Ethical goals of community engagement
Identifying and managing non-obvious risks
In current research ethics review procedures, investigators and Institutional Review Boards (IRBs) must delineate and minimize risks to participants--including physical, psychological, social, economic, and legal risks. However, what constitutes a risk, and which risks are deemed to be acceptable, and by whom, may not be obvious to remote researchers and their IRBs, who may be unfamiliar with ethically significant features of the specific research context. Indeed, the nature and distribution of some risks may not be obvious to potential research participants themselves .
Non-obvious risks—by definition—are not conveniently accessible to researchers through casual observation. For example, awareness of the cultural significance of blood and biological tissues, and the various ways in which related research practices might offend a community’s deeply-held beliefs about them,  and insights about what research practices might avoid or minimize the offense, is gained through dialogue and on-going communications with the stakeholder community . If researchers do not understand the significance or implications of the research for stakeholders, they may fail to recognize what interests are at stake, and so may fail to take the necessary steps to protect those interests, thereby exposing participants and host communities to unnecessary risk . The nature of the relationship between researchers and stakeholders, i.e., the extent to which they are able to develop a comfortable rapport and confidently place trust in one another, influences the extent to which researchers are able to identify non-obvious risks and take steps to mitigate them. Failure to understand and evaluate research from the perspective of the stakeholder community, including prospective research participants, can also jeopardize the scientific quality of the research by compromising recruitment, retention, and adherence to the protocol, as well as the acceptability and ultimate adoption of any technology under development .
Extending respect to the stakeholder community
CE is regularly presented as an important mechanism for researchers to demonstrate respect for communities, but the precise contribution of CE to respect remains unclear [10, 11, 18–20]. We propose that CE respects affected communities by acknowledging what is valuable or important about research to them, as people, rather than prospective participants or facilitators of the research project, and then acting in ways that express that recognition [21, 22].
Researchers respect stakeholders by first listening to them to understand their perspectives about the research and how it may affect their interests, and then acting in ways that express that recognition. The simple act of listening is the foundation of respect and at the heart of what makes CE meaningful. By listening to affected communities, the research team acknowledges the importance of the various stakeholders, their interests, and their moral standing to hold researchers morally accountable for research-related actions, risks, and burdens. Given the historical legacy of colonialism and exploitation in many host countries, where the interests of the population were systematically disregarded, listening to, acknowledging, and being responsive to stakeholders acquires great significance.
These actions also represent important gestures of respect because they communicate an appreciation, on the part of researchers, that they have an obligation to discover the ways in which their research might affect the interests of a wide range of stakeholders. In this way, researchers extend the conventional notion of respect for the autonomy of individual research participants to a more comprehensive account of respect for the interests of the host community.
Building legitimacy for the research project
The third ethical goal of CE is to build legitimacy for the research project. Legitimacy is a political concern about the justification of authority over groups of people . It emerges as a concern for biomedical research with the recognition that research activities usually affect the interests of parties beyond the direct research participants, yet despite this broad reach, there are currently no set mechanisms to gauge the relevance or strength of these interests, or to be responsive to them. A range of considerations contribute to the legitimacy of a research project in the eyes of its stakeholders: the perceived social value of the research; the nature and extent of risks imposed on the community; the perceived trustworthiness of the researchers, sponsoring institutions and funders; the transparency with which the research is conducted; and the mechanisms of accountability between the research team and the affected community. CE contributes to each of these considerations by building the infrastructure needed to connect researchers and stakeholders, and it is through these relationships that concerns of legitimacy can be addressed [10, 11, 18–20, 22].
Legitimacy is built through both formal and informal processes. Formally, research must be reviewed and approved by regulatory authorities such as Research Ethics Committees. Informally, a project’s legitimacy is built largely through deliberation and discussion with stakeholders, including collaborations, institutional partners, various levels of government, local residents, informal authorities and anyone whose interests stand to be affected by the proposed research.
Through informal deliberative processes, stakeholders and researchers engage in the give-and-take of reasons around the important issues surrounding the project and the ultimate course of action can be properly justified to the parties involved . Not all stakeholders can or must be involved in decisions in order to make them legitimate, nor is it necessary that all stakeholders interact in a common forum . What is important, rather, is that there be meaningful efforts to understand the interests at stake for various stakeholders, and processes in place to air disagreements and discuss the concerns and interests of the stakeholder community.
The goal of such discussions is not to resolve all disagreement and reach consensus around the research. Given the diversity of stakeholders involved, complete consensus is unlikely. Rather, CE embodies a democratic ideal in which legitimacy emerges from deliberative processes through which disagreement is acknowledged and addressed, lines of accountability are established between the stakeholder community and researchers, and stakeholders are empowered to ask directly for justification regarding the trial’s conduct and management.
Recent open-release trials of genetically-modified mosquitoes to control Dengue virus transmission highlight the importance of differentiating the legitimacy that is achieved through the endorsement of formal and informal authorities in a research community. The approval of trials by legitimate government authorities, with limited consultation or engagement with other stakeholders in the host community, was severely criticized by a wide range of stakeholders. The stakeholders argued that government approval alone was insufficient for the trial to go forward as it did not adequately address the risks and benefits of the trial for different stakeholders . These objections had enormous impact on public opinion about the trial and the authority of the government to approve the research independent of meaningful engagement with the wider public .
Community engagement creates human infrastructure for biomedical research
The three ethical goals, described above, represent important ethical considerations that are not currently reflected in most research ethics guidelines and regulations governing global health research. Most notably, they are distinct in their emphasis on the perspective of stakeholders, as opposed to the institutional perspective of the committees or regulatory bodies reviewing the research. While informed consent begins to address the interests of research participants through the disclosure of materially relevant information and due attention to adequate comprehension and voluntariness, it is not designed to address the full range of legitimate interests in the trial. It seldom extends beyond the highly structured and managed interactions of the consent processes, and does not attempt to elicit the prospective research participants’ perspectives about the research more broadly, i.e., beyond the immediate implications of their participation, to the implications for their lives and their communities. However, in drawing attention to these broader interests of the research community, CE may also offer insights that could be used to strengthen individual informed consent.
But the range of interests at stake in any research project go beyond those of the individual research participants, and therefore the relationships relevant to global health research extend beyond those between researchers and research participants as currently defined by regulations. If the ethical goals for CE, described above, reflect important ethical considerations that cannot be met through prospective review and individual informed consent alone, then researchers have a responsibility to establish relationships with the stakeholder community, which consists of those individuals or groups of individuals who have some interest or “stakes” in the research. Whereas the emphasis in research ethics has been squarely on risks and potential benefits associated with participation in research, with only limited attention to implications for “third parties”, this does not exhaust the full range of interests that are brought into play when a research project is undertaken in a host community.
Many groups and individuals will have interests at stake in the conduct and/or outcomes of a given research project, and not all can be actively engaged. A central task of CE is to identify the range of stakeholders for a given study, evaluate their potential interests, and prioritize whom to engage. Initially, that prioritization is informed by how and to what extent the proposed research will affect a stakeholder’s interests. The more significantly research affects the interests of a given stakeholder, the higher the priority of engaging that stakeholder. In addition, the responsibility to avoid harming others is generally stronger than the obligation to benefit them, so priority is given to engagement with stakeholders at risk of harm from the research. Inevitably, the manner and extent of engagement with each party will be subject to practical limits, including geographic dispersal and budgetary constraints .
This concept of the stakeholder community is broader than the traditional view of community in biomedical research, which has focused on pre-existing associations of individuals such as those living in the same geographic area, or sharing an ethnic, cultural, religious or occupational identity . Pre-existing associations are only one way in which the interests of individuals collect. For any given research project, individual stakeholders may have dramatically different interests at stake in its conduct and/or outcomes, but the fact that each holds some interests defines the stakeholder community, and grounds the moral responsibility for engagement. CE creates the human infrastructure necessary to support the deliberations and discussions that are necessary to discover, and to be responsive to, this range of interests.