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Research Ethics & IRB Part 1

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This is provides essential concepts and facts related to ethical research practices involving human subjects. Topics include the three foundational principles of the Belmont Report—Respect for Persons, Beneficence, and Justice—along with the history of research ethics (e.g., Nuremberg Code), types of IRB reviews (Exempt, Expedited, Full Board), and requirements for informed consent. Ideal for students, researchers, and faculty preparing to engage in ethical research or complete IRB applications.

Three principles of Belmont Report

Respect for Persons
Beneficence
Justice

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Key Terms

Term
Definition

Three principles of Belmont Report

Respect for Persons
Beneficence
Justice

The Belmont Report
Principle of Beneficence

MAXIMIZATION of benefits and MINIMIZATION of risks

T/F
Belmont Report indicates it is necessary to rigorously avoid conflicts of interest

TRUE

The Belmont Report
Respect for Person

Requires that subjects freely choose to participate in research (voluntariness) and that they are adequately informed about a study (informed conse...

The Belmont Report defines and delineates...


"Practice" and "Research"


The Belmont Report
The Principle of Justice

Research benefit and burden distribution and that selection of subjects is fair.

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TermDefinition

Three principles of Belmont Report

Respect for Persons
Beneficence
Justice

The Belmont Report
Principle of Beneficence

MAXIMIZATION of benefits and MINIMIZATION of risks

T/F
Belmont Report indicates it is necessary to rigorously avoid conflicts of interest

TRUE

The Belmont Report
Respect for Person

Requires that subjects freely choose to participate in research (voluntariness) and that they are adequately informed about a study (informed consent)

The Belmont Report defines and delineates...


"Practice" and "Research"


The Belmont Report
The Principle of Justice

Research benefit and burden distribution and that selection of subjects is fair.

T/F
The Belmont report describes the necessity to effectively manage conflicts of interest

FALSE

Students in Research
The history of ethical regulations in human subjects research began with the

Nuremberg Code

Nuremberg Code

Human subjects research guidelines and regulations

Year of the Nuremberg Code

1949

Additional resources regarding IRB approval process

Faculty advisor/Research Mentor
IRB office
Human subjects research websites

What element must be included in an informed consent?

All foreseeable risks and discomforts

Which type of IRB review does not require and IRB approval but DOES require a Determination by the IRB?

If the study qualifies for EXEMPTION

Another name for the "Exempt" status

the Common Rule
stated in Title 45 Part 46 Subpart A

How can faculty researchers avoid coercion of student subjects?

Avoid using their own students in their research

Name the type of Review: Research study that involves use of educational tests, survey, interviews, or observations of public behavior without identifiable information.

Exempt Review category 2


Name the type of review: A study involving data collected that could have an impact on human subject's careers and it contains identifiers of the subjects.

Full Board Review

Type of review that qualifies if no identification of subjects and/or their responses would reasonably place them at risk of criminal or civil liability or be damaging to the subjects financial standing, employability, insurability, reputation, or be stigmatizing, unless reasonable and appropriate protections will be implemented so that risks related to invasion of privacy and breach of confidentiality are no greater than minimal

Expedited review

Type of review: data that is collected does not meet definition of human subjects research as stated by federal regulations. No info ABOUT human ie. info about a business

Not Human Subjects

Federal regulations define human subjects as "living individual about whom an investigator conducting research obtains"...? (2 components)

"1.data through intervention or interaction with the individual
2. identifiable private information"

Name the 3 responsibilities the IRB is charged with

1. Protecting the rights and welfare of human subjects
2. Assuring that all applicable institutional policies and federal regulations related to research with human subjects are followed
3. Reviewing subject recruitment materials and strategies

T/F
IRB's investigate scientific misconduct

False

T/F
IRB's do not review manuscripts prior to submission for publication

True

DHHS
FDA

Depts. IRB's review for current policies
-Department of Health and Human Services
-Food and Drug Administration

Name the study that links most directly to the establishment of the National Research Act in 1974 and ultimately the Belmont Report and Federal regulations for human subject protection

The Public Health Service Tuskegee Study of Untreated Syphilis in the Negro Male

The Tuskegee Study relates to which Belmont principle?

The principle of beneficence: Potential benefits justify the risks of harm

Humphreys collecting data for the Tearoom Trade study under the pretense that he was a lookout is an example of a violation of the principle of:

Respect for persons
Belmont Report

According to the Belmont Report, the moral requirement that there be fair outcomes in the selection of research subjects, expresses the principle of:

Justice

How is the principle of beneficence applied to a study involving human subjects?

Ensuring that risks are reasonable in relationship to anticipated benefits.

Human subject study or not?
Developmental psychologist videotapes interactions between groups of toddlers and their care givers to determine which intervention methods most effectively manage aggression

Yes

Human subject study or not?
The study of a list with deceased passengers

No:Human subject is a living individual

Human subject study or not?Questioning individuals to acquire data about the number of newly diagnosed HIV cases?

No: 'what' question rather than 'who' question

Human subject study or not?
Conducting linguistic analysis of comments posted on a public blog

Not: involves neither interaction with individuals nor collecting private identified info

Human subject study or not?
A study proposed by developmental psychologist involving interactions with living individuals and designed to contribute to field of knowledge

Yes: humans

Human subject study?
A cognitive psychologist enrolls undergraduate students for a computer-based study about the effect of mood on problem solving behaviors

Yes: Interacting w/ living individuals

Human subject study or not?
Questioning a superintendent of schools to acquire data about the ethnic composition of a school

No: it is an "about what" question rather than "about whom" question

Human subject study or not?
Study of 20 4th grade classrooms in which researchers ask the schools to systematically vary the time of day reading is taught, and collect weekly assessments of reading comprehension for each child over 3-month period

Yes: contributes to generalizable knowledge about student performance and research question can only be answered using systematic investigation

Human subject study or not?
Info collected by play ground designer

No: does not involve info about human subjects even though there is interactions between designer and school staff.

Human subject study or not?
An analysis of aggregate data

No: doesn't involve interactions w/ living individuals nor collection of private identifiable data

Human subject study or not?
An economic feasibility study

No: does gather info from people with relevant info and expertise but does not meet the definition of research w/ human subjects, because the intention of the study is to answer "about what" ? rather than "about whom" ?

According to fed. regulations, human subjects are living human beings about whom an investigator obtains data through interactions or intervention with the individual or:

identifiable PRIVATE information
(Public info does not meet criteria)

Subpart of DHHS regulations provides additional protections for which vulnerable populations?

1. Pregnant women
2. Fetuses
3. Neonates
4. Prisoners

Subpart of DHHS regulations Does NOT provide additional protections for which vulnerable populations?

1. elderly
2. students
3. for persons whose decision-making capabilities are impaired

The expedited review process may be used when the study procedures pose:

No more than minimal risk and the research activities fall within regulatory categories identified as eligible

The expedited review process may NOT be used when the study procedures pose:

-more than minimal risk, even if the subjects are adults,
-the sponsor is in a hurry
-the study replicates previously approved research

Continuing review of an approved and ongoing protocol...?

-unanticipated problems
-number of subjects accrued
-recent relevant literature
-copy of current consent form

T/F
Officials of the institution may overrule an IRB approval

True, however no one may overrule if an IRB disapproved a protocol

An investigator wishes to study generational differences in coping mechanisms among adults who experiences abuse as children. Adequate meausre will be instituted to obtain consent and ensure that there is no breach of confidentiality. The most likely additional risk is that some subjects may:

Experience emotional or psychological distress

If disclosure of a subject's involvement in a specific research study can be potentially harmful to the subject, and the consent form is the only record linking the subject to the research, which would be the most helpful?

Obtain a waiver of documentation of informed consent

The primary purpose of a Certificate of Confidentiality is to:

Protect identifiable research info from compelled disclosure

Certificates of Confidentiality protect sensitive info provided by research subjects from:

civil, criminal, or administrative subpoena

T/F
Risk should be evaluated solely by the magnitude or severity of expected harm, not probability

False: Risk must be determined by assessing magnitude (or severity) and probability (or likelihood) of harm. Both elements must be considered.

Risks are specific to:

Time, situation, and culture

A researcher who is also a care provider needs to be very clear that a decision to participate or not in a study will:

Not affect future care

T/F
The fact that a therapist has access to her clients' records as a clinician entitles her to use info in the records for research purposes w/out parental permission nor child assent

False: S/he needs both parental permission & child assent

T/F
School authority's permission to conduct research replaces the need for permission and assent

False

T/F
Children's right to choose cannot be overridden in the pursuit of an indeterminate community interest

True, it cannot be overridden

Appropriate criterion for waiving informed consent when subjects are provided additional pertinent information after the study

informing participants they were assigned to a study based on undesirable or unflattering physical characteristics for example, or anything that may be judged negative or distressing would be considered appropriate criterion

A waiver of the requirement for documentation of informed consent may be granted when:

The only record linking the subject and the research is the consent document and the principal risk is a breach of confidentiality

As part of the consent process, the federal regulations require researchers to:

Provide potential subjects with information at the appropriate reading comprehension level.