SURVEY RESEARCH AND IRBS

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SURVEY RESEARCH AND IRBS
Louis A. Penner Karmanos Cancer Institute Wayne
State University Detroit, Michigan
American Psychological Society, May 29, 2003
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Survey Research and IRB Classifications

• Surveys and interviews cannot be exempt if
• information is recorded in an identifiable
  manner the participant can be linked to
  responses
• and
• disclosure of the information would place the
  participant at risk of criminal or civil
  liability or be damaging to the subjects
  financial standing, employability, or reputation
• Key issue is identifiability

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Survey Research and IRB Classifications

• Surveys and interviews cannot be exempt when
• the participants are children (less than 18
  years old)
• If not exempt, becomes expedited (or
  full-board) and requires some form of informed
  consent

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Informing the Participants

• Exempt Projects
• Still recommend cover letter with key elements
  of informed consent (e.g., participation is
  voluntary)
• Expedited Projects
• Requires informed consent, but not necessarily
  written informed consent

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Waiver of Standard Informed Consent

• Passive Consent, per se, is not recognized in
  the regulations instead must request a waiver
• Kinds of waivers
• Waiver of documentation of informed consent
• Waiver of informed consent process

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Waiver of Standard Informed Consent

• Conditions that would allow a waiver
• Research involves no more than minimal risk
• The waiver will not adversely affect the rights
  and welfare of the participants
• The research could not be practically carried out
  without a waiver
• Where appropriate, participants will later
  receive additional pertinent information.
• Signing an informed consent might result in harm
  to the participants

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Risks and Survey Research

• IRB classifications depend on risks to
  participants
• Participants can be identifiedprivacy of
  respondents
• Contents of survey upsetting to
  participantswell-being of respondents
• Participants disclose illegal behaviors or
  actions dangerous to self or otherswelfare,
  safety of participants and others
• Participants provide identifiable information
  about third partiesprivacy of others

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Confidentiality and Survey Data

• Confidentiality of survey data is not guaranteed
  by law
• Responses could be subpoenaed in civil or
  criminal actions
• Certificate of Confidentiality
• Certain kinds of research may receive a
  Certificate of Confidentiality researcher may
  not be compelled to identify research
  participants. Must apply to federal agencies, and
  make compelling case for usage

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Protecting Participants in Survey Research

• Be up front about what will and will not be
  anonymous and confidential
• Be sure that sponsoring agency will respect this
  agreement
• Be sure that procedures are in place to insure
  confidentiality (e.g., using codes to match
  longitudinal data, password protection, locked
  files, etc.)
• Preserve confidentiality if sharing data

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In Summary

• Carefully consider the ways in which information
  will be gathered
• Confidential anonymous
• Carefully consider the potential risks to the
  participants and minimize them
• Base your application on a realistic assessment
  of risks
• Carefully and fully describe your study in your
  application