GUIDANCE: Photographs, Video and Audio Recordings (released on 04/01/2022) 

Click here to be taken to the Word document version of this page.  

INTRODUCTION 

This guidance is intended to assist study teams in designing their study protocol and supporting documents so that their study satisfies regulatory requirements as well as best practices regarding audio recording, video recording and/or photography (AVP) used in human subject research. This guidance also includes instructions meant to assist researchers in providing sufficient information to the Institutional Review Board (IRB) so that the IRB can fully understand how audio recording, video recording and/or photography are used throughout and after the research. 

GENERAL CONSIDERATIONS  

All subjects should be informed when any type of recordings or photographs will be taken whether in a group setting or during individual interactions. The following should be considered when using audio, video, and/or photographs in human subject research: 

1. In many instances, AVP involves recording identifiable information about subjects which may or may not be of a sensitive nature. The use of AVP should only be done when necessary to answer the research questions being posed. 
2. Study teams should indicate to potential subjects that recordings or photographs may, or will, be made during the course of the study. Subjects should be informed prior to participation in the study, preferably during the recruitment process, if their willingness to be recorded/photographed is a requirement of participating in the study. Information regarding the recordings must be included in the informed consent form.  
3. Study teams must obtain subject consent (including parental permission if the subjects are minor minors), except in instances when a waiver has been explicitly requested and granted by the IRB. The consent process should include a description of any potential for use of the AVP outside of the current project – including future research, conferences/presentations, education, training, or sharing with other researchers. All proposed uses must be clearly explained. 
4. The study protocol and supporting documents should describe the following: 
   • Activities or images that will be recorded and for what purpose 
   • Information regarding the type of technology to be used, why, and who owns the equipment (e.g., the institution, the study team, or the participant) 
   • If applicable, the type and extent of identifiable information that will be captured and stored for any length of time  
   • How recordings will be stored, secured, used, transferred, and destroyed (if the study plan includes destruction of such materials) 
   • Plans for transcription and/or coding of recordings or photographs 
   • If applicable, a description of any planned future research for which recordings will be used and/or an indication that recordings will be stored for unplanned future research, including confirmation that IRB approval will be obtained for those uses  
   • Any risks associated with loss of privacy or breach of confidentiality that could occur with the use of AVP 

ADDITIONAL CONSIDERATIONS FOR CLASSROOMS OR EDUCATIONAL SETTINGS 

The Human Research Protection Program (HRPP) recognizes two different types of recordings in classrooms/educational settings:  

1. Consent has been obtained from everyone in the classroom for AVP and the recording/images unintentionally capture incidental subjects. Incidental subjects are individuals from whom consent has not been obtained but information about them has been incidentally collected in the research setting (e.g., they enter the room unexpectedly). 
   • In addition to items 1-4 noted in the ‘General Considerations’ section above, the study protocol should describe the following: 
     • A request for a waiver of informed consent for incidental recordings of individuals who have not provided consent.  In order to approve the waiver of consent, the study must meet the criteria outlined in section 1 of the HRP-410 – Checklist - Waiver or Alteration of the Consent Process. 
       • If the protocol meets the criteria for exemption from the federal regulations (i.e. will be reviewed as “exempt”), the request must at a minimum address the following: 
         • Describe how the research involves no more than minimal risk to the incidental subjects; 
         • Provide justification for why the research could not practicably be conducted if consent from incidental subjects was required; 
         • Confirmation that the waiver will not adversely affect the rights or welfare of the incidental subjects; 
         • A plan for whether incidental subjects will be provided with additional pertinent information after an incidental recording/image is made; and 
         • The plan for removing the recordings/images of individual(s) who were incidentally recorded, and/or their identifiable information, from the recordings or images. NOTE: The study team must have the technology and necessary skills to be able to carry out this plan 
2. Entire classroom recordings occur when the study team needs to record all individuals (teachers and students) in the class. 
   • In addition to the items 1-4 noted in the ‘General Considerations’ section above, the study protocol should describe the following: 
     • A plan for obtaining consent and/or parental permission for all individuals whose AVP will be used for research purposes, as per item 3 in the ‘General Considerations’ section above.  
     • A request for a waiver of informed consent for subjects that may be included in the recordings/images, but who will not have their information included in the research. This waiver of informed consent will only apply to the subjects that do not provide consent/parental permission. 
       • The guidance for the information that should be included in this request is the same as that outlined above for incidental subjects; however, because it is known in advance that these individuals will be present for the recording but should not be included, notification in advance is required to meet the criteria of providing subjects with additional pertinent information. 
       • The plan for notification should explain how all individuals (including parents of minors) being recorded will be prospectively informed of the study team’s intent to make recordings or photographs of the entire classroom for research purposes. NOTE: The school and the instructor must also give permission for research-related AVP (see note below regarding the use of HRP-504). This prospective notification must include an explanation of the measures in place to ensure that AVP for which the study team has not obtained consent will be protected, removed, and/or destroyed in lay language. 
       • The submission must include a plan for addressing participants who proactively ask to be excluded from the beginning (e.g., no recordings/images are ever created of them/their children). 
     • Measures to be taken to protect the confidentiality of individuals who have not provided consent (or minors who do not provide assent) to have their data/images used for research purposes (e.g. how the researchers will know that consent/assent was not provided by these individuals). This plan should include a detailed description of how the study team will ensure that the information is not used for research purposes and how it will be protected, removed, and/or destroyed. 
     • How individuals coming into the room will be alerted to the recording (e.g., posting signs on the door) 

Study teams are required to utilize HRP-504 -School Permission to Conduct Research to obtain permission from schools where their research will be conducted, regardless of whether AVP is included. When the research study includes AVP, HRP-504 must include a statement that the school approves the plan for video/audio recordings and/or photographs as outlined in the study protocol. HRP-504 does not need to be submitted in CATS IRB but must be retained with the PI’s research records and provided upon request. The HRP-504 template is located in the CATS IRB Library (‘Templates’ tab).