introduction to qualitative research quizlet

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4.2 Definitions and Characteristics of Qualitative Research

Qualitative research aims to uncover the meaning and understanding of phenomena that cannot be broken down into measurable elements. It is based on naturalistic, interpretative and humanistic notions. 5 This research method seeks to discover, explore, identify or describe subjective human experiences using non-statistical methods and develops themes from the study participants’ stories. 5 Figure 4.1 depicts major features/ characteristics of qualitative research. It utilises exploratory open-ended questions and observations to search for patterns of meaning in collected data (e.g. observation, verbal/written narrative data, photographs, etc.) and uses inductive thinking (from specific observations to more general rules) to interpret meaning. 6 Participants’ voice is evident through quotations and description of the work. 6 The context/ setting of the study and the researcher’s reflexivity (i.e. “reflection on and awareness of their bias”, the effect of the researcher’s experience on the data and interpretations) are very important and described as part of data collection. 6 Analysis of collected data is complex, often involves inductive data analysis (exploration, contrasts, specific to general) and requires multiple coding and development of themes from participant stories. 6

Reflexivity- avoiding bias/Role of the qualitative researcher

Qualitative researchers generally begin their work with the recognition that their position (or worldview) has a significant impact on the overall research process. 7 Researcher worldview shapes the way the research is conducted, i.e., how the questions are formulated, methods are chosen, data are collected and analysed, and results are reported. Therefore, it is essential for qualitative researchers to acknowledge, articulate, reflect on and clarify their own underlying biases and assumptions before embarking on any research project. 7 Reflexivity helps to ensure that the researcher’s own experiences, values, and beliefs do not unintentionally bias the data collection, analysis, and interpretation. 7 It is the gold standard for establishing trustworthiness and has been established as one of the ways qualitative researchers should ensure rigour and quality in their work. 8 The following questions in Table 4.1 may help you begin the reflective process. 9

Table 4.1: Questions to aid the reflection process

Philosophical underpinnings to qualitative research

Qualitative research uses an inductive approach and stems from interpretivism or constructivism and assumes that realities are multiple, socially constructed, and holistic. 10 According to this philosophical viewpoint, humans build reality through their interactions with the world around them. 10 As a result, qualitative research aims to comprehend how individuals make sense of their experiences and build meaning in their lives. 10 Because reality is complex/nuanced and context-bound, participants constantly construct it depending on their understanding. Thus, the interactions between the researcher and the participants are considered necessary to offer a rich description of the concept and provide an in-depth understanding of the phenomenon under investigation. 11

An Introduction to Research Methods for Undergraduate Health Profession Students Copyright © 2023 by Faith Alele and Bunmi Malau-Aduli is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License , except where otherwise noted.

Quiz 4: Introduction to Qualitative Research

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Multiple Choice

Which of the following are the general purposes of phenomenological research?

What is exploratory-descriptive qualitative research?

Which of the following are the characteristics of grounded theory research?

A certain qualitative mode of enquiry assumes the position that there is no single reality. Because of this, the reality experienced by each participant is unique. Because experience is subjective, the experienced reality is the subject's reality. The method does not perform reality checks in order to determine whether a participant's story is "true" or not. To which ones of the following would these statements pertain?

What are the general truths of symbolic interaction theory, as utilized in grounded theory research?

A research study about holiday celebrations is based on a philosophy or philosophical perspective. In the analysis, the authors state that they reflected upon the data for several weeks, reading and rereading interviews, in order to capture their meaning. Aside from descriptive statistics addressing the sample, all the results are presented in narrative form. Which of the following statements are true?

What are the focal points of the four schools of thought within ethnography?

A researcher investigates the fact that women with chronic pain are more apt to be assessed and treated for depression than are men with chronic pain, representing a possible inequity of diagnostic delivery, based on gender. Which qualitative strategy will most likely be used to study this topic?

What does the "grounded" in grounded theory mean?

An ethnographic researcher plans to study organizations and how they promote or suppress individual effort. What type of ethnography will the researcher select?

Which of the following are the general purposes of ethnographic research?

Why is the Sunrise Model of ethnonursing more specific to health than other ethnography models?

Which statements best describe the differences between Heideggerian and Husserlian phenomenology?

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1 Introduction

Patricia Leavy Independent Scholar Kennebunk, ME, USA

• Published: 01 July 2014
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This chapter serves as the introduction to the Oxford Handbook of Qualitative Research . The first half of the chapter responds to two questions. First, the chapter addresses the question: What is qualitative research? In answering the question, the chapter reviews the major elements of research: paradigm, ontology, epistemology (which together form the philosophical basis of research), genre, methods, theory, methodology (which operate at the level of praxis), ethics, values, and reflexivity (which merge the philosophical and praxis dimensions of research). Second, the chapter addresses the question: Who are qualitative researchers? Leavy explains qualitative research as a form of bricolage and qualitative researchers as bricoleurs. The remainder of the chapter reviews the contents of the handbook, providing a chapter by chapter summary.

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An Introduction to Qualitative Research

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• Robert A. Croker 3  

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Qualitative research — when you first heard the term, your initial thought might have been, ‘What do qualitative researchers actually do?’ It may come as a surprise to you that you are already familiar with many of their activities, and you actually do them yourself — every day — as you watch and listen to what happens around you, and ask questions about what you have seen and heard.

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Alvsesson, M., & Skoldberg, K. (2000). Reflexive methodology: New vistas for qualitative research . London: Sage Publications.

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Croker, R.A. (2009). An Introduction to Qualitative Research. In: Heigham, J., Croker, R.A. (eds) Qualitative Research in Applied Linguistics. Palgrave Macmillan, London. https://doi.org/10.1057/9780230239517_1

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INTRODUCTION TO RESEARCH

30 questions

Introducing new   Paper mode

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It is also known as " fundamental " or " pure " research.

Basic Research

Applied Research

Action Research

Formal Research

Which of the following is NOT one of the characteristics of a Basic Research?

It is based on the belief

It is explanatory in nature

It involves collection and analysis of data to develop or enhance theory

It examine the usefulness of theory in solving practical educational problems

Focused on immediate application, not on the development of a theory, not upon general application.

Which of the following is an example of an Applied Research?

Searching how did the universe begin

Finding the specific genetic code of a fruit fly

Treat or cure a specific disease

Development of a theory

Concerned with application of a theory to the solution of a problem.

The application of the scientific method to the study of a problem is ______.

Inductive Reasoning

Deductive Reasoning

Grounded Theory

One seeks exhaustively for three reasons, which of the following is NOT?

for more explanations

for verifying truth

for making discoveries

for compliance

Research improves practices and informs policy debates.

Research is, by its nature, cyclical, or more exactly, helical.

Which of the following is NOT one of the characteristics of an Action Research?

It is situational

It is a small scale intervention

It is a reflective inquiry

It takes place in sterile environment

It is a body of techniques for investigating phenomena, acquiring new knowledge, or correcting and integrating previous knowledge.

Which research project is an example of basic research?

Control of dengue in Palawan

Improve agricultural crop production

An examination of the effect of nutrients on the growth of fish in lakes within five different watersheds

Improve the energy efficiency of homes, offices or modes of transportation

All are the importance/value of research EXCEPT

Improving practice

Improving important policy issues

Reduce knowledge about issues

Develop student research skills

Provide insights and understanding of the problem at hand.

Qualitative Research

Statement of a hypothesis

Quantitative Research

Scientific methods often begin with _____.

Conclusions

Observations

Experiments

Quantifies the data and generalizes the result from sample to target population.

The scientific method finds its formal application in research.

Which of the following is NOT one of the characteristics of research?

It furthers our understanding of educational issues, questions, or problems

It raises new topics for study

Provides information that can improve practices

Merely rummages for information

If a researcher is studying the use of various methods of controlling pests in improving agricultural crops, he is likely to be conducting which type of research?

It is a one-one-one discussions designed to provide a detailed picture of individual participant's views about their interest.

In-depth Interview

Focus Group

Photo Ethnography

Observation

A method wherein the researcher click pictures of behaviors, attitudes and emotions of individuals in various situations instead of interrogating them.

The old French word " cerchier " means _____.

Describe theoretical perspective and previous research findings related to the topic or problem at hand.

Research Problem

Review of Related Literature

Analyses and Interpretation of Data

Looking in an encyclopedia to determine who discovered the North Pole is an example of research.

Which of the following is NOT a source of qualitative data?

archival records

numerical trends

observations

It is based on data that cannot br measured or counted but can be collected and interpreted through observation.

Qualitative research

Quantifiable research

Quantitative research

All Scientific research

Qualitative and quantitative research methods are never used together in a study.

What is Basic Research?

Research that is not yet advanced

research that deals with sinple questions

Research that is not applied to a specific social problem

Research that is basically simular that what has cone before

Research always ends with the solution of the original problem.

The scientific method endeavors to explain, predict, and/or control phenomena.

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Qualitative Research: Getting Started

Introduction.

As scientifically trained clinicians, pharmacists may be more familiar and comfortable with the concept of quantitative rather than qualitative research. Quantitative research can be defined as “the means for testing objective theories by examining the relationship among variables which in turn can be measured so that numbered data can be analyzed using statistical procedures”. 1 Pharmacists may have used such methods to carry out audits or surveys within their own practice settings; if so, they may have had a sense of “something missing” from their data. What is missing from quantitative research methods is the voice of the participant. In a quantitative study, large amounts of data can be collected about the number of people who hold certain attitudes toward their health and health care, but what qualitative study tells us is why people have thoughts and feelings that might affect the way they respond to that care and how it is given (in this way, qualitative and quantitative data are frequently complementary). Possibly the most important point about qualitative research is that its practitioners do not seek to generalize their findings to a wider population. Rather, they attempt to find examples of behaviour, to clarify the thoughts and feelings of study participants, and to interpret participants’ experiences of the phenomena of interest, in order to find explanations for human behaviour in a given context.

WHAT IS QUALITATIVE RESEARCH?

Much of the work of clinicians (including pharmacists) takes place within a social, clinical, or interpersonal context where statistical procedures and numeric data may be insufficient to capture how patients and health care professionals feel about patients’ care. Qualitative research involves asking participants about their experiences of things that happen in their lives. It enables researchers to obtain insights into what it feels like to be another person and to understand the world as another experiences it.

Qualitative research was historically employed in fields such as sociology, history, and anthropology. 2 Miles and Huberman 2 said that qualitative data “are a source of well-grounded, rich descriptions and explanations of processes in identifiable local contexts. With qualitative data one can preserve chronological flow, see precisely which events lead to which consequences, and derive fruitful explanations.” Qualitative methods are concerned with how human behaviour can be explained, within the framework of the social structures in which that behaviour takes place. 3 So, in the context of health care, and hospital pharmacy in particular, researchers can, for example, explore how patients feel about their care, about their medicines, or indeed about “being a patient”.

THE IMPORTANCE OF METHODOLOGY

Smith 4 has described methodology as the “explanation of the approach, methods and procedures with some justification for their selection.” It is essential that researchers have robust theories that underpin the way they conduct their research—this is called “methodology”. It is also important for researchers to have a thorough understanding of various methodologies, to ensure alignment between their own positionality (i.e., bias or stance), research questions, and objectives. Clinicians may express reservations about the value or impact of qualitative research, given their perceptions that it is inherently subjective or biased, that it does not seek to be reproducible across different contexts, and that it does not produce generalizable findings. Other clinicians may express nervousness or hesitation about using qualitative methods, claiming that their previous “scientific” training and experience have not prepared them for the ambiguity and interpretative nature of qualitative data analysis. In both cases, these clinicians are depriving themselves of opportunities to understand complex or ambiguous situations, phenomena, or processes in a different way.

Qualitative researchers generally begin their work by recognizing that the position (or world view) of the researcher exerts an enormous influence on the entire research enterprise. Whether explicitly understood and acknowledged or not, this world view shapes the way in which research questions are raised and framed, methods selected, data collected and analyzed, and results reported. 5 A broad range of different methods and methodologies are available within the qualitative tradition, and no single review paper can adequately capture the depth and nuance of these diverse options. Here, given space constraints, we highlight certain options for illustrative purposes only, emphasizing that they are only a sample of what may be available to you as a prospective qualitative researcher. We encourage you to continue your own study of this area to identify methods and methodologies suitable to your questions and needs, beyond those highlighted here.

The following are some of the methodologies commonly used in qualitative research:

• Ethnography generally involves researchers directly observing participants in their natural environments over time. A key feature of ethnography is the fact that natural settings, unadapted for the researchers’ interests, are used. In ethnography, the natural setting or environment is as important as the participants, and such methods have the advantage of explicitly acknowledging that, in the real world, environmental constraints and context influence behaviours and outcomes. 6 An example of ethnographic research in pharmacy might involve observations to determine how pharmacists integrate into family health teams. Such a study would also include collection of documents about participants’ lives from the participants themselves and field notes from the researcher. 7
• Grounded theory, first described by Glaser and Strauss in 1967, 8 is a framework for qualitative research that suggests that theory must derive from data, unlike other forms of research, which suggest that data should be used to test theory. Grounded theory may be particularly valuable when little or nothing is known or understood about a problem, situation, or context, and any attempt to start with a hypothesis or theory would be conjecture at best. 9 An example of the use of grounded theory in hospital pharmacy might be to determine potential roles for pharmacists in a new or underserviced clinical area. As with other qualitative methodologies, grounded theory provides researchers with a process that can be followed to facilitate the conduct of such research. As an example, Thurston and others 10 used constructivist grounded theory to explore the availability of arthritis care among indigenous people of Canada and were able to identify a number of influences on health care for this population.
• Phenomenology attempts to understand problems, ideas, and situations from the perspective of common understanding and experience rather than differences. 10 Phenomenology is about understanding how human beings experience their world. It gives researchers a powerful tool with which to understand subjective experience. In other words, 2 people may have the same diagnosis, with the same treatment prescribed, but the ways in which they experience that diagnosis and treatment will be different, even though they may have some experiences in common. Phenomenology helps researchers to explore those experiences, thoughts, and feelings and helps to elicit the meaning underlying how people behave. As an example, Hancock and others 11 used a phenomenological approach to explore health care professionals’ views of the diagnosis and management of heart failure since publication of an earlier study in 2003. Their findings revealed that barriers to effective treatment for heart failure had not changed in 10 years and provided a new understanding of why this was the case.

ROLE OF THE RESEARCHER

For any researcher, the starting point for research must be articulation of his or her research world view. This core feature of qualitative work is increasingly seen in quantitative research too: the explicit acknowledgement of one’s position, biases, and assumptions, so that readers can better understand the particular researcher. Reflexivity describes the processes whereby the act of engaging in research actually affects the process being studied, calling into question the notion of “detached objectivity”. Here, the researcher’s own subjectivity is as critical to the research process and output as any other variable. Applications of reflexivity may include participant-observer research, where the researcher is actually one of the participants in the process or situation being researched and must then examine it from these divergent perspectives. 12 Some researchers believe that objectivity is a myth and that attempts at impartiality will fail because human beings who happen to be researchers cannot isolate their own backgrounds and interests from the conduct of a study. 5 Rather than aspire to an unachievable goal of “objectivity”, it is better to simply be honest and transparent about one’s own subjectivities, allowing readers to draw their own conclusions about the interpretations that are presented through the research itself. For new (and experienced) qualitative researchers, an important first step is to step back and articulate your own underlying biases and assumptions. The following questions can help to begin this reflection process:

• Why am I interested in this topic? To answer this question, try to identify what is driving your enthusiasm, energy, and interest in researching this subject.
• What do I really think the answer is? Asking this question helps to identify any biases you may have through honest reflection on what you expect to find. You can then “bracket” those assumptions to enable the participants’ voices to be heard.
• What am I getting out of this? In many cases, pressures to publish or “do” research make research nothing more than an employment requirement. How does this affect your interest in the question or its outcomes, or the depth to which you are willing to go to find information?
• What do others in my professional community think of this work—and of me? As a researcher, you will not be operating in a vacuum; you will be part of a complex social and interpersonal world. These external influences will shape your views and expectations of yourself and your work. Acknowledging this influence and its potential effects on personal behaviour will facilitate greater self-scrutiny throughout the research process.

FROM FRAMEWORKS TO METHODS

Qualitative research methodology is not a single method, but instead offers a variety of different choices to researchers, according to specific parameters of topic, research question, participants, and settings. The method is the way you carry out your research within the paradigm of quantitative or qualitative research.

Qualitative research is concerned with participants’ own experiences of a life event, and the aim is to interpret what participants have said in order to explain why they have said it. Thus, methods should be chosen that enable participants to express themselves openly and without constraint. The framework selected by the researcher to conduct the research may direct the project toward specific methods. From among the numerous methods used by qualitative researchers, we outline below the three most frequently encountered.

DATA COLLECTION

Patton 12 has described an interview as “open-ended questions and probes yielding in-depth responses about people’s experiences, perceptions, opinions, feelings, and knowledge. Data consists of verbatim quotations and sufficient content/context to be interpretable”. Researchers may use a structured or unstructured interview approach. Structured interviews rely upon a predetermined list of questions framed algorithmically to guide the interviewer. This approach resists improvisation and following up on hunches, but has the advantage of facilitating consistency between participants. In contrast, unstructured or semistructured interviews may begin with some defined questions, but the interviewer has considerable latitude to adapt questions to the specific direction of responses, in an effort to allow for more intuitive and natural conversations between researchers and participants. Generally, you should continue to interview additional participants until you have saturated your field of interest, i.e., until you are not hearing anything new. The number of participants is therefore dependent on the richness of the data, though Miles and Huberman 2 suggested that more than 15 cases can make analysis complicated and “unwieldy”.

Focus Groups

Patton 12 has described the focus group as a primary means of collecting qualitative data. In essence, focus groups are unstructured interviews with multiple participants, which allow participants and a facilitator to interact freely with one another and to build on ideas and conversation. This method allows for the collection of group-generated data, which can be a challenging experience.

Observations

Patton 12 described observation as a useful tool in both quantitative and qualitative research: “[it involves] descriptions of activities, behaviours, actions, conversations, interpersonal interactions, organization or community processes or any other aspect of observable human experience”. Observation is critical in both interviews and focus groups, as nonalignment between verbal and nonverbal data frequently can be the result of sarcasm, irony, or other conversational techniques that may be confusing or open to interpretation. Observation can also be used as a stand-alone tool for exploring participants’ experiences, whether or not the researcher is a participant in the process.

Selecting the most appropriate and practical method is an important decision and must be taken carefully. Those unfamiliar with qualitative research may assume that “anyone” can interview, observe, or facilitate a focus group; however, it is important to recognize that the quality of data collected through qualitative methods is a direct reflection of the skills and competencies of the researcher. 13 The hardest thing to do during an interview is to sit back and listen to participants. They should be doing most of the talking—it is their perception of their own life-world that the researcher is trying to understand. Sophisticated interpersonal skills are required, in particular the ability to accurately interpret and respond to the nuanced behaviour of participants in various settings. More information about the collection of qualitative data may be found in the “Further Reading” section of this paper.

It is essential that data gathered during interviews, focus groups, and observation sessions are stored in a retrievable format. The most accurate way to do this is by audio-recording (with the participants’ permission). Video-recording may be a useful tool for focus groups, because the body language of group members and how they interact can be missed with audio-recording alone. Recordings should be transcribed verbatim and checked for accuracy against the audio- or video-recording, and all personally identifiable information should be removed from the transcript. You are then ready to start your analysis.

DATA ANALYSIS

Regardless of the research method used, the researcher must try to analyze or make sense of the participants’ narratives. This analysis can be done by coding sections of text, by writing down your thoughts in the margins of transcripts, or by making separate notes about the data collection. Coding is the process by which raw data (e.g., transcripts from interviews and focus groups or field notes from observations) are gradually converted into usable data through the identification of themes, concepts, or ideas that have some connection with each other. It may be that certain words or phrases are used by different participants, and these can be drawn together to allow the researcher an opportunity to focus findings in a more meaningful manner. The researcher will then give the words, phrases, or pieces of text meaningful names that exemplify what the participants are saying. This process is referred to as “theming”. Generating themes in an orderly fashion out of the chaos of transcripts or field notes can be a daunting task, particularly since it may involve many pages of raw data. Fortunately, sophisticated software programs such as NVivo (QSR International Pty Ltd) now exist to support researchers in converting data into themes; familiarization with such software supports is of considerable benefit to researchers and is strongly recommended. Manual coding is possible with small and straightforward data sets, but the management of qualitative data is a complexity unto itself, one that is best addressed through technological and software support.

There is both an art and a science to coding, and the second checking of themes from data is well advised (where feasible) to enhance the face validity of the work and to demonstrate reliability. Further reliability-enhancing mechanisms include “member checking”, where participants are given an opportunity to actually learn about and respond to the researchers’ preliminary analysis and coding of data. Careful documentation of various iterations of “coding trees” is important. These structures allow readers to understand how and why raw data were converted into a theme and what rules the researcher is using to govern inclusion or exclusion of specific data within or from a theme. Coding trees may be produced iteratively: after each interview, the researcher may immediately code and categorize data into themes to facilitate subsequent interviews and allow for probing with subsequent participants as necessary. At the end of the theming process, you will be in a position to tell the participants’ stories illustrated by quotations from your transcripts. For more information on different ways to manage qualitative data, see the “Further Reading” section at the end of this paper.

ETHICAL ISSUES

In most circumstances, qualitative research involves human beings or the things that human beings produce (documents, notes, etc.). As a result, it is essential that such research be undertaken in a manner that places the safety, security, and needs of participants at the forefront. Although interviews, focus groups, and questionnaires may seem innocuous and “less dangerous” than taking blood samples, it is important to recognize that the way participants are represented in research can be significantly damaging. Try to put yourself in the shoes of the potential participants when designing your research and ask yourself these questions:

• Are the requests you are making of potential participants reasonable?
• Are you putting them at unnecessary risk or inconvenience?
• Have you identified and addressed the specific needs of particular groups?

Where possible, attempting anonymization of data is strongly recommended, bearing in mind that true anonymization may be difficult, as participants can sometimes be recognized from their stories. Balancing the responsibility to report findings accurately and honestly with the potential harm to the participants involved can be challenging. Advice on the ethical considerations of research is generally available from research ethics boards and should be actively sought in these challenging situations.

GETTING STARTED

Pharmacists may be hesitant to embark on research involving qualitative methods because of a perceived lack of skills or confidence. Overcoming this barrier is the most important first step, as pharmacists can benefit from inclusion of qualitative methods in their research repertoire. Partnering with others who are more experienced and who can provide mentorship can be a valuable strategy. Reading reports of research studies that have utilized qualitative methods can provide insights and ideas for personal use; such papers are routinely included in traditional databases accessed by pharmacists. Engaging in dialogue with members of a research ethics board who have qualitative expertise can also provide useful assistance, as well as saving time during the ethics review process itself. The references at the end of this paper may provide some additional support to allow you to begin incorporating qualitative methods into your research.

CONCLUSIONS

Qualitative research offers unique opportunities for understanding complex, nuanced situations where interpersonal ambiguity and multiple interpretations exist. Qualitative research may not provide definitive answers to such complex questions, but it can yield a better understanding and a springboard for further focused work. There are multiple frameworks, methods, and considerations involved in shaping effective qualitative research. In most cases, these begin with self-reflection and articulation of positionality by the researcher. For some, qualitative research may appear commonsensical and easy; for others, it may appear daunting, given its high reliance on direct participant– researcher interactions. For yet others, qualitative research may appear subjective, unscientific, and consequently unreliable. All these perspectives reflect a lack of understanding of how effective qualitative research actually occurs. When undertaken in a rigorous manner, qualitative research provides unique opportunities for expanding our understanding of the social and clinical world that we inhabit.

Further Reading

• Breakwell GM, Hammond S, Fife-Schaw C, editors. Research methods in psychology. Thousand Oaks (CA): Sage Publications Ltd; 1995. [ Google Scholar ]
• Strauss A, Corbin J. Basics of qualitative research. Thousand Oaks (CA): Sage Publications Ltd; 1998. [ Google Scholar ]
• Willig C. Introducing qualitative research in psychology. Buckingham (UK): Open University Press; 2001. [ Google Scholar ]
• Guest G, Namey EE, Mitchel ML. Collecting qualitative data: a field manual for applied research. Thousand Oaks (CA): Sage Publications Ltd; 2013. [ Google Scholar ]
• Ogden R. Bias. In: Given LM, editor. The Sage encyclopedia of qualitative research methods. Thousand Oaks (CA): Sage Publications Inc; 2008. pp. 61–2. [ Google Scholar ]

This article is the seventh in the CJHP Research Primer Series, an initiative of the CJHP Editorial Board and the CSHP Research Committee. The planned 2-year series is intended to appeal to relatively inexperienced researchers, with the goal of building research capacity among practising pharmacists. The articles, presenting simple but rigorous guidance to encourage and support novice researchers, are being solicited from authors with appropriate expertise.

Previous article in this series:

Bond CM. The research jigsaw: how to get started. Can J Hosp Pharm . 2014;67(1):28–30.

Tully MP. Research: articulating questions, generating hypotheses, and choosing study designs. Can J Hosp Pharm . 2014;67(1):31–4.

Loewen P. Ethical issues in pharmacy practice research: an introductory guide. Can J Hosp Pharm. 2014;67(2):133–7.

Tsuyuki RT. Designing pharmacy practice research trials. Can J Hosp Pharm . 2014;67(3):226–9.

Bresee LC. An introduction to developing surveys for pharmacy practice research. Can J Hosp Pharm . 2014;67(4):286–91.

Gamble JM. An introduction to the fundamentals of cohort and case–control studies. Can J Hosp Pharm . 2014;67(5):366–72.

Competing interests: None declared.

Chapter 7. Ethics

The “fly on the wall” approach in anthropology, still taught as an antidote to the influences of one’s subjectivity on the research process, only obscures the fact that even those who try to be insects are, at the very least, already influencing the social environment in which they conduct their fieldwork and, more important, are already committing themselves to a very clear moral and political position—that of letting things remain as they are, or leaving the status quo untouched. Neutrality is impossible—or better still, neutrality may work for the maintenance of privileges, but it does not work for all. Many forms of oppression, exclusion, and death continue to be perpetrated in the name of objectivity and detachment. —Joȃo Helios Costa Vargas, Catching Hell in the City of Angels

Introduction

Joȃo Helios Costa Vargas spent two years living in South Central Los Angeles, a region of predominantly Black neighborhoods known for high rates of poverty, crime, and violence. When recounting the findings of his ethnographic research, he refused to write “neutrally.” As a human being, he viewed the prospect of writing as if he were merely “a fly on the wall” distasteful if not unethical. He wanted to name oppression outright. To testify to the outrages and injustices he saw perpetrated against those living in these communities by those with power—the police, school authorities, the public at large. And so he did, and his book is both more powerful and more honest for that. His choice is both an example of reflexivity (see chapter 6) and an example of ethics in practice. In this chapter, we explore a great many ethical considerations made by qualitative researchers and argue that being ethical is a constant and ongoing responsibility for any researcher and particularly for those involved in social science. Unlike other fields of science, the lines between doing right and doing wrong are sometimes hard to distinguish, a situation that puts tremendous pressure on every qualitative researcher to consider ethics all the time .

This is a very important chapter and should not be overlooked. As a practical matter, it should also be read closely with chapters 6 and 8. Because qualitative researchers deal with people and the social world, it is imperative they develop and adhere to a strong ethical code for conducting research in a way that does not harm. There are legal requirements and guidelines for doing so (see chapter 8), but these requirements should not be considered synonymous with the ethical code required of us. Each researcher must constantly interrogate every aspect of their research—from research question to design to sample through analysis and presentation—to ensure that a minimum of harm (ideally, zero harm) is caused. Because each research project is unique, the standards of care for each study are unique. Part of being a professional researcher is carrying this code in one’s heart, being constantly attentive to what is required under particular circumstances. Chapter 7 provides various research scenarios and asks readers to weigh in on the suitability and appropriateness of the research. If done in a class setting, it will become obvious fairly quickly that there are often no absolutely correct answers, as different people find different aspects of the scenarios of greatest importance. Minimizing the harm in one area may require possible harm in another. Being attentive to all the ethical aspects of one’s research and making the best judgments one can clearly and consciously are integral parts of being a good researcher.

Being an Ethical Researcher

Being a competent qualitative researcher means being reflective (chapter 6) and being ethical. In the next chapter, we will explore the regulatory requirements of ethical practice, but it is important to recognize that being ethical goes well beyond following the rules and regulations. Born from an epistemological perspective (chapter 3) that places value on the diversity of meanings and unique perspectives of the humans we study, qualitative researchers’ ethics encompass truthfully and generously reporting those meanings and perspectives, being attentive to what people tell and show us, and honestly appraising the harm and efficacy of what we report. The rules and regulations guiding qualitative research tend to focus on the importance of informed consent and the general balancing of potential benefits against likely harms. However, our duties to those with whom we interact go well beyond these aspects of our research. Further, because each study is unique and involves relationships between a researcher and research “subjects,” proceeding ethically requires constant attention and deliberation. One might make dozens of decisions during the research process that have ethical implications. It is not permissible to stop thinking about ethics after you have submitted your application for institutional review board (IRB) review (more on this process in chapter 8) or once you have received permission to proceed with your study: “Ethics are more than a set of principles or abstract rules that sit as an overarching entity guiding our research.… Ethics exist in our actions and in our way of doing and practicing our research; we perceive ethics to be always in progress, never to be taken for granted, flexible, and responsive to change” ( Davies and Dodd 2002:281 ).

Reviewing agencies such as IRBs will not scrutinize all the ethical decisions you need to make throughout your research process. Only you can do this. It is thus vitally important that you develop your sense of ethics as part of your identity as a researcher. Being reflective can help, as you are more likely to identify and acknowledge and confront ethical issues if you are paying attention to the process.

This chapter is divided into two parts. The first part walks you through the research process, highlighting a variety of places where ethical issues may emerge. The second part presents several ethical scenarios. I encourage you to talk through these with a friend or colleagues from class. You may find as you do so that you disagree on what the “correct” ethical decision is. This is absolutely normal and an important lesson. There are many “gray” areas in ethical consideration where there is no clear right or wrong answer. Sometimes there are “least bad” courses of action. Being ethical does not always means doing the right thing—it simply means trying to find the right thing to do and being able to justify the decisions you make.

Part 1: Ethical Issues throughout the Course of the Study

Research design.

Many of the rules and regulations around conducting qualitative research focus on the research design. For example, institutional review boards routinely ask you to justify your sample, while including members of vulnerable populations (e.g., children) in the study will trigger a heightened review. In chapter 8, we will look more closely at the formal requirements, but before getting there, we need to take a step back and think about the study design more generally. Why is this study being conducted in the first place? If human subjects are involved (this is the aspect that triggers formal review), any study is going to affect them to some extent. The impact on the humans we study could be quite minimal, as in the case of unobtrusive observations in which no personal information is recorded. Or it could be substantial, as in the case where people are asked very personal and potentially “triggering” questions about a harmful phenomenon. Or it could be simply the inconvenience of being bothered by a nosy researcher. Is your study worth the bother? Recognize that the advantages of a successful study accrue to you in the first place (completing your degree requirements, publishing an article, etc.) and secondarily contribute to collective knowledge. Make sure that that secondary contribution is really worth it. This may require you to do enough foundational research to ensure that what you are doing is truly novel and worth the expense.

Once you have determined that, yes, it is worth doing this study because we don’t yet know the answer to the research questions you’ve posed and those questions are good questions to ask, you need to consider whether this is the best and least harmful way to answer those questions. Balance the contributions to knowledge and the potential harm to humans posed by the research. Sometimes, the knowledge is so important that we are willing to lean a little harder on our research subjects, causing them a bit more discomfort or potential harm than we would be willing to do for a study of less importance. To make this kind of calculation, you have to be very honest about the importance of your work, another aspect of reflexivity (chapter 6). You also have to think about your research subjects honestly and the power they have to protect themselves from your intrusion. Poor people often get studied more often than rich people because they have less power to protect themselves from unwanted intrusions on their privacy. Designing a study around easy-to-access people is an ethical decision. Sometimes it is the right decision, sometimes not.

Just as you have to consider your sample in terms of power and the ability of some groups to hide from your scrutiny, you also have to consider your sample in terms of who gets to be included and what the implications of exclusion are on our knowledge. Medical studies that exclude certain hard-to-reach populations out of convenience are poorer for that exclusion. You want to be very clear about stating and justifying both your inclusion criteria and your exclusion criteria. Inclusion criteria are those characteristics your research subjects must have in order to participate in the study. Being of adult age is a common inclusion criterion. Exclusion criteria are those characteristics that would disqualify people from being part of your study. These are established to protect potential participants, as in the case where those not born in the United States are excluded from a study that observes potential criminal behavior so as to protect them from deportation orders and reporting mandates. On the other hand, by excluding this group of people, you have limited their insights and perspectives from being heard.

Data Collection

Once you have designed your study in an ethical manner, you will have to find the people to match your inclusion criteria and invite them to participate. In most cases, you cannot ethically collect data without permission. This permission must often be in writing, and there are formal rules about what this writing looks like, which will be fully described in chapter 8. What about situations where you are simply observing behavior? If this is in a private setting, you will still need to get permission as well as access to the site. Who is giving you access to the site? This, too, raises ethical considerations. Is this a person with power (e.g., an employer) such that their permission may influence employees’ consent to be included in the study? If a principal of a high school allows you to observe teachers teach, does it matter that there is a lawsuit pending against the principal for unlawful terminations of various teachers? Yes, it does! You must consider how you and your research may be implicated in ongoing workplace issues. Ethics come into play even in public settings, especially in cases where the people being observed have little choice but to act in public (e.g., a community pool during a heatwave).

One of the obvious harms that can be created by a nosy researcher other than inconvenience and bother is the breaching of confidential statements or publications of private reflections and actions. You may think you are doing enough to protect your research subjects from harm by keeping what you learn anonymous (e.g., using pseudonyms or reporting only aggregate group data—e.g., “community pool members were rowdy”), but anonymity is easily breached. Even when no “identifiable information” is collected, the risk of being able to attribute data to particular individuals is never nonexistent. Formal rules and regulations specify in great detail various levels of anonymity and confidentiality permitted (see table 7.1). The bottom line is that we have to act as if what we write of people we observe and talk to may be individually identified (however unlikely) and consider what harm would occur to those people when we publish our research. This might necessitate multiple case sites to protect our subjects from identification (e.g., three community pools rather than just one) or even rethinking the kinds of questions we ask, refraining from pushing our interview subjects to address supplemental questions (those that are not directly tied to our research questions) that might cause them harm or embarrassment to them if they were identified.

Table 7.1. Anonymous and Confidential Data, A Vocabulary

Another aspect of gaining permission is deciding how much information about the study to provide in advance. Again, there are formal rules that require honesty, simplicity, and clarity when explaining the research study. The language must be understood by the particular research subjects. If one is doing research with children, the language describing the study is going to necessarily be different than if one is explaining the research study to adults. If one is doing research with nonnative English speakers, the language should be in the native language as well. There are many times, however, when these simple rules fail to take into account the research design’s requirements. Some researchers, especially psychologists, employ a certain level of deception in their research design, as stating honestly what the study is about would undercut the value of the findings. Accurate information is sometimes not possible without deception. When this is the case, reviewing agencies can make exceptions to the rule of fully informed consent so long as the deception is minimal and poses no harm and there is some debriefing after the fact (as in an experiment in which the full study is explained as soon as the experiment ends). There are other times, however, when researchers accurately describe the general purpose and goal of the study but fail to mention details that, had the subjects known in advance, they might have withheld their consent. This might be the case, for example, where a powerful CEO is told that he is taking part in a study of power dynamics at large corporations when in fact the study is also focused on gender imbalances and male CEOs’ biases toward women in leadership. The simple explanation was not deceptive, but the CEO may have decided to opt out had he received all the information. In such a case, the researcher needs to balance the potential benefits of the study with the likely harm to the subject and may very well come to the conclusion that this is an ethical practice. Others might disagree, of course.

There are a host of other questions to consider. How long will you stay in the field? What kinds of relationships will you form with the people you are observing, and how will you gracefully “exit” the field with the least amount of pain to those who have come to rely on your presence? What level of collaboration do you have with your participants? How deep are your interview questions? Are your probes too invasive? All of these are ethical questions that arise during the data collection phase.

More questions arise during data analysis and the presentation of your findings. Because we have not yet gotten to those subjects in this book, I am going to reserve much of the discussion on these and point them out in relevant chapters. There are two later-stage ethical challenges, however, that you need to plan for in advance: Who will own the data you collect? What kind of impact might the presentation or reporting of your findings have?

You will often need to think about who owns the data that has been collected and analyzed and who has rights of control over it. For example, some researchers negotiate access with employers or supervisors at particular worksites. Those employers or supervisors may then expect some control over the data collected. Maybe they want to see the results first, before anyone else, or perhaps they even want a say in which results are made public. It is important to work out any agreements on the use of the data in advance so you are not put in a position of having someone else dictate what you can do with your data.

You should also consider the impact your study may have on those who granted you access to the site and to all of those who were willing to be interviewed or observed. If your findings could result in a negative outcome (anything from bad press to loss of business or community support to public shaming of an individual or group), you should anticipate this and consider your ethical obligations, obligations that may exist to multiple persons and groups and may be in conflict with one another. How will you handle this?

Many of these questions (and more) will arise during the course of your research. Keeping a journal will help you reflect on the challenges. Every decision you make will probably carry an ethical consideration. To give you a sense of how ambiguous these ethical decision points can be, let’s walk through a few ethical scenarios.

Part 2: Ethical Scenarios

Below are several short scenarios that will help you think through how to spot ethical issues and how you might resolve them. Pay attention to all stages of the research process, from design to publication. It’s possible that one or more of the scenarios are fatally flawed from the very start. Think about what each researcher owes to (1) the scientific community of which they are a part and (2) the human beings with whom they are building relationships. How to properly balance the two? A few questions follow each scenario, but you need not confine your consideration to these questions. Note that each scenario might bring up more than one ethical issue!

Scenario 1: The Glass Ceiling

Jacinda would like to understand how women deal with sexual discrimination and harassment in engineering firms. She is able to secure a temporary job as a receptionist at Engineer-O, a Fortune 500 firm. To everyone in the company, she is simply a “temp.” While working there, she approaches several women about their experiences. A few are willing to sit down and be recorded by her as she asks them questions about working at the company. In addition to the interviews, she keeps notes of her own daily experiences at the company (during her breaks and at night). She witnesses many examples of sexual harassment—managers who make sexual comments to their employees. She also takes pictures of the office and cubicle walls of some of the male employees, where sexually explicit images of women and/or misogynistic sayings are posted.

Questions to consider: From whom must Jacinda get consent for her study? The women she interviews, the men whose walls she takes pictures of, those whose activities she observes? Does she need to tell her boss that she is an undercover researcher? Should she?

Scenario 2: #BlackLivesMatter

Anne is a White twenty-five-year-old graduate student who is interested in police-community relations, especially in urban neighborhoods that have experienced conflicts (e.g., police shootings of unarmed Black men and children). She has a very close friend, Jamal, who lives in one such neighborhood. He allows her to hang out with him for a summer. She carries around a notebook and writes down observations frequently. She also records a few interviews with Jamal, his best friends, his parents, and his beloved grandmother, whose house he lives in. One Sunday, while she is at his grandmother’s house, the police knock down the front door and force everyone to lie down on the ground as they search the premises. She begins to cry and writes movingly afterward of the pain and terror written on Joyce’s (Jamal’s grandmother) face as they lie next to each other with a gun at their necks. On another occasion, she is present when Jamal finds out his best friend has been fatally shot by a local gang. She gets in the car with Jamal as he looks for the killer. He asks her to hold his gun. She writes all of this down and plans on publishing everything.

Questions to consider: What are Anne’s duties and responsibilities in terms of publishing these events? From whom must she get consent? What if Joyce and Jamal’s friends did not know she was a graduate student conducting a study? Did she commit a crime when she carried Jamal’s gun for him? Should she have received permission from the police department before conducting this study?

Scenario 3: The Unhoused

Julie is doing a study of the unhoused in San Francisco. She approaches several men on the street and explains her study and asks if she can follow them around. Twelve agree. She spends several weeks in their company—getting to know them, following them as they panhandle and recycle old bottles and cans, and asking them questions about their lives. She records many of their conversations on her phone. When it is too cold outdoors, she sometimes allows one or two men to crash at her apartment. She knows they really dislike the shelters and how they are run. She also encourages them all to use her shower during the course of the study. Other times, she buys them food. Once or twice, she has paid for beers and has sat with them as they drink and reminisce about their childhoods. And still other times she has given “Julius” cash, even though there is a chance he will use it to buy heroin. After six months, she realizes she has enough material to write a book about the men. She leaves San Francisco and moves back to her home in Berkeley. Although she tells the men the study is over, she does not follow up with them or provide any of them with contact information for her.

Questions to consider: What does Julie owe the unhoused participants of her study after six months? Should she have provided them with a way to contact her in the future? Should she have made an attempt to reconnect with them? Was it appropriate to allow the men to use her apartment? Would it have been wrong not to do so? Should Julie have helped the men more? Did she help them too much? Was it wrong to drink beer with them? To give Julius cash he might have used to buy heroin? If her book is published to great success, does she owe any of the proceeds to the men?

Scenario 4: Studying Upside Down

Franco is a graduate student interested in understanding the practice of racial discrimination and how this might be related to individual beliefs about insider/outsider status within a community. During the Trump administration, he heard a lot about “White working-class racists,” but he suspects that wealthy White persons are just as discriminatory as poor White persons. He designs a research plan that allows him to hear what people have to say about “who belongs” in the US and a part that allows him to actually observe interactions they have with others. As his father belongs to a very fancy golf club, he plans to (1) interview the members of the club and (2) golf at the club and otherwise hang out and watch interactions between (primarily White) members and (primarily Latinx) staff. He did not ask the club’s permission. The club leadership heard about the study, however, when one of its members mentioned they saw a young man writing things down in a notebook when they were in an argument with a caddy. The club pressured the IRB of Franco’s university to revoke his application. Franco doesn’t fight the decision (how can he?). Still interested in understanding racial discrimination, he uses the same research design, but now at a poor neighborhood’s community pool. He finds some examples of racism in his interviews with the White working-class pool-goers and observes one example of what could be racial discrimination.

Questions to consider: Should Franco have approached the golf club directly to secure permission for this study? Why do you think he did not? Does it matter that his father was a member? Was his original design a good one? Why or why not? How would you have handled the IRB revocation? Is Franco’s new site a good one? Why or why not? Is his decision to observe at a community pool ethical?

Scenario 5: Political Deception

Mumbi, a graduate student from Kenya, is fascinated by American politics. In particular, she wants to understand the increasingly visible role of race among politically active conservatives in the US. She plans to do research at a local Republican Party headquarters during campaign season. She will work there herself and interview other volunteers. Mumbi’s informed consent form explains that she is doing research on “how people engage politically.” Informally, she tells her covolunteers that she is a Republican and that she voted for Trump. However, as a Kenyan citizen, she is not able to vote in the elections, and had she done so, she would never have voted for Trump. She thinks Trump is truly the devil.

Questions to consider: Is Mumbi’s failure to identify herself unethical? What does she owe the people she is interviewing? Is it ethical to omit the motivations for the study? Had she included all the facts about herself and her motivation for the study, would she have received different information from the people she interviewed? Is deception justified in this case or not? Should Mumbi worry about her personal safety?

Scenario 6: What Do Your Friends Say About You?

Serena is a psychology graduate student trying to understand how people make friends. She runs an experiment using primarily college students at a large research university in the Pacific Northwest. In the experiment, she provides students notecards with interesting facts about some strangers and records which strangers get selected as potential new friends. Some of the facts include (1) shops at Walmart, (2) has traveled outside the US, and (3) owns a MAGA hat or T-shirt. She finds that those who espoused fact (2) were overwhelmingly chosen as friends and that only one in five chose a friend that selected (3) and zero chose friends who chose (1). Based on these findings, she develops a theory that people value cross-cultural experiences. She debriefs the students in the experiment and tells them that (1) was the big loser!

Questions to consider: Are there any problems with this study design? Who is likely to be included and who is not likely to be included in the sample? What might be wrong with the theory Serena developed? Were any college students harmed by the questions asked? What would you have advised Serena before she began running the experiment?

Quick Recap of Common Ethical Challenges to Consider

• Who was included in the sample design? Who was not included?
• How did the researcher get entry into the field?
• What did the researcher tell people about their research?
• Was there “informed consent”?
• When reporting findings, was care taken to protect the anonymity , confidentiality , and dignity of the research subjects?
• Does this study contribute to our knowledge about a subject in a way that does not foster harm ?

Further Readings

Cwikel, Julie, and Elizabeth Hoban. 2005. “Contentious Issues in Research on Trafficked Women Working in the Sex Industry: Study Design, Ethics, and Methodology.” The Journal of Sex Research 42(4):306–316.

Davies, Deirdre, and Jenny Dodd. 2002. “Qualitative Research and the Question of Rigor.” Qualitative Health Research 12(2):279–289.

Diniz, Debora. 2008. “Research Ethics in Social Sciences: The Severina’s Story Documentary.” International Journal of Feminist Approaches to Bioethics 1(2):23–35.

Fujii, Lee Ann. 2012. “Research Ethics 101: Dilemmas and Responsibilities.” PS: Political Science and Politics 45(4):717–723.

Guillemin, M., and L. Gillam. 2004. “Ethics, Reflexivity, and ‘Ethically Important Moments’ in Research.” Qualitative Inquiry 10(1):261–280.

Knight, Michelle G. 2000. “Ethics in Qualitative Research: Multicultural Feminist Activist Research.” Theory Into Practice 39(3):170–176.

The science and practice of right conduct; in research, it is also the delineation of moral obligations towards research participants, communities to which we belong, and communities in which we conduct our research.

A discrete set of population groups for which heightened ( IRB ) review is triggered when included as participants of human subjects research .  These typically include children, pregnant persons, and prisoners but may also include ethnic or racial minorities, non-English speakers, the economically disadvantaged, and adults with diminished capacity.  According to the Council for International Organizations of Medical Sciences (CIOMS), “Vulnerable persons are those who are relatively (or absolutely) incapable of protecting their own interests. More formally, they may have insufficient power, intelligence, education, resources, strength, or other needed attributes to protect their own interests.”

A condition in which the identity of individual subjects is not known to researchers; although this is not often truly possible, researchers can nevertheless take steps to ensure that the presentation of the data to a general audience remains anonymous through the use of pseudonyms and other forms of identity masking.

A condition in which the researcher knows the identity of a research subject but takes steps to protect that identity from being discovered by others; this may require limiting presentation of sensitive data.  While the connection between the participants and the results are known, the terms of the confidentiality agreement between the researcher and the participants limit those who will know of this connection.  Compare to anonymity .

Introduction to Qualitative Research Methods Copyright © 2023 by Allison Hurst is licensed under a Creative Commons Attribution-ShareAlike 4.0 International License , except where otherwise noted.