Compensation Incentive Policy Creation
Compensation and/or Incentive Use in Research Policy
Institutional Review Board of Saint Mary-of-the-Woods College
Purpose
This policy outlines the guidelines for use of compensation and incentives in research conducted under Saint Mary-of-the-Woods College (SMWC). The goal is to ensure that compensation practices comply with ethical principles, federal regulations, and institutional values, while protecting the rights and welfare of research participants.
Scope
This policy applies to all research involving human subjects conducted by SMWC faculty, staff, students, or affiliates, regardless of funding source or location.
Definitions
- Compensation: Monetary or non-monetary payment provided to research participants in exchange for their time, effort, and inconvenience.
- Incentive: A reward or gift used to encourage participation in research but not necessarily tied to effort or time spent.
- Undue Influence: An offer of excessive or inappropriate compensation or incentives that may impair a participant’s ability to make a voluntary decision about participation.
Policy Guidelines
1. Compensation and incentives must be fair, appropriate, and proportionate to the time, effort, and inconvenience associated with participation. The use of compensation and incentives must not coerce or unduly influence individuals to participate in research. All plans for compensation or incentives must be reviewed and approved by the IRB prior to implementation.
2. Acceptable forms of compensation and incentives may include monetary compensation (cash, checks, gift cards, or electronic payments). However, monetary compensation amounts will align with standard rates for similar activities and populations. Non-monetary incentives (gifts, course credit, or other tokens of appreciation) must have a reasonable value and should not disproportionately influence a participant’s decision to participate. Reimbursement for expenses may include travel, childcare, or other expenses directly related to participation.
3. Special considerations when involving vulnerable populations (e.g., children, prisoners, economically disadvantaged individuals) must be taken to ensure that compensation or incentives do not exert undue influence.
4. Disclosure requirements, including but not limited to details of compensation and incentive plans, must be fully described in the informed consent document. This description must include information concerning:
- Amount and type of compensation or incentive.
- Justification for the rate of compensation based on (a) amount and type of effort expended by potential participants in the research, and (b) fair, prevailing rates for that effort in the marketplace or academic community.
- Timing and conditions for receipt of compensation or incentives.
- Any prorated payment structure if applicable.
5. Compensation shall not be considered a benefit for participation in the research.
6. Tax implications must be identified by the researcher, and they will inform the research participants if compensation may have tax implications and will adhere to SMWC and federal tax reporting requirements.
7. It is the responsibility of the researcher to maintain accurate records of compensation and incentives distributed, in compliance with SMWC’s data privacy and security policies.
Review and Approval Process
All research protocols involving compensation or incentives must be submitted to the IRB for review. The IRB will evaluate:
- Whether the proposed compensation is fair and appropriate.
- Whether the compensation plan avoids coercion or undue influence.
- Whether the plan aligns with institutional and federal ethical standards.
Non-Compliance
Failure to comply with this policy may result in suspension of the research, withdrawal of IRB approval, and potential disciplinary action.
Effective Date
This policy is effective as of 01/22/2025 and will be reviewed periodically by the IRB.
Contact Information
For questions or clarification regarding this policy, please contact: Saint Mary-of-the-Woods College Institutional Review Board Chair at lpantazi@smwc.edu
This policy reflects SMWC’s commitment to ethical research practices and the protection of human subjects.