The Final Impact Evaluation for the Moving To Opportunity Demonstration

DEPARTMENT

Public Health Service

OF HEALTH & HUMAL"I SERVICES

National Institutes of Health
National Institute of Mental Health
6001 Executive Boulevard
Bethesda, Maryland 20892
May 7, 2008
Beth-Ellen Pennell, M.A.
University of Michigan Survey Research Center
G358, Perry
Ann Arbor, MI 48106-1248

Dear Ms Pennell:
Enclosed is the Confidentiality Certificate protecting the identity of research. subjects in your project entitled,
"Final Impact Evaluation for the Moving to Opportunity Demonstration (MTO)", Please note that the
Certificate expires on March 31, 2010.
Please be sure that the consent form given to research participants accurately states the intended uses of
personally identifiable information and the confidentiality protections, including the protection provided by the
Certificate of Confidentiality with its limits and exceptions.
If you determine that the research project will not be completed by the expiration date, March 3 I, 2010, you
must submit a written request for an extension of the Certificate three (3) months prior to the expiration date.
If you make any changes to the protocol for this study, you should contact me regarding modification of this
Certificate. Any requests for modifications of this Certificate must include the reason for the request,
documentation of the most recent IRB approval, and the expected date for completion of the research project.
Please advise me of any situation in which the certificate is employed to resist disclosure of information in
legal proceedings.
Should attorneys for the project wish to discuss the use of the certificate, they may contact
the Office of the NIH Legal Advisor, National Institutes of Health, at (301) 496-6043.
Correspondence

should be sent to:
Ms, Olga Boikess
Office of Resource Management
National Institute of Mental Health
6001 Executive Boulevard, Room 8102 (MSC 9653)
Bethesda, Maryland 20892-9653
Telephone: (301) 443-3877
Fax: (301) 443-2578

Since,

olga2ess
Enclosure

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CONFIDENTIALITY

CERTIFICATE

MH-08-068
issued to
University of Michigan
conducting
"Final Impact Evaluation

research known as

for the Moving to Opportunity

Demonstration

(MTO)"

In accordance with the provisions of section 30 1(d) of the Public Health Service Act 42 U.S.c.
241 (d), this Certificate is issued in response to the request of the Principal Investigator, BethEllen Pennell, M.A., to protect the privacy of research subjects by withholding their identities
from all persons not connected with this research. Ms. Pennell is primarily responsible for the
conduct ofthis research, which is funded by multiple entities including the National Institute of
Mental Health, National Institute on Child Health and Human Development National Institute on
Aging, Centers for Disease Control, National Science Foundation and the Department of
Housing and Urban Development.
Under the authority vested in the Secretary of Health and Human Services by section 301(d), all
persons who:
1. are enrolled in, employed by, or associated with the University of Michigan and its
contractors or cooperating agencies, and
2. have in the course oftheir employment or association access to information that
would identify individuals who are the subjects of the research pertaining to the
project known as "Final Impact Evaluation for the Moving to Opportunity
Demonstration (MTO)",
are hereby authorized to protect the privacy of the individuals who are the subjects ofthat
research by withholding their names and other identifying characteristics from all persons not
connected with the conduct of that research.

,
This longitudinal behavioral research study examines factors that help low-income families with
housing needs. The study compares outcomes of three groups to which families where assigned:
Experimental, Section 8, or control groups. The study examines overall well-being, mental and
physical health factors, and social processes through which neighborhood environments
influence behavior. Parents and children are recruited as subjects.

Page 2 - Confidentiality Certificate

A Certificate of Confidentiality is needed because sensitive information about mental health,
substance use, illegal activity and psychological well-being will be collected during the course of
the study. The certificate will help researchers avoid involuntary disclosure that could expose
subjects or their families to adverse economic, legal, psychological and social consequences.
All subjects will be assigned a coded number and identifying information and records will be
kept in locked files.
This research is underway, and is expected to end on March 3 I, 20 I O.
As provided in section 301 (d) of the Public Health Service Act 42 U.S.c. 241(d):
"Persons so authorized to protect the privacy of such individuals may not be
compelled in any Federal, State, or local civil, criminal, administrative, legislative, or
other proceedings to identify such individuals."
This Certificate does not protect you from being compelled to make disclosures that: (I) have
been consented to in writing by the research subject or the subject's legally authorized
representative; (2) are required by the Federal Food, Drug, and Cosmetic Act (21 U.S.C. 301 et
seq:) or regulations issued mider that Act; or (3) have.been requested from a research project
funded by NIH or DHHS by authorized representatives of those agencies for the purpose of audit
or program revIew.
This Certificate does not represent an endorsementofthe
research projectby the Department of
Health and Human Services. This Certificate is now in effect and will expire on March 31, 2010.
The protection afforded by this Confidentiality Certificate is permanent with respect to any
individual who participates as a research subject (i.e., about whom the investigator maintains
identifying information) during any time the Certificate is in effect.

Date ofIssuance: May 7, 200S

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Associate Direct~r for Management, NIMH