Last Updated: 9.22.10 UNIVERSITY OF CALIFORNIA RIVERSIDE APPLICATION FOR APPROVAL TO USE HUMAN PARTICIPANTS (Application must be typed or Word processed - handwritten forms will not be accepted.) Investigator: David Funder Department: Psychology Title (e.g., student, professor): Professor Department Chair: Glenn Stanley Phone Number(s): ( 951 ) 827 -- 3938 Faculty Advisor (if applicable): Email(s): david.funder@ucr.edu Funding Source: Administrator (if applicable): Email(s): funder@ucr.edu Project Title: The International Situations Project Project Period: May 1, 2011 through June 1, 2013 **NOTE: Signatures are now required on the last page** ************************************************************************** NOTICE OF COMMITTEE ACTION *HRRB USE ONLY BELOW* The UCR Human Research Review Board has reviewed the proposed use of human participants in the project identified above and has approved the project with the following determinations: Risk: Minimal Category of Review (Indicate 45 CFR 46 Category): Exempt _____________ Expedited _____________ More Than Minimal Full Committee Review Consent: Signed Consent Form Documentation of Consent Not Required; waived per 45 CFR 46.117(c). The following consent procedures have been approved: Online Consent Statement Written Consent Statement (PI will Oral Consent Statement provide a hard copy to participants) No Consent Needed; waived per 45 CFR 46.116(d) Review Period: One Year _____________ Six Months_____________ ________________________________________________________ Dr. Augustine Kposowa, Chair / Dr. Rollanda O’Connor, Vice-Chair Human Research Review Board (HRRB) Other _____________ ____________________________ Date Approved FOR EXEMPT RESEARCH ONLY: ________________________________________________________ Designated HRRB Staff or Committee Member ____________________________ Date Approved 2 Application No. ______________________ Please submit one (1) typewritten copy of this application to the UCR Human Research Review Board (HRRB) in the Office of Research Integrity, University Office Building, Room 211 or 216. You do not need to submit your dissertation or abstract. Please do not staple any documents. For information about the Committee review dates or help with preparing the application itself, please contact the UCR HRRB, (951) 827-4811 or (951) 827-4861. *Cells will enlarge to fit contents. 1. PURPOSE: What are the specific aims of the research project? The specific aim of the proposed research is to advance methods for quantitative assesment of situations and their corresponding behaviors in the U.S. and cross-culturally. Although both personality and behaviors have been measured cross-culturally, the psychological properties of situations have not. Until recently, methods for the assessment of situations have simply been lacking. A major goal of this research is to quantify the experience of situations across cultures using the Riverside Situational Q-sort (RSQ; Wagerman & Funder, 2009), which was recently developed in our lab. The RSQ offers a wide-ranging vocabulary for situational description, and the proposed research is designed to take advantage of this methodological advance. We aim to measure real-life situations and their corresponding behaviors as reported by participants in our lab at UCR. The data we collect in our lab will be compared to similar data collected on-line in collaboration with13 labs outside the U.S. using our online website, www.internationalsituationsproject.com. Translated versions of the study will be made available when necessary. 2. PARTICIPANTS: a. Who will the participants be? Participants in our lab will be UCR undergraduate students. Volunteer participants will be sought by our international collaborators in 13 other countries. b. Will any participants be under the age of 18? If so, briefly provide more information regarding this special population, then complete Appendix A: Children, which can be found at http://or.ucr.edu/Home/Forms.aspx?T=2. No. c. Is English their dominant language for all the participants? If not, what is their dominant language? No. If all collaborators succeed in translating the materials and recruiting local participants, languages will include Spanish, Korean, Japanese, German, Italian, Greek, Dutch, Chinese, Persian, and Estonian. d. Will the participant population include any special populations such as language impaired or handicapped persons, the mentally disabled, prisoners, institutionalized persons or pregnant women? If so, briefly provide more information regarding this special population, then complete their appropriate appendices, which can be found at http://or.ucr.edu/Home/Forms.aspx?T=2. No. e. Describe how the participants will be obtained/recruited. (If you are using the Psychology Subject Pool, please complete 2f, below.) Attach any recruitment materials to your application (e.g., flyers, emails, script, etc.). For local participants, the study will be posted online using the Psychology Subject Pool. Students will then sign up for 1 credit and come to the lab at the scheduled time. Although the study is fully acccessible on the internet, participants will come to the lab one visit only, and then be granted credit after the completion of the study. International procedures will vary, but all will involve recruiting local volunteers. Each collaborator will be responsible for obtaining instituational approval for gathering data in his or her country, following any local procedures analogous to the American IRB process. f. Are you using the Psychology Department’s subject pool? Yes. I certify that I have read and am familiar with the procedures and policies approved in the UCR Dept of 3 Application No. ______________________ Psychology Subject Pool protocol (HS 08-045). Here is the text I will be using to recruit participants from the subject pool: INTERNATIONAL SITUATIONS STUDY. Participants are needed for a one hour session study. Participants will report a recent situation, and describe the properties of the situation and their behaviors in the situation. One credit will be granted at completion of the study. No g. Please indicate the maximum number of participants who will take part in this study. (Please note: If during the course of the study you anticipate exceeding this number, an amendment will need to be filed to increase the maximum number before the study can continue.) At UCR, 100 participants, 50 men and 50 women. At each international site, 50 men and 50 women. If these numbers change, amendments will be filed. h. Please provide a justification for the use of your proposed population. The proposed local population is the undergraduate student body at UCR. In part this is because research gathered by our collaborators will also utilize local student populations. One of the goals of this research is to compare our findings to those findings in other cultures. Although utilizing a college population limits generalizability of results, the inherently diverse student body of UCR provides an excellent sample compared to most college environments. The international samples will allow unique and unprecedented cross-cultural comparisons of situational experience. i. Will participants be compensated for their time? Describe the method, amount, and schedule of participant payment, if applicable. (Please see Attachment E, “Payment to Participants.”) No. j. Will participants personally incur any expenses as a result of participation (e.g., fuel), and if so, will they be compensated for these expenses? Describe the method, amount, and schedule of participant payment, if applicable. (Please see Attachment E, “Payment to Participants.”) No personal expenses will be incurred by participants. k. Additional Information Necessary for HRRB Review: Because of the complexity of coordinating this international project, procedures will be continually developed and refined. Significant changes in procedure will be reported, and approval requested, via amendments before any changes are implemented in data gathering at UCR. As recruitment methods are developed by each of our collaborators, they will be reported to the IRB in amendments before the data are used here at UCR. The intention of the present proposal is to obtain review and approval of the local procedures to be used to gather data at UCR, and to announce our intention to seek further approval, as needed, to use data gathered internationally. APPROVAL FOR INTERNATIONAL DATA GATHERING IS NOT REQUESTED AT THIS TIME. IRB approval will be sought, via amendments to this proposal, before data gathering begins at each international site. Local IRB-equivalent approvals, if available, will also be reported. 3. STUDY LOCATION: Where will the study take place? (Check all that apply.) On the UCR campus. Please provide room number(s) and/or a description of the location. Olmstead 2133. This is a psychology lab suite which consists of several rooms, furnished with tables, chairs, and computer workstations. Online (Please complete Appendix F, found at: http://or.ucr.edu/Home/Forms.aspx?T=2.) On at least one external site (not on the UCR Campus). Please provide the contact information for this site(s). Does the external site have its own IRB, and if so, has its IRB approved the research, or does it plan to rely upon 4 Application No. ______________________ UCR’s IRB? If the external site does not have its own IRB, has permission to conduct research at that site been sought and/or obtained? On many sites (multi-site); this study is a collaborative study being conducted with other PIs at other institutions. Describe the communication of information among those sites relevant to the protection of participants. Data gathering will occur on-line from, as currently planned, UCR along with 13 international sites. To our best understanding, each site has some kind of process similar to IRB approval, but we will also seek approval for the methods to be used (which will be highly similar across sites except for the language employed) through the UCR IRB process. The sites and contact persons are: 1) David Gallardo-Pujol, david.gallardo@ub.edu, University of Barcelona, Spain 2) Eunkook Suh, esuh@yonsei.ac.kr, Yonsei University, Korea 3) Tatsuya Sato, satotster@gmail.com, Ritsumeikan University, Japan 4) John Rauthmann, j.f.rauthmann@gmx.de, University of Innsbruck, Austria 5) Marco Perugini, PhD, marco.perugini@unimib.it, University of Milan, Italy 6) Yannis Tsaousis, tsaousis@psy.soc.uoc.gr, University of Crete, Greece 7) Macel van Aken, M.A.G.vanAken@uu.nl, Utrecht University, the Netherlands 8) Michael Harris Bond, mhb@cuhk.edu.hk, The Chinese University of Hong Kong, Hong Kong, China 9) Adil Al-Salihy, adil_alsalihy@yahoo.com, Baghdad University, Iraq 10) Japp Denissen, jjadenissen@gmail.com, Humboldt University, Germany 11) Ryan Hong, ryan.hong@nus.edu.sg, National University of Singapore, Singapore 12) Anu Realo, Anu.Realo@ut.ee, University of Tartu, Estonia 13) Yu Yang, Shanghai, China, connect2yu@gmail.com, China Europe International Business School, Shanghai, China Please note: APPROVAL TO GATHER DATA AT THESE SITES IS NOT BEING REQUESTED AT THIS TIME. The information above is provided to provide the IRB with an overall view of the intended project, and to provide a context for future amendments to be filed before data gathering begins at each international site. Also please note: It is possible that not all the sites above will be included in the final project. Additional Information Necessary for HRRB Review: t 4. PROCEDURES: Describe how participants will be involved in the study by answering the following questions and providing any additional information as necessary. a. Who will assist the investigator? Graduate student researchers and undergraduate research assistants. b. How often will the participants be involved? One session that is one hour long in duration. c. How long will participants be involved? One hour d. What data will be recorded and how? Please indicate what machines, equipment, and/or instruments will be used, if any. 5 Application No. ______________________ Participants' sdata will be coded with a subject number and no other identifying information. Data gathered will be participants' responses to survey questionnaires including basic demographic information. Responses gathered via Q-sort technique include the Riverside Behavioral Q-sort and Riverside Situational Q-sort. These data are in the form of a rank ordering of a series of statements. They will be collected on an online computer program that has been developed for our lab that sercurely saves the data directly to our website. The Measures: Computer workstations will be used to allow participants to record responses on our measures using the website. The measures given to participants are attached in the appendix and will be given to participants in the order in which they are described below: Demographics: participants will be asked basic questions about themselves such as their age, gender, ethnicity. The Riverside Behavioral Q-Sort Version 3.1 (RBQ: Furr et al., 2010), comprises 67 diverse characteristics of behaviors (e.g., “Appears relaxed and comfortable”; “Is expressive in face, voice, and gestures”). During their to the lab, participants will assess their behaviors by placing each item into one of nine categories (1 = extremely uncharacteristic, 9 = extremely characteristic) according to a forced choice, quasi-normal distribution, using the Qsorting computer program imbedded into the website. Thus, as is typical of the Q-Sort method, participants are forced to decide which few items are the most and least characteristic of the situation while the majority of less relevant, or even irrelevant, items are left to the middle categories. The Riverside Situational Q-Sort Version 3.14 (RSQ: Wagerman & Funder, 2009) , comprises 88 diverse characteristics of situations (e.g., “Talking is permitted, invited, or conventionally expected”; “Situation is potentially anxiety-inducing”). During their visit to the lab, participants will assess the situation they reported by placing each item into one of nine categories (1 = extremely uncharacteristic, 9 = extremely characteristic) according to a forced choice, quasi-normal distribution, using the Q-sorting computer program imbedded into the website. Thus, as is typical of the Q-Sort method, participants are forced to decide which few items are the most and least characteristic of the situation while the majority of less relevant, or even irrelevant, items are left to the middle categories. e. Please describe the procedures. Participants will arrive to the lab at their appointed time. They will be individually greeted by a trained undergraduate research assistant. The visit will begin with the research assistant telling participants that they have the right to withdraw their participation and data at any point, with credit for any participation time completed. The research assistant will log the participant onto the website using randomly assigned IDs to mask the identity of the person. The first page of the website contains the consent form, which the participant will read and agree to before proceeding. Once the participant has consented, he or she will be asked to report basic demographics. Then, the participants will be asked to report what they were doing the previous day at 7pm, using their own words. Next, instructions for using the Q-sorting program will appear. First, the participant will describe the situation using the Riverside Situational Q-Sort. Then, participants will describe their behaviors in that situation using the Riverside Behavioral Q-Sort. The final page will contain a debriefing form. Participants will be granted credit, and then asked if they have any questions or concerns about the study or the debriefing, thanked, and then released. f. If participants will see a study title that is different from the one in this application, please provide that study title. g. Additional Information Necessary for HRRB Review: 6 Application No. ______________________ None. 5. DECEPTION: Will deception be necessary? (For more information, please see Section 15.4:Deception in the UCR HRRB SOPs): No Yes. Please indicate the type of deception and provide a brief description of the deception and complete Appendix E, found at: http://or.ucr.edu/Home/Forms.aspx?T=2. Omission (an important aspect of the study is withheld from the participant) Commission (the participant is misled about the true purpose of the research) Provide a brief description of the deception: 6. RISKS: a. Determine what risks, if any, there might be to participants. Consider such risks as physical, psychological, social, financial, legal or political risks, and assess the likelihood of the seriousness of any of these risks. (“No risk” is not an acceptable answer. Please use “There are no foreseeable risks” as the lowest common denominator.) The only foreseeable risk could involve possible loss of privacy concerning the participants' reporting of their experience at behavior at a particular time. Past experience with similar methods suggests that this information is rarely if ever sensitive. b. Describe procedures that will be used to minimize potential risks to participants. On-line storage of data does not include names or other identifiable information, and all data is in pass-word protected data files. Research assistants are carefully instructed as to the maintenance of data confidentiality. c. Additional Information Necessary for HRRB Review: None. 7. RISK-BENEFIT RATIO: (This question MUST be answered) Activities involving human participants can be approved only if expected benefits outweigh potential risks. a. Describe possible benefits to each individual participant. Participants may find participation in research interesting and informative. b. Describe possible benefits to a class of participants, society in general, or the advancement of science. For the first time, we may be able to better understand what types of situations emerge across culures, and participants' corresponding behaviors. This will allow us to better understand cross-cultural differences in psychological experience and behavior. c. State your reasons for believing that the benefits of your proposed activity outweigh potential risks. The risk to the participants apepars minimal. Past research in our laboratory using similar procedures (e.g., Sherman, Nave & Funder, 2010; Letzring, Wells & Funder, 2006; Funder & Colvin, 1991) has revealed no ill effects of any kind. The potential scientific gains from this research are significant. d. Additional Information Necessary for HRRB Review: None 7 Application No. ______________________ 8. PRIVACY: *Privacy refers to how much a person (participant) has control over the extent, timing, and circumstances of sharing oneself (physically, behaviorally, or intellectually) with others. Describe the provisions to protect the privacy interests of participants by answering the following questions and providing any additional information as necessary. a. Where and when will the participant provide information? At UCR, participants' data will be collected in a lab environment using an online system that stores the data. Participants' identifying information such as name and student ID or contact information will only be associated with the scheduling book to organize giving of appropriate credit for participation. International procedures will be similar. b. Who is receiving this information (e.g., research assistants, PI)? Only trained research assistants in our lab assigned to this project will have access to participant information during the data collection process. After data collection is complete, graduate student researchers, professional research collaborators, and the principal investigator will have access to the data. NSF and other other federal regulations require that after primary analyses are completed, data must be made available on request to other qualified investigators. If such data sharing occurs, it will not include any individually identifiable information. c. Additional Information Necessary for HRRB Review: None. 9. CONFIDENTIALITY: *Confidentiality refers to the methods used to ensure that information obtained by researchers about their participants is not improperly divulged. Describe procedures to be used to maintain confidentiality by answering the following questions and providing any additional information as necessary. a. Are you collecting identifying information (e.g., names, addresses, phone numbers, birthdates, social security numbers, licenses, audio/video recordings)? If yes, please describe. Participants' names, contact information, and student ID numbers will be collected. Names and contact information will be collected for contact and scheduling purposes only. b. Who will have access to any identifying information and for what reason? Trained research assistants and graduate researchers will have access to identifying information during the conduct of the study. This information will be used to keep track of participant attendance and scheduling. Once the study is concluded, access to this identifying information will be limited to graduate researchers and PIs only. c. Where will the data be stored? Identifying information will not be stored with the data gathered in the study. The identifying information will only be used for scheduling participants and managing attendance. Once the study is completed, the identifying data will be archived in a secure location. The study (non-identifying) data will be separated from identifying data and only that will be used in analyses. d. Will the data be destroyed? If so, when? Identifiable data will be destroyed within three months of the completion of the study once it is confirmed that all participants have been awarded appropriate credit for participation. e. If findings are published or made public, how will the participants’ identities be masked? All data analysis will only use data sets that omit identifying data. Published or public reports of findings will be in terms of group statistics and general trends, and will not include any information that would allow an individual participant to be identified. 8 Application No. ______________________ f. Additional Information Necessary for HRRB Review: None. 10. CONSENT: Describe consent process by answering the following questions and providing any additional information as necessary. Please also provide a Consent Statement, even if this consent is to be presented to the participants verbally. For guidance on completing a consent document, please use the Consent Writer Program. a. Who will conduct the consent process? Trained research assistants. b. Where will consent be obtained? At the study location, before participants begin. Participants will agree to consent using the internet website and the site is designed so that no data can be collected until consent is granted. c. Do you plan to collect signed consent forms? Yes. A copy of the consent document is attached. (For more information about the consent document requirements, please go to http://or.ucr.edu/RI/Faq.aspx#47) No. Appendix I: Waiver of Consent (http://or.ucr.edu/Home/Forms.aspx?T=2) is attached. d. With what language will the consent document be administered? English, or the local language as appropriate. e. Will anyone other than the participant provide consent (e.g., parents, legally authorized representatives, etc.)? No. f. How long will the waiting period between informing the prospective participant and obtaining consent last? If the PI will lose contact with the potential participant during this waiting period, how will participants be recontacted? (Please consider Section 9: Confidentiality when answering this question.) There will be no break in the process. The information will be given to participants at the beginning of the session. The research assistant will encourage participants to read the consent form before they agree to make sure they understand. The research assistant will stay in the room and wait while the participants have the time to read the form. When participants are satisfied, and decide to consent, the research assistant will ask the participants to agree to the consent form before proceeding directly into the study. Participants will be given a copy of the consent document upon request. g. What steps are being taken to minimize the possibility of coercion or undue influence? The study follows a script using simple terms to explain that participants are free to stop participating in the study at any time, and that they may refuse to begin participation. The research assistant will also explain that they may refuse to answer any of the questions during the surveys if they do not wish to answer them. h. Additional Information Necessary for HRRB Review: None. 11. DEBRIEFING: This is only necessary if deception is involved, or if it is required by another entity (e.g., department subject pools). Please check here if participants will need to be debriefed, and attach a summary of any explanation of the purposes of this study that will be given to the participants after their participation. 9 Application No. ______________________ 12. ADDITIONAL REVIEW: To your knowledge, will this research require review by other UCR research compliance committees (i.e., IACUC, IBC, etc.) or other entities at UCR not under the control of the PI? If so, please indicate those under and provide a verification of an approval from those units. No. 13. RESEARCH INVOLVING CONFLICTS OF INTEREST (UCR SOP Sections 7.5.9 and 13.7): Conflict of interest occurs when project personnel, their spouses, dependent children, or domestic partners have a personal financial interest in the outcome of the research. For example, sometimes a research sponsor also serves as a director, officer, partner, or consultant for the research; or the researcher may own stock options, receive personal income, or receive loans or personal gifts from the research sponsor. If it is determined that you may have a conflict of interest, you may be asked to complete Appendix H, found at: http://or.ucr.edu/Home/Forms.aspx?T=2. Please answer the following questions. **Note that “No one” and “Not applicable” are acceptable answers. a. Who on the research team has or may have the conflict? No one. b. Who is the Sponsor(s) with whom the PI or research team member(s) has/have (or may have) a personal financial relationship? No one. c. What is the amount of this personal financial relationship (amount of equity, annual compensation, etc.)? None. d. Additional Information Necessary for HRRB Review: None. 14. PROJECT ROSTER: Please provide the names of all the individuals, INCLUDING THE PI(S), who will work on this project; LIST PI NAME FIRST. This page will not be made available to the public. Give a valid email address (UCR or your own) so that we can document training for regulatory agencies. Include all investigators, student employees, post-doctoral researchers, staff research associates, post-graduate researchers and technicians who will actually work experimentally. If you need more space, please attach additional names on a separate page. Federal regulations require that all UCR personnel participating in human participants’ research complete the UCR Human Subjects Tutorial before initiating research activities. The tutorial can be found at: http://www.ora.ucr.edu/appTutorial/TutorialClient/Introduction.asp and the person MUST register, complete the tutorial, print out the certification page and send it to the Office of Research Integrity. If a research assistant or collaborator has completed a similar tutorial elsewhere, please submit a copy of that institution’s certification. Completing the Human Subjects Tutorial at UCR or another institution is required and protocols cannot be approved without completion of it. The principal investigator is responsible for keeping this roster current. You must amend the protocol when staff are added or subtracted from this project. Submit protocol amendments electronically to Monica Wicker (mwro@ucr.edu), Office of Research Integrity. Last Name First Name (*LIST PI NAME(S) FIRST*) Date Tutorial Completed Email Address Funder David Fall 2004 david.funder@ucr.edu Todd Elysia Fall 2009 elysia.todd@email.ucr.edu Guillaume Esther Fall 2009 esther.guillaume@email.ucr.edu Bink Andrea 7/27/2010 abink001@ucr.edu 10 Application No. ______________________ Bowman Kevin 6/28/2010 kbowm001@ucr.edu Jay Melanie Winter 2010 mjay001@ucr.edu Nguyen Sophia 7/27/2010 snguy027@student.ucr.edu Wong Vanessa Fall 2010 vwong004@ucr.edu Anh Ho Un 06/29/2010 hahn003@ucr.edu Castro Patel De Leon Lilliana Ami Kevin 3/30/2010 Winter 2010 6/28/2010 lcast003@ucr.edu apate027@ucr.edu kdele005@ucr.edu 15. ATTACHMENTS: List all supplementary material to be considered a part of this protocol and paper-clip them to this application. Following are the kinds of attachments that are necessary to complete many applications. Please check all that apply, and/or add to this list as necessary. Informed consent statement (See Attachment C or the Consent Writer Program). Parent information letter to be used when minors are involved. Please note that parents must be informed and their permission obtained. Child assent (if necessary). Sample instruments including cover letters of introduction or sample dialogue. Authorization or letters of access from cooperating institutions, such as public schools, restricted housing, or businesses. Approval from another institution (another UC campus, a hospital, a school) assisting in the study when that institution is required to carry out an independent review of the use of human participants. Other(s): Debriefing for experimental participants. Appendix F (internet data). 11 Application No. ______________________ Assurances PI TO COMPLETE ONLY: I, the Principal Investigator, certify that: The study has been designed to protect the human participants. I understand that I am responsible for the scientific conduct of the research and for providing all reports and information to the HRRB as required. All members of the research team are appropriately credentialed to perform the work undertaken in the protocol. I and my research team are not in violation of UCR’s Conflict of Interest Policy while participating in the research. I will conduct the study identified above in the manner described on the attached narrative. If I decide to make any changes in the procedure, or if a participant is injured, or if any problems occur which involve risk or the possibility of risk to participants or others, I will immediately report such occurrences or contemplated changes to the UCR Human Research Review Board, Office of Research Integrity, University Office Building, Rooms 211 or 216, (951) 827-4811 or (951) 827-4861. _ _______________________________________________ _ Principal Investigator (PI) Signature Date ***** CHAIR/DIRECTOR/DEAN TO COMPLETE ONLY (cannot be the same as PI): I, the Chair/Director/Dean, certify that: The protocol application is scientifically sound and has scholarly merit. The investigator(s) are competent to conduct the research and protect the research participants. The investigator(s) have the resources needed to protect the research participants and to adequately pursue and complete the project. _ _______________________________________________ _ Chair/ Director/Dean Signature Date ***** IF THE INVESTIGATOR IS A STUDENT (FACULTY ADVISOR TO COMPLETE ONLY): I, the Faculty Advisor/Chair/Director/Dean of the student researcher, certify that: I have read and approved this protocol. I believe this is “research” as defined by DHHS (i.e., a systematic investigation designed to develop or contribute to generalizable knowledge). The student is competent to conduct the activity as described herein. _ _______________________________________________ _ Faculty Advisor Signature Date