08:24:00 Educational Research

Purpose

To establish procedures for conducting research.

Policy

TBR Policy 02:08:00:00 applies as if copied at length herein.

I. General Policy

Walters State supports educational research that is relevant to its mission, strategic plan, or other college approved initiative. Examples of research include, but are not limited to, surveys, dissertation and thesis research, marketing studies, and independent projects using college data. Researchers must adhere to the federal standards on ethical conduct of research. Due to the complexity of the field of research, potential investigators are referred to federal regulations, policies, and guidelines for more information.

WSCC has established an Institutional Research Board (IRB) to ensure that the rights and welfare of human subjects are properly protected. Research by individuals or groups associated with the TBR system must be reviewed, and when appropriate, be approved pursuant to 45 CFR 46.111 by all appropriate IRBs. Research conducted by persons not affiliated with TBR must obtain approval from the WSCC IRB pursuant to 45 CRF 46.111. All published data analysis or reports using data obtained from TBR or WSCC, either electronically or in print, must comply with the federal guidelines in the protection of editable, small cell data, including but not limited to the federal Gramm Leach Bliley Act, 15 U.S.C 6801-6809 (See also WSCC Policy 08:24:01).

Research initiatives will be coordinated with required assessments to avoid duplication of effort and over-surveying students, faculty, and staff whose participation in any research is voluntary. All research must first be approved by the IRB and administrative heads of college units affected by the study. The potential researcher should initiate the approval process by completing the WSCC Institutional Research Form, which may be obtained from the Office of Institutional Effectiveness and Compliance (IEC).

1. Policy for Use of Animals for Research

Depending on the animal definition, the Guide for the Care and Use of Laboratory Animals (1996 or the most current version published by the Institute of Laboratory Animal Research, Commission on Life Sciences, National Research Council) and/or the Animal Welfare Act (Title 9 CFR Chapter 1 Subchapter A) shall be the criteria for researchers to follow regarding the humane treatment of animals for scientific research purposes throughout the TBR system institutions. Each researcher engaged in such research is personally responsible for obtaining, perusing, and applying the principles, standards, and procedures of the Guide.

2. Technology Transfer

TBR institutions must comply with federal laws concerning the protection of national security and military secrets by preventing foreign governments from accessing military and other technologies via the research processes of American universities.

All institutions will have policies at the level appropriate for the specific institution in relation to the transfer of technology. These policies must comply with the provisions of the Arms Export Control Act, 22 U.S.C. 2778.

3. Cash and gift card payments to research participants
   1. Payments to research participants, regardless of delivery method (check, direct deposit, cash, traditional gift card or electronic gift cards) are considered compensation by the Internal Revenue Service. Research participants receiving more than $100 in any calendar year for one study must provide name, social security number and home address at the time of the receipt of payments.
      1. Personally identifiable information should be gathered in a manner which prevents disclosure of personal information to other research participants.
      2. Signatures must be obtained from research participants indicating receipt of the cash or traditional gift card payment.
      3. Payments of greater than $100 to research participants for participation in studies should be made through the institution’s accounts payable system via check or direct deposit.
      4. Some research studies use low dollar payments to compensate participants for time, inconvenience, or as an incentive to increase participation. When such payments are no more than $100 per payment per participant, and individual participant payments aggregate to less than $600 per study, it may be appropriate to make payments utilizing cash, traditional gift cards or electronic gift cards as long as the following procedures are followed.
4. Prohibition from use of cash or gift cards in research studies

1. No payment from cash or gift cards may be made to a WSCC employee or non-resident alien.
2. Cash may not be used to purchase gift cards.

5. Procedures for safeguarding and accounting for cash and gift cards in research studies.

1. Cash or gift cards for research studies must be assigned to a custodian, e.g. a member of the research study staff, responsible for safeguarding the cash or gift cards.
2.  Cash or gift cards for research studies must be maintained under lock and key by the custodian of the funds.
3. Access to the cash or gift cards for research studies must be controlled by the custodian of the funds.
4.  The balance of cash gift cards on hand plus participant receipts must equal the cash and gift cards authorized and obtained. If a shortage of cash or gift cards on hand is determined, the shortage must be reported to the institution’s Bursar’s Office immediately.
5.  Cash or gift cards must be used for research participant payment only and may not be used for departmental or other research expenses.
6.  Cash and gift cards for research participants are subject to audit at any time by the institution, State Audit, or funding agency.
7.  Cash and gift cards for research participants are required to be closed out at the end of the research study and any excess cash or cards must be returned to the Bursar’s Office.

6. Distribution of cash or gift cards to research participants

1. Cash or traditional gift cards must be hand delivered to research participants. These funds cannot be sent to participants through the mail. If participant payments must be mailed, cash or gift cards cannot be used and the payments need to be in the form or a check or direct deposit processed through the Institution’s Accounts Payable department.
2. The method of tracking gift cards should record the following information:

1. Recipient name or, in the case of anonymous or confidential human subject participants, the participant ID number;
2. Date of distribution;
3. Signature of PI authorizing disbursement to recipients;
4. Purpose of payment;
5. Serial number of the gift card;
6. Amount of gift card;
7. Signature or initials of study participant or recipient, if available.

3. Alternate method of record keeping for anonymous and confidential surveys - for anonymous surveys and confidential research participants, the PI must maintain a reconciliation of the number of cards given equaling the number of surveys or participants.1. This reconciliation must be approved by the supervisor of the person disbursing the cards.
4. Alternate method of record keeping for mailed and electronic gift cards - for electronic gift cards, the department must maintain a reconciliation of the number of cards given equaling the number of surveys or participants.1. This reconciliation must be approved by the supervisor of the person disbursing the cards.
5. Payments aggregate to $600 or more per participant are required to be reported as income to the Internal Revenue Service.

II.  Foreign Talent Recruitment Programs

TBR Guideline A-115 applies as if copied at length herein.

The purpose of this guideline is to comply with federal law and to require that all Covered Individuals (1) disclose any participation in a Foreign Talent Recruitment Program and (2) certify that they are not participating in a Malign Foreign Talent Recruitment Program.

A. Disclosure by Covered Individuals

1. Any College or System Office faculty or staff member defined as a Covered Individual who is engaged in U.S. federally funded research activities must disclose participation in a Foreign Talent Recruitment Program. If participating in a Foreign Talent Recruitment Program, a Covered Individual must certify that they are not participating in a Malign Foreign Talent Recruitment Program.
2. For federal grant applications, investigators and senior/key personnel will be required to disclose any Foreign Talent Recruitment Program participation at the time of grant submission. The principal investigator, as well as any co-principal investigators and others identified by the principal investigator, are also required to certify that they do not participate in any Malign Foreign Talent Recruitment Program.
3. Disclosures must be made to the College, both annually and upon submission of any federal grant application, as directed by the grant writer in the College’s Office of Strategic Communications and Marketing.
4. The College shall appoint one or more administrators responsible for:

1. Reviewing disclosures by Covered Individuals and verifying the accuracy and completeness of the information provided, and assessing whether participation in the Foreign Talent Recruitment Program aligns with TBR and college policies and complies with federal regulations;
2. Providing guidance to Covered Individuals on compliance with this policy;
3. If potential involvement with a Malign Foreign Talent Recruitment Program is identified, undertaking further investigation, and taking appropriate action, which may include obtaining legal advice from the Office of General Counsel, recommending suspension of certain activities, and taking corrective measures;
4. Maintaining accurate records of all disclosures and taking action to ensure ongoing compliance with this policy, including reviews of research activities as necessary; and
5. Providing training to faculty and staff about disclosure requirements, the implications of participation in a Foreign Talent Recruitment Program, and the implications of non-compliance.

5. Covered Individuals are prohibited from participating in a Malign Foreign Talent Recruitment Program, in accordance with the CHIPS and Science Act of 2022 and National Security Presidential Memorandum-33.

B. DEFINITIONS

1. “Covered Individual” means any College or System Office faculty or staff member who is funded by a federal award and contributes in a substantive, meaningful way to the scientific development or execution of a research and development project proposed to be carried out with a research and development award from a federal research agency and is designated as a covered individual by the federal research agency concerned. Colleges shall consider the principal investigator, as well as any co-principal investigators to be Covered Individuals and require that they provide applicable disclosures and certifications.
2. “Foreign Talent Recruitment Program” means any program, position, or activity that includes compensation in the form of cash, in-kind compensation, including research funding, promised future compensation, complimentary foreign travel, things of non de minimis value, honorific titles, career advancement opportunities, or other types of remuneration or consideration directly provided by a foreign country at any level (national, provincial, or local) or their designee, or an entity based in, funded by, or affiliated with a foreign country, whether or not directly sponsored by the foreign country, to an individual, whether or not directly or indirectly stated in the arrangement, contract, or other documentation at issue.
3. “Malign Foreign Talent Recruitment Program” means any Foreign Talent Recruitment Program that meets either one of the following two criteria:
   1. Where compensation or remuneration from any foreign country is provided to the Covered Individual in exchange for any of the following:
      1. Engaging in the unauthorized transfer of intellectual property, materials, data products, or other nonpublic information owned by a U.S. entity or developed with a U.S. federal research and development award to the government of a foreign country or an entity based in, funded by, or affiliated with a foreign country regardless of whether that government or entity provided support for the development of the intellectual property, materials, or data products;
      2. Being required by a foreign country to recruit trainees or researchers to enroll in such program, position, or activity;
      3. Establishing a laboratory or company, accepting a faculty position, or undertaking any other employment or appointment in a foreign country or with an entity based in, funded by, or affiliated with a foreign country if such activities are in violation of the standard terms and conditions of a U.S. federal research and development award;
      4. Being unable to terminate the Foreign Talent Recruitment Program contract or agreement except in extraordinary circumstances;
      5. Through funding or effort related to the Foreign Talent Recruitment Program, being limited in the capacity to carry out a research and development award or required to engage in work that would result in substantial overlap or duplication with a federal research and development award;
      6. Being required to apply for and successfully receive funding from the sponsoring foreign government’s funding agencies with the sponsoring foreign organization as the recipient;
      7. Being required to omit acknowledgment of the recipient institution with which the individual is affiliated, or the U.S. federal research agency sponsoring the research and development award, contrary to the institutional policies or standard terms and conditions of the U.S. federal research and development award;
      8. Being required to not disclose to the U.S. federal research agency or employing organization the participation of a Covered Individual in such program, position, or activity; or
      9. Having a conflict of interest or conflict of commitment contrary to the standard terms and conditions of the U.S. federal research and development award.
   2. Where a Covered Individual is sponsored or supported by a foreign country of concern or an entity based in a foreign country of concern (whether or not directly sponsored by the foreign country of concern). Foreign countries of concern currently include:

1. China;
2. North Korea;
3. Russia;
4. Iran; or
5. An academic institution or foreign talent recruitment program on the list developed under §1286 of the John S. McCain National Defense Authorization Act for Fiscal Year 2019 (10 U.S.C. 4001 note; Public Law 115-232) available at https://basicresearch.defense.gov.

4. Acceptable International Collaboration Activities. A Foreign Talent Recruitment Program does not include the following international collaboration activities, so long as the activity is not funded, organized, or managed by an academic institution or a Foreign Talent Recruitment Program identified in Section B.3.b.
   1. Making scholarly presentations and publishing written materials regarding scientific information not otherwise controlled under current law;
   2. Participating in international conferences or other international exchanges, research projects, or programs that involve open and reciprocal exchange of scientific information, and which are aimed at advancing international scientific understanding and not otherwise controlled under current law;
   3. Advising a foreign student enrolled at an institution of higher education or writing a recommendation for such a student, at such student’s request;
   4. Engaging in the following international activities:

1. Activities that are partly sponsored or otherwise supported by the United States such as serving as a government appointee to the board of a joint scientific fund (e.g., the U.S. - Israel Binational Industrial Research and Development Foundation); providing advice to or otherwise participating in international technical organizations, multilateral scientific organizations, and standards setting bodies (e.g., the International Telecommunications Union, Intergovernmental Panel on Climate Change, etc.); participating in a Fulbright Commission program funded in whole or in part by a host country government; or other routine international scientific exchanges and interactions such as providing invited lectures or participating in international peer review panels.
2. Involvement in national or international academies or professional societies that produce publications in the open scientific literature that are not in conflict with the interests of the federal research agency (e.g., membership in the Pontifical Academy of Sciences or The Royal Society).
3. Taking a sabbatical, serving as a visiting scholar, or engaging in continuing education activities such as receiving a doctorate or professional certification at an institution of higher education (e.g., the University of Oxford, McGill University) that are not in conflict with the interests of the U.S. federal research agency.
4. Receiving awards for research and development which serve to enhance the prestige of the U.S. federal research agency (e.g., the Nobel Prize).
5. Other international activities determined appropriate by the U.S. federal research agency head or designee.
   
   09/06; 10/12; 01/15; 05/16; 08/24