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What are Qualitative Research Ethics?

‘What is?’ Research Methods series

Edited by Graham Crow, University of Southampton

ISSN: 2048–6812

The ‘What is?’ series provides authoritative introductions to a range of research methods which are at the forefront of developments in the social sciences. Each volume sets out the key elements of the particular method and features examples of its application, drawing on a consistent structure across the whole series. Written in an accessible style by leading experts in the field, this series is an innovative pedagogical and research resource.

What is Online Research?

Using the Internet for Social Science Research

Tristram Hooley, Jane Wellens and John Marriott

ISBN (HB): 9781780933344

ISBN (PB): 9781849665247

ISBN (ebook): 9781849665551

What is Social Network Analysis?

John Scott

ISBN (HB): 9781780938486

ISBN (PB): 9781849668170

ISBN (ebook): 9781849668194

What is Qualitative Research?

Martyn Hammersley

ISBN (HB): 9781780933351

ISBN (PB): 9781849666060

ISBN (ebook): 9781849666091

What are Qualitative Research Ethics?

Rose Wiles

ISBN (HB): 9781780938509

ISBN (PB): 9781849666527

ISBN (ebook): 9781849666541

What is Discourse Analysis?

Stephanie Taylor

ISBN (HB): 9781780938493

ISBN (PB): 9781849669030

ISBN (ebook): 9781849669061

What are Community Studies?

Graham Crow

ISBN (HB): 9781780933337

ISBN (PB): 9781849665957

ISBN (ebook): 9781849665988

Forthcoming books:

What is Qualitative Interviewing?

Rosalind Edwards and Janet Holland

ISBN (HB): 9781780938523

ISBN (PB): 9781849668095

ISBN (ebook): 9781849668019

What is Narrative Research?

Molly Andrews, Mark Davis, Cigdem Esin, Lar-Christer Hyden, Margareta Hyden, Corinne Squire and Barbara Harrison

ISBN (HB): 9781849669702

ISBN (PB): 9781849669733

ISBN (ebook): 9781849669702

What is Inclusive Research?

Melanie Nind

ISBN (HB): 9781780938516

ISBN (PB): 9781849668118

ISBN (ebook): 9781849668125

What are qualitative research ethics?

Bloomsbury Academic

An imprint of Bloomsbury Publishing Plc

50 Bedford Square

London

WC1B 3DP

UK

175 Fifth Avenue New York NY 10010

USA

www.bloomsbury.com

First published 2013

© Rose Wiles, 2013

This work is published subject to a Creative Commons Attribution Non-Commercial Licence.

You may share this work for non-commercial purposes only, provided you give attribution to the copyright holder and the publisher. For permission to publish commercial versions please contact Bloomsbury Academic.

CIP records for this book are available from the British Library and the Library of Congress

ISBN:HB: 978-1-78093-850-9

PB: 978-1-84966-652-7

Printed and bound in Great Britain by MPG Books Group, Bodmin, Cornwall.

Series foreword ix

 Introduction

Key terms

Moral judgements/morality

Ethics

Ethical frameworks

Consequentialist approaches

Principlist approaches

Ethics of care

Virtue ethics

Ethical regulation

Ethical guidelines

Informed consent

Capacity

Duty of confidentiality

Anonymity

Risk

 Thinking ethically: approaches to research ethics

Introduction

The development of contemporary research ethics

Ethical decision-making

Ethical frameworks

Legal, regulatory and professional frameworks

Professional ethical guidelines

Ethical regulation

Legal regulation

Making ethical decisions

Summary

Informed consent

Introduction

Providing information

Encouraging participation: incentives, encouragement and acknowledgement

Recording consent

Consent in online research

Capacity to consent

Summary

Anonymity and confidentiality

Introduction

Confidentiality

Breaking confidentiality

Accidental disclosures

‘Off the record’ comments

Anonymisation

Identification

Visual data and anonymisation

Summary

 Risk and safety

Introduction

Risks for research participants

Assessing risk of harm

Types of risk

Minimising risks of harm

Risks to researchers

Physical risks

Emotional risks

Other risks

Summary

Ethical dilemmas

Introduction

Ethical ‘horror stories’

Case studies

Making ethical decisions

Summary

 Where next for research ethics?

Introduction

Developments in research methods

Narrative methods

Visual and creative methods

Participatory methods

Digital and e-research

Data sharing

Where next for research ethics?

Summary

Further reading and resources

General guidance on research ethics

Risks and safety

Consent

Ethical issue in relation to specific methods

Professional guidelines and codes

References

Index

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Series foreword

The idea behind this series is a simple one: to provide concise and accessible overviews of a range of frequently-used research methods and of current issues in research methodology. Books in the series have been written by experts in their fields with a brief to write about their subject for a broad audience who are assumed to be interested but not necessarily to have any prior knowledge. The series is a natural development of presentations made in the ‘What is?’ strand at Economic and Social Research Council Research Methods Festivals which have proved popular both at the Festivals themselves and subsequently as a resource on the website of the ESRC National Centre for Research Methods.

Methodological innovation is the order of the day, and the ‘What is?’ format allows researchers who are new to a field to gain an insight into its key features, while also providing a useful update on recent developments for people who have had some prior acquaintance with it. All readers should find it helpful to be taken through the discussion of key terms, the history of how the method or methodological issue has developed, and the assessment of the strengths and possible weaknesses of the approach through analysis of illustrative examples.

Research ethics has come to be one of the most contentious areas of contemporary social scientific research, and this book conveys the key issues of contention and how researchers in the field of qualitative research have responded to them. That it manages to do so in a measured and systematic fashion is no small feat. In addition, it provides an analysis of the ethical concerns that continue to arise with new developments in the field, suggesting that while these do present serious challenges to researchers, there are good reasons to believe that ethical ways of responding to them are being developed.

The books cannot provide information about their subject matter down to a fine level of detail, but they will equip readers with a powerful

x What are qualitative research ethics?

sense of reasons why it deserves to be taken seriously and, it is hoped, with the enthusiasm to put that knowledge into practice.

1 Introduction

This book provides an introduction to research ethics relevant to qualitative research across the social sciences. It outlines approaches for thinking about ethical issues in qualitative social research and the key ethical issues that need consideration. It is intended to have relevance for researchers and students working across a range of social science disciplines and it explores ethical issues relating to ‘traditional’ research approaches, such as ethnography, interviews and focus groups, as well as those relating to new and emerging methods and approaches, particularly visual and online methods.

There has been an increasing interest in research ethics in the twentyfirst century in the light of the increasing ethical regulation of social research. Various authors working in qualitative social science, particularly ethnographers, have contested the appropriateness of ethical regulation in social research. These academics have argued that qualitative research poses minimal risks to participants and that ethical review of research by research ethics committees is both unnecessary and detrimental to social science research (Atkinson, 2009; Dingwall, 2008; Hammersley, 2009). An alternative and perhaps less popular view is that social science research is never risk free and that systems of ethical review encourage researchers to think through ethical issues and to develop their ethical thinking (Boulton et al, 2004). Despite considerable critiques of regulation, systems of ethical review have become embedded in most research institutions. This has heightened researchers’ awareness of ethical issues and highlighted the need for training and resources to enhance researchers’ ‘ethical literacy’. Much of the drive for researchers in this area has been to enable them to manage the institutional ethical review process and a number of excellent resources have been developed with this aim in mind (for example http:// www.ethicsguidebook.ac.uk/).

However, enhancing ‘ethical literacy’ means more than learning how to achieve ethics approval. ‘Ethical literacy’ means encouraging researchers

to understand and engage with ethical issues as they emerge throughout the process of research and not merely to view research ethics as something that is completed once a favourable opinion on a proposed research project has been granted by a research ethics committee. While it may be the case that some ethical issues can be anticipated prior to a study commencing, often ethical issues emerge as research proceeds, sometimes in unexpected and surprising ways.

An argument frequently put forward by social researchers is that ethical decision making is inevitably situational and contextual and cannot be determined by appeal to predetermined codes and principles. It is argued that decisions about ethical issues that emerge in the process of research need to be decided on ‘in the field’ in the light of the specific issue, the people involved and the likely consequences. This is sometimes used as an argument against ethical regulation in general which is viewed as limiting researchers’ ability to act on the situation that arises. It is also used as an argument against the use of ethical frameworks (particularly principlism) in ethical decision making. It is argued that a ‘one size fits all’ approach such as principlism, in which issues such as informed consent and anonymity are viewed as essential principles to be upheld in all social research, is limiting and prevents researchers making ethical decisions in the context of their research in the ways that meet the needs of their research participants.

It is a central theme of this book that consideration of ethical frameworks is important in helping to guide researchers in thinking through the ethical challenges with which they are confronted. This is not to argue that ethical dilemmas are anything other than situational and contextual; consideration of ethical frameworks does not preclude individual deliberation on the part of researchers. The ethical dilemmas that researchers encounter in research are essentially moral dilemmas. Researchers may have a ‘gut feeling’ about the morally ‘right’ course of action in a situation that they encounter. However, ethical frameworks can help them to think about, evaluate and justify these ‘gut feelings’. Ethical frameworks do not provide clear answers to such dilemmas, simply a means of thinking about them and assessing what an appropriate and defensible course of action might be. Such actions might differ according to the ethical framework used and an individual researcher’s moral views. The important issue is that researchers use a framework that fits with their moral views and which enables them to explore and justify the decisions they make.

The focus of this book is based on three premises: first, that researchers need to consider ethical issues throughout the entirety of their research; second, that gaining an understanding of the different philosophical approaches to research ethics and identifying an approach that fits with their moral and intellectual framework will help them to engage with issues that emerge as their research unfolds; and third, that, despite the well-known horror stories of unethical conduct, most ethical issues with which researchers grapple are relatively mundane and everyday, but no less important for that. The book focuses primarily on ethical issues that emerge for researchers and research participants in the conduct of research. Researchers also have ethical responsibilities to the research team with whom they may be working, to their discipline, to the wider research community and to the public. It is incumbent on researchers to consider ethical issues within this broader context.

The book commences with an exploration of ethical frameworks as well as various forms of guidelines and regulation that guide or inform ethical decision making. This chapter also outlines relevant legislation with which researchers are obliged to comply.

The following three chapters explore three of the core issues in research ethics and the ways that researchers have engaged with them: informed consent; anonymity and confidentiality; and risk. In each of these chapters the meaning of these concepts are explored and their application, and in some cases their relevance, in different types of research approaches is outlined. In each of these three chapters, examples are provided from the literature of the ways in which researchers have managed these ethical issues in their research. Examples are also drawn on from a research project on informed consent conducted with my colleagues Sue Heath, Graham Crow and Vikki Charles as part of the Economic and Social Research Council (ESRC) Research Methods Programme as well as a project on ethical issues in visual methods conducted with my colleagues Jon Prosser, Amanda Coffey, Sue Heath and Judy Robison. Each of these projects involved interviews or focus groups with researchers exploring their views about ethical issues in qualitative research and how these issues were managed in the context of their research.

Chapter six discusses common ethical dilemmas that researchers experience and through three detailed case studies discusses the deliberation and management of such dilemmas. Finally, chapter seven explores developments in research methods over the last decade and the

ethical challenges that these raise. Developments in narrative, participatory, visual, digital and e-research methods and data-sharing are discussed and the extent to which these demand new approaches to research ethics or the re-working of familiar issues in new contexts. A list of resources where further information on the various issues discussed in the book can be found is provided.

There are a number of key terms used in the literature on ethics. These are explained throughout this book. A brief definition of the key terms is given here; further information on them can be found in the relevant chapters.

Key terms

Moral judgements/morality

Morality is concerned with intentions and actions which are good (or the ‘right’ thing to do) contrasted with those that are bad or wrong. A moral judgement is made when a person decides what the right course of action is in a specific situation. Ethical dilemmas in research involve people making moral judgements.

Ethics

Ethics is the branch of philosophy which addresses questions about morality. The terms ethics and morals are often used interchangeably. Research ethics are concerned with moral behaviour in research contexts.

Ethical frameworks

Ethical frameworks provide a means of thinking about ethical dilemmas (or moral behaviour). They provide some criteria against which researchers can consider what it is right or wrong to do when presented with an ethical dilemma. Common ethical frameworks are consequentialist, principlist, non-consequentialist, ethics of care and virtue ethics.

Consequentialist approaches

Consequentialist approaches argue that ethical decisions should be based on the consequences of specific actions so that an action is morally right if it will produce a good outcome for an individual or for wider society.

Principlist approaches

Principlist approaches are non-consequentialist approaches. Rather than focusing on the consequences of an action, they draw on the principles of respect for people’s autonomy, beneficence, non-maleficence and justice in making and guiding ethical decisions in research. Respect for autonomy relates to issues of voluntariness, informed consent, confidentiality and anonymity. Beneficence concerns the responsibility to do good, nonmaleficence concerns the responsibility to avoid harm and justice concerns the importance of the benefits and burdens of research being distributed equally. People using principlist approaches make ethical decisions on the basis of these specific principles. Principlist approaches hold that consent to participate in research should be freely given and that potential participants should not experience any form of coercion to encourage them to take part in research.

Ethics of care

An ethics of care approach means that ethical decisions are made on the basis of care, compassion and a desire to act in ways that benefit the individual or group who are the focus of research. This contrasts with consequentialist and principlist approaches which involve using rules or principles to address ethical dilemmas. An ethics of care approach means that researchers make decisions about ethical issues in relation to a particular case and by drawing on the notion of ‘care’ in relation to research participants, rather than applying universal rules.

Virtue ethics

Virtue ethics focus on the virtue or moral character of the researcher rather than principles, rules or consequences of an act or decision. Virtue ethics draw on the notion of researcher integrity and seek to identify the characteristics or virtues that a researcher needs in order to behave in morally (or ethically) ‘good’ ways.

Ethical regulation

Most research conducted by researchers in the UK and North America, and much research conducted in other European countries and indeed in the Western world, is subject to ethical regulation. The form this takes is review by a recognised ethics committee.

Ethical guidelines

Professional ethical guidelines and codes provide frameworks to enable researchers to think through the ethical dilemmas and challenges that they encounter in their research. In most cases, these guidelines are very general and with the exception of some specific issues such as confidentiality or matters that might result in accusations of research misconduct, they do not provide answers to how researchers should manage the specific situations that they might encounter in their research. Social researchers in many (but not all) disciplines can, and do, conduct research without being members of a professional organisation. It is also the case that guidelines are not legally enforceable. Nevertheless, a researcher may be excluded from membership of a professional organisation, damage their reputation and have difficulty getting their work published or gaining grants if they disregard these guidelines in ways that challenge disciplinary norms of ethical behaviour.

Informed consent

Informed consent involves providing participants with clear information about what participating in a research project will involve and giving them the opportunity to decide whether or not they want to participate.

Capacity

The term ‘capacity’ or ‘competence’ is used to refer to people’s ability to give consent to participate in research. There are some groups for whom questions of capacity or ‘competence’ to provide consent are raised. These groups include children and young people, people with intellectual disability and people with some physical and/or mental illness and disability. People are assumed to lack capacity to consent if they are not able to understand what participating in research will involve, to weigh up the risks and benefits to them of participating or to reach their own decision about this and/or other matters that affect their life. Assessing capacity to consent is, in many cases, a judgement made by researchers but there are some legal issues that need consideration and specific issues are relevant for research with children and young people.

Duty of confidentiality

In the research context, the duty of confidentiality is taken to mean that identifiable information about individuals collected during the process

of research will not be disclosed. Additionally, the duty of confidentiality may mean that specific information provided in the process of research will not be used at all if the participant requests this. Confidentiality is closely connected with anonymity. However, anonymisation of data does not cover all the issues raised by concerns about confidentiality.

Anonymity

The primary way that researchers seek to protect research participants from the accidental breaking of confidentiality is through the process of anonymisation, which occurs through the use of pseudonyms applied to research participants, organisations and locations or other ways of not revealing participants’ real identities.

Risk

Ensuring the safety and well-being of research participants is an important element of ethical research practice. While much qualitative research may pose only minimal risks to participants, it is important not to disregard the risks that can occur, particularly in research on topics which are in some way ‘sensitive’ because they focus on personal issues, taboo issues or issues which pose a threat for those participating in it. Assessments of risk should also focus on risks for researchers which may arise from lone working or from the nature of the research.

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2 Thinking ethically: approaches to research ethics

Introduction

Researchers inevitably experience ethical issues in the process of conducting research. Sometimes these issues are anticipated and planned for and may form part of decision making about a project before it commences. However, often ethical challenges and dilemmas are unexpected and emerge as research unfolds. While there are a number of ‘common’ ethical issues, and the following three chapters in this book explore these, research is always situated and contextual and the specific issues that arise are often unique to the context in which each individual research project is conducted. However, while ethical issues are often unique to a specific context, the management of such issues nevertheless needs to be informed by a range of ethical frameworks, approaches, regulation and guidelines. In this chapter the various guidelines, approaches and frameworks that inform, guide, and in some cases constrain, ethical decision-making, are outlined. An understanding of these provides an important basis from which researchers can think through, and argue, their ethical decisions.

The development of contemporary research ethics

Contemporary understanding of research ethics in social research has its roots in the history of medical research. The Nuremberg Code (1947) was developed as a result of the Nuremberg trials after the Second World War at which abuses to research subjects arising from experimentation by Nazi doctors were identified. The code set out ten key principles to underpin medical and experimental research, central to which were issues of consent and avoidance of risk to research participants. The World Health Organisation’s Declaration of Helsinki (1964) developed this code and has been identified as central in subsequent legislation and ethical codes of conduct (Israel and Hay, 2006). However, despite the existence of these

codes, further cases of abuse arising from medical and scientific research conducted during the 1960s and 1970s occurred. The most well known of these cases is the Tuskegee syphilis study which took place between 1932 and 1972, in which the effects of syphilis in 400 poor African-American men were studied over a prolonged period even though treatment for the disease had become available. This was not an isolated case and a number of other ethical scandals relating to biomedical studies were identified in which people were experimented on to examine disease progression and/ or to develop medical treatments (see Israel and Hay, 2006). It was the Tuskegee study in particular that has been identified as being instrumental in establishing the United States’ National Commission for the Protection of Human Subjects in Biomedical and Behavioural Research in 1979 and the subsequent Belmont Report and the formation of Institutional Review Boards (IRBs) for reviewing research in the US. The Belmont Report (1979) has been highly influential and provides the underlying principles by which research ethics committees across the Western world evaluate research proposals. It identified three key principles, respect for persons, beneficence and justice, to which Beauchamp and Childress (1979), in a widely used book in the field of bioethics, added a fourth, that of nonmaleficence (Macfarlane, 2009). These principles are discussed further here.

The ethical frameworks used in social research have emerged from the frameworks developed in relation to medical research. This is an issue that is a concern for many social scientists who view the risks of social research to be far less significant than for medical research. Nevertheless, it is important to recognise that the social sciences have not been immune from accusations of unethical behaviour. Stanley Milgram’s (1963) obedience to authority experiment, Phillip Zimbardo’s (see Haney, Banks and Zimbardo, 1973) Stanford prison experiment and Laud Humphreys’ (1975) study on homosexual behaviour are commonly-cited ethical ‘horror stories’ in the social sciences.

The regulation of social research has increased significantly over the last decade, particularly in Europe and North America. In the USA, Institutional Review Boards (IRBs) have, since the 1970s, screened research on and with ‘human subjects’. Their powers have been identified as considerable and wide ranging and their scope increasing (Haggerty, 2004). In the UK, funding bodies, such as the Economic and Social Research Council (ESRC), have established ethical frameworks (ESRC, 2005, 2010)

resulting in the widespread formation of research ethics committees in universities and other research organisations (Tinker and Coomber, 2004). Research ethics committees had already been operating for some time for researchers conducting research in UK health care settings and, more recently, for research in social care. Similar developments have occurred in the European context, for example for research funded by the European Commission (Wiles, Clark and Prosser, 2011).

The result of these developments is that virtually all research conducted by researchers in the UK and North America, and much research conducted in other European countries and indeed in the Western world, is subject to some form of ethical review by a recognised ethics committee. This ‘ethics creep’ is viewed as moving UK, and other European, social research in the direction of the highly regulated system of review by IRBs in the US and is a development that has been widely criticised by UK social scientists (Dingwall, 2008; Hammersley, 2009) as well as social scientists in other countries (Israel and Hay, 2006). Concerns have been raised by researchers that increasing levels of review will encourage uniform approaches to ‘ethical’ issues such as anonymity and consent that avoid any level of risk; this has been identified as threatening the future of good quality social research and posing particular difficulties for researchers using ethnographic approaches (Murphy and Dingwall, 2007), online (Orton-Johnson, 2010), visual and creative methods (Prosser and Loxley, 2008) and approaches that involve the use of covert methods (Spicker, 2011). However, despite widespread concerns, it is highly likely that the ethical regulation of social research through research ethics committees will continue. Alongside critics of the system, various other authors have identified the importance of researchers engaging with systems of review to ensure committees are informed methodologically and ethically (Iphofen, 2009; Israel and Hay, 2006: 141; Pauwels, 2008; Wiles, Clark and Prosser, 2011). This is a position with which this book aligns itself. Iphofen (2009), among others, has noted that ethical review has an important educative function and one which does not of itself limit social research.

Ethical decision-making

Consideration of the links, overlaps and differences between morals, ethics, ethical approaches, ethical frameworks, ethical regulation and legal regulation are an important starting point for thinking about ethics.

Ethical regulation, professional guidelines, disciplinary norms

Ethical frameworks

Ethical decision-making Legal regulation

Individual moral framework

The decisions that researchers make about the ethical issues that they anticipate encountering in the research planning stage and those that emerge as research unfolds are influenced by several issues: professional guidelines; disciplinary norms; ethical and legal regulation and an individual’s ethical and moral outlook. Figure 1 illustrates this diagrammatically. Each of these issues is explored in this chapter.

All individuals have a moral outlook about what is right and wrong that guides their behaviour. This moral outlook is shaped by individuals’ experiences and interactions and the specific moral beliefs held are inevitably individual (see Gregory, 2003). Nevertheless, society has a large amount of agreement on specific moral principles about right and wrong (such as justice and fairness), even though there is considerable disagreement about the application of these principles to particular circumstances and contexts. Ethical approaches are the application of key moral norms (or principles). Ethical behaviour in research demands that researchers engage with moral issues of right and wrong. To do this they draw on ethical principles identified by the research community to which they belong. The specific ethical issues that researchers identify in their research are informed by their own moral outlook and their understanding of ethics in research. The frameworks for thinking about and managing them are informed largely by the ethical principles derived from the various approaches to ethics which are set out in professional ethical guidelines as well as various textbooks on the topic. Some of these ethical issues can be considered prior to the research commencing but many are emergent and

Figure 1 Factors shaping ethical decision-making in research

become apparent only as the research proceeds. Researchers can draw on a range of resources from the literature and the research community to assist their thinking in how to manage such issues. It is crucial that they resolve the issues in ways that accord with their moral beliefs but also in ways that do not contravene the established ethical standards of their profession. Researchers’ ethical decision-making is also strongly influenced by ethical and legal regulation. Researchers are legally obliged to conform with legal regulation relating to their research. Ethical regulation does not carry such weight but nevertheless researchers are generally obliged to comply with ethical regulation by their institution or by the organisations they are conducting research with or for. It should be noted that conforming with ethical or legal regulation does not necessarily equate with ethical (or moral) behaviour; compliance with regulation in many contexts is often the minimum requirement and ethical behaviour demands more careful consideration of the issues involved. These frameworks, guidelines and regulation that impact on ethical decision-making are explored here.

Ethical frameworks

A range of approaches to research ethics can be identified (see Israel and Hay, 2006; Macfarlane, 2009; Merten and Ginsberg, 2009). These approaches or frameworks provide a means of thinking about moral behaviour. They provide some criteria against which researchers can consider what it is right or wrong to do when presented with an ethical dilemma. These frameworks do not provide clear answers to such dilemmas but rather a means of thinking about them and assessing what an appropriate and defensible course of action might be. Consideration of these frameworks is therefore important in helping to guide researchers in thinking through the ethical challenges with which they are confronted. One of the challenges of engaging with these frameworks is that the criteria that each uses to inform moral decisions vary and thus the decisions that researchers may make will differ according to which framework is used. It is also the case that some of the criteria (or principles) within certain frameworks may lead people to reach different decisions about the ethical challenges they encounter according to which principle within a framework they give primacy to. The most common approaches are consequentialist, principlist, non-consequentialist, ethics of care and virtue ethics.

Consequentialist approaches argue that ethical decisions should be based on the consequences of specific actions so that an action is morally right if it will produce a good outcome for an individual or for wider society. In consequentialism, the more ‘good’ consequences that result from an act, the better or more right is the act; no act is seen as inherently wrong as judgements are based on the outcome of the act. Using a consequentialist approach, a researcher would assess what the outcome of a specific decision might be and decide on an action that they believe would result in the most beneficial outcome. For example, a researcher might argue that it would be acceptable to undertake covert visual research, for example on youth crime, if the findings of the research could be seen as benefiting society as a whole. Similarly, a researcher might argue that it is morally right to disclose confidential data from one participant if that might lead to a better outcome for a larger group of people. An example of consequentialist arguments is provided by Laud Humphreys’ (1975) study of homosexual behaviour. This research has been widely criticised for being unethical but was defended by Humphreys on consequentialist grounds. Humphreys argued that increasing knowledge about homosexual behaviour was essential to bringing about a change in repressive laws and attitudes and that ‘his ends justify the means’ (Warwick 1982: 56). Further detail about Laud Humphreys’ study is provided in chapter 6.

People using non-consequentialist approaches argue that consideration of matters other than the ends produced by actions need to be considered and that ethical decisions should be based on notions of what it is morally right to do regardless of the consequences. A researcher adopting a non-consequentialist approach might, for example, argue that it is morally right to maintain a confidence even if the consequences of that might not be beneficial or in the interests of the wider society. Principlist approaches are a form of non-consequentialist approach (see Beauchamp and Childress, 2001). This approach draws on the principles of respect for people’s autonomy, beneficence, non-maleficence and justice in making and guiding ethical decisions in research. Respect for autonomy relates to issues of voluntariness, informed consent, confidentiality and anonymity. Beneficence concerns the responsibility to do good, non-maleficence concerns the responsibility to avoid harm and justice concerns the importance of the benefits and burdens of research being distributed equally. People using principlist approaches make ethical decisions on the basis of these specific principles. Central to a principlist approach is that consent

must be freely given and that potential participants should not be subject to any encouragement (or coercion) to take part such as that arising from payment for participation or power relations between researcher and participant. Each of the principles is viewed as important but it is recognised that they may conflict with each other and in such cases it is necessary to make a case for why one might need to be chosen over another. Principlist approaches are widely used and commonly form the basis of evaluation of applications for ethical approval by research ethics committees (Israel and Hay, 2006: 37).

An ethics of care approach was originally identified by Carol Gilligan (1982) and has been developed by other feminist theorists (Mauthner et al, 2002; Held, 2006). In this approach, ethical decisions are made on the basis of care, compassion and a desire to act in ways that benefit the individual or group who are the focus of research, recognising the relationality and interdependency of researchers and research participants. This contrasts with the approaches outlined above which involve using rules or principles to address ethical dilemmas. An ethics of care approach means that researchers make decisions about ethical issues in relation to a particular case and by drawing on the notion of ‘care’ in relation to research participants, rather than applying universal rules. Held (2006) has identified some key features of the approach and argues that it involves: meeting the needs of others; recognising emotions; recognising people’s relationality and interdependence; and respecting and seeking the views of others and their moral claims. This is an approach used in much feminist and participatory research where researchers develop close relationships with their participants (see Edwards and Mauthner, 2002). It has been viewed by some as a form of virtue ethics (see below) in that researchers need to develop particular characteristics or virtues in relation to the research they conduct. Mauthner et al (2002) have developed some guidelines for a feminist ethics of care which draws on the key features identified above. These comprise questions for researchers to consider in deliberating on ethical dilemmas (Mauthner et al, 2002: 28).

Virtue ethics is person-based; it focuses on the virtue or moral character of the researcher rather than principles, rules or consequences of an act or decision. Virtue ethics draws on the notion of researcher integrity and seeks to identify the characteristics or virtues that a researcher needs in order to behave in morally (or ethically) ‘good’ ways. Macfarlane (2009: 42) has identified the demands that different phases of the research

process places on researchers and the moral virtues that researchers need to manage these challenges at each stage. He also identifies the corresponding ‘vices’ that characterise a deficit or excess of each virtue that researchers may exhibit when they fall short of a desired virtue. The virtues identified are courage, respectfulness, resoluteness, sincerity, humility and reflexivity. It is recognised that these virtues are ideals which researchers strive for and that the vices are what can occur when these ideals cannot be met. As Macfarlane notes (2009: 42), ‘This set of virtues and vices represent the ideal character of the researcher and the temptations they face during what is a demanding social and intellectual process’. In relation to ethical dilemmas, a virtue ethics approach would expect a researcher to ask what a virtuous researcher would do in the given situation.

An ethical dilemma, based on one from my own experience, may help to clarify the actions that might be taken on the basis of these different frameworks. An ethical dilemma commonly experienced by researchers relates to the issue of confidentiality. For example, a case study I was involved in focusing on a new model of in-patient care in one hospital ward involved interviews with all staff and some patients to find out their views about the benefits and challenges of the new way of working. Interviews revealed that some staff lacked commitment to the new model of care and that this risked the success of the scheme. Should other people in the ‘case’ be informed that there were problems with staff commitment to the scheme so that these issues could be addressed or should I not intervene, given that to do so would involve breaches of confidentiality? A consequentialist would look to the possible outcomes of acting and perhaps would argue that the greatest good would come from disclosing this information in order to improve the efficacy of the scheme. A principlist would be likely to argue that upholding the principle of confidentiality should be paramount and that information should not be disclosed. An ethics of care approach would look to the impact of disclosing information on the participants who had provided it and would explore what the most beneficial outcome would be for them. A virtue ethics approach would explore what a ‘virtuous’ researcher would do in this context which would ensure all participants were treated with respect. In this case this would be likely to mean maintaining confidentiality.

These ethical frameworks provide researchers with the tools to guide decision-making in research. However, there are a range of other factors

which shape, influence or constrain ethical decision-making. These are discussed here.

Legal, regulatory and professional frameworks

Professional ethical guidelines

There are many professional guidelines and codes aimed at providing frameworks to enable researchers to think through the ethical challenges that they encounter in their research (see for example, American Sociological Association, 1999; Association of Social Anthropologists, 2011; British Psychological Society, 2009; British Sociological Association, 2002; European Science Foundation, 2011; RESPECT guidelines, 2004; Social Research Association, 2003). There are also specific guidelines and codes on particular methods or approaches which raise ethical challenges, such as online research (Ess et al, 2002; British Psychological Society, 2007) and visual methods (British Sociological Association Visual Sociology Group’s statement of ethical practice, 2006). These guidelines shape the decisions that researchers make about procedural and emergent ethical issues. They are drawn, to varying degrees, from the ethical approaches outlined above, particularly principlist approaches. Such guidelines are necessarily very general. Except in relation to some very specific issues, such as confidentiality or matters that might result in accusations of research misconduct, they do not provide answers to how researchers should manage the specific situations that they might encounter in their research. Rather, they outline principles to enable researchers to think through the specific situations that occur (Wiles et al, 2006). These guidelines recognise the situated and contextual nature of the ethical challenges that arise when conducting research. The principles addressed in these codes generally relate to issues of the well-being and rights of research participants, informed consent, privacy, confidentiality and anonymity. Social researchers in many disciplines can, and do, conduct research without being members of a professional organisation; as such not all researchers are subject to the guidelines and even if they are, these are not legally enforceable. Nevertheless, a researcher may be excluded from membership of a professional organisation, damage their reputation and have difficulty getting their work published or gaining grants if they disregard these guidelines in ways that challenge disciplinary norms of ethical

behaviour. They might also be subject to disciplinary sanctions if they do not comply with institutional requirements of ethical research behaviour.

Ethical regulation

Most researchers are subject to ethical review procedures through a research ethics committee (REC). Committees vary widely in the ways in which they assess applications for review and the conclusions they come to, even in highly regulated and established systems such as that for the review of research in the UK National Research Ethics Service (Edwards et al, 2004; Israel, 2004). However, the general principles they assess are fairly uniform and are likely to comprise voluntary informed consent, the confidentiality of information provided by participants, the anonymity of study participants, the avoidance of harm and researcher integrity. These are issues that researchers are advised to consider carefully in preparing applications to RECs. RECs have the power to determine the way that various ethical issues will be managed within a research project. RECs generally focus on procedural or anticipated ethical issues; it appears that social researchers, in the UK at least, tend not to seek advice from RECs on ethical issues that emerge once research has commenced unless they are obliged to do so (Wiles et al, 2012). As noted above, some concerns have been raised that ethical regulation places limitations on research, particularly certain types of research such as ethnography, online research and visual methods.

Many resources exist to assist researchers through the ethical review process (see for example http://www.ethicsguidebook.ac.uk/). As well as the importance of preparing a good application that addresses the central ethical issues, researchers can adopt other strategies to maximise their chances of gaining approval. These include finding out how a local REC operates, opting for a committee that might be sympathetic, identifying a committee member to champion the application and being prepared to discuss the application with committee members (Wiles et al, 2012; Israel and Hay, 2006). While RECs have considerable power in determining how ethical issues will be managed in research, there is some evidence that researchers have developed ways to work with ethics committees to modify their impact (Wiles et al, 2012).

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square-shouldered, broad-chested:—with arms muscular as those of a gladiator;[1234] highly-arched feet which looked made for the stirrup;[1235]—a large, but not disproportionate head, round and wellshaped, and covered with close-cropped hair of the tawny hue which Fulk the Red seems to have transmitted to so many of his descendants:[1236] a face which one of his courtiers describes as “lion-like”[1237] and another as “a countenance of fire”[1238]—a face, as we can see even in its sculptured effigy on his tomb, full of animation, energy and vigour;—a freckled skin;[1239] somewhat prominent grey eyes, clear and soft when he was in a peaceable mood, but bloodshot and flashing like balls of fire when the demonspirit of his race was aroused within him:—[1240] Henry, his people might guess almost at a glance, was no mirror of courtly chivalry and elegance, but a man of practical, vigorous and rapid action. He inherited as little of Geoffrey’s personal refinement as of his physical grace. When the young duke of the Normans had first appeared in England, his shoulders covered with a little short cape such as was then usually worn in Anjou, the English knights, who since his grandfather’s time had been accustomed to wear long cloaks hanging down to the ground, were struck by the novelty of his attire and nicknamed him “Henry Curtmantel.”[1241] When once the Angevin fashion was transferred to the English court, however, there was nothing in Henry’s dress to distinguish him from his servants, unless it were its very lack of display and elegance; his clothing and headgear were of the plainest kind; and how little care he took of his person was shewn by his rough coarse hands, never gloved except when he went hawking.[1242] In his later years he was accused of extreme parsimony;[1243] even as a young man, he clearly had no pleasure in pomp or luxury of any kind. He was very temperate in meat and drink;[1244] over-indulgence in that respect seems indeed never to have been one of the habitual sins of the house of Anjou; and whatever complex elements may have had a part in his innermost moral constitution, in temper and tastes Henry was an Angevin of the Angevins. His restlessness seems to have outdone that of Fulk Nerra himself. He was always up and doing; if a dream

of ease crossed him even in sleep, he spurned it angrily from him; [1245] he gave himself no peace, and as a natural consequence, he gave none to those around him. When not at war, he was constantly practising its mimicry with hawk and hound; his passion for the chase—a double inheritance, from his father and from his mother’s Norman ancestors—was so great as to be an acknowledged scandal in all eyes.[1246] He would mount his horse at the first streak of dawn, come back in the evening after a day’s hard riding across hill, moor and forest, and then tire out his companions by keeping them on their feet until nightfall.[1247] His own feet were always swollen and bruised from his violent riding; yet except at meals and on horseback, he was never known to be seated.[1248] In public or in private, in council or in church, he stood or walked from morning till night.[1249] At church, indeed, he was especially restless; unmindful of the sacred unction which had made him king, he evidently grudged the time taken from secular occupations for attendance upon religious duties, and would either discuss affairs of state in a whisper[1250] or relieve his impatience by drawing little pictures all through the most solemn of holy rites.[1251] His English or Norman courtiers, unaccustomed to deal with the demon-blood of Anjou, vainly endeavoured to account for an activity which remained undiminished when they were all half dead with exhaustion, and attributed it to his dread of becoming disabled by corpulence, to which he had a strong natural tendency.[1252] A good deal of it, however, was probably due to sheer physical restlessness and superabundant physical energy; and a good deal more to the irrepressible outward working of an extraordinarily active mind.

[1229] “Vir . . . quem miles diligenter inspectum accurrebant [accurrebat?] inspicere.” W. Map, De Nugis Curialium, dist. v. c. 6 (Wright, p. 227).

[1230] Ibid. Gir. Cambr. De Instr. Princ., dist. ii. c. 29 (Angl. Christ. Soc., p. 71). Peter of Blois, Ep. lxvi. (Giles, vol. i. p. 193).

[1231] Pet. Blois as above.

[1232] Gir. Cambr. as above.

[1233] W. Map as above.

[1234] Gir. Cambr. as above (p. 70). Pet. Blois as above.

[1235] Pet. Blois as above.

[1236] Ibid. Gir. Cambr. as above.

[1237] Pet. Blois as above.

[1238] Gir. Cambr. as above.

[1239] See how Merlin’s prophecy about “fortem lentiginosum” was applied to him, Gir. Cambr. Itin. Kambr., l. i. c. 6 (Dimock, vol. vi. p. 62).

[1240] Gir. Cambr. De Instr. Princ., dist. ii. c. 29 (Angl. Christ. Soc., p. 70). Pet. Blois as above.

[1241] Gir. Cambr. De Instr. Princ., dist. iii. c. 28 (Angl. Christ. Soc., p. 157).

[1242] Pet. Blois, Ep. lxvi. (Giles, vol. i. pp. 193, 194).

[1243] See Ralf Niger (Anstruther), p. 169. Ralf, however, was a bitter enemy. Gerald on the other hand seems to draw, and to imply that Henry drew, a distinction between official and personal expenditure: “Parcimoniæ, quoad principi licuit, per omnia datus.” De Instr. Princ., dist. ii. c. 29 (Angl. Christ. Soc., p. 70). “Largus in publico, parcus in privato” (ib. p. 71).

[1244] Gir. Cambr. as above (p. 70). Pet. Blois as above (p. 195). W. Map, De Nug. Cur., dist. v. c. 6 (Wright, p. 231).

[1245] W. Map as above (p. 227).

[1246] Ibid. Gir. Cambr. as above (p. 71). Pet. Blois as above (p. 194).

[1247] Gir. Cambr. De Instr. Princ., dist. ii. c. 29 (Angl. Christ. Soc., p. 71).

[1248] Ibid. Pet. Blois, Ep. lxvi. (Giles, vol. i. p. 194).

[1249] Pet. Blois as above.

[1250] Gir. Cambr. as above (p. 72).

[1251] “Oratorium ingressus, picturæ et susurro vacabat.” R. Niger (Anstruther), p. 169. It is only fair to add that some of the highest clergy of the day were just as unscrupulous as the king about talking business during mass. See, e.g., Chron. de Bello (Angl. Christ. Soc.), pp. 73, 74; and there are plenty of other examples

[1252] W Map, De Nug Cur , dist v c 6 (Wright, p 227)

It was no light matter to be in attendance upon such a king. His clerks, some playfully, some in all seriousness, compared his court to the infernal regions.[1253] His habit of constantly moving about from one place to another—a habit which he retained to the very end of his life—was in itself sufficiently trying to those who had to transact business with him, and was made positively exasperating by his frequent and sudden changes of plan. “He shunned regular hours like poison.”[1254] “Solomon saith,” wrote his secretary Peter of Blois to him once, after vainly striving to track him across land and sea, “Solomon saith there be three things difficult to be found out, and a fourth which may hardly be discovered: the way of an eagle in the air; the way of a ship in the sea; the way of a serpent on the ground; and the way of a man in his youth. I can add a fifth: the way of a king in England.”[1255] In a letter to his old comrades of the court Peter gives a detailed account of the discomforts brought upon them by Henry’s erratic movements. “If the king has promised to spend the day in a place—more especially, if his intention so to do has been publicly proclaimed by a herald—you may be quite sure he will upset everybody’s arrangements by starting off early in the morning. Then you may see men rushing about as if they were mad, beating their packhorses, driving their chariots one into another—in short, such a turmoil as to present you with a lively image of the infernal regions. If, on the other hand, the king announces that he will set out early in the morning for a certain place, he is sure to change his mind; you may take it for granted that he will sleep till noon. Then you shall see

the packhorses waiting with their burthens, the chariots standing ready, the couriers dozing, the purveyors worrying, and all grumbling one at another. Folk run to the women and the tent-keepers to inquire of them whither the king is really going; for this sort of courtiers often know the secrets of the palace. Many a time when the king was asleep and all was silent around, there has come a message from his lodging, not authoritative, but rousing us all up, and naming the city or town whither he was about to proceed. After waiting so long in dreary uncertainty, we were comforted by a prospect of being quartered in a place where there was a fair chance of accommodation. Thereupon arose such a clatter of horse and foot that hell seemed to have broken loose. But when our couriers had gone the whole day’s ride, or nearly so, the king would turn aside to some other place where he had perhaps one single house, and just enough provision for himself and none else. I hardly dare say it,” adds the sorely-tried secretary, “but I verily believe he took a delight in seeing the straits to which he put us! After wandering a distance of three or four miles in an unknown wood, and often in the dark, we thought ourselves lucky if we stumbled upon some dirty little hovel; there was often grievous and bitter strife about a mere hut; and swords were drawn for the possession of a lodging which pigs would not have deemed worth fighting for. I used to get separated from my people, and could hardly collect them again in three days. O Lord God Almighty! wilt Thou not turn the heart of this king, that he may know himself to be but man, and may learn to shew some grace of regal consideration, some human fellow-feeling, for those whom not ambition, but necessity, compels to run after him thus?”[1256]

[1253] W Map, De Nug Cur , dist i c 2 (pp 5, 6); dist v c 7 (p 238) Pet Blois, Ep xiv (Giles, vol i p 50)

[1254] R Niger (Anstruther), p 169

[1255] Pet. Blois, Ep. xli. (Giles, vol. i. p. 125). Arnulf of Lisieux makes a like complaint in a more serious tone: Arn Lis , Ep 92 (Giles, p 247) See also the remark of Louis of France on Henry’s expedition to Ireland in 1172: R Diceto (Stubbs), vol i p 351

[1256] Pet. Blois, Ep. xiv. (Giles, vol. i. pp. 50, 51).

This bustling, scrambling, roving Pandemonium was very unlike the orderly, well-disciplined court of the first King Henry, where everything was done according to rule;—where the royal itinerary was planned out every month, and its stages duly announced and strictly adhered to, so that every man knew exactly when and where to find his sovereign, and his coming brought people together as to a fair:—where all the earls and barons of the realm were set down in a written list, according to which every one on his arrival at court was furnished with a certain allowance of bread, wine and candles for the term of his sojourn;[1257]—where the king’s own daily life was passed in a steady routine, holding council with his wise men and giving audiences until dinner-time, devoting the rest of the day to the society of the young gallants whom he drew from every country on this side of the Alps to increase the splendour of his household:—a court which was “a school of virtue and wisdom all the morning, of courtesy and decorous mirth all the afternoon.”[1258] Yet this hasty, impetuous young sovereign, in whose rough aspect and reckless ways one can at first glance discern so little either of regal dignity or of steady application to regal duty, was in truth, no less than his grandfather, an indefatigable worker and a born ruler of men. His way of doing business, apparently by fits and starts, bewildered men of less versatile intellect and less rapid decision; but they saw that the business was done, and done thoroughly, though they hardly understood when or how. They resigned themselves to be swept along in the whirl of Henry’s unaccountable movements, for they learned to perceive that those movements did not spring from mere caprice and perversity, but had always a motive and an object, inscrutable perhaps to all eyes save his own, but none the less definite and practical. When he dragged them in one day over a distance which should have occupied four or five, they knew that it was to forestall the machinations of some threatening foe. When he ran over the country from end to end without a word of notice, it was to overtake his officials at unawares and ascertain for himself how they were or were not attending to their duty [1259] If he was never

still, he was also never idle. He seemed to be specially haunted by that dread of the mischief attendant upon idle hands which an Angevin writer quaintly puts forth as an apology for the ceaseless warfare in which his race passed their lives.[1260] Henry’s hands were never idle; in the intervals of state business, when not laden with bow and arrows, they almost invariably held a book; for Henry was, to the very close of his life, the most learned crowned head in Christendom.[1261] He was a match for the best among his subjects in all knightly exercises and accomplishments; he was no less a match for the best, among laymen at least, in scholarship and mental culture. If we may believe one of his chaplains, Walter Map, he knew something of every language “from the bay of Biscay to the Jordan,” though he only spoke two, Latin and his native French;[1262] he evidently never learned to speak, and it is doubtful how far he understood, the natural tongue of the people of his island realm. He loved reading; he enjoyed the society of learned men; his delight was to stand amid a little group of clerks, arguing out some knotty point with them; not a day passed in his court without some interesting literary discussion.[1263] His habit of shutting himself up in his own apartments with a few chosen companions was a grievance to those who remembered his grandfather’s practice of coming forth in public at stated hours every day;[1264] yet Henry II. was never difficult of access; once, when the prior of Witham made a witty retort to the marshals who refused him admittance to the royal chamber, the king himself, overhearing the jest, opened the door with a peal of laughter;[1265] and a courier charged with important news from the north made his way to the sovereign’s bedside and woke him in the middle of the night without hesitation.[1266] When he did shew himself to the people, they thronged him without ceremony; they caught hold of him right and left, they pulled him this way and that, yet he never rebuked them, never gave them an angry look, but listened patiently to what each man had to say, and when their importunity became intolerable he simply made his escape without a word.[1267] Though not gifted with a good voice,[1268] he was a ready and pleasant speaker;[1269] and he had two other natural qualifications specially useful for a king. Unlike his grandfather Fulk

V , who never could remember a face and constantly had to ask the names of his own familiar attendants,[1270] Henry never failed to recognize a man whom he had once looked at; and a thing once heard, if worth remembering, never slipped from his memory, which was consequently stored with a fund of historical and experimental knowledge ready for use at any moment.[1271]

[1257] W. Map, De Nug. Cur., dist. v. c. 6 (Wright, pp. 224, 225).

[1258] W. Map, De Nug. Cur., dist. v. c. 5 (Wright, p. 210).

[1259] Pet. Blois, Ep. lxvi. (Giles, vol. i. p. 194).

[1260] See above, p. 343, note 6{1002} .

[1261] Pet. Blois as above.

[1262] W. Map, De Nug. Cur., dist. v. c. 6 (Wright, p. 227).

[1263] Pet. Blois, Ep. lxvi. (Giles, vol. i. p. 194).

[1264] W. Map as above (p. 230).

[1265] Ib. dist. i. c. 6 (p. 7).

[1266] Will. Newb., l. ii. c. 25 (Howlett, vol. i. p. 189).

[1267] W Map, as above, dist v c 6 (Wright, p 231)

[1268] “Voce quassâ ” Gir Cambr De Instr Princ , dist ii c 29 (Angl Christ Soc , p 70) This however refers to his later years

[1269] Ib p 71 Pet Blois as above (p 195)

[1270] Will Tyr , l xiv c i

[1271] Gir Cambr De Instr Princ , dist ii c 29 (Angl Christ Soc , p 73)

His worst private vices only reached their full developement in later years; it is plain, however, that he was much less careful than his grandfather had been of the outward decorum of his household; and unluckily his consort was not a woman to control it by her influence or improve it by her example like the “good Queen Maude.” His wrath was even more terrific than the wrath of kings is proverbially wont to be.[1272] His passions were strong, and they were lasting; when once he had taken a dislike to a man, he could rarely be induced to grant him his favour; on the other hand, when his friendship and confidence were once given, he withdrew them with the utmost difficulty and reluctance;[1273] and he had the gift of inspiring in all who came in contact with him a love or a hatred as intense and abiding as his own. His temper was a mystery to those who had not the key to it; it was the temper of Fulk Nerra. He had the Black Count’s strange power of fascination, his unaccountable variations of mood, and his cool, clear head. Like Fulk, he was at one moment mocking and blaspheming all that is holiest in earth and heaven, and at another grovelling in an agony of remorse as wild as the blasphemy itself. Like Fulk, he was an indefatigable builder, constantly superintending the erection of a wall, the fortification of a castle, the making of a dyke, the enclosing of a deer-park or a fishpond, or the planning of a palace;[1274] and all the while his material buildings were but types of a great edifice of statecraft which, all unseen, was rising day by day beneath the hands of the royal architect;—his ever-varying pursuits, each of which seemed to absorb him for the moment, were but parts of an all-absorbing whole; —and his seeming self-contradictions were unaccountable only because the most useful of all his Angevin characteristics, his capacity for instinctively and unerringly adapting means to ends, enabled him to detect opportunities and recognize combinations invisible to less penetrating eyes. This was the moral constitution which in Fulk III. and Fulk V. had made the greatness of the house of Anjou; its workings were now to be displayed on a grander scale and in a more important sphere.

[1272] Pet Blois, Ep lxxv (Giles, vol i p 223)

[1273] Pet. Blois, Ep. lxvi. (ib. p. 194). Gir. Cambr. De Instr. Princ., dist. ii. c. 29 (Angl. Christ. Soc., (p. 71).

[1274] Pet. Blois as above (p. 195).

The young king saw at once that for his work of reconstruction and reform in England the counsellors who surrounded him in Normandy were of no avail; that he must trust solely to English help, and select his chief ministers partly from among those who had been in office under his predecessor, partly from such of his own English partizans as were best fitted for the task. First among the former class stood Richard de Lucy, who held the post of justiciar at the close of Stephen’s reign,[1275] who retained it under Henry for five-andtwenty years, and whose character is summed up in the epithet said to have been bestowed on him by his grateful sovereign—“Richard de Lucy the Loyal.”[1276] For thirteen years he shared the dignity and the duties of chief justiciar with Earl Robert of Leicester,[1277] who, after having been a faithful supporter of Stephen in his earlier and better days, had transferred his allegiance to Henry, and continued through life one of his most trusty servants and friends. The weight of Robert’s character was increased by that of his rank and descent; as head of the great house of Leicester, he was the most influential baron of the midland shires; while as son of Count Robert of Meulan, the friend of Henry I., he was a living link with that hallowed past which Henry II. was expected to restore, and a natural representative of its traditions of honour and of peace. Of the great ministers who had actually served under the first King Henry only one survived: the old treasurer, Nigel, bishop of Ely. We know not who took his place on his fall in 1139; but the treasurer in Stephen’s latter years can have had little more than an empty title; and when Nigel reappears in office, immediately after Henry’s accession, it is not as treasurer, but as chancellor.[1278] This, however, was a merely provisional arrangement; in a few weeks the bishop of Ely was reinstated in his most appropriate place, on the right side of the chequered table, gathering up the broken threads of the financial system which he had learned under his uncle of Salisbury;[1279] while the more

miscellaneous work of the chancellor was undertaken by younger hands.

[1275] At the peace he held the Tower of London and the castle of Windsor; Rymer, Fœdera, vol i p 18: these were peculiarly in the custody of the justiciar; Stubbs, Const. Hist., vol. i. p. 449, note 1.

[1276] Jordan Fantosme, vv. 1540–1541 (Michel, p. 70).

[1277] Robert appears as capitalis justicia in a charter of, apparently, 1155 (Eyton, Itin. Hen. II., p. 3). In 1159–1160, John of Salisbury describes him as “illustris comes Legrecestriæ Robertus, modeste proconsulatum gerens apud Britannias” (Joh. Salisb. Polycrat., l. vi. c. 25; Giles, vol. iv. p. 65), and at his death in 1168 he is named in the Chron. Mailros (ad ann.) as “comes justus Leicestrie, et qui summa justitia vocatur.”

[1278] A charter issued at Westminster, evidently soon after the coronation, is witnessed by “N. Epọ de Ely et Canc.” Eyton, Itin. Hen. II., p. 2, note 2.

[1279] Dial. de Scacc., l. i. c. 8 (Stubbs, Select Charters, p. 199).

Under the old English constitutional system, alike in its native purity and in the modified form which it assumed under the Conqueror and his sons, the archbishop of Canterbury was the official keeper of the royal conscience and the first adviser of the sovereign. Theobald had contributed more than any other one man to secure Henry’s succession; he saw in it the crowning of his own life’s work for England; while Henry saw in Theobald his most weighty and valuable supporter. It was therefore a matter of course that the primate should resume the constitutional position which he had inherited from Anselm and Lanfranc and their old-English predecessors. Theobald, however, was now in advanced age and feeble health; and when he fully perceived what manner of man it was to whom he was bound to act as spiritual father and political guide, he felt that to regulate these strong passions, to direct these

youthful impulses, to follow these restless movements, was a task too hard for his failing strength. He feared the evil influences of the courtiers upon the young king, who seemed so willing to be led aright, and might for that very reason be so easily led astray;[1280] he feared for the English Church, through which there was already running a whisper of ill-omen concerning the Angevins’ known hostility to the rights of religion;[1281] he feared for his own soul, lest Henry should wander out of the right path for lack of guidance, and the sin should lie at the door of the incompetent guide.[1282] There was one man who, if he could but be placed at the young king’s side, might be trusted to manage the arduous and delicate task. So to place him could be no very difficult matter; for his own past services to Henry’s cause were far too great to be left unrewarded. Neither the recommendations of the bishops of Winchester,[1283] Bayeux and Lisieux,[1284] nor even those of the primate, could have as much weight as the known qualifications of the candidate himself in obtaining the office of chancellor for Thomas Becket.[1285]

[1280] Gerv. Cant. (Stubbs), vol. i. p. 160.

[1281] Vita S. Thomæ, Anon. I. (Robertson, Becket, vol. iv.), p. 11.

[1282] Gerv. Cant. (Stubbs), vol. i. p. 160.

[1283] Will. Fitz-Steph. (Robertson, Becket, vol. iii.), p. 18.

[1284] “Quorum consiliis rex in primordiis suis innitebatur.” Anon. I. (ib. vol. iv.), p. 12.

[1285] “Facile regi inspiratum est commendatum habere quem propria satis merita commendabant.” E. Grim (ib. vol. ii.), p. 363.

I cannot attach any importance to the version of Thomas Saga (Magnusson), vol. i. pp. 45–47.

The chancellor’s duties were still much the same as they had been when first organized by Roger of Salisbury. He was charged with the keeping of the royal seal, the drawing-up of royal writs and charters,

the conduct of the royal correspondence, the preservation of legal records, the custody of vacant fiefs and benefices, and the superintendence of the king’s chaplains and clerks;[1286]—in a word, the management of the whole clerical and secretarial work of the royal household and of the government. Officially, he seems to have been ranked below the chief ministers of state—the justiciar, or even the treasurer;[1287] personally, however, he was brought more than either of them into close and constant relations with his sovereign. The actual importance and dignity of the chancellorship depended in fact upon the capacity of individual chancellors for magnifying their office. Thomas magnified it as no man ever did before or since. In a very few months he became what the justiciar had formerly been, the second man in the kingdom;[1288] and not in the kingdom alone, but in all the lands, on both sides of the sea, which owned Henry FitzEmpress for their sovereign.[1289] Theobald’s scheme far more than succeeded; his favourite became not so much the king’s chief minister as his friend, his director, his master.[1290] The two young men, drawn together by a strong personal attraction, seemed to have but one heart and one soul.[1291] Thomas was the elder by fifteen years; but the disparity of age was lost in the perfect community of their feelings, interests and pursuits. Thomas was now in deacon’s orders, having been ordained by Archbishop Theobald at the close of the previous year on his appointment to the archdeaconry of Canterbury,[1292] an office which was accounted the highest ecclesiastical dignity in England after those of the bishops and abbots.[1293] He felt, however, no vocation and no taste for the duties of sacred ministry, and was only too glad to “put off the deacon” and fling all his energies into the more congenial sphere of court life.[1294] Alike in its business and in its pleasures he was thoroughly at home. His refined sensibilities, his romantic imagination, revelled in the elegance and splendour which to Henry’s matter-of-fact disposition were simply irksome; he gladly took all the burthen of state ceremonial as well as of state business upon his own shoulders; and he bore it with an easy grace which men never wearied of admiring. One day he would be riding in coat of mail at the head of the royal troops, the next he would be dispensing justice

in the king’s name;[1295] and his will was law throughout the land, for all men knew that his will and Henry’s were one.[1296]

[1286] Will. Fitz-Steph. (Robertson, Becket, vol. iii.), p. 18. On the chancellor’s office see Stubbs, Const. Hist., vol. i. pp. 352, 353.

[1287] Will. Fitz-Steph., as above, does indeed say “Cancellarii Angliæ dignitas est ut secundus a rege in regno habeatur”; but he had in his mind one particular chancellor. He also says “Cancellaria emenda non est”; but it seems that Thomas himself paid for his appointment (Gilb Foliot, Ep cxciv , Giles, vol i p 268; Robertson, Becket, vol v Ep ccxxv pp 523, 524), like the chancellors before and after him, and like the other great ministers of state

[1288] “In regno secundus,” Gerv Cant (Stubbs), vol i p 169 “Secundus a rege,” Will Fitz-Steph (Robertson, Becket, vol iii ), p 18 “Nullus par ei erat in regno, excepto solo rege,” Rog Howden (Stubbs), vol i p 216 E Grim (Robertson, Becket, vol ii.), p. 363, and the Thomas Saga (Magnusson), vol. i. p. 49, liken his position to that of Joseph.

[1289] “Secundum post regem in quatuor regnis quis te ignorat?” writes Peter of Celle to Thomas (Robertson, Becket, vol. v. Ep. ii. p. 4).

[1290] “Regis amicus,” Gerv. Cant. (Stubbs), vol. i. p. 169. “Regis rector et quasi magister,” ib. pp. 160 and 169.

[1291] Joh. Salisb., Ep. lxxviii. (Giles, vol. i. p. 109; Robertson, Becket, vol. v. Ep. ix. p. 13).

[1292] Gerv. Cant. (Stubbs), vol. i. pp. 159, 160. Rog. Howden (Stubbs), vol. i. p. 213. Will. Cant. (Robertson, Becket, vol. i.), p. 4. Will. Fitz-Steph. (ib. vol. iii.), p. 17. Herb. Bosh. (ibid.), p. 168. Anon. I. (ib. vol. iv.), p. 11.

[1293] Will. Fitz-Steph. as above. He says it was worth a hundred pounds of silver.

[1294] Herb. Bosh. (as above), p. 173.

[1295] Anon. I. (Robertson, Becket, vol. iv.), p. 12.

[1296] Ibid. E. Grim (ib. vol. ii.), p. 364.

In outward aspect Thomas must have been far more regal than the king himself. He was very tall and elegantly formed,[1297] with an oval face,[1298] handsome aquiline features,[1299] a lofty brow,[1300] large, lustrous and penetrating eyes;[1301] there was an habitual look of placid dignity in his countenance,[1302] a natural grace in his every gesture, an ingrained refinement in his every word and action;[1303] the slender, tapering, white fingers[1304] and dainty attire of the burgher’s son contrasted curiously with the rough brown hands and careless appearance of Henry Fitz-Empress; the order, elegance and liberality of the chancellor’s household contrasted no less with the confusion and discomfort of the king’s. The riches that passed through Thomas’s hands were enormous; revenues and honours were heaped on him by the king; costly gifts poured in upon him daily from clergy and laity, high and low. But what he received with one hand he gave away with the other; his splendour and his wealth were shared with all who chose to come and take a share of them. His door was always open, his table always spread, for all men, of whatever race or rank, who stood in need of hospitality.[1305] Besides fifty-two clerks regularly attached to his household—some to act as his secretaries, some to take charge of the vacant benefices in his custody, some to serve his own numerous livings and prebends[1306]—he had almost every day a company of invited guests to dinner; every day the hall was freshly strewn with green leaves or rushes in summer and clean hay or straw in winter, amid which those for whom there was no room on the benches sat and dined on the floor. The tables shone with gold and silver vessels, and were laden with costly viands; Thomas stuck at no expense in such matters; but it was less for his own enjoyment than for that of his guests;[1307] and these always included a crowd of poor folk, who were as sumptuously and carefully served as the rich;[1308] the meanest in his house never had to complain of a dinner such as the

noblest were often obliged to endure in King Henry’s court, where half-baked bread, sour wine, stale fish and bad meat were the ordinary fare.[1309] The chancellor’s hospitality was as gracious as it was lavish. He was the most perfect of hosts; he saw to the smallest details of domestic service; he noted the position of each guest, missed and inquired for the absent, perceived and righted in a moment the least mistake in precedence; if any man out of modesty tried to take a lower place than was his due, it was in vain; no matter in what obscure corner he might hide, Thomas was sure to find him out; he seemed to pierce through curtains and walls with those wonderful eyes whose glance brightened and cheered the whole table.[1310] No wonder that barons and knights sent their sons to be educated under his roof,[1311] and that his personal followers were far more numerous than those of the king.[1312]

[1297] Will. Fitz-Steph. (Robertson, Becket vol. iii.), p. 17. Herb. Bosh. (ibid.), p. 327. Will. Cant. (ib. vol. i.), p. 3. Thomas Saga (Magnusson), vol. i. p. 29.

[1298] Herb. Bosh. as above.

[1299] Will. Fitz-Steph., Herb. Bosh., and Thomas Saga, as above.

[1300] Herb. Bosh. as above.

[1301] Ib. p. 229.

[1302] Will. Cant., Will. Fitz-Steph., and Thomas Saga, as above.

[1303] Anon. II. (Robertson, Becket, vol. iv.), p. 84.

[1304] Herb. Bosh. (ib. vol. iii.), p. 327.

[1305] Will. Fitz-Steph. (Robertson, Becket, vol. iii.), pp. 20, 21. Joh. Salisb., Entheticus in Polycraticum (Giles, vol. iii.) p. 3.

[1306] Will. Fitz-Steph. as above, p. 29.

[1307] Ib. pp. 20, 21.

[1308] Anon. I. (ib. vol. iv.), p. 13.

[1309] Pet. Blois, Ep. xiv. (Giles, vol. i. p. 49).

[1310] Herb. Bosh. (Robertson, Becket, vol. iii.), p. 229.

[1311] Will. Fitz-Steph. (ibid.), p. 22.

[1312] E. Grim (ib. vol. ii.), p. 363. Anon. I. (ib. vol. iv.), p. 13.

Henry might have been jealous of his minister; but there was no thought of jealousy in his mind. He was constantly in and out at the chancellor’s house; half in sheer fun, half to see for himself the truth of the wonderful stories which he heard about it, he would come uninvited to dinner, riding up suddenly—often bow in hand, on his way to or from the chase—when Thomas was seated at table; sometimes he would take a stirrup-cup, nod to his friend and ride away; sometimes he would leap over the table, sit down and eat. When their work was over, king and chancellor played together like a couple of schoolboys, and whether it was in their private apartments, in the public streets, in the palace, or in church, made no difference at all. It was a favourite tale among their associates how as they rode together through the streets of London one winter’s day, the king, seeing a ragged shivering beggar, snatched at the chancellor’s handsome new mantle of scarlet cloth lined with vair, crying—“You shall have the merit of clothing the naked this time!” and after a struggle in which both combatants nearly fell off their horses, sent the poor man away rejoicing in his new and strangely acquired garment, while with shouts of applause and laughter the bystanders crowded round Thomas, playfully offering him their cloaks and capes in compensation for his loss.[1313]

[1313] Will. Fitz-Steph. (Robertson, Becket, vol. iii.), pp. 24, 25.

It is hardly possible to deny that such enormous wealth as passed through Thomas’s hands during his tenure of the chancellorship must have been acquired, in part at least, by means which in the

case of a minister of the Crown in our own day would be accounted little less than scandalous. But in the twelfth century there was no scandal about the matter. Costly gifts of all kinds were showered at the feet of kings and great men openly and as matter of course, and kings and great men received them as openly, often without any idea of bribery on either side. Moreover it is to be remembered that Thomas’s position as chancellor gave him command over a considerable portion of the royal revenues, and that he was left free to draw upon them at his own discretion to meet an expenditure of which part was incurred directly in the king’s behalf, while the whole of it might be regarded as indirectly tending to the king’s glorification and benefit. The two friends in fact seem to have had but one purse as well as “one mind and one heart,” and not till many years later was there any thought of disentangling their accounts. Amid all the chancellor’s wild magnificence, there is no evidence of corruption; and there was certainly no arrogance. Thomas had nothing of the upstart in him; he never ignored his burgher-origin, he never dropped the friends of his boyhood; his filial submission to the primate remained unchanged;[1314] his gratitude to his early teachers at Merton was proved by his choice of a confessor from among them, [1315] and by his successful efforts to bring their house under the special patronage of the king.[1316] His tastes were those of the most refined aristocrat, but his sympathies were with the people from whose ranks he had sprung; his boundless almsgiving was doubled in value by the gracious considerateness with which it was bestowed; his tenderness for the poor was as genuine and as delicate as that of his mother the good dame Rohese, and he was quick alike to supply their needs and to vindicate their cause.[1317]

[1314] Anon. I. (Robertson, Beckett, vol. iv.) p. 11.

[1315] Will. Fitz-Steph. (ib. vol. iii.), p. 21. This confessor, Robert by name, was with him all through his exile; see Garnier (Hippeau), p. 137.

[1316] Will. Fitz-Steph. (as above), p. 23.

[1317] Anon. I. (ib. vol. iv.), p. 13. Cf. Thomas Saga (Magnusson), vol. i. pp. 49, 55–57.

Like the king himself, Thomas was a standing marvel to his contemporaries; the strict stood aghast at his unclerical mode of life; the simple were half inclined to take him for a wizard.[1318] But his witchery was universal and irresistible; and after all it was only the magic of a winning personality, a vivid imagination, a dauntless spirit and a guileless heart. For the chancellor’s frivolity was all on the surface of his life; its inner depths were pure. Amid the countless temptations of a corrupt court, no stain ever rested upon his personal honour. He shared in all the king’s pursuits, except the evil ones; into them Henry tried to entrap him night and day, but in vain.[1319] The one thing he would not do, the one thing he would not tolerate, was evil; the one species of human being to whom his doors were inexorably closed was a man of known bad character.[1320] Coarseness, immorality, dishonesty, in word or deed, met with summary and condign punishment at his hands.[1321] Above all things, “lying lips and a deceitful tongue were an abomination unto him.”[1322] When in after-days a biographer of the martyred archbishop copied from the Epistle to the Ephesians the description of the spiritual armour in which his hero was supposed to have clothed himself at his consecration, he significantly omitted the first piece of the panoply;[1323] Thomas had no need then to put on the girdle of truth, for he had worn it all his life.

[1318] Will Cant (Robertson, Becket, vol i ), p 5

[1319] Will Fitz-Steph (Robertson, Becket, vol iii ), p 21 Cf Herb Bosh (ibid ) p 166; Joh Salisb (ib vol ii ), p 303; Will Cant (ib vol i ), pp 5, 6; Garnier (Hippeau), pp 12, 13; Thomas Saga (Magnusson), vol i pp 53–55

[1320]

“Nota domus cunctis, vitio non cognita soli ”

“Huic, quæ sola placet, solâ virtute placebis ” Joh Salisb , Enthet in Polycrat (Giles, vol iii ) pp 2, 3

[1321] Anon. I. (Robertson, Becket, vol. iv.), p. 8. Will. FitzSteph. (ib. vol. iii.), p. 21.

[1322] Herb. Bosh. (ib. vol. iii.), p. 166.

[1323] Ib. p. 198.

His position at court was no easy one; for a while envy, hatred and malice assailed him from all sides, and their attacks, added to an immense load of work, so overwhelmed him that he more than once declared to his friends and to the primate that he was weary of his life and would be thankful to end it, or at any rate to break away from the bondage of the court, if only he could do so with honour. But he was not the man to forsake a task which he had once undertaken; [1324] his nature was rather to do it, like the king himself, with all his might. In the after-years, when friends and foes alike could hardly look back upon any period of Thomas’s career save in the light of the martyr’s aureole, more than half the credit of Henry’s early reforms was bestowed upon the chancellor.[1325] Even at the time, he was described by no mean authority as the champion of all liberty,[1326] the defender of all rights, the redresser of all wrongs, the restorer of peace,[1327] the mediator who stood between king and people to soften the inflexibility of law and prevent justice from degenerating into legal wrong.[1328] It is certain that the brightest and happiest years of Henry’s reign were those during which Thomas held the foremost rank and took the foremost part in the administration of government. For the successful execution of Henry’s policy, therefore, Thomas is entitled to a large share of credit. But that he in any serious degree influenced and moulded the general scope of that policy is a theory opposed both to the evidence of actual events and to the inferences which must be drawn from the characters of the two men, as developed in their after-careers. Thomas may have suggested individual measures—we shall see that he did suggest one of very great importance;—he may have contrived modifications in detail; but Henry’s policy, as a whole, bears the clear stamp of one mind—his own. The chancellor’s true merit lies in this, that he was Henry’s best and most thorough fellow-worker—not so much his

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