MACQUARIE UNIVERSITY HUMAN RESEARCH ETHICS APPLICATION FORM
General Guidelines for Submission of Applications
Ethics applications must be submitted in hard copy only.
Hard copy submissions:
 The Chief Investigator (Staff member or supervisor in the case of student research) must sign
the application. Unsigned applications will not be accepted.
 Include all pages of the application, including attachments. Please do not attach booklets to
your application.
 Please DO NOT STAPLE your application. Please use a bulldog clip which is easy to remove
when photocopying.
 Please make sure your application is submitted on the correct version of the application form
(version 2 –September 2009). Applications submitted on the wrong form will not be accepted.
 Please do not alter the formatting of the form. Although the pagination of the form may change
depending on the length of your responses, please do not change the overall format of the
application as this affects the readability of the document.
 Please indicate your answer to yes/no questions by checking the appropriate response to the
question. If you consider a question to be irrelevant to your study, please indicate by checking
the not applicable ‘N/A’ option on the form.
 Only ONE copy of the application (ie. the original) is required.
 Please submit your hardcopy application to the Research Office, Postal address: Level 3,
Research HUB, Building C5C, Macquarie University, NSW 2109. If you are hand delivering
your application, you can deliver it at the above address above.
The Application Process:
 There are no closing dates, but please note applications will not be processed between
November 30th and before February 1st each year.
 You can submit your application at any time directly to the Research Office.
 You are strongly encouraged to seek feedback regarding your application from the relevant
research ethics advisor prior to submission. Please refer to
http://www.research.mq.edu.au/researchers/ethics/human_ethics/contact for a list of current
research ethics advisors.
 Unless your application is deferred for consideration by the full committee, you will receive
notification of the outcome of the review within 20 working days of receipt of your application
or less if your application is reviewed by one of the Faculty Ethics Review Committees.
Sections:
Section 1:
Section 2:
Section 3:
Section 4:
Section 5:
Section 6:
Section 7:
Section 8:
Section 9:
Section 10:
Section 11
Project summary and Administration
Methods and Nature of Research
Recruitment of Participants
Description of Participants
Risks and Benefits
Privacy and Publication of Results
Participant Information and Consent
Possible Conflict of Interest
Other Ethical Considerations
Support Documentation
Certification
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OFFICIAL USE ONLY
SURNAME:
REF. NO.:
ARCHIVE:
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MACQUARIE UNIVERSITY
HUMAN RESEARCH ETHICS COMMITTEE
(HREC)
APPLICATION FORM
ALL RESEARCHERS MUST COMPLETE SECTIONS 1–13
ATTACH APPENDICES UNLESS RELEVANT TO YOUR APPLICATION
Check Yes, No, or N/A by marking a box with an X to indicate your answer.
For further information on how to complete this form see National Statement
http://www.nhmrc.gov.au/_files_nhmrc/file/publications/synopses/e72-jul09.pdf
and Australian Code for the Responsible Conduct of Research (The Code)
http://www.nhmrc.gov.au/_files_nhmrc/file/publications/synopses/r39.pdf
SECTION 1: PROJECT SUMMARY AND ADMINISTRATION
1.1 Full project title:
Ethnographic student writing project for ANTH385, Doing Ethnography
(a) Short name by which the project will be known (if appropriate):
ANTH385, Doing Ethnography
(b) Name of Chief Investigator/Supervisor:
Lisa L Wynn
If the project is to be undertaken by an Honours, Post Graduate or Higher Degree student, then the
supervisor will be considered the Chief Investigator for this application. The student may be
nominated as a co-investigator.
(c) If this research is being conducted as a teaching project, provide the unit code and name:
ANTH385, Doing Ethnography
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1.2
Indicate the Human Research Ethics Committee (HREC) that you consider to be the
primary one for this project: (see National Statement Chapter 5.3)
(If the Chief Investigator is a University employee then the University should be considered to be
the primary site, unless the participants are from a health care service, in which case the Area
Health Service Ethics Committee should be considered as the primary site.)
Macquarie University
x No
(a) Has this project been submitted for approval to another HREC?
Yes
(If your research is being conducted in hospital/s, the hospital HREC should be the lead HREC)
If you answered YES you must complete an External Application Approval Form
http://www.research.mq.edu.au/researchers/ethics/human_ethics/forms
AND you are NOT required to complete this application form.
(b) Will this project be submitted for approval to another HREC?
(See National Statement 5.3.2)
Yes
x No
If you answered Yes give the name of the HREC(s), and indicate the status of the application
(i.e. submitted, approved, deferred or rejected): Please do not submit to more than one HREC
concurrently:
(c) Will this project be submitted for approval/permission to another
institution?
(for example schools, child care centres, DET, private companies)
Yes
x No
If you answered Yes give the name of the institution, and attach all correspondence to this
application.
(d) Has this project been previously submitted/approved by MQ
HREC?
Yes
x No
Yes
x No
If Yes, what was the reference number and original date of approval?
(e) Are you applying for a new clearance because the previous
clearance has expired?
(ie: it has been 5 years or more since the original clearance was issued)
If Yes, please append your final report to this application and indicate below any differences
between this application and the previously approved project.
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1.3 Investigator Details
List the details of the Chief Investigator, and any Co-Investigators, Associate Investigators,
Supervisors, Research Assistants or Research Co-ordinators
Chief Investigator/Supervisor
(Note: If the project is to be undertaken by an Honours/Masters/PhD student, the
supervisor will be considered the Chief Investigator. The student may be named as a coinvestigator.)
Name:
Title:
(Prof, Dr. etc.)
MQ Staff no.
(Mandatory)
Qualifications:
Lisa L Wynn
Dr
Positions held:
Lecturer
Faculty:
Faculty of Arts
Department/Unit:
Department of Anthropology
Full mailing
address:
Lisa Wynn
Department of Anthropology
Macquarie University
NSW 2109
2 9850 8095
200xxxxx
PhD in Anthropology, Princeton University
Tel No. (W):
Tel No: (H):
Mobile No:
Fax number:
E-mail address:
Working with
children and young
people
(please mark one
with an X)
2 9850 9391
Lisa.wynn@mq.edu.au
N/A
x
Working with children check – details attached
Prohibited Employment Declaration Form attached
Currently employed as a teacher in Australia
Other evidence attached
Co-Investigator
Coordinator
, Associate Investigator
, Research Assistant
, Research
(please mark one with an X)
Name:
Title:
Co-investigator type:
Staff/student no.
(Mandatory)
Qualifications:
Staff :
OR
Student:
Positions held:
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(if student, specify degree,
course in which enrolled)
Faculty:
Department:
Full mailing address:
Tel No. (W):
Tel No: (H):
Mobile No:
Fax number:
E-mail address:
Working with children
and young people
(please mark one with
an X)
N/A
Working with children check – details attached
Prohibited Employment Declaration Form attached
Currently employed as a teacher in Australia
Other evidence attached
PLEASE CUT AND PASTE THIS BOX TO INCLUDE MULTIPLE COINVESTIGATORS.
1.4
Nominated Contact Person (nominate one MQ staff member from Q1.3, who will be
the first point of contact for the MQ HREC regarding this protocol)
Name: lisa L Wynn
1.5
i.
Type of Research (please mark with an X the most appropriate):
This application is being submitted for staff research purposes
ii. This application is being submitted by staff and/or students for teaching
purposes
iii. This application involves research which will be submitted by a student in the
following degree program
x
Type of degree undertaken:

Doctorate

Masters


Post Graduate Diploma

Other – please specify
Honours
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1.6
Duration of study
(a) Indicate the proposed date of commencement of the project (Researchers are reminded
that projects may not commence without the written approval of the Human Research
Ethics Committee (HREC)) (See National Statement 5.2.5-5.2.12 and The Code
section1.6)
DATE: [ 16 / 8 / 2010 ]
(b)
Proposed completion date of the project:
DATE: [ 12 / 11 / 2010 ]
(Note that approval is given for a 5 year period, conditional on completion of a yearly Progress
Report (using the Progress Report Form). After 5 years from the original approval date you
will need to submit a Final Report for the work and a new application for approval if you wish
the project to continue. The 5 year time limit enables the Committee to fully review research in
an environment where legislation, guidelines and codes are always changing.)
1.7
Funding/Contract Details (see National Statement chapter 5.4)
(a) Is this a funded project or do you intend to apply for funding?
Yes
x No
If you answered No, go to section 2.
If you answered Yes, list the funding bodies that support this project or to which submission is
planned:
(b) Status
Approved
Yes
No
Pending
Yes
No
Submitted
Yes
No
If not, please specify the planned date of submission: [ / /
(c)
]
Please state the title of the project as it appears on your grant application:
(d) Will this study still be undertaken if funding is not successful?
Yes
No
(e) Will the project require a research contract?
Yes
No
If Yes, please complete a contracts advice request form
http://www.research.mq.edu.au/researchers/ethics/human_ethics/documents/ContractAdviseRe
questForm.pdf
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SECTION 2: METHODS AND NATURE OF RESEARCH
(See National Statement section 3).
2.1
The nature of this project is most appropriately described as involving: (please mark
with an X the relevant box or boxes - more than one may apply)
a. experiments
b. questionnaire(s) (please attach these to the application)
c. interviews (please attach questions to this application)
d. focus groups (please attach questions to this application)
e. documentary (film, audio and/or video)
f. on-line data collection (see section 3 of National Statement)
g. action research
h. participant observation
x
i. physiological investigations(s)
j. clinical studies
k. biomechanical devices(s) or invasive devices or procedures
l. blood, tissue, other bodily fluids, recombinant DNA, gene therapy, or bio
hazardous material
(APPENDIX E must be completed if you tick this item and contact the
Secretary, Biosafety Committee on (02) 9850 4194))
m. behavioural genetics, genetic screening and/or genetic related
epidemiological studies
(If you tick this item please refer to Chapter 3.5 of the National Statement
before proceeding with the completion of the application or call the
Secretary, Bio Safety Committee on (02) 9850 4194).
n. exposure to ionizing radiation
(APPENDIX F must be completed if you tick this item)
o. the administration of illegal drugs, legal drugs (eg, alcohol, nicotine)
and/or medication that is NOT part of a clinical trial
(APPENDIX G must be completed if you tick this item)
p. a clinical trial
(APPENDIX C must be completed if you tick this item)
q. other (please provide details)
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2.2
Describe the project using lay terms and include the aims of the project, the research
plan and the methods. Include a description of the projected number, sex and age
range of participants (including inclusion and exclusion criteria) and provide a detailed
description of what will be required of participants. You must satisfy the HREC that
the study has a clear rationale (include references) and conducted in accordance with
the accepted ethical principles governing research involving humans.
The description must be no longer than 2 pages and must be in a font size of at least 11 points.
The unit ANTH385, ‘Doing Ethnography’, provides an introduction to fieldwork in cultural
anthropology. The unit focuses particularly on anthropology’s core methodological approach,
participant observation, and its hallmark writing format, the ethnography. The primary goal of
the course is to teach students how to do ethnographic fieldwork embedded within their
everyday life and “write it up” into a mini-ethnography.
This application seeks approval for students to write these “mini-ethnographies” as the major
class writing assignment, based on an ethnographic research journal that they will keep of their
everyday life. It is an attempt to teach students the difficulties and the possibilities that inhere
in this research method and the method’s advantages and limitations.
We will start the unit with a discussion of research ethics and the particular challenges that
participant observation poses to ethical research practice. Students will take the online ethics
training module developed by Wynn, Mason and Everett
(http://www.mq.edu.au/ethics_training) and an entire 3-hour seminar will be devoted to
discussing the principles of ethical research practice, the peculiar ethical issues that can arise in
ethnographic research, and how different ethnographers have dealt with these.
Then, over the course of the semester, students will engage in first-hand research where they
closely observe their own participation in everyday life and take careful field notes in a
research diary. A series of in-class exercises will develop other ethnographic research skills
including interviewing, unobtrusive observation, and cultural domain analysis, but this
assessment task (for which I seek ethics approval) asks students to focus purely on the
everyday observation of their own lives.
During weekly seminar meetings, we will discuss the fieldwork process as students learn and
debate methodology under the guidance of an experienced researcher. These meetings will
also provide the opportunity for students to discuss the methodological issues and any ethical
challenges raised by their own participant observation project.
The project is deliberately designed to entail negligible risk and the methods entailed are
severely constrained in order to thus minimise risk. Students will not carry out formal
interviews, surveys, or seek out new acquaintances or research participants. Instead, they will
focus purely on the mundane experiences of their everyday life, with an eye to relating their
observations to a broader body of literature and thus developing a theoretical framework for
understanding the everyday.
The main ethical issues that I have identified as being raised by this research project include:
1) protecting confidentiality,
2) the possibility of encountering illegal activity,
3) how to obtain informed consent in the contexts of everyday life,
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4) and real or perceived pressure on students’ friends and family to participate.
All of these issues will be considered thoroughly and repeatedly in seminar discussion and are
covered at length in the ethics training module that students will take before they begin
research. In addition, the unit outline for this unit addresses these issues on pp.30-31. There, it
outlines protocols for students to follow to avoid ethical problems as they approach this
research project:
1) It instructs students on the importance of protecting the confidentiality and privacy of their
informants through scrupulous protection of research data and by using pseudonyms and
changing identifying details in their field notes, in the final paper, and in ALL class
discussions;
2) It instructs them that, if they view or hear discussions of any illegal activity (e.g. drug use or
cheating), they should not take any field notes about this illegal activity because writing such
down could create risks for their informants;
3) It emphasises the importance of informed consent and provides extensive guidance on how
to talk to their friends about this project. It also instructs them that they should not write about
anyone who does not wish to be written about in their final paper.
4) Finally, it points out that friends and family members may feel uncomfortable or shy about
telling the student that they don’t want to be written about. It tells students that they should
“assume that any sign of hesitation is a tactful way of saying no” and that they should not write
about anyone who shows any hesitation.
This “research” exercise is in fact more of an observational, writing, and theory exercise. Yet I
have framed it as research to students in order to get them thinking about and attempting some
of the types of research methods used by anthropologists, and also in order to get them
thinking about the ethical issues entailed in participant observation and ethnographic writing.
For this reason, I have decided that it is appropriate to seek ethics approval for this assessment
task.
The final outcome of this student research project will be a mini-ethnography and a class
presentation. In the class presentation (see unit outline p.11), they are instructed to carefully
protect the privacy of their research informants. The mini-ethnography assignment (see unit
outline pp.9-10) requires a 500-word appendix in which students outline how they have
ensured ethical research practice. The mini-ethnography will only be read by the unit
convenor, Lisa Wynn, and will not be published.
(Please see the attached unit outline for relevant academic references.)
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SECTION 3: RECRUITMENT OF PARTICIPANTS
(See National Statement section 1 and 2)
3.1
How many participants will be involved in this study? Comment on how this number
will allow the aims of the study to be achieved:
At the time of writing, 26 students are enrolled in ANTH385. Numbers may increase closer to the
start of the semester. Each student will be writing about her/his own life, with an undetermined
number of contacts whom they may write about.
3.2
Recruitment of participants
(a) What processes will be used to identify and select potential participants?
Students will self-select an area of their everyday lives to focus on, observe and write about. The
unit outline suggests a few possibilities: school life and encounters with other students, encounters
with teaching staff and uni bureaucracy, work life, personal grooming practices and aesthetic
choices, experiences on public transportation, or a sport or hobby e.g. surfing, cricket, Second
Life, canyoning, hiking, etc. Research participants will be those family members, friends, and
acquaintances who are part of the students’ lives and who agree to being written about in the
student’s final paper.
(b) Who will be involved in the recruitment of participants?
Students in ANTH385.
(c) Describe how and where the initial contact will be made with potential participants:
Students are already in contact with potential participants, so what is at issue is how to approach
the topic of this research project with their peers and how to obtain informed consent to write
about them. The unit outline instructs students that “whenever something comes up in your
everyday life that you find interesting and think you might want to write about in your field notes,
you should discuss it with whomever you are interacting with at the time. You could say, ‘Oh,
hey, that’s really interesting, and you know I have to write this paper for my anthro class about
food preferences, do you think I could mention what you said just now? I won’t use your real
name in my paper.’ … Tell them that you’re doing a writing exercise for one of your anthropology
classes and you’d like to write about what they told you or what you observed them say or do.
Explain to them that nobody will read it except the teacher, and also explain that you will change
their names and any identifying details to protect their confidentiality and privacy. Then ask them
if they feel comfortable with that, and tell them that you won’t write about them if they don’t want
you to.”
(d) Describe the research data that will be collected directly from participants:
Students will be writing about everyday occurrences and comments that they observe in the course
of their everyday lives.
(e) If recruiting will be done through an organisation, specify how consent from the
organisation will be obtained. Please provide copies of relevant correspondence with the
organisation.
n/a
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(f)
Will participants be involved in any related studies?
Yes
x No
If you answered Yes, please provide further details below:
3.3
Indicate where the research will be undertaken. Please specify all location(s) and venues
(including the URL for Web based studies).
It may take place in students’ homes, workplaces or at university.
3.4
Does recruitment involve a direct personal approach from the
researchers to the potential participants?
x Yes
No
If you answered Yes, what precautions will be taken to minimise any pressure (real or
perceived) on individuals to enrol?
The unit outline addresses the fact people who have social ties to the researcher may perceive
pressure to agree to participate in research, and suggests a best practice protocol for how to avoid
putting any pressure on participants. It says (p.31), “we are bound to our research participants
through personal ties, and these personal ties can make it hard for someone to say no to you. It
may be uncomfortable for a friend to say to you, ‘I don’t want you to write about me.’ Yet it is
imperative that you do not put any pressure – whether real or perceived – on people to agree to let
you write about them. So the best practice of an ethical researcher is to assume that any sign of
hesitation is a tactful way of saying no. In other words, if you ask a friend if you can write about
what they said and your friend says, ‘I don’t know…’, do NOT try to convince them. Instead, say,
‘Look, I’m not going to write about you unless you feel 120% comfortable with the idea.’ And
then drop the subject and don’t write about them.”
3.5
Does recruitment involve the circulation/publication of an
advertisement?
Yes
x
No
If you answered Yes, provide a copy of the advertisement and indicate where and how often it
will be published.
3.6
Will participants receive any financial or other benefits as a
result of participation?
Yes
x No
If you answered Yes, what is the amount/benefit and the justification for this? Please note it is
University policy that this amount is limited to $100 per participant. If you exceed this limit
you must provide a detailed justification.
(See National Statement 2.2.9 Coercion and pressure and 2.2.10 Reimbursing participants)
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3.7
Is the research targeting any particular ethnic or community
group?
Yes
x No
(See National Statement 4 - Ethical consideration specific to participants, 4.7 – Aboriginal and
Torres Strait Islander Peoples, 4.8 – People in other countries)
If you answered No, proceed to SECTION 4
If you answered Yes, which group is being targeted?
3.8
Will recruitment be conducted in consultation with a
representative of this group?
(a)
If you have not consulted a representative of this group, please provide your reasons for
not undertaking any consultation.
(b)
If you have consulted a representative, with whom have you consulted?
How do they represent this group?
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No
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SECTION 4: DESCRIPTION OF PARTICIPANTS
4.1
What is the age range of participants involved in this study?
18+
(a) Are the participants Macquarie University students?
x Yes
No
4.2
Does your research involve working with minors?
Yes
x
No
(See National Statement chapter 4.2 – Children and young people)
If you answered “Yes, please refer to Q1.3.
A Working with Children Check is required for unsupervised contact with minors. Contact
your Faculty for further information.
4.3
Are the participants who are the focus of this research/teaching project:
(Please mark with an X the boxes that apply to the participants involved in your research. More
than one category may be applicable)
a. in a teacher–student relationship with the researchers? (See National
Statement chapter 4.3)
b. a teaching unit co-ordinator in which the research takes place? (See National
Statement chapter 4.3)
c. in an employer–employee relationship with the researchers? (See National
Statement chapter 4.3)
d. in any other dependent relationship with the researchers? (See National
Statement chapter 4.3)
e. Macquarie University staff members?
f. Aboriginal or Torres Strait Islander?
(if you tick this box APPENDIX A must be completed) (See National
Statement chapter 4.7)
g. Residing in countries outside Australia
(if you tick this box APPENDIX B must be completed) (See National
Statement chapter 4.8)
h. wards of state? (See National Statement chapter 4.2)
i. prisoners or detainees? (See National Statement chapter 4.3)
j. refugees or asylum seekers?
k. members of the armed services? (See National Statement chapter 4.3)
l. mentally ill? (See National Statement chapter 4.5)
m. intellectually impaired? (See National Statement chapter 4.5)
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n. physically disabled?
o. unconscious or critically ill patients? (See National Statement chapter 4.4)
p. in a carer-client relationship with the researcher (e.g., medical practitioner,
social worker, psychologist, legal practitioner, etc)? (See National Statement
chapter 4.3)
q. in a carer-client relationship with other professional workers (e.g., medical
practitioner, social worker, psychologist, legal practitioner, etc)? (See
National Statement chapter 4.3)
If you marked with an X any of the above, please give details and explain how you will
mitigate real or perceived coercion.
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SECTION 5: RISKS AND BENEFITS (See National Statement chapter 2.1)
5.1
What expected benefits (if any) will this research have for the wider community?
There are benefits for students who take this class because they will learn about
anthropological research methods in a very hands-on manner. The benefits for the wider
community are that students will be trained in the importance and complexity of ethical research
practice.
5.2
What expected benefits (if any) will this research have for participants?
There are minimal benefits for the participants except for the fact that this project trains students
to approach writing about their peers with respect. However, I think it is nevertheless an ethically
acceptable project because the minimal benefit is balanced by the negligible risks and costs to
participants, as they will not be asked to do anything they would not normally do in everyday life,
their privacy will be protected through careful use of pseudonyms in all research materials, they
have the right to refuse to agree to being written about, and the research protocol minimises any
pressure they might perceive to agree to letting the students write about them.
5.3
Are there any risks to participants as a result of participation in
this research project?
x Yes
No
(a)
If you answered Yes, what are those risks (eg. physical or psychological distress)?
If you answered No, go to Q5.4
The only risk I can identify is the risk that participants’ privacy or confidentiality might be
compromised.
(b) Explain how these risks will be negated/minimised/managed.
As outlined in the project description, students will be trained in scrupulously careful data
collection and maintenance and will be partially graded on the efforts they make to protect their
informants’ identities during any class discussion of their research projects. In addition, the unit
outline clearly states that students must not write about any illegal behaviour they notice in their
field notes or in the final paper.
(c)
Indicate who will be primarily responsible for dealing with any problems and their
expertise in handling these.
Students will be instructed to come discuss any research problems with the unit convenor, Lisa
Wynn. Wynn is a deputy chair of the university HREC and has a background in both researching
and writing on research ethics.
(d) Explain how these risks will be monitored.
If Wynn notices that students are not being careful to protect their informants’ identities in class,
she will immediately halt discussion and remind students of the ethical imperative to protect the
confidentiality of their informants, emphasising that this is not only something they are being
graded on but also a moral imperative. I am confident that if this happens just once in class, it will
be a memorable discussion that will impress upon students how important this is.
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(e) Explain how these risks, if they result in harm to participants, will be reported.
In the final report on this project to be submitted to the Ethics Secretariat, Wynn will describe
whether students appear to have scrupulously adhered to ethical research practice. Risks of
compromised confidentiality will be dealt with in class, as described above. If Wynn identifies
any risk greater than loss of privacy or confidentiality to research participants, she will ask the
student(s) in question to halt their research project (i.e. stop writing in their ethnographic research
journal) and will discuss the problem with the student; if necessary, she will also discuss the risk
with the Ethics Secretariat to determine an appropriate response.
5.4
Does the research require any physically invasive, or potentially harmful,
procedures?
(Please mark with an X the boxes that apply to the participants involved in your research.
More than one category may be applicable)
a.
b.
c.
d.
e.
drug administration
needle insertion
electromagnetic stimulation
chiropractic manipulation
other (explain)
If you answered Yes, state the nature of the procedures, all the risks involved and, where
appropriate, quantify these risks (eg. probability of any adverse events). (All this information
must be included in the Participant Information and Consent Form)
5.5
If you are doing research on patients, list the procedures/techniques
which would not form part of routine clinical management.
x N/A
5.6
Please list any drugs/devices to be used, and their approval status in the
country in which the research will be carried out and overseas and in
Australia.
x N/A
5.7
Will the true purpose of the research be concealed from the
Yes
participant(s)?
(See National Statement chapter 2.3 – Qualifying or waiving conditions for consent)
x No
If you answered No go to Q5.9.
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If you answered Yes, give details of the deception and a justification for its use. Also provide
details of how participants will be debriefed once their participation has been completed.
5.8
Are participants given the opportunity to reconsent to the research
after they have been debriefed?
(Attach the debrief and consent form)
Yes
No
If you answered NO, explain your answer.
5.9
Does this research involve the direct investigation of any illegal
behaviour?
5.10 Does this research have the potential to elicit information about
illegal behaviour?
Yes
x
No
x Yes
No
(See National Statement chapter 4.6 – People who may be involved in illegal activities.)
If you answered No to both questions above, go to SECTION 6
If you answered Yes to either question above, please provide the following details:
It is certainly possible that students may encounter illegal behaviour in their everyday lives, such
as illegal drug use. Students will be strictly instructed to not write about any illegal behaviour in
their field notes or final research paper.
5.11 Has this illegal behaviour already been dealt with by
the criminal justice system?
Yes
No
x Unsure
If you answered Yes go to SECTION 6
(a)
Describe the types of illegal behaviour that are the subject of this research or might
be identified in this project.
No illegal activity is the deliberate subject of this research, but as noted above, it is possible that
students may observe or even participate in illegal activity as part of their everyday lives. It is not
possible to imagine all the possible shenanigans that students and their peers might get up to, but I
think the most likely would be illegal drug use, petty theft, or cheating.
(c)
Is it possible to link the identity of participants and information
about illegal activity?
Yes
x
No
If you answered No, what steps have been taken to ensure that participants cannot be
identified?
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Students will be strictly instructed to not write about any illegal behaviour in their field notes or
final research paper.
If you answered Yes, please assess the risk to participants and provide a justification for
exposing participants to this risk.
(d)
Are any of the participants in this study likely to be perpetrators,
victims and/or witnesses of the illegal activity?
Yes
No
If you answered Yes, please provide further details.
I am not sure. I hope not, but as indicated above, it is a possibility.
(e)
Do any of the illegal activities involve minors?
Yes
x
No
If you answered Yes, please provide further details.
Students are instructed to not write about minors. The unit outline states “please do not write
about anyone younger than 18 because this requires special scrutiny by an ethics committee and is
not possible for this project.”
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SECTION 6: PRIVACY AND PUBLICATION OF RESULTS
Refer to The Code. For health related information refer to the Statutory Guidelines made
under the Health Records and Information Privacy (HRIP) Act 2002 (NSW) Statutory
Guidelines on Research via Privacy NSW HRIP Act and NHMRC The Regulation of
Health Information Privacy in Australia
http://www.nhmrc.gov.au/publications/synopses/nh53syn.htm
6.1
Is there a requirement for the researchers to obtain information about participants
from:
a.
b.
c.
from Commonwealth departments or agencies?
from State departments or agencies?
from other third parties, such as universities, hospitals,
schools, private practices, business etc?
Yes
Yes
Yes
x No
x No
x No
IF YOU ANSWERED “Yes” TO ANY OF THE ABOVE ITEMS YOU MUST COMPLETE
APPENDIX D. THIS IS A REQUIREMENT OF STATE AND COMMONWEALTH PRIVACY
LEGISLATION.
6.2
Will you be recording (voices or images) any part of your
Yes
study on audio-recording, film/video, or other electronic
medium?
(See National Statement 2.3 – Qualifying or waiving conditions for consent)
x No
If you answered Yes, what is the medium, what will be recorded and what are the circumstances
under which this recording will be undertaken? For what purposes is the recording required? Does
the proposed research activity involve the secretive use of any photography, video-recording,
audio- recording or other recording method?
Students are asked to take hand-written notes but not photograph, video, or audio-record for this
research project.
6.3
Will the recordings be sent to persons outside
the research team?
Yes
No
x N/A
If you answered Yes, explain who would have access and describe how participant confidentiality
will be ensured.
6.4
How will the results of the study be disseminated (publication and presentation of the
research results)?
(See National Statement 1.3 - Guidelines)
Students will orally present research results in class and will write up the results in a final paper.
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6.5
Do you intend to present data relating to specific
individuals (eg. Quotes, video, audio) in presentations or
publications?
Yes
x No
If you answered Yes, please provide specific details.
The class presentation guidelines (see unit outline p.11) asks for a very short (maximum 10
minutes) general summary of the research and writing. It is unlikely that they will have within
that period to present individual-specific data, given the range of other issues they are expected to
cover in this presentation, but the guidelines in any case make clear that “In your presentation, it is
imperative that you do not use the real names of your research informants or any identifying
details. You will lose marks if there is any sign that you have failed to protect the confidentiality
of your informants in this presentation.” The final paper is more likely to contain information
specific to individuals, but only the unit convenor will read it, and students are similarly instructed
to protect their informants’ identities when using any quotes or describing individuals.
6.6
How will the confidentiality of data collected/disseminated, including the identity of
participants, be ensured (this includes data referred to in 6.2 above)?
Students are instructed to use pseudonyms and change any identifying details in their field notes,
in any class discussions, in their final oral research presentation, and in their final paper.
6.7
Will feedback or results be made available to
participants?
(See National Statement 1.5 – Justice.)
x Yes
No
Give details of how feedback or results will be made available to individual participants or, if
relevant, to other groups. If no feedback is planned, a justification for this must be provided.
Students will be asked to talk about their research project with their friends and family throughout
the course of the semester and as part of the ongoing process of obtaining informed consent. I
have not required students to share their final research papers with their informants because, even
if pseudonyms are used and identifying details changed, I think there is still a risk that a reader
who is close to the student and her/his circle of peers might be able to identify shared
acquaintances in the final write-up.
6.8
Are you planning to retain data for the minimum period
of 5 years from the most recent publication of the
research?
(See The Code 2.1.1)
Yes
x No
If you answered Yes, please indicate how long you intend to retain data for.
If you answered No please explain why not.
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As this is simply a class exercise and not for publication, I do not think that it is necessary or
appropriate to ask students to retain their ethnographic field journals or final papers for a full five
years. I will retain a copy of the student final papers for one year from submission and then will
dispose of them after that time in the same way that I dispose of all student papers and exams:
through the university’s confidential waste disposal service. I believe that this is an acceptable
solution for a research project that results in nothing more than a class paper, and it is the same
protocol that the ethics committee has approved for another class research project (Ref:
HE30MAY2008-IH05858)
6.9
Provide details about where the hard and electronic copies of data will be securely
stored while the project is ongoing and after it is completed (eg. will it be stored in a
locked filing cabinet in the researcher's University office, in a locked cabinet in the
researcher's home office?).
To be perfectly frank, I do not think it is possible for me, as research supervisor, to guarantee that
students will store all of their handwritten field notes in locked cabinets. These days the norm is
for computers to be password protected, and I hope that the students will not accidentally leave
their research notes lying around, but I think the reality of student lives is a little more chaotic than
most academic researchers (at least this is what is suggested by the excuses they offer for turning
papers in late). I also doubt that most students have offices with lockable filing cabinets. That’s
why I have placed so much emphasis in the unit outline on the importance of using pseudonyms
and changing identifying details in their ethnographic field notes and journals, so that the
confidentiality of their informants is protected even if their little brother sneaks into their room
and reads their diary while they’re away.
6.10
Who will have access to these data (eg. Researcher, supervisor, other researchers not
stated on the application, any other third party)?
Only the students and the unit convenor / research supervisor, Lisa Wynn.
6.11
Is there any possibility that information of a personal
nature could be revealed to persons not directly connected
with this project?
Yes
x No
If you answered Yes, please provide details.
Throughout this application I have carefully outlined the measures to be taken to try to ensure that
students do not reveal personal information to others. However, in the case that such does occur,
it would not be beyond the types of revelations that might occur anyway in conversations with
friends or peers, because this research project does not ask students to do anything other than they
would normally do in their everyday lives.
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SECTION 7: PARTICIPANT INFORMATION AND CONSENT
7.1
Will written consent be obtained?
Yes
x No
If you answered Yes, attach a copy of the Information and Consent Form. (Note that two
copies of the consent form must be signed, with the participant and the investigator each
retaining one of the copies.)
If you answered No, give reasons.
(See National Statement Chapter 2.3 - Qualifying or waiving conditions for consent)
I believe that oral consent and provision of a written information sheet about this project is
appropriate for this student research assignment, for several reasons. First, students clearly do not
need to ask permission from their friends and family to go about their lives as they normally
would. Neither students nor their friends and family are asked to do anything out of the ordinary –
no experiments, no formal interviews, no surveys, no moving to a new place and introducing
themselves to new people for the sake of research. Therefore, what is at stake in terms of consent
is getting people’s permission to write about them. I weighed carefully the advantages and
disadvantages of asking students to obtain written consent from each and every person they write
about in their final paper. After careful consideration, I have concluded that oral consent is
appropriate for this research project, for the following reasons: (1) I hope to convey (as you will
see from pp.30-31 of the unit outline) that informed consent is not a one-time event where you get
someone to sign a form and then you have fulfilled your ethical duty to your informant. Nor do I
want students to think that research ethics is principally about paperwork. I want them to
understand that it is about an ethical relationship with the people one interacts with and writes
about, and I want them to be responsible for negotiating and maintaining a relationship of
informed consent with their friends and family members whom they seek to write about. No
signed paper can ensure this. (2) Obtaining and storing informed consent sheets will create an
extra level of paperwork that requires careful storage and disposal. As indicated above in my
answer to 6.9, I cannot be sure about students’ capacity to store their papers in locked cabinets, so
I have asked students to only use pseudonyms in all of their field notes, believing that this is the
best way to protect the confidentiality of those they write about. Obtaining written consent would
mean that the written names and signatures on a written consent form would be the only way to
definitively tie any individual with these student papers, and thus poses the single biggest risk of
loss of privacy. Finally, (3) I believe that an information sheet will protect students’ informants as
much if not more than written consent, because it provides information about the project, about
the lecturer (with my contact information so that they can contact me directly if they have any
questions about or problems with the project or with the student’s behaviour), and about the Ethics
Committee. I assume that most students will be writing about literate peers who are locally based,
and the information sheet gives them all that they need to know if they wish to complain, express
concerns, or obtain information about the project from someone other than the student.
7.2
Will the consent of minors participating in
Yes
the research be obtained?
(See National Statement 4.2.7 – Children and young people)
No
x N/A
Note: In projects involving children, parents should be asked to discuss the study with their
children/child before signing the consent form, and researchers should obtain verbal consent
from the child at the time the research is undertaken. For studies involving adolescents, written
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consent should normally be obtained from a parent/guardian and children. Researchers should
also ensure they have read the guidelines, “Guidelines For Obtaining Consent In Research
Involving
Child
Or
Adolescent
Participants”
located
at:
(http://www.research.mq.edu.au/researchers/ethics/human_ethics/consentadolescentschild).
If you answered Yes, describe the protocol to be used for obtaining consent and explain how
minors will be able to indicate a desire to withdraw from the research.
If you answered No, give reasons.
7.3
In the case of participants for whom competence in English is not adequate for
informed consent, what arrangements have been made to ensure comprehension of
the Participant Information & Consent Form? (See National Statement 1.4 - Justice)
Students will only be writing about people whom they interact with in their everyday lives so I
assume that either these people are English-speakers or, if not, that the students will be fluent in
the language they speak and able to verbally explain the research project to them.
7.4
Please indicate whether the following details have been provided in your
Information Statement and Consent Form.
i. A short title for the project
ii. A brief statement of the aims of the research
iii.
The names of the researchers, their Department
affiliations, contact telephone numbers and email
addresses. If you intend to provide participants with
your home phone number, please indicate why this is
necessary in the space provided in 7.4 (b) below.
iv. Acknowledgment that the research is “being conducted
to meet the requirements for the degree of (name of
degree) under the supervision of (Supervisor’s name,
contact telephone number, email address and
Department affiliation)”
v. An explanation of what each participant is expected to
do and an estimate of the time commitment involved
vi. An acknowledgment of any recording using audiorecording, video-recording, or photographs and
explanation of how this material will be used
vii. An objective statement of any risks or discomforts
viii. Any payment of money or other remuneration, e.g.
course credits
ix. Information about how confidentiality of the data will
be maintained, i.e. how privacy will be maintained,
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x
x
x
No
N/A
x
x
x
x
x
x
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x.
xi.
xii.
xiii.
xiv.
xv.
xvi.
who, if anyone, will have access to the data other than
the researchers/supervisor and for what purpose, the
form in which the data will be published.
Any plans to make the data available in non-identifiable
form to other researchers (other than those listed on this
application form) in the future.
Information about how participants can obtain feedback
regarding the results of the research.
An acknowledgement of any sources of funding for the
research, including commercial or other sponsors.
A statement indicating that participation is voluntary
and guaranteeing participants the right to withdraw
from further participation at any time without having to
give a reason and without adverse consequence
NOTE 1. The statement about withdrawal is N/A for
studies using anonymous questionnaires.
NOTE 2. MQ students who receive course credits for
their participation must be assured in writing in the
consent form that they will not forfeit their course
credits if they choose to withdraw from the research
A signed statement of agreement to participate in the
research, e.g., “I agree to participate in this research,"
with the consent form signed and dated by the
participant and signed and dated by the investigator or
other witness.
A statement indicating that the participant has been
given a signed copy of the consent form to keep.
A footnote regarding complaint procedures as follows:
The ethical aspects of this study have been approved by
the Macquarie University Human Research Ethics
Committee. If you have any complaints or reservations
about any ethical aspect of your participation in this
research, you may contact the Committee through the
Director, Research Ethics (telephone [02] 9850 7854,
fax [02] 9850 8799, email: ethics@mq.edu.au). Any
complaint you make will be treated in confidence and
investigated, and you will be informed of the outcome
x
x
x
x
x
x
x
(a) If you answered No to any of the above please provide details below:
I have described in my answer to 7.1 my reasons for not seeking written consent. As soon as the
Ethics Committee has approved the project, I will provide information sheets to students in class
and post a copy on Blackboard. I have decided to not put it in the unit outline before class starts
because I assume I will not have received ethics clearance by then (note that although this class
starts August 2nd, the student research projects are not scheduled to start until week 3 of class, i.e.
August 16th) and the Ethics Committee may request some modification to the information sheet I
have here proposed, so I want to make sure that students only ever see the final approved
information sheet to reduce the possibility that they use the wrong information sheet.
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SECTION 8: POSSIBLE CONFLICT OF INTEREST
8.1
In undertaking this research do any “conflict of interest”
x No
Yes
issues arise?
(For instance, is the researcher in a dual role such as researcher/teacher,
researcher/carer, researcher/employer? Does the researcher have access to personal
files/databases as a condition of employment rather than as a researcher?).
If you answered Yes, please provide details of the conflict of interest and considerations or
mechanisms in place to address these issues.
8.2
Will this research be undertaken on behalf of (or at the
request of) commercial entity, or any other sponsor?
Yes
x No
Yes
x No
x Yes
No
If you answered Yes, who is the commercial entity or sponsor?
8.3
Do the researchers have any affiliation with or financial
involvement in any organisation or entity with direct or
indirect interests in the subject matter or materials of this
research?
If you answered Yes, please provide details.
8.4
Do the researchers expect to obtain any direct or indirect
financial or other benefits from conducting this project?
(Note that such benefits should be included in the Information Statement and Consent Form).
If you answered Yes, please provide details.
Students will receive course credit from completing and writing up this research project for
ANTH385. This is clearly addressed in the information sheet.
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8.5
Have conditions been imposed upon the use, publication
or ownership of the results including the review of data,
manuscript draft or scientific presentation by any other
party than the listed researchers?
Yes
x No
(Note: The Committee is unlikely to approve arrangements that involve the censorship of research
findings in publications.)
If you answered Yes, please provide details.
(a) Where the project is a collaborative enterprise with any organisations or individuals
including contracted research activities undertaken through one of the University’s
corporate entities (eg. Access Macquarie, MGSM Pty Ltd), please identify which
organisation and individual will have the primary responsibility for the project:
Organisation:
Individual:
If this is a contracted research activity, please attach a copy of the contract to your ethics
application
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SECTION 9: OTHER ETHICAL CONSIDERATIONS
9.1
Are there any further ethical considerations that you wish
to raise?
Yes
x No
If you answered Yes, detail what these considerations are.
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SECTION 10: SUPPORT DOCUMENTATION
10.1 Have you included the following support documents with your application?
Yes
a. copies of any correspondence with other institutions or human
research ethics committees
b. a copy of the contract if this is contracted research (refer Q1.2
(d)
c. copies of relevant pages of your grant application (refer Q1.7
(e)
d. copies of Information and Consent Forms (Note that the
consent form is to be printed on Macquarie University (or
other appropriate) letterhead.
e. copies of any interviews, questionnaires, or surveys to be used
f. copies of any participant recruitment advertisements
g. Research involving Aboriginal and Torres Strait Islander
people (APPENDIX A)
h. Research to be undertaken outside Australia (APPENDIX B)
i. Privacy and access to personal information (APPENDIX D)
j. Research involving blood, tissue, recombinant DNA, gene
therapy and bio hazardous material (APPENDIX E)
k. Exposure to ionizing radiation (APPENDIX F)
l. Administration of illegal drugs, legal drugs and/or medication
not part of a clinical trial (APPENDIX G)
m. Clinical trials (APPENDIX H)
No
N/A
x
x
x
x
x
x
x
x
x
x
x
x
x
*I also attach the ANTH385 unit outline as support documentation.
PLEASE ONLY SUBMIT THE APPENDICES THAT ARE RELEVANT TO YOUR
RESEARCH. IF IN DOUBT CONTACT THE ETHICS OFFICER, on
ethics.secretariat@ro.mq.edu.au or phone (02) 9850 6848.
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SECTION 11: CERTIFICATION
11.1 To the best of my belief the proposed project conforms in all respects with the National
Statement on Ethical Conduct in Human Research.
Information about and links to legislation, guidelines and codes governing research with
humans is available at:
http://www.research.mq.edu.au/researchers/ethics/human_ethics/policy
Signature of Chief Investigator:
Name of Chief Investigator (block letters): Lisa L Wynn
Date: 8 July 2010
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