Understanding Communication Research Methods PDF

 UNDERSTANDING COMMUNICATION RESEARCH METHODS Comprehensive, innovative, and focused on the undergraduate student, this textbook prepares students to read and conduct research. Using a...

 UNDERSTANDING COMMUNICATION RESEARCH METHODS Comprehensive, innovative, and focused on the undergraduate student, this textbook prepares students to read and conduct research. Using an engaging how-to approach that draws from scholarship, real-life, and popular culture, the book offers students practical reasons why they should care about research methods and a guide to actually conduct research themselves. Examining quantitative, qualitative, and critical research methods, the textbook helps undergraduate students better grasp the theoretical and practical uses of method by clearly illustrating practical applications. The book defines all the main research traditions, illustrates key methods used in communication research, and provides level-appropriate applica- tions of the methods through theoretical and practical examples and exercises, including sample student papers that demonstrate research methods in action. Stephen M. Croucher (Ph.D., University of Oklahoma) is a Professor of Intercultural Communication at the University of Jyväskylä in Finland. He researches immigrant cultural adaptation, religion and communication, quantitative methods, and conflict management/conceptualization. He is the recipient of numerous conference top paper awards, has authored dozens of journal articles and book chapters, authored/co-edited four books, and given keynote addresses in more than 15 countries. He has explored communication traits and behaviors on five continents. He has served as the editor of the Journal of Intercultural Communication Research and Speaker & Gavel. He is active in the International Com- munication Association, National Communication Association, and the World Communication Association. Daniel Cronn-Mills (Ph.D., University of Nebraska) is a Professor of Communication Studies at Minnesota State University, Mankato. He has broad and ranging research interests in religion and communication, intercollegiate forensics, and rhetoric. He has authored numerous journal articles, book chapters, and books. He is a former editor of Speaker & Gavel and served on the review board of more than a dozen scholarly journals. He is active in the National Communication Association, the American Forensic Association, and the Communication and Theater Association of Minnesota. 6241-0534-0FM.indd i 9/12/2014 8:12:49 PM  This page intentionally left blank 6241-0534-0FM.indd ii 9/12/2014 8:12:50 PM  UNDERSTANDING COMMUNICATION RESEARCH METHODS A Theoretical and Practical Approach Stephen M. Croucher and Daniel Cronn-Mills 6241-0534-0FM.indd iii 9/12/2014 8:12:50 PM  First published 2015 by Routledge 711 Third Avenue, New York, NY 10017 and by Routledge 2 Park Square, Milton Park, Abingdon, Oxon, OX14 4RN Routledge is an imprint of the Taylor & Francis Group, an informa business © 2015 Taylor & Francis The right of Stephen M. Croucher and Daniel Cronn-Mills to be identified as the authors of the editorial material, and of the authors for their individual chapters, has been asserted in accordance with sections 77 and 78 of the Copyright, Designs and Patents Act 1988. All rights reserved. No part of this book may be reprinted or reproduced or utilized in any form or by any electronic, mechanical, or other means, now known or hereafter invented, including photocopying and recording, or in any information storage or retrieval system, without permission in writing from the publishers. Trademark Notice: Product or corporate names may be trademarks or registered trademarks, and are used only for identification and explanation without intent to infringe. Library of Congress Cataloging-in-Publication Data An introduction to community development / edited by Rhonda Phillips, Robert H. Pittman. — 2 Edition. pages cm Includes bibliographical references and index. 1. Community development. 2. Economic development. I. Phillips, Rhonda, editor of compilation. II. Pittman, Robert H., editor of compilation. HN49.C6I554 2014 307.1'4—dc23 2014015459 ISBN: 978-0-415-83310-3 (hbk) ISBN: 978-0-415-83311-0 (pbk) ISBN: 978-0-203-49573-5 (ebk) Typeset in Classical Garamond by Apex CoVantage, LLC. 6241-0534-0FM.indd iv 9/12/2014 8:12:50 PM  CONTENTS Acknowledgments vii PART I Introduction to Research and the Research Paradigms 1 1 Introduction 3 2 Research Ethics 11 3 The Social Scientific Paradigm 40 4 The Interpretive Paradigm 50 5 The Critical Paradigm 59 6 Literature Review 73 PART II Research Design 87 7 Data 89 8 Evaluating Research: Warrants 105 9 Hypothesis and Research Questions 117 PART III Research Methods 131 10 Ethnography 133 11 Interviewing 155 12 Focus Groups 173 13 Qualitative Data Analysis 195 14 Content Analysis 205 15 Surveys 222 16 Descriptive Statistics 238 17 Inferential Statistics 261 18 Experimental Design 292 19 Rhetorical Criticism 310 20 The Process of Critique 326 References 338 Index 353 6241-0534-0FM.indd v 9/12/2014 8:12:50 PM  This page intentionally left blank 6241-0534-0FM.indd vi 9/12/2014 8:12:50 PM  ACKNOWLEDGMENTS Stephen: I want to thank my family, friends, and students for their support while writing this book. I especially want to thank Shawn for all that you do. My life is complete with you in it. Dan: First, I thank Kirstin and Shae for all their support through this amazing project. Second, thanks to Jim for joining us for a couple of chapters. Finally, thanks to Stephen for another great opportunity to write together. Always a treat. 6241-0534-0FM.indd vii 9/12/2014 8:12:50 PM  This page intentionally left blank 6241-0534-0FM.indd viii 9/12/2014 8:12:50 PM  PART I INTRODUCTION TO RESEARCH AND THE RESEARCH PARADIGMS 6241-0534-PI-001.indd 1 9/4/2014 6:13:46 PM  This page intentionally left blank 6241-0534-PI-001.indd 2 9/4/2014 6:13:47 PM  1 INTRODUCTION Chapter Outline Why Take Research Methods? Key Terms to Start Course Outline of the Textbook Key Steps & Questions to Consider Key Terms Welcome to Communication Research Methods Sir Edmund Hillary (1919–2008), a New Zealand-born explorer, mountain climber, and philanthropist, is best known for being the first confirmed person to reach the summit of Mt Everest in 1953. Hillary sought out new areas of exploration and challenges, and also devoted a great deal of his efforts to building schools, hospitals, and other facilities for the Sherpa people of Nepal. He was known for believing all people are capable of great things. In fact, he is known for saying, “I have discovered that even the mediocre can have adventures and even the fearful can achieve.” The authors of this textbook agree with this sentiment when thinking about research methods. All too often we see students who do not naturally take to research and, for a variety of reasons, show a great deal of fear. Fear is natural with anything. However, we have seen all kinds of students excel in a communication research course, including those who did not think they would ever “reach the summit.” The key is to look at learning research methods, as corny as it may sound, as a journey. You will confront challenges, face frustrations, celebrate victories, and possibly experience some losses. Yet, in the end, we can all achieve and enjoy the journey. Look around the room next time your class meets and you will see other people just like you. You are not alone in this journey. Enjoy the trip—let this textbook serve as your roadmap and your teacher as your Sherpa guide. As you start your research journey, we should first establish a few good reasons to study com- munication research methods, second identify key terms to help you progress 6241-0534-PI-001.indd 3 9/4/2014 6:13:47 PM  4 INTRODUCTION TO RESEARCH PARADIGMS quickly as a communication scholar, and finally provide an overview for the rest of the chapters in the textbook. Why Take Research Methods? You may be studying communication research methods because the course is required for your major or degree program. However, one of the things Dan and Stephen do whenever they teach research methods, and we are sure is one of the things your instructor does as well, is discuss the academic and practical (they often overlap) importance of research methods. Let’s first talk about the academic benefits. First, research methods will improve your ability to locate, critique, and use academic materials. In many research classes, students have to look up information on a subject. With the university library and the Internet at your disposal, you can find stacks of information. The key is to know what is “good” information. This kind of class will help. Second, you will likely have to write one or more papers in the course. Stephen and Dan have their students conduct research papers of various lengths. The students are graded on content, ability to follow a research design, and on their writing abilities. Effective writing is important. If we have the best ideas but cannot communicate them properly, our ideas lose merit. Third, as you progress through your research methods course and your program of study, you will be introduced to a variety of concepts. Critical analysis of new concepts is important. What we mean by critical analysis: 1) know what it means, 2) evaluate it, and 3) make a judgment about it. In this type of class you will learn some of these skills, particularly when you learn about concepts such as reliability, validity, and claims. Critical thinking is a great skill to have and crosses into every aspect of life. Learning research methods has practical reasons and benefits. All teachers of research methods have stories about students who have taken the skills into other avenues of their lives. Stephen recently spoke with a former stu- dent of his who is now a Coordinator of Human Resources for a group of 15 hospitals. This student told Stephen: Research skills are integral to my responsibilities. I would be lost without them. Every day I need to make our hospitals better places to work. To do this I regularly propose new programs to the Board. When I do this, I have to be perfect in my proposal... the numbers have to add up, and it must be well-written. I constantly ask questions such as: is this plan valid, are the measures reliable? My team and I regularly do reviews of current literature to see the state of our industry, we always are analyzing data, and constantly writing reports. I am grateful I took this course. Whenever I interview applicants, this is one thing I look for... research skills. A former student of Dan’s had plans to become a pharmaceutical sales representative. She conducted a research project while a student that focused 6241-0534-PI-001.indd 4 9/4/2014 6:13:47 PM  INTRODUCTION 5 on the communication interactions between sales reps and physicians. She conducted extensive communication-focused interviews with reps and doc- tors, and was able to identify the strengths and weaknesses of what occurred when the groups met. She was able to take her findings and effectively use the results to advance her professional career. A second student of Dan’s worked at a popular local restaurant during college. The restaurant had a high rate of employee turnover. The restaurant was constantly hiring new staff. The student conducted a study, with permis- sion of the restaurant management, comparing communication expectations between staff and various levels of management. The student identified several levels of mismatched expectations. The findings helped the restaurant sig- nificantly improve communication and greatly reduce employee turnover. The student listed the research report on his résumé. During his first post- graduation interview, the potential employer was intrigued by the study and they spent more than an hour discussing the research project during the interview. It seemed that the potential employer was also frustrated with their rate of employee turnover! With each of these students, and many others, research methods enabled them to better communicate (e.g., prepare presentations, reports), understand the professional world, and compete in the world after graduation. As you can see, taking this course has lots of practical benefits. With these benefits in mind, let’s move forward on this journey. Before we begin learning about research methods there are a few key terms we should define. A Few Key Terms to Start the Course Many of you may have already taken a basic communication course of some kind, while some of you may not have taken such a course. Either way, it is always nice to review a few terms that will be used in this book that were introduced in the basic communication course. The first term we want to define is communication. There are so many definitions we could provide of communication. In this text we provide one definition. Communication is a process of sharing meaning with others. There are a few elements of this definition that should be explained. A process explains how in com- munication there is a sender, a message, and a receiver. When the receiver provides feedback (a response of some kind), a transaction occurs between the communicators. Think about a conversation: person A (the sender) says “Hi” (the message). Person B (the receiver) receives the messages and responds with “Hi.” This is the classic sender–receiver model. However, not all com- munication involves a direct response like the example we just provided. In some cases person B may just nod (a non-verbal response), or in other cases person B may not respond at all. When there is no response, you have one- way communication or unilateral communication. Another key element of this definition is the idea of sharing meaning. When we “communicate” we are sharing something with others, whether 6241-0534-PI-001.indd 5 9/4/2014 6:13:47 PM  6 INTRODUCTION TO RESEARCH PARADIGMS we intend to or not. You may have heard the saying, “you cannot not com- municate.” What this means is that we are always communicating, even when we do not mean to communicate. The sending of messages to others, either verbally or non-verbally is always happening. If you sit in the back of the room and you cross your arms and you look away from the instructor, what are you communicating? Well, to non-verbal researchers you might be com- municating that you are uninterested. Maybe you are not, but our body language tells a lot about what we are thinking or feeling. Ultimately, the thoughts or feelings we intend to or do not intend to share with others is done through this sender–receiver process we call communication. We will not go further into defining communication, but we wanted to provide a preliminary definition of this process, particularly as this textbook focuses on communication research methods. A second key term to define is communications. Communications is a technological system for the transmission of information. Examples of com- munications systems include telephone, cable, television, fiber optics, the Internet, etc.... There is a key difference between communication and communications. Communication is a human process of sharing meaning with others; communications is a technological system for the transmission of information. Stephen and Dan both know professors and industry profes- sionals who are very particular about this difference, so make sure you know the difference. The third term we want to define is theory. A theory is a formal statement of rules on which a subject is based or an explanation of the relationship between variables. In essence, a theory is a statement that is intended to explain facts in the social or scientific world. If we look to social sciences or humanities, where communication is located, you will find various ways to approach theory. Chapters 3–5 each discuss different ways that commu- nication researchers define and approach the study and research of “theory.” The fourth term is research. Research is the detailed or in-depth study of a subject (often a theory) to reach a greater understanding or to obtain new information about the subject. This is what you will be doing in this class, in other classes, and in life, when asked to do research; you will be reaching a greater understanding or obtaining new information about a subject (like a theory). The fifth term is method. A method is a systematic technique or procedure used to conduct research. In Chapters 10–20 of this textbook we describe various methods you can use in communication studies. Each of the methods is slightly different; however, each of the methods is systematic. Each has particular “rules” or guiding principles you need to follow. Hopefully, as you read through the textbook you will find one or more methods that “speak to you.” The final term is methodology. While method and methodology may sound similar, they are quite different. Methodology is the study of one or 6241-0534-PI-001.indd 6 9/4/2014 6:13:47 PM  INTRODUCTION 7 more methods. A method is how you conduct your research, for example, using interviews to collect data for your project. Methodology is the study of interviews as a method. In a methodology, you would explain what makes interviewing an appropriate choice for your research, what is the history of interviewing as a method, what was your data analysis technique, etc.... Essentially, in a methodology you discuss the theory behind the method. So remember, the method is the “how to,” and the methodology is the theory behind the method. Outline of the Book Whenever we approach a textbook, we think it’s a good idea to know what we are getting into. We like to know the format of the text and what we will be reading. This textbook is divided into three main parts: 1) Introduction to Research and the Research Paradigms, 2) Research Design, and 3) Research Methods. At the end of each chapter you will find a list of activities, discus- sion questions, and key terms to help clarify each chapter. The first part, “Introduction to Research and the Research Paradigms,” has six chapters. The chapters define the various approaches to research (paradigms) and discuss ethical practices in research. “Chapter 1—Introduc- tion” (you are reading it right now) is a brief introduction to key terms, discusses reasons for taking research methods, and outlines the other chapters in the textbook. “Chapter 2—Research Ethics” presents ethics in research and defines ethics, outlines the development of ethics in the scientific com- munity, discusses ethics and human subjects, and explains the importance of and how to follow ethical practices in schoolwork and scholarly research. “Chapter 3—The Social Scientific Paradigm” presents the first of the three research paradigms. The chapter defines the social scientific paradigm, dis- cusses the development of the paradigm, and outlines key questions underlying this paradigm. “Chapter 4—The Interpretive Paradigm” presents the second of the three research paradigms. The chapter defines the interpretive para- digm, discusses the development of the paradigm, describes the three main approaches to theory and method within this paradigm, and outlines key questions supporting this paradigm. “Chapter 5—The Critical Paradigm” presents the third of the three research paradigms. This chapter defines the critical/cultural paradigm, discusses the development of the paradigm, describes approaches to theory and method within this paradigm, and outlines key questions for the paradigm. “Chapter 6—Literature Review” explains why studies need a review of literature and discusses the process of choosing literature for a review, and describes how to write a review. The second part, “Research Design,” has three chapters. These chapters address issues related to what is data, how we evaluate research, and what constitutes hypotheses and research questions. “Chapter 7—Data” explores research data. The chapter describes the various sources of data, defines data sampling, explains the various data collection settings, and discusses the different 6241-0534-PI-001.indd 7 9/4/2014 6:13:47 PM  8 INTRODUCTION TO RESEARCH PARADIGMS levels of measurement (types of variables) available. “Chapter 8—Evaluating Research: Warrants” discusses the various approaches to evaluating what is considered “good” research. The chapter describes warrants for social scientific research, interpretive research, and critical/cultural research. “Chapter 9— Hypothesis and Research Questions” describes hypotheses and research ques- tions. The chapter describes the reasoning behind hypotheses and research questions, explains when to use what kind of hypothesis and/or research question, discusses how to test hypothesis and/or research questions, defines error, and provides a case study that applies the principles learned in the chapter. The third section, “Research Methods,” has 10 chapters. Each chapter introduces you to different methods you can use to explore, test, or analyze phenomena, theory, or questions you might have. At the end of most chapters (except Chapters 13, 15, and 18), you will find an example student paper of the method discussed. These are real student papers written in a class like the one you are taking now. “Chapter 10—Ethnography” guides you in learning how to conduct eth- nographic research. The chapter defines ethnography and the different approaches to ethnography, explains how to make claims with each approach, how to collect and analyze data, what makes “good” ethnographic research, and provides a student paper example of ethnographic research. “Chapter 11— Interviewing” helps in learning how to conduct studies using interviews. The chapter defines interviewing and the different approaches to interviewing, describes data collection and grounded theory as a form of data analysis, and provides a student paper example of interviewing. “Chapter 12—Focus Groups” helps develop skills to conduct focus groups. The chapter defines focus groups and explains why they are used, describes how to prepare and conduct a focus group, outlines the advantages and disadvantages of focus groups, and provides a student paper example of focus group research. “Chapter 13—Qualitative Data Analysis” focuses on the various ways you can analyze qualitative data. The chapter explains grounded theory and the alternative methods of qualita- tive analysis, discusses the strengths and weaknesses of grounded theory, and provides a grounded-theory exercise. “Chapter 14—Content Analysis” guides you in learning how to conduct research using content analysis. The chapter defines content analysis, data, how to develop categories, and units of analysis. The chapter then explains coding, pilot testing, reliability, and data analysis, and concludes with a student paper example of content analysis research. “Chapter 15—Surveys” helps you better understand the function of surveys. The chapter describes surveys, why they are used, survey creation, survey delivery, and data analysis. Finally, the chapter explains the advantages and disadvantages of surveys. “Chapter 16—Descriptive Statistics” breaks down the purpose of and the uses of statistics to organize and describe data. The chapter defines visual data, measures of central tendency, variability, distribution, and provides a student paper example that uses descriptive statistics and survey research. 6241-0534-PI-001.indd 8 9/4/2014 6:13:47 PM  INTRODUCTION 9 “Chapter 17—Inferential Statistics” illustrates how statistics can be used to test for differences, relationships, and prediction. The chapter explains the foundations of inferential statistics, tests of mean differences, tests of rela- tionships and prediction, and provides a student paper example that uses inferential statistics. “Chapter 18—Experimental Design” focuses on helping you better understand the purpose of experiments. The chapter defines experimental design, explains experiment preparation, variable selection, experimental design types, validity threats, and data analysis. Chapter 18 unfortunately does not have a student paper because neither Dan nor Stephen has had a student in an undergraduate class who has conducted an experi- ment for their undergraduate research methods class. Although we contacted various teachers for examples, we could not find an example that was well- written, was in communication, was written by an undergraduate, and was a “true” experiment. If you happen to write a paper that you think fits and should be published in the next edition of this book, let us know! “Chapter 19—Rhetorical Criticism” guides you in learning how to conduct rhetorical criticism. The chapter defines rhetoric, rhetorical criticism, and the various approaches to rhetorical criticism, explains how to conduct a rhetorical criticism, and provides a student paper example of a rhetorical criticism. “Chapter 20—The Process of Critique” guides you in learning how to conduct a critical/cultural study. The chapter explains the critical/cultural method, discusses various approaches, explains how to conduct a critical/ cultural study, and provides a student paper example of a critical/cultural critique. Summary In this chapter, we explored the terrain of this course. Every class should be an adventure. Communication research methods are a process where you will exchange ideas on how to study a variety of different subjects. You will leave this class more prepared for your academic and non-academic lives. In the next chapter we examine research ethics. As budding communication scholars, it is essential to start off on the right foot and understand the ethi- cal principles of research. Key Steps & Questions to Consider 1. Communication is a process of sharing meaning with others. 2. Communications is a technological system for the transmission of information. 3. There is a difference between communication and communications. Com- munication is a human process of sharing meaning with others; communi- cations is a technological system for the transmission of information. 4. A theory is a formal statement of rules on which a subject is based or an explanation of the relationship between variables. 6241-0534-PI-001.indd 9 9/4/2014 6:13:47 PM  10 INTRODUCTION TO RESEARCH PARADIGMS 5. Research is the detailed or in-depth study of a subject (often a theory) to reach a greater understanding or to obtain new information about the subject. 6. Method is the systematic technique or procedure used to conduct research. 7. Methodology is the study of a method, or of multiple methods. 8. The method is the how to, and the methodology is the theory behind the method. Key Terms Communication Method Research Communications Methodology Theory 6241-0534-PI-001.indd 10 9/4/2014 6:13:48 PM  2 RESEARCH ETHICS Chapter Outline Ethics Defined and Cultural Differences Development of Ethics in the Scientific Community Ethics and Human Subjects Importance of and How to Follow Ethical Practices in Schoolwork and Scholarship Key Steps & Questions to Consider Activities Discussion Questions Key Terms Sample IRB Application What Will I Learn About Ethics? Whenever a character in fiction wrestles with temptation, you commonly see two mini-me’s on each shoulder. On one shoulder is an angelic version instructing the person to act in appropriate ways. On the other shoulder is a devilish version encouraging the person to act in inappropriate ways. Countless examples occur in advertising, film, literature, and music. The contrasting figures wage a battle of ethics. This is a battle called Psychoma- chia that is for our minds, attitudes, and behaviors. As we determine right from wrong we must weigh up three things: the id, the superego, and the ego. The id (personified as the devilish one) is our basic unconscious instincts. The id has no moral judgments of anything, no sense of morality; the id just acts on pleasure. The superego (personified as the angelic one) is our unconscious critical thinking-conscience based on what is socially acceptable. The ego (the primary person the two figures stand on) is the closest thing to the human mind. The ego is driven by the id and confined by the 6241-0534-PI-002.indd 11 9/4/2014 6:13:30 PM  12 INTRODUCTION TO RESEARCH PARADIGMS superego. The ego tries to balance the two to make the most appropriate decision. The Disney tale Pinocchio is a classic example of the balance or battle between the id and the superego. Honest John is Pinocchio’s id, a swindler who encourages Pinocchio to become an actor and gets him shipped off to Pleasure Island (a place where boys are turned into donkeys). Jiminy Cricket serves as Pinocchio’s superego, providing the young boy/puppet with sage wisdom, such as “go to school,” “don’t lie,” and “always let your conscience be your guide.” Pinocchio must negotiate for himself various perspectives of right and wrong in order to survive the challenges. At the heart of decision-making is ethics: weighing the actions and values that are right and wrong. Ethics are basically the thought processes we go through to determine what are the appropriate actions to take in life. Ethics are all around us and they affect us every day. To understand the nature of ethics, particularly in research, we need to know: 1) what are ethics, 2) how do ethics relate to schoolwork, and 3) how do ethics affect academic research? We explore these questions and others in Chapter 2 in our discussion of ethics. Ethics Defined and Cultural Differences Ethics has many different definitions. Aristotle considered ethics as living well and doing good things. Quintilian, a Roman orator, identified a clear relationship between communication and ethics when he defined an ethical man as one who speaks well. English philosopher Thomas Hobbes in his 1651 book Leviathan described ethics as the actions one takes in order to maintain a social contract in society. In Leviathan, Hobbes praised ideas such as autonomy, preservation of relationships, justice, and fairness. All of these ideas are essential for maintenance of the social contract, which is an ethical aspect of life. The Cambridge Dictionary of Philosophy defined ethics as the “principles of right and wrong that govern our choices and pursuits” (Audi, 1999, p. 286). Arnett, Harden Fritz, and Bell (2009) defined ethics as “prac- tices that enact or support a good, a central value or set of values associated with human life and conduct” (p. xii). We define ethics as the actions, thoughts, values, principles, and communicative practices one enacts in determining how to interact with and treat others. If you were to write a paper on ethics, paying particular attention to how Western (European and North American for example) scholars conceptualize ethics, you would find many of the same attributes as outlined in Leviathan. An ethical person, from a Western perspective, is one who typically upholds justice, fairness, the preservation of relationships, and autonomy (Pojman, 2005). Let’s take a closer look and compare the two largest religious popula- tions in the world today—Christianity and Islam. The emphasis among Christians for such qualities in an ethical person stems from the Bible and the teachings of Jesus Christ (Croucher, 2011). The 39 books of the Old 6241-0534-PI-002.indd 12 9/4/2014 6:13:30 PM  RESEARCH ETHICS 13 Testament provide a litany of rules, or ways one should live one’s life to be a “good” or “ethical” Christian. While many Christians do not follow every- thing in the Old Testament, the rules and laws set forth paint a picture of what was meant at the time of the Testament’s writing of what was needed to be “good” (Croucher, 2011). For many Fundamentalist Christians (strict followers), many aspects of the books hold true as roadmaps to ethical behavior and salvation. The 27 books of the New Testament describe, among many things, the importance of autonomy, preservation of relationships, justice, forgiveness, and fairness in order to be a “good” or “just” person. In the New Testament, readers are taught that these values and actions lead to salvation. These actions and values have served as the bedrock of classical and modern Western thought on ethics (Croucher, 2011). Traditional ethics in Islam, the second largest religious group in the world, differs a bit from traditional Christian ethics. Traditional Islamic ethics is based on the Koran and the teaching of the Prophet Muhammad. Three principles are of keen importance—forgiveness, shame, and patience. The Koran states that Allah (God) is forgiving and merciful. Thus, forgiving an individual who wrongs you is more valued and ethical than to demand justice and or punishment (Croucher, 2011). The tenets are similar to the Christian philosophy, “To err is human, to forgive divine.” Shame is a trait of an ethical person, particularly in conflict situations. Let’s say you have been disrespected in some way; it is easy to remain upset instead of being a better person and trying to work out the problem. The ethical solution is to work through the conflict with the person, maybe using a third party to avoid shame for all parties involved. An escalation of conflict only brings more shame to all involved. Patience is an important part of the Islamic ethic. One should not rush to judgment. One should contemplate a situation, pray for God’s guid- ance, and seek the help of a third party if needed in situations. A decision should be based on a logical, patiently thought out plan. The different approaches to ethics between these two religious groups reveal various ways to think about “What is ethical?” With a basic understanding of what is ethics and how religious beliefs have shaped views of ethics, the next section traces the relationship between ethics and the scientific community. While not emphasized as much in the film, the original tale of Pinocchio written by Carlo Collodi in 1883 is filled with Christian ethical guide- lines. One of the 10 commandments is to honor your father and mother. Pinocchio violates this when he does not obey his father/maker Geppetto. His unethical decision to disobey Geppetto leads Pinocchio down a spiral of chaos and trouble, where he starts smoking, is kidnapped, grows donkey ears, and so forth. Had Pinocchio been ethical and followed his father’s requests; who knows what would have happened. The story of course would not have been the same. 6241-0534-PI-002.indd 13 9/4/2014 6:13:30 PM  14 INTRODUCTION TO RESEARCH PARADIGMS Ethics and the Scientific Community The place of ethics in philosophy, science, and medicine used to be a much more contentious issue than it is today. Philosophers like John Locke and John Stuart Mill argued that ethical concerns had no real place in science because ethical issues belonged more to a priori knowledge (or knowledge independent of experience and evidence). For philosophers like Locke and Mill, science should be amoral, detached, and separate from moral obligations to best ascer- tain truth. These scientists were responding to fears that gripped the scientific community in the days of Copernicus and Galileo. Science was silenced by the Catholic Church because scientific discoveries and knowledge questioned or challenged Catholic doctrine. A fear of scientific knowledge being hindered by religious dogma, or other such “moral” or “ethical” principles, led philosophers like Locke and Mill to call for scientists who were amoral. Mary Shelley’s 1818 novel Frankenstein; or the Modern Prometheus can be interpreted as a challenge to what Locke, Mill, and Max Weber were calling for with amoral science. For Shelley, when science is amoral, we are left with a Frankenstein monster. Mill (1861/1957) disagreed with Shelley concerning the place of morals or ethics in science. His philosophy of utilitarianism proposed a very different view of science or research than Shelley’s Frankenstein monster. He asserted that indi- viduals should have full liberty except in harming others. The concept of utili- tarian ethics, which stems from utilitarianism, means one should have full freedom to conduct research, as long as the benefits of the research outweigh the potential harms of the research (Christians, 2000). While medical and scientific research blossomed in the 18th and 19th cen- turies, the utilitarian ethic was misconstrued quite a bit in the 20th century. During World War I, medical researchers working for the United States, Ger- many, France, the United Kingdom, and other European powers experimented on humans with various chemical and biological agents. Researchers and gov- ernments argued that such experiments were carried out to better advance science and to protect national security. In World War II, Nazi doctors and Japanese doctors both conducted numerous experiments on prisoners. Such experiments explored pain thresholds, responses to poisons and temperatures, injecting individuals with viruses, and many other experiments. Numerous doctors were tried for crimes against humanity at Nuremberg for unethical and inhumane treatment of humans during World War II. The doctors argued they were following orders or that the work was for the benefit of mankind. Numerous instances exist in the history of the United States during the 20th century in which researchers and doctors violated numerous ethical principles in the “name of science.” For example, from the 1930s to the 1970s, black men in Tuskegee, Alabama who had syphilis were told they did not have the disease and were refused counseling for the disease. Many of these individuals were airmen in the U.S. military. Many other men, and some women, were intentionally injected with the disease. The purpose of the experiments was to study the progression of syphilis. The experiments lasted until the 1970s (Kampmeier, 1972). Countless people died and 6241-0534-PI-002.indd 14 9/4/2014 6:13:30 PM  RESEARCH ETHICS 15 generations of lives were affected by U.S. government-sponsored experiments. In 1963, Drs Southam and Mandel at the Jewish Chronic Disease Hospital in New York injected 22 debilitated patients with live cancer cells without their consent (Mulford, 1967). The physicians were interested in exploring the effects of cancer on the human body. In the social sciences, researchers have also been questioned about their ethics. The 1961 Milgram experiments at Yale University explored individu- als’ obedience to authority figures. While the experiment offered valuable insights into people’s behaviors under pressure from authority, the techniques used by Milgram and his colleagues have been deemed less than ethical (Baynard & Flanagan, 2005). The psychological stress suffered by many of the participants is something you do not want when conducting research. The 1971 Stanford Prison Experiment is another classic example of a psy- chological experiment run amuck, ethically speaking. The experiment con- ducted by Philip Zimbardo concluded that, given the right circumstances, just about anyone’s personality could shift from follower to leader, and vice versa (Stolley, 2005). These results are of particular interest in contexts such as the military and prisons. The study, which examined conflict between superiors and subordinates, was wrought with problems, such as physical abuse between participants and poor debriefing of participants. (We will talk about debriefing later in the chapter.) In response to many of these incidents (Tuskegee in particular), the National Commission for the Protection of Human Subjects of Biomedical and Behav- ioral Research, a federally funded Commission, was created in 1974. This Commission met and wrote the Belmont Report, in which they outlined ethical guidelines and principles for research with human subjects. Three key principles were identified in the report regarding human subjects: 1) respect for individuals, 2) beneficence, and 3) justice. Along with these three guiding principles, the Belmont Report and the federal government required all organizations receiving federal funds to have an Institutional Review Board (IRB). IRBs monitor, direct, and are responsible for enacting codes of con- duct. Every American university/college has an IRB. IRBs consist of faculty members from diverse backgrounds (sex, ethnic, race, or discipline). An IRB needs faculty with various methodological and theoretical specializations. An IRB needs to have at least one member on the board who is not affiliated with the university or college to help make sure rules are followed. Now, any research involving human subjects should be sent to the college or university IRB for approval before any data collection is conducted. All research involving human subjects must meet at least three minimum require- ments before an IRB will permit it to take place (the same three principles as outlined by the Belmont Report). First, the researchers must respect the rights of the participants who take part in the research. Second, the benefits of the research should outweigh the potential harms of the research for the participants (beneficence). Third, all participants should be treated fairly (justice). 6241-0534-PI-002.indd 15 9/4/2014 6:13:30 PM  16 INTRODUCTION TO RESEARCH PARADIGMS Based partially on these three principles, as well as on the procedures used in a research project, IRBs make determinations about levels of risk. An exempt research project has minimal risk—typically similar to the risk a person faces in a normal day. Examples of these kinds of projects include research conducted on existing data, research in educational environments, and surveys and interviews without highly probing questions. These projects receive expedited review by an IRB. An expedited application is typically reviewed by the head or chair of IRB and not the full board. To qualify for exempt research with humans, you must also make sure you are working with individuals who are able to personally consent to the research. An in- depth discussion of consent follows later in this chapter. If a project involves higher levels of risk for participants, or if individual participants are not able to consent for themselves (children, individuals with mental disabilities, prisoners, and other “protected” groups), a project will be non-exempt. Non-exempt projects are sent to the full board for review. Such projects need closer scrutiny to make sure the project fulfills the three principles established in the Belmont Report. We include at the end of this chapter an approved IRB Application written by Stephen Croucher to show you how the IRB application process works. Now that you know a bit more about the relationship between ethics and the scientific community, and how an IRB monitors ethics, the following section discusses ethical practices we should all follow when working with human subjects. Ethics and Human Subjects When conducting research among human subjects, various principles must be followed. Along with the principles outlined in the Belmont Report, one should adhere to three additional procedural and ethical guidelines. The three key elements are informed consent, level of participant privacy, and debriefing. Informed Consent When conducting research we must get informed consent from participants. Informed consent is where you tell your participants, in a written document, what they will be doing in the study, explain the risks and benefits of their participation, explain that individuals have a right to stop participation at any time, provide the researchers’ contact information, and obtain participant permission to take part in the study. Important!—the consent document must be in language the participants can understand. Try to avoid jargon and other language that may confuse participants. Informed-consent documents should be signed by participants to show they have given their permission. In such cases, the researcher should keep names confidential (private). In some cases when a researcher is not looking to keep names of participants (anonymity), acceptance of the form may count as agreeing to participate. We will talk more about the difference between confidentiality and anonymity shortly. Figure 2.1 6241-0534-PI-002.indd 16 9/4/2014 6:13:30 PM  INFORMED CONSENT TO PARTICIPATE IN A RESEARCH STUDY You are being asked to volunteer for a research study. Please read this form and ask any questions that you may have before agreeing to take part in this study. Project Title: “A comparative analysis between Muslim and non-Muslim conflict styles.” Principal Investigator: Stephen M. Croucher Co-Investigators: Contact Information: INSERT ADDRESS AND PHONE NUMBER HERE Purpose of the Research Study The purpose of this study is to measure the conflict styles of individuals who reside in France, the United Kingdom, Germany, Spain, Costa Rica, and the United States. Procedures If you agree to be in this study, you will be asked to do the following things: you will be asked to complete an 11-page survey that examines how you rationalize and manage conflict. This survey should take you approximately 35–50 minutes. Risks and Benefits of Being in the Study There are no foreseeable risks to participating in this study. The benefits to participation are: that you will be able to voice your opinion(s) anonymously on a controversial issue, which can help relieve stress. Also, this study is important because it examines how individuals from different cultures rationalize and manage conflict. Anonymity Because you have not signed a sign-up sheet, or any other form that includes your name, your participation in this study is completely anonymous. Furthermore, because your survey will be combined with other surveys (approximately 3,000–4,000), your responses will be virtually impossible to separate from the other responses. Voluntary Nature of the Study Participation in this study is voluntary. Your decision whether or not to participate will not result in penalty or loss of benefits to which you are otherwise entitled. If you decide to participate, you are free to not answer any question or withdraw at any time. Contacts and Questions The researcher conducting this study can be contacted at (INSERT EMAIL HERE). You are encouraged to contact the researcher if you have any questions. You may also contact the Chair, Human Subjects Review Board, Bowling Green State University, (419) 372-7716 ([email protected]), if any problems or concerns arise during the course of the study. You will be given a copy of this information to keep for your records. If you are not given a copy of this consent form, please request one. Figure 2.1 Sample Informed-Consent Document 6241-0534-PI-002.indd 17 9/4/2014 6:13:30 PM  18 INTRODUCTION TO RESEARCH PARADIGMS is a sample informed-consent document, approved by the IRB at Bowling Green State University, which Stephen used in a study on conflict styles. An informed-consent form has many elements. Each college or university’s IRB may have slightly different requirements. As a student, if you conduct research as part of a course assignment you may not be required to produce an informed-consent form. However, it is better to be safe than sorry and always ask your teacher if you need informed consent and if you need IRB approval before conducting your research. An informed-consent form has eight elements. Required Elements of Informed Consent 1. Title of the Project. You need to have some title for your project. A title is a requirement for an IRB application. 2. Names of the Investigators. List your name and the names of anyone else in your research group. If you are a student researcher you will need to also list your teacher as a sponsor of your research. 3. Contact Information. First, you must provide participants with your contact information in case they have questions about the project during and/or after the project. You should give them your physical address, email address, and phone number(s). If you are a student researcher, you will need to provide your teacher’s contact informa- tion. Second, IRBs will require that you provide participants with the contact information of the IRB just in case participants have questions for the IRB to answer. 4. Purpose of the Study. You need to provide a brief description of the study. The description needs to be just enough to inform the par- ticipants of what you are studying. 5. Procedures. This is where you inform the participants of exactly what they need to do in the study. You need to describe in basic language what you expect from them. You must let the participants know how much of their time you will use and other obligations you have for them. 6. Risks and Benefits. First, you must tell the participants about any risks or harms from participating in the study. Second, you need to let them know any benefits to them, society, or the academic disci- plines from their participation. 7. Anonymity. You need to let the participants know if you are keeping track of their names. Some studies keep track of participants’ names. If so, tell them what steps you will take to protect their identities. 8. Voluntary Nature of the Study. You need to make sure all participants know that their participation is voluntary. Voluntary participation means that they can enter and end their involvement in the study at any time. 6241-0534-PI-002.indd 18 9/4/2014 6:13:30 PM  RESEARCH ETHICS 19 If you focus on these key issues when writing up an informed-consent form, you are being ethical in assuring you have informed your potential participants of the information essential for their involvement. Participant privacy is the next issue you must consider when collecting research. Participant Privacy An important part of informed consent is letting participants know how you will handle privacy issues. When you conduct research, people may answer questions about themselves or issues that provide insight into their private lives. In many cases, participants may want their names shared with others. However, in most cases researchers do not name their participants in research. In qualitative research (e.g., interviews, ethnography), researchers often use pseudonyms for participants. In quantitative studies (e.g., surveys), research- ers generally report statistical results; participant names are never reported. It is important for participants to have the ability to speak freely and to answer questions without fear of being “outed” to the public. This is why participant privacy is so important. You can take two approaches with participant privacy in a study. One approach is confidentiality. Confidentiality is where the researcher knows the names and personal information of the participants but does not share the information with anyone else. Having this information can be very helpful if you ever need to contact the participants again (e.g., follow-up interviews). Anonymity is when not even the researcher knows the participants’ names or personal information. In Stephen’s study on conflict styles anonymity was used. Stephen did not know the participants’ personal information because the par- ticipants were filling out anonymous surveys and Stephen had no intention of contacting the participants again. As long as you are upfront with your partici- pants as to which kind of privacy you are using, you are being ethical concerning privacy. In some rare cases you may want to or some participants may ask that their real names be used. Debriefing In Milgram’s studies at Yale University, he explored the power of control on individuals’ actions. He showed that, with the right amount of influence exerted on an individual, most people will do just about anything to another person. In his experiments, he had two people in separate rooms who could not see one another. One person read a series of numbers and the other person had to read the series of numbers back. If they got the series wrong, they were given an electric shock. The voltage increased each time they got an answer wrong. Over time, the person receiving the shocks would scream in pain, complain of their heart, and ask to end the experiment. The person giving the shocks would ask a helper in the room if they could stop, and they were told they could not. The helper giving the order was a confederate 6241-0534-PI-002.indd 19 9/4/2014 6:13:30 PM  20 INTRODUCTION TO RESEARCH PARADIGMS (a person who is in on the project and assists with the data collection). A confederate secretly takes part in the project and guides it along the way. A confederate would guide the participants into continuing the electric shocks. Some participants stopped, but many continued to shock the other person until the screams ended. The person could have been dead from a heart attack. At the end of the experiment the confederate reunited the two indi- viduals. The one giving shocks finally knew they did not kill the other person. They were told the other person was in on it all along. Our recounting of the Milgram experiment is necessary to provide an example of a debriefing exercise. Debriefing is when a researcher explains all of the aspects and purpose(s) of the research process after the research is completed. The researcher provides participants during debriefing with a chance to ask questions and to remove their data from the study if they wish. The purposes of the study should be explained well in the informed- consent form. However, deceiving participants may be necessary in some cases. If you are trying to study how people respond to persuasive messages in the media, you do not want to predispose them to your persuasive tactics. You might tell participants in the informed-consent form you are studying individuals’ preferences for media messages. The IRB will weigh up whether the benefits of your research outweigh deceiving your participants. Many IRBs will, in fact, ask you for a copy of your debriefing script, especially if your research includes any kind of deception. Granted, Honest John is not honest in Pinocchio. He just plain lies to get what he wants. An ethical Honest John needs to first get informed consent from all the young boys before sending them to Pleasure Island. He needs to tell the boys that going to the island means they will turn into donkeys; just try getting informed consent! Now that you have a better grasp of ethics among human participants, the next section details the basics of being an ethical student researcher. Many of the issues we outline in this section apply to all researchers. Ethical Practices in School and Scholarship As a college or university student, you have ethical responsibilities in your everyday academic studies and in any research you conduct. If you are con- ducting research for a methods class, you must consider the ethical issues we have outlined. Now you may be asking yourself, “I don’t plan on pre- senting or publishing this paper. It’s just a class project, so why do I need to go through the entire IRB process?” However, you have an ethical respon- sibility to get approval for your project. Formal approval ensures your project follows appropriate ethical research guidelines. Your instructor will know if 6241-0534-PI-002.indd 20 9/4/2014 6:13:30 PM  RESEARCH ETHICS 21 you are required to get official approval for a research project. Many instruc- tors require their students to complete an IRB application even for in-class research projects. Next, we must all work to avoid plagiarism. Plagiarism is using someone else’s words or ideas without giving credit to that person or institution. Blatant examples of plagiarism include borrowing, buying, or stealing a paper and calling it your own. However, most examples of plagiarism are not this blatant. In the years Dan and Stephen have been teaching, the two have encountered borrowing, buying, or stealing someone else’s paper fewer than five times (even five is too many). The most common form of plagiarism is when people (students and faculty/researchers alike) paraphrase too closely to a source and do not give adequate credit to the source. We may find a wonderful source that helps us make a great point in a paper, but sometimes we are either apprehensive to cite quotations from it too much, or we do not know how to synthesize our own ideas well enough. So what happens is people “paraphrase” almost word for word. Changing a word or two in a sentence does not make it your own. Stephen asks if the student thinks their paraphrasing sounds too similar to the original statement from the author(s), then the section needs rework- ing into the student’s own words. Stephen reminds them that even a para- phrase needs to be cited. Author(s) deserve credit for their ideas. Most students do not intend to plagiarize when trying to paraphrase. This is why many faculty members will ask students about their intent in these situations. If you are aware of the need to avoid this situation and make things your own you can avoid plagiarism. Ultimately, thanks to some wild adventures, the Blue Fairy, and Jiminy Cricket, Pinocchio learns how to be a good puppet, and in the end he becomes a real boy (sorry if we ruined the story for you). A main moral of the story is that if you are a good person, such as if you tell the truth, good things will come of you. It is the same with research and academ- ics. One should always be ethical and follow good principles to avoid being sucked up into the advice of Honest John, your id. Listen to your superego instead, Jiminy Cricket. Summary In this chapter we focused on ethics in research. The very idea of “ethics” differs culturally, which has affected the development of ethical standards and principles in the scientific community. When working with human sub- jects in particular, ethics are of the utmost importance. When conducting any kind of research, you should strive to follow the ethical principles laid out in this chapter, and others presented to you by your university or 6241-0534-PI-002.indd 21 9/4/2014 6:13:30 PM  22 INTRODUCTION TO RESEARCH PARADIGMS college. In the following three chapters we take on a slightly different subject, that of research paradigms. What you will find in Chapters 3–5 is that researchers approach research from vastly different ways. In Chapter 3, the next chapter, we discuss the social scientific paradigm. Key Steps & Questions to Consider 1. Ethics are the actions, thoughts, values, principles, and communicative practices one enacts in determining how to interact with/treat others. 2. Most research on ethics has come from a Western perspective, with a lot of this research coming from Judeo-Christian scholars. 3. Our ethical perspective on life is often shaped by our religious heritage. 4. Utilitarian ethics comes from utilitarianism, which means one should have full freedom to conduct research as long as the benefits of the research outweigh the potential harms of that research. 5. Institutional Review Boards were developed after the Belmont Report was published. This report outlined various abuses of researchers and described ways to protect research participants. 6. The main difference between exempt and non-exempt research projects is the level of risk to research participants. 7. Informed consent is where you tell participants, in a written document, what they will be doing in the study, explain the risks and benefits of their participation, explain that participants have a right to stop participation at any time, provide contact information for the researchers, get participant permission to participate in the study, and other things. 8. Two important elements of participant privacy are confidentiality and anonymity. 9. Debriefing is when a researcher explains all of the aspects and purpose(s) of the research process after the research is completed. Activities 1. Select one or more communication journal article(s) that collect data from human subjects and have the class “reverse engineer” the IRB documenta- tion, including the consent form(s) and debriefing procedure. 2. Identify the members of your campus’s IRB. a. What are the qualifications of the members? b. What different groups are represented (race, sex, ethnicity, discipline)? c. Who is the non-campus member of your IRB? 3. Invite the intercultural communication specialist in your program to visit the class and discuss how cultural factors can influence perceptions of ethics. 6241-0534-PI-002.indd 22 9/4/2014 6:13:30 PM  RESEARCH ETHICS 23 Discussion Questions 1. What does your campus IRB identify as exempt research? 2. What is your department’s and campus’ policy on plagiarism? a. If a student (or faculty!) is accused of plagiarism, what are the procedures? b. What are the penalties for academic dishonesty? Key Terms Anonymity Exempt Non-exempt Confederate Expedited Plagiarism Confidentiality Informed consent Utilitarian ethics Debriefing Institutional Review Ethics Board (IRB) 6241-0534-PI-002.indd 23 9/4/2014 6:13:30 PM  SAMPLE IRB/HUMAN SUBJECTS REVIEW BOARD APPLICATION HUMAN SUBJECTS REVIEW BOARD Application for Approval of Research Involving Human Subjects— as of February 2007 (The most current version of this application is available online at www.bgsu.edu/offices/orc/hsrb.) Please answer all applicable questions and provide the material identified. Please complete electronically. Applications judged to be illegible, incomplete, or vague will be returned to the Principal Investigator (PI) for revision. All boxes are expandable so be sure to include complete information, attaching continuation sheets as necessary. Submit the original, signed, hard-copy application and necessary supporting documentation to the Human Subjects Review Board (HSRB), 201 South Hall. SUBMISSION LEAD TIMES—For Full Board projects—submit at least 2 months before your planned start of recruiting and data collection. For Expedited Review projects—submit at least 2 weeks before your planned start of recruiting and data collection. For projects reviewed via the expedited review process—You should receive noti- fication of the results of the initial review of this application 5–7 business days (7–9 during the summer and breaks) from the date of receipt of the application by the Office of Research Compliance. IMPORTANT NOTE: This application will not be reviewed unless Human Subjects training has been completed by the PI (and the Advisor, if the PI is a student)—see the HSRB web page for scheduled training dates. Ia. General Information: Name of applicant (Principal Investigator): Stephen M. Croucher, Ph.D. The Principal Investigator is (check one): Faculty BGSU Staff Undergraduate Student Graduate Student Off-campus applicant (check this box if you are not affiliated with BGSU but propose to conduct research involving BGSU Faculty, Staff, or Students) Department or Division: Department of Communication Campus Phone: XXX-XXXX E-mail: XXXXXXXXXX Fax: Have You Completed BGSU Human Subjects Training? Yes (Office of Research Compliance will confirm training date) No (Please see IMPORTANT NOTE above) The HSRB will send all correspondence to your departmental address unless otherwise indicated below: Figure 2.2 Sample IRB/Human Subjects Review Board Application 6241-0534-PI-002.indd 24 9/4/2014 6:13:31 PM  Title of the Proposed Research Project: A comparative analysis between Muslim and non-Muslim conflict styles Names of Other Students or Staff Associated with the Project (Student PIs note—Do not include your advisor for this research project here): Have you requested, or do you plan to request, external support for this project? Yes No If yes, external Funding Agency or Source: (Note: If the funding source requires certification of IRB approval or if federal funding is requested, this application will go to the full Board for review—in that case please submit the original plus 13 copies of the application and sup- porting materials.) Ib. If you are a BGSU student, please provide the following information: This research is for: Thesis Dissertation Class Project Other (Note: If the class project box is checked and the PI is a student no continuing review form will be sent. The PI will receive an expiration notice at the end of the approval period. The Office of Research Compliance must be notified in writing, before the end of the approval period, of intent to continue the project.) Advisor’s Name (This is the advisor for this research project): Department or Division: Phone: Fax: E-mail: Has Advisor Completed BGSU Human Subjects Training? Yes (Office of Research Compliance will confirm training date) No (Please see IMPORTANT NOTE, page 1) II. Information on Projects Using Pre-existing Data (Skip to Section III if this project does NOT use pre-existing data. Existing data includes retrospective medical chart reviews, public data sets, etc. Sometimes it is referred to as secondary data or archival data.) Some projects involving the use of pre- existing data may not require review by the HSRB. However, it is the HSRB’s responsibility to make that determination—not the researcher’s. NOTE: If you are obtaining medically related information from a “Covered Entity” (a health plan, health care clearinghouse or a health care provider who bills health insurers—e.g., hospitals, doctor’s offices, dentists, the BGSU Student Health Service, the BGSU Speech and Hearing Clinic, the BGSU Psychological Services Center), the HIPAA Privacy Rule may apply. Figure 2.2 (Continued) 6241-0534-PI-002.indd 25 9/4/2014 6:13:31 PM  a. Name(s) of existing data set(s) [Include any ancillary data sets you might be linking the main data set(s) to]: b. Source(s) of existing data set(s): c. Please provide a brief description of the content of the data set(s): d. When you obtain the data, will the individual records be anonymous or will they have identifiers/codes attached? Anonymous (i.e., no identifiers or codes attached to any records in any of the listed data sets) If your project also involves direct data collection, please go to section III and complete the rest of the application. Otherwise, please go to and complete sections VIIa, VIIb, and IX. Identifiers/codes attached (examples would include, but not be limited to, record numbers, subject numbers, case numbers, etc.) d.1 If the records have identifiers or codes attached, can you readily ascertain the identity of individuals to whom the data pertain (e.g., through use of a key that links identifiers with identities; linking to other files that allow individual identities to be discerned)? Yes, I can ascertain the identity of the individuals. Please explain in the box below how you will protect the confidential- ity of subjects. The Human Subjects Review Board is concerned about 2 dimensions of confidentiality: (1) that the researcher has legitimate access to the records, i.e., the records are not protected by any special confidentiality conditions, and (2) that the researcher will not reveal individual identities unless permission has been granted to do so. Please continue with section IIe No, I cannot readily ascertain the identity of the individuals.