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VALENCIA COLLEGE
Human Research Protection (HRP) Institutional Review Board (IRB)
The Valencia IRB Application Package (for Internal Investigators)
Congratulations! You have completed the preliminary screening process online and determined that you need to
submit an IRB application. Are you a Valencia employee or student? If yes, you are considered an Internal
Investigator and may use the documents herein. If no, please contact the IRB Chair at irb@valenciacollege.edu for a
set of documents designed for use by External Investigators.
The following is a complete list of documents that are included for reference as you proceed with your application to
receive an IRB determination:
Document Title
Pages
Purpose
Investigator Responsibilities
2-3
If the research protocol is approved through expedited or full review, the
investigators will be asked to sign and submit a form to document
acceptance of these research conditions
IRB Protocol Initial
Submission Form
4-9
Application to receive formal IRB determination
Participant Informed
Consent Form
10-14
Guidance for developing a compliant informed consent document to be
included with the IRB Protocol Initial Submission Form
Common Definitions
15-22
List of common IRB-related definitions
Once the research protocol is reviewed and determined to be exempt, or is reviewed by the IRB under expedited or
full review, the Principal Investigator (PI) will receive an IRB Determination Form detailing the IRB’s findings. If the
research protocol is approved under expedited or full review, the IRB Determination Form will be part of a larger IRB
Determination Package that includes additional documents for review and completion by the investigators involved in
the protocol.
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VALENCIA COLLEGE
Human Research Protection (HRP) Institutional Review Board (IRB)
Investigators must comply with all Valencia policies and procedures as well as with all applicable Federal, State, and
local laws regarding the protection of human subjects in research, including, but not limited to the following:
Investigator Responsibilities
1. Obtaining IRB approval prior to involving any human subjects (including their data) in research studies. Only
the IRB may determine if research is exempt from Federal regulations (investigators may not make the final
determination of exemption).
2. Ensuring that only qualified personnel conduct the study according to the approved protocol, and in
compliance with each individual’s scope of practice.
3. Ensuring the rights and welfare of each research participant, and that the participant's rights and welfare
must take precedence over the goals and requirements of the research.
4. Implementing no changes in the approved protocol or Participant Informed Consent Form without prior IRB
approval, except in an emergency, if necessary to safeguard the well-being of human subjects. Changes
must be submitted to the IRB in advance using the Addendum/Modifications Request Form; emergency
changes must be submitted to the IRB within five (5) working days of occurrence.
5. Ensuring that anyone obtaining informed consent has read the protocol and has sufficient knowledge of all
information provided in the informed consent document.
6. Obtaining legally effective informed consent from human participants or their legally responsible
representative before any research-related screening or intervention commences and using only the
currently approved Participant Informed Consent Form.
7. Providing each participant enrolled in the study a copy of the IRB-approved informed consent document at
the time of the consent, unless the IRB has specifically waived this requirement.
8. Unless specified otherwise, retaining all signed informed consents and other research-related documents
(including but not limited to paperwork submitted to and approved by the IRB) throughout the study and for
an additional three years after the study is completed/closed with the IRB.
9. Promptly reporting any injuries or unanticipated problems to the IRB in writing within five (5) working days of
occurrence or discovery of occurrence using the Adverse Event Form.
10. Reporting progress of approved research to the IRB, as often as and in the manner prescribed by the IRB on
the basis of risks to subjects, but not less than once per year
11. Completing at least one of the following investigator training options prior to participant recruitment:
. This includes submitting a Continuing
Review/Termination Form to the IRB prior to expiration and also when the research is completed.
• Leadership Valencia HRP/IRB training workshop;
• NIH Human Participants Protection online training at
http://www.cme.cancer.gov
Training must have been completed less than three years prior to the start of participant recruitment and
must continue to be completed at least once every three years; copies of completion certificates must be
submitted to the IRB Chair to be placed in the IRB records as proof of completion. The IRB will consider
accepting alternate HRP training such as the CITI Collaborative IRB Training Initiative online training
modules at http://www6.miami.edu/citireg on a case-by-case basis if requested by the PI or Co-PI. All
investigators should review and be familiar with The Belmont Report: Ethical Principles and Guidelines for
the Protection of Human Subjects of Research (http://ohrp.osophs.dhhs.gov/humansubjects/guidance/
belmont.htm), and the U.S. Department of Health and Human Services (DHHS) regulations for the protection
of human subjects at 45 CFR 46 (http://ohrp.osophs.dhhs.gov/humansubjects/guidance/45cfr46.htm), and
Valencia policies (http://valenciacollege.edu/policies) and procedures applicable to human subjects
protection and research, including but not limited to:
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• 6Hx28:04-08 Public Contact with Students, Faculty, and Staff;
• 6Hx28:04-20 Preservation and Disposal of Records;
• 6Hx28:04-35 Trespass;
• 6Hx28:06-28 Grant Funding;
• 6Hx28:07-26 Code of Ethics for Public Employees;
• 6Hx28:08-22 Research by Faculty; and
• 6Hx28:10-09 Student Records.
12. If unavailable to conduct or direct this research personally for a period exceeding fourteen (14) calendar days
(as when on sabbatical, leave, or vacation), notifying the IRB Chair in writing in advance of the absence,
indicating arrangements made for a Co-PI to assume research-related responsibilities in the researcher’s
absence.
13. In the event that employment with Valencia is discontinued, completing one of the following with each
approved/active protocol prior to the last day of employment: (1) transferring the study to a new PI; or (2)
closing the project. These changes must be sent in writing to the IRB Chair by submitting either an
Addendum/Modifications Request Form or a Continuing Review/Termination Form. This notification must be
submitted at least two (2) weeks prior to the end of employment.
Exemption from Valencia IRB review does not exempt the PI or Co-PI from compliance with all applicable
institutional, Federal, State, and local rules, regulations, policies, and procedures.
Because Valencia does not typically conduct medical research, this list of responsibilities does not include any
references to medical or health-related research activities. Such research projects require special IRB review
because they are subject to additional requirements above and beyond those addressed in the standard Valencia
IRB process, therefore investigators must contact the IRB Chair to seek approval for protocols related to medical
research.
If you have any remaining questions about Valencia’s IRB process, contact the IRB chair at irb@valenciacollege.edu
.
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VALENCIA COLLEGE
Human Research Protection (HRP) Institutional Review Board (IRB)
IRB Protocol Initial Submission Form (for Internal Investigators)
Submission instructions:
• This form should be completed and any required additional documents (e.g., informed consent forms,
recruitment flyers, survey questions, pre- and post-tests) should be attached and submitted to the IRB Chair
both electronically (attached to a single email to irb@valenciacollege.edu) and in hard copy. Hard copies
should be sent to “IRB Chair” at Mail Code 3-32.
• The subject line for the email should say “IRB application [insert last name of Principal Investigator].”
• This form must be submitted electronically in Microsoft Word format; additional documents may be submitted
electronically as instructed in Word, Excel, or Adobe Acrobat (pdf) format.
• Signatures are not required on the electronic version of this form, however the review process will not begin
until the signed hard copy and all appropriate additional documents are received.
If the research is being conducted by a Valencia student in relation to a course or a college department, list the
faculty/staff sponsor as the Principal Investigator (PI) and the student as a Co-Principal Investigator (Co-PI). The Co-
PI’s position should be listed as “Student.”
If the protocol involves having non-investigators such as college class instructors, staff, or students disseminate or
administer documents or services in classes or other settings, you must include a description of how you will train
these individuals in the research protocol, copies of scripts that the individuals will read to their subjects, and a
confirmation that the individuals have agreed to participate in this manner.
Submissions will be processed as quickly as possible after they are received, however please allow a minimum of
three weeks for the review and approval process. An IRB Determination Form will be sent to the PI via inter-office
mail indicating one of the following determinations:
• The research is exempt from IRB review.
• The research is eligible for expedited review and has been approved.
• The research is eligible for expedited review but requires modifications and re-submission before approval
can be given.
• The research is subject to full review and will be discussed at the next scheduled IRB meeting. IRB meetings
are periodically scheduled throughout the year.
• The research protocol has been subjected to full review and has been approved.
• The research protocol has been subjected to full review and has been disapproved.
Disapproved research activities may be re-considered for approval subject to submission of re-design changes that
are responsive to the findings of the IRB.
If you have any remaining questions about Valencia’s IRB process, contact the IRB Chair at irb@valenciacollege.edu
.
THANKS!
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VALENCIA COLLEGE
Human Research Protection (HRP) Institutional Review Board (IRB)
IRB Protocol Internal Submission Form (for Internal Investigators)
Title of Research Protocol: ___________________________________________________________________
___________________________________________________________________
SECTION 1
Principal Investigator (PI): ___________________________________________________________________
Current Position Title: ___________________________________________________________________
Department/Program: ___________________________________________________________________
Campus/Office Location: ___________________________________________________________________
Mail Code: ____________________ Campus Phone: _____________________
Completed HPR/IRB training? (check one)
At Valencia Elsewhere (specify source and date) _________________________ None
I certify that the protocol and method of obtaining informed consent as approved by the Valencia IRB will be followed
during the period covered by this research project. Any future changes to the research project will be submitted to the
IRB for review and approval prior to implementation.
PI Signature: ____________________________________ Date: ____________________
Co-Principal Investigator (Co-PI): ____________________________________________________________
(if applicable)
Current Position Title: ____________________________________________________________
Department/Program: ____________________________________________________________
Campus/Office Location: ____________________________________________________________
Mail Code: ___________________ Campus Phone: _____________________
Completed HPR/IRB training? (check one)
At Valencia Elsewhere (specify source and date) _________________________ None
I certify that the protocol and method of obtaining informed consent as approved by the Valencia IRB will be followed
during the period covered by this research project. Any future changes to the research project will be submitted to the
IRB for review and approval prior to implementation.
Co-PI Signature: ____________________________________ Date: ____________________
(Copy Section 1 as needed to list additional Co-Principal Investigators)
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SECTION 2
Dates of Proposed Research: ___________________________ to _____________________________________
Source of Funding: (check one)
External Grant (specify, e.g., Title III, NSF) ________________________________________________
Internal Grant (specify, e.g., SBI) ________________________________________________________
Self/Unfunded
Other (specify) ______________________________________________________________________
PI Supervisor/Administrator: ___________________________________________________________________
Mail Code: ____________________ Campus Phone: _____________________
PI Supervisor/Administrator Signature: ________________________________ Date: ______________
SECTION 3
Will individuals outside of Valencia be collaborating on this research? Yes No
If “Yes”:
External Researcher’s Name: ____________________________________________________________
Collaborating Institution: ____________________________________________________________
Brief Description of Collaborating External Researcher’s Role: (additional information may be requested later)
(Copy Section 3 as needed to list additional collaborating External Researchers)
click to sign
signature
click to edit
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SECTION 4:
Briefly describe your project’s research methodology in non-scientific language:
• Experimental design (including measures and observations to be taken, location)
• Procedures to be used for data collection
• Plans for:
(1) data confidentiality (the researchers will know the names of the participants but have a plan to control the
process so the names will not be revealed to others) or data anonymity (the researchers will not know the names
of the participants and have a plan to control the process so the names will not be tied to the data):
(2) limited data access (the researchers have a plan to limit those who have access to the data to ensure
security):
(3) data disposition (the researchers have a plan to ensure the safe and complete destruction of data after the
data is no longer needed for research purposes):
• Specifically what will be done with or to the research participants
• Expected outcome of research or how research findings will be used
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• Other (e.g., request for waiver of documentation of informed consent):
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Participants:
Age: (check one) 18 or older Under 18 Both
Number to be Recruited: ____________________________________________________________
Special Populations targeted by this research project (check all that apply):
Racial/ethnic minority Elderly Economically disadvantaged
Educationally disadvantaged Other (specify)___________________________
Remuneration (if any): ____________________________________________________________
Recruitment Process (including steps to ensure that participation is voluntary):
SECTION 5:
Based on completion of the preliminary screening process online, complete A, B, or
C below:
A. I request that this research be considered exempt from IRB review
. Yes
B. I request that this research be considered for expedited IRB review
. Yes
C. I believe this research is subject to full IRB review. Yes
Attachments:
• A sample of the informed consent form to be used for this research project must
• Other documents (e.g., recruitment materials, statements to be read to the subjects, questionnaires, tests, or
other instruments) should be attached as appropriate. Please list below:
be submitted with this
application. Please refer to the Participant Informed Consent Form for more detailed information and
guidance.
______________ ___________________ ________________ ________________
Date Received Date Distributed to IRB Date of IRB Vote IRB Determination
by IRB Chair or (if applicable) (if applicable)
Designated Rep
IRB Comments:
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VALENCIA COLLEGE
Human Research Protection (HRP) Institutional Review Board (IRB)
Participant Informed Consent Form (for Internal and External Investigators)
Informed consent means that research participants need to have sufficient information about the project in which they
are being asked to become involved so that they have a general understanding of the research before they volunteer
to participate. The information given to prospective participants (and/or their representatives) must be in
language they can understand.
The information contained in your Participant Informed Consent Form should provide sufficient details about
what the participant will be asked to do and must match what you have stated in your IRB Protocol Initial
Submission Form (or, if applicable, reflect modifications as described in your IRB Continuing
Review/Termination Form or IRB Addendum/Modification Form). The following suggestions are offered as
guidelines; the exact language of the informed consent form is the decision of the researcher and should be
age and language-appropriate.
SECTION 1 - SAMPLE INFORMED CONSENT FORM:
The following sample Participant Informed Consent Form includes a side-by-side table that lists the required
components of informed consent along with some suggested wording.
SAMPLE PARTICIPANT INFORMED CONSENT FORM
[Date]
Dear [Student/Parent/Sir/Madam]:
Required Components of
Informed Consent
Sample Wording
1. Statement of purpose of the
study.
We are conducting a study to determine _____.
2. Short description of
methodology and duration of
participant involvement.
In this study, [you/your child] will be asked to _______. Participation should
take about ___ minutes/hours/days/weeks/months].
3. Statement of risks/benefits
to the participants (including
remuneration, if applicable).
There are no risks to [you/your child].
OR
The only risks to [you/your child] include _____.
4. Statement of data
confidentiality. (Note:
“confidential” means that the
researchers will know the
names of the participants,
whereas “anonymous” means
that the researchers will not
know the names of the
participants.)
All information will be handled in a strictly confidential manner, subject to the
disclosure requirements of Florida Sunshine Laws, so that no one will be able
to identify [you/your child] when the results are recorded/reported.
OR
All information will be submitted anonymously, so that no one will be able to
identify [you/your child] when the results are recorded/reported.
AND
All information is subject to the Family Educational Rights and Privacy Act
(FERPA) of 1974, which is designed to protect the privacy of educational
records.
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Required Components of
Informed Consent
Sample Wording
5. Statement regarding the
right of the participant to
withdraw from the study at any
time without negative
consequences.
[Your/your child's] participation in this study is totally voluntary and you may
withdraw at any time without negative consequences. To withdraw at any
time during the study, simply contact [name, title of Principal Investigator] at
[phone number, email address], or [mailing address]
6. An offer to answer any
questions the participant may
have.
Please feel free to contact [name(s), title(s) of all investigators] at [phone
number(s)] if you have any questions about the study.
7. Contact information for
Valencia’s IRB.
Or, for other questions, contact the Chair of Valencia’s Institutional Review
Board at irb@valenciacollege.edu.
8. Line for signature of
participants and/or parents or
legal guardian, and statement
that participant is 18 years of
age or older unless parent or
legal guardian has given
consent
If the participant is of age (18 years old or older), use:
I understand the study described above and have been given a copy of the
description as outlined above. I am 18 years of age or older and I agree to
participate.
________________________________
Signature of Participant Date
OR
If the participant is not of age so parent/guardian will be signing, use:
I understand the study described above and have been given a copy of the
description as outlined above. I agree to allow my child to participate with
his/her assent when possible.
_________________________________
Signature of Parent/Guardian Date
AND
ASSENT format (see Section 4):
I understand what I must do in this study and I want to take part in the study.
_________________________________
Signature of Child Date
OR
If the research is minimal risk and anonymous and you are requesting a
waiver of documentation of consent (see Section 2), use:
I am at least 18 years of age and completing this [survey] constitutes my
informed consent.
A copy of the Participant Informed Consent Form must be given to the signatory, along with copies of any research
materials that are provided to the participants and/or their parents/guardians (e.g., recruitment materials, description
of the research, lists of questions).
If you will only be seeking participants who are 18 years of age or older, it is recommended that you include the
statement “You must be 18 years of age or older to participate in this research” at the top of your Participant Informed
Consent Form so that it is clearly visible.
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SECTION 2 - WAIVER OF DOCUMENTATION OF CONSENT:
You may request a waiver of documentation of consent (just state this in Section 4 of your IRB Protocol Initial
Submission Form) if your research is minimal risk, truly anonymous, and you do not need to know who completed
which survey. By using the waiver of documentation of consent, you must still provide participants with a consent
form/letter, but participants do not have to sign the form
. You may convert the sample consent form above to a
waiver of documentation of consent by removing the signature lines and removing any reference to signing. The title
of the form should remain “Participant Informed Consent Form.”
Federal regulations provide for seven (7) “minimal risk” categories, and four (4) of those categories are related to
medical research. Because Valencia does not typically conduct medical research, only the three (3) non-medical-
related minimal risk categories are described below. If your activity is related to medical research, please contact the
IRB Chair. The three (3) non-medical-related minimal risk categories are:
(1) research involving materials (data, documents, records, or specimens) that have been collected, or will be
collected solely for non-research purposes (such as medical treatment or diagnosis).
(2) collection of data from voice, video, digital, or image recordings made for research purposes.
(3) research on individual or group characteristics or behavior (including, but not limited to, research on perception,
cognition, motivation, identity, language, communication, cultural beliefs or practices, and social behavior) or
research employing survey, interview, oral history, focus group, program evaluation, human factors evaluation, or
quality assurance methodologies.
SECTION 3 - DECEPTION:
In situations where participants will be intentionally deceived as part of the research process, items 1 and 2 of
the sample informed consent in Section 1 are omitted and participants are told (on the signed form) that disclosure of
the purpose and/or methodology could bias the outcome of the study. In this case, after the study is complete,
each participant must be presented with a description of the purpose and methodology as carried out and a
debriefing document must be signed by the participants “after the fact” in order to guarantee informed consent
. If
deception is part of your research, the following is suggested debriefing format:
SAMPLE DEBRIEFING DOCUMENT FOR DECEPTION RESEARCH
Thank you for your participation in this experiment. As you may have gathered from the
activity, we are interested in _________. The research activity that you participated in was
designed to _______. We will be combining your results with the results of others to
determine ____________.
If you do not wish for your results to be part of this study, please inform the experimenter at
this time. If you have any questions, comments, or concerns, or would like a copy of the final
results, contact ______.
______________________________ _______________________
Participant’s Signature Participant’s Printed Name Date
____________
(or Parent/Guardian)
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SECTION 4 – CHILDREN:
For participants less than 18 years of age, the researcher must obtain the informed consent of a parent or legal
guardian and all reasonable attempts must be made to obtain each participant's assent, which is defined as the
participant's agreement to participate in the study. Documentation of this assent must be signed by the child (or the
parent/guardian if the child is too young to sign) and a witness (not the person obtaining the assent).
If your participants will be children of elementary age or younger, you should consider obtaining the child’s assent by
reading the informed consent information to prospective participants instead of presenting only a written document.
SAMPLE CHILD’S ASSENT SCRIPT
My name is ______ and I am ______ at Valencia College. I am interested in how students
like you ____ and I would like to ask you some questions. You may stop at any time and
you will not have to answer any questions you do not want to answer. If you don’t want to
do this, it is OK and your [parent/teacher] will find something else for you to do. Would you
like to do this?
If the child is old enough to sign his/her name, have your script printed out on a piece of
paper with the following:
I want to participate in _______’s research project.
______________________________ _______________________
Student’s Signature Student’s Printed Name Date
____________
(or Parent/Legal Guardian)
______________________________ __________________________
Witness’ Signature Witness’ Printed Name
If the child is not old enough to sign his/her name, the child must clearly say “Yes” and you must document in
writing on the assent form that the child said “Yes.” A witness should sign this written documentation. A nod of
the head or other physical gesture alone is NOT acceptable as evidence of assent.
SECTION 5 – VERBAL RESEARCH:
If your methodology involves verbal questioning (such as telephone surveys) where obtaining written consent is
difficult, here is some suggested wording:
SAMPLE ADULT VERBAL CONSENT SCRIPT
(Telephone survey sample)
Hi, my name is _______. I am a _______ at Valencia College and we are doing a survey for
_________. The survey is really short and only takes about 5 minutes. I can only interview
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people who are 18 years of age or older. Are you at least 18? (If yes, continue; if no, May I
please speak to anyone in the household who is at least 18)
(Add as necessary to assure respondent) Let me stress that your participation in this survey
is completely voluntary and confidential, subject to the disclosure requirements of Florida
Sunshine Laws. Do you have any questions you want to ask about the survey? You will not
be identified by name in any document we produce. We are interviewing approximately ____
people and your answers will be combined with everyone else’s. You have the right to refuse
to answer any question you want. You may also terminate the interview at any time.
Proceed with survey questions approved by the IRB.
SECTION 6 – ONLINE RESEARCH:
If the research process involves an online survey, the survey should open up with a consent letter being displayed
first and instructions for the participant to click the accept button if they want to participate. An https-type secured site
is preferred for confidentiality purposes (subject to the disclosure requirements of Florida Sunshine Laws).
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VALENCIA COLLEGE
Human Research Protection (HRP) Institutional Review Board (IRB)
(Relevant selections from the
Common Definitions
U.S. Department of Health and Human Services Office of Research Protection Glossary)
ADVERSE EFFECT An undesirable and unintended, although not necessarily unexpected, result of therapy or other
intervention (e.g., headache following spinal tap or intestinal bleeding associated with aspirin therapy).
ASSENT Agreement by an individual not competent to give legally valid informed consent (e.g., a child or cognitively
impaired person) to participate in research.
ASSURANCE A formal written, binding commitment that is submitted to a federal agency in which an institution
promises to comply with applicable regulations governing research with human subjects and stipulates the
procedures through which compliance will be achieved [Federal Policy §___.103].
AUTHORIZED INSTITUTIONAL OFFICIAL An officer of an institution with the authority to speak for and legally
commit the institution to adherence to the requirements of the federal regulations regarding the involvement of human
subjects in biomedical and behavioral research.
AUTONOMY Personal capacity to consider alternatives, make choices, and act without undue influence or
interference of others.
BELMONT REPORT A statement of basic ethical principles governing research involving human subjects issued by
the National Commission for the Protection of Human Subjects in 1978.
BENEFICENCE An ethical principle discussed in the Belmont Report that entails an obligation to protect persons
from harm. The principle of beneficence can be expressed in two general rules: (1) do not harm; and (2) protect from
harm by maximizing possible benefits and minimizing possible risks of harm.
BENEFIT A valued or desired outcome; an advantage.
CASE-CONTROL STUDY A study comparing persons with a given condition or disease (the cases) and persons
without the condition or disease (the controls) with respect to antecedent factors. (See also: Retrospective Studies.)
CHILDREN Persons who have not attained the legal age for consent to treatment or procedures involved in the
research, as determined under the applicable law of the jurisdiction in which the research will be conducted [45 CFR
46.401(a)].
COGNITIVELY IMPAIRED Having either a psychiatric disorder (e.g., psychosis, neurosis, personality or behavior
disorders, or dementia) or a developmental disorder (e.g., mental retardation) that affects cognitive or emotional
functions to the extent that capacity for judgment and reasoning is significantly diminished. Others, including persons
under the influence of or dependent on drugs or alcohol, those suffering from degenerative diseases affecting the
brain, terminally ill patients, and persons with severely disabling physical handicaps, may also be compromised in
their ability to make decisions in their best interests.
COHORT A group of subjects initially identified as having one or more characteristics in common who are followed
over time. In social science research, this term may refer to any group of persons who are born at about the same
time and share common historical or cultural experiences.
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COMPENSATION Payment or medical care provided to subjects injured in research; does not refer to payment
(remuneration) for participation in research. (Compare: Remuneration.)
COMPETENCE Technically, a legal term, used to denote capacity to act on one's own behalf; the ability to
understand information presented, to appreciate the consequences of acting (or not acting) on that information, and
to make a choice. (See also: Incompetence, Incapacity.)
CONFIDENTIALITY Pertains to the treatment of information that an individual has disclosed in a relationship of trust
and with the expectation that it will not be divulged to others without permission in ways that are inconsistent with the
understanding of the original disclosure.
CONSENT See: Informed Consent.
CONTRACT An agreement; as used here, an agreement that a specific research activity will be performed at the
request, and under the direction, of the agency providing the funds. Research performed under contract is more
closely controlled by the agency than research performed under a grant. (Compare: Grant.)
CONTROL (SUBJECTS) or CONTROLS Subject(s) used for comparison who are not given a treatment under study
or who do not have a given condition, background, or risk factor that is the object of study. Control conditions may be
concurrent (occurring more or less simultaneously with the condition under study) or historical (preceding the
condition under study). When the present condition of subjects is compared with their own condition on a prior
regimen or treatment, the study is considered historically controlled.
CONTRAINDICATED Disadvantageous, perhaps dangerous; a treatment that should not be used in certain
individuals or conditions due to risks (e.g., a drug may be contraindicated for pregnant women and persons with high
blood pressure).
CORRELATION COEFFICIENT A statistical index of the degree of relationship between two variables. Values of
correlation coefficients range from -1.00 through zero to +1.00. A correlation coefficient of 0.00 indicates no
relationship between the variables. Correlations approaching -1.00 or +1.00 indicate strong relationships between the
variables. However, causal inferences about the relationship between two variables can never be made on the basis
of correlation coefficients, no matter how strong a relationship is indicated.
CROSS-OVER DESIGN A type of clinical trial in which each subject experiences, at different times, both the
experimental and control therapy. For example, half of the subjects might be randomly assigned first to the control
group and then to the experimental intervention, while the other half would have the sequence reversed.
DATA AND SAFETY MONITORING BOARD A committee of scientists, physicians, statisticians, and others that
collects and analyzes data during the course of a clinical trial to monitor for adverse effects and other trends (such as
an indication that one treatment is significantly better than another, particularly when one arm of the trial involves a
placebo control) that would warrant modification or termination of the trial or notification of subjects about new
information that might affect their willingness to continue in the trial.
DEBRIEFING Giving subjects previously undisclosed information about the research project following completion of
their participation in research. (Note that this usage, which occurs within the behavioral sciences, departs from
standard English, in which debriefing is obtaining rather than imparting information.)
DECLARATION OF HELSINKI A code of ethics for clinical research approved by the World Medical Association in
1964 and widely adopted by medical associations in various countries. It was revised in 1975 and 1989.
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DEPENDENT VARIABLES The outcomes that are measured in an experiment. Dependent variables are expected to
change as a result of an experimental manipulation of the independent variable(s).
DESCRIPTIVE STUDY Any study that is not truly experimental (e.g., quasi-experimental studies, correlational
studies, record reviews, case histories, and observational studies).
DHHS A federal agency: U.S. Department of Health and Human Services; formerly the Department of Health,
Education and Welfare (DHEW).
DOUBLE-MASKED DESIGN A study design in which neither the investigators nor the subjects know the treatment
group assignments of individual subjects. Sometimes referred to as "double-blind."
EMANCIPATED MINOR A legal status conferred upon persons who have not yet attained the age of legal
competency as defined by state law (for such purposes as consenting to medical care), but who are entitled to
treatment as if they had by virtue of assuming adult responsibilities such as being self-supporting and not living at
home, marriage, or procreation. (See also: Mature Minor.)
EQUITABLE Fair or just; used in the context of selection of subjects to indicate that the benefits and burdens of
research are fairly distributed [Federal Policy §___.111(a)(3)].
ETHICS ADVISORY BOARD An interdisciplinary group that advises the Secretary, HHS, on general policy matters
and on research proposals (or classes of proposals) that pose ethical problems.
ETHNOGRAPHIC RESEARCH Ethnography is the study of people and their culture. Ethnographic research, also
called fieldwork, involves observation of and interaction with the persons or group being studied in the group's own
environment, often for long periods of time. (See also: Fieldwork.)
EXPEDITED REVIEW Review of proposed research by the IRB chair or a designated voting member or group of
voting members rather than by the entire IRB. Federal rules permit expedited review for certain kinds of research
involving no more than minimal risk and for minor changes in approved research [Federal Policy §___.110].
EXPERIMENTAL Term often used to denote a therapy (drug, device, procedure) that is unproven or not yet
scientifically validated with respect to safety and efficacy. A procedure may be considered "experimental" without
necessarily being part of a formal study (research) to evaluate its usefulness. (See also: Research.)
EXPERIMENTAL STUDY A true experimental study is one in which subjects are randomly assigned to groups that
experience carefully controlled interventions manipulated by the experimenter according to a strict logic allowing
causal inference about the effects of the interventions under investigation. (See also: Quasi-Experimental Study).
FALSE NEGATIVE When a test wrongly shows an effect or condition to be absent (e.g., that a woman is not
pregnant when, in fact, she is).
FALSE POSITIVE When a test wrongly shows an effect or condition to be present (e.g. that is woman is pregnant
when, in fact, she is not).
FEDERAL POLICY (THE) The federal policy that provides regulations for the involvement of human subjects in
research. The Policy applies to all research involving human subjects conducted, supported, or otherwise subject to
regulation by any federal department or agency that takes appropriate administrative action to make the Policy
applicable to such research. Currently, sixteen federal agencies have adopted the Federal Policy. (Also known as the
"Common Rule.")
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FIELDWORK Behavioral, social, or anthropological research involving the study of persons or groups in their own
environment and without manipulation for research purposes (distinguished from laboratory or controlled settings).
(See also: Ethnographic Research.)
FULL BOARD REVIEW Review of proposed research at a convened meeting at which a majority of the membership
of the IRB are present, including at least one member whose primary concerns are in nonscientific areas. For the
research to be approved, it must receive the approval of a majority of those members present at the meeting [Federal
Policy §___.108].
GENERAL ASSURANCE Obsolete term, previously used to denote an institutional assurance covering multiple
research projects. (See also: Assurance.)
GRANT Financial support provided for research study designed and proposed by the principal investigator(s). The
granting agency exercises no direct control over the conduct of approved research supported by a grant. (Compare:
Contract.)
GUARDIAN An individual who is authorized under applicable state or local law to give permission on behalf of a child
to general medical care [45 CFR 46.402(3)].
HELSINKI DECLARATION See: Declaration of Helsinki.
HISTORICAL CONTROLS Control subjects (followed at some time in the past or for whom data are available
through records) who are used for comparison with subjects being treated concurrently. The study is considered
historically controlled when the present condition of subjects is compared with their own condition on a prior regimen
or treatment.
HUMAN SUBJECTS Individuals whose physiologic or behavioral characteristics and responses are the object of
study in a research project. Under the federal regulations, human subjects are defined as: living individual(s) about
whom an investigator conducting research obtains: (1) data through intervention or interaction with the individual; or
(2) identifiable private information [Federal Policy §___.102(f)].
INCAPACITY Refers to a person's mental status and means inability to understand information presented, to
appreciate the consequences of acting (or not acting) on that information, and to make a choice. Often used as a
synonym for incompetence. (See also: Incompetence.)
INCOMPETENCE Technically, a legal term meaning inability to manage one's own affairs. Often used as a synonym
for incapacity. (See also: Incapacity.)
INDEPENDENT VARIABLES The conditions of an experiment that are systematically manipulated by the
investigator.
INFORMED CONSENT A person's voluntary agreement, based upon adequate knowledge and understanding of
relevant information, to participate in research or to undergo a diagnostic, therapeutic, or preventive procedure. In
giving informed consent, subjects may not waive or appear to waive any of their legal rights, or release or appear to
release the investigator, the sponsor, the institution or agents thereof from liability for negligence [Federal Policy
§116; 21 CFR 50.20 and 50.25].
INSTITUTION (1) Any public or private entity or agency (including federal, state, and local agencies) [Federal Policy
§___.102(b)].
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INSTITUTIONAL REVIEW BOARD A specially constituted review body established or designated by an entity to
protect the welfare of human subjects recruited to participate in biomedical or behavioral research [Federal Policy
§§___.102(g), ___.108, ___.109].
INVESTIGATOR In clinical trials, an individual who actually conducts an investigation [21 CFR 312.3]. Any
interventions (e.g., drugs) involved in the study are administered to subjects under the immediate direction of the
investigator. (See also: Principal Investigator.)
IRB See: Institutional Review Board.
JUSTICE An ethical principle discussed in the Belmont Report requiring fairness in distribution of burdens and
benefits; often expressed in terms of treating persons of similar circumstances or characteristics similarly.
LEGALLY AUTHORIZED REPRESENTATIVE A person authorized either by statute or by court appointment to
make decisions on behalf of another person. In human subjects research, an individual or judicial or other body
authorized under applicable law to consent on behalf of a prospective subject to the subject's participation in the
procedure(s) involved in the research [Federal Policy §___.102(c)].
LONGITUDINAL STUDY A study designed to follow subjects forward through time.
MASKED STUDY DESIGNS Study designs comparing two or more interventions in which either the investigators,
the subjects, or some combination thereof do not know the treatment group assignments of individual subjects.
Sometimes called "blind" study designs. (See also: Double-Masked Design; Single-Masked Design.)
MATURE MINOR Someone who has not reached adulthood (as defined by state law) but who may be treated as an
adult for certain purposes (e.g., consenting to medical care). Note that a mature minor is not necessarily an
emancipated minor. (See also: Emancipated Minor.)
MENTALLY DISABLED See: Cognitively Impaired.
MINIMAL RISK A risk is minimal where the probability and magnitude of harm or discomfort anticipated in the
proposed research are not greater, in and of themselves, than those ordinarily encountered in daily life or during the
performance of routine physical or psychological examinations or tests [Federal Policy §___.102(i)]. For example, the
risk of drawing a small amount of blood from a healthy individual for research purposes is no greater than the risk of
doing so as part of routine physical examination.
The definition of minimal risk for research involving prisoners differs somewhat from that given for noninstitutionalized
adults. [See 45 CFR 46.303(d) and Guidebook Chapter 6, Section E, "Prisoners."]
MONITORING The collection and analysis of data as the project progresses to assure the appropriateness of the
research, its design and subject protections.
NATIONAL COMMISSION National Commission for the Protection of Human Subjects of Biomedical and Behavioral
Research. An interdisciplinary advisory body, established by Congressional legislation in 1974, which was in
existence until 1978, and which issued a series of reports and recommendations on ethical issues in research and
medicine, many of which are now embodied in federal regulations.
NONAFFILIATED MEMBER Member of an Institutional Review Board who has no ties to the parent institution, its
staff, or faculty. This individual is usually from the local community (e.g., minister, business person, attorney, teacher,
homemaker).
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NORMAL VOLUNTEERS Volunteer subjects used to study normal physiology and behavior or who do not have the
condition under study in a particular protocol, used as comparisons with subjects who do have the condition.
"Normal" may not mean normal in all respects. For example, patients with broken legs (if not on medication that will
affect the results) may serve as normal volunteers in studies of metabolism, cognitive development, and the like.
Similarly, patients with heart disease but without diabetes may be the "normals" in a study of diabetes complicated by
heart disease.
NULL HYPOTHESIS The proposition, to be tested statistically, that the experimental intervention has "no effect,"
meaning that the treatment and control groups will not differ as a result of the intervention. Investigators usually hope
that the data will demonstrate some effect from the intervention, thereby allowing the investigator to reject the null
hypothesis.
NUREMBERG CODE A code of research ethics developed during the trials of Nazi war criminals following World
War II and widely adopted as a standard during the 1950s and 1960s for protecting human subjects.
OFFICE FOR PROTECTION FROM RESEARCH RISKS (OPRR) The office within the National Institutes of Health,
an agency of the Public Health Service, Department of Health and Human Services, responsible for implementing
DHHS regulations (45 CFR Part 46) governing research involving human subjects.
OPEN DESIGN An experimental design in which both the investigator(s) and the subjects know the treatment
group(s) to which subjects are assigned.
OPRR See: Office for Protection from Research Risks.
PATERNALISM Making decisions for others against or apart from their wishes with the intent of doing them good.
PERMISSION The agreement of parent(s) or guardian to the participation of their child or ward in research [45 CFR
46.402(c)].
PRESIDENT'S COMMISSION President's Commission for the Study of Ethical Problems in Medicine and Biomedical
and Behavioral Research. An interdisciplinary advisory group, established by congressional legislation in 1978, which
was in existence until 1983, and which issued reports on ethical problems in health care and in research involving
human subjects.
PRINCIPAL INVESTIGATOR The scientist or scholar with primary responsibility for the design and conduct of a
research project. (See also: Investigator.)
PRIVACY Control over the extent, timing, and circumstances of sharing oneself (physically, behaviorally, or
intellectually) with others.
PROSPECTIVE STUDIES Studies designed to observe outcomes or events that occur subsequent to the
identification of the group of subjects to be studied. Prospective studies need not involve manipulation or intervention
but may be purely observational or involve only the collection of data.
PROTOCOL The formal design or plan of an experiment or research activity; specifically, the plan submitted to an
IRB for review and to an agency for research support. The protocol includes a description of the research design or
methodology to be employed, the eligibility requirements for prospective subjects and controls, the treatment
regimen(s), and the proposed methods of analysis that will be performed on the collected data.
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QUASI-EXPERIMENTAL STUDY A study that is similar to a true experimental study except that it lacks random
assignments of subjects to treatment groups. (See also: Experimental Study.)
RANDOM, RANDOM ASSIGNMENT, RANDOMIZATION, RANDOMIZED Assignment of subjects to different
treatments, interventions, or conditions according to chance rather than systematically (e.g., as dictated by the
standard or usual response to their condition, history, or prognosis, or according to demographic characteristics).
Random assignment of subjects to conditions is an essential element of experimental research because it makes
more likely the probability that differences observed between subject groups are the result of the experimental
intervention.
REMUNERATION Payment for participation in research. (NOTE: It is wise to confine use of the term "compensation"
to payment or provision of care for research-related injuries.) (Compare: Compensation.)
RESEARCH A systematic investigation (i.e., the gathering and analysis of information) designed to develop or
contribute to generalizable knowledge [Federal Policy §___.102(d)].
RESPECT FOR PERSONS An ethical principle discussed in the Belmont Report requiring that individual autonomy
be respected and that persons with diminished autonomy be protected.
RETROSPECTIVE STUDIES Research conducted by reviewing records from the past (e.g., birth and death
certificates, medical records, school records, or employment records) or by obtaining information about past events
elicited through interviews or surveys. Case control studies are an example of this type of research.
REVIEW (OF RESEARCH) The concurrent oversight of research on a periodic basis by an IRB. Annual reviews are
mandated by the federal regulations, however reviews may, if deemed appropriate, also be conducted on a
continuous or periodic basis [Federal Policy §___.108(e)].
RISK The probability of harm or injury (physical, psychological, social, or economic) occurring as a result of
participation in a research study. Both the probability and magnitude of possible harm may vary from minimal to
significant. Federal regulations define only "minimal risk." (See also: Minimal Risk.)
SECRETARY A U.S. Cabinet Officer. In the context of DHHS-conducted or -supported research, usually refers to the
Secretary of Health and Human Services.
SINGLE-MASKED DESIGN Typically, a study design in which the investigator, but not the subject, knows the identity
of the treatment assignment. Occasionally the subject, but not the investigator, knows the assignment. Sometimes
called "single-blind design."
SITE VISIT A visit by agency officials, representatives, or consultants to the location of a research activity to assess
the adequacy of IRB protection of human subjects or the capability of personnel to conduct the research.
SOCIAL EXPERIMENTATION Systematic manipulation of, or experimentation in, social or economic systems; used
in planning public policy.
STATISTICAL SIGNIFICANCE A determination of the probability of obtaining the particular distribution of the data on
the assumption that the null hypothesis is true. Or, more simply put, the probability of coming to a false positive
conclusion. [See McLarty (1987), p. 2.] If the probability is less than or equal to a predetermined value (e.g., 0.05 or
0.01), then the null hypothesis is rejected at that significance level (0.05 or 0.01).
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SURVEYS Studies designed to obtain information from a large number of respondents through written
questionnaires, telephone interviews, door-to-door canvassing, or similar procedures.
VARIABLE (NOUN) An element or factor that the research is designed to study, either as an experimental
intervention or a possible outcome (or factor affecting the outcome) of that intervention.
VOLUNTARY Free of coercion, duress, or undue inducement. Used in the research context to refer to a subject's
decision to participate (or to continue to participate) in a research activity.
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