Emergent Ethics in Emergent Ethics in Qualitative ResearchQualitative Research

Kathy CharmazKathy Charmaz

Paul C. Rosenblatt—Ethics of Paul C. Rosenblatt—Ethics of Qualitative Qualitative Interviewing with Grieving Interviewing with Grieving Families -- Families -- Farm Accident Study Farm Accident Study I followed the husband from cow to I followed the husband from cow to

cow, telling him things stated in the cow, telling him things stated in the advertisement for the study and advertisement for the study and answering his questions. He was answering his questions. He was obviously hurting as we talked, obviously hurting as we talked, using jokes and laughter to hold using jokes and laughter to hold back tears, but said he would do it, back tears, but said he would do it, and I arranged an appointment for and I arranged an appointment for a couple interview.a couple interview.

(1995, p. 142) From (1995, p. 142) From Death StudiesDeath Studies 19:139-155. 19:139-155.

She: I think (very loud) There’s times I feel She: I think (very loud) There’s times I feel like there’s a wall between us since like there’s a wall between us since

then then [the accident]….[the accident]….

Had I violated my agreement with the Had I violated my agreement with the university’s IRB by allowing the wife to use university’s IRB by allowing the wife to use me to get her husband to talk? Had he me to get her husband to talk? Had he been coerced? I gave him room to say no been coerced? I gave him room to say no to an interview and to say no to any or all to an interview and to say no to any or all interview questions. But he was not interview questions. But he was not exactly a volunteer….Perhaps the most exactly a volunteer….Perhaps the most ethical thing I could have done was what I ethical thing I could have done was what I did, to allow the interview to be used by did, to allow the interview to be used by the wife (and I think the husband) as a the wife (and I think the husband) as a catalyst for their healing. catalyst for their healing. (p. 143)(p. 143)

My assumption—Different My assumption—Different goals goals pervade the research pervade the research processprocess

Goals of researchers and research Goals of researchers and research participants differparticipants differ

Goals of knowledge, ethics, and Goals of knowledge, ethics, and human subjects review boards differhuman subjects review boards differ

Grappling with these differences Grappling with these differences spawns emergent ethicsspawns emergent ethics

What are emergent ethics?What are emergent ethics?

These are ethics that researchers develop

• During the midst of collecting data, conducting the analysis, and/or writing the or writing the report report

• After reflecting on their research After reflecting on their research decisions and decisions and directionsdirections

Questions to considerQuestions to consider• What are the characteristics of What are the characteristics of

emergent emergent ethics?ethics?

• What is involved?What is involved?

• When do researchers invoke emergent When do researchers invoke emergent ethics?ethics?

• Which assumptions support these Which assumptions support these ethics?ethics?

• What are the implications of emergent What are the implications of emergent ethics?ethics?

Patricia Henderson (2005) on Patricia Henderson (2005) on studying studying care of dying AIDS care of dying AIDS patients in patients in South Africa South Africa

Ethical ways of interaction emerged Ethical ways of interaction emerged in the give and take of relationship in the give and take of relationship and intimacy. We became aware of a and intimacy. We became aware of a process of reconfiguring ethical process of reconfiguring ethical ground through time. It is also ground through time. It is also through time that we have come to through time that we have come to see our inadvertent collusion in a see our inadvertent collusion in a failure of ethics in relation to failure of ethics in relation to Mandla's mother and Vuysiwa. Mandla's mother and Vuysiwa. (p. 89)(p. 89)

Ethics as contextual Ethics as contextual constructions constructions • No action—whether of the research No action—whether of the research

participant or of the social participant or of the social researcher—researcher— stands outside of the stands outside of the contexts of its contexts of its productionproduction

• Whether accepted or contested, Whether accepted or contested, conceptions of ethical principles, conceptions of ethical principles, definitions of ethical dilemmas, and definitions of ethical dilemmas, and

ethical choices and actions are ethical choices and actions are constructedconstructed

Monica Casper Monica Casper (1998)—(1998)—The Making The Making of the of the Unborn Patient: The Social Unborn Patient: The Social Anatomy of Anatomy of

Fetal SurgeryFetal SurgeryI care too much about the issues raised I care too much about the issues raised by fetal surgery and the unborn patient by fetal surgery and the unborn patient to assume a polite, reasonable to assume a polite, reasonable distance, and instead embrace a distance, and instead embrace a politics of engagement that recognizes politics of engagement that recognizes my own immersions in the worlds I my own immersions in the worlds I study. I have been moved and study. I have been moved and transformed by this research in multiple transformed by this research in multiple ways, and fetal surgery is something I ways, and fetal surgery is something I shall continue to think and talk about shall continue to think and talk about long after this book is published. long after this book is published.

Casper (cont.)Casper (cont.)

My politics and intellectual assumptions My politics and intellectual assumptions have been shaken time and again, have been shaken time and again, precisely because fetal surgery evokes precisely because fetal surgery evokes persistent debates about fetuses, abortion, persistent debates about fetuses, abortion, womenwomen’’s roles, the health-care system, s roles, the health-care system, and rescue technologies. and rescue technologies. (1998, p. 25)(1998, p. 25)

______________

MonicaMonica J. Casper. 1998. J. Casper. 1998. The Making of the Unborn Patient: The Making of the Unborn Patient:

A social anatomy of fetal surgeryA social anatomy of fetal surgery. New Brunswick, . New Brunswick, NJ: Rutgers University Press.NJ: Rutgers University Press.

When are emergent ethics When are emergent ethics problematic?problematic?

• The meanings of emergent ethical The meanings of emergent ethical practice, as with other ethical practice, as with other ethical

stances, may be contested and stances, may be contested and open to multiple definitions.open to multiple definitions.

• You may see my ethical decision You may see my ethical decision as as an account, a justification an account, a justification

Jay MacLeod (1996)--on Jay MacLeod (1996)--on withholding withholding information in information in courtcourtII decided to say nothing about the decided to say nothing about the argument that preceded the argument that preceded the shooting….I didn’t feel good about shooting….I didn’t feel good about my role in the proceeding, especially my role in the proceeding, especially refraining from providing information refraining from providing information under oath, but neither did I lose under oath, but neither did I lose sleep over the incident. Bourgeois sleep over the incident. Bourgeois morality has diminished relevance in morality has diminished relevance in a place like Clarendon Heights, where a place like Clarendon Heights, where the dictates of practical necessity the dictates of practical necessity often leave very little “moral ground” often leave very little “moral ground” on which to stand. on which to stand. (p. 137) (p. 137)

Tensions between Goals of Ethics Tensions between Goals of Ethics and and Qualitative ResearchQualitative Research

• Conducting qualitative research Conducting qualitative research means means tolerating ambiguitytolerating ambiguity

• Ethical questions arise in ambiguous Ethical questions arise in ambiguous situationssituations

• Qualitative research assumes Qualitative research assumes different different values and directions values and directions than medical and than medical and quantitative quantitative research—starting points, research—starting points, standpoints, and priorities differstandpoints, and priorities differ

• General ethical principles may not fitGeneral ethical principles may not fit

Tensions between Goals of Ethics Tensions between Goals of Ethics and and Qualitative Research Qualitative Research (cont.)(cont.)•Ethics aims for general principles, Ethics aims for general principles,

a a frame that informs a range of frame that informs a range of events and incidentsevents and incidents

• Qualitative research (now) aims Qualitative research (now) aims for for contextualizedcontextualized knowledge knowledge located located in specific historical, in specific historical, cultural, cultural, social, and situational social, and situational

circumstancescircumstances

Tensions between Goals of Ethics Tensions between Goals of Ethics and and Qualitative Research Qualitative Research

(cont(cont.).)• Contextualized research aimed Contextualized research aimed

for for situated knowledge does not situated knowledge does not always coincide with ethical always coincide with ethical theory or the premises of theory or the premises of

Institutional Review Boards Institutional Review Boards (IRBs)(IRBs)

• Under certain conditions, the Under certain conditions, the tensions are irresolvable tensions are irresolvable

Monica Casper (2007)—Reflection Monica Casper (2007)—Reflection about about her 1998 study of fetal her 1998 study of fetal surgerysurgery

I had been critical of surgeons and their lack of ethical reflection, to be sure, but I was also deeply concerned about fetal health and well-being. Surely we were roughly on the same side. __________

Monica J. Casper, 2007. Fetal surgery then and now. Conscience: The News Journal of Catholic Opinion 28(3): 24-27.

Monica Casper—2007 Reflection Monica Casper—2007 Reflection about about her 1998 study of fetal her 1998 study of fetal surgerysurgeryYet I had also positioned myself as

an advocate for pregnant women, arguing for their safety, care, and autonomy while challenging many aspects of the procedure itself. In the end, I realized that my book had become caught up in the very politics about which I had written.

Review boards seek to protect: Review boards seek to protect: Review boards seek to protect: Review boards seek to protect:

• Vulnerable populationsVulnerable populations

• Institutionalized populationsInstitutionalized populations

• Their sponsoring institutionTheir sponsoring institution

• The researcher?The researcher?  

Review boards seek to ensure:Review boards seek to ensure:Review boards seek to ensure:Review boards seek to ensure:

• Informed consentInformed consent

• Anonymity and confidentialityAnonymity and confidentiality

• Lack of harm to subjectLack of harm to subject

• Benefits to subjectsBenefits to subjects

And increasingly-And increasingly---• Perceived quality of approved Perceived quality of approved

research projects research projects

  

From ethics creep to From ethics creep to surveillancesurveillance

march? march?

•The language of ethics has been The language of ethics has been transformed by assumptions transformed by assumptions

of risk of risk and surveillanceand surveillance

•Boundaries blur between ethics Boundaries blur between ethics and and surveillancesurveillance

Expanding ethics review of human Expanding ethics review of human subjects researchsubjects research1.1. All Federally funded research projectsAll Federally funded research projects2.2. All funded research projectsAll funded research projects3.3. All graduate and faculty research All graduate and faculty research

projects projects 4.4. Special scrutiny for “sensitive” topicsSpecial scrutiny for “sensitive” topics5.5. Rejection of research proposals on Rejection of research proposals on

vulnerable populations vulnerable populations6.6. No identifiers—in computers, on reportsNo identifiers—in computers, on reports7.7. No undergraduate student research No undergraduate student research

beyond the classroom without beyond the classroom without IRB IRB approval approval

8.8. Fewer expedited reviewsFewer expedited reviews

Kevin Vyran’s Amended Informed Kevin Vyran’s Amended Informed Consent Consent Form to Inform HimselfForm to Inform Himself

In signing this Amendment Form, I hereby In signing this Amendment Form, I hereby grant myself consent to utilize all of my grant myself consent to utilize all of my own past, present, and future writings, own past, present, and future writings, drawings, and other of my own personal drawings, and other of my own personal records and creative products for the records and creative products for the purposes of research and publishing purposes of research and publishing purposes. I understand that since this is purposes. I understand that since this is an overtly autobiographical study and my an overtly autobiographical study and my identity as the author will be publicly-identity as the author will be publicly-knowable, I will be identifiable in all knowable, I will be identifiable in all published accounts. (published accounts. (SSSITalk Mon., 23 Feb SSSITalk Mon., 23 Feb 2004). 2004).

How do institutional review boards How do institutional review boards operate?operate?

How do institutional review boards How do institutional review boards operate?operate?

In brief, these boards:

• Emerged in response to worst case research

• Show substantial variance among Show substantial variance among institutions in structure and in institutions in structure and in

deliberations and decisionsdeliberations and decisions

• Invoke medical and quantitative Invoke medical and quantitative modelsmodels

• Rely on general principles—may not Rely on general principles—may not distinguish between types of distinguish between types of researchresearch

• Reduce principles to proceduresReduce principles to procedures

Unrecognized and/or Unrecognized and/or unacknowledged unacknowledged differences differences between:between:• Discovery and deceptionDiscovery and deception

• Preconceived (FORCED) research Preconceived (FORCED) research questions vs. questions vs. emergent inquiryemergent inquiry

• Reviewing the general design of Reviewing the general design of qualitative research and changing its qualitative research and changing its

focusfocus

• Pursuing knowledge and protecting Pursuing knowledge and protecting the the sponsoring institution—no risk sponsoring institution—no risk proposals proposals

IRB bureaucratizationIRB bureaucratization

• Minimizes the problematic aspects Minimizes the problematic aspects of of on-goingon-going informed consent informed consent

• Assumes that harm can be specified Assumes that harm can be specified beforehand beforehand

• Reduces possibilities for studying upReduces possibilities for studying up

• Overlooks organizational and macro Overlooks organizational and macro power arrangements power arrangements

• Vitiates pursuing investigative Vitiates pursuing investigative social social science science

Kakali Bhattacharya (2007)—Fixed Kakali Bhattacharya (2007)—Fixed and fluid understandings and fluid understandings

between between the researcher and the researcher and researchedresearched

BB

Neerada asks me if she can stay with Neerada asks me if she can stay with me, as she thinks of me as her elder me, as she thinks of me as her elder sister. In the context of Indian culture, sister. In the context of Indian culture, this is a common kinship relationship this is a common kinship relationship that girls form with other women older that girls form with other women older than themselves. I begin to think of than themselves. I begin to think of what I would have done had I really what I would have done had I really been her older sister. Would I have left been her older sister. Would I have left her alone? When should my researcher her alone? When should my researcher self kick in?self kick in?

Bhattacharya (cont.)Bhattacharya (cont.)

Because my researcher self perceives Because my researcher self perceives the entire conversation as data, I the entire conversation as data, I question ifquestion ifNeerada consented to my using any Neerada consented to my using any and all information to which she has and all information to which she has given me access as a re-presentation given me access as a re-presentation of her experiences? of her experiences? (p. 1096)(p. 1096)

Qualitative Inquiry Qualitative Inquiry 13: 1095- 111413: 1095- 1114

Bhattacharya on Neerada’s trust:Bhattacharya on Neerada’s trust:

Granting me such privilege becomes Granting me such privilege becomes more of a burden than a relief. Does more of a burden than a relief. Does she understand what it means to give she understand what it means to give me such access and permission? me such access and permission? Should the researcher play the role of a Should the researcher play the role of a protector and tell the participant the protector and tell the participant the implications of sharing such implications of sharing such information? Am I assuming that information? Am I assuming that Neerada is too naïve and incapable of Neerada is too naïve and incapable of understanding the qualitative research understanding the qualitative research process? process? (p. 1098)(p. 1098)

Problematic areas for IRB committees Problematic areas for IRB committees and and for the researcher for the researcher

Problematic areas for IRB committees Problematic areas for IRB committees and and for the researcher for the researcher

● Sustained research with the same Sustained research with the same person(s)— person(s)—ethnography, ethnography,

narrative narrative analysis, case analysis, case studies, biography studies, biography

● Implicated actorsImplicated actors● “ “Internal confidentiality” Internal confidentiality” (Tolich 2004; (Tolich 2004;

Rosenblatt 1995)Rosenblatt 1995)

● Open-ended research process and Open-ended research process and product product

● Authenticity of the research reportAuthenticity of the research report

““Off the Mark,” William Kornblum. 2008Off the Mark,” William Kornblum. 2008Qualitative Sociology Qualitative Sociology 31(2) p. 196, 31(2) p. 196,

Review of Review of Sudhir Venkatesh, Sudhir Venkatesh, Off the Off the Books: The Books: The Underground Economy of Underground Economy of the Urban Poorthe Urban Poor

Too much fictionalizing of a neighborhood or Too much fictionalizing of a neighborhood or community risks making a real place intocommunity risks making a real place intoa “nowhere.” One then has the freedom to a “nowhere.” One then has the freedom to make assertions about its people without make assertions about its people without fear that anyone may offer contradicting fear that anyone may offer contradicting evidence. I am sure this was not Sudhir evidence. I am sure this was not Sudhir Venkatesh’s intention, but the problem does Venkatesh’s intention, but the problem does become significant.become significant.

““Reply to Critics,” Sudhir Venkatesh. Reply to Critics,” Sudhir Venkatesh. 20082008

Qualitative Sociology Qualitative Sociology 31(2) p. 20231(2) p. 202

The characters in study are real beings who The characters in study are real beings who live in Chicago, but they are embodiments live in Chicago, but they are embodiments of institutionalized social roles. For this of institutionalized social roles. For this epistemological reason, and because of the epistemological reason, and because of the pragmatic promise I made to them (and to pragmatic promise I made to them (and to my university’s Institutional Review Board) my university’s Institutional Review Board) to protect their anonymity, I altered the to protect their anonymity, I altered the names of individuals and locations. names of individuals and locations. Kornblum misperceives these choices for Kornblum misperceives these choices for “fictionalizing.” “fictionalizing.” ..

Reply from Venkatesh (cont.)Reply from Venkatesh (cont.)

The neighborhood is real and I take The neighborhood is real and I take care to specify the wider region, care to specify the wider region, located in Chicago’s Southside (Greater located in Chicago’s Southside (Greater Grand Boulevard), in which Maquis Park Grand Boulevard), in which Maquis Park is situated. It would not be hard to find is situated. It would not be hard to find demographic information on Chicago’s demographic information on Chicago’s Southside. More important, however, Southside. More important, however, contemporary ethnographers seem to contemporary ethnographers seem to conflate the use of real names with conflate the use of real names with accountability and a proper adherence accountability and a proper adherence to the scientific enterprise.to the scientific enterprise.

Representation, anonymity, and Representation, anonymity, and ethics ethics in writing an ethnographic in writing an ethnographic storystory

WW

Morality wars were waged between Morality wars were waged between various professional contingents and various professional contingents and played out in patients’ lives. Most nurses played out in patients’ lives. Most nurses imposed behavioral standards concerning imposed behavioral standards concerning sexuality, drinking, and cleanliness, sexuality, drinking, and cleanliness, although a few winked and walked away. although a few winked and walked away. The physical therapists claimed the moral The physical therapists claimed the moral high ground on assessments of patient high ground on assessments of patient independenceindependence. They battled social workers . They battled social workers to gain early discharge dates by raising the to gain early discharge dates by raising the specter of patients’ losing moral fiber and, specter of patients’ losing moral fiber and, subsequently, becoming institutionalized. subsequently, becoming institutionalized.

Remaining at the center after Remaining at the center after reaching their therapists’ notion of reaching their therapists’ notion of maximum improvement would surely maximum improvement would surely result in all the deleterious effects of result in all the deleterious effects of institutionalization. The head social institutionalization. The head social worker said to me in disgust, “The worker said to me in disgust, “The physical therapists think only God and physical therapists think only God and they know when patients should be they know when patients should be discharged.” discharged.”

The chief business administrator, Mr. The chief business administrator, Mr. Darby, fought with the head nurse, Darby, fought with the head nurse, Miss Flora, over treatment plans, Miss Flora, over treatment plans, programs, and institutional policies—programs, and institutional policies—over everything. He even once told over everything. He even once told me, “Miss Flora won’t ever change. me, “Miss Flora won’t ever change. The only way to get rid of a nurse like The only way to get rid of a nurse like that is through retirement.” that is through retirement.”

……. Mr. Darby told me that it took him a . Mr. Darby told me that it took him a decade to persuade Miss Flora to stop decade to persuade Miss Flora to stop coming back to the center on her coming back to the center on her Saturday nights off. Stories abounded Saturday nights off. Stories abounded of those days, or, rather, nights, when of those days, or, rather, nights, when Miss Flora returned. She was said to Miss Flora returned. She was said to hide next to the storage cabinet down hide next to the storage cabinet down the dark corridor near the backdoor, the the dark corridor near the backdoor, the better to nab miscreants about to sneak better to nab miscreants about to sneak to the liquor store a mile down the road. to the liquor store a mile down the road. (pp. 530-531)(pp. 530-531)________________Charmaz, 2000. Charmaz, 2000. Sociological PerspectivesSociological Perspectives 43:527-549. 43:527-549.

Although Miss Flora’s midnight visits Although Miss Flora’s midnight visits had ceased, her attention to had ceased, her attention to misbehavior had not. At Monday staff misbehavior had not. At Monday staff meetings she announced her weekend meetings she announced her weekend bottle count taken from the garbage bottle count taken from the garbage cans. Miss Flora not only testified to cans. Miss Flora not only testified to the broken rules but also supported the broken rules but also supported her conviction that Mr. Darby failed to her conviction that Mr. Darby failed to run a proper institution. And so it run a proper institution. And so it went. went.

• Goals of knowledge are not the same Goals of knowledge are not the same as as those of human subjects those of human subjects review boardsreview boards

• Goals of ethics may differ from goals Goals of ethics may differ from goals of of knowledge and from review boardsknowledge and from review boards

AND NOW CONSIDERAND NOW CONSIDER

• Goals of knowledge for certain Goals of knowledge for certain studies studies are interwoven with are interwoven with service provisionservice provision

  

Recall my starting premisesRecall my starting premisesRecall my starting premisesRecall my starting premises

Hilary Brown and David Thompson Hilary Brown and David Thompson (1997)--The ethics of research with (1997)--The ethics of research with men who have learning disabilities men who have learning disabilities and abusive sexual behaviour: a and abusive sexual behaviour: a minefield in a vacuumminefield in a vacuum

Could these men give informed Could these men give informed consent as research subjects?consent as research subjects?

• Vulnerable population with intellectual Vulnerable population with intellectual impairment—Would they understand impairment—Would they understand that they could incriminate themselves?that they could incriminate themselves?

• Unequal relationship with service Unequal relationship with service providers providers who ask them to who ask them to participate in participate in research they might research they might not understandnot understand

Brown and Thompson (cont.)Brown and Thompson (cont.)

• Conflicting interests with other potential Conflicting interests with other potential stakeholders and beneficiariesstakeholders and beneficiaries– Other people with learning disabilities—often Other people with learning disabilities—often

their victimstheir victims– Care workers (accountable for the men’s Care workers (accountable for the men’s

behavior?)behavior?)– Members of the public who may become Members of the public who may become

their their victimsvictims– Entire service system—its efforts to Entire service system—its efforts to

represent all represent all people with people with learning/developmental disabilities learning/developmental disabilities as as valued community members valued community members (see p. 698)(see p. 698)

Creating multi-level solutionsCreating multi-level solutions

• Individual actionsIndividual actions

• Organizational effortsOrganizational efforts

• Involvement in empirical Involvement in empirical researchresearch

Rosenblatt concludes:Rosenblatt concludes:

There is much more to doing There is much more to doing ethical research than applying…ethical research than applying…ethical principles. I do not think ethical principles. I do not think there is a trustworthy ethical there is a trustworthy ethical formula that one can bring to a formula that one can bring to a qualitative research interview. If qualitative research interview. If anything, one must be open to anything, one must be open to co-constructing a set of ethical co-constructing a set of ethical guidelines as the interview guidelines as the interview unfolds. unfolds. (1995, p. 155)(1995, p. 155)

In short , emergent ethics! In short , emergent ethics!

A final word--A final word--

Thank you for your Thank you for your attention attention

Enjoy the Festival! Enjoy the Festival!