Adobe Acrobat XI Pro should be used to complete the following forms and is available for free to all Auburn University faculty, staff and students through AU Install.

All protocol forms for submission to the IRB were revised as of February 2, 2014. Researchers should always download forms from this website to ensure that they have the most current version available. Prior versions will not be accepted. For each submission, please combine all files/forms into one PDF.

Determination Forms

This process is not required unless an Investigator desires an official determination from the IRB stating their project is not human subject research and IRB approval is not required.  It is also available to investigators who are unsure if their project requires IRB approval and wish for the IRB to make a determination prior to the investigator developing a full protocol for submission and review by the IRB.  If you already know that your project is human subject research which requires IRB approval there is no need to submit an HSR determination form.

A request for determination as to whether a project is "research" or involves "human subjects" can be made to the IRB by completing and submitting one of the HSR determination forms. All official IRB determinations regarding whether a project does or does not constitute "human subjects research" must be submitted by the investigator and reviewed by the IRB in this manner.

Project or Protocol Approval Forms

These forms are used to request IRB approval for projects.  The Exempt form is only used for requesting determination and review of projects that meet the “Exempt” requirements.  The Protocol Review Form is used for projects requiring Full Board or Expedited Review.  In addition to completing the form, most projects will require the attachment of additional documents which vary depending on the project.  The necessary attachments are described in the forms. Please see the Sample Documents section of our website for examples of common attachments.

  • Exempt Form A request for determination that a project meets the "exempt" categories under 45 CFR 46.101 (b). Exempt projects are subject to IRB review in accordance with principles and guidelines for the ethical conduct of human subject research.  This form may not be used for Expedited and Full Board Reviews.
  • Protocol Review Form (Full Board and Expedited Review) Submission to the IRB for Full Board or Expedited reviews of human subject research.

Continuing Review Forms

  • Request for Renewal: Request for additional time to complete an approved project.
    • Must be submitted prior to the expiration date of IRB approval and with sufficient time for the IRB to review and respond to the submission before the current IRB approval expires.
  • Request for Modification: Request for changes to an approved project/protocol.
    • IRB review and approval must be obtained prior to implementation of the change(s).
    • Required for Full Board and Expedited Protocols.
    • Required for Exempt Projects if the change(s) would affect the Exempt Determination or Exempt Category.
  • Final Report: Required to close Full Board and Expedited Protocols.
    • May be filled after all research data has been collected and all identifiers destroyed.
    • Renewals should be filed as long as the researcher maintains identifiable data.  Limited exceptions apply.
    • Not required for Exempt Projects.

Reporting Forms

  • Non-Compliance Reporting:  For reporting non-compliance or adverse events to the IRB
    • All noncompliance must be reported to the IRB.
    • May be reported by anyone, including the Principal Investigators, members of a research team, or research participants.
    • Noncompliance refers to acts of commission or omission which result in the conduct of human subjects research that is inconsistent with the federal, state, and/or local laws or institutional requirements (including the AU IRB or other IRBs associated with the project)
    • See the Non-Compliance Reporting Form for examples and more information.
  • Event Notification: For reporting any event to the IRB other than non-compliance or adverse events
    • May be reported by anyone, including the Principal Investigator, members of a research team, or research participants.
    • See the Event Reporting Form for examples and more information.

Other Forms

  • Anonymous Data Collection Assurance:
    • The IRB will determine during review of your protocol if this form is required.
    • It will be required by the IRB and included with your protocol revisions when conducting surveys within SONA that collect data which with electronic data collection are considered greater than minimal risk.  The documentation is required for further protection of participants.