Application for the Use of Human Subjects
1. Title of the Study: A Collection of Stories and Memoirs from the People of Dharamsala, India
2. Principal Investigator: Rachel Rueckert 3. Contact Person:
(if different from PI):
Title: Undergraduate Student Dept: English Title: Dept:
Address (+ ZIP): 489 Sandy Oaks Drive
Sandy, Utah, 84070 Address (+ Zip):
Phone:801-916-5211 Email: racheladventure@gmail.com Phone: Email:
4. Co-Investigator(s): Gideon Burton, English Professor
(Name & Affiliation)
5. Research Originated By: (Check One) ~ Faculty X~Student ~ Staff
6. Research Purpose(Check All that Apply): ~ Grant ~ Dissertation ~ Thesis
~ ORCA Scholarship ~ Honors Thesis ~ Course Project: Which Course?
7. Correspondence Request: ~ Mail X~ Call for Pick-Up
Part B Research Study Synopsis
1. Brief Study Description (Include Purpose of the Research):
Stories are an essential part of the human experience, both wonderful and terrifying in their possibilities. In order to understand this universal narrative, I want to write a creative project that encompasses two things. First, I want to record stories from the population that makes up the unique city of Dharamsala, India, and second, I want to gain a better understanding of the nature of stories. In order to put these narratives into perspective, I will also be constructing a personal narrative that highlights some of the limitations of my own subjective experience abroad to better understand the nature of stories.
2. Study Length
What is the duration of the study? 01/2011-04/2011 for the preparation class, 05/2011-09/2011 for work in the field, and 09-12/2011 for post field write ups.
3. Location of Research
a. Where will the research take place? Dharamsala, India
b. Will the PI be conducting and/or supervising research activity off-campus?
X~ Yes ~ No If Yes, please list sites: Dharamsala, India
4. Subject Information:
a. Number of Subjects: 5-20 b. Gender of Subjects: Male and Female
c. Ages of Subjects: 18 and older
5. Potentially Vulnerable Populations: (Check All that Apply)
~ Children ~ Pregnant Women ~ Cognitively Impaired ~ Prisoners ~ Institutionalized
~ Faculty’s Own Students ~ Other. Please describe:
6. Non-English Speaking Subjects
a. Will subjects who do not understand English participate in the research: X ~ Yes ~ No
b. If yes, describe your resources to communicate with the subjects: A translator
c. Into what language(s) will the consent form be translated: Tibetan and Hindi
7. Additional Subject Concerns
a. Are there cultural attitudes/beliefs that may affect subjects in this study? X~ Yes ~ No
b. If yes, please describe attitudes and how they may affect subjects. There are always attitudes and belief differences when do cross-cultural field work. I must be mindful of these differences, especially when collecting stories from some of the people who have had difficult challenges in their lives. I need to be sensitive to these issues and never allow my presence in the community to cause any discomfort to the subjects. I will never encourage someone to continue telling a story if it is causing distress or anxiety.
8. Dissemination of Research Findings
a. Will the research be published? X~ Yes ~ No If yes, where if known? The BYU Inquiry Journal
b. Will the research be presented? X ~ Yes ~ No If yes, where if known? The BYU Inquiry Conference
9. External Funding
a. Are you seeking external funding? ~ Yes X~ No What agency?
b. Have you received funding? ~ Yes X~ No c. Dollar amount?
10. Method of Recruitment: (Check All that Apply)
~ Flyer ~ Classroom Announcement ~ Letter to Subjects ~ Third Party ~ Random
X~ Other: Convenience Sampling
11. Payment to Subjects
a. Will subjects be compensated for participation? ~ Yes X~ No If yes, please indicate amount:
b. Form of Payment: ~ Cash ~ Check ~ Gift Certificate ~ Voucher ~ 1099 ~ Other
c. Will Payment be prorated? ~ Yes ~ No If yes, please explain:
d. When will the subject be paid? ~ Each Visit ~ Study Completion ~ Other
12. Extra Credit
a. Will subjects be offered extra credit? ~ Yes X~ No
b. If yes, describe the alternative:
13. Risks: Identify all potential risks/discomforts to subjects.
The risks of this study are minimal. There is the risk of causing discomfort to subjects when they tell their stories and remember certain difficulties from their lives, which could be very traumatizing, but they will not be pressured to tell me anything that would in any way put them in an uncomfortable position. I will be sure to be sensitive and let them know that their participation is completely voluntary and they can stop at any time. I will never press for traumatizing experiences in order to gather a story. There could also be some minor discomfort to subjects that I photography. Again, I will be sensitive to this issue and only photograph subjects who have given me their consent.
14. Benefits:
a. Are there direct benefits to participants? ~ Yes X~ No If yes, please list.
b. Are there potential benefits to society? X~ Yes ~ No If yes, please list. The Dalai Lama himself has encouraged the people to share their stories with the world. By gathering these narratives, I can help generate awareness for these people and also contribute to an academic discussion.
15. Study Procedures (DO NOT LEAVE ANY ITEM BLANK):
a. What will be the duration of the subjects’ participation? 90 days
b. Will the subjects be followed after their participation ends? ~ Yes X ~ No If yes, please describe:
c. Describe the number, duration and nature of visits/encounters. I will hold somewhere between 3-10 informal interviews lasting an hour for each interview. They will be informal interviews, and will only be conducted when convenient for the subject. If the subject does not want to continue, they can quit at any given time.
d. Is the study ~ Therapeutic? X ~ Non-therapeutic?
e. List all procedures that will be performed to generate data for the research. I will be using a jotting notebook, a field journal, and photography to gather my material.
f. List all procedures/questionnaires done solely for the purpose of the research study. Informal interviews
g. List all procedures/questionnaires participants already do regardless of research.
Activities such as attending to spiritual duties or walking around town. These I would observe through participant observation.
16. Informed Consent:
a. Are you requesting Waiver or Alteration of Informed Consent? ~ Yes X~ No If yes, please fill out the waiver of informed consent and attach it.
b. Briefly describe your process to obtain consent: I will obtain written consent and permission to take photographs through a photo release form. I will also be respectful of the people I talk to and make sure I have their verbal approval as well.
17. Confidentiality:
a. Are the subject’s social security number, BYU ID number or any identifier (other than study number and initials) being sent off site? ~ Yes X~ No If yes, describe and explain reasons:
b. Will any entity other than the investigative staff have access to medical, health or psychological information about the subject? ~ Yes X ~ No If yes, please indicate who:
c. Briefly describe provisions made to maintain confidentiality of data, including who will have access to raw data, what will be done with the tapes, where data will be stored, how long data will be stored, etc. In order to maintain confidentiality of data I plan to keep all notebooks and writings in a briefcase with a secure lock. I will keep my memory cards to my camera in there as well. The door of my bedroom will be locked at all times, and I will never tell anyone where I store my information. No one will have access to the raw data other than me and my field mentor. I have no intention of destroying my gatherings upon returning, but the material will be stored under the protection of a locked box upon returning, and I will be the only one with a key.
d. Will raw data be made available to anyone other than the PI and immediate study personnel?
~ Yes X ~ No
If yes, describe the procedure for sharing data. Include with whom it will be shared, how and why.
Part C
The attached investigation involves the use of human subjects. I understand the university’s policy concerning research involving human subjects and I agree:
1. X~ Yes ~ No To obtain voluntary and informed consent of subjects who are to participate in this project.
2. X~ Yes ~ No To report to the IRB any unanticipated effects on subjects which become apparent during the course of, or as a result of, the experimentation and the actions taken.
3. X~ Yes ~ No To cooperate with members of the committee charged with continuing review of this project.
4. X~ Yes ~ No To obtain prior approval from the committee before amending or altering the scope of the project or implementing changes in the approved consent document.
5. X~ Yes ~ No To maintain the documentation of consent forms and progress reports as required by institutional policy.
6. X~ Yes ~ No To safeguard the confidentiality of research subjects and the data collected when the approved level of research requires it.
Signature* of the Principal Investigator: Date:
*Faculty Sponsor Signature Required for All Student Submissions (will not be processed without this)
“I have read and reviewed this proposal and certify that it is ready for review by the IRB. I have worked with the student to prepare this research protocol. I agree to mentor the student during the research project.”
Faculty Sponsor (Please sign and print):
Required: Thesis/Dissertation – Date of Approval by the Proposal Review Committee:
Required: Committee Chair/Faculty Sponsor (Please sign and print):
_______________________________________________________
* If you are faculty submitting by email, please check this box to verify that you are the PI listed on this application and agree to follow the items listed above. ~ I agree
Only professors can submit applications electronically via email.
Part D Summary of Research Proposal
Part D, 1-9, should only be 5 pages or less (not including instruments, consent forms, etc.). Please use 12pt font, page numbers and the headings noted below.
Use everyday language.
This will allow the widest audience, including the IRB members, to understand the purpose of your research, and the procedures you have planned, and any risks or benefits involved.
Protocol Guidelines
IRB committee members, from a wide variety of disciplines, must be able to understand the language used in protocols. Please do not use discipline-specific jargon or acronyms. If you must, please define them. Be clear and concise, and limit the scope of the document to the purpose and background of your research, the procedures you will use to elicit data from your human subjects, risk and benefits, and how you intend to analyze the data to answer your research question. If you are conducting a qualitative research project, please define your methodology clearly.
1. Specific Aims
It is my goal to conduct a creative writing project while I am Dharamsala, India. There are two components that I would like to include in this travel narrative. First, I would like to incorporate personal stories that I gather from the inhabitants of this unique location of very diverse people. However, I have always been really concerned with some of the ethics of travel writing and representing cross cultural experiences. Because of this, I would also like to include a self-reflexive look at my own travel experience to show how limited and subjective my interpretations of these narratives really are. The goal is to show that stories are universally important, but must be understood in their proper context and scope.
2. Hypothesis
Stories are a part of the human experience, and no matter who you are or when or where you were born, it seems to have been woven into our instincts to narrative our life experiences and the meaning of existence. I predict that I will find that this is also the case in Dharamsala, and that through a personal narrative of my own experience, I will discover that these experiences abroad are very limited, fragile, and subjective.
3. Background and Significance
My creative work will consist of two things. First, a collection of personal narratives that the people I come across in Dharamsala may share with me, and second, my own account of my own experience. In order to put this in an academic context, I will demonstrate two things—why we need to tell stories, and second, that the nature of stories are fragile and limited and need to be understood in that context.
In order to understand why we need to tell stories, we have to understand that telling stories is a part of the human condition. There are plenty of examples of this. Hamlet’s dying wish to Horatio was not “please feed my cat when I am gone” or “don’t let Fortinbras take over the kingdom,” it was “if thou didst ever hold my in thy heart…tell my story” (Shakespeare 145). But why? Margaret Atwood, an extremely prominent writer, says that the reason why we need to tell stories is because “language is one of the most primary facts of our existence.” It is what sets us apart from animals. She also says that “we know that people learn and assimilate information much more through stories than they do through charts and graphs,” and it is how we find meaning in life (Atwood). Many others have picked up on this, including Christophor Booker, the author of Seven Basic Plots, who argues that no matter where you go, all stories comprise of seven basic plots—overcoming the monster, rags to rights, the quest, voyage and return, comedy, tragedy, and rebirth.
If we look at another influential person more appropriate for the location I want to study, His Holiness the Dalai Lama is a great teacher about the importance of stories. The Dalai Lama is the spiritual and political leader of the exiled Tibetan government. In his autobiography we get a glimpse of his immense love for stories as a child and his vivid imagination (Dalai Lama 28). In another one of this books, The Art of Happiness, he says that through meditations, stories, and the meeting of Buddhism and psychology, we can learn to defeat day-to-day depression, anxiety, anger, jealousy, or just an ordinary bad mood. The Tales of Uncle Tompa and the Tales of a Dalai Lama are also well known stories among Tibetans.
Emily Bell, a former field study student who constructed a creative writing project in Dharamsala in the spring/summer of 2010, had several insights that strengthened the argument that the Dalai Lama not only holds a special place for stories, but also encourages his people to tell them. Storytelling is one of the oldest and most universal forms of communication, a long standing tradition in humanity (Thomas), and it is definitely a prominent part of culture of Dharamsala. Emily was surprised by how "readily Tibetans will talk about their lives." She argues that it is from a sense of responsibility since the "Dalai Lama himself has encouraged all newcomers to share their experiences with the world" (3), something that was reiterated almost daily in her experience in Dharamsala. This gives me encouragement that I will be successful in my own project.
In addition to the human need to tell stories, it has also been found to be an extremely useful method that has been acknowledged and developed more recently in qualitative research. In the book Method Meets Art, Patricia Leavy says that by doing arts-based research we can "bridge and not divide both the artistic-self and the researcher-self." There is a "profound relationship between the arts and sciences," and there are several viable reasons that more and more people are turning towards alternative methods (Leavy 2). Art-based research is more holistic, it is a new genre that "comprises new theoretical and epistemological groundings that are expanding the qualitative paradigm" (3). In many ways it can capture and represent what traditional research cannot, some of the most fundamental aspects of human experience. Additionally, there are "tremendous meaning-making and pedagogical capabilities" within this emerging genre. It is not merely used at the representation stage of research, but during all phases instead (4). This book also argues that this art based method looks more at how knowledge is a process, “a temporary state,” and that it is not linear. Rather, it is iterative, and meaning emerges through "labeling, identifying, and classifying emerging concepts and testing hypotheses; finding patterns; and generating theory" It helps us to look more at the process of meaning-making as well (9-10). It allows questions to be posed in different ways, promotes dialogue, raises new questions, and also reaches nonacademic audiences in a way that standard methodology cannot. It pays more attention to process, promotes dialogue, requires us to be more flexible, and crosses disciplines (18). Although this deviates from traditional research, it is certainly becoming a very useful tool that yields interesting and valuable results that are sometimes weeded out in the more traditional methods, and it is for these reasons that I want to use it.
The second part of this academic background that I need to establish is that although stories are an integral part of our human experience, they must be understood in their proper context as being limited interpretations of subjective truths. Whether these truths are more “truthful” than what really happened, we could find a copious amount of arguments stemming as far back as Aristotle’s Poetics, but truth is not what I am questioning here. I am more interested in authenticity. This is not to discredit stories by any means, but it should get us thinking about the problems of representation within narratives. My personal narrative that I will write alongside the process of gathering stories will look specifically at this issue.
Clifford Geertz, a prominent anthropologist, has an interesting take on representation in his book The Interpretation of Cultures. He says that all “anthropological writings are themselves interpretations” and “second to third ones to boot” (Geertz 15). We cannot be native or express a native point of view because of our lack of context is critical for ethnography, travel literature, and any document that attempts to translate a foreign experience outside of the original context. “Thick Description” was an influential chapter in particular that said that the more layers you add to ethnography, the more holistic your findings will be represented. This also applies to memoirs and creative nonfiction in general.
Nine Lives, a book that looks at nine very different individuals living across India, retells their stories in nine separate narratives. This book was the first one that really helped me to see how diverse India is and what kinds of people make up the unique population. The author was able to utilize “thick description” in a creative and meaningful way, and it is a model I want to emulate through my own creative writing project. Of course, we can never reach a perfectly authentic work, but I think that adding these different layers certainly increases the level authenticity.
Writing, however, is by no means the only limited medium of expression, and since photography will also be a part of my personal narrative, it is important to establish the academic significance of this form of documentation. Diana L Eck in her book Darsan says that although the photography has “sometimes been claimed that the photograph is a kind of universal 'language,'” we should question that claim. “Every photograph and film raises the question of point-of-view and perspective- both that of the maker and that of the viewer." It also "raises the question of meaning" and of "obstruction," and that we have to understand the context to really know. A picture may "be worth a thousand words, but still we need to know which thousand words" (Eck 16). Walter Benjamin, postmodern author of Illuminations, also claims that because a photograph is a problematic medium in and of itself simply because there is no original to refer to. He states that “the presence of the original is the prerequisite to the concept of authenticity” and that the translation has no regard or relation to the original, thus having no relationship to it (Benjamin 220).
From this accounts, we can see that not only is writing a limiting way in which we try to mediate our experiences, but that all other mediums, including photography, have the same short comings that must be properly understood. We have discussed why stories are so important to humanity, but without proper perspective we run into serious danger.
4. Description of Subjects
Like the book Nine Lives I previously mentioned, I want my creative writing project to paint a portrait of the diversity found in Dharamsala by representing all kinds of different people who live and pass through there. Because of this aim, my subjects will be anyone over the age of eighteen.
5. Confidentiality
I understand that confidentiality is extremely important when doing creative writing, and for this reason I will change all names of people and locations, as well as any other information that would reveal their identity.
Also, in order to maintain confidentiality of data I plan to keep all notebooks and writings in a briefcase with a secure lock. I will keep my memory cards to my camera in there as well. The door of my bedroom will be locked at all times, and I will never tell anyone where I store my information. No one will have access to the raw data other than me and my field mentor. I have no intention of destroying my gatherings upon returning, but the material will be stored under the protection of a secure, locked box upon returning. I will be the only one with a key.
6. Method or Procedures
For my methods, I plan on using informal interviews and participant observation. I will take daily field notes, keep a book of jottings so that creative ideas and important information I learn can be recorded as accurately as possible, and photography will also be a way that I mediate my experience.
Another method that I plan to utilize in the field is something of my own creation that I experimented with when I conducted my last field study in Ghana, Africa. In an effort to have a self-reflexive narrative, or a memoir that is conscious of the creation of that memoir, my faculty mentor and I developed an approach that I call an avatar framework. I will essentially look at different aspects of my personality and emphasize them on certain days in order to focus what it is I am recording and juxtapose my experience against some of the other mediums and viewpoints I utilize. It is just one way to generate the material needed to see the limitations of experience, and it also adds additional layers to my experience, which Geertz would argue makes it a better respresentation.
7. Data Analysis
Narrative inquiry, or a study through stories whether the stories are written down or not. Narrative inquiry looks at how experience and story can work together in qualitative research.
8 Risks
The risks of this study are minimal. There is the risk of causing discomfort to subjects when they tell their stories and remember certain difficulties from their lives, which could be very traumatizing, but they will not be pressured to tell me anything that would in any way put them in an uncomfortable position. I will be sure to be sensitive and let them know that their participation is completely voluntary and they can stop at any time. I will never press for traumatizing experiences in order to gather a story. There could also be some minor discomfort to subjects that I photography. Again, I will be sensitive to this issue and only photograph subjects who have given me their consent.
9. Benefits
While there are no direct benefits to the participants, I am helping them to fulfill one of their goals that the Dalai Lama has encouraged them to do, which is to tell their stories to the world. The information I gather will also contribute to an academic body of knowledge.
10. Compensation
I will not give money compensation, which means I must be careful to ensure that my subjects are willing and happy to volunteer and that I am not a burden to them. I will be mindful of their generous contribution and offer proper reciprocity, in ways other than money, that can hopefully show my gratitude.
11. References
Benjamin, Walter. Illuminations. New York: Schocken Books Inc., 1968. Print.
Booker, Christopher. Seven Basic Plots: Why We Tell Stories. New York: Continuum, 2006. Print.
Dalrymple, William. Nine Lives In Search of the Sacred in Modern India. New York: Borzoi Book, 2009. Print.
Eck, Diana L. Darśan: Seeing the Divine Image in India. New York: Columbia University Press, 1998. Print.
Geertz, Clifford. The Interpretation of Cultures. New York: Basic Books Inc., 1975. Print.
Gyatso, Tenzin. Freedom in Exile: The Autobiography of the Dalai Lama: New York: Harper Perennial, 1991. Print.
Lama, Dalai. The Art of Happiness: A Handbook for Living: New York: Riverhead Books, 1998. Print.
Leavy, Patricia. Method Meets Art: Arts-Based Research Practice: New York: The Guilford Press, 2009. Print.
Shakespeare, William. Hamlet. New York: Batman Books, 1980. Print.
Thomas, Charlton. Thinking About Oral History Theories and Applications. New York:
AltaMira, 2007. Print.
Why We Tell Stories. Big Think. Creative Commons, 21 Sept. 2010. Web. 8 Feb. 2011. <http://bigthink.com/ideas/24259>
12. Qualifications
As an undergraduate student, my qualifications are limited. However, I have already completed a successful field study on a similar topic in Ghana, Africa during the spring/summer of 2010. I have taken the field study prep class in order to prepare me for this new project, and have taken several classes that have trained me for this project. In anthropology, my minor, I have taken Language Culture and Society, which trained me about some of the errors of translation and how to be culturally sensitive, as well as Contemporary Theory in Anthropology, a class that was more philosophical in some of these pressing questions. Most applicable is my Peoples of India course that I am currently enrolled in, that is helping to understand before I get there what some of the basic cultural practices and beliefs are in India.
As an English major, I have taken all of my foundational English classes which have given me the skills to be able to be a good writer. I have also taken Travel Writing, which looked at some of the styles and ethics of travel documentation, as well as Creative Writing, which helped me to craft my own creative writing style.
Because my qualifications are limited, I have a great faculty mentor, Gideon Burton from the English department also my mentor for my field work last summer in Ghana, who will be guiding me through this project. He is a Professor of English who specializes in the history of rhetoric and new media. He maintains several academic blogs and websites, including Silvia Rhetoricae: The Forest of Rhetoric and The Mormon Literature Database, and is interested in incorporating new media into our understanding of literature. Professor Burton graduated from Brigham Young University in 1989 and went on to receive his Master of Professional Writing (MPW) degree from the University of Southern California in 1955. He later received his Ph.D. in Rhetoric, Linguistics, and Literature in 1994 from the University of Southern California. Professor Burton’s qualifications will compensate for my lack of experience. Completing a field study to India himself, he has gone on to oversee many other students field studies student projects. His interest in incorporating other mediums into literary studies suits my project where other mediums, such as photography, will be used in conjunction with a narrative to question the authenticity and nature of experience.
Include the following information as necessary in the appropriate appendix.
Appendix E – Consent Document or Request for a Waiver and/or Alteration of Informed Consent
Working on it.
Appendix F – Questionnaires, Surveys, Instruments, Interview questions, etc.
Sample of informal interview questions:
· Why have you come to Dharamsala?
· What is it that you like/don’t like about Dharamsala?
· What were some of the events in your life that made you who you are today?
· What is your family like?
· What was the city you grew up like?
· Can you give me an example of what an average day looks like for you?
· Do you have a favorite story?
· What do you think makes you different than the other people who are in Dharamsala?
· Where will you go from here?
· How do you want people to remember you?
Appendix G – Tutorial Certificate
Appendix H – All other supporting documents such as letters of support from other institutions or universities, grant applications, vitae, etc.
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