OFFICIAL USE ONLY SURNAME: URNAME: REF. NO.: ARCHIVE: 7 25 MACQUARIE UNIVERSITY ETHICS REVIEW COMMITTEE (HUMAN RESEARCH) INITIAL APPLICATION FORM (Version 1 November 2005) APPLICATIONS MUST BE TYPED OR WORD PROCESSED. HAND WRITTEN APPLICATIONS WILL NOT BE ACCEPTED. ALL RESEARCHERS MUST COMPLETE SECTIONS 1–13 DO NOT COMPLETE OR ATTACH APPENDICES UNLESS RELEVANT TO YOUR APPLICATION Double Click the Yes, No, or N/A check box to indicate your answer. For further information on how to complete this form, view the Guidelines for Application Form Version 1 – 01/11/05 SECTION 1: PROJECT SUMMARY AND ADMINISTRATION DETAILS 1.1 Project Summary (a) Full project title AN ETHNOGRAPHIC STUDY OF THE SOCIAL MEANINGS AND USE OF MOBILE PHONES IN SYDNEY. (b) If this research is being conducted as a teaching project, provide the unit code and name ANTH801, Methodology in Local and Community Studies (c) Short name by which the project will be known (if appropriate) The social meaning and use of mobile phones (d) Name of Chief Investigator Dr Lisa Wynn HEC Application From Version 1 November 2005 1 1.2 Previous Ethics Clearance/ Clearance from other Institutional Ethics Committees (IECs) (a) Has this project been previously approved by Macquarie University’s Ethics Review Committee? NO (b) YES Are you applying for a new clearance because the previous ethical clearance for this work has expired? (ie: it has been 5 years or more since the original clearance was issued) NO (c) YES Will this project be submitted for approval to any other institution or ethics committee? NO (go to Q1.3) 1.3 YES Type of Research (please tick the most appropriate): i. 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 is being submitted by a student enrolled in a degree program Type of degree undertaken (please tick one) Doctorate Masters Post Graduate Diploma Honours Other – please specify HEC Application From Version 1 November 2005 2 1.4 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 Institutional Ethics Committee (IEC)). Date (b) 21 August 2008 Proposed completion date of the project:. Date 15 December 2008 (Note that approval is given only for a 12-month period which may be renewed upon application for up to 5 years (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.) 1.5 Indicate where the research will be undertaken. Please specify all location(s) and venues (including the URL for Web based studies). Interviews will take place either in an open, public space on Macquarie University campus (e.g. the Atrium, the courtyard, etc) or, if it is preferable for privacy and for the sound quality of the recordings, they may choose to conduct the interview in the Anthropology Meeting Room in C3A 6th floor (this is a public classroom and meeting room where seminars and colloquia are held). 1.6 Investigator Details List the details of the Chief Investigator, and any Co-Investigators, Associate Investigators, Supervisors, Research Assistants or Research Co-ordinator Chief Investigator Name: Title: Staff: Staff/student no. Qualifications Positions held: (if student, specify degree and course in which enrolled) Full mailing address: Tel No. (W): Tel No: (H): Mobile No: Fax number: E-mail address: Lisa L Wynn Dr Student: 20072935 PhD Associate Lecturer, Department of Anthropology Lisa Wynn Department of Anthropology Macquarie University NSW 2109 02 9850 8095 02 9868 4896 0424 852 816 02 9850 9391 lisa.wynn@mq.edu.au HEC Application From Version 1 November 2005 3 Co-Investigator , Associate Investigator , Supervisor , Research Assistant , Research Coordinator (please tick one) Name: Title: Staff: Staff/student no. Qualifications: Positions held: (if student, specify degree and course in which enrolled) Full mailing address: students in ANTH 801 (not yet named) Student: **Please note: This is one of 4 optional research projects for students of ANTH 801, and students will self-select the research topic they wish to investigate by the second week of the course (Semester II, mid-August 2008). After students have selected the project they wish to work on, Dr Wynn will provide their full contact info to the Ethics Secretariat, along with specific information about which project each student has chosen to work on. Students enrolled in ANTH801, the core methods course of the Masters of Applied Anthropology program (but some students in other programs may be taking the course as an elective) Tel No. (W): Tel No: (H): Mobile No: Fax number: E-mail address: 1.7 Nominated Contact Person (nominate one person from Q1.6 above who will be the first point of contact for the ERC (HR) regarding this protocol) Name: Dr Lisa Wynn 1.8 Funding Details (a) Is this a funded project or do you intend to apply for funding? NO (go to SECTION 2) YES HEC Application From Version 1 November 2005 4 SECTION 2: NATURE OF RESEARCH 2.1 The nature of this project is most appropriately described as involving: (please tick the relevant box or boxes - more than one may apply) a. b. c. d. e. action research observation documentary (film, audio and/or video) questionnaire(s) on-line data collection (please ensure you have read the guidelines for on-line research available at: http://www.research.mq.edu.au/researchers/ethics/human_ethics/onlineresea rch) f. focus groups or interviews g. experiments h. physiological investigations(s) i. clinical studies j. biomechanical devices(s) or invasive devices or procedures k. blood, tissue, recombinant DNA, gene therapy, or biohazardous material (APPENDIX E must be completed if you tick this item) l. behavioural genetics, genetic screening and/or genetic related epidemiological studies (If you tick this item please refer to Section 16 of the National Statement On Ethical Conduct In Research Involving Humans before proceeding with the completion of the application or call the Research Ethics Officer on (02) 9850 7854). m. exposure to ionizing radiation (APPENDIX F must be completed if you tick this item) n. 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) o. a clinical trial of drug(s) or device(s) (APPENDIX H must be completed if you tick this item) p. other (please provide details) HEC Application From Version 1 November 2005 5 SECTION 3: RISKS AND BENEFITS 3.1 Could the research induce any psychological or physical stress in the participant, or in any other way adversely affect participants? NO (go to Q3.3) 3.2 YES What procedures/facilities/trained personnel are available to deal with such problems? n/a 3.3 Will the true purpose of the research be concealed from the participant(s)? NO (go to Q3.4) 3.4 Does the research require any physically invasive, or potentially harmful procedures (e.g. drug administration, needle insertion, rectal probe, pharyngeal foreign body, electromagnetic stimulation, chiropractic manipulation)? NO (go to Q3.5) 3.5 YES YES If you are doing research on patients, list the procedures/techniques which would not form part of routine clinical management. NA 3.6 Please list any drugs/devices to be used, and their approval status both overseas and in Australia. NA HEC Application From Version 1 November 2005 6 3.7 What are the expected benefits of this research, including any direct or indirect benefits to participants? (This does not refer to financial or other remuneration for participation in the study). This research project is being used as a student exercise to teach them about anthropological research methods. The goal is to give graduate students hands-on experience doing research “in the field” i.e. out of the classroom environment. It will help develop their interview, observational, and analytical skills and bring the study topic alive in very concrete ways. Beyond the goals of pedagogy, this research project will contribute to anthropological understanding of how people incorporate global communication technologies into their social lives. There are no direct or indirect benefits to participants of this research project, but as it is an innocuous street survey that will take no more than 10 minutes and individuals will easily be able to refuse participation, I believe that the benefits to pedagogy outweigh the burden of participating and the negligible risk involved. 3.8 Does this research involve the direct investigation of any illegal behaviour or have the potential to elicit information about illegal behaviour? NO (go to SECTION 4) YES If you answered YES, please provide the following details: (a) Has this illegal behaviour already been dealt with by the criminal justice system YES (go to Section 4) UNSURE (b) Describe the types of illegal behaviour that are the subject of this research or might be identified in this project. (c) Is it possible to link the identity of participants and information about illegal activity? NO YES If you answered NO, what steps have been taken to ensure that participants cannot be identified? If you answered YES, please assess the risk to participants and provide a justification for exposing participants to this risk. HEC Application From Version 1 November 2005 7 (d) Are any of the participants in this study likely to be perpetrators, victims and/or witnesses of the illegal activity? NO YES If you answered YES, please provide further details. (e) Do any of the illegal activities involve minors? NO YES If you answered YES, please provide further details. HEC Application From Version 1 November 2005 8 SECTION 4: DESCRIPTION OF PARTICIPANTS 4.1 What is the age range of participants involved in this study? 18 years and older NOTE: IF YOUR STUDY INVOLVES YOUNG PEOPLE UNDER THE AGE OF 18 (excluding university students) YOU MUST COMPLETE APPENDIX C. 4.2 Are the participants who are the focus of this research/teaching project: (Please tick the boxes that apply to the participants involved in your research. More than one category may be applicable) a. b. c. d. e. f. g. h. i. j. k. l. m. n. o. p. q. in a teacher–student relationship with the researchers or their associates ? in an employer–employee relationship with the researchers or their associates ? in any other dependent relationship with the researchers or their associates ? Aboriginal or Torres Strait Islander? (if you tick this box APPENDIX A must be completed) Residing in countries outside Australia (if you tick this box APPENDIX B must be completed) wards of state ? prisoners or detainees ? refugees or asylum seekers? members of the armed services ? mentally ill ? intellectually impaired? physically disabled? unconscious or critically ill patients ? in a carer-client relationship with the researcher (e.g., medical practitioners, social workers, psychologists, legal practitioners, etc)? in a carer-client relationship with other professional workers(e.g., medical practitioners, social workers, psychologists, legal practitioners, etc)? If you ticked any of the above, please give details. HEC Application From Version 1 November 2005 9 SECTION 5: RECRUITMENT OF PARTICIPANTS 5.1 How many participants will be involved in this study? Each student of ANTH 801 who selects this topic for their research project (I estimate that between 3 and 5 students will choose any given topic) will aim to interview 50 people on the street. Thus, a maximum of 250 participants will be recruited. Additionally, the researchers will use participant observation to study cell phone use in their own lives and those of their peers. However, participant observation this will not involve any obvious research intervention (in the form of interviews, for example). 5.2 Recruitment of participants (a) Specify how potential participants will be identified. Students will select a public space on Macquarie University campus or elsewhere in the city on a public street or park space. They will station themselves in this place and approach passersby. In other words, a convenience sample will be used based on location. Students will be instructed to approach passersby without regard for personal appearance, except to avoid approaching anyone who appears to be under the age of 18. After students who choose this research project select the place where they want to undertake their interviewing, I will forward to the ethics committee a precise list of locations where the interviews will take place. However, in general students will be advised that they may only choose a public space not owned by any individual or corporation (unless they seek the permission of that individual or corporation and file evidence of their consent to use that space with the ethics committee). They will also draw on their own life experiences as cell phone users, and they may recruit friends from their social networks for informal conversations about cell phone use. (b) How will contact with participants be made? Student researchers will make a direct, personal approach to strangers in public spaces, inviting them to be interviewed as part of this research project. A script for how this approach will be made is included at the end of this application. For any observational study, no contact will be made. Students will observe in public spaces to see how people use their cell phones in such space (e.g. do they lower their voices when talking on a cell phone in a bus, or speak loudly without regard for whether strangers might overhear their conversation?) and will be guided on how to do so in an unobtrusive manner. For students who decide to informally interview friends and peers about cell phone use, the students will make a direct, personal approach to those friends, seeking their consent to talk to them about the topic. The script provided with this application guides students on how to avoid pressuring friends into participating in the research. HEC Application From Version 1 November 2005 10 (c) Who will be involved in the recruitment of participants? Students in ANTH 801 (d) 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 (e) Will participants be involved in any related studies? NO 5.3 YES Does recruitment involve a direct personal approach from the researchers to the potential participants? NO YES If you answered YES, what precautions will be taken to minimise any pressure (real or perceived) on individuals to enrol? - Students will be supplied with a script to guide their approach to potential study participants and an information and consent form that makes clear participants’ right to refuse to participate and/or withdraw from the study at any time. - Students will be instructed during an in-class discussion of research ethics that they must not exert any pressure on participants to enrol in the study and in the provided script, are given special guidance on the importance of approaching recruitment with particular deference when inviting friends to participate in the study, since friends may feel more obliged to participate than strangers would. 5.4 Does recruitment involve the circulation/publication of an advertisement? NO YES If you answered YES, provide a copy of the advertisement. (Please refer to Section 7 of the Guidelines for information on advertisement content.) 5.5 Will participants receive any financial or other benefits as a result of participation? NO 5.6 YES Is the research targeting any particular ethnic or community group? NO YES HEC Application From Version 1 November 2005 11 (go to SECTION 6) If you answered YES, which group is being targeted? 5.7 Will recruitment be conducted in consultation with a representative of this group? NO (go to (a)) YES (go to (b)) (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? SECTION 6: PRIVACY AND PUBLICATION OF RESULTS 6.1 Is there a requirement for the researchers to obtain information of a personal nature (either identifiable or potentially identifiable) about individuals: YES NO a. from Commonwealth departments or agencies? b. from State departments or agencies? c. from other third parties, such as universities, hospitals, schools, private practices, business etc? 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 any part of your study on audio tape, film/video, or other electronic medium? NO YES 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? HEC Application From Version 1 November 2005 12 Students may choose to audio record their short interviews in order to accurately represent the word-for-word responses of participants in class presentations and/or final papers resulting from this research project. Students will be instructed that quotes must be used anonymously and with pseudonyms. No personal identifying information will be sought in the street interviews other than the general questions about cell phone use. No secretive recording, either visual or audio, will occur. 6.3 How will the results of the study be disseminated (publication and presentation of the research results)? Students will use the results in their final papers for ANTH 801 and will submit the results for publication to an academic journal or magazine of their choice. Dr Lisa Wynn will describe the general results of this class exercise and the other class research projects on Culture Matters, the Anthropology Department blog, and in a paper to be submitted for publication to a journal on pedagogy. 6.4 Do you intend to present data relating to specific individuals (eg. Quotes, video clips, audio excerpts) in presentations or publications? NO YES If you answered YES, please provide details below. If students use quotes from specific individuals in their research papers, they will be used in de-identified form and with no identifying details included. When Dr Wynn describes the project on Culture Matters or in a publication, the project will be described as a whole and without identifying individual students, unless they choose and consent to be identified (and consent will be sought at that time from students). 6.5 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 will assign pseudonyms to participants when they record responses to their street interviews, and with each student aiming to recruit 50 participants on the street, it will be impossible to correlate names provided on I/C forms with pseudonyms. In interviews with friends and field notes based on participant observation, students will also be instructed to use pseudonyms and avoid potentially identifying personal details when collecting data, transcribing interviews, and presenting results. HEC Application From Version 1 November 2005 13 6.6 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. Results of the class exercise will be described on Culture Matters and this will be noted in the I/C forms for participants. 6.7 Are you planning to retain the data for the minimum period of 5 years from the most recent publication of the research? NO YES If you answered NO please explain why not. 6.8 Provide details about where the 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?). I will instruct students to retain all digital data on password-protected computers or computer disks/drives and that any hard copy materials should be stored in a locked file cabinet in my University office. 6.9 Who will have access to the data (eg. Researcher, supervisor, other researchers not stated on the application, any other third party)? Students who are conducting this research project (their names will be submitted to the Ethics Secretariat by August 15th, after they have decided which research project they want to do for this class). Supervisor Dr Lisa Wynn may access the data on request. 6.10 Is there any possibility that information of a personal nature could be revealed to persons not directly connected with this project? NO YES If you answered YES, please provide details. HEC Application From Version 1 November 2005 14 SECTION 7: PARTICIPANT INFORMATION AND CONSENT 7.1 Will written consent be obtained? NO YES 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.) 7.2 Will the consent of minors participating in the research be obtained? 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 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/consentadolesc entschild). NO 7.3 YES NA (go to Q7.3) 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? Interviews will be conducted in English, as it is assumed that most if not all research participants will be students and staff of Macquarie University. 7.4 (a) Please indicate whether the following details have been provided in your Information Statement and Consent Form. YES NO N/A 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 and contact telephone numbers. 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 and Department affiliation)” v. An explanation of what each participant is expected to do HEC Application From Version 1 November 2005 15 and an estimate of the time commitment involved vi. An acknowledgment of any recording using audio-tapes, videotapes, 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, 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. x. Any plans to make the data available in de-identified form to other researchers (other than those listed on this application form) in the future. xi. Information about how participants can obtain feedback regarding the results of the research. xii. An acknowledgement of any sources of funding for the research, including commercial or other sponsors. YES xiii. 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. Macquarie University 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 xiv. 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. xv. A statement indicating that the participant has been given a signed copy of the consent form to keep. xvi. A footnote regarding complaint procedures as follows: The ethical aspects of this study have been approved by the Macquarie University Ethics Review Committee (Human Research). If you have any complaints or reservations about any ethical aspect of your participation in this research, you may contact the Committee through the Research Ethics Officer (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 (b) NO N/A If you answered NO to any of the above please provide details below: HEC Application From Version 1 November 2005 16 SECTION 8: POSSIBLE CONFLICT OF INTEREST 8.1 In undertaking this research do any “conflict of interest” 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?). NO YES 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) a commercial entity, or any other sponsor? NO 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? NO 8.4 YES 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). NO 8.5 YES YES 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? (Note: The Committee is unlikely to approve arrangements that involve the censorship of research findings in publications.) NO HEC Application From Version 1 November 2005 YES 17 SECTION 9: OTHER ETHICAL CONSIDERATIONS 9.1 Are there any further ethical considerations that you wish to raise? NO YES If you answered YES, detail what these considerations are. HEC Application From Version 1 November 2005 18 SECTION 10: DESCRIPTION OF PROJECT 10.1 Describe the aims and objectives of the project and the methods to be used. Include a description of the participant sample, and tasks, measures, and procedures. Write in plain English using no more than two pages (font size not less than 12 point). This application seeks conditional approval from the ethics committee for graduate research project to be completed as a requirement for ANTH 801, Methodology in Local and Community Studies, convened by Dr Lisa Wynn. The purpose of the assignment is to ground the theoretical texts we will be reading in class with a hands-on project that will help students to concretely understand anthropological methodologies by implementing them in their own research. Attached to this application are the relevant pages from the course outline, the entirety of which is available online at http://www.anth.mq.edu.au/maa/unit_pages/801/ANTH801syllabus-revised-06-08.pdf. We will spend the first two weeks in class extensively discussing the ethics of human subjects research with an in-class presentation by Dr Wynn of some of the complicated issues pertaining to informed consent, followed by class discussion based on the readings and the presentation. As soon as students select a research project from the four suggested research projects, which they will be required to do by Week 2 of the course (14 August), I will submit to the Ethics Secretariat a list of student names and which project each will be undertaking. All students who opt to undertake one of these research projects will be required to write their own ethics application form which I will review. This is to give them experience in the process of ethics applications for human research, and it will also give me something to assess their comprehension of the ethical issues involved in their particular research project. If, in their mock ethics application that they submit to me, students propose any modifications to the research project as it has been described here (such as a different list of proposed interview questions or any different strategy for recruiting participants), then I will submit an amended ethics application form reflecting these changes, and no research will be undertaken until approval has been received from the ethics committee for the modifications. Below is a short description of the proposed research project. More details, including references, can be found in the course outline. AN ETHNOGRAPHIC STUDY OF THE SOCIAL MEANINGS AND USE OF MOBILE PHONES IN SYDNEY Anthropologists have always been interested in the relationship between technology and culture. Contemporary anthropologists have recently been particularly interested in the spread of global communication technologies and how they are taken up in local social and cultural contexts (Axel 2006). Cell phones, in particular, have been revealed as devices which extend social networks in unique ways and which have been incorporated into local cultural norms about sharing, gift giving and exchange, and economic strategies (Smith 2007, Horst and Miller 2006, Wong 2007). HEC Application From Version 1 November 2005 19 Corporate anthropologists have also researched the materiality of cell phones – where they are carried, how they are held, when they are turned off and on – to inform product design (Chipchase 2007). Sociologists and psychologists have also examined the uptake of cell phone and messaging technologies amongst subcultural groups (e.g. Sylvia and Hady 2004). Globally, some 3 billion people are expected to have cell phones by the end of this year, so it is clearly a technology that has a powerful global reach across cultures and socioeconomic class, and Jan Chipchase has argued that this is because of a universal appreciation of its ability to transcend space and time, its privacy and convenience, its accessibility to illiterate populations, and its potential to be used for innovative street banking and other economic transactions (Chipchase 2007). Methodology: This research project is designed as a study of the cultural context of mobile phone use, which will be studied specifically through a targeted questionnaire to be administered on public streets and other public spaces through convenience sampling, with a carefully scripted approach to potential research participants (provided as an addendum to this application along with a list of sample questions to ask). This quantitative study will be supplemented by participant observation, with students paying close attention to the use of mobile phones in their own lives and those of their friends, relatives, and colleagues. They may also supplement participant observation with targeted interviews of friends within a social network. I have deliberately kept the parameters of this research project as open as possible within certain constraints meant to guide ethical research practice. This is so that students can take the research project in their own direction, depending on their research interests. What may therefore appear to be a very broad research design in this application will subsequently be narrowed down considerably by individual student researchers. The constraints designed to guide ethical research practice include sample information and consent forms, and scripts for approaching potential participants. These scripts carefully lay out the students’ approach, how and when to get the I/C form signed, and how to obtain consent for audio recording to be used in interviews. I have here provided a list of questions and a general script to guide students in approaching potential participants as a model I/C form, but I will submit an amendment to this application if students wish to deviate from this script, the I/C form, or the list of questions, and research will not proceed until approval is obtained from the ethics committee for such amended procedures. HEC Application From Version 1 November 2005 20 SECTION 11: SUPPORT DOCUMENTATION 11.1 Have you included the following support documents with your application? YES NO NA a. copies of any correspondence with other institutions or 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 Q1.8 (e) d. copies of Information and Consent Forms (Note that the consent form is to be printed on Macquarie University (or other appropriate) letterhead only AFTER it has been approved e. copies of any interviews, questionnaires, or surveys to be used f. copies of any participant recruitment advertisements g. APPENDIX A h. APPENDIX B i. APPENDIX C j. APPENDIX D k. APPENDIX E l. APPENDIX F m. APPENDIX G n. APPENDIX H PLEASE ONLY SUBMIT THE APPENDICES THAT ARE RELEVANT TO YOUR RESEARCH. IF THEY ARE NOT RELEVANT TO YOUR RESEARCH DO NOT COMPLETE THEM AND DO NOT INCLUDE THOSE PAGES IN YOUR APPLICATION. REMOVE THOSE PAGES BEFORE SUBMITTING YOUR APPLICATION. IF IN DOUBT CONTACT THE RESEARCH ETHICS OFFICER, on ethics.secretariat@vc.mq.edu.au or phone (02) 9850 6848. HEC Application From Version 1 November 2005 21 SECTION 12: CERTIFICATION 12.1 To the best of my belief the proposed project conforms in all respects with the National Statement on Ethical Conduct in Research Involving Humans. 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/forms Signed: Name (block letters): Date: HEC Application From Version 1 November 2005 22 Relevant sections from ANTH 801 course outline (outline in its entirety is available online at http://www.anth.mq.edu.au/maa/unit_pages/801/ANTH801-syllabus-revised-06-08.pdf : WEEK 1 – INTRODUCTION 7 August 2008 Introductions and talking about course projects. One of the major goals I have as a teacher is to see my students publish. There are countless journals out there (Sage alone publishes 470 journals!), and a requirement of this course is that you do an original research project and submit your final paper for publication somewhere. You can write a paper as an individual or a group. You don’t have to get it published, but you do have to submit to get full credit on your paper! We’ll talk about journals, about social science writing and publishing, and make concrete plans to work toward that goal. See the end of this course outline for suggested research projects. Human Research Ethics To do a research project involving human subjects, you will need to get approval from the university’s human ethics review panel. If you are doing a project that does not involve protected subjects (including but not limited to children, the mentally incapacitated, the incarcerated, and Aboriginal Australians) or investigation into any illegal activity, then this is typically a quick review and can take as little as a month to receive approval. Otherwise it can take somewhat longer. If you choose your own research project, you’ll need to work quickly to get human ethics review board approval for your research project in this class. One way around this is to make your research project for this class connect with your thesis project. If you’ve already gotten ethics approval for your thesis, then you can use it for this research as long as you’re not doing anything substantially different than what you outlined in your original application for ethics approval. Even if you are planning on doing something different, as long as it still ties in with your thesis project, you can simply file an amended application. Otherwise, you will need to submit your ethics application to me by the SECOND WEEK OF CLASS. If you decide to do one of the pre-approved, suggested research topics, then there will be less lag time waiting for ethics approval before you can start your research. We’ll discuss research topics and the human research ethics approval process in class. JOURNAL: Write a description, 1-2 pages long, of your research topic. In it, you should: 1) briefly describe the project and some broad theoretical questions that relate to it. (For example, you could ask: What is the interface between “real life” and virtual social worlds in online social games? How do new technologies such as cell phones extend or modify existing cultural norms and social networks?) See the list of suggested research project topics at the end of this course outline for some ideas. 2) Specifically, you should identify: What is the value of this research? What will it tell us that is new? 3) What are the specific methods that you anticipate using to study this research project? If doing interviews, how will you approach research participants? 1 and 2 should basically be a draft of section 10.1 from the ethics review application form – see http://www.research.mq.edu.au/researchers/ethics/human_ethics HEC Application From Version 1 November 2005 23 4) Are there any risks to your informants? How will you ensure the confidentiality and safety of yourself and your research informants? This relates to concrete practices: how will you protect their identities as you do your research (in terms of how you store the data and using pseudonyms for transcribing interviews or writing fieldnotes) and when you write up the final results in a paper (in terms of not just pseudonyms but changing any identifying feature)? Where will you interact with your informants? (e.g. will you keep interactions in public spaces and a cell phone with you at all times?) 5) How will you ensure informed consent of your informants? In particular, think about how you can do this if one of your methodologies is participant observation of your own every day life (for example, if you’re researching the social implications of cell phone use) – at what point do you bring up your research topic with your friendsinformants, how do you minimize pressure on them to feel like they have to cooperate with you in pursuing your research agenda, and what will you do if they don’t want you to write about them? Will you used signed informed consent sheets? Or is there some compelling reason why it would be preferable to obtain oral, rather than written, consent? 6) Finally, you should draft a list of sample questions that you plan to ask your informants, either informally as you interact with them in everyday life, or in a formal interview context. Come up with a list of at least 10 questions. Be concise and think through the ethical research implications of your research project. What you should aim for is a research project that poses no risks to your research participants/ informants beyond slight annoyance. If you think that your project carries greater risk than this, you should come talk to me about it and we can write a separate ethics application that takes these special circumstances into account. Next week: a draft of your human subjects ethics application is due (electronic format!) WEEK 2 – DISCIPLINARY BOUNDARIES AND ETHICS: WHAT DISTINGUISHES ANTHROPOLOGY FROM...? 14 August Readings: Rena Lederman, “Introduction: Anxious borders between work and life in a time of bureaucratic ethics regulation,” and Rena Lederman, “The perils of working at home: IRB ‘mission creep’ as context and content for an ethnography of disciplinary knowledges.” American Ethnologist 33(4): 477-491 (November 2006). Daniel Bradburd, “Fuzzy Boundaries and Hard Rules: Unfunded Research and the IRB.” American Ethnologist 33(4): 492-498 (November 2006). American Anthropological Association Code of Ethics Class discussion: led by ______________________&___________________________ JOURNAL: By this week, you should have formulated your research project or site and submitted a draft of your ethics application to me (for those of you who have picked an independent research project). This should be in electronic, NOT paper, format. During HEC Application From Version 1 November 2005 24 the week, I will read these and return with edits, comments, and suggestions for revision. A finalized version must be submitted by Week 3 (again in electronic format). Class discussion: 1) Research topics – from broad rubrics to an actionable research project 2) PowerPoint presentation: Two ways of looking at “informed consent” (ppt presentation and background readings, by Brooke Ronald Johnson and Francine van den Borne, will be available on Blackboard) Section of course outline that discusses research project: 2. AN ETHNOGRAPHIC STUDY OF THE SOCIAL MEANINGS AND USE OF MOBILE PHONES IN SYDNEY. Anthropologists have always been interested in the relationship between technology and culture. Contemporary anthropologists have recently been particularly interested in the spread of global communication technologies and how they are taken up in local social and cultural contexts (Axel 2006). Cell phones, in particular, have been revealed as devices which extend social networks in unique ways and which have been incorporated into local cultural norms about sharing, gift giving and exchange, and economic strategies (Smith 2007, Horst and Miller 2006, Wong 2007). Corporate anthropologists have also researched the materiality of cell phones – where they are carried, how they are held, when they are turned off and on – to inform product design (Chipchase 2007). Sociologists and psychologists have also examined the uptake of cell phone and messaging technologies amongst subcultural groups (e.g. Sylvia and Hady 2004). Globally, some 3 billion people are expected to have cell phones by the end of this year, so it is clearly a technology that has a powerful global reach across cultures and socioeconomic class, and Jan Chipchase has argued that this is because of a universal appreciation of its ability to transcend space and time, its privacy and convenience, its accessibility for even illiterate populations, and its potential to be used for innovative street banking and other economic transactions (Chipchase 2007). How do new technologies such as cell phones extend or modify existing cultural norms and social networks? What are the explicit and implicit cultural rules that shape how people use these technologies? There’s a lot that’s been written on this subject, so think: what can you do that is unique and will add to the literature? You might decide to focus on the cultural meanings of cell phone use amongst a particular subculture that you know well, for example, or you might try to think of a clever way to study people’s interpretation of the strategy of Australian cell phone providers to market minutes of talk time in terms of dollar equivalents (i.e. “pay $29 and get $200 of talk time!” – but how is it $200 if you paid $29 for it, and nobody ever pays $200 for that amount of talk time?) Method: This research project is designed as a study of material culture, which will be studied specifically through a targeted questionnaire to be administered on public streets and other public spaces through convenience sampling. You may either use the suggested questions below, or develop your own set of interview questions: HEC Application From Version 1 November 2005 25 Sample interview questions: - What things do you do with your cell phone? (e.g. talk, take pictures, send SMS, read and send e-mail, access the Internet, keep track of appointments, etc) - When do you use your cell phone? - When do you avoid using your cell phone? - When do you turn on your cell phone, and when do you turn it off? - Who do you call on your cell phone? - How did you decide to buy the particular cell phone that you use? - How do you decide on a calling / minutes plan for your cell phone? - What does it mean when a mobile service provider says that $29 = $200 of talk time? You should aim to recruit at least 50 people for this study, which may involve multiple sessions of interviewing. (See what Bernard 2006 has to say about the numbers needed to produce robust and reliable results when undertaking quantitative research.) If more than one person decides to undertake this research project, you may wish to ask the same questions and pool your results together (once the data is deidentified and pseudonyms assigned) so that you have more data to analyze. In addition to a quantitative survey, you may also want to ground this project in participant observation of your own life and that of your friends, relatives, and colleagues. Watch and listen: how do you use your cell phone to communicate with people? How do your friends use their cell phones? Think about the materiality of cell phones: where do you put them during the day? Where and when do you buy them, how do you pay for talk time? Do you text or call more? Do you speak openly in public places or do you retreat to private spaces to talk on the phone? Is any aspect of cell phone use part of a gift economy (see Marcel Mauss’s classic “The Gift” and Daniel Jordan Smith’s study of cell phone use in Nigeria), is it “just” a commodity, or does it straddle both economies? You may wish to supplement participant observation with targeted interviews of friends within a social network. Some recommended readings: Daniel Jordan Smith, 1983. “Cell Phones, Sharing, and Social Status in an African Society.” In Applying Anthropology: An Introductory Reader, 8th edition. A Podolefsky and P Brown, eds. New York: McGraw Hill, pp.305-312 (chapter 46). Heather A. Horst and Daniel Miller, 2006. The Cell Phone: An Anthropology of Communication. Berg. John Lycette and Robin Dunbar, 2000. “Mobile Phones are Lekking Devices among Human Males.” Human Nature 11(1): 93-104. K.N. Sylvia and S.W. Hady, 2004. “Communication Pattern with SMS: Short Message Service and MMS: Multimedia Message Service as a Trend of Conduct of Modern Teenagers.” International Journal of Psychology 39(5-6): 289. Andrew Wong, 2007. “The Local Ingenuity: Maximizing Livelihood through Improvising Current Communication Access Technology.” Ethnographic Praxis in Industry Conference Proceedings. Oct 2007, Vol. 2007, No. 1: 104-114. Brian Keith Axel, 2006. “Anthropology and the New Technologies of Communication.” Cultural Anthropology. 21(3): 354-384. Jan Chipchase, “Our Cellphones, Ourselves.” Talk for TED: Ideas Worth Spreading, March 2007. http://www.ted.com/index.php/talks/view/id/190 HEC Application From Version 1 November 2005 26 Guidelines for observing and scripts for recruiting participants For students undertaking research project “Social Space and Intellectual Climate at Macquarie University” 1) Observing in public: If you are observing public behaviour in public spaces, but not actually talking to people, then you do not need to ask each person for permission to observe him or her, but it is essential that you observe in a non-obtrusive way and use no recording devices. In other words, no filming or photographing in a way that would make an individual recognizable, unless you obtain their consent. Also, you should try to blend into the background. Don’t go around peering over people’s shoulders to see what model of mobile phone they have or who they’re calling, or in any other way violating the norms of regular social behaviour in that public space. If you want to interview strangers, that’s okay, but you will need to follow the procedures laid out here for how to do it in a way that will not make them feel pressured to participate in this study. 2) Script for approaching strangers in public spaces (and by public spaces, I mean that it should not be a place owned by any individual or corporation, other than Macquarie University – so, for example, you shouldn’t do this in a mall unless you have obtained written consent from the manager of that mall and forwarded a copy of that consent to the ethics committee): Students should stand by a wall or at the edge of a walkway, outside of the main flow of people walking, and stay in one place. Under no circumstances should they leave their position to follow people around. As people pass them by, they should make eye contact, and say, “Hi, I’m a student at Macquarie University and I’m doing a study on the social uses of cell phones.” If person stops to listen, student continues, “Can I ask you a few questions about how you use cell phone technology? I would take no more than 5-10 minutes of your time.” If participant agrees, student must first give the participant a copy of the information and consent form and briefly explain the study by reading or paraphrasing the description on the I/C form. After the participant has had time to read the I/C form, student should say, “Are you still interested in participating in this study?” If participant declines, student should smile and say, “Okay, no problem!” If participant agrees, student should smile and say, “Great! I just have a few questions to ask, and I want to remind you that you can end the interview at any time, for any reason. Before we start, I need you to sign this information and consent form.” Both participant and student must sign the I/C form. If student wishes to record the interview, the participant will also need to initial the I/C form appropriately. Participant should receive a copy of the I/C form. Student may then ask the participant no more than 5 questions from the following list and should take no more than 10 minutes to interview the person. If the person has been HEC Application From Version 1 November 2005 27 chatty and has filled up 10 minutes without answering all the questions, then you should still terminate the interview in order to stick with the promised interview time. If students wish to ask questions other than the suggested ones below, they will need to submit them to Lisa and she will submit them to the Ethics Committee for approval. Student may then ask the participant questions from the below list or from the list that they have previously submitted for ethics approval. Questions about cell phone use: What things do you do with your cell phone? (e.g. talk, take pictures, send SMS, read and send e-mail, access the Internet, keep track of appointments, etc) When do you use your cell phone? When do you turn on your cell phone, and when do you turn it off? Who do you call on your cell phone? How did you decide to buy the particular cell phone that you use? How do you decide on a calling / minutes plan for your cell phone? How do you make sense of cell phone plans in Australia? What does it mean when a mobile service provider says that $29 = $200 of talk time? At the end of the 5 questions or 10 minutes, whichever comes first, student should thank the interviewee for her/his time. 3) Approaching or writing about friends, relatives, and peers: In addition to interviews on the street, you may wish to do informal interviews with friends, relatives, and peers about how they use mobile phones. You may wish to use the same questions that you ask people on the street as a guide, but you may also want to expand upon these questions according to the answers and interests of your interviewees. It is important that you do not pressure anybody into participating in this research project. That means that if someone expresses in any way, verbal or otherwise, that they are not interested in participating in the project, then you must respect their wishes. Do not try to persuade them to participate. This especially applies for friends and family members, who may find it harder to say no to you than strangers. If you wish to write about information gained during participant observation, i.e. insights gained during your every day life but not in the context of formal or even informal interview, then you may not need to have people sign consent forms – indeed, it may be only after something is said that you realize that you have just learned something important that you might want to write about. In this case, the burden of ethical research practice shifts from obtaining informed consent to study someone (since you did not know you were studying them until something just spontaneously came up) to the ethics of representation. If you want to write about an experience from your every day life in your research publication, then you should think carefully: even if I use a pseudonym, is there any possible way that this person could be identified in any other way by anyone reading the publication? If so, then you either need to do a better job of hiding any identifying information, OR you need to explicitly seek the person’s permission to write about her/him in the publication. This probably will entail showing him/her a draft of what you have written, and obtaining approval to use it. It also entails respecting the person’s wish that the anecdote or description be modified or even not used altogether. HEC Application From Version 1 November 2005 28 Sample Information and Consent Forms for Students doing the Social Use and Meaning of Mobile Phones project for street interviews (to be personalized with student contact information, but otherwise not changed). Information & Consent Form: Participant Copy Name of Project: The Social Use and Meaning of Mobile Phones You are invited to participate in a project to understand the social use and meaning of mobile phones. This study is being conducted by ________[name]_______ [here insert e-mail address] as part of the requirements for ANTH 801, Methodology in Local and Community Studies, an anthropology unit at Macquarie University. The convenor for this class is Dr Lisa Wynn, Department of Anthropology (contact number 02 9850 8095, e-mail lisa.wynn@mq.edu.au). My findings will be used for a research paper to be submitted for publication. Dr Wynn will post the general results of the class projects on the website Culture Matters (http://culturematters.wordpress.com) where you can read about it. If you decide to participate, I will ask you no more than 5 short questions about how you use mobile phones. The interview will not last longer than 10 minutes. [If student wishes to tape record the conversation]: If you agree, I would like to use a tape recorder to record our conversation so that I can remember exactly what you say. Any information or personal details gathered in the course of the study are confidential. No individual will be identified in any presentation of the results. If I use any of your comments in the written description of my research, I would use a pseudonym. The only people who will have access to the data are myself and the course convenor. I, have read and understand the information above and any questions I have asked have been answered to my satisfaction. I agree to participate in this research, knowing that I can withdraw from further participation in the research at any time without consequence. I have been given a copy of this form to keep. Participant’s Name: Participant’s Signature: Date: I agree / do not agree to letting this interview be tape recorded. (Circle one.) __________ Participant to initial here. The ethical aspects of this study have been approved by the Macquarie University Ethics Review Committee (Human Research). If you have any complaints or reservations about any ethical aspect of your participation in this research, you may contact the Ethics Review Committee through its Secretary (telephone 9850 7854; email ethics@mq.edu.au). Any complaint you make will be treated in confidence and investigated, and you will be informed of the outcome. HEC Application From Version 1 November 2005 29 Sample Information and Consent Forms for Students doing the Social Use and Meaning of Mobile Phones project for street interviews (to be personalized with student contact information, but otherwise not changed). Information & Consent Form: Researcher Copy Name of Project: The Social Use and Meaning of Mobile Phones You are invited to participate in a project to understand the social use and meaning of mobile phones. This study is being conducted by ________[name]_______ [here insert e-mail address] as part of the requirements for ANTH 801, Methodology in Local and Community Studies, an anthropology unit at Macquarie University. The convenor for this class is Dr Lisa Wynn, Department of Anthropology (contact number 02 9850 8095, e-mail lisa.wynn@mq.edu.au). My findings will be used for a research paper to be submitted for publication. Dr Wynn will post the general results of the class projects on the website Culture Matters (http://culturematters.wordpress.com) where you can read about it. If you decide to participate, I will ask you no more than 5 short questions about how you use mobile phones. The interview will not last longer than 10 minutes. [If student wishes to tape record the conversation]: If you agree, I would like to use a tape recorder to record our conversation so that I can remember exactly what you say. Any information or personal details gathered in the course of the study are confidential. No individual will be identified in any presentation of the results. If I use any of your comments in the written description of my research, I would use a pseudonym. The only people who will have access to the data are myself and the course convenor. I, have read and understand the information above and any questions I have asked have been answered to my satisfaction. I agree to participate in this research, knowing that I can withdraw from further participation in the research at any time without consequence. I have been given a copy of this form to keep. Participant’s Name: Participant’s Signature: Date: I agree / do not agree to letting this interview be tape recorded. (Circle one.) __________ Participant to initial here. The ethical aspects of this study have been approved by the Macquarie University Ethics Review Committee (Human Research). If you have any complaints or reservations about any ethical aspect of your participation in this research, you may contact the Ethics Review Committee through its Secretary (telephone 9850 7854; email ethics@mq.edu.au). Any complaint you make will be treated in confidence and investigated, and you will be informed of the outcome. HEC Application From Version 1 November 2005 30 Sample Information and Consent Forms for Students doing the Social Use and Meaning of Mobile Phones project for friend/family interviews (to be personalized with student contact information, but otherwise not changed). Information & Consent Form: Participant Copy Name of Project: The Social Use and Meaning of Mobile Phones You are invited to participate in a project to understand the social use and meaning of mobile phones. This study is being conducted by ________[name]_______ [here insert e-mail address] as part of the requirements for ANTH 801, Methodology in Local and Community Studies, an anthropology unit at Macquarie University. The convenor for this class is Dr Lisa Wynn, Department of Anthropology (contact number 02 9850 8095, e-mail lisa.wynn@mq.edu.au). My findings will be used for a research paper to be submitted for publication. Dr Wynn will post the general results of the class projects on the website Culture Matters (http://culturematters.wordpress.com) where you can read about it. If you decide to participate, I will ask you a few short questions about how you use mobile phones. I estimate that the interview will not last longer than 30 minutes, but you can request that it be shorter than that if you are pressed for time. [If student wishes to tape record the conversation]: If you agree, I would like to use a tape recorder to record our conversation so that I can remember exactly what you say. Any information or personal details gathered in the course of the study are confidential. No individual will be identified in any presentation of the results. If I use any of your comments in the written description of my research, I would use a pseudonym. The only people who will have access to the data are myself and the course convener. I, have read and understand the information above and any questions I have asked have been answered to my satisfaction. I agree to participate in this research, knowing that I can withdraw from further participation in the research at any time without consequence. I have been given a copy of this form to keep. Participant’s Name: Participant’s Signature: Date: I agree / do not agree to letting this interview be tape recorded. (Circle one.) __________ Participant to initial here. I have not been pressured in any way to take part in this study. __________ Participant to initial here. The ethical aspects of this study have been approved by the Macquarie University Ethics Review Committee (Human Research). If you have any complaints or reservations about any ethical aspect of your participation in this research, you may contact the Ethics Review Committee through its Secretary (telephone 9850 7854; email ethics@mq.edu.au). Any complaint you make will be treated in confidence and investigated, and you will be informed of the outcome. HEC Application From Version 1 November 2005 31 Sample Information and Consent Forms for Students doing the Social Use and Meaning of Mobile Phones project for friend/family interviews (to be personalized with student contact information, but otherwise not changed). Information & Consent Form: Researcher Copy Name of Project: The Social Use and Meaning of Mobile Phones You are invited to participate in a project to understand the social use and meaning of mobile phones. This study is being conducted by ________[name]_______ [here insert e-mail address] as part of the requirements for ANTH 801, Methodology in Local and Community Studies, an anthropology unit at Macquarie University. The convenor for this class is Dr Lisa Wynn, Department of Anthropology (contact number 02 9850 8095, e-mail lisa.wynn@mq.edu.au). My findings will be used for a research paper to be submitted for publication. Dr Wynn will post the general results of the class projects on the website Culture Matters (http://culturematters.wordpress.com) where you can read about it. If you decide to participate, I will ask you a few short questions about how you use mobile phones. I estimate that the interview will not last longer than 30 minutes, but you can request that it be shorter than that if you are pressed for time. [If student wishes to tape record the conversation]: If you agree, I would like to use a tape recorder to record our conversation so that I can remember exactly what you say. Any information or personal details gathered in the course of the study are confidential. No individual will be identified in any presentation of the results. If I use any of your comments in the written description of my research, I would use a pseudonym. The only people who will have access to the data are myself and the course convener. I, have read and understand the information above and any questions I have asked have been answered to my satisfaction. I agree to participate in this research, knowing that I can withdraw from further participation in the research at any time without consequence. I have been given a copy of this form to keep. Participant’s Name: Participant’s Signature: Date: I agree / do not agree to letting this interview be tape recorded. (Circle one.) __________ Participant to initial here. I have not been pressured in any way to take part in this study. __________ Participant to initial here. The ethical aspects of this study have been approved by the Macquarie University Ethics Review Committee (Human Research). If you have any complaints or reservations about any ethical aspect of your participation in this research, you may contact the Ethics Review Committee through its Secretary (telephone 9850 7854; email ethics@mq.edu.au). Any complaint you make will be treated in confidence and investigated, and you will be informed of the outcome. HEC Application From Version 1 November 2005 32