PORTLAND STATE UNIVERSITY
INSTITUTIONAL REVIEW BOARD
(IRB)
https://sites.google.com/a/pdx.edu/research/integrity/human-subjects
IRB Application
Formatting Guidelines
• The IRB application has three parts:
1)
2)
3)
Investigator’s Assurance cover sheet (Section I)
Narrative application (Sections II-X)
Appendices (Section XI)
• Applications must be written in at least 12 pt font. Applications must
be page numbered.
• Please submit complete applications with Investigator Assurance form
to hsrrc@pdx.edu.
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• I. Investigator’s Assurance
• This form, located here on page 5, is separate from the narrative
guidelines below. This form serves as the researcher’s contact
information page and signature of assurance. This form must be filled
out completely and accompanied by the proper signatures. Electronic
signatures will be accepted from @pdx.edu email accounts.
Narrative Guidelines
• II. Project Title & Prospectus
• In 300 words or less, clearly identify the research question
and provide a summary of the project and its significance,
including a brief description of the methods and
procedures to be used. Use neutral, unbiased language
and do not use jargon. Define any acronyms used.
Narrative Guidelines
• III. Type of Review
• If your research falls into one of the categories that qualify for
an exemption or expedited review, cite the appropriate
exemption or expedited category and the associated rationale.
These studies must be of no more than minimal risk and may
not include a vulnerable population. Such studies may involve
use of existing data or research on educational practices.
When thinking about categories of review for studies without
identifying information of human subjects, please note that
anonymity means that the subject’s/respondent’s identity is
unknown (in other words, that responses cannot be linked to
individuals); confidentiality implies that, while the researcher
can identify each subject and his/her responses, the identity of
the subject will be kept private, and not revealed to others.
Studies that do not meet criteria for exempt or expedited review
require full committee review (see link to categories here).
Narrative Guidelines
• IV. Subject Recruitment
• This section should provide a description of the subject
population, including the number of participants which the
researcher expects to recruit, the characteristics of that
population, which can include age, gender, ethnic background
and health status, and the methods to be used for their
recruitment. A description of how subjects are selected,
approached and invited to participate in the research must be
included (i.e., email, flyer, phone calls, etc.). Criteria for
inclusion and exclusion should be detailed; justification is
required if the subject population is restricted to one gender,
age or ethnic group, as the federal government strongly
encourages investigators to include women, children and
ethnic minorities in their research. If different subject groups
are to be included in the research, recruitment information must
be included for each group.
Narrative Guidelines
• V. Informed Consent
• Both federal and university regulations require researchers to obtain informed consent from their subjects
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before they may be part of research, unless otherwise permitted by the IRB. Describe both by whom and
in what manner consent will be obtained from each appropriate sample category (see below) and include a
copy of the informed consent form(s) or cover letter (s). If requesting a waiver of signed consent or
alteration of the process, a justification must be included (see consent samples and information about
altering or waiving the consent process here).
Sample Consent Categories:
Adult subjects (includes persons 18 years of age and over)
Child subjects (includes all persons under 18 years of age) will require written parent/guardian permission,
as well as verbal or written assent/consent from the subjects themselves.
In some cases, vulnerable subjects, such as prisoners and mental health patients, may require the consent
of an appropriate witness in addition to that of the participant him- or herself.
When the researcher seeks to use a passive consent process, the Committee must determine that
research is one in which a waiver of signed consent is appropriate. If the research and passive consent
process is being done in an in an educational setting, the Committee must be assured that the passive
consent process has been approved by an appropriate school official. When writing the passive consent
form, the researcher should give the subjects (and parent/guardian if subject is a minor) ample time to
decline participation and must offer a variety of ways in which the researcher can be contacted to decline
participation. The method of declining participation or opting out must be clearly stated in the passive
consent document.
Narrative Guidelines
• VI. First-Person Scenario
• Provide a short paragraph that presents the experience from
the subject's point of view (e.g., “I received a letter last week in
the mail which described a new research study…Once I
decided to participate, I set up an appointment to meet the
researcher…I was seated at a table with the investigator
and…I participated in the following activities…at the end of the
study I was happy to have been invited to participate”). This
scenario should begin when the subject is first contacted,
whether by letter or in person, should describe each activity in
which he or she is required to take part, and should conclude
only with the end of the subject’s participation. If different
subject groups are to be included in the research, a scenario
must be included for each group.
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Narrative Guidelines
• VII. Potential Risks and Safeguards
• The risk/benefit ratio for subjects is particularly crucial to a
human subjects review. Some research cannot be approved
unless the possible benefits to participants or to humanity
outweigh the possible risks. Please describe any potential
physical, social, psychological, employment, legal, economic,
risk of coercion, or other risks to subjects, including discomfort
or embarrassment (e.g., nature and seriousness of risk,
incidence of probability, etc.). Also describe the safeguards
which will be adopted to eliminate or manage these risks,
and/or the steps to be taken to detect and treat any injury or
distress incurred by subjects. Even if there are no anticipated
risks, this must be justified and explained in the application.
There must be a statement about risks and safeguards,
including all those mentioned in the application, in the consent
document—even if risks are expected to be minimal.
Narrative Guidelines
• VII. Potential Benefits
• Describe briefly the anticipated benefits of participation in
the study. Subjects might benefit directly, such as having
an opportunity to share their story, or indirectly, as the
results of a study of blood donors leads to a bettermarketed blood drive and, therefore, increased blood
bank stores. If a form of compensation is offered for
participation in research, it should be described as a
token of appreciation for participating, not as a benefit of
the research. Benefits should not be overstated.
Narrative Guidelines
• IX. Confidentiality, Records & Distribution
• Discuss procedures which will be used to maintain subject
confidentiality, including the implementation of any codes or
pseudonyms to conceal identities, both during the course of research
and in the period thereafter. Regarding confidentiality in a group
setting, the researcher must address, both in person and in the
consent process, the risk that confidentiality cannot be guaranteed in
a group setting. Also, explain records storage and access methods,
the description of which must include information regarding where
and for what length of time data provided by subjects will be stored.
Describe whether data will be transported, and if so, how data will be
kept secure during transit. If possible, records should be securely
stored at PSU and/or on a secure PSU network. If subjects will be
audio- or videotaped during their participation, the purposes of such
recordings must be explained, as well, both in this section and on the
consent document. Federal guidelines suggest that data and records
shall be kept on file for a minimum of three years after the completion
of research. The manner in which records will be destroyed and the
timeframe should be specified.
Narrative Guidelines
• X. Training and Experience
• State any of the researchers’ specialized training,
education, or experience that would help to minimize the
risks of research, particularly if working with vulnerable
populations and/or sensitive topics. Alternately, if the
researcher will be advised by an expert, note this
information in the application. A helpful human subjects
research training can be found through NIH at
http://phrp.nihtraining.com/users/login.php.
Narrative Guidelines
• XI. Appendices
• All recruitment materials and flyers, survey instruments,
telephone and email introductory scripts, focus group
guides, interview questions and informed consent
documents must be included and clearly labeled in your
application.