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 ETHNOGRAPHY OF A VIRTUAL ONLINE SOCIAL WORLD. (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) An ethnography of a virtual online social world (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). All research will take place online, in an animated multiplayer virtual world, Second Life: http://www.secondlife.com/ 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: Lisa L Wynn Dr Student: 20072935 PhD Associate Lecturer, Department of Anthropology Tel No. (W): Tel No: (H): Mobile No: Fax number: E-mail address: 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 Co-Investigator , Associate Investigator HEC Application From Version 1 November 2005 , Supervisor , 3 Research Assistant Name: Title: Staff: Staff/student no. Qualifications: Positions held: (if student, specify degree and course in which enrolled) Full mailing address: , Research Coordinator (please tick one) 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. This particular research project (one of 4 optional projects for ANTH 801) prompts students to think methodologically about how one can study the sociality of virtual worlds and the extent to which traditional anthropological methods are useful for this. Beyond the goals of pedagogy, this research project will contribute to anthropological understanding of cybersociality, i.e. what kinds of social relations are taking form in online environments like Second Life. As these environments are extremely popular (with tens of thousands of users and millions of dollars of economic transactions taking place in a given month, according to Boellstorff 2008), it becomes anthropologically important to take them seriously and try to understand how they are similar to and different from forms of social life in the real world. There are no direct benefits to participants of this research project, but the research involves normal social interactions within the virtual world, and since social interactions are what SL residents seek, and since they can easily avoid interacting with any of the student researchers if they do not wish to participate in the research, I believe that the general benefits to research outweigh any potential risks (which would be restricted to annoyance). Reference: Tom Boellstorff, 2008. “Coming of Age in Second Life: An Anthropologist Explores the Virtually Human.” Princeton: Princeton University Press. 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? HEC Application From Version 1 November 2005 7 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. (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 that the Second Life Grid is restricted for adults only (18+). There is a Teen Second Life which is strictly for teens age 13-17. Linden Labs does not allow anyone under 18 years old in the adult world of Second Life, and likewise they do not allow adult Residents (18+) on the mainland of Teen Second Life. Both of these worlds are separate from each other, and they do not allow in-world travel or communication between them. 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) may interact with perhaps 200 Second Life residents and may interview up to 30 during the course of this research project. I base this estimate on the experience of Tom Boellstorff, an anthropologist at UC Irvine who recently published an ethnography of Second Life. 5.2 Recruitment of participants (a) Specify how potential participants will be identified. Participants will be any virtual individual, or avatar, that student researchers meet online in Second Life. No particular sampling strategy will be used, except that researchers will direct their participant observation towards areas where the kind of activity they are interested in studying takes place. Snowball sampling (in the form of being introduced to the virtual friends of individuals previously met) may occur. (b) How will contact with participants be made? Participant observation will take place in the form of normal social interactions in this virtual world, where it is commonplace to walk up to (or fly to) a person and simply say hello and start a conversation. For formal interviews, the student’s avatar (animated representation of self) will approach an avatar and, using one-on-one chat, introduce him/herself and hand the other avatar a “note” (to use the computer program’s terminology) introducing the research project and seeking the person’s consent to participate in an interview (a copy is included at the end of this application). (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 HEC Application From Version 1 November 2005 YES 10 5.3 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? Since it is quite easy to avoid interacting with any of the student researchers if they do not wish to participate in the research (one can simply ignore a message sent, or walk, fly, or instantly teleport away from another avatar), I believe that the pressure to enroll in the research project is minimal. However, 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. I would like to note that Tom Boellstorff found, in his ethnography of Second Life, that not only were most individuals he approached interested in being interviewed (which is perhaps not surprising since social interactions are what SL residents seek in going online), but that he faced having a long list of people who wanted to be interviewed, and many people he had previously interviewed continued to seek him out asking to be interviewed again (Boellstorff 2008:77). 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.) I’m not exactly sure what to answer here – as the student researchers’ avatars circulate in Second Life, their avatar profiles will contain information about the research project, and anyone can view these profiles. I have provided a copy of the text to be used in this profile at the end of this application. 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 (go to SECTION 6) If you answered YES, which group is being targeted? The research targets players of Second Life. HEC Application From Version 1 November 2005 11 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? According to Tom Boellstorff (an anthropologist who has conducted extensive research in Second Life using the avatar name “Tom Bukowski” and who generously shared his research ethics protocol with me to assist me in the preparation of this ethics application), Linden Labs, which created and owns Second Life, allows researchers to conduct research in Second Life if they first obtain ethics approval from their own institutions. On 20 June 2008, I submitted the following request to the Support Center of Second Life, ticket number 4051-4940856: “I am Dr Lisa Wynn, a lecturer at Macquarie University Department of Anthropology in Sydney, Australia. I am trying to design several class research projects for ANTH 801, a methods course that I teach for our Masters of Applied Anthropology Students. One optional project that I would like to offer students is a study of cybersociality in SL. “I am currently writing a protocol for our institution's human research ethics committee, following the protocol originally developed by Tom Bukowski / Tom Boellstorff, the UC Irvine anthropologist who recently published an ethnography of SL (Tom was kind enough to share his research ethics protocol with me). “Of course, in addition to seeking my institution's approval for the research project, I also seek the permission of Linden Labs for my students to conduct research in SL, strictly following the guidelines I have established for ethical research practice. “Who should I talk to at Linden Labs about obtaining permission for such a research project? (Please forgive me for being naive about SL; I am not very familiar with it, but am making the effort to get to know it for the sake of my students.) I would be glad to provide the ethical research protocol that I have developed for Linden Labs to review when considering my request. Thank you, Lisa Wynn” As soon as I receive further correspondence from Linden Labs about this research project, I will submit it to the ethics committee, and no research will take place unless a representative of Linden Labs gives permission for the research project to take place in Second Life. I also have given students the option of doing this research project in another massively multi-player online game (MMOG) such as Sim City or World of Warcraft. However, I have not sought permission from the makers of either HEC Application From Version 1 November 2005 12 of these software systems, and so students are instructed in the course outline (a portion of which is attached with this application) that they may not undertake research in another MMOG unless they first obtain the written consent from the owner of that game for such research to take place, and then provide a copy of that consent to the Ethics Committee. 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? Communication in Second Life takes place through typing on various kinds of instant messaging screens (there are one-on-one chats, group chats which can only be read by those in that group, and “local chats” when any avatar within a certain radius of others can read what is being typed). Everything that people “say” in Second Life in the presence of another person is saved in a “history” that can then be pasted into a password-protected data file. This is the method that will be used for recording normal social interactions that take place as part of researchers’ participant observation. There are many researchers already doing work in Second Life, as well as a number of journalists who produce magazines in Second Life. (For example, you can read the Second Life Herald online without entering Second Life itself.) Thus, players in Second Life are always familiar with the idea that people are studying Second Life and that what they “say” in a public chat situation can be read by anyone in the vicinity. Each person in Second Life has a “profile” giving background information about themselves. Student researchers will all write their profile to make it clear that they are students conducting research about Second Life for an HEC Application From Version 1 November 2005 13 anthropology class. (I would like to note that it is common when meeting someone for the first time on Second Life to read that person’s profile. For example, in the limited number of times that I have logged on to SL to see how it works, I have noticed that people often comment on the fact that I live in Sydney, which is a piece of information I have included in my profile.) In sum, the fact that researchers will identify themselves as such in their profiles and as appropriate in any social interaction, combined with the fact that Second Life residents are aware that what they write in public chats is publicly readable (and the fact that they can switch to private instant messaging when they don’t want what they say to be known), constitute a nonsecretive recording of data (the real world analogy would be if we lived in a society where everyone walked around with recording devices on their body that could record any noise within a 20-foot radius of their bodies, and it was well-known that any individual could, at the end of the day, download to a computer what they recorded during that day – then we would not consider it secretive recording to do so). Combined with the measures that will be taken to conceal the identity of anyone written about in this research project, I believe it is appropriate for researchers to be permitted to save the text of any local chats that occur during the course of participant observation in order to analyze and write about them later. It would not be appropriate, given the norms of social interaction in Second Life, for researchers to walk around repeatedly broadcasting the fact that they might be saving anything typed by the people around them (that will effectively be taken care of by including the information in their profiles). However, student researchers will respect any requests to NOT save the text of any chats, and this will also be noted in the profile information (see the end of this application for the text to be included in each student researcher’s profile). When conducting formal interviews, participants will be given a “note” (to use the lingo of Second Life) containing information about the research project and the fact that the interviewer will be recording the text of the conversation (see the end of this application for the text to be included in this note). No formal interview will take place unless the participant first reads this and then consents by typing a message to the researcher stating that “I agree to participate in your study.” Finally, researchers may use the “screen capture” function to save an image of the animation they see on their computer screen, for illustrative purposes in any publication resulting from this research. 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. HEC Application From Version 1 November 2005 14 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)? There are two layers of confidentiality that will be involved in this study. First, all players of Second Life use “screen names” within Second Life, and it is rare for a player’s profile to contain their real life name, so researchers will not know the real names of Second Life players. Further, when writing about Second Life, students will not use those screen names, but will use pseudonyms. They will also change identifying information to protect confidentiality, following standard anthropological practice: for example, they would never write “Person X, who in Second Life owns a disco on the island called Kane.” In sum, there is almost no potential risk for a breach of confidentiality or invasion of privacy. 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 note for participants and in the researchers’ profiles. 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. HEC Application From Version 1 November 2005 15 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?). Students will be instructed to retain all digital data on password-protected computers or computer disks/drives. 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 16 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 only in English, unless the student researcher speaks another language and encounters someone else in Second Life who is using that language and they decide to converse in that language. The lingua franca of Second Life is English. 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 HEC Application From Version 1 November 2005 17 telephone number 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 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 ix. x. xi. xii. credits 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. 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. 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. YES NO 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 N/A 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) If you answered NO to any of the above please provide details below: HEC Application From Version 1 November 2005 18 It is not at this time possible to virtually sign a consent form. However, the information “note” to be given to each participant will state, “You can keep the “notecard” on which this information sheet appears. Because there is currently no way to sign a notecard in Second Life, by typing _______[student researcher’s avatar’s name]___ a message saying ‘I agree to participate in your study,’ you are saying that you understand this information and consent to participate.” HEC Application From Version 1 November 2005 19 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 20 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 21 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/ANTH801-syllabus-revised-0608.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. 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. 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. In their mock ethics application that they submit to me, they will submit a list of questions that they intend to use to guide interviews. I will submit these interview questions to the Ethics Committee along with the students’ names. Students will use sample information sheets and scripts for including in their avatar profiles, which I have included in this application. No research will begin until the Ethics Committee has approved the lists of questions provided by the students. 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, 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 ETHNOGRAPHY OF A VIRTUAL ONLINE SOCIAL WORLD Tom Boellstorff (2008) poses this question: “How is everything from identity and community to property, place, and politics shaped the fact that human beings can how HEC Application From Version 1 November 2005 22 live parts of their lives in virtual worlds?” Some of the potential research questions raised by cybersociality in online virtual worlds like Second Life include the following: - How are social norms enforced and violated, and how does that contribute to a sense of community? - What does identity mean in a massive multiplayer online role playing game when people can have alts (secondary accounts not linked to their primary avatar, or animated representative), or more than one person can control an avatar? - What does embodiment mean in Second Life, where you can change your gender, body type, skin color, and even species at will, where other players can even *give* you a new body type to “wear,” and you can buy a penis to use for cybersex? Do people change certain aspects of appearance (such as clothes or hair style ) more than others (such as body shape or gender)? How often to people change their appearance? To what extent does an avatar’s appearance influence how people interact with that avatar? - What religious or cultural rituals do people engage in, in cyberspace? - What are the social norms for gift-giving and reciprocity in cyberspace, and how does this contribute to community and sociability in cyber worlds? - Are there coercive exchanges, and how are they handled or talked about? - How does partnering occur in Second Life? Do virtual partners know each other in real life, and if not, how does it impinge on their real life worlds? What is the interface between Second Life and “real life”? Without probing this specifically by asking people about their offline personas (to avoid violating their privacy), this can be studied by paying close attention to whether people talk about their offline lives (and how often). Methods and Informed Consent: This topic will be studied through a combination of participant observation and interviews or focus groups. Student researchers will create an avatar and spend time in the Second Life world, engaging in typical activities (walking and flying around, meeting people and chatting, attending events such as concerts and lectures, going to malls, etc.). As they participate in these worlds, researchers will examine how social relations are being formed and in what ways they differ from social relations in the real world. After they have gained rapport with other individuals through participant observation, they will invite individuals to participate in interviews and focus groups for targeted discussions of specific research issues. Elsewhere in this application (sections 6.2 and 6.5), I have described the mechanisms in place to protect people’s privacy and ensure informed consent in participant observation, interviews, and focus groups. Privacy / Confidentiality: In interviews and focus groups, researchers may inquire about broad demographic characteristics of the real-life people behind the avatar such as gender, age, and country where they live (to understand how far from reality people tend to deviate when creating their avatar), but their real life names, addresses, or any other identifying information will not be sought, and if interviewees prefer to not discuss their “real life,” then that will be respected by the researcher. When interviewing, researchers will use Second Life’s “chat” function so that no one else will see what is being typed, and in focus groups, the “group chat” function will be used, which restricts visibility of what is being typed to the designated group. HEC Application From Version 1 November 2005 23 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 [here I have included the text to be included in the profiles of student researchers] g. APPENDIX A h. APPENDIX B i. APPENDIX C j. APPENDIX D k. APPENDIX E l. APPENDIX F m. APPENDIX G n. APPENDIX H In reference to response “No” for “e. copies of any interviews …to be used”: Please note: once students who select this research project have come up with their own list of questions (guided by the broader research questions that I have included here), I will forward these to the Ethics Committee for approval before research begins. 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 24 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 25 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 26 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 27 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: 1. AN ETHNOGRAPHY OF A VIRTUAL ONLINE SOCIAL WORLD [Note: the virtual world proposed for study here is Second Life, because we are reading an ethnography of Second Life and because Linden Labs, the owners of SL, have an explicit policy allowing researchers to study SL after they have obtained consent from their local institutional ethics review committees. However, if you want to explore another virtual world or tool such as World of Warcraft or Sim City, you may do so but you will have to get the written approval of the owner(s) of the computer program (this can be in the form of an e-mail) and provide this to the Macquarie Ethics Committee as an addendum to the basic ethics application before you may begin research.] Tom Boellstorff poses this question: “How is everything from identity and community to property, place, and politics shaped the fact that human beings can how live parts of their lives in virtual worlds?” For this research project, you should pick an online social community and then think: methodologically, how would I research this world? There’s been quite a bit of research already being done on virtual social worlds (see Boellstorff’s book, Coming of Age in Second Life, for a literature review). Your challenge is to design a research project to narrowly examine one specific, interesting question. Here are some suggestions: - How are social norms enforced and violated, and how does that contribute to a sense of community? - What does identity mean in a massive multiplayer online role playing game when people can have alts or more than one person can control an avatar or toon? - What does embodiment mean in Second Life, where you can change your gender, body type, and skin color at will, where other players can even *give* you a new body type to “wear,” and you can buy a penis to use for cybersex? Do people change certain aspects of appearance – clothes, adornment, etc – more than others (e.g. body parts, skin color)? How often to people change their appearance? To what extent does an avatar’s appearance influence how people interact with that avatar? (This is something that Nick Yee and Jeremy Bailenson have studied with interesting results: see Dusan Writer, http://dusanwriter.com/?p=237 : “Nick Yee studied what he called the Proteus Effect of avatar appearance and representation on how we act and behave in virtual worlds. His study found, for example, that people with more attractive avatars were more intimate in self disclosure and interpersonal distance than those with less attractive avatars. Also, people with taller avatars behaved more confidently in a negotiation task than those assigned shorter avatars.”) - What religious or cultural rituals do people engage in, in cyberspace? HEC Application From Version 1 November 2005 28 - - What are the social norms for gift-giving in cyberspace, what are the norms of reciprocity, and how does this contribute to community and sociability in cyber worlds? (See the Daedalus Project, http://www.nickyee.com/daedalus/ : a researcher – not an anthropologist – has surveyed players of MMORPGs and found that when players recount one of the most memorable things that have happened to them online, they often talk about the generosity and kindness of other players who give them things for free and advise them on how to master that social world.) Are there coercive exchanges (c.f. Dibbell, below), and how are they handled or talked about? Or you could study partnering in Second Life: How does it happen, did online partners previously know each other in real life, and if not, how does it impinge on their real life worlds? What is the interface between Second Life and “real life”? Without probing this specifically by asking people about their offline personas (since you want to avoid violating their privacy), you might want to pay close attention to whether people talk about their offline lives (and how often), or do they avoid letting their offline lives impinge on their Second Life? Some recommended readings / resources: Donna Haraway, “A Cyborg Manifesto: Science, Technology, and SocialistFeministm in the Late Twentieth Century.” In Simians, Cyborgs, and Women: The Reinvention of Nature. Routledge, 1991, pp.149-181. Arturo Escobar, 1994. “Welcome to Cyberia: Notes on the Anthropology of Cyberculture.” Current Anthropology 35(3): 211-231. Julian Dibbell, “A Rape in Cyberspace,” in My Tiny Life, 1998, available online at http://www.juliandibbell.com/texts/bungle.html. Vili Lehdonvirta, 2008. “Virtual Worlds Don’t Exist.” Paper presented at Breaking the Magic Circle, Tampere, Finland, 10-11 April 2008. Available online at http://virtual-economy.org/files/Lehdonvirta-VWDE.pdf (retrieved June 17, 2008). Radhika Gajjala, Introduction and Chapters 1-2, Cyber Selves: Feminist Ethnographies of South Asian Women. Alta Mira Press, 2004, pp.1-27 Tom Boellstorff, 2008. Coming of Age in Second Life: An Anthropologist Explores the Virtually Human. Princeton: Princeton University Press. If you decide to do research on Second Life, Tom Boellstorff has set up a virtual space within Second Life for anthropologists doing research ON Second Life: http://slurl.com/secondlife/anteater%20island/72/107/24/ . See also recent discussions about Boellstorff’s book on http://www.savageminds.org . Tom Boellstorff, 2006. “A Ludicrous Discipline? Ethnography and Game Studies.” Games and Culture 1(1):29-35. Danah Boyd lists and links to her publications on Friendster, Flickr, and Facebook: http://www.danah.org/papers/ Lila Abu-Lughod, 1997. “The interpretation of culture(s) after television.” Representations 59:109-134. Nick Yee and Jeremy Bailenson, n.d. “The Proteus Effect: The Effect of Transformed Self-Representation on Behavior.” In press in Human Communication Research (see http://www.nickyee.com/pubs/Yee%20&%20Bailenson%20%20Proteus%20Effect%20(in%20press).pdf ). HEC Application From Version 1 November 2005 29 N. Baym, 1995. “The emergence of community in computer mediated communication.” In S.G. Jones (ed.) Cybersociety: Computer Mediated Communication and Community. Sage, pp.138-163. S. Correll, 1995. “The ethnography of an electronic bar: the Lesbian Cafe.” Journal of Contemporary Ethnography 24(3):270-298. D. Heath, 1997. “Locating genetic knowledge: picturing Marfan syndrome and its travelling constituencies.” Science, Technology and Human Values 23(1):7197. S.G. Jones, 1995. Cybersociety: Computer Mediated Communication and Community. Sage. George Marcus, 1995. “Ethnography in/of the world system: the emergence of multi-sited ethnography.” Annual Review of Anthropology 24:95-117. J. Radway, 1988. “Reception study: ethnography and the problem of dispersed audiences and nomadic subjects.” Cultural Studies 2(3):359-376. E. Reid, 1995. “Virtual worlds: culture and imagination.” In S.G. Jones (ed.) Cybersociety: Computer Mediated Communication and Community. Sage, pp.164-183. Christine Hine, 2000. Virtual Ethnography. Sage. Chris Kelty, 2005. “Geeks, Social Imaginaries, and Recursive Publics.” Cultural Anthropology 20(2): 185-214. A few anthro blog entries on the topic: http://neuroanthropology.net/2007/12/30/avatars-and-cultural-creole/ http://facebookproject.blogspot.com/ http://xirdal.lmu.de/cgi-bin/blosxom.cgi/2007/05/23 . HEC Application From Version 1 November 2005 30 Sample Information Note for Student Researchers to give to potential research participants to review prior to conducting any formal interview or focus group. Study information sheet for “An Ethnography of an Online Social World” Researcher: ____[name of student researcher AND student researcher’s avatar]_____, Student in the Masters of Applied Anthropology program of Macquarie University, Sydney, Australia – phone ___________________, e-mail ___________________. Research supervisor: Dr Lisa Wynn, Department of Anthropology (phone +61-2-98508095, e-mail lisa.wynn@mq.edu.au). You are invited to participate in a research study about social life inside of Second Life. The research procedure involves an interview that will last approximately 30-45 minutes. With your permission, the interview will be cut-and-pasted from the “history” window of the Second Life interface into a password-protected database. The only foreseeable discomfort associated with this study is the invasion of your privacy. There are no direct benefits from participating in the study. However, this study may help explain what new kinds of social relations are taking form in online environments like Second Life, and how they are similar to and different from forms of social life in the real world. Participation in this study is voluntary. You may refuse to participate or discontinue your involvement at any time without penalty. You may choose to skip a question as well as ask me not to include some or all of your responses in the text that I paste into my database. 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. I will never use your real screen name in any publications resulting from this study, and I will not be asking you for your real-life name. The only people who will have access to the data are myself and the research supervisor. 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. You can keep the “notecard” on which this information sheet appears. Because there is currently no way to sign a notecard in Second Life, by typing _______[student researcher’s avatar’s name]___ a message saying ‘I agree to participate in your study,’ you are saying that you understand this information and consent to participate. 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 Text to be included in any student researcher’s profile: I am a student in the Masters of Applied Anthropology program of Macquarie University, Sydney, Australia, e-mail ___________________. I am taking a class in research methods (ANTH 801, Methodology in Local and Community Studies) with Dr Lisa Wynn, Department of Anthropology (phone +61-2-9850-8095, e-mail lisa.wynn@mq.edu.au), and as part of this class, I am studying social life inside of Second Life. Most of what I do here in Second Life is what anthropologists call “participant observation.” That is, I just go about my normal business, doing things in Second Life and talking to people, and through this I gain insights into the social world of Second Life. Sometimes I also conduct formal interviews and focus groups with Second Life residents. As part of my participant observation, I may cut-and-paste the text of any local chats that I participate in or “overhear” in order to analyze and describe them later in my research paper. 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. I will never use anyone’s real screen name in any publications resulting from this study, and I will not ask anyone for their real-life name. The only people who will have access to the data are myself and the research supervisor. If you do not want me to record any conversations, or any part of a conversation, please let me know and I will respect that. If you do not want to be included in this study, send me a message telling me this and I will not include any information about you in my study. And if you have any questions or comments about this study, I’d love to hear them! 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. 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