell them. As Christensen and Prout so astutely state: ‘The task of the social scientist is to work for the right of people to have a voice and to be heard’ (2002: 483). When collecting people’s stories, it is not enough for the researcher to simply not harm participants, they also need to do their best to do something for them. Researching people’s lives is not about simply framing data or making an argument or a contribution of knowledge, it is about providing means for oppressed groups to convey how they experience their life. Kellehear (1989) has written about his own sense of obligation to ensure that his research was not only completed, but disseminated. People participate in research in the belief that they are to be given voice and the social researcher has an ethical responsibility to provide this, although this is an ethical duty that is rarely articulated (Kellehear, 1989).
For researchers working in contexts where they are not bound by any formal ethical governance (i.e. research done within programs and services), understanding the nuances of ethical conduct in research is even more difficult, given the inability to defer to a committee. While it is unrealistic to expect small agencies to develop a process of formal ethical review, it is perhaps the responsibility of the academy to discuss and publish their own processes and case studies of negotiating ethical decision-making in research for practitioners to draw upon. As is demonstrated in my case study, there are competing ideas about some aspects of ethical research design. The fact that there are differing views does not mean that one set of guidelines was ethical while the other was not; the issue was that what defines ethical practice in social research is not concrete. There is no single ‘right’ way to research the vulnerable; moreover, it is essential to always negotiate each scenario individually (Daley, 2012).
Young people and informed consent
The inclusion of young people in research raises several ethical questions associated with consent. There needs to be particular sensitivity to young people’s maturity and their competency. The National Statement (NHMRC et al., 2007) notes that young people have differing levels of maturity and that it is not possible to attach fixed ages to delineate the mature from the not yet mature. Instead, the statement defines four levels of maturity which guide researchers’ understandings of whether the child or young person must have consent provided by a parent; in conjunction with parental consent; or if the young person is sufficiently able to provide consent independently.
Discussions of a young person’s competency can often become paternalistic as they begin from a position of adult hegemony (Christensen and Prout, 2002; Haudrup Christensen, 2004; Matthews, 2001). Newman describes the current approach to research with young people as a ‘paradigm of vulnerability and dependence’ (2005: iv) with the need to protect young people often being the sole focus. It is important to recognise that although young people may have less competence; this does not imply that they have less capacity. Duncan et al. (2009) discusses how, by virtue of their age, young people have less life experience and in practical terms this means that they have less experience at asserting their rights (for instance, right to withdraw, right to seek clarification). Mishna et al. (2004) point out that because young people are also less practised at speaking about themselves, they may be less able to anticipate what a research interview may entail and how it may affect them. This lack of experience can hamper a young person’s competency to provide informed consent, but Bessant (2006) has observed that concerns about competence do not mean that young people should be refused the right to have a say. Rather, where possible, provisions should be put in place to ensure that young people are competent. Mishna et al. (2004) suggest things like not only telling a young person that they can withdraw, but actually telling them how to withdraw should they wish to do so. Recruiting through a third party is also a useful strategy as young people may be more comfortable to decline to participate to a neutral or familiar adult (i.e. a worker) rather than to the researcher directly. I adopted this strategy in my own research design as I felt that, despite my emphasis that I was not a ‘worker’, my physical age and dress were much more comparable to the staff than the clients, and thus I was cautious that my independent role might become ambiguous and I wanted to avoid young people feeling obligated to participate. Adopting strategies such as this is consistent with recommendations by the Inter-Agency Working Group on Children’s Participation (IAWGCP, 2007), who explain that ethical practice is not to exclude young people, but to have safeguards in place to support them. They also remind us that including young people does not negate adults’ responsibility to care for their well-being.
Assessments of young people’s competency need to take into account their vulnerabilities while facilitating ways for them to have a voice. Grover (2004) emphasises that, increasingly, social research is being used to inform policy which affects individuals’ lives. With regard to including the voices of those being affected by these policies, Grover states that: It should be appreciated further that to have some control over how one is portrayed in the world by others is related to issues of human dignity … [and that] how one is reported about in the world can profoundly affect one’s human rights. (2004: 82)
Newman (2005) observes that even in risky situations (such as war), young people are able to contest and negotiate situations, and that their capacity for this should not be ignored.
As noted earlier, including young people’s voices in research is not just polite, but one of their rights. Article 12 of the United Nations Convention on the Rights of the Child (United Nations, 1989) stipulates that where a child (defined as person under the age of 18 years) is competent to develop their own views, that they be given the right to express these views in all matters which affect them. As Grover goes further to note: Unless children are permitted to become active participants in the research process, as discussed, they will continue to be ‘vulnerable to representations that others impose on them’ (see Barron, 2000: 33), just as they are in all other domains of life. To be in such a position is to have one’s own voice silenced and one’s fundamental right to be heard effectively quashed. (2004: 92, original emphasis)
Many have pointed out that excluding the young impedes Article 12 (e.g. Bessant, 2006; Carroll-Lind et al., 2006; IAWGCP, 2007; te Riele and Brooks, 2012). While this emphasis on rights is both virtuous and powerful, there has been less discussion about what the implications of abrogating these rights are. Billett (2012: 44) asks the question, ‘What is the nature of ethical research?’ and in answering this, points out that not being included from research has ethical implications. She argues that while ethical review involves close scrutiny of the research methods, little attention is given to how researchers select their populations. For instance, both practically and ethically, school children are more readily accessible than children not at school, thus recruiting from schools is a commonly employed method. While these young people may provide compelling data, recruitment methods that draw on convenience sampling can drown out the voices of those who are ‘inconvenient’ to recruit. Te Riele and Brooks (2012) note that this approach to selecting participants counters the principle of justice as populations which are difficult to access or recruit are ‘muted’ and thus become invisible. My own data collection was carried out intermittently over a period of two years, which involved much ‘hanging out’ and getting to know both the regular clients as well as those who would only surface every few months. I intentionally recruited across all of Victoria to hear the experiences of young people in regional areas as well as those based in the inner city. These measures took a lot of time and could have been avoided by solely recruiting from a city-based service; however, this would have compromised the integrity of my data as it would have left out the lived experiences of those more difficult to access.
It is important to emphasise that it is not the intention of researchers or those undertaking ethical review to impede young people’s rights or to mute a population. The problem is that what constitutes ‘ethical’ involves maximising good and minimising harm, but when these assessments are undertaken prospective of the situation actually arising, and where goods and harms are not certain, it seems safer (and is simpler) to exercise caution and place most emphasis on preventing harm. Given the heavy focus on preventing harm, it is noteworthy that none of the National Statement’s (NHMRC et al., 2007) four core principles addresses non-maleficence. Moreover, research merit and integrity, justice, beneficence and respect are the cornerstones of the guidelines. Te Riele and Brooks note that beneficence is ‘sometimes referred to as non-maleficence’ (2012: 13); however, the distinction between the two should be explicated as they are not synonymous.
Beneficence and non-maleficence
Beneficence is the doing of good and non-maleficence is the avoidance of harm. While similar in sentiment, these two principles are not the same. Confusingly, they are often used interchangeably in discussions of research ethics (te Riele and Brooks, 2012). The National Statement has beneficence as one of its four key principles: Researchers exercise beneficence in several ways: in assessing and taking account of the risks of harm and the potential benefits of research to participants and to the wider community; in being sensitive to the welfare and interests of people involved in their research; and in reflecting on the social and cultural implications of their work. (NHMRC et al., 2007: 11)
The focus on identifying and managing harms in the first part of this statement is not about being beneficent, moreover, it is about being non-maleficent. Certainly, harms should be avoided and risk-mitigation strategies be in place. However, when risk mitigation is discussed in a space allocated for defining beneficence, an absence emerges; if the beneficence of a research project is measured by how it avoids harm, consideration as to how it promotes good is given little credence. This is especially true in the social sciences, where benefits of research participation are rarely observable or quantifiable. In medical research, participating in a study may see participants receive a remedy for their ailment; however, in social research, there is unlikely to be any direct benefit to participants’ quality of life (although, anecdotally, there is often comfort received in being given a voice). The benefits of social research are only hoped for; rarely, if ever, can they be assured. King and Churchill (2000) remind us that in research, measuring beneficence is future-oriented. Perhaps there is some assurance that multiple research studies into a particular minority group will lead to good, or at the least provide reliable knowledge. But a single research project cannot guarantee that. Given that HRECs assess applications at an individual level, it is not feasible for them to make an assessment based on hoped-for, intangible, benefits. It is not within the purview of an individual committee to see any project as contributing to part of a greater good. This intangibility encourages a tendency for researchers and HRECs to instead focus on non-maleficence and how best to prevent harms in the research process and this is where potential wrongs emerge.
The political act of ethical decision-making
Making assessments about good and harm is complex and nuanced. HRECs are guided by ethical principles, without which assessment would be inconsistent and lack justification. Guidelines based on ethical principles provide a way of reasoning decisions, as well as a transparent and consistent process to ethical review (King and Churchill, 2000). However, principles do not exist independently and the protection/participation tension demonstrates how justice and non-maleficence can compete for priority. Additionally, principles cannot provide instruction on being virtuous. Ethical principles focus on establishing what one should do; when who one should be is just as important. King and Churchill are right in stating that: Understanding the principles that should guide child and adolescent research is an important task, yet identifying the right principles is only the first step in conducting ethical research with human subjects. (2000: 710)
At the core of ethical human research is an inherent respect for a participant’s humanity. A human life holds intrinsic value and respect for this must be afforded. The value of a human life, and why this must be respected, is perhaps most succinctly explained by sentience. The capacity for a person to think, to feel, to perceive – to be conscious of the world and their place in it – is central to a human’s intrinsic value. At the same time, that a person is a sentient being means that they are able to understand injustice, feel betrayal and perceive abuses of trust. To prevent someone experiencing this, respect is essential.
The nature of research – to find out something new – leaves participants exposed to potential risks. Thus, research with human participants needs to be done in a way which respects a person’s intrinsic value by mitigating risk. This may seem common-sensical when spelt out, but the past provides too many examples to allow us to assume that researchers will uphold this respect (e.g. the Stanford prison experiment; the Tuskegee syphilis study; and the research which was the impetus for ethical guidelines – Nazi medical experimentation). There is an undeniable need for there to be an ethical review of research projects prior to recruitment. However, as there are competing ways of defining what is ethical, review needs to be done systematically and consistently, even in instances where research is being undertaken in contexts in which no formal ethical governance exists (and this review may be done solely by the researcher; a checklist to assist with this is offered at the conclusion of this article).
Having acknowledged why guidelines are used, there is obviously variance in how, precisely, they are interpreted and applied, given that each project is different, as is each researcher and reviewing committee. It is because projects vary so much that they need to be reviewed individually. We cannot simply allow all research that fits into category A to be approved and all research in category B to be rejected without paying attention to the nuances of each project. The time, geography, socio-political context, as well as the competencies of the researcher, all shape just how ethical a research design is. And they should. Humans are complex; research done both by and with them needs to acknowledge this (Fisher, 2009). However, reviewing projects individually (and institutionally) prevents them from being seen as part of a broader research context. Research ethics guidelines shape how research is done, and who it is done – or not done – with, and this has political consequences. Inadvertently, those responsible for writing and enforcing ethics guidelines take on the role of political actors. To illustrate this process, I will continue with young people’s research participation as a case study.
The current National Statement (NHMRC et al., 2007) allows for young people to be researched without overlooking their vulnerability. The requirements for working with youth are listed in Section Four of the National Statement and these are the criteria that researchers must meet and abide by to be approved to research the vulnerable. Te Riele and Brooks (2012) are correct in noting that many researchers are unaware of just how much flexibility these guidelines offer. However, while these guidelines provide for the option of the vulnerable being included without compromising their protection; in practice, meeting these criteria can be cumbersome and create extra work.
This work involves things like obtaining a Working with Children Check or police record check; finding counsellors who are able to debrief participants; and requiring a third party to undertake recruitment (thus limiting the ability to use methods such as snowballing which is often the most effective method when recruiting hard-to-access populations). There are also considerations unique to each project which almost certainly will always arise in one form or another. For instance, in my own research, it was necessary to significantly postpone recruitment from one of the sites due to a spate of youth suicides within the local community, which had obviously left both young people and staff with a heavy sense of grief. It would have been inappropriate for a researcher to be getting involved in the site and interfering in people’s lives in such circumstances. Further to this, making ‘appointments’ with the homeless is a futile task and researchers would do well to recognise that understandings of time differ and that they must adopt the same sense of temporality as their participants to avoid getting caught up in infeasible deadlines. More of the ‘work’ involved in accessing hard-to-reach populations is the formal approvals required. It is essential to spend much time in discussion with collaborating agencies about the research purpose and design. Following this, ethics approvals are required and these applications do take a lot of time. This is because reviewing committees – quite rightly – are diligent in their assessments of research applications which seek to disrupt the lives of the highly vulnerable.
Tight timelines and busy schedules lead researchers to avoid having to do this work. Instead, they design research which prevents it. As a consequence, research into the vulnerable often excludes the highly vulnerable. Billett (2012) explains that ‘young people’ is often only those over 16 or those at school. She explains that the inclusion of only those who are easy to access may not be harmful for those included, but leads to a misrepresentation of young people, or an invisibility of those not included. So although the National Statement (NHMRC et al., 2007) has guidelines in place that aim to balance the need to protect with the need to participate, the highly vulnerable are still less likely to be offered the opportunity for research participation.
The strong focus on protecting research participants overshadows the need to ensure research participation. When protecting participants prevents their participation, this impedes their liberty; but this is justified on the grounds that it is morally superior for there to be no research rather than for there to be harmful research. However, Newman (2005) notes that exclusion may create its own dangers and this concern is shared by Young and Barrett (2001). These authors are concerned about the implications of policies and programs that are designed without having consulted those who will be affected. The argument in favour of strong protection, in spite of young people’s self-determination, holds merit if social research is harmful. If this is not the case, and talking to the vulnerable carries less risk than forecast, then there is an ethical issue with precluding participation as muting a population is wrong as it leaves people – almost always groups who are already marginalised – susceptible to be spoken about, or for, and for their experiences to be constructed for them rather than by them.
What are the risks of interviewing the vulnerable?
Establishing the potential risks of researching a vulnerable group is essential. It is also important to consider how likely this risk is to occur. These considerations need to be weighed against the potential benefits; not specifically benefits to the participant, but to society more generally. The likelihood of these benefits occurring must also be considered. Ideally the equation would see a very low likelihood of risks and a very high likelihood of benefit. Interviewing vulnerable young people about their lives poses three issues which warrant attention:
Informed consent
Emotional distress
Vicarious trauma to the researcher
All of these concerns are valid and researchers should spend time considering each of them thoughtfully. The key issues of informed consent were discussed earlier, though it is useful to reiterate Bessant’s (2006) point, that arguing that young people should have the right to research participation does not imply that they should be treated the same as adults; a position shared by Christensen and Prout (2002). Further, the recommendations from Mishna et al. (2004) to explain to young participants how to enact their rights in research is an example of how young people can be provided the right to participate without abrogating their rights to withdraw consent while also being sensitive to the level of development.
The potential emotional distress to participants is also a legitimate concern. Asking people about sensitive topics and traumatic events must be done with caution, skill and sensitivity. Researchers must make considered assessments about the best interest of the participant; upholding research integrity requires researchers to prioritise participant well-being over their own interests and quest for good data. Participants should be made aware of interview themes prior to consenting to an interview, as well as be made aware that they are able to not answer questions, or that they are able to set parameters for topics they would not like speak about. This leaves young people able to set the terms of their research participation and, with all of this information, young people may choose to participate and to discuss topics which make them sad. It cannot be assumed that sadness or anger implies distress, nor that these emotions are harmful; this said, these stories do need to be received with sensitivity. Beals (2012) is truthful in her observation that the stories that young people want to share may not always be happy and that researchers need to provide a safe space for them to tell these. In allowing young people to share their stories, often accompanied by their tears, the researcher does need to be very sensitive to what is in the best interests of that particular young person. Some young people may be disclosing more than they intended whereas for others the experience may be highly cathartic. The interviewer needs to make these assessments and negotiate the interview accordingly (Daley, 2012). The intention of ethical review should not be to prevent the research from occurring, but to ensure that the researcher is suitably capable of doing this.
Finally, the potential for the researcher to experience a degree of vicarious trauma when researching other people’s traumas is an important issue. There has been little discussion of the topic, although both Kellehear (1989) and Seear and McLean (2008) have discussed this ethical concern as a ‘silent issue’. HRECs often focus on a researcher’s physical safety, but the likelihood that the researcher may experience their own emotional distress is much more probable than the researcher being attacked in the housing estate in which they propose to conduct their research. During the course of my own research, I did at times begin to question my sense of personal safety, but not because of a threat when out in the field. Rather, it was from hearing over and over again the horrific levels of abuse and sexual violence that are a common experience for so many in our community. I felt less safe living in a world that these young people had not ever been safe in. As well as macro-level conceptual ideas about ‘safety’, I also experienced a heavy fog of emotion following intense periods of analysis and writing where the gravity of these young people’s traumas was not softened by their physical presence to remind me that they were okay.
These concerns justify much more attention, and many other authors have discussed, in detail, matters of consent (e.g. Cloke et al., 2000; Carroll-Lind et al., 2006; Renold et al., 2008; Stuart, 2001; Tierney and Blumberg Corwin, 2007). Emotional distress and researchers’ well-being are two under-researched areas that need more work. If it can be established how often, if at all, participants become distressed, HRECs would be better placed to assess the likelihood of risks and benefits (Runyan, 2000). Likewise, if there was more discussion of the emotional risks to the researcher, rather than a primary focus on their physical safety, more attention could be placed on managing the issue in a more systematic way (at present, it is largely left up to the researcher, or research supervisor in the case of student researchers). What also warrants attention is establishing the benefits of research participation. This article has focused on a human rights aspect; young people must be provided an opportunity to have a say in matters which affect them because it is their right. But in addition to this, it would be useful for there to be research exploring the experience of research participation. Rather than assuming what is distressing and assuming that there is little benefit to individual participants, it would be instructive to ask the participants themselves how they feel. I found that conducting a short debrief at the end of a research interview was a useful strategy. It is important to do this because, like young people not invited to participate in research, for those who do participate we have only a constructed picture of their experience of it. Until we ask the people we are talking about how they felt, we are talking for them (Newman, 2005; Young and Barrett, 2001).
Strategies for designing research which protects participants and enables participation
In this article I have used my own research as a case study to illuminate the tensions between protection and participation in research with the vulnerable. Some strategies I adopted to balance these two concerns included recruiting through a welfare service, the benefits of which were two-fold. The first was that it ensured that young participants had advocates. The second was so that I could be reassured that these young people had suitable people to go to were they to feel upset by anything the interview elicited. I wanted to ensure that these young people had the opportunity to participate, but to facilitate that in a such a way that their well-being was not compromised. I also left the task of advertising the interviews with workers who would let clients know that a researcher would be coming in and, if they wished, they could participate in an interview. The workers had no vested interest in whether or not young people participated and this was made clear to the young people. Further, giving young people some autonomy over where the interview took place empowered them as active agents in the research process. This is something that was equally important in building rapport with these young people prior to the interviews and it asked them to be active participants in the research process rather than simply be research ‘subjects’. Additionally, spending time in spaces where young people had a sense of belonging meant that I was getting to know them, and them to know me, in places that they felt were in some sense their territory. Balancing protection and participation in the interview itself required careful thought. While my interviews were semi-structured in nature, I did follow an interview schedule. I had designed this with the young people’s comfort in mind. When collecting life-history material, it makes logical sense to start at the beginning of a person’s life, but I knew that early childhood was likely to be an intensely painful time for many of my participants. Instead of beginning with this, I started with, ‘So tell me about primary school.’ This question was purposely broad so that participants could say as much or as little as they felt comfortable with while we were building rapport. As this rapport developed, I explored more sensitive areas before winding down with a strengths-based conclusion where I asked the young people to tell me how they had managed their adversities, their best qualities and their hopes for the future. This was a way to increase the probability that participants would leave realising their strengths. I finished with a short debrief where I was able to check-in on them, as well as give them a place to have the ‘final word’.
While there is no perfectly ethical way of doing research, the following questions are instructive in helping researchers to ensure that they are thinking broadly about the ethics of their project and would be especially useful to practitioners without access to a reviewing committee.
Questions to guide the ethical design of social research projects
Does this research have merit?
How can I maximise participants’ competency?
Does my design ensure that participants are safe from harm (especially emotional harm)?
Am I adequately skilled to be making these assessments? If not, who is?
What are my own moral parameters in regards to disclosures of abuse?
Do I have a clear ethical framework to guide my reasoning?
What is my plan for negotiating ethical dilemmas which may arise?
While this list is not exhaustive it encourages the researcher to be reflexive about their research design. It is broad enough to help the researcher negotiate an array of ethical dilemmas. In my own experience, I had to make assessments about topical issues such as paying participants and how I felt about them wishing to continue when they were so upset they were struggling to speak clearly. Prior to beginning the interviews, I spent time thinking about these things as well as considering other aspects, such as whether it is wrong to preclude people from telling sad stories. As researchers, we should also question whether our discomfort with strangers’ tears is because tears are bad, or because we feel uncomfortable that someone else is sad.
Conclusion
As the current understanding of ethical research is that it is research which avoids harms, exclusion of some potential participants does not seem, in itself, compelling enough to warrant changes to the review process. While it may not be ideal that some people are unable to participate in research, it is argued that research which is not ideal is preferable to research which may potentially harm the vulnerable. The issue of significance is that the highly vulnerable become excluded from having a say in matters which will affect them and, in a libertarian society, that can only be justified where there are potential harms to participants. In social research, potential harms can be hard to assess. While there is always concern that a participant may become highly distressed when talking about sensitive issues, how often this actually occurs is unknown. The deficiency of research into how research participation affects participants leaves the researcher ill-equipped to make a case that their methods are not risky.
There is often an assumption that vulnerable people may be harmed by talking about their experiences; but another assumption – that being granted the opportunity to share their story may be therapeutic, validating or empowering – is not afforded the same weight. While it is essential that HRECs are cautious in their assessments, it is important that their caution is appropriate and does not cause them to overlook – or create – other issues. There is a very serious harm which arises from not providing the vulnerable with an opportunity to participate. The exclusion of people from research, in the name of ‘protecting’ them, prevents research from being able to give voice to oppressed groups, and thus limits opportunities to advocate for change in these people’s circumstances. Parts of a population can become invisible because they are either so tightly protected or too inconvenient access. It is imperative that consideration is given to the potential wrongs that arise from convenience sampling and the exclusion of especially vulnerable groups. Encouraging research with the marginalised requires more thought, time and effort, in both designing and undertaking research; but it is only with their inclusion that the principle of justice can be truly achieved.
Footnotes
Acknowledgements
I would like to thank the anonymous reviewers who read an earlier iteration of this paper – their feedback was invaluable. I would also like to thank the young people who, in sharing their narratives, showed both their vulnerability and their resilience. This inspires me to persist in doing the extra ‘work’.
Funding
This research was part-funded by an Innovative Project Grant from the Foundation for Alcohol Research and Education (FARE).
