» Reliance Agreements

A reliance agreement (i.e. IAA’s, IIA, etc.) is an agreement between two or more institutions that allows an institution’s IRB to rely on another, unrelated institution’s IRB for review of human subjects’ research. A reliance agreement comes in multiple formats, with the most common being  Institutional Authorization Agreements (IAA), Memorandum of Understanding (MOU). An Investigator working at multiple institutions, each having their own IRB, may decide to have one IRB serve as the IRB of record for some or all participating sites. This practice is commonly referred to as ceded review, reliance agreements, or deferral of IRB oversight. In this scenario, the CU IRB will either serve as the reviewing IRB (IRB of Record) or will cede oversight (rely) of the research activity to another equally qualified institution’s IRB. Each individual IRB will indicate which agreement format is appropriate for a specific study.

Note: Effective January 25, 2018, the National Institutes of Health mandated the use of single IRBs as a contingency for funding of multi-center studies.

Submission Process

A member of the Chapman University Study team submits the Reliance Agreement request through irb@chapman.edu.  You may submit any questions regarding the feasibility of the Chapman University serving as the IRB of record for a multi-site study, as well as any other queries to irb@chapman.edu.

Agreement Types

IRB Authorization Agreement (IAA)

An IRB Authorization Agreement (IAA) is an agreement between Chapman University and another institution that holds a Federal Wide Assurance (FWA) with the Office of Human Research Protections (OHRP) of the U.S. Department of Health and Human Services (HHS). Any institution (e.g., university, medical centers, NGOs, community organization, survey research organization) that receives funds from HHS must have an FWA.  Entities use this agreement type to establish which institution will serve as the IRB-of-Record.  Each institution’s Institutional Official or designee signs the IAA.

Individual Investigator Agreement (IIA)

An Individual Investigator Agreement (IIA) is an agreement between Chapman University and an individual collaborator who is not affiliated with an institution with an FWA (e.g., former student working after graduation with their faculty mentor, professional in the community with specific expertise, community partners).  This agreement outlines the responsibilities of the individual investigator for the protection of human subjects.  The IIA is signed by the:

  • Individual investigator
  • CU Principal Investigator (PI)
  • CU Institutional Official or designee

Memorandum of Understanding

We may draft a Memorandum of Understanding (MOU) to acknowledge an ongoing and strategic relationship between institutions. An MOU is intended to be a long-term agreement and/or to support a specific research study. The agreement generally describes a very broad concept of mutual understanding, goals, and plans shared by the parties.  It may also list areas of possible joint activities, without creating financial obligations or committing resources.


IRB Authorization Agreement - Where CU IRB will be in the IRB of record

IRB Authorization Agreement - Where CU IRB will NOT be the IRB of record

Individual Investigator Agreement (contact irb@chapman.edu to request the form)

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Reliance Agreement FAQs

What Documentation Is Needed When Submitting The Reliance Agreement Request?

This would depend on the type of submission and request (cede/rely) needed for the study.  In order to process a request for CU IRB to serve as the IRB of record, we would need to ensure that the site is engaged in research and the protocol accurately reflects the role of each site involved.  The external site would also need to have an Federal Wide Assurance (FWA) in place prior to executing the agreement. For studies requesting the CU IRB cede review to an external IRB, we would need to review the protocol, consent template and any other relevant study documentation.  In addition the research staff member preparing the agreement should be trained on the requirements for submitting an external IRB study.

How Long Is The Review Process?

The CU IRB understands that all research is important and we want to facilitate the process for all investigators.  We also need to ensure the parameters outlined in the agreements are feasible for all involved parties.  We are paying very close attention to assure the terms we agree upon uphold the core principles of our Human Research Protection Program (HRPP) and also honor our commitments to our clinical partners. In doing this it may add additional time for processing of new agreements. At this time the approximate timeline for processing of a Reliance Agreement is from 2-4 weeks, depending on the type of agreement.

What Are The Main Elements The IRB Looks At When Reviewing A New Request?

Upon receiving a new request to cede/rely the main elements of review the CU IRB is looking at are: the qualifications of the investigator; the external IRB; the research procedures; the study population; and where the research is taking place.  We are also reviewing the language included in the institutional authorization agreement. It is best to utilize the internal CU institutional authorization agreement templates as the language has been approved by all necessary institutional parties. When submitting a request to utilize an external institutional authorization agreement template, there may be additional institutional reviews needed prior to moving forward, which could result in additional time for processing.

How Do I Determine If A Site Is Engaged?

A site is engaged in the conduct of human research when the following are taking place:

  • Informed consent
  • Interaction or intervention with participants as part of the research
  • Obtain or analyze personally-identifiable subject data
  • Funding