Human Subjects Research and Ethics Part 1
This flashcard set provides key concepts and regulatory knowledge related to ethical research involving human subjects, based on U.S. federal regulations (such as 45 CFR 46). It covers topics such as public vs. private information, definitions of research with human subjects, Institutional Review Board (IRB) responsibilities, informed consent, vulnerable populations, exempt and expedited research review, and risk assessment in behavioral and biomedical studies. This is ideal for students, researchers, or professionals preparing for human subjects research certification or IRB training.
A census is a regularly-occurring and official count of a particular population. Census data available at the United States Census Bureau website are an example of:
Public information
Key Terms
A census is a regularly-occurring and official count of a particular population. Census data available at the United States Census Bureau website are an example of:
Public information
A researcher is interested in assessing risk-taking by individuals. The researcher is sitting on a bench near a busy four-way stop intersection. She plans on recording the number of bike riders wearing a safety helmet and whether they stop at the intersection before proceeding in order to correlate use of safety apparel with risk-taking. This collection of information is an example of:
Public behavior
A medical record is an example of:
private information
According to the federal regulations, which of the following studies meets the definition of research with human subjects?
A study of twenty 4th grade classrooms in which researchers ask the schools to systematically vary the time of day reading is taught, and collect w...
According to the federal regulations, human subjects are living individuals about whom an investigator conducting research obtains information through interaction or intervention with the individual, and uses, studies, or analyzes the information; or:
Obtains, uses, studies, analyzes, or generates identifiable private information.
In addition to pregnant women, fetuses, and neonates, another subpart of the HHS regulations provides additional protections for which of the following vulnerable populations?
prisoners
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| Term | Definition |
|---|---|
A census is a regularly-occurring and official count of a particular population. Census data available at the United States Census Bureau website are an example of: | Public information |
A researcher is interested in assessing risk-taking by individuals. The researcher is sitting on a bench near a busy four-way stop intersection. She plans on recording the number of bike riders wearing a safety helmet and whether they stop at the intersection before proceeding in order to correlate use of safety apparel with risk-taking. This collection of information is an example of: | Public behavior |
A medical record is an example of: | private information |
According to the federal regulations, which of the following studies meets the definition of research with human subjects? | A study of twenty 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 a three-month period. |
According to the federal regulations, human subjects are living individuals about whom an investigator conducting research obtains information through interaction or intervention with the individual, and uses, studies, or analyzes the information; or: | Obtains, uses, studies, analyzes, or generates identifiable private information. |
In addition to pregnant women, fetuses, and neonates, another subpart of the HHS regulations provides additional protections for which of the following vulnerable populations? | prisoners |
According to the federal regulations, research is eligible for exemption, if: | The research falls into one of eight categories of research activity described in the regulations. |
Which of the following statements about the relationship between an institution and the institution's IRB(s) is correct? | Officials of the institution may overrule an IRB approval. |
Continuing review of an approved and ongoing study posing more than minimal risk that was initially approved by a convened IRB: | Must occur within 12 months of the approval date. |
According to federal regulations, 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. |
A researcher wishes to study generational differences in coping mechanisms among adults who experienced abuse as children. Adequate measures will be instituted to obtain informed 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. |
Identify the example of when situation and time are key to assessing risk of harm in a research study: | Asking women if they have had an abortion |
The primary purpose of a Certificate of Confidentiality is to: | Protect identifiable research information from compelled disclosure. |
A researcher wants to do a web-based survey of college students to collect information about their sexual behavior and drug use. Direct identifiers will not be collected; however, IP addresses may be present in the data set. Risk of harm should be evaluated by: | Both the magnitude (or severity) and the probability (or likelihood) of harm. |
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 of the following would be most helpful: | Obtain a waiver of documentation of informed consent. |
A therapist at a free university clinic treats elementary school children with behavior problems who are referred by a social service agency. She is also a doctoral candidate who proposes using data she has and will collect about the children for a case-based research project. Which of the following statements about parental permission is correct? | The parents of the children might feel pressure to give permission to the therapist to use their children's data so that she will continue to provide services to their children. |
A general requirement for informed consent is that no informed consent may include any exculpatory language. Exculpatory language is that which waives or appears to waive any of the subject's legal rights or releases or appears to release those conducting the research from liability for negligence. Which of the following statements in a consent form is an example of exculpatory language? | Taking part in the research is voluntary, but if you choose to take part, you waive the right to legal redress for any research-related injuries. |
A criterion for waiving informed consent is that, when appropriate, subjects are provided additional pertinent information after the study. In which of the following studies would it NOT be appropriate to provide subjects with information about missing elements of consent: | A study in which subjects were assigned to study activities based on an undesirable or unflattering physical characteristic as assessed by members of the research team. |
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. |
Data are made anonymous by | Destroying all identifiers connected to the data. |
When a focus group deals with a potentially sensitive topic, which of the following statements about providing confidentiality to focus group participants is correct? | The researcher cannot control what participants repeat about others outside the group. |
A researcher leaves a research file in her car while she attends a concert and her car is stolen. The file contains charts of aggregated numerical data from a research study with human subjects, but no other documents. The consent form said that no identifying information would be retained, and the researcher adhered to that component. Which of the following statements best characterizes what occurred? | There was neither a violation of privacy nor a breach of confidentiality. |
In a longitudinal study that will follow children from kindergarten through high school and will collect information about illegal activities, which of the following confidentiality procedures would protect against compelled disclosure of individually identifiable information? | Securing a Certificate of Confidentiality |
Which of the following constitutes both a breach of confidentiality (the research data have been disclosed, counter to the agreement between researcher and subjects) and a violation of subjects' privacy (the right of the individuals to be protected against intrusion into their personal lives or affairs)? | A faculty member makes identifiable data about sexual behavior available to graduate students, although the subjects were assured that the data would be de-identified. |
A researcher wants to observe preschoolers at a local public playground to evaluate levels of cooperation. The researcher will not interact with the children or record information in such a manner that the identity of the subjects can be readily ascertained. Which of the following statements is true? | This research would be eligible for exemption because the researcher is not interacting with the children and the playground is a public setting. |
According to Subpart D, research with children may be eligible for exemption under Category 2 when: | The research involves the use of educational tests |
A study that involves interviews of adults is eligible for expedited review. The researcher wants to add an adolescent population (aged 12 to 17) to the study and has designed a parental permission and assent process. No additional changes are planned. Which of the following statements about review of the revised protocol is accurate? | Unless the nature of the questions would raise the level of risk to more than minimal for adolescents, the research would still qualify for expedited review. |
A researcher asks an IRB to waive the requirement for parental permission for a study conducted in schools because the nature of the research requires participation of all the children present in classrooms on the day the research will take place. Assuming that the basic research design could be approved by the IRB and the school, which of the following requirements must be met before an IRB could waive parental permission? | The research must pose no more than minimal risk. |
Which of the following statements most accurately describes the requirement for the documentation of minors' assent to participate in research? | Federal regulations do not require the documentation of minors' assent. |
Which of the following methods could be considered a "best practice" in terms of informing respondents how their answers to an on-line survey about personal information will be protected? | The investigator uses the informed consent process to explain how respondent data will be transmitted from the website to his encrypted database without ever recording respondents' IP addresses, but explains that on the internet confidentiality cannot be absolutely guaranteed. |
Consent to participate in research is an ongoing process. Which of the following strategies would help ensure that participation in a survey about a sensitive personal topic remains voluntary throughout a study? | Designing the survey so that subjects are not forced to answer one question before going to the next. |
Which of the following on-line research strategies raises the most concerns regarding the ethical principle of respecting the autonomy of research subjects and the corresponding federal regulations requiring informed consent? | A researcher proposes to join a moderated support group for cancer survivors posing as a survivor. She plans to insert comments to see how the members respond. |
To minimize potential risks of harm, a researcher conducting an on-line survey can: | Design the survey so that no direct or indirect identifiers are collected. |
The internet can be used as a research tool or as the object of a study. Which of the following examples best describes an investigator using the internet as a research tool? | An investigator uses his Facebook wall to post a URL link to a survey he is hosting on SurveyMonkey. |
A researcher conducting behavioral research collects individually identifiable sensitive information about illicit drug use and other illegal behaviors by surveying college students. One of the subjects is in an automobile accident two weeks after participating in the research study. Is this an example of an unanticipated problem that requires reporting to the IRB? | No, this does not need to be reported because it was assessed by the researcher as unrelated to the research study. |
A researcher conducting behavioral research collects individually identifiable sensitive information about illicit drug use and other illegal behaviors by surveying college students. The data are stored on a laptop computer without encryption, and the laptop computer is stolen from the researcher's car on the way home from work. This is an unanticipated problem that must be reported because the incident was (a) unexpected (in other words, the researchers did not anticipate the theft); (b) related to participation in the research; and (c) placed the subjects at a greater risk of psychological and social harm from the breach in confidentiality of the study data than was previously known or recognized. According to OHRP, this unanticipated problem must be reported to the IRB in which timeframe? | Promptly |
According to OHRP, a problem is an "unanticipated problem" when it meets which of the following criteria: | Unexpected, related or possibly related to the research, suggests the research puts subjects or others at greater risk |
The procedures for reporting potential unanticipated problems involving risk to subjects or others to the IRB are: | Determined by the institution in its written policies and procedures |
Researchers must report potential unanticipated problems that involve risks to others directly to the: | Institutional Review Board (IRB) |
Trust and transparency are critical to successful and culturally competent research. In the research setting, establishing trust in diverse communities does NOT require: | limiting public transparency and accountability |
Overcoming challenges to cultural competence in research requires that: (Check ALL that apply) | - Investigators examine and understand historical contexts for study populations before initiating research study design.- Early-phase study design should take into account race, ethnicity and cultural factors.- IRB membership should include representatives of large communities and cultural groups as representatives. |
Cultural competence in research is defined as the ability of researchers to provide high quality research that takes into account: | The diversity of population's values, beliefs and behaviors when developing research ideas, conducting research and exploring applicability of their findings. |
NIH has set forth guidelines on the inclusion of women and members of minority groups and their subpopulations in biomedical and behavioral human subject research. This inclusion is to ensure that: | Valid analyses of differences in intervention effects can be accomplished. |
In 1979, the National Commission for the Protection of Humans Subjects of Biomedical and Behavioral Research developed ethical principles and guidelines for the protection of human subjects for research. The purpose of these guidelines was to: | Provide a framework for use in the resolution of ethical problems arising from research involving human subjects. |
What are student administrative data? | Student educational records in paper and electronic form |
A researcher is conducting a study of students with special needs in a local school. The study requires the analysis of identifiable student performance data from the past five years. The researcher plans to publish the study results in a peer-reviewed journal and presenting them at conferences. This research could potentially help thousands of young students. Which of the following is true? | FERPA prevents the school from providing the data because the researcher does not have prior parental consent |
Which of the following statements is true? | The Higher Education Act of 2008 requires Title IV postsecondary institutions to report aggregate information on graduates |
Which of the following is a risk associated with a small cell size? | The risk of disclosure of students' information reported in that cell |
A researcher is conducting a study of four graduate students enrolled in a unique university program. The foundation supporting the study wants a report that provides summary information about the students' outcomes, including their grades and survey responses. What would be the least risky option? | Provide a summation of survey results, without the grades |
The use of prisoners in research is a concern under the Belmont principle of Justice because: | Prisoners may not be used to conduct research that only benefits the larger society |
Issued in 1974, 45 CFR 46 raised to regulatory status | US Public Health Service Policy |
Informed consent is considered an application of which Belmont principle? | Respect for Persons |
Which of the following is included in the Nuremberg Code: | Voluntary consent |
Which of the following brought increased public attention to the problems with the IRB system? | Death of Research Subject (Jesse Gelsinger) |
A subject in a clinical research trial experiences a serious, unanticipated adverse drug experience. How should the investigator proceed, with respect to the IRB, after the discovery of the adverse event occurrence? | Report the adverse drug experience in a timely manner, in keeping with the IRB's policies and procedures, using the forms or the mechanism provided by the IRB. |
How long is an investigator required to keep consent documents, IRB correspondence, and research records? | For a minimum of three years after completion of the study |
According to federal regulations, which of the following best describes when expedited review of a new, proposed study may be used by the IRB? | The study involves no more than minimal risk and meets one of the allowable categories of expedited review specified in federal regulations |