Human Subjects Research at UCAR Overview of the Process September 9, 2014 Meg McClellan

Human Subjects Research at UCAR Overview of the Process September 9, 2014 Meg McClellan UCAR Chief Legal Officer

UCAR HSC • HSC Approval Process • How do I comply? . . . Procedures • Important Concepts - Informed Consent - Confidentiality & Privacy - Risk • Exceptions • Manual • NIH Training/Certification Overview

UCAR Human Studies Committee (HSC) is UCAR’s IRB Goal: researchers follow the regulations Goal: protect interests and well-being of research participants UCAR HSC

Michael Thompson, NCAR Deputy Director & COO – mjt@ucar.edu • Katy Schmoll, VP F&A/Ethics Officer – kschmoll@ucar.edu • Meg McClellan, General Counsel – mmcclell@ucar.edu • Greg Byrd, UCP Rep. – byrd@ucar.edu • Mary Hayden, NCAR Rep. – mhayden@ucar.edu • Kathleen Miller, NCAR Rep. – kathleen@ucar.edu • Lecia Barker, University of Texas at Austin, Outside Rep. – lecia@ischool.utexas.edu HSC Administrator: Cindy Worster HSC

https://ncar.ucar.edu/human-subjects-committee/ human-subjects-research HSC at UCAR

Protocol form and submission (HSC website) • The “protocol” is the researcher’s response to specific questions about the human subjects research • HSC reviews online • HSC primary contact (rotates based on the month) • Review and communicate electronically • Approval • Provisional approval with required changes • List of required changes and request for resubmission • After approval: submit final electronic copies Procedures

Any research (as defined in the regulations) that involves human subjects • A living individual about whom a researcher conducting research obtains: - data through intervention or interaction with the individual Or - identifiable private information What needs to be reviewed?

Based on federal regulation known as the Common Rule (45 CFR part 46) • NSF Regulation 45 CFR part 690 • Research • Human subjects • Ethics, values and respect Basics of the regulation

When people are not identified (are anonymous) research may not fall within the regulations • Collecting data with no personally identifiable information • No names • No audio, video recording • Privacy and other confidentiality concerns may still exist Human Subjects

Respecting people and their communities • Protecting research participants • Benefiting individuals and society • Valid design, sampling, data collection, analysis, interpretation, and presentation • Disseminating findings effectively, including data sharing • Facilitating the application of findings The ethics of human research means supporting such values as . . .

What is it? - Consent to participate in research that is voluntary, made by the person (or one with authority to decide for that person), and informed • It is voluntary, when it is not coerced • Informed – you need to tell them in plain language what you are doing (but there’s more . . .) Informed Consent

When is it required? - All research involving human subjects requires informed consent from participants - Exception is for exempt research (more on this to follow) Informed Consent

No “Legalese” • Identification of Researcher • Explanation of the purpose of the research • Duration of research participation • Request for participation, including the right to withdraw at any time • Explanation of research procedures • Description of how confidentiality will be maintained How to: elements of Informed Consent

Right of refusal without penalty • Risks - explain • Benefits - any feedback or benefits to participants • How to contact persons designated to answer questions the participants (or guardians) might have • Participants (or guardians) may keep copy of consent • Written (or oral where appropriate) Elements of Informed Consent (cont.)

Written form approved by HSC • Verbal consent approved by HSC • Signed and dated by person or legally authorized representative • Signed and dated by researcher obtaining consent • Copy given person/representative • Checklist, sample forms Documentation of Informed Consent

Confidentiality is about data, agreements and procedures for limiting access of others to data • Privacy refers to persons and their interest in controlling access of others to themselves. • Neither term is defined in the regulations • Both terms have legal definitions depending on the context Confidentiality & Privacy

Don’t assure confidentiality unless you can really keep it • To maintain confidentiality: • Anonymity in data collection • Procedures that eliminate linking data to unique identifiers • Data sharing techniques • Data storage (electronic and hard copy) More on confidentiality

GIS • Exempt, confidential or anonymous data, becomes discernable • Industry standards in reporting out data • Social media • Third party survey services • One step removed from researchers • Online • Contractual obligations Confidentiality in the digital world

Be sensitive to the “privacy” expectations of the people that you are studying by asking: • Someone who works with the population (teachers, doctors) • An investigator who has research experience with the population • Members of the population what others in their group consider private • Embarrassment • Understand privacy requirements of any institution, laws More on privacy . . .

Researchers and the HSC must assess the risk involved • Minimal risk? • Minimal risk occurs when the probability and magnitude of harm or discomfort anticipated in the research are not greater, in and of themselves, than those ordinarily encountered in daily life or during the performance of routine physical or psychological examinations or test. Risks

Psychological Risk – mental stress and/or emotional distress • Sociological Risk – relational stress and/or positional distress • Physiological Risk – bodily harm to self and/or others • Spiritual Risk– individual faith/work stress and/or religious community distress Risks

Exempt* • Only HSC can determine (not researcher) • Review by HSC on call and/or experienced member • Expedited* • Review by HSC Chair and experienced member • Full Review • Review by entire committee *Entire HSC is informed, may weigh in; only full committee can disapprove 3 Categories of Review

Conducted in established or commonly accepted educational settings • Use of educational test, survey procedures, interview procedures or observations of public behavior if: • Anonymous, or unidentifiable; and • Exposure of responses outside research doesnot pose risk of civil or criminal liability, or damage to subject’s financial standing, employability or reputation; and • Not under 18, or vulnerable class Exempt Research

Use of educational tests, survey or interview procedures or observations of public behavior that is not otherwise exempt (as outlined above), if: • Elected or appointed public officials or candidates for public office; or • Federal statutes require that the confidentiality of the personally identifiable information will be maintained throughout the research. • Agency program manger or director may waive some or all requirements (rarely happens) Exempt Research (cont.)

Research that is exempt, involves minimum risk, minor changes in prior approved research • HSC chair or experienced member may review and approve (without full HSC) • HSC reviewer may exercise all the authority of the full HSC, except to disapprove the protocol; that must be done by full HSC Expedited Review

Requires Full HSC review and formal meeting • Researcher can attend and present Full Review

Risks to subjects are minimized • Risks to subjects are reasonable in relation to benefits and importance of knowledge to be gained • Selection of subjects is equitable • Informed consent is adequate • Informed consent will be documented • Research plan adequately monitors, collects and stores data to protect privacy and confidentiality • Additional safeguards are included for vulnerable populations, situations HSC Review

PI certification http://phrp.nihtraining.com/users/login.php • Plan ahead – timing is important • Involve an HSC member early • Consider all aspects of study • Data access, transmission, storage are important • Record Keeping http://www.ucar.edu/hsc/RFK.htm Researcher Best Practices

Human Subjects Research at UCAR Overview of the Process September 9, 2014 Meg McClellan