Nazareth College of Rochester (the College) values and encourages research involving human subjects and strives to provide opportunities for faculty, staff, and students to engage in this activity. In doing so, the College accepts the legal and ethical responsibilities for safeguarding the rights and welfare of human subjects involved in this research and operates in compliance with the Federalwide Assurance for the Protection of Human Subjects, required for federal funding of research.
Nazareth College of Rochester (the College) values and encourages research involving human subjects and strives to provide opportunities for faculty, staff, and students to engage in this activity. In doing so, the College accepts the legal and ethical responsibilities for safeguarding the rights and welfare of human subjects involved in this research and operates in compliance with the Federal Wide Assurance required for federal funding of research.
The College requires that all research projects that use human subjects be approved and periodically reviewed by the Human Subjects Research Committee (HSRC). The HSRC operates under Section 474(a) of the Public Health Service Act (P.L. 93-348) as implemented by Department of Health and Human Services regulation Title 45, Part 46 of the Code of Federal Regulations (45 CFR 46) which details procedures to safeguard human subjects in research.
As defined in CFR Title 45, Part 46, "research" is a "systematic investigation designed to develop or contribute to generalizable knowledge," and a "human subject" is "a living individual about whom an investigator (whether professional or student) conducting research obtains (1) data through intervention or interaction with the individual, or (2) identifiable private information." Since class work assignments are usually not intended to or likely to lead to generalizable results, HSRC does not normally include these projects under its operational definition of research. However, if the intent of a project is to conduct research (e.g. honors or master’s thesis) versus learning about conducting research, the project should be submitted to the HSRC for review. In general, HSRC review is mandatory if the results of the project are intended for conferences (outside the College), presentations or publications. Questions in determining the need for HSRC review should be directed to the HSRC chair. If a project involves in any way the use of human subjects it must be conducted so as to safeguard human subjects in research, including consideration of risks and use of informed consent.
The HSRC functions as the Institutional Review Board (IRB) at the College regardless of the source of funding. The HSRC shall be composed of at least five members pursuant to section 107 of 45 C.F.R. 46. Members shall have varying backgrounds to promote complete and adequate review of research activities commonly conducted by the institution. The HSRC shall be sufficiently qualified through the experience and expertise of its members, and the diversity of its members, including consideration of race, gender, and cultural backgrounds and sensitivity to such issues as community attitudes and religious beliefs. If research involves a vulnerable category of subjects, such as children, prisoners, pregnant women, or persons with disabilities, consideration shall be given to the special appointment of one or more individuals who are knowledgeable about and experienced in working with these subjects.
The members of the HSRC are full-time faculty members elected by the faculty except for one member who is a community representative (someone not employed by the College) appointed by the Committee. The Chair of the HSRC shall be one of the faculty members of the Committee. Members will serve a three-year term and may be re-elected for one additional three-year term.
These policies and procedures apply to all research which is either (a) conducted on the premises of the College; or (b) funded through the College; or (c) conducted by faculty, staff, or students of the College who are acting in connection with their responsibilities or relationships to the College or who intend to use the name of the College in any report of the activity; or (d) conducted through the use of the College’s records.
Before starting the application process, please use the flowchart, which can be found on the HSRC website to help determine if there is a need for submitting an application to HSRC.
The HSRC chair will inform an applicant within one month of the submission date regarding the status of the proposal (for category I and II research). The applicant should be mindful of the HSRC’s review schedule as he or she is considering the length of time needed to complete the research. Faculty and students who may need to receive HSRC approval for their research as stipulated by external granting agencies should be especially attentive of the HSRC review schedule.
1. Below is a brief description of each research category and the review process for application The HSRC Chair, in consultation with other members when necessary, reviews the application to determine the appropriate designation.
a. Category I Research (Exempt) is usually the case for anonymous, surveys on innocuous topics, or anonymous, noninteractive observation of public behavior (e.g., shoppers at a mall). Some typical examples include:
1) research conducted as part of academic coursework involving instructional strategies, techniques, curricula, or classroom management methods; 2) research involving the use of educational tests; 3) research involving survey procedures; 4) research involving observation of public behavior; or 5) research involving the collection of existing data, documents, or records. Please refer to the Exempt categories document which can be found on the HSRC website for detailed descriptions of each exempt category.
Each exemption specifies that no human subjects may (1) be identified directly or through identifiers linked to the subjects; (2) be identified in such a way that subjects could be reasonably placed at risk of criminal or civil liability or incur damage to their financial standing or employability; or (3) be identified in such a way which deals with sensitive aspects of the subject's own behavior such as illegal conduct, drug use, sexual behavior, or use of alcohol.
b. Category II Research (Expedited) is research carrying minimal risk to the subjects but which does not qualify as Category I research. Category II research includes methods such as interviews or self-report measures or any data collected either one-on-one or in groups in which there is no psychological intervention or deception. Category II proposals require the use of written informed consent forms.
Category II Research qualifies for expedited review. In this situation, an application will be reviewed by two members of the HSRC. If these reviewers deem that the risk may exceed minimal, the application will be reviewed by the entire committee. This may extend the review process beyond a month.
c. Category III Research (Full review) is research that involves risk to subjects. Category III research is usually applied to studies involving invasive measurements (such as blood draws), interventions (such as those involving exercise and physical exertion by volunteers), asking about sensitive topics (e.g., sexuality, drug use), experiments involving deception, or use of “special” populations such as minors or prisoners. Category III proposals require the use of written informed consent forms. Proposals given this designation require a review by the entire HSRC. This may extend the review process beyond a month. The HSRC or the Principal Investigator can also request for a meeting to discuss and clarify concerns of the project.
2. After reviewing an application, the HSRC chair will notify the principle investigator of one of four decisions: (a) approval; (b) approval pending revisions; (c) deferral of judgment pending further consideration; or (d) disapproval. If revisions are required, the stipulations will be specified in writing to the Principal Investigator and must be addressed before the project can be approved.
a. If approved, the project may proceed as described in the application.
b. The designation “Approval Pending Revisions” means that the HSRC approves the project on the condition that the investigator agrees to specific minor changes. The HSRC Chair communicates this finding to the Investigator and requests that the HSRC receives an appropriately revised application within three weeks. The revised proposal will be reviewed within two weeks. All revisions must be approved before the research proceeds.
c. The designation “Deferral of Judgment Pending Further Consideration” is used on occasions when the application is incomplete or the HRSC requires further information from the Principal Investigator before ruling on the application.
d. The designation “Disapproval” means that research may not proceed. The HSRC Chair communicates this finding and the HSRC's rationale to the Principal Investigator.
3. If required, a letter describing the decision of the HSRC will be addressed to the funding agency. Normally, the Principal Investigator will forward the letter to the agency.
Some research involving human subjects must be sponsored by an approved investigator.
Who needs a sponsor? A sponsor is needed when the person submitting the HSRC application is not a full-time Nazareth College faculty member (see the end of this section for a list of approved rank). This includes people who are part-time or adjunct faculty of Nazareth College or from another institution. The job of the sponsor is to be a contact person at Nazareth to help the researcher prepare the application and aid communication between the researcher and the HSRC. Please refer to the flowchart which can be found on the HSRC website for more information.
Researchers from another institution seeking to involve Nazareth College in their study must obtain the approval of Nazareth IRB. They are required to have: 1) an IRB approval from the home institution, and 2) a Nazareth sponsor in order to submit an HSRC application. In these cases, a Nazareth sponsor's role is to act as a liaison between the external applicant and Nazareth College to ensure compliance of research protocol and protection of Nazareth subjects.
When is an institution considered to be engaged in research? In general, an institution is considered engaged in a particular non-exempt human subjects research project when its employees or agents for the purposes of the research project obtain: (1) data about the subjects of the research through intervention or interaction with them; (2) identifiable private information about the subjects of the research; or (3) the informed consent of human subjects for the research. http://www.hhs.gov/ohrp/regulations-and-policy/guidance/guidance-on-engagement-of-institutions/
Who needs an advisor? An advisor is needed when the person submitting the HSRC application is a Nazareth College student (see the end of this section for the full list of positions eligible to act as an advisor). The job of the advisor is to oversee the student’s project and help ensure the student is meeting the HSRC requirements.
Full-time persons with the following ranks are approved to submit, or sponsor, an application to use human subjects in a research project:
In addition to concerning itself with risk, the HSRC must consider the subject's consent to participate in the research project. An underlying ethical principle of the Federal regulations is that human subjects enter into research voluntarily and with adequate information. (See “Ethical Principles and Guidelines for the Protection of Human Subjects of Research,” (1979), known as The Belmont Report. <http://ohsr.od.nih.gov/guidelines/belmont.html>) Thus, consent must be informed and voluntarily given. A subject's consent is "informed" if he/she has a reasonable comprehension of that to which he/she is consenting. The investigator must use language appropriate to the subject's ability to comprehend. Generally, the consent form should be written at the 7th grade reading level. Nondisclosure of information to subjects must not be used simply to assure their participation in the research. It is desirable, but not mandatory, that the investigator, rather than an assistant, obtain the consent.
To ensure that subjects' consent is voluntary, the HSRC considers whether any undue pressures will be brought to bear on potential subjects. Such pressure may be subtle as, for example, when a teacher asks his or her own students to become subjects of his or her research. Excessive compensation or no payment for withdrawals is viewed by the HSRC as pressure.
In order to obtain informed consent the investigator must provide a statement that includes the information listed on the Informed Consent Statement Checklist. A checklist for the informed consent statement is included below in order to assist investigators in the preparation of their consent form. This checklist reflects both requirements of the Federal regulations and customary language adopted by the HSRC. Use of the checklist will facilitate HSRC review. Each participant shall sign two copies of the Informed Consent form. One copy will be filed by the PI and the other retained by the participant.
Who is to give consent? Any legally competent adult can give consent; but said adult cannot give valid consent if he/she is under the influence of alcohol or drugs, or if the consent is obtained under duress. This latter point is important in academic circumstances since students are often asked to volunteer as subjects. If possible, investigators should not use their current students. If current students must be used, it must be made clear to the subjects that the decision to participate will have no effect upon their grades.
The consent process for studies conducted in foreign countries, or with illiterate populations, may be altered so that consent may be given orally and documented on tape. Such tapes must be treated in the same manner as paper consent forms. Any other alteration to the consent process must be reviewed by the full committee.
To prepare your informed consent form, please review the Informed Consent Checklist listed below, or view Sample Consent forms for Nazareth College.
Minors require special consideration. Persons aged 18 and older may consent to participating in research and parental permission is not required. For subjects aged 17 and under, however, the consent of at least one parent or guardian is required. If a child is age 7 or older, the aims and general nature of the project must be described in language the child can comprehend, and the child's assent must be obtained. Children under age 7 need not be asked to assent; parental or guardian consent is sufficient. If biomedical research on infants is planned, the drugs or procedures must first have been tried on animals, adults, and older children. In certain cases where there is no risk and where it would be unreasonable to require parental permission, the HSRC may waive the requirement. Research on minors that involves more than minimal risk will be approved only if it is (i) of direct benefit to the subject or (ii) yields useful knowledge about a subject's problem or disorder. In the latter case, both parents must give consent. If a child is a ward of the state, the HSRC must require that there be an advocate appointed to function as a guardian in the child's behalf.
To prepare your assent form, please review the Assent Checklist found below or view Sample Assent Forms for Nazareth College.
Persons with mental disabilities also require special consideration. They may or may not be able to give consent depending upon the severity of their disabilities. If a person is capable of understanding the nature of the project, consent should be obtained from both the subject and a parent or guardian. In instances where the person is not competent to consent, parental or guardian consent alone is sufficient.
A letter of assent should also be used with persons with mental or other disabilities that require a separate letter of consent.
Updated June 2016