Library Administrator Mistakes FOIA Request for Human Subjects Research

Sometime human-subjects alarmist Michael Zimmer sent requests for public documents to 30 public libraries. Though most librarians welcome requests for information, in the age of the Common Rule, you can't take anything for granted.

[Zimmer, Michael. “New Project on Privacy and Cloud Computing in Public Libraries (and Some Aftermath).” MichaelZimmer.org, January 9, 2015. h/t Rebecca Tushnet]

Zimmer reports:

One library administrator seemed to take some umbrage with my project and approach. That director emailed a larger list of library directors asking if anyone else had received my records request, noting that “There is no promise of anonymizing the data or offer to opt out of the study, which is a typically included in studies these days” and expressing surprise that my IRB would approve such a methodology. (I learned of this concern due to that director’s email being forwarded to a privacy list hosted by the ALA that I’m a subscriber to.) I’ve since replied that this methodology doesn’t involve human subjects, and follows common approaches to obtaining government information (such as the Fordham Center for Law and Information Policy’s excellent research on privacy and cloud computing in public schools). I’ll reach out to this director personally, and hopefully the concerns will be put to rest.

Library Research Round Table Calls for Papers on IRBs

Melora Norman kindly forwarded the following:

Call for Presentations

2011 Library Research Round Table Forums at ALA Annual Conference,
New Orleans, LA
June 23-28,2011

The Library Research Round Table (LRRT) will sponsor the Chair’s Research Forum at the 2011 American Library Association Annual Conference in New Orleans, LA (June 23-28). The LRRT Forums are a set of programs at the ALA Annual Conference featuring presentations of LIS research, in progress or completed, followed by discussion.

Chair’s Forum Topic: Institutional Review Boards

Librarian Urges Cooperation with IRBs

Maura Smale, information literacy librarian at the New York City College of Technology, suggests that librarians "embrace research involving human subjects" and seek IRB approval to do so.

[Maura A. Smale, "Demystifying the IRB: Human Subjects Research in Academic Libraries," portal: Libraries and the Academy 10 (July 2010): 309-321, DOI: 10.1353/pla.0.0114]

Smale notes that librarians can interact with IRBs in two ways. First, they can serve as IRB members or consultants, helping researchers and reviewers inform themselves about a proposal. Better library research, she suggests, could have prevented the 2001 death of Ellen Roche, a volunteer in a Johns Hopkins University asthma study. Smale could also have mentioned that better library research might prevent unreasonable IRB demands.

Second, librarians can act as researchers. Smale offers as examples two of her own studies of student and faculty users of her library. She found value in the approval process:

While it was a lengthy and labor-intensive process, obtaining IRB approval was an experience with real value, not simply a bureaucratic hurdle to overcome. Applying to the IRB required us to think deeply and critically about the goals for our research project while still in the early planning stages of the study; navigating the IRB approval process helped us make our research project both stronger and more relevant. Additionally, because we created all of our materials for the IRB application, we were ready to get started on our project as soon as the IRB approval came through, which saved us time at the beginning of our study. (317)

Smale does note that approval took five months, leading the skeptic to ask whether the same deep thinking could have been achieved in less time by another form of review.

Most of Smale's article is less of an argument than an introduction to IRBs for librarians new to the concept. (309). While it serves reasonably well for this purpose, the article unfortunately includes some factual errors that deserve correction:

• "Any study involving human subjects that meets the definition of research in the Belmont Report requires review by the IRB." (312) In fact, the Belmont Report has no legal force, and it is the definition of research in 45 CFR 46 that determines the need for IRB review. That this definition does not match the definition in the Belmont Report suggests the imprecision of the work of the National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research. (More on this in Ethical Imperialism.)



• "There are three levels of IRB review—exempt, expedited, and full. The IRB evaluates each research project and determines the level of review required; researchers may not make this determination on their own." (312) Exempt means exempt; it is not a level of IRB review. The regulations do not forbid researchers from making the exempt determination. And not even OHRP's recommendations insist that an IRB be involved in that determination.



• "Certain types of studies automatically meet the criteria for exemption set forth in the Common Rule, including research on 'normal educational practices' such as curriculum design, instruction, and assessment. Research involving use of previously collected data is also usually exempt. In both cases the subjects' anonymity must be preserved." (313) The "normal educational practices" exemption, 45 CFR 46.101(b)(1), imposes no requirement of anonymity. The existing data exemption, 45 CFR 46.101(b)(4), does not require anonymity if the data are publicly available.



• "Library research projects that include procedures in which the researcher is in direct contact with the subject will usually be required to undergo expedited review by the IRB." (315) Perhaps this is the practice at Smale's institution, but the regulations exempt this kind of research unless "any disclosure of the human subjects' responses outside the research could reasonably place the subjects at risk of criminal or civil liability or be damaging to the subjects' financial standing, employability, or reputation." [45 CFR 46.101(b)(2)]. This would not seem the case in the kind of research Smale proposes concerning "the use of space in the library" or "collaboration between the library and the campus writing center." (318)



• "It is worth noting that the underlying principles used by the IRB to evaluate projects involve ethical treatment of subjects and preservation of privacy and are similar to the recommendations of many discipline-specific professional organizations, including the Oral History Association and the American Anthropological Association." (316). For over a decade, the Oral History Association has been fighting IRB requirements and insisting on the differences between the ethics of medical research and the ethics of oral history. Smale does cite the CITI Program in support of this assertion, but she fails to notice that the CITI Program offers no support for its statement.
{See comments for a correction.]

I am grateful to Smale for sharing her experience and for her kind citations to this blog and to my scholarship. But I fear that she has too readily accepted the claims of IRB administrators and training programs, leading her to advise librarians to tolerate months of delay when they should be demanding swift exemption.

Librarians Ponder IRB Resolution

On June 29, at the American Library Association's Annual Conference, Melora Ranney Norman proposed a "Resolution on Institutional Review Boards and Intellectual Freedom."

Norman, a former chair of the ALA's Intellectual Freedom Round Table, noted that

Despite the fact that walking down the street is more dangerous than any conversation could ever be, on some college and university campuses, assertions of liability or vague, unproven risk are allowed to trump any actual proof of risk or danger, to the detriment of the preservation of knowledge and the human record.

Libraries are all about preserving and providing access to the human record with all its pimples, bumps, and bruises. Many of us have heard a quote attributed to Jo Godwin asserting that "A truly great library contains something in it to offend everyone." If the human record is not created to begin, how can we collect, preserve, and provide access to it?

She then called for the ALA to "[support] the American Historical Association in its position on oral history Institutional Review Board exemption, and [join] with the American Association of University Professors in recommending that 'research on autonomous adults whose methodology consists entirely in collecting data by surveys [or] conducting interviews . . . be exempt from the requirement of IRB review—straightforwardly exempt, with no provisos, and no requirement of IRB approval of the exemption.'"

The ALA Council voted to refer the resolution to the Intellectual Freedom Committee, the Library Research Roundtable, the Library History Roundtable, and the Committee on Professional Ethics. The American Historical Association hopes "they will reconsider the decision and support our efforts after further review."

Norman has also posted a Q & A, IRBs and Intellectual Freedom.

Hat tip: Rob Townsend.