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Students as Subjects
Two issues arise frequently when researchers seek to use students in
research projects: (1) Under what circumstances can class credit be
given to student participants? and (2) Can a researcher use his/her own
students as subjects? The SB-IRB has developed policies with regard to both
issues.
CREDIT
The IRB has approved the giving of course credit or extra credit to
students who participate in research as part of a course requirement
only when alternative means of obtaining credit is made available to
students who do not wish to volunteer as research subjects. The IRB
carefully reviews these alternatives to make sure that students are not
being coerced into becoming subjects. For example, the IRB is likely to view the choice of either volunteering for a 30
minute experiment involving filling out a questionnaire or writing a
5-page paper as coercive, since writing a 5-page paper involves
considerably more time, effort, and stress.
The informed consent statement should make clear the consequences of
withdrawing from a project prior to completion (e.g., will credit be
given despite withdrawal?). As a general matter, the IRB favors giving credit even if the subject withdraws, unless the
student withdraws immediately or there is evidence of bad faith on the
part of the student.
USE OF RESEARCHER'S STUDENTS AS SUBJECTS
Introduction
These guidelines are designed to assist researchers who wish to use
their own current students as subjects in research protocols. An
underlying principle of the regulations governing use of human subjects
in research is that the subject’s participation is voluntary, based upon
full and accurate information. The relationship of teacher and student
is inherently one that raises the issue of “voluntariness.” No matter
how well intentioned the teacher is, students may feel compelled to
participate, believing that failure to do so will negatively affect
their grades and the attitude of the teacher (and perhaps other
students) toward them. For this reason, the IRB has taken the
position that teachers should not use their own students as subjects in
their research if it can be avoided. This general policy is in accord
with that of other institutional review boards.
The IRB recognizes, however, that in some research situations,
use of one’s own students is integral to the research. This is
particularly true of research into teaching methods, curricula and other
areas related to the scholarship of teaching and learning. The following
are two models of research design that have been approved by the
IRB in the past for such circumstances which we believe strike a
balance between the two interests.
Collection of Data by Third Party
In situations where the activities to be undertaken by the students
are not part of required class activities, and thus students may or may
not choose to participate, the instructor/researcher should arrange to
have the data collected by an independent third party, so that the
instructor does not know who participated, and does not have access to
the identifiable data or identity of participants for any purpose until
grades have been assigned and entered.
For example, if the instructor wants to administer pre- and post-
tests to determine the efficacy of a particular curriculum, the
necessary consent forms could be obtained, and administration of the
tests conducted, by a colleague at times when the instructor was not
present. [A graduate teaching assistant in the class in which the
students/subjects are enrolled does not qualify as a third party for
collecting data on behalf of the instructor as described above.]
(See Exhibit
A for a model consent form).
Collection of Data by Instructor/Researcher
In situations where the collection of data by a third party is
not feasible, the IRB requires that the student’s written consent
to use of his or her own data, e.g., test results, papers written,
homework, etc., be obtained after grades are entered.
For example, use of a particular teaching method throughout the class
might not be capable of being structured so that students could opt
out. Typically, we ask the instructor/researcher to provide
written information at the beginning of the course concerning the study,
which makes clear that the students will have an opportunity, after the
course is finished and grades entered, to agree or not to agree to the
inclusion of their data in the instructor’s study. By fashioning the
student’s participation in this manner, we do not place the student in
the position of having to either choose to participate or find an
alternative course. Moreover, at the primary and secondary levels of
education, election of alternative classes is not likely to be possible.
(See Exhibit B-1
for model information sheet and Exhibit B-2
for model consent form).
Problem Practices
- Use of Extra Credit for Participation. Sometimes
participation in the teacher’s research is structured as an available
extra credit assignment. Even when other means of obtaining extra credit
are available, the IRB does not find this is sufficient to
overcome the power disparity and the perception of students that
participation in the instructor’s research is advisable, even if not
required.
- Group activities. Group activities that are required
as part of the course instruction pose a particularly difficult
situation because the practicality of a student opting out is very
limited. If the data is a group project or perhaps a videotape of the
group interaction, each student’s consent is necessary for the use of
that data in the instructor’s research. If one student does not consent,
the data may be used only if the non-consenting student’s data can be
effectively excluded. In many cases this will not be possible. Thus,
none of the data can be used.
- Use of student grades and other assessments. In
research where the instructor wants access to identifiable student
academic records, signed consent forms are required even if the research
activities conducted in the classroom are conducted by a third party and
otherwise fall under an exempt category of research. For example,
administration of a pre- and post-test by a third party will normally
qualify as exempt research under either category 1 or 2 (see
Exempt Research Checklist), requiring the provision of an information sheet, but not signed
consent. If, however, part of the research also includes access to the
individual, identifiable student’s other grades etc., signed consent
from each student is necessary.
- Minors. Research involving minors (under 18 years of
age) as subjects, (even 17 year old college students) in most instances
requires a signed parental consent, as well as that of the student.
- Graduate Teaching Assistants. Research conducted by
graduate students in a class in which the researcher teaches, assists in
the class or does any grading are subject to the same restraints
described above.
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