1---2name: rct-ethics-registration3description: Handle ethical requirements, IRB approval, trial registration, and pre-analysis plans for RCTs. Use when user mentions: research ethics, IRB, informed consent, trial registration, pre-analysis plan, PAP, data security, vulnerable populations, research transparency.4---56<skill_content>78<overview>9Ethical research with human subjects requires IRB approval, informed consent, data security, and transparency through trial registration and pre-analysis plans. The Belmont Report establishes three core principles: respect for persons (autonomy, consent), beneficence (maximize benefits, minimize harms), and justice (fair distribution of burdens and benefits). Violations risk participant harm, legal liability, and inability to publish.1011Ethics and transparency are prerequisites, not afterthoughts.12</overview>1314<mandatory_requirements>1516<requirement priority="critical">17 <name>IRB Approval Before Any Contact With Participants</name>18 <description>Obtain Institutional Review Board approval BEFORE recruiting, consenting, or enrolling any participants</description>19 <rationale>IRB review ensures participant protections, informed consent procedures, and risk minimization. Federal regulations (45 CFR 46) require approval before human subjects research</rationale>20 <consequence>Research misconduct, legal liability, inability to publish, harm to participants, institutional sanctions</consequence>21</requirement>2223<requirement priority="critical">24 <name>Register Trial Before Data Collection</name>25 <description>Register trial on AEA RCT Registry, ClinicalTrials.gov, or equivalent BEFORE beginning intervention or data collection</description>26 <rationale>Pre-registration prevents publication bias, specification searching, and selective reporting. Required by many journals and funders (CONSORT guidelines)</rationale>27 <consequence>Journals may reject, results perceived as cherry-picked, inability to make credible causal claims</consequence>28</requirement>2930<requirement priority="critical">31 <name>File Pre-Analysis Plan Before Seeing Outcome Data</name>32 <description>Document hypotheses, specifications, and analysis plan BEFORE accessing outcome data</description>33 <rationale>PAPs prevent p-hacking, HARKing (hypothesizing after results known), and data mining. Critical for credibility revolution</rationale>34 <consequence>Results dismissed as data-mined, loss of scientific credibility, failed publication</consequence>35</requirement>3637<requirement priority="high">38 <name>Informed Consent With All Required Elements</name>39 <description>Obtain voluntary, written informed consent covering: purpose, procedures, risks, benefits, compensation, confidentiality, right to withdraw</description>40 <rationale>Respect for persons requires informed, voluntary participation. Incomplete consent violates ethical principles and federal regulations</rationale>41 <consequence>IRB violations, research misconduct findings, legal liability, inability to use data</consequence>42</requirement>4344<requirement priority="high">45 <name>Data Security and Confidentiality Protections</name>46 <description>Implement encryption, de-identification, secure storage, and limited access for all participant data</description>47 <rationale>Participants trust researchers with sensitive information. Breaches violate confidentiality, harm participants, and create legal liability</rationale>48 <consequence>Data breaches, participant harm, IRB sanctions, legal penalties, loss of trust</consequence>49</requirement>5051</mandatory_requirements>5253<assumptions>5455<assumption name="Minimal Risk Determination">56 <description>IRB classifies study as minimal risk or greater than minimal risk</description>57 <how_to_check>Submit IRB protocol, document all procedures and potential harms, compare to everyday life risks</how_to_check>58 <if_violated>More stringent review required, additional safeguards needed, possible rejection</if_violated>59</assumption>6061<assumption name="Voluntary Participation">62 <description>Participants can freely choose whether to enroll without coercion or undue influence</description>63 <how_to_check>Ensure compensation not coercive, no power relationships (employer/employee), clear opt-out</how_to_check>64 <if_violated>Consent invalid, research cannot proceed ethically</if_violated>65</assumption>6667<assumption name="Equipoise">68 <description>Genuine uncertainty about whether treatment is beneficial (ethical randomization requirement)</description>69 <how_to_check>Can you justify withholding treatment from control group? Is there scientific uncertainty?</how_to_check>70 <if_violated>Unethical to randomize if treatment clearly beneficial; use phase-in or observational design</if_violated>71</assumption>7273</assumptions>7475<thinking_process>76When preparing ethics and registration:771. Draft research protocol with theory of change and procedures782. Conduct power analysis to justify sample size793. Prepare IRB protocol (purpose, procedures, risks, benefits, consent)804. Submit to IRB 2-3 months before planned start815. Register trial immediately after IRB approval826. File pre-analysis plan before data collection begins837. Implement data security protocols848. Monitor for adverse events throughout study859. Submit amendments if protocol changes8610. Report final results to registry and participants87</thinking_process>8889<implementation_pattern>9091<code_template>92```python93@app.cell94def ethics_compliance_checklist():95 # Comprehensive ethics and registration checklist96 # Use before launching any RCT to ensure compliance9798 checklist = {99 "Pre-Study (Before Participant Contact)": [100 "[ ] IRB protocol drafted",101 "[ ] Informed consent forms prepared",102 "[ ] Data security plan documented",103 "[ ] IRB approval obtained",104 "[ ] Trial registered (AEA/ClinicalTrials.gov)",105 "[ ] Pre-analysis plan filed",106 "[ ] Research team trained on ethics",107 ],108 "During Study": [109 "[ ] Informed consent obtained for all participants",110 "[ ] Adverse events monitored and reported",111 "[ ] Data encrypted and securely stored",112 "[ ] IRB amendments submitted for protocol changes",113 "[ ] Annual IRB renewal obtained",114 "[ ] Trial registry updated with progress",115 ],116 "Post-Study": [117 "[ ] Final IRB report submitted",118 "[ ] Trial registry updated with results",119 "[ ] Data de-identified before sharing",120 "[ ] Results shared with community",121 "[ ] Consent forms archived per retention policy",122 "[ ] PII destroyed per protocol timeline",123 ],124 }125126 print("ETHICS & REGISTRATION COMPLIANCE CHECKLIST")127 print("=" * 60)128129 for phase, items in checklist.items():130 print(f"\n{phase}")131 print("-" * 40)132 for item in items:133 print(f" {item}")134135 print("\nCritical deadlines:")136 print("- IRB submission: 2-3 months before start")137 print("- Trial registration: Before data collection")138 print("- PAP filing: Before accessing outcome data")139 print("- Annual renewal: Before approval expiration")140141 return checklist,142```143</code_template>144145</implementation_pattern>146147<examples>148149<example context="informed_consent" difficulty="basic">150<description>Create informed consent form with all required elements</description>151<code>152```python153@app.cell154def informed_consent_template():155 # Informed consent template meeting federal requirements156 # Must include all 8 basic elements per 45 CFR 46.116157158 consent_text = """159 INFORMED CONSENT FOR RESEARCH PARTICIPATION160161 Study Title: [Title]162 Principal Investigator: [Name, contact]163164 1. PURPOSE165 You are invited to participate in research studying [purpose in plain language].166 We are enrolling approximately [N] participants.167168 2. PROCEDURES169 If you agree, you will:170 - [Specific procedures]171 - [Time commitment]172 - [Number of visits/contacts]173174 3. RISKS175 Possible risks include:176 - [List all risks, even if minimal]177 - [Be specific and complete]178 These risks are [minimal / greater than minimal].179180 4. BENEFITS181 Possible benefits to you:182 - [Direct benefits, if any]183 - [Or state clearly if no direct benefit]184185 Possible benefits to others:186 - [Broader societal benefit]187188 5. COMPENSATION189 You will receive [specific compensation amount and timing].190 [If no compensation, state clearly]191192 6. CONFIDENTIALITY193 Your information will be kept confidential:194 - Data will be de-identified (names removed)195 - Stored on encrypted, password-protected computers196 - Only research team will access identifiable data197 - Identifiers destroyed after [time period]198199 7. VOLUNTARY PARTICIPATION200 Participation is completely voluntary. You may:201 - Refuse to participate202 - Skip any questions203 - Withdraw at any time without penalty204205 Your decision will not affect [services, relationships, etc.].206207 8. CONTACT INFORMATION208 Questions about study: [PI contact]209 Questions about rights: [IRB contact]210211 CONSENT212 [ ] I have read this form213 [ ] My questions have been answered214 [ ] I voluntarily agree to participate215216 _________________________ _________217 Participant Signature Date218219 _________________________ _________220 Researcher Signature Date221 """222223 print(consent_text)224225 print("\nKey requirements:")226 print("- 8th grade reading level")227 print("- All 8 basic elements included")228 print("- Voluntary nature emphasized")229 print("- Specific risks and benefits")230 print("- Contact information provided")231232 return consent_text,233```234</code>235<lesson>236Informed consent requires: (1) purpose, (2) procedures, (3) risks, (4) benefits, (5) alternatives, (6) confidentiality, (7) voluntary nature, (8) contacts. Written at 8th grade level. Emphasize voluntary participation and right to withdraw.237</lesson>238</example>239240</examples>241242<common_mistakes>243244<mistake severity="critical">245 <what>Starting participant contact before IRB approval</what>246 <consequence>Research misconduct, legal liability, inability to use data, institutional sanctions</consequence>247 <prevention>IRB approval is prerequisite. Never recruit, consent, or collect data before approval</prevention>248</mistake>249250<mistake severity="critical">251 <what>Not registering trial or filing pre-analysis plan</what>252 <consequence>Journal rejection, results perceived as data-mined, loss of scientific credibility</consequence>253 <prevention>Register trial immediately after IRB approval, file PAP before accessing outcome data</prevention>254</mistake>255256<mistake severity="high">257 <what>Inadequate informed consent (missing elements, coercive, not voluntary)</what>258 <consequence>IRB violations, invalid consent, ethical breach, unusable data</consequence>259 <prevention>Include all 8 required elements, ensure voluntary participation, use plain language</prevention>260</mistake>261262<mistake severity="high">263 <what>Weak data security (unencrypted data, no de-identification, broad access)</what>264 <consequence>Data breaches, participant harm, IRB sanctions, legal penalties</consequence>265 <prevention>Encrypt all data, separate PII from analysis files, limit access, destroy PII per protocol</prevention>266</mistake>267268<mistake severity="medium">269 <what>Not reporting adverse events or protocol deviations</what>270 <consequence>IRB sanctions, continued participant harm, research misconduct findings</consequence>271 <prevention>Monitor for adverse events, report serious events within 24 hours, document all deviations</prevention>272</mistake>273274</common_mistakes>275276<interpretation_guide>277278<irb_review_types>279- **Exempt**: Minimal risk, no intervention, secondary data (still requires IRB determination)280- **Expedited**: Minimal risk, specific categories (surveys, interviews, some RCTs)281- **Full board**: Greater than minimal risk, vulnerable populations, deception282283Timeline:284- Exempt/Expedited: 2-4 weeks285- Full board: 4-8 weeks (meets monthly typically)286- Always add 2-3 months buffer to timeline287</irb_review_types>288289<vulnerable_populations>290Extra protections required for:291- Children (parental consent + child assent)292- Prisoners (special IRB composition, no coercion)293- Pregnant women (consider fetal risk)294- Cognitively impaired (capacity assessment, LAR if needed)295- Economically disadvantaged (ensure compensation not coercive)296297For vulnerable populations, demonstrate why inclusion is necessary and how risks are minimized.298</vulnerable_populations>299300<registration_platforms>301- Economics/social science: AEA RCT Registry (socialscienceregistry.org)302- Health/medical: ClinicalTrials.gov303- General: OSF Registries (osf.io)304- Politics: EGAP Registry (egap.org)305306Minimum info: title, PIs, outcomes, sample size, timeline, hypotheses307</registration_platforms>308309</interpretation_guide>310311<references>312<paper>Belmont Report (1979). Ethical Principles and Guidelines for the Protection of Human Subjects of Research. National Commission.</paper>313<paper>45 CFR 46 - Protection of Human Subjects (Common Rule). U.S. Department of Health and Human Services.</paper>314<paper>CONSORT Statement. Consolidated Standards of Reporting Trials. http://www.consort-statement.org/</paper>315<paper>Casey, K., Glennerster, R., & Miguel, E. (2012). Reshaping institutions: Evidence on aid impacts using a preanalysis plan. Quarterly Journal of Economics, 127(4), 1755-1812.</paper>316<paper>Christensen, G., & Miguel, E. (2018). Transparency, reproducibility, and the credibility of economics research. Journal of Economic Literature, 56(3), 920-980.</paper>317</references>318319</skill_content>