Form C: ETHICS SELF-CHECK APPLICATION FOR IRB APPROVAL

INSTRUCTIONS:

Section 1: The researcher must first complete the brown column A of the table below to document how the research procedures comply with the universitys 40 ethical standards for research studies. Mark Not Applicable only when there is no possible way to address that ethical issue.

Section 2: Provide electronic signature.

Section 3 (students only): Have your faculty supervisor review this form and supporting documents so they can enter their email address to provide an electronic signature. Then you will need to copy (CC) your supervisor when you submit to [email protected]. The IRB staff cannot accept any IRB forms or documents unless the supervising faculty member is CCd on the submission.

IRB approval will be issued when the IRB confirms that there is adequate evidence that the universitys ethical standards have been met, based on this form and the necessary supporting attachments. Within 10 business days of receiving a researchers submission (including all applicable attachments), the IRB will notify the researcher of one of the following outcomes:

(a) that the IRB has provided ethics approval based on the submitted documents; or

(b) that the IRB requires revisions and/or additional documentation as specified in the Ethics Reviewers column (such as column B for the first review or, if needed, column D for the second review).

Questions can be sent to [email protected]. Click here to view IRB policies, sample informed consent documents, and FAQs about conducting research in specialized contexts such as international, workplace, educational, or clinical/intervention settings. The footnotes in this document contain tips, examples, and definitions. Reading these footnotes can reduce the likelihood of needing revisions. The most common request for revisions is to resolve discrepancies so check carefully to ensure that all documents reflect the final set of data collection steps.

SECTION I: RESEARCHERS CONFIRMATION OF ETHICAL STANDARDS COMPLIANCE

A. In this column, the researcher should confirm compliance with each ethical standard by entering Yes or NA, and defending the response by providing supporting details.

B. Ethics reviewer will confirm compliance with each ethical standard in this column by entering Confirmed or providing a request for revisions.

C. Researcher response: The researcher must use this column to describe how and where each of the ethics reviewers concerns (in the yellow column) has been addressed. The researchers questions or explanations are also appropriate here if a researcher wishes for the IRB to reconsider an issue. For those rows containing NA or Confirmed in Column B, no researcher response is necessary.

D. Second ethics review (if needed): Ethics reviewer will confirm whether the responses in column C meet the ethical standard by entering Confirmed or providing a request for revisions.

E. Researchers second response (if needed): The researcher must use this column to describe how and where each of the ethics reviewers concerns (in the orange column) has been addressed. Additional columns will be added by the IRB as needed.

Sample: Will data be stored securely?

Sample response: Yes. Supporting details: Paper surveys will be stored in a locked file cabinet at the researchers home. Electronic files will be stored on the researchers password-protected computer and backed up on a password-protected cloud drive.

Confirmed

1. Has each recruitment, consent, and data collection step been articulated such that the responsibilities of the researcher and any partner organization(s) are clearly documented?

(Provide a numbered list of the data collection steps that includes how/who/where[footnoteRef:1] details for each step, in sequential order. Here are samples. Describe pilot[footnoteRef:2] steps first if you are doing a pilot or road test.) [1: HOW = Write this like a recipe, including enough details so that a person could replicate your study. Submit copies…

Form C: ETHICS SELF-CHECK APPLICATION FOR IRB APPROVAL

INSTRUCTIONS:

Section 1: The researcher must first complete the brown column A of the table below to document how the research procedures comply with the universitys 40 ethical standards for research studies. Mark Not Applicable only when there is no possible way to address that ethical issue.

Section 2: Provide electronic signature.

Section 3 (students only): Have your faculty supervisor review this form and supporting documents so they can enter their email address to provide an electronic signature. Then you will need to copy (CC) your supervisor when you submit to [email protected]. The IRB staff cannot accept any IRB forms or documents unless the supervising faculty member is CCd on the submission.

IRB approval will be issued when the IRB confirms that there is adequate evidence that the universitys ethical standards have been met, based on this form and the necessary supporting attachments. Within 10 business days of receiving a researchers submission (including all applicable attachments), the IRB will notify the researcher of one of the following outcomes:

(a) that the IRB has provided ethics approval based on the submitted documents; or

(b) that the IRB requires revisions and/or additional documentation as specified in the Ethics Reviewers column (such as column B for the first review or, if needed, column D for the second review).

Questions can be sent to [email protected]. Click here to view IRB policies, sample informed consent documents, and FAQs about conducting research in specialized contexts such as international, workplace, educational, or clinical/intervention settings. The footnotes in this document contain tips, examples, and definitions. Reading these footnotes can reduce the likelihood of needing revisions. The most common request for revisions is to resolve discrepancies so check carefully to ensure that all documents reflect the final set of data collection steps.

SECTION I: RESEARCHERS CONFIRMATION OF ETHICAL STANDARDS COMPLIANCE

A. In…

Form C: ETHICS SELF-CHECK APPLICATION FOR IRB APPROVAL

INSTRUCTIONS:

Section 1: The researcher must first complete the brown column A of the table below to document how the research procedures comply with the universitys 40 ethical standards for research studies. Mark Not Applicable only when there is no possible way to address that ethical issue.

Section 2: Provide electronic signature.

Section 3 (students only): Have your faculty supervisor review this form and supporting documents so they can enter their email address to provide an electronic signature. Then you will need to copy (CC) your supervisor when you submit to [email protected]. The IRB staff cannot accept any IRB forms or documents unless the supervising faculty member is CCd on the submission.

IRB approval will be issued when the IRB confirms that there is adequate evidence that the universitys ethical standards have been met, based on this form and the necessary supporting attachments. Within 10 business days of receiving a researchers submission (including all applicable attachments), the IRB will notify the researcher of one of the following outcomes:

(a) that the IRB has provided ethics approval based on the submitted documents; or

(b) that the IRB requires revisions and/or additional documentation as specified in the Ethics Reviewerscolumn (such as column B for the first review or, if needed, column D for the second review).

Questions can be sent to [email protected]. Click here to view IRB policies, sample informed consent documents, and FAQs about conducting research in specialized contexts such as international, workplace, educational, or clinical/intervention settings. The footnotes in this document contain tips, examples, and definitions. Reading these footnotes can reduce the likelihood of needing revisions. The most common request for revisions is to resolve discrepancies so check carefully to ensure that all documents reflect the final set of data collection steps.

SECTION I: RESEARCHERS CONFIRMATION OF ETHICAL STANDARDS COMPLIANCE

A. In this column, the researcher should confirm compliance with each ethical standard by entering Yes or NA, and defending the response by providing supporting details.

B. Ethics reviewer will confirm compliance with each ethical standard in this column by entering Confirmed or providing a request for revisions.

C. Researcher response: The researcher must use this column to describe how and where each of the ethics reviewers concerns (in the yellow column) has been addressed. The researchers questions or explanations are also appropriate here if a researcher wishes for the IRB to reconsider an issue. For those rows containing NA or Confirmed in Column B, no researcher response is necessary.

D. Second ethics review (if needed): Ethics reviewer will confirm whether the responses in column C meet the ethical standard by entering Confirmed or providing a request for revisions.

E. Researchers second response (if needed): The researcher must use this column to describe how and where each of the ethics reviewers c.......eded.

Sample: Will data be stored securely?

Sample response: Yes. Supporting details: Paper surveys will be stored in a locked file cabinet at the researchers home. Electronic files will be stored on the researchers password-protected computer and backed up on a password-protected cloud drive.

Confirmed

1. Has each recruitment, consent, and data collection step been articulated such that the responsibilities of the researcher and any partner organization(s) are clearly documented?

(Provide a numbered list of the data collection steps that includes how/who/where[footnoteRef:1] details for each step, in sequential order. Here are samples. Describe pilot[footnoteRef:2] steps first if you are doing a pilot or road test.) [1: HOW = Write this like a recipe, including enough details so that a person could replicate your study. Submit copies of any of the following that apply: flyer, invitation email, ad/posting.WHO = Which parties are involved in each step? In particular, we need details about any partners who might be assisting the researcher in identifying or contacting participants. Note that doctoral students may not delegate the tasks of obtaining consent or collecting data to anyone else.WHERE = Specify whether the interactions will take place via phone, email, online, or in-person at a specific location.] [2: It is fine to road test an interview or survey with friends or family prior to IRB approval and that data may not be used in the studys analysis. However, any piloting done outside of friends/family requires prior IRB approval, regardless of whether the data would be included in the final analysis or not.]

Yes, steps are described below:

i. Plot recruitment

Researcher will post flyers around mental health offices, retirement homes, and hospitals inviting social workers to participate in the study. The additional method will be handing out flyers to social workers attending conventions, training, and programs within the area. The flyer will have the researcher's email address where they can contact the researcher to volunteer.

ii. Consent

Each volunteer will receive the consent form via email. Volunteers willing to participate in the study will reply to the email with the words, I consent.

iii. Data collection

Researcher will conduct the interviews using internet services like GoToMeeting, Skype, Zoom, or any other web-based service. Debriefing will involve asking the volunteers whether the questions were comfortable and understandable to answer. Each interview session will last about 45 minutes.

Confirmed

Confirm

2. Will the research procedures ensure privacy[footnoteRef:3] during data collection? Describe how. [3: Privacy risks might include unintended breach of confidential information (such as educational or medical records); being observed/overheard by others while providing data; or intrusion on the privacy of others who not involved in study (e.g. participants family).]

Yes, all the interview will be conducted in a secluded room where both the researcher in interviewee had agreed upon prior to the data collection date.

Please provide an idea of where this location might be, i.e., McDonalds, school cafeteria, office, etc.

Yes, all the interviews will be conducted in a secluded room where both the researcher and interviewee had agreed upon prior to the data collection date. The proposed secluded room will be an enclosed office. The office should be locked with a key before the interview begins.

3. Will data be stored securely[footnoteRef:4]? Describe how. [4: Secure data storage requires password protection on electronic files and locks for physical data.]

Yes, data will be kept secure by storing all the data collected in a cloud-based storage system where access is protected using two step authentications.

Confirmed, as addressed in consent form

4. Will the data be stored for at least 5 years? Describe how data disposal will occur.

Yes. Data disposal will involve the destruction of non-electronic media using secure means like shredders, incinerators, and pulverizes. All electronic media will be destroyed deleting and overwriting the storage media, purging magnetic media, and destroying the physical media.

Confirmed, as addressed in consent form

5. If participants names or contact info will be recorded in the research records, are they absolutely necessary[footnoteRef:5]? Describe why or clarify that data collection is 100% anonymous[footnoteRef:6] (which is preferable). [5: Retaining identifiers and/or contact information might be necessary if the researcher needs to follow up for a memberchecking step. Note that consent forms do not require signatures if the participant can indicate consent by some action such as clicking on a link, returning a completed survey, etc. Whenever possible, data should be collected without names or other identifiers.] [6: Anonymous means that no one (not even the researcher) knows who volunteered or declined. If a researcher documents consent in a manner that tracks their names, then the data is confidential rather than anonymous.]

The data collection is 100% anonymous.

Please explain why. Describes the steps.

The data collection is 100% anonymous. The researcher will request the participants to use pseudo names and not to provide any identifiable information during the interview. Each volunteer will be assigned a unique number that will be linked to their interview, ensuring records are well kept and no mixing of interviews.

6. The research procedures and analysis/writeup plans must include all possibl measures to ensure that participant identities are not directly or indirectly disclosed.

a. Only for research topics that possibly involve some stigma (i.e., workplace bullying): Can you confirm that the volunteering and data collection process will not result in others learning of your volunteers participation in the study?

Yes, there is no possibility of others learning of the people who participated in the study. The volunteers will be requested to keep their participation private and not disclose it to anyone.

Repeat confidentiality. Info that applies.

Yes, there is no possibility of others learning of the people who participated in the study. The volun