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Review Article American Journal of Hospice

& Palliative Medicine®


Volume 24 Number 6

Recruiting Participants December/January 2008 515-521


© 2008 Sage Publications
10.1177/1049909107300551
in End-of-Life Research http://ajhpm.sagepub.com
hosted at
http://online.sagepub.com

Karin T. Kirchhoff, PhD, RN, FAAN,


and Karen A. Kehl, MS, RN, ACHPN

A great deal of time, attention, and funding has been (patients or family members) and those related to the
dedicated to research concerned with improving care at health care providers or systems. A researcher who is
the end of life. However, sizes of samples for such forewarned about higher-than-usual rates for lack of
research are reduced by recruitment problems unique contact, refusals, and no-shows in end-of-life research
to end-of-life studies, which limits their power and gen- can plan appropriately for the time and effort needed
eralizability. In this article, experiences are shared and during the recruitment phase of the study.
suggestions are offered to increase recruitment using
4 recent studies on end-of-life topics as examples. The Keywords: end of life; patient recruitment; bereaved
issues in this article include those related to participants family

A
great deal of time, attention, and funding has access to those in the numerator because of gate-
been dedicated to research concerned with keeping by caregivers.
improving care at the end of life. However, the Issues with recruitment can be divided into
sizes of samples for such research are reduced by those related to participants (patients or family
recruitment problems unique to end-of-life studies, members) and those related to the health care
which limits their power and generalizability. These providers or systems, including privacy legislation.
problems in recruitment have been well documented Other issues are related to the research design. This
in the literature, but few good solutions are offered. article will focus on those dealing with participants
In this article, experiences are shared and suggestions and health care providers or systems.
are offered to increase recruitment using 4 recent
studies concerning end-of-life topics as examples. Patients as Participants

Review of the Literature One of the most obvious difficulties in recruitment


of research subjects at end of life is that patients are
Although a few studies in end of life have recruited frail and may be burdened by many symptoms.
large samples,1-3 most researchers have reported dif- When a study requires a lengthy interview, it is often
ficulties in recruiting participants. Researchers have not possible to find patients in the target group who
been creative in changing recruitment strategies and are feeling well enough to participate or to complete
methods4 and redesigning their studies to maximize the study requirements. It is not unusual for a
the potential for recruitment.5,6 Ewing et al4 expressed patient to wish to participate, but the family mem-
concern about not knowing the total number of poten- ber who wishes to protect the patient may refuse.7 In
tial participants (denominator) and then having limited other cases, the family may wish for the patient to
participate, but the patient is too ill at that time.7
Issues regarding participants can be seen in a
From the School of Nursing, University of Wisconsin–Madison,
Madison, Wisconsin. study in which chronically ill patients are recruited
for advance care planning.8 In this study, there was
Address correspondence to: Karin T. Kirchhoff, PhD, RN, FAAN,
UW–Madison, School of Nursing, 600 Highland Ave, CSC a facilitation of discussion with the patient and sur-
K6/338, Madison, WI 53792-2455; e-mail: ktkirchhoff@wisc.edu. rogate designed to elicit patients’ preferences, values,

515
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516 American Journal of Hospice & Palliative Medicine® / Vol. 24, No. 6, December/January 2008

and wishes concerning future medical care. The information when care at the last days of life is the
study was designed to test the efficacy of the inter- target of a study. These data are frequently collected
view on patient and surrogate outcomes immediately after the death, allowing enough time for the family
after the intervention and at the time of surrogate to make funeral arrangements and be involved in the
decision-making. Participants were adults with end- immediate postdeath activities. After the death, the
stage renal or congestive heart failure and their family who has been burdened with caregiving may
health care agents. feel overwhelmed,7,10 may be in acute grief, or may
Because this research requires participation of find the requirements of participation too much.4,11
both the patient and the health care agent, it is dou- Two studies13,14 recruited bereaved family mem-
bly hard to schedule the required interviews for the bers to discuss their perceptions of the experience of
intervention dyads. As others have found, sometimes having a loved one die or their perceptions of the
the patient wants to participate, but the family quality of care at the end of life. The first study13
member does not have time, wants to protect the recruited family members of intensive care unit
patient, or is uninterested.7,9,10 In other cases, the (ICU) patients who had died in an ICU to partici-
family may be willing but the patient is too ill. pate in a focus group. The second study recruited14
For patients and health care agents who do con- family members of patients who died in either an
sent to participate in this advance care planning inpatient hospice or ICU to participate in inter-
study, flexibility is required in location and, to a views. In both of these studies, the primary prob-
lesser extent, in the timing of the data collection. lems were related to recruitment. The inability to
For 105 (70%) of the 150 participant pairs from 1 make the initial contact with potential participants
site, the location and time of the data collection was the most significant reason for not enrolling eli-
interview were recorded. Of these, 46 (43.8%) were gible family members.
completed in the clinic, 49 (46.7%) were in the Because the use of focus groups appeared to be
home of the patient or health care agent, and 10 a less desirable method of collecting data from
(9.52%) were in other settings such as the research recently bereaved family members, based on diffi-
office. Ninety-seven (92.4%) interviews were com- culties in recruitment, an individual interview was
pleted between 7:00 AM and 5:00 PM, Monday the method used in the second study. Both studies
through Friday. However, 6 interviews (5.7%) were had a similar number of eligible participants. The
completed on weekday evenings, and 2 (1.9%) were focus group study had 78 eligible family members.
completed on weekends or holidays. Although In the interview study, 73 family members met the
patients might not be working, health care agents eligibility criteria.
frequently were employed and their schedules Using lists of recently deceased and their next of
needed to be accommodated. kin, researchers were unable to contact 47.4% of
One site for the advance care planning research these family members in study 1 and 38.4% in study
is a tertiary referral center, and consequently, patients 2. Of those that could not be contacted, a small
and families travel large distances to receive care. number had died after the death of the original
These patients are often too fatigued after travel, patient (5.4% in study 1 and 3.6% in study 2). Most
their diagnostic tests, and clinic visits to participate of the loss to follow-up was due to a disconnected
in the interview and cannot return at another time telephone or an incorrect number.
owing to the distance involved. Although this prob- In study 1, 52.6% (41) of the family members
lem been documented elsewhere,4,11 the research were contacted, and 61.6% (45) in study 2. Of the
assistants in this site have been very creative and family members that were contacted, 73.2% in study
have met with patients and families in hotels before 1 refused to participate, 7.3% agreed but did not
or after clinic visits and even in truck stops along participate, and 19.5% participated in the study. In
the way. study 2, 68.9% refused to participate, 8.9% agreed
but did not participate, and 22.2% participated
Families as Participants (Figure 1). Most individuals did not give a reason for
not wishing to participate (Table 1). The difficulty
Although patients are the best raters of their care then was not thought to be with the method of data
and their ratings are not well correlated with those collection but with attempting to recruit recently
of the family,12 the patient is not a good source of bereaved family members.

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Recruiting Research Participants / Kirchhoff, Kehl 517

Eligible participants
Study 1 n = 78 Study 2 n = 73

Number contacted Unable to contact

Study 1 n = 41 (52.6%) Study 2 n = 45 (61.6%) Study 1 n = 37 (47.4%) Study 2 n = 28 (38.4%)

Agreed to participation Refused


Study 1 n = 11 Study 2 n = 14 Study 1 n = 30 Study 2 n = 31
(26.8% of contacted) (31.1% of contacted) (73.2% of contacted) (68.9% of contacted)

Participated Did not participate


Study 1 n = 8 Study 2 n = 10 Study 1 n = 3 Study 2 n = 4
(10.3% of eligible) (13.7% of eligible) (27.3% of agreed) (28.6% of agreed)

Figure 1. Recruitment of bereaved family members into focus group (study 1) and interview (study 2) research.

Table 1. Recently Bereaved Participants’ Reasons an interview was called in advance to see if he or she
for Refusing to Participate wanted to reschedule. The interviewer was told to
Percentage of keep the scheduled appointment, but the participant
Total Refusals did not show for the appointment, which was at
home, and did not return calls. Seven other individ-
Focus Group Interview
uals contacted asked for a second consent, which
Reason (n = 78) (n = 73)
was not returned. Four individuals agreed to partic-
No explanation 26.9 17.8 ipate and then did not show for interviews. Attempts
Prefer individual interview 31.8 NA to reschedule were not successful. One participant
Requested second consent for NA 15.6
agreed to reschedule and then missed the second
telephone interview, did
not return appointment, which was scheduled at home.
Too ill 7.3 6.7 One issue that was of concern to the investiga-
Could not talk about 4.9 6.7 tors was the type of one-to-one interview. In the
experience yet interest of having participants as comfortable as pos-
Too busy 0 4.4 sible and maximizing recruitment, participants were
Too forgetful 0 4.4
Requested family not be 0 4.4
allowed to choose a face-to-face or telephone inter-
contacted view. Face-to-face interviews were scheduled at the
They will call when ready 0 4.4 participants’ convenience, and they could choose to
Sent consent, then refused 0 4.4 be interviewed at their home, at the facility, or at the
Prefer to write letter 2.4 0 research office. Because of the recruitment difficul-
ties in the first study, it was thought that allowing
participants to choose the type of interview and the
The group that consented and then refused or setting might increase participation and increase the
did not participate is interesting. In study 2, the richness of the results obtained.
recruitment of participants spanned a time period Another similar decision to increase recruitment
including September 11, 2001. In the month fol- was to allow participants to decide if they wanted to be
lowing that day, a participant who was scheduled for interviewed alone or with other family members. In

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518 American Journal of Hospice & Palliative Medicine® / Vol. 24, No. 6, December/January 2008

the first interview, one participant’s son arrived A number of solutions have been found to be
about halfway through the interview and wanted to helpful. Any action that increases the participant’s
join in. In all cases where multiple participants were sense of control has increased the participation. As
interviewed together, each participant was informed described, allowing participants to choose the time,
about the study and signed an informed consent method, and venue has been helpful. Other solu-
document. Participants chose individual, pair, and tions that might be helpful include providing toll-
group interviews, at times admitting that they would free numbers or phone cards to individuals who
only come “if my daughter can be with me.” want to participate in a phone interview.
For the hospice setting, there were 11 partici-
pants. Eight interviews with a total of 10 partici-
pants were face-to-face, and 1 interview with 1
Organizational Barriers
participant was done by telephone. For the ICU set-
Some organizational barriers were also experienced
ting, there were 12 participants. Three interviews
in the study with interviews. Some of the agencies
with a total of 7 participants were face-to-face, and
were hesitant to send out letters or to provide infor-
4 interviews with a total of 5 participants were by
mation about family members.
telephone. Face-to-face interviews were either in the
One agency chose the opt-out card option in
participant’s home or the hospice inpatient center
which potential participants are sent a letter about
for hospice participants, and in the participant’s
the study and a postcard, which they are instructed
home or the researcher’s office for ICU participants.
to return if they do not want to participate. This
The responses of all family members interviewed
gives the researcher permission to contact them if
were analyzed in the qualitative portion. Those par-
they did not return the card. This agency actually
ticipants interviewed with other family members
chose to send introductory letters itself, and when
often had remembrances that were rich and filled
family members did not return the opt-out cards, it
with details. Often a family member would start to
chose to make follow-up calls to each potential par-
respond and the other family member would fill in
ticipant. The agency obtained verbal permission to
details or correct the memory of the first participant.
give the researchers the family member’s phone
On the quantitative instrument, multiple partic-
number at that time.
ipants in an interview created a dilemma when the
Another agency insisted that a staff member be
participants had different answers. The original
included on the research team. That staff member
analysis plan was to consider the patient the unit of
prepared the letters for the agency and called the
measure. But for patients with multiple family mem-
family members who did not return the opt-out card
bers with differing answers, this was not possible. In
to schedule their interviews.
contrast, by considering the participant as the unit
of measure, some deaths had multiple participants
represented and could slant the results of the whole. Systems Issues
The final analysis was done with the patient as the
unit of measure, and the responses of the primary One system-related barrier is that care providers are
caregiver or next of kin listed by the agency were too busy to allow themselves the time to give
used when multiple participants were present. patients information about research.4,9 Enactment
It is important to remember that the participants of patient privacy laws has prevented researchers
recruited for these studies had all experienced the from directly approaching patients in clinical settings.
loss of someone close to them in the previous 4 to 18 Staff members employed in these settings are then
months. Research suggests that one of the best times requested to approach and at times, even screen for
to interview family members is 2 to 4 months after eligibility before approaching a potential subject.
the death. This timing reduces the numbers of lost Another common barrier in recruiting participants
participants due to changes in residence, allows for for end-of-life research is gatekeeping by organiza-
maximal recall of events and feelings, has the most tions or care providers. Gatekeeping refers to actions
therapeutic effect for the participant, and minimizes of individuals that provide or deny researchers access
burden by not occurring while the participant is busy to potential, eligible participants. The tendency toward
attending to the immediate practical and legal details gatekeeping in end-of-life care may be increased
associated with the death of the loved one.15,16 because of a desire to protect dying persons and a

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Recruiting Research Participants / Kirchhoff, Kehl 519

reluctance to ask them to spend any of their limited call from the ICU. She made daily rounds to find
time on research.17 In addition to creating bias, it patients who might be withdrawn from life support.
raises issues of paternalism and loss of patient Other students still performed the intervention, but
autonomy.4,9 Generalizability is compromised, and the ICU had a single individual to contact, and she
reports of accrual and assignment required by edi- became the face of the study. She was invited to staff
tors will be inaccurate. Rose18 has noted that good meetings and was well accepted by the staff.
health care providers are more likely to be support- Other gatekeeping by physicians, nurses, and
ive of research efforts and asks if that is because other health care professionals has been common
they are not afraid of what researchers may find. and sometimes hard to detect. In the family prepa-
In a pilot study that tested a tailored informa- ration study, there were barriers from physicians
tional intervention to prepare ICU family members who thought that care was “good enough” and that
for withdrawal of ventilatory support, families in the a trial of an intervention would not add to their
control group received usual care. Families in the preparation of the family. Nursing staff was con-
intervention group received a message based on cerned about whether their “usual care” was
Johnson’s Self Regulation Theory and tailored to thought to be inadequate.
whether or not the patient would be extubated and The issue of burdening families requesting par-
whether the anticipated time from withdrawal to ticipation in research at a sensitive time has been
death was 1 hour or less or more than 1 hour. After raised in these studies. Williams17 reported that staff
the death, the next of kin received a mailing with the reluctance to encourage patient and family partici-
instruments 2 to 4 weeks later and was contacted for pation in research often centers on the perception
a telephone interview 1 to 2 weeks after the mailing. that patients and families would be unwilling and
The issues encountered in preparing families for that there was inadequate staffing, resources, or time,
withdrawal have echoed and expanded those previ- and staff concerns about confidentiality and the bur-
ously documented in the literature. Gatekeeping den that research participation might place on
issues have been noted from investigational review patients and families. We discovered in the ICU that
boards (IRBs), organizations, physicians, nurses, and staff nurses would fail to approach eligible families
other health care providers. In the study concerning because they were concerned about burdening them
preparing family members for withdrawal in the ICU, with participation in a research study before an
the IRB initially questioned the necessity of the impending death. The staff nurses would also fail to
research because this type of intervention should approach families that they thought were “having a
already be occurring. This thinking is similar to hard time,” creating a bias in those who were even-
Westcombe’s11 observation that some providers tually included. On the other hand, overly distraught
thought the value of the intervention was self-evi- families who might not be able to attend to a mes-
dent, and research to confirm the value was not nec- sage were listed as excluded, making such distinc-
essary. tions even more difficult.
Another issue that affected recruitment in this In the advance care planning study where end-
ICU study had to do with the nature of the research stage renal or congestive heart failure patients and
team. The pilot study was enacted by graduate nurs- their surrogates were recruited, barriers from health
ing students who changed every semester and were care providers have sometimes been very blatant. In
usually only available from 9:00 AM to 5:00 PM, 1 setting, the team, including physicians, nurses,
Monday through Friday. The ICU staff became frus- social workers, and administrators, requested that
trated when they called in the evening, on week- before having the researchers review charts to deter-
ends, or on holidays, and no one was available even mine eligibility, they wanted to send letters to all
though unit posters with the pager number gave patients affiliated with the clinic to inform them of
information on when research staff was available. the study and ask the patients’ permission for the
The ICU staff also became frustrated at interacting researchers to review the charts for eligibility.
with different research staff members each day and Despite numerous reassurances that this was not
each semester. required under the Health Insurance Portability and
A breakthrough in recruiting occurred when 1 Accountability Act (HIPAA), the staff insisted that
student asked to take primary responsibility for patients would be outraged to find out that
recruiting by carrying the pager and answering every researchers had reviewed the charts for eligibility

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520 American Journal of Hospice & Palliative Medicine® / Vol. 24, No. 6, December/January 2008

without explicit permission. It was only when the The most successful recruiting has taken place
IRB and the HIPAA compliance officer for the umbrella when the researchers can screen charts to deter-
organization explained in writing that such permis- mine eligibility and a staff member asks eligible
sion was not necessary and was indeed an additional patients if a researcher can speak with them about a
burden to patients who might be initially contacted study. This is the exclusive means of recruitment at
but later found to be ineligible, that researchers 1 site, and 150 participant pairs have been recruited
were allowed to review charts for eligibility. in 18 months.
The research staff in 1 setting was initially asked
to page patients’ physicians before approaching
patients to inform them of the research study and to Recommendations for Future Research
ask if a researcher could speak to them. After consid-
erable negotiation, it was agreed that the researchers Previous authors have emphasized the need for
could send letters to attending physicians informing involvement of the clinical staff throughout the
them of which patients were currently eligible for the research process,22 including finding clinical champi-
study and requesting permission to contact those ons and keeping clinicians informed throughout the
patients. Only 1 of 5 physicians objected to any research process. Because of the clinicians’ heavy
patient being contacted. This additional work and workloads, other recommendations have been to avoid
delay frustrated research assistants considerably. This clinician recruitment whenever possible. One
paternalism limited the patient and health care approach that has been suggested is to screen patients
agent’s access to a study that might have had benefit for potential participation in research on admission to
for them. In fact, there is evidence that many patients a hospice or palliative care program.23 Developing
will choose to participate in research if they are studies that are short in duration and have easy-to-use
asked19 and that most family members of patients instruments are also strategies to assist in recruiting
near the end of their lives benefit from participation fragile patients and their stressed family members.
in research.20 The key to successful recruiting is flexibility.
Because the advance care planning study is Different studies, and different sites within the same
multisite, discrepancies in recruiting in different study, may call for vastly different recruitment
clinical environments have been observed. Two sites strategies. Having a number of recruitment strate-
have been recruiting participants for more than 18 gies, including recruitment through clinician refer-
months, with very different results. In 1 site, issues ral, clinicians sending opt-out (preferable) or opt-in
of gatekeeping started at the institutional level. One letters to eligible participants, and use of brochures
tertiary hospital and clinic has not allowed the will allow researchers to reach potential participants
researchers to screen charts for eligibility, so in numerous ways. The flexibility of research assis-
researchers must depend on primary care providers tants in the time, location, and methods of data col-
to approach patients about the study and relay names lection to allow patients and families to respond in
of interested participants to the research team. This ways that are most comfortable to them also
approach has many difficulties, as have been previ- enhances recruitment. In addition to face-to-face
ously highlighted in the literature.4,21 With this and telephone interviews, e-mail interviews have
approach, only 1 participant pair has been recruited been used successfully by some researchers and are
in 18 months. worth exploration for end-of-life research when
Opt-out letters were used in other sites, which patients and families may find it difficult to travel or
gave the research team a list of eligible, potential par- to speak on the telephone for long periods.
ticipants to contact. This method has worked well in There is concern about the generalizability of
sites with electronic databases that allow a primary the findings of research such as this, with a low per-
care provider to screen for eligibility electronically. centage of the population being successfully
Some additional gatekeeping occurred when the staff recruited to participate in the research. The recruit-
member who mailed the recruitment letters explained ment issues and barriers favor participants who are
that she sometimes did not send letters to patients articulate, have not moved after a death, and have
whom she felt “would not be good research candi- free time to respond to the request for participation
dates.” Despite this gatekeeping, 14 participant pairs and to participate in the research. The responses of
were recruited during 12 months with this method. the research participants may not accurately capture

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Recruiting Research Participants / Kirchhoff, Kehl 521

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