Social and Behavioral Sciences Institutional Review Board

Obtaining Consent & Release Forms from Subjects of Documentary Video/Films

The Social and Behavioral Sciences IRB acts in a consultative or advisory capacity and addresses issues of confidentiality risks, privacy breaches and other human subjects' protection concerns in the development of research projects at the University. The IRB reviews activities involving the production of documentaries on a project-by-project basis.

Procedure
Documentary projects are often exempt from the federal regulations regarding the protection of human subjects in research; however, they are not necessarily exempt from IRB review. If documentary makers believe their research is eligible for an exemption, they should submit a request for IRB concurrence using the "Certificate of Exemption" form.

The Chair of the IRB reviews the form and proposed protocol to determine if the project is exempt. Documentary filmmakers may not initiate a project that they believe is exempt until they have received formal notice of concurrence from the IRB.

An exemption neither relieves documentary makers of ethical responsibility nor does it excuse them from the obligation to obtain informed consent to participate. The IRB is particularly interested in reviewing the information sheet (i.e., the informed consent) and the release form. The information/consent form and release form serve two different functions and should be kept separate. One copy of both the information/consent and release form must be provided to each participant and a copy of each placed in the file of the documentary maker. See below for samples of each form.

Participants who do not speak English should be presented with documents written in a language understandable to them. Petitioners must provide the IRB with both the English version and the translation.

The IRB does allow for verbal consent under special circumstances. Petitioners are asked to consult with the Chair for appropriate procedures. In addition, those filming in public settings are asked to employ alternative procedures, such as seeking prior permission from community and/or cultural organizations.

Petitioners should submit to the IRB two copies (i.e., the original plus a copy) of the exemption form, proposed protocol, and attachments such as the information/consent form and release form.

Rationale
The members of the IRB are investigators themselves so they fully understand concerns about the drawbacks of regulations and paperwork. Furthermore, we have heard similar responses from linguists who fear that introducing so-called "contractual elements" could affect rapport with consultants. However, the regulatory climate right now is such that virtually all students at UB whose projects (Senior Honors, Master's, or doctoral) involve human participants are required to obtain IRB review and approval. Without this approval, they cannot receive their degrees or funding for the projects.

With respect to federal regulations, IRB members keep in mind three points. First, the subjects of documentaries very possibly meet the regulatory definition of "human subjects" because they are living, identifiable persons about whom data and/or potentially sensitive information is obtained.

Second, the regulatory definition of "research" includes the concept of the intention to increase or develop generalizable knowledge. Documentaries produced by students often fall short of this standard, but not always. Therefore, the SBS IRB reviews activities involving the production of documentaries on a project-by-project basis. The reason is that disseminated research occurs whenever information is formally presented (e.g. poster session, screening, exhibition, presentation) to any audience beyond the course or whenever a scholarly item (such as a thesis) is produced. Disseminated research must be reviewed by the IRB.

The project may not be research in a strict sense, but if intellectual property (community and personal histories, experiences of being migrants, narratives of culture change) is being obtained from the participants, then many of the same rules adhere, at least for students and faculty affiliated with UB. Among these rules are full communication to participants about the purpose of the project, their rights, possible benefits and risks of participating, whether there is to be compensation and how much, whom to contact if there are questions, etc.

Third, the IRB is a committee established to protect the rights and welfare of human research subjects recruited to participate in research activities conducted under the auspices of the institution with which it is affiliated. The members of the IRB can be likened to guardians of an important function: to assure members of our society (i.e., prospective subjects in documentaries) that when they are asked to appear in documentaries, that protocol has been reviewed and approved by individuals other than those who have an interest in producing the documentary. The IRB's handling of research-like risks in a project that isn't research in the strictest regulatory sense may well strike student film-makers and their faculty advisors as a function that creeps beyond the federal regulations. However, they should be confident that ethics and the regulations, in tandem with common sense, will apply, especially in terms of safeguards for protection of subjects' identity and for obtaining consent or release for recording.

(The above is a distillation of comments sent to the listserv The IRB Discussion Forum and a memo by Dr. Ann McElroy, Chair of the SBS IRB. Editorial suggestions were kindly provided by Margo A Willbern, Director, Interdisciplinary Graduate Programs However, errors and ambiguities are due to Brant Kresovich so comments, doubts, and suggestions should be directed to bmk4@buffalo.edu.)

This is a model information and consent form created by the Social and Behavioral Sciences Institutional Review Board at the University at Buffalo, the State University of New York

Information Sheet / Consent Form

Project title: "Javanese Puppet Players in California"
Department of Media Study, University at Buffalo, The State University of New York

Dear Documentary Participant:

My name is Yolande Illawarra. I invite you to participate in my documentary film/video "Javanese Puppet Players in California" during your stay in California. The purpose of the project is to create a film that will inform viewers about this unique art.

There may be no benefit other than a sense of informing and entertaining the public at large. There are no known risks to participating in this project.

Your participation is completely voluntary. Your refusal to participate won't affect any of your relationships with host families, promoters, or government authorities. You may refuse to participate before the production begins or stop at any time after recording has begun. I will interview you about your art for about an hour and record some or all of your performance, for a total of up two hours.

I will record your performance and our interview. After editing, I will destroy unused footage. After submitting the final version as my thesis project for my university, I will keep the final version in my portfolio.

Questions about this project can be directed to the faculty sponsor Dr. Jean Poole, 716/645-0101 at the University at Buffalo. For questions regarding the rights of participants in these kinds of projects, contact the Social and Behavioral Sciences Institutional Review Board at 716/645-3321 or 515 Capen, Buffalo, NY 14260.

You will receive a copy of this form.

Your signature below will indicate that you have decided to volunteer as a participant in this project; that your questions have been answered satisfactorily; and that you have read the information provided above.

Participant's signature: ____________________________

Date: _____________________________________

Addition for Minors

I represent that I am the parent and/or guardian of the minor who has signed above or is the participant in the program.

Parent/Guardian's signature: ___________________________

Date: _________________________________

Film maker's signature: _______________________

Date: ______________________

Thank you very much for your consent to participate in this project.

This is a model release form created by the Social and Behavioral Sciences Institutional Review Board at the University at Buffalo, the State University of New York

Release Form

Participant's name: ______________
Program title: "Javanese Puppet Players in California"
Production date(s): __________________

Location: _______________________

I authorize Yolande Illawarra to record and edit into the Program described above my name, likeness, image, voice, interview, and performance.

Yolande Illawarra may use all or parts of the program.

Yolande Illawarra shall own all right, title, and interest in and to the program, including the recordings, to be used and disposed of without limitation as Yolande Illawarra shall in her sole discretion determine.

Participant's signature: __________________________

Date: _______________________________

Address: _________________________

Yolande Illawarra's signature: ___________________

Date: _______________________

Addition for Minors

I represent that I am the parent and/or guardian of the minor who has signed above or is the participant in the program. I agree that we will both be bound by this agreement.

Parent/Guardian's signature: _________________

Date: ___________________

You will receive a copy of this form.