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Qualitative Research Methods: A Data Collector s Field Guide

Module 1

Qualitative Research Methods Overview

FAMILY

HEALTH

INTERNATIONAL

Qualitative Research Methods Overview

hismoduleintroducesthefundamentalelementsofaqualitativeapproachtoresearch,to
helpyouunderstandandbecomeproficientinthequalitativemethodsdiscussedinsubse
quentmodules.Werecommendthatyouconsultthesuggestedreadingsattheendofthe
moduleformoreindepthtreatmentofthefoundationsofqualitativeresearch.
Thismodulecoversthefollowingtopics:
IntroductiontoQualitativeResearch

ComparingQualitativeandQuantitativeResearch

SamplinginQualitativeResearch

RecruitmentinQualitativeResearch

EthicalGuidelinesinQualitativeResearch

SuggestedReadings

Introduction to Qualitative Research

What is qualitative research?
Qualitativeresearchisatypeofscientificresearch.Ingeneralterms,scientificresearchconsists
ofaninvestigationthat:
seeksanswerstoaquestion

systematicallyusesapredefinedsetofprocedurestoanswerthequestion

collectsevidence

producesfindingsthatwerenotdeterminedinadvance

producesfindingsthatareapplicablebeyondtheimmediateboundariesofthestudy

Qualitativeresearchsharesthesecharacteristics.Additionally,itseekstounderstandagiven
researchproblemortopicfromtheperspectivesofthelocalpopulationitinvolves.Qualitative
researchisespeciallyeffectiveinobtainingculturallyspecificinformationaboutthevalues,
opinions,behaviors,andsocialcontextsofparticularpopulations.

What can we learn from qualitative research?

Thestrengthofqualitativeresearchisitsabilitytoprovidecomplextextualdescriptionsofhow
peopleexperienceagivenresearchissue.Itprovidesinformationaboutthehumansideofan
issuethatis,theoftencontradictorybehaviors,beliefs,opinions,emotions,andrelationshipsof
individuals.Qualitativemethodsarealsoeffectiveinidentifyingintangiblefactors,suchassocial
norms,socioeconomicstatus,genderroles,ethnicity,andreligion,whoseroleintheresearch

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issuemaynotbereadilyapparent.Whenusedalongwithquantitativemethods,qualitative
researchcanhelpustointerpretandbetterunderstandthecomplexrealityofagivensituation
andtheimplicationsofquantitativedata.
Althoughfindingsfromqualitativedatacanoftenbeextendedtopeoplewithcharacteristicssim
ilartothoseinthestudypopulation,gainingarichandcomplexunderstandingofaspecific
socialcontextorphenomenontypicallytakesprecedenceoverelicitingdatathatcanbegeneral
izedtoothergeographicalareasorpopulations.Inthissense,qualitativeresearchdiffersslightly
fromscientificresearchingeneral.

What are some qualitative research methods?

Thethreemostcommonqualitativemethods,explainedindetailintheirrespectivemodules,are
participantobservation,indepthinterviews,andfocusgroups.Eachmethodisparticularlysuited
forobtainingaspecifictypeofdata.

Participant observationisappropriateforcollectingdataonnaturallyoccurringbehaviorsin
theirusualcontexts.

In-depth interviewsareoptimalforcollectingdataonindividualspersonalhistories,per
spectives,andexperiences,particularlywhensensitivetopicsarebeingexplored.

Focus groupsareeffectiveinelicitingdataontheculturalnormsofagroupandingenerat
ingbroadoverviewsofissuesofconcerntotheculturalgroupsorsubgroupsrepresented.

What forms do qualitative data take?

Thetypesofdatathesethreemethodsgeneratearefieldnotes,audio(andsometimesvideo)
recordings,andtranscripts.

Comparing Quantitative and Qualitative Research

What are the basic differences between quantitative and qualitative
research
methods?
Quantitativeandqualitativeresearchmethodsdifferprimarilyin:

theiranalyticalobjectives

thetypesofquestionstheypose

thetypesofdatacollectioninstrumentstheyuse

theformsofdatatheyproduce

thedegreeofflexibilitybuiltintostudydesign

Table1,page3,brieflyoutlinesthesemajordifferences.Foramoreindepththeoreticaltreat
mentofthedifferencesbetweenqualitativeandquantitativeresearch,wereferthereadertothe
suggestedreadingslistedattheendofthischapter,especiallyBernard1995.

Qualitative Research Methods: A Data Collectors Field Guide

Table 1. Comparison of quantitative and qualitative research approaches OVERIW

General framework

Quantitative

Qualitative

Seek to confirm hypotheses

Seek to explore phenomena

about
phenomena

Analytical objectives

Instruments use more flexible,

Instruments use more rigid style iterative style of eliciting and
categorizing responses to questions
of eliciting and categorizing
responses to questions
Use semi-structured methods such
Use highly structured methods as in-depth interviews, focus
such as questionnaires, surveys, groups, and participant observation
and structured observation
To describe variation
To quantify variation
To describe and explain relationships
To predict causal relationships
To describe individual experiences
To describe characteristics of a
population
To describe group norms

Question format

Closed-ended

Data format

Numerical (obtained by
Textual (obtained from audiotapes,
assigning
videotapes, and field notes)
numerical values to responses)

Flexibility in study
design

Study design is stable from

beginning to end

Open-ended

Some aspects of the study are

flexible (for example, the addition,
exclusion, or wording of particular
interview questions)

Participant responses affect how

Participant responses do not
and which questions researchers
influence or determine how and ask next
which questions researchers ask
next
Study design is subject to
statistical assumptions and
conditions

Study design is iterative, that is,

data collection and research
questions are adjusted according
to what is learned

What is the most important difference between quantitative and qualitative

methods?
Thekeydifferencebetweenquantitativeandqualitativemethodsistheirflexibility.Generally,
quantitativemethodsarefairlyinflexible.Withquantitativemethodssuchassurveysandques
tionnaires,forexample,researchersaskallparticipantsidenticalquestionsinthesameorder.The
responsecategoriesfromwhichparticipantsmaychooseareclosedendedorfixed.Theadvan
tageofthisinflexibilityisthatitallowsformeaningfulcomparisonofresponsesacrosspartici
pantsandstudysites.However,itrequiresathoroughunderstandingoftheimportantquestions
toask,thebestwaytoaskthem,andtherangeofpossibleresponses.
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Qualitativemethodsaretypicallymoreflexiblethatis,theyallowgreaterspontaneityand
adaptationoftheinteractionbetweentheresearcherandthestudyparticipant.Forexample,qual
itativemethodsaskmostlyopenendedquestionsthatarenotnecessarilywordedinexactlythe
samewaywitheachparticipant.Withopenendedquestions,participantsarefreetorespondin
theirownwords,andtheseresponsestendtobemorecomplexthansimplyyesorno.
Inaddition,withqualitativemethods,therelationshipbetweentheresearcherandtheparticipant
isoftenlessformalthaninquantitativeresearch.Participantshavetheopportunitytorespond
moreelaboratelyandingreaterdetailthanistypicallythecasewithquantitativemethods.In
turn,researchershavetheopportunitytorespondimmediatelytowhatparticipantssaybytailor
ingsubsequentquestionstoinformationtheparticipanthasprovided.
Itisimportanttonote,however,thatthereisarangeofflexibilityamongmethodsusedinboth
quantitativeandqualitativeresearchandthatflexibilityisnotanindicationofhowscientifically
rigorousamethodis.Rather,thedegreeofflexibilityreflectsthekindofunderstandingofthe
problemthatisbeingpursuedusingthemethod.

What are the advantages of qualitative methods for exploratory

research?
Oneadvantageofqualitativemethodsinexploratoryresearchisthatuseofopenendedquestions
andprobinggivesparticipantstheopportunitytorespondintheirownwords,ratherthanforcing
themtochoosefromfixedresponses,asquantitativemethodsdo.Openendedquestionshavethe
abilitytoevokeresponsesthatare:
meaningfulandculturallysalienttotheparticipant

unanticipatedbytheresearcher

richandexplanatoryinnature

Anotheradvantageofqualitativemethodsisthattheyallowtheresearchertheflexibilitytoprobe
initialparticipantresponsesthatis,toaskwhyorhow.Theresearchermustlistencarefullyto
whatparticipantssay,engagewiththemaccordingtotheirindividualpersonalitiesandstyles,
anduseprobestoencouragethemtoelaborateontheiranswers.(SeethemodulesonInDepth
InterviewsandFocusGroups,pages4243and6465respectively,fordiscussionsofprobes.)

Is my quantitative experience applicable to qualitative research?

Althoughtheobjectivesofquantitativeandqualitativeresearcharenotmutuallyexclusive,their
approachestodecipheringtheworldinvolvedistinctresearchtechniquesandthusseparateskill
sets.Thisguideisintendedtotrainresearchersintheskillsetrequiredforqualitativeresearch.
Experienceinquantitativemethodsisnotrequired,butneitherisitadisadvantage.Essentialfor
ourpurposes,rather,isthatallqualitativedatacollectorshaveaclearunderstandingofthediffer
encesbetweenqualitativeandquantitativeresearch,inordertoavoidconfusingqualitativeand
quantitativetechniques.Whateveraresearchersexperienceineitherapproach,ageneralgraspof
thepremisesandobjectivesmotivatingeachhelpsdevelopandimprovecompetenceinthequali
tativedatacollectiontechniquesdetailedinthisguide.

Qualitative Research Methods: A Data Collectors Field Guide

Sampling in Qualitative Research

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Evenifitwerepossible,itisnotnecessarytocollectdatafromeveryoneinacommunityin
ordertogetvalidfindings.Inqualitativeresearch,onlyasample(thatis,asubset)ofapopula
tionisselectedforanygivenstudy.Thestudysresearchobjectivesandthecharacteristicsofthe
studypopulation(suchassizeanddiversity)determinewhichandhowmanypeopletoselect.In
thissection,webrieflydescribethreeofthemostcommonsamplingmethodsusedinqualitative
research:purposivesampling,quotasampling,andsnowballsampling.Asdatacollectors,you
willnotberesponsibleforselectingthesamplingmethod.Theexplanationsbelowaremeantto
helpyouunderstandthereasonsforusingeachmethod.

What is purposive sampling?

Purposivesampling,oneofthemostcommonsamplingstrategies,groupsparticipantsaccording
topreselectedcriteriarelevanttoaparticularresearchquestion(forexample,HIVpositivewomen
inCapitalCity).Samplesizes,whichmayormaynotbefixedpriortodatacollection,dependon
theresourcesandtimeavailable,aswellasthestudysobjectives.Purposivesamplesizesare
oftendeterminedonthebasisoftheoreticalsaturation(thepointindatacollectionwhennewdata
nolongerbringadditionalinsightstotheresearchquestions).Purposivesamplingistherefore
mostsuccessfulwhendatareviewandanalysisaredoneinconjunctionwithdatacollection.

What is quota sampling?

Quotasampling,sometimesconsideredatypeofpurposivesampling,isalsocommon.Inquota
sampling,wedecidewhiledesigningthestudyhowmanypeoplewithwhichcharacteristicsto
includeasparticipants.Characteristicsmightincludeage,placeofresidence,gender,class,pro
fession,maritalstatus,useofaparticularcontraceptivemethod,HIVstatus,etc.Thecriteriawe
chooseallowustofocusonpeoplewethinkwouldbemostlikelytoexperience,knowabout,or
haveinsightsintotheresearchtopic.Thenwegointothecommunityandusingrecruitment
strategiesappropriatetothelocation,culture,andstudypopulationfindpeoplewhofitthese
criteria,untilwemeettheprescribedquotas.(SeethesectioninthismoduleonRecruitmentin
QualitativeResearch,page6.)

How do purposive and quota sampling differ?

Purposiveandquotasamplingaresimilarinthattheybothseektoidentifyparticipantsbasedon
selectedcriteria.However,quotasamplingismorespecificwithrespecttosizesandproportions
ofsubsamples,withsubgroupschosentoreflectcorrespondingproportionsinthepopulation.If,
forexample,genderisavariableofinterestinhowpeopleexperienceHIVinfection,aquota
samplewouldseekanequalbalanceofHIVpositivemenandHIVpositivewomeninagiven
city,assuminga1:1genderratiointhepopulation.Studiesemploypurposiveratherthanquota
samplingwhenthenumberofparticipantsismoreofatargetthanasteadfastrequirementthat
is,anapproximateratherthanastrictquota.

What is snowball sampling?

Athirdtypeofsampling,snowballingalsoknownaschainreferralsamplingisconsideredatype
ofpurposivesampling.Inthismethod,participantsorinformantswithwhomcontacthasalready
beenmadeusetheirsocialnetworkstorefertheresearchertootherpeoplewhocouldpotentially
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participateinorcontributetothestudy.Snowballsamplingisoftenusedtofindandrecruithidden
populations,thatis,groupsnoteasilyaccessibletoresearchersthroughothersamplingstrategies.

Recruitment in Qualitative Research

Arecruitmentstrategyisaprojectspecificplanforidentifyingandenrollingpeopletopartici
pateinaresearchstudy.Theplanshouldspecifycriteriaforscreeningpotentialparticipants,the
numberofpeopletoberecruited,thelocation,andtheapproachtobeused.Inthissection,we
addresssomeofthequestionsthatmaycomeupduringtherecruitmentofparticipants.

How are recruitment strategies decided?

Ideally,thelocalprincipalinvestigatorandqualitativeresearch
teammembersworktogether,incloseconsultationwithcom
munityleadersandgatekeepers(thatis,communitymembersin
positionsofofficialorunofficialauthority),todevelopaplanto
identifyandrecruitpotentialparticipantsforeachsite.
Recruitmentstrategiesaredeterminedbythetypeandnumber
ofdatacollectionactivitiesinthestudyandbythecharacteris
ticsofthestudypopulation.Theyaretypicallyflexibleandcan
bemodifiedifnewtopics,researchquestions,orsubpopulations
emergeasimportanttothestudy,orifinitialstrategiesdonot
resultinthedesirednumberofrecruits.Thecriteriaforselec
tioncanalsobechangedifcertaindatacollectionactivitiesor
subpopulationsofpeopleprovenottobeusefulinansweringtheresearchquestions,asdiscussed
ingreaterdetailbelow.

What if we disagree with recommendations from local leaders?

Itisimportantfortheresearchteamtoberespectfulofandresponsivetotheguidanceand
adviceoflocalexpertsandcommunityleaders.Rememberthattheyhavehadmoreopportunity
toestablishrapportwiththelocalcommunityandtheywillalsohavetomaintainthatrapport
afterthestudyiscomplete.Rememberalsothatcommunitymembersmayholdcommunitylead
ersandlocalorganizationsaccountableforanymisunderstandingsorotherproblemsresulting
fromthebehaviorofthefieldstaff.

What should we say to people when we try to recruit them?

Eachresearchteamdevelopsguidelinesfortheintroductorycommentsstaffmaketopotential
participantsateachsite.Theseguidelinesneedtobesensitivetothesocialandculturalcontexts
fromwhichparticipantswillberecruited.Theyshouldalsoreflecttheresearchersawareness
thatwillingnesstoparticipateinanintervieworfocusgroupwilldependonhowwellthepartici
pantsunderstandwhatthestudyisabout,whatwillbeexpectedofthemiftheyparticipate,and
howtheirprivacywillberespected.
Indevelopingrecruitmentguidelines,itisimportanttotakespecialcaretoavoidsayinganything
thatcouldbeinterpretedascoercive.Thevoluntarynatureofparticipationinresearchstudies
shouldalwaysbeemphasized.

Qualitative Research Methods: A Data Collectors Field Guide

Can we recruit people who are legally under the care of a parent or guardian?
Yes,youmayrecruitminors,butinmostcasesyoumustobtaininformedconsent(discussedin
detailinthismodulessectiononEthicalGuidelinesinQualitativeResearch,page9)fromthe
parentorguardian,aswellasfromthepotentialparticipant.Exceptionstotheparentalconsent
requirementincludepregnantadolescentsandhomelessminors,butyoushouldalwaysconsultthe
guidelinesoftherelevantethicsreviewboardsbeforeproceedingwithrecruitment.Moreover,
recruitmentofminorsmustbespecificallyapprovedbyallrelevantethicsreviewboards.Because
theyareconsideredavulnerablepopulation,recruitingminorsforresearchstudiesisahighlysen
sitiveissue,andextrameasuresarerequiredtoensuretheirprotection.

Do we always need to obtain informed consent? If so, oral or written?

Theethicscommitteethatreviewsandapprovesthestudyprotocoldetermineswhetherinformed
consentneedstobeobtainedforeachdatacollectionactivity.Typically,formalinformedconsent
isnecessaryforallqualitativeresearchmethodsexceptparticipantobservation,regardlessofthe
samplingmethodusedtoidentifypotentialparticipantsandthestrategiesusedtorecruitthem.
Whetherthisinformedconsentisoralorwrittendependsonanumberofprojectspecificfactors
andultimatelyuponapprovalbytheethicscommittee.Duringrecruitment,obtaininginformed
consentforqualitativeresearchinvolvesclearlyexplainingtheprojecttopotentialstudypartici
pants.(SeethesectioninthismoduleonEthicalGuidelinesinQualitativeResearch,page9,for
moreoninformedconsent.)

What if the recruitment strategy is not working?

Afterdatacollectionisunderway,thelocalprincipalinvestigatorandfieldstaffmayfindthat
therecruitmentstrategyisnotworkingaswellasanticipated.Becausequalitativeresearchisan
iterativeprocess,itispermissibletochangetherecruitmentstrategy,aslongastheproper
approvalsareobtained.
Forexample,itmaybenecessarytodevelopanewrecruitmentstrategybecausefollowingthe
originalplanhasresultedininadequateenrollmentorbecauseresearchersdeterminethatthey
needparticipantswhomeetadifferentsetofcriteria.Aftermeetingtodiscussalternatives,the
researchteamshouldwritedownreasonswhythestrategywasnotworkingorneedstobe
changedandoutlinehowtheywouldliketochangeit.
Proposedchangesintherecruitmentstrategymustbesubmittedtothesponsoringorganization,
andsomewillrequiresubmissionofaprotocolamendmentforapprovalbytheethicscommittees
thatinitiallyapprovedtheresearch.Ifnewcriteriaforparticipationareproposed,forinstance,
theymustbeapprovedbyrelevantethicscommitteesbeforethenewphaseofrecruitmentcan
begin.Similarly,increasingthenumberofrecruitswouldalsorequireethicscommitteeapproval.
Becauseofthelimitedtimeframefordatacollection,itisimportantthatthefieldstaffwork
closelywiththesiteprincipalinvestigatorandcommunitygatekeeperstoidentifyandrecruitthe
newsetofresearchparticipants.

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Ethical Guidelines in Qualitative Research

Thissectionbrieflysummarizesethicalissuesrelevanttoqualitativeresearch.Itisintendedto
provideacontextfordiscussioninsubsequentmodulesofproceduresforsafeguardingresearch
participantsinterests.Qualitativeresearchers,likeanyoneconductingresearchwithpeople,
shouldundergoformalresearchethicstraining.Thematerialpresentedhereisnotasubstitutefor
trainingonresearchethics.Alistofethicstrainingresourcesisincludedonpage12.
Research ethicsdealsprimarilywiththeinteractionbetweenresearchersandthepeoplethey
study. Professional ethicsdealswithadditionalissuessuchascollaborativerelationshipsamong
researchers,mentoringrelationships,intellectualproperty,fabricationofdata,andplagiarism,
amongothers.Whilewedonotexplicitlydiscussprofessionalethicshere,theyareobviouslyas
importantforqualitativeresearchasforanyotherendeavor.Mostprofessionalorganizations,
suchastheAmericanAnthropologicalAssociation,theSocietyforAppliedAnthropology,the
AmericanSociologicalAssociation,andtheAmericanPublicHealthAssociation,havedeveloped
broadstatementsofprofessionalethicsthatareeasilyaccessibleviatheInternet.

Why is research ethics important in qualitative research?

Thehistoryanddevelopmentofinternationalresearchethicsguidanceisstronglyreflectiveof
abusesandmistakesmadeinthecourseofbiomedicalresearch.Thishasledsomequalitative
researcherstoconcludethattheirresearchisunlikelytobenefitfromsuchguidanceoreventhat
theyarenotatriskofperpetratingabusesormakingmistakesofrealconsequenceforthepeople
theystudy.Conversely,biomedicalandpublichealthresearcherswhousequalitativeapproaches
withouthavingthebenefitofformaltraininginthesocialsciencesmayattempttorigidlyenforce
bioethicspracticeswithoutconsideringwhethertheyareappropriateforqualitativeresearch.
Betweenthesetwoextremesliesabalancedapproachfoundedonestablishedprinciplesforethical
researchthatareappropriatelyinterpretedforandappliedtothequalitativeresearchcontext.
Agreeduponstandardsforresearchethicshelpensurethatasresearchersweexplicitlyconsiderthe
needsandconcernsofthepeoplewestudy,thatappropriateoversightfortheconductofresearch
takesplace,andthatabasisfortrustisestablishedbetweenresearchersandstudyparticipants.
Wheneverweconductresearchonpeople,thewellbeingofresearchparticipantsmustbeour
toppriority.Theresearchquestionisalwaysofsecondaryimportance.Thismeansthatifa
choicemustbemadebetweendoingharmtoaparticipantanddoingharmtotheresearch,itis
theresearchthatissacrificed.Fortunately,choicesofthatmagnituderarelyneedtobemadein
qualitativeresearch!Buttheprinciplemustnotbedismissedasirrelevant,orwecanfindour
selvesmakingdecisionsthateventuallybringustothepointwhereourworkthreatenstodisrupt
thelivesofthepeopleweareresearching.

Qualitative Research Methods: A Data Collectors Field Guide

What are the fundamental research ethics principles?

Threecoreprinciples,originallyarticulatedinTheBelmontReport, 1formtheuniversallyaccepted
basisforresearchethics.
Respect for personsrequiresacommitmenttoensuringtheautonomyofresearchparticipants,
and,whereautonomymaybediminished,toprotectpeoplefromexploitationoftheirvulnerabil
ity.Thedignityofallresearchparticipantsmustberespected.Adherencetothisprincipleensures
thatpeoplewillnotbeusedsimplyasameanstoachieveresearchobjectives.
Beneficencerequiresacommitmenttominimizingtherisksassociatedwithresearch,including
psychologicalandsocialrisks,andmaximizingthebenefitsthataccruetoresearchparticipants.
Researchersmustarticulatespecificwaysthiswillbeachieved.
Justicerequiresacommitmenttoensuringafairdistributionoftherisksandbenefitsresulting
fromresearch.Thosewhotakeontheburdensofresearchparticipationshouldshareinthebene
fitsoftheknowledgegained.Or,toputitanotherway,thepeoplewhoareexpectedtobenefit
fromtheknowledgeshouldbetheoneswhoareaskedtoparticipate.
Inadditiontotheseestablishedprinciples,somebioethicistshavesuggestedthatafourthprinci
ple, respect for communities,shouldbeadded.Respectforcommunitiesconfersonthe
researcheranobligationtorespectthevaluesandinterestsofthecommunityinresearchand,
whereverpossible,toprotectthecommunityfromharm. 2Webelievethatthisprincipleis,in
fact,fundamentalforresearchwhencommunitywideknowledge,values,andrelationshipsare
criticaltoresearchsuccessandmayinturnbeaffectedbytheresearchprocessoritsoutcomes.

What is informed consent?

Informedconsentisamechanismforensuringthatpeopleunderstandwhatitmeanstopartici
pateinaparticularresearchstudysotheycandecideinaconscious,deliberatewaywhetherthey
wanttoparticipate.Informedconsentisoneofthemostimportanttoolsforensuring respect for
personsduringresearch.
Manypeoplethinkofinformedconsentprimarilyasa form,thatis,apieceofpaperthat
describesindetailwhattheresearchisabout,includingtherisksandbenefits.Thisformgener
allygoesthroughethicscommitteeapprovalprocedures,includeslegalisticlanguage,andis
signedbytheparticipant,theresearcher,andpossiblyawitness.Suchinformedconsentforms
areappropriateforbiomedicalandotherresearchincludingqualitativewhentherisksfaced
byparticipantsmaybesubstantial.Theymayalsobenecessaryforminimalriskresearchwhen
thefoundationfortrustbetweenresearchersandparticipantsisweak.

1NationalCommissionfortheProtectionofHumanSubjectsofBiomedicalandBehavioralResearch. The Belmont

Report. Ethical Principles and Guidelines for the Protection of Human Subjects of Research.Washington,DC:
NationalInstitutesofHealth,1979.Available: http://ohsr.od.nih.gov/guidelines/belmont.html.

2WeijerC,GoldsandG,EmanuelEJ.Protectingcommunitiesinresearch:currentguidelinesandlimitsofextrapolation.

Nature Genetics1999;23(3):27580.

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Butformsarereallyonlyonepartofaninformedconsent process.Insomecases,formsmaynot
bethebestwaytoensureinformedconsent.Therearealsosituationswhereobtaininginformed
consentfromindividualparticipantsmaynotbefeasibleornecessary.Forexample,aresearcher
usingparticipantobservationtolearnabouthowtransactionsoccurinapublicmarketwouldfind
itveryhardtogeteveryoneobservedinthatsettingtosignaconsentformandwouldprobably
createunwarrantedsuspicionabouthermotivesintheprocessofseekingsuchconsent.Yetif
peopleseeastrangerhangingaround,watching,askingquestions,andperhapstakingdiscreet
notes,theymaybeevenmoresuspiciousaboutwhysheisthere.Inthesesituations,qualitative
researchersmustuseothermechanismstoachievethegoalofinformedconsent.

How do we achieve informed consent for qualitative research?

Ingeneral,informedconsentproceduresarebasedonnationalandinternationalresearchethics
guidelines;areviewofsuchguidanceisanimportantpartofethicstraining.Researchorganiza
tionsandethicscommitteesoftenhavetheirownspecificguidelinesaswell.
Thefirsttaskinachievinginformedconsentistoinformpeopleabouttheresearchinawaythey
canunderstand.Thiscanbeamultistepprocess.Forexample,youmaybeginbyapproaching
communityleadersandexplainingtheresearchtothem.Theleadersmaythenfacilitateacom
munityforumwhereinterestedpeoplecanlearnabouttheresearchandaskquestions.Youmight
distributeinformationsheets,advertisements,orbrochures,ortrytogetlocalnewspapersor
radiostationstodoareportontheresearch.Acommunityadvisoryboardmightbesetup.Or
theresearchersmightspendaweekortwojusttalkingwithpeopleoneonone.Iftheresearchers
willbespendingalotoftimeinthecommunitysetting,oriftheresearchispotentiallycontro
versialorsensitive,sucheffortscangoalongwaytowardgainingtrustaswellasunderstanding.
Insomesituations,itmaybenecessarytoobtainformalpermissionfromcommunityleadersor
gatekeepersbeforeresearchcanbegin.
Ingeneral,datacollectionactivitiesthatrequiremorethancasualinteractionwithaperson
requireindividualinformedconsentfromthatperson,regardlessofwhethercommunitylevel
permissionsexist.Examplesofsuchactivitiesincludeindepthinterviewsandfocusgroups.The
personshouldbetold:
thepurposeoftheresearch

whatisexpectedofaresearchparticipant,includingtheamountoftimelikelytoberequired
forparticipation

expectedrisksandbenefits,includingpsychologicalandsocial

thefactthatparticipationisvoluntaryandthatonecanwithdrawatanytimewithnonega
tiverepercussions

howconfidentialitywillbeprotected

thenameandcontactinformationofthelocalleadinvestigatortobecontactedforquestions
orproblemsrelatedtotheresearch

thenameandcontactinformationofanappropriatepersontocontactwithquestionsabout
onesrightsasaresearchparticipant(usuallythechairofthelocalethicscommitteeoversee
ingtheresearch)

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Qualitative Research Methods: A Data Collectors Field Guide

Allthisinformationmustbeprovidedinalanguageandataneducationallevelthatthepartici
pantcanunderstand.Potentialparticipantsmustbecompetenttomakeadecisionaboutbeingin
theresearch,andfreefromcoercionorundueinducementtoparticipatebyresearchersorothers.
Individualinformedconsentmaybe writtenor oral.
Written consentmeansthatapersonreceivesawrittenform
thatdescribestheresearchandthensignsthatformtodocu
menthisorherconsenttoparticipate.Forilliteratepartici
pants,theformisreadtothem,theymakesomekindofmark
inplaceofasignature,andthenawitnessusuallysignsastes
timonythattheconsentisauthentic.Writteninformedconsent
mayalsobedescribedasdocumentedinformedconsent.

Oral consentmeansthatapersonreceivesalloftheinformation
neededforconsenteitherverballyorinwritingandthenver
ballyconsentstoparticipate.Theparticipantdoesnotsigna
consentform;therefore,thisisoftendescribedaswaivingthe
requirementfordocumentationofinformedconsent.Thisdoes
notmeanthattherequirementforinformedconsentiswaived.
Mostethicscommitteesrequiretheresearcherstomaintain
accuraterecordsofhowandwhenconsentwasobtainedfor
eachparticipant.Oralconsentisgenerallyacceptablefor
researchwithminimalrisk,orwherealossofconfidentialityistheprimaryriskandasigned
consentformwouldbetheonlypieceofidentifyinginformationforstudyparticipation.

How do we protect confidentiality?

Becausequalitativeresearchisconversational,itisimportantfordatacollectorstomaintainclear
boundariesbetweenwhattheyaretoldbyparticipantsandwhattheytelltoparticipants.Conversation
isasocialactthatrequiresgiveandtake.Asqualitativeresearcherswetakealotofinformation
fromparticipantsandthereforecanfeelastrongneedtogivesimilarinformationinreturn.People
alsoenjoytalkingaboutwhattheyhearandlearnandresearchersarenodifferent.Itmaybetempt
ingtopassalongseeminglyinconsequentialinformationfromoneparticipanttoanotherforexam
ple,afunnystatementorsomenewsthatappearstobecommonknowledge.Dontdoit!Peoplecan
becomeupsetanduntrustingaboutevenseeminglytrivialcommentsbeingshared,especiallyifthey
havedivulgedverypersonalinformationandgrowconcernedthatyouwilldivulgemore.
Strategiesforprotectingconfidentialityaredescribedthroughoutineachofthemethodmodules.
Butsomesituationswillrequireuniquestrategies.Thewaysinwhichconfidentialitymightbe
breachedshouldbecarefullyconsideredbeforedatacollectionbeginsandexplicitstrategiesbe
putinplaceforprotection.

How do I get research ethics training and certification?

Westronglyrecommendthatallstaffassociatedwithqualitativeresearchundergoethicstraining
andobtainethicscertificationbeforefieldworkanddatacollectionbegin.Inadditiontodatacol
lectors,thisincludesanyonewhowillhavedirectcontactwithparticipantssuchasdriversand

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receptionistsorwiththedatasuchastypists,transcribers,translators,anddatamanagers.
Researchethicstrainingcoursesareavailableonlinefromanumberoforganizations,including
FamilyHealthInternational(http://www.fhi.org/training/en/RETC),theU.S.NationalInstitutes
ofHealth(http://cme.nci.nih.gov),andtheUniversityofCalifornia,LosAngeles(http://training.
arc.ucla.edu).Thesecoursesdonotfocusspecificallyonqualitativeresearchissues,butthey
provideavaluablefoundationforunderstandingethicalissuesimportantforallresearch.
Manyethicscoursesincludemechanismsforobtainingacertificateofcompletion.Acopyofthis
certificatemayberequiredbytheorganizationsponsoringtheresearch.

Suggested Readings
BernardHR. Research Methods in Anthropology, Second Edition.London:SagePublications,1995.
DenzinNK,LincolnYS(eds.). Handbook of Qualitative Research.London:SagePublications,2000.
MarshallPA.Humansubjectsprotections,institutionalreviewboards,andculturalanthropologi
calresearch. Anthropol Q2003;76(2):26985.
NationalCommissionfortheProtectionofHumanSubjectsofBiomedicalandBehavioral
Research. The Belmont Report. Ethical Principles and Guidelines for the Protection of Human
Subjects of Research.Washington,DC:NationalInstitutesofHealth,1979.Available: http://
ohsr.od.nih.gov/guidelines/belmont.html.
NkwiP,NyamongoI,RyanG. Field Research into Social Issues: Methodological Guidelines.
Washington,DC:UNESCO,2001.
PeltoP,PeltoG.Studyingknowledge,cultureandbehaviorinappliedmedicalanthropology.
Med Anthropol Q1997;11(2):14763.
PopeC,MaysN. Qualitative Research in Health Care.London:BMJBooks,2000.
Schensul,J,LeCompteM. Ethnographers Toolkit.WalnutCreek,CA:AltamiraPress,1999.
Foradditionalinformationonthistopic,refertoChapter1:InvitationtoExplore,Chapter3:Designing
theStudy,Chapter4:CollectingQualitativeData:TheScienceandtheArt,Chapter5:Logisticsinthe
Field,andAppendix2:ExamplesofOralConsentFormsinthesecompanionguides:
Qualitative Methods in Public Health: A Field Guide for Applied Research
Qualitative Methods: A Field Guide for Applied Research in Sexual and Reproductive
Health

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Qualitative Research Methods: A Data Collectors Field Guide