Policies & Procedures


The IRB reviews all research activities, regardless of funding, which involves human subjects (Human Subject Research) for compliance with applicable federal, state, local, and institutional regulations, guidelines, and ethical research principles.  All funded research involving human subjects must be reviewed and approved under IRB procedures, prior to receiving funding. The IRB has the authority to approve, require modifications in (to secure approval), and disapprove research proposals and to suspend or terminate research that is not conducted in accordance with the IRB’s requirements or that has been associated with unexpected serious harm to subjects.

AU Human Subject Research Policies and Procedures
(Currently Under Revision)


  • Exempt Overview  To request an Exempt Determination, the Principal Investigator (PI) must submit a completed Exempt Category Research Form which will be reviewed by the IRB.  For projects to be “Exempt”, the project must be determined by the IRB to meet the exempt categories of 45 CFR 46.101(b) and any university requirements for exempt status.  After a project is determined to be “Exempt” by the IRB, the project will be reviewed by a member of the IRB or the Office of Research Compliance (ORC) for ethical considerations and adherence to the Belmont Report.  Submission of Exempt Category Research Forms, have no deadline and may be submitted to the ORC for IRB review at any time.  If approved as “Exempt”, the IRB may approve the project for up to 3 years.  A Request for Project Renewal Form must be submitted for an Exempt project to continue beyond the expiration date (usually 3 years).  Renewal requests must be submitted by the PI prior to the expiration date of the protocol and with sufficient time for the IRB to review and respond to the submission before the approval expires.  Any modification to the project that may affect the “Exempt” determination or Exempt Category, must be submitted to the IRB for review and approval prior to implementation by submitting a Request for Modification Form.  Reporting requirements to the IRB of events and non-compliance are described in the forms section on this site.  See Exempt Process for more details.
  • Exempt Categories

  • Expedited Overview  To request an Expedited Review, the Principal Investigator (PI) must submit a completed IRB Research Protocol Review Form which will be reviewed by the IRB.  For projects to be “Expedited” (covered by Federal Regulations, but not requiring Full Board Review), the project must be determined by the IRB to meet the expedited categories of 45 CFR 46.110 and any university requirements for expedited status.  Expedited Review is conducted by a member or members of the IRB as assigned by the IRB Chair.  The expedited reviewer(s) may not reject an expedited request, but instead will refer the project to the appropriate IRB for consideration on the next IRB Agenda in which there is sufficient time for the committee to review the materials prior to the IRB meeting.  Submission of Expedited Protocols, have no deadline and may be submitted to the ORC for IRB review at any time.  If approved as “Expedited”, the IRB may approve the project for no more than 1 year.  A Request for Project Renewal Form must be submitted for any projects that will continue beyond the expiration date (usually 1 year).  Renewal requests must be submitted by the PI prior to the expiration date of the protocol and with sufficient time for the IRB to review and respond to the submission before the protocol expires.  A Request for Modification Form must be submitted to the IRB for review and approval prior to implementation of any changes to a project approved as “Expedited”.  At the completion of the project, Final Report Forms are required to close Expedited Protocols.  Reporting requirements to the IRB of events and non-compliance are described in the forms section on this site.  See Expedited Process for more details.
  • Expedited Categories

  • Full Board Process  To request a Full Board Review, the Principal Investigator (PI) must submit a completed IRB Research Protocol Review Form which will be reviewed by the IRB.  Any project not determined by the IRB to be “Exempt” or “Expedited”,  must be reviewed by the IRB at a convened meeting of a quorum of IRB members which must include at least one non-scientific member.  Approval by the IRB must be by a quorum of the members present at an appropriately constituted IRB meeting.  The IRB will determine if the projects approved by the Full Board are Minimum Risk “MR” or At Risk “AR”.  Submission of Full Board Protocols, must be received in the ORC by the IRB Deadline for the Full Board Agenda.  The Full Board may approve a project for no more than 1 year.  A Request for Project Renewal Form must be submitted for any projects that will continue beyond the expiration date (usually 1 year).  Renewal requests must be submitted by the PI prior to the expiration date of the protocol and with sufficient time for the IRB to review and respond to the submission before the protocol expires.  A Request for Modification Form must be submitted to the IRB for review and approval prior to implementation of any changes to a project approved by the Full Board.  At the completion of the project, Final Report Forms are required to close Full Board Protocols.  Reporting requirements to the IRB of events and non-compliance are described in the forms section on this site.  See Full Board Process for more details.

Last Updated: 1/13/2014