Protection of human subjects in research and investigational activities
Policies and standards
Table of contents
Background
Saint Martin’s University recognizes, and affirms,
the need for academic freedom in the conduct of research, and the value
of well-designed, responsible activities which involve human subjects.
At the same time, the University recognizes, and accepts, its
responsibility to assure the protection of any human subjects so
involved. The use of human subjects in research or investigational
activities imposes both ethical and legal responsibilities upon the
institution, the project director, and the investigator(s), for assuring
that the rights and welfare of those subjects are adequately protected.
Saint Martin’s University thus requires that the project director, the
investigator(s) and the institution utilize these policies, and their
associated procedures, to monitor activities to insure that such
protection occurs.
These University policies, with their associated
guidelines, forms, and procedures, have been prepared to help project
directors and investigators meet individual and institutional
obligations with respect to human subjects. They have been developed in
accordance with federal requirements (45 CFR 46, and 21 CFR 56),
policies of Saint Martin’s University, ethical codes of the various
professional organizations, and the ethical principles embodied in a
respect for the rights and well-being of persons who may be subjects of
research. These basic ethical principles include: respect for persons
(acknowledging autonomy and protecting those with diminished autonomy);
beneficence (doing no harm, or maximizing possible benefits while
minimizing possible harms); and justice (sharing equitably the burdens
and benefits in the population).
Current law places the burden of liability for
negligence and harm directly on the researcher and the institution.
These guidelines are formulated to help protect the University, the
researcher, and in the case of students, the faculty advisor, from
liability through imposition of minimum standards for research and
developed procedures for careful review of projects. Failure to follow
these guidelines may cause individuals to incur personal liability for
negligence and harm. Failure to follow these guidelines may also cause
the University to lose federal funding, prevent individuals from
applying for or receiving federal research funds, and prevent the
University from engaging in research which falls under Federal Food and
Drug Administration rules. In addition, failure to follow these
guidelines will be viewed by the University as violation of University
policies and procedures which will result in appropriate administrative
action.
back to top
General policy
Saint Martin’s University Institutional Review Board
(IRB) has institutional responsibility for all use of human subjects
under the auspices of, or utilizing the students, personnel or
facilities of, Saint Martin’s University. At its discretion, the IRB may
delegate specific responsibility for minimal risk projects (as defined
below). However, all projects must be accomplished in accord with this
policy, and all projects covered by this policy may be undertaken only
after appropriate approval and may be continued only so long as that
approval remains in effect. Changes in a project, or continuation of the
project following adverse occurrences during the project, are also
subject to review and approval.
It is the responsibility of the principal
investigator to refer his or her project to the IRB whenever humans are
subjects, even if the investigator does not consider the subjects to be
"at risk." It is the sole responsibility of the IRB, or those
specifically delegated by the IRB, not the project director,
investigator, or any University official, to determine the exemption of
a project from review. Each project not specifically exempted by this
policy must thus be submitted for review, and human subjects may not be
utilized until the project is approved.
back to top
Basic principles
Investigations conducted while at Saint Martin’s
University are expected to embody the following basic principles (each
of which is explained in more detail in the following pages):
-
Participation of human beings as subjects must be
voluntary: i.e., must occur as a result of free choice, without
compulsion or obligation, based upon full disclosure of relevant
information in a comprehensible way.
-
Adequate standards of informed consent must always be utilized.
-
Adequate provisions must be made to protect the privacy of subjects and maintain the confidentiality of information.
-
The selection of subjects must be based upon fair procedures and not overburden,
over utilize, or unfairly favor, or discriminate against, any particular subject pool.
-
Any risks to the subject must be carefully minimized, and adequately balanced against potential benefits.
Proper precaution should be taken and plans made to deal with emergencies that may develop in the course of even seemingly routine activities.
back to top
Applicability
This policy, and its associated procedures, apply to
all situations and activities where human beings are participating as
subjects of research or research related activities. It applies to all
such projects, regardless of their source of funding.
For purposes of review, the term research means any
systematic investigation designed to develop or contribute to
generalizable knowledge (45 CFR 46.102). In particular, an investigation
will count as research involving human subjects if it involves living
individuals about whom an investigator obtains (1) data through
intervention (direct data collection, such as through interview or
questionnaire) and non-intervention (indirect data collection, such as
observing subjects through one-way glass, or reviewing records), or (2)
identifiable private information.
This policy is therefore applicable to research
involving human beings whose physical, emotional, or behavioral
condition, responses, tissues, fluids, etc., are investigated for any
purpose other than for the sole purpose of benefiting the subject as an
individual. It is applicable to the use of interviews, tests,
observations, and inquiries designed to elicit or obtain non-public
information about individuals or groups.
This policy is applicable whether the research is
undertaken on a large or small scale, and involving faculty, staff,
students or University facilities. Pilot projects, student dissertation
projects, independent study projects, and course projects must follow
this policy if they involve human subjects in research. (See section
II.D. instructional projects using human subjects, for detailed
guidelines on course projects.)
back to top
Eligibility
Any research involving human subjects must be under
the supervision of a qualified faculty member at or above the level of
instructor, or qualified staff member of an equivalent level.
back to top
Responsibility
Review of research involving human subjects is part
of University policy and procedures. The Institutional Review Board has
sole responsibility for research review. Although other University
authority may prohibit a project which is approved by the IRB, a project
which is not approved by the IRB may not be approved by another
authority. Similarly, the president or other University authority may
impose stricter limitations on the conduct of research than the IRB,
however, no limitation placed by the IRB may be relaxed or overruled (45
CFR 46.112).
The Institutional Review Board has the authority to
suspend or terminate approval of research that is not being conducted in
accordance with its requirements, or that has been associated with
unexpected risk, or harm, to subjects (45 CFR 46.113).
back to top
Administration
The vice president for academic affairs of the
University will appoint the committee on an annual basis and shall name
the chairperson of the committee. Appointment to the committee will be
for three years, and may be renewed. The terms of members will be
staggered so that the one-third of the members will be newly appointed (or
reappointed) each year. The chair shall have, prior to appointment, at
least two years experience on the committee (or a similar committee
elsewhere), and thorough working knowledge of these policies, as well as
appropriate federal, state and local regulations and laws.
The responsibility for administering these policies,
and overseeing the operations of the IRB rests with the vice president
for academic affairs. All records, files and materials of the IRB will
be maintained through the Office of Vice President for Academic Affairs,
under the direction of the President or his designee. Administration of
the IRB will originate in the Office of Vice President for Academic
Affairs, as will submission of projects and all project follow-up.
back to top
Implementation
The general procedure for implementation of this
policy will be the review of proposed uses of human subjects, by the
Institutional Review Board, in accord with this policy, utilizing
procedures established and published by the IRB. An official written
notification from the IRB to the investigator will authorize the
investigator to conduct the proposed research when and if all other
University requirements are met.
back to top
IRB membership
The IRB will consist of members with varying
backgrounds and professional competencies, in accordance with federal
regulations. Membership will include (but not be limited to): (a) at
least one member who is not associated with the University except for
membership on IRB; (b) at least one member whose primary concerns are in
no scientific areas; (c) both male and female members; (d) no more than
one member from any academic discipline area. As appropriate for
judgments of institutional commitments and regulations, applicable law,
and standards of professional conduct and practice, the IRB will
include persons knowledgeable in those areas. The membership of the
Institutional Review Board will be reported to federal agencies as
required.
In addition to regular members, the chair will
utilize outside experts as needed for adequate review of projects. These
may vary, except: (a) for FDA related drug studies, two persons licensed
to prescribe the drugs will be included in the review process; and (b)
when a project involves a category of vulnerable subjects (e.g.
prisoners, children or the mental incompetent) and those subjects will
be at greater than minimal risk, a person will be included whose primary
concern is the welfare of such subjects.
back to top
Quorum for review
A simple majority (one-half members plus one) of the
membership will be considered a quorum.
back to top
Votes
Each member shall have only one vote, but absent
members may not vote by proxy. At least a simple majority, positive vote
of the members present (at least a quorum) is required for approval,
suspension, or termination of a
project.
back to top
Conflict of interest
A person will have a conflict of interest if he or
she: (a) is involved in the project (e.g., adviser, thesis or
dissertation committee, co-investigator, etc.); or, (b) is a participant
in a larger project which includes the review project as a sub-part,
even if the individual is not involved in the sub-part. A person who has
a conflict of interest cannot serve as the primary reviewer for a
project, and cannot vote on the acceptance or rejection of the project,
but may participate in the discussion of the project prior to any vote.
back to top
Project review
Before a project involving human subjects may be
undertaken, and, if funded, before funds may be received, the project
must be submitted to the Institutional Review Board, through the Office
of Vice President for Academic Affairs, utilizing the forms and
procedures of the IRB. It is the investigator's responsibility to
regard appropriate lead times for IRB actions (1 - 4 weeks, depending
upon whether the project fits the criteria for expedited review. See the
Appendix for review criteria.)
back to top
Student projects
Student research projects will be reviewed using the
same criteria as for any other project. However, student projects must
have a faculty advisor who takes responsibility for approval and
monitoring of the project. Thesis and dissertation projects must be
approved by the appropriate faculty committee(s), as determined by
departmental or University policies, before submission to the IRB for
review. In addition, any other required approvals (e.g., departmental,
divisional, or outside agency) should be secured prior to submission and
copies of those approvals appended to the project description. At the
University level, a thesis or dissertation involving human subjects is
not considered approved until the IRB has given approval relative to the
use of those subjects.
back to top
Basis for review
The IRB review will cover three general areas: (a)
the rights and welfare of the individual(s) involved as subjects,
including the equitable selection of those subjects; (b) the
appropriateness of the methods used to secure and document informed
consent; (c) the determination of the costs (including time) and risks
to the subjects, and the minimization of those costs and risks, and the
relationship of the reasonableness of those costs and risks to the
anticipated benefits to the subjects and the importance of the knowledge
expected to be gained in the project; and, if necessary,
consideration of whether project design puts the subjects at risk and,
if so, how that risk fits the analysis of (c) above.
back to top
IRB action
Following receipt and review of project documents,
the IRB may take any one of several actions: 1) it may exempt a project
from further review; 2) it may approve a project as presented, or subject
to modifications; 3) it may disapprove a project; or 4) it may defer
action on a project pending additional review. Exemption and approval
may be expedited if the research fits specific categories (see
Appendix). Otherwise, full IRB action is required.
IRB review will be based upon the documents
submitted by the investigator, as well as meetings with the
investigator, as appropriate. Students who appear before the IRB will
be accompanied by their project advisor.
back to top
Notification
The IRB will notify the project director in writing
when the project is approved. No use of human subjects is permitted
before such approval. The IRB will send copies of the approval to the
Office of Vice President for Academic Affairs and, if a student project,
to the faculty advisor. Following approval, the project director is
responsible for carrying out the project precisely as presented to the
IRB. Any changes in the protocol, additional elements, or problems which
arise in the course of the project, must be reported to and reviewed by
the IRB before use of human subjects may continue.
back to top
Regular review
The project director is responsible for submitting
annual progress reports to the IRB, unless otherwise directed, until the
project is completed. projects are approved for a period of up to one
year. To continue a project beyond one year, the project director must
apply, in writing, for an extension, specifying the reasons for the
additional time. Approval for projects for which an extension is not
requested is automatically terminated at the end of the reporting
period.
back to top
Final reports
When a project is finished, the project director
must submit a certificate of compliance (obtained from the IRB) and a
brief summary report which includes the number of subjects involved, the
duration of subject usage, and a summary of the project results. In
addition, if a code book (or list) was utilized to protect
confidentiality, it must be either destroyed or turned in to the chair
of the IRB for archiving (see project records below).
back to top
Project records
All project records are subject to audit by Saint
Martin’s University, and in some cases by federal officials. The project
director is responsible for maintaining complete records for a minimum
period of three years, and making any records pertaining to the project
available to the IRB or appropriate authorities at anytime they are
requested.
If a code book (or list) utilized to maintain
confidentiality cannot be destroyed at the end of a project, it will be
turned in to the chair of the IRB for archiving. The chair will transfer
the code book (or list) to the University archivist who will ensure that
each is kept in a sealed envelope, with access restricted to (1) the principal
investigator and (2) the vice president for academic affairs.
In accordance with federal regulations, the retention period for any
code book (or list) will be three years. It will then be transferred,
still sealed, to the vice president for academic affairs who is
responsible for its destruction. If it is necessary to keep the code
book (or list) for a longer period of time, the researcher must
explicitly request this at the time of transfer to the chair of the IRB,
or within the three year period.
back to top
Communication with the IRB
Once applications are submitted, all communication
with the IRB shall be through the Office of Vice President for Academic
Affairs, directed to the chair of the Institutional Review Board.
Researchers may not contact IRB members directly, and IRB members are
not permitted to discuss project applications with any persons outside
the IRB, even the project director. The IRB chair shall be responsible
for all communication between the IRB and project directors. Also, the
chairperson of the IRB should be contacted to answer any further
questions or provide clarification concerning the policies or their
implementation, by phone or e-mail irb@stmartin.edu. Forms for
submission should be obtained from and returned to the chairperson of
IRB. The IRB World Wide Web site (http://www.stmartin.edu/irb) will
also provide policy statements and forms for submission.
back to top
IRB files
The IRB maintains a permanent file of complete
records on all projects, and annually at the end of academic year, presents a summary report to the
Office of Vice President for Academic Affairs and the faculty senate of
Saint Martin’s University. Records of the IRB will be maintained in
the Office of Vice President for Academic Affairs.
back to top
A. Risk
Types of risk
Different types of research impose various types and
degrees of risk upon the subjects. These risks may be physical,
psychological, social or ethical. They may entail a risk of bodily harm,
alteration of psychological states, or subjection to deceit, public
embarrassments, humiliation or emotional stress. They may also entail a
violation of privacy and compromise of confidentiality.
back to top
Degree of risk
Two classifications of risk will be utilized to
determine standards of review. A subject is at minimal risk when the
potential for harm is not greater, considering the probability and
magnitude, than ordinarily encountered in daily life, or during the
performance of routine physical or psychological examinations and tests,
as determined for the general population. For exercise testing, minimal
risk is defined at less than 60 percent of age corrected maximum effort in a
healthy individual with no contraindications to the exercise.
A subject is at significant risk when the potential
for harm is greater, considering the probability and magnitude, than
ordinarily encountered in daily life, or during the performance of
routine physical or psychological examinations and tests, as determined
for the general population. For exercise testing, significant risk is
defined at greater than 60 percent of age-corrected maximum effort in a healthy
individual with no contraindications to the exercise. Administration of
drugs is also defined as placing subjects at significant risk.
Subjects are considered not at risk only when the
research does not include any identifiable subjects: e.g., data from
which all identifying information has been removed before being seen by
the researcher. If the researcher must remove the identifying
information, the subjects are at least at minimum risk.
back to top
Risk safeguards
- For activities involving no more than minimal risk:
-
Participation must be voluntary, but signed consent may not be necessary (see B.
informed consent)
-
Subjects should be able to state that they have no disorder which would preclude their participation in the project.
-
The project must be supervised by a qualified faculty or staff member who assumes responsibility for the protection of human subjects.
-
For activities involving significant risk:
- Participation must be voluntary and a signed, written consent is required unless an alternative method for obtaining consent is specifically approved by the IRB.
- A written record of the research, including copies of all signed consent forms, a detailed description of the procedures, and a report of the results obtained, will be maintained, and accessible, for at least
three years following completion of the project.
- The project must be supervised by a qualified faculty or staff member who assumes responsibility for the protection of human subjects.
- The investigator, and the IRB must determine the following:
- Whether it will be necessary for the subjects' physical or mental condition to be evaluated by a licensed physician who is acquainted with the possible hazards of the proposed investigations.
- Whether supervision or ready availability of a physician, or other individuals appropriately qualified to handle an emergency, is necessary for the project.
- Whether any special monitoring (EKG, oximetry, etc.) is necessary for the project.
- Use of radioactive material requires authorization of the person responsible to the University for the oversight of radioactive materials.
back to top
B. Informed consent
Consent policy
The University requires that all investigators
secure consent for participation from either the subject or the
subject's representative. This consent is to be secured under conditions
which give the subject sufficient opportunity to make a considered
judgment whether to participate or not, and which minimize the
possibility of coercion or undue influence.
In all instances where a signed consent is utilized,
a signed copy of the consent will be given to the subject, and another
copy will be maintained as part of the permanent records for the
project.
It is recognized that on rare occasions fully
informed consent may have an injurious effect on the subject, or may
invalidate the research. Such research may only be done by specific
approval of the IRB and only if the following conditions are met:
- Incomplete disclosure is truly necessary for the research or to protect the subject; and
- There are no undisclosed risks to the subjects which are significant risks (as defined above); and
- Where appropriate, there is an adequate plan for debriefing subjects and disseminating research results to them.
The investigator always has the burden of proof when
a project incorporates less than fully informed consent.
back to top
General information
You can view the
application form and other related documents on the application information page.
At the top of the form, the following should be
listed for all projects:
Saint Martin’s University
Informed consent for research
Title of the project:
Name of project director (or advisor):
Investigator(s):
Department:
Phone # (of the investigator(s)):
back to top
Types of consent
All projects involving human subjects require
voluntary participation. The voluntariness of participation is indicated
in part by the subjects' consent. For some projects, a signed consent
form is not appropriate, because that form will be the only identifying
link between the subject and the data. Such projects may utilize an
'implied' consent paragraph. All other projects require written consent.
back to top
Consent requirements
Five requirements must be met by all consent
documents:
- The consent may not include any exculpatory language through which the subject is made to waive, or appears to waive, any of his or her legal rights, including any release of the institution or its agents from liability or negligence.
- The consent must comply with applicable federal, state, and local laws or regulations requiring additional information to be disclosed.
- The consent cannot place limits on the authority of a physician to provide emergency medical care, to the extent the physician is permitted to do so under applicable federal, state and local laws.
- When children, incompetent adults, prisoners, or wards of the state are to be subjects, the consent requirements of federal regulations 45 CFR 46 must be met. In addition, any subjects capable of assent (agreeing to participate)
must be given the option to assent, despite permission of the parent or guardian. (A person may not be forced to participate.)
- Where participation as human subjects are of students enrolled in a course of instruction at Saint Martin’s University,
and it forms an integral part of the conduct of the course, the official University bulletins and timetables, as well as the course syllabus, shall state that fact in the description of the course.
If the student's grade will be directly affected by participation in the projects, that must be explained as well, with a description of how the grade is affected, and whether alternative means are available to obtain the same grade effect.
back to top
Implied consent
Many research projects utilize surveys or
questionnaires as their data source. In most cases, it is not necessary
to record the data in such a way that respondents may be identified,
because data are only reported in composite. The use of a signed consent
form will, in these cases, be the only means of identifying a person as
participating in a project, and will thus be the only potential basis
for the risk of violating confidentiality and privacy. At the same time,
persons have the right to be informed, and the right to refuse
participation in a research project. In order to maintain these rights,
and avoid the risk of violating these rights, the following paragraph
should be used in conjunction with all non-identified survey or
questionnaire research:
back to top
Consent paragraph
You are invited to participate in a research
project being done for (Name of Class or purpose of the project,
e.g. thesis). To participate you will only need to fill out the
attached questionnaire. There will be complete privacy of the
information you supply, because your name will never be used or
associated with the project. You are free to choose to participate
or not participate, and you may stop your participation at any time.
Whether you participate or not will have no detrimental effect on
('your performance in the course or' use this phrase with students
only) your relationship with the University. By completing this
questionnaire you are giving your consent to participate in the
project and you are certifying that you are over 18 years old.
With such a paragraph there is no signature and the
names of those who participate cannot be known or associated with the
data. If names must be used for some reason, then appropriate signed
consent forms will need to be used.
back to top
Consent form
The signed, written consent form consists of two
sections. The first section constitutes the 'informed' part of the form,
that is, a brief statement of the nature of the project, its objectives,
its potential benefits in general and possibly to the subject
individually. In addition, there must be a complete description of the
nature of participation by the subject. This means exactly what the
subject will do and what (if anything) will be done to the subject. This
section need not be longer than one to several paragraphs but should be
complete enough to stand alone as having informed the subject about the
nature of the project and what participation means. It should also be
written without the use of technical terms, so that a lay person may
easily understand.
The second section should include the material in
items 1-10 below:
-
A statement by which the subject indicates willingness to participate in the project, this participation is completely voluntary and that he or she may withdraw from the project at any time without explanation or penalty.
-
A statement through which the subject indicates that he or she has received a complete explanation of the nature of the project and the latter is completely understood.
-
A complete, detailed listing of any and all known or foreseeable risks associated with this participation, both immediate and long range. A complete listing of any and all benefits associated with this participation, including payments, gifts, extra credit for a course grade, etc.
- If any illness or injury, ranging from discomfort to significant side effects should occur, a description of the medical measures to be available to the subject both immediately and beyond participation until the undesirable effects are eliminated. It should be made clear whether such medical care for side effects will be with or without cost to the subject. The following is recommended wording for such a paragraph:
In the unlikely event of injury or other problem which occurs during or as a result of participation in this project, you should understand that emergency treatment may be arranged but that the costs of such treatment, or any subsequent medical care, will be your responsibility. Financial compensation is not available from Saint Martin’s University, administration, faculty, staff, representatives, or the investigators.
-
A statement indicating that the project director may discontinue the participation of any subject at any time. The conditions under which this action may be taken by the project director may be detailed or stated simply as, 'at the discretion of the project director.'
-
A listing or description of qualifications and disqualifications for participation by any subject in the project.
-
A statement indicating that all data collected will be kept confidential in that specific data will never be divulged in connection with the name (or other identification) of a specific participant. If there are exceptions to this confidentiality statement, they should be described in detail (e.g.. to the sponsor of the research, a governmental agency like the Food and Drug Administration, etc.).
-
A statement to the effect that any questions relevant to the project asked by the subject will be answered, and the name and phone number of the person to contact for information.
-
In projects involving administration of medication, there should be detailed description of the protocols for the administration of the medication, diagnostic procedures to be used to establish eligibility of a subject for participation, complete enumeration of the side effects from the medication including possible severity and risk to health as well as medical services to be available to the subject until the side effects have disappeared. Conditions which would contraindicate the administration of the medication involved should also be described.
-
A statement to be followed by the subject's signature indicating that the signature means that the subject understands the project, the nature of his or her participation, the possible risks involved and the other information on the sheet. A statement that the subject is 18 years of age or older, or if not that consent is being given by a parent/guardian for a minor.
back to top
C. Confidentiality of data
Scope
Confidentiality of data is presumed in all research
involving human subjects, and must be maintained unless the investigator
obtains, via the consent form, specific permission of the subject to
release the information.
The University recognizes the rights of subjects to
be protected against injury or illegal invasions of their privacy and
their interests as members of a free society in preserving their
dignity. The more sensitive the material, the greater the care that must
be exercised in obtaining, handling, and storing data.
back to top
Requirements
- Questionnaires, inventories, interview schedules, and other data gathering instruments and procedures should be carefully designed to limit the personal information acquired to that which is absolutely necessary for the study. If at all possible, the data should be gathered without the use of any individual identifiers (items which would permit the linking of specific data with a specific individual).
- Data that include information which would reveal a subject's identity would be stored in files accessible only to the project investigator, or if necessary, a very limited number of authorized staff representatives.
- As early as possible, the data should be handled in coded form, with the subject's name and identifying information (such as social security number) removed. If a subject-code link must be maintained through a code book (or list), that book (or list) must be kept in a secure location, with access restricted to the investigator. Plans for destruction, or permanent security of, the code book must be explicit in the project proposal (see Part
1, project records for details).
- The identity of subjects cannot be released except with their express permission, obtained via the consent form or a document specifically intended to authorize such a release (e.g., a photo release form).
- For use of stored data or information, such as student records, counseling files, financial aid files, etc., which was originally obtained for different purposes, and which involves identifiable data, the IRB must determine whether the new use is within the scope of the original consent or whether obtaining additional consent is necessary and feasible. Also, access to student records is generally prohibited by the
Federal Educational Rights and Privacy Act
(FERPA), without specific permission from the student.
back to top
D. Instructional projects using human subjects
Scope
Saint Martin’s University recognizes the need for
diverse instructional projects utilizing human beings. However, the
University makes no exception to the principle that there is always an
underlying responsibility for the protection of people's privacy,
dignity, and welfare. When comparing instructional projects and research
projects, the difference lies not in the principles of sound and ethical
practice, but in the focus of responsibility for monitoring compliance
with those concerns.
back to top
Applicability
In a number of departments across various colleges,
it is customary for undergraduate courses to incorporate small projects
which have many of the characteristics of research, and involve using
other persons as project resources. These projects, however, have as
their usual purpose the provision of student opportunity for developing
familiarity with means of investigation customary to the various
disciplines. The process of such projects aims not at the collection of
data for its own sake, but instead at the development of student
knowledge and skills independent of those data. To the extent that
regular courses involve projects with this intention, which would not
later be used as part of a research project, and which do not put
persons at risk, such projects do not need to be submitted to the
Institutional Review Board for approval. Instead, the IRB delegates to
the University, department and faculty responsibility for assuring that
such projects are carried out in the spirit of the principles noted
above. In particular, the IRB delegates to these persons responsibility
for assuring that participation in such projects is voluntary and based
upon appropriate informed consent.
back to top
Limitations
Not exempt from IRB review are internships, research
practica, independent study, independent research, honors projects,
thesis, dissertation, and other formal research projects of
undergraduate students, graduate students, faculty and staff. In
addition, course projects which are classified by federal regulations 45
CFR 46 as requiring IRB review (i.e., those not listed as for exemption
in appendix A) must also be reviewed by the IRB.
back to top
Non-exempt courses
Should a course project not be exempt according to
the above description, instead of submitting individual projects, the
faculty member may request a general approval for the course as a whole,
either for a term or for an academic year. To obtain approval the
faculty member should submit the following information to the IRB:
- Class information:
- Semester(s), year
- Class title, identifying number, and sections
- Instructor(s) name(s)
- Student level (fr., so., jr., sr., grad)
- Approximate number of students involved
- Project information:
- Brief description of project(s)
- Brief description of subject activities
- Description of subjects (e.g., University students, over 18, etc.)
- Approximate number of subjects to be used
- Method of recruiting the subjects
- Description or consent procedure to be used
back to top