Institutional Review Board (IRB) Processes and Types

Wil Flanagan
May 10, 2024

If you're involved in research with human subjects, understanding Institutional Review Board (IRB) processes and types is crucial. We at Infonetica know that navigating IRB oversight can be complex, but it's vital for protecting participants' rights, safety, and welfare while maintaining the integrity of your research. hence why we created this (and other) free resources.

In this article, we'll guide you through the ins and outs of IRB processes and types. Whether you're a seasoned researcher, a compliance manager, or new to the field, you'll gain valuable insights to help you confidently navigate the ethical review process and conduct research that meets the highest standards of human subject protection.

Key takeaways:

  • IRB essentials: We'll demystify IRBs, explaining their role as administrative bodies safeguarding human subjects and ensuring ethical research practices.
  • Review types decoded: Learn to distinguish between exempt, expedited, and full board reviews, and identify which applies to your specific research project.
  • Mastering IRB submissions: We'll walk you through crafting a compelling IRB submission, from detailed protocol submissions to consent forms and data protection strategies.
  • Navigating special cases: Discover how to handle unique scenarios like international research, pilot studies, and quality improvement projects in your IRB applications.
  • IRB process insights: Gain understanding of submission deadlines, timelines, and available consultation support to streamline your IRB experience.
  • Boosting your IRB game: We'll share best practices for enhancing cultural competence, improving readability of participant materials, and leveraging resources to strengthen your submissions.
  • Exploring external options: Understand when and how to consider independent and commercial IRB services for your research needs.
  • Proving your expertise: Learn how to effectively demonstrate your investigator qualifications to IRBs, ensuring your research is in capable hands.

Let's dive in and empower you to conduct research that's not only groundbreaking but also ethically sound and compliant with IRB standards.

What is an Institutional Review Board (IRB)?

An Institutional Review Board (IRB) is a crucial administrative body responsible for protecting the rights, safety, and well-being of human subjects participating in research studies. As guardians of ethical research practices, IRBs play a vital role in ensuring that scientific advancement does not come at the cost of human welfare.

The primary functions of an IRB include:

  • Reviewing research protocols and study materials
  • Ensuring informed consent from participants
  • Monitoring ongoing research for ethical compliance and safety
  • Protecting vulnerable populations involved in research

The concept of IRBs has its roots in a sobering chapter of research history. Following unethical experiments conducted during World War II, the Nuremberg Code was established in 1945, emphasising the importance of voluntary consent in human subject research. This was followed by other significant milestones in research ethics, including the Declaration of Helsinki and the Belmont Report.

Today, IRBs operate under the guiding principles outlined in the Belmont Report:

  • Beneficence: Maximising benefits and minimising harm to research participants
  • Respect for Persons: Treating participants as autonomous individuals capable of making informed decisions
  • Justice: Ensuring fair distribution of research benefits and burdens across different populations

The importance of IRBs in maintaining research integrity cannot be overstated. They serve as a critical safeguard against potential exploitation or harm to research participants, while also helping to maintain public trust in scientific research.

Several key regulations govern the operations of IRBs, including:

  1. 45 CFR 46: The Common Rule, which outlines basic provisions for IRBs and informed consent
  2. 21 CFR 50: FDA regulations on the protection of human subjects
  3. 21 CFR 56: FDA regulations on Institutional Review Boards

These regulations provide a framework for IRB operations and ensure consistency across different institutions.

It's worth noting that an IRB's authority extends to approving, exempting, disapproving, monitoring, and requiring modifications in all research activities that fall within its jurisdiction. This broad authority ensures comprehensive oversight of research activities involving human subjects.

Bottom line: IRBs are essential administrative bodies that protect human subjects in research, ensuring ethical standards are met through rigorous review processes. Their role in maintaining the integrity of research and safeguarding participant rights is crucial in the advancement of scientific knowledge while upholding ethical principles.

Types of IRB Reviews

Understanding the different types of IRB reviews is crucial for researchers preparing their submissions and managing expectations regarding review timelines. There are three main types of IRB reviews: Exempt, Expedited, and Full Board. Let's explore each in detail.

Exempt Review

Exempt review applies to research activities that pose minimal risk to participants and fall within specific categories defined by federal regulations.

  • Definition and criteria for exempt status:
    • Research involving normal educational practices
    • Studies using existing data or specimens, if publicly available or unidentifiable
    • Research on public officials or candidates for public office
    • Taste and food quality evaluation studies
  • Examples of studies that qualify for exempt review:
    • Anonymous surveys on non-sensitive topics
    • Analysis of de-identified educational test results
    • Observational studies of public behaviour
  • Process for determining exempt status:
    1. Researcher submits an exemption request form
    2. IRB staff or designated reviewer assesses the request
    3. If approved, research may proceed without further IRB oversight

Expedited Review

Expedited review is for research that poses no more than minimal risk to participants and falls within specific categories defined by federal regulations.

  • Definition and criteria for expedited review:
    • Research involving minor changes to previously approved studies
    • Collection of data through non-invasive procedures
    • Studies on individual or group characteristics or behaviour
  • Types of studies eligible for expedited review:
    • Blood draws from healthy, non-pregnant adults
    • Voice recordings for research purposes
    • Moderate exercise studies with healthy volunteers
  • Role of IRB officer in expedited reviews:
    • Reviews the application independently
    • May request clarifications or modifications
    • Approves the study or refers it for full board review if necessary

Full Board Review

Full board review is required for research that does not qualify for exempt or expedited review, typically involving greater than minimal risk to participants.

  • Definition and criteria for full board review:
    • Studies involving vulnerable populations (e.g., children, prisoners)
    • Research using experimental drugs or devices
    • Studies with potential for physical or psychological harm
  • Types of studies requiring full board review:
    • Clinical trials testing new treatments
    • Studies involving deception
    • Research on sensitive topics like illegal activities or abuse
  • Process and timeline for full board reviews:
    1. Researcher submits a complete application
    2. IRB staff conducts an initial review
    3. Application is assigned to primary and secondary reviewers
    4. Full IRB committee discusses the study at a convened meeting
    5. Committee votes to approve, require modifications, or disapprove
    6. Typical timeline: 4-8 weeks from submission to decision
Bottom line: Understanding the different types of IRB reviews helps researchers prepare appropriate submissions and anticipate review timelines. By familiarising themselves with these processes, researchers can streamline their submissions and increase the likelihood of timely approvals.

IRB Submission Requirements and Process

Navigating the IRB submission process can be complex, but we're here to guide you through it. Let's break down the key steps and requirements to help you navigate your IRB review successfully.

The IRB submission process typically involves these essential steps:

  1. Preparation of required documents
  2. Submission of materials
  3. Pre-review screening
  4. Full review by the IRB
  5. Decision and feedback

To initiate the process, researchers must compile a set of required materials for IRB submission. These typically include:

  • A detailed research protocol
  • Informed consent and/or assent documents
  • Evidence of initial scientific review with approval or waiver
  • Recruitment materials
  • Any additional supporting documents specific to the study

When preparing your protocol, follow your institution's guidelines meticulously. Ensure all aspects of your study are clearly described, including objectives, methodology, participant selection criteria, and potential risks and benefits.

Consent and assent forms are critical components of your submission. Write these documents in clear, accessible language, explaining your study's purpose, procedures, risks, and benefits to potential participants. Remember, special considerations may be required for vulnerable populations or studies involving minors.

Once all materials are prepared, submit them to the IRB office. At this stage, the pre-review screening process begins. An IRB analyst reviews your submission for completeness and compliance with institutional and regulatory requirements. This step helps identify any missing information or areas needing clarification before the full review.

The timeline for IRB review and approval can vary depending on the complexity of your study and the type of review required (exempt, expedited, or full board). Plan for several weeks to months from submission to approval, factoring in time for potential revisions.

Here are our top tips for a successful IRB submission:

  1. Start early and allow ample time for preparation and review
  2. Follow institutional guidelines meticulously
  3. Provide clear, detailed information in all documents
  4. Anticipate potential ethical concerns and address them proactively
  5. Seek guidance from experienced colleagues or IRB staff if unsure about requirements
Bottom line: Proper preparation and understanding of IRB submission requirements can streamline the review process and increase your chances of approval. By carefully adhering to guidelines, providing comprehensive documentation, and addressing potential ethical concerns upfront, you can facilitate a smoother and more efficient IRB review process.

Special Considerations in IRB Reviews

As researchers, we often encounter unique situations that require special attention during the IRB review process. Let's explore some of these special considerations to help you navigate them more effectively:

Data Safety Monitoring Reports in Clinical Trials

In clinical trials, Data Safety Monitoring Boards (DSMBs) play a crucial role in ensuring participant safety. These independent committees conduct interim analyses to identify potential risks or benefits that might necessitate protocol changes. Key points to remember:

  • IRBs typically require regular DSMB reports for ongoing oversight
  • Be prepared to adjust your study based on DSMB recommendations
  • Timely submission of these reports is essential for maintaining ethical standards

Investigational Device Exemption (IDE) Annual Reports

For studies involving medical devices under an IDE, annual progress reports to the IRB are mandatory. These reports should include:

  • Updates on study status and participant enrolment
  • Comprehensive safety data and adverse event reports
  • Any protocol modifications or amendments
  • Preliminary findings, if applicable

Quality Improvement vs. Human Subjects Research

Distinguishing between quality improvement (QI) projects and human subjects research can be challenging. Consider these factors:

  • Is the primary aim to improve internal processes or generate generalisable knowledge?
  • Does the project involve systematic data collection beyond routine care?
  • Will the results be applied only within your organisation or shared more broadly?

If you're unsure, consult with your IRB for guidance on whether your project requires formal review.

Oral History Projects and IRB Review

Oral history projects often fall into a grey area for IRB review. While they involve human participants, they're typically considered historical documentation rather than research. However, it's crucial to:

  • Ensure proper informed consent procedures
  • Implement robust data protection measures
  • Consider potential risks to participants, such as psychological distress or social stigma

Pilot Studies and Their IRB Requirements

Remember, pilot studies need IRB approval too! These small-scale preliminary studies help refine methodologies and assess feasibility. When submitting your pilot study for review:

  • Clearly state its preliminary nature and objectives
  • Explain how it will inform your larger research project
  • Provide a detailed plan for data management and participant protection

International Research Considerations

Conducting research internationally? You'll need to navigate both U.S. regulations and local laws. Key considerations include:

  • Cultural differences and their impact on informed consent
  • Language barriers and the need for accurate translations
  • Varying ethical standards and regulatory requirements
  • Collaboration with local ethics committees for comprehensive oversight
Bottom line: Understanding these special considerations is crucial for smooth sailing through the IRB process. By recognising and addressing these nuances, we can conduct ethical, compliant research across diverse settings and study types. Remember, certain types of research require special attention in the IRB process, and mastering these complexities is essential for researchers aiming to maintain the highest ethical standards in their work.

IRB Best Practices and Resources

Navigating the complex landscape of Institutional Review Board (IRB) processes requires adherence to best practices and utilisation of available resources. Let's explore key aspects that can significantly improve your IRB submission and review experience.

  1. Cultural Competence in Research Design

    Developing cultural competence is crucial for ethical research. Consider the diverse backgrounds of potential participants and ensure your study design and materials are culturally sensitive. This approach not only enhances research quality but also aligns with the IRB's goal of participant protection.

  2. Ensuring Readability and Appropriate Language

    All study documents, including consent forms and questionnaires, should be written in clear, simple language. This practice helps in obtaining truly informed consent and promotes ethical oversight of the research process. Consider using readability tools to assess and improve your materials.

  3. Utilising IRB Mentors and Consultation Services

    Many institutions offer IRB mentors and consultation services. These experts can provide valuable insights on protocol development, regulatory requirements, and best practices for protocol compliance. Don't hesitate to seek their guidance for a smoother IRB process.

  4. Accessing IRB Blogs, Guides, and Educational Resources

    Stay informed about current trends and regulations by accessing comprehensive resources provided by institutions and organisations. These often include tips for streamlined review and efficient operations. Regular engagement with these resources can enhance your understanding of IRB processes.

  5. Staying Updated on IRB Regulations and Guidelines

    Research ethics and regulations are continually evolving. Participate in regular training and workshops to keep abreast of these changes. This ongoing education helps ensure compliance assistance and maintains high ethical standards in your research.

  6. Certified IRB Professional (CIP) Certification

    For those deeply involved in IRB processes, pursuing CIP certification can be beneficial. This certification demonstrates a comprehensive understanding of IRB regulations and best practices, potentially enhancing your ability to navigate complex ethical issues in research and advancing your career in IRB-related roles.

Bottom line: Adhering to these best practices and utilising available resources can significantly improve your IRB submission and review experience. By focusing on cultural competence, clear communication, ongoing education, and professional development, you can ensure that your studies meet the highest ethical standards while efficiently navigating the IRB process. Remember, the goal is not just to gain approval, but to conduct research that genuinely protects and respects human subjects.

Independent and Commercial IRB Services

As research ethics evolve, Commercial IRB Services have become key players in the field. These independent, pay-for-service Institutional Review Boards offer regulatory and ethical review services for various institutions.

The growth of independent IRBs has been remarkable, with numbers increasing from 491 in 1995 to 3,853 in 2008. This expansion reflects the changing needs of the research community and the increasing complexity of modern research protocols.

Key differences between institutional and independent IRBs include:

  1. Scope: Institutional IRBs focus on internal research, while independent IRBs review studies across multiple sites.
  2. Resources: Independent IRBs often have dedicated staff, potentially leading to faster reviews.
  3. Expertise: Commercial IRBs may offer a broader range of expertise due to their diverse client base.
  4. Cost: Institutional IRBs are typically free for internal researchers, while commercial IRBs charge for their services.

Commercial IRB services might be preferred in scenarios such as:

  • Multi-site studies requiring consistent reviews
  • Specialised research needing specific expertise
  • When institutional IRBs are overburdened and faster processing is needed

When choosing an independent IRB, consider these factors:

  1. Accreditation by recognised bodies
  2. Experience in your research area
  3. Efficient review turnaround times
  4. Clear and timely communication
  5. Adherence to relevant regulations, including FDA Regulations

It's crucial to note that independent IRBs must follow strict guidelines, such as retaining records for at least 3 years after trial completion.

Bottom line: Understanding the role and benefits of independent IRB services can help researchers make informed decisions about their IRB review options. While commercial IRBs offer potential advantages in expertise and efficiency, the choice between institutional and independent IRBs should be based on the specific needs of the research project, institutional policies, and regulatory requirements.

Summary: IRBs Ensure Ethical Research Through Comprehensive Review

As we conclude our exploration of Institutional Review Board (IRB) processes and types, it's crucial to emphasise the vital role these bodies play in safeguarding ethical research practices. IRB responsibilities include providing independent evaluations of proposed research, ensuring ethical acceptability, and evaluating compliance with regulations designed to protect human subjects.

Throughout this article, we've discussed the key IRB processes and types, including the three primary IRB review paths:

  1. Full Board Review: For higher-risk studies
  2. Expedited Review: For minimal-risk research
  3. Exempt Review: For studies meeting specific criteria

Understanding these pathways is essential for researchers navigating the approval process efficiently. Remember, the fundamental purpose of IRBs is to review research studies to ensure they comply with regulations, meet ethical standards, follow institutional policies, and adequately protect research participants.

Researchers play a crucial role in successful IRB interactions. Collaboration between investigators and review boards is essential to enhance the safety of research participants. By cultivating positive relationships with IRB staff and board members, researchers can navigate the process more effectively and ensure the integrity of their studies.

We strongly encourage all researchers to pursue further education on IRB processes. The field of research ethics is constantly evolving, and staying informed is crucial. The evolution of IRBs has led to a robust system that provides substantial protections for the health, rights, and welfare of research subjects.

Remember, public trust in IRBs is essential for maintaining confidence in the research enterprise and allowing science to advance for the common good. As researchers, it's our responsibility to uphold these ethical standards and contribute to a research environment that values integrity, safety, and the wellbeing of all participants.

To support ethical research practices, we advocate continued lifelong learning on the subject, hence why are creating free resources like these; paid training courses may also be worth looking into for those wanting to take their understanding to the next level.

Let's continue to conduct research that respects and protects human subjects. Together, we can ensure that our research not only advances knowledge but also maintains the highest ethical standards. Happy researching!

FAQ: Additional Information on IRB Processes and Types

  1. What are some examples of IRB-approved studies?

    IRB-approved studies encompass a wide range of research involving human subjects. Examples include:

    • Full Board Review studies such as sponsored clinical trials subject to FDA regulations, research involving brain tissue collection, and studies examining sensitive topics like depressive symptoms in pregnant adolescents
    • Interview or focus group studies exploring social or behavioural phenomena
    • Online surveys or questionnaires assessing public opinions or attitudes
    • School-based research projects investigating educational interventions
    • Benign behavioural intervention studies with minimal risk to participants
  2. What is the role of an IRB officer?

    An IRB officer plays a crucial role in ensuring ethical research conduct. Their responsibilities include:

    • Reviewing research proposals for ethical considerations and compliance with regulations
    • Ensuring adherence to federal regulations and institutional policies
    • Conducting IRB responsibilities such as investigating adverse events, implementing administrative actions, and communicating IRB decisions
    • Providing guidance to researchers on ethical issues and protocol development
    • Maintaining confidentiality of research information and addressing complaints
  3. How can one become a Certified IRB Professional?

    To become a CIP Credential holder, one must:

    • Hold an Associate degree or higher
    • Possess more than two years of relevant work experience in human subject research protection
    • Pass the CIP examination administered by Public Responsibility in Medicine and Research (PRIM&R)
    • Renew the certification every three years through continuing education or re-examination
  4. What qualifies for an expedited IRB review?

    Expedited reviews are for studies that involve minimal risk to participants and fall within specific categories. Some examples include:

    • Research on individual or group behaviour where there's no risk of harm to subjects
    • Collection of blood samples in small amounts from healthy, non-pregnant adults
    • Analysis of existing data or specimens collected for non-research purposes
    • Voice recordings made for research purposes
    • Non-invasive procedures routinely employed in clinical practice
  5. What are the benefits of using independent IRB services?

    Independent IRB services can offer several advantages:

    • Faster review turnaround times, particularly beneficial for multi-site studies
    • Specialised expertise in certain types of research or therapeutic areas
    • Reduced workload for institutional IRBs, allowing them to focus on local studies
    • Consistency in review processes across multiple research sites
    • Potential cost savings for institutions with low research volume
  6. How do commercial IRBs differ from institutional IRBs?

    Commercial IRBs and institutional IRBs have several key differences:

    • Scope: Commercial IRBs often review studies across multiple institutions, while institutional IRBs focus on their own organisation's research
    • Resources: Commercial IRBs may have more specialised staff and resources for specific types of research
    • Cost structure: Commercial IRBs charge fees for their services, while institutional IRBs are typically funded by their organisation
    • Review speed: Commercial IRBs often offer faster turnaround times due to their dedicated resources
    • Familiarity: Institutional IRBs may have a better understanding of local context and institutional policies

Understanding these aspects of IRB processes and types can help researchers navigate the ethical review landscape more effectively, ensuring the protection of human subjects while facilitating valuable research.

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