in research always has risks. In most social and behavioral sciences research, the probability of harm is low, and the magnitude of potential harms is small. Therefore, most social and behavioral sciences research meets the definition of minimal risk research (see Question #13), which may affect certain requirements for institutional review board oversight and informed consent. However, despite the fact that risk is generally low, it is important for all social and behavioral sciences researchers to carefully assess risk in each study, no matter what their discipline, topic, method, or target population.
When thinking about types of risks in research, we often think first of physical harms, such as pain or bruising from having blood drawn or unpleasant side effects from taking an experimental drug. For research in the social and behavioral sciences, physical harm from study participation is usually not a concern. However, researchers in the social and behavioral sciences must think about other types of risks, including potential psychological, economic, legal, social, and dignitary harms. Potential group-level harms should also be considered.
Some harms may occur during the collection of research data. For example, psychological harms are emotional responses such as sadness, anxiety, or embarrassment that may result from sharing information with researchers.
Other types of harms may occur if a research participant’s sensitive personal information is revealed to people outside of the study (see Part 3: Protecting Privacy and Confidentiality). Informational and identity breaches may result in economic, legal, or other social harms. Economic harms include negative effects on employment, such as loss of employment, or on future employability. For example, an employer may develop a negative perception of a participant because of inappropriately disclosed research findings and therefore not hire him or her. Economic harms may also include loss of business or sales, for example, if customers learn from inappropriately disclosed research findings that a business owner previously engaged in illegal behavior.
Legal harms could include arrest, imprisonment, or other legal action such as losing custody of one’s children. For example, mandatory reporting laws require individuals in certain professions, such as teachers and social workers, to report any known child abuse. If research participants disclose to a mandatory reporter during research that they are neglecting their children, researchers are required to report them to the appropriate authorities.
Social harms occur when participants’ relationships with others or their reputations are negatively affected because of the research. For example, if a woman is participating in a research telephone interview and her husband overhears responses to questions about her sexual history, this could damage trust between them.
Research may also include the risk of dignitary harm. This refers to the idea that people can be “wronged” without actually suffering tangible harm. For example, some people may feel violated if their academic records or social media postings are accessed without their permission, even if the information is kept safe and confidential by researchers. Some people might feel offended if a research staff member asks them a personal question, for example, about their income, sexuality, or political views.
In some cases, the publication of research findings—even if individual participant identities are appropriately de-identified—could lead individuals or communities that share characteristics with participants to be viewed negatively by others. For example, a finding that a certain group of people has higher rates of drug use may stigmatize the entire group and result in social harm, even to those individuals who did not participate in the research. These types of group-level risks are important for researchers to keep in mind when planning a research study. Engaging members of the community and asking them how to anticipate and minimize such group-level risks may help in these situations.
More questions? See #12, #23, and #63.
Question #12 How Do I Identify Risks in My Research—and Minimize Them?
No matter what kind of research you are doing, you have a responsibility when designing and conducting research to (a) identify risks of participation, (b) consider the likelihood and magnitude of those risks, and (c) implement procedures to minimize those risks. When identifying risks for a particular research study, start by considering the topic under investigation and the methods of data collection and storage.
Social and behavioral sciences researchers investigate many different phenomena. Some topics of inquiry are quite benign, such as reasons people visit national parks. Such research likely has few risks. However, other kinds of research, such as interviewing individuals who are engaged in criminal activity, can be quite sensitive. In these situations, participants could feel anxious when describing past illegal activities (psychological risk). If others learned that a participant engaged in these activities, they may no longer trust the participant (social risk). Employers may be hesitant to hire the individual because of his or her previous illegal behavior (economic risk). In reality, most research asks about experiences, behavior, and opinions that fall somewhere between visiting national parks and engaging in criminal activity.
Beyond the specific topic of inquiry, you must consider risks that might arise from the methods used to identify and recruit participants and gather information. In the social and behavioral sciences, one of the main risks to consider is a potential violation of a person’s privacy. You must consider the psychological, legal, economic, or social harms that could potentially result if others learned that an individual was participating in—or was just being invited to participate in—a specific research study. For example, participants could be seen entering a drug treatment facility for a study interview, which might be embarrassing or stigmatizing (social risk). Or, participants’ employment (economic risk) or custody of their children (legal risk) could be jeopardized if someone sees them filling out a mailed or online survey about their drug use.
Risks from a breach in confidentiality of data are also important to consider. Participants could be harmed if unauthorized persons gained access to information collected as part of the study. For example, public embarrassment and marital discord could occur if personal data acknowledging a marital affair became public (say, for example, if data collected online were not appropriately protected). In research on employee job satisfaction, economic harm could occur and participants could lose their jobs, for example, if their supervisors learned of their dissatisfaction with the company’s sick leave policies.
A variety of methods can help you identify risks and take steps to minimize them. Conduct literature reviews of research studies with similar populations or those that used similar methods. Consult with experienced researchers who have conducted similar research. Talk with individuals who share characteristics with or represent the views of prospective participants to identify what risks they think the research might pose.
Once risks are identified, you must consider the likelihood and magnitude of those risks. Unfortunately, such estimation is not an exact science. Some probabilities can be determined based on systematically collected information. However, many probabilities—especially risks of extremely rare events—are impossible to quantify. Even when relevant empirical data on risk are available, humans’ estimation of future risk is subject to many biases. We tend to overestimate risk for those things we have directly experienced or heard about recently. Different researchers and institutional review board members may judge risks differently based on their own experiences.
More questions? See #17, #22, and #23.
Question #13 What Is Meant by “Minimal Risk”?
According to the federal research regulations, minimal risk “means that the probability and magnitude of harm or discomfort anticipated in the research are not greater in and of themselves than those ordinarily encountered in daily life or during
