Penn State University Libraries - Focus on Assessment - Jan 25, 2010

Ensure your research complies with ORP requirements

By Mike Furlough, assistant dean for Scholarly Communications and co-director, Office of
Digital Scholarly Publishing

In the Libraries, we rely heavily on gathering information from our patrons. We hold patron
records, and conduct surveys or focus groups to improve our services, and to better understand
how patrons seek, consume, and produce information. We have very strict policies about access
to and retention of such information, so it’s easy to take for granted that our efforts are harmless.

But if you intend to write up the results of personal interviews, surveys, or focus groups to
publish or present publicly, you must contact the Office of Research Protections (ORP) to
discuss your project. ORP ensures that human participants in research are protected from harm,
and that experiments are conducted ethically and in compliance with the law.

ORP and its affiliated committees, such as the Institutional Review Boards (IRB), have the
authority to approve, reject, or require modifications to research plans before the research can
even begin. Two IRBs exist at Penn State, one for biomedical research and one for social science
research and both have sufficient expertise to review research protocols in a timely fashion.

Researchers will complete an application and detail their methods and protocols for their project.
Compliance officers at ORP will evaluate the potential risk to the subjects: Will their health be
put in any danger? What will happen to personal information collected and who will see it? Will
the subjects understand the purpose of the project and any risks, and can they make an informed
decision to participate?

After an initial review ORP may declare the project “exempt” from regulatory oversight and full
IRB review, or may require modifications. (Projects that are conducted solely for internal
purposes to improve our services and collections will usually be exempt.) In more complex cases
involving greater degrees of risk, an “expedited” or “full” review by the entire Institutional
Review Board may be necessary.

If you plan to publish, plan ahead and be proactive. Failure to have your research reviewed by
the ORP could ultimately mean that you will not be able to disseminate the results of your
research. Working with ORP will not only ensure compliance, it will result in a more thoughtful
research plan. The Office of Research Protections are glad to help you, so if you have questions
about your project you should get in touch.