Article
Abstract
Global mental health research is needed to inform effective and efficient services and
policy interventions within and between countries. Ethical reflection should accompany
all GMHR and human resource capacity endeavors to ensure high standards of respect
for participants and communities and to raise public debate leading to changes in
policies and regulations. The views and circumstances of ethno-cultural and disadvan-
taged communities in the Majority and Minority world need to be considered to
enhance scientific merit, public awareness, and social justice. The same applies to
people with vulnerabilities yet who are simultaneously capable, such as children and
youth. The ethical principles of respect for persons or autonomy, beneficence/non-
maleficence, justice, and relationality require careful contextualization for research
involving human beings. Building on the work of Fisher and colleagues (2002), this article
highlights some strategies to stimulate the ethical conduct of global mental health
research and to guide decision-making for culturally responsible research, such as
developing culturally sensitive informed consent and disclosure policies and procedures;
paying special attention to socioeconomic, cultural, and environmental risks and bene-
fits; and ensuring meaningful community and individual participation. Research and
capacity-building partnerships, political will, and access to resources are needed to
stimulate global mental health research and consolidate ethical practice.
Keywords
children, consent, global mental health, research ethics, youth
Corresponding author:
Mónica Ruiz-Casares, Santé Mentale Jeunesse, CSSS de la Montagne, 7085 Hutchison, Office 204.2.14,
Montreal, QC, H3N 1Y9, Canada.
Email: monica.ruizcasares@mcgill.ca
Ruiz-Casares 791
Focusing on issues that affect mental health transnationally, global mental health
research (GMHR) aims to contribute to improving mental health outcomes and
achieving equity in mental health for all people worldwide (Koplan et al., 2009;
Patel & Prince, 2010). Factors affecting mental health cover a broad range of issues
and settings—from the conditions of care of persons with mental disorders in low-
and middle-income countries (LMICs) and underserved subgroups in high-income
countries (e.g., undocumented migrants and asylum seekers) to the mental health
consequences of armed conflict, natural disasters, migration and acculturation, and
global policies (e.g., on environment or trade). Despite increased attention to
mental health issues internationally in the last decade, there is still a meager evi-
dence base. More GMHR is needed to inform systemic and policy changes, pre-
vention and treatment interventions, and human resource capacity and public
awareness efforts (Collins et al., 2011).
Arguments continue on the issues of universal and relative human rights duties
and moral values and the Western bias in this debate (Donnelly, 2007, 2008, 2013;
Goodhart, 2008). Still, widespread ratification of the Universal Declaration of
Human Rights (General Assembly, 1948) has advanced the recognition of
human dignity and a common set of values, such as solidarity and equity, which
provide a foundation for the study of global issues (Benatar, Daar, & Singer, 2003).
Strong condemnation of double ethical standards between resource-rich and -poor
countries continues to be voiced on similar grounds (Kottow, 2002). Besides codes
of conduct of professional societies, several research codes of ethics have emerged
in the last 70 years and continue to be revised to provide guidelines for human
experimentation. The Nuremberg Code (1947), the Belmont Report (1979), the
Council for International Organizations of Medical Sciences (CIOMS, 2002), the
Declaration of Helsinki (WMA, 2008), and, in Canada, the Tri-Council Policy
Statement (CIHR, NSERC, & SSHRC, 2010), are among the most relevant. The
Belmont Report, issued in 1978 by the National Commission for the Protection of
Human Subjects of Biomedical and Behavioral Research in the United States,
identified three fundamental ethical principles for using humans in research and
provided a framework for future regulations on this matter. The three basic prin-
ciples are the respect of persons or autonomy, beneficence/non-maleficence, and
justice or fairness.
The extent to which these rules of scientific and ethical conduct, including the
Belmont principles, are transcultural, however, has been questioned (DuBois,
2005a; Fisher et al., 2002). In fact, the National Commission (1979) clearly
stated that the fundamental principles they identified as “particularly relevant to
the ethics of research involving human subjects” were selected “among those gen-
erally accepted in our cultural tradition” (p. 4). While the principles of autonomy,
beneficence, non-maleficence, and fairness seem broadly applicable to research
involving human subjects in other settings, their understanding and applications
require careful consideration of socioeconomic, cultural, and environmental con-
texts. Thus, for example, DuBois’s (2005a; 2008) contextualization of the principle
of autonomy warns researchers against requesting signatures wherever such a
792 Transcultural Psychiatry 51(6)
practice generates mistrust, and highlights the differential emphasis across societies
of autonomy/relationality and certain people’s disempowerment to make autono-
mous choices (e.g., due to low education, gender, or diagnostic discrimination).
Similarly, a context-sensitive application of the principle of beneficence/non-
maleficence requires that researchers assess, for example, how the study may
burden participants, and how research findings may stigmatize the study popula-
tion. Then, the principle of justice may target vulnerable groups for convenience or
fail to distribute research benefits and burdens fairly. DuBois’s addition of the
principle of relationality that situates individuals in their social contexts aims to
facilitate balancing the needs and rights of the individual and those of the com-
munity in the tradition of communitarism (Dresden, McElmurry, & McCreary,
2003). Overall, DuBois encourages researchers to ask in order to clarify the mean-
ing of wellbeing, hierarchy of needs, and risks acceptable to the group (beneficence/
non-maleficence), as well as existing relations that need to be respected (relation-
ality), and other crucial information needed to ensure respect of these core ethical
principles. The application of these principles to the conduct of global mental
health research requires special attention to the processes for obtaining informed
consent, conducting risk–benefit assessment, and engaging research participants
and communities to ensure equity and regard for existing relations that need to
be respected. This article is organized around these three dimensions that facilitate
the ethical conduct of global mental health research. The paper ends with an indi-
cation of some strategies to develop and stimulate mental health research globally.
Chile (Sánchez et al., 2001). Furthermore, cultural traditions and community struc-
tures, such as Aboriginal populations, may require that community elders, grand-
parents or other relatives are involved in decision making, to gain access to
community members, most notably children (Alberta Mental Health Board, 2006).
To ensure adequate understanding of the consent information, IC instruments
must take into account the developmental level, language preference and profi-
ciency, and communication style utilized in each particular community, privileging
the use of professional/trained interpreters whenever translation is necessary
(Fisher et al., 2002). For instance, the use of a locally-appropriate pictorial flipchart
developed through participatory community research methods resulted in a good
understanding of the conditions of the study among female participants in
Mwanza, Tanzania (Vallely et al., 2010). Careful consideration of how terminology
varies across cultural groups may even lead to avoiding terms such as “mental
health” to avoid misunderstanding and stigma: for example, if “going to a psych-
ologist suggests there is something wrong with you” (Alberta Mental Health
Board, 2006, p. 5). Similarly, future empirical research on the cultural context of
informed consent should consider the effect of local beliefs about disease etiology
and treatment and previous experiences with medical or behavioral research
(Marshall, 2006).
In determining whether the individual has the mental abilities required to make
the decision to participate in research, researchers should be mindful that criteria
for determining a person’s ability to give informed consent reflect social structures,
dynamics, and perceptions of capacity (EMHR, 2005c). For example, in the con-
text of mental health research, concerns about the participation of trauma sur-
vivors (McClain, Laughon, Steeves, & Parker, 2007), people with dementia (Cubit,
2010; Slaughter, Cole, Jennings, & Reimer, 2007), and other potentially vulnerable
groups have been raised (Keogh & Daly, 2009; Macklin, 2001). However, capacity
to consent and capacity to participate do not always go hand in hand. For instance,
children and adolescents are also considered a population requiring special protec-
tion, yet their meaningful involvement in research is increasingly acknowledged
(Lind, Anderson, & Oberle, 2003). In order to facilitate participation, researchers
should make reasonable accommodations, avoid unfairly targeting people to be
screened for decision-making capacity, and acquire the necessary skills to establish
true rapport with participants and be sensitive to their needs (EMHR, 2005a).
Trust and relationships play an important role in people’s agreement or refusal
to participate as well as in the quality of their involvement (Molyneux, Peshu, &
Marsh, 2005; Ruiz-Casares, 2011a). Knowledge of context is important in nego-
tiating spaces for participants, as some communities may not automatically seek
the agreement of children or adults unable to consent. Community meetings and
other “awareness-raising activities” may prove useful to sensitize local stake-
holders, as done in preparation for a mental health study among people living
with severe mental illness in rural Kenya (Lund et al., 2013).
The way to document informed consent is also context dependent, as signed
consent is mostly a Western concept, and in many settings, signed documents may
794 Transcultural Psychiatry 51(6)
raise suspicion and even put participants in danger (e.g., in repressive political
regimes or undocumented migrants fearing deportation). Moreover, in societies
with oral traditions, “the power and validity of words and deeds outweighs that
of a written contract” (Brunger & Weijer, 2002, p. 386). On occasion, participants
will benefit from not keeping any “proof” of participation. For example, a group of
homeless girls I interviewed in Caprivi, Namibia, requested not to receive any
document or material compensation, as they feared aggression from their “neigh-
bors” if they found out of their participation in the study.
assessment of risks and benefits are needed to determine whether a study is justified
(Ruiz-Casares, 2013). Indeed, GMHR challenges researchers to “wed sound scien-
tific practices with meaningful ethical protections for participants” (Zeanah, Fox,
& Nelson, 2012).
a. Careful, explicit consideration of the social and political factors influencing the
definitions of race, ethnicity, and culture and the impact of discrimination on
mental health outcomes. The former is essential to “ensure the scientific validity
of the research question” (p. 1026); the latter, to ensure a correct interpretation
of results. In programmatic research, this is particularly important in order to
promote treatments that address the social realities of vulnerable
subpopulations.
b. Attention to within-group differences and individual variability. When design-
ing studies and interpreting findings researchers should avoid both extremes,
i.e., “ignoring cultural differences and stereotyping” (EMHR, 2005a, 2005b).
Overgeneralizations or grouping participants under broad labels may hide indi-
vidual and within-group variations (e.g., due to immigration history, accultur-
ation, ethnic self-identification, socioeconomic status, or religion). Similarly,
those conducting global mental health research with children must bear in
mind the “different cultures of childhood and adulthood” and “the heteroge-
neous nature of childhood itself” (Kirk, 2007).
c. Ensuring cultural validity of assessment measures. Researchers should priori-
tize the use of “instruments that have been standardized on members of the
participant’s racial, ethnic, or cultural group” or, if necessary, rigorously trans-
lated versions of such instruments. If not available, they should carefully assess
their cultural validity and measurement equivalence for each population stu-
died (Fisher et al., 2002, p. 1026).
a shift in philosophy and attitude that emphasizes the mutuality of real partnership, a
pooling of experience and knowledge, and a two-way flow between developed and
developing countries. Global health thus uses the resources, knowledge, and experi-
ence of diverse societies to address health challenges throughout the world. (Koplan
et al., 2009, pp. 1994–1995)
Conclusions
GMHR is a much-needed tool towards reducing disparities in mental health out-
comes and access to services. In order to develop locally appropriate strategies and
effective solutions across cultural settings and health systems, the views and cir-
cumstances of ethno-cultural and disadvantaged communities in the Majority and
Minority world need to be considered. Normative regulations in research that
reflect the socioeconomic and cultural contexts of each country also need
to be developed and enforced. Legal and procedural norms, however, cannot
replace ethical principles and reflection (DuBois, 2008). In fact, I have here advo-
cated for increased attention to personal integrity and ethics in the development
and instruction of GMHR. Training of researchers and stakeholders in research
ethics and the creation of spaces for ethical reflection and dialogue are needed
in both Minority and Majority world contexts.
A contextualized understanding of the fundamental ethical principles of
autonomy, beneficence, non-maleficence, and justice provides a framework for
the development of research projects, regulations, and training. This is particu-
larly relevant in GMHR, whereby the people and communities involved often
live in countries without clear legal and ethical frameworks and Minority coun-
try regulations may be inadequate in international research (DuBois, 2005a).
Guidelines for the conduct of culturally responsible GMHR include the devel-
opment and implementation of culturally sensitive informed consent and dis-
closure policies and procedures, special attention to context when assessing
800 Transcultural Psychiatry 51(6)
research risks and benefits, and meaningful community and individual partici-
pation (Fisher et al., 2002).
To stimulate the ethical conduct of GMHR, well-balanced collaborations, pol-
itical will, and additional resources are needed. Stronger research capacity
in resource-poor countries may expand the research agenda to include currently
understudied conditions and sub-populations as well as diverse phenomena
impinging on mental health and wellbeing globally (Benatar, 2002). Ultimately,
as Benatar et al. (2003) advocated for the field of global health ethics more broadly,
GMHR may offer an interdisciplinary space for human values such as those of soli-
darity, empathy, and civic responsibility to thrive (p. 138).
Funding
This research received no specific grant from any funding agency in the public, commercial,
or not-for-profit sectors.
Acknowledgments
Thank you to Cécile Rousseau and two anonymous reviewers for their comments on an
earlier version of this manuscript. An earlier version of this paper was presented at the
McGill Advanced Study Institute on Cultural Psychiatry held in Montreal in July 2012.
Note
1. This may include partnerships among clinicians and/or researchers and locally based
research groups and networks.
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804 Transcultural Psychiatry 51(6)
Services Sociaux de la Montagne in Montreal, where she evaluates health and social
programs with ethno-culturally diverse families. Her published works focus on
children’s rights, protection, and wellbeing cross-culturally and on ethical and
methodological issues involved in research with children. She leads mixed-methods
studies related to child protection and wellbeing, mainly in contexts of parent–child
separation such as children home alone in Canada and children in alternative care
in Namibia, Laos, and Liberia.
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